Automating the Audit Process
Our Vision <ul><li>Create a Fully Integrated Process </li></ul><ul><li>Be Multi-Dimensional </li></ul><ul><ul><li>Whatever...
Automated Audit System <ul><li>Windows-based tool: </li></ul><ul><li>Scaleable from Win95 to Win 2008 Server </li></ul><ul...
Automated Audit System Components Audit Tracking Comment Tracking Regulatory Compliance Workpapers Time Keeping Audit Plan...
Application Integration <ul><li>Lotus Notes </li></ul><ul><ul><li>Microsoft XP  </li></ul></ul><ul><ul><li>Microsoft Excel...
Connectivity Mainframe / Host Lotus Notes  Database Server Auditor  Workstations Shared Resources <ul><ul><ul><li>WIDE  AR...
Reference <ul><ul><li>Audit Services Operations Manual </li></ul></ul><ul><ul><li>Audit Universe </li></ul></ul><ul><ul><l...
Additional Audit Databases <ul><li>Flowcharting </li></ul><ul><li>Org Chart </li></ul><ul><li>Audit Status Report </li></u...
Achieved Outcomes <ul><li>Streamlined the audit process. </li></ul><ul><li>Used a risk-based approach on all audits. </li>...
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Automating The Audit Function Presentation

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Automating the Internal Audit Function

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Automating The Audit Function Presentation

  1. 1. Automating the Audit Process
  2. 2. Our Vision <ul><li>Create a Fully Integrated Process </li></ul><ul><li>Be Multi-Dimensional </li></ul><ul><ul><li>Whatever you need </li></ul></ul><ul><ul><li>Wherever you are </li></ul></ul><ul><ul><li>Whenever you want </li></ul></ul><ul><li>Provide a Single Point of Entry </li></ul>
  3. 3. Automated Audit System <ul><li>Windows-based tool: </li></ul><ul><li>Scaleable from Win95 to Win 2008 Server </li></ul><ul><li>Supports mobile teams </li></ul><ul><li>Enables more effective team work </li></ul><ul><li>Enhances productivity </li></ul>
  4. 4. Automated Audit System Components Audit Tracking Comment Tracking Regulatory Compliance Workpapers Time Keeping Audit Planning Risk Assessment Reference
  5. 5. Application Integration <ul><li>Lotus Notes </li></ul><ul><ul><li>Microsoft XP </li></ul></ul><ul><ul><li>Microsoft Excel </li></ul></ul><ul><ul><li>Microsoft Word </li></ul></ul><ul><ul><li>allCLEAR Flowcharter </li></ul></ul>
  6. 6. Connectivity Mainframe / Host Lotus Notes Database Server Auditor Workstations Shared Resources <ul><ul><ul><li>WIDE AREA NETWORK </li></ul></ul></ul>Audit LAN Remote Connection VPN
  7. 7. Reference <ul><ul><li>Audit Services Operations Manual </li></ul></ul><ul><ul><li>Audit Universe </li></ul></ul><ul><ul><li>Audit Programs </li></ul></ul><ul><ul><li>Audit Reports </li></ul></ul><ul><ul><li>Audit Committee Reports </li></ul></ul><ul><ul><li>Audit Time/Expense Tracking </li></ul></ul><ul><ul><li>Prep File </li></ul></ul><ul><ul><li>Laws & Regulations </li></ul></ul>
  8. 8. Additional Audit Databases <ul><li>Flowcharting </li></ul><ul><li>Org Chart </li></ul><ul><li>Audit Status Report </li></ul><ul><li>Audit Protocols </li></ul><ul><li>Bulletin Board </li></ul><ul><li>Audit & Healthcare News </li></ul><ul><li>Meetings </li></ul><ul><li>Corporate Policies & Procedures </li></ul><ul><li>Personnel </li></ul><ul><li>Corporate Phonebook </li></ul><ul><li>Sign-In/Out </li></ul><ul><li>Best Practices </li></ul><ul><li>GAAP & GAAS Guidelines </li></ul><ul><li>Suggestions </li></ul>
  9. 9. Achieved Outcomes <ul><li>Streamlined the audit process. </li></ul><ul><li>Used a risk-based approach on all audits. </li></ul><ul><li>Provided centralized management of all audits. </li></ul><ul><li>Provided electronic mail integration and consolidated reporting. </li></ul><ul><li>Summarized and share audit information. </li></ul><ul><li>Allows document review, hand off and approval from any location. </li></ul><ul><li>Tracks issues from origination through follow-up. </li></ul>
  10. 10. Auditor Assistant on Lotus Notes

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