Format: Live instructor-led online training via Zoom / Microsoft Teams

Internal Audit Compliance for Research Training Course

Course Overview

The Internal Audit Compliance for Research Training Course is a comprehensive professional development program designed to equip internal auditors, research managers, compliance officers, finance professionals, grant managers, principal investigators, institutional review board members, and organizational leaders with practical knowledge and advanced skills to strengthen internal audit systems, regulatory compliance, governance, and accountability within research institutions and research-funded programs. The course focuses on internal audit, research compliance, audit planning, governance, risk management, grant compliance, financial controls, research ethics, regulatory compliance, internal control systems, audit analytics, quality assurance, data integrity, and institutional accountability. Participants will gain practical competencies to conduct effective internal audits, strengthen compliance frameworks, improve governance, manage research risks, and enhance transparency across research organizations.

Research institutions, universities, healthcare organizations, government agencies, and donor-funded research programs operate within increasingly complex regulatory environments requiring compliance with research ethics, financial accountability, donor regulations, data protection laws, procurement procedures, intellectual property requirements, and institutional governance frameworks. Effective internal audit functions are essential for safeguarding research resources, ensuring compliance, improving operational efficiency, minimizing fraud and misconduct risks, and strengthening institutional credibility. This course provides practical guidance on audit planning, risk-based auditing, compliance monitoring, grant management, internal control evaluation, audit reporting, corrective action planning, fraud prevention, and continuous improvement within research environments.

The course emphasizes international best practices in Internal Audit Standards, Institute of Internal Auditors (IIA) Standards, COSO Internal Control Framework, ISO 37301 Compliance Management Systems, ISO 31000 Risk Management, Good Clinical Practice (GCP), Good Laboratory Practice (GLP), research ethics, grant management, financial compliance, enterprise risk management, audit analytics, business intelligence, and continuous organizational improvement. Through practical workshops, audit simulations, collaborative learning, compliance assessments, and research-focused case studies, participants will strengthen their ability to conduct internal audits, evaluate compliance risks, assess internal controls, prepare audit reports, monitor corrective actions, and support sound governance across research organizations.

Upon successful completion of this course, participants will possess the practical skills required to establish robust internal audit and compliance systems that strengthen governance, improve financial stewardship, enhance research integrity, reduce operational risks, ensure regulatory compliance, and promote accountability in research institutions. They will be equipped to integrate risk-based auditing, compliance monitoring, governance frameworks, and continuous improvement practices that support sustainable research excellence and organizational performance.

Course Objectives

1. Understand the principles and standards of internal auditing in research organizations.
2. Develop risk-based internal audit plans for research programs and institutions.
3. Strengthen governance, compliance, and internal control systems.
4. Improve grant management and donor compliance oversight.
5. Enhance financial auditing and fraud prevention capabilities.
6. Strengthen research ethics, data integrity, and regulatory compliance.
7. Improve audit reporting, recommendations, and corrective action monitoring.
8. Utilize audit analytics and performance measurement tools.
9. Strengthen enterprise risk management and institutional accountability.
10. Apply international best practices in internal audit compliance for research organizations.

Organizational Benefits

1. Improved governance, transparency, and institutional accountability.
2. Enhanced compliance with donor, regulatory, and research requirements.
3. Strengthened internal controls and financial stewardship.
4. Reduced fraud, waste, abuse, and operational risks.
5. Improved grant management and project accountability.
6. Enhanced research integrity and ethical compliance.
7. Better audit planning, reporting, and corrective action implementation.
8. Improved operational efficiency and resource utilization.
9. Strengthened stakeholder confidence and donor trust.
10. Sustainable institutional performance through continuous audit improvement.

Target Participants

• Internal Auditors
• Chief Audit Executives
• Compliance Officers
• Research Managers
• Principal Investigators
• Grant Managers
• Finance Managers
• Financial Controllers
• Risk Management Officers
• Governance Officers
• Institutional Review Board Members
• Research Administrators
• Monitoring and Evaluation Specialists
• Procurement Managers
• Legal and Regulatory Officers
• Quality Assurance Managers
• Data Protection Officers
• University Administrators
• Research Institute Directors
• NGO Program Managers
• Development Partner Representatives
• Consultants
• Senior Executives
• Public Sector Audit Professionals

Course Outline

Module 1: Foundations of Internal Audit and Research Compliance

1. Principles of internal auditing.
2. Internal Audit Standards and professional ethics.
3. Governance and accountability in research institutions.
4. Research compliance frameworks.
5. Internal control systems.
6. Emerging trends in research auditing.
   General Case Study: Conducting an institutional governance assessment to identify audit priorities and strengthen compliance within a national research institute.

Module 2: Risk-Based Internal Auditing and Compliance Management

1. Enterprise risk management.
2. Risk-based audit planning.
3. Compliance risk assessment.
4. Grant and donor compliance.
5. Audit universe development.
6. Annual audit planning.
   General Case Study: Developing a risk-based internal audit plan for multiple donor-funded research projects while ensuring compliance with grant conditions and institutional policies.

Module 3: Financial Auditing, Internal Controls, and Fraud Prevention

1. Financial audit methodologies.
2. Internal control evaluation.
3. Procurement and asset audits.
4. Fraud risk assessment and prevention.
5. Research expenditure compliance.
6. Financial reporting and accountability.
   General Case Study: Evaluating procurement and financial controls for a large multi-year research project to identify compliance gaps and strengthen accountability.

Module 4: Research Ethics, Data Integrity, and Regulatory Compliance

1. Research ethics and integrity.
2. Data governance and protection.
3. Good Clinical Practice (GCP) and Good Laboratory Practice (GLP).
4. Regulatory compliance monitoring.
5. Audit evidence collection.
6. Audit documentation standards.
   General Case Study: Conducting a compliance audit of research data management practices to improve data integrity, participant protection, and regulatory compliance.

Module 5: Audit Reporting, Monitoring, and Continuous Improvement

1. Audit report preparation.
2. Developing practical audit recommendations.
3. Corrective action planning.
4. Follow-up audits.
5. Key Risk Indicators (KRIs) and Key Performance Indicators (KPIs).
6. Continuous quality improvement.
   General Case Study: Preparing a comprehensive internal audit report and monitoring implementation of corrective actions to improve compliance and institutional performance.

Module 6: Strategic Audit Leadership and International Best Practices

1. Strategic internal audit leadership.
2. COSO Internal Control Framework.
3. ISO 37301 Compliance Management Systems.
4. Audit analytics and business intelligence.
5. Future trends in research governance.
6. International best practices in internal audit compliance for research.
   General Case Study: Developing a comprehensive internal audit and compliance framework integrating governance, enterprise risk management, donor compliance, research ethics, financial controls, audit analytics, and continuous improvement to strengthen institutional accountability, research integrity, and organizational excellence.

General Information

1. Customized Training: All our courses can be tailored to meet the specific needs of participants.
2. Language Proficiency: Participants should have a good command of the English language.
3. Comprehensive Learning: Our training includes well-structured presentations, practical exercises, web-based tutorials, and collaborative group work. Our facilitators are seasoned experts with over a decade of experience.
4. Certification: Upon successful completion of training, participants will receive a certificate from Foscore Development Center (FDC-K).
5. Training Locations: Training sessions are conducted at Foscore Development Center (FDC-K) centers. We also offer options for in-house and online training, customized to the client's schedule.
6. Flexible Duration: Course durations are adaptable, and content can be adjusted to fit the required number of days.
7. Onsite Training Inclusions: The course fee for onsite training covers facilitation, training materials, two coffee breaks, a buffet lunch, and a Certificate of Successful Completion. Participants are responsible for their travel expenses, airport transfers, visa applications, dinners, health/accident insurance, and personal expenses.
8. Additional Services: Accommodation, pickup services, flight booking, and visa processing arrangements are available upon request at discounted rates.
9. Equipment: Tablets and laptops can be provided to participants at an additional cost.
10. Post-Training Support: We offer one year of free consultation and coaching after the course.
11. Group Discounts: Register as a group of more than two and enjoy a discount ranging from 10% to 50%.
12. Payment Terms: Payment should be made before the commencement of the training or as mutually agreed upon, to the Foscore Development Center account. This ensures better preparation for your training.
13. Contact Us: For any inquiries, please reach out to us at training@fdc-k.org or call us at +254712260031.
14. Website: Visit www.fdc-k.org for more information.