Contributed June 17, 2002 by Melissa Perry <melissaperrycpa@yahoo.com>
Internal Audit
EDI/Order Fulfillment Audit
Q1, 2002
Index
Audit Area
A.
Administration
B. Audit Planning
C.
Trinary
D.
Web Page
E. AS400 Trusted Link
F.
Gentran
G. Trading Partner Agreements
H.
Translation Software
I. Change Control
J. EDI Communications Software
K. Application & Data File Controls
L.
Transmission Controls
M. File Retention & Recovery
N.
Test Procedures
O. Value Added Network Agreements
P. EDI Process & System Documentation
R.
Reporting
EDI Order Fulfillment Audit Program.doc
Page 1 of 19
Contributed June 17, 2002 by Melissa Perry <melissaperrycpa@yahoo.com>
Internal Audit
EDI/Order Fulfillment Audit
Q1, 2002
Program
Step
Audit Area
Sign
off
WP
Ref
A.
Administration
A-1
Document pre-planning meeting outlining high level scope and
objectives.
A-2
Based upon analysis of planning section below, identify the timing,
scope, and objectives of the audit and document in a planning memo
A-3
Develop the audit program.
A-4
Prepare the audit questionnaires by area and to discuss with appropriate
Company personnel.
Note: Questionnaires are designed to be completed for each separate
EDI related platform, where applicable.
A-5
Identify key contacts with titles and phone numbers for audit.
A-6
Obtain organizational charts for audit areas including Business Systems
and related customer service and sales units.
A-7
Prepare Audit W/P Index and insert copy in front of each binder.
A-8
Prepare a client assistance package.
B
Audit Planning
B-1
Obtain an understanding of the customer order processes (via
representative, sales force etc)
Obtain an understanding of the sales and marketing structure(s)
• Who is responsible management relationship with the customer
• Who determines product offering?
Obtain an understanding of pro