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Internal Audit Reports Post Sarbanes-Oxley: A Guide to Process-Driven Reporting

Book Description

Brimming with commonsense advice delivered in a conversational, easy-to-read style, Internal Audit Reports Post Sarbanes-Oxley: A Guide to Process-Driven Reporting helps you transform raw data into useable information and then translate that information into actionable messages while complying with the SOX Act.

Table of Contents

  1. Cover Page
  2. Title Page
  3. Copyright
  4. CONTENTS
  5. PREFACE
  6. ACKNOWLEDGMENTS
  7. ABOUT THE AUTHOR
  8. ABOUT THE INSTITUTE OF INTERNAL AUDITORS
  9. SECTION ONE: FROM VENI, VIDI, VICI TO SOX
    1. CHAPTER 1: PROCESS-DRIVEN REPORTING
      1. REPORT WRITING AS PROGRAMMING
      2. PROCESS-DRIVEN REPORTING DEFINED
      3. THE COMPREHENSIVE AUDIT REPORTING PROCESS
    2. CHAPTER 2: THE LATEST STANDARDS
      1. SEC REGULATIONS
      2. PCAOB STANDARDS
      3. AICPA PROFESSIONAL STANDARDS
      4. REPLACEMENT FOR SAS NO. 61
      5. THE COSO FRAMEWORK
      6. COMPANY STANDARDS
      7. READABILITY STANDARDS
    3. CHAPTER 3: NEW RULES AND NEW TOOLS
      1. SAS THREE WAYS
      2. AUTOMATION ADVANTAGES
      3. AUTOMATION CHALLENGES
      4. WHAT WORKS AND WHAT DOES NOT?
      5. WHAT REALLY DOES NOT WORK?
  10. SECTION TWO: GOING WITH THE FLOW
    1. CHAPTER 4: NEW LOOKS FOR AUDIT REPORTS
      1. ADVANTAGES OF AUTOMATED, LIMITED SPACE
      2. CLEAR EXPECTATIONS AND COMPANY EXPECTATIONS
      3. SAMPLE TEMPLATES
      4. ORGANIZATIONAL METHODS
      5. FORMAT TOOLS AND TECHNIQUES
    2. CHAPTER 5: THE VALUE-ADDED SPOKEN (AND E-MAILED) WORD
      1. SHARED INTERPRETATIONS ARE VALUABLE
      2. IIA RECOMMENDATIONS
      3. SPEAK BEFORE YOU WRITE
      4. ASK THE RIGHT QUESTIONS
      5. THE IMPORTANCE OF PROBES
      6. THE POWER OF PROGRAMMING AND DEFERENCE
      7. TELEPHONE TALK
  11. SECTION THREE: REPORT WRITING 101, ER, MAKE THAT 404
    1. CHAPTER 6: CRITICAL WORD CHOICES
      1. WORD CHOICE CRITERIA
      2. RULES OF THE VERB
      3. PRECISE AND SPECIFIC WORDS
      4. CODE WORDS AND ACRONYMS
      5. THE IMPORTANCE OF BEING SPECIFIC
      6. CONCISENESS
      7. THE “WHATEVER” STEP
    2. CHAPTER 7: STRUCTURED SENTENCES
      1. IDENTIFYING THE SUBJECT
      2. OTHER SENTENCE COMPONENTS
      3. SENTENCE SCHEMATA
      4. MOVING ON TO MODIFIERS
      5. ABOUT PREPOSITIONS
    3. CHAPTER 8: PARAGRAPHS, PUNCTUATION, AND CAPITALIZATION
      1. PARAGRAPH GUIDELINES
      2. PUNCTUATION MATTERS
      3. CAPITAL RULES
    4. CHAPTER 9: GRAPHICS AND EDITING
      1. MAKING REPORTS LOOK GOOD
      2. TABLES, FOOTNOTES, AND GRAPHS
      3. ANOTHER LOOK AT REPORTS
  12. SECTION FOUR: IT'S A FLAT WORLD AFTER ALL
    1. CHAPTER 10: IT'S A FLAT WORLD AFTER ALL
      1. PART ONE: THE LONG REACH OF SOX
      2. PART TWO: ANALYZING AUDIENCES
      3. PART THREE: WHY ENGLISH?
      4. PART FOUR: GETTING STARTED
      5. PART FIVE: LAST WORDS
  13. APPENDICES
    1. APPENDIX A: PROFESSIONAL STANDARDS
    2. APPENDIX B: FIND THE FLAWS
    3. APPENDIX C: BIBLIOGRAPHY
  14. INDEX