Focus and Features

The purpose of the preliminary survey is to obtain background information and establish sufficient understanding of an auditable unit or area as a basis for the risk and control matrix, which will point internal auditors to the appropriate audit objective(s).

Objectives: At the end of 2 days of 4 hours per session, participants will learn to:

  • Perform and document a preliminary survey
  • Develop and assess a Risk and Control Matrix (RCM) and
  • Develop relevant audit objectives from the RCM

What You Will Learn

Introduction: Overview of Engagement Planning

  • Mandatory Guidance
  • Process & Outputs

Performing the Preliminary Survey

  • Mandatory Guidance
  • Overview
  • The Preliminary Survey Process
  • Planning Considerations
  • Exercises & Case

Risk and Control Matrix (RCM)

  • Mandatory Guidance
  • Overview and Purpose
  • RCM Approach and Tools
  • Exercises & Case

Audit Objectives

  • Mandatory Guidance
  • Determining Audit Objectives
  • Types of Audit Objectives
  • Exercises & Case


Mary Jane Rosales

Sr. Partner/Consultant at Domingo, Rosales and Associates, CPAs

More about our speakers


Virtual set-up/via Zoom

See route

Contact us

For additional event or venue information, please email training@iia-p.orgYou can also reach us at +63 79409551

Sponsors and Partners