ADDING RISK BACK INTO THE AUDIT PROCESS
James Pelletier, CIA
Chief of Audits
San Digeo County 

NOTE CHANGE IN LOCATION BACK TO THE HANDERLY HOTEL 

Risk is not a new topic for most internal auditors. Audit plans are typically driven by periodic risk assessments, and lately there’s been a lot of discussion about enterprise risk management in the internal audit community. Unfortunately, risk assessments in many internal audit departments stop at the audit plan level. Many auditors who often are not involved in performing risk assessments don’t consider risk as they plan their audits and spend considerable time testing areas that do not deserve much attention, thus resulting in too many controls being identified and tested. Consequently, important business processes are not evaluated in terms of risk, and audit efforts are not focused on the right controls or are spread thinly across many areas. To ensure audits concentrate on the appropriate business areas as efficiently and effectively as possible, auditors can perform a risk assessment that uses a risk and control matrix as its foundation and enables internal auditors to modify testing based on identified risk levels.

About our speaker:    
      Jim Pelletier is the senior audit manager for the County of San Diego.  He is a Certified Internal Auditor (CIA) with over 10 years of internal audit and business process improvement experience. 
      Prior to joining the county, Jim gained additional auditing experience from PETCO, the California State University (Chancellor’s Office), State Street Corporation, and General Electric.  In addition to his degree in Computer Information Systems, Jim graduated from General Electric’s Leadership Development Program and was trained as a Six Sigma Black Belt.  
     Jim received the Institute of Internal Auditor’s (IIA) John B. Thurston Award for literary excellence in the field of internal auditing for his article entitled “Adding Risk Back Into the Audit Process” (August 2008).  Additionally, Jim serves as the Government Relations Committee chairperson of the San Diego Chapter of the IIA and the Training chairperson for the County Auditor’s Association of California Audit Chief’s Committee.

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