Internal Audit Business Process Documentation Tool

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Internal AuditBusiness Process Documentation Tool

• Symposium on Information Systems Assurance
• October 22, 2005
• Tom Crouch
• IT Audit Manager
• tom.crouch_at_sunlife.com

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About Sun Life

• Financial Services company offering wealth
  management, insurance and protection products
• Head Office Toronto
• Offices in Canada, US, UK, Asia
• Market cap, year-end 2004 of 23.8 billion CDN
• 2004 Revenue - 21.75 billion CDN
• Serve approximately 7 million Canadians

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Brief History of the Tool

• Audit documentation consisted of Narratives and
  Data Flow Diagrams
• Not collected in one spot
• No ability to correlate
• Depended on drawing ability of Auditor
• Too much time making it pretty
• Difficult to edit
• Large chunks of process easily missed
• Too easy to make assumptions

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The Vision

• To create a tool that would facilitate the
  capture of process documentation that would
• provide a level of consistency and rigor
• do so in an Auditor friendly manner (efficient /
  easy)
• be easily understood by clients
• allow processes to be interrelated
• allow analysis and rollup of data
• allow drill down exploration of processes
• combine business and IT documentation
• be easy to maintain

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Our solution

• Audit Universe
• Developed in-house over period of years
  (beginning 1998)
• Written in Clarion 6.2 Enterprise Edition
• Rapid Application Integrated Development
  Environment (http//www.softvelocity.com )
• Multi-user, MS Windows, LAN based
• Proprietary database structure (encrypted)
• Conversion to SQL possible and relatively
  painless

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The model Interaction Diagram

• Based on Object Oriented principles
• Combines Narrative and Data Flow in one diagram
• No artistic talent required
• Standardized format, automatically drawn
• Connect-the-dots
• minimizes missed, forgotten or not well
  understood pieces
• Client friendly I get it!
• We have had several requests to provide
  documentation to projects that are doing business
  process reengineering.

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The basic look (Illustrative example)
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Sample output (Illustrative example)
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Demo

• Lets take a look

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Other capabilities (Illustrative example)

• House view hierarchical view of Business Unit

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• Tree View all levels in same view (Illustrative
  Example)

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Security
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Summary

• More efficient accurate documentation
• Physical view of process
• Creates a universe of documentation that is
• Relational
• Sharable
• Searchable
• Clear and understood

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(No Transcript)
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Thank you for your attention! tom.crouch_at_sunlife.c
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