Audit Menu and Functions

May 16, 2006

Copyright 2006, R. James Holton, All rights reserved

 

 

Introduction

 

The purpose of this document is to familiarize the expense report auditors and processors with the standard audit menu, as well as the various functions and tasks that can be performed with the ESS audit menu.

 

Expense report auditors perform the following tasks:

 

  1. Audit reports for proper sign-offs
  2. Audit reports against required receipt documentation
  3. Adjust reports when required
  4. Approve reports for further processing
  5. Release reports for end-of-day processing
  6. Pay reports and update the G/L
  7. Follow-up on delinquent approvals
  8. Reconcile advance and prepaid accounts
  9. Maintain user profiles
  10. Maintain control tables

 

The “how-to-accomplish” each task is found after the “Audit Menu Explained” section below.  After the “how-to-accomplish” sections, a typical processing cycle is described.

 

Audit Menu Explained

 

The Audit menu is broken-down into 8 areas. These are:

 

  1. Audit – This is used to verify receipts, approve reports for payment and, when necessary, adjust reports prior to payment.  Auditors can also use this section to find a report for investigations.  The following choices are available
    1. Edit and Audit – Displays a queue of all items ready for audit.  The auditor can select either approve items in batch by checking them and signing-off at the bottom of the screen, or (better yet) select an report and review detail before signing-off as audited.  When a report is selected, you can also check the receipts and edit any part of the report.
    2. FastTrack – This is like “Edit and Audit,” but only reports that do not require any paper receipts are displayed here.  These reports are segregated and can usually be processed without delay from this queue.
    3. Report Selection – This option allows the auditor to select any report.  Reports that are in pre-paid status can be edited, receipted, and approved for payment.  Auditors can “approve” reports for absent managers.  Reports that are in paid status can only be displayed.

 

  1. Process – This section contains all the options to release a report for payment, pay reports, update your G/L, notify reporters of payments, manage ACH prenote process, follow-up on reports still requiring manager approval, and views a summary of the days work.
    1. Release for Payment – This options batches reports that have been approved for payment into the daily batch.  It basically moves a set of reports from audited status to paid status so they can be included on all payment feeds.
    2. EOD Feed Creation – This process runs the end-of-day batch that creates the payment and G/L post processes.  Custom feeds are also run as part of this process.
    3. Payment Messages – Sends out emails that notify reporters that their report has been “paid” or more accurately, included in the end-of-day batch.
    4. Follow-up Notifications – Sends out follow-up notification to managers and/or their superiors for reports that are pending approval after so many days.
    5. Prenote Users – Creates an ACH file that consists of users requiring prenoting that can be submitted to your bank as part of the prenote process.
    6. OK Prenoting – Changes users records from being prenoted to ACH ready status.
    7. Latest EOD Journal – Display the generic ESS end-of-day journal for the last batch run.
    8. Latest Payments – Display the generic ESS payment journal for the last batch run.

 

  1. Research – This section contains information collection options
    1. Report Selection – This option allows the auditor to select any report.  Reports that are in pre-paid status can be edited, receipted, and approved for payment.  Auditors can “approve” reports for absent managers.  Reports that are in paid status can only be displayed.
    2. Simple Inquiries – Displays reports that have been defined in the reports.xml file.  For information on creating a simple inquiry report consult the “Simple Inquiries Explained” document.
    3. SQL Selection – This option allows an audit to query the database with a SELECT statement.  For information on SELECT statements consult the SQL reference manual for your database.

 

  1. Misc. – Contains functions for the auditor to manage their personal data and to log out of the system.
    1. Manage Personal Data – Allows an auditor to delete information from the personal information.  Personal information varies from site to site.
    2. Logout – logs an auditor out of the system

 

  1. User File – Auditors will use this section to manage reporters and approvers profiles.
    1. User Primary – Contains the basic information that is required on each report, approver and auditor.  Information on the screen fields is found in the “Administrator’s Installation Checklist” document.
    2. User ACH Info – Information required to include the user on the ACH feed and to manager the process.  Consult the “ACH Processing” document for further information.
    3. User Card Info – This screen contains information on a reporter’s advance accounts, prepaid accounts and/or credit cards.  It allows users to prepopulate reports with this information so they don’t have to re-key it if a feed is available.  Consult the “Pre-populated Items” document for more information.
    4. User Fleet Info – Contains automotive fleet information.  If a reporter is assigned a fleet vehicle, you can enter information into this screen for mileage and maintenance tracking.  Fields on this screen include vehicle serial number and service date.
    5. User Misc. Info – This contains feeds that will be used only by some installations.  Fields on this screen, that are not found on others, include: Mileage Rate – used if users are assigned a special rate, Mileage Type – reserved for usage by fleet feeds, as well as Extra1, Extra2 and Extra3 which are reserved for custom processes and feeds.

 

  1. File editors – A series of screens to manage control tables which is information that make possible things like client tracking, charging departments, G/L mapping, merchant tracking, etc.
    1. Clients – client tracking via purpose screen
    2. Departments – department mapping for G/L update
    3. Expense Types – expense (debit) classification
    4. Payments – payment (credit) information and classification
    5. Projects – project tracking via purpose screen
    6. Merchants – merchant tracking via receipts.  Allows companies to see where money is flowing and can be useful in setting policy and negotiations
    7. Company Codes – used to separate legal entities
    8. Locations/Cities – used for tailoring guidelines
    9. Guidelines – used to enforce corporate policy
    10. State Table – used to set initial routing stream from system.xml, what to do with previous copies of a report and provide random audit conditions
    11. Special Handling – ad hoc file for custom feed needs

 

More information on these screens is found in the “Administrator’s Installation Checklist” document.

 

  1. Pre-populated Items – These items manage and reconcile pre-populated items.  Pre-populated items consist of advances, prepaid expenses, and credit card transactions.  User can select pre-populated items from the statement table to populate their report.  This eliminates re-keying.  This item is especially valuable if used in conjunction with credit card feeds.  For more information on pre-populated items, please see the “Pre-populated Items” document.
    1. Database Access – allows auditors to enter and adjust items in the statement table
    2. Reconcilement – allows auditors to
  2. System Admin – This section consists of a single item, sending a shutdown message.
    1. Shutdown Message – Allows the auditor to send a message to all logged-in ESS users.  Since user poll the central server for the message, the message may take up to 15 minutes to be sent to everyone. 

 

 

Audit reports for proper sign-offs

 

ESS routes reports for signoff according to routing rules established in the Status.xml file.  By the time a report has reached the audit queue, you can be assured that it has gotten the specified management approvals.

 

It is possible for an auditor to signoff a report for an absent manager.  To do this, use the “Report Select” menu option found in either the “Audit” or “Research” sections of the menu.  Locate the report and select it for display.  At the bottom of the report display is a section for your signoff.  Please note that auditors that signoff en lieu of a manager are excluded from further processing of the report.

 

Audit reports against required receipt documentation

 

With the default workflow shipped with ESS, receipts are checked prior to report payment.  In customized version they can be checked after report payment.  To audit receipts against a report:

 

  1. Using the “Edit and Audit” or “Report Select” functions under the “Audit” section, find and call up a report for which you have receipts. 
  2. The “Receipt Section” on the report lists all the receipts associated with the report.  At the bottom of the list, there is the total number of required receipts.
  3. At the right side of each receipt, under the “Receipt Required” column, you will see the word “required” for all receipts that need to have physical documentation.  Whether a receipt is required is defined in the associated Expense Type record.
  4. On the left-side of the receipt entry, under the “OK” column, is a check box.  A checked box indicates that a receipt is present.  An unchecked box indicates that the receipt is missing.  Check the box for all physical receipts.
  5. When you are done indicating which receipts you have, you will need to save you work by going done to the sign-off box.  Before you do that, you must make a decision, as to whether you have all the receipts that you need to accept the report as valid.
  6. If you have accounted for all the receipts and want to sign-off on the report, locate the sign-off box on the report display and check the “Accept report as OK” and enter your password and click the “Process…” button.
  7. If you are missing reports and wish to save you receipts work, check the “Confirm OK receipts only” and enter your password and click the “Process…” button.
  8. In either case you can send a message to the reporter by filling in the message box.

 

Adjust reports when required

 

ESS allows auditors to make adjustments to reports prior to payment.  To edit a receipt follow these steps:

 

  1. Using the “Edit and Audit” or “Report Select” functions under the “Audit” section, find and call up a report that you want to edit. 
  2. You may edit or delete any associated receipt from any “Edit” or “Del” link.
  3. You may add an item to a section by clicking on links found near the section title.
  4. Note:  The basic receipt edit screen requires that you save expense classifications to a receipt. Then you will need to save the receipt work.  Remember – 2 clicks to change an expense.
  5. Saving a receipt will cause an immediate update to the central database.  You report display will be regenerated.  You do not save receipts to reports and then save reports in the audit module.

 

Approve reports for further processing

 

There are two ways to approve a report for payment as an auditor.  You may approve a report separately.  This is usually done on reports that require auditing prior to payment.  To approve an individual report:

 

  1. Using the “Edit and Audit” or “Report Select” functions under the “Audit” section, find and call up a report for which you have receipts. 
  2. Perform any receipting or adjustment tasks.
  3. To approve a report for further processing, locate the sign-off box on the report display and check the “Accept report as OK” and enter your password and click the “Process…” button.

 

You may also approve reports in batch if appropriate.  This can be done through the “Edit and Audit” queue, but it is most often done through the “Fast Track” queue.  In the default setup, the Fast Track queue will only display reports that do no require any receipts.  Although the auditor can review each report, the auditor can also approve the reports in batch, saving the time required to approve each report separately.  To approve reports in batch from either queue, follow these instructions:

 

  1. A the left of each report row on either the Edit and Audit queue or the Fast Track queue is a check box.  For each report that you wish to approve for payment, check the box.
  2. At the bottom of the screen is a sign-off box.  Enter you password and click the “Check reports…” button.

 

Release reports for end-of-day processing

 

Once reports have been audited they are ready to be released for payment by adding them to the daily batch.  At this point, if you have a reason, you can decide to hold a report from further processing.  To release reports to the daily batch for payment, follow these steps:

 

  1. Select the “Release for Payment” option under the “Process” section.
  2. All the reports that are ready for payment will be displayed.
  3. If you wish to hold a report from payment, you need to uncheck the box to the left of the report row.
  4. At the lower right of the reports list is a report count.  You should take note of this number and adjust it for any reports that you are holding back.
  5. To release for payment, simply click the “Release the…” button at the bottom of the list.

 

Pay reports and update the G/L

 

In most setups, you will pay reports and update the general ledger by creating a feed from ESS with the “Feed Generation Process.”  This process will create files for your corporate systems and your bank.  If you are not taking advantage of an automated feed, you may post from the “Latest EOD Journal” or from each individual report.  The “Latest EOD Journal” is created as part of the default “Feed Generation Process.”  To generate feeds follow this process:

 

  1. Select the “Feed Generation Process” from the “Process” section of the audit menu.
  2. A list of reports that will be included in the feeds will be displayed.  You cannot exclude reports at this point as you can in other processes.  The total number of reports that will be processed is to the lower right of the screen.  To create the feeds, click the “Create feeds…” button
  3. You will receive a message that the feed creation process has been started.  Unlike most other processes, this process runs in the background.  You will receive and email when it has finished.  This is usually less than 5 minutes.
  4. You can view the results of the process by looking at the “Latest EOD Journal” and the “Latest Payments” reports.
  5. Both of these reports contain the number of reports processed on them.  This is a good number to verify.
  6. The feeds are located in the folder specified in the system.xml file by the end_of_day – folder element.  Consult the Professional Services document on the system.xml for more information.

 

Follow-up on delinquent approvals

Sometimes managers will sit on reports and not make a decision to approve or reject them.  ESS contains an option to follow-up automatically and to escalate reports.  To do this, use the “Follow-up Notifications” option under “Process.”  To adjust the number of days for follow-up and escalation, to change the message text, you need to change sub-elements in the delinquentmessages element of the system.xml file. Consult the Professional Services document on the system.xml for more information.

 

Reconcile advance and prepaid accounts

 

(This section will be updated later)

 

Maintain user profiles

 

Consult menu description above and consult the “Administrator’s Installation Checklist” for information on adding to and maintaining the user table.

 

Maintain control tables

 

Consult menu description above and consult the “Administrator’s Installation Checklist” for information on adding to and maintaining the various control tables.

 

 

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