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COBIT控制实践:完成控制目标,实现成功IT治理的指南,第2版(英文)
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The IT Governance Institute (ITGITM) (www.itgi.org) was established in 1998 to advance international thinking and standards in directing and controlling an enterprise’s information technology. Effective IT governance helps ensure that IT supports business goals, optimises business investment in IT, and appropriately manages IT-related risks and opportunities. ITGI offers original research and case studies to assist enterprise leaders and boards of directors in their IT governance responsibilities.
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Control Practices
Control Objectives
Value Drivers
Risk Drivers
GUIDANCE TO ACHIEVE CONTROL
OBJECTIVES FOR SUCCESSFUL
IT GOVERNANCE
2
ND
EDITION
IT Governance Institute
®
The IT Governance Institute (ITGI
TM
) (www.itgi.org) was established in 1998 to advance international thinking and standards in
directing and controlling an enterprise’s information technology. Effective IT governance helps ensure that IT supports business
goals, optimises business investment in IT, and appropriately manages IT-related risks and opportunities. ITGI offers original
research and case studies to assist enterprise leaders and boards of directors in their IT governance responsibilities.
Disclaimer
The IT Governance Institute (the ‘Owner’) and the author have designed and created this publication, titled C
OBIT
®
Control
Practices: Guidance to Achieve Control Objectives for Successful IT Governance, 2
nd
Edition (the “Work”), primarily as an
educational resource for chief information officers (CIOs), senior management, IT management and control professionals. The
Owner makes no claim that use of any of the Work will assure a successful outcome. The Work should not be considered
inclusive of all proper information, procedures and tests or exclusive of other information, procedures and tests that are
reasonably directed to obtaining the same results. In determining the propriety of any specific information, procedure or test,
controls professionals should apply their own professional judgement to the specific control circumstances presented by the
particular systems or information technology environment.
Disclosure
Copyright © 2007 IT Governance Institute. All rights reserved. No part of this publication may be used, copied, reproduced,
modified, distributed, displayed, stored in a retrieval system or transmitted in any form by any means (electronic, mechanical,
photocopying, recording or otherwise) without the prior written authorisation of ITGI. Reproduction of selections of this
publication for internal and non-commercial or academic use only is permitted and must include full attribution of the material’s
source. No other right or permission is granted with respect to this work.
IT Governance Institute
3701 Algonquin Road, Suite 1010
Rolling Meadows, IL 60008 USA
Phone: +1.847.590.7491
Fax: +1.847.253.1443
E-mail: info@itgi.org
Web site: www.itgi.org
ISBN 1-933284-87-0
C
OBIT
®
Control Practices: Guidance to Achieve Control Objectives for Successful IT Governance, 2
nd
Edition
Printed in the United States of America
COBITCONTROL PRACTICES, 2
ND
EDITION
IT GOVERNANCE I NSTITUTE
ACKNOWLEDGEMENTS
1
IT GOVERNANCE I NSTITUTE
ACKNOWLEDGEMENTS
IT Governance Institute wishes to recognise:
Workshop Participants and Expert Reviewers
Mark Adler, CISA, CISM, CIA, CISSP, Allstate Ins. Co., USA
Peter Andrews, CISA, CITP, MCMI, PJA Consulting, UK
Georges Ataya, CISA, CISM, CISSP, MSCS, PBA, Solvay Business School, Belgium
Gary Austin, CISA, CIA, CISSP, CGFM, KPMG LLP, USA
Gary S. Baker, CA, Deloitte & Touche, Canada
David H. Barnett, CISSP, CISM, Applera Corp., USA
Christine Bellino, CPA, CITP, Jefferson Wells, USA
John W. Beveridge, CISA, CISM, CFE, CGFM, CQA, Massachusetts Office of the State Auditor, USA
Alan Boardman, CISA, CISM, CA, CISSP, Fox IT, UK
David Bonewell, CISA, CISSP-ISSEP, Accomac Consulting LLC, USA
Dirk Bruyndonckx, CISA, CISM, KPMG Advisory, Belgium
Don Canilglia, CISA, CISM, USA
Luis A. Capua, CISM, Sindicatura General de la Nación, Argentina
Boyd Carter, PMP, Elegantsolutions.ca, Canada
Sean V. Casey, CISA, CPA, USA
Sushil Chatterji, Edutech, Singapore
Edward Chavannes, CISA, CISSP, Ernst & Young LLP, USA
Christina Cheng, CISA, CISSP, SSCP, Deloitte & Touche LLP, USA
Dharmesh Choksey, CISA, CPA, CISSP, PMP, KPMG LLP, USA
Jeffrey D. Custer, CISA, CPA, CIA, Ernst & Young LLP, USA
Beverly G. Davis, CISA, Federal Home Loan Bank of San Francisco, USA
Peter De Bruyne, CISA, Banksys, Belgium
Philip De Picker, CISA, MCA, National Bank of Belgium, Belgium
Kimberly de Vries, CISA, PMP, Zurich Financial Services, USA
Roger S. Debreceny, Ph.D., FCPA, University of Hawaii, USA
Zama Dlamini, Deloitte & Touche, South Africa
Troy DuMoulin, Pink Elephant, Canada
Bill A. Durrand, CISA, CISM, CA, Ernst & Young LLP, Canada
Justus Ekeigwe, CISA, MBCS, Deloitte & Touche LLP, USA
Rafael Eduardo Fabius, CISA, Republica AFAP S.A., Uruguay
Urs Fischer, CISA, CIA, CPA (Swiss), Swiss Life, Switzerland
Christopher Fox, ACA, PricewaterhouseCoopers, USA
Bob Frelinger, CISA, Sun Microsystems Inc., USA
Zhiwei Fu, Ph.D, Fannie Mae, USA
Monique Garsoux, Dexia Bank, Belgium
Edson Gin, CISA, CFE, SSCP, USA
Sauvik Ghosh, CISA, CIA, CISSP, CPA, Ernst & Young LLP, USA
Guy Groner, CISA, CIA, CISSP, USA
Erik Guldentops, CISA, CISM, University of Antwerp Management School, Belgium
Gary Hardy, IT Winners, South Africa
Jimmy Heschl, CISA, CISM, KPMG, Austria
Benjamin K. Hsaio, CISA, Federal Deposit Insurance Corp., USA
Tom Hughes, Acumen Alliance, Australia
Monica Jain, CSQA, Covansys Corp., US
John A. Kay, CISA, USA
Lisa Kinyon, CISA, Countrywide, USA
Rodney Kocot, Systems Control and Security Inc., USA
Luc Kordel, CISA, CISM, CISSP, CIA, RE, RFA, Dexia Bank, Belgium
COBITCONTROL PRACTICES, 2
ND
EDITION
IT GOVERNANCE I NSTITUTE
2
Workshop Participants and Expert Reviewers (cont.)
Linda Kostic, CISA, CPA, USA
John W. Lainhart IV, CISA, CISM, IBM, USA
Philip Le Grand, Capita Education Services, UK
Elsa K. Lee, CISA, CISM, CSQA, AdvanSoft International Inc., USA
Kenny K. Lee, CISA, CISSP, Countrywide SMART Governance, USA
Debbie Lew, CISA, Ernst & Young LLP, USA
Bjarne Lonberg, CISSP, A.P. Moller-Maersk A/S, Denmark
Donald Lorete, CPA, Deloitte & Touche LLP, USA
Addie C.P. Lui, MCSA, MCSE, First Hawaiian Bank, USA
Charles Mansour, CISA, Charles Mansour Audit & Risk Service, UK
Mario Micallef, CPAA, FIA, National Australia Bank Group, Australia
Niels Thor Mikkelsen, CISA, CIA, Danske Bank, Denmark
John Mitchell, CISA, CFE, CITP, FBCS, FIIA, MIIA, QiCA, LHS Business Control, UK
Anita Montgomery, CISA, CIA, Countrywide, USA
Karl Muise, CISA, City National Bank, USA
Jay S. Munnelly, CISA, CIA, CGFM, Federal Deposit Insurance Corp., USA
Orillo Narduzzo, CISA, CISM, Banca Popolare di Vicenza, Italy
Sang Nguyen, CISA, CISSP, MCSE, Nova Southeastern University, USA
Ed O’Donnell, Ph.D., CPA, University of Kansas, USA
Sue Owen, Department of Veterans Affairs, Australia
Robert G. Parker, CISA, CA, CMC, FCA, Robert G. Parker Consulting, Canada
Thomas Phelps IV, CISA, PricewaterhouseCoopers LLP, USA
Vitor Prisca, CISM, Novabase, Portugal
Claus Rosenquist, CISA, TrygVesata, Denmark
Jaco Sadie, Sasol, South Africa
Max Shanahan, CISA, FCPA, Max Shanahan & Associates, Australia
Craig W. Silverthorne, CISA, CISM, CPA, IBM Business Consulting Services, USA
Chad Smith, Great-West Life, Canada
Roger Southgate, CISA, CISM, FCCA, CubeIT Management Ltd., UK
Paula Spinner, CSC, USA
Mark Stanley, CISA, Toyota Financial Services, USA
Dirk E. Steuperaert, CISA, PricewaterhouseCoopers, Belgium
Robert E. Stroud, CA Inc., USA
Scott L. Summers, Ph.D., Brigham Young University, USA
Lance M. Turcato, CISA, CISM, CPA, City of Phoenix IT Audit Division, USA
Wim Van Grembergen, Ph.D., University of Antwerp Management School, Belgium
Johan Van Grieken, CISA, Deloitte, Belgium
Greet Volders, Voquals NV, Belgium
Robert M. Walters, CISA, CPA, CGA, Office of the Comptroller General, Canada
Tom Wong, CISA, CIA, CMA, Ernst & Young LLP, Canada
Amanda Xu, CISA, PMP, KPMG LLP, USA
The following professors and students, for their work on the C
OBIT 4.1 control practices and assurance test steps
Scott L. Summers, Ph.D., Brigham Young University, USA
Keith Ballante, Brigham Young University, USA
David Butler, Brigham Young University, USA
Phil Harrison, Brigham Young University, USA
William Lancaster, Brigham Young University, USA
Chase Manderino, Brigham Young University, USA
Paul Schneider, Brigham Young University, USA
Jacob Sperry, Brigham Young University, USA
Brian Updike, Brigham Young University, USA
ITGI Board of Trustees
Everett C. Johnson, CPA, Deloitte & Touche LLP (retired), USA, International President
Georges Ataya, CISA, CISM, CISSP, Solvay Business School, Belgium, Vice President
William C. Boni, CISM, Motorola, USA, Vice President
Avinash Kadam, CISA, CISM, CISSP, CBCP, GSEC, GCIH, Miel e-Security Pvt. Ltd., India, Vice President
Jean-Louis Leignel, MAGE Conseil, France, Vice President
Lucio Augusto Molina Focazzio, CISA, Colombia, Vice President
Howard Nicholson, CISA, City of Salisbury, Australia, Vice President
Frank Yam, CISA, FHKIoD, FHKCS, FFA, CIA, CFE, CCP, CFSA, Focus Strategic Group, Hong Kong, Vice President
Marios Damianides, CISA, CISM, CA, CPA, Ernst & Young LLP, USA, Past International President
Robert S. Roussey, CPA, University of Southern California, USA, Past International President
Ronald Saull, CSP, Great-West Life and IGM Financial, Canada, Trustee
IT Governance Committee
Tony Hayes, FCPA, Queensland Government, Australia, Chair
Max Blecher, Virtual Alliance, South Africa
Sushil Chatterji, Edutech, Singapore
Anil Jogani, CISA, FCA, Tally Solutions Limited, UK
John W. Lainhart IV, CISA, CISM, IBM, USA
Romulo Lomparte, CISA, Banco de Credito BCP, Peru
Michael Schirmbrand, Ph.D., CISA, CISM, CPA, KPMG LLP, Austria
Ronald Saull, CSP, Great-West Life Assurance and IGM Financial, Canada
C
OBIT Steering Committee
Roger S. Debreceny, Ph.D., FCPA, University of Hawaii, USA, Chair
Gary S. Baker, CA, Deloitte & Touche, Canada
Dan Casciano, CISA, Ernst & Young LLP, USA
Steven De Haes, University of Antwerp Management School, Belgium
Peter De Koninck, CISA, CFSA, CIA, SWIFT SC, Belgium
Rafael Fabius, CISA, Republica AFAP SA, Uruguay
Urs Fischer, CISA, CIA, CPA, Swiss Life, Switzerland
Erik Guldentops, CISA, CISM, University of Antwerp Management School, Belgium
Gary Hardy, IT Winners, South Africa
Jimmy Heschl, CISA, CISM, KPMG, Austria
Debbie A. Lew, CISA, Ernst & Young LLP, USA
Max Shanahan, FCPA, CISA, Max Shanahan & Associates, Australia
Dirk Steuperaert, CISA, PricewaterhouseCoopers, Belgium
Robert E. Stroud, CA Inc., USA
ITGI Advisory Panel
Ronald Saull, CSP, Great-West Life Assurance and IGM Financial, Canada, Chair
Roland Bader, F. Hoffmann-La Roche AG, Switzerland
Linda Betz, IBM, USA
Jean-Pierre Corniou, EDS Consulting Services, France
Rob Clyde, CISM, Symantec, USA
Richard Granger, NHS Connecting for Health, UK
Howard Schmidt, CISM, R&H Security Consulting LLC, USA
Alex Siow Yuen Khong, StarHub Ltd., Singapore
Amit Yoran, Yoran Associates, USA
ACKNOWLEDGEMENTS
3
IT GOVERNANCE I NSTITUTE
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