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:
- Audit
reports for proper sign-offs
- Audit
reports against required receipt documentation
- Adjust
reports when required
- Approve
reports for further processing
- Release
reports for end-of-day processing
- Pay
reports and update the G/L
- Follow-up
on delinquent approvals
- Reconcile
advance and prepaid accounts
- Maintain
user profiles
- 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:
- 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
- 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.
- 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.
- 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.
- 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.
- 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.
- 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.
- Payment
Messages – Sends out emails that notify reporters that their report
has been “paid” or more accurately, included in the end-of-day batch.
- Follow-up
Notifications – Sends out follow-up notification to managers and/or
their superiors for reports that are pending approval after so many days.
- 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.
- OK
Prenoting – Changes users records from being
prenoted to ACH ready status.
- Latest
EOD Journal – Display the generic ESS end-of-day journal for the last
batch run.
- Latest
Payments – Display the generic ESS payment journal for the last batch
run.
- Research
– This section contains information collection options
- 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.
- 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.
- 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.
- Misc.
– Contains functions for the auditor to manage their personal data and to
log out of the system.
- Manage
Personal Data – Allows an auditor to delete information from the
personal information. Personal
information varies from site to site.
- Logout
– logs an auditor out of the system
- User
File – Auditors will use this section to manage reporters and
approvers profiles.
- 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.
- 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.
- 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.
- 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.
- 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.
- 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.
- Clients
– client tracking via purpose screen
- Departments
– department mapping for G/L update
- Expense
Types – expense (debit) classification
- Payments
– payment (credit) information and classification
- Projects
– project tracking via purpose screen
- Merchants
– merchant tracking via receipts.
Allows companies to see where money is flowing and can be useful
in setting policy and negotiations
- Company
Codes – used to separate legal entities
- Locations/Cities
– used for tailoring guidelines
- Guidelines
– used to enforce corporate policy
- 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
- Special
Handling – ad hoc file for custom feed needs
More information on these screens
is found in the “Administrator’s Installation Checklist” document.
- 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.
- Database
Access – allows auditors to enter and adjust items in the statement table
- Reconcilement
– allows auditors to
- System
Admin – This section consists of a single item, sending a shutdown
message.
- 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:
- Using
the “Edit and Audit” or “Report Select” functions under the “Audit”
section, find and call up a report for which you have receipts.
- 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.
- 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.
- 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.
- 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.
- 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.
- 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.
- 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:
- Using
the “Edit and Audit” or “Report Select” functions under the “Audit”
section, find and call up a report that you want to edit.
- You
may edit or delete any associated receipt from any “Edit” or “Del”
link.
- You
may add an item to a section by clicking on links found near the section
title.
- 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.
- 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:
- Using
the “Edit and Audit” or “Report Select” functions under the “Audit”
section, find and call up a report for which you have receipts.
- Perform
any receipting or adjustment tasks.
- 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:
- 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.
- 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:
- Select
the “Release for Payment” option under the “Process” section.
- All
the reports that are ready for payment will be displayed.
- If
you wish to hold a report from payment, you need to uncheck the box to the
left of the report row.
- 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.
- 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:
- Select
the “Feed Generation Process” from the “Process” section of the audit
menu.
- 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
- 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.
- You
can view the results of the process by looking at the “Latest EOD Journal”
and the “Latest Payments” reports.
- Both
of these reports contain the number of reports processed on them. This is a good number to verify.
- 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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