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Some ideas to "help" you, the professional internal auditor

Some ideas to "help" you, the professional internal auditor, are included in this newsletter.

Let us know if we can be of any further help and have a nice day.

In this "Helpers" Newsletter from Audit Services, questions answered include:

  • QA ... your QA&IP meeting professional expectations?  Do your audit programs meet expectations/Standards?  How about a checklist tied to the Standards you can use when reviewing audit files?
  • IT ... you knowledgeable about Privacy and Data Protection and Encryption?  
  • Construction Auditing ... you asking the right questions? 
  • Project Management ... could you use a reference library? 
  • Interviewing ... never late on Friday!   

Feel free to pass this newsletter onto others or just let us know and we will add them to the mailing list for this free newsletter.

QUALITY ASSURANCE
How does your Quality Assurance & Improvement Program comply with professional expectations/Standards? (Compare using complimentary checklist). 
Compare your Audit Programs to expectations with the "Help" of an easy to use checklist.
Does your Engagement Panning phase of the audit meet the Standards?  Click here for an in-depth easy to use checklist tied to the Standards to find out how you are doing.
For more QAR "Help," click here.
For YourIAM subscribers, easy to use checklists (Excel format) to benchmark your audit files against all relevant Standards are at Tab Quality Assurance/Quality Assurance & Improvement Program/Other Resources.

INFORMATION SYSTEMS/TECHNOLOGY

Resource for Security Executives - check it out.
Privacy & Data Protection (ITCi) - a checklist.
Encryption - need a better understanding of Encryption Systems, Public Key, Symmetric Key?  Might want to check out this resource.
Security Issues when auditing in a Windows NT Environment - click and go to a checklist for some ideas.
(A must read, in our opinion).  Dan Swanson publishes resource news in the governance, audit, IT audit and security space. Contact him for his free daily resource emails at Dans_CCCemails-subscribe@yahoogroups.com. For additional information, click here. (Acknowledgement: Dan is a frequent contributor to the Other Resources section in YourIAM).
For YourIAM subscribers, go to Tab, Audit Process - Planning/Scope of Work/Other Resources for a comprehensive list of IT related topics.
CONSTRUCTION AUDITING
Need some help in auditing architectural and engineering firms?
Are you asking the construction contractor the right questions?
For YourIAM subscribers, go to Tab, Audit Process - Planning/Scope of Work/Other Resources for other "links" to construction auditing.
PROJECT MANAGEMENT
How about a project management library you can reference?
Test your management skills.
For YourIAM subscribers, go to Tab, Professional Responsibilities/Supervision/Other Resources for additional input.

INTERVIEWING

Preparing for the interview - for a checklist, click here.
Scheduling the meeting - remember, don't schedule the interview late in the day or on Friday!  Click Tips for some ideas about scheduling the interview.
For YourIAM subscribers, go to Tab, Audit Process - Fieldwork/Audit Evidence/Other Resources for additional information on interviewing (Types of Questions to Ask; Interviewing Techniques to Use; Client Personalities; Listening Techniques, etc.).

ON-LINE INTERNAL AUDIT MANUAL (IAM)

If it has been a "day or so" since you checked out YourIAM, suggest you review recent additions to the "Other Resources" sections throughout the manual.

Haven't subscribed yet? You can still check out some selected areas by signing in as "guest" (click on CONTENT at top of page and follow the easy instructions). One area, in particular with a significant number of resources listed, including IT and Governmental (GAGAS), etc. worth reviewing: Audit Process - Planning > Scope of Work.

Have a nice day. Let us know if we can be of any help.


PREVIOUS NEWSLETTERS

Just contact us if you would like to receive any of the information appearing in our previous newsletters. Summary follows:

AUDITING INTERNET TECHNOLOGY & E-BUSINESS
Seminar
Auditing the Connected Organization Seminar
Data Privacy - Information Security Seminar
Understanding intranet, internet, extranet, connections, firewalls
Auditing computer network usage policies
Preparing you to audit the internet
Penetration testing
Network security policies
Evaluating cabling technologies
Auditing routers
Auditing LAN
Business Continuance Planning & Disaster Recovery
Auditing Network Transmissions
Auditing Firewalls
Evaluating Controls over SNMP
Evaluating a Switch
Evaluating a Bridge

IT AUDIT
Application Controls
Organizational Controls
Systems Development Life Cycle
Distributed Data Processing

AUDITING in a WINDOWS NT ENVIRONMENT
User Manager Utility
Identify Significant Systems
Security Issues
Directory Issues

DATA COMMUNICATIONS
Devices, Definitions, etc.

ASSESSING RISK
Risks "internal" - within area being audited
Risks "internal/external" - outside entity being audited, but within organization
Risks "external" to your organization
Risk factors
Inherent risks
Risks & Controls
Risks & Testing Controls
Risks & IS Environment
Risk Consequences
Marketing Risks
Risk Definitions
Risk Assessment Methodology - developing
Risk Assessment "A" Test
Audit Universe
Quantifying Risks
Evaluating Risks & Controls

BUSINESS CONTINUANCE PLANNING & DISASTER RECOVERY
Auditing (check list)

CONTROL RISK SELF ASSESSMENT (CRSA)
Is CRSA for you?
Facilitator responsibilities
Benefits
Facilitation Skill Sets
Planning

CONSULTING
Internal Auditors Consulting

CORPORATE GOVERNANCE
Definition
Internal Audit Responsibilities
Governance Test

DUE PROFESSIONAL CARE
Exercising Due Professional Care
Seminar - Due Professional Care

INTERNAL CONTROLS
Eight key elements
Auditing internal controls, considerations & ideas
Auditing Soft Controls
Internal Controls

AUDITING THE CONTROL ENVIRONMENT
Summary of some COSO points.
Soft Controls
Auditing integrity & ethical values
Evaluating executive management
Working in an Ethical Environment

ANALYTICS
Information on Analytical Review/Audit Procedures
Regression analysis
Selecting Analytics
Ratios

QUANTITATIVE METHODS/TECHNIQUES
Techniques - Summary

QUALITY ASSURANCE/PEER REVIEW
Pre-QAR
Seminar - QAR's
Client Survey
Staff Survey
QAR Objectives
Self Assess Staff Skills
Questions to ask management & Audit Committee when evaluating Internal Audit Department
Evaluating your audit planning process
General approach taken on a QAR
Free no-obligation proposal
Quality Assurance Review Program
External Assessments
Internal Assessments
QAR Meeting
Audit File Review

EVALUATING EXECUTIVE MANAGEMENT
Evaluating Executive Management

AUDITING GOALS & OBJECTIVES
Reviewing & Evaluating G&O

CONSTRUCTION AUDITING
Questions to Ask Contractor
Constructions ratios
Internal Audit concerns
Auditing architectural and engineering firms
Construction contract review

AUDIT PLANNING
Planning process checklist
Risk Assessment & Audit Planning

AUDIT TESTS
Starting & stopping
Audit Evidence
Determining Probability of Effectiveness of Audit Tests

AUDIT EVIDENCE
Audit Evidence
Developing Audit Findings (CCCE)

INTERVIEWING
Preparation
Scheduling
Questions

AUDIT RISKS
Audit Risks
Alpha & Beta Risks

AUDIT FILES
Quality Assurance File Review
Audit File Checklist

EVALUATE YOUR INTERNAL AUDIT DEPARTMENT
Quick Assessment

"A" TEST
How Does Your IA Department Measure Up
Corporate Governance
Risk Assessment & Audit Planning

PHARMACEUTICAL, CHEMICAL & BIOTECH INDUSTRIES.
Some Expert Auditing Assistance

REDUCE COSTS Reduce Costs/Identify Savings

MERCHANDISE RETURNS
Reduce Returns (by 20% possible)

CERTIFIED INTERNAL AUDITOR EXAM
CIA Exam Help Site
CIA Exam Review Course Schedule
CIA Exam Test Taking Techniques
CIA Exam Sampling Questions

TRAINING
Topics for your training program.
Stretching your training $, including in-house seminars at no cost
Free drawing
Why does training have to be expensive
Training auction
New training initiative, $800 on-site
Determining your training needs
Popular Seminar Topics

SAMPLING
Advantages and disadvantages of statistical and non-statistical sampling
Deciding to use statistical or judgmental sampling
Nonstatistical audit sampling plans
Sampling seminar
Populations
Selecting a sample
Attribute Sampling Models
Variable Sampling Models
Changes to Sample Sizes
Probability Proportional to Size
Systematic Interval Selection Technique
Alpha & Beta Errors

AUDIT PROGRAMS
Design & focus

FRAUD AUDITING
Types of Fraud
Deterring Fraud
Detecting Fraud
Investigating Fraud
Reporting Fraud

AUDIT REPORTS
Audience Analysis
"Conducted in Accordance with the Standards" statement

MANAGEMENT ASSERTIONS
Auditing to management assertions

LINKS
Link page built for the traveling internal auditor

MANAGEMENT SKILLS
Test your management skills.

YOUR COMMUNICATION STYLE & PERSONALITY TYPE
Identify YOUR style & type

LISTENING SKILLS
Listening test

SARBANES-OXLEY ACT 2002
Brief Summary of Act
Seminar - SOX

GAGAS
Update GAGAS

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Audit Services Tel:615-790-9858 Fax: 209-797-7983 PO Box 681387, Franklin, TN 37068