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Optimized Audit Interviewing

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Date(s): Jul 24, 2019
Time: 8:15AM - 4:30PM
Registration Fee: $249.00
Cancellation Date: Jul 17, 2019
Location: JOHN M. KEEL LEARNING CENTER
City: Austin

Course Description

Interviewing is a very important skill in the internal audit process. To effectively communicate and ease the concerns of the auditee is as important as an effective audit process. This one-day course will take attendees through the entire interview process, learning best practices for each step, and how to manage different personality types.


Potential CPE Credits: 8.0
Govt Hours: This class meets 8.0 hours of the 24-hour requirement for governmental CPE under Government Auditing Standards (yellow book), in most cases.
Technical Hours: This class meets 8.0 CPE credits of technical training in compliance with Texas Admin. Code Rule 523.102.

Instruction Type: Classroom
Experience Level: ALL
Category: 02 Auditing

Course Objectives

Upon completion of this course, participants will be able to:

  • Overview of best practices in audit interviewing, including personality types and interview preparation.
  • Learn the step-by-step audit interview process and learn best practices for each step.
  • Learn how to listen actively and read physical cues.

 Outline

   

         I.            Introduction

       II.            Types of Information Obtained from Audit Interviews

     III.            Planning/Preparing for an Audit Interview

a.       Objectives

b.       Participants

c.       Location/Time

d.       Handouts

    IV.            Conducting and Controlling Audit Interviews

a.       Types of Questions to Ask

b.       Physical Settings

c.       Small Talk and Knowing the Room

d.       Interview Tone

e.       Managing Different Personality Types

      V.            Handling Challenging Auditees

    VI.            Active & Physical Listening

   VII.            Analyzing Interview Results

 VIII.            Documenting Your Interview

     IX.            Utilizing Interview Results                           


Prerequisites

No prerequisites required.

Instructors

Danny Goldberg

Danny M. Goldberg is a well-known speaker on internal auditing and People-Centric Skills. Danny co-authored People-Centric© Skills: Communication and Interpersonal Skills for Internal Auditors, via Wiley Publications.  This is the first book published specifically to address the wide-ranging topic of communication skills for internal auditors.  It has been offered through the IIA and ISACA bookstores since July 2015 and has sold over 3,000 copies (through April 2018).

 

Danny has over 21 years of professional experience, including five years leading/building internal audit functions.  Danny was named as one of the Fort Worth Business Press 40 Under 40 for 2014.  Danny is also accredited as the Professional Commentator of the Bureau of National Affairs - Internal Audit: Fundamental Principles and Best Practices (Professional Commentator).  This book was authored by renowned audit scholars Curtis C. Verschoor and Mort A. Dittenhofer – co-author of Sawyer’s Internal Auditing.


Additional Information

TAC Rule 523.142(g) requires the CPE Sponsor to monitor individual attendance and assign the correct number of CPE credits. Participants will be asked to document their time of arrival and departure in compliance with this Rule. Additionally, attendance will be monitored throughout the day and CPE certificates will reflect actual attendance of each participant.

If you are making travel plans to come to Austin, we recommend making "refundable" air and hotel reservations or waiting until 14 days before the class to actually book your reservations. Courses are occasionally canceled or rescheduled due to low enrollment. We determine whether a course has enough participants 16 days prior to the course date. If we cancel or reschedule, we will email the participant and his or her billing contact no later than 14 days before the original class date.

The course coordinator will contact you with parking information. Handicapped parking is free at the meters around the downtown area.

Vending machines with Coca-Cola products and various snack items are available. There is also a refrigerator and microwave in our coffee bar area. Feel free to bring in your own drinks and food if you prefer.

You might want to bring a light sweater or jacket, as room temperatures vary.

To see answers to our Frequently Asked Questions, visit http://www.sao.texas.gov/training/faq.html.


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