Identifying needs for auditing functions

The final in our series of TNA templates is aimed at auditing roles.

Training Needs Analysis – Generic Skills for Audit Jobs

 

The training needs analysis is used by any organization to determine areas of job performance in which an employee needs training. In order to effectively evaluate risk, assess sufficiency of controls, identify process improvement opportunities, and effectively communicate with management, the audit team must have a good understanding of the organization’s industry, products, services, and methods of doing business. The survey or assessment pinpoints the skills that the employee needs in a particular job in the audit or accounting department. Through training the audit team becomes more aware of the company’s efforts to maximize revenues, reduce overhead costs, and actively support other colleagues.

Participants only answer questions in Part II, Part III, and the Nos. 1-3 in Part IV.

Part I          Importance of the Training

Sponsor:          _______________________                          Date ______________________

Context of Request:    [  ]  Organizational      [  ]  New Initiative      [  ]  Management request

[choose one & give     _________________________________________________________

details]                             _________________________________________________________

Organization’s Objective/Goal:  _________________________________________________

Part II         Target Participants

Name   ______________________    Current job position    ________________________           

Instruction:  Tick mark on the most appropriate box.

1.  Current Job Responsibility:          [  ]        Audit staff
                                                                        [  ]        Accounting Staff
                                                                        [  ]        Tax specialist
                                                                        [  ]        Others (specify) _________________

 2.  Department you work in:               [  ]       Audit Department
                                                                        [  ]        Sales Department
                                                                        [  ]        Accounting Department
                                                                        [  ]        Others (specify)_________________

 3.  Educational Background              [  ]        Degree/ Masters in Business Administration
                                                                       [  ]        Degree/ Diploma in Management Accounting
                                                                       [  ]        Degree/ Diploma  in Financial Management
                                                                       [  ]        Others (specify)_________________                                                

4.  Current Skills Possessed                [  ]        Basic IT knowledge
                                                                       [  ]        Solid business, technical and process skills
                                                                       [  ]        People management
                                                                       [  ]        Communication and listening skills
                                                                       [  ]        Others (specify) __________________

5.  Skills Needed:  (check the skills  [  ]        Auditing and Controls                                   
training which will be required      [  ]        Auditing Application Systems 
            in your job in the future)        [  ]        Audit Planning
                                                                       [  ]        Minimizing Risks
                                                                       [  ]        Others (specify)__________________

Part III       Target Skills and Training Needs

                        (The skills with the most checked “minimal knowledge” or “no knowledge” will be recorded as a target skill.)    

                                                            High                Adequate       Minimal           No
                                      Expert                Know-               Know-          Know-             Know-
                                                              ledge               ledge         ledge               ledge

Team building                         [  ]                    [  ]              [  ]              [  ]                    [  ]
Success plan creation                 [  ]                    [  ]              [  ]              [  ]                    [  ]
Being right but not making others
            wrong                     [  ]                    [  ]              [  ]              [  ]                    [  ]
Trust                                 [  ]                    [  ]              [  ]              [  ]                    [  ]
Dishonesty                            [  ]                    [  ]              [  ]              [  ]                    [  ]
Avoidable arguments                   [  ]                    [  ]              [  ]              [  ]                    [  ]
Information collecting techniques     [  ]                    [  ]              [  ]              [  ]                    [  ]
Honesty in an open environment        [  ]                    [  ]              [  ]              [  ]                    [  ]

Detecting patterns of dishonest
            answers                   [  ]                    [  ]              [  ]              [  ]                    [  ]
Adapting top questions for
            auditing                  [  ]                    [  ]              [  ]              [  ]                    [  ]

Part IV       Project Planning

1.  When will the training be conducted?       [  ]  Weekend              [  ]   Weekdays
                                                                        [  ]  Other timing (specify) ________________

2.  Where will the training be held?                [  ]  Organization’s Training Center
                                                                        [  ]  Out-of-town Venue
                                                                        [  ]  Off-site Venue

3.  How will the new knowledge be imparted?          [  ]  On-the-job learning          [ ]  Workshop
                                                                        [  ]  Others (specify) _____________________ 

4.  Estimated Budget: ________________________________________________________

5.  Required Personnel or Resources: ____________________________________________

6.  Estimated Completion Date:  _______________________________________________

Part VI       Conclusion

Without a skilled set of employees business offices cannot function. The participating audit executive or audit staff must possess professional competencies after the training in order to help the business grow. The completed skills training program improves the performance of the employees and create and maintain positive relationships with all other departments of the company.

Can the workshop/training address the identified skill needs? What else can this training address?            ___________________________________________________________________________

___________________________________________________________________________

___________________________________________________________________________