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论文编号：	6731
作者编号：	2120112922
上传时间：	2014/12/5 14:04:00
中文题目：	建行天津市分行IT审计项目质量控制研究
英文题目：	Research on Quality control of Tianjin Branch of CCB IT audit
指导老师：	李季
中文关键字：	银行;IT审计;质量控制
英文关键字：	Banking;IT audit;quality control
中文摘要：	在银行IT系统运用范围越来越广，运行风险越来越大的背景下，加强IT系统风险控制成为未来的重中之重，银行IT审计已经成为加强IT系统风险控制，保证IT系统安全运行的重要手段。银行IT审计作用的发挥取决于IT审计质量的高低。加强IT审计质量控制问题研究,提高IT审计质量，才能满足银行内部对IT审计的要求。而提高IT审计质量的根本途径是提出系统的、多角度的提高IT审计质量问题的控制框架，为IT审计实施，提出各种提高质量的工具方案。 首先，本文对相关理论进行了回顾，回顾了相关审计风险的理论、项目质量的定义、系统论和控制论的相关理论，并对银行IT审计的相关概念及IT审计流程、主要行业标准等进行了介绍和定义。为本文的研究打下了理论基础。 其次，对建行天津市分行IT审计实施情况进行了介绍，通过调查、访谈等方法对项目实施过程中存在的问题进行了调查和初步分析。在调查和初步分析的基础上，通过因果图等工具对原因进行了进一步的深入分析。 再次，本文根据系统论及控制论等基本理论，通过对控制目标和标准的分析、总结，构建了平面和立体两个维度的控制系统模型。同时，结合天津市分行IT审计实际情况，对系统模型进行了结构化的研究，按照控制要素和控制流程两个维度对构成系统的组成要素进行了具体的研究。 最后，本文对天津市分行IT审计提出了质量控制的实际建议，根据论文前部分提出的控制系统理论，针对控制要素和控制流程两个维度，分别提出具有可执行性的实施建议，包括加强控制系统环境建设，加强控制主体、控制手段及反馈手段运用以及加强控制流程建设等方面的具体实施过程和实施方法，为未来实施的天津市分行IT审计的高质量完成提出了有益的建议。
英文摘要：	Under the bank's IT systems using increasingly wide range of backgrounds run the risk of growing, strengthening IT system risk control has become the top priority of the future, the bank has become the IT audit IT systems to strengthen risk control to ensure the safe operation of IT systems an important tool. Banks play the role of IT audit IT audit depends on the level of quality. Strengthen research IT audit quality control problems and improve the quality of IT audit in order to meet the bank's internal audit requirements for IT. While improving IT audit quality is the fundamental way out of the system, and improve the quality of IT audit control framework of multi-angle, for the implementation of IT audit, presented various programs to improve the quality of the tools. Firstly, we conducted a review of the relevant theory, the theory related to audit risk review, the definition of project quality, system theory and cybernetics theory, concepts and IT auditing and banking IT audit process, the main industry standards, etc. the introduction and definitions. For this research has laid a theoretical foundation. Secondly, the China Construction Bank Tianjin Branch IT audit implementation were introduced, through surveys, interviews and other methods for the project implementation process the problems were investigated and analyzed. On the basis of the preliminary investigation and analysis, through tools such as cause and effect diagram reasons for further in-depth analysis. Thirdly, Based on the system addressed cybernetics and other basic theory, control objectives and standards for analysis, summary, building control systems and three-dimensional model of the two-dimensional plane. At the same time, the system model is structured study, according to the control elements and control processes constitute the two dimensions of the constituent elements of the system were specific research, combined with the actual situation in Tianjin Branch IT audit, the composition of the elements of the specific analysis demonstration. Finally, In this paper, Tianjin Branch practical proposals IT audit quality control, according to the paper part of the control system theory proposed before, control elements and control processes for the two dimensions, namely the implementation of the recommendations made enforceable, including strengthening the control system environment building, strengthening the implementation process and the implementation of specific methods to control the main means of control and feedback control means using and enhancing other aspects of the construction process, for high-quality Tianjin Branch IT audit completed for future implementation made useful suggestions.
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