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Engagement Planning

Course Description

​Engagement planning is critical to effective internal auditing. Experienced internal audit professionals agree that the occurrence of most major mishaps during an internal audit engagement can be traced back to poor planning. This course conveys that it is imperative for internal auditors to consider how the internal audit activity can add value to the organization from the very beginning of the audit engagement planning process. Participants in this course will determine which factors should be considered while preparing to conduct an audit engagement, including setting the engagement scope, establishing the engagement objectives, and documenting the engagement work program. This course also discusses engagement resource allocation. This course clearly illustrates how internal auditors use their professional judgment, knowledge, and experience to identify opportunities for making significant improvements to the organization’s governance, risk management, and control processes.

Learning Objective(s):

  • Describe the key roles and activities involved in establishing the objectives, evaluation criteria, and scope of an engagement.
  • Determine the objectives, evaluation criteria, and the scope of the engagement.
  • Describe a risk assessment during engagement planning.
  • Understand how to complete a risk assessment by prioritizing key risks and controls.
  • Describe the factors that influence staffing and resource planning for an engagement.
  • Describe the purpose of an engagement work program.
  • List the key components of an engagement work program.
Course Duration: 0.12 day(s)
CPEs Available: 1.2
Knowledge Level: Basic
Field of Study: Auditing
Advance Preparation: 
Delivery Method: QAS Self-Study