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Presentation Overview. Background Accessing Retail Data Warehouse Using ACL Accessing ODBC Accounting Package Using ACL Accessing AS400 Using ACL Accessing Unformatted Retail Receivables Sequential file Using ACL. Audit Software Customers. Store Audit Wholesale Audit Financial Audit

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Presentation Overview

  • Background

  • Accessing Retail Data Warehouse Using ACL

  • Accessing ODBC Accounting Package Using ACL

  • Accessing AS400 Using ACL

  • Accessing Unformatted Retail Receivables Sequential file Using ACL


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Audit Software Customers

  • Store Audit

  • Wholesale Audit

  • Financial Audit

  • Third Party Audit (Financial Statements, Benefits, Insurance)

  • Government (State Tax, EPA, IRS)

  • Management or Audit Risk Monitoring


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Audit Tests using ACL

  • Footing

  • Recalculation

  • Sampling

  • Matching

  • Stratification

  • Benford

  • Ageing


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Audit/Risk Objective

  • Error

  • Fraud

  • Misstatement

  • Completeness

  • Accuracy

  • Validity


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Data Source

  • Server

  • Midrange

  • GEAC Databases (Payables, Ledger, Assets, Receivables)

  • JDE Databases (Shipments, Receivings, Inventory)

  • Data Warehouse


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Tools

  • Browsers

  • Cubes

  • Access Databases

  • Excel Spreadsheets

  • ACL

  • AS400 Query


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Support

  • Financial and Accounting Systems Analysts

  • Information Systems Staff

  • Accounting Staff

  • ACL Help Desk


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Data Verification

  • Financial Statements

  • Monthly Reports

  • Cycle Reports of Payments and Receipts

  • Edit or Exception Reports

  • Data Verification Report


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Server Data Access

  • Financial Package ODBC Databases

  • Data Warehouse Extracts – Access Database

  • Confidential, Sensitive Files- Access ODBC

  • Retail Data Extracts – Sequential Text


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Retail Sales Data Warehouse Data Extracts

  • Piggy Back on Retail Cubes

  • Pick Up and Store Data Monthly

  • Used by Store Audit, 3RD Party Audit, Loss Prevention

  • Detail and Header Files can be Merged to Add Register and Employee ID

  • Monthly Statement Reconciliation by Location

  • Store large amounts of data on a monthly basis


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Accounts Payable Most Popular

  • Views Developed by IS and used by Audit and AP

  • Security Set Up by IS

  • Used by Store Audit, Wholesale Audit, 3RD Party Audit, IRS, Fraud

  • Cyclical Report Verification

  • Software Executed by Internal Audit

  • Distributed via EXCEL Spreadsheets

  • Classify, Stratify, Age, Benford, Sample, Foot, Recalculate


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MidRange Applications

  • JD Edwards AS400 Applications

  • Query Software (World Writers) Developed by Information Systems Analysts

  • Query Executed to Download Data to Server by Internal Audit.

  • Used by Wholesale Audit, 3rd Party Audit

  • Cyclical Report Verification, or Accept by Faith

  • Distributed via Excel Spreadsheets

  • Classify, Stratify, Age, Sample, Foot, Recalculate


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Extract Retail Accounts Receivable

  • Retail System is Server Application converted from minicomputer.

  • Internal Audit Executes Batch Files and Programs developed by Information Systems

  • Basic Ansi Text files transferred between servers.

  • More formatting of the files is required.



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