September 2002

Tuesday, September 24, 2002
CityPlace Conference Center

Lunch Meeting 12:00pm
Registration begins at 11:30am

Conquering the New Professional Practices Framework

Did you know that all internal auditors, whether or not they are members of The Institute of Internal Auditors, are strongly encouraged to adopt the new Standards for the Professional Practice of Internal Auditing? IIA members and Certified Internal Auditors agree to follow The IIA's Code of Ethics, which requires compliance with the Standards. The mandatory implementation date for Standards released in December 2000 was January 1, 2002, and the mandatory implementation date for the new consulting standards was July 1, 2002. Those Standards are an integral part of the new Professional Practices Framework published this past April.

To help all of us in the Dallas Chapter of IIA improve our understanding of the new Framework, Veronica Johnson, IIA Chapter Relations Manager from Orlando, Florida, will be providing us with a briefing at the luncheon meeting. Veronica is a CIA and has traveled the United States helping auditors and audit departments with the implementation of the new Framework and the new Standards. Please join us to hear Veronica provide guidance on how "consulting" has changed the auditor's traditional role.

Pre-Meeting 10:30am

We're Going To Do What?
IIA's New Governance Plan

In December 2002, all IIA members around the world will have a chance to vote on the proposed changes to The Institute's governance structure. For more than three years a team of IIA volunteer and staff leaders from around the globe has worked tirelessly on a plan to modify the current structure of The IIA while preserving and enhancing the good work that has been accomplished historically through The Institute. One of those leaders who has worked so diligently on the plan has agreed to share some time with us, at the pre-meeting on TUESDAY, September 24, to provide an overview of the changes and the impacts to us. Steve Goepfert is coming all the way from Houston, where he is the Chief Audit Executive of Continental Airlines and a member of the Houston Chapter. He also is the Southern Regional Director on the Board of Directors of The IIA and a CIA. He serves on the North American Advisory Committee and Global Advisory Committee of The IIA (volunteer position).

Post-meeting 1:30pm

So You Think You Want a QAR?

What IS a 'QAR'? For the past 15 years, The IIA has been performing external Quality Assurance Reviews (QARs) for public and private sector organizations, large and small, in all parts of the world. The IIA uses a team of internal auditors led by a project manager and assisted by volunteers who are currently working (or recently retired) in the profession. The QAR team evaluates the efficiency and effectiveness of internal audit organizations, points out possible "best practice" applications, and determines compliance with the revised Standards for the Professional Practice of Internal Auditing and other relevant organizational and departmental policies and procedures. At the post-meeting we will have a panel of practitioners who have either served on team who performed an external QAR or who have received a QAR on their audit department in the past. They will share their experiences of the QAR process, along with lessons learned.

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

Preferred Method:

The best method to place and confirm your reservation is via the web site at http://www.dallasiia.org/Reserve.htm.

Secondary Method:

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.

Reservations must be received by noon on Friday, September 20, 2002 or a $5 late fee will be charged. Reservations will close promptly due to the Tuesday meeting.

We reserve the right to bill for "no-shows."

Please mark your calendar these meeting dates for the 2002-2003 chapter year:

• October 15, 2002
• November 19, 2002
• December 19, 2002
• January 16, 2003
• February 13, 2003
• March 20, 2003
• April 17, 2003
• May 13, 2003

Chapter Seminars

Control and Risk Self Assessment
Facilitation & Implementation Skills

November 6, 7, & 8

Space is limited… register now…

The Dallas Chapter of the IIA is presenting a 3-day seminar on facilitation skills for auditors taught by Joan Pastor, founder of Joan Pastor & Associates International, an international consulting company. Control and Risk Self Assessment Facilitation & Implementation Skills will teach you the responsibilities and skills of the auditor as facilitator and teacher of self-assessment methodology. This program has been carefully designed to integrate facilitation, leadership, and communication skills within the specific needs of the auditing profession. This program is also highly participatory, allowing all attendees the opportunity to practice, refine, and reinforce the facilitation skills you have learned.

You will learn:

• Effective facilitation skills and the role of the facilitator in self-assessment auditing
• How to deal with difficult audit clients and manage conflict
• How to open and close self-assessment meetings
• How to feel comfortable in front of a group
• How to influence the group to cooperate with you and to work together as a team
• How to keep yourself and the group energized through the self-assessment process
• How to handle people of mixed authority levels in the same group

In addition,

• Training fulfills facilitation requirements for CCSA
• CIA candidates who have successfully completed the examination requirements for the CCSA are eligible to receive Professional Recognition Credit for Part IV of the CIA exam.For more information, go to theiia.org's certification page.

Make Checks payable to IIA Dallas Chapter and mail to:

Anthony Palmieri
6501 Legacy Drive
Mail Stop # 4321
Plano, Texas 75024-3698
apalm6@jcpenney.com

Cancellation Policy: No refunds will be given after October 8, 2002. Register today to save $100. Space is limited!

All About Joan

Joan Pastor is president of JPA International, Inc., an organizational consulting company with offices around the world. She acts as a consultant on the "people" aspect of business to corporations, and has been a professional speaker, trainer, seminar leader, and organizational development specialist for over twenty years. She has taken a number of organizations through complete redesign and company-wide change in order to be more efficient, competitive and proactive, especially in global markets. Joan has over 20 years of experience facilitating groups to determine, define and improve their work procedures and departmental processes, including projects and conferences associated with and involving the White House and very senior officials in our government and other governments around the world. She assists senior management groups regularly on their strategic planning efforts.

JPA's Expertise with the Audit Profession

Joan has been working with auditors around the world since 1987. In 1988, she traveled to Hong Kong and Japan on sponsorship from the Institute of Internal Auditors and Coopers and Lybrand. This project was to conduct interviews and gather specific research on cross-cultural comparisons between auditing in Asian Cultures as opposed to the United States. She worked extensively with the International Commission Against Corruption on innovative methods in interviewing techniques with personalities that are a high risk for fraud. Joan's work in the auditing field focuses on the consultative and value-added methodology in audit approaches, including Risk Enterprise Management (REM) and Control & Risk Self-Assessment (CRSA) methodologies, internal negotiations and communication skills, operational skills, quality and customer-service skills, and the presentation skills needed in the non-technical areas of their work. Joan has been a frequent speaker and seminar leader for a number of chapters and conferences for the Institute of Internal Auditors, as well as for the MIS Training Institute, the BIA, ICBI-Europe, AHIA, and the EDPAA. Besides Joan's work in BSA*, she and her associates have developed, and continue to provide, in-house audit training programs and consulting services to a number of internal auditing departments and accounting firms over the years, including: Ford Motor Co., Sempra Energy, Dresdner Bank, Pacific Telesis, Arthur Andersen, Compass Bank, and Levi Strauss. Joan's involvement with the Institute of Internal Auditors has been extensive.

Besides providing speaking and training services to many IIA chapters, she keynoted and provided breakout sessions at numerous IIA conferences, including:

1987 - 1999: Numerous IIA Regional Conferences in North America, including: Albuquerque, Dallas, New Orleans, Calgary, and Portland

1989, 1990, 1992, 1994, 1998, 2000 and 2002 (upcoming) IIA International Conferences

1991, 1993 and 1999 IIA South Pacific Conferences in New Zealand and Australia

1992 IIA South Africa Conference

2000 IIA Middle East Conference, United Arab Emirates

1994, 1998, 1999, 2000, 2001 IIA Business Practices Conferences on Control Self- Assessment Experience with Risk & Control Self-Assessment Methodologies

At least 50 different organizations are using Joan's facilitation training, including: Walters Industry, State Farm Insurance, Virginia Commonwealth University, Boeing, Arco, Praxair and numerous IIA chapters. Joan worked with Airtouch Communications, Branch Banking & Trust (BB&T), and Blue Cross/Blue Shield Audit Departments to develop the first and best BSA facilitation and consultation skills training courses available, and JPA is now fully equipped to assist audit departments design and implement CRSA or other innovative risk-based approaches from beginning to end. Joan and her associates have assisted with, or overseen, the implementation of REM and CRSA in numerous organizations ranging from the University of California system to the Metropolitan Transit Authorities to the Lower Colorado River Authority. JPA also participated in the development of the CCSA exam for the IIA.

Joan has two master's degrees and has practiced extensively as a psychotherapist. She has been a guest on a number of radio and television shows and has hosted her own radio show. Joan is the author of Women's Work and the recipient of numerous awards, including Certified Speaking Professional from the National Speakers Association, Outstanding Young Woman of America, and Who's Who is the East and West. She is a member of the Institute for Internal Auditors, the American Psychological Association and the Society for Industrial and Organizational Psychology.

IIA Southern Region’s District Conference

It's not too late to attend the IIA District Conference in Galveston, September 29 to October 1. For $495, you can receive up to 16 hours of CPE (including a session which meets the Texas CPA ethics requirement). A terrific program is planned with national-level speakers in both general sessions and four specific tracks. There will be great opportunities for networking and relaxation, too, as we enjoy the Moody Gardens grounds and their spectacular Rainforest Pyramid (one of three) for our dinner event on Monday night. Historic and scenic Galveston Island provides terrific opportunities for enjoyment before, during, and after the conference. The conference hotel is an easy 30-minute shuttle ride from Houston's Hobby Airport (a Southwest Airlines hub) and or 50 minutes from Bush Intercontinental Airport (a Continental Airlines hub).

For more information, go to http://www.houstoniia.org and click on the "Make It Happen" conference logo. There is a full conference brochure and a registration form available in pdf format. You can disregard the late fee.

Most important, however, is that you make your reservation ASAP at the Moody Gardens Hotel. This is a beautiful new resort facility which is a bargain at our conference rate of $126/night. But that rate will only be available while there is still room in the conference block. They can be reached at 888-388-8484.

If you have any questions, please contact Mike Peppers, District Conference Chairperson, at mike.peppers@utmb.edu or 409-772-2535.

The Houston Chapter looks forward to welcoming our district colleagues to a wonderful event in Galveston!

Chapter News

IIA Research Foundation

The Research Foundation’s newest publication is entitled Adding Value: Seven Roads to Success by James Roth. The purpose of the 467 page paperback publication (CD-ROM included) is to assist internal auditors in adding more value to their organizations by:

• Gaining a broad knowledge of current internal audit best practices;
• Identifying value-added practices and adapting them to their organization;
• Understanding the link between internal audit and organizational goals;
• Applying methodologies of thought leaders to their departmental process; and
• Uncovering innovative risk management processes and approaches.

The publication is currently available (order number 439, price is $90 for IIA members and $115 for nonmembers). It can be purchased through the IIA Distribution Center (toll free in the U.S. 1-877-867-4957).

Special Awards Received Last Year

The following members of the Dallas Chapter received special recognition in May from the Dallas Chapter for the 2001-2003 year.

CIA Exam

Why aren't you a CIA? The next CIA exam is just around the corner (November 20 & 21, 2002). Act now to register and begin your preparation. The registration deadline is September 30. See the international website at theiia.org for details or call 407-937-1111 for exam information. Every journey begins with a single step, take your first step today!

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."

Career Opportunities

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.

• Brad Bates (chair) 214-840-7364 bbates@deloitte.com
• Fred Herman 214-273-0877 fherman@dynacare.com
• Rene Scott 972-855-4371 rscott@komen.com