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EUROSAI vom 18 - 20. September 2012
Olivier Battaglia, dipl. Wirtschaftsinformatiker, CISA, CIA, CGAP
Purchase, implementation and operation
of the audit management system (AMS)
for managing and evaluating the audits
finding the right tool
my existing toolset
functions vs. processes
my requirements tool features
Aims
11/09/2012 Introduction i-world 2
finding the right tool
Process
Tools:
• Word
• Excel
• Auditmex
• Milestones
• Teammate
• Kendox
• …
risk analysis Planning Implementation
administration
functional coverage
11/09/2012 introduction i-world 3
Functions vs. Processes
topics / business processes
risk analysis Planning
Functions
• Text editing
• Calculation
• Document management
• Reporting
• Statistics
• Workflow
• Change detection
• Quality control
• User profiles
11/09/2012 introduction i-world 4
Process
Implementation
my requirements
Requirements for a process: – No process adjustments because of the introduction of a
new tool
– Free to design new processes
– Freedom to be able to change process
Requirements of process terminology (Wording): – Application uses our language
– Application supports multiple languages
11/09/2012 5 introduction i-world
process design
multilingual terminology
Features of i-world
As with the process and wording, i-world is also flexibile and dynamic as a whole:
– Data model extended indefinitely
– User Profiles processes adaptable
– User Interface and processing logic adapted functionally
– dynamic Analysis and reporting functions (ad hoc) and Quick
Links (Menu)
– Availability
– Integrated, methodical versioning
11/09/2012 8 introduction i-world
User profiles / access rights
The user profiles can be optimally adapted to the process.
A user can be activated from the user profiles, select for him and then work with the defined rights.
Menus: defined process-oriented or thematic Addition / change (legitimate) users Start of functions, ad hoc reports and pre-defined reports (Quick Links)
Export und Online-Reporting
ISO-Certified: i-world
based on the MDX-Method 2
Certified by The Swiss Association for Quality and Management Systems (SQS)
Certification for:
- ISO 9001:2000
- ISO 90003
- ISO 15498-2:2001 (Records Management)
- BS 7799-2:2002
- Federal Law on Data Protection
- Ordinance on the Federal Law on Data Protection
- Federal Law on Copyright
Validated: September, 2010
Registration No. 30232
Benefit of the certification:
– Reliability (reliability)
– Authenticity (authenticity)
– Integrity (integrity)
– Comprehensibility and usability (usability)
11/09/2012 11 introduction i-world
Change tracking
It goes without saying that all
creates, updates, deletes,
moves, archives etc are
protocoled.
Who changes what, when, with
which role and for what reason ?
i-world Technologie
Network devices
Web-Server (MS IIS) SQL-Server
ODBC/JDBC Server Windows Security
(LDAP, Smartcard, etc.)
Internet
Intranet
Extranet
Web-Browsers: MS IE,
Firefox, Opera, Safari,
Mozilla, etc.
Mobile Devices
(incl. PDA) Web- / Windows-
Applications
Integration in Homepage
(of Internet or Intranet)
Office Integration
(DOC, XLS, CSV,
TXT, HTML, VCF,
VCS, ICal, …)
Index Server
(Search in documents)
Report Generation
(e.g. MS Office
Docs)
on client or server
Send E-Mail Notifications
(manual, automated or
out-of-a-process)
Via HTTP,
WAP
Authentification with
plugin Auth4Win
Replication feature
for MS XLS as
enhancement with
plugin Gateway
Plugin Report
Access (read/write)
to 3rd party data
sources with plugin
i-bridge
Client-Client-Dialog (CCD) for data exchange to
3rd party applications across the networks.
Data Interface
(Bidirectional;
e.g. for ERP,
BI-Tools, etc.)
ODBC / OLE-DB
Plugin i-bridge
aims of the
i-world Auditmanager
remove media breaks
automate Integrity
transparent informationmodel
Function
Process
11/09/2012 14 introduction i-world
i-world Auditmanger
Auditingprocess
Risk analysis Planning Fieldwork
Administration
Follow-Up
11/09/2012 15 introduction i-world
Risk analysis
11/09/2012 i-world Auditmanager 16
Planning
11/09/2012 i-world Auditmanager 17
Field work
11.09.2012 i-world Auditmanager 18
Follow up
11.09.2012 i-world Auditmanager 19
Administration
Implementing i-world
Implementing i-world Auditmanager
Kick-off Workshops Pilot-Application Go Live Integration
project documentation / schooling
11/09/2012 i-world Auditmanager 21
Workshops
Decision Membership in the Auditworld Association / Software licensing
Installation Installation of the i-world Auditmanager Environment
1. Workshop Introduction Auditmanager: System overview (which elements and options are available), Adapting the Terminology.
Data migration You decide which Data you want to migrate : SConsult offers special conditions to migrate data, reports and catalogs starting after the first workshop.
2. Workshop Defining the detailed concept, Definition of the processes (Workflow), Authorisations, Quality assurance
3. Workshop Assessment of the functional implementation of Workshop 2 (Confidence Test)
4. Workshop preparation of the Pilot: - defining the user interfaces (Corporate Identity, Menu structures, special data functions, ..) - defining the reports (Reporting)
Pilot test Current (if already completed) audits are entered into the system and as form of a "live test". The users and managers can thus gain some experience in a step to recognize the potential for improvements and develop the basis for user training. On another focus of the pilot test is designed differently.
5. Workshop Consolidation of findings during the pilot test and planning of the deployment
11/09/2012 i-world Auditmanager 22
Pilot
11.09.2012 i-world Auditmanager 23
Integration Examples
Authentication (Single Sign-On):
• Active Directory (Swisscom, Finanzkontrolle Kanton ZH)
Authentication, Authorisation, User Management:
• GINA (Finanzkontrolle Kanton GE)
Interfaces:
• Finance systems, eg. SAP, Honoris
• Administrative systems, eg. IBM-Host-basierend
• Technical Systems, eg. CISCO
Office-Reporting:
• Word
• Excel
11/09/2012 i-world Auditmanager 24
Scalability
960 Benutzer:
– Swisscom (Schweiz AG)
– Wachstum ca. 50 Benutzer / Monat
– Hoher Grad an Prozess- und Systemanpassungen (umfangreiche Service-Struktur)
– 1 i-world Instanz (= 1 DB + 1 Web), 15 GB SQL
– 450% interne Stellen auf 7 Personen
– 50% Stelle bei SConsult AG
95 Benutzer:
– Eidgenössische Finanzkontrolle
– Eingeführte Prozesse mit wenigen Adaptionen
– 1 i-world Instanz (= 1 DB + 1 Web), 4 GB SQL
– 10% interne Stelle
11/09/2012 i-world Auditmanager 25
Résumé
To achieve an integer environment you need the neccesary
technical infrastructure.
i-world is the only certified tool which offers such an
infrastructure.
Your benefit is based on the know how of many auditors and
the possibilities offered by the i-world auditmanager
11/09/2012 i-world Auditmanager 26
Thank you for your attention
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