Institute  for Internal Controls

"Promoting an effective internal controls environment"


TheIIC Bookstore Opens

The Office of the Chairman has announced the opening of TheIIC Bookstore, which will provide textbooks and reference books for Internal Controls Professionals. The Bookstore provides discounts to members and sells books published in-house by TheIIC Publishing, as well through third parties such as Amazon and  external publishers. Check here for the very latest titles published in the field of Internal Controls.

New books will be posted for purchase as they become available. Check for new titles!

External Publishing

Title: Internal Controls Toolkit

Author: Christine H. Doxey

Year: 2019  Pages: 400

Language: English

Publisher: Wiley

Price: $66.61 (hardcover)

ISBN-10: 111955439X

ISBN-13: 978-1119554394

Book Abstract: 

All companies, regardless of size, structure, nature, or industry, encounter risks at all levels within their organization. In their 2018 Report to the Nations, the Association of Certified Fraud Examiners (ACFE) reported that internal control weaknesses were responsible for nearly half of all frauds reported. Internal Controls Toolkit is an authoritative and comprehensive book that outlines the standards of internal controls that organizations (of all types and sizes) can use to mitigate risk. Designed as a practical resource, the book offers a guide for putting in place effective controls in order to provide reliable, timely, and useful financial and managerial data that is critical for supporting operating, budgeting, and policy decisions.

The author—a noted expert on the topic—takes a toolkit approach that includes detailed information on controls and risks outlined for key business processes. The book offers background information on the history of internal controls, recommendations for developing a series of risk-based controls, proven ideas for implementing internal controls, and includes the metrics to use when measuring results. The author explores how to establish the three most critical corporate controls: segregation of duties; systems access; and delegation of authority. Filled with best practices for each step in the internal control process, the book examines the COSO model at the heart of many internal controls systems and Sarbanes-Oxley efforts in the corporate environment.

In addition, the book offers direction for being in compliance with SOX 404 initiatives, guidance for companies undergoing merger and acquisition projects, and suggestions for implementing Control Self-Assessment (CSA), Continuous Controls Monitoring (CCM), and other self-audit initiatives.

Internal Controls Toolkit is the hands-on resource for any organization that wants to achieve operational effectiveness and efficiency, reliable financial reporting, and compliance with laws, regulations, and policies.       

Title: The Fast Close Toolkit

Author: Christine H. Doxey

Year: 2019  Pages: 400

Language: English

Publisher: Wiley

Price: $57.95 (hardcover)

ISBN-10: 1119554497

ISBN-13: 978-1119554493

Book Abstract:

This publication focuses on the critical methods that can be used to dramatically improve the fiscal closing process.

The Record to Report (R2R) or Fiscal Closing Process is at the core of the controllership function. The process includes transaction processing, internal and external reporting, and the internal controls—the people, processes, and technology—that constitute the corporate organizational hierarchy. CFOs, controllers, and corporate finance departments require timely, accurate, and consistent data to make appropriate operational and strategic decisions and fulfill statutory, regulatory, and compliance requirements with accurate and timely data. The Fast Close Toolkit offers both strategic and tactical suggestions that can significantly improve the fiscal closing process and provides guidance on new legislation requirements, systems and best practice processes. Checklists, templates, process narratives, and sample policies are provided for every component of the fiscal close.

Investors and shareholders expect fast and easy access to the data created by current business activities in the information-driven digital age. The Fast Close Toolkit provides the necessary tools and expert advice to improve the fiscal closing process. Authoritative and up to date, this book:

  • Identifies the bottlenecks that can impact the and improvethe fiscal close process and provides best practices to help alleviate these challenges
  • Defines the Record to Report (R2R) and recommends the roles and responsibilities for fiscal close processes flow
  • Offers the internal controls to use for the end-to-end fiscal close process
  • Describes approaches for risk management, R2R, and fiscal close benchmarking
  • Identifies KPIs for all aspects of the R2R process
  • Provides the mechanism for developing a financial close scorecard
  • Recommends leading practices for both external and internal reporting
  • Provides guidance on how strategic planning, the budget and forecast processes can be streamlined to enhance the fiscal close and internal reporting results

Written by a respected expert on internal controls and the fiscal closing process, The Fast Close Toolkit is a valuable source of information for professionals involved in controllership and have responsibility for the fiscal close.

About the Author:

Chris has held senior finance and controller positions at Digital Equipment Corporation, Compaq Computer Corporation, Hewlett Packard, MCI, APEX Analytix, and BSI Healthcare. She has a bachelor's degree in English, a bachelor's in accounting, a master's in business administration, and a graduate certificate in project management.

Chris is a Certified Accounts Payable Professional (CAPP), holds a Certification in Controls Self Assessment (CSA), and is  Certified Internal Controls Auditor (CICA) Chris is currently developing a certification program for controllers for the Institute of Finance and Management (IOFM).

Chris has written numerous articles and published two handbooks: AP Leadership Skills and Implementing a Controls Self Assessment Program for Accounts Payable. She  presents at several conferences and provides a multitude of webinars each year.

Contact:       Chris Doxey,  CAPP, CCSA, CISA, CICA 

                Mobile: 571-267-9107

Any questions about book offerings sold here by TheIIC Bookstore should be sent to for follow up by the staff.

TheIIC Publishing

TheIIC Publishing is responsible for the in-house publication and distribution of all manner of printed and digital media related directly and indirectly to Internal Controls. TheIIC Publishing Catalog contains the titles currently being offered from TheIIC Publishing and are only available here through TheIIC catalog.Titles published outside of TheIIC are listed in External Publishing part of TheIIC Book Store and their sales are handled by their publishers.

  Title: Detecting and Reducing          Supply Chain Fraud

  Author: Norman A. Katz

  Year: 2012  Pages: 236

  Language: English

  Publisher: Routledge

  Price: $101.87 (hardcover)

  ISBN-10: 1409407322

  ISBN-13: 978-1409407324

Book Abstract:

For most large organizations, the supply chain is a commercial advantage, enabling innovation, cost management and resilience. But the supply chain is open to fraud: the length and complexity of it creates opportunities for fraudsters to exploit phantom inventory, invent non-existent customers or suppliers, substitute one product for another, cheat on the quality…this list goes on.

These frauds present a significant source of additional cost to the organization and expose it to a host of secondary risks: contract, compliance and reputation.

Detecting and Reducing Supply Chain Fraud is a pragmatic guide to identifying and managing sources of risk. Norman A. Katz includes chapters explaining the main categories of fraud risk: what they are, what is their significance and how they are exploited by the fraudster. He also explores both the tactical and strategic approaches that you should adopt to help detect and reduce fraud, including detection techniques and the use of technology. He provides tactics for increasing your organization's resilience: increased transparency, appropriate governance, and engaging employees, customers and suppliers in more ethical work practices.

If you are responsible for your organization's supply chain, or perhaps involved in audit, compliance or risk management, start using Detecting and Reducing Supply Chain Fraud and look more closely at every aspect of your supply chain, both internal and external. The savings made in fraud reduction, the increased resilience you will give all of your operations and the improved reputation that your business will enjoy, as a contract partner or amongst stakeholders, will repay your investment a hundred-fold.

Title: Successful Supply Chain Vendor Compliance

Author: Norman A. Katz

Year: 2016  Pages: 167

Language: English

Publisher: Routledge

Price: $98.16 (hardcover)

ISBN-10: 1472472012

ISBN-13: 978-1472472014

Book Abstract:

Even the largest companies find managing vendors a daunting task. If you get it wrong then you risk inadvertently penalizing potentially valuable suppliers with misguided, overly bureaucratic or costly processes. Worse the burdens placed on the vendors backfires on the customer entity itself as the customer is subjected to the increased operational costs of managing the ramifications of the ill-conceived or poorly implemented requirement through the vendor community, driving up its own operational costs and increasing frustrations for all, straining the customer-vendor relationship. Effective compliance programs balance the requirements with the capabilities of their suppliers, striving to educate instead of just inform. A well-run program should help vendors self-implement and control costs, not force vendors to rely on constant communication and increase costs for all trading partners involved. 

Successful Supply Chain Vendor Compliance explains the technical, process and cultural elements that go into a successful compliance program. Norman Katz exposes the weaknesses in traditional programs and identifies the characteristics of well-managed programs that foster beneficial trading partner relationships. He shows how a well-executed vendor compliance program can control and decrease costs by reducing disruptions throughout the supply chain, from the distribution center to the data center to the corporate office. 

Competition is fierce, and the right vendor can help you define a business model, react quickly to changes, and differentiate between you and your competitors. 

About the Author:

Norman Katz is President of Katzscan Inc., located near Fort Lauderdale, FL.  Norman has presented and published nationally and internationally on supply chain, fraud, and other topics.  He advises his clients on selecting and implementing supply chain technologies, revitalizing operations, transforming data into meaningful information, strengthening customer & vendor supply chain relationships, and internal controls.  Norman can be contacted through or by telephone at 954-942-4141

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