Business Process Auditing Overview

  2 Days


As businesses grow and evolve to meet the ever changing needs of their customers and other stakeholders, new business processes and practices are introduced, often in a unplanned way. Over time, with constant minor 'improvements' to existing processes, they become inefficient, ineffective and uneconomic to operate.  Periodic review is therefore essential if they are going to continue to serve our needs and those of our customers.  The problem facing organisations is, "Where do we start?".  The answer is with a structured series of audits focussing on critical processes with the principal purpose of evaluating their economy, efficiency and effectiveness.

This course aims to give participants an understanding of process auditing and its use as a tool for business improvement and the communication of best practice.  The course illustrates the techniques of business process auditing through a case study which provides some practical experience.  A longer version of this course, the 4 day Business Process Auditing Course, consolidates this practical experience with a 'live' audit exercise conducted at the client's premises.


Workshop Objectives:

On completion of the workshop, participants will be able to:

  • Explain how to identify the key processes and controls in the area to be audited
  • Explain how to establish criteria for their assessment, with regard to:
    • compliance with policy/procedures
    • effectiveness in meeting objectives 
    • efficiency/economy of operation 
  • Describe how to plan and conduct the audit
  • Illustrate how to report audit outcome to management 
  • Explain the role of the auditor in helping management benefit from the audit findings.

Workshop Content:

  • The principles of business processes
  • Analysing processes
  • How to understand a business process
  • The principles of business auditing
  • The role of the auditor
  • Preparing for an audit
  • Conducting the opening meeting
  • Conducting audit interviews
  • Collecting and evaluating evidence
  • Preparing observation statements
  • Preparing a summary report
  • Conducting the closing meeting
  • The final audit report
  • Post audit follow-up.