OIA9 Internal Auditing Consulting and Facilitation


Corporations are becoming more and more aware of the skills inherent within their Internal Audit function. Increasingly management is taking a risk management role and Internal Audit is being called to facilitate and consult at corporate and strategic levels

This three-day, intensive course provides auditors and audit management with an approach to the consulting and facilitation roles of the Internal Auditor.

This intermediate course is designed to provide the participants with an in-depth knowledge of:

  •     What activities and outcomes distinguish consulting from traditional auditing

  •     The consulting skills that are central to the current definition of internal auditing for adding value and assessing effectiveness of risk management, controls, and governance processes

  •     How to assess Internal Auditing and staff consulting and facilitation capabilities and develop a plan to close any gaps

  •     How to tailor consulting outcomes to the audit environment


Day 1 Consulting and Auditing – the IIA Approach

Re-engineering the Internal Audit Process

  •     The traditional audit process

  •     The re-engineering process

  •     Risk-based auditing

  •     The focused audit approach

  •     Facilitated self assessment for cost-effective auditing

Planning the Consultative Audit

  •     Identifying and assessing risks

  •     Developing control objectives

  •     Identifying control criteria

  •     Defining clear audit objectives

  •     Maintaining the client contact

Control Evaluation

  •     A matrix approach to control assessment

  •     Differentiating between adequate control and effective control

  •     Identification of key control indicators

  •     Continuous control / continuous monitoring / continuous auditing

Using Automated Tools

  •     Generalized audit software

  •     Automated working papers

  •     Reliability of audit evidence

 Day 2 Becoming a Successful Consultant

 Understanding your Customer

  •     Understanding the customer’s needs

  •     Maintaining communications

  •     The exit conference – achieving expectations

Marketing your Services

  •     Differentiating a product

  •     Why choose you?

  •     Marketing an intangible

  •     Proving the value

Identifying your own Skills Shortfalls

  •     Developing the product delivery

  •     Knowing your own weaknesses

  •     Self improvement sources

  •     Motivating for competencies

Delivering Quality Services

  •     Quality measurement and the IIA standards

  •     Quality self-assessment

  •     The external quality review

  •     Keeping your customers happy

Day 3 Facilitation Skills

 Facilitative Listening Skills

  •     Listening Skills

  •     Questioning techniques

  •     Observing body language

  •     Nonverbal close

The Workshop Structure

  •     Format

  •     Techniques

  •     Facilitation skills

  •     Roles in facilitated workshops

Planning the Facilitated Workshop Session

  •     Planning the facility, equipment, resources

  •     Preparing the appropriate model(s)

  •     Interviewing managers/sponsors

  •     Anticipating difficulties

  •     Overcoming Conflict

Conducting the Workshop

  •     Understanding group dynamics

  •     Techniques to encourage effective participation

  •     Techniques to maintaining focus while integrating diverse perspectives

  •     Guiding the workshop to conclusion

  •     Documenting the workshop session

Workshop Outcomes

  •     Concluding the session

  •     Case study

  •     Review and critique

  •     Tips and common pitfalls


The seminar is aimed primarily at managers and audit professionals who wish to improve their own levels of efficiency and effectiveness by implementing a consulting and facilitation approach

To register, please send us your details on the:

  Registration Form  

mail to: info@rcascarino.com