Understanding, Experience, and Technology for Compliance

How to put together an effective audit program


Designing an effective audit program can be both complicated and confusing. The goal is to have a program that is comprehensive enough to guide the auditors through the testing of an adequate number of areas, the documentation of the findings and conclusions based on quantitative data, and the presentation and recommendations based on the findings. An effective audit program will include tools and techniques such as the Internal Control Questionnaire (ICQ), Interviews and Observations (IO's), narratives and flowcharts and the audit steps.

In this webinar, we will discuss best practices and the role of technology for implementing a systematic and consistent process for all types of audits, including internal audits, operational audits, IT audits, supplier audits, quality audits and ISO audits. Key issues that will be covered are:

  • The importance of an effective audit program
  • ICQs, IOs, narratives, flowcharts
  • How to design an effective audit step: risks, tests and findings
  • How to effectively communicate audit findings
  • Numbering and labeling system for audit steps and workpapers
  • Accelerated audit planning, execution and review
  • Closed-loop corrective actions for audit findings
  • Reports and dashboards for audit metrics
Who should attend this webinar:
  • End-users responsible for applications that need to be audited
  • Internal Auditors
  • External Auditors
  • Audit Managers
  • QA managers and personnel
  • Information Technology managers and personnel
  • Validation specialists
  • Consultants
  • Quality system auditors

Deborah Donaldson - President and CEO Alpha-Numeric Consulting
Alpha-Numeric Consulting specializes in audit program preparation, audit work, risk management, profitability, and continuing education in related areas. Ms. Donaldson is a nationally known speaker and educator, and regularly participates in webinars, seminars, roundtables and industry forums. She is currently serving on the internal audit committee of the Financial Manager's Society and is a member of The Institute of Internal Auditors.

David Janes - Director of Sales MetricStream
MetricStream is the market leader in Governance, Risk, Compliance and Quality Management Solutions. MetricStream solutions address a growing range of compliance issues that affect business operations by delivering regulation-specific functionality based on industry best practices. David was previously at Ingenico, where he delivered solutions to large retailers including Toys R Us, Kroger, Nextel, Blockbuster, Belk Department Stores, Brookshires, PetSmart and others.

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