Performing External Quality Assessments of the Internal Auditing Activity - Training - The Institute of Internal Auditors (IIA)
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Performing External Quality Assessments of the Internal Auditing Activity

Formerly known as Internal Audit Quality Assessment: Performing an Internal or External Review
Your opportunity to...
  • Apply the International Professional Practices Framework and International Standards for the Professional Practice of Internal Auditing on quality assessment review case study.
  • Develop a solid understanding of the process used to complete a periodic internal assessment or external quality assessment of an internal audit activity.
  • Discover and utilize proven quality assessment tools and techniques.
  • Explore the recommended external quality assessment approaches and identify the best approach for your organization.
  • Fulfill one of the requirements to become a qualified Assessor/Validator.
  • NOTE: To be considered a qualified assessor one should meet the criteria of the Standards. Advisory a more detailed listing of the criteria.
Calling all...
  • Auditors who are involved in their internal audit activity’s quality program or periodic internal assessment.
  • Auditors, service providers and other parties who are interested in learning more about the external quality assessment.
  • CAE’s, Audit Directors/Managers, organization executives, and Board/Audit Committee members who are interested in learning how to evaluate and improve their internal audit activity.
Course Description

Prerequisites: Internal Audit Quality Assessment: Establishing Your QA and Improvement Program. Participants should also have an understanding of the IPPF and IIA Standards.
Advanced Preparation: None
Delivery Method: Group-Live

The Global Summary of the Common Body of Knowledge 2006 (CBOK) reported that only 32.8% of the respondents had quality assurance and improvement programs in accordance with Standard 1300. CAE's responding to CBOK reported that 47.4% of their internal activities had never had an internal assessment and 39.7% (Standard 1311) had never had an external quality assessment (Standard 1312).

This is one of two IIA seminars designed to assist participants to improve their internal audit activity's ability to comply with Standard 1300- and more importantly realize the benefits of an effective Quality Assurance and Improvement Program. This seminar focuses on the assessment process that is used in a periodic internal assessment (Standard 1311) and an external quality assessment (Standard 1312). The seminar is lead by knowledgeable instructors with extensive experience in quality assessment activities.

Participants may find it beneficial to attend this seminar which focuses on how to build quality into your internal audit activity and creating a cost-effective ongoing review program (Standard 1311). This workshop will also help participants determine their level of readiness for an external assessment.

Course Outline
A Closer Look at IA QAIPs
  • Discuss the overall structure or framework for Quality Assurance (QA) activities.
  • Identify Standards & Practice Advisories related to a Quality Assurance and Improvement Program (QAIP).
  • Contrast an Internal QA, External QA, and SAIV.
  • Recognize the benefits associated with a QAIP that help create buy-in from stakeholders.
  • Recall which tools are used for each phase of the QA process .
Planning the Quality Assessment
  • Analyze information gathered with QA tools used during the planning phase of the QA process.
  • Identify the scope and objectives of an external QA.
  • Describe the qualifications of QA teams.
  • Given a case study, identify the strengths, weaknesses, and unknowns within the self-assessments and surveys.
Performing the Quality Assessment
  • Analyze information gathered with QA tools used during the performance phase of the QA process.
  • Discuss the features of QA interviews.
  • Contrast program segments in Full External QA, SAIV, and Internal QA.
  • Identify the tools used to assess program segments.
  • Tailor tools for program segments to meet an organization’s needs.
  • Analyze test results of program segments.
Communicating the Results
  • Communicate QA results using reporting formats and tools.
  • Apply tools that are used in the evaluation phase of the quality assessment.
  • Identify typical recommendations for common compliance issues or improvement opportunities.
  • Develop observations and value-added recommendations for the QA report, given a Case Study.
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