Creation of Audit Applications with Microsoft Office 97 Software
FTA Technology
Conference
Creation of Audit Applications with
Microsoft Office 97
Software
North Carolina Department of Revenue
Introduction of Speakers
James Mclain, Software Development
Specialist, Field Examination Section
Jerry Coble, Workload Management
Specialist
2
Presentation Objectives
• Assessment of NCDOR
•
History of Hardware and Software
Utilization by Field Examinations
•
Explore Software Development
– MS Excel 97
–
MS Access 97
– MS Word 97
3
Assessment of
North Carolina
Department of
Revenue
4
NC Department of Revenue
Field Examinations
175 Field Employees (Auditors & Staff)
–
13 In-state Field Audit Offices
– 20 Interstate Field Audit Offices
5
History
Software and
Hardware
Development
6
Hardware and Software
• Pre 1988 - No computers were in use by Field
Examination personnel.
Audit reports were prepared manually and a variety of report designs were used by the audit staff.
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Hardware and Software
• 1988 - The Field began to experiment with computers. The first computers tested were dual floppy drive laptops. The software was Professional File,
Write, and a short time later Professional Plan .
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Hardware and Software
•
Basic databases were developed by auditors for use in creating audit working papers.
•
Later a Development and
Training Team was created to aid auditors with software development.
9
Hardware and Software
• 1996 - We went to a
Windows 3.11 platform and Microsoft Excel,
Word and Access.
•
This was the first time all auditors had same hardware with a Dell
Latitude 75 laptops with docking station & 14” monitor.
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Today’s Hardware
•
Dell Latitude CPI D266XT laptop
–
64 RAM, Pentium II, 4.3 GB hard drive
–
CD-ROM drive & 1.44 MB Floppy drive
– Docking Station & 17” Monitor
•
Desktop Dell P6400 (100MHz FSB)
–
64 RAM, 6.4 GB hard drive,
– CD-ROM drive & 1.44 MB Floppy drive
– 17” Monitor
•
Server for each In-State office
– 31.8 GB, Compaq tower 11
Tax Schedules Audited by Field
Examinations
•
Sales and Use Tax
•
ASTS
–
White Goods Disposal Tax
– Scrap Tire Disposal Tax
–
Utilities Sales Tax
– Motor Vehicle Lease / Rental Tax
–
Dry-Cleaning Solvent Tax
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Tax Schedules Audited by Field
Examinations
•
Individual Income Tax
•
Corporate Income and Franchise Tax
•
Individual Income Tax Withholding
•
Tobacco and Soft Drink Tax
•
Privilege Tax
•
Alcohol Beverage Tax
•
Inheritance & Gift Tax
13
Software Objectives
•
Create Applications for Use by Field
Auditors for the Completion of Audits
•
Aid the Entry of Audit Data Into the
Integrated Tax Administration System
(ITAS)
•
Provide a Basic Software Package That
Allows Flexibility in Conducting Audits on a Multitude of Tax Schedules
14
Implementation Process
•
Convert Audit Applications From MS
Excel 5.0 to MS Excel 97
•
Incorporate New Features of MS Excel
97 Into the Converted Audit Applications
•
Testing of the Converted Applications
•
Train the Key Users
•
Train Remaining Field Audit Personnel
15
Microsoft
Windows NT
Workstations 4.0
16
The Field Auditor’s
Desktop
17
18
Special
Customization for Auditors
19
The Field Auditor’s
Desktop
Custom Help for
Field Auditors
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Software
Development
Microsoft Office 97
–
Microsoft Excel 97
–
Microsoft Word 97
–
Microsoft Access 97
The Field Auditor’s
Desktop
28
Microsoft Excel
97
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Audit Applications
Sales & Use Tax Applications
•
Sales and Use Tax
•
Sales and Use Tax - 2% and 3% State
•
Mecklenburg Transit Tax
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Audit Applications
Corporate Income and Franchise Tax Audits
•
98 - 94 Corporate Income &
Franchise Tax
•
93 - 89 Corporate Income &
Franchise Tax
•
88 - 74 Corporate Income Tax
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Microsoft Access
97
Audit Database
MS Access 97
•
Sales And Use Tax
•
Bank Account
Analysis ( Under development )
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Microsoft Word 97
Audit Forms and Letters
MS Word 97
• FA Forms
–
Remarks, Checklist
–
Managed Audit Letters
– POA’s, Etc.
• FA Letters
–
Appointment Letter
–
Waivers of Time
– Completion Letter
– Projects, Etc.
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Software Updates
•
Scheduled Updates
–
January 1
• Interest Workbook
•
Individual & Corporate Applications (New Year)
–
July 1
• Interest Workbook
• Revisions to packages
•
Non-scheduled
– As Need to Implement corrections
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Scheduled
Updates
•
Workbooks revised by developer
•
Revisions loaded on Raleigh Server
•
PDT Loads to local servers and add Bat file to automatic update auditor’s computer.
• Update runs on login of the auditor’s computer.
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Non-scheduled
Updates
•
As needed to make corrections or add new templates
•
Revised or created by developer
•
Loaded on the Raleigh server.
•
Key users load files to local servers and assist the auditors in updating their computers
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Questions ?
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Thank You!
James E. Mclain, 417 N. Main St.,
Salisbury , NC 28144 (704) 639-7525
E-mail jemcl@ncdial.net
Jerry L. Coble, 501 N. Wilmington St.,
Raleigh, NC 27604 (919) 733-3510
E-mail cobledor@ncdial.net
John W. Sadoff, 500 W. Trade St.,
Charlotte, NC 28202 (704) 342-6128
E-mail jwsdor@ncdial.net
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