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Internal Auditing Basics

Course ID IAB01JPR
Format Web-based

This course helps you understand the basics of auditing. You’ll learn how to prepare, perform, report, and close an audit. It is ideal for new auditors, those preparing to be on an audit team, and people who will soon be audited and want to understand the auditing process.


Gain a basic understanding of how to conduct an internal audit. Learn the audit conventions for preparing, performing, reporting, and follow-up. New internal auditors will learn what they need to know to conduct an audit using any performance standard (such as: ISO 9001, FDA GMPs, FAA, ISO 14000, HACCP, and so on). The lessons follow the audit process from initial acceptance of the audit assignment through reporting what was found. The Internal Auditing Basics course consists of a series of lessons, illustrations, diagrams, examples, supplemental handout information, interactive exercises, and quizzes. A handy desk reference, QualityWBT comprehensive glossary, and Auditor Code of Conduct are included in the class as PDF files. Successful completion of the class will result in a certificate of completion with CEUs. The subscription length is 90 days (plus one free 30-day subscription extension, if needed).-

Course Data

  • CEU Hours: 1
  • Length: 9 Hours
  • ASQ RU: 1
  • Audience: New to Quality
  • Provider: Quality WBT
Course Overview

Learning Objectives:

  • Identify the steps needed to prepare, perform, report and follow
  • up, and closure
  • Identify types of audit evidence needed to verify conformance to requirements
  • Use checklists and other working papers
  • Conduct a desk audit
  • Collect audit evidence
  • Determine when a practice or situation represents a nonconformance or finding
  • Determine methods to analyze and classify nonconformities or findings
  • Write nonconformity statements
  • Report results of the audit
  • Follow-up and verify actions taken

Prerequisites:

None for this course

Who Should Attend:

New auditors, those preparing to be on teams of auditors, and people who wish to understand the auditing process while being audited.

Outline
  1. Welcome to Auditing
    1. Auditing Terminology
    2. Types of Audits
  2. Getting the Assignment
    1. Internal Audit Job Steps
    2. The 5 W’s
    3. Conflict of Interest
  3. Audit purpose, scope, and other inputs
    1. Information Needed
    2. What and Where
  4. Preparing for the Audit
    1. Audit Team Members
    2. Planning
    3. Communication
  5. Identifying Requirements and Planning
    1. Audit Criteria
    2. Checklists
    3. Sampling Plans
  6. Desk Audit and Audit Strategies
    1. Complete Desk Audit
    2. Construct Flowchart
    3. Compare Element and Department Methods
  7. Beginning the Audit
    1. Opening Meeting
    2. Audit Schedules
    3. Working Papers
  8. Data, Collecting Evidence
    1. Data Collection Plan
    2. Verify
    3. Validate
  9. Applying Process Techniques
    1. Contrast Open-End and Closed-End Requirements
    2. PDCA Techniques
    3. Process Auditing Techniques
  10. Analyze the Results
    1. Evaluate Observations
    2. Write Draft Audit Report
  11. Reporting the Results
    1. Conduct an Exit Meeting
    2. Compare Auditor/Auditee Responsibilities
    3. Write the Final Audit Report
  12. Follow Up and Closure
    1. Contrast Elements of Remedial, Corrective, and Preventive Actions
    2. Bring About an Effective Closure
Details

Format

This is a self-paced course that can be started at any time. You have 90 days to complete the course. Course content is nine hours long and is worth .90 CEU hours or .90 ASQ RUs.

Materials Provided

  • Glossary
  • Basic Audit Principles
  • Auditor Code of Contact
  • Desk Reference
System Requirements
Here is what you need to participate in an ASQ web-based, self-paced, or instructor-led virtual WebEx course.

Registration Email

After course registration, you will receive an email with access instructions. If you do not, please check your email junk, spam, or clutter folders. If the email is not there, please contact ASQ. For virtual WebEx courses, you will receive another email 24 hours prior to the start of class containing additional access information.

Technical Requirements

  • Computer – PC or Macintosh
  • High-speed internet connection
  • Adobe Flash Player 10.3 or later
  • Windows: Internet Explorer 8 or later, Google Chrome (latest version), Firefox (latest version)
  • Mac: Safari 7 or later, Google Chrome (latest version), Firefox (latest version)
  • For instructor-led virtual WebEx courses, a speakerphone or telephone headset in a designated room or space with no distractions (preferred)

NOTE: Refer to product description for any additional system requirements.

WebEx – Virtual Course: Advance Preparation and Student Information

Join a Test Session

We strongly suggest that you join a WebEx test session in advance of your scheduled virtual training, using your preferred web browser. This can help prevent problems launching content the day your training begins.

If you do not have administrative privileges on the SAME computer you will be using the day of your training (i.e., your workstation within your organization) you may need the assistance of your local IT/IS help desk staff for the platform to engage correctly.

To join a test session (meeting), click here and enter your name and email address to join. If successful, you will see a screen that says "Congratulations! Your system is now set up properly ..."

Deactivate Pop-up Blockers

You should deactivate any pop-up blockers, spam filters, and company firewalls that could prevent the WebEx client platform or web-based course from working properly. Third-party toolbars such as Bing, Yahoo, and Google should also be disabled due to their own pop-up blocking capabilities.

Cancellation Policy
ASQ reserves the right to cancel or re-schedule courses and to change instructors. Please be advised that in the event of a course cancellation, ASQ is not responsible for airfare penalties or other travel related expenses you may incur.
  • If you need to cancel, we will refund your paid registration fee as noted below.
    • Requests for cancellations/transfers received at least 5 business days before the start of the course receive a full refund/transfer.
    • Requests received within 5 business days of the course starting incur a $150 processing fee.
    • After the course starts, there are no refunds or transfers.
    • Registrants who fail to attend without advance notice are liable for the entire course fee.
    • If you cannot find a substitute, we can transfer your course fees to another ASQ course of your choice.
  • You must successfully complete the entire course or program before IACET CEUs and a Certificate of Completion can be awarded.

Enrollment Details

Format: Classroom
Format: Web-based

Internet-based, self-paced training modules, which may involve combinations of text, visuals, audio, interactive simulations and quizzes (see specific courses for features and tools).  These web-based courses require a computer and Internet access.

IAB01JPR Self-Paced English 90 Days List: $189 Member: $169

GROUP TRAINING


ON-SITE TRAINING FOR YOUR ORGANIZATION.


ASQ’s customized on-site training programs are the cost-effective way for you to train employees on your schedule. Training on-site minimizes the cost-per-student, reduces travel expenses, and ensures that the content is specific to your exact needs.

5 Benefits of On-Site Training

  1. Expertise to your location: Saves time and travel expenses
  2. Convenient scheduling: Train groups of five or more
  3. Customizable courses: Training tailored to your groups’ needs
  4. Immediate results: Employees complete courses ready to apply what they’ve learned
  5. Value-add support: Instructors available to answer questions after session