Introduction
Workshops and focus groups are invaluable internal audit tools used to gather insights, discuss findings, and collaboratively develop action plans. Unlike individual interviews or surveys, these group-based engagements promote dynamic interaction, reveal diverse perspectives, and often generate richer outcomes. Whether during risk assessments, control reviews, or post-audit debriefs, these sessions help internal auditors build engagement and buy-in while sharpening the accuracy and impact of audit conclusions.
Fictitious Dataset & Template
For practical use, let’s say the internal audit team at ACME Corp. is conducting a mid-year operational review. Auren, the internal auditor, organizes two workshops: one on risk identification and another on process bottlenecks. Key participants include Aven (Project Manager), Liora (CEO), and departmental leads like Carlos (IT), Jade (Finance), and Dana (Operations).
To manage the sessions efficiently, Auren uses a Workshop Tracker Excel Template, structured to include:
Date and title of the session
Facilitator and participant list
Key topics and findings
Agreed action items, responsible persons, due dates, and current status
Practical Application
In the first session titled “Risk Identification Workshop” (held June 1, 2025), facilitated by Auren, the group uncovers a major gap: the company lacks a disaster recovery plan (DRP). Carlos from IT agrees to lead the development of the DRP by September 30, 2025.
In the second session, the “Process Improvement Focus Group” (June 3), Jade highlights delays in expense reporting due to a manual approval system. The team agrees that automating the approval workflow should be prioritized, and Jade is tasked to coordinate with IT for implementation by mid-August.
This template allows Auren to:
Track progress on each action item
Share updates with Liora during executive briefings
Ensure accountability and closure across departments
The format is simple, adaptable in Excel, and can be integrated into Power BI for broader visibility if needed.
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Upon reading the Disclaimer, a reader may click the link below to download an example of a relevant tool:
T&Ts Series G, Internal Audit, Collaboration & Engagement, Episode G3— Workshops- Focus Groups