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This is the fourth in a series of episodes that focus on performance auditing. In this episode, we discuss five suggestions to help improve the conduct (fieldwork / execution) phase. Link: This episode's web page (riskinsights.com.au/the-assurance-show-52) About this podcast The podcast for performance auditors and internal auditors that focuses on…
 
This is the third in a series of episodes that focus on performance auditing. In this episode, we discuss the benefits of adopting a data focused approach during audit planning. Link: This episode's web page (riskinsights.com.au/the-assurance-show-50) About this podcast The podcast for performance auditors and internal auditors that focuses on data…
 
This is the second of a series of episodes that focus on performance auditing. In this episode, we discuss the importance of balance in your work program - covering each of the four objectives: Effectiveness Efficiency Economy Compliance Link: This episode's web page (riskinsights.com.au/the-assurance-show-49) About this podcast The podcast for per…
 
This is the first of a series of episodes that focus on performance auditing. In this episode, we discuss strategic audit planning (a.k.a. forward work planning). For internal auditors, this is similar to annual (or equivalent) audit planning. Understanding your community / public expectations Understanding your elected body / parliamentarians Unde…
 
In this episode we discuss three simple ways to improve the data cleansing process - easier, faster and higher quality. Find the optimal data source (e.g., don't use a poorly structured dataset) Cleanse iteratively - you may not need all of the fields/columns Import iteratively - start with a subset of the data and build on that as needed Link: Thi…
 
In this episode we discuss the use of risk/performance indicators. These can be used by audit teams, risk teams and integrity agencies. For audit teams, they are useful throughout the audit lifecycle - planning / risk assessment, fieldwork / conduct and reporting. We explore why they are useful, what to do and briefly how to get started. This page …
 
Christine (performance audit) and Xiaoyan (data analytics) are Directors with ANAO, the Australian National Audit Office. In this episode we discuss: What ANAO does The five ways ANAO uses data in its performance audits How performance audit teams work with the central data team Challenges with data preparation The benefits of a strong focus on dat…
 
Tiina Landau is an internationally recognized sustainability expert and Certified European Financial Analyst (CEFA). She currently works as Sustainability Manager at Neste Corporation, embedding sustainability considerations into new business models and supply chains. She has extensive experience as a speaker in media and seminars and also writes a…
 
Erica Toelle is a senior product marketing manager on the Microsoft compliance product team, with focus on information governance and records management. Erica is a long-time member of the SharePoint and Microsoft 365 community, a former Microsoft MVP, a published author, and a recognized expert in the information governance area. In this episode, …
 
Michael DeCero is an Internal Audit Analytics Manager at TDS, a telecommunications company. In this episode, Michael explains how he helps his audit team use data. Links: This episode's web page (riskinsights.com.au/the-assurance-show-42) Towards Data Science (www.linkedin.com/company/towards-data-science) Michael on LinkedIn (www.linkedin.com/in/m…
 
Steve Rummel is a Senior Internal Audit Analytics Manager at CVS Health. In this episode, Steve explains how he helps his audit team use data. Link: This episode's web page (riskinsights.com.au/the-assurance-show-41) About this podcast The podcast for performance auditors and internal auditors that focuses on data & risk. Hosted by Conor McGarrity …
 
Ari Levien is an experienced Chief Information Officer who has also played the role of Chief Risk Officer. In this episode we discuss how a CIO (with an understanding of risk) thinks about security and risk. We also discuss his views of Internal Audit and what good looks like for IA. Link: This episode's web page (riskinsights.com.au/the-assurance-…
 
In using data for audits, quality assurance of our work is important. In this episode, we discuss: 1. The four main QA steps Technical QA Functional QA Business QA (validation) Audit QA 2. Why we need a QA Plan Link: This episode's web page (riskinsights.com.au/the-assurance-show-39) About this podcast The podcast for performance auditors and inter…
 
In this episode, we discuss FIVE major benefits of investing our time in preparing our data and checking its quality. These include, in reverse order of importance: 1. Exploration during data prep to understand the data 2. Ensure the data is in the right format for analysis 3. Save time by avoiding incorrect conclusions 4. Confidence in the analysi…
 
Morag (Senior Manager) and Gemma (Director) are Performance Auditors with Audit Scotland. In this episode we discuss how they are using data in their audits, their experience in developing Audit Scotland's data capabilities, collaboration with other audit offices and what the future roadmap looks like. We also discuss their focus on ensuring their …
 
In this episode, we discuss why it is important to focus on our audit objective when using data analysis in our audit. We explore: Why a focus on the objective helps us measure success Why we should avoid rules based analysis How a focus on the objective helps us stay true to our audit mandate Cost benefit analysis when we find things that are not …
 
Stephen leads the data science team within Performance Audit at VAGO, the Victorian Auditor General's Office. We discuss: What VAGO does Stephen's approach to helping auditors use data Why it's important for all performance auditors to have data skills How VAGO has used open data to improve transparency You can reach out to Stephen via LinkedIn (ww…
 
Taka is the inaugural Chief Data Scientist at the US Government Accountability Office. He also leads the GAO's Innovation Lab. We discuss: What the GAO does How data science is helping GAO Innovation and experimentation at GAO Machine learning assurance You can reach out to Taka via the GAO website. Links This episode's web page (riskinsights.com.a…
 
In this episode, we discuss 10 of the more common areas of focus in using data for audits. Get over the fear of using data Focus on the objective and develop the hypotheses Check for previous work, to avoid duplication Source the data – internal and open Prepare the data and check quality Perform the analysis, prove/disprove the hypotheses Conduct …
 
Note: This is a guest interview. Alli is an information design consultant and host of the Data Viz Today podcast. We talk about a range of data visualization matters, including 3 key mistakes that people make when starting out in dataviz (and solutions to those). You can reach out to Alli via her website (www.allitorban.com). Links Financial Times …
 
In this episode we wrap up, talking about: a few things we've learned this year feedback - what people found valuable feedback - what people want to hear more about some of the tech/software used to produce this podcast Links This episode's web page with transcript (riskinsights.com.au/the-assurance-show-31) About this podcast The podcast for perfo…
 
Note: This is a guest interview. John talks to us about what audit offices (a.k.a. supreme audit institutions) do and the role of the CTO in an audit focused organization. He shares his views on a range of issues including: His positive experience with their (outsourced) internal auditors How he supports an audit focused organization Cyber and data…
 
Note: This is a guest interview. Andrew talks to us about machine learning (ML) and what auditors should consider regarding ML assurance. You can reach out to Andrew via the Monitaur website. Links Monitaur (monitaur.ai) This episode's web page with transcript (riskinsights.com.au/the-assurance-show-29) About this podcast The podcast for performanc…
 
Note: This is a guest interview. David talks to us about IAC's latest report, the Talent Barometer and the upcoming Diversity report. He shares his views on a range of issues including: Data skill gaps Leadership skill gaps Why culture is important David is open to connecting with Internal Auditors. You can reach out to him on LinkedIn. Links David…
 
In this episode we discuss how answering a few simple questions about your audience can improve your audit reporting. These help make several report areas better: Scope and title Context Findings / Improvement opps Link: This episode's web page with transcript (riskinsights.com.au/the-assurance-show-27) About this podcast The podcast for performanc…
 
Note: This is a guest interview. Carlos talks to us about what auditors should consider regarding cyber security and information security. He shares his views on a range of issues including: Cyber security How cyber security and information security differ What auditors should focus on in planning and conducting cyber audits Carlos is open to conne…
 
In this episode we learn a bit about Yusuf, one of the co-hosts of the show. He explains what he considers to be the highlights of his career. Link: This episode's web page with transcript (riskinsights.com.au/the-assurance-show-25) About this podcast The podcast for performance auditors and internal auditors that focuses on data & risk. Hosted by …
 
In this episode we discuss why discovery exercises are becoming very useful for audits. They help de-risk the conduct of audits, and the three main scenarios we use them for: Audit topic validation and overall audit planning Scoping, depth and deliverable Planning individual audits Link: This episode's web page with transcript (riskinsights.com.au/…
 
In this episode we explore Principle 3 - Maximize the Benefits of the use of data within Internal Audit and Performance Audit. Sub-principles 3a: Sharing lessons amongst the team. 3b: Identifying other risks and opportunities. 3c: Continuous improvement. Links The blog article where this principle was originally outlined (riskinsights.com.au/blog/a…
 
Note: This is a guest interview. Josam Watson is the CRO of Tyme, a digital banking group that owns one of the world’s fastest growing digital banks. He was previously Chief Audit Executive of a large credit union. Before that, he spent time in internal audit, risk consulting, external audit and in banking operations. Josam talks to us about what h…
 
In this episode we discuss four (4) approaches to using data for internal audits and performance audits. Reporting only Process focused Hypothesis-based Exploratory (a.k.a. data driven or data led) Links Related blog article (riskinsights.com.au/blog/4-audit-data-approaches) This episode's web page with transcript (riskinsights.com.au/the-assurance…
 
In this episode we discuss six (6) sets of words and phrases that are commonly misused. Using data vs analytics Algorithm vs model Data owner vs data "custodian" AI vs machine learning Open source vs open data Big data vs big data Link: This episode's web page with transcript (riskinsights.com.au/the-assurance-show-20) About this podcast The podcas…
 
In this episode we learn a bit about Conor, one of the co-hosts of the show. He explains what inspires him to promote the use of data for integrity and assurance. Link: This episode's web page with transcript (riskinsights.com.au/the-assurance-show-19) About this podcast The podcast for performance auditors and internal auditors that focuses on dat…
 
In this episode we explain why auditors are looking for alternatives to traditional audit management software and audit analytics software. Link: This episode's web page (with full transcript) About this podcast The podcast for performance auditors and internal auditors that focuses on data & risk. Hosted by Conor McGarrity and Yusuf Moolla. Produc…
 
In this episode we discuss a few key matters that auditors need to know relating to the use of AI and auditing AI. 3 key objectives: Bias and ethics. Providing sound decision making support. Maximizing the opportunities. 3 key considerations: Model accuracy. The quality of data. Deploying, controlling, security and change. Link: This episode's web …
 
In this episode we explore five ideas for working with small datasets as part of internal audits or performance audits. Extend the timeframe Combine with proprietary data Combine with open data Scenario analysis Natural language processing (free text) Links Episode 13 - Open Data for internal audit and performance audit This episode's web page (wit…
 
In this episode we discuss how using data enables audit efficiency outcomes. That is, if we think outside of the audit bubble and consider the broader organizational context (in the case of internal audit) or broader public sector context (in the case of performance audit), then using data for our audits can help improve efficiency. Links The blog …
 
In this episode we discuss: 3 perspectives that auditors should consider regarding data governance, and 3 considerations for auditors in implementing data governance within their functions/teams. Links Controlling access to data within the audit team – open or closed? This episode's web page (with full transcript) About this podcast The podcast for…
 
In this episode we discuss the use of Open Data for internal audit and performance audit. Links The Open Data Handbook Google dataset search This episode's web page (with full transcript) About this podcast The podcast for performance auditors and internal auditors that focuses on data & risk. Hosted by Conor McGarrity and Yusuf Moolla. Produced by…
 
In this episode we discuss the use of open source software for internal audit and performance audit. We bust 3 common open source myths: Security - that open source is less secure Skills - that open source software has smaller talent pools Quality - that open source has lower quality. Links Blog: 3 open source myths that might be inhibiting your te…
 
In this episode we discuss the evaluation of customer feedback/complaints and the use of customer feedback data, within internal audit and performance audit. This includes: Auditing the customer feedback process Using the customer feedback content (data/information) Using customer feedback data for deeper, more effective, audit analytics. Links Blo…
 
This is part 6 of a 6-part series. In the first episode, we discussed the 5 most commonly cited data in audit challenges. In this episode, we discuss solutions to the 5th challenge - reporting (and timing). The five items are: Access to data - you can't get all the data, or you can't get it quickly enough. Low value - the analysis doesn't provide n…
 
This is part 5 of a 6-part series. In the first episode, we discussed the 5 most commonly cited data in audit challenges. In this episode, we discuss solutions to the 4th challenge - superficiality. The five items are: Access to data - you can't get all the data, or you can't get it quickly enough. Low value - the analysis doesn't provide new insig…
 
This is part 4 of a 6-part series. In the first episode, we discussed the 5 most commonly cited data in audit challenges. In this episode, we discuss solutions to the 3rd challenge - false positives. The five items are: Access to data - you can't get all the data, or you can't get it quickly enough. Low value - the analysis doesn't provide new insi…
 
This is part 3 of a 6-part series. In the first episode, we discussed the 5 most commonly cited data in audit challenges. In this episode, we discuss solutions to the 2nd challenge - low value. The five items are: Access to data - you can't get all the data, or you can't get it quickly enough. Low value - the analysis doesn't provide new insights. …
 
This is part 2 of a 6-part series. In the first episode, we discussed the 5 most commonly cited data in audit challenges. In this episode, we discuss solutions to the 1st challenge - access to data. The five items are: Access to data - you can't get all the data, or you can't get it quickly enough. Low value - the analysis doesn't provide new insig…
 
In this episode we discuss five key challenges that assurance professionals - internal auditors and performance auditors - face in using data for audits. This is part 1 - outlining the challenges. In parts 2 to 6, we will discuss solutions to each challenge individually. The five items are: Access to data - you can't get all the data, or you can't …
 
In this episode we discuss going beyond the audit report. That is, the audit report is not necessarily the end point or final deliverable. There are a few things that we can do to go beyond that and increase the value that we provide. This includes: Remedial actions - going beyond the initial remedial action (related blog article here). Using the r…
 
In this episode we explore Open Access to data used within Internal Audit and Performance Audit teams, with focus on 8 exceptions that may necessitate a level of restriction. In general, access should be as open as possible, as explained in the previous episode. But there are 8 specific exceptions to consider, carefully: Cross-border concerns. Stri…
 
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