IBM - Branch Audits
Every Branch was audited at least once a year. But other factors influenced whether a branch was placed on the list to be audited for the next quarter. This was the first attempt to formalize the methodology so the weights attached to different risks needed to be easily changeable. Since the audit schedule was only created once each quarter, it could only be tested once each quarter.
The factors included a prior unsatisfactory audit, approaching the one year audit rule, new Branch Manager/Assistant Branch Managers, Branch previously scammed, high number of new tellers, high volume Branch, Branch located in area placed on watch list by for drugs/money laundering crimes.
The programs used were MS Access and Excel and used multiple existing Data Sources.
Eventually, when the methodology proved itself, the plan was to establish a more permanent (less labor intensive) solution.
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