Rent 9780470744765 | The Operational Auditing Handbook Auditing Business and IT Processes | Chambers, Andrew; Rand, Graham @knetbooks.com

Summary Table of Contents Author Biography

This handbook helps auditors evaluate, measure, and check internal management and financial procedures and systems to increase efficiency and prevent fraud. Reflecting the variety of business situations that auditors face, it encourages them to develop creative approaches for dealing with the problems encountered during the operational audit review. This new edition is fully updated to take account of developments in internal control and corporate governance under Sarbanes-Oxley, and in audit processes particular to financial institutions in li... MORE

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Preface
Acknowledgements
Understanding Operational Auditing
Approaches to operational auditing
Business processes
Developing operational review programmes for managerial and audit use
Governance processes
Risk management processes
Internal control processes
Review of the control environment
Reviewing internal control over financial reporting - the Sarbanes-Oxley approach
Business/ management techniques and their impact on control and audit
Control self assessment
Evaluating the internal audit activity
Auditing Key Functions
Auditing the finance and accounting functions
Auditing subsidiaries and remote operating units
Auditing contracts and the purchasing function
Auditing operations and resource management
Auditing marketing and sales
Auditing distribution
Auditing human resources
Auditing research and development
Auditing security
Auditing environmental responsibility
Auditing Information Technology
Auditing information technology
IT Strategic Planning
IT Organisation
IT Policy Framework
Information Asset Register*
Capacity Management
Information Management (IM)*
Records Management (RM)*
Knowledge Management (KM)*
IT sites and Infrastructure (including physical security)
Processing Operations
Back-up and Media Management
Removable media
System and Operating Software (including patch management)
System Access Control (or logical security)
Personal Computers (including laptops and PDAs)
Remote Working
Email
Internet Usage
Software Maintenance (including change management)
Networks
Databases
Data Protection
Freedom of Information
Data Transfer and Sharing (Standards and Protocol Guidelines)
Legal Responsibilities
Facilities Management
System Development
Software Selection
Contingency Planning
Human Resources information security
Monitoring and Logging
Information Security incidents
Data Retention and Disposal
Electronic Data Interchange (EDI) and the use of secure networks
Viruses
User Support
BACS (i.e. automated cash/funds transfer)
Spreadsheet design and good practice
IT Health Checks
IT Accounting
Appendices
Index to SAPGs on Wiley's website
SAPGs - use in relation to business processes
International data protection legislation
International freedom of information legislation
Bibliography
Index
Table of Contents provided by Publisher. All Rights Reserved.

Andrew Chambers is Professor of Internal Auditing at London South Bank University and Professor Emeritus of Cass Business School, London. He runs Management Audit LLP specialising in auditing and corporate governance work, and is a member of the international Internal Auditing Standards Board.
Graham Rand specialises in IT auditing, risk management and operational review. His career, in the UK and overseas, has featured involvement in a range of organisations, principally in the electrical retail, financial services and public sectors. Much of his current consultancy is on Information Management, Records Management, IT Security and providing support on the development of Risk Management and Information Security environments.

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