# Audit Readiness, Response and Remediation Course

Canonical URL: <https://www.graduateschool.edu/courses/audit-readiness-response-and-remediation>

## Overview

This course provides students with a comprehensive understanding of the elements of an audit readiness program. Students will also learn about the audit liaison (response) function and best practices for crafting complete and accurate responses to auditors to include development of model audit packages and response checklists. Finally, students will learn strategies for the remediation of audit findings, focusing on developing and implementing corrective action plans to address identified deficiencies.

## Prerequisites

Students should have prior experience with internal controls and compliance frameworks, preparing or reviewing business process documentation, and responding to audit requests, as well as familiarity with root cause analysis or corrective action planning in an organizational context.

## Curriculum

#### Module 1: Audit Readiness Introduction

- Define audit readiness and explain its purpose within organizations, especially government entities.
- Identify key internal controls, process documentation, and audit preparation tools.
- Describe end-to-end process documentation and the role of the control environment.
- Review applicable laws, standards (e.g., OMB A-123, GAO Green Book), and stakeholder roles.

#### Module 2: Audit Response – Standardization

- Describe the purpose and structure of a model audit package.
- Develop standardized templates and checklists for consistent audit responses.
- Build and manage an inventory of audit response materials.
- Understand the role of the audit response team and effective documentation practices.

#### Module 3: Audit Response – Interacting with the Audit

- Distinguish between documentation submission and walkthrough interactions with auditors.
- Demonstrate positive, proactive engagement to build transparency and trust.
- Prepare for walkthroughs by selecting key processes and presenting controls.
- Respond effectively to auditor findings and document the engagement process.

#### Module 4: Audit Testing – Documentation and Sample Request

- Describe common audit testing types: risk assessment, substantive, and control testing.
- Classify and respond to document and sample requests aligned with testing objectives.
- Organize audit evidence efficiently to ensure accuracy and completeness.
- Demonstrate understanding of how to manage audit inquiries and submission processes.

#### Module 5: Audit Remediation – Root Cause Analysis

- Define root cause analysis and its role in audit remediation.
- Identify control failures and process gaps contributing to audit findings.
- Apply root cause techniques such as the "5 Whys" and fishbone diagrams.
- Use a risk-based approach to prioritize findings and design effective remediation strategies.

#### Module 6: Corrective Action Plan (CAP) Development

- Define CAPs and explain how to develop actionable and measurable remediation steps.
- Assign responsibilities, establish timelines, and ensure stakeholder engagement.
- Align corrective actions with root causes, policies, and regulatory requirements.
- Ensure CAPs are realistic, sustainable, and focused on long-term compliance.

#### Module 7: CAP Implementation

- Monitor the progress of CAPs using KPIs and milestone tracking.
- Report CAP implementation status to management and auditors effectively.
- Validate that corrective actions have addressed root causes and achieved intended results.
- Promote accountability and continuous improvement through structured oversight.

#### Module 8: Audit Remediation – Post-Implementation

- Revise and update business process documentation to reflect implemented CAPs.
- Maintain version-controlled, auditable process records to support future audits.
- Present improved workflows and controls to auditors using updated documentation.
- Sustain compliance and transparency through continuous documentation updates.

## Schedule
- Jul 29, 2026 9:00am–5:00pm — Live Online
- Aug 31, 2026 9:00am–5:00pm — Live Online
- Nov 24, 2026 9:00am–5:00pm — Live Online

## Pricing

**Tuition:** $1199