It always happens eventually when either the state auditor or another body requests an audit on various subjects including financials, government performance, open records compliance, and other projects. Are your audits relatively painless, or do they take a toll on your agency?
Depending on the type of audit being conducted and who is conducting it, these can go relatively smoothly or they can get complex and complicated quickly. The best way to get through an audit, whether it’s a routine event or a surprise inspection, is to have a well organized filing system that’s not only easy to navigate, but also remains compliant and comes with built-in auditing features.
An electronic document management system is exponentially easier to audit over a physical filing system with paper files and filing cabinets. When it comes to physical records, an auditor as well as your staff may be trapped in your archive room for days. Whereas, with an electronic system, an auditor may just need a few hours to get all the records they need.
There are a few special features that puts document management software miles ahead of a traditional system when it comes to auditing.
Easy File Retrieval
When it comes time for a state auditor to take into account how well your records are being kept and that you’re keeping the right records, you want this process to be a fast as possible. That’s why it’s imperative to have an electronic system that can bring up all the files you’re looking for instantly.
Document management with full-text searching makes the task of pulling up vital records much easier than digging through filing cabinets. Full-text searching uses OCR technology to identify the text in all documents types, even image files. Most search functions can only search for a file name, but if you don’t have the file name, it could mean lots of trial and error searches until you find what you’re looking for. You may also end up with hundreds of search results you have to individually look through.
All an auditor would need are a few keywords from the document in order to pull it up. To make searching even easier, users can search within containers so they can narrow down their search to certain sections of the system.
In the case of audits, another useful feature is the ability to create portfolios of documents within the system, essentially bookmarking a document and saving it in a specified collection, so users can quickly return to it. So if an auditor is looking all financial documentation, you can direct them to a portfolio that contains all the relevant files.
Compliance, Permissions, and Audit History
Audits are tricky, as auditors can be looking for several aspects of your filing system that may not be up to statute. Having an unorganized filing system is one thing, but one that flies in the face of government compliance standards is a big violation that will result in consequences.
Luckily, compliance is much easier to manage in an electronic document management system. Standards such as keeping specified document types away from other records is simple with tools like role-based permissions.
Based on different users roles, you can assign them permissions to access different sections of your system. This way, sensitive documents that are subject to more scrutiny are only accessible by the few authorized personnel.
You can also provide to auditors a detailed audit log for individual documents or for your entire system. Each document has its own papertrail you can use to prove that only authorized users are accessing certain documents.
Rubex by eFileCabinet makes all this possible because it was built to keep any kind of organization, both private and public, compliant. Things like audits can distract agencies from their main missions, so making them as efficient and painless as possible is a worthwhile initiative.
To see Rubex in action and see how it can help your organization, fill out the form below to view a free demo.