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Operational Assessment of IT [Kõva köide]

  • Formaat: Hardback, 356 pages, kõrgus x laius: 234x156 mm, kaal: 694 g, 22 Tables, black and white; 61 Illustrations, black and white
  • Sari: Security, Audit and Leadership Series
  • Ilmumisaeg: 01-Apr-2016
  • Kirjastus: Auerbach Publishers Inc.
  • ISBN-10: 1498737684
  • ISBN-13: 9781498737685
Teised raamatud teemal:
  • Formaat: Hardback, 356 pages, kõrgus x laius: 234x156 mm, kaal: 694 g, 22 Tables, black and white; 61 Illustrations, black and white
  • Sari: Security, Audit and Leadership Series
  • Ilmumisaeg: 01-Apr-2016
  • Kirjastus: Auerbach Publishers Inc.
  • ISBN-10: 1498737684
  • ISBN-13: 9781498737685
Teised raamatud teemal:
Operational Assessment of IT presents ideas and concepts of optimization designed to improve an organizations business processes and assist business units in meeting organizational goals more effectively. Rather than focus on specific technologies, computing environments, enterprise risks, resource programs, or infrastructure, the book focuses on organizational processes. Throughout the book, the author presents concerns and environments encountered throughout his career to demonstrate issues and explain how you, too, can successfully implement the tools presented in the book.

The assessment process reviews the economics as well as the effectiveness and efficiency of the process. Whether your organization is profit-based, not-for-profit, or even governmental, you cannot provide services or products at a continuous loss. For an operational assessment to be of value, the ultimate goal must be to insure that the business unit process is effective and efficient and employs the financial assets and resources appropriately or helps the business unit make adjustments to improve the operation and use resources more efficiently and economically.

After reading this book, you will be able to devise more efficient and economical ways to meet your customers requirements, no matter who or where your customers are. You will learn that the goal of any process is to service or supply customers with what they want. The book provides tools and techniques that will assist you in gaining a 360-degree view of the process so that you can help the business unit improve the delivery of a quality product or a service to the customer.

Arvustused

When I first received this book for review, I was a bit nervous. I am not an auditor, and have never been one. It is true that I have participated in hundreds of audits across different industries and disciplines, as both a customer and much more frequently, as an advisor, but I never had to put my name to the bottom of an attestation (except, I suppose, for a few PCI self-assessment questionnaires).

In short, I was concerned that I would not be able to properly grasp it, and thus fail to do it justice.

By the time I was done, I found myself with the same concern, but this time, coming from a completely different angle.

Because Steves book is truly a delight. I have worked with hundreds of auditors, and only a couple of them have ever shown the scope and breadth of experience, the desire to go beyond following rote process, and the sheer interest in staying true to the purpose of an audit any audit that Mr. Katzman exhibits in his book.

Steves personal stories shine through, and really help in framing the conversation. The little quips he embeds throughout his writing made me chuckle repeatedly, certainly not what I expected from a book about what is ultimately a rather dry subject matter. The planning chapter alone is worth the price of entry, as first and foremost it does such a great job at reminding all of us why audits exist in the first place.

For me, this work provided a great insight into the mind of an auditor, in a way that I never quite grasped before. That is undoubtedly going to help me in future audits. Considering the way Steve seamlessly transitions between the client and auditor viewpoints, if you are an auditor (the stated target audience for this book), then I cannot imagine how it would fail to help in a mirrored fashion.

I find it fitting to end this review by borrowing Steves own ending words from the book:

"Stay well, stay happy, and stay productive".

-- Barak Engel, CISO and author, Why CISOs Fail The Missing Link in Security Management and How to Fix It When I first received this book for review, I was a bit nervous. I am not an auditor, and have never been one. It is true that I have participated in hundreds of audits across different industries and disciplines, as both a customer and much more frequently, as an advisor, but I never had to put my name to the bottom of an attestation (except, I suppose, for a few PCI self-assessment questionnaires).

In short, I was concerned that I would not be able to properly grasp it, and thus fail to do it justice.

By the time I was done, I found myself with the same concern, but this time, coming from a completely different angle.

Because Steves book is truly a delight. I have worked with hundreds of auditors, and only a couple of them have ever shown the scope and breadth of experience, the desire to go beyond following rote process, and the sheer interest in staying true to the purpose of an audit any audit that Mr. Katzman exhibits in his book.

Steves personal stories shine through, and really help in framing the conversation. The little quips he embeds throughout his writing made me chuckle repeatedly, certainly not what I expected from a book about what is ultimately a rather dry subject matter. The planning chapter alone is worth the price of entry, as first and foremost it does such a great job at reminding all of us why audits exist in the first place.

For me, this work provided a great insight into the mind of an auditor, in a way that I never quite grasped before. That is undoubtedly going to help me in future audits. Considering the way Steve seamlessly transitions between the client and auditor viewpoints, if you are an auditor (the stated target audience for this book), then I cannot imagine how it would fail to help in a mirrored fashion

I find it fitting to end this review by borrowing Steves own ending words from the book:

Stay well, stay happy, and stay productive".

-- Barak Engel, CISO and author, Why CISOs Fail The Missing Link in Security Management and How to Fix It

Preface xi
Acknowledgments xv
About The Author xvii
Part I Prelude
Chapter 1 Introduction
3(10)
Overview
5(3)
Rationale
8(5)
Part II Goals
Chapter 2 The Organization
13(18)
Organizational Goals
13(1)
Measuring the Success of an Organization
14(4)
Voice of the Customer
18(3)
Process
21(1)
Productivity
22(3)
Measuring the Success of the Processes
25(2)
Summary
27(4)
Part III Operational Assessments
Chapter 3 Operational Auditing
31(18)
Background
31(1)
Auditing
32(3)
Operational Assessment
35(3)
IIA Operational Auditing Definition
36(1)
COSO Enterprise Risk Management
36(1)
Sarbanes-Oxley Act
37(1)
Barron's Accounting Dictionary Definition of Operational Auditing
38(1)
Operational Assessment Drivers/Impetus
38(2)
Operational Objectives
40(1)
Operational Factors: The Three Es
40(2)
Process
42(7)
Operational Performance Goals
42(1)
Value Add
43(1)
Keep the End in Mind
44(5)
Chapter 4 Operational Assessment Planning
49(74)
Customer Relationships
51(1)
Risk Assessment
52(1)
Business Acumen
52(2)
RACI Matrix (or RASCI)
54(4)
RACI Workload Analysis
56(2)
Planning Memo
58(1)
Project Charter
59(4)
Critical Success Factors
60(1)
Project Charter (Engagement Plan)
61(2)
Adding Value
63(1)
Key Performance Indicator
63(3)
Operational Process
66(1)
Process Review (As Is)
67(20)
SIPOC Table (Answers the Question "What?")
68(4)
Value Stream Map (VSM) (When)
72(8)
Spaghetti Diagram: As-Is (Where)
80(1)
Procurement Process Narrative
81(6)
Activity: Procurement Audit Planning
87(12)
The Customer
89(2)
Customer Requirements
89(2)
SIPOC Chart: Procurement Process
91(4)
The Planning Data
95(4)
The RACI Matrix
96(1)
The SIPOC Matrix
97(1)
The Spaghetti Diagram
97(1)
The VSM
98(1)
IT Support of the Business Unit
99(2)
User Perception
99(1)
IT's Business
100(1)
Background
101(8)
IT Support Goal
103(1)
CIA and IT
103(4)
Metrics: Business Dependency on IT
105(2)
The OSI Model
107(2)
Network Speed
109(1)
Latency Delays
109(8)
Serialization
111(2)
Packetizing
113(2)
Transmission Lines
115(2)
Routing across a WAN
117(1)
Business Continuity Planning
117(3)
Planning Summation
120(3)
Chapter 5 Operational Assessment Fieldwork
123(118)
Failure Mode and Effect Analysis
123(2)
Root Cause Analysis (RCA)
125(2)
The Five Whys
127(4)
Fishbone Diagram (Cause and Effect)
128(3)
Pareto Principle (80-20 Rule)
131(4)
Don't Jump to Conclusions
133(2)
Brainstorming
134(1)
Metrics
135(6)
Continuous
136(1)
Discrete
137(4)
Standardization or Anarchy
141(1)
Control Charts
142(10)
Western Electric Rules
147(4)
IT Control Charts
151(1)
IT and the Business Process
152(47)
Queuing
156(7)
Available Data
158(5)
Business Support VSM
163(4)
Data Entry Screens
167(3)
Organizational Network Transmissions
170(2)
Utilization Assessment
172(2)
WAN Environment
174(5)
OSI Model
175(4)
Data Collection
179(8)
Control Chart Analysis
179(4)
Control Chart Assessment 1
183(1)
Observations/Perspective of Assessment 1
183(1)
Control Chart Assessment 2
184(2)
Observations/Perspective of Assessment 2
186(1)
Other Graphical Charts
187(3)
Bell Chart
187(1)
Scatter Control Chart
188(2)
Simple Network Management Protocol
190(1)
IT Security
191(8)
Physical Layer
193(1)
Network Layer
193(1)
Application Level
194(1)
Database Level
195(1)
Data Layer
195(1)
Overview
195(4)
The Fraud Red Flag
199(1)
The Process
199(19)
Process Analysis
201(4)
Resource Reallocation
205(1)
Bottlenecks
206(1)
Fraud Red Flag Testing
207(1)
Procurement Process Analysis
208(5)
Process Observations
208(3)
Opportunities
211(2)
Process Considerations
213(11)
The OSI Model
216(2)
Business Continuity Management
218(5)
Fieldwork Analysis
223(1)
Purchasing Process
224(17)
IT Considerations
228(5)
IT Bottlenecks and Slowdowns
233(8)
Part IV Putting It All Together
Chapter 6 Assessment Reporting
241(20)
Share the Picture
242(1)
Report Distribution
243(1)
Focus on the Issue/Concern
244(8)
Draft Report
249(3)
A Picture Can Say Volumes
252(6)
Presenting the Report
258(3)
Vet the Draft Report with Management
259(2)
Chapter 7 IT And COBIT
261(28)
COBIT Management Environment
265(24)
Chapter 8 Epilogue
289(2)
Appendix A: Risk Assessment/Management 291(4)
Appendix B: Washington State Audit Report 295(28)
Appendix C: Typical Swim Lane Diagram 323(2)
Bibliography 325(2)
Index 327
Steve Katzman is a retired master sergeant who spent four years in accounting and finance and the rest of his 21-plus-year Air Force career in information technology (IT) and data communication. He has over 35 years of computer and technology experience and 14 years in auditing (internal and external). Mr. Katzman earned a BS degree in management information systems with a focus on business from Central Connecticut State University. He maintained several professional certifications, including CIA, CISA, CRMA, CRISC, and CISSP. During his military career, he held a top-secret security clearance.