Auditor-in-charge Tools and Techniques - Training - The Institute of Internal Auditors (IIA)
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Auditor-in-charge Tools and Techniques

Your opportunity to...
  • Master project management techniques through effective planning, organizational techniques, and expecting the unexpected.
  • Learn eight simple planning tools that ensure success.
  • Find out how to control the audit by using well-established supervisory, communication, and time-management techniques.
  • Identify six steps of effective delegation.
  • Learn how to train auditors to perform assigned tasks, solve problems, and document audits properly.
Calling all...
  • Recently promoted auditors-in-charge or auditors assuming the role of lead auditor of an audit project.
Course Description

Prerequisites: None
Advanced Preparation: None
Delivery Method: Group-Live


Leading an audit team not only requires a great deal of knowledge, it also requires dedication, efficiency, and effective leadership skills. New audit leaders today need to know how to properly run a team so that every project runs smoothly. In other words, they need the skills to lead with confidence.

This stimulating and informative session covers the organization, time management and problem solving skills necessary for managing a successful team. Incorporating diverse teaching methods from lectures to case studies to group discussions, auditors will learn and practice eight simple planning tools that ensure success. Upon completion, participants will also be able to identify the six steps of effective delegation, a tool imperative to running any audit team.

Course Outline
Roles and Qualities of Auditors-in-charge
  • Identify the duties of the auditor-in-charge.
  • Identify informal leadership qualities and qualities for the auditor-in-charge.
  • Identify the International Professional Practices Framework, definition of internal audit, and IIA standards.
Case Study
  • Identify elements of the fictional company Microcomp, the Microcomp internal audit department, and an overview of the audited operation.
Planning the Audit
  • Identify the definitions of planning and IIA audit planning Standards.
  • Identify the information found in a planning memo.
  • Identify the objectives of an opening conference.
  • Identify the questions answered by the preliminary survey, what the preliminary survey should identify, and how to assess control effectiveness.
  • Identify the tools and techniques used in audit planning.
  • Identify computer-based audit tools and how they are implemented and audit planning guidelines for information technology.
  • Identify the responsibilities of auditors toward fraud prevention and detection, and control environment elements.
  • Identify the general and application controls reviewed in an audit.
Audit Programs and Staffing Assignments
  • Identify problems with audit program preparation, approaches to audit program development, and attributes of effective audit programs.
  • Identify factors the auditor-in-charge needs to consider when staffing an audit program and effective methods for delegating tasks.
Supervising and Controlling Audits
  • Identify the auditors-in-charge control responsibilities, how to avoid control problems, and three easy steps to audit control.
  • Identify time management problems and ideas for improving time management.
Achieving Results Using Project Planning and Management
  • Define project management and identify the advantages of project management.
  • Identify the qualities and skills needed by a good project manager.
  • Identify two methods for improving project results.
  • Identify the components of a project plan.
  • Identify how to estimate the resource requirements for a project.
  • Identify methods for making up time on a project that is behind schedule.
  • Identify methods for preventing conflicts and resolving conflicts.
Reviewing Working Papers
  • Identify the IIA Standards and quality assurance and program Standards relevant to reviewing working papers.
  • Identify the practice advisories related to working paper reviews, the objectives for a workpaper review, and tips for using electronic workpapers.
Audit Concerns and Reports
  • Identify audit concerns, client reactions to audit concerns, ways to sell audit concerns, and the elements of an audit concern.
  • Identify the functions of audit reports, key IIA communication Standards, and characteristics of effective reports.
The Exit Conference
  • Identify the functions of the exit conference.
  • Identify the planning issues for exit conferences.
  • Identify the keys to a successful exit conference.
Wrapping Up the Audit
  • Identify the tasks required to complete audits.
  • Identify the criteria used by lead auditors to determine if audit responses are adequate.
Appraising Staff Auditor Performance
  • Identify the benefits of performance evaluations, standards for measuring auditor performance, and other factors influencing performance appraisals.
  • Identify the steps to ensuring a performance appraisal meeting is successful.
Developing a Personal Action Plan
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