Generating audit information and other data for the auditor
This article provides insight into the audit functionalities within Spend Cloud, accessible via the menu item Analysis / Audit. In this article, we will detail how to generate an audit file, which reports this file contains, and where you can consult supplementary information such as the password policy. If you do not see the menu item Analysis / Audit, please check whether this functionality has been added to your rights set.
Generating the Audit File
To generate an audit report, follow the steps below:
- Click the 'Add' button.
- Choose the Administration for which you want to receive the report. You can also select multiple administrations. This primarily concerns the approval of invoices that will be visible in the overview.
- Select the desired period by choosing a start date and an end date.
- Optionally, you can specify the start period for the 'Cash & Card' module here.
- Click 'Save'.
The audit report will now be generated. The duration of this process may vary depending on the length of the chosen period and the amount of data. Once the report is ready, a green notification will appear above the overview. You must keep the page open during the generation process, but you can continue working in another tab in the meantime.
Once the file is ready, you can find it in the list. By clicking on the row or using the download icon at the end of the row, the report will be downloaded to your computer. The entire audit information will be delivered in a zip file, from which you can view the individual reports. A file will be generated per administration.
Available Reports in the Audit File
The audit file contains various detailed reports that provide insight into the processes and rights within Spend Cloud. Mazars Management Consultants has validated the reports below for Visma | ProActive, with this document substantiating that the reports correspond to the information in the system.
Role History
This export file provides an overview of all current roles, including the mutations that have taken place within the selected period. This is sometimes referred to by auditors as an overview of "changes in user rights per user". It shows the employees with rights and role options per organisational unit. Per role, it is clear who created the role and who modified it. The "Status" column indicates whether a user currently has access to Spend Cloud. The "Last Logged In" column shows the date of the last login. The "Historical Role" column indicates whether a role is no longer usable, for example, due to deletion or modification. When a role/function profile or rights set is modified, the original role is deleted and a new role is created. (Un)linking Cash & Card books and supplier(groups) within Procurement is also considered a modification to the role.
Invoice Approvals
This report contains all approvals that have taken place on invoice lines, based on the selection by invoice date. It shows which employee(s) have approved a line and who submitted the invoice for approval. In the case of automatic approval (based on a Procurement order, contract, or commitment), the relevant underlying information is displayed. You will find all relevant coding information, such as creditor details and cost allocations. The overview also includes the invoice status and indicates, among other things, whether the invoice has been exported to the financial package or definitively disapproved.
Procurement Order Approvals
This file contains all order lines of orders that were placed within the specified date selection. The overview shows which employee(s) approved an order line and who submitted the order. Information about the order and order line, such as supplier information and the cost allocation coding, is visible. The linked invoices are also displayed, including an indication of whether they were automatically approved based on the order.
Cash & Card Balances
This file provides an overview of the opening and closing balances of all books within the Cash & Card module. Based on the selected period, the amount of outstanding advances and cash withdrawals is also visible. This report is also included in the "Audit Report" by Mazars Management Consultants.
Do you want an overview of the balance including mutations? Then go to the Cash & Card archive and export a 'pdf with balances'. Read more about this here: Provide the accountant with an annual report
Password Policy
The configuration of the password policy for your Spend Cloud environment is an important audit component. This is not included in the audit file but can be found in the menu item Application Management / Config Settings / General. If you do not have access to this section, you must enable it within the rights upon which your role is based, or ask an administrator in your organization to do this for you. You can view the current settings here, modify them if necessary, and take a print screen to provide to the auditor.
Release notes
You can find the release notes in Spend Cloud under your name in the top right corner. An expanded overview of releases can be found in the news section within the knowledge base: New in the Spend Cloud
Other Statements
In addition to the mentioned files, the auditor usually requires you to request some documents from Spend Cloud. The following documents are available.
- ISAE 3402 Type 2 Statement - You can request our ISAE 3402 Type 2 statement via the email address privacy@proactive.nl. This is usually available from April of the previous year. You can send an email to the aforementioned address around the turn of the year, and your name will be placed on a list, and you will receive the statement as soon as it is available.
- Data Processing Agreement - This can be found on our general website: https://proactive-software.com/nl/verwerkersovereenkomst-dpa/
- Service Level Agreement - Our SLA, also referred to as service and support terms and conditions, can also be found on our general website: https://proactive-software.com/en/support-terms-and-conditions/
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