Dallas Chapter of the IIA / 2002 Reserach Committee Survey

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Innovative Uses of Computer Audit Techniques and Continuous Auditing

We are excited to be researching this topic because it will benefit every internal auditor and company.

You can use the results to benchmark your company's implementation of computer audit techniques:

Are you an early implementer? The results can reinforce your decision and tell you about possible additions to your toolbox.
Is your company slow to adopt? We will identify benefits to help you support an implementation plan.

You will also learn about the techniques and advantages of continuous auditing. Then you can use the research as a basis to start or fine tune your company's program.

Thank you for participating in the annual research project.

The survey is open to all chapter members to complete. Please complete by clicking the radio buttons or filling in the text boxes in response to the questions provided. Text boxes will wrap and hold more characters than displayed. Finish by clicking the "Submit" button when you are done.

Please respond by Thursday, February 28, 2002.

1. Does your company utilize an automated workpaper tool?
Yes	No (Skip to #5)

2. Is it mandatory within the company?
Yes	No

3. Automated workpaper package(s) used:

4. To what extent does it replace paper files? (Check best answer)
76 - 100% replaces paper	51 - 75% replaces paper
26 - 50% replaces paper	0 - 25% replaces paper

5. Do you use computer audit techniques to perform risk assessments?
Yes	No (Skip to #8)

6. Computer audit techniques tool(s) used:

7. What are the benefits?

8. Does your company have a follow-up program to monitor audit results and management actions?
Yes	No (Skip to #12)

9. Do you track issues to resolution?
Yes	No

10. What is the the frequency of follow-up? (Check best answer)
Quarterly	Annually
Other: (Please Specify)

11. Briefly describe follow-up actions (email, testing, etc):

A continuous auditing program can involve regular meetings with auditees, monitoring key performance indicators, or other ongoing processes to select audit scope throughout the audit cycle based on risk factors.

12. Do you have a continuous auditing program?
Yes	No

13. What tools do you use to monitor and stay informed about your auditees’ business?

Thanks again for your participation in the Dallas IIA research project. Please let us know your name and employer so we can properly catalog the results:

Name
Company
Title/Position
Number of total audit staff in your audit department
May we contact you if we need follow-up interviews?	Yes No
Phone
E-mail