Quality Assessor Certificate Program

Who will benefit from this course?

This course will provide participants interested in becoming external quality assessors with the appropriate knowledge and skills to plan, perform, and evaluate the results of an external quality assessment. Participants will also learn about the processes and tools in the IIA Quality Assessment Manual that can help identify opportunities to improve internal audit quality activities. This course will specifically benefit external quality assessors enhancing their skillset to perform IIA Standards based quality assessments.

Course Objectives

1. Understand the key components of a Quality Assurance and Improvement Program (QAIP) as defined in the IIA's International Standards for the Professional Practice of Internal Auditing (Standards.)
2. Master the end-to-end process of conducting an external quality assessment (EQA), from initial planning to final reporting while learning to effectively use the Quality Assurance Manual as the foundational assessment tool. 
3. Determine what it means to be a trusted advisor in the context of performing an EQA and the ethical standards and behaviors required of all quality assessors.
4. Learn how to manage the logistics of an EQA, including project management, data analysis, information requests, interviewing, surveying, scheduling, resource allocation, and on-site coordination. 
5. Learn the process and requirements for assessing each standard, principle and domain of the Standards.
6. Learn how to assess conformance to the standards, performance objectives of an audit function and provide recommendations for conformance gaps and best practices.
7. Learn the requirements for creating clear, concise and complete reports from the work performed that prompt action and point the audit function toward continuous improvement.

Course Topics

1. Introduction to External Quality Assessments (EQAs):
   • Purpose and benefits of EQAs
   • Overview of the IIA standards and QAIP
2. Develop Trust and Credibility
   • Defining the role of trusted advisor in the context of EQAs
     • Key attributes of a trusted advisor: integrity, reliability, competence
   • Techniques for building trust: transparency, consistency, and follow-through
3. Project Management and Logistics:
   • Tools and techniques for managing EQA projects
   • Scheduling and coordinating on-site visits
   • Handling logistical challenges and unforeseen issues
4. Technology and Tools:
   • Utilizing audit management software and tools
   • Leveraging data analytics in EQAs
   • Staying current with technological advancements in auditing
5. Planning and Preparation:
   • Initial client contact and engagement
   • Scoping and planning the EQA
   • Resource allocation and team selection
6. Conducting the EQA:
   • On-site activities: interviews, observations, and document reviews
   • Data collection methods and tools
   • Benchmarking and best practices
7. Analysis and Evaluation:
   • Assessing compliance with standards
   • Identifying strengths, weaknesses, and opportunities for improvement
   • Utilizing the Quality Assurance Manual effectively
8. Reporting Findings:
   • Structuring the EQA report
   • Communicating findings and recommendations
   • Ensuring clarity and actionability in reporting
9. Ethical Considerations:
   • Managing conflicts of interest
   • Ensuring independence and objectivity
   • Adhering to professional standards and ethics
10. Practical Workshops and Case Studies:
    • Real-life case studies of successful and challenging EQAs
    • Role-playing exercises to simulate client interactions and on-site activities
    • Group discussions and problem-solving sessions