公开(公告)号：WO2009091613A2

公开(公告)日：2009-07-23

申请号：PCT/US2009/000374

申请日：2009-01-20

Applicant: THOMSON REUTERS GLOBAL RESOURCES ,  SPRADLING, L., Scott ,  LINDSEY, Stephen, W.

Inventor： SPRADLING, L., Scott ,  LINDSEY, Stephen, W.

IPC: G06Q10/00

CPC classification number: G06Q40/00 ,  G06F21/577 ,  G06Q40/02 ,  G06Q40/06

Abstract: The present invention provides a computer-implemented method and system for assessing internal controls. The method includes: presenting internal control items; processing an input set associated with at least some of the internal control items; and (c) generating a set of assessment information based on the processed input set. The method may further include one or more of: (d) prior to presenting, automatically grouping and presenting a subset of the plurality of internal financial control items based on a user input related to an assessment of risk; (e) prior to presenting, automatically presenting a previously identified risk associated with one or both of an audit area and a transaction class associated with a subset of the plurality of internal financial control items; (g) receiving a user test input designating an internal financial control item for testing and presenting a set of test procedures associated with the designated internal financial control item; (h) documenting assessments with the set of test procedures; and (i) receiving from a user a plurality of inputs representing user assessment of the effectiveness of internal financial control items and presenting a summary of the effectiveness assessments.

Abstract translation: 本发明提供了一种用于评估内部控制的计算机实现的方法和系统。 方法包括：提出内部控制项目; 处理与所述内部控制项目中的至少一些相关联的输入集合; 和（c）基于经处理的输入集合生成一组评估信息。 该方法还可以包括以下一个或多个：（d）在呈现之前，基于与风险评估相关的用户输入，自动地对多个内部财务控制项的子集进行分组和呈现; （e）在呈现之前，自动呈现与所述多个内部财务控制项目的子集相关联的审计区域和交易类别中的一个或两个相关联的先前识别的风险; （g）接收指定内部财务控制项目的用户测试输入，以测试和呈现与指定的内部财务控制项目相关联的一组测试程序; （h）使用一套测试程序记录评估; （i）从用户那里接收多个输入，表示用户评估内部财务控制项目的有效性，并呈现有效性评估的摘要。

公开(公告)号：WO2009091613A3

公开(公告)日：2010-01-14

申请号：PCT/US2009000374

申请日：2009-01-20

Applicant: THOMSON REUTERS GLO RESOURCES ,  SPRADLING L SCOTT ,  LINDSEY STEPHEN W

Inventor： SPRADLING L SCOTT ,  LINDSEY STEPHEN W

IPC: G06Q10/00

CPC classification number: G06Q40/00 ,  G06F21/577 ,  G06Q40/02 ,  G06Q40/06

Abstract: The present invention provides a method and system for assessing internal controls including processing information and generating assessment information Financial control items may be grouped and analyzed based on user input and risk The risk is associated with an audit area and/or a transaction class Based on user input and related financial risk, testing the information, documenting and presenting the results are based In user input for the assessment and related effectiveness

Abstract translation: 本发明提供了一种用于评估内部控制的方法和系统，包括处理信息和生成评估信息可以基于用户输入和风险对财务控制项目进行分组和分析。风险与审计区域和/或交易类别相关联基于用户 输入和相关的财务风险，测试信息，记录和呈现结果基于用户输入的评估和相关有效性

公开(公告)号：WO2009055023A3

公开(公告)日：2009-06-11

申请号：PCT/US2008012106

申请日：2008-10-24

Applicant: THOMSON REUTERS GLO RESOURCES ,  SPRADLING SCOTT L ,  LINDSEY STEPHEN W ,  KERSHNER MARRIETTE L ,  BASSETT JAMES B ,  JACOBUS CHARLES ,  KNAPP KATHIE

Inventor： SPRADLING SCOTT L ,  LINDSEY STEPHEN W ,  KERSHNER MARRIETTE L ,  BASSETT JAMES B ,  JACOBUS CHARLES ,  KNAPP KATHIE

IPC: G07F19/00

CPC classification number: G06Q10/0635 ,  G06Q10/0639 ,  G06Q40/12 ,  G06Q40/123 ,  G06Q50/18

Abstract: The present invention provides a computer-implemented method for assessing risks associated with an audit. A user is presented with a plurality of audit items and a set of risk levels associated with the audit items and may also be presented with a plurality of prompts designed to elicit a set of responses from the user. The set of user responses being associated with a set of risks associated with the audit. The set of risk levels being associated with a set of assertions associated with the audit items and may include first and second risk levels of different degrees. The method further includes processing a set of responses received from the user in response to the items presented. The method includes automatically generating a suggested audit approach that is based at least in part on the processed responses. The method may also determine a set of procedures that are based on the responses. The set of procedures are presented to the user based on the suggested audit approach. The user is presented for selection with a set of audit approaches comprising the suggested audit approach and an alternative audit approach. The present invention provides a computer-implemented method for automatically generating and placing documents associated with a tax and accounting related engagement, for example assessing risks associated with an audit. The method further includes automatically generating documents associated with the suggested audit approach and placing the automatically generated documents within a predefined set of folders.

Abstract translation: 本发明提供了一种用于评估与审计相关的风险的计算机实现的方法。 向用户呈现多个审计项目和与审计项目相关联的一组风险等级，并且还可以呈现多个提示，用于从用户引出一组响应。 用户响应集与一组与审计相关的风险相关联。 该组风险等级与一组与审计项目相关的断言相关联，并且可能包括不同程度的第一和第二风险等级。 该方法还包括响应于呈现的项目处理从用户接收的一组响应。 该方法包括自动生成建议的审计方法，该方法至少部分基于处理的响应。 该方法还可以确定基于响应的一组过程。 基于建议的审计方法向用户呈现该组程序。 用户通过一套包含建议的审计方法和替代审计方法的审计方法进行选择。 本发明提供了一种计算机实现的方法，用于自动生成和放置与税务和会计相关的参与相关的文件，例如评估与审计相关的风险。 该方法还包括自动生成与建议的审计方法相关联的文档，并将自动生成的文档放置在预定义的文件夹集合内。

公开(公告)号：WO2009055023A2

公开(公告)日：2009-04-30

申请号：PCT/US2008/012106

申请日：2008-10-24

Applicant: THOMSON REUTERS GLOBAL RESOURCES ,  SPRADLING, Scott, L. ,  LINDSEY, Stephen, W. ,  KERSHNER, Marriette, L. ,  BASSETT, James, B. ,  JACOBUS, Charles ,  KNAPP, Kathie

Inventor： SPRADLING, Scott, L. ,  LINDSEY, Stephen, W. ,  KERSHNER, Marriette, L. ,  BASSETT, James, B. ,  JACOBUS, Charles ,  KNAPP, Kathie

IPC: G06F3/048 ,  G06Q10/00

CPC classification number: G06Q10/0635 ,  G06Q10/0639 ,  G06Q40/12 ,  G06Q40/123 ,  G06Q50/18

Abstract: The present invention provides a computer-implemented method for assessing risks associated with an audit. A user is presented with a plurality of audit items and a set of risk levels associated with the audit items and may also be presented with a plurality of prompts designed to elicit a set of responses from the user. The set of user responses being associated with a set of risks associated with the audit. The set of risk levels being associated with a set of assertions associated with the audit items and may include first and second risk levels of different degrees. The method further includes processing a set of responses received from the user in response to the items presented. The method includes automatically generating a suggested audit approach that is based at least in part on the processed responses. The method may also determine a set of procedures that are based on the responses. The set of procedures are presented to the user based on the suggested audit approach. The user is presented for selection with a set of audit approaches comprising the suggested audit approach and an alternative audit approach. The present invention provides a computer-implemented method for automatically generating and placing documents associated with a tax and accounting related engagement, for example assessing risks associated with an audit. The method further includes automatically generating documents associated with the suggested audit approach and placing the automatically generated documents within a predefined set of folders.

Abstract translation: 本发明提供了一种用于评估与审计相关的风险的计算机实现的方法。 用户被呈现与审核项目相关联的多个审核项目和一组风险级别，并且还可以呈现设计成从用户引出一组响应的多个提示。 该组用户响应与与审计相关的一组风险相关联。 一组风险水平与与审计项目相关联的一组断言相关联，并且可以包括不同程度的第一和第二风险水平。 该方法还包括响应于所呈现的项目来处理从用户接收的一组响应。 该方法包括自动生成至少部分基于所处理的响应的建议的审计方法。 该方法还可以确定基于响应的一组过程。 根据建议的审计方法向用户提供一套程序。 用户可以通过一套包括建议的审计方法和替代审计方法的审计方法进行选择。 本发明提供了一种计算机实现的方法，用于自动生成和放置与税务和会计相关参与相关联的文档，例如评估与审计相关的风险。 该方法还包括自动生成与建议的审计方法相关联的文档，并将自动生成的文档放置在预定义的一组文件夹内。