Finance
Evidence collection
What counts as sufficient evidence is the firm’s rule.
The evidence usually exists. The work is asking, filing and knowing what has not arrived.
The workflow
Evidence collection
- 01Name
Each piece of evidence is an item, not a vague request.
- 02Ask
The request goes out with a due date.
- 03File
The reply is stored against that item.
- 04Show
What is missing stays on the case.
What counts as sufficient evidence is the firm’s rule.
The problem
Evidence collection still depends on a queue.
Requests are sent twice. Replies land in the wrong thread. A file looks complete until someone checks.
Current process
Chasers written from memory.
Requests are sent twice. Replies land in the wrong thread. A file looks complete until someone checks.
The solution
A recorded workflow, with people where the decision sits.
Handled in the workflow
Each required piece has a request, a due date and a place in the file. A reply is attached to that piece. The outstanding list is the whole status.
- Name
- Ask
- File
- Show
Your team stays in control
What counts as sufficient evidence is the firm’s rule.
An itemised file with an outstanding list.
How it works
From the queue to a recorded outcome.
Each required piece has a request, a due date and a place in the file. A reply is attached to that piece. The outstanding list is the whole status.
01
Name
Each piece of evidence is an item, not a vague request.
02
Ask
The request goes out with a due date.
03
File
The reply is stored against that item.
04
Show
What is missing stays on the case.
Without it
Chasers written from memory.
With UYP Systems
An itemised file with an outstanding list.
What counts as sufficient evidence is the firm’s rule.
Also in Finance
The rest of the range.
Client onboarding
Onboarding is a file that has to be complete. The delay is the chase for what is missing.
- Open
- Collect
- Test
- Hold or pass
Reconciliation exceptions
A reconciliation that matches needs no one. The work is the break.
- Compare
- Pass
- Queue
- Clear
Billing exceptions
Most invoices are routine. The cost is the one that should not have gone out.
- Read
- Test
- Hold
- Release
Discuss Evidence collection.
The evidence usually exists. The work is asking, filing and knowing what has not arrived.