RICSA - AI Audit Chatbot

Intelligent audit assistant chatbot built on Retrieval Augmented Generation (RAG) that gives auditors fast, accurate, consistent, and traceable access to regulations, policies, SOPs, and audit findings.

Story

In internal audit work, auditors must perform examinations that are accurate, consistent, and regulation-based. They need access to various information sources: internal and external regulations, company policies, SOPs, previous audit reports (LHA), and data from audit applications spread across different systems. Currently, searching and tracing this information is done manually, takes time, and can lead to different interpretations between auditors. This hurts audit effectiveness, consistency of findings, and the quality of audit recommendations. RICSA answers this challenge: an AI Audit Chatbot based on Retrieval Augmented Generation (RAG) that provides audit information quickly, accurately, consistently, and with traceable sources. The system is designed as a decision support tool for auditors, not as an audit decision maker.

Contribution

• · Built the RAG-based AI chatbot chat interface for fast audit information retrieval.
• · Built the document library view to index regulations, policies, SOPs, and audit reports.
• · Built the audit trail view so every answer can be traced back to its source document.
• · Built the AI temperature / model settings view for flexible chatbot configuration.

Impact

Speeds up information search and understanding of regulations, policies, SOPs, and audit findings, increases auditor effectiveness and productivity, and keeps interpretation of regulations consistent across auditors.