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2013 Internal Audit Capabilities and Needs Survey Top Priorities for Internal Auditors Speaker: Lark Scheierman.

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Presentation on theme: "2013 Internal Audit Capabilities and Needs Survey Top Priorities for Internal Auditors Speaker: Lark Scheierman."— Presentation transcript:

1 2013 Internal Audit Capabilities and Needs Survey Top Priorities for Internal Auditors Speaker: Lark Scheierman

2 © Following the webinar, all attendees will receive a link to a copy of the presentation and recording. During the webcast you can ask questions by clicking on the questions link at the top of your screen. Please provide your address for a swift reply. There will be a Q&A session at the end of the call. If you are having trouble hearing the audio through the computer, separate phone lines are available. International +44 (0) United States Conference ID If you are having trouble hearing the audio through the computer, separate phone lines are available. International +44 (0) United States Conference ID A Reminder… Speaker: Lark Scheierman

3 © CPE Credits and Supplemental Information We offer 2 CPE credits for this presentation. To be eligible to receive these credits, please ensure to: Answer four (4) out of the five (5) polling questions throughout the duration of this webinar. If you qualify for CPE, you will receive the course evaluation form. Click on the Attachments link to download the complete survey publication, view the info graphics and watch the video. The Attachment link also provides you the opportunity to benchmark yourself against the survey results. Speaker: Lark Scheierman

4 © Susan Haseley is a Managing Director and the Global Industry Leader for Protiviti's Healthcare and Life Sciences practice and also serves as the Dallas Office Market Leader. Susan has over 25 years of experience in providing risk consulting, internal audit and technology consulting services. Susan received her bachelor's degree in Information Systems from Ohio University and an MBA from the University of Dallas. She holds the Certified Internal Auditor (CIA), the Certified Information Systems Auditor (CISA), the Project Management Professional (PMP) certifications and is trained as a Six Sigma Green Belt. Susan is a member of the Internal Auditors Association (IIA), Information Systems Audit and Control Association (lSACA), and the Association of Healthcare Internal Auditors (AHIA). She also is a member of AHIP, HFMA, HCCA. Speakers David Brand is a Managing Director in Protiviti’s Chicago office. He leads the global IT Audit practice for Protiviti. He has over 15 years experience working with companies across multiple industries in the areas of IT Auditing, Computer Aided Auditing Techniques, audit formation, risk assessments and audit committee reporting. Speaker: Kevin Donahue

5 © Mike Fabrizius is Vice President of Audit Services for the Carolinas HealthCare System. He is a CIA, CPA and MBA. He has been active in the Association of Healthcare Internal Auditors (AHIA) in a variety of volunteer positions, including Chairman of the Board of Directors in Carolinas HealthCare System provides a full spectrum of healthcare and wellness programs throughout North and South Carolina. Its network of more than 650 care locations includes academic medical centers, hospitals, healthcare pavilions, physician practices, surgical and rehabilitation centers, home health agencies, nursing homes and hospice and palliative care. Speakers Speaker: Kevin Donahue

6 © Introduction – About the Survey Ongoing professional development is essential for today's internal auditors. They are: –Facing greater demands to improve organizational processes –Ensuring proper risk management and controls are in place –Required to stay informed on the changing dynamics of business and technology –Enjoying a broader range of career paths and opportunities –Innovative thinkers ready to meet a wide range of challenges Ongoing professional development is essential for today's internal auditors. They are: –Facing greater demands to improve organizational processes –Ensuring proper risk management and controls are in place –Required to stay informed on the changing dynamics of business and technology –Enjoying a broader range of career paths and opportunities –Innovative thinkers ready to meet a wide range of challenges Speaker: Kevin Donahue

7 © Introduction – About the Survey Protiviti conducted the survey from September 2012 through October 2012 The survey was divided into four major sections: –General Technical Knowledge –Audit Process Knowledge –Personal Skills and Capabilities –Social Media and the Audit Process Protiviti conducted the survey from September 2012 through October 2012 The survey was divided into four major sections: –General Technical Knowledge –Audit Process Knowledge –Personal Skills and Capabilities –Social Media and the Audit Process Speaker: Kevin Donahue

8 © Introduction – About the Survey Respondents were asked to rate: –Their competency in these areas on a scale of 1 to 5 –Indicate whether competency was adequate or needs improvement The survey also assessed the following: –Competency levels of CAEs –Differing needs by industries and business size –Three-year trends for CAEs and overall results Respondents were asked to rate: –Their competency in these areas on a scale of 1 to 5 –Indicate whether competency was adequate or needs improvement The survey also assessed the following: –Competency levels of CAEs –Differing needs by industries and business size –Three-year trends for CAEs and overall results Speaker: Kevin Donahue

9 © Internal Audit Capabilities and Needs Survey Publications Speaker: Kevin Donahue

10 © Overview – Topics of Focus General Technical Knowledge Audit Process Knowledge Personal Skills and Capabilities Social Media and the Audit Process Meeting Today's Challenges Q&A Speaker: Kevin Donahue

11 General Technical Knowledge Kevin to introduce this survey section and transition to the next speaker, David Brand

12 © General Technical Knowledge – Overall Results "Need to Improve" Rank Areas Evaluated by Respondents Competency (5-pt. scale) 1Social Media Applications2.7 2 (tie) Recently Enacted IIA Standards: Functional Reporting Interpretation (Standard 1110) 3.1 Recently Enacted IIA Standard: Audit Opinions and Conclusions (Standards 2010.A2 and 2410.A1) (tie) GTAG 16: Data Analysis Technologies2.8 Recently Enacted IIA Standard: Overall Opinions (Standard 2450)3.1 Cloud Computing2.7 4 (tie) The Guide to the Assessment of IT Risk (GAIT)2.7 GTAG 13: Fraud Prevention and Detection in an Automated World2.8 ISO (information security)2.4 COSO Internal Control Framework (DRAFT 2012 version)2.9 5 (tie) Practice Guide: Assessing the Adequacy of Risk Management3.0 GTAG 6: Managing and Auditing IT Vulnerabilities2.8 Fraud Risk Management3.4 Speaker: David Brand

13 © General Technical Knowledge – Three-Year Comparison: Overall Results Rank Social Media Applications IFRS GTAG 13: Fraud Prevention and Detection in an Automated World 2 Recently Enacted IIA Standards: Functional Reporting Interpretation (Standard 1110) Cloud ComputingISO Recently Enacted IIA Standard: Audit Opinions and Conclusions (Standards 2010.A2 and 2410.A1) 3 GTAG 16: Data Analysis Technologies GTAG 13: Fraud Prevention and Detection in an Automated World Penalties in Administrative Proceedings (§ 929P) Recently Enacted IIA Standard: Overall Opinions (Standard 2450) Cloud Computing 4 The Guide to the Assessment of IT Risk (GAIT) Fraud Risk ManagementSix Sigma GTAG 13: Fraud Prevention and Detection in an Automated World ISO (information security) COSO Internal Control Framework (DRAFT 2012 version) 5 Practice Guide: Assessing the Adequacy of Risk Management GTAG 16: Data Analysis Technologies Hedging by Employees and Directors (§ 955) GTAG 6: Managing and Auditing IT Vulnerabilities Fraud Risk Management GTAG 15: Information Security Governance No consistent top five items for all three years Speaker: David Brand

14 © General Technical Knowledge – Top 5 for CAEs "Need to Improve" Rank Areas Evaluated by RespondentsCompetency 1Social Media Applications2.7 2 Recently Enacted IIA Standards: Functional Reporting Interpretation (Standard 1110) 3.2 3COSO Internal Control Framework (DRAFT 2012 version)3.0 4 Recently Enacted IIA Standard: Audit Opinions and Conclusions (Standards 2010.A2 and 2410.A1) (tie) Cloud Computing2.7 ISO (information security)2.5 Speaker: David Brand

15 © General Technical Knowledge – Three-Year Comparison: CAE Results Rank Social Media Applications IFRS 2 Recently Enacted IIA Standards: Functional Reporting Interpretation (Standard 1110) Cloud Computing GTAG 13: Fraud Prevention and Detection in an Automated World 3 COSO Internal Control Framework (DRAFT 2012 version) GTAG 13: Fraud Prevention and Detection in an Automated World Penalties in Administrative Proceedings (§ 929P) Hedging by Employees and Directors (§ 955) 4 Recently Enacted IIA Standard: Audit Opinions and Conclusions (Standards 2010.A2 and 2410.A1) GTAG 16: Data Analysis Technologies GTAG 14: Auditing User- developed Applications GTAG 15: Information Security Governance 5 Cloud Computing International Financial Reporting Standards (IFRS) GTAG 3: Continuous Auditing ISO (information security) GTAG 12: Auditing IT Projects No consistent top five items for all three years Speaker: David Brand

16 © General Technical Knowledge – Company Size Breakdown RankSmall < $1BMedium $1B-9BLarge > $10B 1 Social Media Applications Recently Enacted IIA Standards: Functional Reporting Interpretation (Standard 1110) Social Media Applications 2 GTAG 16: Data Analysis Technologies Recently Enacted IIA Standard: Audit Opinions and Conclusions (Standards 2010.A2 and 2410.A1) Practice Guide: Measuring Internal Audit Effectiveness and Efficiency 3 IT Governance Recently Enacted IIA Standard: Overall Opinions (Standard 2450) Recently Enacted IIA Standard: Audit Opinions and Conclusions (Standards 2010.A2 and 2410.A1) Social Media Applications Recently Enacted IIA Standard: Overall Opinions (Standard 2450) Practice Guide: Assessing the Adequacy of Risk Management 4 The Guide to the Assessment of IT Risk (GAIT) Cloud ComputingISO (information security) 5 GTAG 13: Fraud Prevention and Detection in an Automated World ISO (risk management) GTAG 3: Continuous Auditing GTAG 14: Auditing User- developed Applications The Guide to the Assessment of IT Risk (GAIT) Circled items are consistent top five items Speaker: David Brand

17 © General Technical Knowledge – Healthcare Industry Results Kevin Donahue will introduce this survey section and moderate by asking Susan and Mike questions about the survey results.

18 © General Technical Knowledge, Overall Healthcare Industry Response "Need to Improve" Rank Areas Evaluated by Respondents Competency (5-pt. scale) 1Cloud computing2.8 2 (tie) GTAG 16 – Data analysis technologies2.9 ISO (information security)2.3 3 (tie) GTAG 17 – Auditing IT governance2.8 Social media applications3.1 4Fraud Risk Management3.7 5 (tie) Recently enacted IIA standards – Functional reporting interpretation (Standard 1110) 3.3 IT governance3.0 Speaker: Susan Haseley Kevin Donahue will moderate by asking Susan and Mike questions about the survey results.

19 © General Technical Knowledge, Healthcare Industry CAE Response "Need to Improve" Rank Areas Evaluated by Respondents Competency (5-pt. scale) 1 (tie) Recently enacted IIA standards – Functional reporting interpretation (Standard 1110) 2.7 Social media applications2.4 2 (tie) COSO internal control framework (DRAFT 2012 version)2.6 Recently enacted IIA standard – Audit opinions and conclusions (Standards 2010.A2 and 2410.A1) 2.6 GTAG 6 – Managing and auditing IT vulnerabilities2.4 GTAG 17 – Auditing IT governance2.5 ISO (information security)2.0 3 (tie) Recently enacted IIA standard – Overall opinions (Standard 2450)2.8 Cloud computing2.4 GTAG 5 – Managing and auditing privacy risks2.9 GTAG 12 – Auditing IT projects2.9 GTAG 15 – Information security governance2.7 The Guide to the Assessment of IT Risk (GAIT)2.4 IT governance2.7 Kevin Donahue will moderate by asking Susan and Mike questions about the survey results.

20 © General Technical Knowledge – Two-Year Comparison Cloud computingSocial media applications GTAG 16 – Data analysis technologiesCloud computing ISO (information security) GTAG 16 – Data analysis technologies GTAG 17 – Auditing IT governanceFraud risk management Social media applications GTAG 13 – Fraud prevention and detection in an automated world Fraud risk managementGTAG 3 – Continuous auditing Recently enacted IIA standards – Functional reporting interpretation (Standard 1110) GTAG 12 – Auditing IT projects IT governance Circled items are consistent between the two years Kevin Donahue will moderate by asking Susan and Mike questions about the survey results.

21 © Healthcare Industry-Specific Technical Knowledge Kevin Donahue will introduce this survey section and moderate by asking Susan and Mike questions about the survey results.

22 © Healthcare Industry-Specific Technical Knowledge – Overall Results "Need to Improve" Rank Areas Evaluated by Respondents Competency (5-pt. scale) 1Health information exchanges2.7 2Value-based purchasing2.6 3 (tie) ICD-10 implementation2.6 Payment bundling2.6 4 (tie) Accountable care organizations2.7 Clinical documentation2.8 ICD-10 impact and readiness2.5 Pay-for-performance quality standards (CMS core measures and HCAHPS)2.7 State-specific privacy/security laws2.7 Kevin Donahue will moderate by asking Susan and Mike questions about the survey results.

23 © Healthcare Industry-Specific Technical Knowledge – CAE Results "Need to Improve" Rank Areas Evaluated by Respondents Competency (5-pt. scale) 1 (tie) Health information exchanges2.4 Payment bundling2.5 2 (tie) ICD-10 implementation2.5 Pay-for-performance quality standards (CMS core measures and HCAHPS)2.6 Physician credentialing2.6 Value-based purchasing2.4 3 (tie) Durable medical equipment2.7 eDiscovery2.5 HIPAA Physician alignment and employment strategies2.6 Physician organizations2.3 Professional fee billing2.5 Quality of care2.3 Kevin Donahue will moderate by asking Susan and Mike questions about the survey results.

24 © Healthcare Industry-Specific Technical Knowledge – Two-Year Comparison Health information exchangesMeaningful use compliance Value-based purchasingHealth information exchanges ICD-10 implementationAccountable care organizations Payment bundlingElectronic health records Accountable care organizationsICD-10 readiness Clinical documentationCoding (CPT, ICD-9) ICD-10 impact and readinessPatient Protection and Affordable Care Act provisions Pay-for-performance quality standards (CMS core measures and HCAHPS) Clinical systems State-specific privacy/security laws Circled items are consistent between the two years Kevin Donahue will moderate by asking Susan and Mike questions about the survey results.

25 © Poll Question A.Social Media Applications B.Fraud Risk Management Technologies C.Cloud Computing In which general technical knowledge areas do healthcare internal auditors feel they are less competent, and need to improve the most? Reminder: Answer 4 out of 5 questions to qualify for CPE credit. Speaker: Lark Scheierman

26 © Poll Question A.Social Media Applications B.Regulatory Compliance C.ISO In which general technical knowledge areas do overall CAEs feel they are less competent, and need to improve the most? Reminder: Answer 4 out of 5 questions to qualify for CPE credit. Speaker: Lark Scheierman

27 Audit Process Knowledge Kevin Donahue will introduce survey section and transition to next speaker, David Brand

28 © Audit Process Knowledge – Overall Results "Need to Improve" Rank Areas Evaluated by Respondents Competency (5-pt. scale) 1 (tie) Data Analysis Tools: Data Manipulation3.3 Fraud: Monitoring3.4 2 (tie) Auditing IT: New Technologies2.9 Fraud: Fraud Risk Assessment3.4 3 (tie) Data Analysis Tools: Statistical Analysis3.3 Fraud: Fraud Detection/Investigation3.4 4 (tie) Fraud: Management/Prevention3.5 Computer-Assisted Audit Tools (CAATs)3.1 5Data Analysis Tools: Sampling3.4 Speaker: David Brand

29 © Audit Process Knowledge – Three-Year Comparison: Overall Results Rank Data Analysis Tools: Data Manipulation Continuous Auditing Fraud: Monitoring 2 Auditing IT: New Technologies Computer Assisted Audit Tools (CAATs) Computer-Assisted Audit Tools (CAATs) Fraud: Fraud Risk Assessment 3 Data Analysis Tools: Statistical Analysis Continuous Monitoring Data Analysis Tools: Statistical Analysis Fraud: Fraud Detection/Investigation 4 Fraud: Management/Prevention Data Analysis Tools: Data Manipulation Computer-Assisted Audit Tools (CAATs) 5Data Analysis Tools: Sampling Data Analysis Tools: Statistical Analysis Auditing IT: Program Development Circled items are consistent top five items Speaker: David Brand

30 © Audit Process Knowledge – Top 5 for CAEs "Need to Improve" Rank Areas Evaluated by Respondents Competency (5-pt. scale) 1Data Analysis Tools: Data Manipulation3.2 2Auditing IT: New Technologies3.1 3Data Analysis Tools: Sampling3.4 4 Computer-Assisted Audit Tools (CAATs)3.3 Data Analysis Tools: Statistical Analysis3.3 5Fraud: Fraud Risk Assessment3.7 Speaker: David Brand

31 © Audit Process Knowledge – Three-Year Comparison: CAE Results Rank Data Analysis Tools: Data Manipulation Computer Assisted Audit Tools (CAATS) Continuous Auditing 2 Auditing IT: New Technologies Continuous Auditing Data Analysis Tools: Statistical Analysis Data Analysis Tools: Data Manipulation Computer-Assisted Audit Tools (CAATs) 3 Data Analysis Tools: Sampling Data Analysis Tools: Data Manipulation Data Analysis Tools: Sampling 4 Computer-Assisted Audit Tools (CAATs) Continuous Monitoring Auditing IT: Computer Operations Data Analysis Tools: Statistical Analysis 5 Fraud: Fraud Risk Assessment Data Analysis Tools: Statistical Analysis Fraud: Monitoring Circled items are consistent top five items Speaker: David Brand

32 © Audit Process Knowledge – Company Size Breakdown RankSmall < $1BMedium $1B-9BLarge > $10B 1 Auditing IT: New Technologies Fraud: Monitoring Data Analysis Tools: Statistical Analysis 2 Data Analysis Tools: Data Manipulation Fraud: Fraud Risk AssessmentData Analysis Tools: Sampling 3 Auditing IT: Security Fraud: Management/Prevention Auditing IT: New Technologies 4 Fraud: Fraud Risk Assessment Fraud: Fraud Detection/Investigation Continuous Auditing Statistically Based Sampling 5 Computer-Assisted Audit Tools (CAATs) Quality Assurance and Improvement Program (IIA Standard 1300): Ongoing Reviews (IIA Standard 1311) Computer-Assisted Audit Tools (CAATs) Fraud: Fraud Detection/Investigation Data Analysis Tools: Statistical Analysis No consistent top five items across organization size Speaker: David Brand

33 © Audit Process Knowledge – Healthcare Industry Kevin Donahue will introduce this survey section and moderate by asking Susan and Mike questions about the survey results.

34 © Audit Process Knowledge – Healthcare Industry "Need to Improve" Rank Areas Evaluated by Respondents Competency (5-pt. scale) 1Data analysis tools – data manipulation3.4 2 (tie) Quality assurance and improvement program (IIA Standard 1300) – External assessment (Standard 1312) 3.4 Quality assurance and improvement program (IIA Standard 1300) – Ongoing reviews (IIA standard 1311) 3.4 Quality assurance and improvement program (IIA Standard 1300) – Periodic reviews (IIA Standard 1311) 3.4 Fraud – fraud risk assessment3.7 3Enterprisewide risk management3.5 4Fraud – monitoring3.6 5Assessing risk – emerging issues3.7 Kevin Donahue will moderate by asking Susan and Mike questions about the survey results.

35 © Audit Process Knowledge – Healthcare Industry, CAE Responses "Need to Improve" Rank Areas Evaluated by Respondents Competency (5-pt. scale) 1 (tie) Auditing IT – new technologies2.8 Quality assurance and improvement program (IIA Standard 1300) – External assessment (Standard 1312) 3.5 Quality assurance and improvement program (IIA Standard 1300) – Ongoing reviews (IIA Standard 1311) 3.4 Quality assurance and improvement program (IIA Standard 1300) – Periodic reviews (IIA Standard 1311) (tie) Enterprisewide risk management3.5 Auditing IT – security3.1 Data analysis tools – data manipulation3.4 Presenting to the audit committee4.1 3 (tie) Assessing risk – emerging issues3.7 Computer-assisted audit tools (CAATs)3.5 Continuous auditing3.3 Continuous monitoring3.3 Presenting to senior management4.2 Self-assessment techniques3.5 Fraud – fraud risk assessment3.5 Kevin Donahue will moderate by asking Susan and Mike questions about the survey results.

36 © Audit Process Knowledge – Healthcare Industry Data analysis tools – data manipulationComputer-assisted audit tools (CAATs) Quality assurance and improvement program (IIA Standard 1300) – External assessment (Standard 1312) Continuous auditing Quality assurance and improvement program (IIA Standard 1300) – Ongoing reviews (IIA Standard 1311) Continuous monitoring Quality assurance and improvement program (IIA Standard 1300) – Periodic reviews (IIA Standard 1311) Data analysis tools – data manipulation Fraud – fraud risk assessmentData analysis tools – sampling Enterprisewide risk managementData analysis tools – statistical analysis Fraud – monitoringMarketing internal audit internally Assessing risk – emerging issuesFraud – auditing Fraud – fraud detection/investigation Fraud – fraud risk assessment Circled items are consistent between the two years Kevin Donahue will moderate by asking Susan and Mike questions about the survey results.

37 © Poll Question True False According to the 2013 IA Capabilities and Needs Survey, internal auditors want to become more data-driven while implementing more automation to strengthen effectiveness and efficiency. Reminder: Answer 4 out of 5 questions to qualify for CPE credit. Speaker: Lark Scheierman

38 © Poll Question A.Fraud Risk Management Technologies B.Auditing IT Projects C.Data Analysis Tools: Data Manipulation In which emerging technology areas do healthcare internal auditors feel they are less competent, and need to improve the most? Reminder: Answer 4 out of 5 questions to qualify for CPE credit. Speaker: Lark Scheierman

39 Personal Skills and Capabilities Kevin Donahue will introduce survey section and transition to next speaker, David Brand

40 © Personal Skills and Capabilities – Overall Results "Need to Improve" Rank Areas Evaluated by Respondents Competency (5-pt. scale) 1Dealing with Confrontation3.5 2 (tie) Negotiation3.4 Persuasion3.5 3 (tie) High-Pressure Meetings3.5 Presenting (public speaking)3.5 4Strategic Thinking3.8 5 (tie) Developing Other Board Committee Relationships3.2 Using/Mastering New Technology and Applications3.6 Leadership (within the Internal Audit profession)3.5 Time Management3.7 Speaker: David Brand

41 © Personal Skills and Capabilities – Three-Year Comparison: Overall Results Rank Dealing with Confrontation Developing Outside Contacts/Networking Dealing with Confrontation 2 Negotiation Presenting (public speaking) Persuasion 3 High-Pressure Meetings Dealing with ConfrontationNegotiation Presenting (public speaking) 4Strategic Thinking Presenting (public speaking) Leadership (within the IA profession) 5 Developing Other Board Committee Relationships High Pressure Meetings Developing Outside Contacts/Networking Using/Mastering New Technology and Applications Leadership (within the Internal Audit profession) Time Management Circled items are consistent top five items Speaker: David Brand

42 © Personal Skills and Capabilities – Top 5 for CAEs "Need to Improve" Rank Areas Evaluated by RespondentsCompetency 1Dealing with Confrontation3.8 2Developing Other Board Committee Relationships3.5 3 Developing Outside Contacts/Networking3.7 Negotiation3.7 Using/Mastering New Technology and Applications3.6 4Time Management3.8 5 Persuasion3.8 Strategic Thinking4.0 Speaker: David Brand

43 © Personal Skills and Capabilities – Three-Year Comparison: CAE Results Rank Dealing with ConfrontationPresenting (public speaking) Developing other Board Committee Relationships 2 Developing Other Board Committee Relationships Developing Outside Contacts/Networking Time Management 3 Developing Outside Contacts/Networking Persuasion Leadership (within the IA profession) Negotiation Using/Mastering New Technology and Applications 4Time Management Negotiation Presenting (public speaking) Dealing with Confrontation 5 Persuasion Time ManagementStrategic Thinking Circled items are consistent top five items Speaker: David Brand

44 © Personal Skills and Capabilities – Company Size Breakdown RankSmall < $1BMedium $1B-9BLarge > $10B 1 Dealing with Confrontation Developing Other Board Committee Relationships Presenting (public speaking) 2 High-Pressure Meetings Developing Other Board Committee Relationships Developing Audit Committee Relationships PersuasionStrategic Thinking 3 Negotiation Leadership (within the Internal Audit profession) Negotiation Dealing with Confrontation Persuasion Time Management 4 Persuasion Developing Outside Contacts/Networking Coaching/Mentoring Presenting (public speaking) 5 High-Pressure Meetings Leadership (within your organization) Strategic Thinking Time Management High-Pressure Meetings Presenting (small groups) Using/Mastering New Technology and Applications Circled items are consistent top five items Speaker: David Brand

45 © Personal Skills and Capabilities – Healthcare Industry Kevin Donahue will introduce this survey section and moderate by asking Susan and Mike questions about the survey results.

46 © Personal Skills and Capabilities – Healthcare Industry "Need to Improve" Rank Areas Evaluated by RespondentsCompetency 1Presenting (public speaking)3.7 2 (tie) High-pressure meetings3.5 Dealing with confrontation3.6 3 (tie) Persuasion 3.7 Using/mastering new technology and applications3.7 Kevin Donahue will moderate by asking Susan and Mike questions about the survey results.

47 © Personal Skills and Capabilities – Healthcare Industry, CAE Responses "Need to Improve" Rank Areas Evaluated by RespondentsCompetency 1 (tie) Coaching/mentoring3.9 Negotiation3.2 High-pressure meetings3.2 Dealing with confrontation3.5 Presenting (public speaking)3.5 Persuasion 3.4 Strategic thinking 3.5 Using/mastering new technology and applications3.2 2Developing audit committee relationships3.5 3 (tie) Creating a learning internal audit function3.9 Developing other board committee relationships3.2 Developing rapport with senior executives3.7 Developing outside contacts/networking3.5 Leadership (within your organization)3.6 Leadership (within the internal audit profession)3.6 Leveraging others’ expertise3.7 Presenting (small groups)4.0 Time management3.5 Kevin Donahue will moderate by asking Susan and Mike questions about the survey results.

48 © Personal Skills and Capabilities – Healthcare Industry Presenting (public speaking)Developing outside contacts/networking High-pressure meetingsLeadership (within your organization) Dealing with confrontationNegotiation PersuasionDealing with confrontation Using/mastering new technology and applications Persuasion High-pressure meetings Circled items are consistent between the two years Kevin Donahue will moderate by asking Susan and Mike questions about the survey results.

49 © Poll Question A.Public Speaking B.Negotiation C.Developing Contacts/Networking Which area is the highest priority for improvement for healthcare internal auditors in 2013? Reminder: Answer 4 out of 5 questions to qualify for CPE credit. Speaker: Lark Scheierman

50 Social Media Risk and the Audit Process Kevin Donahue will introduce survey section and transition to next speaker, David Brand

51 © Social Media Risk and the Audit Process Speaker: David Brand

52 © Social Media Risk and the Audit Process What does the social media policy address? Speaker: David Brand

53 © Social Media Risk and the Audit Process Speaker: David Brand

54 © Social Media Risk and the Audit Process Speaker: David Brand

55 © Social Media Risk and the Audit Process Speaker: David Brand

56 © Healthcare Industry Results – Social Media Risk RankSocial Media Risk Levels Competency (10-pt. scale) 1Regulatory/compliance violations7.8 2Brand/reputational damage7.3 3Data security (company information)6.5 4Data leakage (employee personal information)6.1 5Viruses and malware5.3 Speaker: David Brand

57 © Social Media Risk and the Audit Process – Lessons Learned Social media is probably one of the newest and most exciting areas that auditors are diving into It’s a new medium by which a lot of organizations have a variety of exposures that are arising Speaker: David Brand

58 © Meeting Today’s Challenges – Points for Discussion Do you agree with these findings? What areas are you weakest in related to the following topics? –Social Media and the Audit Process –General Technical Knowledge –Audit Process Knowledge –Personal Skills and Capabilities Are there other professional competencies that you want to improve upon? What other comments or questions do you have? Do you agree with these findings? What areas are you weakest in related to the following topics? –Social Media and the Audit Process –General Technical Knowledge –Audit Process Knowledge –Personal Skills and Capabilities Are there other professional competencies that you want to improve upon? What other comments or questions do you have? Speaker: Kevin Donahue

59 © Questions and Answers Kevin will moderate the questions received from the audience, selecting questions for Mike, Dave and Susan to address. We will you the questions received from the audience so you can review them in advance.

60 © Thank you for joining us! Managing Director Protiviti – Dallas +1 (469) Managing Director Protiviti – Chicago +1 (312) Vice President of Audit Services for the Carolinas HealthCare System Past Board Chair, AHIA – Denver +1 (704) Speaker: Lark Scheierman

61 © 2013 Protiviti Inc. CONFIDENTIAL: This document is for your company's internal use only and may not be copied nor distributed to another third party. 61


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