Control Self-Assessment: virtual sessions

Event dates: 07 Jun 2021, 08 Jun 2021


Control Self-Assessment Course 

Course Outline:

 Assess Organisational Culture

 CSA Formats

 CSA Frameworks

 CSA Facilitation Skills

 CSA Implementation

 CSA Reporting & Monitoring

 CSA Examples and Case Studies


Learning Outcomes:

 Recognize what makes CSA different from other internal audit approaches

 Recall the origins of CSA

 Recognize how the auditor role can be different in CSA

 Describe the roles for CSA

 Discuss the benefits and concerns of CSA to various stakeholders

 Explain reasons for conducting CSA

 Identify how culture can impact CSA

 Identify how the Standards support CSA

 Recognize how CSA fits into the audit process

 Propose a CSA format for your organisation


Target Audience:

 Experienced internal auditors and audit managers

 Risk management professionals

 Third-party service providers

 Potential CSA Certification candidates



Organisational Culture:

 Assessing Organisational Culture

 Employee empowerment and the impact on internal auditing and control self-assessment

 Cultural analysis of your own organisation

 Relating CSA to your own organisation

CSA Formats:

 Recognize CSA as a tool for evaluating achievement of business objectives

 Describe CSA workshop types

 Compare and contrast use of surveys and workshops

 Advantages and disadvantages of the various formats

 Identify data collection techniques

 Objectives, Risks, and Controls

 Describe the inter-relationships among objectives, risks, & controls in CSA

 Describe the significance of identifying business objectives for a CSA

 Describe the role risk can play in a CSA

 Explain the design and implementation of controls as it relates to CSA

 Identify the CSA format most practical for your organization

Frameworks and CSA:

 Describe the role of control frameworks in CSA

 Discuss various control frameworks and how to use them

 Identify hard and soft controls

 Describe how hard and soft controls relate to each other

 Examples and case studies

 Prepare individual/group case study for Session 4

CSA Facilitation Skills:

 Describe the basic skills and tools needed to conduct a self-assessment workshop

 Prioritize the CSA process using the cultural continuum

 Anticipate potential success rate of CSA based on interest/fear scale

 Identify basic facilitation dos and don’ts

 CSA workshop facilitator responsibilities

 Different approaches to facilitating workshops

 The importance of recording data in the workshop CSA Implementation:

 Describe factors that influence a successful CSA implementation

 Identify measurements of success of CSA

 Determine what next steps are needed for CSA implementation

 Determine how culture is a factor for CSA implementation

 Discuss how CSA can impact an organisation

 Understand various implementation options available

 Be familiar with the resources CSA implementation requires

Reporting and Quality Assurance:

 Understand how organisations are reporting CSA results

 Understand the additional work needed to rely on CSA results if CSA is a part of audit coverage

 Case Study Presentations – Your proposed CSA

 Feedback

 Q & A

 Wrap-up

Control Self-Assessment: virtual sessions

Control Self-Assessment. 7/8 June 2021

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About the facilitator

Carl Pitchford

IIA Bel trainer

IIA Bel trainer