Leaders Link

Published By The Institute of Internal Auditors   
Fall 2012

District Workshops Were A Great Success!

Building on the success of the Leadership Conference in April, IIA district representatives (DRs) gathered chapter leaders together over the summer for additional training and planning at the annual district workshops. With wonderful turnout, positive interaction, and collaboration, this year’s workshops were a tremendous success! Including the anticipated attendance at the upcoming Caribbean regional workshop in September, that will mean that nearly 500 leaders participated. This certainly sets the stage for an incredibly successful chapter year! 

  • Thank you to the district representatives for planning and facilitating your workshops. We appreciate your time and passion.
  • Thank you to the district advisors who provided DRs with feedback and support – and even attended workshops within their districts.
  • And thank you to each leader who attended a workshop and to each chapter that ensured they were represented.

As Maunda Land, Donna Wiley, and I were participating in your workshops, we were impressed with what you are doing and your willingness to share your leading practices with each other. We are excited about your plans for the year and look forward to hearing about your successes. Being at your workshops was interesting and, quite frankly, fun! To see some of the district workshops in action, click here for photos. 

As you begin to build out your 2013 chapter goals, don’t forget to look back at the information you received during the Leadership Conference and district workshops. Additional training will be coming this month as my team works with the Chapter Relations Committee to prerecord webinars by leader role. This is just another tool to assist you in your chapter year. We want you to be successful, so if there are other tools or training programs that you would like to see, please contact me .

Speaking of feedback, I am always checking social media and our Chapter Relations inbox for your great ideas. Please share with us when your chapter has a success story. We would love to hear it! 

Thank you for being an amazing IIA leader.



Sarah Albright
Director, NA Membership
Twitter: @Albright_Today

IIA North American Chapter Leaders — a subgroup of The Institute of Internal Auditors (Official Global Group

www.facebook.com/#!/TheInstituteofInternalAuditors check out the photo album for Leadership Academy 2012.   

AuditChannel.tv AuditChannel.tv



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24/7 Chapter Leader Webinar Training

It’s time to begin chapter leader webinar training! Again this year, chapter leader webinar training will be available based on specific chapter leader roles and topics. We encourage all chapter leaders to watch the webinar that pertains to their role. As a reminder, each leader who views a webinar and completes the survey at the end receives two CAP points. 
The following prerecorded webinars are available for viewing (click on the title below to view):
Chapter Programs
The IIA's CIA Learning System
New Leader Orientation
Additional webinar topics to be recorded: 
Academic Relations
Cash Management Risk for Chapter
Chapter Achievement Program (CAP)
MMT User Group
Membership and the CAE Toolkit
Regional Conferences
The IIA's Research Foundation
All webinars will be stored and available for viewing 24/7 on the webinar page of the chapter leader web pages. Watch your email for more information.



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Chapter SharePoint Site Conversion is underway!Chapter Home page

The IIA’s Web Operations department is working with chapters to convert and develop each chapter’s new SharePoint sites. The new websites have user-friendly features such as file storage and sharing, event and training sections, and more. An update on The IIA’s reengineered web presence and the SharePoint conversion process was the feature article in the May-June edition of IIA Today

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Chapter Achievement Program (CAP) 2012-2013


Download Your NEW CAP template

The NEW 2012–2013 CAP template and point descriptions are now available. Reports are due on the 10th of each month.   


2012 CAP Tiles are Now Available – Post your Achievement Level on your Chapter Website or in your Newsletter 

Celebrate your Chapter Achievement Program (CAP) success from the 2011–2012 chapter year! Include a CAP tile ad on your website, in your chapter newsletter, and in any communications to members. Please contact ChapterRelations@theiia.org with any questions regarding CAP performance levels.

2012 Bronze  2012 Gold 
 2012 Silver  2012 Platinum


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Have You Seen The New NASBA CPE Standards?

The National Association of State Boards of Accountancy (NASBA) has certification standards for entities providing Continuing Professional Education (CPE). Due to each chapter being a separate legal entity, chapters cannot use The IIA’s NASBA certification number when providing CPE programming. Each chapter needs to decide if they would like to be a NASBA-certified sponsor of continuing professional education. There is an annual fee and verification process for NASBA certification. Please visit the NASBA website for additional information specific to your state.

While chapters are not required to be NASBA certified, some chapters find the certification a useful way to gain the participation of Certified Public Accountants (CPAs) at chapter events. CPAs can still submit their CPE certificates from IIA chapter meetings and while we cannot guarantee your individual state’s acceptance of non-NASBA certified events, there is a strong possibility of acceptance if NASBA standards are followed during the event. The NASBA CPE standards were updated in 2012. Visit the NASBA website to view the standards.

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Your Chapter Could Be Featured in IIA Connection and/or IIA Today!

Chapters, now you have an opportunity to highlight your leading practices and have them published in IIA Connection and/or IIA Today. These publications offer chapters an opportunity to submit short or feature articles about chapter activities, practices, members, etc. Articles for IIA Connection should average around 150 words and articles for IIA Today should be approximately 500 words. All articles should be submitted with high-resolution pictures (if possible). Simply use the Chapter Spotlight Submission Form to find out more about the submission requirements and submit articles for either publication.

This is a great new way to earn CAP points! As a bonus, one CAP point can be claimed for every Chapter Spotlight form submission and five CAP points can be claimed for each article published.  

Articles may be submitted at any time, but for consideration in the next publication, the deadline is the 10th of the preceding month. Submit your articles today!

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Form a Test Develoment Team


Demonstrate your leadership skills while sharing your current knowledge in your field and challenging the future of your profession.

Calling on Chapter Leaders to consider forming “Test Development Teams”

The IIA is calling on all current IIA certified professionals (CIA, CCSA, CFSA, CGAP, CRMA) to contribute to the profession and enhance the exam process through the exam question authoring process. We are looking for challenging questions that require candidates to apply knowledge that demonstrates proficiency in each exam topic. 

To this end, certified members provide the most relevant real life examples for the exam content which helps maintain the value of the professional certifications. The IIA has found that creating a Test Development Team within chapters provides some of the best results and most relevant questions. 

If you would like to find out more about test development teams and connect with other exam writers join the LinkedIn subgroup for exam question writers.  

New This Year: Chapters receive 10 CAP points for hosting a Test Development Team and five CAP points for every accepted exam question.    

Click here for information on how to participate in a test development team or email examwriter@theiia.org.

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Professional Experience Recognition for the CRMA to End

Earlier this year The IIA announced the closing of the Professional Experience Recognition (PER) period for the Certification in Risk Management Assurance (CRMA).
The CRMA PER will close to candidates living within North America on Sept. 30, 2012. You must submit a completed application and fee by that date but the last day to submit substantiating paperwork and forms is Oct. 31, 2012. 

Click here for information on obtaining your CRMA through PER.

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Coming in September: Chapter Certification Reports 

Beginning in September, the Certification department will send certification reports to designated chapter presidents, chapter certification chairs, district representatives, and district advisors. This report comprises four reports that provide raw data on:

  • Program Status (Certified, Inactive, etc.)
  • Exam Status (Eligible, Registered, etc.)
  • Demographic Information (Name, email, etc.)
  • Recently Certified Report (members who have achieved an initial certification status in the last 365 days)

 It is our desire to provide chapters with the tools they need to be involved in the certification process and more effectively market the certification programs to their chapter members. In addition, chapters can use the certification toolkit to market the certification programs to chapter members. The toolkit consists of email templates, website tile ads, and promotional collateral for distribution via email, online, or at your chapter events. 

Please note:;In order to receive your chapter’s certification reports, the chapter president and/or chapter certification chair must be coded in the IIA database. Coding of officers can be done by the chapter (MMT) administrator. If you have not coded your chapter officers, please do so as soon as possible. If your chapter officers are not coded, chapters will not receive chapter leader communication, access to the chapter leader support web pages, or updates from IIA Headquarters.

IIA Launches a New Process for Certificate Printing and Fulfillment

Currently certification certificates are printed quarterly and sent to chapters for distribution at chapter events. Newly certified individuals provided The IIA Global Certifications department with overwhelming feedback about the current process. It was clear that designees felt the length of time for them to receive their certificate was too long and this delay led to a decreased sense of satisfaction and accomplishment after having achieved certification. Additionally, some chapters believed that distributing the certificates was too costly and burdensome. Therefore, beginning in August, certificates will be sent to the printing and fulfillment vendor on a weekly basis for shipping directly to newly certified candidates.

IIA Global Certifications understands that chapters provide recognition events for newly certified individuals and we still would like to encourage all chapters to continue acknowledging their new designees. Additional materials for the chapter toolkit are being developed (letters of congratulations, sample certificates, etc.) to provide chapters with tools to recognize newly certified members at chapter functions.

Certificate Size Change    

The new size for IIA certificates is now 9x12. Previously The IIA was using a custom size paper stock which was proving difficult to obtain and costly to maintain. The new size is a standard size certificate that will allow us to continue to showcase the CIA certificate as the flagship certification. Look for these new certificates soon.

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Continuing Professional Education (CPE) Requirements

CPE is facilitated through a self-certification process with the completion and reporting of required CPE hours on an annual basis.

The reporting deadline is Dec. 31 each year. IIA-certified professionals who fail to meet their CPE requirements by the reporting deadline will automatically be placed in inactive status and may not use their designation until the situation is rectified.

Newly certified CIAs are awarded 80 CPE hours; new CCSAs, CGAPs, CFSAs, and CRMAs are awarded 40 CPE hours. Half of the awarded CPE hours (40 for CIA, or 20 for the four specialty designations) are for the year in which the exam is passed, and the other half are for the subsequent year.

As an IIA certified professional, you are responsible for ensuring that the CPE information in your report is accurate. You must include your membership or customer identification number when reporting your CPE.

Log in to the Certification Candidate Management System (CCMS) to complete the CPE Reporting Form.

Please call IIA Customer Relations at +1-407-937-1111 or e-mail certification@theiia.org for further assistance.

Click here for more information.

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Are You a “Grade A” Chapter?

 Earn CAP Points with Facilitator-led Courses to Become a Chapter of Excellence

It’s that time of year again. The summer is coming to an end but the fall brings opportunities to achieve great things. Students and professionals alike are looking to advance their knowledge and take a step forward.

As a chapter leader, you can support the pursuits of your members, earn CAP points, and become a Chapter of Excellence by offering or promoting The IIA’s CIA Learning System® facilitator-led courses to your members.

Choose one of the three options below to qualify:


20 CAP

Option 1: Host a live IIA CIA Learning System course within your chapter area: Offer a live facilitator-led CIA Learning System course administered by the chapter or host a live facilitator-led course in partnership with a college/university within your local area. 

10 CAP

Option 2: Promote live or online IIA CIA Learning System courses outside of your chapter area: Promote a live CIA Learning System facilitator-led course administered by another chapter within your district or promote a live or online college/university partner-offered course within your district or promote IIA public course offerings.


Option 3: Promote The IIA's CIA Learning System self-study materials:  Place the CIA Learning System tile ad on your chapter website, place an announcement in your chapter newsletter and make an announcement at your chapter event to qualify to become a Chapter of Excellence. Ensure your tile ads and promotions are directing your member to www.learncia.com/chapters for special member discount pricing!  

If you’re looking for an opportunity to partner with a college or university in your area or if you have any questions about CIA chapter training options, contact Kelly Cruz, IIA regional partnership manager, at kelly.cruz@theiia.org or +1-651-905-2671.

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Academic Relations

Global Academic Relations is pleased to announce two developments: 

  1. The IIA Academic Relations (AR) Toolkit and Materials (Toolkit) The Toolkit is organized in four parts: developing an AR plan, implementing the plan, tools for interacting with educators, and tools for interacting with students. Links for all these items are available in the Toolkit. https://na.theiia.org/about-us/about-ia/Pages/Academic-Relations-Toolkit-and-Materials.aspx.
  2. Internal Audit Academic Awareness Programs (Awareness Programs) For schools wanting to be recognized by The IIA for teaching internal auditing but only able to provide limited commitment, the Awareness Program was created to focus on assisting these organizations in their desire to promote internal auditing as a career choice for their students. To support schools in this category of commitment, the following programs will be recognized:
    • Awareness Building
    • Introduction to the Profession
    • Internal Audit Diploma

Please review the Awareness Program Descriptions. A participation form that must be completed by the university educator and confirmed by the local IIA chapter will be available on the Academic Relations website in September.



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The IIA’s CAE Services Team Supports Chapter CAE Initiatives
George Lewis, Director, CAE Services
George Lewis
Director, CAE Services

The IIA’s Chief Audit Executive (CAE) Services team is excited to announce its participation in the Chapter Achievement Program (CAP) forthe 2012-2013 Chapter year. Added to the “Service to the Profession” section of CAP, chapters can now earn points for efforts in recruiting and retaining CAEs, contributing thought leadership to the Audit Executive Center, recommending authors, hosting CAE roundtables, scribing notes and submitting them to CAE Services, and more. Detailed information on each activity is available in the CAP Point Descriptions matrix located under the CAP Management section of the Chapter Leader Resources web pages.

In addition, CAE Services hosted six chapter focus groups in May to learn how it can better meet the needs of chapters in their recruitment and retention of chief audit executives. We compiled the suggestions from the focus groups to assist in the development of the Chapter CAE Toolkit, which includes invitation templates, letter/email templates, recruitment and retention ideas, website tile ads, PowerPoint presentations, printed collateral, and more. You can find the CAE Toolkit under Communication Tools in the Chapter Leader section of The IIA’s website .

If you are looking for a tool that is not provided in the toolkit, please contact us at cae@theiia.org.

Furthermore, IIA Global Headquarters leadership is pleased to announce its new director, George Lewis. George has more than 15 years of internal audit and risk management experience, most recently in the role of director, enterprise risk management (ERM) for Best Buy Corporation, where he led an ERM initiative for the $50 billion, multi-channel global retailer that yielded significant improvements in board risk oversight and management effectiveness. George also has previous internal audit experience and has a passion for the internal audit profession. He looks forward to meeting chapter leaders during his travels. He can be reached at George.Lewis@theiia.org.

George and the entire CAE Services team look forward to supporting your CAE initiatives in the 2012-2013 Chapter year. If you have any questions regarding CAP points for CAE Services, the CAE Toolkit, or the Audit Executive Center, please contact Lisa Whaley at Lisa.Whaley@theiia.org or +1-407-937-1309.

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Latest Updates from The IIA’s Standards and Guidance

We encourage you to share this information with your members via monthly events, newsletters, and on your chapter website.

Standards Exposure – A Success Because Of Your Chapter

Hundreds of practitioners around the world responded to the proposed changes to The IIA’s International Standards for the Professional Practice of Internal Auditing (Standards) available for comment earlier this year. Without every chapter’s support, we would not have achieved the response we did. We thank you for your assistance!

The International Internal Audit Standards Board (IIASB) reviewed and analyzed the results and comments from the public exposure and planned to finalize the Standards revisions in July 2012. The IPPF Oversight Council, an independent body, will review the rigor of the Standards-setting due process. Subject to the Oversight Council’s review, the target timing to release the final revised Standards is approximately October 2012. The expected effective date for implementation of the revisions is January 1, 2013

Contact iia-exposure@theiia.org for further information.

IIA Responds to Regulators

10th Anniversary of Sarbanes-Oxley Act Prompts IIA Statement to U.S. Congress

Ten years after the landmark legislation was passed, The Institute of Internal Auditors (IIA) has weighed in on the impact of the U.S. Sarbanes-Oxley Act as part of a hearing held recently by the U.S. House of Representatives. The Committee on Financial Services Subcommittee on Capital Markets sponsored the hearing titled, “The 10th Anniversary of the Sarbanes-Oxley Act,” for which The IIA submitted written testimony providing Congress perspectives on the importance of strong corporate governance, risk management, and internal controls as enhanced by Sarbanes-Oxley as it relates to financial reporting. Learn more.

Proposed Change to Definition of "Engagement Team"

The IIA recently responded to the International Federation of Accountants’ (IFAC’s) exposure draft regarding a Proposed Change to the Definition of “Engagement Team,” developed by IFAC’s International Ethics Standards Board for Accountants (IESBA). Learn more .

Professional Guidance Released Sets Record

This past summer, The IIA released over eight pieces of new and revised guidance. We encourage you to share these releases with your members. Access to this guidance is a member-only benefit.

New GTAGs Released:

GTAG 7: IT Outsourcing, 2nd Edition
GTAG 17: Auditing IT Governance

New Public Sector Supplemental Guidance Released:

The IIA's International Standards for the Professional Practice Of Internal Auditing/Government Accountability Office Government Audit Standards (GAGAS), A Comparison, 2nd Edition
Optimizing Public Sector Audit Activities

New Practice Guides Released:

Auditing Privacy Risks, 2nd Edition
Integrated Auditing
Developing The Internal Audit Strategic Plan
Evaluating Ethics-related Programs and Activities

Guidance Webinars

The IIA offers professional development and continuing professional education (CPE) opportunities through complimentary webinars that cover recent guidance releases. These webinars are presented by the authors to assist your members with implementation and answer questions. Share these educational opportunities with your members.

October 3, 18, & 31 Practice Guide: Evaluating Ethics-related Programs and Activities
November 14  GTAG 16: Data Analysis Technologies
December 12 GTAG 17: Auditing IT Governance 


Dates are subject to change. Please check the webinar calendar for the latest information.

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Chapter Book of the Month – A Chapter Benefit

 Sawyer’s Guide for Internal Auditors, 6th Edition

All chapter members get 20% off Sawyer’s Guide for Internal Auditors, 6th Edition through the end of September! Share this benefit with your chapter members and stay tuned for the next featured book in October. 

Save this link to find a new chapter offer each month: http://www.theiia.org/bookstore/content/chapter-book-of-the-month-1048.cfm

With hundreds of titles to choose from — including books, training materials, certification preparation, interactive programs, and more — The IIARF Bookstore is a one-stop shop for your internal audit resources. Every IIARF Bookstore product has been reviewed by internal auditors to guarantee a perfect fit. Visit www.theiia.org/bookstore.

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One World, One Profession, One Destination . . . One CAP Point?

Did you know that you can earn CAP points for promoting The IIA’s July 14–17, 2013 International Conference (IC) to your members?

For example, you can earn CAP points for placing a tile ad on your chapter’s website, hosting an Orlando-themed event and posting pictures on the IC Facebook page, sending an e-mail promoting the conference to your members, and posting a news item on your Website, and more. 

Visit the 2013 International Conference Toolkit Page for immediate access to downloadable resources such as logos, tile ads, PowerPoint templates, flyers, brochures, and more. 

Registration is already open and we hope to welcome you and your chapter members to the Marriott Orlando World Resort and Convention Center next July for the 2013 International Conference.

Ask your members to include your chapter’s name during their IC registration process and your chapter may win free accommodations during the 2013 Leadership Conference.

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