Course Information
Bootcamp for Government Auditors
Parking for SAO, Professional Development courses is in Garage B (1511 San Jacinto Blvd.). The Garage signage may read 1511 San Jacinto or Garage B. The elevator in Garage B is not reliable. If you are unable to walk the stairs, please contact the professionaldevelopment@sao.texas.gov for alternate parking arrangements. Handicapped parking is free at the meters around the downtown area.
A course coordinator will email you a parking permit prior to the course start date. A permit must be displayed or you will be ticketed.
Course Description
Do you find it difficult to find good training for your new government auditors? Do you have a rotational program and constantly need basic audit training for new hires or transfers into the department? Audit 101 is the perfect course to send new auditors to learn the basics of auditing. This course is an overview of the auditing field, key terminology, and basic beginner steps on how to audit. New government auditors should not start their new jobs without taking this course!
Course Objectives
Objectives:
• Understand the fundamental principles and objectives of auditing.
• Apply regulatory requirements and professional standards in auditing practices.
• Conduct effective audit planning and risk assessments.
• Evaluate internal controls and gather reliable audit evidence using various techniques.
• Utilize analytical procedures and audit sampling methods to enhance audit accuracy.
• Maintain comprehensive and organized audit documentation.
• Write clear, concise audit reports and effectively communicate audit findings.
• Understand follow-up procedures to ensure the effectiveness of audit recommendations.
Outline:
I. Introduction and Background
a. Definition of Auditing
b. What do Auditors do?
II. History of Auditing
a. Beginnings
b. Traditional vs. Modern Auditing
III. Overview of Audit Guidance
a. Institute of Internal Auditors/International Professional Practices Framework
b. Code of Ethics
c. Standards
d. Practice Advisories
IV. Audit Planning
a. IIA Requirements
b. Planning
c. Audit Risk Assessment
V. Audit Process
a. Preliminary Work
b. Development of Audit Work program
c. Conducting Fieldwork
d. Documenting Results and Observations
VI. Application
a. Sampling Methodologies and Overview of
VII. Audit Wrap-Up
a. Audit Reporting
b. Effective Exit Conferences
c. Audit Follow-Up Basics
VIII. Flowcharting
IX. Interview Techniques
X. Future Steps and Hurdles
a. Discussion of future trends and techniques
Prerequisites
Prerequisite not required.
YB 4.23(A)
Instructors
Danny M. Goldberg is a well-known speaker on internal auditing and People-Centric Skills. Danny co-authored People-Centric© Skills: Communication and Interpersonal Skills for Internal Auditors, via Wiley Publications. This is the first book published specifically to address the wide-ranging topic of communication skills for internal auditors. It has been offered through the IIA and ISACA bookstores since July 2015 and has sold over 3,000 copies (through April 2018).
Danny has over 21 years of professional experience, including five years leading/building internal audit functions. Danny was named as one of the Fort Worth Business Press 40 Under 40 for 2014. Danny is also accredited as the Professional Commentator of the Bureau of National Affairs - Internal Audit: Fundamental Principles and Best Practices (Professional Commentator). This book was authored by renowned audit scholars Curtis C. Verschoor and Mort A. Dittenhofer – co-author of Sawyer’s Internal Auditing.
Additional Information
TAC Rule 523.142(g) requires the CPE Sponsor to monitor individual attendance and assign the correct number of CPE credits. Participants will be asked to document their time of arrival and departure in compliance with this Rule. Additionally, attendance will be monitored throughout the day and CPE certificates will reflect actual attendance of each participant.
If you are making travel plans to come to Austin, we recommend making "refundable" air and hotel reservations or waiting until 14 days before the class to actually book your reservations. Courses are occasionally canceled or rescheduled due to low enrollment. We determine whether a course has enough participants 16 days prior to the course date. If we cancel or reschedule, we will email the participant and his or her billing contact no later than 14 days before the original class date.
To see answers to our Frequently Asked Questions, visit Texas State Auditor's Office - Professional Development FAQs