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consulting and research for internal control with risk management

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"Intelligent Internal Control and Risk Management": Contents

The book is 253 pages, with roughly 95,000 words. Here's what it contains:

List of tables
List of figures
Introduction

Part 1: The bigger picture

Chapter 1: How much improvement is possible?
Example 1: Sarbanes-Oxley versus Revenue Assurance
Example 2: Bureaucratic controls versus intelligent controls
What this book does and does not provide
How this book is organized

Chapter 2: Where risk management and internal control are poised for progress
The origins of internal control
The long war with quality management
An opportunity for progress
The origins of risk management
Conceptual differences between risk management traditions
Another opportunity for progress
Internal control and risk management collide

Chapter 3: Integrated risk control is simpler
A mental picture of risk control
Other observations on risk control today

Chapter 4: Goals from people and behaviour
Guidance from the psychology of risk and control
Cases of uncertainty suppression
The big message for risk control

Part 2: High value control mechanisms

Chapter 5: A summary of control patterns for more value
How to benefit from this collection
Format of presentation
A summary of the ideas

Chapter 6: Controls that generate other controls
1 SELF GENERATING CONTROL SYSTEM
2 CONTROLS DEVELOPMENT RESOURCE DIRECTION
3 CONTROLS GENERATION APPLICATIONS
4 DOUBLE LOOP DESIGN
5 TOP DOWN DESIGN WITH SCHEMES
6 POST IMPLEMENTATION REFINEMENT
7 FACTOR DRIVEN DESIGN
8 CAUSE EFFECT INTERVENTION
9 EVOLVING UNCERTAINTY LISTS
10 RISK REGISTERS
11 MATRIX MAPPING OF RISKS AND CONTROLS
12 PROCESS STEP ANALYSIS
13 CAUSAL MODELS
14 MONTE CARLO SIMULATION
15 FAULT AND EVENT TREE ANALYSIS
16 STORY TELLING ABOUT THE FUTURE
17 GENERIC CONTROL DESIGN LIBRARY
18 CONTROL PATTERNS
19 PROCESS CONTROL FRAMEWORK
20 PROJECT CONTROL FRAMEWORK

Chapter 7: Audits, reviews, and efficient monitoring
21 CONTROLS SUPERVISION HIERARCHY
22 PROCESS MANAGEMENT CONTROL
23 PROCESS STATS PACK
24 PERSONAL COMPARATIVES
25 STATISTICAL PROCESS CONTROL
26 RISK FACTOR MONITORING
27 HEALTHY CONVERSATIONS ABOUT CONTROL PERFORMANCE
28 CONTROL INTERVIEW QUESTIONS
29 REPORTING WITH UNCERTAINTY
30 EXPLANATION FIRST ANALYTICS
31 GRAPHICAL BUSINESS ANALYTICS
32 RANDOM FRAUD AUDITS
33 ADAPTIVE AUDIT
34 AUDIT AGAINST CONTROLS DESIGNED
35 ALL EVIDENCE AUDIT
36 AGILE DOCUMENTATION REVIEWS

Chapter 8: Learning and adapting
An overview of learning and adapting
Qualities of adaptive control systems
Beyond Budgeting cases
Control patterns for management under uncertainty
37 FLEXIBLE REQUIREMENTS
38 RISK WEIGHTING
39 FLEXIBLE AGREEMENTS
40 FLEXIBLE PLANS
41 THE CRITICAL CHAIN METHOD
42 EVOLUTIONARY PROJECT MANAGEMENT
43 PORTFOLIO MANAGEMENT
44 NEGATIVE FEEDBACK CONTROL LOOPS
45 ACCELERATED TARGETS
46 REFORECASTING TO COMPLETION
47 FORECASTING WITH STATISTICAL EXTRAPOLATION

Chapter 9: Protection and inherent reliability
48 MULTI-LAYERED ACCESS RESTRICTION
49 SEGREGATION RULES ON ROLES
50 COGNITIVE ERGONOMICS

Chapter 10: Checking and correcting
51 SPREADSHEET TIGHTENING OR REPLACEMENT
52 COMPUTER SUPPORTED AUTHORIZATIONS
53 EXTENDED EDIT CHECKS
54 SHIFT FROM PRE TO POST
55 RECOVERY/CLEANSING PROJECT
56 DISCREPANCY SEARCH
57 ANOMALY SEARCH
58 END-TO-END RECONCILIATION
59 MASS CORRECTION TOOL
60 ERROR FILE REDUCTION BY CLUSTER

Part 3: Making good change happen

Chapter 11: Triggering good behaviours
Beyond coercion
Using triggers for pervasive behaviour change
Sources of real time triggers
Some examples of implementation steps
Measurement and motivation

Chapter 12: Personal education and assessments
Risk and Uncertainty Management Assessment (RUMA)
What RUMA studies have shown
Applying scenario based testing and teaching

Chapter 13: Understanding barriers to improvement
Low expertise and expectations
Uncertainty suppression
Gridlock
Audit and regulation focus
Weak or undeveloped techniques treated as proven
Unhelpful, limiting ideas

Chapter 14: Key roles and how each can increase value from risk control
The roles of key players
Senior executives
Senior non-executives
Internal audit managers including the head of internal audit
Line managers
IT managers
Everyone else

Chapter 15: Innovation and the Friendly Expansion strategy
What to expect
Who will succeed?
Useful techniques
How to sabotage innovative projects
The Friendly Expansion strategy

Chapter 16: Helpful alternatives to unhelpful ideas
Contrasting practices
Six strategies for promoting better practices
Common problem areas

Chapter 17: The seven frontiers
Frontier 1: More controls design and less audit & remediation
Frontier 2: Corporate risk management getting closer to internal control
Frontier 3: Better quantification
Frontier 4: Behaviour change beyond risk registers
Frontier 5: Risk management that targets psychological factors
Frontier 6: Risk and performance management merging through a causal model
Frontier 7: Technical risk register reforms

 
 

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  © 2008 Matthew Leitch