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#1601935 - 09/09/11 07:24 PM Document Imaging Audit
esks Offline
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Joined: Jul 2011
Posts: 43
Willie still loves razor bacon...
Does anyone have an audit program for document imaging that I could look at? Our loan department has started the process of converting all loan files, and the deposit side is not far behind, and I don't know where to begin!

Thanks in advance for your generosity!
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#1603635 - 09/14/11 06:45 PM Re: Document Imaging Audit esks
DerrickAuditor Offline
Member
Joined: Mar 2008
Posts: 91
USA
I don't have a program just for imaging as it is a section of our loan ops audit; however, we select a sample of loans and ensure all the key documents are imaged, easily retrievable / stacked correctly, and confirm the quality of the images is sufficient and not missing pages.

We also confirm they have a quality control function that confirms all images are present and are of good quality before the paper file is destroyed. Our QC function must sign off on each loan before the paper is destroyed.

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#1603681 - 09/14/11 07:15 PM Re: Document Imaging Audit DerrickAuditor
osucpa Offline
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Joined: May 2011
Posts: 1,400
Let me ask this question. Why would you want to audit the document imaging? I understand the whole quality control issue related to reading documents prior to them being destroyed. All our documents (both deposit and loans) are imaged. My audit process did not change when we switched from hard copy files to imaged documents.

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#1603948 - 09/15/11 01:51 PM Re: Document Imaging Audit osucpa
Blessed Offline
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Joined: Oct 2007
Posts: 2,389
USA
The biggest change will be where you go for information. When we went to imaging, our audit programs for individual areas only changed slightly, from verify source document is on file to verify source document has been scanned. All other steps, such as verifying information agrees to system, should be the same in theory.
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#1604181 - 09/15/11 05:55 PM Re: Document Imaging Audit Blessed
Rocky P Offline
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Joined: Jun 2003
Posts: 7,356
Florida
As you stated, look for readability, no missing pages (piggybacking), controls for importing, indexing and retrieval. Also ensure there are dates so that files can be destroyed (deleted), and safeguards to prevent accidental destruction. (Same as paper, when 25 months are up you want to get rid of adverse actions & files. If files have been destroyed, the bank cannot be bitten by a rogue examiner with too much time on their hands.) Also be sure the files are appropriately backed-up and included in your disaster recovery plan.
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#1604722 - 09/16/11 04:31 PM Re: Document Imaging Audit Rocky P
esks Offline
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Joined: Jul 2011
Posts: 43
Willie still loves razor bacon...
Thanks for all of the input! It is appreciated!
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