Financial Services Preparing for an Auditor

Transcription

1 Financial Services Preparing for an Auditor

2 Introduction: In [Financial Services Preparing for an Auditor] the Financial Services industry, having an auditt conducted can send an organization into a panic and truly disrupt day-to-day operations if unprepared. Even with a well-organized Laserfiche repository, the question of how to easily provide an auditor with the client information they request can be difficult to answer. This guide will provide you with a quick and easy way to provide auditors the access they need, without printing, copying or exporting client information outside of your Laserfiche repository. Pre-requisites: LF Client and Laserfiche Administration Consolee (version 8 or higher) Privileges to Manage Users, Tags, and Entry Access Rights Laserfiche Workflow (version 8 or higher) Access to the Laserfiche Workflow Designer Overview: The following solution will assume that you have a Laserfiche folderr structure that separates out client files by individual folders (shown below). It will also assume that an auditor comes into your organization and requests to see a few specificc client files.. The end result and overall goal of the following solution will be to provide an auditor accesss to a single folder in your Laserfiche repository (Auditor Review), where shortcuts to client folders and their subsequent files will be available for their review. Advantages of the following solution include: A one-time configuration for Access Rights. No copies of client files are created, which from a compliance perspectivee should be ideal. Documents stay within your secured Laserfiche repository. To provide an auditor access to a client file, users will do little more than apply a tag. 2

3 Providing the Auditor Proper Access Providing an auditor with properr access doesn t mean just giving them access to your Laserfiche repository and telling them to review whatever they like. If they come to your organization and provide you a list of client files to review, you should have a quick way to provide them access to those client files, and those filess alone. Step 1: Create a new user named Auditor, and providee them with the desired feature rights, which will most likely be very limited. Step 2: Create a new folder in your folder structure named Auditorr Review. Step 3: Modify the Access Rights of the newly created Auditor Review folder so that only your admin, workflow, and auditor users have access. Again, the auditor user should probably have limited access rights like browse and read available (shown to the right). Auditor Review Folder Step 3: Finally, you ll use a strategy known as tunneling to provide an auditor with the ability to review a client folder, but only if a shortcut to said folder is placed within the Auditor Review folder. To do this a. At the root level of your client files, which in this example is actually called Client Files, deny the Auditor user all entry access rights, with a scope of This Entry only. b. At the root level of your client files grant the Auditor user Browse and Read entry access rights, with a scope of Subfolders and documents only The end result should show two instances of the Auditor user for the root level of your client files, as shown below. 3

4 Using Workflow to Create Folder Shortcuts s As the last part of your configuration, you ll create a Laserfiche Workflow that will automatically create a folder shortcut for any client file that the Audit Request tag is applied to. Not only will the workflow create a folder shortcut for the client file, but it will also place it in the Auditor Review folder. Step 1: Create a new tag in your Administration Consolee called Audit Request. Step 2: Create a new workflow called Auditor Review Request (or whatever you prefer). Step 3: You will now configure the new workflow and take the following steps a. Drag the Move Entry activity into the GUI. You may rename the activity and description as you see fit, but make sure to use the followingg configuration for the remaining options 4

5 b. Drag the Assign Tag activity beneath the Move Entry in the GUI. Renamee the activity and description as you see fit, but make sure to use the following configuration for the remaining options The goal of this particular activity is to simply remove the tag that initiated the workflow in the first place so that the tag could potentially be applied again in the future. c. Publish the Workflow d. Create the starting rules for the workflow utilizing the Rule Wizard as shown below. 5

6 Please Note: The starting conditions noted are the bare minimum that Cities Digital would recommend utilizing. You may also want to limit the starting entry path and make sure that the User does not equal is set to thee appropriate workflow user name that is used in your specific connection profile. Once you have published the workflow, you re ready to test the configuration. 6

7 Using / Testing the Configuration Step 1: Log into the Laserfiche Client with your normal credentials. Step 2: Navigate to or search for a client folder that you would like to test the solution with. Step 3: Right-click on the client folder and select Metadata. You should now see the metadata window for the client folder. Select the Tags tab and apply the Audit Request tag. When the tag has been checked, select Ok to finish. Step 3: Log out of the system and log back in using the Auditor userr credentials. If your access rights have been setup correctly, you should only have access to the Auditor Review folder, and within that folder should be a shortcut to the folder that you tagged. You should now be able to open the folder shortcuts andd documents contained within. When an auditor is finished with the audit, you can simply delete the folder shortcuts thatt Workflow generated, and the original files will remain unaffected. 7