WORKSHOPS

Pre-Conference Workshops

W1 Auditing Agile and Scrum Development Projects

Monday, September 9
9:00 AM – 5:00 PM
One-Day, 8 CPEs
Thomas Salzman, IT Audit Manager, Illinois State University

Today, application systems development is all about speed. Agile and Scrum are all about getting data as well as processing and reporting to the customer ASAP. This is further complicated by the lack of standardized methodologies, expectations and business models. Auditors, reviewers and project sponsors are further confounded by the difficulty of knowing what can be done in a definitively short amount of time, especially in an environment that discourages oversight and audit.

This course is designed to remove the complication, identify what auditors and developers can do to facilitate and achieve success and provide risk-based awareness of what can go right and what can go wrong with Agile and Scrum development. Key risk-based “triggers” will be provided that heighten awareness of how to review, manage, and audit these “moving targets”. This course provides you with a unique tool that will set you on a path of contributing without distracting.

• What Exactly Are Agile and Scrum?
• How to Learn About the Project in Time to Get Involved
• What Is the definition of Success vs Failure
• The Infrastructure that Should Be in Place Before the Project Begins
• What to Look for Before the Project Begins
• The Project Manager
• The Steering Committee
• The Project Plan
• What to Look for During the Project and the Key Triggers to Apply
• Testing. Yes, Testing!
• DON’T Trust the Interfaces
• Change Management
• Reporting Deficiencies

 

Post-Conference Workshops

W2 Building a Bullet Proof Audit Risk Assessment Using Data Analytics

Thursday, September 12 
12:30 PM – 5:00 PM
Half-Day, 5 CPEs
Greg Duckert, CPA, CIA, CRISC, CRMA, CISA, CMA, CERMDA, CCARDA, CFADA, Founder, Virtual Governance Institute

The audit world is at a crossroads and must make some very radical and difficult decisions as regards to how it moves forward. It is very clear that the pathway to the future for auditing is paved with data analytics. This, however, may pose a significant challenge to audit groups where this is not standard operating procedure.

Auditors nor organizations can just sit back anymore and toss labels and/or opinions at the subject matter of risk. Risk assessment by its very nature is a data-centric exercise. It requires facts and information to not only define probability and impact but also to predict risk and to discover root causes to manage it.

In this workshop you will learn how to use data analytics for these purposes in the science of risk assessment. In addition, you will learn how to use it, most importantly, to truly measure real audit value. Attend this workshop and get a jumpstart on your future.

Topics to be discussed:

  • Creating a holistic risk assessment of your audit universe
  • Ensuring that your risk assessment is based in facts not speculation
  • Developing an inventory of KRI’s (Key Risk Indicators)
  • Insuring that the data used is the right data for risk assessment
  • Mapping the audit universe to maximize the effectiveness of the risk evaluation
  • Using data and facts that simply can’t be challenged
  • Examples of analytics and how they can be used to assess risk in Finance, Operations, Technology and Regulatory areas of concern

W3 Practical Application of Automation in Audit Testing

Thursday, September 12
12:30 PM – 5:00 PM
Half-Day, 5 CPEs
Marshall Dougherty, Sr. Director, Data Integrity, Travelers

Chris LaRosa, Manager, Data Integrity, Travelers

A practical look at business process automation for audit testing. We will explore the key drivers behind successful automation efforts, and provide an in-depth look at several technical approaches using…
• “Bots” to mimic human behaviors in a process
• Web services to interact with data and files
• Traditional database and report mining methods

Discussion of each approach will be supported with a real-world example, and we will aim to demystify as much technical jargon as possible throughout our time together. We will also complete hands-on examples to demonstrate the foundational concepts of each. In addition to the “how” of these approaches, we will discuss how to select the best approach for the problem being tackled. Spoiler Alert: It’s not always a bot!

As we work through the technical aspects of the content, we will also include perspective about how the work we do during the course of our audit testing can benefit our auditees. Audit departments’ broad view across organizations can be a valuable pipeline of business process improvement & automation thought leadership. Adding our own automation efforts to the mix, or simply offering insights on capabilities, can further our mission of being the Trusted Advisor. We’ll share success stories of executing on that opportunity (and taking the appropriate credit).

Technical Requirements: Laptop with Microsoft Excel, Microsoft Access and Adobe Acrobat Reader
Learning Level: Intermediate

W4 Strategic Communications and Brand Positioning that Mitigates Risk and Instills Compliance in Your Organization

Thursday, September 12
12:30 PM – 5:00 PM
Half-Day, 5 CPEs
Shakira M. Brown, Former Public Accounting Firm Corporate Communications Executive and Branding & Business Communication Strategist, SMB Strategic Media LLC

If a co-worker only spoke to you when they had discouraging news, wouldn’t you cringe when you saw him or her coming? Even worse, what if the colleague delivering this information found it extremely difficult to present it to you in a clear and concise manner? This may be how employees at your company view your engagement with them.

Success as an auditor depends not only on your technical skills, but also on how efficiently you engage with various stakeholders. If you want your organization’s personnel to partner with you in mitigating organizational risk all year long and to be willing participants during the audit process when you need them to, you must cultivate rapport and trust. This is when strategic communications and brand positioning can aid internal audit professionals in delivering value and respect long term.

This workshop will help you understand the impact your communication skills have on employees and the governance process. You will explore how improving your communication skills will make it easier for you to develop a constructive working relationship with key stakeholders. Plus, learn to position yourself and your department for the positive influence that can be achieved every day by viewing audit skills as a “product” that needs to be branded and marketed for “customer” buy-in.

This workshop is for auditors who want to develop and fine-tune their interpersonal communication skills in order to improve the efficiency and effectiveness of their audits.

At the end of this workshop, you will be able to:

  • Identify common communication problems that may be holding you back
  • Develop skills to ask questions that give you information you need
  • Learn what your non-verbal messages are telling others
  • Develop skills to listen actively and empathetically to others
  • Enhance your ability to handle difficult situations
  • Deal with situations assertively with elements of empathy
  • Speak in terms of the impact and influence that you want to have
  • Understand your impact in terms of departmental and personal branding
  • Build credibility and trust by living your brand

Learning Level: Basic

W5 Auditing Corporate Culture & Ethics

Friday, September 13
7:45 AM – 3:30 PM
Full-Day, 8 CPEs
Dr. Hernan Murdock, Vice President, Audit Division, MISTI

Internal auditors who fail to innovate will become irrelevant. While change can be unsettling, it is expected to continue and even accelerate in the future. By being innovative, forward-thinking internal auditors will be able to leverage the new technologies to improve their methodology and meet stakeholder needs. They will also provide better recommendations to address their clients’ concerns, identify emerging risks and needs sooner, and find faster, cheaper and better ways of performing assurance and consulting work. While it remains important to verify the consistency, reliability and predictability of organizational programs and processes, stubbornly acting like guardians of the status quo and refusing to embrace new ideas and approaches will result in audit committees finding someone else who can meet their needs.

In this session you will learn how to think and act more creatively, how to initiate and support change initiatives, ways to use innovation to audit traditional areas differently, and how to examine non-traditional subjects like corporate culture, ethics, and change enablement.

This workshop will cover:

  1. Using innovation to update our approach and transition from traditional to modern risk-based internal auditing
  2. Assessing our readiness level and the skills needed to effectively apply innovation in our work
  3. Being creative to improve our risk assessments, planning, fieldwork and reporting activities
  4. Promoting innovation: How to demonstrate, measure, encourage and reward innovation in our departments
  5. Essential elements and trigger points to influence the corporate culture
  6. Using innovation to promote critical thinking
  7. Tools and techniques to go from talking about innovation to actually being innovative

 

IMPORTANT DATES

  • May 26: Super Early Bird Pricing Deadline
  • July 28: Early Bird Pricing Deadline
  • September 8: Standard Pricing Deadline
  • September 10-12: Main Conference Program 
  • September 12: Post-Conference Half-Day Workshops 
  • September 13: Post-Conference Workshops and Summit