Tag Archives: case file

Auditor Struggles, Part 2

This is Part 2 of a Case File series that describes how real auditors tried to apply questionable methods to auditing and data profiling. See Part I.

I picked one of the fields and said, “Please show me how you profiled the Status field, for example.”

The auditor proudly projected his Excel spreadsheet on the conference room screen. He said, “I filtered the Status field to display only records containing ‘Complete’, noted the number of filtered records in the lower left corner, and recorded the value and the number of records in the document.”

Continue reading

2 Comments

Filed under Audit, Case Files, Data Analytics, Excel

Auditor Struggles, Part 1

Some auditors struggle with basic auditing. So when these auditors try to data analysis, well you can imagines how that goes.

I recently met with a team of auditors to give them input on what data profiling would be appropriate to perform. And what analytics might be insightful.

This is Part 1 of a 4-part Case File series that describes how real auditors tried to apply questionable methods to auditing and data profiling. Do not try these methods at home or work. Don’t even dream about them, awake or asleep. 

Continue reading

4 Comments

Filed under Audit, Case Files, Excel

Conclusion: Audit Server Disappeared

In Case File: Audit Server Disappeared, I noted that a friend of mine learned that  IT had, on its own prerogative, wiped a server belonging to Internal Audit because “it never appeared to be used.”

Some of you already commented on some of the issues involved in this incident and the normal IT activities that should have prevented this incident (or at least alerted IT that something was wrong). Let’s review those comments and I’ll add some other details and comments.

Continue reading

3 Comments

Filed under Audit, Case Files

Case File: Audit Server Disappeared

My friend Brenda is an auditor who came to work one day and couldn’t connect to her department’s audit server.

Brenda called the help desk and told them she couldn’t connect. She wasn’t sure what the server’s name was, so the help desk had a bit of trouble finding it.

Continue reading

16 Comments

Filed under Audit, Case Files, Security