Auditing and Governance Risk and Compliance

Audit Working Papers and Documentation

Audit documentation must show what was done, what was found and why conclusions are justified. This course covers audit working papers: standards, planning documents, testing documentation, evidence referencing, review notes, electronic audit tools, retention and quality review.

5 days Classroom or live online English

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Take the course details with you.

Download the full standard outline: why attend, methodology, objectives, audience, competencies, the daily outline and current plans.

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Why attend

From knowledge to real-world impact.

Poor documentation undermines audit conclusions and fails quality reviews. You will learn to document work clearly and efficiently.

Workplace challenges

Professional Problems This Course Is Designed to Solve

The programme explores practical approaches to the following challenges. Results depend on how the learning is applied in your organisation.

Difficulty translating subject knowledge into practical workplace decisions.
Inconsistent approaches to the activities covered in the course outline.
Lack of a structured plan for applying and reviewing new skills.

Course methodology

How you will learn.

Working paper exercises, review simulations, examples of good and poor documentation and tool demonstrations.

Course objectives

What you'll take away.

By the end of this course, participants will be able to:

Explain documentation standards
Document planning and risk assessment
Record testing and evidence clearly
Cross-reference findings to evidence
Perform and respond to reviews
Manage electronic working papers

Target audience

Who should attend.

This course is suitable for:

Internal auditors
Audit seniors and managers
Quality assurance reviewers
External auditors
Compliance testers

Target competencies

Capabilities you will build.

Participants will develop competencies in:

Documentation
Evidence referencing
Review
Tool use
Quality

Course outline

Your learning journey.

A focused, practical outline with time to explore, apply and reflect.

Day 1Documentation Standards

09:00–10:08Purpose
10:08–11:00Standards
11:00–11:30Coffee break
11:30–11:45Standards (continued)
11:45–12:53Common deficiencies
12:53–14:00Exercise

Day 2Planning Documents

09:00–10:08Scope and objectives
10:08–11:00Risk and control matrices
11:00–11:30Coffee break
11:30–11:45Risk and control matrices (continued)
11:45–12:53Programmes
12:53–14:00Workshop

Day 3Testing Documentation

09:00–10:08Test records
10:08–11:00Evidence
11:00–11:30Coffee break
11:30–11:45Evidence (continued)
11:45–12:53Exceptions
12:53–14:00Exercise

Day 4Review

09:00–10:08Review notes
10:08–11:00Responding
11:00–11:30Coffee break
11:30–11:45Responding (continued)
11:45–12:53Sign-off
12:53–14:00Simulation

Day 5Tools and Retention

09:00–10:08Electronic tools
10:08–11:00Retention
11:00–11:30Coffee break
11:30–11:45Retention (continued)
11:45–12:53Quality reviews
12:53–14:00Action plan

The timings provided are estimates and may vary depending on the number of participants and the discussions taking place during the sessions. They are indicative only and do not constitute a binding commitment.

Dates & venues

Find a session that works for you.

Confirmed dates accept registration requests. Tentative dates are enquiry only.

Good to know

A few things to know.

How is the course delivered?

Our classroom programmes combine facilitated discussion, case studies, exercises and reflection. The precise format will be confirmed before enrolment.

Can you deliver this programme for our team?

Yes, you can enquire about a tailored programme. Share your goals, group size and preferred dates with our learning team.

Will I receive a certificate?

Participants who complete the programme receive a Smart Horizon UK certificate of attendance. Smart Horizon UK programmes are not externally accredited and do not award a professional qualification, licence or designation. Where a course title or outline refers to a professional certification (for example, AACE International's Certified Cost Professional), the programme supports learning and preparation only; the credential itself is awarded solely by the relevant professional body under its own application and examination requirements.

What should I confirm before booking travel?

Please confirm the session, exact venue, accessibility arrangements, fees and any visa requirements with the team before arranging travel. Tentative dates are not confirmed sessions.

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