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Pricing:

$225.00
$350.00
 
 

 Operational and Risk Based Auditing Seminar

Seminar
1/28/2013 8:00 AM
1/29/2013 4:30 PM
The Metropolitan Water District of Southern California (Room 1-102), Los Angeles |  
The San Gabriel Valley Chapter of the IIA is hosting a two-day seminar at Metropolitan Water District of Southern California.  The event will focus on providing quality professional education on operational and risk based auditing and give participants a chance to network with other professionals at a reasonable price.
 
WHEN:          Monday, January 28th and Tuesday, January 29th, 2013
                        8:00 AM to 4:30 PM (Registration 7:15 AM to 8:00 AM)
 
WHERE:       The Metropolitan Water District of Southern California (Room 1-102)
700 North Alameda Street, Los Angeles, CA90012 – Adjacent to Union Station
 
CPE:               16 Hours
 
LUNCH:        Lunch box will be provided
 
REGISTER HERE - If you have questions, please contact: Diana Estrada, at EstradaDT@Metro.net or (213) 922-2161
 
COST:            $125 per day or $225 for two days (IIA Members)
                        $175 per day (Non-members)
                        Parking fee not included
 
Check or Credit Card Accepted
           
Make check(s) payable to the “IIA San Gabriel Valley Chapter”
Attn: Mimi Htut, Treasurer
San Gabriel Valley Chapter,
The Institute of Internal Auditors, Inc.
P.O. Box 1532
Sierra Madre, CA 91025
 
For payment by Credit Card
​Members - Day 1 - Operational Auditing - $125 paypal-lg.gif
Members - Day 2 - Risk Based Auditing - $125 paypal-lg.gif
​Members - 2 Day Seminar - $225 paypal-lg.gif
​Non Members - Day 1 - $175 paypal-lg.gif
​Non Members - Day 2 - $175 paypal-lg.gif
​Non Members - 2 Day Seminar - $350 paypal-lg.gif
  

 Cancellation Policy
 
 
Registration cancellation shall be submitted to the Treasurer of the IIA San Gabriel Valley Chapter in writing or email htutm@metro.net. 
 
Complaint Resolution

All Complaints or disputes shall be submitted to the IIA San Gabriel Valley Chapter in writing. Complaints should be addressed to:
 
Kathy Knox, Programs Chair
San Gabriel Valley Chapter
The Institute of Internal Auditors, Inc.
P.O. Box 1532
Sierra Madre, CA 91025
 
A suggested resolution to the complaint will be provided and if accepted the complaint and dispute will be deemed resolved.
 
 
 
NASBA Continuing Professional Education (CPE) Policies
 
San Gabriel Valley Chapter is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors.  State boards of accountancy have final authority on the acceptance of individual courses for CPE credit.  Complaints regarding registered sponsors may be addressed to the National Registry of CPE Sponsors through its website - Website: www.learningmarket.org.
 
In accordance with the standards of the National Registry of CPE Sponsors, CPE credits have been granted based on a 50-minute hour.  Two-day programs are eligible for 16 CPE credits; one-day programs are eligible for 8 CPE credits.  Actual credits awarded are based on actual program length.   
 
  
Day 1 – Optimized Operational Auditing
Monday, January 28, 2013
                                                       
From
To
Description
Speaker
7:15
8:00
Breakfast and Registration
 
8:00
11:30
Optimized Operational Auditing
 
Danny M. Goldberg, CPA, CIA, CISA, CRISC, CRMA, CGEIT, CGMA, CCSA
Partner, Professional Development
Sunera
11:30
12:30
Lunch (lunch box provided)
 
12:30
2:30
Optimized Operational Auditing
 
Danny M. Goldberg, CPA, CIA, CISA, CRISC, CRMA, CGEIT, CGMA, CCSA
Partner, Professional Development
Sunera
2:30
2:45
Break – Snack provided
 
2:45
4:30
 
Optimized Operational Auditing
 
Danny M. Goldberg, CPA, CIA, CISA, CRISC, CRMA, CGEIT, CGMA, CCSA
Partner, Professional Development
Sunera
 
 
Day 2 – Risk-Based Auditing
Tuesday, January 29, 2013
 
From
To
Description
Speaker
7:15
8:00
Breakfast and Registration
 
8:00
11:30
Risk-Based Auditing – Developing & Implementing a Risk-Based Audit Plan
 
Phil Flora, CIA, CISA, CFE, CCSA
Principal, FloBiz & Associates, LLC
11:30
12:30
Lunch (lunch box provided)
 
12:30
2:30
Risk-Based Auditing – Developing & Implementing a Risk-Based Audit Plan
 
Phil Flora, CIA, CISA, CFE, CCSA
Principal, FloBiz & Associates, LLC
2:30
2:45
Break – Snack provided
 
2:45
4:30
Risk-Based Auditing – Developing & Implementing a Risk-Based Audit Plan
 
Phil Flora, CIA, CISA, CFE, CCSA
Principal, FloBiz & Associates, LLC
 
 
PARKING
1. MWD VALET ($12), 700 N. Alameda Street, M-F 8am - 5pm
2. MTA Five Star, 1 Gateway Plaza, $6.00 per day under Metro’s Building 24 hours-7 days. Parking entrances are located on the north side of the building from Cesar Chavez and on the east side from Vignes. There is ample parking on levels P2 - P4. Metro and IIA will not validate parking for this event. Metrolink trains, Pasadena Goldline and Metro Redline can also be used to commute to the MWD Building.  It is an easy walk through Union Station to the Seminars.
 
   
With companies looking to internal audit to assist in identifying areas of improvement, auditors must be effective in operational auditing. This course will take attendees through tools and techniques on how to maximize their operational auditing effectiveness.
Prerequisite: None
Advance Preparation: None
Learning Level: Basic/Intermediate
Field: Auditing
Delivery Method: Group-Live
Learning Objectives:
·         Understand the basics of operational auditing, including definitions and terms.
·         Learn the importance of OA and how it can help distinguish the audit department.
·         Learn the key steps in the OA process and how to sell changes to the organization.
 
Agenda          
 
       I.            Introduction
a.       Economy, Efficiency and Effectiveness
b.      Why Perform and Operational Audit?
c.       Components of Operational Audits
d.      Specific Objectives
e.       Specific Purposes
f.       Operational Audit Benefits
g.      Operational Audit Phases
h.      The Characteristics of an Effective Operational Auditor
i.        Key Attributes of an Effective Operational Auditor
    II.            The Importance of Communication
 III.            The Operational Audit Process
 IV.            Assessment of Risk
    V.            Planning Phase
 VI.            Building an Effective Operational Audit Work Program
VII.            Fieldwork
VIII.            Development of Effective Operational Audit Findings
 IX.            Appendix
a.       Documentation Techniques
                                                              i.      Risk & Control Matrix
                                                            ii.      Business Process Flow Chart/Mapping
                                                          iii.      Storyboarding
                                                          iv.      RACI Matrix
 
 
SPEAKERS BIO
 
 
Danny M. Goldberg, CPA, CIA, CISA, CGEIT, CCSA
 
Danny leads the Professional Development Practice at Sunera.  Prior to joining Sunera in January 2011, Danny founded SOFT GRC, an advisory services and professional development firm.  Danny has over 15 years of audit experience, including five as a CAE/Audit Director at two diverse companies. Prior to founding SOFT GRC, Danny was the Director of SOX Compliance and Corporate Audit at Dr Pepper Snapple Group, where he led the Year One SOX Compliance efforts.  Prior to his tenure at Dr Pepper, Danny was the Chief Audit Executive at Tyler Technologies, a publicly traded technology company (Danny was hired to build the department from the ground up). 
Danny has served on the audit committee of the Dallas Independent School District and as the Chairman of the North Texas Leadership Council of the American Lung Association.  Danny is also the IIA Dallas Chapter Programs Committee Co-Chairman for the 2012-2013 year.
Danny is accredited as the professional commentator on the publication BNA Tax and Accounting Portfolio, Internal Auditing: Fundamental Principles (Accounting Policy and Practice Series), which is authored by renowned audit scholars Curtis C. Verschoor and Mort A. Dittenhofer – co-author of Sawyer’s Internal Auditing.  He is currently leading a project team that has been commissioned by the IIA Research Foundation to write a publication on Crucial Communications:  Tools When the Stakes are High.
He has also published numerous articles in trade magazines, including:
·         ISACA Journal (The Importance of the ARA, Volume 4, 2012)
·         ISACA Journal (The Missing Piece: Optimized Interpersonal Skills, Volume 3, 2012)
·         The Audit Report (Executive Search: Knowing the Company is as Important as Knowing the Candidate, December 2011)
·         ISACA Journal (General Auditing for the IT Auditor: An Overview, Volume 3, 2011)
·         The Audit Report (11 Hot Topics for 2011, March 2011)
·         Dallas Business Journal (The Yes Man Phenomenon, January 2011)
Danny is a well-known speaker across the nation at numerous IIA and ISACA sponsored events.  He has been recognized as a top speaker at numerous events over the past years, including:
·         Ranked 8th out of 120 speakers (average rankings for all categories) – 2012 IIA International Conference
·         “Top Rated” (Excellent/Outstanding) Speaker – 20th Annual American Society for Quality (ASQ) Audit Division Conference (out of 44 presenters)
·         Top 10 Presentation – 2011 IIA Midwest Regional (36 total concurrent sessions, 3.75 overall rating out of 4.0)
·         Top 3 Ranked Speaker – Michigan CPA’s Healthcare Conference 2011 (29 total speakers)
·         Top 3 Ranked Speaker – ArkSarBen IIA 2011 District Conference (24 total sessions)
·         3.58/4.00 Rating – 2011 ACFE Annual North American Conference
                                                              
udit functions that focus their efforts on significant risks are able to concentrate their resources on issues that drive their businesses.  The first necessity in performing risk-based auditing is a comprehensive audit plan.  This session will include the process for developing and implementing a risk-based assessment/audit planning process. 
 
Prerequisite: None
Advance Preparation: None
Learning Level: Basic/Intermediate
Field: Auditing
Delivery Method: Group-Live
Learning Objectives:
·         Develop and/or improve risk assessment/audit planning process. 
·         Learn the basics of engagement planning and fieldwork for a risk-based audit. 
·         Learn new approaches to facilitate the process in developing and implementing a risk based audit plan.
Agenda
  1. Importance of a strong risk assessment/audit planning process
  2. Applicable standards related to risk assessment and audit planning
  3. Relevant risk management framework examples for application/use in identifying organizational risks
  4. Challenges & opportunities in the information gathering process
  5. Steps/process for risk assessment/audit planning that include the total audit universe
  6. Methods/approaches to communicate audit planning process results for review/approval
  7. Use of the results of the annual risk assessment to facilitate performance of risk-based audits
  8. Performing risk-based audits
  9. Tips, lessons learned & best practices for consideration/use by participants
  10. List of reference materials and form for future use
 
SPEAKERS BIO
 
Phil Flora, CIA, CISA, CFE, CCSA
 
Phil is the Principal/Managing Member for FloBiz & Associates, LLC a company that provides training, internal audit and consulting services.  He is also the Director, Internal Audit Training for CPE interactive.  Phil was the Chief Audit Executive (CAE) at a not-for-profit public corporation for over 16 years.  Phil’s experience includes banking, public accounting and cost accounting. He also has over 30 years of auditing/ management experience. 
 
In his 16 years as the Chief Audit Executive (CAE) Phil was responsible for the maintenance/development of the Internal Audit function that included leadership, risk assessment/audit planning, communication with management/board, staff hiring/ development and other administrative/operational activities.  He tranformed the function to enable audit coverage of the total organization.  In cooperation with two other CAE’s he developed an Internal Audit Leadership Development Program that assisted in the development of over 30 future audit leaders.
 
Phil currently serves as a Trustee on the IIA Research Foundation (IIARF).  He is a past Chair of the Institute of Internal Auditors (IIA) International Committee, the Committee of Research & Education Advisors (CREA).  He also is a past Vice President of Research for the IIARF.  He has served on IIA International Committees for over 12 years, Public Sector and CREA.  He is an active member of the Institute of Internal Auditors (IIA) Austin Chapter and is a past President.  Phil received the IIA Austin Chapter’s 2006 Practitioner of the Year Award.  He is also a member of the Information Systems Audit and Control Association (ISACA) and has served on the three Program (2007 & 2008 IT Audit Management Forum & 2010 International Conference Task Force) Committees.  Phil is a member of the Association of Certified Fraud Examiners and Project Management Institute.
 
Phil also has significant experience in conducting and receiving External Quality Assessment/Peer Reviews. He has participated in the State Agency Internal Audit Forum (SAIAF, a group of Texas State Agency CAEs/Directors) and has participated in/led six External Quality Assessments/Peer Reviews of other audit shops and served as the mediator for a peer review dispute resolution.  He also has participated on two External Quality Assessment teams for the IIA.  In addition the Internal Audit function led by Phil received four External Quality Assessments plus he performed internal assessments.
 
He has been a frequent speaker at various national, regional, state and international conferences over the past ten years.  He also has provided training on numerous subjects related to internal auditing, leadership, quality assessments, governance/IT governance ethics, risk assessment/management and IT audit.
 
Phil received a B.S. in Accounting from Virginia Commonwealth University.  He is a Certified Internal Auditor (CIA), Certified Information Systems Auditor (CISA), and Certified Fraud Examiner (CFE). He also has a Certification in Control Self-Assessment.