How to Write Effective Audit Observations: The Principles for Bullet Proofing Your Audit Findings 1.5 Credits
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Preparing for and conducting an audit are the initial components of the audit process; writing a good audit report is the final step. Communicating the results of an audit is just as important as performing it. However, auditors are often frustrated when their audit reports are not taken seriously or used effectively because they do not provide meaningful information.
Even the best-planned audit will do little good if results are not effectively communicated to the audit client to make the needed fixes. This CPE Auditing course will discuss how to write audit observations so that whether it’s used internally or externally, the audit report conveys the proper information.
The key to writing an effective audit observation is having a comprehensive structured process. The Institute of Internal Auditors recommends a process known as the 5Cs:
As you develop conclusions, findings, and recommendations, you must present them to your client in a logical, complete, and objective way. This process provides an easy way to consistently develop and present your observations in a timely manner. The components of this process include all the information you will need to inform and persuade. It allows you to present your findings to your reader in a logical, complete, and objective manner and, thus, enhances the chances of the client’s buy-in and their agreement to your recommendations.
| License details | Credits | Status |
|---|---|---|
| Auditing for Certified Public Accountants (CPA-US) | 1.5 CPE | Approved |
| Auditing for CPA in Canada | 1.5 CPD | Eligible |
| Certified Internal Auditors (CIA) | 1.5 CPE | Eligible |
| Auditing for Certified Management Accountants (CMA) | 1.5 CPE | Eligible |
| Auditing for Delaware Licensed Public Accountant (DE-LPA) | 1.5 CPE | Eligible |
| Auditing for Certified Government Financial Manager (CGFM) | 1.5 CPE | Eligible |
| Auditing for Internal Audit Practitioner (IAP) | 1.5 CPE | Eligible |
| Association of Chartered Certified Accountants (ACCA) | 1.5 CPD | Eligible |
| Chartered Accountant - ICAEW | 1.5 CPD | Eligible |
| Auditing for Certified Fraud Examiner (CFE) | 1.5 CPE | Eligible |
| Auditing for Certified Internal Controls Auditor (CICA) | 1.5 CPE | Eligible |
| Auditing for Qualification in Internal Audit Leadership (QIAL) | 1.5 CPE | Eligible |
| Auditing for Iowa Licensed Public Accountant (IA-LPA) | 1.5 CPE | Eligible |
| Auditing for Certification in Risk Management Assurance (CRMA) | 1.5 CPE | Eligible |
| Auditing for Maine Licensed Public Accountant (ME-LPA) | 1.5 CPE | Eligible |
| Auditing for Certified Controls Specialist (CCS) | 1.5 CPE | Eligible |
| Auditing for Certified Government Auditing Professional (CGAP) | 1.5 CPE | Eligible |
| Auditing for Certified Financial Forensics (CFF) | 1.5 CPD | Eligible |
| Chartered Accountants - Ireland (CAI) | 1.5 CPD | Eligible |
| CPA - Ireland | 1.5 CPD | Eligible |
| Chartered Accountants - Scotland | 1.5 CPD | Eligible |
| License details | Credits | Status |
|---|---|---|
| Auditing for Certified Public Accountants (CPA-US) | 1.5 CPE | Approved |
| Auditing for CPA in Canada | 1.5 CPD | Eligible |
| Certified Internal Auditors (CIA) | 1.5 CPE | Eligible |
| Auditing for Certified Management Accountants (CMA) | 1.5 CPE | Eligible |
| Auditing for Delaware Licensed Public Accountant (DE-LPA) | 1.5 CPE | Eligible |
| Auditing for Certified Government Financial Manager (CGFM) | 1.5 CPE | Eligible |
| Auditing for Internal Audit Practitioner (IAP) | 1.5 CPE | Eligible |
| Association of Chartered Certified Accountants (ACCA) | 1.5 CPD | Eligible |
| Chartered Accountant - ICAEW | 1.5 CPD | Eligible |
| Auditing for Certified Fraud Examiner (CFE) | 1.5 CPE | Eligible |
| Auditing for Certified Internal Controls Auditor (CICA) | 1.5 CPE | Eligible |
| Auditing for Qualification in Internal Audit Leadership (QIAL) | 1.5 CPE | Eligible |
| Auditing for Iowa Licensed Public Accountant (IA-LPA) | 1.5 CPE | Eligible |
| Auditing for Certification in Risk Management Assurance (CRMA) | 1.5 CPE | Eligible |
| Auditing for Maine Licensed Public Accountant (ME-LPA) | 1.5 CPE | Eligible |
| Auditing for Certified Controls Specialist (CCS) | 1.5 CPE | Eligible |
| Auditing for Certified Government Auditing Professional (CGAP) | 1.5 CPE | Eligible |
| Auditing for Certified Financial Forensics (CFF) | 1.5 CPD | Eligible |
| Chartered Accountants - Ireland (CAI) | 1.5 CPD | Eligible |
| CPA - Ireland | 1.5 CPD | Eligible |
| Chartered Accountants - Scotland | 1.5 CPD | Eligible |
| License details | Credits | Status |
|---|---|---|
| Auditing for Certified Public Accountants (CPA-US) | 1.5 CPE | Approved |
| Auditing for CPA in Canada | 1.5 CPD | Eligible |
| Certified Internal Auditors (CIA) | 1.5 CPE | Eligible |
| Auditing for Certified Management Accountants (CMA) | 1.5 CPE | Eligible |
| Auditing for Delaware Licensed Public Accountant (DE-LPA) | 1.5 CPE | Eligible |
| Auditing for Certified Government Financial Manager (CGFM) | 1.5 CPE | Eligible |
| Auditing for Internal Audit Practitioner (IAP) | 1.5 CPE | Eligible |
| Association of Chartered Certified Accountants (ACCA) | 1.5 CPD | Eligible |
| Chartered Accountant - ICAEW | 1.5 CPD | Eligible |
| Auditing for Certified Fraud Examiner (CFE) | 1.5 CPE | Eligible |
| Auditing for Certified Internal Controls Auditor (CICA) | 1.5 CPE | Eligible |
| Auditing for Qualification in Internal Audit Leadership (QIAL) | 1.5 CPE | Eligible |
| Auditing for Iowa Licensed Public Accountant (IA-LPA) | 1.5 CPE | Eligible |
| Auditing for Certification in Risk Management Assurance (CRMA) | 1.5 CPE | Eligible |
| Auditing for Maine Licensed Public Accountant (ME-LPA) | 1.5 CPE | Eligible |
| Auditing for Certified Controls Specialist (CCS) | 1.5 CPE | Eligible |
| Auditing for Certified Government Auditing Professional (CGAP) | 1.5 CPE | Eligible |
| Auditing for Certified Financial Forensics (CFF) | 1.5 CPD | Eligible |
| Chartered Accountants - Ireland (CAI) | 1.5 CPD | Eligible |
| CPA - Ireland | 1.5 CPD | Eligible |
| Chartered Accountants - Scotland | 1.5 CPD | Eligible |
| License details | Credits | Status |
|---|---|---|
| Auditing for Certified Public Accountants (CPA-US) | 1.5 CPE | Approved |
| Auditing for CPA in Canada | 1.5 CPD | Eligible |
| Internal Auditing for Certified Internal Auditors (CIA) | 1.5 CPE | Eligible |
| Auditing for Certified Management Accountants (CMA) | 1.5 CPE | Eligible |
| Auditing for Delaware Licensed Public Accountant (DE-LPA) | 1.5 CPE | Eligible |
| Auditing for Certified Government Financial Manager (CGFM) | 1.5 CPE | Eligible |
| Auditing for Internal Audit Practitioner (IAP) | 1.5 CPE | Eligible |
| Association of Chartered Certified Accountants (ACCA) | 1.5 CPD | Eligible |
| Chartered Accountant - ICAEW | 1.5 CPD | Eligible |
| Auditing for Certified Fraud Examiner (CFE) | 1.5 CPE | Eligible |
| Auditing for Certified Internal Controls Auditor (CICA) | 1.5 CPE | Eligible |
| Auditing for Qualification in Internal Audit Leadership (QIAL) | 1.5 CPE | Eligible |
| Auditing for Certification in Risk Management Assurance (CRMA) | 1.5 CPE | Eligible |
| Auditing for Iowa Licensed Public Accountant (IA-LPA) | 1.5 CPE | Eligible |
| Auditing for Maine Licensed Public Accountant (ME-LPA) | 1.5 CPE | Eligible |
| Auditing for Certified Controls Specialist (CCS) | 1.5 CPE | Eligible |
| Auditing for Certified Financial Forensics (CFF) | 1.5 CPD | Eligible |
| Auditing for Certified Government Auditing Professional (CGAP) | 1.5 CPE | Eligible |
| Chartered Accountants - Ireland (CAI) | 1.5 CPD | Eligible |
| Chartered Accountants - Scotland | 1.5 CPD | Eligible |
| CPA - Ireland | 1.5 CPD | Eligible |
Credits
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Instructional Method
Pre-requisites
Advance Preparation
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Mr. Keith has over 50 years of audit experience and served as the Chief Audit Executive for the Metropolitan Atlanta Rapid Transit Authority (MARTA) for 12 years before his retirement in 2012. His other audit experience includes serving as Operational Audit Manager for five years and was a Senior Auditor in the Contract Compliance Audit Branch at MARTA. He was also a Senior Auditor at Norfolk Southern Railway, and a Bank Examiner at the Federal Reserve Bank of Atlanta.
As the Chief Audit Executive for MARTA, he was responsible for administering the overall audit activities for the Department of Internal Audit including:
He was a volunteer seminar instructor for the Institute of Internal Auditors. Some of the courses taught included:
He has written three IIA Magazine articles including:
He has provided training for the Association of Certified Fraud Examiners Annual Conference:
He currently teaches audit webinars, including:
He has a degree in Economics from Clark Atlanta University. His certifications include Certified Internal Auditor (CIA), Certified Fraud Examiner (CFE), and Certified Government Auditing Professional (CGAP).
Mr. Keith has been married over 50 years. He also co-authored a book with his wife on marriage entitled “Tied Together – The Marriage Trinity”. He has two daughters and five grandchildren.
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We issue instant credit certificates, ensuring they are valid for presentation to governing bodies. Typically, we report IRS, CTEC, CFP, IDFP, IWI, VBOA Ethics credits within 7 days – the fastest in the industry.
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