Title of course
Appreciative Systems Auditing
General objective
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To develop participants’ auditing skills
To allow them to target systemic causes for non-compliance;
To induce an increased level of spontaneous compliance with
internal control standards, rules and regulations and objectives;
To create an awareness with their auditees of opportunities for
improvement and change;
To let auditees experience being audited as a learning opportunity.
Target audience
Staff involved with the preparation and execution of audits
Number of participants
6 – 16 participants
Languages
EN
Prerequisites
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Participation in audit planned shortly after 2 day basic training
General content
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Understanding auditing basics and referentials, a.o. ISO 19011
Understanding (management) system basics
Audit preparation: setting feasible objectives, audit criteria,
documentation audit and determining critical elements
Audit execution: fact finding, interviewing
Audit reporting: drawing conclusions and inducing compliance
Auditing’s place in the strategic cycle.
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Programme
2 day basic training:
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Day 1:
Understanding auditing basics and referentials, a.o. ISO 19011
Understanding (management) system basics: role play interview
systems
Audit preparation: setting feasible objectives and audit criteria, group
assignment and plenary feedback
Documentation audit and determining critical elements: assignments
RAWE tool and root cause analysis
Day 2:
Audit execution: fact finding, interview techniques, 2 role plays audit
interview
Audit reporting: drawing conclusions and structuring reports,
individual assignment
Inducing compliance, auditing’s place in the strategic cycle,
instruction individual audit assignment.
Execution of assignment over maximum <1 month period, supported by email (2 hours/month per participant) and/or experienced (lead) auditor.
Participation in follow-up day:
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Presentation and feedback on assignments
Filling the gaps by the trainer
Developing your competence, enrolment/start-up of Community of
Practice
Title of course
Appreciative Systems Auditing
Documentation and support
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PowerPoint presentation
Hand-out of slides with room for notes
Slides with concise explanation
Bibliography
Skills strengthened
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Organizing and planning
Analysing (documented) systems and assessing risks
Interviewing and fact finding
Assessing information and concluding
Structured reporting
Applicability on the job of the
acquired skills or outcomes
At the end of the basic training and the follow-up day, participants will be
able to:
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Take part in the preparation and execution of an audit/function as an
internal auditor (not lead auditor)
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Draw up a (draft) report
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For full level of skill as an internal auditor, the participant should take
part in 4 audits under guidance of an experienced (lead) auditor
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Next to sufficient audit-experience, participants should have
sufficient understanding of the subject area they are meant to audit.
Training methodology
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Knowledge and theoretical background to understand fundamental
concepts that underline practical tools and techniques are provided
through short presentations by the trainer.
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Practical skills are learned in practical exercises and role plays,
based wherever possible on participants’ own case material.
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Experience is provided through an intermediate assignment between
2 day basic training and the follow-up day, working on their own
cases. Further experience is gathered through the application of the
learning under guidance and active participation in a Community of
Practice.
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Reflection is achieved through individual and group work designed to
obtain the maximum amount of learning from an experience.
Summary and plenary feedback sessions provide the opportunity for
participants to form their own conclusions and to come up with an
approach to various situations.
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Testing of the theories is best achieved through work-based
assignments.
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The training manual provides support for the relevant content to read
again, make notes and contains some practical tools to support
participants after the programme.
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See pre-requisites
Practical aspects