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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
Number of CPE Units : 7
CANCELLATION & SUBSTITUTION POLICY
Cancellations received less than 24 hours prior to the event or after receiving the final confirmation email and zoom link will be charged a cancellation fee, which is 50% of the registration fee.
Substitutions are allowed within the same event without incurring a cancellation fee.
(Rate should be the same, if not, difference should be paid)
No-show registrants will be charged 50% of the registration fee.
