Training Module
Auditing Operational Control
Audit evidence and judgement for whether operational controls work as intended in day-to-day practice
Training Module
Auditing Operational Control
Audit evidence and judgement for whether operational controls work as intended in day-to-day practice
Training Module
Auditing Operational Control
Audit evidence and judgement for whether operational controls work as intended in day-to-day practice
Move from “control exists” to “control works”, using evidence from real operation
Operational controls often look solid on paper while day-to-day practice drifts. This module equips auditors to test control intent against reality and to judge whether weaknesses are isolated exceptions or signals of a broader system problem.
Move from “control exists” to “control works”, using evidence from real operation
Operational controls often look solid on paper while day-to-day practice drifts. This module equips auditors to test control intent against reality and to judge whether weaknesses are isolated exceptions or signals of a broader system problem.
Move from “control exists” to “control works”, using evidence from real operation
Operational controls often look solid on paper while day-to-day practice drifts. This module equips auditors to test control intent against reality and to judge whether weaknesses are isolated exceptions or signals of a broader system problem.
Training module overview
Training module overview
Training module overview
Audits of operational control commonly over-weight documented procedures and under-test how controls actually operate under real conditions: time pressure, handovers, exceptions, tool limitations, and outsourcing. The result is false assurance: controls appear “implemented” but do not reliably achieve their intended outcomes.
This module is a cross-standard audit add-on focused on operational control effectiveness. Participants learn to translate control intent into testable audit questions, follow evidence trails that demonstrate operation over time, and distinguish local lapses from systemic failures. The module is strictly an audit lens: it does not teach control design or implementation methods.
Audits of operational control commonly over-weight documented procedures and under-test how controls actually operate under real conditions: time pressure, handovers, exceptions, tool limitations, and outsourcing. The result is false assurance: controls appear “implemented” but do not reliably achieve their intended outcomes.
This module is a cross-standard audit add-on focused on operational control effectiveness. Participants learn to translate control intent into testable audit questions, follow evidence trails that demonstrate operation over time, and distinguish local lapses from systemic failures. The module is strictly an audit lens: it does not teach control design or implementation methods.
Applicable environments
This module is intended for auditors working with organisations operating a management system based on an ISO standard following the high-level structure such as ISO 9001, ISO 14001, ISO 22301, ISO/IEC 27001, ISO/IEC 27701 or ISO/IEC 42001. It focuses on requirements shared by these ISO standards.
Target audience
Target audience
Target audience
Aspiring auditors who want to audit management systems following best practices
Practising management system auditors who want to strengthen their audit knowledge, judgement, and effectiveness
Aspiring auditors who want to audit management systems following best practices
Practising management system auditors who want to strengthen their audit knowledge, judgement, and effectiveness
Decision support
Is this module for you?
It is a good fit if you…
seek to audit whether operational controls actually work in day-to-day practice.
are aiming to distinguish documented control intent from real operational behaviour.
focus on following evidence across time, shifts, and real operating conditions.
are prepared to judge whether control failures are isolated or systemic.
expect to strengthen audit conclusions on control effectiveness, not formality.
seek to audit whether operational controls actually work in day-to-day practice.
are aiming to distinguish documented control intent from real operational behaviour.
focus on following evidence across time, shifts, and real operating conditions.
are prepared to judge whether control failures are isolated or systemic.
expect to strengthen audit conclusions on control effectiveness, not formality.
If most of the points above apply, this module is likely a good fit.
It may not be the best fit if you…
prefer to design, implement, or optimise operational controls.
are looking for guidance on procedures, work instructions, or control methods.
focus primarily on operational improvement or problem-solving facilitation.
do not intend to audit operational control as part of a management system.
prefer to design, implement, or optimise operational controls.
are looking for guidance on procedures, work instructions, or control methods.
focus primarily on operational improvement or problem-solving facilitation.
do not intend to audit operational control as part of a management system.
Agenda
Agenda
Agenda
Operational control in an audit context: what you are (and are not) auditing
From intent to test: turning control intent into audit questions
Evidence of effective operation (not just existence)
Following operational evidence trails across interfaces
Systemic vs isolated failures: how to judge the meaning of a weakness
Case-based audit simulation
Show detailed agenda...
Operational control in an audit context: what you are (and are not) auditing
From intent to test: turning control intent into audit questions
Evidence of effective operation (not just existence)
Following operational evidence trails across interfaces
Systemic vs isolated failures: how to judge the meaning of a weakness
Case-based audit simulation
Show detailed agenda...
Operational control in an audit context: what you are (and are not) auditing
From intent to test: turning control intent into audit questions
Evidence of effective operation (not just existence)
Following operational evidence trails across interfaces
Systemic vs isolated failures: how to judge the meaning of a weakness
Case-based audit simulation
Show detailed agenda...
Learning outcomes
Learning outcomes
Learning outcomes
Key outcomes
Translate operational control intent into clear, testable audit questions without redesigning the control
Identify and prioritise evidence sources that demonstrate effective operation over time
Follow operational audit trails across interfaces, including outsourced and shared-service touchpoints, without drifting into supplier-audit execution
Translate operational control intent into clear, testable audit questions without redesigning the control
Identify and prioritise evidence sources that demonstrate effective operation over time
Follow operational audit trails across interfaces, including outsourced and shared-service touchpoints, without drifting into supplier-audit execution
Additional capabilities
Detect common “paper control” patterns where documentation is present but operation is inconsistent or performative
Distinguish isolated exceptions from systemic failures using observable patterns and corroborating evidence
Form defensible audit judgements about operational control effectiveness that hold in both internal and third-party audit contexts
Detect common “paper control” patterns where documentation is present but operation is inconsistent or performative
Distinguish isolated exceptions from systemic failures using observable patterns and corroborating evidence
Form defensible audit judgements about operational control effectiveness that hold in both internal and third-party audit contexts
Additional benefits
Additional benefits
Additional benefits
Learning materials
Slide deck
Participant workbook
Templates & tools
Practical, reusable artefacts to apply the module directly to your organisation.
Control intent-to-test worksheet (intent, operating conditions, expected outputs, failure modes)
Operational evidence trail map (evidence sources, time coverage, corroboration points)
“Intent vs reality” interview question set (role-specific prompts focused on operation)
Systemic vs isolated weakness decision aid (pattern indicators and corroboration checklist)
Red-flag catalogue for operational control audits (common failure patterns across ISO management system standards)
Control intent-to-test worksheet (intent, operating conditions, expected outputs, failure modes)
Operational evidence trail map (evidence sources, time coverage, corroboration points)
“Intent vs reality” interview question set (role-specific prompts focused on operation)
Systemic vs isolated weakness decision aid (pattern indicators and corroboration checklist)
Red-flag catalogue for operational control audits (common failure patterns across ISO management system standards)
Confirmation
Certificate of completion
Module ID
HAM-AG-A-04
Domain
Audience
Auditor
Language
English
Delivery
Live virtual
Duration
3 h
List price
CHF 250
Excl. VAT. VAT may apply depending on customer location and status.
Delivery & learning format
Delivery & learning format
Delivery & learning format
Virtual live teaching
This module is delivered live, with a strong focus on discussion, practical application, and direct interaction with the instructor.
Sessions work through realistic examples, clarify concepts in context, and apply methods directly to participants’ organisational realities.
Custom delivery options
For organisations with specific constraints or learning objectives, the module can be adapted in format or scope, including in-house delivery and contextualised case material.
Not sure if this module is right for you?
Not sure if this module is right for you?
Not sure if this module is right for you?
For an optimal learning experience
Preparation guidance
This module is designed as part of a modular training approach. Topics are deliberately distributed across modules and are not repeated in full, in order to avoid unnecessary redundancy. Each module is self-contained and can be taken on its own. Where prior knowledge or experience is helpful, this is indicated below so you can decide whether any preparation is useful for you.
For an optimal learning experience
Preparation guidance
This module is designed as part of a modular training approach. Topics are deliberately distributed across modules and are not repeated in full, in order to avoid unnecessary redundancy. Each module is self-contained and can be taken on its own. Where prior knowledge or experience is helpful, this is indicated below so you can decide whether any preparation is useful for you.
For an optimal learning experience
Preparation guidance
This module is designed as part of a modular training approach. Topics are deliberately distributed across modules and are not repeated in full, in order to avoid unnecessary redundancy. Each module is self-contained and can be taken on its own. Where prior knowledge or experience is helpful, this is indicated below so you can decide whether any preparation is useful for you.
Assumed background
This module assumes participants can already execute an audit professionally and understand evidence and judgement fundamentals. Helpful background includes:
Ability to plan and conduct audits, gather evidence, and form findings using accepted audit practice
Familiarity with how management systems translate requirements into operational controls in day-to-day work
Comfort reading and triangulating operational evidence (records, system data, observations, and outputs)
This module assumes participants can already execute an audit professionally and understand evidence and judgement fundamentals. Helpful background includes:
Ability to plan and conduct audits, gather evidence, and form findings using accepted audit practice
Familiarity with how management systems translate requirements into operational controls in day-to-day work
Comfort reading and triangulating operational evidence (records, system data, observations, and outputs)
Preparatory modules
Foundational modules (depending on background)
Useful if you are new to the underlying concepts or want a shared baseline before attending this module.
Audit Foundations
Understand core audit mindset, evidence logic, materiality-based focus, and audit test plan design
7 h
Audit Foundations
Understand core audit mindset, evidence logic, materiality-based focus, and audit test plan design
7 h
Audit Foundations
Understand core audit mindset, evidence logic, materiality-based focus, and audit test plan design
7 h
Supporting modules (optional)
Helpful if you want to deepen related skills, but not required to participate effectively.
Operational Control Foundations
Learn the fundamentals of designing and running controlled operational processes with clear roles, controls, records, and change handling
7 h
Operational Control Foundations
Learn the fundamentals of designing and running controlled operational processes with clear roles, controls, records, and change handling
7 h
Operational Control Foundations
Learn the fundamentals of designing and running controlled operational processes with clear roles, controls, records, and change handling
7 h
Continuous learning
Follow-up modules
Continuous learning
Follow-up modules
Continuous learning
Follow-up modules
After completion of this module, the following modules are ideal to further deepen your competence. If you are looking for a structured learning path, modules can also be taken as part of a professional track.
Auditing Process Design & Control (QMS)
Understand how to audit ISO 9001 process interactions, end-to-end effectiveness, and interface control across handovers and rework loops
Duration
3 h
List price
CHF 250
View module
Auditing Process Design & Control (QMS)
Understand how to audit ISO 9001 process interactions, end-to-end effectiveness, and interface control across handovers and rework loops
Duration
3 h
List price
CHF 250
View module
Auditing Process Design & Control (QMS)
Understand how to audit ISO 9001 process interactions, end-to-end effectiveness, and interface control across handovers and rework loops
Duration
3 h
List price
CHF 250
View module
Auditing Information Security Controls (Annex A)
Audit control applicability, evidence expectations, and typical failure patterns across ISO/IEC 27001 Annex A control themes
Duration
3.5 h
List price
CHF 275
View module
Auditing Information Security Controls (Annex A)
Audit control applicability, evidence expectations, and typical failure patterns across ISO/IEC 27001 Annex A control themes
Duration
3.5 h
List price
CHF 275
View module
Auditing Information Security Controls (Annex A)
Audit control applicability, evidence expectations, and typical failure patterns across ISO/IEC 27001 Annex A control themes
Duration
3.5 h
List price
CHF 275
View module
Auditing AI Lifecycle & Data Governance Controls
Assess evidence and control effectiveness across data sourcing, training, validation, deployment, monitoring, and lifecycle change
Duration
3.5 h
List price
CHF 275
View module
Auditing AI Lifecycle & Data Governance Controls
Assess evidence and control effectiveness across data sourcing, training, validation, deployment, monitoring, and lifecycle change
Duration
3.5 h
List price
CHF 275
View module
Auditing AI Lifecycle & Data Governance Controls
Assess evidence and control effectiveness across data sourcing, training, validation, deployment, monitoring, and lifecycle change
Duration
3.5 h
List price
CHF 275
View module
Auditing Privacy Risk & Controls (PIMS)
Audit data subject risk logic, lawful basis and purpose limitation, and rights handling effectiveness under ISO/IEC 27701
Duration
3 h
List price
CHF 300
View module
Auditing Privacy Risk & Controls (PIMS)
Audit data subject risk logic, lawful basis and purpose limitation, and rights handling effectiveness under ISO/IEC 27701
Duration
3 h
List price
CHF 300
View module
Auditing Privacy Risk & Controls (PIMS)
Audit data subject risk logic, lawful basis and purpose limitation, and rights handling effectiveness under ISO/IEC 27701
Duration
3 h
List price
CHF 300
View module
Auditing BCM Operational Readiness & Exercises
Audit BCM readiness, exercise quality, and dependency preparedness under ISO 22301
Duration
3 h
List price
CHF 250
View module
Auditing BCM Operational Readiness & Exercises
Audit BCM readiness, exercise quality, and dependency preparedness under ISO 22301
Duration
3 h
List price
CHF 250
View module
Auditing BCM Operational Readiness & Exercises
Audit BCM readiness, exercise quality, and dependency preparedness under ISO 22301
Duration
3 h
List price
CHF 250
View module
Auditing Environmental Operational Controls
Understand how to audit implementation, monitoring, emergency linkage, and supplier/contractor environmental controls under ISO 14001
Duration
2.5 h
List price
CHF 200
View module
Auditing Environmental Operational Controls
Understand how to audit implementation, monitoring, emergency linkage, and supplier/contractor environmental controls under ISO 14001
Duration
2.5 h
List price
CHF 200
View module
Auditing Environmental Operational Controls
Understand how to audit implementation, monitoring, emergency linkage, and supplier/contractor environmental controls under ISO 14001
Duration
2.5 h
List price
CHF 200
View module
Ready to improve your management systems?
We support continuous improvement by embedding ISO requirements into everyday practice and daily operations.
Ready to improve your management systems?
We support continuous improvement by embedding ISO requirements into everyday practice and daily operations.
Ready to improve your management systems?
We support continuous improvement by embedding ISO requirements into everyday practice and daily operations.