Contributed by: Justin Steen, Cities Digital
Having an audit conducted in the financial services industry can send an organization into a panic and disrupt daily operations. It can be difficult to provide an auditor with the specific client information s/he requests. We have constructed a comprehensive solution to help you quickly and easily provide auditors with the access they need.
How to Prepare for an Audit with Laserfiche
This solution provides an auditor access to a single folder in your repository named Auditor Review which contains shortcuts to client folders and their documents. To provide an auditor access to a client file, users will do little more than apply a tag.
Some advantages of this solution are:
- A one-time Access Rights configuration.
- Ideal conformity with compliance mandates, as no copies of client files are created.
- No printing, copying or exporting of documents outside of your secure Laserfiche repository.
What are the prerequisites for implementing this solution?
The following solution works on these assumptions:
- Your Laserfiche folder structure separates out client files by individual folders (each client has his/her own folder).
- When an auditor comes into your organization, s/he requests to see a few specific client files.
In addition, make sure you have this software installed:
- Laserfiche Client and Administration Console (version 8 or higher)
- Laserfiche Workflow (version 8 or higher)
The person implementing this solution must have these privileges:
- Manage Trustees
- Manage Tags
- Manage Entry Access
How do I implement this solution?
Download detailed step-by-step instructions here.
This guide describes how to:
- Create an Auditor Review folder and an Auditor user.
- Apply the appropriate security.
- Design a workflow that will automatically create a folder shortcut for any client file that the Audit Request tag is applied to and place these shortcuts in the Auditor Review folder.
- Test the entire solution.