Certificate In Internal Audit Series

Certificate In Internal Audit A Series Of Training Courses For Auditors Kempinski Hotel, Mall of the Emirates, Dubai, UAE

5 Exclusive Training Courses In One Course

Date

I–

12 – 16 June 2011

Essentials Of Internal Audit

II – Internal Audit Practitioner

3 – 6 July 2011

III – Advanced Audit Techniques

27 – 29 September 2011

IV – The Effective Audit Manager

16 – 20 October 2011

V – Risk Based Auditing

23 – 27 October 2011

(Dusit Thani Hotel, Dubai, UAE)

Top

5 Learning Objectives:

1 2

Understand what it means to be an internal auditor

3

Learn how to audit complex areas of the business such as projects, contracts, IT and corporate governance

4

Appreciate how to tackle the significant challenges faced by heads of internal audit and audit managers

5

Learn the techniques and practical application of risk based auditing

Develop the skills required by a modern auditor (including 150 ways to improve audit reports)

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Certificate In Internal Audit

Course One

Essentials of Internal Audit 12 – 16 June 2011 Who Should Attend Course One?

• New entrants to internal audit • Internal auditors with up to 18 months experience • Those returning to or already working in internal audit who need practical guidance on the changing role of the function • Personnel in other functions who need a better understanding on the modern internal audit role

A Series Of Training Courses For Auditors

What You Will Learn Course Timings: Registration will be at 07:30 on Day One. Each four day course will start promptly at 08:00 and finish at 14:30 with breaks for refreshments at appropriate intervals. Lunch will be served at 14:30.

• What it means to be an internal auditor • A thorough understanding of modern internal audit • Responsibilities of the function and its professional standards • The different types of audit and how to apply them • How to plan and complete an effective audit • The skills you need and how to plug the gaps • How to write a report with impact • How to persuade management to accept your recommendations

Why You Should Attend

This course covers everything you need to know as a newcomer to Internal Audit regarding the most effective audit practices.

Introduction Modern day internal audit is energetic and electrifying, adding real value to the organisation and operating at the highest levels. The reputation of many audit functions is soaring – it is increasingly recognised as a catalyst for change and a business partner.

As a consequence of this, internal auditors have to have the full range of knowledge and skills to ensure that they can carry out their function at world class levels.

Certificate In Internal Audit is a series of five training courses which will cover everything you need to know as an auditor, regardless of your level of experience. The series will introduce you to worldwide best practice and will challenge your thinking about the whole approach to audit, writing reports and planning the audit process.

Each course is aimed at auditors of any level of experience and you will find a course relevant to you and your training needs.

There has never been a more interesting or challenging time to be an internal auditor. The function has changed significantly from the basic compliance and checking function it once was.

Internal audit in the 21st century should be vibrant and exciting; adding real value to the organisation and operating at the highest levels. The reputation of many audit functions is soaring – it is increasingly recognised as a catalyst for change and a business partner.

If you have staff who are new to Internal Audit you will want them to learn the best audit practices and be able to apply them efficiently.

The course will introduce you to the worldwide best practice and how to apply it.

Maybe you have auditors who are returning to the function, or staff who are to be seconded to you for a period of time? You will want them to learn about the changing role of the audit function.

Perhaps you work in a line function with responsibility for providing assurance to the board and need a fuller understanding of the internal audit role.

Course V Risk Based Audit

Day One: The Challenges For Internal Audit (IA)

Course IV The Effective Audit Manager Course III Advanced Audit Techniques

Course II Internal Audit Practitioner

Course I Essentials of Internal Audit

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• What is internal audit ?

• How the profession has changed over the last decade • What it means to be an internal auditor Exercise 1 – A Thought Provoking Exercise To Set The Scene • Definitions and trends • Internal audit role and responsibilities • Frequently asked questions • Misconceptions about the role • The professional standards - Integrity - Objectivity - Confidentiality - Competency - Due professional care

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Exercise 2 – The Challenges For An Inexperienced Auditor

Exercise 12 – Getting The Most Out Of Audit Customers

• How does the role differ from other assurance providers?

• How should you coordinate your efforts with other assurance • providers?

• Optimising assurance – a model • Corporate governance and the IA role • The audit committee and the audit relationship • Relationships with management • Audit skills • The Institute of Internal Audit (IIA) competency framework

• The need for simplicity • How to get on the same wavelength as management • Persuasion and negotiation Exercise 13 – Persuasion Exercise 14 – The Puzzle: An Exercise To Test Planning

Day Four: Completing An Audit

Exercise 3 – The Skills Inventory

Exercise 15 – The Final Straw

• • • • •

• Explaining the audit approach to staff of the function audited • Case study - an example presentation will be shared • Building a picture of the system and processes • Documenting the system • The audit manual - IA organisation - Control framework - Audit planning - Completing the assignment - Interpersonal awareness - The audit file - Audit assignment checklist • Audit interviews

Technical skills Interpersonal skills Soft skills Personality traits Active listening

Exercise 4 – Moonshot

Day Two: The Internal Audit Role • • • •

Perceptions of internal audit – results of surveys How the role of the function has developed What is best practice?

The challenges

Exercise 5 – How Is The Role Of IA Changing?

• • • • • • • •

• Audit testing – how to decide the type and depth of testing • Audit programmes • Walk through tests • Fieldwork techniques (compliance, transactional, analytical review and sampling of audit) – the differences and how to use them • Audit working papers • The clearance meeting

The audit charter The different approaches to IA Compliance Systems based audit Risk based audit Assurance based IA Drivers of success Risk and the IA role

Exercise 17 – The Clearance Meeting – Role Play • The need for automation – software available • Computer Assisted Audit Techniques (CAATs) • Demonstration of ACL • Audit KPIs

Exercise 6 – Risk And Control • The nature of risk • How IA needs to take the risk pulse • Audit as a catalyst for change

Exercise 18 – Measure Of success

Exercise 7 – Preventative Controls • • • • •

Exercise 16 – Audit Interviews – Role Play

Translating risks into the basis of the IA programme How should IA link with external audit?

The need to explain the IA service to management The danger of assuming too much Management expectations – and how to exceed them

• The challenges of audit reporting • The need for reports with impact • Examples of six reports – which are the best?

• Who reports are for and the implications • The report as your shop window • How do you know a good report when you see one?

Exercise 8 – How Could You Sell Your Function Better?

Day Five: The Audit Report

• Translating key risks into the basis of the audit programme • The external audit relationship • Meeting management’s expectations

Exercise 19 – What Makes An Excellent Report?

Exercise 9 – The Project: A Practical Exercise In Audit Communication

Day Three: Planning An Audit • • • •

Preparing for an audit Developing terms of reference for the assignment Determining sources of information Securing management input

Exercise 10 – Planning An Audit Assignment • • • •

The link between control, risk and objectives Audit objectives Deciding who you will need to interview How to deal with audit customers

Exercise 20 – Analysis Of Two Actual Reports • Best practice reports the way forward • The psychological dilemma with reports • Why audit reports are taken as a criticism of management • What causes attitudes to change?

• Wording and layout ideas • How to get 95% of your recommendations actioned • The executive summary – do’s and don’ts Exercise 21 – Meeting With Management To Discuss The Report

Exercise 11 – Pre-Meeting With Management: Role Play • Relationships with management • Expressing yourself effectively • Recognising different management styles

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• What management expects • Professional standards • The problems with audit reports • Questions about audit reports • How to adopt best practice • How to assess a report

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• The main report – best practice ideas • Words and phrases to avoid • Audit opinions – how to express them • Presenting the results • Tips and techniques for success • Case study – best practice report

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Course Two 3 – 6 July 2011

Internal Audit Practitioner Writing High Impact Audit Reports

Exercise 3 – Analysis Of Four Actual Reports

Who Should Attend Course Two?

• Auditors with more than 18 months experience in internal audit • This course will be particularly useful for delegates who have previously attended the Certificate in Internal Audit 1 – Essentials of Internal Audit course • Auditors or other assurance professionals who want to significantly improve their reports • Personnel in other functions who need a wider understanding on the modern internal audit role or improve their reports

• Feedback And Discussion Assessment And Evaluation Of Your Own Reports Exercise 4 – Self Evaluation Against The Model Provided • Discussion of key issues and identification of opportunities for improvement • Key challenges and their implications

What You Will Learn

• More than 150 ways to improve your reports • How to enhance the impact of your reports significantly • How to make your reports easier to write, easier to review and easier for management to implement • Improve the acceptance and implementation of your recommendations • Appreciate the worldwide trends in Internal Audit • Be able to perform a self analysis of your skills and techniques • Improve your audit manual • How to complete more audits on time • Use CAAT’s effectively

The Executive Summary Exercise 5 – Comparison Of 3 Actual Executive Summaries • 15 ways to improve the executive summary • The benefits of writing the executive summary before the main report • Messages rather than content • Outcomes rather than output • Solutions not problems

Why You Should Attend

Exercise 6 – Role Play A Meeting With Senior Management To Discuss The Report

This course is arranged into 2 modules – 150 Ways to improve your audit reports and Essential Audit Skills. The modules are designed to enable the reasonably experienced auditor to further develop the key skills of a modern auditor – communication, teamwork, negotiation, planning and time management – to name but a few.

The course is designed to challenge your thinking about the whole approach to writing reports and planning the audit process.

The event will be particularly beneficial for those supervising assignments, lead auditors and those being asked to lead audit teams.

As a developing auditor this course focuses on the challenges you will need to overcome.

You will also be introduced to the new ideas in the IA profession and how to apply them.

Day One: Audit Reports – Your Shop Window • • • • • • • • • • • • •

What is a best practice report?

Who do you need to convince?

The challenges of audit reporting Grabbing attention Getting the message across Getting action The need for impact Which of 7 reports shown would you be likely to read 5 ideas for creating impact How do you know a good report when you see one?

What Management expect – recent survey of Chief Executive 2009 IIA professional standards Who are the reports really for?

Day Two: Best Practice Internal Audit Reports – The Way Forward • The psychological problem with reports • Why audit reports are taken as a criticism of management Exercise 7 – Rewriting The Executive Summary • 20 ideas on format and language • Key requirements of the audit report of the future • How to draft a report with impact – discussion of banner headlines and their relative impact • Highlighting the issues that matter • How to get recipients to react positively • 15 ways to focus on success • 10 ways of improving the review process • The use of sentences, paragraphs and bullet points The Main Report • Audit objectives • Scope • Forming and expressing the audit opinion • Benefits and deliverables • Formatting ideas • How to improve the review process • The power of senior management comments • Circulation lists • 30 words and phrases to avoid

Exercise 1 – What Are The Factors That Separate An Excellent Report From The Rest?

The Problems With Audit Reports Exercise 2 – 35 Questions About Your Audit Reports Issued During The Last 12 Months • The 35 questions (all based on best practice) – how did you score?

• What are the factors preventing the achievement of these best practice measures • 35 tips, techniques and ideas to help you score a maximum • Discussion of the implications • How to assess the needs of the audit customers Analysis Of Actual Reports • Explanation of a proven method to evaluate audit reports

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Exercise 8 – Picking The Biggest Paragraph From A Report And Rewriting It In One Third Of The Words Originally Used • How to avoid repeating any sections in the executive summary • How to reduce the number of words • The power of pictures and graphics • The need to relate the issues to objectives and risk • How to deal with sensitive issues in the report Exercise 9 – Redrafting The Objectives, Scope, Opinion And Conclusions • Recommendations and actions plans • Management comments • How to reflect the right issues for the audit committee • 5 ways to improve the follow-up process • 5 ways to present results • Examples of good reports will be provided • The need to be on your customers side

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• • • • •

Reporting KPIs Follow up Tracking actions Use of the intranet Action plans

Day Three: Challenges Of The Modern Audit Role The Modern Auditor Role • Worldwide trends in the profession • The role of the internal audit function - The policing role - The risk assessor role - The consulting role • Can all three roles be provided?

• What should the balance between the roles be?

• How much time should be given to each?

• How can a better understanding of the role by gained?

• How can the profile be enhanced?

Exercise 10 – The Role Of IA In 2010 And Beyond • The multi-faceted role of the auditor • Qualities required by a successful auditor - Negotiating - Planning - Questioning - Listening - Establishing rapport - Investigative skills - Building trust - People management • Leadership styles • Delegation and tips for success Exercise 11 – Performing A Self Analysis • The different requirements and challenges of auditing in major sectors in the Gulf region • Results of October 2008 Survey of Chief Executives • Why Internal Audit needs to take the pulse of the organisation • What is best practice?

Exercise 12 – Key Audit Challenges • • • •

Preliminary planning The importance of planning Constraints to effective planning Pre-meeting with management

Exercise 13 – Building Success – A Negotiation Exercise • The audit manual • Outline of the key constituents • A 64 page manual will be provided to all delegates

• Determining the objectives of the function to be audited • Building an understanding of the audit process • Developing effective audit programmes - What makes a good programme?

- Mistakes to avoid - The dangers of reinventing the wheel - Assigning tasks - Staffing factors - The need for regular updates for standard programmes Exercise 17 – Audit Programme Development • Supervising and controlling audits – tips for success • Fieldwork techniques - Types of fieldwork - Who to decide what techniques to use - How to decide the depth of testing required - Problem solving • Use of computer assisted audit techniques • The benefits of ACL and IDEA • CAAT’s and data mining • Opportunities • Big populations • Comparing files • Info on different systems • Investigations • Stratified sampling • Complex IT updates • Audit trails • Continuous audit • Benford’s Law • Looking for duplicates • Types of test ideal for CAAT’s applications • Cash monitoring • Stock control • Payroll • Revenue • Cost comparisons • External comparisons (with external databases) • Branch or business comparison Exercise 18 – Use Of ACL – Group Exercise Using Audits Chosen By You • The need to meet and hopefully exceed management expectations • How to deal with the audit- phobe (those who dislike audit) • The need to focus on benefits rather than problems • Marketing • Explaining the audit approach to staff of the function being audited • Example presentation to use • Marketing yourselves • Internal Audit at your service Exercise 19 – Marketing Your Approach

Exercise 14 – How To Improve The Audit Manual

Day Four: Planning The Audit Assignment • • • • • • •

The key issues in assignment planning The need to apply project planning techniques Developing a planning memo for the assignment Determining an effective time budget Process analysis Preventative, detective, directive and corrective controls Strategies for improving time management

Exercise 15 - How To Complete More Audits On Time • • • • • • •

Determining sources of information Getting management input Deciding on the audit team Allocating the roles Team work and the challenges faced How to hold an effective team meeting to plan the assignment Getting the most out of the team

Exercise 16 – Teamwork • • • •

The link between control, risk and objectives Deciding who you will need to interview Determining the audit objectives Risk based planning

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Course Three

Advanced Audit Techniques

27 – 29 September 2011 (Dusit Thani Hotel, Dubai, UAE)

Course Timings: Registration will start at 07:30 on 27 September. The course will commence promptly at 08:00 and conclude at 17:00. Lunch will be served at 12:00 and there will be refreshment breaks at appropriate intervals.

Who Should Attend Course Three?

• Senior Auditors • Audit Managers and those about to be appointed to that role • Auditors who need to audit projects, contracts or technical business areas • Assurance professionals who need to assess technical issues • Assurance providers who need a greater understanding of Corporate Governance • This course will be beneficial as a development aid for delegates that have previously attended the Certificate in Internal Audit 2 – Internal Audit Practitioner course

• Determining who to interview and in what sequence • The use of diagnostic questions and thought-provokers Exercise 3 – The Challenges In Carrying Out A Governance Audit

What You Will Learn • • • • • • • •

How to assess internal audit’s contribution as a function How to audit Corporate Governance How to audit the Audit Committee The techniques of continuous audit The techniques of environmental auditing How to audit business continuity planning The modern approach to contract and project audit The techniques of IT and VFM audit

Auditing The Risk Management Process • Establishing the position regarding RM in the business • Establish corporate targets and monitor overall progress • Keeping the Board apprised of the most significant risks • Assessment of RM capabilities • Review of risk evaluations in each function • Ensuring actions to treat exposures implemented • Ensuring all functions evaluate their risks consistently • Evaluating the results and challenging where necessary • Identification of exposures • Auditing the RM process and its implementation • Basing audit programme on most significant risks • Comparing perceived versus actual controls • A risk management evaluation tool will be provided Exercise 4 –The Challenges In Meeting Risk Management Governance Requirements

Why You Should Attend

As a progressive audit practitioner who strives for excellence, your vision is world-class and you realise that long term survival in today’s competitive marketplace means delivering impeccable products and services and auditing the wide range of business risks.

An advanced and innovative auditing strategy coupled with effective implementation can greatly enhance the departmental value added and company-wide support of your auditing function.

Expertise in the more technical business areas are essential to maintaining a stable foundation from which your company can effectively compete in the Middle East.

The biggest challenges to modern internal audit functions will be covered in the course – including auditing your organisations reputation and brand.

Auditing The Audit Committee Process • Does the Committee approve internal audit strategy, plan and performance?

• Does the Committee review summary IA reports and the main issues arising and seek assurance that action has been taken • How does the Committee consider the reports of external audit and other external agencies?

• How are the effectiveness of relationships between IA and EA and other bodies reviewed?

• How are the effectiveness of the risk management environment and anti-fraud arrangements assessed?

• How does the Committee satisfy itself that assurance statements and the annual statement of accounts properly reflect the risk?

• How does the Committee review the financial statements and monitor actions taken in response to issues raised?

The New Internal Audit Challenges

Exercise 5 – The Audit Committee Challenges

The Wider Internal Audit Brief

Recent Professional Guidance And Practice Advisory Statements • New guidance and its implications • Organisational independence • Interaction with the Board • Knowledge and skills • Quality assurance and improvement programme • Internal and external assessments • Resource management • Coordination • Internal control • An effectiveness of IA checklist will be shared

Continuous Auditing • The IIA Global Technology Audit Guide (GTAG) • Key issues in the GTAG • Continuous auditing and continuous monitoring • The use of CAAT’s for continuous auditing • Continuous risk assessment techniques • Continuous control assessment Exercise 6 – Opportunities For Continuous Auditing

Exercise 1 – The Challenges Of The New Standards The Key Aspects Of Corporate Governance • Meeting stakeholder requirements • How the organisation is managed on behalf of the stakeholders • The key parties within governance • Audit committee • The Board • Regulators • Customers • Suppliers Exercise 2 – Defining The Parties And The Key Governance Issues For Each Party Auditing Governance Readiness • Who to meet with to discuss the assignment • Holding a pre-meeting – do’s and don’ts • Developing a terms of reference for the assignment • Should this be a review only – will evidence be gathered?

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Environmental Audit • The need for environmental auditing • ISO 14001 • Why environmental audit is valuable even if you do need to comply with ISO 14001 • Carrying out an environmental site review • Reviewing the audit trails • Meeting regulatory requirements • Ensuring consistency Exercise 7 – Challenges Of Environmental Audit Auditing Business Continuity Management (BCM) • The importance of BCP • The need to recognise BCP is not just about IT recovery • Does the organisation’s leadership understand the current business continuity risk level and the potential impacts of likely degrees of loss?

• Can the organisation prove the business continuity risks are mitigated to an approved acceptable?

• Are they tested effectively?

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• Is the Board well set up to respond swiftly and capably in a crisis?

• Is there an appropriate contingency plan ready to be used to manage a crisis?

Exercise 8 – BCP Audit Discussion

• Evaluation of data and effectiveness of management processes • Evaluation of performance and cost saving potential • Measuring the benefits Exercise 13 – Assessing Performance Via PIs

Auditing Outsourced Contracts • Overview of contract management • Outsourcing objectives • Transfer of risk • Roles and responsibilities • Different approaches to outsourcing • Legal and contractual issues • Internal Audit role • Considering the drivers for the business • Business history and inherent risk • Determining key risks • Assessing the business control framework • Developing a structured approach to the audit work

VFM Audit Techniques • The range of techniques • Comparative analysis • Evaluating effectiveness, efficiency and economy • Evaluating productivity in practice • Working with other specialists • Measuring opportunities Case Studies - With Hints, Tips And Practical Advice • Practical applications for VFM – open discussion with opportunity for delegates to raise specific concerns and ideas

Exercise 9 – Challenges Of Auditing External Contracts Brand And Reputation Audit – The Ultimate Challenge • The rise of reputation as a key risk • The increasing importance of a positive image – the need to be admired • Reputation – the value measure of the 21st century • Where does reputation come from?

• How do you measure it?

• The magnifying effect on reputation of business failures • The relationship between vision, values, behaviour and reputation • Damage by association – partnering and alliances • Identifying Reputational Risks • A checklist for reviewing reputational risk will be provided to all delegates Exercise 10 – Auditing A Reputational Disaster

CSR And VFM Audit

Exercise 14 – VFM Audits – Topics Will Be Chosen By You And The Audit Will Be Brainstormed

Auditing Projects And IT Audit Auditing Projects • Project management audit - Project organisation - Content and scope - Time management - Cost management - Quality management - HR issues - Communication - Reporting - Risk management - Procurement • Other types of project audit • Business case audit • Business requirements audit • Project framework audit e.g. use of PRINCE • Post project audit

Social Responsibility, Ethics And Meeting Stakeholder Expectations • The increasing importance of Corporate Social Responsibility (CSR) • How to audit CSR • Is communication with main stakeholders taken seriously?

• Are the expectations of these stakeholders accurately understood and what are the risks that these will not be met?

• Are opportunities taken to develop the ethical reputation of the business?

• How do we ensure that staff have and display the right attitudes?

• Has the business assessed its reputation for social responsibility and its impact on our business prosperity?

• Is the Board, and in particular the Chief Executive, sensitive and responsive to the concerns of customers

Exercise 15 – Completing A Project Audit Auditing Systems Under Development • Why auditing systems under development need not compromise your wider audit role • The need to audit at key stages – not to be part of the project team • Ensuring that the processes and policies are complied with • Determining the points of potential failure • Ensuring controls are not bypassed – due to time constraints • Ensuring risks are identified at the start and regularly reviewed • Ensuring sufficient end user involvement • Sub system prioritization process

Exercise 11 – CSR And Meeting Expectations – The Audit Challenges

Exercise 16 – Challenges Of Systems Development Audit

The Modern Approach To VFM Auditing • What is VFM auditing?

• How does it differ from other audit approaches?

• The relationship between VFM and other types of Audit • The benefits of VFM auditing • The associated dangers e.g. trying to quantify non-quantifiable savings

IT Auditing • Global Technology Audit Guides (GTAGs) - Information Technology Controls - Management of IT Auditing - Managing and Auditing IT Vulnerabilities - Auditing Application Controls - Information Technology Outsourcing - Identity and Access Management - Change and Patch Management Controls - Managing and Auditing Privacy Risks - Developing the IT Audit Plan • Use of GTAGs and their implications • Risk Based Audit of general controls (GAIT) • IIA guidance re GAIT

The 3 Es • The 3 Es – the cornerstone of VFM auditing • Economy and how it can be evaluated • Examples of poor economy • Efficiency and how it should be assessed • Why it is critical to evaluate efficiency – with examples • Effectiveness and how it can be assessed • Identification of inputs and outputs • Measuring the 3 Es

Exercise 17 – Challenges Of IT Audit

Exercise 12 – VFM Review Of Customer Service Key Steps In Completing A VFM Review • How to select VFM topics • The research phase • Objectives, methodology and techniques • Establishing terms of reference (how this differs from a traditional assignment) • Defining the boundaries of the review • Gathering of information

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Course Four 16 – 20 October 2011

The Effective Audit Manager

Who Should Attend Course Four?

• Heads of Internal Audit • Audit Managers and those about to be appointed to that role • Directors responsible for internal audit • Heads of other assurance functions such as Compliance or Quality Assurance • This course is specifically for the most senior audit professionals

Benchmarking Or Quality Assuring Your Internal Audit Function • The power of benchmarking - Demonstring excellence - Meeting Board and Audit Committee challenges - Identifying opportunities - Recognising progress made - Ensuring best practice is being followed • The need for external evaluation as per the IIA standards - Should be conducted at least once every 5 years - By a qualified external reviewer - Results should be given to the Board

What You Will Learn

• Information on the worldwide trends in IA and emerging best practice • How to make the transition from a good function to a great one • How to quality assure your function in line with IIA requirements • The techniques in building a world class team • How to manage the audit process more efficiently and improve strategic audit planning • How to deal with the challenges of consultancy • The techniques of managing investigations

Round Table Discussion 3 – Quality Assuring The Function – Achievements And Challenges • Feedback and discussion – and ideas for dealing with the challenges – generated by the participants

Day Two: New Challenges

Why You Should Attend

This course is unique in that it is targeted specifically to the most senior assurance professionals – and is based on a series of round table discussions on the key aspects of a modern internal audit function – and the challenges faced by the ever changing world economy.

A wide range of key topics will be discussed - such as meeting the changing needs of stakeholders, developing more proactive relationships with the Audit Committee, auditing corporate social responsibility and the challenges of making successful presentations.

The event represents a superb opportunity to meet your peers from both your sector and others and develop new approaches to the difficult challenges facing audit managers and Heads of Audit today.

Proactive Audit Committee Relationships • How to create the correct relationship with the Audit Committee (or the Board if you do not have an Audit Committee) • The need for at least one Audit Committee meeting per year exclusively for Internal Audit?

• The need for one-to-one meetings with the Chairman of the Audit Committee • The need for the Committee to approve (but not direct) internal audit strategy, plan and performance • How should the Audit Committee assess IA performance • The annual Report for the Audit Committee – best practice ideas • Are effective relationships between IA and EA and other bodies reviewed by the Audit Committee?

• Is the effectiveness of the risk management environment and anti-fraud arrangements assessed – what information should be provided by IA? • A checklist will be provided

The course also includes opportunities to discuss issues of your choosing with fellow decision makers in the IA profession.

Day One: The Future Of Internal Audit In The Gulf Region The Significant Changes In The Internal Audit Role • How the IA profession has changed in the last 10 years • The transition from a Compliance approach to risk based auditing • Determining an appropriate mission statement • Deciding the strategic direction for your function • Worldwide trends in Internal Audit - More assurance is required by senior management - The role is getting broader - The role is much more focussed on strategic and operational than purely financial issues - The role is focussing more on key risks - You cannot audit round the computer any longer - The pressure to add measurable value - IA are being asked for more advice - IA is being regarded more as a partner Round Table Discussion 1 – The Challenges Facing Internal Audit In The Region • Feedback and discussion – and ideas for dealing with the challenges – generated by the participants

Round Table Discussion 4 – Assessing The Audit Committee /Board Relationship • Feedback and discussion – and ideas for dealing with the challenges – generated by the participants Building World – Class Internal Audit Teams • The recruitment dilemma – what if you cannot get the talent you need • Determining a strategy for building the team • Sources of talent – growing your own or recruiting from outside?

• Should you try to recruit personnel with previous IA experience?

• Which is more important – knowledge of your sector or IA knowledge?

• Performance management – what are the most effective measures?

• What skills should you be looking for • Checklist of issues to assess in a potential auditor • Succession planning Round Table Discussion 5 – The Challenges Of Recruitment In The Gulf Market

How To Make The Transition From A Good Function To A Great One Meeting Stakeholder Expectations • Who are the stakeholders?

• Are stakeholders’ expectations known?

• Are the expectations clear?

• How can you meet the widely differing expectations?

• Should you try?

• Are there any areas where expectations could be exceeded?

• Are there any quick wins?

• What reports should IA provide to stakeholders?

Round Table Discussion 2 – Meeting The Ever Expanding Needs Of Stakeholders – What Should The IA Role Be? • Feedback and discussion – and ideas for dealing with the challenges – generated by the participants

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• Feedback and discussion – and ideas for dealing with the challenges – generated by the participants Challenges For Internal Audit • Auditing outsourced operations - Should these operations be audited?

- How should you tackle such assignments?

- Ensuring contracts include right to audit • Value for money auditing - What is VFM? - What are valid VFM topics - Does your audit programme target areas of opportunity as well as risk?

- Do you measure the value of monetary savings made as a direct result of your audits?

- Are these savings known to and recognised by management?

• Corporate Social Responsibility auditing - What is CSR? - Does it need to be audited?

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- The importance of ethics and how it should be reviewed - The need for transparency and accountability - Challenges of CSR in the Gulf region Round Table Discussion 6 – Audit Challenges (Topics To Be Chosen By You) – this is your opportunity to table any issue that you would like to discuss with your peers • Feedback and discussion – and ideas for dealing with the challenges

• Developing effective audit programmes • What makes a good programme?

• Mistakes to avoid • The dangers of reinventing the wheel • Assigning tasks • Staffing factors • The need for regular updates for standard programmes • Supervising and controlling audits – tips for success

Day Three: Risk And Governance Risk Management And Internal Audit • The need to focus audit attention towards the most significant risks • The need for much higher levels of assurance than ever before • What level of assurance can really be provided?

• What should be the audit role in relation to identification and managing of risks • What should the IA role be if your organisation does or does not have a risk management function?

• Could working with management to identify and evaluate risks compromise the independence of the function?

• How should audit plans be developed to ensure the correct risk focus?

• Is Risk Based Auditing a methodology or a state of mind?

• Why has it become so important?

• What are the ideas behind RBA? • Is RBA a revolution or an evolution?

• Can such an approach really enhance the profile of IA within the business?

Round Table Discussion 10 – What Makes A Good Audit Manual And Effective Audit Programmes Working Paper Review • The need to motivate, not criticise staff • The need for peer review during the audit • How to ensure all areas are covered • Identification of key review points • How to write value-added review notes • Tips for electronic working papers • Quality control mechanisms Round Table Discussion 11 – Working Paper Reviews Consultancy Assignments • The IIA standards • Why consultancy should be encouraged • The difference in approach • How to document these assignments • Reporting consultancy assignments • Audit by workshop • Facilitation – do’s and don’ts

Round Table Discussion 7 – What Does Risk Based Auditing Mean To You? What Are The Challenges In Driving Better Risk Awareness • Feedback and discussion – and ideas for dealing with the challenges – generated by the participants Corporate Governance And The IA Role • What is Corporate Governance?

• Key challenges for the Gulf region – Hawkamah research • Meeting stakeholder requirements • How the organisation is managed on behalf of the stakeholders • The audit role in the corporate governance process • The risk focus of the function (and the relative roles of other assurance providers) • Coordination with other assurance providers • The external audit relationship • Role in fraud prevention and investigation • Managing reputation - Is communication with main stakeholders taken seriously?

- Do the goals and values of the business, as well as its principal policies on conduct, sufficiently address the main areas of reputational risk?

- Are corporate values within the public arena?

- How is sufficient coverage of different business issues achieved within the policy statements and codes of practice, and is reputational risk addressed appropriately in each case?

- Are policies governing reputation management clearly communicated internally?

• Crisis management - Is there an appropriate contingency plan ready to be used to manage a crisis?

Round Table Discussion 12 – How To Convince Management That Consultancy Is The Direction For Internal Audit Investigations • Investigations – the major differences from standard audits • Which investigations should IA accept • How can this decision be made • The skills required • The need for perfect audit trails • Difficulties Round Table Discussion 13 – Challenges Of Investigations

Day Five: Convincing Management • Discussion of presentations and impact • Determining the audience and preparing an appropriate approach • The need for impact • Deciding the form of presentation • Use of visual aids • How many notes should you use?

• Use of humour – is this a good idea?

• Education or decision seeking – the different techniques • How to deliver a successful presentation - How to combat nerves - Keeping in control - How to deal with questions - Keeping the flow - The need not to over prepare - Use of simple language - How to keep the audience’s interest - Use of props - Anticipating the questions - Considering what the audience will expect - Assessing the results - Getting feedback

Round Table Discussion 8 – The Challenges Of Corporate Governance • Feedback and discussion – and ideas for dealing with the challenges – generated by the participants

Round Table Discussion 14 – Challenges Of Making Successful Presentations

Strategic Audit planning • Determining audits priorities • Determining the audit universe • Building risk-based audit plans • Tapping into risk assessments carried out by management • Determining the level of assurance required • Getting management input • Audit planning model – an electronic version will be provided to all attendees Round Table Discussion 9 – Strategic Audit Planning – how to convince senior management and the Audit Committee that you are auditing the right topics

Day Four: Managing The Audit Process • Building an understanding of the audit process • Establishing audit objectives • The audit manual

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• Making presentations Open Forum • An open forum will be held to discuss any topic of interest.

A number of topics will be tabled – you can highlight the issues you would like to discuss on the day • Topics could include :- Delivering world-class reports - The challenges of internal audit within a family-owned business - How to audit in an increasingly complex IT environment - Auditing financial statements - Continuous auditing - How to make better use of CAAT’s - Auditing ISO 31000, 14001 etc.

- Selling IA to the business better - The role of IA in project management

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Course Five 23 – 27 October 2011

Risk Based Auditing • Surprises and risk • Measurement of risk: probability and impact (or likelihood and consequences) • Categories of risk • Inherent and residual risk

Who Should Attend Course Five?

• Heads of Audit, Audit Managers and Senior Auditors • Auditors responsible for developing or implementing a risk based approach • Other assurance professionals such as those in Compliance and QA functions who are wanting to develop their Risk Based Approach • Managers and Directors of business functions – to aid their knowledge of a risk based audit approach.

Exercise 2 – Analysing A Disaster

This course will benefit delegates that have attended Internal Audit Practitioner or – Advanced Audit skills.

What You Will Learn

• The concepts and practical application of RBA • Understand how to identify, mitigate and control risks effectively • Challenge management and sell the benefits of proactive risk management • Audit major areas of risk for your business with confidence • Add value to your organisation by the application of Risk Based Audit services • Gain confidence in your audit plans through understanding the role of risk • Plan risk based assignments efficiently and effectively • Understand the role of IA in fraud prevention and detection • Measure success effectively

Business Risk • The wider business agenda – understanding strategic risks • How risk management has grown from being a useful tool to being the very pulse of the organisation • Corporate governance and the challenges posed • Building an appreciation of your organisation’s risk appetite • The new International Risk standard ISO 31000 • The AUS/NZ Risk Management Standard • The COSO standard • Steps to take in establishing a business risk management programme • Leading the programme – skills required • Outline of a best practice process

Why You Should Attend

The Institute of Internal Auditors in a recent professional guidance statement stated the following: ‘Internal Audit are being asked to provide much greater assurance to Senior Management than ever before. The Institute believes that the only way to provide such objective assurance is by means of risk based auditing’.

Risk Identification And Evaluation • Approaches and techniques • Explanation of a risk workshop approach • The need for facilitation skills and the characteristics required • How to identify, sift and group the risks • The use of diagnostic questions and thought - provokers • Measuring the consequences and the likelihood of occurrence of each key risk • Risk scoring • The use of risk matrices to prioritise the risks

Audit functions that are able to focus their efforts towards the significant risk in their organisations are able to concentrate their limited resources on the issues which drive business goals and aspirations. In consequence audit plans are directed at the issues, which really matter. This course provides all the latest developments. The course features interactive voting and includes many new topics.

Furthermore, a participative approach whereby auditors and managers work together to identify, assess and control business risks significantly enhances the level of assurance and reduces the chances of nasty surprises – a huge benefit in these more difficult times

Day One: Risk And The Internal Audit Role What Is Risk Based Audit?

• Definitions • Worldwide trends • Trends (from the BRM Internal Audit best practice database) • The transition from systems based to risk based assurance • The different approaches to audit • Audit’s primary roles, objectives and concerns • What is best practice?

• Perceptions of internal audit – 2008 survey results • The role of the function – policeman, risk assessor or consultant • How to ensure you adopt best practice • Interactive voting – the challenges of RBA (20 questions) • The key challenges resulting Exercise 1 – Challenges For Internal Audit • The need to widen the coverage - to become less financially based • RBA in the different sectors • The need to introduce a broad business based approach and the actions required • The steps needed to embrace a risk based approach

Day Two: Risk Management And The Audit Role Exercise 3 – Interactive Risk Workshop Assessment Of Risk Mitigation • The need for separate mitigation workshops • How to assess risk mitigation • Identification and evaluation of risk exposures • Dealing with the exposures (The 4 Ts – Terminate, Tolerate, Treat or Transfer) • Exploiting opportunities • Establishment of action plans Exercise 4 – Risk Exposures The Role Of Internal Audit In Risk Facilitation • IIA Advice • The benefits of close involvement • The drawbacks Risk And Internal Audit • The changing scope of modern internal audit • Identifying, appraising and evaluation risk during the audit process • Translating key risks from the business risk process into the basis of the audit programme • Options for involvement • Monitoring of action plans and audit committee reporting • Evaluation and reporting of actual versus perceived controls • Determining which key risks are not readily auditable • Coordinating efforts with other assurance providers

The Nature Of Risk • The concept of risk • The relationship between risk and objectives • Why senior management may lack a full understanding of the risks • Risk culture • Interactive voting – the role of IA in risk management (25 questions)

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Exercise 5 – Risk And Reward – Team Exercise Embedding The Process • Ensuring compliance with governance requirements and adopting best practice • Quarterly board reporting to review progress in addressing the exposures • Risk Management Committee reporting • Bi-annual evaluation of key risks to ensure new risks identified and included

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• Integrating the programme into the overall risk agenda – e.g. strategic planning, health, safety and environmental management, regulatory requirements, insurance procedures, etc.

Exercise 6 – Interactive Risk Workshop – Mitigation

Day Three: Practicalities Of Risk Based Auditing The Internal Audit Role • Audit’s primary roles, objectives and concerns • What is best practice?

• The audit charter and terms of reference • The role of the function – policeman, risk assessor or consultant • The reputation of the function and how to assess it • The need to add measureable value Exercise 7 – Success Measures

Exercise 12 – Discussion – the challenges of the RBA approach RBA In Practice • Determining the scope of an RBA assignment - Whether objectives are being delivered efficiently and effectively - Whether risks have been identified, evaluated and are being managed - Whether controls mitigate the risks effectively - Where risk exposures exist action is being taken to improve controls - Whether appropriate management oversight is in place Exercise 13 – Scoping A RBA Assignment Relationships With The Board And Audit Committees • Board requirements of an internal audit • Developing regular contact with the Chief Executive • Role of the Audit Committee • The Audit Committee relationship – how to develop this • Evaluating the audit committee requirements • How to anticipate requests • How to develop effective Audit Committee reports • Developing an annual report for the Board or Audit Committee

Strategic Audit Planning • Strategic audit planning • How to decide which areas to audit • The audit universe • Determining the level of assurance • Demonstration of a best practice audit risk planning model (an electronic version will be provided) Exercise 8 – Developing A Strategic Audit Plan Using The Model Tactical Audit Planning • Audit programme development • Sources of audit work • Assignment planning and control • Managing audit requests • Fieldwork techniques • Technology – CAATS, audit automation, etc.

• Audit coverage – geographic and business units • How to cover specialist areas • The need for future orientation Exercise 9 – The Challenges Of Risk Based Audit Assignment Planning The Converging Roles Of The Assurance Providers Under The Risk Umbrella • The increasing emphasis on governance, assurance and control • How should the various assurance providers rise to the risk challenge?

• Synchronising regulatory compliance with internal audit and the risk management functions • The need to coordinate quality assurance, security, insurance and the health and safety functions in relation to risk management • Linking external auditors into the process • The need to coordinate risk reporting

Exercise 14 – The Audit Committee Or Board Report

Day Five: RBA Challenges Quality Assuring Or Benchmarking The IA Function (And The RBA Approach) • The IIA requirements • Introduction to the unique benchmarking template • Explanation of the 11 sections - Corporate Governance and the Internal Audit role - Professional standards - Audit charter - The Audit Committee relationship - Skills, training and resources - Strategic audit planning - The audit manual - Completing the audit - Audit reports - Measuring performance - Marketing the function • Explanation of the scoring system – 200 areas with a maximum score of 500

Exercise 10 – Coordinating Your Efforts With Other Assurance Providers

Day Four: Risk Based Auditing In Practice

Exercise 15 – The Challenges Of Benchmarking Fraud And The Internal Audit Role • How to build a picture of the major fraud risks and exposures in your organisation • The key elements of a best practice framework • How to develop specific strategies and measures against fraud • The use of data mining as a fraud prevention tool • Evaluating the effectiveness of controls – proactive programmes for internal audit • How to ensure an effective balance between prevention and detection • The ECIIA paper

Planning A Risk Based Audit

An Auditors Fraud Toolkit Will Be Provided

Case Study - A Worked Example Of A Risk Based Audit Of HR

Exercise 16: The Audit Role – Fraud Prevention And Detection

• • • • • • •

Risk Based Audit Reporting

Brainstorming the functional objectives Building a picture of the risks Consider threats and opportunities Building the details of the controls Planning the assignment Discussing the types of test and techniques to use Determining the threats to success

Exercise 11 – Specific audits will be chosen for the purpose by the delegates and the functional objectives and risks brainstormed in groups The RBA Approach • The need to assess the risk maturity of the function • Commitment to risk management • Reviewing risk registers • The questions to ask • Assessing risk appetite • Reviewing the effectiveness of the risk management process adopted • Determining which risks should be concentrated on in the audit • Reviewing risk ownership and identifying gaps • Determining the inherent and residual risks • Identifying residual risks above the risk appetite • Assessing the 4 T’s • Consultancy assignments

• The challenges of risk based audit reporting • Getting the message • Getting action • The messages you want the Board to hear • How to ensure no overreaction • Including positive comments • How to keep it short and focussed • Developing a risk based Executive summary • How to get recipients to react positively • How to write balanced reports • Highlighting the issues that matter • How to reduce the number of words • The power of pictures and graphics • The need to relate the issues of objectives and risks • How to deal with sensitive issues in the report Exercise 17: Discussion – How to deliver risk based reports

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Date

Fee before 22 May 2011

Fee before 1 May 2011

Fee before 1 May 2011

Fee before 18 April 2011

US$ 4,450 SAVE US$ 300

US$ 3,950 SAVE US$ 800

US$ 4,450 SAVE US$ 300

US$ 3,950 SAVE US$ 800

US$ 4,650 SAVE US$ 300

US$ 4,150 SAVE US$ 800

Certificate In Internal Audit

Fee before 10 July 2011

Early Bird Discounts

Fee before 14 August 2011

A Series Of Training Courses For Auditors

12 – 16 June 2011

Event

I

3 – 6 July 2011

Essentials Of Internal Audit

II Internal Audit Practioner

27 – 29 September 2011

(Dusit Thani Hotel, Dubai, UAE)

III Advanced Audit Techniques

US$ 4,150 SAVE US$ 800

US$ 4,650 SAVE US$ 300

Fee before 14 August 2011

US$ 4,150 SAVE US$ 800

US$ 4,750

US$ 4,750

US$ 4,950

Final Fee

BC3987

BC3969

BC3935

BC3919

Code

BC3994

US$ 4,950

US$ 4,950

1. Satisfactory attendance – delegates must attend all sessions of the course. Delegates who miss more than 2hours of the course sessions will not be eligible to sit the course assessment.

Fee before 11 September 2011

US$ 4,650 SAVE US$ 300

Delegates must meet two criteria to be eligible for an IIRME/GW Certificate of Completion for a course:

16 – 20 October 2011

Fee before 21 August 2011

Course Requirements And Certificates

Fee before 18 September 2011

Beyond first class teaching and scholarship, the school’s faculty offers practical experience in the issues and challenges confronting business and government. Its research centres link faculty and students with US and international business and government organisations. Recent distance learning initiatives have expanded the school’s global reach.

23 – 27 October 2011

The school has a 75 year history of preparing men andwomen for leadership in both the public and private sectors. Known internationally for its dedication to academic excellence, the school draws students from all parts of the United States and around the world.

IV The Effective Audit Manager

V Risk Based Auditing

The George Washington University School of Business, IIR Middle East’s Academic Partner, is dedicated to excellence: in its teaching and research about management, in the public and private sectors, within the United States and internationally.

2. Successful completion of the course assessment.

Delegates who do not meet these criteria will receive an IIRME Certificate of Attendance. If delegates have not attended all sessions, the Certificate will clearly state the number of hours attended.

Assessment The course assessment will be made on the following parameters: • Overall level of participation, including relevant questioning and ability to tackle individual spreadsheet exercises during the course, • Multi-option questionnaire, based upon topics explicitly covered during the course • A set of numeric calculations in the end, based upon topics explicitly covered during the course

Meet Your Expert Series Leader Phil Griffiths Phil is founder and Managing Director of Business Risk Management Ltd and is regarded as one of the world’s leading experts in Internal Audit.

A Chartered Accountant, and an Associate of the Institute of Internal Auditors, he has over 25 years’ experience in internal audit, risk management and fraud prevention and detection as practitioner, professional adviser, facilitator and trainer. He has held top management positions with three international groups, in roles embracing internal audit, finance, project management and risk management.

He has extensive experience of the Middle Eastern market having worked with over 250 organisations in the UAE, Oman, Lebanon, Qatar, Bahrain, Saudi Arabia and Kuwait during the past 10 years and worked in all major sectors.

He has delivered training and consultancy services across Europe, the Middle East and the Far East and is recognised as an accomplished and charismatic facilitator, trainer and lecturer. He has advised many renowned organisations, coordinated top-level events and addressed national and international conferences on a wide range of business critical topics.

He is a renowned author – his recent book ‘Risk Based Auditing’ is an international best seller. Phil has published research into many aspects of internal audit and risk management best practice, including “Strategic Risk management”, “The Need to Co-ordinate Assurance Providers” and “The Expectations of Chief Executives towards Internal Audit and its future” He is in continual demand to speak at the most prestigious conferences on risk management and internal audit.

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Certificate in Internal Audit Kempinski Hotel, Mall of the Emirates, Dubai, UAE

FIVE WAYS TO REGISTER 971-4-3352437 971-4-3352438 register@iirme.com

IIR Holdings Ltd. GCS/IIR Holdings Ltd. P.O Box 21743 P.O Box 13977 Dubai, UAE Muharraq Kingdom of Bahrain

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DISCOUNTS AVAILABLE FOR 2 OR MORE PEOPLE CALL – 971 -4-3352483 E-MAIL – a.watts@iirme.com Interested in running this course in-house?

Please call the Customised Training Solutions Team on 971-4-3352439 or CTS@iirme.com

Event

Date

Code

I Essentials Of Internal Audit

12 – 16 June 2011

BC3919

II Internal Audit Practioner

3 – 6 July 2011

BC3935

III Advanced Audit Techniques

27 – 29 September 2011

BC3969

All registrations are subject to our terms and conditions which are available at www.iirme.com/terms. Please read them as they include important information. By submitting your registration you agree to be bound by the terms and conditions in full.

IV The Effective Audi Manager

16 – 20 October 2011

BC3987

Payments

V Risk Based Auditing

23 – 27 October 2011

BC3994

WEB BC3919 / BC3935/ BC3969 / BC3987 / BC3994

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