Phil Bertram

Phil Bertram

Philip W. Bertram, (CPA, CIA, CFE, CRMA, and CGMA) is the founding principal of Bertram & Associates LLC, a specialized consultancy established in 2011 that focuses on providing internal audit leadership and risk management ability to mid-cap and larger companies that want to enhance their management and control of enterprise risk, internal audit, corporate governance, and operations. Bertram & Associates specializes and excels at providing independent, critical examinations of internal business processes that help management to improve efficiency and effectiveness.

With experience as a Chief Audit Executive, as a Compliance Officer, and as an executive focused on ERM, Phil Betram has extensive experience in corporate governance, controls, operational auditing, business process improvement, corporate compliance, and fraud investigation. He designs and implements effective strategies focused on enhancing a company’s value—solving problems by building collaborative relationships with stakeholders; distilling symptoms into issues; and providing practical, easily implemented solutions to business challenges that make an immediate impact and give sustainable benefits.

During his 30+ year career, Bertram served as a Vice President, Internal Audit and ERM Champion at SPSS, Inc. (now part of IBM) and a Director, Internal Audit for two major organizations:  Komatsu America Corp. and NFC International Holdings, Inc. He also served Komatsu as its Compliance Officer.  Prior to that, he held positions of increasing responsibility at American Brands, Inc., AAR Corp., FMC Corporation and Deloitte, Haskins & Sells. He actively participates in activities of the Institute of Internal Auditors, having held leadership roles as an IIA Regional Director and District Director and as President of the IIA NW Metro Chicago Chapter. In addition, he served as Vice-Chair of The Manufacturers Alliance (MAPI) General Auditors Council II. He served as an audit committee member for the Evangelical Lutheran Church in America (ELCA).

A licensed CPA in the State of Illinois, Phil holds a B.A. in Accounting and Business Administration from Augustana College, Rock Island, IL, and also holds the CIA, CFE CRMA, and CGMA certificates.  He is a member of the American Institute of Certified Public Accountants (AICPA), Illinois CPA Society (ICPAS), Association of Certified Fraud Examiners (ACFE), and Financial Executives International (FEI).

5:30 – 6:00 P.M.  Pre-Meeting Clinic:  Interviewing with My Six Favorite Friends—Solving Problems with the Right Tools

In this session, we will discuss how effective interviewing contributes to effective problem-solving.  We will also learn that there is an art to choosing the right audit questions, and combining key questions to obtain actionable information.  Based on Rudyard Kipling’s work, Six Honest Men, this will be an entertaining presentation that introduces the participant to audit interview questions that yield meaningful results.

7:00 – 8:00 P.M.  Main Presentation:  The Quality Auditor’s Tool Box—Choosing the Right Tools for Root Cause Analysis

This session is a discussion of how quality management people can help internal auditors as they perform operational audits.  We also will discuss how internal auditors plan an operational audit and select appropriate root cause/problem-solving tools.

In this session, we will learn:

 –What is Operational Auditing?

-What does one do to plan an operational audit?

-What essential tools are available for root cause analysis when performing Operational Audits?

Throughout the session, we will discuss the tools and approaches you can use when performing an operational audit.  These tools include the IIA’s recent practice guide on “Root Cause Analysis”, appropriate Six Sigma / LEAN tools, and tools adapted from control self-assessment, economic value theory, and business process re-engineering approaches.  You also will have an opportunity to share what you and your company currently do to develop operational auditing skills, approaches and provide such services.  Together, we will leave the session with an increased understanding of operational auditing and the tools necessary to solve problems at their root.

We look forward to your participation in these important discussions!

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