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Relevant bibliographies by topics / Compliance auditing

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Academic literature on the topic 'Compliance auditing'

Author: Grafiati

Published: 4 June 2021

Last updated: 1 August 2024

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Journal articles on the topic "Compliance auditing"

1

Kasprisin, CA. "Auditing into compliance." Transfusion 34, no. 1 (1994): 5–6. http://dx.doi.org/10.1046/j.1537-2995.1994.34194098604.x.

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Slobodianyk, Yuliia, Svitlana Shymon, and Volodymyr Adam. "COMPLIANCE AUDITING IN PUBLIC ADMINISTRATION: UKRAINIAN PERSPECTIVES." Baltic Journal of Economic Studies 4, no. 5 (2019): 320. http://dx.doi.org/10.30525/2256-0742/2018-4-5-320-331.

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Purpose. In December 2016, the updated INTOSAI standards for government auditing were enacted that provided a methodological basis for conducting various forms of public audit, in particular, public compliance auditing. The use of ISSAIs is aimed at maintaining high-quality control measures to ensure the public administration system accountability and transparency. The aim of the research is to consider the current state and prospects of introducing the public compliance auditing into the practice of the Supreme Audit Institution in Ukraine. Design/ methodology/approach. The methodological bas

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Gill, Stephen. "PSM auditing: Thinking beyond compliance." Process Safety Progress 35, no. 3 (2015): 295–99. http://dx.doi.org/10.1002/prs.11797.

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Floştoiu, Sebastian, and Marius Milandru. "Conceptual Specifications Regarding the Primacy of System Auditing Over Other Types of Auditing within the Ministry of Defense." Land Forces Academy Review 22, no. 1 (2017): 58–64. http://dx.doi.org/10.1515/raft-2017-0009.

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Abstract At present, continuous effort is being made, in the field of internal public auditing, at the level of the Internal Auditing Board, to shift from compliance auditing, that verifies the accordance of the performed activities to the law, to system auditing which aims to monitor both the aspect of compliance and that of assessing the achievement of objectives within the frame of economy, efficiency and effectiveness. Consequently, we can state that system auditing is a result of the two types of auditing (compliance and operational) and that its promotion is of utmost necessity, due its

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Namuduri, Kamesh. "Information systems auditing - going beyond compliance." International Journal of Auditing Technology 1, no. 1 (2013): 45. http://dx.doi.org/10.1504/ijaudit.2013.052247.

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Beatrice Oyinkansola Adelakun. "THE IMPACT OF AI ON INTERNAL AUDITING: TRANSFORMING PRACTICES AND ENSURING COMPLIANCE." Finance & Accounting Research Journal 4, no. 6 (2022): 350–70. http://dx.doi.org/10.51594/farj.v4i6.1316.

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Artificial Intelligence (AI) is revolutionizing internal auditing by transforming traditional practices and enhancing compliance mechanisms. This abstract explores the multifaceted impact of AI on internal auditing, highlighting key advancements in efficiency, accuracy, risk management, and regulatory adherence. AI technologies, particularly machine learning and advanced data analytics, are enhancing the capabilities of internal auditors to analyze large volumes of data swiftly and with greater precision. Traditional internal auditing methods, often constrained by manual processes and sampling

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Wang, Ke, Michael Zipperle, Marius Becherer, Florian Gottwalt, and Yu Zhang. "An AI-Based Automated Continuous Compliance Awareness Framework (CoCAF) for Procurement Auditing." Big Data and Cognitive Computing 4, no. 3 (2020): 23. http://dx.doi.org/10.3390/bdcc4030023.

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Compliance management for procurement internal auditing has been a major challenge for public sectors due to its tedious period of manual audit history and large-scale paper-based repositories. Many practical issues and potential risks arise during the manual audit process, including a low level of efficiency, accuracy, accountability, high expense and its laborious and time consuming nature. To alleviate these problems, this paper proposes a continuous compliance awareness framework (CoCAF). It is defined as an AI-based automated approach to conduct procurement compliance auditing. CoCAF is u

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LePar, Kathleen. "Quality Consciousness … Auditing for HIPAA Privacy Compliance." Lippincott's Case Management 9, no. 6 (2004): 257–64. http://dx.doi.org/10.1097/00129234-200411000-00004.

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&NA;. "Quality Consciousness … Auditing for HIPAA Privacy Compliance." Lippincott's Case Management 9, no. 6 (2004): 265–66. http://dx.doi.org/10.1097/00129234-200411000-00005.

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LePar, Kathleen. "Quality Consciousness…Auditing for HIPAA Privacy Compliance." Journal of Nursing Care Quality 19, no. 2 (2004): 105–13. http://dx.doi.org/10.1097/00001786-200404000-00006.

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Dissertations / Theses on the topic "Compliance auditing"

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Keil, James E. "An evaluation of Company XYZ's use of electronic on-board recorder system for Federal Motor Carrier Safety Administration (FMCSA) regulatory compliance." Menomonie, WI : University of Wisconsin--Stout, 2006. http://www.uwstout.edu/lib/thesis/2006/2006keilj.pdf.

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[Verfasser], Hasan. "A Generic Auditing Framework for Compliance Verification of Internet Service Level Agreements / Hasan." Aachen : Shaker, 2007. http://d-nb.info/1166509702/34.

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Kent, Keith Wesley. "The Development of an Auditing Tool to Measure Adherence to a Sedation Protocol." Diss., The University of Arizona, 2015. http://hdl.handle.net/10150/556004.

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Introduction: A protocol for management of sedation and pain for mechanically ventilated patients at Flagstaff Medical Center (FMC) was implemented in August 2013. It was unknown whether the protocol is being adhered to or whether it has had an impact on patient outcomes. Objectives: To develop an audit and feedback mechanism to monitor adherence to sedation protocol at FMC and determine whether the protocol has impacted patient outcomes. Methods: A retrospective manual chart review was conducted including all mechanically ventilated adult patients for four, one-month periods: 1) pre-protocol;

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Buijink, Willem Frederik Jan. "Empirical financial accounting research compliance with regulation, distributional properties of financial ratios and demand for external auditing /." Maastricht : Maastricht : Universitaire Pers Maastricht ; University Library, Maastricht University [Host], 1992. http://arno.unimaas.nl/show.cgi?fid=8263.

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Sinclair, J. G. "An approach to compliance conformance for cloud-based business applications leveraging service level agreements and continuous auditing." Thesis, Queen's University Belfast, 2014. http://ethos.bl.uk/OrderDetails.do?uin=uk.bl.ethos.676738.

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Organisations increasingly use flexible, adaptable and scalable IT infrastructures, such as cloud computing resources, for hosting business applications and storing customer data. To prevent the misuse of personal data, auditors can assess businesses for legal compliance conformance. For data privacy compliance there are many applicable pieces of legislation as well as regulations and standards. Businesses operate globally and typically have systems that are dynamic and mobile; in contrast current data privacy laws often have geographical jurisdictions and so conflicts can arise between the la

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Souza, Jane Dias Gomes de. "A importância da função de compliance em instituições financeiras." reponame:Repositório Institucional do BNDES, 2013. https://web.bndes.gov.br/bib/jspui/handle/1408/7025.

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O tema foi escolhido devido a sua importância frente as frequentes notícias divulgadas, pela mídia em geral, de casos relacionados às diversas formas de erros, fraudes e corrupções que estão expostas às instituições financeiras. Assim, de forma a evitar e minimizar os efeitos destes atos, que, em alguns casos, podem atingir a imagem da empresa gerando descredibilidade e, em última instância, até a descontinuidade dos negócios e, com isso, sérios reflexos na sociedade, as autoridades competentes buscam minimizar os diversos riscos envolvidos através de leis e regulamentos. No Brasil, tem se est

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Modisagae, Thapelo. "The Role of internal audit in the Independent review of anti-money laundering compliance in South Africa." Diss., University of Pretoria, 2013. http://hdl.handle.net/2263/41829.

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The dilemma of money laundering is an undeniable problem faced by many institutions all over the world. Due to its prevalence, the need for organisations to deal with the problem has become a global priority, regardless of the size of the financial institutions. Despite the compliance AML efforts undertaken by various institutions, AML compliance appears to be a daunting challenge, the question posed by this research is whether there is a need for independent anti-money laundering (AML) compliance reviews, given the invasive nature of money laundering in financial institutions. Secondly, the r

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Alhendi, Eyad Abdulaziz. "The impact of foreignness on the compliance with the international standards for the professional practice of internal auditing." Thesis, University of Hull, 2017. http://hydra.hull.ac.uk/resources/hull:17100.

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The Institute of Internal Auditors (IIA) was established to organise the profession. The IIA provides members with an International Professional Practices Framework (IPPF) to lead their professional practice and confirm the highest-quality internal audit effects in various environments. One of the IPPF components is the International Standards for the Professional Practice of Internal Auditing (the Standards). The goals of the Standards are to describe essential principles that characterise the practice of internal auditing, to deliver a framework for performing and promoting a wide range of v

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Tschantz, Michael Carl. "Formalizing and Enforcing Purpose Restrictions." Research Showcase @ CMU, 2012. http://repository.cmu.edu/dissertations/128.

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Privacy policies often place restrictions on the purposes for which a governed entity may use personal information. For example, regulations, such as the Health Insurance Portability and Accountability Act (HIPAA), require that hospital employees use medical information for only certain purposes, such as treatment, but not for others, such as gossip. Thus, using formal or automated methods for enforcing privacy policies requires a semantics of purpose restrictions to determine whether an action is for a purpose. We provide such a semantics using a formalism based on planning. We model planning

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Kalibjian, Jeff, and Steven Wierenga. "Assuring Post Processed Telemetry Data Integrity With a Secure Data Auditing Appliance." International Foundation for Telemetering, 2005. http://hdl.handle.net/10150/604910.

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ITC/USA 2005 Conference Proceedings / The Forty-First Annual International Telemetering Conference and Technical Exhibition / October 24-27, 2005 / Riviera Hotel & Convention Center, Las Vegas, Nevada<br>Recent federal legislation (e.g. Sarbanes Oxley, Graham Leach Bliley) has introduced requirements for compliance including records retention and records integrity. Many industry sectors (e.g. Energy, under the North American Energy Reliability Council) are also introducing their own voluntary compliance mandates to avert possible additional federal regulation. A trusted computer appliance

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Books on the topic "Compliance auditing"

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Monk, Harold L. Compliance auditing. American Institute of Certified Public Accountants, 1995.

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Cleaver, Brian A. Environmental compliance auditing. S. Thornes, 1995.

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Inc, Touchstone Environmental, and Specialty Technical Consultants, eds. Cal/OSHA compliance and auditing. STP Specialty Technical Publishers, 2001.

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A, Seid Marcine, and Stowe S. Christopher, eds. Immigration compliance auditing for lawyers. American Bar Association, 2011.

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Center, Environmental Resource, ed. Environmental auditing and compliance manual. Van Nostrand Reinhold, 1993.

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Weiss, Martin M. Auditing IT infrastructures for compliance. Jones & Bartlett Learning, 2011.

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(Firm), ERM-West, ed. Environmental auditing: California compliance guide. STP Speciality Technical Publishers, 1996.

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Environmental Resources Management (ERM) Group., ed. Environmental auditing: Federal compliance guide. STP, Specialty Technical Publishers, 1995.

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G, Solomon Michael, ed. Auditing IT infrastructures for compliance. Jones & Bartlett Learning, 2011.

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United States. Environmental Protection Agency, ed. EPA compliance assistance centers: Innovative partnerships for environmental compliance. Environmental Protection Agency, 1999.

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Book chapters on the topic "Compliance auditing"

1

Dunlap, E. Scott. "Compliance Audits." In Loss Control Auditing, 2nd ed. CRC Press, 2023. http://dx.doi.org/10.1201/9781003371465-4.

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Gardner, Jonathan. "Compliance and Auditing." In Pro SQL Server 2012 Practices. Apress, 2012. http://dx.doi.org/10.1007/978-1-4302-4771-5_9.

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Centonze, Paolina. "Cloud Auditing and Compliance." In Security, Privacy, and Digital Forensics in the Cloud. John Wiley & Sons Singapore Pte. Ltd, 2019. http://dx.doi.org/10.1002/9781119053385.ch8.

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Upadhyay, Arvind Kumar. "Statutory Compliance and Auditing." In Textile Management. CRC Press, 2023. http://dx.doi.org/10.1201/9781032630007-12.

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Walters, Rob, and Grant Fritchey. "Auditing, Encryption, and Compliance." In Beginning SQL Server 2012 Administration. Apress, 2012. http://dx.doi.org/10.1007/978-1-4302-3982-6_12.

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Walters, Robert E., Grant Fritchey, and Carmen Taglienti. "Auditing, Encryption, and Compliance." In Beginning SQL Server 2008 Administration. Apress, 2009. http://dx.doi.org/10.1007/978-1-4302-2414-3_15.

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Ghose, Aditya, and George Koliadis. "Auditing Business Process Compliance." In Service-Oriented Computing – ICSOC 2007. Springer Berlin Heidelberg, 2007. http://dx.doi.org/10.1007/978-3-540-74974-5_14.

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Islam, Muhammad Azizul. "Social Compliance Accounting, Auditing and Reporting." In Social Compliance Accounting. Springer International Publishing, 2014. http://dx.doi.org/10.1007/978-3-319-09997-2_3.

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Smieliauskas, Wally, Minlei Ye, and Ping Zhang. "Audits of compliance reporting with GAAP." In Auditing and Society. Routledge, 2020. http://dx.doi.org/10.4324/9780429457234-11.

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Lutchman, Chitram, Kevan Lutchman, Ramakrishna Akula, Charles Lyons, and Waddah S. Ghanem Al Hashmi. "Auditing for Conformance and Compliance." In Operations Excellence Management System (OEMS). CRC Press, 2019. http://dx.doi.org/10.1201/b22439-11.

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Conference papers on the topic "Compliance auditing"

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Robinson, Guy G. "Internal Auditing - More Than Compliance." In NCSL International Workshop & Symposium. NCSL International, 2015. http://dx.doi.org/10.51843/wsproceedings.2015.28.

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A well-developed and executed internal audit program is flexible and allows for assessment of an organization’s compliance to multiple international standards on a continuous basis, not just during the process of initial assessment or renewal by external accreditation or registration bodies. A robust internal audit program with trained and experienced Quality Engineers is a scalable process and can pay significant dividends to a calibration/test organization by doing more than just meeting the internal audit requirements of external accrediting bodies.

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Yip, Frederick, Alfred Ka Yiu Wong, Nandan Parameswaran, and Pradeep Ray. "Semantic-Based Fuzzy Reasoning for Compliance Auditing." In 2008 Second IEEE International Conference on Semantic Computing (ICSC). IEEE, 2008. http://dx.doi.org/10.1109/icsc.2008.64.

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Yip, Frederick, Alfred Ka Yiu Wong, Nandan Parameswaran, and Pradeep Ray. "Towards Robust and Adaptive Semantic-Based Compliance Auditing." In 2007 11th IEEE International Enterprise Distributed Object Computing Conference Workshops (EDOC Workshops). IEEE, 2007. http://dx.doi.org/10.1109/edocw.2007.33.

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Bukhsh, Faiza Allah, and Hans Weigand. "Smart Auditing -- Innovating Compliance Checking in Customs Control." In 2013 IEEE 15th Conference on Business Informatics (CBI). IEEE, 2013. http://dx.doi.org/10.1109/cbi.2013.27.

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Chen, Zhixiong, Jong Yoon, Christopher M. Frenz, and Kenneth Compres. "IT Governance, Compliance and Auditing Curriculum--A Pedagogical Perspective." In 2011 IEEE World Congress on Services (SERVICES). IEEE, 2011. http://dx.doi.org/10.1109/services.2011.87.

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Jenkins, C. "19. Health and Safety Compliance Auditing: Regularly Overlooked Issues." In AIHce 2006. AIHA, 2006. http://dx.doi.org/10.3320/1.2753375.

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Luxton, Juliana, and Marissa Bravington-Turner. "P-125 Auditing for success – driving forward quality – achieving compliance." In Leading, Learning and Innovating, Hospice UK 2017 National Conference, 22–24 November 2017, Liverpool. British Medical Journal Publishing Group, 2017. http://dx.doi.org/10.1136/bmjspcare-2017-hospice.150.

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Madi, Taous, Suryadipta Majumdar, Yushun Wang, Yosr Jarraya, Makan Pourzandi, and Lingyu Wang. "Auditing Security Compliance of the Virtualized Infrastructure in the Cloud." In CODASPY'16: Sixth ACM Conference on Data and Application Security and Privacy. ACM, 2016. http://dx.doi.org/10.1145/2857705.2857721.

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Ataullah, Ahmed A., and Frank Wm Tompa. "Lifecycle Management of Relational Records for External Auditing and Regulatory Compliance." In 2011 IEEE International Symposium on Policies for Distributed Systems and Networks - POLICY. IEEE, 2011. http://dx.doi.org/10.1109/policy.2011.20.

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Itani, Dani, Rania Itani, Ahmed Ae Eltweri, Alessio Faccia, and Leena Wanganoo. "Enhancing Cybersecurity Through Compliance and Auditing: A Strategic Approach to Resilience." In 2024 2nd International Conference on Cyber Resilience (ICCR). IEEE, 2024. http://dx.doi.org/10.1109/iccr61006.2024.10532959.

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Reports on the topic "Compliance auditing"

1

Beron, Kurt, Helen Tauchen, and Ann Dryden Witte. A Structural Equation Model for Tax Compliance and Auditing. National Bureau of Economic Research, 1988. http://dx.doi.org/10.3386/w2556.

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Ravikumar, B., and Yuzhe Zhang. Optimal Auditing and Insurance in a Dynamic Model of Tax Compliance. Federal Reserve Bank of St. Louis, 2011. http://dx.doi.org/10.20955/wp.2011.020.

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Khan, Mahreen. Evaluating External Government Audit. Institute of Development Studies, 2022. http://dx.doi.org/10.19088/k4d.2022.140.

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This rapid literature review of primary and grey sources found substantial evidence of the merits of donor support to Public Financial Management (PFM) initiatives but no specific evidence assessing donor support for external government audit, such as Supreme Audit Institutions (SAIs). PFM reforms are established as being generally beneficial, assist in reducing or preventing corruption, increasing transparency and accountability, as well as improving service delivery quality, although the exact impacts are difficult to measure. Performance auditing has recently attracted more attention than t

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Motta Café, Renata, Anastasiya Yarygina, and Lisseth Escalante. Leveraging Data to Improve Tax Compliance for Micro and Small Firms: Evidence from Brazil. Inter-American Development Bank, 2024. http://dx.doi.org/10.18235/0013027.

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A large body of research has estimated the effects on tax collection of informing taxpayers of their obligations. This paper examines the effects on voluntary tax payments of providing taxpayers with information on their obligations that is collected through massive information cross-checking rather than traditional auditing. This information is inexpensive to collect, but may not be sufficiently accurate to promote taxpayer compliance. We conducted a randomized controlled trial to evaluate the effectiveness of self-regularization interventions on tax compliance among simplified tax regime fir

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Hicks, Jacqueline. Approaches to Combatting Modern Slavery in Supply Chains. Institute of Development Studies (IDS), 2021. http://dx.doi.org/10.19088/k4d.2022.004.

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The purpose of this rapid review is to lay out some of the general approaches used by both business and government to tackle ‘modern slavery’ in international business supply chains, and locate evidence of their effectiveness International institutions have been encouraging large international businesses to tackle modern slavery by offering guidelines on how to investigate the issue in their supply chains (‘due diligence’), but their implementation, and ‘auditing’ is highly variable. National governments are increasingly mandating businesses through legislation to report on what they do. More

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