Agreeing findings and actions - a collaborative approach

Presented By
Stephen Maycock CFIIA CRMA Stephen Maycock is a professional trainer, writer and consultant. His broad international experience, spans a number of sectors, and this has provided him with some fascinating case studies which he uses to bring his training to life.

The most challenging aspect of an assurance process is often the stage in which assurance providers discuss their findings and recommendations with management, and seek to agree the actions that management will take. This course provides a clear structure for approaching this task and will help you learn to develop recommendations that will be acknowledged as adding value to the organisation.

Who should attend?

This course is for all assurance professionals involved in discussing findings with management and agreeing the actions to be taken.

What will I learn?

Upon completion you will be able to:

  • identify the key aspects of a finding
  • interpret the results of your work and develop findings that are supported by appropriate evidence
  • link findings to business risks
  • develop recommendations that will add value to the organisation
  • anticipate and deal with challenge-related to findings and recommendations
  • agree actions with management that are achievable and valuable.

Course programme

Developing findings – a key stage

  • the role of this stage in the assurance processes
  • forming the link between testing and reporting
  • identifying the key elements of findings.

Establishing criteria

  • the range of criteria that can be used in the assurance process
  • agreeing criteria with management.

Interpreting results

  • evaluating the design, operation, and effectiveness of controls
  • making sense of the results of your work – bringing it together.

Establishing the cause

  • root cause analysis
  • addressing a range of causes.

Analysing impact

  • actual and potential impacts
  • linking back to the risk.

Writing findings

  • elements to include
  • deciding order of elements
  • achieving balance.

Developing recommendations

  • identifying options and choosing focus
  • involvement of management.

Dealing with challenges

  • anticipating and preparing for challenges
  • how to achieve win-win.

Agreeing management actions

  • working with management
  • SMART actions.

Assurance ratings

  • developing ratings frameworks
  • applying ratings.

CPE competency areas covered

  • Internal audit delivery
  • Persuasion and collaboration

7 CPE points

Full price

Member: £625 + VAT
Non-member: £840 + VAT

SAVE £100 when you book this course 3 months in advance

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Agreeing findings and actions - a collaborative approach

Duration: 1 day

20 November 2020


Start: 09:00
End: 17:00


London venue TBC


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