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


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.


Mary Jane Rosales

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

More about our speakers


Virtual set-up/via Zoom

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