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#1500264 - 01/26/11 01:59 PM Document Imaging System Audit
kendrar Offline
Gold Star
Joined: Jan 2008
Posts: 279
We have recently implemented a document imaging system. Management is requesting an audit of this sytem but I can't seem to locate any type of audit program/procedures for this type of system.

Can anyone help or steer me in the right direction?

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Audit
#1500987 - 01/27/11 01:36 AM Re: Document Imaging System Audit kendrar
DerrickAuditor Offline
Member
Joined: Mar 2008
Posts: 91
USA
* Review access rights to imaged documents (who can review only, who can scan & upload, etc.)
* Ensure one person scans and a different person performs quality review before loan files are destroyed (or sent offsite if you keep them). We require this be documented so we know who scanned and who reviewed.
* Select a sample of loans and ensure loan docs are legible, not missing the 2nd side of two sided documents, in the right stacking order, can be found easily, etc.

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#1500991 - 01/27/11 01:40 AM Re: Document Imaging System Audit DerrickAuditor
kendrar Offline
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Joined: Jan 2008
Posts: 279
Thanks - that is awesome - I have been at a loss of what to audit.

The scenario we have is that an account is opened (loan or deposit), then the documents are scanned and filed by date.

The loan docs are not going through any type of review, but the deposit accounts are being reviewed.

Since the documents are not being stored by account/loan number but by date scanned, would this change the procedures any?

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#1501450 - 01/27/11 09:21 PM Re: Document Imaging System Audit kendrar
YaYa Offline
Junior Member
Joined: May 2008
Posts: 48
Ohio
"Since the documents are not being stored by account/loan number but by date scanned, would this change the procedures any?"

How are you going to retrieve your documents if they are stored by the date they are scanned?

Two of the most important issues to me besides quality and system access are the various retrieval methods and ensuring retention is set to regulatory requirements.

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#1501562 - 01/27/11 10:51 PM Re: Document Imaging System Audit YaYa
Midnight Offline
Member
Midnight
Joined: Jun 2008
Posts: 69
Upper Mid West
I did this type of an audit in 2009 after we had installed document imaging and I looked at:

*Policies, procedures and risk assessments to ensure document imaging had been addressed.
*This is an in-house system for us so I evaluated the backup procedures and disaster recovery strategies.
*Reviewed scanning, indexing and quality control processess for segretation of function
*Reviewed user access rights - who can delete documents?
*Reviewed techonology used to store the images for common technology (.tif, .pdf, .jpg) to make sure it was industry standard.
*Reviewed retention periods

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#1502198 - 01/28/11 08:02 PM Re: Document Imaging System Audit YaYa
kendrar Offline
Gold Star
Joined: Jan 2008
Posts: 279
The actual paper documents are being stored by date scanned, the images are indexed by customer/account numbers.

I think this might have led to some confusion.

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