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).Auditor Review
  • 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.

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