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1.
INTERNAL AUDITING LEVEL I
Internal audit Tools and techniques for the beginning auditor focuses
on internal controls and their role in the management of a successful
enterprise. We base much of our work on materials developed by the
Institute of Internal Auditors.
After establishing a solid foundation in business control, we teach
the new auditor to identify, review and evaluate business controls
in terms of their adequacy and their effectiveness.
From this base we teach the many tools and techniques an auditor
can employ to assist the organization and its management. The participants
will obtain a clear understanding of the basic principles and techniques
of internal auditing.
Topics usually included in this 5-day
programe include:
~ Nature and role of Internal Auditing
~ Management's Use of Controls
~ Internal Controls- Integrated framework
~ Fraud prevention and Detection
~ Establishing Audit objectives
~ Financial Auditing
~ Operational Auditing
~ World Class management practices
~ Preliminary surveys
~ Use of Audit Programs
~ Preparing work papers
~ Documentation and evaluating observations
~ Consulting skills for auditors
~ Reporting results-written and presented
~ Concluding an audit-exit conference
Who should attend?:
People wanting to better understand the basic components of a modern
internal audit function and new internal auditors.
Approach: This seminar will employ
a number of teaching techniques to help the participants grasp the
concepts and to keep them actively participating. We will use short
exercises, discussion groups, role plays, films and experienced
speakers who can put tools and techniques in perspectives.
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2. INTERNAL AUDITING LEVEL II
A 5-Day seminar for Experienced Internal Auditors
This seminar is designed to help auditors plan, manage and conduct
comprehensive internal audits in complex organizations.
The in-charge or senior auditor will learn to more effectively;
design an audit program, document the observations and evidence
gathered in an audit report results to senior and operational management.
This seminar covers the detection and investigation of fraud from
the supervisor's perspective. The participants will be able to plan,
supervise, guide and motivate a team of auditors in carrying out
comprehensive audits.
Topics normally included in the 5-day programe
include:
~ Effective
Internal Auditing
~ Developing
an Effective Charter
~ Managing
the Internal Audit Assignment
~ Building
the Internal Audit team
~ Internal/External
Audit relation
~ Performing
Analytical Review
~ Focusing
on Business Issues and Concerns
~ Assessing
Risk
~ Deterrence,
Detection and Investigation of Fraud
~ Customer
Service and quality in Internal Audit
~ Audit
Theory, Evidence and Audit Procedures
~ Designing
Effective Audit Programs
~ The
comprehensive Audit
~ Operational
audit techniques
~ Using
and auditing computerized systems
~ Developing
audit reports
~ Interpersonal
skills-Building Relationships
~ Communicating
with senior management
Who should attend?: The course is ideal
for experienced or new in-charge auditors and internal audit quality
assurance staff as well. Those sitting for the MIIA and CIA exams
will find this course invaluable.
Approach: We will use case studies,
exercises, small group analysis and discussion, films and role-plays
to teach this wide range of topics.
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3. INTERNAL AUDITING LEVEL III
A 5-day Seminar for Internal Audit Directors, Managers, Heads of
Internal Audit and or Supervisors. Theme - Improving Audit Efficiency
and Effectiveness.
This program is designed to ensure modern professional management
of the Internal Audit division in a manner that optimizes the Internal
Audit function. The course is intended for management level internal
auditors who need to know how to plan, manage and conduct effective
audits. It covers the technical internal auditing skills, the Human
behavioral skills for Auditors; and Marketing the Internal Audit
function.
The module concentrates on; practical skills required planning and
administering the audit function, and creating the atmosphere that
fosters co-operation and adoption of the audit recommendations by
all.
Programe Objectives:
By the end of the course the attendee will be able to:-
~ Define the departmental mission
in a mission statement.
~ Design the Audit Charter to meet
corporate needs.
~ Plan and organize the department
to meet management's expectations.
~ Identify 'the expectation gap' and
act to eliminate it.
~ Identify the requisite structures
to ensure:- Independence , Professional Proficiency, Appropriate
Scope of Work, Appropriate management
~ Relate to and work with the Audit
Committee.
~ Define marketing as it relates to
Internal Audit.
~ Overcome obstacles in Internal Audit
Marketing.
~ Define the primary human requirements:
group think.
~ Differentiate between motivators
and hygiene factors.
~ Identify the symptoms of group-think
and take steps to avoid it.
Course Contents
Module contents will include:-
~ Establishing
the Internal Audit Function.
~ Responsibility,
accountability and independence.
~ Defining
stakeholders' needs.
~ Acquisition
and retention of staff.
~ Obtaining
the appropriate Knowledge, Skills and Disciplines.
~ Problem-solving
techniques.
~ Tackling
the strategic issues.
~ No-go
areas and how to gain entry.
~ Implementing
a Quality Assurance program.
~ Audit
performance monitoring.
~ Selling
the Internal Audit Function.
~ Communicating
departmental results.
~ Internal
Audit relationships with external auditors.
~ Audit
committees the IIA's position.
~ Human
needs and performance.
~ Positive
reinforcement and defence mechanisms.
~ Group-think
and decision-making.
~ Changing
attitudes.
~ Resolving
conflic.
~ Supervisory
techniques.
~ Strategic
planning and marketing management.
~ Characteristics
of services:- (Intangibility, Inseparability, Fluctuating Demand,
Client
relationships and
Service Quality Service quality).
~ Obstacles
to be overcome:- (Limited view, Limited competition, Non creative
management, and
Lack of innovation in of innovation in marketing).
~ Implementation
and control of the marketing plan.
Who should attend?: The course is ideal
for both pre-advancement and post advancement training. The Directors
of Internal Audit, Audit Managers, Heads of Internal Audit and Supervisors
will find this course invaluable. It, coincidentally covers a good
part of the Institute's syllabus for the (C.I.A.) the Certified
Internal Auditor Diploma. Those who attended the Level II (two)
Internal Audit Course will immensely benefit from this one.
Approach: We will use case studies, exercises, small group
analysis and discussion, films and role- plays to teach this wide
range of topics.
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4. AUDITING FOR FRAUD WASTE AND ABUSE
A 2-day Course For Those Involved In The Investigation And Control
Of Fraud/Abuse
Fraud , Wastage and Abuse of all kinds are a major growth industry
in today's world. Each can have drastic impact on the bottom-line
profitability of an organization. The two - day seminar is intended
to sharpen the skills of internal auditor and enable them, to assist
in; the prevention, detection and reporting of fraud, waste, abuse
and other irregularities.
Participants Will Gain:
~ An understanding of the definition
and concepts underlying fraud, irregularities, waste and
abuse.
~ Knowledge of the various IIA statements
and standards on fraud.
~ The ability to differentiate between
fraud, waste and abuse.
~ The ability to recognize likely
fraud indicators.
~ An understanding of the profiles
and motivators of fraudsters.
~ An understanding of how to quantify
corporate vulnerabilities, and
~ Ways to establish effective fraud/abuse
prevention within your organization or company.
Topics to Be Covered In This Module
Include:
~ Definition of fraud, waste and abuse
~ Professional standards and guidelines
~ Reduction of waste
~ Classic fraudsters
~ Characters of fraudsters
~ The "red flags" of fraud
~ Fraud investigation and reporting
~ Audit vs. Legal Evidence
~ Management fraud
~ The effective deterrence program
Who Should Attend?:
Internal and External Auditors, Inspectors, Security Officers, Trainers
of Auditors and Consultants.
Approach: This seminar will employ
a number of teaching techniques and aids to help the participants
grasp the concepts and keep them actively participating. We will
use short exercises, films, case studies and speakers who can share
their experiences and put tools and techniques in perspective.
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5. VALUE FOR MONEY (V.F.M) / OPERATIONAL AUDITING COURSE
A 3-Day Course for the Modern Internal Auditor
Routines and traditional ways of planning and managing enterprises
often have inherent weaknesses and nugatory expenditures that lead
to inefficiencies and poor operational results.
The 3 -day course is intended to equip the internal with new approaches
and techniques of adding value to their organizations. Practical
efficiency adding and cost saving strategies will be introduced.
Participants Will Gain:
~ An understanding the definition
and concepts underlying operational/ value for money
auditing.
~ Knowledge of the various approaches
and experiences on V.F.M.A.
~ A technique of streamlining procedures
and methods with a view to discarding
unnecessary red-tape,
paperwork and controls.
~ An understanding of the profiles
and indicators of inefficiencies and wasteful practices.
~ Ability to quantify and communicate
the cost of inefficiencies and lack of thrift to operational
and Executive management.
~ Ways to establish an Internal Consultancy
approach in carrying out V.F.M.A. assignments.
Topics In This Module Include:
~ Definitions and overview of Value
for Money Audits
~ V.F.M.A. modeling
~ V.F.M.A. Technique sand practices
~ Key V.F.M.A. considerations for
practical applications
Examples and Case studies on:
- Finance
- Payment and Budgetary Control
- Performance Reporting
- Contractors Payments
- Human Resources
- Traveling Cost and Telephone Monitoring
- Value For Money Audit Reports
Who Should Attend?:
Internal and External Auditors, Inspectors, Consultants and Trainers
of Internal Auditors.
Approach:
This seminar will employ a number a number of teaching techniques
and aids to help participants grasp the concepts and keep them actively
participating. We will use short exercises, films, case studies
and guest speakers who can share their experiences and put concepts
and strategies into perspective.
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6. RISK ANALYSIS AND AUDIT PLANNING
A 5-Day Seminar for the experienced internal auditors responsible
for planning internal auditing activities
To ensure effective and economical delivery of the internal audit
service to meet the organization's competing and ever increasing
demands, Internal Audit requires a dependable means of allocating
their limited resources.
Risk analysis as a means of determining what, when and how to audit
is a prerequisite for success in optimizing the audits and adding
tangible value to the organization.
To that end, this five day program provides auditors and audit management
with a structured approach to risk management and internal risk
assessment.
Risk in computerized systems is also addressed.
The seminar is designed
to provide the participant with detailed
knowledge of:
~ Risk and its nature in a corporate
/ business environment
~ Risk analysis and Internal Auditing
~ The use of a Risk-based auditing
approach
~ Risks within computer systems
~ Electronic trading (E. Commerce)
risks
~ The information systems risk-based
audit approach
~ Risk and materiality
~ A structured approach to audit risk
evaluation
~ How to sell risk-based audits
Topics covered include:
~ Audit planning
~ The nature of risk
~ Internal risk assessment - a framework
~ Risk-based auditing - an integrated
approach
~ Risks in Financial services industries
~ Computer risks and fraud
~ Reducing the risks in Electronic
Data Interchanges (EDI)
~ The IS risk-based audit approach
~ Audit risk prioritization
~ Risk and materiality
~ The structured risk approach
~ Implementing the approach
~ Selling the risk
Who should attend?
Audit managers, directors, and those responsible for quality assurance.
Approach:
Use of case studies, exercises, group analysis and discussions,
and films to teach this wide range of topics.
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7. MAKING MONEY, AND IMPROVING FINANCIAL PERFORMANCE
A 3-day finance for Non-Financial Managers Seminar
This program is tailored to make the non-financial executive more
effective through better understanding of the Business, Accounting
and Management Analysis process. Participants gain the ability to
use operations, marketing, accounting, finance and planning/budgeting
tools to help them focus on factors critical to success of your
business.
Topics covered include:
~ Accounting Concepts and Language
~ Development and Use of Balance Sheets
~ Manufacturing and Service Income
Statements
~ Measuring and Managing Cash Flow
~ Evaluating Financial Strengths and
Weaknesses
~ Understanding and Analysis of Cost
Behavior
~ Management of Working Capital
~ Planning and Budgeting the Operations
~ Analysis of Variances from Plan/Budget
~ Measuring Product Line Profitability
~ Control of Indirect Costs of Operations
- Overhead
~ Cost -Volume-Profit Analysis - Breakeven
~ Capital Equipment Budgeting - Present
Value
~ Evaluating Alternative projects
~ Structuring a Management Control
System
Who should attend?
This seminar is best for non- financial managers; bank account relationship
managers; and manufacturing, operations, marketing and small enterprise
managers. Owners of SME's, government officials and those analysts
responsible for lending money to corporate clients will find this
course useful. Those preparing for part one exams of the IOB, IAC
and CIS will find this seminar very useful.
Approach: This seminar includes a
number of short exercises, films; and case studies to allow the
participants to put into practice each of the concepts covered in
the course. Participants should have a hand held calculator for
their own use.
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8. COMPUTER AUDITING
A FIVE (5)-DAY COMPUTER AUDITING COURSE IDEAL FOR THOSE WORKING
IN A COMPUTERISED ENVIRONMENT OR STUDYING FOR THE CERTIFIED INFORMATION
SYSTEMS AUDIT (CISA) EXAMS.
This program is tailored to make Auditors more effective through:
better understanding and use of modern Computer Auditing Techniques
and Software in carrying out their Audit work. Participants gain
the ability to audit through and round the computer using modern
and efficient means.
Topics to be covered in this course
include:
~ Bsics abour computer hardware and
software for audit
~ Internal controls
~ Computer securities.
~ Physical/Logical Controls.
~ Audit for payroll sytems.
~ Audit programmesand checklists for
computer auditors.
~ Computer based Audit sampling and
planning.
~ Computer assisted Audit testing
techniques.
~ Electronis Data Inter-change.
~ Electronic funds transfer systems.
~ The internet.
~ Popular Audit Software (hands on
exersices), in ACL- the IIA is recommended software.
Objectives:
At the end of this course the participants will be able to:
~ Use computers for planning
~ Use the computer to audit the computer
~ Use computers for internal audit
management
~ Produce computerized audit working
papers
~ Evaluate computerized internal control
systems
~ Make use of the latest ACL software
Who should attend?
Internal and External Auditors, Trainers of Auditors, Consultants
and those studying for the QUICA (Qualification in computer Auditing);
and / part one of the CISA qualification
Approach: This course includes a number
of short exercises, case studies and computer audit assignments
to allow the participants to put into practice and grasp each of
the concepts covered in the course. To ensure that each participant
derives a full benefit from this (five) 5-day course it has been
decided that the participants will have to do relevant computer
auditing pre course assignments. The pre course assignment must
be submitted on day one. Kindly note that the pre-course assignment
is aimed at ensuring that each participant appreciates and/or recalls
the concepts covered under the Xenia Basic Computer Auditing Course
before this training begins.
INSTRUCTORS & RESOURCES PERSONS
INCLUDE:
* AN ACL SOFTWARE EXPERT, TRICHA SIMON OF DELOITTE & TOUCHE
*IQBAL BATTY Bsc (Alberta Canada) B.Compt (Unisa), CA (Z)
*WILLIAM K. M. MAFI Rpacc (Z), FCIS, Mzipfa, MBA (UZ).
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9. BASIC COMPUTER AUDITING
For an Auditor working in today's business environment, a basic
understanding of the concepts and controls governing the use of
computer systems is essential.
The module covers basic concepts of computing, primary types of
computer systems, the risks and controls and usage of computers.
You will gain the confidence of understanding the jargon, knowing
that questions you put to auditors who are addressing the real issues.
You will also realize the difference between jargon answers and
evasive answers. On using the knowledge you have gained, you will
discover a greater level of acceptance by information Technology
staff and users due to your increased comprehension. This can be
immediately translated into more effective and efficient audits
and a greater contribution to the organization.
By the end of this module the attendee
will be able to: -
~ Understand the jargon of the computer
world.
~ Differentiate between types of systems
and their major risk elements.
~ Understand how computer systems
are constructed and how that can influence their
eventual running in the
business environment. Utilize this knowledge to gain a greater
acceptance by computer
literate Audi tees.
Module Content:
~ Technology and audit
~ Control objectives and risks
~ Batch and on-line systems
~ Programming computers
~ Data base systems
~ Computer security
~ Application systems and their development
~ Computer operations controls
~ Microcomputers
~ Computers in auditing
~ New computer auditors
Who Should Attend?
New computer auditors, Internal and external auditors, trainers
of auditors and those studying for QUICA (qualification in computer
auditing) and or part I o f the CISA (Certified Information Systems
Auditor) qualification.
Approach:
In addition to the normal lecture approach this course includes
shot exercises and case studies and assignments to allow participants
to put into practice and grasp each of the concepts covered in the
course
INSTRUCTORS & RESOURCES PERSONS
INCLUDE:
Batty Bsc (Alberta Canada) B Compt. (UNISA) CA (Z),
W. K. M. Mafi, FCIS, MZIPFA, MBA (UZ).
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10. INTERMEDIATE
COMPUTER AUDITING AND HANDS ON CAATS
Module Objectives:
This five day, module is an intermediate computer audit training
program structured to demonstrate to auditors the usage and risks
governing PCs and LANs in a corporate environment as well as to
make them familiar with the data manipulation tools at their disposal.
The module is designed to take a new PC user from a zero state to
a comfort state with regard to the PC itself, the DOS operating
system and their usage.
Auditor productivity has become a major area of concern in today's
era of tight economic and budgetary constraints. Therefore this
module is also designed to provide audit effective solutions to
the need for more productive audits. Participants who will have
covered the basic computer course will benefit immensely from this
intermediate computer program for it is a module that builds upon
the knowledge and skills acquired in the basic computer auditing
course.
This module is designed to provide
attendees with an in-depth
knowledge of: -
~ PCs - their components and usage
~ Risks in the PC environment
~ Micro fraud
~ Securing PCs and LANs
~ Back ups and disaster Panning
~ Using then PC for strategic gain
~ Packages on PCs
~ DOS and its usage
~ Hands on DOS
By the end of the module the participant
will be able to:
~ Identify the various types of computer-aided
solutions.
~ Differentiate between those solutions
appropriate for the audit of computer based systems
and those of general applicability.
~ Select between them for applicability
and cost-benefit based on the needs of the audit
function.
~ Evaluate potential computerized
solutions to audit problems.
~ Justify the selection of a particular
computerized solution
~ Prepare systems flow charts using
computer software.
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11. MANAGING FOR IMPROVED
PERFORMANCE
In the currently, highly competitive business environment you must
design an Integrated Management System that guarantees the delivery
of success by every employee. You can not afford to keep employees
that just show up for work, without delivering your expected results.
Xenia has organised this two-day seminar to show you how to create
a performance-oriented business culture. Our experienced facilitators
will help you acquire powerful skills to optimise your employees’
performance for greater productivity and profit. Performance Management
is designed to unlock the full value of every employee and business
unit.
Performance management training has benefited Directors, Line Managers,
and Human Resources professionals form virtually every business
and environment. Make your booking right away.
Participants will learn
to:
~ Keep
your employees focussed on achieving planned business results.
~ Design
effective work process.
~ Develop
and release the full value of your employees.
~ Ensure
that each employee’s output contributes to the attainment of
predetermined corporate
performance.
~ Empower
employees to achieve and enhance productivity and profit.
~ Link
and coordinate different parts of the performance management process.
~ Adopt
an appropriate leadership style to ensure task accomplishment.
~ Design
and communicate an overall strategy and key long-term goals.
~ Develop
negotiating skills.
~ Secure
ownership of the corporate goals and plans by the corporate employees.
~ Mesh
vision, values and Business plans of your organisation.
Approach: The facilitators
will use an experiential learning approach to help participants
integrate their experiences with performance management principles
and techniques. This seminar will use exercises, discussion groups,
role plays as well as films to impart the desired skills and concepts;
and ensure full participation by delegates.
INSTRUCTORS WILL INCLUDE:
~ Iqbal Batty B.Sc(Alberta Canada), Bcompt(UNISA), CA (Z). An experienced
professional who will share
his experiences from External Audit, Internal Audit, Financial
Management,Central Banking, General Management
and Consultancies.
~ William K.M. Mafi FCIS, MZIPFA, Rpacc(Z), MBA (UZ). An experienced
trainer with more
than twenty five years of relevant experience
from the Private Sector, Central Government,
Parastatal Sector and Consultancy.
~ Robson Shora, B.Ed, M.Ed. in Adult Education. He also holds a
Diploma in Social Work
and a Certificate in Management Consultancy from
Sweden.
He has authorised many manuals and articles on
Performance Management and is a
regular presenter of this subject.
Robson has worked with leading consultancy organisations
on assignments dealing
with Leadership, Team Building and Organisational
Effectiveness. He brings in alot of
leadership and training experience from
the Private and Public Sectors.
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