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Corporate Governance Certification
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This month check out Audit Leverage the software that uses Microsoft Access for workpapers, risk assessment, staffing and scheduling, timekeeping, and more. Remember! Clicking on sponsored ads helps support AuditNet®. Remember: visiting sponsors helps support AuditNet®. Sarbanes-Oxley and Private Companies: Operating in a New Environment Although private companies are currently exempt from the requirements of the Sarbanes-Oxley Act, they cannot ignore the principles behind the legislation. Private companies are not immune to the same forces that brought the collapse of several highly visible public companies. In this article Gordon Tucker, a Protiviti Managing Director, discusses key points of the Act, why it should matter to private companies, and the cost of compliance. This article was contributed by Protiviti KnowledgeLeader, an online service providing tools, templates, and other resources for internal audit and risk management. Free trials available at www.knowledgeleader.com. For a limited time KnowledgeLeader memberships are available for the reduced rate of $550 per year. Tell them you heard about it from AuditNet.org. Click here for the article! Understand IT's role with the Sarbanes-Oxley Act A guide by Mike Tarrani, IT Consultant What is the Sarbanes-Oxley Act? For the complete article click here! Effective Interviewing Techniquesby Gursharan Singh The success of any audit is dependent on many factors and one of the main factors is the ‘interviewing’ factor of the many parties who represent the auditee. Interviewing is a critical capability that every auditor should posses as it affects the success of every aspect of audit. Click here for the article including the audit program. AuditNet® Adds a New SOx Resource AuditNet added a new e-mail discussion group for Sarbanes-Oxley 404. This discussion group will focus on issues related to complying with Section 404 of the Sarbanes-Oxley Act including sharing of resources and experiences, asking questions and gaining a better understanding of compliance issues related to the Act. Section 404 of the Sarbanes-Oxley Act (SOX) says that publicly traded companies must establish, document, and maintain internal controls and procedures for financial reporting. It also requires companies to check the effectiveness of internal controls and procedures for financial reporting. In order to do this, companies must
To subscribe to this free new e-mail discussion group go to http://www.auditnetlists.org/sox404-l/ AuditNet Job Listings (& more) Looking for an audit job? Go to the AuditNet® Audit Jobs section for the latest job opportunities. 24 hours a day, 7 days a week you have the ability to not only look at available jobs, but you can also post your resume, apply for open jobs, research companies and obtain career advice. If you are in the market for a new job, make AuditNet® your first stop to check out what's available. This is just another benefit of using AuditNet® as your one stop shop for all your audit and career resources. Click here for more jobs! Looking for Auditors? If your company has any audit job vacancies that you are looking to fill, have your HR people contact AuditNet® to post the job and search for candidates. Using the jobs section helps support AuditNet® as well! For more information click here. AuditNet® Fraud Auditing Corner Interview with Eliot Spitzer, New York State Attorney General - Rapid ReformerBy Dick Carozza
This article is from Fraud Magazine, the professional magazine
of the Association of Certified Fraud
Examiners
For the rest of the article from the latest ACFE Fraud Magazine click here. Sarbanes-Oxley Corner A New Lingo Calls for a New World Order by Naseem Javed The language of the business culture, or "corporate-lingo," took a dramatic turn with the advent of the word "software." What changed is history. Now, once again, techie lingo is teasing our communication skills and our corporate understanding. Click here for the rest of the story! AuditNet® Resource List UpdatesPlease let us know of links that are not working! Free Tools for Auditors Sarbanes-Oxley Software To address the mounting debate about the requirement to
document the
The only periodical of its kind bringing useful and timely
advice and insights into the prevention detection, and investigation of all
forms of computer and Internet crime.
2nd Annual Software Expo Announced On April 19, 2005, The Institute of Internal Auditors (The
IIA) North Jersey Chapter will host a software expo: Automated Solutions For
Creating Sustainable Value. It is a follow-up to last year’s successful
event, bringing together the leading audit and assurance software vendors
from around the world. The expo is geared to external auditors, internal
auditors, and fraud examiners looking to expand their understanding of
software in the overall assurance market. For more info click
here!
AuditNet® Conference & Training News Want to announce your professional association
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Send us conference name, date and URL details or your
Second Annual Software Expo North Jersey Chapter-IIA
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AuditNet®
Review
Using Microsoft Access
to Audit Payables for Fraud! Accounts payable have always
been a preferred target for fraud by employees. This CD-based CPE
course from the Association of Certified Fraud Examiners will help
you gain a clear understanding of the concepts used to audit
payables for fraud with Microsoft Access® and why certain tests
area more effective than others. For the review click For
those who like to wade through the details on how popular AuditNet®
is, click
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E-Books for
Subscribers to the Annual Audit Programs Heard on the Net!Digital Forums for Auditors – Web Logs (Blog) A blog is basically a journal that is available on the web. The activity of updating a blog is "blogging" and someone who keeps a blog is a "blogger." Blogs are typically updated daily using software that allows people with little or no technical background to update and maintain the blog. Postings on a blog are almost always arranged in chronological order with the most recent additions featured most prominently. More than 10 years ago, I wrote an article for The Internal Auditor on establishing an online information network for auditors. The AuditNet concept has matured into a useful resource for auditors around the world. A relatively recent phenomenon called Web logs or Blogs provide a unique digital sharing opportunity for auditors. While this phenomenon has caught on with some professions, I have not seen much evidence of blogs for auditors. Blog sites could be useful for auditors to share information on such topics as Sarbanes-Oxley, corporate governance, audit committees, whistleblower programs and more. In fact, when I did a search for Sarbanes-Oxley Blogs, I found the following: Blogs may remain a little used resource for auditors. That does not mean that auditors should not refrain from sharing their views on audit related topics on the Web. Tread carefully and think about how you can use this Web-based discussion forum for auditing. The AuditNet blog URL is
http://auditnet.blogspot.com/. Periodically I will add my thoughts
to this online journal on how auditors can use the internet. I invite
auditors to share their comments and experiences in using the Internet
as an audit tool. Until next month! If you have a tip on how you are using the Internet or software applications for auditing send them to editor@auditnet.org Watch for more Internet boot camp tips from the auditing Internet guru! Audit Work Programs Corner Auditors Sharing Audit Programs and Working Papers The following audit programs, ICQs, checklist
or working papers were added this month. They are in
Documents in the Queue! The following audit documents will be posted next month. Interested in them now? Send an audit work program, ICQ, checklist or other audit template and receive them via e-mail. Your contribution must include your name and email address.
Contribution Required Audit Documents! The following documents require the contribution of an audit program not currently in the inventory. They are also available to subscribers to the Audit Programs Subscription Service.
AuditNet® What's New This Month? This month AuditNet® introduces a new column on Sarbanes-Oxley with guest authors. We also feature a new article from contributing columnist. Rich Lanza, CAATTs and audit software guru . A new e-book, Sarbanes Oxley Section 404 Compliance Tips for IT Managers by Darcy Soleil, is available free for subscribers to the Audit Programs subscription service. Non-subscribers may purchase this e-book directly from AuditNet. There are new articles on construction audit, book reviews and more. Watch for new additions to the audit programs subscription service available as an alternative for those auditors that are unable to contribute material to AuditNet®. There are many new audit programs in the queue for the AuditNet® community. All this and more! The best way to find all the resources on the site is by going to the Virtual Library or use the site search. Sarbanes-Oxley Column A New
Lingo Calls for a New World Order The language of the business culture, or "corporate-lingo," took a dramatic turn with the advent of the word "software." What changed is history. Now, once again, techie lingo is teasing our communication skills and our corporate understanding. There are terms like BAM for "Business Activity Monitoring" and CEM for "Complex Event Management." What these new terms are trying to ask us is how well we run our corporate circus. For the rest of the story click here. AuditNet® CAATT Corner Setting a Process To Proactively Detect Fraud Using Technology By Richard B. Lanza, CPA, CFE, PMP Fraud is an elusive enemy in that it is a human nature issue. Therefore, as quickly we can build a person-trap to catch a particular fraudster, just as quickly will the person find a new means to extract funds from a company. While this may be a defeatist attitude, I consider it more of a realistic situation assessment. Also, by admitting that technology alone will not stop fraud, it begins us down the road to better detecting it at organizations. Technology needs to be paired with the human mind to make a new form, a bionic one, that stands the best chance to detecting fraud in organizations. With these concepts in mind, this article will present three simple tasks for consideration when establishing a bionic approach to fighting fraud. Task #1 is to establish proactive reports that work to identify expected fraud routines; the common fraudster. Task #2 is to use data mining to find fraud in those unexpected places and Task #3 is to proactively measure the employee psyche for signs of past, present, and future fraud. For the rest of the article click here! ABOUT THE AUTHOR Rich Lanza (CPA, CFE, PMP) enables organizations in the use of technology to (1) generate cash recoveries, (2) stop profit leaks, (3) move away from control issues, and (4) work towards process improvements. To contact Rich, receive his free e-newsletter, get a free diagnostic, or to order his products/services, e-mail him at rich@auditsoftware.net, call him at 973-601-3701, or visit his website at www.infomagician.com. AuditNet® Software Compliance Audit Corner
“Is Your Number Up?”This new AuditNet® monograph focuses on the issues auditors face with Microsoft Windows XP Service Pack 2. Microsoft Windows XP has been around for some time now and Microsoft has been shipping Service Pack 2 for XP. There has been lots of press and publicity about its release and the need for sites to embrace the Service pack as a means to protect themselves against security issues. Some of you may have already discovered the hard way that is has caused some significant disruption to your systems for technical reasons! For the new monograph click here! Current Views on Governance and Compliance
Your Secret Weapon in the War on Fraud The February 2005 issue of this fraud newsletter features articles on the fourth fraud factor, how to protect your company against phishing attacks and more. AuditNet® users qualify for special rates on this publication. For more information click here. The AuditNet® Audit Bookstore Corner Looking for books on auditing related topics? We suggest using the AuditNet® bookstore. The bookstore focuses on Internal Audit but includes other related subjects as well. AuditNet® uses Amazon to power the bookstore so each purchase you make through this link helps support AuditNet®. Book Reviews
How to Say It When You Don't Know What to Say The Right Words for Difficult Times By Robbie Miller Kaplan
For the rest of the review click here. FREE! The Auditor's Guide to Internet Resources 2nd EditionInterested in a free copy of The Auditor's Guide to Internet
Resources, 2nd Edition? Write an article for the next newsletter on how
you are integrating the Internet in auditing. If your article is selected, I
will send you an electronic copy of the book.
AuditNet® Partner Discounts AuditNet® It pays to be a member! For information on partner discounts click
here. Preview of Coming Attractions! AuditNet® will introduce a new
sharing exchange library for policies and procedures and audit presentations.
Similar to the popular audit program exchange library, these new section will provide sample polices
and procedures and training/briefing presentations from auditors. We will start with sample documents
and PowerPoint presentations and
encourage contributed material from the audit community. These resources will be
of great benefit to companies undergoing S-Ox reviews especially
non-accelerated filers. Watch for details! The AuditNet Monograph Series
provides useful guides for all levels of auditors from juniors right up to
audit directors. New guides are under development for Sarbanes-Oxley, internal
controls and Internet for auditors. If you are interested in developing a
monograph on a contract basis, c Watch for new articles on Finance for Non Financial
Executives, CAATTs, and more from contributors. Reviews are in the
works for AskSam PowerPoint Personal Trainer, and Excel Personal Trainer. Watch the newsletter
for more products, services and tools for auditors. Have
an idea for a column? Contact us. AuditNet® continues adding new specialized resources for
auditors. Watch the newsletter and keep checking the Library page for updates
and new
resources.
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