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After November 1st: IIA
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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:
seven areas that auditors should cover when assessing organizational
a model to assess the organizational culture and other “tone at the top”
a consistent approach to assess an organization’s control environment —
something that doesn’t inherently lend itself to being touched or counted
the observable things that comprise a control environment
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
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
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
Upon completion of this
working session, you will be able to:
a 13 step approach to designing effective and reliable audit tests
the guidelines for developing and conducting effective audit tests
sampling and its importance to the audit process
the difference between statistical and non-statistical sampling techniques
the characteristics of a “population” and why this is critical to the
the steps needed to select a sample
the benefits of using audit software
when to Incorporate the use of audit software in testing and sampling
test results to determine their meaning
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
ABOUT THE SPEAKER:
Ann Butera, CRP is President
of The Whole Person Project, Inc.,
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.
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.
to the Seminar:
Take Interstate 91 North or South to Exit 23
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.
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