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AuditNet® Newsletter

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The Original Newsletter Created by and For Auditors! Email Sign Up

In The NewsAudit News that's Fit to Print! 

May 2020 

Team Mate Logo  Wolters Kluwer is dedicated to helping to solve their customers most pressing needs. Solutions include: TeamMate AM, audit management; TeamMate CM, controls management; and TeamMate Analytics, data analysis. Together, this ecosystem of solutions provide you with confidence you need to manage all aspects of risk identification and assessment, electronic working paper creation and management, controls framework management, and data analysis. Learn more at www.TeamMateSolutions.com

Idea2019 CaseWare IDEA - Data Analysis Software, is the standard in ease of use for auditors, accountants and financial managers.

Logo 102x45 SansArbutus delivers the very best in purpose-built audit analytics technology to meet the exacting demands of today’s auditors, business analysts, and fraud investigators. Thousands of active users in over 50 countries rely on Arbutus to enhance their testing, analysis and compliance capabilities. Find out why many of the world’s leading organizations have made the switch to Arbutus Analytics technology.

WorkivaWorkiva, provider of the world’s leading connected reporting and compliance platform, is used by thousands of enterprises across 180 countries, including more than 75 percent of Fortune 500® companies, and by government agencies. Our customers have linked over five billion data elements to trust their data, reduce risk, and save time. For more information about Workiva (NYSE:WK), please visit workiva.com.


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Welcome to the Newsletter! AuditNet® an auditor owned and operated Web site publishes a monthly newsletter featuring articles, new content, surveys on audit use of technology, white papers, and audit related monographs and other timely information. Return to our site every month to read the latest Audit News That's Fit to Print. The current newsletter theme will be displayed at the top of the newsletter and you will find articles and information related to that theme. The events section provides information about our upcoming Webinars with CPE at  no cost to subscribers and site license users. There is also a link to a subscription for on-demand training with CPE from cRisk Academy discounted for subscribers and site license users.

JkbwJim Kaplan CIA CFE and AuditNet® Founder

Calendar Themes(Editorial Calendar)

Topic Internal Audit's Role in Assessing Culture Risk 

Boards and senior management have the prime responsibility for establishing the right organizational culture by promoting their ethics and values and the behaviors these require across their organisations.  The behavior of employees at the front line, such as sales staff, dealers or care workers, needs to conform to the ethics and culture of their organization, and boards need to be assured that the whole organization is pulling in the same direction.  Internal audit can be a key player in giving assurance and confidence to boards as organizations come under increasing pressure to demonstrate their commitment to improving standards of behavior .

We started our research on this month's topic by Googling (yes that is a verb) 'Internal auditing and Culture Risk'. You can easily do the same substituting terms relating to the topic to other specific issues to further customize the results. Over the past 25+ years we have developed an expertise in finding relevant information for auditors. These links are provided to add to your knowledge bases on the theme of this month's newsletter. Here is our query with the links to hundreds or resources to help design your audit plan.

Data Analytics for Internal Auditors on a Flash Drive - 6 webinar series 

Special Pricing Extended! ($149 + $5 shipping)

Since the spread of IT systems has made it a prerequisite that auditors as well as management have the ability to examine high volumes of data and transaction in order to determine patterns and trends. In addition, the increasing need to continuously monitor and audit IT systems has created an imperative for the effective use of appropriate data mining tools.

While a variety of powerful tools are readily available today, the skills required to utilize such tools are not. Not only must the correct testing techniques be selected but the effective interpretation of outcomes presented by the software is essential in the drawing of appropriate conclusions based on the data analysis. This 6 webinar series, based on Richard Cascarino’s book “Data Analytics for Internal Auditors” covers these skills and techniques.

Purchase the series of 6 Webinars on an AuditNet® flash drive. Watch and learn at your own time and pace!

To Purchase the Data Analytics on a Flash Drive add your mailing address and click on the button below to pay. (US only). If non-US contact us for mailing costs.  

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Top 3Top 3 Reasons that Auditors Visit AuditNet® (according to a recent survey)

  1. Finding audit programs
  2. Finding online training with CPE and,
  3. Researching best practices.

Join thousands of other auditors that subscribe or come to AuditNet® through a site license partner and you will have access to over 3,000 audit program templates and be eligible to earn CPE at no additional cost and find best practices from other audit departments! Audit ProgramsAudit Template According to the 2019 AuditNet® User Survey, the main reason auditors visit AuditNet® is to find templates for audit. As a result we moved the current and upcoming audit template additions here for the benefit of users. The following audit templates were added and are now available to subscribers and site license users. Availability based on subscription level. Come to our   site to download a list of all the templates.  (*e-book Monograph Series). NOW OVER 3,100 audit templates - the largest inventory of audit program templates on the Internet! 

The AuditNet® site has always made available a downloadable (Excel csv) list of templates which included the name, subscription level and date added. We have updated the functionality so that the list now includes a description of the templates, number of times that templates were downloaded and a URL direct link to the template. You must be logged in to your subscription or access from a site licensee secure login link in order to download the template from the URL. We added this functionality as a benefit to subscribers and site license users to facilitate downloading. Non subscribers will be blocked from downloading content and be redirected to subscribe. To download the CSV file click on the Audit Templates link on the navigation column, Then click on Download a listing of Audit Programs

Template Additions This Month (there are pandemic checklists and audit templates available-sign up now for a free subscription) 

  1. Audit Template - (Portuguese)
  2. Cyber Security Control Checklist
  3. GDPR-Article-37-Internal Controls Designation of Data protection officer
  4. GDPR-Article-38-Internal Controls Position of Data protection officer
  5. IT Risk Management Framework - IT Risk Management
  6. IT Risk Management Framework - Organizational IT governance and Control System
  7. IT Risk Management Framework - Risk Assessment and risk register
  8. Procurement Audit Program
  9. Remediation of Deficiencies
  10. Revenue Collection Cycle Control Questionnaire
  11. Risk Assessment Template
  12. User Account Management Operations Audit Program

Template Additions in the Queue  
  1. Accounts Payable Risk Control Matrix Template
  2. Accounts Receivable Risk Control Matrix Template
  3. COSO-ERM 2017-Performance Implementing risk response Accounting
  4. COSO-ERM 2017-Performance Implementing risk response HR
  5. Decision Matrix Template
  6. Depreciation Workbook
  7. Financial Model
  8. Firewall Audit Checklist
  9. GDPR-Article 48-49-Transfers or disclosures not authorized by Union law
  10. GDPR-Article 49B-50-Derogations for specific situations

May-July 2020 Webinars (Due to COVID-19 Some Webinars in May will be no fee) 

We will reassess going forward for Webinars after April 30.

AuditNet® and cRisk Academy are pleased to announce an extended partnership. The partnership brings you, the AuditNet® subscriber and site licensee users (ACL, AHIA, Arbutus, CaseWare IDEA, KnowledgeLeader, SAP, TeamMate, and Workiva), free access to cRisk Webinars. This is a complimentary benefit to you, in addition to all the benefits you currently enjoy.   (Note: you must be logged into AuditNet as a subscriber or if you access via a site license you must follow the link from your site licensee to login to AuditNet) If you belong to an audit association or are a vendor or service provider and want to provide your members or clients with transparent access to AuditNet® then please contact us for more information.

CPE - AuditNet® offers CPE for our Webinars. AuditNet® may charge to attend Webinars (rates subject to change). The fee will be waived for subscribers and site license users. Non subscribers and non site license users may have to pay to attend and will also earn CPE if eligible.  Subscribers benefit so subscribe today! Opt In Required to attend the Webinars.

CPE will be issued by cRisk Academy for the Webinars offered through cRisk Academy. There will be a fee for non-subscribers so if you would like to learn and earn free CPE, subscribe today! 

Meet Less and Do More: Go From Meetings You Hate to Meetings You Love May 5, 2020 12 PM EST (1 CPE) There is a great mystery: why are most meetings unproductive and what can we do to change them? According to a Wall St. Journal survey, 98% of people agreed that 50% of their time in business meetings is wasted. Think of how much more you could get done if you weren't stuck in meetings you hate. cRiskAcademy Webinar Register Today!

Ethics for Internal Auditors May 14, 2020 12:00 PM EST (2 CPE) Cost: $50 (free for subscribers and site license users).  - From time-to-time internal auditors are faced with situations which call for them to make an ethical decision. In addition, they may, in the middle of auditing, come across circumstances which themselves appear to be violations of a corporate code-of-conduct. IIA now requires 2 CPE of Ethics Training for all certified professionals. Meet this requirement now by registering and attending our Webinar! Register Today! (NOTE: THIS WEBINAR IS ONLY FREE FOR PAID ACTIVE SUBSCRIBERS AND SITE LICENSE USERS)

Implementing and Auditing GDPR Series (5 of 10)  May 20. 2020, 12:00 PM EST (2 CPE) Cost: $50 (free for subscribers and site license users) Protecting personal data has been an important issue for many years. The EU GDPR extends the data rights of individuals, and requires organizations to develop clear policies and procedures to protect personal data, and adopt appropriate technical and organizational measures. UK organizations have had to comply with the Regulation since 25 May 2018, or potentially face fines of up to 4% of annual turnover or €20 million – whichever is greater. Register Today!

Focused Agile Audit Planning Using Analytics  June 11, 2020 1 PM EST (1 CPE) Cost: $0 Opt-In Required.  As many audit departments are moving toward agile auditing, they struggle finding an effective technique for planning that goes beyond the traditional risk assessment. We recommend using exploratory data analytics to focus the agile plan and address those risks with the greatest exposure.
Join AuditNet for this Webinar featuring Toby DeRoche and Jen Terry from Wolters Kluwer TeamMate.  Register Now!

Implementing and Auditing GDPR Series (6 of 10) June 18. 2020, 12:00 PM EST (2 CPE) Cost: $50 (free for subscribers and site license users) Protecting personal data has been an important issue for many years. The EU GDPR extends the data rights of individuals, and requires organizations to develop clear policies and procedures to protect personal data, and adopt appropriate technical and organizational measures. UK organizations have had to comply with the Regulation since 25 May 2018, or potentially face fines of up to 4% of annual turnover or €20 million – whichever is greater. Register Today!

When is a duplicate not a duplicate? June 25, 2020 1:00 PM - 2:30 PM (1.5 CPE) Cost $0  (Opt-in required for all who register) Join us for a look at duplicates testing and the inherent value of fuzzy data matching. Identifying fuzzy duplicates has never been easier. Arbutus Analyzer’s versatile functionality enables even new users to detect possible duplicate payments, vendors sharing similar addresses among themselves or with your organization’s employees, and counter parties who may be on government watch lists. Our webinar includes nine different scenarios with detailed descriptions of the tests and their results. Register Today!

Implementing and Auditing GDPR Series (7 of 10) July 7. 2020, 12:00 PM EST (2 CPE) Cost: $50 (free for subscribers and site license users) Protecting personal data has been an important issue for many years. The EU GDPR extends the data rights of individuals, and requires organizations to develop clear policies and procedures to protect personal data, and adopt appropriate technical and organizational measures. UK organizations have had to comply with the Regulation since 25 May 2018, or potentially face fines of up to 4% of annual turnover or €20 million – whichever is greater. Register Today!

Cybersecurity Update July 7. 2020, 12:00 PM EST (2 CPE) Cost: $50 (free for subscribers and site license users) Organizations are increasingly looking to their Internal Auditors to provide independent assurance about cyber risks and the organization's ability to defend against cyber attacks. With information technology becoming an inherent critical success factor for every business and the emerging cyber threat landscape, every internal auditor needs to equip themselves on IT audit essentials and cyber issues. Register Today!

Featured Articles

Featured ArticleThis Month's Featured Articles

Kl Logo The People Side of COVID-19: The Ultimate Test of Operational Resilience? This Flash Report highlights key points on how companies can emerge from the COVID-19 crisis as they apply pandemic protocols and put their response plans into action. Read the rest of the story!

Ia 360 Logo  Internal Audit’s Role in Building a Culture of Accountability -  Holding people and organizations to account has historically been a case of pinning blame on them for failures they either caused directly or should have been aware of. As a result, organizations should not be surprised if employees are reluctant to embrace a culture of accountability. Read the rest of the story!

Idea2019 The changing role of internal audit and use of technology - The role of internal audit is changing because of increasing business complexity and challenges. Internal auditors understand there is an expectation to fulfill compliance mandates while also reducing costs and providing insight as a strategic advisor to the business. An Ernst & Young survey shows that only 27% of internal auditor functions are considered strategic advisors; of those surveyed, 54% intend to be advisors within the next two years, but their biggest skills gap is in data analytics Read the rest of the story!

Wolters Kluwer Auditing Culture: Defining Culture? The Institute of Internal Auditors (The IIA) has recently highlighted the need for auditors to assess organizational culture, but there is very little guidance on how to accomplish the task. At first glance, culture may seem like just another risk factor to consider in a governance audit. On the other hand, auditing culture could be seen as the basis for the entire audit plan.-  The rest of the story!

Surveytake AuditNet Survey - Internal Audit and Covid-19 - This survey addresses internal audit preparedness for continuing operations during a pandemic and assessing risk for business continuity. All survey respondents will receive the survey results and a free one week subscription to AuditNet (registration and opt-in required) with access to more than 3,100 templates (including business continuity and COVID templates) and an invitation to a one hour Webinar on Internal Auditing and COVID-19 with CPE.

Writers WantedDo you have experience writing audit procedures? AuditNet® is looking for internal audit professionals to develop engagement work programs and procedures on a contract basis. AuditNet®, the largest repository of audit work programs and templates, is looking for new content including industry specific audit procedures. If you can create risk or internal control matrices, audit program guides, audit procedures or other documentation for conducting compliance, operational or financial audits get in touch with us at info @ auditnet.org. Please include a list of documents you can prepare, the industry relevance, and your experience.  Check out our current inventory to see if there are areas missing that you could fill in. Audit documents that include data analytic steps would be given priority.

Mis LogoThe Why and How of Auditing Corporate Culture - The emerging flavor of the month in regulatory circles is the “culture of compliance” with recognition that corporate culture has a profound influence on how an organization conducts its business.
A culture that consistently places ethical considerations and client interests at the center of business decisions helps protect employees as well as investors and the integrity of the markets. Conversely, significant cultural failures can impose substantial harm on companies themselves including fines, penalties, and loss of reputation. Read the rest of this article!

Ia TrainingWebinars1

 2020 Webinar Recordings and Series 

Register for Webinars Offered by AuditNet®. Our 2020 Webinar program features high quality presenters on technology and skills topics. Who says you have to make a drive and give up a day in the office to receive quality training on audit hot-topics? Our courses will hit topics hard and bring you up to speed as you begin your 2020 training. Check out our Webinar offerings with CPE for subscribers and site license users! Missed the live sessions? Connect with our partner site  cRisk Academy to discounted subscriptions for on demand courses with CPE (fee based). 

We continue adding events to our Webinar schedule for 2019 and the registration information will be posted in the Events listing on the home page ASAP. Watch for updates on the dates and registration links! Following are the current Webinars available for registration: 

  Jason MedfordC Risk Logo     The #1 on-demand and webinar training platform for internal auditors. Technical and soft-skills to help you succeed in your career.  - View a large library of on-demand training, that is significantly discounted over what you would normally invest in a live, in-person training. You still have the same material, but can now watch it when, and where you desire . Any Time, Any Where, on Any Device!

Check out the full schedule of on-demand training available!

AuditNet® Training Plan - Get access to all of the AuditNet® content on cRisk Academy for one low price

Data Analytics for Internal Auditors

Data Analytics for Internal Auditors on a Flash Drive - 6 webinar series

Since the spread of IT systems has made it a prerequisite that auditors as well as management have the ability to examine high volumes of data and transaction in order to determine patterns and trends. In addition, the increasing need to continuously monitor and audit IT systems has created an imperative for the effective use of appropriate data mining tools.

While a variety of powerful tools are readily available today, the skills required to utilize such tools are not. Not only must the correct testing techniques be selected but the effective interpretation of outcomes presented by the software is essential in the drawing of appropriate conclusions based on the data analysis. This 6 webinar series, based on Richard Cascarino’s book “Data Analytics for Internal Auditors” covers these skills and techniques.

Cyber Sec1Fd Templates   Did you miss the AuditNet® Data Analytics for Internal Auditors or the Cybersecurity Webinar Series?  Richard Cascarino conducted a series of 6 Webinars on Data Analytics for Internal Auditors and a 10 Webinars last year on Cybersecurity for AuditNet®. If you weren't able to attend we now offer the complete series of recordings and slides on a flash drive.   Here is the information on this series of recorded webinars and the pricing

Subscription Benefits Benefits for Subscribers? AuditNet® subscribers (and site license users) can choose from over 3,100 templates (audit programs, matrices, checklists, e-books and more) available for download. The templates are meant to be idea generators that help jump start your audit project. But that's not all! Subscribers (all but free) and site license users can register and attend AuditNet® Webinars and receive CPE at no additional cost.  

WhatsnewAuditNet® offers a new delivery method for our Webinars through a partnership with cRiskAcademy. AuditNet® continues adding resources and tools for GDPR compliance. COSO-ERM and IT control objectives. We use a third party to develop GDPR templates and are being uploaded for subscribers and site license users over the next couple of months. There will be COBIT templates, new control matrices, control self assessment templates and more added over this year. AuditNet® continues to be the most comprehensive online portal for the global audit community. Watch for new templates available to subscribers and site license users (ACL, IDEA, TeamMate, KnowledgeLeader, AHIA, and SAP), Webinar fees are waived for subscribers and site license users. Check the AuditNet® Library for the GDPR resource page.

Templates on a Flash Drive - Tired of searching and downloading the templates one by one. We now offer the "AuditNet® content Templates on a Flash Drive" for individuals and companies. We have set up the ability for individuals, groups and vendors to acquire and use the AuditNet® content. Individuals and groups will be able to get a flash drive with all the templates available to subscribers as of December 31, 2018 (over 3,000). The templates on a flash drive can be used for non-commercial use within your own organization (no sharing with others). Pricing will be based on staff size.  Vendors will be able to acquire the templates for commercial purposes under a separate licensing agreement. The pricing for the "Templates on a Flash Drive" is available now. If you are interested in pricing or have other questions on this new option send an email to   info@auditnet.org.  

Cpe More CPE NEWS

AuditNet® offers recorded Webinars through CPDPhilippines.ph, the online platform of Global Artificer an accredited Continuing Professional Development (CPD) Provider in the Philippines. CPDPhilippines.ph's platform helps Filipino Professionals improve and promote their proficiency and expertise through online learning delivered by professionals who have mastered their profession.

AuditNet® continues it's commitment to providing resources for the global audit community!

Check out the Webinars available from  cRisk Academy for on demand viewing with CPE: (Recordings available with CPE from cRisk Academy only $9/month for AuditNet® subscribers)

 Fd Webinars AuditNet® added new series to the growing list of training available any where, any place and any time. Check out the IT Fraud and Internal Audit Basics recordings available on a flash drive or for download via Google Drive.  

AuditNet® Adds Key Word Files and Webinar Recording Options (Downloadable or on a Flash Drive) Did you miss our Minutes to Analytics Data Analytics Webinars? Not to worry - we have loaded the 2016 Minutes to Analytics Webinars on a flash drive including the recordings, data files, slides, and an app so you can watch the training at your convenience. The flash drive with all the recordings and files are available for $199. You can use these on your laptop when you are on the road, your desktop in your home or office or use them for training your staff. Check out the  Webinars on the drive with a link to pay at this article. Unfortunately we cannot offer CPE for viewing these Webinars however at $199 is a great deal and of course the knowledge is "priceless"! 

ADDED BENEFIT: Order any of our audit training on a flash drive (Minutes to Analytics, IT Audit Training, IDEA Audit Training) and you will receive Data Mining for Payroll Fraud on DVD at no extra charge. This is a limited time offer. Add a Premium Subscription to any Training on the Go Flash Drives for only $100!  The following AuditNet®training is available on flash drives:

Available Webinars on a Flash Drive or Downloadable from Google Drive (including  Key Word Analytics)
  1. Implementing and Auditing GDPR (10 Recordings) Coming this year!
  2. Minutes to Analytics 
  3. IT Audit (Basic and Advanced (10 recordings)
  4. IDEA Audit Software (12 recordings)
  5. IT Fraud (2017 Series 8 recordings
  6. Internal Audit Basics 8 Recording) 
  7. Auditing with Excel
  8. Auditing with ACL
  9. Cybersecurity for Auditors 
  10. Data Analytics for Internal Auditors 

Can't make our live Webinars? Then here an option to watch out previously recorded webinars and earn CPE. We are making all our Webinars available on-demand with CPE from  cRisk Academy. You can view the recorded Webinars for only $9/month for AuditNet® Subscribers (Basic, Premium and Site License Users). $59/month for non-subscribers. Subscribers pay $600 less annually! cRisk Academy subscriptions provide on video on demand with CPE for all of our recorded Webinars for one low monthly fee (not per Webinar). 

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FreecpeSUBSCRIBERS BENEFIT! AuditNet® current paid subscribers (basic and premium) and enterprise site license users enjoy the benefit of registering and attending AuditNet® featured Webinars without paying an event fee (does not apply to no cost or trial subscriptions). Those who attend will earn CPE. The bottom line is that subscribers have the ability to download AuditNet® content AND earn CPE by attending our AuditNet® featured Webinars! Attendance at our featured Webinars will be limited to the first 1,000 AuditNet registered subscribers  and site license user attendees logging in so it is important to register for the events and then log in early on the scheduled day. Due to the limitation on Webinar seats non-subscribers can register and attend the Webinars but must opt-in for our mailing list. Non subscribers or non site license users who attend and want CPE must meet our eligibility criteria and pay a processing fee for CPE. Non-subscribers or non site license users who chose to opt-out will not be approved to attend and their registration link will be revoked. AuditNet® reserves the right to deny any user attendance to the webinars if they opt out of our mailing list. The CPE, registration, and attendance policy is subject to change at our discretion.


It Audit

AuditNet® and Richard Cascarino and Associates offer a structured learning curriculum for IT audit. The recorded courses are designed to build on skills developed from prior knowledge or training. Auditors can choose between the complete series or pick and choose specific recordings depending on both needs as well as budgetary financial constraints.The study program consists of 5 modules Basic and 5 modules Advanced spanning a broad range of topics and issues in the IT Auditing. The emphasis is therefore on practical aspects of internal auditing.The course content is based upon ISACA Framework which has been accepted world-wide as the basis of skills and competencies required for all IT Auditors. (Please note these recordings are presented by a partner of AuditNet® with no CPE provided. Any questions or details of the recordings should be directed to  Richard Cascarino.  IT Audit Recorded Training (no CPE) 10 2 hour Webinars Click  here for more info.

IDEA Recorded Training (no CPE)   - a series of twelve 2-hour recorded webinars designed to build on skills developed from prior knowledge or training. Auditors can choose between the complete series or pick and choose specific recordings depending on both needs as well as budgetary financial constraints.
 Videos2AuditNet® Recorded Webinars now available at cRiskAcademy

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