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Method and system for auditing internal controls
Method and system for auditing internal controls
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机译：内部控制审计方法和系统
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摘要
Disclosed is a computer-implemented method for assessing a plurality of internal financial control items. The method includes: (a) establishing a first communication link between a central server operated by a professional service provider and a remote audit workstation operated by a remote user conducting an onsite client audit of internal financial controls, the remote audit workstation accessing audit-related software from the central server via the first communication link; (b) establishing a second communication link between a client-side network and the remote audit workstation and accessing client audit-related data by the remote audit workstation via the client-side network; (c) at the remote audit workstation, automatically and respectively grouping subsets of the plurality of internal financial control items with one or both of a plurality of transaction classes and a plurality of audit areas based on an 20 assessment of risk associated with one or more internal financial control items included in the plurality of internal financial control items, and presenting at the remote audit workstation one or both of the plurality of transaction classes and the plurality of audit areas, the one or more internal financial control items including client audit-related data accessed by the remote audit workstation via the client-side network; (d) presenting on a display associated with the remote audit workstation the plurality of internal financial control items; (e) processing by a processor operating on the remote audit workstation an input data set associated with at least some of the plurality of internal financial control items; (f) automatically generating by the processor a set of assessment information based on the processed input data set; and (g) transmitting by the remote audit workstation audit-related data to the central server via the first communication link, wherein the audit related data represents one or more of the internal financial control items, the set of assessment information, and the processed input data set.
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