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Effective Audit Engagement Planning


Cost Free
CPE Credits 1.0 hour
Subject Area 1.0 - Auditing
CE Credits 0.0 hours
Course Level Basic
Instructional Method Group Internet Based
Prerequisites None
Advanced Preparation None
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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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).

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NASBA Approved (Sponsor Id#: 111889) is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: 1685 S. Colorado Blvd, Suite #205, Denver, CO 80222

About Our Sponsor

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Oracle NetSuite Global Business Unit pioneered the Cloud Computing revolution in 1998, establishing the world’s first company dedicated to delivering business applications over the internet. Today, Oracle NetSuite Global Business Unit provides a suite of cloud-based financials / Enterprise Resource Planning (ERP), HR and omnichannel commerce software that runs the business of companies in more than 200 countries.