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: Select the button for "I have recordkeeper data"

Step 1b: Select the Client Name.

Before creating an engagement, ensure that the client has been added in the 'Clients' screen, as they will not appear in the selection list otherwise. See this article for how to create a client.

Step 1c: 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 1d (optional): Enter the Client's EIN and Plan Number

Step 1e: Select any AuditMiner user who should be able to access this Engagement in the Assignees field

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

Step 1g: Click Save and Continue

2. Setup Testing

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 2a: 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.

Step 2b: Select "Save & Continue" when you've finished modifying all testing workpapers.

3. Add Service Provider

Step 3a: Navigate to the "Service Providers" dropdown and select the relevant service provider for the plan.

Step 3b: Enter the contract identifier.

This can be a contract number or other unique identifier.

Step 3c: Select "Add Service Provider."

Step 3d: Access the instructions for each recordkeeper by selecting the "View Donwload Instructions" button.

Step 3e: 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 3f: 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 3g: After successfully uploading the relevant input files, select "Save & Continue.

4. Review & Process

Step 4a: If there are no errors, select "Process Engagement." You will then return to the manage engagements screen.

Please note it can take up to 72 hours to process your plan and release your workpapers. You will receive an email notification when your workpapers are ready for download.

5. 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.
In Review: Processing is complete, and the outputs are undergoing quality review checks. Access to the engagement and the ability to reprocess are disabled during this stage.
Results Available: The outputs are now available for download.
Locked: The audit for that specific engagement year is complete, and the engagement is locked to prevent further modifications. This allows the engagement to be rolled forward to the next year.
Rolled Forward: The previously locked 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.