Course Information
Auditing Essentials
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
This engaging course will jump-start your auditing career, covering all that newer hires need to know to get off “on the right foot”—including, among other things, ethics, planning audits, collecting and analyzing data, standards and tests of evidence, and report writing.
Upon completion of this course, participants will be able to:
Course Objectives
Overview
Module 1: Understanding the Importance of Being a Public Servant
Module 2: Ethics
Upon completion of this module, participants will understand and be able to apply the five ethical principles discussed in the Yellow Book.
Module 3: Audit Planning
Upon completion of this module, participants will:
· Understand that planning audits effectively is critical to performing high-impact audits
· Understand critical components of audit plans, including the objectives, scope, and methodology
Module 4: Crafting Sound Audit Objectives
Upon completion of this module, participants will:
· Understand that audit objectives drive the success of data collection and analysis efforts and ultimately findings, conclusions and recommendations
· Understand the concepts of “findings”, “conclusions”, and “recommendations”
· Be able to define the elements of a finding
· Understand the components of well written objectives
Module 5: Tests and Types of Evidence
Upon completion of this module, participants will:
· Understand the “Yellow Book” standards for “tests” and “types” of evidence
· Understand the strengths and shortcomings of each type of evidence (i.e., physical, documentary, and testimonial)
Module 6: Collecting Evidence
Upon completion of this module, participants will:
· Learn that auditors address audit objectives by collecting “evidence”
· Identify a variety of ways by which auditors typically collect evidence
· Understand the components of sound questionnaire design
Module 7: Unstructured Interviews
Upon completion of this module, participants will understand and be able to apply sound interviewing techniques.
Module 8: Communicating the Results of Audit Work in Writing and Orally
Upon completion of this module, participants will, among other things:
· Understand the key components of audit reports
· Be able to apply tools for writing audit reports, e.g., deductive writing, active voice, charge paragraphs and topic sentences
· Understand the importance of exit conferences
· Be able to understand and apply tools and techniques for presenting findings orally
Module 9: Documenting Evidence
Upon completion of this module, participants will, among other things understand what evidence gets documented, audit documentation principles, and components.
Module 10: Quality Control
Upon completion of this module, participants will, among other things, understand the importance of:
· Indexing audit evidence
· Referencing (or fact checking) draft reports
Module 11: Final Remarks
Instructors
Owner of Carole Buncher and Associates: The Competency Company, Ms. Buncher is dedicated to providing role-model, client-focused training and consulting to public and private-sector customers. She has 23 years' distinguished service with US Government Accountability Office (GAO) analyzing public programs and policies, and has provided customer-centered services to the US Department of Transportation, US Government Accountability Office, US Department of Homeland Security, US Department of Veterans Affairs, US Department of Health and Human Services, US Department of Energy, State of Delaware, and City of Philadelphia, among others.
Ms. Buncher is a highly motivated, energetic trainer with experience in training thousands of adult students as well as designing, developing and evaluating courses. Ms. Buncher is a principal instructor for GAO's International Fellowship Program and received a faculty excellence award from Graduate School USDA. As owner of Carole Buncher and Associates, Ms. Buncher is frequently sought after to deliver addresses at conferences, including the Association of Government Accountants' regional and national conferences as well as the Midwest and Southeast Intergovernmental Audit Forums.
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.
The course coordinator will contact you with parking information. Handicapped parking is free at the meters around the downtown area.
Vending machines with Coca-Cola products and various snack items are available. There is also a refrigerator and microwave in our coffee bar area. Feel free to bring in your own drinks and food if you prefer.
You might want to bring a light sweater or jacket, as room temperatures vary.
To see answers to our Frequently Asked Questions, visit http://www.sao.texas.gov/training/faq.html.