How to customise binder type record rules / recommendations

CONTENTS

 
This article assists admin users use the Admin Centre within Active Workpapers.


Admin users can fully customise the back end of the Active Platform to suit the style and requirements of the firm.


Within workpaper binders, there is the ability to have binder record types recommended or “auto inserted” when a preparer initially creates the binder. This increases/enforces consistency across the firm. 


Accessing the binder settings admin centre


Navigate to the active platform home page.



Click on your name icon and press Admin Centre.


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Click on Binder Settings under the workpapers banner. You will be taken to another webpage.


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Click on Binder Type Records.


The Active Platform ships with a standard set of Binder type records as below.


Select the binder type you wish to customise recommended records for.



Disabling existing binder type record rules

The pre-shipped binder type records can be disabled by clicking on the Ignore Inherited Record Templates checkbox.



Adding new binder type record rules / recommendations

Click on + Add Record Template.


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A record can be attached as a recommendation to either:

  • a specific account, such as Plant & Equipment using the account type or
  • a section, such as general or tax using the section code



Account Type Example – where account type is selected


Choose the account type you wish to add a binder record template recommendation to. For this example, Plant & Equipment will be used.


Click Next Step.



Select the workpaper you wish to add as a recommendation against a Plant & Equipment account type. Click Next Step.


Hint: If you want to add your own firm workpaper as a recommendation in a binder, you must first have added this workpaper within the Admin Centre. See article How to add a firm workpaper record template for guidance on how to do this.


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Select the Level from the options below:

  • Optional – is a workpaper that may or may not be used as support for a balance at the firm level
  • Recommended – is a workpaper that is desired to be used as support for a balance at the firm level
  • Mandatory – is a workpaper that must be used as support for a balance at the firm level. Any mandatory workpapers that are not accepted and used will be flagged as such in the Review Centre.


Add a Default title to call the workpaper and write notes as required.


Click Next Step.


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Select the entity type you wish this record to be recommended for. For example, if creating a Provision for Tax record type recommendation, select only tax paying entities in this section (such as companies, superfunds and individuals). Leave blank if the workpaper applies to all entities.


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Filters


Balance Presence Filter: Allows rules to be set as to when the record should be recommended and allows the workpaper to be inserted when there is a balance in any column or only the primary column (current year). For Plant & Equipment, it is assumed that a workpaper would be added to the account if there is a balance in either current or prior year as a manager may wish to inspect why assets no longer exist this year.

Balance Sign Filter: Add a balance sign filter if you only wish to recommend the workpaper where there is either a positive or negative balance. If not, leave as Any.

Lower/Upper Threshold: Put dollar value thresholds where you only wish to recommend the workpaper where the account balance is above or below a certain amount. If not, leave blank.



Date Filters: 
Change the date filter where you only want the workpaper to be recommended for a specific time period. For example, for COVID related workpapers, these may only be recommended for binder period dates between 01/07/2019-30/06/2022.


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Account Filters: 
In this example, account filters would not need to be applied as the Fixed Asset Depreciation workpaper will be recommended for all accounts that have the Plant & Equipment account type. 


Click Save and Close.



The Fixed assets depreciation workpaper will now be recommended as an optional workpaper in any binder against any account that has the Plant & Equipment account type, as shown below.



Account Type Example – where account type is not selected

A recommendation can also be made without selecting a specific account type. For example, for Entertainment Expense, it would be easier to only filter for specific account terminology rather than account type.


Leave the account type selector defaulted as Attach to any account type. Click Next Step.



Search for the workpaper you wish to recommend against an entertainment GL account. Click Next Step.



Select the Level from the options below:

  • Optional – is a workpaper that may or may not be used as support for a balance at the firm level
  • Recommended – is a workpaper that is desired to be used as support for a balance at the firm level
  • Mandatory – is a workpaper that must be used as support for a balance at the firm level. Any mandatory workpapers that are not accepted and used will be flagged as such in the Review Centre.


Add a Default title to call the workpaper and write notes as required.


Click Next Step.



Select the entity type you wish this record to be recommended for. Entertainment can apply to all entities so leave defaulted as Available to all entity types.


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Filters


Balance Presence Filter: Allows rules to be set as to when the record should be recommended and allows the workpaper to be inserted when there is a balance in any column or only the primary column (current year). For Entertainment, it is assumed that a workpaper would be added to the account if there is a balance the current year only as the prior year entertainment listing is no longer relevant.

Balance Sign Filter: Add a balance sign filter if you only wish to recommend the workpaper where there is either a positive or negative balance. If not, leave as Any.

Lower/Upper Threshold: Put dollar value thresholds where you only wish to recommend the workpaper where the account balance is above or below a certain amount. If not, leave blank.



Date Filters: 
Change the date filter where you only want the workpaper to be recommended for a specific time period. Entertainment rules apply to all financial years, so this would be left as Always.



Account Filters: 
Can allow a search by account name, number or account type. In this example, account filters would be used to find any account that has a Phrase such as “Entertain”. The system will search the trial balance for any account with that includes this phrase, which can be any part of a word. Click match type, Account Name.


Match conditions: 


Classification - Allows a match for an account classification, such as assets or expenses. 

Find - Is where you type the phrase, such as Entertain, for the system to find the account to recommend the entertainment workpaper against. 

Case Sensitive – The find condition can be made case sensitive by clicking the Case Sensitive box. Leave unticked for a more accurate match.

Search Mode - relates to where in the account name should the system search for your phrase. Anywhere will tell the system to find the phrase anywhere in the account name, whereas Begins With will only recommend the workpaper against an account that begins with the phrase “Entertain”.


Click Save and Close.


The entertainment workpaper will now be recommended as an optional workpaper in any binder that includes an Entertainment GL account, as shown below.



Section Code Example


A recommendation can also be made in non-account specific scenarios. For example, the workpapers have General and Tax sections above the accounts section. Workpapers can be recommended to users to populate into these sections.


After clicking + Add New Record, populate the section code field with the section code you require, using the master list located in the article Binder Type Section Master List


Click Next Step.



Search and find the workpaper you wish to recommend in the General section for auto insertion.


Click Next Step.



Select the Level from the options below:

  • Optional – is a workpaper that may or may not be used as support for a balance at the firm level.
  • Recommended – is a workpaper that is desired to be used as support for a balance at the firm level.
  • Mandatory – is a workpaper that must be used as support for a balance at the firm level. Any mandatory workpapers that are not accepted and used will be flagged as such in the Review Centre.


Add a Default title to call the workpaper and write notes as required.


Click Next Step.



Entity Types:
Select the entity type you wish this record to be recommended for.

Balance Presence: Leave blank as there are no balances in non-account sections.

Date Filters: Change the date filter where you only want the workpaper to be recommended for a specific time period. For example, for COVID related workpapers, these may only be recommended for binder period dates between 01/07/2019-30/06/2022.

Account Filters: Leave blank as there are no accounts in non-account sections.



Click Save and Close. 


The Accounts & Tax Checklist workpaper will now be recommended as a workpaper in any binder that includes a General section, as shown below.



Next article: Coming soon 

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