[2 days left] What’s wrong with your cloud strategy? Learn why multicloud solutions matter with Nimble Storage.Register Now

x
?
Solved

Separation of duties

Posted on 2016-10-07
5
Medium Priority
?
102 Views
Last Modified: 2016-10-11
We have a situation where we need to implement a separation of duties for payments received.

Currently, payments are received in the mail and the person opening the mail is also the one recording the transactions that the payments are for. That has to stop.

We are going to have one person (employee A) open the mail and log the payments and another person (employee B) record the transactions to achieve the separation of duties.

My question is this:

Let's say employee A receives and logs a high volume of payments (checks) received in the mail.   After logging them, those payments will have to be passed off to employee B to be processed.  How can it be ensured that employee B receives all of the checks that employee A logged?  Would employee A have to stay in employee B's presence until employee B went through all of the checks and verified (signed off) that (s)he received all of the checks that employee A handled/logged?  What I'm confused about is the procedure for passing off checks from one employee to another and making sure they are both in agreement as to what was given and what was received.
The reason I mentioned a high volume is because it seems very time consuming for employee A to log the checks one by one and then have to sit around and observe employee B going through them one by one during the transfer process.

Thank you.
0
Comment
Question by:dbfromnewjersey
[X]
Welcome to Experts Exchange

Add your voice to the tech community where 5M+ people just like you are talking about what matters.

  • Help others & share knowledge
  • Earn cash & points
  • Learn & ask questions
5 Comments
 
LVL 98

Assisted Solution

by:John Hurst
John Hurst earned 1000 total points
ID: 41833888
There is an issue of trust here. If "A" is trustworthy and the cheques are made out to the company and not "A", then there is no reason for "B" to hover over "A" while opening the cheques. "A" passes the cheques to "B" and "B" processes them.

If "A" cannot be trusted or careless, then the cheques should be logged in the presence of 2 persons.
0
 
LVL 35

Expert Comment

by:ste5an
ID: 41833905
The duties to separate are normally: A) Handling and B) Authorization or A) Handling and B) Review.

So in your scenario, it looks like you need a review process. But here I think we need more details of your processing.
0
 
LVL 84

Expert Comment

by:Dave Baldwin
ID: 41834298
Is there an actual problem you are trying to solve?
0
 
LVL 21

Accepted Solution

by:
viki2000 earned 1000 total points
ID: 41834384
How about a software on mail server, independent of "A" computer, that is able to count/log the emails with cheques which "A" must open? That would be as an assistant for double check and review.
0
 
LVL 98

Expert Comment

by:John Hurst
ID: 41838447
@dbfromnewjersey - Thanks and I was happy to help.
0

Featured Post

Important Lessons on Recovering from Petya

In their most recent webinar, Skyport Systems explores ways to isolate and protect critical databases to keep the core of your company safe from harm.

Question has a verified solution.

If you are experiencing a similar issue, please ask a related question

As computers become more powerful, jobs will be replaced with artificial intelligence, leaving no place in the future for humans in the workforce. In the oncoming technological revolution, the staggering change to human mind labor will prove the ski…
In this article, I’ll show how research, determination, and use of modern technology helped me solve a DNA mystery.
Notifications on Experts Exchange help you keep track of your activity and updates in one place. Watch this video to learn how to use them on the site to quickly access the content that matters to you.
Where to go on the main page to find the job listings. How to apply to a job that you are interested in from the list that is featured on our Careers page.
Suggested Courses

656 members asked questions and received personalized solutions in the past 7 days.

Join the community of 500,000 technology professionals and ask your questions.

Join & Ask a Question