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The Audit Software Working Group monitors state usage of automated examination tools (ACL), technology changes, and emerging issues, in order to reevaluate examination processes and keep states abreast of the latest tools, techniques, and training.
2008 Charges
- Monitor state usage of automated examination tools (ACL and TeamMate), technology changes, and emerging issues in order to re-evaluate examination processes and keep states abreast of the latest tools, techniques and training by holding interim meetings, conference calls and training classes as necessary.
- Enhance current training opportunities for auditing tools and techniques: ISQ, Introductory ACL, Advanced ACL, TeamMate and offering on-site training programs that are available to states upon request.
- Oversee maintenance of the Examination Tracking System (ETS). The working group will provide quarterly reports to the Examination Oversight Task Force regarding state usage of ETS, number of exams in progress and planned, number of coordinated exams and number of zone exams. The working group will provide on-going administration, monitoring and enhancements to the features of the system dealing with financial and zone examinations.
- Continually review and consider revising the “Examination of Computer-Based Operations” and “Exhibit C – Evaluation of Controls in Information Systems” sections of the NAIC Financial Condition Examiners Handbook.
Charges that Represent New Objectives and Goals, Representing New NAIC Programs
- Develop new tools that will be part of a more complete information technology (IT) examination process.
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