| change management controls sox: IT Audit, Control, and Security Robert R. Moeller, 2010-10-12 When it comes to computer security, the role of auditors today has never been more crucial. Auditors must ensure that all computers, in particular those dealing with e-business, are secure. The only source for information on the combined areas of computer audit, control, and security, the IT Audit, Control, and Security describes the types of internal controls, security, and integrity procedures that management must build into its automated systems. This very timely book provides auditors with the guidance they need to ensure that their systems are secure from both internal and external threats. |
| change management controls sox: Sarbanes-Oxley Internal Controls Robert R. Moeller, 2008-03-31 Sarbanes-Oxley Internal Controls: Effective Auditing with AS5, CobiT, and ITIL is essential reading for professionals facing the obstacle of improving internal controls in their businesses. This timely resource provides at-your-fingertips critical compliance and internal audit best practices for today's world of SOx internal controls. Detailed and practical, this introductory handbook will help you to revitalize your business and drive greater performance. |
| change management controls sox: Cyber Security and Privacy Control Robert R. Moeller, 2011-04-12 This section discusses IT audit cybersecurity and privacy control activities from two focus areas. First is focus on some of the many cybersecurity and privacy concerns that auditors should consider in their reviews of IT-based systems and processes. Second focus area includes IT Audit internal procedures. IT audit functions sometimes fail to implement appropriate security and privacy protection controls over their own IT audit processes, such as audit evidence materials, IT audit workpapers, auditor laptop computer resources, and many others. Although every audit department is different, this section suggests best practices for an IT audit function and concludes with a discussion on the payment card industry data security standard data security standards (PCI-DSS), a guideline that has been developed by major credit card companies to help enterprises that process card payments prevent credit card fraud and to provide some protection from various credit security vulnerabilities and threats. IT auditors should understand the high-level key elements of this standard and incorporate it in their review where appropriate. |
| change management controls sox: Configuring Internal Controls for Software as a Service Chong Ee, 2018-09-12 This book taps into an inherent paradox: with the ease of reliance on external, cloud providers to provide robust functionality and regular enhancements comes, as their very own audited service organization control (SOC) reports are quick to point out, the need for client organizations to devise and sustain a system of effective internal controls. By addressing the practitioner in the field, it provides tangible, cost effective and thus pragmatic means to mitigate key risks whilst leveraging built-in cloud capabilities and overarching principles of effective system design. |
| change management controls sox: Mastering SOX Cybellium Ltd, Embark on a Comprehensive Journey to Mastering SOX Compliance In a business landscape where financial transparency and accountability are paramount, mastering the intricacies of the Sarbanes-Oxley Act (SOX) compliance is essential for ensuring integrity and trust in financial reporting. Mastering SOX is your ultimate guide to navigating the complex world of corporate governance, internal controls, and regulatory compliance. Whether you're a financial professional, auditor, compliance officer, or executive, this book equips you with the knowledge and skills needed to achieve SOX compliance. About the Book: Mastering SOX takes you on an enlightening journey through the intricacies of SOX, from foundational concepts to practical implementation. From internal controls to risk management, this book covers it all. Each chapter is meticulously designed to provide both a deep understanding of the regulations and practical guidance for achieving compliance in real-world scenarios. Key Features: · Foundational Understanding: Build a solid foundation by comprehending the core principles of SOX regulations, including Sections 302, 404, and 906, and their implications. · SOX Components: Explore the different components of SOX, including corporate responsibility, internal controls, and financial reporting requirements. · Internal Controls: Master the art of designing and evaluating effective internal control systems to ensure accurate financial reporting and prevent fraud. · Risk Assessment: Learn how to conduct comprehensive risk assessments to identify vulnerabilities and implement risk mitigation strategies. · Internal and External Auditing: Understand the role of internal and external auditors in the SOX compliance process and how to effectively collaborate with auditors. · Whistleblower Protection: Gain insights into the importance of whistleblower protection under SOX and the mechanisms for reporting financial misconduct. · Disclosure and Reporting: Dive into the requirements for accurate financial reporting, including management assessment, auditor attestation, and timely disclosures. · Emerging Trends and Challenges: Explore emerging trends in corporate governance, technology advancements, and international compliance, and their impact on SOX compliance. Who This Book Is For: Mastering SOX is designed for financial professionals, auditors, compliance officers, executives, legal experts, and anyone responsible for ensuring SOX compliance. Whether you're aiming to enhance your skills or embark on a journey toward becoming a SOX compliance expert, this book provides the insights and tools to navigate the complexities of financial reporting and corporate governance. © 2023 Cybellium Ltd. All rights reserved. www.cybellium.com |
| change management controls sox: How to Comply with Sarbanes-Oxley Section 404 Michael J. Ramos, 2008-06-02 Now fully revised and updated, the Third Edition of How to Comply with Sarbanes-Oxley Section 404: Assessing the Effectiveness of Internal Control is the perfect starting point for companies with no previous SOX experience. Packed with practice aids including forms, checklists, illustrations, diagrams, and tables, the new edition leads auditing professionals through every step of the audit processes associated with Section 404 compliance. |
| change management controls sox: The Shortcut Guide to IT Service Management and Automation Rebecca Herold, 2008 |
| change management controls sox: Sarbanes-Oxley and the New Internal Auditing Rules Robert R. Moeller, 2004-05-10 Sarbanes-Oxley and the New Internal Auditing Rulesthoroughly and clearly explains the Sarbanes-Oxley Act, how itimpacts auditors, and how internal auditing can help with itsrequirements, such as launching an ethics and whistle-blowerprogram or performing effective internal controls reviews under theCOSO framework. With ample coverage of emerging rules that have yetto be issued and other matters subject to change, this bookoutlines fundamental blueprints of the new rules, technologicaldevelopments, and evolving trends that impact internal auditprofessionals. Order your copy today! |
| change management controls sox: Enterprise Cybersecurity Study Guide Scott E. Donaldson, Stanley G. Siegel, Chris K. Williams, Abdul Aslam, 2018-03-22 Use the methodology in this study guide to design, manage, and operate a balanced enterprise cybersecurity program that is pragmatic and realistic in the face of resource constraints and other real-world limitations. This guide is an instructional companion to the book Enterprise Cybersecurity: How to Build a Successful Cyberdefense Program Against Advanced Threats. The study guide will help you understand the book’s ideas and put them to work. The guide can be used for self-study or in the classroom. Enterprise cybersecurity is about implementing a cyberdefense program that will succeed in defending against real-world attacks. While we often know what should be done, the resources to do it often are not sufficient. The reality is that the Cybersecurity Conundrum—what the defenders request, what the frameworks specify, and what the budget allows versus what the attackers exploit—gets in the way of what needs to be done. Cyberattacks in the headlines affecting millions of people show that this conundrum fails more often than we would prefer. Cybersecurity professionals want to implement more than what control frameworks specify, and more than what the budget allows. Ironically, another challenge is that even when defenders get everything that they want, clever attackers are extremely effective at finding and exploiting the gaps in those defenses, regardless of their comprehensiveness. Therefore, the cybersecurity challenge is to spend the available budget on the right protections, so that real-world attacks can be thwarted without breaking the bank. People involved in or interested in successful enterprise cybersecurity can use this study guide to gain insight into a comprehensive framework for coordinating an entire enterprise cyberdefense program. What You’ll Learn Know the methodology of targeted attacks and why they succeed Master the cybersecurity risk management process Understand why cybersecurity capabilities are the foundation of effective cyberdefenses Organize a cybersecurity program's policy, people, budget, technology, and assessment Assess and score a cybersecurity program Report cybersecurity program status against compliance and regulatory frameworks Use the operational processes and supporting information systems of a successful cybersecurity program Create a data-driven and objectively managed cybersecurity program Discover how cybersecurity is evolving and will continue to evolve over the next decade Who This Book Is For Those involved in or interested in successful enterprise cybersecurity (e.g., business professionals, IT professionals, cybersecurity professionals, and students). This guide can be used in a self-study mode. The book can be used by students to facilitate note-taking in the classroom and by Instructors to develop classroom presentations based on the contents of the original book, Enterprise Cybersecurity: How to Build a Successful Cyberdefense Program Against Advanced Threats. |
| change management controls sox: IT Governance Policies & Procedures Michael Wallace, Larry Webber, 2012-09-10 IT Governance Policies and Procedures, 2013 Edition is the premierdecision-making reference to help you to devise an information systems policyand procedure program uniquely tailored to the needs of your organization.Not only does it provide extensive sample policies, but this valuable resourcegives you the information you need to develop useful and effective policiesfor your unique environment.IT Governance Policies and Procedures provides fingertip access to theinformation you need on:Policy and planningDocumentationSystems analysis and designAnd more!IT Governance Policies and Procedures, 2013 Edition has been updated toinclude:A new chapter covering service level agreementsUpdated information and new policy covering Agile project managementUpdated information on managing mobile devices such as tablets and smartphonesNew policies for managing user devices including bring your own devicepolicy, flash drive usage, and loaning out hardware for temporary useNew information and policy for managing the use of public and private appstores for downloading software on mobile devices such as tablets andsmartphonesThe latest best practices for relocating your technology infrastructure whenmoving departments or your entire organizationNew information on measuring the effectiveness of your training programsUpdated information and policy for managing IT trainingAnd much more! |
| change management controls sox: The Joy of SOX Hugh Taylor, 2006-06-26 The Sarbanes-Oxley Act (SOX) was passed in 2002 in response to a series of high-profile corporate scandals and requires that public companies implement internal controls over financial reporting, operations, and assets; these controls depend heavily on installing or improving information technology and business methods Written by one of the most visible personalities on the tech-biz side of the SOX discussion, this highly readable, engaging book provides a clear road map for integrating SOX compliance into the fabric of everyday IT infrastructure and business practice Shows the reader how to leverage and use service-oriented architecture (SOA), a set of technologies that enables interoperation of heterogeneous computer systems, to achieve the level of internal controls over IT that SOX mandates |
| change management controls sox: IT Auditing and Application Controls for Small and Mid-Sized Enterprises Jason Wood, William Brown, Harry Howe, 2013-11-22 Essential guidance for the financial auditor in need of a working knowledge of IT If you're a financial auditor needing working knowledge of IT and application controls, Automated Auditing Financial Applications for Small and Mid-Sized Businesses provides you with the guidance you need. Conceptual overviews of key IT auditing issues are included, as well as concrete hands-on tips and techniques. Inside, you'll find background and guidance with appropriate reference to material published by ISACA, AICPA, organized to show the increasing complexity of systems, starting with general principles and progressing through greater levels of functionality. Provides straightforward IT guidance to financial auditors seeking to develop quality and efficacy of software controls Offers small- and middle-market business auditors relevant IT coverage Covers relevant applications, including MS Excel, Quickbooks, and report writers Written for financial auditors practicing in the small to midsized business space The largest market segment in the United States in quantity and scope is the small and middle market business, which continues to be the source of economic growth and expansion. Uniquely focused on the IT needs of auditors serving the small to medium sized business, Automated Auditing Financial Applications for Small and Mid-Sized Businesses delivers the kind of IT coverage you need for your organization. |
| change management controls sox: Sustained Sox Michael S. Hugh, 2006 The book provides any SOX practitioner with immediate access to pragmatic processes for use in either the initial or ongoing phases for Sarbanes Oxley 404. The entire SOX process is reviewed in detail with examples, forms and formats provided to assist you in developing sustainable, cost efficient processes. The book provides both the Entity Level and Transaction level control streams in detail. It defines critical elements for the SOX process including the organization structure required, the SOX Repository, Management analyses and reports, Risk Assessment Processes on both the Entity and Transaction levels, the optimal SOX fiscal calendar, the Deficiency Management Process (including aggregation), External Auditor Coordination, Sub certification processes, etc. |
| change management controls sox: DevOps Unleashed Aditya Pratap Bhuyan, 2024-09-26 DevOps Unleashed: Bridging Development and Operations for Continuous Success is a comprehensive guide that demystifies the rapidly evolving world of DevOps. Written by Aditya Pratap Bhuyan, a seasoned professional with over 20 years of experience in enterprise and cloud applications, this book serves as a practical and insightful resource for professionals at every level. Aditya, with his expertise in Java, Spring, microservices, cloud computing, container technologies like Docker and Kubernetes, and over 40 industry certifications, guides readers through the key concepts, tools, and strategies necessary for mastering DevOps. The book emphasizes both the technical aspects and the cultural mindset needed to break down silos between development and operations teams. The book covers foundational topics like Continuous Integration/Continuous Delivery (CI/CD), Infrastructure as Code (IaC), automation, monitoring, and security. Readers will gain hands-on knowledge about building CI/CD pipelines, automating infrastructure, and implementing monitoring systems. In addition, DevSecOps is explored in detail, highlighting the importance of integrating security throughout the software development lifecycle. For advanced practitioners, the book delves into chaos engineering, site reliability engineering (SRE), and AI-driven automation. Through real-world examples and case studies, Aditya provides actionable insights into the successful implementation and scaling of DevOps practices. Whether you are new to DevOps or looking to deepen your expertise, DevOps Unleashed offers a comprehensive roadmap for creating a successful, agile, and resilient DevOps culture. |
| change management controls sox: Essentials of Sarbanes-Oxley Sanjay Anand, 2011-07-05 What is the importance of Sections 302 and 404? Implementing SOX using COSO and COBIT SOX's impact on foreign companies andnonprofits Achieving cost-effective sustainable compliance The evolving role of the SEC and the PCAOB Praise for ESSENTIALS OF SARBANES-OXLEY Since its enactment in 2002, the Sarbanes-Oxley Act and its Section 404 internal control requirements have caused many a great deal of 'pain and suffering!' With its emphasis on what Sanjay Anand frequently reminds us is the 'real world,' this book should reduce some of that pain as it provides a practical and very realistic approach for an effective implementation of Sarbanes-Oxley internal control processes. The book has references to the new changes in auditing standards and emphasizes achieving sustainable compliance-practical and realistic approaches. —Robert R. Moeller, President, Compliance & Control Systems, Inc. Sanjay Anand has provided what every busy executive needs, a concise overview of Sarbanes-Oxley Act essentials. His book is a terrific reference text that I recommend to anyone who needs to quickly understand the substance of the Act. —Scott Green, Chief Administration Officer Weil, Gotshal & Manges LLP If you are looking to put together the various pieces-finance, accounting, audit, legal, IT, ethics-and understand the 'big picture' of the Sarbanes-Oxley Act, there is no other book like this. With 'Tips & Techniques' and 'In the Real World' examples, this book brings lively, practical, tangible, and compressible dimensions to a complex, multifaceted (and often dry) subject. This is essential reading for those new to the process and old hands going into their third and fourth years of SOX. It will also help those in other countries adopting SOX-like internal controls and regulations. —Dr. Anthony Tarantino, Governance, Risk, and Compliance Center of Excellence, IBM, Financial Services Sector, Silicon Valley and New York City Written by Sanjay Anand, one of the world's leading corporate governance, risk management, and regulatory compliance experts, this simple to use book is designed with appreciation for demanding professional obligations, with information always easy to find and at your fingertips. Essentials of Sarbanes-Oxley equips you with the knowledge you and all your company members need to initiate a SOX project, allocate a budget, and help your company achieve compliance. |
| change management controls sox: Information Technology Audits 2008 Xenia Ley Parker, 2008-06 This up-to-the-minute guide helps you become more proactive and meet the growing demand for integrated audit services in the 21st century. Wide-ranging in scope, Information Technology Audits offers expert analysis, practical tools, and real-world techniques designed to assist in preparing for and performing integrated IT audits. Written by a seasoned auditor with more than 22 years of IT audit experience, Information Technology Audits provides the first practical, hands-on look at how organizations use and control information to meet business objectives, and offers strategies to assess whether the company's controls adequately protect its information systems. Practice aids are available on a free companion CD-ROM. |
| change management controls sox: Sarbanes-Oxley Compliance Using COBIT and Open Source Tools Christian B Lahti, Roderick Peterson, 2005-10-07 This book illustrates the many Open Source cost savings opportunities available to companies seeking Sarbanes-Oxley compliance. It also provides examples of the Open Source infrastructure components that can and should be made compliant. In addition, the book clearly documents which Open Source tools you should consider using in the journey towards compliance. Although many books and reference material have been authored on the financial and business side of Sox compliance, very little material is available that directly address the information technology considerations, even less so on how Open Source fits into that discussion.Each chapter begins with an analysis of the business and technical ramifications of Sarbanes-Oxley as regards to topics covered before moving into the detailed instructions on the use of the various Open Source applications and tools relating to the compliance objectives. - Shows companies how to use Open Source tools to achieve SOX compliance, which dramatically lowers the cost of using proprietary, commercial applications - Only SOX compliance book specifically detailing steps to achieve SOX compliance for IT Professionals |
| change management controls sox: The Effective CIO Eric J. Brown, Jr. Yarberry, 2008-12-23 In a business world of uncertain budgets, relentless technology changes, scarce management talent, and intense production demands, theory is good, but practice sells. The Effective CIO: How to Achieve Outstanding Success through Strategic Alignment, Financial Management, and IT Governance is all about practice, successfully delivering the nuts-and-bolts for effective governance execution. It helps to dissolve the negative image many CIOs have as remote, purely rational decision machines, while demonstrating how to improve quality and throughput in your business. This authoritative text includes governance checklists, sample IT controls, merger and acquisition recommendations, and a detailed framework for IT policies. Authored by two highly regarded IT management experts, the book provides not only a survey of existing strategies, but also includes detailed problem-solving ideas, such as how to structure optimal IT and telecom contracts with suppliers, the implications of SOP-98, and accounting for software costs. The book seamlessly brings together two perspectives - that of a working CIO who must cope with day-to-day pressures for results, and that of an IT audit consultant with a special focus on governance and internal control. Unlike many other CIO-related books that merely discuss strategies, The Effective CIO includes easy-to-follow guidelines and governance principles that can be implemented immediately. |
| change management controls sox: Securing an IT Organization through Governance, Risk Management, and Audit Ken E. Sigler, James L. Rainey III, 2016-01-05 This book introduces two internationally recognized bodies of knowledge: COBIT 5 from a cybersecurity perspective and the NIST Framework for Improving Critical Infrastructure Cybersecurity (CSF). Emphasizing the processes directly related to governance, risk management, and audit, the book maps the CSF steps and activities to the methods defined in COBIT 5, extending the CSF objectives with practical and measurable activities that leverage operational risk understanding in a business context. This allows the ICT organization to convert high-level enterprise goals into manageable, specific goals rather than unintegrated checklist models. |
| change management controls sox: Internal Audit David Coderre, 2009-01-12 Internal Audit: Efficiency Through Automation teaches state-of-the-art computer-aided audit techniques, with practical guidelines on how to get much needed data, overcome organizational roadblocks, build data analysis skills, as well as address Continuous Auditing issues. Chapter 1 CAATTs History, Chapter 2 Audit Technology, Chapter 3 Continuous Auditing, Chapter 4 CAATTs Benefits and Opportunities, Chapter 5 CAATTs for Broader Scoped Audits, Chapter 6 Data Access and Testing, Chapter 7 Developing CAATT Capabilities, Chapter 8 Challenges for Audit, |
| change management controls sox: Architecting Enterprise Blockchain Solutions Joseph Holbrook, 2020-01-20 Demystify architecting complex blockchain applications in enterprise environments Architecting Enterprise Blockchain Solutions helps engineers and IT administrators understand how to architect complex blockchain applications in enterprise environments. The book takes a deep dive into the intricacies of supporting and securing blockchain technology, creating and implementing decentralized applications, and incorporating blockchain into an existing enterprise IT infrastructure. Blockchain is a technology that is experiencing massive growth in many facets of business and the enterprise. Most books around blockchain primarily deal with how blockchains are related to cryptocurrency or focus on pure blockchain development. This book teaches what blockchain technology is and offers insights into its current and future uses in high performance networks and complex ecosystems. Provides a practical, hands-on approach Demonstrates the power and flexibility of enterprise blockchains such as Hyperledger and R3 Corda Explores how blockchain can be used to solve complex IT support and infrastructure problems Offers numerous hands-on examples and diagrams Get ready to learn how to harness the power and flexibility of enterprise blockchains! |
| change management controls sox: Internal Control Strategies Julie Harrer, 2008-09-02 Praise for Internal Control Strategies A Mid to Small Business Guide Internal Control Strategies is an excellent field guide for the implementation and maintenance of efficient and effective internal control systems. The book provides a practical approach to interpreting guidance from oversight agencies and integrating it with industry practice in a real-world environment. This handbook is an essential tool for managers and professionals going through the day-to-day struggle of managing auditor expectations and permitting business to proceed in the most efficient manner. -Michael Rodriguez, former senior manager of finance, Qualcomm Incorporated Internal Control Strategies is the clearest path forward for middle-market SEC registrants and their independent registered public accounting firms as they streamline the SOX 404 compliance process in 2008 and beyond. -Stephen G. Austin, MBA, CPA, Managing Firm Partner,Swenson Advisors, LLP, Regional PCAOB Accounting Firm Clearly written and practical, Internal Control Strategies is a must-read for every chief audit, finance, or compliance executive. -Jeff Miller, Partner-in-Charge, Business Risk Services,Squar, Milner, Peterson, Miranda & Williamson, LLP As a CFO of small to mid-sized publicly traded and privately held companies, one is usually faced with the challenge of developing and implementing the right levels of internal controls and compliance within the restrictions of limited financial and human resources. Internal Control Strategies presents the relevant topics in a clear and concise manner, allowing the reader to understand the internal control framework and specific underlying requirements quickly. The author's vast experience with SOX compliance ensures a targeted and pragmatic approach for the successful implementation of internal controls. Her recommendations are 'to the point' and eliminate some of the guesswork we all have experienced while working towards SOX compliance. -Robert S. Stefanovich, Chief Financial Officer, Novalar Pharmaceuticals, Inc. The SEC requires all publicly traded companies to attest to theeffectiveness of their internal controls. Is your business ready? Internal Control Strategies: A Mid to Small Business Guide clearly explains the latest PCAOB, SEC, and COSO guidance, providing you with an effective tool and reference guide for successful implementation of sections 302 and 404 of the Sarbanes-Oxley Act. Extremely knowledgeable and insightful, author Julie Harrer brings practical clarity to this complex topic, leading you step by step in addressing the challenges associated in bringing your business in compliance with SOX. |
| change management controls sox: Accounting Information Systems Arline A. Savage, Danielle Brannock, Alicja Foksinska, 2024-01-08 |
| change management controls sox: Careers in Health Information Technology Brian T. Malec, PhD, 2014-09-15 Describes 75 jobs and how to attain them! Information technology is one of the fastest-growing segments of the labor market. This practical, one-stop career guide describes the depth and breadth of job opportunities and careers currently available in health information technology (HIT), and helps readers to enter and advance within this expanding field. The book offers guidance for students in higher education and currently employed individuals looking for mid-career opportunities. It includes a description of educational requirements for success in the HIT field and major themes of the HIT workforce such as informatics, provider-based jobs, vendor, government, and payer-based employment. The book describes quickest-route pathways for careers that require advanced training and professional associations that provide important information and resources. It examines the varied environments in which HIT careerists can workóhospitals, ambulatory care facilities, physician practices, the managed care and insurance sector, public health organizations, consulting firms and HIT vendors, and education and trainingóalong with related job opportunities. Seventy-five jobs include a description, experience and/or education requirements, core competencies, salary, employment outlook, and references. Interviews with individuals in varied HIT careers present a human face that offers valuable advice. An international perspective on HIT workforce development addresses issues and challenges within other countries, and an industry expert sheds light on future expectations for the HIT industry. Links to job resources, and listings of professional conferences and meetings, add further value to the guide, as do job seeker ìtipsî throughout. Key Features: Provides comprehensive, practical information about health information technology (HIT) careers for students and mid-career job seekers Explores the great variety of work environments and job opportunities within them Details education requirements and quickest pathways to attain them Includes interviews with people currently in HIT careers, links to job resources, professional conferences and meetings, and helpful tips throughout Presents an international perspective on HIT career development and the future of HIT careers from industry experts |
| change management controls sox: Implementing Effective IT Governance and IT Management Gad Selig, 2015-02-01 This book is a revised edition of the best selling title Implementing IT Governance (ISBN 978 90 8753 119 5).For trainers free additional material of this book is available. This can be found under the Training Material tab. Log in with your trainer account to access the material. In all enterprises around the world, the issues, opportunities and challenges of aligning IT more closely with the organization and effectively governing an organization s IT investments, resources, major initiatives and superior uninterrupted service is becoming a major concern of the Board and executive management. An integrated and comprehensive approach to the alignment, planning, execution and governance of IT and its resources has become critical to more effectively align, integrate, invest, measure, deploy, service and sustain the strategic and tactical direction and value proposition of IT in support of organizations. Much has been written and documented about the individual components of IT Governance such as strategic planning, demand management, program and project management, IT service management, strategic sourcing and outsourcing, performance management, metrics, compliance and others. Much less has been written about a comprehensive and integrated approach for IT/Business Alignment, Planning, Execution and Governance. This title fills that need in the marketplace and offers readers structured and practical solutions using the best of the best practices available today. The book is divided into two parts, which cover the three critical pillars necessary to develop, execute and sustain a robust and effective IT governance environment:- Leadership, people, organization and strategy,- IT governance, its major component processes and enabling technologies. Each of the chapters also covers one or more of the following action oriented topics:- the why and what of IT: strategic planning, portfolio investment management, decision authority, etc.;- the how of IT: Program/Project Management, IT Service Management (including ITIL); Strategic Sourcing and outsourcing; performance, risk and contingency management (including COBIT, the Balanced Scorecard etc.) and leadership, team management and professional competences. |
| change management controls sox: Executive's Guide to IT Governance Robert R. Moeller, 2013-02-11 Create strong IT governance processes In the current business climate where a tremendous amount of importance is being given to governance, risk, and compliance (GRC), the concept of IT governance is becoming an increasingly strong component. Executive's Guide to IT Governance explains IT governance, why it is important to general, financial, and IT managers, along with tips for creating a strong governance, risk, and compliance IT systems process. Written by Robert Moeller, an authority in auditing and IT governance Practical, no-nonsense framework for identifying, planning, delivering, and supporting IT services to your business Helps you identify current strengths and weaknesses of your enterprise IT governance processes Explores how to introduce effective IT governance principles with other enterprise GRC initiatives Other titles by Robert Moeller: IT Audit, Control, and Security and Brink's Modern Internal Auditing: A Common Body of Knowledge There is strong pressure on corporations to have a good understanding of their IT systems and the controls that need to be in place to avoid such things as fraud and security violations. Executive's Guide to IT Governance gives you the tools you need to improve systems processes through IT service management, COBIT, and ITIL. |
| change management controls sox: The Scrum Fieldbook J.J. Sutherland, 2019-10-01 Based on years of work in the field with scores of companies, including Bosch, 3M, Schlumberger, and Rio Tinto, The Scrum Fieldbook delivers a hands-on, practical approach to rapidly delivering value for companies and organizations. Scrum is the secret weapon behind some of today’s most successful companies. Businesses like Google, Facebook, Amazon, and Apple use Scrum to drive incredibly fast innovation, laser focus on customers, and continuous improvement, and to decrease decision times in order to reshape the world. Scrum is the most utilized Agile framework. In recent years, its use has exploded across the corporate world, far beyond its software and technology roots. J. J. Sutherland and the team at Scrum Inc. have dramatically improved performance at global banks, utility providers, medical device manufacturers, mining giants, and firms on the cutting edge of genetic science. Scrum has helped companies large and small thrive in the age of disruption. In Sutherland’s first book, the national bestseller Scrum: The Art of Doing Twice the Work in Half the Time, coauthored with his father, Jeff, the co-creator of Scrum, he laid out the Scrum framework used by almost all of today’s leading technology companies. In The Scrum Fieldbook, he draws on his firm’s extensive experience in the field to take leaders, managers, and employees deeper into the specific challenges and new opportunities organizations face in an Agile transformation. He shows how the Scrum framework can be successfully applied to any project in any industry, from automobile manufacturers in the U.S. and Europe to nonprofits in Africa, from home renovation contractors in Minnesota to gas exploration companies in South America, from fighter plane builders in Sweden to U.S. Navy Special Forces teams in regions of the world we can’t mention. |
| change management controls sox: Wiley CPAexcel Exam Review 2014 Focus Notes Wiley, 2013-11-07 All the information you need to pass the CPA exam on your own Updated annually with the latest AICPA content guidelines, Wiley CPAexcel Exam Review 2014 Focus Notes provides a review of all the basic skills and concepts tested on the CPA exam and teaches important strategies to take the exam faster and more accurately. Filled with acronyms and mnemonic devices to help candidates remember the accounting rules and checklists needed to pass the exam, Wiley CPAexcel Exam Review 2014 Focus Notes provides a thorough review of all basic skills and concepts needed for the exam. Includes tips on identifying and interpreting annual reports, stock reports, and other published material to help with the research requirements of the new case study simulations Available in a handy, easy-to-carry, spiral bound reference manual Includes acronyms and mnemonics to help candidates learn and remember a variety of rules and checklists In order to assist candidates in successfully performing exam simulations, Wiley CPAexcel Exam Review 2014 Focus Notes include references to authoritative literature, sample spreadsheets, and key concepts, tips and tools to facilitate research. |
| change management controls sox: IT Governance: Policies and Procedures, 2020 Edition Wallace, Webber, 2019-11-12 IT Governance: Policies & Procedures, 2020 Edition is the premier decision-making reference to help you to devise an information systems policy and procedure program uniquely tailored to the needs of your organization. Not only does it provide extensive sample policies, but this valuable resource gives you the information you need to develop useful and effective policies for your unique environment. IT Governance: Policies & Procedures provides fingertip access to the information you need on: Policy and planning Documentation Systems analysis and design And more! Previous Edition: IT Governance: Policies & Procedures, 2019 Edition ISBN 9781543802221 |
| change management controls sox: The Executive's Guide to Information Technology John Baschab, Jon Piot, 2007-07-13 Praise for the The Executive's Guide to Information Technology This book is important reading. It offers practical, real-world insight and pragmatic no-nonsense approaches for people who have a stake in corporate IT. --Lynda Applegate, Henry R. Byers Professor of Business Administration, Harvard Business School Information systems and processes are very important parts of our due diligence assessment of a company--yet the jargon is often more difficult to understand than many foreign languages. Baschab and Piot effectively translate IT into words and concepts that businesspeople can easily understand and act upon. This book is a helpful reference guide for corporate executives and private equity groups of all types. --Neal Aronson, Managing Partner, Roark Capital Group Business success increasingly depends on effective use of IT. Effective use of IT depends on the kind of in-depth, practical insight in this book. Baschab and Piot provide a pragmatic approach to information systems investment that should be required reading for senior executives and CIOs alike. --Erik Brynjolfsson, Schussel Professor of Management, Director of the Center for Digital Business, MIT This book should provide valuable guidance for management and technology consultants. The Executive's Guide to Information Technology provides field-proven insight on all important aspects of IT planning and execution, from governance to applications to operations and infrastructure. --Gary J. Fernandes, former vice chairman, EDS, member of the Board of Directors, Computer Associates Baschab and Piot do a great job of laying out the fundamental issues and challenges that every IT organization faces. More often than not, the issues are not technical in nature, but are a reflection of how the IT and business teams work together to define, execute, and implement new business tools. The threshold issue is leadership. Often it is difficult for business leaders to feel that they have the skills and perspective to provide that leadership on technical projects. The Executive's Guide to Information Technology provides non-technical business leaders a solid framework for engaging with their IT peers. --Tom Nealon, Chief Information Officer, J.C. Penney |
| change management controls sox: Turning Heads and Changing Minds Chong Ee, 2013-03-07 Turning Heads and Changing Minds provides the IT auditor (student or practitioner) with an understanding of soft skills. It takes a hard look at common auditor perceptions that can hinder an audit and offers practical techniques for overcoming them. Rather than issue a list of ‘should dos’, the book offers the reader an intuitive, organic approach, with real-life IT scenarios involving general computer, application and third-party controls at various stages of an audit life cycle. |
| change management controls sox: Sarbanes-Oxley IT Compliance Using Open Source Tools Christian B Lahti, Roderick Peterson, 2007-12-19 The Sarbanes-Oxley Act (officially titled the Public Company Accounting Reform and Investor Protection Act of 2002), signed into law on 30 July 2002 by President Bush, is considered the most significant change to federal securities laws in the United States since the New Deal. It came in the wake of a series of corporate financial scandals, including those affecting Enron, Arthur Andersen, and WorldCom. The law is named after Senator Paul Sarbanes and Representative Michael G. Oxley. It was approved by the House by a vote of 423-3 and by the Senate 99-0. This book illustrates the many Open Source cost-saving opportunities that public companies can explore in their IT enterprise to meet mandatory compliance requirements of the Sarbanes-Oxley act. This book will also demonstrate by example and technical reference both the infrastructure components for Open Source that can be made compliant, and the Open Source tools that can aid in the journey of compliance. Although many books and reference material have been authored on the financial and business side of Sox compliance, very little material is available that directly address the information technology considerations, even less so on how Open Source fits into that discussion. The format of the book will begin each chapter with the IT business and executive considerations of Open Source and SOX compliance. The remaining chapter verbiage will include specific examinations of Open Source applications and tools which relate to the given subject matter. * Only book that shows companies how to use Open Source tools to achieve SOX compliance, which dramatically lowers the cost of using proprietary, commercial applications. * Only SOX compliance book specifically detailing steps to achieve SOX compliance for IT Professionals. |
| change management controls sox: Corporate Governance and Ethics Zabihollah Rezaee, 2008-06-16 Colleges and universities play an important role in training competent and ethical future academic and business leaders. In today’s global business environment, with volatile worldwide capital markets and eroded investor confidence in corporate accountability, the demand for effective corporate governance and ethical conduct in ensuring reliable financial information is higher than before. This book is intended to develop an awareness and understanding of the main themes, perspectives, frameworks, concepts, and issues pertaining to corporate governance and business ethics from historical, global, institutional, commercial, best practices, and regulatory perspectives. |
| change management controls sox: Oracle Identity Management Marlin B. Pohlman, 2008-04-09 In the third edition of this popular reference, identity management specialist Marlin B. Pohlman offers a definitive guide for corporate stewards struggling with the challenge of meeting regulatory compliance. He examines multinational regulations, delves into the nature of governance, risk, and compliance (GRC), and outlines a common taxonomy for the GRC space. He also cites standards that are used, illustrating compliance frameworks such as BSI, ITIL, and COBIT. The text focuses on specific software components of the Oracle Identity Management solution and includes elements of the Oracle compliance architecture. |
| change management controls sox: Enterprise Resource Planning for Global Economies: Managerial Issues and Challenges Ferran, Carlos, Salim, Ricardo, 2008-04-30 Local functional systems that create inefficient islands of information are being replaced by expensive enterprise-wide applications that unify the functional areas; however, while we have not yet been able to completely and seamlessly integrate across functions, we find that the new islands of information are no longer functional but political, cultural, linguistic, and geographical. The global village is a reality and enterprise resource planning (ERP) implementations face new issues and challenges. Enterprise Resource Planning for Global Economies: Managerial Issues and Challenges provides authoritative research on the theoretical frameworks and pragmatic discussions on global implementations of information systems, particularly ERP systems. This book offers professionals, managers, and researchers, who want to improve their understanding of the issues and challenges that arise when information systems cross national boundaries, with an authoritative, essential research resource. |
| change management controls sox: Fundamentals of Information Security Risk Management Auditing Christopher Wright, 2016-04-12 An introductory guide to information risk management auditing, giving an interesting and useful insight into the risks and controls/mitigations that you may encounter when performing or managing an audit of information risk. Case studies and chapter summaries impart expert guidance to provide the best grounding in information risk available for risk managers and non-specialists alike. |
| change management controls sox: CCNA Cyber Ops SECOPS 210-255 Official Cert Guide Omar Santos, Joseph Muniz, 2017-06-08 This is the eBook version of the print title. Note that the eBook does not provide access to the practice test software that accompanies the print book. Learn, prepare, and practice for CCNA Cyber Ops SECOPS #210-255 exam success with this Official Cert Guide from Pearson IT Certification, a leader in IT Certification learning. Master CCNA Cyber Ops SECOPS #210-255 exam topics Assess your knowledge with chapter-ending quizzes Review key concepts with exam preparation tasks CCNA Cyber Ops SECOPS 210-255 Official Cert Guide is a best-of-breed exam study guide. Best-selling authors and internationally respected cybersecurity experts Omar Santos and Joseph Muniz share preparation hints and test-taking tips, helping you identify areas of weakness and improve both your conceptual knowledge and hands-on skills. Material is presented in a concise manner, focusing on increasing your understanding and retention of exam topics. The book presents you with an organized test preparation routine through the use of proven series elements and techniques. Exam topic lists make referencing easy. Chapter-ending Exam Preparation Tasks help you drill on key concepts you must know thoroughly. Review questions help you assess your knowledge, and a final preparation chapter guides you through tools and resources to help you craft your final study plan. Well-regarded for its level of detail, assessment features, and challenging review questions and exercises, this study guide helps you master the concepts and techniques that will allow you to succeed on the exam the first time. The study guide helps you master all the topics on the SECOPS #210-255 exam, including: Threat analysis Forensics Intrusion analysis NetFlow for cybersecurity Incident response and the incident handling process Incident response teams Compliance frameworks Network and host profiling Data and event analysis Intrusion event categories |
| change management controls sox: Service Management Strategies that Work Adam Grummitt, Troy DuMoulin, 2007-09-09 Pink Elephant is the world leader in IT management best practices, offering solutions to public and private businesses worldwide, many of them listed in the Fortune 500. The Company specializes in improving the quality of IT services through the application of recognized frameworks, including the IT Infrastructure Library (ITIL®). |
| change management controls sox: IT Control Objectives for Sarbanes-Oxley IT Governance Institute, 2006 |
| change management controls sox: Computer and Information Security Handbook John R. Vacca, 2017-05-10 Computer and Information Security Handbook, Third Edition, provides the most current and complete reference on computer security available in one volume. The book offers deep coverage of an extremely wide range of issues in computer and cybersecurity theory, applications, and best practices, offering the latest insights into established and emerging technologies and advancements. With new parts devoted to such current topics as Cloud Security, Cyber-Physical Security, and Critical Infrastructure Security, the book now has 100 chapters written by leading experts in their fields, as well as 12 updated appendices and an expanded glossary. It continues its successful format of offering problem-solving techniques that use real-life case studies, checklists, hands-on exercises, question and answers, and summaries. Chapters new to this edition include such timely topics as Cyber Warfare, Endpoint Security, Ethical Hacking, Internet of Things Security, Nanoscale Networking and Communications Security, Social Engineering, System Forensics, Wireless Sensor Network Security, Verifying User and Host Identity, Detecting System Intrusions, Insider Threats, Security Certification and Standards Implementation, Metadata Forensics, Hard Drive Imaging, Context-Aware Multi-Factor Authentication, Cloud Security, Protecting Virtual Infrastructure, Penetration Testing, and much more. Online chapters can also be found on the book companion website: https://www.elsevier.com/books-and-journals/book-companion/9780128038437 - Written by leaders in the field - Comprehensive and up-to-date coverage of the latest security technologies, issues, and best practices - Presents methods for analysis, along with problem-solving techniques for implementing practical solutions |
Guidebook for - SafePaaS
However, there are common types of controls for financial systems, such as system access, segregation of duties, change management, and data backup. The challenge is designing …
Guide to the Sarbanes-Oxley Act: IT Risks and Controls - DAU
Section 404 requires management to file an internal control report with its annual report. The internal control report must articulate management’s responsibilities to establish and maintain …
IT Change Management - The Institute of Internal Auditors or …
Change management controls, which include management of patch updates, enable management to address new development projects, regulations, and system changes effectively and …
SOX Access Controls, Separation of Duties, and Best Practices
This article explores the intricacies of SOX access controls and introduces some methods and best practices to simplify compliance and overcome challenges. Understanding SOX Access …
Change Management Consulting, Inc.
SOX mandates a system of internal controls to manage risk in the organization. A system published by the COSO Committee4 in 19925 provides the basis for internal controls used by …
Frequently Asked Questions (FAQs): SOX and internal control …
With cosourcing, SOX efforts are shared between internal and external resources. This highly flexible and scalable model can effectively manage constant change and enhance the quality …
Case Study - Change Management, SOX & Audit Readiness
query awareness and controls; and targeted solutions to speed and streamline your platform migrations. APOS solutions simplify, automate, complement and extend your BI platform …
SOX 404 IT General Controls Matrix - dcag.com
Consider if change management procedures exist for all changes to the production environment, including program changes, system maintenance and infrastructure changes.
Salesforce Best Practices Around IT Compliance for SOX
Implementing a formal process for approval of changes to privileged access (roles, profiles, and permission sets) is a critical requirement of SOX compliance. Your procedures should include …
Internal Controls SOX Compliance Checklist - Plante Moran
Highlight the importance of maintaining strong internal controls, especially in times of change and uncertainty. Harness the power of technology. Identify any new technologies that are used to …
Perspectives on Management Review Controls: Challenges …
By gathering experiences and perspectives from preparers and auditors in the field, this study aims to provide a useful window into current practices and areas of concern, as well as …
SOX compliance: Are you ready? - Deloitte United States
Five phases of SOX compliance. 1. Scope, assess, and define. Before getting started, perform a risk assessment based on qualitative and quantitative factors to identify those areas that are …
Unlocking value beyond compliance in your SOX program
Achieving a high-quality, effective and eficient level of SOX compliance requires a more holistic approach to program management, especially for organizations that are navigating emerging …
Building Organizational Defense - A Comprehensive Approach …
Change Management: Governing IT Changes. Change management processes control the implementation of changes to IT systems, applications, and infrastructure in a controlled and …
SOX Audit: Who Needs It, When, and How to Prepare
A SOX audit, also known as a Sarbanes-Oxley audit, is an essential compliance process that all publicly traded companies in the United States must undergo to adhere to the regulations …
Sox Compliance: Eleven Essential Controls for Sme - IOSR …
This research discusses the latest sox developments in the SME, key findings from ISACA study and COBIT control objectives to satisfy internal IT controls .This compliance escalates and …
Microsoft 365 SOX Compliance Complete Checklist
The below mapping will help you to find out the various SOX compliance controls, and how to implement them in Microsoft 365 services using respective M365 reports for achieving your …
Compliance & Controls - FutureCFO
Effectively managing internal controls to support financial reporting is now top of mind in our complex regulatory and operating landscape. Accounting and finance organizations are …
SOX modernization: Optimizing compliance while extracting …
it’s time to refresh, rethink, and modernize the SOX program. Through modernization, a company can optimize its SOX program, achieve eficiencies, extract value and insights to share with …
SOX modernization: Optimizing compliance while extracting …
it’s time to refresh, rethink, and modernize the SOX program. Through modernization, a company can optimize its SOX program, achieve eficiencies, extract value and insights to share with …
Guidebook for - SafePaaS
However, there are common types of controls for financial systems, such as system access, segregation of duties, change management, and data backup. The challenge is designing …
Guide to the Sarbanes-Oxley Act: IT Risks and Controls - DAU
Section 404 requires management to file an internal control report with its annual report. The internal control report must articulate management’s responsibilities to establish and maintain …
IT Change Management - The Institute of Internal …
Change management controls, which include management of patch updates, enable management to address new development projects, regulations, and system changes …
SOX Access Controls, Separation of Duties, and Best Practices
This article explores the intricacies of SOX access controls and introduces some methods and best practices to simplify compliance and overcome challenges. Understanding SOX Access …
Change Management Consulting, Inc.
SOX mandates a system of internal controls to manage risk in the organization. A system published by the COSO Committee4 in 19925 provides the basis for internal controls used by …
Frequently Asked Questions (FAQs): SOX and internal control …
With cosourcing, SOX efforts are shared between internal and external resources. This highly flexible and scalable model can effectively manage constant change and enhance the quality …
Case Study - Change Management, SOX & Audit Readiness
query awareness and controls; and targeted solutions to speed and streamline your platform migrations. APOS solutions simplify, automate, complement and extend your BI platform …
SOX 404 IT General Controls Matrix - dcag.com
Consider if change management procedures exist for all changes to the production environment, including program changes, system maintenance and infrastructure changes.
Salesforce Best Practices Around IT Compliance for SOX
Implementing a formal process for approval of changes to privileged access (roles, profiles, and permission sets) is a critical requirement of SOX compliance. Your procedures should include …
Internal Controls SOX Compliance Checklist - Plante Moran
Highlight the importance of maintaining strong internal controls, especially in times of change and uncertainty. Harness the power of technology. Identify any new technologies that are used to …
Perspectives on Management Review Controls: Challenges …
By gathering experiences and perspectives from preparers and auditors in the field, this study aims to provide a useful window into current practices and areas of concern, as well as …
SOX compliance: Are you ready? - Deloitte United States
Five phases of SOX compliance. 1. Scope, assess, and define. Before getting started, perform a risk assessment based on qualitative and quantitative factors to identify those areas that are …
Unlocking value beyond compliance in your SOX program
Achieving a high-quality, effective and eficient level of SOX compliance requires a more holistic approach to program management, especially for organizations that are navigating emerging …
Building Organizational Defense - A Comprehensive …
Change Management: Governing IT Changes. Change management processes control the implementation of changes to IT systems, applications, and infrastructure in a controlled and …
SOX Audit: Who Needs It, When, and How to Prepare
A SOX audit, also known as a Sarbanes-Oxley audit, is an essential compliance process that all publicly traded companies in the United States must undergo to adhere to the regulations …
Sox Compliance: Eleven Essential Controls for Sme - IOSR …
This research discusses the latest sox developments in the SME, key findings from ISACA study and COBIT control objectives to satisfy internal IT controls .This compliance escalates and …
Microsoft 365 SOX Compliance Complete Checklist
The below mapping will help you to find out the various SOX compliance controls, and how to implement them in Microsoft 365 services using respective M365 reports for achieving your …
Compliance & Controls - FutureCFO
Effectively managing internal controls to support financial reporting is now top of mind in our complex regulatory and operating landscape. Accounting and finance organizations are …
SOX modernization: Optimizing compliance while extracting …
it’s time to refresh, rethink, and modernize the SOX program. Through modernization, a company can optimize its SOX program, achieve eficiencies, extract value and insights to share with …
SOX modernization: Optimizing compliance while extracting …
it’s time to refresh, rethink, and modernize the SOX program. Through modernization, a company can optimize its SOX program, achieve eficiencies, extract value and insights to share with …
