Yes, it is finally getting warmer!
almost time to plant
flowers and enjoy spring in Texas.
Highlights for the month include the following:
- April 17, 2003 - Monthly Meeting at CityPlace. This is our annual joint
meeting with the Fort Worth Chapter. We will be discussing effectively communicating audit
results and report writing. There is probably nothing more important in an auditors
professional life than effectively communicating our findings. Do your long-term career a
attend the meeting and learn from the very best ideas and practices out there!
- April 16, 2003, - Annual Almost Free Seminar at the JCPenney Home
Office. Dan Kneer will present Audit Smarter, Not Harder. Take advantage of
the lowest cost and highest quality CPE opportunity of the year! The Dallas chapter
subsidizes the majority of the costs associate with this event as a way to say
thanks to the members of our great chapter.
If you are interested in hiring a qualified summer intern in your internal audit
department, please contact Ray Clay at 940-565-3093. Dr. Clay has several exceptional
Masters degree candidates from the University Of North Texas Internal Audit program.
In closing, I hope to see you all at our monthly meeting on April 17th and at the
Almost Free Seminar on April 16th. Remember the DART rail is a great way to
get to our meetings. It stops in the basement of CityPlace.
Your Chapter President,
David Price, CIA, CPA, CISA
Thursday, April 17, 2003
CityPlace Conference Center
Joint Meeting with
Fort Worth Chapter of the IIA
Lunch Meeting 12:00pm
Registration begins at 11:30am
404 Implementation Planning: An Overview
Presented by Chris Williams and Maanasa Maddali
As part of an overall discussion regarding 404 implementation planning, a few key
topics specifically covered will address the following questions:
- 404 readiness process:-what are the roles and responsibilities relative to key tasks?
(including Internal Audit's role in this process)
- Project Planning: what are the key points to address and consider before and during
- Coordination with External Audit Teams: when and how much does the external audit team
need to be involved?
- Documentation Efforts: Where should documentation efforts be focused?
Chris Williams is a Senior Manager in the Global Risk Management
Solutions practice of PricewaterhouseCoopers. He provides Information Systems and Business
Process Controls Services and Third Party Assurance Services for clients in the Technology
Industry. He has over nine years experience serving both public and private sector
companies. Prior to his emphasis in IT audit, Chris spent four years performing a variety
of financial and regulatory audits in the firm's Audit Practice. Currently, Chris is a
regional champion designated to lead the implementation of the Internal Control Workbench
- a tool designed to assist companies in the documentation and assessment of internal
controls as required by the Sarbanes Oxley Act of 2002.
Chris earned a Bachelor of Business Administration degree in Accounting from Stephen F.
Austin State University. He is a Certified Public Accountant in the State of Texas and is
a member of the Texas Society of Certified Public Accountants and the Information Systems
Audit and Control Association.
Maanasa Maddali is a manager in the Global Risk Management Solutions
practice of PricewaterhouseCoopers. She provides Information technology and Business
Process Controls services primarily to clients within the consumer products and retail
industry sectors. She has also assisted clients though major business changes including
business process redesign and technology strategy development. Most recently, Maanasa has
been part of a PricewaterhouseCoopers team that has designed and conducted workshops for
various clients that address the Sarbanes Oxley Act, the 404-readiness process, COSO, and
Maanasa earned a Bachelor of Business Administration degree in Management Information
Systems from Texas A&M University. She is a Certified Information Systems Auditor.
Tips for Successful Business Writing
Presented by Joan Clay
Written communication is one of the most important aspects of our jobs as auditors.
Poorly written emails or audit reports can significantly detract from our goal to improve
controls across our organizations as well as our credibility. Joan Clay has written and
instructed continuing education programs and developed a text, "Writing for
Understanding and Success" that has been used by the Texas Society of Certified
Public Accountants in its continuing education classes. Joan will guide us on how to be
more aware of our writing skills and styles. She will discuss what is "good
writing" and "bad writing". She will also provide tips on how we can
improve our writing. Specifically she will communicate how we can better use organization
and editing to make our messages more clear. She will also demonstrate how simple,
accurate and efficient words can make our writing more effective.
Joan Clay is an Associate Professor and past chairperson of the
Hospitality Management Program in the School of Merchandising and Hospitality Management
at the University of North Texas. She received her bachelor's degree in Biology and
Mathematics from Northern Illinois University, master's degree in Biology from Indiana
State University, and doctorate in Management from the University of North Texas.
She has held faculty positions in business schools at Texas Tech University and College
of St. Mary in Omaha, Nebraska. Her research has resulted in over 19 publications in noted
academic and practitioner journals. Her publications appearing in the "Cornell
Quarterly" have received praise from both the academic and professional community.
In addition to her research efforts, she has written and instructed continuing
professional education programs for many corporations and business organizations. Her
text, "Writing for Understanding and Success" was used by the Texas Society of
Certified Public Accountants in its continuing education classes
Communicating Results Effectively
Communicating the results of our audits to management can be one of the most important
activities of an audit. Poor communication can lead to frustrated and confused readers and
auditees. Likewise good communication could lead to informed auditees taking ownership for
resolving issues that were identified in the audit. There are as many ways to report
results as there are audit shops. At this meeting we will have a roundtable from audit
managers from several different companies including Texas Instruments, JCPenney and Lennox
to discuss their methodologies for communicating results. Participation from the audience
should bring out more ideas we can take back to our companies.
This meeting is
being held at CityPlace Conference Center.
The DART light rail station at CityPlace serves both the RED
and BLUE lines. Check for schedules, routes and fare
information at http://www.dart.org/default.asp
The best method to place and confirm your reservation is via the web site at http://www.dallasiia.org/Reserve.htm.
An optional method is to use the telephone, fax, or e-mail. However, a $2
phone/fax/e-mail fee will be assessed to each reservation.
|Meeting / Luncheon Fees:
IIA Members: $25
Walk-ins (members or non): $30
Phone/Fax/E-Mail Fee: $2
Reservations must be received by noon on Friday, April 11, 2003
or a $5 late fee will be charged.
We reserve the right to bill for "no-shows."
Please mark your calendar these meeting dates for the balance of the 2002-2003 chapter
We Now Accept Credit Cards - Online Only
The IIA Dallas Chapter, in conjunction with PayPal, will now accept payment online for
the monthly luncheons. There is no change in the cost to you for the lunch. We accept
VISA, MasterCard, Discover, American Express, or eCheck. Note that some corporate-issued
cards are not accepted by PayPal. This service is only available online at the time the
reservation is made. This can be used to pay for individual or group reservations. Follow
the instructions on our website. If you properly cancel a reservation before the meeting,
the Chapter will either return the funds to you or reserve you for the next meeting. Any
questions, contact Lynn Allsup, Treasurer, 214-559-1630 or Lynn.Allsup@RepubLink.com.
After you place your reservation online, you will see the link to pay via
PayPal if desired.
SOFTWARE! SOFTWARE! SOFTWARE!
Tight audit budgets getting you down? Well, relax, my friend, as there IS A LOT OF
GREAT SOFTWARE out there that can really help you. The Dallas IIA presents:
This seminar will expose you to a ton of software useful in your everyday job. And,
many of the packages are FREE. Regardless of your audit emphasis (I.T. audit, general
audit, financial audit, compliance audit, regulatory audit, fraud audit or contract
audit), you WILL come away from this class with new audit tools.
Now lets get specific. Packages demonstrated in this course cover the range from
looking for unrecorded transactions to calculating IP addresses. Well
look at user-friendly statistical sampling software as well as packages, which
automatically read code and flowchart the application (and point out control points).
Other software looks for anomalies in data, or allows for real time triggers.
The teacher, Dr. Dan Kneer, just had an article published in the ISACA Journal on the
need for and how to build a continuous assurance/real-time monitoring system. Also, he has
been the #1 rated speaker, numerous times, at the IIA International Conference. In this
class, you will see, first-hand, how to build such a system with software that you already
Lets talk about software that you already have. Ever looked at the Analysis
Tool Kit in Excel? Its LOADED with tools that you could use for Control Self
Assessment and I.T. Governance. Dr. Dan will also show you how to build a
GUI-based CEO/CFO/CIO Dashboard.
Come along on this fantastic journey. Lets have a lot of laughs, and learn LOT!
||Wednesday, April 16, 2003
Time is running out! Register Today!
||8:00 A.M. to 4:30 P.M.
||JCPenney Legacy Office (Highway 121 & Tollway)
|IIA Member Cost:
$50 includes next day lunch meeting
Ft Worth Members: $200
Non-IIA Member Cost: $350
Dr. Dan Kneer
Dr. Dan C. Kneer and Associates, Inc.
Dr. Dan Kneers amateur computer crime prevention career started in the early
1970s when he hacked (it was pre-approved) into the management simulation game in
college (as a system test). Dr. Dans professional computer security
career started at Deloitte & Touche, in San Francisco. His national award winning
Ph.D. thesis in 1981 predicted security issues in decentralized or distributed processing
(the precursor to client/server). Dr. Dan served as the National Director of
Research of the (then) EDP Auditors Association (now ISACA) and he initiated the Research
Monograph Series editing Monograph #1 Computer Assisted Audit Techniques. He has taught
many CAAT's packages including ACL and IDEA. He also was involved with the EDPAFs
Control Objectives (the father document of the CobiT). Dan served
on the Arizona Society of CPAs Audit Standards Committee and was involved in the content
of SAS 47, SAS 48, and SSAE 1. He also provided advice to the AICPA on SAS 55. Dr. Dan
co-founded the Masters Degree in Computer Auditing at Arizona State University (the
largest program of this type in the nation). He has won college-teaching awards in each of
the last three decades. Dr. Dan has ranked in the top 5% of speakers at every
conference for which he has made presentations.
His specialty is the application of computer control and security, and computer
auditing. He is the worlds biggest believer in real-time monitors and analytics.
Doc stresses a process focus and the mindset of a
value-added consultant. Dan says match the control and security to the
clients business model.
Dr. Dan has been assisting the Big-5, internal audit shops, and governmental auditors
for over 21 years. His clients include the Fortune top 50 and numerous Inspector
Generals Offices, State Auditors Offices, Attorney Generals Offices and
Law Enforcement Agencies. Dans IT security cases are utilized on 5 continents.
Dr. Dan was hired by PricewaterhouseCoopers in the 1980s to assist in the design
and deployment of their CAG (Computer Audit Group) practice. Dan has also taught at the
Becker Center (Ernst & Youngs National training faculty) and St. Charles,
Illinois (Arthur Andersens National training faculty). Doc consulted
with Andersen Worldwide regarding the subsequent split of AA and Accenture.
Dan is a renowned speaker and has delivered talks at such famous venues as 1) Caesars
Palace, 2) the Washington D.C. National Press Club, 3) the Downtown New York Athletic Club
(home of the Heisman trophy), 4) the grand ballroom at the Waldorf-Astoria Hotel, 5)
Madison Square Garden, and 6) the Palace de Concorde (Paris).
Dr. Dan assists many organizations in internal fraud analysis, forensic accounting,
litigation support and asset recovery investigations. His proven techniques in data mining
have earned him praise from many agencies for his contributions to asset recovery and
revenue protection. Dan holds both a CPA certificate (1975; license is currently inactive)
Certified Fraud Examiner (1999).
Recent Accomplishments include:
- Completion of a three-year consulting project with the United States Postal Service
which saved $900,000,000 per year on bulk mail handling
both revenue protection and
cost avoidance (1994-1996)
- A Lifetime Achievement Award from the American Institute of Certified Public
Accountants for innovative teaching of technology. (1997)
- Assisting the Internal Revenue Service (Office of Inspector General) in developing a
statistical sampling policy and internal fraud investigation techniques. (1998)
- Acknowledgement by Courtenay Thompson (a well known fraud investigator) that
Dans regression analysis ideas for continuous process monitoring are the best
preventive medicine for fraud. (1997)
- Information Systems Audit and Control Association (ISACA) study on Model Curricula for
Computer Auditors. (1996-1998)
- The Governor of Arizona Award for Excellence in Education Design. (1996)
- A National Literary Award from Managerial Auditing (United Kingdom). (1997)
- Increased the Department of Defense Audit Agencies efficiency by 33% (several thousand
man-days of labor). (1999)
- Volunteered for President Clintons Computer Cyber-Terrorism Team. (2000)
- ISACA Editorial Review Board. (2000)
- Co-founded KPMGs Information Risk Management (IRM) University (1996-Present)
- A highly regarded Inspector General recently introduced Dan by saying all other
teachers I have ever seen (in 25 years) teach in black and white; Dr. Dan teaches in
Dr. Dan has extensive knowledge in:
- Computer Security
- Forensic Investigation
- Intrusion detection
- Data Mining
- Network Architectures & Security
Report Your Speaking and Writing
It's time again for the survey to determine which IIA Dallas Chapter members have
submitted articles or spoken during March, or earlier if not previously reported. Each
speaking engagement on internal auditing that a Dallas Chapter member completes will earn
the Chapter 1 credit per CPD hour. Each full article, Roundtable article, Fraud Finding,
etc. submitted that meets basic editorial guidelines will earn 5 credits. For each full
article published 20 credits are earned. Each internal audit related article published in
any other trade or professional journal that is authored by a chapter member is 5 credits.
To report your writing and speaking go to http://dallasiia.org/Speaking.htm
and complete the provided form by April 15, 2003. Contact Magdalena
Kovats (972-389-3344 or firstname.lastname@example.org)
if you have any questions.
Phone Call Opt Out
If you want your name removed from our reminder phone call list, go to the chapter
website. Click on the "Members" tab and then click on "Opt Out."
May Meeting -Frisco RoughRiders Baseball Game
Tuesday the 13th - Frisco, Texas
3:30 - Business of Minor League Baseball
Shellie Johnson, Vice President of Communications, Frisco RoughRiders
4:30 - Tour of Dr. Pepper/7Up Ballpark
6:00 - Dinner and Awards Ceremony 6:00pm
7:00 - Frisco Rough Riders vs. Arkansas Travelers
- Speaker and/or Tour only - $10.00
- All events - $15.00 (includes $5.00 meal ticket and ticket to game) - Family members are
|We need your reservation and payment by May 1, 2003
For more information and to sign up, go to http://www.dallasiia.org/May_03.htm.
Congratulations to New CIAs, CCSAs and CFSAs
New CIAs, CCSAs and CFSAs who passed the November 2002 certification
examination and met the rigorous requirements of the IIAs Certification Program
received their certificates at the Dallas Chapters March luncheon. In total, 45
designations for Certified Internal Auditor, Certification in Control Self-Assessment, and
Certified Financial Services Auditor were earned by Dallas Chapter IIA members. In
addition, new CIA Judy Willett was presented with the Certificate of
Honor for scoring in the top 25 of all candidates sitting for the CIA exam worldwide
following the Gold Medal and five Certificate of Excellence winners. Congratulations to
the following chapter members.
IIA Research Foundation
The IIA Research Foundation would like to bring to your attention a number of online
reports free to members. These reports are in the Foundations Projects area of the
IIA web site (http://www.theiia.org/ecm/iiarf.cfm?doc_id=285).
This is part of a new initiative from the Foundation aimed at bringing information to the
membership in a timely manner. The reports include:
- Research Opportunities in Internal Auditing - To understand the ramifications of, and
the opportunities from, the new corporate governance environment, ten well-known and
respected academics have written on the past, present and future of internal auditing.
These academics also outlined key questions that collectively present an ambitious
- Assessment Guide for U.S. Legislative, Regulatory, and Listing Exchanges Requirements
Affecting Internal Auditing - Key requirements of Sarbanes-Oxley, the SEC, and America's
stock listing exchanges are compared and contrasted in this 34-page analysis.
- Internal Auditor's Role in Corporate Governance
- Implementation Guide - Section 302 - CEO/CFO Certification of Disclosure Controls
- El Paso Internal Control Assessment Survey
- Sample Audit Committee Charter · Audit Committee Charter Issues Matrix
- Internal Auditing Relationships: Serving Two Masters - This report reviews the reporting
relationships of the chief audit executive as an integral part of the governance process.
At our April meeting, we will again be honoring our members with ten, and up to
thirty-five years of membership with The Institute of Internal Auditors. Please come out
and show them your support! Also, be sure to welcome our newest members.
Update Member Information In Real Time - Keep your member record current with our
real-time "Update Profile" feature. Using this interactive Web tool, IIA members
can make changes online and See the results on-screen immediately after submission. This
is the best way for you to ensure The IIA and your local chapter has the most accurate
information. Check your record now https://www.theiia.org/iia/profile/index.cfm.
|March 2003 Anniversaries
We will continue to honor Dallas Chapter Members at meetings and through the
newsletter as members reach their milestone anniversaries with The Institute.
Forest (Randy) Jones
Kelly S. Iske
Mary Beth Goodrich
Sue Ann Flor
Toni R. Messer
Valerie James Palmer
|March 2003 New Members
David V. Lam
Jane K. Armstrong
Steve N. Odell
Are you currently in the job market either voluntarily or involuntarily? Let the
Employment Committee help you. Send us your resume and we will include you in our resume
database. We receive calls from recruiters and hiring managers for open positions and will
forward your resume if there is a match. We get calls for staff to director levels, IT to
finance, local to out of town. All inquiries will be handled confidentially. If you have
any questions, we will have a table set up at the next chapter meeting, or give us a call
or e-mail us. We look forward to helping you.
||Exception Reporting Specialist
||April 2, 2003
- Partner with Operational Audit/Advisor team to produce ongoing reporting focused on
continuous audit through exception based reporting.
- Collaborate with Advisor team in determining effective report formatting to achieve
- Analyze reporting for trends and conclusions and communicate these effectively.
- Link data from multiple sources in order to produce reports.
- Generate and maintain scripts and queries for producing automated reports on a regular
- Generate Microsoft Excel pivot tables for data analysis.
- Report to the Restaurant Advisory Services Manager in Brinker Internationals
Corporate Review department (Internal Audit department).
- College degree or related job experience.
- Restaurant operations experience a plus.
- SQL query knowledge.
- Strong Microsoft Excel knowledge.
- Other Microsoft Office experience (Word, Access, Outlook).
- ACL experience a plus.
- Experience with Hyperion Essbase beneficial
- Experience with PeopleSoft, AS/400, ODBC, and SQL Server preferred
- Ability to achieve closure on assignments within deadline
- Excellent written and verbal communication skills.
- Ability to manage multiple projects and deadlines.
- Must be a team player, flexible, with ability to work independently.
Delong Consulting Services
SENIOR AUDIT CONSULTANT
Delong Consulting Services, the premier provider of internal audit and compliance
outsourcing services to financial institutions throughout the DFW area, is seeking a
professional with outstanding internal audit skills. The candidate will document and
evaluate controls, design audit programs, perform audit testing, and report the results to
management. The ability to communicate effectively with all levels of management and Board
of Directors is critical. Our focus is to provide added value to clients by recommending
practical and cost effective solutions.
Minimum requirements include extensive experience auditing financial institutions and
outstanding communication skills. Professional designations of CPA, CIA or CBA are a plus.
All of our clients are located in the DFW area, so overnight travel is minimal.
Excellent salary and benefits including life insurance, 401K with Company Matching
and paid vacation and holidays.
Please send responses to AuditConsultants@aol.com.