Managing an Audit Program

Operational Auditing and Quality Assurance October 25, 2025
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Introduction

This course provides comprehensive training on establishing, implementing, and maintaining an effective internal audit program across a large or complex organization, based on the principles of ISO 19011 and relevant management system standards. Participants will learn the critical stages of audit program management, from defining program objectives and scope to ensuring auditor competence and monitoring overall program performance. The training emphasizes a risk-based approach to audit scheduling, resource management, and utilizing audit results to provide strategic assurance to top management and drive continuous improvement across all management systems.

Objectives

Upon completion of this course, participants will be able to:

  • Explain the purpose and value of a structured, risk-based internal audit program.
  • Apply the guidance of ISO 19011 to establish and maintain an audit program.
  • Define the scope, objectives, and criteria for the overall audit program.
  • Develop a risk-based audit schedule that prioritizes high-risk processes and areas.
  • Determine the necessary competence requirements for auditors and evaluate their performance.
  • Effectively manage resources, including budget, time, and external support.
  • Establish clear processes for audit follow-up, corrective action tracking, and closure.
  • Monitor, review, and continuously improve the performance of the audit program itself.

Target Audience

  • Internal Audit Managers and Directors.
  • Quality, Safety, and Environmental Managers responsible for the audit program.
  • Compliance Officers and GRC professionals.
  • Senior Auditors transitioning into management roles.
  • Personnel responsible for audit scheduling and resource planning.
  • Consultants advising organizations on audit management.

Methodology

  • Case Studies illustrating successful and unsuccessful best practice transfer.
  • Group Activities: Selecting a process for benchmarking and defining its KPIs.
  • Individual Exercises
  • Practical Application

Personal Impact

  • Master the systematic approach to audit program design and management.
  • Develop strong risk-based scheduling and resource allocation skills.
  • Gain confidence in evaluating and developing auditor competence.
  • Improve ability to translate audit data into meaningful strategic information for management.
  • Enhance leadership and communication skills in managing the audit function.
  • Become a strategic partner by linking audit activity to organizational risk.

Organizational Impact

  • More efficient utilization of auditing resources by focusing on high-risk areas.
  • Increased credibility and value of the internal audit function to top management.
  • Consistent application of audit methodologies and report quality across the organization.
  • A robust, systematic process for maintaining and improving management system compliance.
  • Faster identification and resolution of systemic organizational nonconformities.
  • Demonstrable commitment to continuous improvement of governance and control.

Course Outline

Unit 1: Fundamentals of Audit Program Management and ISO 19011

Section 1.1: Program Framework
  • The scope and principles of ISO 19011 (Guidelines for Auditing Management Systems).
  • Defining the objectives, risks, and opportunities for the audit program.
  • Understanding the relationship between the audit program and management system standards (e.g., ISO 9001).
  • Determining the roles, responsibilities, and authority of the audit program manager.

Unit 2: Risk-Based Program Planning and Resourcing

Section 2.1: Planning and Risk
  • Techniques for using risk assessment results to prioritize audit focus areas.
  • Developing a dynamic, multi-year audit schedule based on process criticality and performance.
  • Resource management: Budgeting, time allocation, and scheduling conflicts.
  • Auditing considerations for integrated management systems (IMS).

Unit 3: Auditor Competence and Team Management

Section 3.1: Auditor Development
  • Defining the necessary knowledge, skills, and behavior (KSB) for auditors.
  • Developing a continuous professional development (CPD) plan for auditors.
  • Methods for evaluating auditor competence and ensuring objectivity.
  • Techniques for leading and managing audit teams effectively, including virtual teams.

Unit 4: Implementing the Audit Program and Data Analysis

Section 4.1: Execution Controls
  • Establishing consistent processes for audit planning, execution, and reporting across all auditors.
  • Managing the control of documented information (audit records, reports, NCs).
  • Analyzing audit data (NC trends, closure rates) to identify systemic organizational issues.
  • Techniques for ensuring consistency and quality of audit findings.

Unit 5: Program Monitoring, Review, and Improvement

Section 5.1: Program Performance
  • Developing Key Performance Indicators (KPIs) for the audit program (e.g., coverage, closure rates).
  • Monitoring and measuring the performance and effectiveness of the program.
  • Conducting the audit program review and reporting results to top management.
  • Identifying and implementing corrective actions for improving the audit program itself.

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