California Association of State Auditors

This two part series will help the advanced auditor and new senior auditor. Participants will enhance existing audit knowledge to ensure they have the skills to effectively perform their job. Participants will have hands on practice with risk assessment, audit planning, workpaper documentation, workpaper review, and audit finding review. With the added responsibilities as an advanced auditor, the course also provides some time management techniques.  

Part 2: Monday May 6 and Tuesday May 7, 8:30am-12:30pm

Being the Leader Your Auditors Need (8 CPE)

1. Preparing and training audit staff
   1. The 3 pillars (objectives, risks, and controls)
   2. Departmental expectations and Internal Auditing standards
   3. Identifying competencies and competency gaps
2. The Power of Good Facilitation/Presentation Skills
   1. Facilitating discussions, meeting, and conversations
   2. Organizing presentations
   3. Informal presentations
   4. Skills Practice: Presenting in Virtual Environments
3. Designing test steps any auditor can follow
   1. Identifying testing objectives
   2. Determining sampling technique
   3. Identifying controls
   4. Designing test of control adequacy and test of effectiveness of controls
   5. Skills Practice: Using the RCM to Create an Audit Program
   6. Writing audit procedures/test steps
4. Developing skills and competencies
   1. Teaching others
   2. Providing feedback in review notes
   3. Reviewing workpapers
   4. Reviewing audit issues/concerns
   5. Skills Practice: Workpaper review notes
5. Supervising Audit Staff
   1. Setting expectations
   2. Motivating staff
   3. Engaging staff
   4. Teaching the acid test
6. Closing the audit
   1. Delivering the final report
   2. Completing administrative tasks
7. Wrap-up, Nuggets, Top 10 Take-aways

Program level: Basic
 
Prerequisites: Beginning Auditor Bootcamp or 1.5 years of audit experience
 
Advanced Preparation: None
 
Instructional Method: Group-live
 
Recommended CPE credit to be awarded for the program: Field(s) of Study – Professional Development (4), Auditing (4)