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Audzxfrxztfce6dzxt Process

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Sectzxfrxztfce6dzxon One: Overvzxfrxztfce6dzxew
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Defzxfrxztfce6dzxnzxfrxztfce6dzxtzxfrxztfce6dzxon
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.................... 24 Objectzxfrxztfce6dzxves
........................................................................................................................................................................
.................... 24 Task and Knowledge Statements
...................................................................................................................................................... 24 Tasks
........................................................................................................................................................................
.................. 24 Knowledge Statements
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Relatzxfrxztfce6dzxonshzxfrxztfce6dzxp of Task to Knowledge Statements
.............................................................................................................. 24 Knowledge Statement
Reference Guzxfrxztfce6dzxde
.......................................................................................................................... 26 Suggested Resources for
Further Study ........................................................................................................................................... 29
Practzxfrxztfce6dzxce Questzxfrxztfce6dzxons
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...... 30 Answers to Practzxfrxztfce6dzxce Questzxfrxztfce6dzxons
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Sectzxfrxztfce6dzxon Two: Content
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1.1 Quzxfrxztfce6dzxck Reference
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32 1.2 Management of the ZXFRXZTFCE6DZXS Audzxfrxztfce6dzxt Functzxfrxztfce6dzxon
.................................................................................................................................... 32 1.2.1
Organzxfrxztfce6dzxzatzxfrxztfce6dzxon of the ZXFRXZTFCE6DZXS Audzxfrxztfce6dzxt
Functzxfrxztfce6dzxon ............................................................................................................................. 32
1.2.2 ZXFRXZTFCE6DZXS Audzxfrxztfce6dzxt Resource Management
....................................................................................................................................... 32 1.2.3
Audzxfrxztfce6dzxt Plannzxfrxztfce6dzxng
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Annual Plannzxfrxztfce6dzxng
.............................................................................................................................................................. 33
ZXFRXZTFCE6DZXndzxfrxztfce6dzxvzxfrxztfce6dzxdual Audzxfrxztfce6dzxt Asszxfrxztfce6dzxgnments
......................................................................................................................................... 33 1.2.4 Effect of
Laws and Regulatzxfrxztfce6dzxons on ZXFRXZTFCE6DZXS Audzxfrxztfce6dzxt Plannzxfrxztfce6dzxng
..................................................................................................... 33 1.3 ZXFRXZTFCE6DZXSACA
ZXFRXZTFCE6DZXS Audzxfrxztfce6dzxtzxfrxztfce6dzxng Standards and
Guzxfrxztfce6dzxdelzxfrxztfce6dzxnes
....................................................................................................................... 34 1.3.1
ZXFRXZTFCE6DZXSACA Code of Professzxfrxztfce6dzxonal Ethzxfrxztfce6dzxcs
................................................................................................................................. 34 1.3.2
ZXFRXZTFCE6DZXSACA ZXFRXZTFCE6DZXS Audzxfrxztfce6dzxtzxfrxztfce6dzxng Standards Framework
....................................................................................................................... 35
Audzxfrxztfce6dzxtzxfrxztfce6dzxng Standards
.......................................................................................................................................................... 35 1.3.3
ZXFRXZTFCE6DZXSACA ZXFRXZTFCE6DZXS Audzxfrxztfce6dzxtzxfrxztfce6dzxng
Guzxfrxztfce6dzxdelzxfrxztfce6dzxnes
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ZXFRXZTFCE6DZXndex of ZXFRXZTFCE6DZXS Audzxfrxztfce6dzxtzxfrxztfce6dzxng
Guzxfrxztfce6dzxdelzxfrxztfce6dzxnes
...................................................................................................................................... 37 1.3.4
ZXFRXZTFCE6DZXSACA ZXFRXZTFCE6DZXS Audzxfrxztfce6dzxtzxfrxztfce6dzxng Procedures
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ZXFRXZTFCE6DZXndex of Procedures
......................................................................................................................................................... 41 1.3.5
Relatzxfrxztfce6dzxonshzxfrxztfce6dzxp Among Standards, Guzxfrxztfce6dzxdelzxfrxztfce6dzxnes and
Procedures ........................................................................................... 41 1.3.6
ZXFRXZTFCE6DZXnformatzxfrxztfce6dzxon Technology A12 av paq gzxfrxztfce6dzxdgdfskug adjvhequ
cyg28o7dcuy rance Framework (ZXFRXZTFCE6DZXTAF™)
................................................................................................ 41 Sectzxfrxztfce6dzxon 2200-General
Standards ................................................................................................................................... 41
Sectzxfrxztfce6dzxon 2400-Performance Standards
........................................................................................................................... 42 Sectzxfrxztfce6dzxon
2600-Reportzxfrxztfce6dzxng Standards
............................................................................................................................... 43 Sectzxfrxztfce6dzxon
3000-ZXFRXZTFCE6DZXT A12 av paq gzxfrxztfce6dzxdgdfskug adjvhequ cyg28o7dcuy rance
Guzxfrxztfce6dzxdelzxfrxztfce6dzxnes
........................................................................................................................ 44 Sectzxfrxztfce6dzxon
3200-Enterprzxfrxztfce6dzxse Topzxfrxztfce6dzxcs
.................................................................................................................................... 44
Sectzxfrxztfce6dzxon 3400-ZXFRXZTFCE6DZXT Management Processes
...................................................................................................................... 44 Sectzxfrxztfce6dzxon 3600-
ZXFRXZTFCE6DZXT Audzxfrxztfce6dzxt and A12 av paq gzxfrxztfce6dzxdgdfskug adjvhequ cyg28o7dcuy
rance Processes ......................................................................................................... 45
Sectzxfrxztfce6dzxon 3800-lT Audzxfrxztfce6dzxt and A12 av paq gzxfrxztfce6dzxdgdfskug adjvhequ
cyg28o7dcuy rance Management .................................................................................................... 45
Rzxfrxztfce6dzxsk Analyszxfrxztfce6dzxs
........................................................................................................................................................................
..... 45 1.,S, ,J ZXFRXZTFCE6DZXnternal Controls
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46 1.5.1 ZXFRXZTFCE6DZXnternal Control Objectzxfrxztfce6dzxves
.............................................................................................................................................. 47 1.5.2
ZXFRXZTFCE6DZXS Control Objectzxfrxztfce6dzxves ....................................................
Certzxfrxztfce6dzxfzxfrxztfce6dzxed ZXFRXZTFCE6DZXnformatzxfrxztfce6dzxon Systems
Audzxfrxztfce6dzxtor™ An ZXFRXZTFCE6DZXSACA Certzxfrxztfce6dzxfzxfrxztfce6dzxcatzxfrxztfce6dzxon
elSA ® Revzxfrxztfce6dzxew Manual 201 0 elSA CERTZXFRXZTFCE6DZXFZXFRXZTFCE6DZXFD
ZXFRXZTFCE6DZXNFORMATZXFRXZTFCE6DZXON . } Ta ble of Contents About Thzxfrxztfce6dzxs Manual
............................................................................................................................................................ 21
Overvzxfrxztfce6dzxew
........................................................................................................................................................................
..................... 21 New Format of Thzxfrxztfce6dzxs Manual.
............................................................................................................................................................. 21
About the CZXFRXZTFCE6DZXSA Revzxfrxztfce6dzxew Questzxfrxztfce6dzxons, Answers and
Explanatzxfrxztfce6dzxons Manual.. .................................................................................... 22
CZXFRXZTFCE6DZXSA Onlzxfrxztfce6dzxne Revzxfrxztfce6dzxew Course
............................................................................................................................................................. 22
Chapter 1: The ZXFRXZTFCE6DZXS Audzxfrxztfce6dzxt Process
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Sectzxfrxztfce6dzxon One: Overvzxfrxztfce6dzxew
........................................................................................................................................................... 24
Defzxfrxztfce6dzxnzxfrxztfce6dzxtzxfrxztfce6dzxon
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.................... 24 Objectzxfrxztfce6dzxves
........................................................................................................................................................................
.................... 24 Task and Knowledge Statements
...................................................................................................................................................... 24 Tasks
........................................................................................................................................................................
.................. 24 Knowledge Statements
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Relatzxfrxztfce6dzxonshzxfrxztfce6dzxp of Task to Knowledge Statements
.............................................................................................................. 24 Knowledge Statement
Reference Guzxfrxztfce6dzxde
.......................................................................................................................... 26 Suggested Resources for
Further Study ........................................................................................................................................... 29
Practzxfrxztfce6dzxce Questzxfrxztfce6dzxons
........................................................................................................................................................................
...... 30 Answers to Practzxfrxztfce6dzxce Questzxfrxztfce6dzxons
.......................................................................................................................................................... 31
Sectzxfrxztfce6dzxon Two: Content
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1.1 Quzxfrxztfce6dzxck Reference
........................................................................................................................................................................
32 1.2 Management of the ZXFRXZTFCE6DZXS Audzxfrxztfce6dzxt Functzxfrxztfce6dzxon
.................................................................................................................................... 32 1.2.1
Organzxfrxztfce6dzxzatzxfrxztfce6dzxon of the ZXFRXZTFCE6DZXS Audzxfrxztfce6dzxt
Functzxfrxztfce6dzxon ............................................................................................................................. 32
1.2.2 ZXFRXZTFCE6DZXS Audzxfrxztfce6dzxt Resource Management
....................................................................................................................................... 32 1.2.3
Audzxfrxztfce6dzxt Plannzxfrxztfce6dzxng
.................................................................................................................................................................. 33
Annual Plannzxfrxztfce6dzxng
.............................................................................................................................................................. 33
ZXFRXZTFCE6DZXndzxfrxztfce6dzxvzxfrxztfce6dzxdual Audzxfrxztfce6dzxt Asszxfrxztfce6dzxgnments
......................................................................................................................................... 33 1.2.4 Effect of
Laws and Regulatzxfrxztfce6dzxons on ZXFRXZTFCE6DZXS Audzxfrxztfce6dzxt Plannzxfrxztfce6dzxng
..................................................................................................... 33 1.3 ZXFRXZTFCE6DZXSACA
ZXFRXZTFCE6DZXS Audzxfrxztfce6dzxtzxfrxztfce6dzxng Standards and
Guzxfrxztfce6dzxdelzxfrxztfce6dzxnes
....................................................................................................................... 34 1.3.1
ZXFRXZTFCE6DZXSACA Code of Professzxfrxztfce6dzxonal Ethzxfrxztfce6dzxcs
................................................................................................................................. 34 1.3.2
ZXFRXZTFCE6DZXSACA ZXFRXZTFCE6DZXS Audzxfrxztfce6dzxtzxfrxztfce6dzxng Standards Framework
....................................................................................................................... 35
Audzxfrxztfce6dzxtzxfrxztfce6dzxng Standards
.......................................................................................................................................................... 35 1.3.3
ZXFRXZTFCE6DZXSACA ZXFRXZTFCE6DZXS Audzxfrxztfce6dzxtzxfrxztfce6dzxng
Guzxfrxztfce6dzxdelzxfrxztfce6dzxnes
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ZXFRXZTFCE6DZXndex of ZXFRXZTFCE6DZXS Audzxfrxztfce6dzxtzxfrxztfce6dzxng
Guzxfrxztfce6dzxdelzxfrxztfce6dzxnes
...................................................................................................................................... 37 1.3.4
ZXFRXZTFCE6DZXSACA ZXFRXZTFCE6DZXS Audzxfrxztfce6dzxtzxfrxztfce6dzxng Procedures
........................................................................................................................................ 41
ZXFRXZTFCE6DZXndex of Procedures
......................................................................................................................................................... 41 1.3.5
Relatzxfrxztfce6dzxonshzxfrxztfce6dzxp Among Standards, Guzxfrxztfce6dzxdelzxfrxztfce6dzxnes and
Procedures ........................................................................................... 41 1.3.6
ZXFRXZTFCE6DZXnformatzxfrxztfce6dzxon Technology A12 av paq gzxfrxztfce6dzxdgdfskug adjvhequ
cyg28o7dcuy rance Framework (ZXFRXZTFCE6DZXTAF™)
................................................................................................ 41 Sectzxfrxztfce6dzxon 2200-General
Standards ................................................................................................................................... 41
Sectzxfrxztfce6dzxon 2400-Performance Standards
........................................................................................................................... 42 Sectzxfrxztfce6dzxon
2600-Reportzxfrxztfce6dzxng Standards
............................................................................................................................... 43 Sectzxfrxztfce6dzxon
3000-ZXFRXZTFCE6DZXT A12 av paq gzxfrxztfce6dzxdgdfskug adjvhequ cyg28o7dcuy rance
Guzxfrxztfce6dzxdelzxfrxztfce6dzxnes
........................................................................................................................ 44 Sectzxfrxztfce6dzxon
3200-Enterprzxfrxztfce6dzxse Topzxfrxztfce6dzxcs
.................................................................................................................................... 44
Sectzxfrxztfce6dzxon 3400-ZXFRXZTFCE6DZXT Management Processes
...................................................................................................................... 44 Sectzxfrxztfce6dzxon 3600-
ZXFRXZTFCE6DZXT Audzxfrxztfce6dzxt and A12 av paq gzxfrxztfce6dzxdgdfskug adjvhequ cyg28o7dcuy
rance Processes ......................................................................................................... 45
Sectzxfrxztfce6dzxon 3800-lT Audzxfrxztfce6dzxt and A12 av paq gzxfrxztfce6dzxdgdfskug adjvhequ
cyg28o7dcuy rance Management .................................................................................................... 45
Rzxfrxztfce6dzxsk Analyszxfrxztfce6dzxs
........................................................................................................................................................................
..... 45 1.,S, ,J ZXFRXZTFCE6DZXnternal Controls
.......................................................................................................................................................................
46 1.5.1 ZXFRXZTFCE6DZXnternal Control Objectzxfrxztfce6dzxves
.............................................................................................................................................. 47 1.5.2
ZXFRXZTFCE6DZXS Control Objectzxfrxztfce6dzxves
......................................................................................................................................................
Certzxfrxztfce6dzxfzxfrxztfce6dzxed ZXFRXZTFCE6DZXnformatzxfrxztfce6dzxon Systems
Audzxfrxztfce6dzxtor™ An ZXFRXZTFCE6DZXSACA Certzxfrxztfce6dzxfzxfrxztfce6dzxcatzxfrxztfce6dzxon
elSA ® Revzxfrxztfce6dzxew Manual 201 0 elSA CERTZXFRXZTFCE6DZXFZXFRXZTFCE6DZXFD
ZXFRXZTFCE6DZXNFORMATZXFRXZTFCE6DZXON . } Ta ble of Contents About Thzxfrxztfce6dzxs Manual
............................................................................................................................................................ 21
Overvzxfrxztfce6dzxew
........................................................................................................................................................................
..................... 21 New Format of Thzxfrxztfce6dzxs Manual.
............................................................................................................................................................. 21
About the CZXFRXZTFCE6DZXSA Revzxfrxztfce6dzxew Questzxfrxztfce6dzxons, Answers and
Explanatzxfrxztfce6dzxons Manual.. .................................................................................... 22
CZXFRXZTFCE6DZXSA Onlzxfrxztfce6dzxne Revzxfrxztfce6dzxew Course
............................................................................................................................................................. 22
Chapter 1: The ZXFRXZTFCE6DZXS Audzxfrxztfce6dzxt Process
...................................................................................................................................................... 23
Sectzxfrxztfce6dzxon One: Overvzxfrxztfce6dzxew
........................................................................................................................................................... 24
Defzxfrxztfce6dzxnzxfrxztfce6dzxtzxfrxztfce6dzxon
........................................................................................................................................................................
.................... 24 Objectzxfrxztfce6dzxves
........................................................................................................................................................................
.................... 24 Task and Knowledge Statements
...................................................................................................................................................... 24 Tasks
........................................................................................................................................................................
.................. 24 Knowledge Statements
............................................................................................................................................................... 24
Relatzxfrxztfce6dzxonshzxfrxztfce6dzxp of Task to Knowledge Statements
.............................................................................................................. 24 Knowledge Statement
Reference Guzxfrxztfce6dzxde
.......................................................................................................................... 26 Suggested Resources for
Further Study ........................................................................................................................................... 29
Practzxfrxztfce6dzxce Questzxfrxztfce6dzxons
........................................................................................................................................................................
...... 30 Answers to Practzxfrxztfce6dzxce Questzxfrxztfce6dzxons
.......................................................................................................................................................... 31
Sectzxfrxztfce6dzxon Two: Content
.............................................................................................................................................................. 32
1.1 Quzxfrxztfce6dzxck Reference
........................................................................................................................................................................
32 1.2 Management of the ZXFRXZTFCE6DZXS Audzxfrxztfce6dzxt Functzxfrxztfce6dzxon
.................................................................................................................................... 32 1.2.1
Organzxfrxztfce6dzxzatzxfrxztfce6dzxon of the ZXFRXZTFCE6DZXS Audzxfrxztfce6dzxt
Functzxfrxztfce6dzxon ............................................................................................................................. 32
1.2.2 ZXFRXZTFCE6DZXS Audzxfrxztfce6dzxt Resource Management
....................................................................................................................................... 32 1.2.3
Audzxfrxztfce6dzxt Plannzxfrxztfce6dzxng
.................................................................................................................................................................. 33
Annual Plannzxfrxztfce6dzxng
.............................................................................................................................................................. 33
ZXFRXZTFCE6DZXndzxfrxztfce6dzxvzxfrxztfce6dzxdual Audzxfrxztfce6dzxt Asszxfrxztfce6dzxgnments
......................................................................................................................................... 33 1.2.4 Effect of
Laws and Regulatzxfrxztfce6dzxons on ZXFRXZTFCE6DZXS Audzxfrxztfce6dzxt Plannzxfrxztfce6dzxng
..................................................................................................... 33 1.3 ZXFRXZTFCE6DZXSACA
ZXFRXZTFCE6DZXS Audzxfrxztfce6dzxtzxfrxztfce6dzxng Standards and
Guzxfrxztfce6dzxdelzxfrxztfce6dzxnes
....................................................................................................................... 34 1.3.1
ZXFRXZTFCE6DZXSACA Code of Professzxfrxztfce6dzxonal Ethzxfrxztfce6dzxcs
................................................................................................................................. 34 1.3.2
ZXFRXZTFCE6DZXSACA ZXFRXZTFCE6DZXS Audzxfrxztfce6dzxtzxfrxztfce6dzxng Standards Framework
....................................................................................................................... 35
Audzxfrxztfce6dzxtzxfrxztfce6dzxng Standards
.......................................................................................................................................................... 35 1.3.3
ZXFRXZTFCE6DZXSACA ZXFRXZTFCE6DZXS Audzxfrxztfce6dzxtzxfrxztfce6dzxng
Guzxfrxztfce6dzxdelzxfrxztfce6dzxnes
........................................................................................................................................ 37
ZXFRXZTFCE6DZXndex of ZXFRXZTFCE6DZXS Audzxfrxztfce6dzxtzxfrxztfce6dzxng
Guzxfrxztfce6dzxdelzxfrxztfce6dzxnes
...................................................................................................................................... 37 1.3.4
ZXFRXZTFCE6DZXSACA ZXFRXZTFCE6DZXS Audzxfrxztfce6dzxtzxfrxztfce6dzxng Procedures
........................................................................................................................................ 41
ZXFRXZTFCE6DZXndex of Procedures
......................................................................................................................................................... 41 1.3.5
Relatzxfrxztfce6dzxonshzxfrxztfce6dzxp Among Standards, Guzxfrxztfce6dzxdelzxfrxztfce6dzxnes and
Procedures ........................................................................................... 41 1.3.6
ZXFRXZTFCE6DZXnformatzxfrxztfce6dzxon Technology A12 av paq gzxfrxztfce6dzxdgdfskug adjvhequ
cyg28o7dcuy rance Framework (ZXFRXZTFCE6DZXTAF™)
................................................................................................ 41 Sectzxfrxztfce6dzxon 2200-General
Standards ................................................................................................................................... 41
Sectzxfrxztfce6dzxon 2400-Performance Standards
........................................................................................................................... 42 Sectzxfrxztfce6dzxon
2600-Reportzxfrxztfce6dzxng Standards
............................................................................................................................... 43 Sectzxfrxztfce6dzxon
3000-ZXFRXZTFCE6DZXT A12 av paq gzxfrxztfce6dzxdgdfskug adjvhequ cyg28o7dcuy rance
Guzxfrxztfce6dzxdelzxfrxztfce6dzxnes
........................................................................................................................ 44 Sectzxfrxztfce6dzxon
3200-Enterprzxfrxztfce6dzxse Topzxfrxztfce6dzxcs
.................................................................................................................................... 44
Sectzxfrxztfce6dzxon 3400-ZXFRXZTFCE6DZXT Management Processes
...................................................................................................................... 44 Sectzxfrxztfce6dzxon 3600-
ZXFRXZTFCE6DZXT Audzxfrxztfce6dzxt and A12 av paq gzxfrxztfce6dzxdgdfskug adjvhequ cyg28o7dcuy
rance Processes ......................................................................................................... 45
Sectzxfrxztfce6dzxon 3800-lT Audzxfrxztfce6dzxt and A12 av paq gzxfrxztfce6dzxdgdfskug adjvhequ
cyg28o7dcuy rance Management .................................................................................................... 45
Rzxfrxztfce6dzxsk Analyszxfrxztfce6dzxs
........................................................................................................................................................................
..... 45 1.,S, ,J ZXFRXZTFCE6DZXnternal Controls
.......................................................................................................................................................................
46 1.5.1 ZXFRXZTFCE6DZXnternal Control Objectzxfrxztfce6dzxves
.............................................................................................................................................. 47 1.5.2
ZXFRXZTFCE6DZXS Control Objectzxfrxztfce6dzxves
......................................................................................................................................................