This three-day, comprehensive course is intended to introduce new internal auditors to the professional practice of internal auditing. The seminar concentrates on the practical application of the principles and covers the full scope of the internal audit process.
By the end of this module the attendee will gain:
- An understanding of the entire internal audit process
- A knowledge of internal audit concepts, documentation and evaluation
- The ability to identify audit objectives and to develop efficient audit procedures to meet those objectives
- A knowledge of how to communicate positive audit reports which are results oriented
- The ability to recognise and cope with various categories of difficult auditees
- The techniques for dealing with computerised areas
- An understanding of the use of quantitative tools for maximising audit productivity
- An understanding of the role of ethics in Internal Auditing and how an ethics audit may be conducted
Learning Objectives:
The study course is primarily aimed at aspirant Internal Auditors. It will also prove beneficial to middle management staff with the control responsibility, and for external auditors dealing with the Internal Auditing function.
The program is geared to new entrants to the Internal Audit field and builds rapidly to shorten the time period to productivity and effectiveness.
This seminar will cover:
- Nature, role and scope of internal auditing
- Theory, purpose and structure of internal auditing
- Planning the audit cycle
- Setting audit objectives
- Obtaining and documenting audit evidence
- Evaluation of systems of internal control
- Identifying the audit implications of identified internal control weaknesses and strengths
- Designing an audit program
- Approaching the exit interview
- Developing the audit report
- Auditing in an information systems environment
- Major terms involved in ethics and business ethics in particular
- Levels of business at which ethics is evaluated and the core issues involved
- Why ethics is necessary on the personal and organisational level
- Distinguish between 'morality' and 'ethics'
- Why IIA professional ethics and professional virtues are important
Who will benefit:
Internal Auditors with less than one year's experience or those internal auditors who need a comprehensive refresher course in modern internal auditing techniques.
- Internal auditors and supervisors
- External auditors and supervisors
- Risk managers
- Security officers and executive management
- Audit management personnel
- Officers of a company with a duty to manage corporate risk
The Ethics module is particularly relevant with the new IIA requirement for Ethics training.
- 8:30 AM - 9:00 AM: Registration Process
- Lecture 1: Nature, role and scope of internal auditing
- Reliability and Integrity of Information
- Compliance with Policies and Procedures
- Safeguarding the Assets
- Economical and Efficient Use of Resources
- Accomplishment of the Established Objectives and Goals
- Lecture 2: Theory, purpose and structure of internal auditing
- Lecture 3: Planning the audit cycle
- Lecture 4: Setting audit objectives
- Lecture 5: Obtaining and documenting audit evidence
- Lecture 6: Evaluation of systems of internal control
- Lecture 7: Identifying the audit implications of identified internal control weaknesses and strengths
- Lecture 8: Designing an audit programme
- Lecture 9: Approaching the exit interview
- Lecture 10: Developing the audit report
- Lecture 11: Auditing in an information systems environment
- Lecture 12: Ethics Theory
- Lecture 13: Classes of Ethics
- Lecture 14: The role of business
- Lecture 15: Employee ethics
- Lecture 16: Honesty, objectivity and diligence
- Lecture 17: Conflicts of interest
- Lecture 18: Reporting of material facts
- Lecture 19: Corporate Codes of Conduct
- Lecture 20: Corporate Social Responsibility
- Lecture 21: Conducting an Ethics Audit
Richard Cascarino,
Principal, Richard Cascarino Associates
Richard Cascarino,is the Principal of Richard Cascarino & Associates, a highly successful audit training and consultancy company based in Colorado and Johannesburg. He is a regular speaker at National and International conferences and has presented courses throughout Africa, Europe, the Middle East and the USA. Richard is a Past President of the Institute of Internal Auditors in South Africa and also a member of ISACA and the Association of Certified Fraud Examiners.
Richard was a member of the Audit Committee of the Department of Public Enterprises in South Africa and chairman of the Audit Committee of Gauteng cluster 2 (Premier's office, Shared Services and Health). He is the author of the "Auditor's Guide to IT Auditing" and the newly released “Corporate Fraud and Internal Control: A Framework for Prevention” both published by Wiley Publishing which is also used by universities worldwide.
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