Course Description:

This two day seminar will focus on internal controls best practices for the Procure to Pay (P2P) process. Attendees will learn about internal controls best practices by reviewing the Internal Controls Questionnaires (ICQ) for each component of the P2P process. The course material will highlight the impact that the P2P process can have on an organization and will also indicate the key risks that must be considered within a P2P internal controls program.

The course will follow an Internal Controls Questionnaire (ICQ) approach to the course material that will review each key transaction within the P2P process. This knowledge will then be applied to the analysis of real life case studies from all components of the P2P process that include: procurement, receiving, and accounts payable (AP).

This workshop will:

  • Present attendees with a unique opportunity to discuss what went wrong to determine the key internal controls that were missing.
  • Spotlight the three critical corporate controls, the standards of internal control for P2P, and the top twenty controls for AP.
  • Detail dependencies and interdependencies of the P2P process and its crucial impact on all supplier disbursements.
  • Review the impact of regulatory compliance on the P2P process and will discuss current trends in the internal controls process.

Attendees will receive a full set of leading practice Procure to Pay (P2P) internal controls which include a comprehensive listing of all the risks and controls for:

  1. Supplier Selection and Management
  2. Purchasing and Ordering
  3. Invoice Processing
  4. Disbursements
  5. P-Cards

These leading practices were developed from several years of experience in the internal controls field and from working with 30 Top Fortune 100 companies. This approach has not only helped improve P2P processes but has set the foundation for detecting and preventing fraud.

Learning Objectives:

On completing this course participants will be able to:

  • Understand the three corporate critical controls and how to implement policies and procedures to enforce them.
  • Identify the control risks and ‘fraud flags’ within the P2P process.
  • Obtain a complete toolkit that contains the standards of internal controls for the P2P process.
  • Define and implement the top twenty controls for the accounts payable process.
  • Develop an Internal Controls Questionnaire (ICQ) for each component of the P2P process.
  • Define the regulatory requirements that impact the P2P process.
  • Apply concepts and tools to real life fraud case studies and define the internal control weaknesses.
  • Define an action plan on how to implement a new or enhanced P2P internal controls program.
  • Apply current trends in internal controls program to enable continuous controls monitoring and other best practices.

Who Will Benefit:

This best practices seminar will benefit professionals interested in improving the P2P internal controls program and preventing the risk of fraud for their companies. This includes:

  • CFOs
  • Controllers
  • Internal Audit Executives
  • Internal Control Professionals
  • Shared Service Executives
  • Accounts Payable Managers and Directors
  • Procurement Managers and Directors

Topic Background:

The term Purchase to Pay (P2P) emerged in the 1990s and is one of a number of other buzz phrases that emerged as internet applications became used more widely in business and accounting processes. The P2P process is an integral process for all companies; however, due to the large number of transactions within the process and the larges dollars that are disbursed through the accounts payable function, the P2P business process is subject to a significant amount of risk that requires a laser focus on internal controls.

Course Outline:

Day 1 (8:30 AM – 4:30 PM) Day 2 (8:30 AM – 4:30 PM)
  • 8:30 – 9:00 AM: Registration
  • 9:00 AM: Session Start Time
  1. Overview of the Course Material
  2. Learning Objectives
  3. Introduction to the Purchase to Pay (P2P) Business Process
  4. The Corporate Impact of the P2P Business Process
  5. Introduction to the Internal Controls Questionnaire (ICQ) and Standards of Internal Control Approach
  6. The Three Critical Corporate Controls
    1. Delegation of Authority (DoA)
    2. Segregation of Duties (SoD)
    3. Systems Access
  7. Component 1: Procurement
    1. Contract Management and Controls
    2. Requisition Management
    3. Purchase Order Management
    4. Procurement Case Studies
  8. Component 2: The Receiving Process
    1. Evaluation Receipt Settlement (ERS)
    2. Purchase Order Matching
    3. Receiving Case Studies
  9. Day 1 Wrap-Up
  1. Recap of Day 1
  2. Component 3: The Accounts Payable (AP) Process
    1. The Top Twenty AP Controls
    2. Supplier Master File
    3. Invoice Processing
    4. Disbursements
    5. P-Cards
    6. Accounting and Closing Controls
    7. AP Case Studies
  3. Component 4: Special Accounts Payable (AP) Topics
    1. The Impact of Regulatory Compliance on Your Supplier Master
    2. Anti-Corruption Controls and the Foreign Corrupt Practices Act (FCPA)
    3. Trends in P2P Internal Controls
      1. Continuous Controls Monitoring (CCM)
      2. Controls Self-Assessment (CSA)
      3. Automation
  4. Questions and Discussion
  5. Course Wrap-Up
  6. Questions and Discussions

Meet Your Instructor

Chris Doxey
Consultant, Internal Controls and Business Process Best Practices

Chris Doxey has held senior finance and controller positions at Digital Equipment Corporation, Compaq Computer Corporation, Hewlett Packard, MCI, APEX Analytix, and BSI Healthcare. She has a bachelor's degree in English, a bachelor's in accounting, a master's in business administration, and a graduate certificate in project management. As a management consultant, Ms. Doxey uses her foundation of experience to provide best practices and solutions to her clients in the areas of compliance, auditing, internal controls, and fraud prevention. She also serves as the Executive Director of the Controller Certification Program for the IOFM.

Ms. Doxey is a Certified Accounts Payable Professional (CAPP), holds a Certification in Controls Self - Assessment (CSA), is a Certified Internal Controls Auditor (CICA), and is a Certified Professional Controller (CPC). She has authored The Controller’s Best Practices Guide and The Controller’s Best Practices Guide to the Financial Close for the IOFM and IMA. She has also published two handbooks: AP Leadership Skills and Implementing a Controls Self -Assessment Program for Accounts Payable. She writes articles, blogs, and whitepapers for professional organizations and solution providers. She also provides several webinars and presentations throughout the year.

Ms. Doxey is a member of the Institute of Internal Auditors (IIA), the Institute for Internal Controls (The IIC), the Institute of Financial Operations (IFO), and the Institute of Management Accountants (IMA). She is a board member of the IMA’s Ethics Committee and Research Foundation. She is also a member of the advisory board for The IIC and is president of the Washington DC area chapter for both the IFO and the IIC organizations.

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