In this article learn How To:
- Best Practices of Quality Control
- Manual Quality Control via Checklist
- Electronic Quality Control via Document History
Quality Control is a critical component to ensuring you users are following established procedures, and gives your institution the ability to review documents that are placed into the system for accuracy. Quality Control (QC) is available in a manual or electronic version.
Permissions needed to access this function: Scan Document Access.
Best Practices of a Good Quality control System (QC)
- Establish Policies and Produces at the beginning of your "Go-Live" date and implement immediately.
- Determine whether your institution will use the manual processing (Manual Quality Control via Checklist) or electronic processing (Electronic Quality Control via Document History) of QC.
- QC should be done on a daily basis to ensure appropriate policies and procedures are being followed, and keep backlog of reviewing items in control.
- Establish a Dual control of QC process. Have multiple people responsible for reviewing others user's work.
- Decentralized environments should establish a more robust QC process. Centralized environments should establish a QC process, however may be able to rely more on spot checks.
- Determine high importance documents that will be QC'd
This is not an exhaustive listing of documents that you institution should keep. You should review your institutions compliance, regulatory, legal counsel and various other teams to determine what documents you should keep. AccuSystems LLC does not advise of specific documents that you should keep or not keep. This is a sampling of document we've seen other clients keep.
Documents other Institutions have decided to keep:
- Promissory Note
- Security Agreement
- Original Mortgages/Assignment of Rents/Deeds
- Any Security/Perfection Related documents
- Any other documents you teams deem necessary for legal action, compliance, regulatory
Quality Control using the Manual option
- Select the Customer Checklist icon from the customer's page
- Select the Account Type of the account you are going to QC. By default the system will automatically select the correct customer type based on the customer you are on.
- Select Next
From here you can print the checklist our and perform your QC. Performing the QC manually would involve pulling up each individual image, reviewing it and the details for accuracy, and then placing any kind of approval indicator in the "QC" column. Your institution may want to create a tab for this "checklist" to be scanned in after the QC has been completed.
Quality Control using the Electronic option
- From AccuAccount menu Select Reporting / Document History
- From the Document History search, Define the parameters of the documents you'd like to see. If you simply want to see all documents, leave the fields as they default and Select Search
- From the results page, you can now see all documents based on the parameters you defined in the search page. To QC you van view the document in two ways
- From the Results page: Select the icon of the document you wish to view under the "View Doc" column.
- From within the QC Button: Select the QC Button, then select the View Document icon
- The QC Button is also where the Quality Control (QC) will take place. Select the Option that applies and then Select Update. You can select the following options
- Not Verified: This option means the document has not been Quality Controlled (QC'd).
- Approved: This option means you have reviewed the document and it is approved with not changes needed.
- Rejected: This option means you have reviewed the document and it is rejected and changes are needed.
- Notify Scanner: If you reject a document, this option will send an email to the original person who put the document in the system. This user is listed as the "User Name" in the Document History Results page
- Add Comment: This option will place a comment and will display in the "QC History", and will also be contained in the rejection notice to the scanner
- QC History: This will show the entire history of the QC process when users select any of the above options.
When you have QC'd the document it will now show several option in the "Document Results" page.
Under the "QC Status column, it will now display either a green check mark (Approved), or a red X (Rejected), along with the user's name that QC'd the document. You will also notice the test color of the "Document Description" will now change to either green (Approved) or red (Rejected).
If you want to see the history of the QC, or any comments that were entered, Select QC button again. The history, along with any comments, date/time stamps etc., are now displayed.
It should be noted, when a document is "Rejected", it will do nothing to the original document in the history. This information will remain in place. It also will not do anything to the original document on the customer's page. This user would need to make any changes to the document again, and new history inputs would be displayed for you in the QC again.