2015 ALGA Annual Conference - Amazon S3...2015 ALGA Annual Conference Audit Automation: Follow-Up...
Transcript of 2015 ALGA Annual Conference - Amazon S3...2015 ALGA Annual Conference Audit Automation: Follow-Up...
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2015 ALGA Annual Conference
Audit Automation: Follow-Up System
May 4-5, 2015
Beverly Romeo-Beehler
Auditor General
City of Toronto, ON, Canada
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OUTLINE
City of Toronto
Auditor General’s Office
Objectives of Follow-Up
Follow-Up System
Q & A 2
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FOURTH LARGEST CITY (POPULATION) IN
NORTH AMERICA
1. Mexico City 8.8M
2. New York 8.2M
3. Los Angeles 3.8M
4. Toronto 2.8M
5. Chicago 2.7M
Toronto
City of Toronto
Auditor General’s
Office
Follow-Up Objectives
Follow-Up System
Q & A
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City of Toronto
Auditor General’s
Office
Follow-Up Objectives
Follow-Up System
Q & A
City of Toronto
Over 50,000 employees
$11.5 billion operating
budget
50% of residents born outside of
Canada
Mayor and 44 members of
Council
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City of Toronto
Auditor General’s
Office
Follow-Up Objectives
Follow-Up System
Q & A
Auditor General’s Office
Financial, Compliance & Performance
Audits
Fraud & Waste Hotline
External Public Accounting
Contract – City Statutory Audits
Staff: 29
Budget: $4.7 M
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City of Toronto
Auditor General’s
Office
Follow-Up Objectives
Follow-Up System
Q & A
Corporate Governance
and Accountability
Evaluate Management
Actions
Confirm Intended Results
Assurance to Council and Management
Controls by Default
OBJECTIVES: FOLLOW-UP OF OUTSTANDING
RECOMMENDATIONS
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City of Toronto
Auditor General’s
Office
Follow-Up Objectives
Follow-Up System
Q & A
FOLLOW-UP SYSTEM: THE PROCESS
1. Audit
20-25 Audits
2. Recommendations
200-250 Recs
3. Auto Feed Through Upload Application
2,500 Total Recs in Database
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City of Toronto
Auditor General’s
Office
Follow-Up Objectives
Follow-Up System
Q & A
FOLLOW-UP SYSTEM: THE PROCESS (CONT.)
4. System
• Tracks Recs by divisions, audit leads, confidentiality, control themes and implementation status
• Tracks one-time and recurring savings by project and Recs
5. Follow-up
• Not fully implemented Recs automatically e-mailed to Division(s)
• Division responses then updated in the System
6. Reporting
• Audit leads validate Management responses
• Final results automatically generated for Council reporting
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City of Toronto
Auditor General’s
Office
Follow-Up Objectives
Follow-Up System
Q & A
FOLLOW-UP AUDIT REPORT
Summary• Audit Recs Stats
• Last 5 Years and ITD
Highlights• Major Fully Imp. Recs,
Savings
• Major Not Imp Recs
DetailedReporting
• Comp List of All Fully Imp Recs
• List of all Not App and Not Imp Recs
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City of Toronto
Auditor General’s
Office
Follow-Up Objectives
Follow-Up System
Q & A
BENEFITS OF AUTOMATED FOLLOW-UP
SavingsFaster Implementation
Improved Tracking of
Recs
Improved Reporting
Effective Use of
ResourcesData Analytics 10
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FOLLOW-UP SYSTEM: KEY MENU SCREENS
City of Toronto
Auditor General’s
Office
Follow-Up Objectives
Follow-Up System
Q & A
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FOLLOW-UP SYSTEM: KEY MENU SCREENS (cont.)
DATA ENTRY
City of Toronto
Auditor General’s
Office
Follow-Up Objectives
Follow-Up System
Q & A
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FOLLOW-UP SYSTEM: KEY MENU SCREENS (cont.)
REPORT SELECTION
City of Toronto
Auditor General’s
Office
Follow-Up Objectives
Follow-Up System
Q & A
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City of Toronto
Auditor General’s
Office
Follow-Up Objectives
Follow-Up System Q & A
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