Audit Compliance
Our Document Management System (DMS) product is an audit-compliant Document Management System
More and more software manufacturers advertise with a Audit security for your Document Management System (DMS) and that their software fully meets the legal requirements. Although the term Revion security is now widely used, it is often misunderstood.
So what does revision security mean?
Security is a requirement for archiving in electronic archiving systems that are used in Germany. It must comply with tax and commercial law requirements. These are primarily to ensure compliance with the principles of data access and verifiability of digital documents (GDPdU) and the principles of proper governance, and Storage of books and documents in electronic form as well as for data access (GoBD).
The use of a document management system is an important basic component of these requirements. The System however, contrary to many opinions, alone can in no case guarantee an audit-proof filing. In fact, audit security depends on several factors. These include, among others: an audit-compliant Document Management System (DMS) software, its professional setup and handling, regular data backup and internal Workflows within the respective company. Thus, a document management system can only be used as audit-proof apply if this offers the technical prerequisites, is used correctly.
The document management system is a scalable document management solution that supports these legal requirements.
1. The original is preserved
The system enables the archiving of almost all file formats. These include, among other things, the common formats such as PDF, PDF-A, DOC, XLS, EML, JPG, etc.
In addition, Document Management System (DMS) converts unreadable data such as e.B. unreadable PDFs, JPGs, PNGs and TIFFs automatically in readable PDF/A files, so that possibly. contained texts from these files included in the full-text search and are available in long-term archiving format. The user thus has access to the audit-compliant Long-term archiving format PDF/A and on the original file.
All archived documents are stored in a central database in compliance with the revision. The use of a In contrast to the usual storage procedure, database does not allow him to make any changes via the file system or Deletes on the documents. If a document is included in the archive, this process can only – after expiration of the recorded retention periods – by selected users and specifying security keys and a Justification can be carried out. The selected documents are then irrevocably deleted from the Document Management System (DMS) archive and a deletion log is automatically stored for the corresponding DocID.
changes to a document are only allowed via the integrated version management. This enables the Archiving of any number of versions of a document in Document Management System (DMS). The prerequisite for this is that the document of of the first archiving to has been released for versioning. Each new version is then accompanied by a uploaded version number archived as a new document. All versions have access at any time possible. The original cannot be overwritten.
2. Qualified filing (classification)
A powerful classification dialog enables qualified archiving. The classification is a Kind of "link" between document and archive. Here, for each archived file , among other things, the virtual Destination folders in Document Management System (DMS), the document type, the status, the responsibilities and much more information (metadata) can be recorded. By assigning these details, the documents can be stored in an overview and in detail and can be found quickly – alternatively and/or in addition to the full-text search. To carry out the Classification" there are different methods and possibilities. Thus, thanks to the integrated "Template Designers" even occur automatically. The necessary classification attributes are flexible via the Setting dialog expandable to any company.
3. Logging of work steps
In a history, DMS documents every change to the classification attributes to a Document. Thus , the processing and archiving steps are automatically logged and can be logged at any time
4. Secure and immediate read access
The GoBD provide an explanation of the Commercial Code and the Tax Code with regard to the proper Treatment of electronic documents. Directly and indirectly, tax-relevant documents which the Companies must be archived in an audit-proof manner and must be archived for electronic use. Tax audit can be provided at any time by means of read access.
The architecture of the DMS software is designed in such a way that any number of users at the same time as the system work and access the documents . To ensure that the documents are only handled by authorized Document Management System (DMS) enables people to be viewed and edited for every document and every created folder the assignment of separate access rights.
If documents from the archive are required, found in Document Management System (DMS) software. Document Management System (DMS) has various search and filter functions for this purpose. Documents and Information can be quickly retrieved by entering certain search criteria. They are for example, search queries with the help of full-text recognition, within the generated folder structure and on Basis of the stored classification information – also called metadata – is possible. An immediate, fast and secure document access is therefore always possible.
documents that e.B. must be forwarded to the tax office, can be individually and on request even incl. Classification information is exported. With the data export, selected documents and their Classification attributes exported from the document management system DMS and on any disks. With this data export, both the documents and all associated Exported information and versions. The documents can then be downloaded with the supplied offline reader can be found and displayed via the common DMS search functions.
5. Backup and Restore
Data backup is also a very important part of audit security. The database must be in be backed up at regular intervals. It is recommended to make a daily backup. This should be are then kept on an external, separate disk so that an immediate recovery of the Documents are possible in case of emergency.
In order to be able to perform a clean and secure data backup, Document Management System (DMS) offers various options. So Among other things, there is a dedicated user interface that allows for quick and easy backup and restore at the click of a mouse. In addition, the backup can also be possible via scripts and your own tools.
6. Company-specific setup
The document management system can be adapted exactly to your own needs. About the easy to the desired structures can be quickly mapped using the flexible settings dialog. The internal Processes for archiving and managing business documents can be digitally mapped with this software:
– Assignment of rights: Creating and assigning users and groups
– Create folder structures
– Create classification attributes
– Define document types and retention periods
– Assign status and much more
These processes and structures should be precisely defined and documented before the system is introduced.