How to Create and Process A Recordkeeper Engagement

0. Create the Engagement

Step 0a: Select Engagements from the left navigation pane.

Step 0b: Select "New Engagement."

1. Add Engagement Details

Step 1a: Enter the Engagement Name.

We recommend having a firm standard Engagement Name that includes the year and client name, as the Engagement Name will be incorporated into the header of your Recordkeeper Workpapers.

Step 1b: Select the Client Name.

If a client does not appear in the drop down list, you may add a new client directly from the 'Create a new engagement' page by selecting "Add as a new client". Alternatively, you may add the client to the 'Clients' screen prior to creating a new engagement. See this article for how to create a client.

Step 1c: Select AuditMiner users who should be able to access this Engagement in the Assignees field.

Step 1d: Enter the Beginning of Year and End of Year for the plan year.

Step 1e: Select "Create."

2. Add a Recordkeeper

Step 2a: Select "Add Data."

Step 2b: Select "Recordkeeper Data."

Step 2c: Select a Recordkeeper.

The drop down list includes all integrated recordkeepers, as well as "Other" for a Universal Recordkeeper engagement. Learn more about Universal Recordkeeper in this article.

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Step 2d: Select "Continue to Upload Files".

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3. Upload Files

Step 3a: Navigate to the upload screen

You will automatically be redirected to the upload screen following the selection of "Continue to Upload Files" in step 2d. You may also access the upload screen by selecting the edit icon next to the related recordkeeper from the engagement details tab.

Step 3b: Access the instructions for the added recordkeeper by selecting the "View Download Instructions" button.

Step 3c: Upload each corresponding file by either dragging and dropping it into the designated uploader or selecting the 'Drop files or click here to upload' button to select and upload your file.

Step 3c: Once you upload each file, a status bar will appear indicating the upload was successful, or failed.

Validated: The file was successfully uploaded and validated by the system. All files need to be validated to proceed with engagement processing.
Validation Error: The file was not successfully uploaded and validated by the system. The file(s) must validated in order to proceed with engagement processing.

Please refer to this article for common issues with file validation errors.

Step 3d: After successfully uploading the relevant input files, select "Save and Exit".

4. Set Up Procedures & Sampling

Any changes in this section will only affect the specific engagement you are setting up. To learn more about modifying testing setup, review this article.

Step 4a: Navigate to the "Procedures" tab.

Step 4b: As needed, select each testing workpaper to modify procedures and sampling methodology in accordance with your planned testing approach.

Procedures will automatically save as you navigate each testing workpaper.

5. Categorize Money Sources

Step 5a: Navigate to the "Money Sources" tab.

Step 5b: Review money source mappings and select a category for all unmapped money sources.

AuditMiner will automatically categorize money sources based on historical data. Review these mappings and ensure all money sources are mapped to a related category.

6. Review & Process

Step 6a: Once all money sources are mapped and no errors exists, the engagement status will change to "Ready for Processing." Select the "Process Engagement" button.

Step 6b: Select "Process Engagement."

You will receive an email notification when your workpapers are ready for download.

7. Status Overview

In the manage engagements screen, you will see a status for each engagement.

Setup Required: The engagement has been created but requires additional setup, such as uploading input files and reviewing testing procedures, before it can be processed.
Ready for Processing: All necessary setup is complete, files are validated, and the engagement is ready to be processed.
Processing: The user has initiated processing, and the system is actively processing the engagement. During this stage, the engagement cannot be edited or modified.
Results Available: The outputs are now available for download.
Rolled Forward: The engagement has been rolled forward to the next year, and no further actions are required for that engagement.
File Validation Failed: A user-uploaded file has failed validation. The user must remove or correct the file before processing can be enabled.