Dan Zitting, CPA.CITP, CGMA, CISA, GRCA
Chief Product Officer, ACL
From the 1980s and 1990s, large audit organizations moved away from hard copy audit documents and working papers because of the difficulties in sharing and working on physical documents. This is the first big technology transition for its audit profession in many decades.
On the other hand, the problem only marginally improved, with processes and technology solutions becoming focused on simply using digital documents. Data becomes trapped inside documents and spreadsheets, in which it effectively becomes “dark information”: impossible to search, mention, analyze, export, report online or access to mobile devices. All of these are vital demands of the large audit groups–and for information intelligence to encourage decision and insights making.
While the difficulties using document-based auditing center around dark information, other dangers also lurk. The crucial issues generated by the heritage of the document-based method of digital working papers and audit control include the follow 7 risks.
1. Information inside documents or spreadsheets is “dark.”
Data intelligence cannot be effectively accessed by reporting systems, information evaluation tools or cellular devices, seriously impairing the value of that information in providing key business insights.
2. Documents aren’t databases (thus do not protect data integrity).
Embedding audit process metadata (i.e., tick marks, inspection notes, auditor commentary and, especially, inter-document links and references) into record files creates substantial data integrity risk. Documents aren’t able to enforce referential integrity and other core systems structure principles that set data strength controls set up. Systems that rely on heavy record integration are so more likely to data loss when documents are corrupted, edited in conflict with disparate users, or moved between locations that break references and relationships. Additionally, this causes slow performance, as documents simply aren’t able to perform in the amount of both database-driven systems.
3. Information inside documents or spreadsheets cannot inherently keep its relationships to other information.
Again, because documents aren’t databases, there’s absolutely no mechanism to make and maintain a connection between information in various documents. Hyperlinking and other document-embedded features implemented by many audit technologies are thus inherently unreliable.
4. Moving forward audits is hard and extremely manual.
When principal audit documentation is captured in documents, it’s impossible (or very hazardous) to upgrade programmatically. Therefore, when rolling out an audit ahead, all information must be updated manually to prevent erratic behavior.
5. Exporting and archiving beyond the computer software is impossible.
Hyperlinking information inside and between documents–called “deep linking”– necessitates document-embedded metadata, with references saved in the software system. Considering that a link from inside one file to another is determined by this externally stored benchmark, it’s impossible to archive or export an audit project beyond the program without breaking these links.
6. Dependencies cause software version conflicts and hard upgrades.
As Microsoft Office or other file editing computer software applications are updated and document formats change, integration dependencies frequently break the support of this audit program. This leads to situations in which, as an example, a new Office version compels an update of the audit software or modifications the embedded metadata (again causing data integrity risks). Even in the very best case, upgrades need rigorous testing, that causes lengthy delays in update implementations.
7. Requirement for burdensome “thick client” technology.
Creating and handling document-embedded metadata requires that these heritage audit computer software methods include a locally installed software or complex web browser plugin. Because they are hosted individually on nearby machines, these applications create significant IT administrative burdens, such as high-maintenance installation rollouts and upgrades, and compatibility difficulties.
Have you encountered one of these risks on your working environment? Want to break with document-based auditing?
White paper: The 7 dangers of document-based auditing
This white paper additionally particulars the hazards of dark information and document-based auditing, the way to avoid dark information, coping with change direction and the advantages of changing, and includes a rapid symptoms. Discover from ACL’s Chief Product Officer, Dan Zitting, about:
- The benefits of non-document-based audit intelligence
- The way high-functioning audit groups are moving apart from inter-linked documents and spreadsheets to unlock the importance of audit info
- The best way to create main audit analysis and insight accessible for queries.
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Exchange 2013 Mailbox Auditing Part I
Since the release of MS Exchange Server 2013 I wanted to replicate the tests I described on the mailbox auditing in Exchange 2010 SP1 in my series of articles. Now I want to present you the new version of the Mailbox Auditing Component I composed for your Exchange Server 2013. We are going to walk through the very same steps as in the content on the Exchange Server 2010 SP1 and see if there’s no gap between the outcomes I have got in Exchange Server 2010 SP1 and Exchange Server 2013: the complete version of this Exchange 2010 Sp1 Mailbox Auditing Component I can find here: https://michaelfirsov.wordpress.com/2012/06/16/exchange-2010-mailbox-access-auditing-part-i/
1) In Exchange Management Console we provide User1 Total Access consent to User2’s mailbox:
- 2) …then turn on mailbox access audit for User2’s mailbox:
- Set-Mailbox -Identity User2 -AuditEnabled $authentic
- 3) …and assess whether mail entry auditing is switched on:
- Get-Mailbox User2 |FL *audit*
- 4) Pay close attention to what actions are audited by default since we’re likely to utilize the delegate access Update, SoftDelete, HardDelete, SendAs and Produce actions will likely be audited by default mailbox access is enabled for a specific mailbox. So to be able to audit the access to User2’s mailbox we must add FolderBind action to the record of already audited actions
- Set-Mailbox -Identity User2 -AuditDelegate Update,SoftDelete,HardDelete,SendAs,Produce,FolderBind -AuditEnabled $authentic
- and confirm they have been applied correctly:
- Get-Mailbox User2 |FL *audit*
- 5) Now let’s begin Outlook and log on to User1’s mailbox. Outlook will open the extra User2’s mailbox for User1 automatically:
- Attention! Since you can see this screen shot displays the Administrator’s profile together with the User1’s additional mailbox (wich in turn includes a Full Control permission on User2’s mailbox) I was not able to create a separate profile for your User1. You may read about it here: http://social.technet.microsoft.com/Forums/en-US/2ed31557-a2dc-413d-9e5a-f60c8ca435ae/cant-create-profile-in-outlook-2013
- For our test we could assume we’re employing a User1 profile since we’ll audit only User1 access into this User2’s mailbox.
- 5) Now let’s check if any log documents was generated when Outlook was launched:
- Search-MailboxAuditLog -Identity User2 -LogonTypes Delegate -StartDate 7/1/2013 -EndDate 7/6/2013 -ResultSize 2000
Yes here we could see a description of the fact that User2’s mailbox was accessed by somebody. As our goal is to get all availabale information about Delegate accessibility to User2’s mailbox we ought to add -ShowDetails into the previuos command:
6)Search-MailboxAuditLog -Identity User2 -LogonTypes Delegate -StartDate 7/1/2013 -EndDate 7/6/2013 -ResultSize 2000-ShowDetails
Let’s see how we could get this information in the ECP:
- Log into ECP under consideration that is a member of Exchange Organization Management category or Records Management category (for instance, Administrator accounts) and click on “Run a non-owner mailbox access report”
- Please also look closely at the amount of “Open folder” surgeries per single audit event: EACH mailbox folder was accessed through the logon into the mailbox. Furthermore, through the test I conducted Outlook many occasions but ther’s only 1 audit event: that is due to the consolidation of actions done by delegates as explained: http://technet.microsoft.com/en-us/library/ff459237.aspx
- “** Entries for folder rotational activities performed by delegates are consolidated. 1 log entry is generated for individual folder access in a time span of three hours.”
- within this report we researched MS Exchange Server 2013 audit capabilities in regard to the delegate access: both the Exchange PowerShell cmdlet (unlike in my prior test with Exchange Server 2010 SP1) and the ECP screen the right outcomes.
FoodSafetyHelpline replied to the next questions:
Question: Is it necessary to get license to sell homemade baby food? My parents manufacture all these powders for infants and marketed locally out of generations. Now want your advice and I want to start it on line.
Whether it’s essential to get license, guide me. If that’s the case, because these are ready at our home kitchen, what would be the conditions expected for the license? Could we get it for the speech of our house that is rented?
Response: Yes, you have to apply for your own license/registration of your food business as you’re well under the ambit of meals Safety & Standards Act, 2006. For manufacturing/processing capacity is upto 100 ltr/kg per day then you need to submit an application for the registration certificate and then you have to apply under the FSS Act for the license, if it’s more than 100ltr/kg. You can show the leased premises as your own food business location. The area ought to be located besides keeping the sanitary conditions, from any external influence. The meals manufacturing/processing are must be allocated for the food activity which we would not be possible in a home kitchen.
There is an online process of license/registration. Click here to read more.
As soon as you obtain a registration certificate you have to follow sanitary conditions according to Schedule 4 & the FSSAI guidelines about the sanitary. You also have to follow the FSS (Packaging & Labelling) Regulations 2011. And most important; you have to check for the listing of ingredients and the formulation of the infant food, to verify that you’re conforming with the criteria as defined under FSS (Food Products Standards & Food Additives) Regulations, 2011.
Question: that I am likely to begin a food product business in ghaziabad which we sell through hawkers like sanitized quality walls ice cream bicycle riksha, therefore please guide me the way to take licence in gaziabad & to whom I must contact.
Response: FSSAI had introduced an internet process of applying for the license and you’ll be able to apply through online. Your can apply online: FSSAI Registration & licensing
Question: Why we need product approval? As soon as we need product approval?
Response: Please proceed through the following link for movie recording: Food Product Approval
Question: Should we make homemade jams and pickles in tiny amounts to sell, we just need a registration it looks — can this be done on line or is a trip into the state/regional authority still required. How long does it take to get the registration certificate?
Response: you’ll be able to apply online for license/registration of your food business as there’s an internet process by FSSAI for the exact same. Whether you need a license or registration will rely upon your manufacturing unit’s manufacturing capability. If your manufacturing capacity is upto 100 ltr/kg every day, then you need registration certificate and then you are going to have to apply for the license, if your annual turnover is greater than 100 ltr/kg per day. You can read for the advice on licensing & registration in the following urls:
Posted by Jessica Kirk // 10.25.17
Below are the top five items that make auditing expense reports debilitating, and how you can conquer these challenges. Report audit does not need to be bombarded with problem.
- Guide fitting receipts to expense reports. Organizations have other information that has to be reviewed and investment accounts, that auditors frequently confine their verifications to expenditures claimed to receipts that are fitting. Most audit period is spent only verifying receipt amounts. For those who handle paper receipts that are difficult to read or supply an incomplete record of 21, it’s even worse. Sifting through expense reports and receipts to catch errors takes a whole lot of time. This practice is so time consuming that organizations resort to thresholds or sampling to determine that which T&E reports must be audited.
What to do about that? Streamline how employees enter expenditures so auditors do not need to see yet another paper receipt. Ditch the clocks and find an investment management solution like Concur or Certify to automate your expenditure report submission. Then apply an Artificial Intelligence (AI) alternative to automatically analyze 100% of trades in a in depth risk-based audit.
- Price policies that read like a Shakespeare sonnet. Confusion is caused by too investment policies. Some organizations do not have specified rules. Others possess policies that unintentionally encourage travelers to move rogue. The errors will appear again and again, when employees don’t know what is compliant with company policy. Repeated mistakes outcome not merely in wasted money but wasted auditors period.
What to do about that? Open lines of communication with stakeholders at different sections on your T&E policies. Speak to fund, operations, and HR. Most importantly, speak with your employees who travel frequently to find preferences and their pain factors. Engaging the proper people will tell you where to focus and get them to get into your policy.
- Forth and back with employees over errors. At a manual audit process, when auditors place expense reports that need correction, the resultant follow-up with employees could be a wreck. The auditor must reach out to whoever filed their manager, and the report, to communicate what is wrong and how to fix it. This frequently is handled through manual and email tracking of the resolution.
What to do about that? The very best AI tools won’t only find the transaction exceptions in expense reports, they’ll find patterns of behavior that have to be corrected and the origin of the issue. When the system finds a high-risk action, it automatically assigns it provides an instance research workflow and documents steps taken to resolve cases. For showing compliance, this enables greater communication with employees and documentation.
- End-of-month expense report madness. At the conclusion of each month, because investment reports are due employees and auditors need to run for the hills. Employees busily hunt down receipts from business trips, staff lunches, taxi rides and spend hours filling the data into spreadsheets and organizing them. Auditors obtain an avalanche of expense reports to confirm and be buried in the process comparing receipts. Other work stacks up. It’s a vicious cycle. These still have a great deal of time and are prone to error, although some companies elect to outsource the process to an audit company.
What to do about that? Take the burden from the expense report process by automating end-to-end. Utilize investment management applications to create expense reports and an expense report audit alternative to discover misuse and fraud. Many companies realize that automating more of the method makes employees happier since they can process and repay expenses. Many companies can move to reimbursements since they’re not held hostage.
- Scaling is impossible. A manual expense report audit process can be hard to scale as the company develops. From calculating 500 expense reports to 1,000 expense reports, when you leap, you have to include headcount for audit. This can’t be done.
What to do about that? Again, automation keeps the day. Without adding headcount since your workforce develops and the number of expense reports develops cost report auditing climbs. Auditors are free to focus on correcting issues like fraud and repeat offenders rather than of verifying receipts in a haphazard sample.
Lots of the things that make auditing expense reports awful can be overcome using automation. We ought to speak in the event you feel the pain of expense report audits.