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 Assessing Soft Controls & Sampling - Both Days

Chapter Event
11/20/2013 8:30 AM
11/21/2013 4:30 PM
CTCPA Education Center - 716 Brook Street, Suite 100, Rocky Hill, CT - 06067 | Connecticut

Pricing:
Early Registration by Friday, November 1st: IIA Members $325 / Non-Members $375.
After November 1st: IIA Members $375 / Non-Members $475.

Group Pricing:
Group Pricing Now Available ONLY for IIA Members! 
REGISTER FOUR (4) MEMBERS FROM YOUR ORGANIZATION AND GET THE 5TH MEMBER FREE!
Group Discount will be only allowed after the Early Registration period is over
.  So, if you are planning to register a group, please do so after the Early Registration period or register the Group during the Early Registration period using the Non-Member pricing option.

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 registeriia@sbcglobal.net.

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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DESCRIPTION:

Solid Techniques for Assessing Soft Controls


The COSO Model cites the Control Environment as one component of effective internal controls. This component consists of the organization’s tone at the top. Since the tone at the top is inherently ephemeral, soft, and “squishy”, it can be more challenging to evaluate than the “hard”, observable controls over inventory and payroll. Yet, this component has an overriding effect on a risk management culture. If you are interested in finding and using a consistent and reliable way to evaluate this component, plan on attending this session on November 20, 2013 from 8:30-4:30 p.m.

 

During this interactive and engaging session, Ann Butera CRP, President of The Whole Person Project, Inc., a New York-based organizational consulting firm, will describe the recognition and importance of “soft controls” in the internal control environment. She will explain how to use an organizational assessment as a tool to assess soft controls and the organization’s culture. She will describe seven areas that you should address when evaluating organizational culture. The techniques Ann will share with you can be incorporated into audit planning to help you get better insights about the culture of an area under review.

 

Upon completion of this session, attendees will be able to:

  • Identify seven areas that auditors should cover when assessing organizational culture
  • Apply a model to assess the organizational culture and other “tone at the top” attributes
  • Use a consistent approach to assess an organization’s control environment — something that doesn’t inherently lend itself to being touched or counted
  • Discuss the observable things that comprise a control environment
  • Describe the type of evidence needed to support conclusions concerning the answers an auditor receives.

 

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

 

Audit Sampling and Testing Techniques


Testing is the mainstay of internal audit. It is the implementation of our planning efforts and the primary way we gather evidence to support our conclusions concerning an organization’s risk management practices and internal control operating effectiveness.

 

The testing and sampling methods we select directly affect the reliability of our audit results and may increase the amount of audit risk. Consequently, decisions concerning test approaches and sample selection methodologies are critical.

 

If you’ve ever wondered about the differences in testing techniques, when to use random and haphazard sample selection, the benefits of statistical versus non-statistical sampling, or how many items to sample, plan on attending this interactive and informative class facilitated by Ann M. Butera, CRP, President of The Whole Person Project, Inc., a New-York based organizational consulting firm. During this engaging training session, she will explain a 13-step approach to determine and what to test and how to select an appropriate sample.

 

Upon completion of this working session, you will be able to:

  • Apply a 13 step approach to designing effective and reliable audit tests
  • Describe the guidelines for developing and conducting effective audit tests
  • Describe sampling and its importance to the audit process
  • Describe the difference between statistical and non-statistical sampling techniques
  • Define the characteristics of a “population” and why this is critical to the sample selection
  • Perform the steps needed to select a sample
  • Describe the benefits of using audit software
  • Determine when to Incorporate the use of audit software in testing and sampling
  • Analyze test results to determine their meaning
  • Explain the documentation requirements associated with audit test step development and test work papers.

 

This program is suitable for auditors with less than 3 years of audit experience or anyone who would like a refresher in audit testing and sampling techniques. This Overview one-day session qualifies for 8 CPE credits in Auditing.

 

ABOUT THE SPEAKER:  

Ann Butera, CRP is President of The Whole Person Project, Inc.,

 

Ann M. Butera, CRP is President of The Whole Person Project, Inc., an organizational development consulting firm. She is a frequent speaker at internal audit conferences and has worked with audit departments of all sizes to provide auditors with the tools and techniques needed to improve risk management practices within their organizations. Ann is regularly cited in Who’s Who and has been honored by Women On The Job with the Business Achievement Award. She is a member of the lIA, the American Society for Training and Development, the Association of Government Accountants, and the National Association of Corporate Directors. She serves on the Audit Committee for a financial services firm. Ann Butera received her Masters of Business Administration in Organizational Development from Adelphi University. She holds a CRP (Certified Risk Professional) designation from BAI, and is a Summa Cum Laude graduate of Long Island University/C.W. Post College.


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