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Z Sample CPE Tracking OMB Circular A-123 History Letter 1981 OMB - PDF document

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12/9/2019 Internal Control: Controlling Your Bots Dec. 11, 2019 | 2 3:50pm ET | FOS: AUDG 1 Z Sample CPE Tracking OMB Circular A-123 History Letter 1981 OMB First Issued Circular No. A-123, Internal Control Systems 1982

  1. 12/9/2019 Internal Control: Controlling Your Bots Dec. 11, 2019 | 2 – 3:50pm ET | FOS: AUDG 1 Z Sample CPE Tracking OMB Circular A-123 History Letter 1981 – OMB First Issued Circular No. A-123, Internal Control Systems • • 1982 – OMB Issued Internal Control Guidelines and the Federal Managers Financial Integrity Act was • enacted • 1983 – OMB Issued an Updated Circular No. A-123, Internal Control Systems • • 1986–OMB Updated A-123 to Require Management Control Plans to guide efforts • • 1995–OMB updated A-123, Management Accountability and Control to reflect GPRA, CFO Act, IG • Act • 2004 – OMB updated A-123, Management’s Responsibility for Internal Control and added Appendix A, • Internal Control Over Financial Reporting 2 1

  2. 12/9/2019 Speakers Dave Fitz, CGFM, CPA, PMP Partner KPMG LLP Margaret Moon Sean Vineyard Financial Systems Analyst, NSF Partner, Public Sector Practice 11 th Hour Service 3 What is RPA? Robotic Process Automation tools help businesses improve the effectiveness of services faster and at a lower cost • than current methods. RPA is software programmed to perform repeatable tasks. Using recorders and easy programming language, bots are programmed to replicate repetitive human tasks RPA operates in the User Interface layer. It is able to automate rules-based work without compromising the underlying IT infrastructure RPA can be implemented at the desktop or virtual environment to interact with a wide range of business applications RPA provides flexibility to quickly deploy bots onto existing desktops or virtually to save on additional hardware costs 4 2

  3. 12/9/2019 RPA automations • Robotic Process Automation tools help businesses improve the effectiveness of services faster and at a lower cost than current methods. Attended Robot Unattended Robot o Runs on an individual user’s machine o Runs on a dedicated server or virtual machine o Triggered manually by the operator when needed o Triggered automatically o Better for short, mid-volume tasks or o Can be used for all length and volume of those that require frequent human tasks. Does not use an employee’s intervention machine and minimal/no human intervention o Uses the human operator’s credentials (“CAC”) and system access o Can be run any time, day or night, 365 days a year 5 Automation technology readiness Access to appropriate machines (virtual vs. hardware), system access, credentials, and access testing will be required during this project. Development System Access Credentials Software Machines Access Testing • Set-up bot developers • Before configure • Set-up bot developers • Configure network and • Procure RPA licenses for access (development) – gain with credentials to train firewall permission • Process access to development the virtual workforce: access for bot • Virtual – require VPN owner/executor environments for developers and bots to access into a VM set-up ‒ PC and VPN log-in machines will need to systems used in access within the environments (including tokens) have video recording process: applications/tools/file capabilities to record • Hardware – PC will need ‒ System directories ‒ Critical to “train” bots the process (i.e. SnagIt, to be provided directly to development as new virtual users • Before configure WebEx) the development team environment log-ins (training) – conduct a • Before production – • Process • Both settings require ‒ Third-party step through of the prep bots for work: owner/executor local administrative rights systems/websites process machines will need to ‒ Update server log-ins and licenses ‒ Install automation ‒ To ensure the have pop-ups disabled hardware (e.g. software ‒ Other development (including anti-virus additional memory) access/handoff ‒ Install/upgrade other environment software) to support to run bot controllers points that require productivity tools includes everything smooth recording ‒ Set-up virtual log-in credentials necessary to machines with automate required software for ‒ Identify work- bots to perform work arounds to mirror production ‒ Confirm log-in access 6 6 3

  4. 12/9/2019 RPA & IT support considerations Robotic Process Automation tools help businesses improve the effectiveness of services faster and at a lower cost than current methods. • Short-term IT considerations ‒ IT support to obtain and install software instance (desktop or virtual machine) ‒ Provide user access to non-production systems, credentials, and to necessary data sources ‒ IT inputs on technology infrastructure, processes and workforce • Mid-term IT considerations: • Desktop Deployment ‒ IT procures, provides maintenance, and supports desktop machines ‒ Potential for low computing utilization due to processes that run concurrently must be on different machines • Virtual Machine Deployment ‒ Runs in the “background” ‒ IT provides server space ‒ VM deployment promotes server consolidation and allows processes to run simultaneously which increases computing utilization • Long-term IT considerations ‒ Approve software to move into agency C&A process ‒ Approve vendor license procurement strategy ‒ Establish IT infrastructure requirements ‒ Execute IT work request process ‒ Agree on RPA operating model and begin maturing capabilities 7 RPA vendor analysis Very Good  Poor Aspect Initial development cycles are Initial development cycles are Time to Delivery longer, but eventually faster to Fast development cycles Quick and intuitive development quick build and maintain Parallel processing is not well Possible but two bots cannot Speed / Parallel supported (cannot run two Can run concurrent bots or Test execution in parallel not share the same resources Execution different processes on the sequential well supported (keyboard, clipboard, etc.) same machine) Modular design separates Metabots for extensive reusability Modularity/ High modular design Customization is required for business objects and processes but overall design promotes linear Re-use components modularity serving a reusable architecture build Blue Prism is highly scalable through use of distributed Being script based, changes virtualized robots and can be Can scale up or down as Scalability needed for every script impact. Partial scalability provisioned in the cloud or as needed Cumbersome to mitigate. an on premise enterprise deployment. Automation Across Allows automation across Capable of automation across Allows automation across Flexible and robust automating Different different systems but thrives different systems different systems across different systems Applications on Pega’s BPM systems Sources: Forrester Wave Q2 2018 , Gartner “ Reviews for Robotic Process Automation Software ” 8 4

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