IIA Bookstore Internal Auditing, two new standards, alignment of ... Sawyer’s Guide for Internal Auditors, 6th Edition First published in 1973, Larry Sawyer’s

February – July 2018

www.theiia.org/Bookstore

$10 OFF*

U S E P R O M O C O D E M I N C AT 2 1 8 O F F E R E X P I R E S J U LY 3 1 , 2 0 1 8 .*Limit one promotional code per order. Cannot be combined with other promo codes.

S P O T L I G H T SIIA Bookstore

Practical Enterprise Management: Getting to the Truth

SEE PAGE 14 FOR DETAILS.

ENTERPRISE RISK MANAGEMENT

GETTING TO THE

TRUTH

Larry L. Baker, CRMA, CCSA, CPA

PRACTICALManaging Risk in Uncertain Times: Leveraging COSO’s ERM Framework


w w w . t h e i i a . o r g / B o o k s t o r e

Data Analytics: A Roadmap for Expanding Analytic Capabilities


Richard ClineWard Melhuish, CSSGBMeredith Murphy, CFE, CAMS

DATAANALYTICS

A Road Map for Expanding Analytics Capabilities

TABLE OF CONTENTS

This IIA Bookstore catalog was created with your professional development needs in mind. Whether you are just beginning your internal audit career, need management-minded and team training resources, or seek executive-level thought leadership, we have organized resources by category and topic.

Table of ContentsFeatured Product Bundles ..............................................3–5

Audit Fundamentals .......................................................6–7

Audit Management ........................................................8–9

Executive Development ..............................................10–11

CIA and Other Exam Preparation .................................12–13

Governance, Risk, and Control ....................................14–15

Technology/Soft Skills ................................................16–17

S P O T L I G H T SIIA Bookstore

The IIA Bookstore Spotlights Visit www.theiia.org/Bookstore for more details and additional resources.2

FEATURED PRODUCT BUNDLES

ENTRY LEVEL LIBRARY ESSENTIALS

New Internal Auditor BundleComprehensive, yet easy-to-read content is the cornerstone of any new auditor’s professional library.

Item No. 1238Member Price: $219.99 Nonmember Price: $269.99

New Internal Audit Manager BundleAs your career advances, so should your knowledge and ability to handle higher level issues.

Item No. 1237Member Price: $159.99Nonmember Price: $239.99

MANAGEMENT LEVEL LIBRARY ESSENTIALS

EXECUTIVE LEVEL LIBRARY ESSENTIALS

Chief Audit Executive BundleBecoming — and remaining — an effective and trusted audit leader requires continuous learning.


The IIA Bookstore SpotlightsVisit www.theiia.org/Bookstore for more details and additional resources. 3

Get the Risk Bundle That Nails It!Risk challenges come from every direction. To hit the mark and make sure you’re covered from every angle, you must draw from a variety of resources.

The IIA Bookstore’s new risk bundle hits the bullseye with four new publications that cover the most pressing issues related to risk.

This bundle is designed to empower practitioners to enhance the value they add to their organizations around risk.

All four titles offer practical, real-world advice to strengthen the risk assessment and management processes with tools to support your efforts.

Purchase the whole bundle now and SAVE 25%!

BUY YOUR BUNDLE TODAY!Visit www.theiia.org/RiskBundle


GETTING TO THE

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THE INTERNAL AUDITOR’S GUIDE TO

RISK ASSESSMENT

2nd Edition

ONLINETOOLKIT

INCLUDED

ISBN 978-0-89413-739-6

Rick A. Wright Jr., CIA, a self-proclaimed “audit nerd,” has a deep passion for the internal

audit profession and adult learning. During his 20-plus-year career, Rick has held roles

from staff auditor through CAE. He gives back to the profession he loves through numerous

volunteer activities with The IIA and local universities.

The Internal Auditor’s GUIDE TO RISK ASSESSMENT

R isk assessment is a core activity that impacts internal auditors on a daily basis. That is why it is so important for everyone in the internal audit function to have the skills and knowledge to assess risk.

The Internal Auditor’s Guide to Risk Assessment will show you how to:

n Align risks to business objectives

n Create a practical audit plan

n Conduct a risk assessment, step by step

You can also use this book as a study resource if you are preparing to take The IIA’s Certification in Risk Management Assurance (CRMA) exam.

In addition, this comprehensive guide includes The Risk Assessment Toolkit. This valuable resource provides a set of 10 risk assessment examples with Excel spreadsheets and Word documents that you can customize to meet your needs. This toolkit can be quickly and easily downloaded online.

Whether you are a staff auditor, a new chief audit executive (CAE), or a business professional rotating into an internal audit assignment, this book will equip you to confidently conduct your organization’s risk assessments.

RICK A. WRIGHT JR., CIA

2017-1338

NEW RISK BUNDLE NOW AVAILABLE


Get the Risk Bundle That Nails It!Risk challenges come from every direction. To hit the mark and make sure you’re covered from every angle, you must draw from a variety of resources.

The IIA Bookstore’s new risk bundle hits the bullseye with four new publications that cover the most pressing issues related to risk.

This bundle is designed to empower practitioners to enhance the value they add to their organizations around risk.

All four titles offer practical, real-world advice to strengthen the risk assessment and management processes with tools to support your efforts.

Purchase the whole bundle now and SAVE 25%!

BUY YOUR BUNDLE TODAY!Visit www.theiia.org/RiskBundle


GETTING TO THE

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ISBN 978-0-89413-739-6















2017-1338

NEW RISK BUNDLE NOW AVAILABLE

STOP THE CHAOS!Learn How to Effectively Manage Your Organization’s Data

Letting any of your organization’s data slip through your fi ngers can cost you. It’s why creating an effective data mining and analytics framework is critical.

The IIA Bookstore, powered by the Internal Audit Foundation, is offering a new data analytics bundle that stops the chaos of information overload and helps you:

n Develop a data analytics framework to accomplish multiple audit objectives.

n Enhance internal audit effi ciency through the use of data mining and analytics.

n Eliminate duplicate data mining and analysis efforts across audit and other functions.

n Determine the optimal effort needed to maximize your framework.

With these two publications, Data Analytics: Elevating Internal Audit’s Value and Data Analytics: A Road Map for Expanding Analytics Capabilities, you will receive a step-by-step approach to accomplishing all of this while also saving money. Add this book bundle to your library today and save!

BUY YOUR BUNDLE TODAY!Visit www.theiia.org/DABundle

NEW DATA ANALYTICS BUNDLE

Preorder Now!


AUDIT FUNDAMENTALS

Internal Auditing: Assurance & Advisory Services, Fourth EditionThis comprehensive textbook is designed to teach students the fast-growing global profession of internal auditing. Written through the collaboration of educators and practitioners, this textbook serves as a cornerstone for internal audit education. It covers key fundamentals of internal auditing that can be applied in an ever-changing business world, serving as a reference and training tool for internal audit practitioners.


Clarity, Impact, Speed: Delivering Audit Reports That MatterThis time-tested handbook covers report-design and report-writing techniques, enabling auditors to construct clear and persuasive audit reports that address current and emerging demands. Small or large, newly established or long-standing, private or public, this book is applicable to all.


Internal Auditing: A Guide for the New Auditor, 3rd EditionThis handbook prepares new internal auditors who face constant organizational change and other challenges by providing tools used by successful audit professionals, tactics to implement within the organization, and practical information on conducting engagements, report development, internal control, and much more.


International Professional Practices Framework (IPPF) – 2017 Edition With insightful input from internal auditors around the world, The IIA’s updated International Professional Practices Framework ® (IPPF®), or “Red Book,” is more relevant than ever and should be a staple for all audit practitioners as they strive to align with improvements to the framework that steers the profession.

Enhancements include the new Mission of Internal Audit, Core Principles for the Professional Practice of Internal Auditing, two new standards, alignment of the Standards to the Core Principles, and updates to existing standards.

The user-friendly guide includes an intuitive table of contents, well laid-out pages, and a quick reference index. In addition, your purchase of the hardcover edition comes with a USB drive containing all Supplemental Guidance. Also available as an eBook with enhanced search capabilities.



$10 OFF*



AUDIT FUNDAMENTALS

Sawyer’s Guide for Internal Auditors, 6th Edition First published in 1973, Larry Sawyer’s work has guided many internal auditors and shaped the profession. While the foundation principles remain core, the ever-changing global business environment requires adaptation to avoid becoming obsolete. The original work has expanded into a 3-volume set, making the content more navigable for the reader, and each volume includes an index and glossary for easy reference.


Quality Assessment Manual for the Internal Audit Activity, 2017 IPPF AlignedRevised to incorporate requirements of The IIA’s International Professional Practices Framework (IPPF) and the update to the International Standards for the Professional Practice of Internal Auditing effective Jan. 1, 2017. This is a valuable resource for all organizations with a Quality Assurance and Improvement Program or for those entities responsible for conducting external assessments.


Audit ReportsCommunicating Assurance

Engagement Results

Audit Reports: Communicating Assurance Engagement ResultsAs internal audit’s value shifts from a retrospective view to a forward-looking perspective, internal auditors are expected to adapt with innovative methods. Stakeholders need clear and concise reports that prioritize engagement observations based on urgency and impact. This new guidance supports practitioners in writing reports that resonate with stakeholders and effectively communicating key messages in a timely manner.

Item No. 1235.dlMember Price: FreeNonmember Price: $25.00

Applying the IPPF, 4th EditionWith practical guidance on how to put The IIA’s International Professional Practices Framework (IPPF) into action, this edition reflects the 2017 revisions to the International Standards for the Professional Practice of Internal Auditing, the Core Principles, and the Implementation Guides. The authors take two new approaches — looking at internal audit application of the IPPF through a maturity model lens and from the perspective of small audit departments. They review basic information on the essential elements required for providing high-quality internal audit services, discuss in depth those elements representing significant change, and provide specific practical tools and techniques.


Urton Anderson, PhD, CIA, CCSA, CGAP, CFSA, CCEAndrew J. Dahle, CIA, CPA, CISA, CFE

APPLYINGT H E I N T ER NATIONA L PROF E S SIONA L

P R A C T I C E S F R A M E W O R K ( I P P F ) ®


AUDIT MANAGEMENT

Storytelling with Data: A Data Visualization Guide for Business ProfessionalsStorytelling is not an inherent skill, especially when it comes to data visualization, and the tools at our disposal don’t make it any easier. This book demonstrates how to go beyond conventional tools to reach the root of your data, and how to use your data to create an engaging, informative, compelling story.


Internal Audit Practice from A to Z Blending professional practice with theory, this book addresses the practice of internal auditing using GAAS (Generally Accepted Auditing Standards), GAGAS (Generally Accepted Government Auditing Standards), and The IIA’s International Standards for the Professional Practice of Internal Auditing. It guides internal auditors in the process and procedures necessary to carry out professionally accepted internal audit functions, and features a rich array of forms, figures, tables, reports, and more making it a useful reference tool.


Lean Auditing: Driving Added Value and Efficiency in Internal Audit Written for board members, senior managers, finance professionals, and internal auditors, this book offers an important resource that clearly demonstrates the use of Lean principles and techniques to both inspire and support internal auditing to better understand what it means to add value and to drive out unproductive activities. Apply the core principles of Lean Auditing to focus on what provides value to customers and eliminate unnecessary work.


People-Centric Skills: Interpersonal and Communication Skills for Auditors and Business ProfessionalsThis is both a comprehensive how-to guide and the story of a leading internal audit department taking that next step to becoming a world-class audit organization in a fictional company. The foundation of that next step is developing People-Centric Skills. The book demonstrates the impact that interpersonal and communication skills — whether good or bad — have on an auditor’s effectiveness, job, and career.



AUDIT MANAGEMENT

AUDITINGTHE

PROCUREMENT FUNCTION

2nd Edition

David O’Regan, CIA, FCA

Auditing the Procurement Function, 2nd Edition

Procurement is a major expenditure in most organizations—often the largest or second-largest category—and it comes with its own unique set of dynamics and challenges. This book offers practical advice for auditing the procurement function and provides a summary of the fundamental internal controls that one would expect to see in a well-managed organization.

There have been significant developments and changes in the approach to procurement since the first edition was published. You will learn about:

» Definitions of procurement » Core economic challenges » Procurement fraud » Ethical and socioeconomic issues » Internal controls and the “Three Lines of Defense” » Identification of potential vendors

Auditing the Procurement Function, 2nd Edition, is intended to be of relevance for all types and sizes of organizations globally—in the private sector, the not-for-profit or charitable sectors, local and national government, and international organizations. It will be of interest to internal auditors, external auditors, and all those with an interest in the auditing of procurement (including members of audit committees, procurement professionals, and those who are subject to auditing).

Auditing the Procurement Function, 2nd Edition

Auditing the Procurement Function, 2nd EditionThis second edition covers topics that have grown in importance in the decade since the first edition — the tremendous increase of outsourcing and offshoring and technological advances, including artificial intelligence. It offers practical advice for auditing the procurement function and is relevant for all types and sizes of organizations globally.

Item. No. 1257Member Price: $49.99Nonmember Price: $64.99

J. Mike Jacka, CIAPeter R. Scott, APR, CAE

Message, Brand, and Dollars

AUDITING MARKETING FOR THE ORGANIZATION’S SUCCESS

When it comes to marketing and internal auditing, chances are you don’t envision the two departments as part of a collaborative e� ort for the good of the organization. Marketing is the pie-in-the-sky service where creativity trumps controls every time. Internal audit is the down-to-earth activity where common sense drives the mitigation of risks.

Message, Brand, and Dollars shows how these two opposites can work together to drive an organization’s marketing success. Social media compliance experts Mike Jacka and Peter Scott explain:

n The di� erence between auditing marketing and auditing the marketing department. n The key documents unique to marketing—creative brief, brand standards manual,

image standards, and media strategies—that help guide operations. n The role of brand management, creative services, and media—including social

media—in achieving marketing strategies. n New information on data security, cybersecurity, source code management, and

vendor management and contracts. n The unique requirements of agency relationship management, how these support

the overall operations, and where things might go wrong. n Ways internal audit can review marketing activities to help ensure risks have been

properly identi� ed and appropriate controls have been established.

What not only makes the practice of marketing a challenge—but also the performance of an internal audit—are the many ways to develop, implement, sta� , and direct activities. Message, Brand, and Dollars contains practical information that any internal auditor needs to gain a better understanding of marketing.

J. Mike Jacka, CIA, became Chief Creative Pilot for Flying Pig Audit, Consulting, and Training Solutions (FPACTS). He is an award-winning columnist and author who provides training and consulting services in diverse areas such as report writing, creativity, leadership, and critical thinking.

Peter R. Scott, APR, CAE, is a senior-level social media and public relations strategist who works with some of the world’s largest and most respected brands and agencies. For more than 15 years, he has led numerous communications, marketing, and interactive media, including serving as The IIA’s Director of Marketing and Web Operations.

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Message, Brand, and Dollars: Auditing Marketing Operations When it comes to marketing and internal auditing, most people don’t envision the two departments as part of a collaborative effort for the good of the organization. Marketing is the pie-in-the-sky service where creativity trumps controls every time. Internal audit is the down-to-earth activity where common sense drives the mitigation of risks. This book shows how these two opposites can work together to drive an organization’s marketing success.


Business Process Mapping: Improving Customer Satisfaction, 2nd EditionWith more detail and examples of customer mapping and enterprise risk management (ERM), this second edition focuses on how objectives, risks, and key performance indicators are fundamental to understanding and analyzing processes. Its case studies and tools, including RACI matrices, “spaghetti” maps, and control flowcharts, enhance the basic work done enabling auditors to successfully use mapping, achieving a more robust approach to process analysis.


Essentials: World-Class Tools for Building an Internal Audit Activity, 2nd EditionAvailable in a convenient CD/DVD, internal audit departments can upgrade, refresh, and revitalize their internal audit manual and download as many of the copyright-free documents provided as desired to update, revise, blend, and customize for their own use. Organizations in the private and public sectors at any stage of maturity will find valuable resources to upgrade their internal audit function to a world-class standard, adding enterprisewide value and a greater capacity to meet stakeholder expectations.



NEW PRODUCTSEXECUTIVE DEVELOPMENT

Management’s Guide to Sarbanes-Oxley Section 404, 4th Edition

The U.S. Sarbanes-Oxley Act of 2002 was passed by the U.S. Congress to protect investors from the possibility of fraudulent accounting activities by corporations. Every organization is required to use a recognized internal controls framework for its Sarbanes-Oxley program. Sarbanes-Oxley Act Section 404 mandates that all publicly traded companies must establish internal controls and procedures for financial reporting and must document, test, and maintain those controls.

The primary change in this 4th edition is incorporating the comments and explanations of Staff Audit Practice Alert No. 11 and subsequent publications by the U.S. Public Company Accounting Oversight Board (PCAOB). There is a new section on management review controls, a more general chapter on the impact of the PCAOB’s examinations, and a chapter that discusses prosecutions under Sarbanes-Oxley. A helpful checklist that helps management teams complete a self-assessment and ensure their Sarbanes-Oxley program is efficient is also included.

Popular author and thought leader Norman Marks shows readers how to:

• Design a scope of work for their Sarbanes-Oxley assessment that is top-down and risk-based.

• Understand the relationship between Sarbanes-Oxley Sections 302 and 404.

• Appreciate alternative methods, including the use of technology, to test key controls.

• Improve the overall efficiency of their internal control systems, not just the controls relied on for financial reporting.

This book has a high-level section for CEOs and CFOs who must sign off on required internal controls-related reports, as well as detailed guidance for managers of their company’s Sarbanes-Oxley programs. It is written for management by an experienced head of internal audit who has been involved with The IIA’s advice and guidance on Sarbanes-Oxley compliance since 2002. It incorporates and reflects up-to-date guidance from the U.S. Securities and Exchange Commission (SEC), the PCAOB, and The IIA.

Managem

ent’s Guide to Sarbanes -Oxley Section 404, 4th Edition

Management’s Guide to Sarbanes-Oxley Section 404, 4th EditionNew insights from the SEC, PCAOB, and The IIA prompted award-winning author Norman Marks to update his book, Management’s Guide to Sarbanes-Oxley Section 404. The new edition includes information intended to keep CEOs, CFOs, and anyone who signs off on required internal control-related reports from running afoul of guidelines.


CAE Strategic Relationships: Building Rapport with the Executive SuiteThis award-winning insightful collection of case studies shows CAEs how to build and leverage their relationship with the executive suite for better organizational outcomes. It uses the relational coordination framework to uncover the core elements of successful business relationships for CAEs and their executive suite counterparts. Explore the revelations of candid observations from CAEs and CEOs at large organizations in the U.S. and Europe.


Driving Audit Value (Vol. I): Audit Function Strategy.Audit Function Strategy differs from all the other books about internal audit in the way it combines the theoretical knowledge and the best practice frameworks with the practical experiences of a seasoned CAE. This is the first and only book that develops a clear strategy for the internal audit function, as it reflects on auditing from an entirely new perspective by defining its added value.


Wayfinders: CAE’s Road to SuccessThere is no definite formula for success. Rather, these stories tell the experiences of internal audit leaders who found their way through a unique combination of chance and choice. We may not feel the importance of these experiences as they occur, but in retrospect we often see that without those chance moments, our lives would not have taken the same course.


COMINGSOON!

Customized solutions for today’s leaders.Learn more at www.theiia.org/AEC


EXECUTIVE DEVELOPMENT

Trusted Advisors: Key Attributes of Outstanding Internal Auditors Trust is crucial to internal audit’s success. It is how we are able to be heard and effect positive change on critical issues. Award-winning author Richard Chambers, president and CEO of The IIA, taps the insights of an array of leading internal auditors and, from their experiences, provides insights into the traits that characterize outstanding internal auditors and those who have also earned a “seat at the table.”

Item No. 1224 Soft Cover / Item No. 1252 Hard Cover Member Price: $19.99-$24.99Nonmember Price: $24.99-$29.99

GREAT Ways to Motivate Your StaffShaping an Audit Team that Adds Value and Inspires Business Improvement

CBOKThe Global Internal Audit Common Body of Knowledge

Bruce TurnerAM, CRMA, CGAP, CISA, CFE

Sponsored by

Core Report

MANAGEMENT GREAT Ways to Motivate Your Staff: Shaping an Audit Team that Adds Value and Inspires Business ImprovementEffective CAEs position their internal audit departments to add value and inspire business improvement by maximizing the productivity and contribution of their internal audit colleagues. This report provides insights on how CAEs and other audit leaders can improve their practices for evaluating and motivating internal auditors. Learn strategies for goal setting, retaining talent, equipping employees, assessing performance, and treating success.

Member Price: FreeNonmember Price: Free

Warren W. Stippich Jr., CIA, CPA, CRMABradley J. Preber, CPA/CFF, CGMA, CFE, CCA

Data Analytics: Elevating Internal Audit’s Value Today’s audit leader struggles with creating an integrated, efficient approach to data mining that maximizes the impact and value the audit department delivers. Data Analytics: Elevating Internal Audit’s Value is the result of a research project that aimed to lead to the design of a data analytics framework to help internal audit functions.


Data Analytics: A Road Map for Expanding Analytics Capabilities Data analytics is becoming a key tool for internal auditors and many business users. Written in collaboration with Grant Thornton, this book addresses the need for the right organizational structure to achieve analytic success. Topics include the evolving data and analytic needs of companies, the shift toward an analytics and digital transformation, how to define and score analytic priorities, how to blend and enrich data to create “thick data,” and how to measure the impact and value of analytic activities.



$10 OFF*



CIA AND OTHER EXAM PREPARATION

CRMA Study Guide Book and Exam Study Questions BundlePrepare to pass the Certification in Risk Management Assurance® (CRMA®) exam with this study guide and exam practice questions book that cover all four official exam domains. The CRMA Exam Study Guide serves as an aid to taking the exam and enhances your knowledge of risk management assurance for audit-related activities. Exam Practice Questions includes practical, scenario-based questions as well as those of a theoretical nature.

Item No. 1210Member Price: $87.99-96.79 Nonmember Price: $109.99-120.99

CGAP Exam Study Guide, 4th EditionThe IIA’s Certified Government Auditing Professional® (CGAP®) credential prepares auditors to skillfully manage challenges related to everything from budget constraints to political and public pressures. The CGAP Exam Study Guide, 4th Edition, has been updated and revised to give you a comprehensive and highly readable guide for passing the exam.

Item No. 1100Member Price: $79.99Nonmember Price: $ 99.99

Certified Financial Services Auditor (CFSA) Study GuideEarning your Certified Financial Services Auditor® (CFSA®) designation from The IIA is the best way to demonstrate your commitment to advancing in this competitive niche and communicating your breadth of knowledge. This 2-volume study guide will help you prepare to pass the CFSA examination. It is also available in Spanish as a workbook.


CIA Exam Practice Questions, 2017 IPPF AlignedAligned with the 2017 International Professional Practices Framework (IPPF), this is the essential tool for mastering the Certified Internal Auditor® (CIA®) examination. The guide includes practice questions that will help develop knowledge of best practices in the industry, including questions specific to Mandatory Guidance of the IPPF and the Core Principles for the Professional Practice of Internal Auditing. It helps the reader to understand why answers are correct and — just as important — why answers are incorrect.


EXAM

PRACTICE QUESTIONS

2017IPPF

ALIGNED


CIA AND OTHER EXAM PREPARATION

Gleim CIA Review System: 3-Part Set – OnlineThis study guide will prepare you to pass the exam and take the next step in advancing your career. The Traditional CIA Review System is available as a set and is also offered for each individual part. You will experience a flexible, easy-to-follow, 3-step study approach, but with less guidance than the Premium CIA Review System.


Certification in Control Self-Assessment (CCSA) Study GuideEarning the Certification in Control Self-Assessment® (CCSA®) is the best way to demonstrate your commitment and knowledge of CSA fundamentals. The guide provides a general overview of the topics that will be covered in the four exam domains. However, it is suggested that candidates perform additional study in areas where experience or background dictate the need for additional review.


The IIA’s CIA Learning System – 3-part study guide with online reviewThe IIA’s CIA Learning System® is a comprehensiveand interactive CIA review program that teachesand reinforces the entire exam syllabus in a flexible,on-demand format. It combines reading materials, inprinted and electronic formats, with online tests andstudy tools to ensure you are prepared to pass the CIAexam and armed with critical tools and knowledge toexcel in your internal audit career.

New! The IIA’s CIA Learning System Version 6.0 for the updated 2019 CIA® exam is coming soon! Purchase Version 5.0 today and upgrade to the new online Version 6.0 for free!

Get complete details at www.LearnCIA.com/upgrade.



GOVERNANCE, RISK, AND CONTROL

Enterprise Risk Management Integrating with Strategy and Performance

Committee of Sponsoring Organizations of the Treadway Commission

June 2017

COSO Enterprise Risk Management: Integrating with Strategy and PerformanceThe updated framework helps organizations stay several moves ahead of the game in today’s volatile, complex, and ambiguous ERM landscape focusing on ERM challenges and evolving expectations that business leaders and boards face, highlighting the importance of ERM in strategic planning and emphasizing embedding ERM throughout an organization.



GETTING TO THE

TRUTH


PRACTICAL Practical Enterprise Risk Management: Getting to the Truth Rather than wasting time mulling over theories, this book delivers “how-to” applications of ERM methods that work and step-by-step descriptions of two practical ERM approaches. Based on the more than 20 years and estimated 40,000 hours of ERM experience of author Larry Baker, the book offers concise, focused, and practical guidance for those interested in initiating, executing, and evolving ERM, regardless of experience level. It also includes support forms, tools, and customizable templates.


Committee of Sponsoring Organizations of the Treadway Commission

R i sk Management Gu ideFraud

Fraud Risk Management GuideIssued by COSO, this guide offers guidance that defines principles and points of focus for fraud risk management and describes how organizations of various sizes and types can establish their own effective and efficient fraud risk management program. It also includes examples of key program components and resources that organizations can use as a starting place to develop their own program.


Managing Risk in Uncertain Times: Leveraging COSO’s New ERM Framework In today’s business environment, risk can come from all directions and knowing where to turn for guidance can be challenging. Author and ERM expert Paul Sobel helps internal auditors and risk managers understand the implications of COSO’s Enterprise Risk Management – Integrating with Strategy and Performance.

Sobel explains how to use the COSO ERM Framework as an evaluation tool and highlights the alignment of the updated framework with The IIA’s latest IPPF and implementation guidance.



GOVERNANCE, RISK, AND CONTROL

Assessing and Managing Strategic Risks: What, Why, How for Internal Auditors Designed to provide internal auditors with sound, practical advice that can better enable them to meet the critical challenge of today’s dynamic risk environment. The primary focus is on two key processes: the assessment of strategic risks and strategic risk management. Content outlines frameworks on strategy, strategic risks, and a basic strategic risk assessment methodology.

Item No. 1270 Member Price: $44.99Nonmember Price: $54.99

Performance Auditing: Measuring Inputs, Outputs, and Outcomes, 3rd Edition Developed for the practitioner and trainer, it emphasizes the use of measurement and comparison in performance assessment. Gleaning from leading standards from the U.S. Government Accountability Office (GAO), the International Organization of Supreme Audit Institutions (INTOSAI), and The IIA, this valuable resource provides concepts and best practices to execute a performance assessment.


Internal Audit

For the Public Sector

CAPABILITY MODEL (IA-CM)Internal Audit CAPABILITY MODEL (IA-CM) For the Public Sector

Revised Edition with Online Assessment Tool

Internal Audit

For the Public Sector

CAPABILITY MODEL (IA-CM)

The Internal Audit Capability Model (IA-CM) for the Public Sector is a framework that identifies the fundamentals needed for effective internal auditing in the public sector. This revised edition has been updated through consultation with past and present users of the IA-CM and global internal audit thought leaders. It reflects leading developments in governance, business and risk management, and the internal audit profession to ensure that it is relevant, useful, practical, and forward-thinking.

The context was reviewed in detail and revisions were made throughout, including the detailed key process areas (KPAs), to reflect current and evolving professional development, practices, and innovative concepts, including:

• The IIA’s International Professional Practices Framework (IPPF).

• Internal audit’s role and relationship with control and risk functions in an organization’s three lines of defense.

• The importance of fostering and strengthening internal audit stakeholder relationships.

• Internal audit’s enhanced leveraging of knowledge management systems and information technology.

This revised edition now includes a comprehensive online assessment tool designed to assist internal audit activities and their stakeholders effectively apply the IA-CM. It can be used by senior management, stakeholders, and legislators to evaluate the type of activity and develop a strategy that is appropriate for their organizations or jurisdictions.

Elizabeth MacRae, CGAP • Bruce C. Sloan, CPA, CA, CRMA

Internal Audit Capability Model (IA-CM) for the Public SectorDesigned for the public sector, this book serves as the global model for communicating what is meant by effective internal auditing and how it serves an organization and its stakeholders — and for advocating the importance of internal auditing to decision makers. It is also a framework for assessing the capabilities of an internal audit activity against professional internal audit standards and practices, either as a self-assessment or an external assessment.


The Internal Auditor’s Guide to Risk Assessment, 2nd Edition It’s critical that professionals continuously refine their skills and knowledge to assess risk. Internal auditors at all levels and functions will gain confidence and be prepared to conduct risk assessments, and be armed with step-by-step guidelines on how to use a risk assessment to create an audit plan, and the merits of alignment with business objectives. Purchase includes a comprehensive resource package with customizable templates and other useful elements.

Item No. 1280 Member Price: $119.99Nonmember Price: $149.99

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ONLINETOOLKIT

INCLUDED

ISBN 978-0-89413-739-6















2017-1338


$10 OFF*



TECHNOLOGY / SOFT SKILLS

Understanding and Auditing Big Data

Global Technology Audit Guide (GTAG): Understanding and Auditing Big DataThis GTAG provides an overview of big data concepts to help internal auditors identify the different components of a big data program, including strategic objectives, success criteria, governance and operational processes, technology, tools, and other resources; and understand how to align internal audit activities in support of the organization’s big data initiatives. In addition, this guidance includes a framework of key risks, challenges, and examples of controls that should be considered when planning big data audits.

Item No. 1254.DLMember Price: FreeNonmember Price: $25.00

The Complete Guide to CyberSecurity Risks and ControlsLearn how to create a working, practical control structure that will ensure the ongoing, day-to-day trustworthiness of ICT systems and data. The book explains how to establish systematic control functions and timely reporting procedures within a standard organizational framework and how to build auditable trust into the routine assurance of ICT operations.


The Security Intelligence Center / Next Steps: Beyond Response to AnticipationAs cyberattacks grow in frequency, severity, and complexity, cybersecurity professionals are urging organizations to move beyond a defensive and reactive approach, to a more proactive approach, allowing for the prediction and anticipation of cybersecurity threats. This report is intended to help cybersecurity professionals, CAEs, and other stakeholders to explore broader issues of cybersecurity and to answer important questions.


The Future of Cybersecurity in Internal Audit This whitepaper provides a road map for internal auditors to build a cybersecurity audit plan, understand the changes coming for technology audits, recognize specific risks/threats, and ensure proper controls are operating effectively.


COMINGSOON!


TECHNOLOGY / SOFT SKILLS

The Top 7 Skills CAEs WantBuilding the Right Mix of Talent for Your Organization

Executive SummaryThe evolution of the internal audit profession toward a more value-added risk assurance function continues to move forward. While technical skills are needed for day-to-day work, analytical/critical thinking and com-munication are personal skills that continue to be at the top of any chief audit executive’s (CAE’s) wish list. Practitioners with these skills have a higher probability of overcoming any technical deficiencies and stepping up to meet stakeholders’ value-added expectations. To find practitioners with these skills, CAEs need to have a deliberate talent management plan. They should priori-tize identifying those candidates with key personal skills through behavioral assessments, looking at diverse aca-demic backgrounds. When it is not feasible to hire staff for particular skills or needs, they can consider using resources

in other areas of the organization (co-sourcing) or obtain-ing support from outside the organization (outsourcing). Finally, CAEs should establish development programs that further improve on personal skills while augmenting industry-specific knowledge and other technical skills.

This report supports its conclusions with results from the CBOK 2015 Global Practitioner Survey, the largest ongoing study of internal auditors in the world.

Section 1: Personal Skills—High in Demand Analytical/critical thinking and communication top the list of skills most sought after when CAEs were asked to pick the top five skills they are recruiting or building into their internal audit departments (see exhibit 1). In fact, they have consistently chosen analytical/critical thinking

Fast Fact

TALENT

James RoseCIA, CRMA, CPA, CISA

CBOKThe Global Internal Audit Common Body of Knowledge

Sponsored by

Larry Harrington, CIA, QIAL, CRMA2015 –16 ChairmanIIA Global Board of Directors

The Top 7 Skills CAEs Want: Building the Right Mix of Talent for Your Organization The evolution of the internal audit profession toward a more value-added risk assurance function continues to move forward. While technical skills are needed for day-to-day work, critical thinking and communication skills continue to be at the top of the list. This report identifies the top seven skills sought by CAEs and attributes that most CAEs are recruiting or building into their functions.


Collaborative AuditingCollaborative Auditing provides guidance through an understanding that internal audit’s responsibility goes beyond individual audit engagements to ensuring that key stakeholders get the knowledge and tools they need to improve processes and address the root causes of issues within their organizations.


Lessons Learned on the Audit TrailLooking back on his nearly 40-year career, Richard Chambers shares many of the key events and insights gained. In his award-winning first book, Chambers candidly shares personal experiences that illustrate critical lessons every internal auditor will learn from and insights gleaned from his professional journey, which spans the government and corporate sectors and, since 2009, as president and CEO of The IIA.


The Politics of Internal AuditingThis research report addresses political pressure on CAEs and their internal audit departments. Surveying and interviewing nearly 500 CAEs from various business sectors around the world, researchers Larry Rittenberg and Patty Miller share how effective CAEs work to mitigate political pressure and lessons learned that may assist you in managing it.



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Documents

IIA Bookstore Internal Auditing, two new standards, alignment of ... Sawyer’s Guide for Internal Auditors, 6th Edition First published in 1973, Larry Sawyer’s