Project Management Skills for Auditors

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PROJECT MANAGEMENT SKILLS FOR SENIOR AUDITORS

I. Why Project Management Skills for Auditors?

A.	Tying audits to organizational objectives
B.	Getting and staying organized
C.	The challenge of managing multiple audits

II. Five Main Steps For Managing The Audit From Beginning To End

A.	Design
B.	Plan
C.	The human dimension: audit team and client involvement
D.	Implement and monitor
E.	Completion

III. The Design Phase

A.	Scoping the audit
	Determining the scope based on specific criteria
	Determining the potential risks and exposures
	Choosing what kind of audit would work best to perform (traditional, facilitated workshop, etc.)
	Determining the members of the audit team if not done already

IV. Planning

A.	How to develop a project plan for the audit
B.	Project summary and requirements
C.	Milestones which determine how the audit is progressing
D.	Work breakdown structure
	Determining the tasks involved in completing the audit
	Task analysis
	Time analyses and estimates
	Tying activities to the scope and purpose of the audit
E.	Network diagram of activities with schedule dates (graphical representation using Gantt, PERT or equivalent)
	Assigning who will be doing which tasks and which people will be working together
F.	Budget and cost estimates
G.	Interface and communication structures/procedures
	How the team will interact and communicate with each other
	Communication systems/equipment needed
	Customer communication points
H.	Logistics
I.	Maintaining control of the project with project reviews
J.	How to determine risks, exposures and controls related to the audit scope
K.	Determining if and how to look at risks and controls requested by client (or related to client's objectives)
L.	Risk management of the audit: what could go wrong and planning to minimize this.
M.	Tightening the work schedule

V. Building and Maintaining a Successful Team

A.	A step by step structure put in place for increasing a better team effort
	Clarity of audit objective and of each person's role in this audit
	Ground rules for working together and working out conflicts
	Communicating professionally with each other
B.	Leadership skills for the supervisors and senior auditors
	Understanding your leadership style and which style works best for your audit team
	Managing performance of your auditors as a group and individually
	Knowing what and how to delegate effectively
	Giving constructive feedback and positive feedback
C.	Communicating with the client - your role and methodology

VI. Implementation and Monitoring of Audit

A.	Ensuring that the audit process is oriented toward the focus desired with the audit: risks, controls, and/or processes
B.	Tying deliverables back to the focus (i.e., risks)
C.	Doing the data gathering and testing as determined in the planning phase
D.	Monitoring the progress of the audit
	Inspection
	Reviews
	Testing and auditing
E.	How to carry out the interim feedback meetings
F.	Integrating audit findings and results of discussion with client with report throughout audit
G.	After the closing conference: setting up the monitoring process, if used
H.	Managing the implementation of multiple audits

VII. Close

A.	Common audit project problems and how to prevent them
B.	Gathering feedback from the client and the audit team
C.	Evaluating the project success with team, audit management
D.	Final determination of what and how the audit will be reported upward

VIII. Other Issues Related to Project Management Discussed As Needed

	Action plan for own audit project management discussed as needed
	Action plans shared, feedback given

VIII. Close of Program