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Conducting Virtual Audits

Date(s): Sep 29, 2020 - Oct 01, 2020
Time: 8:00AM - 12:00PM
Registration Fee: $369.00
Cancellation Date: N/A
Location: Online

Course Description

The CDC has announced that it is anticipated that COVID-19 issues will remain in place for the next 18-48 months depending on the availability of treatments and vaccines for the US population. Employers will legally have to accommodate ‘at risk’ populations impacting auditors and auditees all over the US.

 

This timely course will train auditors on how to complete compliant audits virtually and securely in the ‘new normal’ of auditing during COVID-19. We will also cover legal liabilities of the audit organizations towards the auditees and how to minimize those risks.

 

Auditors will leave with a clear path forward to take to their agencies and private auditing organizations to continue auditing during these challenging times.


Potential CPE Credits: 12.0
Govt Hours: This class meets 12.0 hours of the 24-hour requirement for governmental CPE under Government Auditing Standards (yellow book), in most cases.
Technical Hours: This class meets 12.0 CPE credits of technical training in compliance with Texas Admin. Code Rule 523.102.

Instruction Type: Live
Experience Level: BEGINNING
Category: Auditing

Course Objectives

Upon completion of this course, participants will be able to:

 

·         Assess each audit for ability to complete virtually and securely by client

·         Prepare audit plans and meetings in a virtual environment

·         Lay out the audits in a virtual dashboard and template to ensure that the auditee and the auditors are clear on process

·         Determine if any onsite time is required

·         Get agreement from all parties to audit virtually

·         Have a process to gather the required information virtually

·         Layout for conducting each part of the audit process virtually by phone or video meeting formats

·         Step by step approach to complete the audit start to finish virtually

·         Challenges and solutions to common virtual auditing issues

 

 

Part 1: Can you complete a virtual audit

·         How to assess the ability to complete audit virtual

·         Submit paperwork to verify with client process and paperwork

·         How to obtain approval

 

Part 2: Virtual audit plans and timeframes to complete

·         How a virtual audit flows vs. F2F audits

·         Virtual audit plans

·         Virtual audit paperwork

·         Liabilities and limitations of virtual audits

·         Gaining agreement from all parties to audit virtually

 

Part 3: Managing the audit virtually between you, client, and your reporting chain

·         How to lay out audits utilizing common platforms and software systems accepted by most organizations and agencies

·         Creating audits in a virtual dashboard and managing clients and teams

·         Creating customized templates to ensure that the auditee and the auditors are clear on process

·         Determining if any onsite time is required

 

Part 4: Laying out the process, metrics and checkpoints virtually

·         Layout for conducting each part of the audit process virtually

·         Phone or video meeting agendas, formats, audit questions, etc.

·         Step by step approach to complete the audit start to finish virtually

·         Challenges and solutions to common virtual auditing issues

 

 


Instructors

Elizabeth Frisch

Elizabeth Frisch, Founder and CXO of The Thrival Company is a chemical engineer with over 25 years of experience leading business performance, engineering, organizational development and auditing programs.  She has conducted audits as a Lead Auditor and Audit Manager and been a trainer of auditors and auditing teams for more than a decade.  During her career she has worked with over 50 different industries, all levels of local, state, and federal governments as well as NGOs/NPOs.  She is the published author of Mission to Million$ - Taking Big Ideas and Making Them Reality (Available on Amazon.com). She is nationally recognized for developing a unique and trademarked approach to performance and behavior-based auditing as well as created a unique interviewing method called “The General to Specific Approach to Interviewing Effectively” which she teaches auditors during her training events.

 

Elizabeth has worked for an ISO9000/ISO14000/ISO18000 auditing registrar and in that capacity was responsible for auditing dozens of companies including U.S. military installations, pharmaceutical, oil and gas, power companies and research and development labs. While employed by the Texas Commission on Environmental Quality (TCEQ), Elizabeth developed the initial rules implementing their Clean Texas performance-based auditing program and worked extensively with the U.S. Environmental Protection Agency (USEPA) in aligning the TCEQ program with the EPA’s auditing program. Elizabeth has also developed a culture-change approach to auditing, implementing, and training companies internal audit teams for using audits to drive business performance.  This unique training approach focuses on 1) developing an audit approach that fits how an entity conducts business and aligns with strategic goals, 2) teaching personnel how to audit in a way that changes organizational culture and engages management to support continued high performance, and 3) identifying opportunities and measuring successes of the audit in business terms. 

 

She is a trained facilitator and has facilitated hundreds of retreats, events, training courses and workshops and is a keynote speaker on the topics of leadership, teams, auditing, and business performance.  She frequently works as a high performance executive leadership coach and is often hired to facilitate difficult dynamics and contentious meeting situations.  Her work in the for profit, non-profit, and governmental arenas allows her to bring a broad and unique perspective on how to combine the best practices in each model of business to create organizations that deliver on their vision and mission and have fun doing it!  From the plant floor to the top floor, Elizabeth is just as comfortable in a hard hat and boots as working with boards and C-level management.  In 2014, she was a Top 3 Finalist for the Austin Chamber of Commerce Small Business Leader of the Year out of hundreds of nominations for this award.

 

In her philanthropic pursuits, she is a donor and Development Chair for Impact Austin which is one of the largest women’s collective giving charities in the nation. Impact Austin has funded more than $5MM of projects making a huge impact in her hometown of Austin, Texas. She also works as a Senior Trainer for A Nurtured World, a 501(c)(3) non-profit best known for its 1house at a timeTM program which was awarded best “Learning in Action” in 2010 and “Best Sustainable Future Today” by the Austin Chronicle Best of Austin Awards for renovating low income homes to be utility efficient allowing low income homeowners to keep their homes.

 

Elizabeth jokes she is a ‘recovering engineer’ as she holds a degree in Chemical Engineering from Purdue University and used these skills to become a business performance systems auditor.  Having worked in so many realms, Elizabeth brings an insightful, broad-reaching and often humorous perspective on human nature and behaviors to each group she works with.

Evaluations of Elizabeth’s training to thousands of people across the U.S. has returned a result that 99.9% of them would refer others to her training events and as a consultant for their business performance program challenges!


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.