Handbook for Internal Auditors

Publisher: Matthew Bender
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Handbook for Internal Auditors provides guidance on every aspect of internal auditing from establishing and managing an internal auditing function within an organization to performing audit fieldwork and addressing governance issues for the organization. It contains checklists, flowcharts, exhibits, sample forms, and complete audit programs. The scope of coverage includes practical advice on effective governance and policy management; maintaining an effective system of internal controls and performing audit assessments of internal controls effectiveness; quality management and quality control reviews; procedures for implementing and performing IS general, technical, and application reviews; tools used by auditors; the tools used throughout the organization for management and control; and the existing and emerging practices for effective internal auditing. Included with this title is a CD-ROM containing interactive checklists and audit programs that can easily be customized to fit any entity's business environment.

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Table of Contents

Part 1 Auditing Standards and Emerging Best Practice



Introduction How to Use the Handbook

Chapter 1 Internal Auditing and Auditing Standards Overview



Part 2 Establishing the Internal Auditing Department



Chapter 2 Developing the Internal Audit Role, Mission, and Charter

Chapter 3 Organizing and Staffing the Internal Auditing Department

Chapter 4 Corporate Governance, Compliance, and Sarbanes-Oxley Implications

Chapter 5 Promoting Internal Auditing



Part 3 Managing the Internal Auditing Department



Chapter 6 Managing the Audit Department

Chapter 7 Audit Policies and Procedures Manual

Chapter 8 Developing an Annual Audit Plan

Chapter 9 Quality and the Internal Audit Function

Chapter 10 Quality Assurance in Auditing

Chapter 11 Managing Audit Relationships

Chapter 12 Developing the Internal Audit Staff



Part 4 Conducting Internal Audits



A. Planning and Managing an Audit

Chapter 13 Supervising Audit Field Work

Chapter 14 Developing an Individual Audit

Chapter 15 Environmental Auditing

Chapter 16 Sarbanes-Oxley Compliance

Chapter 17 Entrance Conference

Chapter 18 Preliminary Audit Survey

Chapter 19 Control Self Assessment

Chapter 20 Audit Interviews

Chapter 21 Conducting an Internal Control Review

Chapter 22 Audit Tools and Techniques

B. Audit Tools, Techniques, and Procedures

Chapter 23 Advanced Audit Tools and Techniques

Chapter 24 Using Sampling in the Audit Process

Chapter 25 Audit Working Papers and Audit Evidence

Chapter 26 [Reserved]

C. Audit Reports and Results

Chapter 27 Developing Findings and Recommendations

Chapter 28 Preparing Audit Reports

Chapter 29 Exit Conference, Report Issuance, and Follow-Up

Chapter 30 [Reserved]



Part 5 Individual Audit Work Programs



A. Developing Auditing Programs

Chapter 31 Developing Audit Programs

B. Operating Cycle Audit Programs

Chapter 32 Revenue Business Cycle Audit Programs

Chapter 33 Expenditures Business Cycle Audit Programs

Chapter 34 Production or Conversion Cycle Audit Programs

Chapter 35 Financing Cycle Audit Programs

Chapter 36 External Financial Reporting Cycle Audit Programs

Chapter 37 Activity Based Costing and Operational Auditing

C. Auditing the IS Environment

Chapter 38 Auditing IT Activities

Chapter 39 Auditing Information Security

Chapter 40 Information System Development Audits

Chapter 41 Auditing an Automated Application

Index