The Institute of Internal Auditors
Roundtable Guidelines
1
Table of Contents
I. Preparation Materials and Roundtable Discussion Issues
II. Meeting Planning Suggestions
III. Suggestions for Roundtable Facilitation
IV. Suggestions for Opening Comments / Introduction / Ground Rules
V. Administrative Forms & Checklist

CAE Roundtable Evaluation

Meeting Room Checklist
2
I. Preparation Materials and Roundtable Discussion Issues
A. Background Information, Findings Publicized, and Other Key Facts About
the topic to be discussed.
Provide as much information as possible to the roundtable participants. Any
summary background information that is available, pertinent or pending legislation or
regulatory requirements, web links, other references.
B. Roundtable Discussion Issues
One format for a roundtable is to have the questions prepared in advance and
provided to the participants. If this is the chosen methodology, identify the key topics
the roundtable is to address. Then develop thought-provoking, open-ended
questions to get at and discuss the issues surrounding these topics. Be detailed in
the formulation of the questions. Develop enough questions to completely explore
the issues. You do not need to expect a specific answer to each individual question,
the discussion can address multiple questions. The best source for topics and
related questions are the people who will participate in the roundtable.
Another format is to have the audience present questions to the roundtable
participants for spontaneous response.
A combination of these two formats is also an option.
II. Meeting Planning Suggestions
Roundtables should be planned in advance just like other affiliate events. IIA
suggests the following guidelines for effective roundtable planning:
A. Roundtables are intended to be interactive so presentations by participants other
than a short introduction of the topic are discouraged.
B. Reserve a private room that can comfortably accommodate the attendance in a
“conference room” setting, three months prior to the roundtable. (Use of
corporate meeting rooms is suggested.)
C. Advise invitees regarding roundtable date, time, location, registration and pricing
information. Additionally provide directions to the location at least one month
prior to the event.
D. The roundtable facilitator may want to seek assistance in managing meeting
logistics so that he or she can focus on the program.
3
E. Arrange for pads, pencils, flipcharts, markers, paper tape, water and
refreshments and other administrative items, as appropriate. See attached
Meeting Room Checklist.
F. Set up a registration table outside the conference room and ask someone to staff
it at least thirty minutes before the session begins. Try to maintain an assistant
during the roundtable to avoid distractions for the facilitator.
G. Have a designated scribe and facilitator assistant available at the roundtable.
The scribe should obtain feedback of member sentiment.
H. Give consideration to audio or videotaping the roundtable and having transcripts
of the session produced that can be shared with the affiliate members.
III. Suggestions for Roundtable Facilitation
The overriding goal of this type of event is participation and information exchange by
the participants. If this happens you’ve achieved your objective. The following
bullets are intended to help the facilitator get into the proper frame of mind to
achieve this goal:
A. Re-familiarize yourself with your objectives, process, and deliverables in
advance.
B. Review the process you will use (how they are going to get there) so the group
will know what is to be covered now or later, when, for how long, etc.
C. Get participants to supply the responses to the questions.
D. Stay on point/issue/target with the group as much as possible.
E. Recognize your view is least important to the group.
F. Avoid answering your own questions.
G. Ask the group overhead-type questions, i.e., those requiring elaborated
responses.
H. Stay active, attentive, standing, engaged.
I. Maintain a positive, supportive, on-point attitude.
J. React to participant comments with patience and non-evaluative demeanor.
K. Focus on participant while speaking and paraphrase back for clarification as
needed.
4
L. Demonstrate you know something (but not too much) about the area under
discussion.
M. Recognize all who want to speak with attentiveness and a smile.
N. Maintain a posture of openness, interest, and interaction.
O. Appreciate people for their contributions to the discussion.
P. Move the discussion to the next point when interest wanes or overkill is evident.
Q. Promise and DELIVER on the results they achieved.
R. Do not allow any one participant to monopolize the roundtable.
IV. Suggestions for Opening Comments / Introduction / Ground Rules
A. Facilitator self-introduction and welcoming of the group.
1. Introduction and bio of any special participants.
B. Explanation of facilitator’s role and process. (Consider a PowerPoint slide)
C. General expectations/objectives of roundtable. (Consider a PowerPoint slide)
D. Discuss schedule, timing and ground rules.
1. Review planned roundtable format (what? how? how long? why? what’s in
it for you?)
E. Participant introduction.
1. Self-introductions and personal objectives ( may record on flip chart).
2. Gather preliminary discussion questions and record, or show slides that
has predetermined questions
F. Reach consensus and summarize roundtable objectives and ground rules.
G. Facilitator should remind participants that they should maintain confidentiality
regarding participant comments that may be considered privileged information
and refrain from using such information in any manor that would constitute a
conflict of interest or breach of trust.
H. Facilitator should also mention that a scribe will be taking notes. The notes will
be edited by the facilitator to assure confidentiality of participant’s comments
before the distribution of the round table results. Individual and company names
should be edited out of final draft unless properly cleared by participant.
5
V. Administrative Forms & Checklist
Roundtable Evaluation
Please complete this evaluation to assist us in planning for future roundtables and other events that we should
consider.
The following statements address your reactions to this meeting. Please use the following scale to respond to each
statement:
SA= Strongly Agree
A=Agree
D=Disagree
SD= Strongly Disagree
Overall Ratings.
1. The roundtable objectives were clear and appropriate
2. The discussions provided me with important information
3. I would recommend this session to others
4. The time allotted was appropriate
5. The program met my expectations
NA= Not Applicable
SA
A
D
SD
NA






































































Comments:
Facilitator(s)
The facilitator did as follows:
6. Appeared knowledgeable about the subject
7. Prepared and organized to lead the group
8. Encouraged the group to participate
9. Delivered information/instructions adequately
10. Responded to questions/concerns/issues appropriately
11. Covered topics adequately
Comments:
Seminar Materials
12. The handout materials were organized and useful
13. The materials were a useful aid to learning
14. The course activities were engaging
Comments/Recommendations for future Roundtables:
6
7
Facilitator Guidelines
Meeting Room Checklist
Pre-Roundtable
Yes
No
1.
Room clean?………………………………………………………………..


2.
Set up ok?…………………………………………………………………


3.
U shape? (or conference style) ……………………………..……………


4.
Enough seats?………………………………………………………………


5.
Room temperature ok?….………………………………………………….


6.
Lighting ok?…….……….………………………………………………….


7.
A-V on hand, working?…………………………………………………….


8.
Flip Chart?………………………………………………………………….


9.
Marking pens?………………………………………………………………


10. Masking tape?………………………………………………………………


11. Everyone see?………………………………………………………………


12. All greeted?…………………………………………………………………


13. Refreshments delivered?……………………………………………………


14. Tent Cards?………………………………………………………………..


15. Water and glasses?…………………………………………………………


16. Workshop Handouts?………………………………………………………


17. Evaluation Sheets?…………………………………………………………


18. Timing of session reviewed………………………………………………..


19. Breaks, meals, refreshments reserved with facility?……………………


20. Telephone/Fax numbers visually listed ?….….……….…………………


8
21. Sign in sheet circulated?……………………….………………………….


9