SURVEYSAnd Their Role In Training Sessions

Learning Objectives

• Understand how to introduce surveys into training sessions

• Identify appropriate survey questions

• Discuss NASACT survey results

• Enjoy benefits of survey information

Survey Uses

•As an ice breaker

•To share information

•Provide advice

•Test overall topic knowledge

Course Examples• Fraud • Internal Controls• GASB or Yellow Book• Performance Auditing• Compliance Auditing• Workpapering• Report Drafting

Sample Questions• How do you stay current on industry standards?

• Please list audit tasks over the last 3 months that did not go as planned.

• What steps could be taken to shorten the report drafting process?

ILLINOIS OAG Example #1

Class: Performance Fieldwork Phase

Sample Questions to Managers: •What types of fieldwork test(s) were conducted? •What information helped you most in the development of your fieldwork tasks?

ILLINOIS OAG Example #1

Class: Performance Fieldwork Phase

Sample Questions to Staff: •What fieldwork tasks did you find most interesting to complete?•Which tasks took more time to complete than anticipated and why?

ILLINOIS OAG Example #2

Class: Internal Controls

Sample Questions to Panel: •What instruments do you use to test internal controls?

•From your experience, what is the most common internal control weakness agencies face?

•Have you ever run across internal control weaknesses that could have (or did) lead to fraud or abuse?

Appropriate Time Allotment

• Discuss responses as a minor segment

• Develop the class around the responses

• Utilize responses as needed

Targeting Your Population

• By division (all staff levels)

• By level (all managers across divisions)

• By expertise (One or two individuals)

Preparing Your Questions

•Open vs. closed questions

•General vs. detailed information

•Hard facts vs. fun facts

Soliciting Your Survey

•Seek out an early opinion or two

Reviewing and Organizing Your Results

•Look for:– trends in responses– dry responses– negative responses and,– presentation options

Drawbacks• False expectations• Inconsistent messages• Limited time resources• Reduced spontaneity

Benefits• No cost• Candid responses• Varied perspectives• Real-life examples• Learn strengths & weaknesses• Camaraderie

NASACTTraining Forum Survey Results

Sample Questions

• Memorable training forum moments • Questions we hope to have answered• Training course recommendations • Biggest pet peeve(s)• Favorite books and movies

Response Overview

• Completed surveys• First-time participants• Most forums attended• States represented• Largest representation• Previous jobs• Memorable moments• Favorite part of forum

Laurie DeMarr

Arizona Office ofthe Auditor General

Glen Fowler

California Bureau ofState Audits

Marcia Buchanan

U.S. Government Accountability Office

Jim Dahlquist

Illinois Office of the Auditor General

Marlys Gaston

Iowa Office of the Auditor of State

Fay Kurkjy

National Association of StateAuditors, Comptrollers and

Treasurers

Elizabeth Coxe

Louisiana Office of theLegislative Auditor

Gary Spivey

Maryland Office of Legislative Audits

Jackie Blocher-Moran

Maryland Office of Legislative Audits

William Edward Smith

Mississippi Office of the State Auditor

Angie Lang

Montana Office of Legislative Audits

Helen Dublas

New Jersey Office of the State Auditor

Nadia Negro

New Jersey Office of the State Auditor

Rose Todaro

New Jersey Office of the State Auditor

Kim Suares

New York Office of the State Comptroller

MaryMolly Taylor

North Carolina Office of the Auditor General

Mike Drank

Pennsylvania Office of the Auditor General

Carlton Ketchen

Pennsylvania Office of the Auditor General

Thomas Marks

Pennsylvania Office of the Auditor General

Jerry Mitchell

Pennsylvania Office of the Auditor General

Kim Rice

Pennsylvania Office of the Auditor General

Martin Shoop

Pennsylvania Office of the Auditor General

Randi Soward

Pennsylvania Office of the Auditor General

Joe Weale

Pennsylvania Office of the Auditor General

Lori Elliott

West Virginia Legislative Auditor’s Office

Jean Ann Krebs

West Virginia Legislative Auditor’s Office

Stuart Stickel

West Virginia Legislative Auditor’s Office

Additional Introductions

Thank you for your time!