Building a World-Class Data Analysis Function for Internal Audit
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1 Building a World-Class Data Analysis Function for Internal Audit Michael Kano, ACDA March 19, 2015
2 Agenda Why focus on DA? Characteristics of success Audit leadership support DA ownership and accountability Current data environment Role of the DA manager Evaluating DA implementation Copyright 2015 Sunera LLC. 2
3 Why focus on DA? Impossible to avoid Efficiency Scope Effectiveness Competitive edge Copyright 2015 Sunera LLC. 3
4 Characteristics of Success Leadership support Designated owner Strategic and tactical integration Unfettered access to data Appropriate software Measured/measurable outcomes Investment approach Copyright 2015 Sunera LLC. 4
5 The Challenges Lack of accountability for DA Vague objectives Internal/external resistance Complex data environment and culture Reliance on unreliable applications Funding Copyright 2015 Sunera LLC. 5
6 Copyright 2015 Sunera LLC. 6 Audit Leadership Support
7 Support Actions Embed right to access all data in audit charter Audit Committee recognizes role of DA CAE establishes DA objectives in performance measures Integration of DA processes into audit operations manual Budget/planning line item Copyright 2015 Sunera LLC. 7
8 Universal Data Access The Internal Audit team is authorized by the Audit Committee to: Have unrestricted access to all premises, corporate records, information and personnel; Require any officer of the company to supply such information and explanations as may be needed; Copyright 2015 Sunera LLC. 8
9 Importance of Data Access Foundation for success and growth Supports Independence Confidence in data Expansion of scope Increased productivity Greater timeliness Copyright 2015 Sunera LLC. 9
10 DA Performance Measures Audit management Audit teams Individual auditors 15% of performance bonus based on feedback from DA manager Documented expectations, standards, & timelines for DA manager Copyright 2015 Sunera LLC. 10
11 IA Operations Manual Explicit and unambiguous DA-specific steps and processes Step 1: "Where can we use DA in this audit?" Involvement of DA manager in all audit meetings where DA is being leveraged Work papers include DA plan, progress reports, and results Copyright 2015 Sunera LLC. 11
12 Budget Basic software and support Software add-ons Training Dedicated server(s) Security Physical: Dedicated server location Logical: Encryption/obfuscation Copyright 2015 Sunera LLC. 12
13 Copyright 2015 Sunera LLC. 13 DA Ownership and Accountability
14 Ownership Formal DA leadership position Reports to CAE 100% dedicated to DA Permanent part of audit leadership meetings Budget for DA development Copyright 2015 Sunera LLC. 14
15 Accountability Regular progress report on DA integration Scorecard for contributions to audits Contribution to IA operations manual Formal feedback from audit leaders, management and business Technical development of IA staff Copyright 2015 Sunera LLC. 15
16 The Current Data Environment Copyright 2015 Sunera LLC. 16
17 Complexity Diversity of applications Transactions Ticketing Project management System of record Vast number of platforms Mergers and acquisitions Overlaps and gaps Massive data volumes Copyright 2015 Sunera LLC. 17
18 Opacity Lack of comprehensive/centralized oversight Inconsistent documentation standards Strong security requirements Lack of portals for data access Copyright 2015 Sunera LLC. 18
19 Technology Culture Defensive Unfamiliar with role of IA No budget for IA support Copyright 2015 Sunera LLC. 19
20 The Role of the Data Analysis Manager Copyright 2015 Sunera LLC. 20
21 Characteristics of the DA Manager Advanced DA skills 4-5 years of successful application in audits Strategic leadership profile Able to articulate benefits and identify opportunities Passion for DA Copyright 2015 Sunera LLC. 21
22 The First 3 Months Familiarize IA leadership with DA benefits Educate IA staff in DA capabilities Identify quick-win opportunities for DA in audits Document key data sources Develop DA integration with operations Copyright 2015 Sunera LLC. 22
23 DA Manager Create and maintain relationships with data owners Create data access procedures Create and maintain documentation Ensure technical skill development Initiate alliances with other DA teams Understand significance of data to the organization Serve as the department s data steward Copyright 2015 Sunera LLC. 23
24 Copyright 2015 Sunera LLC. 24 Evaluating DA Implementation
25 Quantitative Indicators Number of controls tested Number of candidates identified for CA/CM Recovered costs Uncollected revenues Present value of efficiencies Productivity Software Documentation Mature DA Copyright 2015 Sunera LLC. 25
26 Qualitative Indicators Greater independence Shorter audit cycles Enhanced controls Improved department image Increased value to organization Copyright 2015 Sunera LLC. 26
27 Copyright 2015 Sunera LLC. 27 DA Software
28 Specialized Data Analysis Software Review 100 percent of transactions Read-only No limit on file size Integrate data from different applications & systems Audit-specific functionality Ability to automate frequent testing of high-risk areas Maintain comprehensive logs of all activities performed Copyright 2015 Sunera LLC. 28
29 Use of Spreadsheets Limited data integrity protection Limited capacity VBA for programming Potential for error Audits of 54 spreadsheets found that 91% had errors* 30-90% of spreadsheets suffer from at least one major error* * The Use of Spreadsheets: Considerations for Section 404 of the Sarbanes-Oxley Act, PwC, July 2004 Copyright 2015 Sunera LLC. 29
30 Documentation Copyright 2015 Sunera LLC. 30
31 What To Include Audit workpapers Corporate data matrix Technical documentation User documentation Data source guide Copyright 2015 Sunera LLC. 31
32 Audit Workpapers Control being tested Description of analytical logic Results of analytical tests Copy of script Copyright 2015 Sunera LLC. 32
33 Corporate Data Matrix Basic information by BU and process Working document basis for data source documents Good document for new hires to learn data geography Copyright 2015 Sunera LLC. 33
34 Corporate Data Matrix Example Business Area Accounts Payable Org 1 Org 2 Org 3 System Name Oracle Financials Teradata SAP Resource(s) Diana Delphi Vishal Gupta Hans Datameister Database OrcFin1 TD_A100 SAP_AP_057 Data Dictionary None None Access Method ODBC Arbutus Teradata SQL Assistant Key Tables Notes AP_AE_Lines_All AP_AE_Headers_All Headers contain dates, lines do not. dim_payables dim_vendors Use SQL Joins with filters; extract to.txt for ACL import. Direct Link ACL BSEG, BKPF, LFA1 Column titles are truncated when exported from ACL; use alternate names. 34 Copyright 2015 Sunera LLC.
35 DA Application Documentation User documentation User guide Sample projects/data Best practices guide Technical documentation Specifications Requirements Copyright 2015 Sunera LLC. 35
36 Data Source Guide Expands on basic information in matrix Step-by-step data access guide Key table layouts Create in Word with change date embedded Save as PDF for library Copyright 2015 Sunera LLC. 36
37 Data Source Guide: Key Information System name Organization Key databases Data content Owner Server Network access Information resources Training User guide Data dictionary Key tables Table access methods Copyright 2015 Sunera LLC. 37
38 Copyright 2015 Sunera LLC. 38 Mature DA
39 What to look for Automatic consideration of DA in audit planning Continuous Auditing/Monitoring implementation Regular feedback Recognition of DA contributions Copyright 2015 Sunera LLC. 39
40 Contact Information For additional information on Sunera s services, visit our website at or contact: Michael Kano Senior Manager, Data Analytics (408) mkano@sunera.com Copyright 2015 Sunera LLC. 40
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