IT Auditing: The Process 

Robert E. Davis, MBA, CISA, CICA

Robert E. Davis is an independent management audit consultant, currently associated with Robert Half Management Resources, as well as Pleier Corporation author.  His IT audit specializations include Control Objectives for Information and related Technologies, Sarbanes-Oxley, and The Foreign Corrupt Practices Act.  Regarding information security and privacy, Robert is available to provide International Organization for Standardization ISO-17799, Graham-Leach-Bliley, and Basel II Initiative consulting.  His primary computer technology research interests are databases, operating systems, and distributed information systems processing. 

Since starting his career as an IT auditor, Robert has provided data security consulting and IT auditing services for staff and management from staff through management positions to the United States Enrichment Corporation, Raytheon Company, United States Interstate Commerce Commission, Dow Jones & Company, Fidelity/First Fidelity (Wachovia) Corporations, and other organizations.

Some of his professional IT software and hardware experience includes MVS, UNIX, Windows, Oracle, the International Money Management System, PERL, COBOL, PASCAL, DEC, IBM, Tandem, Compaq, and DELL.  

Prior to engaging in the practice of IT auditing and information security consulting Robert provided inventory and general accounting services to Philip Morris USA and general accounting services to Philadelphia National Bank (Wachovia).

Robert graduated from Temple University and West Chester University of Pennsylvania with a Bachelor of Business Administration and Master of Business Administration degree, respectively.  While attending Temple University, his major areas of study were Business Law and Accounting.  He successfully completed the requirements for a Management Information Systems subject major at West Chester University.  

Robert obtained the Certified Information Systems Auditor (CISA) certificate, after passing the Information Systems Audit and Control Association’s rigorous three hundred and fifty multiple-choice questions examination and was conferred the Certified Internal Controls Auditor (CICA) certificate by the Institute for Internal Controls.  

During his twenty-year professional involvement in education, Robert acquired postgraduate and professional technical licenses in computer science and computer systems technology.  

Currently, Robert is a member of the Institute of Internal Auditors’ IT AUDIT magazine Editorial Review Committee’s member and author of an IT AUDIT magazine emerging issues article, “Did IT Auditing Forget the Foreign Corrupt Practices Act?”  

Robert is former ISACA-Philadelphia Chapter Board of Directors member and College Relation Chairman.  Robert has provided instruction to an Internet CISA study group, the Data Processing Management Association, and the ISACA-Philadelphia Chapter CISA Review course.
 
Robert is a member of American Association of University Professors and the Institute for Internal Controls.  He is also a college computer science and mathematics instructor, having previously taught at Cheyney University and Bryant & Stratton College.    




Robert E. Davis has been privileged to assist various organizations in achieving their information systems control objectives and improving business processes.  Recently, he has applied his expertise in assisting organizations in fulfilling U.S. Sarbanes-Oxley reporting and control requirements as well as training professionals internationally.   

Robert is sharing his experience by providing tools to prepare auditors to perform IT audits in an extremely cost-effective manner. Business organizations, governmental organizations, colleges, and universities can benefit from his knowledge and expertise concerning IT auditing.

This self-paced PowerPoint presentation with accompanying material is organized to provide initial training of IT auditors as well as continuing training of IT auditors, auditors, and auditor managers.  The “Administrator’s Guide” provides tools for group and individual self-paced training. 

Utilizing the enclosed PowerPoint slides, in conjunction with the “Participant’s Guide,” can ensure adequate understanding of the entire IT audit process including audit engagement requirements.  Furthermore, participant attentiveness to the material and completion of the eight exercises in the guide can enhance auditor professionalism in corresponding job responsibilities. 

Participants who  complete this course will be adequately prepared to take the Information Systems Audit and Control Association’s (ISACA’s) Certified Information Systems Auditor – The IS Audit Process examination section and to perform competent IT Auditing.

Upon completion of this training the participant will be able to:

1. Develop and/or implement a risk-based IT audit strategy and objectives in compliance with generally accepted audit standards to ensure that the organization's information technology and business processes are adequately controlled, monitored, and assessed, and are aligned with the organization's business objectives.
2. Plan specific audits to ensure that the IT audit strategy and objectives are achieved.
3. Obtain sufficient, reliable, relevant, and useful evidence to achieve the audit objectives.
4. Analyze information gathered to identify reportable conditions and reach conclusions.
5. Review the work performed to provide reasonable assurance that objectives have been achieved.
6. Communicate audit results to key stakeholders.
7. Facilitate the implementation of risk management and control practices within the organization.

IT Auditing: The Process provides a solid foundation for performing U.S. Sarbanes Oxley Act and Foreign Corrupt Practices Act IT audits.
 
IT Auditing: The Process addresses managerial responsibilities for audit managers.

Auditors and Audit Departments that purchase this electronic publication on CD can duplicate the enclosed Administrator’s and Participant’s Guides royalty free for training of individual auditors in that department and for in-house group training.

Organizations that purchase this electronic publication on CD can duplicate the enclosed workbook and use that material to conduct public training by sending a royalty fee of $20 for each copy of the workbook produced to:


When professional associations forward a check please include the place and date that the training was held.

Your feedback, concerning this product, should be sent to
pleier@pleier.com.


“IT Auditing: The Process” contains over 450 PowerPoint slides offering a practical method for performing adaptive IT auditing.  Furthermore, the PowerPoint slides content allows presentation and participation in either a group or individual self-paced training format.

“IT Auditing: The Process” Presentation – module 1

Module 1 sets the framework for learning about the IT Auditing Process as well as offering suggestions how to use this CD in a self-study or group training mode addressing specifically:
 
“IT Auditing: The Process” Presentation – module 2
Module 2 continues the learning about the IT Auditing Process addressing specifically:
“IT Auditing: The Process” Presentation – module 3

Module 3 continues the learning about the IT Auditing Process addressing specifically:
IT Auditing: The Process” Presentation – module 4

Module 4 continues the learning about the IT Auditing Process addressing specifically:

"IT Auditing: The Process Administrator’s Guide"

The 49-page instructor guide is correlated to the IT Auditing: The Process PowerPoint presentation and provides answers for course participant exercises. Beneficially, the administrator guide documents researched answers, with additional reference sources available on the Internet.   

In self-study mode the participant should use the Participant’s Guide and then check the accuracy of answer with the Administrator’s Guide.

"IT Auditing: The Process Participant’s Guide"

The participant guide encourages active learning of the IT auditing process.  This 28-page workbook allows application of presented material and demonstration of the information system audit methodology, using various formats.  Additionally, practice variety also is incorporated through group or individual exercise assignments. 

The Participant’s Guide contains a glossary of terms that participant might want to reference throughout the PowerPoint presentation.

If you like the quality of this electronic publication on CD check http://www.pleier.com for additional information.

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