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Mortgage Industry Automated Archival and Audit Process Case Study

In the mortgage industry, auditing on outbound marketing materials can happen at any time. External as well as internal audits are performed randomly to check for compliance on every part of a document including brand guidelines, loan officer information, document variables, recipient information, disclaimers, and copyright years.  As these audits arise, marketers have a very limited amount of time to provide all of the required documentation which includes visual representations of each document created.  This can be a very stressful time for anyone involved in the auditing process. 



As our customers were being audited, they realized that they needed a better way of gathering all of the data need.  They approached us with a request needing exact duplicates of all orders placed during a specific period of time.  This often was needed only for certain groups of users or for certain states.  They needed a way to have all of the files archived with organization as well as a way to retrieve this information easily.  Ultimately, they wanted the most streamlined and efficient way to gather all of the required information for their audits.



We modified TOTUS to make a low resolution rendering of each order at the time that we generate the original order.  TOTUS then automatically checks to see if that customer is configured to receive files.  If so, we send the file directly to the client’s integrated designation.  This insures that there is a smaller version of that file stored in an accessible place by the client.  What that file looks like is dependent on the customer and the integration that is in place.  For example, they may only need a black and white rendering.

When the file is sent, a notification message is sent to notify the recipient that the archived file is now available for retrieval.  This message will contain a direct link to the archived rendering to be downloaded as well as the document, user, and contact data associated with the document.  An integration is required for acceptance of the message and storage of the rendering and details as needed.  The end result is that they have an organized way to retrieve the data and renderings for any auditing needs.



The marketing department now has access to all of the files needed for an audit and can retrieve all of the necessary files and data required for the audit at will.  This process allows the most flexibility for all use cases of auditing the orders.


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