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Course Description

Awarding Body: CPD for Certified Internal Auditors

This one day course provides a highly useful and practical introduction to RBIA, examines the Position Statements of the IIA, and then looks at the practical application. This is a great course for involving whole teams where a changing approach is required to auditing.

Course modules

This is a single module course. (All the information is on this course page).

Risk Based Internal Audit Overview

Introduction and objectives

  • Introductions
  • Setting course objectives and expectations
  • Discuss the relationship between corporate objectives, risk, controls, assurance, and audit
  • Overview of the Risk Management process

What is RBIA?

  • Examining the IIA Position Statements on RBIA
  • 3-stage approach to RBIA

What is “Risk Maturity”?

  • Examining the IIA Position Statement
  • Risk Naïve, Aware, Defined, Managed, Enabled
  • Consultancy & Assurance approaches
  • Putting Risk Management into context

How to determine a Risk Based Audit Plan

  • What internal audit can offer.
  • How to structure the audit universe in future?
  • Where to concentrate audit effort?
  • Maintaining the balance of work between risk management and traditional auditing.
  • Do we need to keep auditing the same risks year on year?
  • Assurance frameworks
  • How can you seek assurances from other providers?

How to conduct an RBIA

  • When management has a good quality Risk Register
  • When management has not completed a risk register before
  • When the management Risk Register is not sufficient: conducting a facilitated risk assessment for audit purposes.
  • We will work through the audit cycle from start to finish
  • Choosing the appropriate working style
  • Planning the work - how and when to involve the audit client
  • Validating the Risk Register
  • Testing assurances
  • Testing control activities

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Accredited By

institute of consulting premier practice
CIPFA Accredited
institute of consulting premier practice
leadership management wales
chartered management institute approved

  In Partnership With

institute of internal auditors

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Mark Barnes

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