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Effective Audit Engagement Planning

EFFECTIVE AUDIT ENGAGEMENT PLANNING

Cost Free
Presentation Length 1.0 hour

Recorded DateOctober 21, 2022
CPE:Not available
(archived webinars do not offer CPE credits)
Subject AreaAuditing
Course LevelBasic
Course Description

The planning process is a critical factor in the success of an audit engagement. It could mean the difference between an efficient and effective audit engagement and an engagement that went over budget and struggled to achieve all the audit objectives. The purpose of any audit engagement is the achievement of the audit objectives. The success of the engagement may well depend on the planning. There are a number of things that impact the planning, such as the number of available auditors, the auditors' experience levels, the time allotted, the complexity of the audit objectives, and in some cases, the location of the engagement.

Learning Objectives:


  • Plan audit engagement  

  • Present an annual risk-based audit plan  

  • Perform a preliminary survey of the engagement area 

  • Summarize the audit objectives 

  • Determine the audit scope 

  • Outline the audit program 

  • List and define the relevant audit standards 

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PLEASE NOTE: ARCHIVED WEBINARS DO NOT QUALIFY FOR CPE
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Mr. Keith has over 40 years of audit experience and served as the Chief Audit Executive for the Metropolitan Atlanta Rapid Transit Authority (MARTA) for 11 years before his retirement in 2012.  

As the Chief Audit Executive for MARTA, he was responsible for administering the overall audit activities for the Department of Internal Audit. 

He has been a volunteer seminar instructor for the Institute of Internal Auditors. He currently teaches audit webinars, including:
•    Writing Effective Audit Observations
•    Putting the Quality in Audit Reports
•    What it Takes to be the Auditor-In-Charge
•    Assessing Risk and Evaluating Controls
•    What It Takes to be the Auditor-In-Charge

He has been published three times in the IIA Magazine’s “Back to Basics” section. 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).

About Our Presenter

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Mr. Keith has over 40 years of audit experience and served as the Chief Audit Executive for the Metropolitan Atlanta Rapid Transit Authority (MARTA) for 11 years before his retirement in 2012.  

As the Chief Audit Executive for MARTA, he was responsible for administering the overall audit activities for the Department of Internal Audit including:
  • Providing the Board, the GM/CEO, MARTA Management and appropriate government entities with independent analysis, appraisals, and recommendations concerning operational, information technology, contract compliance, and financial audits.
  • Directing the day-to-day activities for three audit managers, 12 auditors and the audit coordinator.
  • Developing and/or reviewing all audit reports and audit correspondence.

His other audit experience includes serving as: 
  • Operational Audit Manager at MARTA 
  • Senior Auditor in the Contract Compliance Audit Branch at MARTA
  • Senior Auditor at Norfolk Southern Railway
  • Bank Examiner at the Federal Reserve Bank of Atlanta.  

He has been a volunteer seminar instructor for the Institute of Internal Auditors. Some of the courses taught included: 
  • Writing Effective Audit Reports
  • Tools and Techniques for the Beginning Auditor
  • Communication Skills for Auditors
  • Leadership Skills for the Auditor-In-Charge
  • Audit Project Management
  • CIA Review Course

He currently teaches audit webinars, including:
  • Writing Effective Audit Observations
  • Putting the Quality in Audit Reports
  • What it Takes to be the Auditor-In-ChargeAssessing Risk and Evaluating Controls
  • What It Takes to be the Auditor-In-Charge
He has been published three times in the IIA Magazine’s “Back to Basics” section.

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).