The GAO Green Book Compliance Training Academy (3 Days)-Philadelphia (CCS)

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The GAO Green Book Compliance Training Academy (3 Days) - Philadelphia, PA (CCS)

About this Event

A Practical Approach to GAO Green Book Compliance Programs

Join us for a unique, interactive workshop that "walks you through" the latest update of The Green Book which now conforms to the Internal Control Integrated Framework (COSO 2013) from the Committee of Sponsoring Organizations of the Treadway Commission (COSO). This training is focused on the current Standards for Internal Control in the Federal Government as detailed in the GAO's Green Book.

This twenty-four hour (Three Day) CPE course provides you with the tools to implement a compliance program that is consistent with The Green Book.

This program covers the Who - What - Why - Where - How to Control. We look at the 17 principles-based approach presented in The Green Book. We make sure your program covers the 52 attributes concerning Green Book compliance.

Documentation is a necessary part of an effective internal control system and is required for the effective design, implementation, and operating effectiveness of the internal control system. To document an understanding of an entity's internal control, management may consider developing documents such as:

1. Policies and procedures manuals

2. Flowcharts

3. Narratives/Tables

4. Risk Control Matrices (RCM)

Establishing a Project Management Office (PMO). Transitioning to Create Value Through Self-Assessment. Mapping the key controls library to the 17 principles and 52. Gap Analysis.

We present the roadmap to Green Book compliance and documentation based on textbook approaches and real-world guidance from our client engagements.

Relax, learn and enjoy expert instructor presentations, group discussions, role-playing, audit and compliance exercises, white-board diagramming and simulations.

We also present a one day CPE seminar that provides overview guidance on how to implement and assess an internal control framework based on The Green Book. You can review this program at "The Green Book Seminar" (1 Day).

Follow the below links for further detail information:

. Seminar Highlights

. Learning Objectives

. Benefits of Attending

. Detail Three Day Agenda

Each attendee will receive 24 Auditing CPE Hours (YB). A certificate of completion will be provided.

On September 10, 2014 GAO issued its revision of Standards for Internal Control in the Federal Government. You can read the press release here. The 2014 revision will supersede GAO/AIMD-00-21.3.1, Standards for Internal Control in the Federal Government: November 1999. This document is based on the COSO Internal Control - Integrated Framework 2013. GAO's 2014 revision will be effective beginning with fiscal year 2016 and the FMFIA reports covering that year. Management, at its discretion, may elect early adoption of the 2014 Green Book.

Federal Managers' Financial Integrity Act (FMFIA) requires that federal agency executives periodically review and annually report on the agency's internal control systems. FMFIA requires the Comptroller General to prescribe internal controls standards. These internal control standards, first issued in 1983, present the internal control standards for federal agencies for both program and financial management.

The Green Book may also be adopted by state, local, and quasi-governmental entities, as well as not-for-profit organizations, as a framework for an internal control system.

State and Federal Internal Controls, Financial Management Systems and Compliance with Laws and Regulations Documents

Standards for Internal Control in the Federal Government (The Green Book)

Internal Control Management and Evaluation Tool August 1, 2001

OMB Circular No. A-123, Management's Responsibility for Enterprise Risk Management and Internal Control July 15, 2016

State of Alaska - Audit Guide and Compliance Supplement for State Single Audits

State of Arizona Accounting Manual Topic 05 Internal Controls

State of California - Internal Control Guidelines - California Local Agencies 2015

State of Colorado - State Controller Policy

State of Connecticut - Internal Control Guide

State of Delaware - Office of Management and Budget - Internal Control

State of Florida - Internal Controls

State of Georgia - Statewide Internal Control Guidance

State of Idaho - Internal Controls

State of Illinois - Supplement to SAMS Procedure 2, Internal Controls

State of Indiana - Uniform Internal Control Standards for Indian political Subdivisions

State of Iowa - Audit Practice Aids 2016

State of Maine - Departmental Internal Control Plan Outline

State of Maine - Self Assessment of Internal Controls

State of Maryland - Internal Control Manual For Use by State Departments And Independent Agencies

State of Massachusetts - Internal Controls

State of Michigan - Uniform Accounting Procedures Manual

State of Minnesota - Internal Control &A Accountability

State of Nebraska - State Accounting Manual

State of New Jersey - Internal Control Guide

New York State Government Accountability, Audit and Internal Control Act

State of North Carolina - The State Governmental Accountability and Internal Control Act

State of Rhode Island - Internal Control Guide

State of South Dakota - Internal Controls Bill

State of Tennessee - Internal Control and Compliance Manual for Governmental Entities and other Audited Entities in Tennessee

State of Texas - The Texas Internal Auditing Act

State of Utah - Internal Control

State of Vermont - Internal Controls

Commonwealth of Virginia - Agency Risk Management and Internal Control Standards (ARMICS)

State of Washington - Internal Control

COSO 2013 Related Documents

Link to purchase the four columns of the COSO Internal Control Framework 2013

COSO Internal Control - Integrated Framework - Executive Summary

COSO's 2013 Internal Control Framework in Depth by BKD

Transitioning to the 2013 COSO Framework for External Financial Reporting Purposes by E&Y

IMPACT of the 2013 COSO FRAMEWORK by Financial Executives Research Foundation

COSO Internal Control - Integrated Framework (2013) by KPMG

An overview of COSO's 2013 Internal Control-Integrated Framework by Sara Lord, McGladrey LLP

The 2013 COSO Framework & SOX Compliance by Stephan McNally

The Updated COSO Internal Control Framework by Protiviti (Third Edition)

Benefits of Attending

- Review how The Green Book is structured

- Understand the mapping of The Green Book to COSO 2013

- Know the key entity level controls that are highlighted in The Green Book

- Review the implications for using The Green Book

Seminar Highlights

- The Components of COSO

- Logic presented by the COSO Components

- The structure used to describe the COSO Framework as used in The Green Book

- Principles present in The Green Book Framework

- The "Attributes" in The Green Book vs the "Points of Focus" in COSO 2013

- The importance of the "Attributes"

- How to gage the effectiveness of internal controls

- How to build a "Culture of Compliance

Learning Objectives

- Defining "internal control framework" within an organization

- Describing The Green Book standard and its documents to management

- Positioning attendees to begin planning their conversion to the new Green Book standard

- Assurance to the attendee that they can work to be insync with Uniform Administrative Rules Section 200.303

- Understanding the gaps and shortcomings in Green Book compliance

Key Issues on the Agenda


. Introductions

. Internal Control Tradecraft

. Myths!

. Integrated Internal Control


. The Green Book Context

. How the World Works

. Internal Control Concept

. COSO 2013 to The Green Book

. Quality Control Concept

. The Big Three Connection

. Understanding the "Real" Risks

. Layers of "Cause"

. Dr. Deming's 14 Quality Concepts

. Enterprise Risk Management Concept

. Understanding the "Real" Risks

. Mission - Values - Business Model Concept

. Humans and Internal Controls

. Control Environment Concept

. Four Stages of Competence

. Human Communication Concepts

. Dr. Kotter's Steps for Change

. Program Management Concept


. SOX vs the Green Book

. Financial Reporting Standards

. Why Frameworks?

. COSO ERM 2.0

. COSO Internal Control Framework

. The Green Book

. Auditor's Summary of COSO 2013

. The Green Book - Risk Assessment

. The Green Book - Control Environment

. The Green Book - Control Activities

. The Green Book - Information & Communication

. The Green Book - Monitoring Activities


. What is "Moore's Law"?

. Categories of IT Controls

. What is IT all about?

. Information Technology Frameworks

. COBIT 5.0 Principles

. COBIT Enterprise Enablers

. COBIT Domains

. COBIT Governance Domain

. COBIT Align, Plan & Organize Domain

. COBIT Build, Acquire & Implement Domain

. COBIT Deliver, Service & Support Domain

. COBIT Monitor, Evaluation & Assess Domain

. COBIT Software Life Cycle Approach


. Define Objectives and Risk Tolerances

. Layer of Objectives

. Categorizing Your Controls

. Attribute Tracking of Internal Controls

. Assessment of the "Big Three"

. Elements of the Federal Enterprise Model

. Six Business Model Elements

. Entity Level Controls

. Integration Mapping

. Identify, Analyze, and Respond to Risks

. Assess Fraud Risk

. Identify, Analyze, and Respond to Change


. The Big Three Connection Concept

. Management's layers of Risk Assessment

. Inventory Your Controls

. Policies vs Procedures

. Maturity Model: Policy - Standard - Procedure

. Concepts Behind Policy-Procedure Effectiveness

. Ownership is Required

. Current State and/or Benchmarking

. Training

. Mentoring - Coaching

. Exception Handling

. Continuous Improvement

. Management by Walking Around

. Proactive Root Cause Analyst

. Control Self Assessments

. Organizational Change Management


. Competence

. The Facts

. Monitoring and Analytics

. The Usual Suspects

. Whistleblower Hotlines

. Interviewing using the S.P.I.N. Methodology

. Make the Management Action Plan SMART

. Layers of Cause

. Root Cause Analysis

. Communication Challenges

. Recognizing Different Personalities

. Categories of Lies

. What Deception Sounds Like

. What Deception Looks Like

. What do you tell the executive?

. Input-Process-Output

. Levels of Maturity

. Internal Control Reliability Model

. The Walk Through

. Dr. Kotter's Steps for Change


. Program Organization

. How do we manage the program?

. Green Book Program Management

. Green Book Project Scope

. Responsibilities of the Internal Control Team

. Project Director

. Scope Management

. Project Management Killers

. Project Planning Deliverables


. Overall Assessment of a System of Internal Control

. Points for Risk Management

. Risk Management is not perfect

. Green Book Risk Assessment

. COSO Internal Control Integrated Framework

. Defined "Entity Controls"

. Characteristics of ELC Documentation

. Better Policy Management

. IT General Controls Risk Assessment

. IT Risk Planning

. IT General Controls Focus

. Financial Statement Risk Assessment

. ICFR Applications Risk Assessment

. Have you defined deficiencies?

. Categories of "Control Deficiencies"

. Summary of Deficiencies

. Defensive Strategy "Business Resilience"


. Process & Activity Ownership

. Business Cycles and Processes

. Risks within the Process

. Business Process Documentation

. What are the assertions for key controls?

. Segregation of Duties

. Flowcharting

. What about Spreadsheets?

. Annual Assessment and "SSAE 18"

. Control Self Assessment Program

. Certification of "ICFR"


. Internal Audit Testing ICFR??

. Internal Audit Charter

. Internal Audit Coverage

. Internal Audit Tactical Plan

. External Audit Testing

. Top Down Approach

. Internal Control Group Testing


. Remediate and Re-Test

. Types of Testing

. Evaluate the Stages of "Control Effectiveness"

. Sample Selection

. Sample Size

. Testing Controls


. Optimize the Report Structure

. Know Your Audience

. Write for Your Audience

. Organize Control

. What to tell the Executive?

. Executive Summary Section

. Findings

. Condition - Cause - Effect

. Management Action Plans

. Optimize the Tone


. Opening

. Assessment of ICFR

. Defensive Strategies

. Better Policy Management

. Culture of Compliance

. Key Control Programs

. Keys to Success

. Overall Assessment of a System of Internal Control

Internal Control & CPA Focused Training Seminars

Corporate Compliance Seminars presents two families of professional continuing education (CPE) seminars:

Internal Control & CPA Focused Training Seminars (Details)

Internal Auditor Focused Training Seminars (Details)

The internal control seminars we present can benefit a variety of attendees:

- Non-accelerated filers who may just be getting their documentation underway for Section 404 compliance,

- Public companies looking to improve their effectiveness and efficiency of their Section 404 compliance,

- Nonprofit organizations, governmental agencies and other groups that want to improve the integration of their governance, risk and compliance (GRC) efforts,

- Executives and Board of Directors members who can gain insights from our "Best Practices" examples to really understand SOX Section 404,

- Anyone finds practical advice from our real-world experience with the implementation of internal controls over financial reporting (ICFR).

The internal audit seminars we present can benefit a variety of attendees:

- The new internal auditor can be oriented to the profession and the work,

- Auditors looking for improvements in their approach and knowledge,

- Professionals looking to improve the content of their workpapers and the impact of audit reports,

- Any organization that desires to improve the effectiveness of their internal audit department,

- Audit Managers looking for education concerning current audit issues,

- Practical advice based on our real-world experience with being the auditee, an internal auditor and an external auditor.

The Green Book Academy Registration Page

Experts Providing CPE Training Seminars

Corporate Compliance Seminars has been created by experts who enjoy providing CPE classroom training, workshops and consulting on internal controls, internal auditing and accounting related subjects. We have focused on SOX, COSO, PCAOB, COBIT, GRC, IFRS, AICPA, GAO and IIA Standards.

Our programs are CPE for professionals with CPA, CGA, CIA, CFE, CISA, CMA and CA designations.

Corporate Compliance Seminars presents CPE to auditors, compliance and IT professionals, Boards of Directors and Audit Committees. We examine the details of risk management, Sarbanes-Oxley Act compliance, Model Audit Rule compliance, auditing, internal controls, IT security and compliance, and fraud prevention and detection.

Corporate Compliance Seminars allows the attendee to earn Official NASBA CPE credit.

Our seminars focus on the details of the Sarbanes-Oxley Act of 2002 (SOX), Internal Controls over Financial Reporting (ICFR), Committee of Sponsoring Organizations of the Treadway Commission (COSO) Internal Control Frameworks, ISACA's Control Objectives over Information Technology (COBIT), Information Technology Infrastructure Library (ITIL), Open Compliance & Ethics Group's (OCEG) Governance, Risk & Compliance (GRC) methodology, PCAOB's Auditing Standard 5 (AS5), AICPA auditing standards and the future conversion from GAAP to the International Financial Reporting Standards (IFRS).

Our seminars provide CPE for the CPA, CFE, CIA, CISA, auditors and others with effective and engaging training.

Please contact the event manager Marilyn (marilyn.b.turner(at)nyeventslist.com ) below for:

- Multiple participant discounts

- Price quotations or visa invitation letters

- Payment by alternate channels (PayPal, check, Western Union, wire transfers etc)

- Event sponsorships


Prices may go up any time. Service fees included in pricing.


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Regus Office Suites

1500 Market Street

12th Floor, East Tower

Philadelphia, PA 19102

View Map

Refund Policy

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