Management Concepts

Essential Communications for the Audit Life Cycle

Available dates

Dec 9—11, 2019
USD 889
Jan 27—29, 2020
USD 889
Mar 16—18, 2020
3 days
Washington, District of Columbia, United States
USD 889
USD 296 per day
+6 more options


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About the course

An audit can be a stressful process for all stakeholders. You will learn how to effectively communicate with all parties in an audit. You will leave with the tools and methods to confidently and successfully communicate during an audit. You will also learn effective negotiation techniques. The course culminates with an audit simulation, allowing you to put your newly honed skills to the test.

Learning Objectives

  • Apply general communication skills to day-to-day work, enabling auditors to interact effectively with both their supervisors and the auditee
  • Establish an audit approach that is clear to both the supervisor and subordinate and that yields positive results
  • Apply proven techniques for initiating contact with the auditee and effectively coordinating the audit arrangements
  • Apply proven techniques for developing and maintaining a productive and professional relationship with the auditee, including eliciting essential information from the auditee, effectively summarizing audit work performed, and providing meaningful feedback to the auditee
  • Clearly communicate audit work in the audit documentation
  • Follow best practices for presenting audit findings and recommendations in a manner that will convince the audit client to take action

Course Topics

General Communications

  • Building Background
  • Best Practices for Conducting Meaningful Oral and Written Communication Throughout the Audit
  • Interpersonal Skills
  • Non-Verbal Communication
  • Effective Email Communications
  • Principles of Reader-Friendly Email
  • Text Messaging
  • Lesson Summary

Preparing for the Audit – A Meeting of the Minds between Supervisor and Subordinate

  • Building Background
  • Audit Supervisor/Subordinate Relationship and Interaction
  • Active Listening
  • Building Rapport
  • Audit Planning
  • Starting the Audit
  • The Audit Objective
  • Key Steps in Developing Objective, Scope, and Methodology for a Performance Audit
  • Lesson Summary

Initiating Contact with the Auditee – First Impressions Count

  • Building Background
  • Audit Standards
  • Reasons for Initiating Audits
  • Announcing the Audit
  • The Audit Entrance Conference
  • Lesson Summary

Auditor Communication with Supervisor and Auditee – Foster Understanding and Mutual Respect

  • Building Background
  • Influencing and Negotiating
  • Defusing Conflict: Dealing with Difficult Interactions
  • Audit Standards for Preparing the Audit Plan
  • Preparing the Audit Plan
  • Requirements for Preparing the Performance Audit Plan
  • Selling the Audit Plan to Your Supervisor
  • Interviews
  • Coordination with the Auditee
  • Coordinating Audit Visits
  • Providing Interim Briefings
  • Encouraging Audit Suggestions
  • Providing Positive Audit Feedback When Warranted
  • Lesson Summary

Audit Documentation – The Auditor’s Trial Transcript

  • Audit Evidence
  • Types of Evidence
  • Qualities of Evidence
  • Confirming Data Reliability
  • Audit Documentation
  • Audit Conclusions and Recommendations
  • Selling Your Audit Conclusions and Recommendations to Your Supervisor and Audit Organization Management
  • Briefing With PowerPoint
  • Lesson Summary

Audit Summary – Make It Understandable and to the Point

  • Building Background
  • Audit Report Formats
  • Attestation Engagement Reports
  • Performance Audit Reports
  • Present Audit Conclusions in a Logical and Persuasive Manner
  • Writing the Audit Report Draft
  • Draft Audit Report Review
  • Staffing (Coordinating) Draft Audit Reports
  • Audit Exit Conference
  • Request for Formal Management Comments
  • Final Audit Report
  • Actions Required Following Audit Report Issuance
  • Lesson Summary

Summary and Closing

  • Review

Who should attend

This course is designed for field level auditors in their first 2 to 10 years of auditing who want to polish their communication skills.

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