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 Both Days - Audit Principles / Managing Audit as Projects

Chapter Event
5/15/2014 8:00 AM
5/16/2014 5:00 PM
The CTCPA Education Center 716 Brook Street, Suite 100 Rocky Hill, CT 06067 |

IT Auditing Principles for Internal Auditors

Managing Audits as Projects

Thursday, May 15 and Friday, May 16, 2014 (NASBA Accredited)

8:30AM to 4:30PM (Registration @ 8:00AM)
16.0 CPE hours
325.00 Members | 375.00 Non-Members
Norberto Ramirez

Register directly on our website

Early Registration by Friday, April 25th: IIA Members $325 / Non-Members $375.
After April 25th: IIA Members $375 / Non-Members $475.

Group Pricing:
Group Pricing Now Available ONLY for IIA Members! 
Group Discount will be allowed during Early Registration

We accept Visa and MasterCard payments.   You may pay be credit card by completing the information under the Purchase Seminar by Credit Card section above and clicking on the Add To Cart.

If paying by check, please use the link for the REGISTRATION FORM and send it together with the check to the address listed on the form or by email to

Checks can be made payable to Southern New England IIA and sent to the address on the registration form. The TIN # is 23-7300273.

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IT Auditing Principles for Internal Auditors

Information technology is an integral part of all financial and business processes.  The internal audit function requires a fundamental understanding of IT’s impact on the audit processes and associated risk to effectively drive the audit process.  This training session has been designed for Internal Auditors looking to acquire knowledge in IT auditing principles and/or Internal Auditors looking to refresh their knowledge. 


Course Outline

IT Risks in the Enterprise

  1. IT and its Effect on the Business
  2. IT Governance to Address Risk

 The IT Audit Universe

  1. General IT Controls
  2. Technical Audits
  3. Existing Application Audits
  4. Audits in Development
  5. Special Projects

 General IT Controls

  1. SoX vs Internal Audit Focus
  2. GITC Controls Affecting the Audit
  3. Change Management
  4. Data Management
  5. Identity & Access Management
  6. Configuration Management
  7. Network Management
  8. Business Continuity Management
  9. Integrated Audit Role in IT General Controls

 Existing Application Audits

  1. Objectives of the Application Audit
  2. Overview of Processing Models
  3. Planning Application Audits
  4. Testing Considerations (CAATs)
  5. Integrated Audit Role in the Audit of Existing Applications

 Applications in Development

  1. Objectives of the Application Development Audit
  2. Application Life Cycle
  3. Project Management Objectives
  4. Audit’s Role in Development Audits
  5. Integrated Audit Role in Applications in Development

This program is suitable for auditors at all levels who are interested in a consistent and effective way to assess the IT principles. This Overview one-day session qualifies for 8 CPE credits in Auditing.


Managing Audits as Projects


As auditors, we perform assessments of our IT and business project management processes for controls, effectiveness, and efficiencies. But do we practice what we preach four out audits? We have all experienced audits with a duration well over budget. Where did these audits go off course?


Good project life cycle concepts and project management are major components that ensure the timely execution of a project within scope. Audits are projects and the same concepts can be used to assure timely completion of audits on budget within scope. Understanding the value of project management techniques to managing audits and the importance of using critical thinking improves the audit process.


This training session focuses on project management good-practices and relates them to the audit process. Using the Closing the Loop Framework, you will define and walk through how to build a strong well-defined audit planning and execution process.


You will discuss:

  1. Project management concepts for managing audits
  2. Effective audit reporting techniques
  3. Audit performance metrics


Who Should Attend

  1. Internal auditor management
  2. Internal audit staff


Learning Objectives

  1. Improve the audit process
  2. Achieve audit goals and objectives
  3. Deliver audits on-time, on-budget, within scope



Norm Kelson, CPA, CISA, CGEIT

President and Director, IT Audit Training

Norm Kelson, founder of CPE Interactive, specializes in building and disseminating best practices to assurance, risk, governance, and management stakeholders. With over 30 years of extensive experience in IT assurance and governance, he has served in a variety of capacities as a consultant with a Big 4 firm and an internal audit boutique, internal auditor executive, and industry advocate.  He is the author of over 30 IT Audit/Assurance Programs for ISACA which are available as a resource to its members, and a series of case studies to support ISACA’s IT Governance Using COBIT® and VAL ITTM: Student Book 2nd Edition.


Norm was Managing Director of IT Audit and Technical Seminars for MIS Training Institute. During his 12 year tenure he was responsible for creation and curriculum development of its global IT Audit training portfolio focusing on best practices in risk-based auditing.  He has held positions as: Director of IT Audit for the US Subsidiary of Royal Ahold (Stop & Shop and Giant) and was a key member of the internal audit professional practices and standards and the global information security committees; Vice President of Internal Audit Services and National IT Audit Practice Director for CBIZ Harborview Partners; managed KPMG’s New England Region IT Auditing practice, and held positions in IT Audit management with Fannie Mae, CIGNA, and Loews Corporation. He began his career as a financial auditor with Laventhol and Horwath.




Norm is an Adjunct Professor at Bentley University and a member of the Audit/AIS Curriculum Committee.

He is a frequent speaker and subject matter expert at ISACA and Institute of Internal Auditors (IIA) conferences, is a former Executive Vice President of the New England ISACA Chapter and served on the Chapter’s Strategic Planning Committee.  Norm received a Bachelor of Science in Business Administration from Boston University and an MBA from the University of Pennsylvania Wharton School. He is a Certified Public Accountant, Certified Information Systems Auditor, and Certified in the Governance of Enterprise Information Technology.

All registrants are expected to make payment for the scheduled event on or before the day of the event.  To make payments before the date of the event, please mail your payment and a copy of your registration to the address noted during the event registration process.

Event Cancellation Policy:

Cancellations made more than five working days notice before the scheduled event will be eligible for a full refund of registration fees paid.

Cancellations made without five working days notice will not be eligible for a refund, and the registrant will be responsible for the full registration fee even if payment has not yet been made.

However, the registrant may send another individual as a substitute. If neither the registrant nor a substitute attends the event, copies of course materials will be available to the registrant after the presentation date upon request and payment receipt.


Directions to the Seminar:


Take Interstate 91 North or South to Exit 23

Heading North

If you are heading North on I-91, take Exit 23 and turn left at the end of the ramp. As you approach the third traffic light, get into the middle or left lane and, at the traffic light, turn LEFT onto Cromwell Avenue, also known as "The Shunpike." Go to the third traffic light and turn left onto Brook Street. The entrance to 716 Brook Street is on your right; follow around to back of the building marked 716 and look for the CSCPA awning.

Heading South

If you are heading South on I-91, take Exit 23 and turn right at the end of the exit ramp. Go straight through the next traffic light. As you approach the second traffic light, get into the middle or left lane and, at that traffic light, turn left onto Cromwell Avenue, also known as "The Shunpike." Go to the third traffic light and turn left onto Brook Street. The entrance to 716 Brook Street is on your right; follow around to back of the building marked 716 and look for the CSCPA awning.

Note: Parking is Free