【内部审计与信息技术审计】 Mastering the Five Tiers of Audit Competency (2016)

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Mastering the Five Tiers of Audit Competency: The Essence of Effective Auditing

Ann Butera



Risk-based operational audits and performance audits require a broad array of competencies. This book provides auditors and risk professionals with the understanding required to improve results during risk-based audits.

Mastering the Five Tiers of Audit Competency: The Essence of Effective Auditing is an anthology of powerful risk-based auditing practices. Filled with practical do and don’t techniques, it encompasses the interpersonal aspects of risk-based auditing, not just the technical content.

This book details the behaviors you need to demonstrate and the habitual actions you need to take at each phase in an audit to manage the people relationships as well as the work itself. Each section of this book is devoted to a component of the audit: planning, detailed risk and control assessment, testing, audit report writing, project management, audit team management, and client relationship management.

The book leverages The Whole Person Project, Inc.’s 30 years of hands-on organizational development experience and custom-designed internal audit training programs to aid those just starting out in audit as well as more experienced auditors. It also contains templates you can use to set performance goals and assess your progress towards achieving those goals.

This book will spark ideas that can enhance performance, improve working relationships, and make it easier to complete audits that improve your organization’s risk management culture and practices. Explaining how to make positive and sustained changes to the way you approach your work, the book includes a summary of the key points and a brief quiz to help you remember salient ideas in each chapter.

Presenting proven methods and advice that can help you immediately save time, reduce stress, and produce reliable, quality results, this book is an ideal resource for anyone looking to make positive changes and adopt more productive work habits

Table of Contents

How to Get the Most from This Book
Chapter Contents at a Glance
The Book at a Glance
Overview of the Five Tier Audit Competency Model
Some Definitions before We Start
Change Management
Chapter Summary
Quiz

Techniques for Planning Useful Audits
Chapter Contents at a Glance
Definition and Benefits of the Critical Linkage
Audit Planning Techniques
Data Collection Interviewing: The Funnel Approach
Putting It All Together to Set the Scope and Objectives
Managing Your Time Effectively while Planning
Chapter Wrap-Up
Chapter Summary
Quiz

Techniques for Detailed Risk and Control Assessment
Chapter Contents at a Glance
Just What Is Inherent Risk?
Two Categories to Exclude When Identifying Inherent Risk
Risk’s Effect: Assessing a Risk’s Consequences
Control Assessment
Types of Controls
Tips for Writing about Controls in Narratives
Chapter Wrap-Up
Chapter Summary
Quiz

Testing and Sampling Techniques
Chapter Contents at a Glance
Testing Techniques
A Step-by-Step Approach to Developing Control Tests for Operating Effectiveness
Audit Sampling Techniques
Chapter Wrap-Up
Chapter Summary
Quiz

Documentation and Issue Development: The Building Blocks for Effective Audit Reports
Chapter Contents at a Glance
General, Four-Step Writing Process
Documenting the Audit: Getting Started
Tips for Effective Summary Writing
Issue Development
Effective Audit Documentation Techniques
Chapter Wrap-Up
Chapter Summary
Quiz

Core Competencies You Need as an Auditor
Chapter Contents at a Glance
Executive Presence in Audit
Critical Thinking: What Is It?
General Guidelines for Managing Your Time
Tips for Managing up the Ladder
General Ways to Organize the Message You Want to Communicate
Planning Effective Meetings
Reporting on an Audit’s Status
Chapter Wrap-Up
Chapter Summary
Quiz

Techniques for Managing the Audit Team
Chapter Contents at a Glance
Delivering Feedback
Tips for Managing a Multigenerational Workforce
Leaders and Managers
Building and Motivating Teams
Chapter Summary
Quiz

Techniques for Managing Constituent Relationship
Techniques for Achieving a Positive First Impression
Influencing Techniques
Delivering Technical Information to Nontechnical People
Fundamental Rules for Handling Objections
Exercise 8.1: Overcoming Auditee Objections to Issues
Chapter Wrap-Up
Chapter Summary
Quiz

Chapter Quiz Answers
Chapter 1: How to Get the Most from This Book
Chapter 2: Techniques for Planning Useful Audits
Chapter 3: Techniques for Detailed Risk and Control
Chapter 4: Testing and Sampling Techniques
Chapter 5: Documentation and Issue Development
Chapter 6: Core Competencies You Need as an Auditor
Chapter 7: Techniques for Managing the Audit Team
Chapter 8: Techniques for Managing the Constituent
Relationship

Bibliography

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