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Fundamentals of Auditing Process Automation (OFFERED VIRTUALLY)

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Date(s): May 19, 2020 - May 20, 2020
Time: 8:15AM - 4:30PM
Registration Fee: $429.00
Cancellation Date: May 12, 2020
Map to Facility:

Course Description



In the quest toward enhanced speed to market, lower expenses and improved customer engagement, enterprises of all shapes and sizes are looking to see how automation can give them the advantage over their competition and aide in maintaining the increased pressure of regulatory compliance. Determining what solution best fits, a given entity can be challenging as automation solutions can range from simple macros to functional specific tools generally used for IT process automation to robotic and cognitive automation tools including Robotic Process Automation.


In this two-day session, we will provide a high-level overview of the preparation required and important changes an entity should plan for before and during the transformation of IT and business processes.


Attendees will learn through lecture and small group activities, the differences between various types of process automation and DevOps, the importance of governance and ethics in automation, how to understand workflows and gain tips for assessing automation.


By the end of the event attendees will have heard and participated in several exercises to get a better feel of the activities that aide in determining, building and assessing automation initiatives.

Potential CPE Credits: 16.0
Govt Hours: This class meets 16.0 hours of the 24-hour requirement for governmental CPE under Government Auditing Standards (yellow book), in most cases.
Technical Hours: This class meets 16.0 CPE credits of technical training in compliance with Texas Admin. Code Rule 523.102.

Instruction Type: Live
Experience Level: INTERMEDIATE
Category: 02 Auditing

Course Objectives

Upon completion of this course, participants will be able to:

  • Understand the impact of process automation on an organization
  • Recognize the governance and ethics issues related to automation
  • Assess automation initiatives the expected changes that will come about via the transformation of IT and business processes


Automation Explained

• Explore basic concepts about Business Process Automation (BPM)
• Explore basic concepts of Robotic Process Automation (RPA)
• Explore basic concepts of DevOps
• Discuss the differences between Macros, business process automation and robotic process automation vs. DevOps

Governance (and Management) of Automation
• Understand why automation initiates requires effective governance
• Discuss the fundamental activities performed by Automation Governance Committees
• Explore common measurements to assess the effectiveness of Process Automation Program Initiatives
• Describe Automation Strategy and Program 
a. How to develop a process inventory
b. Explain why a maturity assessment is critical before automation is considered 
i. How to conduct an automation maturity assessment
ii. How the results of the AMA are used to prioritize
c. How Six Sigma techniques are employed during automation projects
d. What characteristics should be considered when determining whether macros, business process automation or robotic process automation should be deployed
• Examine the critical role played by the Center of Excellence “CoE” and its interaction with Project, Process and Assurance teams within the enterprise

Ethics of Automation
• Describe automation ethics
• Assess common ethical challenges associated to automation 
• Discuss ways to overcome common automation concerns
• Describe how machine learning and Artificial Intelligence are changing “bots” capabilities and how that will impact ethics in the near future

Understanding Workflows–Automation of IT and Business Processes
• Discuss where each of the three methods of automation is being implemented into common IT and Business Processes
• Gain a better understanding on the importance of process flows in automation initiatives
a. Describe the use of the SIPOC
b. Describe the use of the RASCI
c. Describe the use of the Process Workflow
i. Traditional Process Flowcharts
ii. Swimlanes
d. Describe why dataflow diagrams are necessary in automation projects
e. Describe how API/Service documentation is used in automation initiatives
f. Describe how network diagrams are used in automation initiatives

Tips for Assessing Automation

• Overview of Process Automation Self-Assessment Activities for macros, BPM and RPA
• Explore testing activities when conducting a process automation audit for macros, BPM and RPA
• Review a key data requests when conducting a process automation audit for macros, BPM and RPA
• Examine common questions to ask during process automation audits for macros, BPM and RPA


No prerequisites required. A computer/tablet with internet connection and a microphone is required to attend this course.

[GAGAS, 4.23(k)]


Tom Salzman



Thomas Salzman is a Senior Instructor for MIS Training Institute, and formerly IT Audit Manager for Illinois State University, where he managed all computer audits conducted by the University. His responsibilities included working with educational and administrative departments throughout the University to prepare and streamlining IT policies and procedures, improving operational processes and controls, and developing methodologies for managing computer resources. His work required him to be skilled in telecommunications controls, application management, computer intrusion, security management, and application design and development. A much in-demand speaker, Mr. Salzman teaches a variety of computer management and audit topics worldwide. He has presented numerous IT courses throughout the world, including the USA, Panama, Canada, Argentina, England, Hungary, Indonesia, Turkey, United Arab Emirates, Kuwait, Singapore, Japan, Guam, Puerto Rico, Cyprus, Trinidad and Tobago, and Guyana. Mr. Salzman develops and conducts IT audit courses for MIS Training Institute. Most recently, he also has been conducting IT audit and control webinars with MIS Training Institute. Mr. Salzman is the recipient of the College and University Auditors Excellence in Service Award and is honored to be an original member of the Association of College and University Auditors Faculty. He also has served on the faculty of DePaul University in Chicago. Mr. Salzman has assisted a number of financial institutions, manufacturing concerns, universities, government agencies, and energy companies with building new IT and IT audit functions from scratch. Previously, Mr. Salzman was Director of Professional Services for the Information Systems Audit and Control Association (ISACA) where he was responsible for establishing and supporting its worldwide network of educational programs, conferences, and special events. He also served as editor and co-author of the ISACA CISA Review Manual. Prior to joining ISACA, Mr. Salzman was with Coopers & Lybrand, heading their Technical Training & information Security practices. Mr. Salzman has been President of the Institute of Internal Auditors NW Chicago Chapter, and Treasurer of the IIA Central Illinois Chapter.

Additional Information

TAC Rule 523.142(g) requires the CPE Sponsor to monitor individual attendance and assign the correct number of CPE credits. Participants will be asked to document their time of arrival and departure in compliance with this Rule. Additionally, attendance will be monitored throughout the day and CPE certificates will reflect actual attendance of each participant.

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