The original edition of Implementing the Professional Practices Framework was written to provide internal auditors with guidance on how to put into practice the set of International Standards for the Professional Practice of Internal Auditing, which had been issued over a period from December 2000 to October 2001. Since the original issuance of these Standards, the practices of external and internal auditing have gone through a period of the most intense scrutiny and change in their respective histories. Yet the Professional Practices Framework and particularly the Standards have held up well. The principles and concepts underlying the Framework and the Standards have proven a solid foundation for the internal auditing profession. Who would have predicted back in 2000 the significant role internal auditing would so quickly come to play in organizational governance? Who could have foreseen the impact on internal audit practice in the U.S. of section 404 of the U.S. Sarbanes-Oxley Act of 2002? The information in this handbook is designed to serve as a practical guide for applying the Professional Practices Framework. This crash course outlines the specific actions auditors must take to comply with the Standards. In doing so, it reviews basic information on the essential elements required for providing effective internal audit services, discusses in depth those elements representing significant change, and provides specific tools and techniques for achieving compliance.

Implementing the Professional Practices Framework, Second Edition (The Iia Research Foundation Handbook Series)

Business & Money

CCSA

Urton Anderson

PH.D.

CGAP and Andrew Dahle

Accounting

The IIA Research Foundation

Enterprise Risk Management (ERM) does not have to be a resource intensive exercise! This is one of the key findings in this new book that gives valuable perspective on what ERM is and is not, as well as practical examples of how to go about it in a variety of organizations. The book began with research into how organizations can expand compliance with the U.S. Sarbanes-Oxley Act of 2002 into an ERM program, but the result will be useful for anyone interested in ERM. Readers who want to transition from Sarbanes-Oxley compliance to ERM will see that many of the commonly held beliefs about how to do this do not hold up under investigation. The author explains why this is so and clarifies the real opportunities in Sarbanes-Oxley compliance. The book also describes the way in which conceptual frameworks like COSO s are and are not useful. The book includes: -Myths and Realities based on the author s assumptions and the realities he found. -The Real ERM Opportunities in Sarbanes-Oxley Compliance and the right way to use an ERM framework. -Most importantly, four Case Studies which include techniques, insights, and lessons learned that will help any reader interested in moving toward ERM. They were selected specifically to illustrate the variety of approaches that can be used for ERM. Readers will gain valuable perspectives and a number of specific ideas to apply, whether they are transitioning from the Sarbanes-Oxley compliance project or just want to make enterprise-wide risk management a way of life in their organizations.

Four Approaches to Enterprise Risk Management and Opportunities in Sarbanes-Oxley Compliance

James Roth

Insurance

The IIA Reseach Foundation

The IIA s International Standards for the Professional Practice of Internal Auditing, Standards, requires all internal audit activities, regardless of industry, sector, or size of staff, to develop and maintain a Quality Assurance and Improvement Program. The essential elements of a QAIP include internal and external assessments.
Revised by leading quality assessment experts and reviewed by an international team of practitioners, this Quality Assessment Manual offers a new methodology and broadens the focus to include all components of a QAIP, internal assessments, metrics, continuous improvement and reporting, as well as external assessments. Aligned with the Standards, this Quality Assessment Manual outlines a quality assessment process flow that streamlines gathering of evidence and eliminates duplication of work, contains standardized tools that promote ease of use while achieving consistency in assessment techniques and documentation of results, and offers a Road Map that highlights the alignment of specific assessment activities to assist with conformance to the Standards. The Quality Assessment Manual is a must have reference for every internal audit activity and chief audit executive s resource library.

Quality Assessment Manual for the Internal Audit Activity

CISA

CRMA

PHD.

Patrick Copeland CIA

Donald Espersen

Martha Catherine Judith Grobler

Management & Leadership

Every internal audit professional wants to look back on their career with the satisfaction of knowing our work made a significant difference. Richard F. Chambers Richard F. Chambers journey on the audit trail spans nearly 40 years with stops in both government and the corporate sector and, since 2009, as President and CEO of The Institute of Internal Auditors. In Lessons Learned on the Audit Trail, his first book release, Chambers shares many of the key events and insights gained during his impressive career, as well as valuable lessons he learned along the way. Chambers, CIA, QIAL, CGAP, CCSA, CRMA, candidly recounts personal experiences to illustrate critical lessons that every internal auditor will likely learn during their own journeys in the profession. I have learned a number of important lessons in my career some early on, some much later, Chambers says. The paradox of what you pick up later in life is you have less time to apply those lessons. But if I can help just one internal auditor become better prepared for the challenges and opportunities that lie ahead in this profession, then my efforts writing this book will be well worth it. Chambers imparts life-based lessons on such vital topics as the importance of: Building and sustaining relationships with internal audit stakeholders Demonstrating value Deploying risk-based audit planning and the dynamic nature of risk Achieving and sustaining a seat at the table Chambers career is unique in so many ways across government and private and not-for-profit sectors that there are sure to be key takeaways for new and seasoned practitioners alike. Whether it s in internal auditing or life in general, Chambers writes, we all aspire to make this world a better place, even if only in small ways. Foreword by Cynthia Cooper, Author of Extraordinary Circumstances Thank you IIA-Dallas Chapter for your sponsorship of this IIA Research Foundation (IIARF) publication. All net proceeds will go to The IIARF.

Lessons Learned on the Audit Trail - Paperback

CGAP

QIAL

Richard F.Chambers

Practical Enterprise Risk Management: Getting to the Truth is written by an enterprise risk management (ERM) practitioner for the ERM practitioner and other professionals. The goal is to help management identify significant risks, effectively manage those risks, and add value to the organization through better achievement of strategic objectives. The book includes a step-by-step description of two proven approaches to ERM, including supporting forms, tools, and templates that are also available online. It is applicable in all industries, all geographies, and all sizes of companies. Throughout the book, author Larry Baker shares real-world experiences and ERM approaches, tools, and techniques that have resulted in better decision making and generated significant value for some of the world's greatest companies. It will be of interest to a wide range of professionals, including chief risk officers (CROs), vice presidents (VPs) of ERM, directors of ERM, ERM specialists, strategic planning leaders, corporate risk managers, and internal auditors (chief audit executives [CAEs], managers, supervisors, and staff).

Practical Enterprise Risk Management: Getting to the Truth

Larry L. Baker

The Internal Audit Foundation

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