Leveraging Audit Management Software - IGNET

Leveraging Audit Management Software - IGNET

Leveraging Audit Management Software (TeamMate Suite) Billy Benge TIGTA Office of Audit Leveraging Audit Management Software

Presenters Agencies Billy Benge U.S. Treasury Inspector General for Tax Admin. Tammi Vanlandingham Veterans Affairs OIG Elizabeth Goebels National Science Foundation OIG Margaret Wasco U.S. Postal Service OIG Janel Ellison Department of Energy OIG Leveraging Audit Management

Software Presenters Topics

Billy Benge Keys to Leveraging, MIS Reporting, Assessing Risk Tammi Vanlandingham MIS Reporting Elizabeth Goebels New SAR custom features Margaret Wasco

MIS Dashboards and Large MIS Janel Ellison Integration Risk Assessment methodologies Leveraging Audit Management Software Presenters Topics

Billy Benge Keys to Leveraging, MIS Reporting, Assessing Risk

Tammi Vanlandingham MIS Reporting Elizabeth Goebels New SAR custom features Margaret Wasco MIS Dashboards and Large MIS Janel Ellison Integration

Risk Assessment methodologies Leveraging Audit Management Software Please Note The Federal Government does not endorse this or any other commercial software product or technology. The views, perspectives and practices presented are

those of the presenter and do not necessarily reflect the views of the entity they represent. Leveraging Audit Management Software Newton Gravity The Moon, the Stars

Naming the familiar Leveraging Audit Management Software Newton Gravity The Moon, the Stars Naming the familiar

Leveraging Audit Management Software Why leverage ? There is no question that good innovation is very much alive in the U.S., but there are serious questions regarding how it is being applied... The consumer-driven model is creating an environment of junk technology. Tim O'Reilly

(Interview: Dan Rather Reports) Leveraging Audit Management Software Why leverage ? 1. Consumer business model has taken over IT... (Apps for things I never knew I needed and still not sure I need them...) 2. Plug and play is a marketing tag line. Must leverage any system for the

benefits. This is critical for an Audit Mgt. System 3. Audit Management Technology maturity Leveraging Audit Management Software Leveraging Audit Management Software Suite Utilization Government 2010/2011

Leveraging Audit Management Software Suite Utilization Government 2012 Leveraging Audit Management Software Suite Utilization Government 2013

Leveraging Audit Management Software Software Technology Maturity Phase shifts in evolution 1. In 2006 Full Suite introducedtrue AMS 2. Some clients replaced or augmented MIS 3. In 2009 new architecturetrue

Enterprise 4. Business Intelligence Tools Vertical and Horizontal Intersection (perception) 1. TeamRisk COSO risk-based auditing

Client and web-based user interface Audit Entity Universe Risk and Controls cross-references 2. TeamSchedule project planning resource cost tracking 3. TeamCentral Workflow/Management Information System Milestones Tracking 360 Custom MIS Reporting Knowledge Base consolidated repository 4. TEC Time / Expense Capture detailed tracking

vertical alignment w/ auditing business processes 5. TeamAdmin Suite administration Policies and controls centralized workflow oversight

Audit Libraries, Templates, Terminology and Categories User account maintenance over access, etc 6. TeamStores Key Knowledge Base component Suite repository for components and controls Exception and audit execution component repository 7. TeamMate EWP project management Reliable and well organized cross-referencing / hyperlink features Remote / Offline Replication engine

Audit trail of supervisory review Audit Plan components structure Objectives and Steps, Results and Summaries data Input Exception (i.e. finding) input and repository integration Milestone integration tracking Risks and Controls integrated input Leveraging Audit Management Software The Art and Science of Leveraging AMS / MIS

Not only a sciencenot only an art They exist simultaneously and cooperatively (example) New way of thinking, not just new thoughts The process of dismantling old processes and paradigms Agency culture is a fundamental consideration Positioning support roles Audit services and/or IT services Integration lies between customization and process re-engineering aligning with an optimum path of progression

Leveraging Audit Management Software The Art and Science of Leveraging AMS / MIS

Not only a sciencenot only an art They exist simultaneously and cooperatively (example) New way of thinking, not just new thoughts The process of dismantling old processes and paradigms Agency culture is a fundamental consideration Positioning support roles Audit services and/or IT services

Integration lies between customization and process re-engineering aligning with an optimum path of progression Leveraging Audit Management Software The Art and Science of Leveraging AMS / MIS

Not only a sciencenot only an art They exist simultaneously and cooperatively (example) New way of thinking, not just new thoughts

The process of dismantling old processes and paradigms Agency culture is a fundamental consideration Positioning support roles Audit services and/or IT services Integration lies between customization and process re-engineering aligning with an optimum path of progression Leveraging Audit Management Software The Art and Science of Leveraging AMS / MIS

aligning with an optimum path of progression Leveraging Audit Management Software The Art and Science of Leveraging AMS / MIS Slow and steady continuum of progression or do you take a Quantum Leap ?

Leveraging Audit Management Software The Art and Science of Leveraging AMS / MIS Slow and steady continuum of progression and when do you take a Quantum Leap ? Leveraging Audit Management

Software Time Energy Momentum Leveraging Audit Management Software

Time Energy Momentum Federal TeamMate Community User Group 02/07/2020

Author: Benge, Billy S. Leveraging Audit Management Software Federal TeamMate Community 1. 84 agencies / 9,024 users (auditors, inspectors some investigators) 2. Largest user group. 3. Meet annually, but regularly share best practices, solutions and many innovations...

4. Custom work for government sector 5. Suite is headed toward a government-specific software version ( we have examples of that to share ) 6. Federal group has become a culture that co-exists with the unique cultures of each agency 7. TeamMate Positions Leveraging Audit Management Software

Agency Snapshots 1. Treasury Inspector General for Tax Administration 2. Veterans Affairs OIG 3. National Science Foundation OIG 4. United States Postal Service OIG 5. Department of Labor OIG Leveraging Audit Management Software

TIGTA Snapshot 1. 2. 3. 4. 5. 6. 7. 8.

9. EWP since 1998 (14 years) 500 users in 98, currently 300 Suite expansion in 2006 TEC, Schedule, Central (6 years) Replaced former Management Information System in 2006 Data Validation SQL Triggers, Procedures, email Notifications Expanded MIS Reporting in 2006 Central Web Expanded Custom MIS Reporting in 2007/2008 Bus. Intel / SSRS

Currently expanding into TeamRisk Currently repositioning to expand Custom MIS Reporting (Bus. Intel) Leveraging Audit Management Software TIGTA Snapshot 1. 2. 3.

4. 5. 6. 7. 8. 9. EWP since 1998 (14 years) 500 users in 98, currently 300

Suite expansion in 2006 TEC, Schedule, Central (6 years) Replaced former Management Information System in 2006 Data Validation SQL Triggers, Procedures, email Notifications Expanded MIS Reporting in 2006 Central Web Expanded Custom MIS Reporting in 2007/2008 Bus. Intel / SSRS Currently expanding into TeamRisk Currently repositioning to expand Custom MIS Reporting (Bus. Intel) Leveraging Audit Management

Software TIGTA Snapshot: Suite Leverage / Resource Emphasis MIS Reporting 10% MIS Reporting 44%

TeamRisk 5% TeamSchedule 10% TeamCentral 5% EWP Only 60% TEC TEC 10% 10%

EWP Only 26% TIGTA Snapshot: MIS Suite-Wide Custom Reporting Integrating Government Sector Business Processes and Methodologies TIGTA Snapshot: MIS Suite-Wide Custom

Reporting Integrating Government Sector Business Processes and Methodologies TIGTA Snapshot: MIS Suite-Wide Custom Reporting Integrating Government Sector Business Processes and Methodologies

TIGTA Snapshot: MIS Suite-Wide Custom Reporting Integrating Government Sector Business Processes and Methodologies TIGTA Snapshot: MIS Suite-Wide Custom Reporting Leveraging Audit Management

Software Questions 01 February 2012 Author: Billy S. Benge 37

Leveraging Audit Management Software VA Custom Reporting 01 February 2012 Author: Billy S. Benge

38 Leveraging Audit Management Software Leveraging Audit Management Software

Leveraging Audit Management Software Leveraging Audit Management Software Leveraging Audit Management Software

Leveraging Audit Management Software Leveraging Audit Management Software Leveraging Audit Management Software

Leveraging Audit Management Software Questions 01 February 2012 Author: Billy S. Benge

47 Leveraging Audit Management Software National Science Foundation SAR Project 01 February 2012

Author: Billy S. Benge 48 Background TeamMate has the capability for tracking findings and recommendations for audit resolution but did not align well with the IG Act or OMB Circular A-50

requirements. Each OIG has its own system for semiannual reporting. In 2011, TeamMate Federal Users Group approached Wolters Kluwer requesting Semiannual Reporting capability in TeamMate. Using TeamCentral for SAR Reporting Workgroup of approximately 13 OIGs developed

requirements for semiannual report tables. Tables are based on requirements in the IG Act and OMB Circular A-50. Semiannual reporting available in TeamMate Release 10.3- set for first quarter of 2013. Wolters Kluwer is willing to customize semiannual report tables. Available Semiannual Report Tables

Questioned Costs Funds Put to Better Use Issued Reports for the Period

Prior Reports with No Management Decision EWP Recommendation Attributes Reports in TeamCentral Reports Issued with Questioned Costs Issued Reports with Recommendations

for Better Use of Funds List of Reports Issued During the Period Prior Reports without Management Decision Implementing SAR Tables in TeamCentral

Upgrade to 10.3. Follow TeamMate instructions. Run dual SAR tracking systems. Leveraging Audit Management Software Questions

01 February 2012 Author: Billy S. Benge 59 Leveraging Audit Management Software

USPS MIS 01 February 2012 Author: Billy S. Benge 60 TeamCentral Dashboards

Information is available for all projects The TeamCentral Dashboard is user-customizable so that you can manage what is important to your agency. TeamCentral Dashboard Example TeamMate EWP Dashboards Presented upon launching the application Provide a wealth of information including:

Milestones status Completion progress Assignment status TeamMate EWP Milestone Dashboard TeamMate EWP Work Status Dashboard TeamMate EWP Assignment Dashboard

Leveraging Audit Management Software Questions 01 February 2012 Author: Billy S. Benge

68 Leveraging Audit Management Software Risk Assessments with TeamRisk TIGTA

01 February 2012 Author: Billy S. Benge 69 Leveraging Audit Management Software

To remain relevant in 2012, internal auditors need to move beyond a static, cyclical audit approach and adopt a continuous, comprehensive approach to audit and risk assessment one that optimizes the use of technology. PricewaterhouseCoopers Internal Audit 2012 September 2007 01 February 2012

Author: Billy S. Benge 70 Leveraging Audit Management Software TeamRisk history 1. First focus group / demo in 2002 (San Francisco)

2. Demos at annual User Forums 3. 2002-2009 very few clients interested (1 Federal agency, DOL) (during this period, product evolved w/o marketing) 4. 2009 66% of clients at NYC/Northeast user group using tool 5. DOL, DLA, DOE, TIGTA 01 February 2012

Author: Billy S. Benge 71 Leveraging Audit Management Software TIGTA: Custom TeamRisk Methodology

01 February 2012 Author: Billy S. Benge 72 Leveraging Audit Management Software TIGTA: Custom TeamRisk Methodology

01 February 2012 Author: Billy S. Benge 73 Leveraging Audit Management Software

Risk Assessments with TeamRisk Dept. Of Energy OIG 01 February 2012 Author: Billy S. Benge 74

Leveraging Technology for Risk Based Audit Plans Department of Energy Rich History Manhattan Projects Atomic Bomb (Atomic Energy Commission in 1946) Energy Crisis (Department of Energy in 1977) Diverse Mission

to ensure Americas security and prosperity by addressing its energy, environmental, and nuclear challenges through transformative science and technology solutions Transform our Energy Systems Promote Science and Engineering Enterprise

Secure Our Nation Management and Operational Excellence Workforce >15,000 Federal Employees >90,000 Contractor employees I. Define the Audit Universe o DOE Structure

Located in 28 states Three Under Secretaries (Energy, Nuclear Security, and Science) Advanced Research Projects Agency Energy Energy Information Administration Loans Program Office 4 Power Marketing Administrations (Bonneville, Southeastern, Southwestern, Western) 13 Staff and Support Offices

22 Operations and Site Offices 24 Research Laboratories and Facilities 17 National Laboratories o OIG Organization 3 Divisional Directors (Central, Eastern, Western) 8 Assistant Directors (Central 2, Eastern 3, Western 3) 21 Audit Groups at 13 sites

I. Define the Audit Universe DOE Structure (Less than 40 Entities to Assess Risk) Located in 28 states Three Under Secretaries (Energy, Nuclear Security, and Science) Advanced Research Projects Agency Energy Energy Information Administration Loans Program Office 4 Power Marketing Administrations (Bonneville,

Southeastern, Southwestern, Western) 13 Staff and Support Offices 22 Operations and Site Offices 24 Research Laboratories and Facilities 17 National Laboratories IG Organization was used last year. Over 500 Entities to Assess Risk Overlaps

Gaps II. Define Agency 0bjectives, and Identify Risk and Controls 1. STRATEGIC 2. OPERATIONS 3. REPORTING 4. COMPLIANCE

11 May 2011 Author: Billy S. Benge 79 of __ II. Define Agency 0bjectives, and Identify Risk and Controls

11 May 2011 Author: Billy S. Benge 80 of __ III. Risk Assessment and the Effectiveness of Controls Striving to refine and improve the risk assessment and planning process.

Last Decade III. Risk Assessment and the Effectiveness of Controls Last Year Using TeamRisk but not utilizing controls 11 May 2011 Author: Billy S. Benge

83 of __ III. Risk Assessment and the Effectiveness of Controls Current using controls 11 May 2011

Author: Billy S. Benge 84 of __ Leveraging Audit Management Software Questions

01 February 2012 Author: Billy S. Benge 85 Extending TeamMate Functionality: TeamMate Customization TeamMate offers customization services for

organizations unique needs Why customize? Application conforms to YOUR organizations needs Possibly avoid building or buying another application Case Study: USPS OIG TeamMate Customization USPS OIG entered into contract with TeamMate to allow TeamMate to exchange data with USPS

OIGs Existing Internally-Developed Audit Management Information System Extends the functionality of both applications Provides opportunities to simplify data input for USPS OIG Office of Audit staff Ensures greater data consistency and reliability for USPS OIG management reports Case Study: USPS OIG TeamMate

Customization USPS OIG KCE Audit Projects Module TeamMate 10.2.1

USPS OIG Audit MIS USPS OIG TeamMate Customization USPS OIG TeamMate Customization

Leveraging Audit Management Software Questions 01 February 2012 Author: Billy S. Benge

94 Leveraging Audit Management Software NewReinventing MIS Reporting Framework our Reporting

Requirements 01 February 2012 Author: Billy S. Benge 95

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