Essentials of IT Auditing for the Non-IT Auditor

OVERVIEW

This webinar will assist those without information technology experience in their pursuit of designing and executing audits that assess information security components. It is specially designed to meet the basic IT audit training needs of financial and operational auditors who assess IT risks, governance, management, and controls during their audits. The objective of this training is to provide the necessary knowledge for non-IT auditors to allow them to perform a basic IT audit during a financial or an operational examination.

This course will also benefit IT-auditors by enhancing their general and application controls understanding. During this webinar, you will acquire baseline knowledge for IT general and application control concepts and skills and their importance and relationship in your business processes. You will also learn the fundamentals of issues concerning IT controls, and the scope of addressable IT risks in today’s business environment.

WHY SHOULD YOU ATTEND

Strategic and tactical manager-leaders enable large supplier and buyer repositories of sensitive business and personal information that, if compromised, will have severe organizational and individual repercussions. Various news outlets such as Fox News, the Wall Street Journal, Forbes, and CNN Business have presented events concerning cybersecurity breaches. Most of these reputable news organizations implied serious allegations regarding managerial due diligence during the life cycle of collected data. Between July 2018 and April 2019, as compiled by the Ponemon Institute and sponsored by International Business Machines, the reported average annualized cybercrime cost of globally surveyed industry sectors was $3.92 million per organization. The Ponemon Institute 2019 study also estimated that a typical company has a 29.6% probability of experiencing a data breach within the next two years.

Structures deployed by an organizational governance system allocate rights and responsibilities within the structures and necessitates assurance that manager-leaders are operating effectively and expectantly within the defined structures. Undoubtedly, an individual or group authorized activation of the applications containing personally identifiable data. Nonetheless, it appears adequate precautions, such as application processing testing, were not performed either before deployment, during implementation, or after installation by the project team. Thus, the question regarding the circumstances that produced financial and reputational losses is: Did organizational employees adequately perform IT control assessments using an appropriate audit system?

AREAS COVERED

Information Technology (IT) is a critical enabler of business. Assuring an enterprise's governance, including IT risk management and control processes, requires auditors to understand the role of IT within their organizations and to develop adequate knowledge and skills to audit IT systems as the line separating "IT" and "non-IT" audits are beginning to disappear, except in the very technical IT domains.

Auditors examine the adequacy of controls in information systems and related operations to assure effectiveness and efficiency in business processes. Additionally, among other assurance services, auditors evaluate the reliability of computer-generated data supporting financial statements and analyze specific programs and their processing results. However, individual audit objectives and practices vary considerably from organization to organization, and there are many kinds of practitioners in audit-related activities, such as external auditors, internal auditors, self-assessment evaluators, quality reviewers, and security assessors. For this reason, the audit process must be adaptive in use and high-level in structure.

Audit concepts non-IT auditors must understand and appreciate include the fundamental goals for assurance services: to study and evaluate the control system and to collect evidence to form the basis of an opinion. Whereby, to accomplish these goals, non-IT auditors may conditionally perform compliance testing and substantive testing. This webinar will present guidance following the general structure of planning, studying, testing, reporting, and follow-up.

This course is designed to give non-IT auditors an overview of the various considerations and aides in audit planning to gain a greater understanding of how to evaluate defined audit areas. Covered areas in the session encompass:

• Information system (IS) audit concepts, risks, and audit concerns in the IT environment

• IT audit methodology

• Globally recognized control frameworks for the audit of IT

• IT auditing for the non-IT auditor

• Auditing IT governance

• Ways of auditing Information Systems acquisitions, developments, and implementations

• Auditing business continuity and disaster recovery

• available IT/IS audit tools

LEARNING OBJECTIVES

• An understanding of audit mandates, mission, objectives, and approaches to examining systems and IT infrastructure

• An understanding of the risks and audit concerns in the IT environment

• How to identify globally recognized control frameworks for an audit of IT

• Baseline conceptual knowledge of general IT controls and application IT controls

• The role of IT governance and the connection to IT auditing

• How to describe risk through useful IT audit risk profiling and management

• Basics of IT auditing for the non-IT auditor

• When to apply some essential IT audit tools and techniques

WHO WILL BENEFIT

• Financial, Operational and Information Technology auditors

• Audit management, Information Security and Risk Management professionals

• Audit Managers

• Financial Auditors

• Operational Auditors

• Business Process Auditors

• IT Professionals

• Risk Managers

• System administrators

• Directors of security

• Safety and continuity planning professionals

• Human Resource managers

• Financial officers (CFO, CAO)

• Senior management (CEO, CIO, COO, CSO)

• Chief Audit Executives

• IT/IS Directors and managers

• Accountants

• Procurement officers

SPEAKER

Years of Experience: 40+ years

Areas of Expertise: Audit, Information Security and Accounting

Dr. Robert E. Davis obtained a Bachelor of Business Administration in Accounting and Business Law, a Master of Business Administration in Management Information Systems, and a Doctor of Business Administration in Information Systems Management from Temple, West Chester, and Walden University; respectively. Moreover, during his twenty years of involvement in education, Dr. Davis acquired Postgraduate and Professional Technical licenses in Computer Science and Computer Systems Technology. Dr. Davis also obtained the Certified Information Systems Auditor (CISA) certificate — after passing the 1988 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.

Since starting his career as an information systems (IS) auditor, Dr. Davis has provided data security consulting and IS auditing services to corporations as well as other organizations; in staff through management positions. Before engaging in the practice of IS auditing and information security consulting; Dr. Davis (as a corporate employee) provided inventory as well as general accounting services to Philip Morris, USA, and general accounting services to Philadelphia National Bank (Wells Fargo). Furthermore, he has prior experience as a freelance writer of IT audit and information security training material.

Dr. Davis received recognition as an accomplished, energetic auditor, author, and speaker with a sound mix of experience and skills in monitoring and evaluating controls. Based on his accomplishments, Temple University's Fox School of Business and Management Alumni Newsletter, Pentest Magazine, and The Institute for Internal Controls e-newsletter featured Dr. Davis. Furthermore, he is an Advisory Board Member of The Institute for Internal Controls, the first and inaugural Temple University CISA in Residence and a founding Temple University Master of Science in IT Auditing and Cyber-Security Advisory Councilmen. Last, he accepted invitations to join Delta Mu Delta International Honor Society, the Golden Key International Honour Society, the Thomson Reuters' Expert Witness List, the IT Governance LTD expert panel, as well as the International Association of IT Governance Standards honorary membership group.

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