November Meeting
Thursday the 1st
Cityplace Conference Center
 Improving Department Quality
Joint Meeting with the
Dallas Chapter of the Association of Government Auditors
Meeting 12:00pm - 1:20pm
Registration begins at 11:30pm
Value Added Audits
Steve Goepfert, VP Internal Audit, Continental Airlines
The challenge for Internal Audit to be “value-added” is integral to
the success of the function in the post Sarbanes-Oxley era. In this
session you will learn some of the innovative approaches Continental
Airlines has implemented to create and add value to its
organization’s bottom-line. Mr. Goepfert will take you on a guided
tour of the best practices used by their IA Department to add value
and provide top-notch assurance services. This address will
highlight specific audit tools and techniques to add value
including:
- Employee benefits exams
- Third-party vendor audits
- Construction audits
- Officer compensation and expense reviews
- Recruiting and retaining the best staff
- Using QARs to assess value-added practices
 Steve Goepfert, CIA, CPA is the Staff Vice President - Internal
Audit (Chief Audit Executive) for Continental Airlines in Houston,
Texas. He has been the Chief Auditor since June 1989.
He is the immediate past Chairman of the Board for the Institute
of Internal Auditors, Inc. (IIA) for 2006-2007. He previously served
as Senior Vice Chairman and Vice Chairman – Professional Services
and is a past President of the Houston Chapter (1999-2000), and
served on its Board since 1994. Steve has held industry audit posts
including Chairman of the International Association of Airline
Internal Auditors (IAAIA) in 1996 and Chairman of the Air Transport
Association of America (ATA) Audit Panel in 2003.
Steve also serves on the Texas A&M and Southern Illinois
University at Carbondale Accounting Advisory Councils, and
previously served on a similar Council at the University of Texas at
Austin.
A CIA and CPA, Steve graduated with highest honors from Southern
Illinois University. He started his career with the Big 8 firm of
Coopers & Lybrand, where he worked for over 5 years.
1 Hour Continuing Education
Make your Reservation On line!
Pre-Meeting 10:30am - 11:30am
The SOFT Approach to Auditing - How Internal Audit
Can Make the Most of AS No. 5
Danny M. Goldberg, Director of Internal Audit, Tyler Technologies, Inc.
In today’s current business environment, many internal audit
departments have been afforded the task of Sarbanes-Oxley testing.
At first, SOX was a welcome addition, putting the spotlight, in many
respects, on internal auditing. Over the past year, the stigma
behind this compliance testing has become somewhat negative and
thought to be very redundant. AS5 was passed in 2007 and can
rebalance the effort and time internal auditors have allotted to
pure Sarbanes Compliance.
In order to take full advantage of this changing landscape, audit
departments must become very proactive in grasping these new
initiatives. By decreasing Sarbanes auditing, IA departments can
refocus their energies on more value-added services, including
operational/financial auditing. Additionally, how can we integrate
audit approaches and gain efficiencies from the inherent synergies
in these audits? How can we combine the numerous audit approaches
into one integrated approach and can efficiencies from the synergies
between these audit approaches? An integrated S.O.F.T. (“SOFT”)
audit is an efficient vehicle where financial, compliance, and
operational objectives intersect and the most relevant and material
tests are completed based on a comprehensive risk and cost/benefit
analysis.
 Danny M. Goldberg, CPA, CCSA
is the Director of Internal Audit at Tyler Technologies in Dallas.
Mr. Goldberg started the internal audit department at Tyler and also
assisted in the establishment of the SOX compliance department at
Tenet Healthcare. Danny began his career at Arthur Andersen and is a
graduate (BS – Accounting, 1997, MS – Finance, 1998) of Texas A&M
University.
Mr. Goldberg serves on the board of directors of a non-profit
organization and is a member of the American Institute of Certified
Public Accountants, the IIA, Information Systems Audit and Control
Association and the Texas Society of CPA's. Mr. Goldberg's article,
"The SOFT Approach to Auditing," appears in the August 2007 issue of
the Internal Auditor and discusses the positive affects AS5 can have
on internal auditors.
Mr. Goldberg is currently scheduled to speak at seven IIA chapters
around the United States on this subject in 2007-2008. He has also
been invited to speak at the IIA’s General Audit Management (“GAM”)
Conference in Las Vegas from March 17-19, 2008.
Mr. Goldberg is accredited as the professional commentator on the
forthcoming publication, BNA Tax and Accounting Portfolio, Internal
Auditing: Fundamental Principles (Accounting Policy and Practice
Series). Mr. Goldberg is also commissioned to author the
anticipated portfolio, BNA Tax and Accounting Portfolio, Auditing
Internal Controls (Accounting Policy and Practice Series).
WWW.THESOFTAUDIT.COM
1 Hour Continuing Education
Make your Reservation On line!
Post-Meeting 1:30pm - 2:30pm
Risks Assessments - Internal Audit's Role
Steve Goepfert, VP Internal Audit, Continental Airlines
In this session, you will hear the steps IA at Continental Airlines
is taking to evaluate risk in its auditing environment. You will
cover points of vulnerability and how to effectively identify and
assess risk. You will learn the approach that Continental Airlines
uses in assessing risk in its corporate, field and systems areas and
how these are incorporated into its overall audit plan.
The
session agenda:
- Details the 8 risk factors identified for field
exams
- Highlights the corporate risk factors’ “matrix” used by the IA
function to display corporate functional risks
- Identifies the
approach used to ascertain where in systems development and
applications review the department should concentrate
- Demonstrates
the results of the risk assessment approach and the “confirmation”
of its success in highlighting exposures in the organization
- Displays how the assessment is communicated to senior management and
the Audit Committee
1 Hour Continuing Education
Make your Reservation On line!
 
This meeting is being held at
Cityplace Conference Center
2711 North Haskell Street
Dallas, Texas 75204 |
