The IIA Frequently Asked Questions

The IIA’s Certification Candidate Management System (CCMS) is an integrated software program that manages all of the certification programs for The IIA. CCMS is a self-service tool that allows candidates the ability to apply, register, and monitor their certification program status in a real-time environment.

You will also use CCMS to complete annual CPE reporting, communicate to The IIA’s Certifications Support Team, and order or download your certificate once you’re certified.

You are required to report CPE by December 31 each year. You can report CPE credit hours after you receive notice that the CPE reporting window is open (usually in September) using the Certification Candidate Management System (CCMS) or through your local Institute. CPE requirements can vary based on your professional status. A complete list of CPE requirements can be found here.

CPE Requirments

CPE reporting fees vary globally based upon membership status, and if you report CPE directly to The IIA through CCMS or through your local Institute. Some Institutes will pay the member reporting fee on behalf of the member; others may require that the member pay the fee. Please check with your local Institute for their pricing policies.

Candidates with designations in an EXPIRED status will need to report CPE hours earned for the prior twelve (12) months and pay a reinstatement fee of US $100 for members or US $259 for non-members.

Candidates with designations in a GRACE PERIOD status will need to report CPE hours earned for the prior year and submit the reporting fees if applicable.

The IIA does not prequalify CPE activities. Certified individuals are responsible to determine if the CPE activity meets the guidelines as approved by the Professional Certifications Board (PCB) and outlined in the CPE Policy.

Once you complete all the requirements to become certified, you will receive a confirmation e-mail. This e-mail will contain instructions directing you to the Certification Candidate Management System (CCMS), where you download a PDF or order a printed certificate. Please take this time to be sure that your contact information, mailing address, and name as you wish for it to appear on your certificate are correct. Please note that some Institutes outside North America will receive your certificate directly and award it to you. If you are outside North America, please check with your local Institute for guidance.

The IIA's Customer Relations department is open Monday-Friday from 8:30  a.m. to 5:00 p.m. US EST. Member Advisors can be reached by e-mail at CustomerRelations@theiia.org; phone +1-407-937-1111; or secure fax +1.407.937.1129, or mail c/o The Institute of Internal Auditors, 1035 Greenwood Blvd., Suite 401, Lake Mary, FL 32746 USA.​

If you need information on IIA products or services or cannot locate your global account number or password, please contact IIA Customer Relations at CustomerRelations@theiia.org​ or +1-407-937-1111.  A list of membership benefits is available in the membership section of this website.​”

To update your contact information, edit your IIA profile. After logging in to this website, click Profile at the top right of the screen and select My Profile to display your current contact information. Click the Edit button to make changes. Any changes to company name or surname need to be directed to Customer Relations at CustomerRelations@theiia.org or +1-407-937-1111.​

A list of membership benefits is available in the membership section of this website.​

There are several ways to join The IIA. Visit our Join The IIA page on this website to learn more.​

Once you receive a membership renewal notice, you can then log on to renew your membership online.

After logging in to this website, click Profile at the top right of the screen and select My Profile to display your current contact information. Click the My Transactions tab on the left to view your membership information. It will include your annual renewal date.​

IIA membership is non-transferable due to the immediate availability of free downloads and benefits for members.​

Yes, there are special group rates for members. For more information on our group membership rates, please visit Group Membership. ​

Government agencies of any size at the local, state or federal levels (federal, provincial or territorial, and municipal levels in Canada) can participate in this program as a group with full IIA member benefits at reduced rates. Learn more about joining as a group or individual by contacting Membership@theiia.org

Yes, there are special group rates for members. For more information on our group membership rates, please visit Group Membership. 

Verify your preferred mailing address and make necessary corrections by updating your profile. After logging in to this website, click Profile at the top right of the screen and select My Profile to display your current contact information. Click the Edit button to make changes.

If you experience difficulties in receiving mail at work, check with your mailroom and/or change your preferred mailing address to your residence. Please contact Customer Relations to discuss other options.

While you are logged in, you can also change your password.​

please contact IIA Customer Relations at CustomerRelations@theiia.org​ or +1-407-937-1111.

In order to take advantage of the many benefits available to you at the local level, it is recommended that you join a local IIA chapter in your area. You can view a current list of chapters from The IIA's website. You can then be assigned to the Chapter of your choice by updating your member profile.

In order to take advantage of the many benefits available to you at the local level, it is recommended that you join a local IIA chapter in your area. You can view a current list of chapters from The IIA's website. You can then be assigned to the Chapter of your choice by updating your member profile.

Your personal identification number is your unique global account number (GAN). If you lose your GAN number, you can reach out to Customer Relations via e-mail at CustomerRelations@theiia.org.

Membership has its advantages. Members are required to log in to the members-only area (using their member ID or email address and password) to access certain pages and documents within The IIA's website. In addition, there are membership options that allow access to specialty industry membership sections.​

Yes, The IIA has an Audit Career Center which can help you post your resume for employers and agencies to view, or you can submit your resume to open job opportunities.​

The IIA offers many special resources and member benefits for students and educators, including reduced membership dues, special certification pricing, academic grants and awards, and more. The IIA sponsors Internal Auditing Education Partnership (IAEP) programs at colleges and universities that offer quality internal auditing undergraduate and/or graduate-level programs on a continuing basis. Visit the Academic Relations page for more information on IAEP and internships.​

Yes. The IIA offers several awards for individuals, organizations, chapters, and Institutes.​

Group Administrators can add or delete group members via the administrative portal.  You may also complete the member profile form and submit it to AuditGroups@theiia.org.

IIA dues may be deducted as a business expense, but not as a charitable contribution. Because The IIA spends a portion of your dues for lobbying on issues of importance to the profession, 1.71% of your dues are not deductible as a business expense. This pertains only to federal government activities.

The IIA’s Executive Membership* offers resources to empower audit executives to be more successful for an additional annual fee. Three membership levels are available, providing you with the opportunity to build your experience upon your IIA membership.

_{*Please note that IIA membership is required in order to join the Executive Membership. Service firms are not eligible to join at this time.}

An external quality assessment, or EQA, evaluates conformance with the Definition of Internal Auditing, the International Standards for the Professional Practice of Internal Auditing (Standards) and an evaluation of whether internal auditors apply the Code of Ethics.

Regardless of an organization's industry or the internal audit activity's complexity or size, there are two recommended approaches to EQAs. The first approach - an independent review team (QA) - involves an outside team under the leadership of an experienced and professional project manager. The team members should be a competent professional who are well versed in best internal audit practices.

The second approach seeks out an objective outside party for independent validation of the internal self assessment and report is completed by the internal audit activity (SAIV). THis approach brings in a competent independent evaluator who is well-versed in quality assessment methodology to validate the aforementioned self assessment of the internal audit activity. In addition to reviewing the self-assessment, the validator substantiates some of the work done by the self-assessment team, makes an on-site visit, interviews senior management, and either co-signs the CAE's report regarding conformance to the Standards, or issues a separate report on the disparities.

External QAs are necessary in order to provide full objectivity. In addition to enabling you to state that your IA activities are "conducted in accordance with the International Standards for the Professional Practice of Internal Auditing," they build stakeholder confidence by documenting the internal audit activitiy's commitment to quality and best practices, and the internal auditors' mindset for professionalism. Obtaining an external QA also provides evidence to the board, management, and staff that the internal audit activity is concerned about the organization's internal controls, governance, and risk management processes.

It is mandatory that every internal audit activity undergo an external QA conducted by an independent team or independent validator once every five years to comply with Standard 1312. The clock starts ticking for the five-year period when an internal audit activity formally adopts the International Standards for the Professional Practice of Internal Auditing.

Adoption of the Standards establishes the intent of the IA activity to comply and as a result, is considered the starting point of the five-year period before an external QA is required. Evidence to examine to support the date of the adoption of the Standards would include Audit Committee minutes, updates to the Audit Charter, and use of the phrase "conducted in conformance with the Standards" in audit reports, etc.

The International Professional Practices Framework (IPPF) defines the required competency of the external assessors. Interpretation of Standard 1312 from the International Standards for the Professional Practice of Internal Auditing contained in Practice Advisory 1312-1:

Performing and communicating the results of an external assessment require the exercise of professional judgment. Accordingly, an individual serving as an external assessor should:

Be a competent, certified audit professional (e.g., CIA, CPA, CA, or CISA) who possesses current, in-depth knowledge of the Standards.

Be well-versed in the best practices of the profession.

Have at least three years of recent experience in the practice of internal auditing at a management level.

Have competence and experience, such as that gained from working previously as a team member on an external quality assessment, successful completion of The IIA's quality assessment training course or similar training.

Have CAE or comparable senior internal audit management experience.

Start by attending The IIA's courses titled "Performing External Quality Assessments of the Internal Audit Activity" and "Internal Audit Quality Assessment: Establishing your QA and Improvement Program."

If you have not yet established a Quality Assurance and Improvement Program, a good first step on the path to quality is to conduct an internal quality assessment. This will establish a benchmark of your internal audit activity that can be used to establish metrics. These metrics will indicate improvement in areas of partial compliance or noncompliance with the Standards.

To receive a proposal for external QA services, please complete and submit a free quote inquiry form to The IIA's Quality Department (e-mail quality@theiia.org).

All internal audit activities, regardless of size or whether they are outsourced or co-sourced, should undergo external quality assessments. Ongoing and periodic internal assessments lay the foundation for external assessments, and together, internal and external assessments make up the Quality Assurance and Improvement Program (QAIP).

Service providers themselves are not required to conform with The IIA's Standards on Quality. In accordance with the intent of Standard 1300 of The International Standards for the Professional Practice of Internal Auditing, external quality assessments of internal audit activities are to be conducted on an organizational basis and not on a service provider basis.

This premise is erroneous, as external QAs of internal audit activities are to be conducted on an organizational basis and not on a service provider basis. The external QA of a service provider would not qualify as sufficient evidence to conclude on the specific work performed at multiple clients. The individual organization's internal audit work must be the focus of the external QA, and any work performed by a service provider would be subject to review during the course of the organization's external QA.

The use of the organization's external auditor to perform an external assessment could be a potential conflict of interest and may create questions regarding independence. Standard 1312 "External Assessments" of The IIA's International Standards for the Professional Practice of Internal Auditing (effective January 1, 2009) addresses this matter in that it requires "The chief audit executive must discuss with the board ... the qualifications and independence of the external reviewer or assessment team, including potential conflict of interest." The interpretation section of Standard 1312 adds, "An independent assessor or assessment team means not having either a real or an apparent conflict of interest..." Thus, professional guidance indicates that the CAE and the board must consider this question, given the facts and circumstances.

The External Quality Assessment (QA) of the Internal Auditing Activity (IAA) is to evaluate the IAA's conformance with The IIA's Standards, which also mandates that IAA have an external assessment completed by a qualified independent assessor or assessment team from outside the organization at least once every five years. In addition to the conformance level, all the technical information and tools from a QA can be found in the Quality Assessment Manual available from The IIA Research Foundation Bookstore. Although the Standards are unrelated to ISO standards, a QA may identify the areas for improvement of IAA and make recommendations to enhance IAA which affect ISO-related standards.

There is not a required retention period for the QAIP. However, a guide would be to follow the five-year external quality assessment (QA) timeline, i.e., drop off the oldest year's set of documents every five years. Caution: As a general rule, the IAA should follow their organization's record retention policies when determining how long documents should be maintained.

An external quality assessment, or EQA, evaluates conformance with the Definition of Internal Auditing, the International Standards for the Professional Practice of Internal Auditing (Standards) and an evaluation of whether internal auditors apply the Code of Ethics.​

An external QA builds stakeholder confidence by documenting management's commitment to quality and successful practices, and the internal auditors' mindset for professionalism. Obtaining an external QA provides evidence to the board, management, and staff that the audit committee and the internal audit activity are concerned about the success of the organization's internal controls, ethics, governance, and risk management processes. An opinion of "Generally Conforms" on an external QA allows internal auditors to state their activities are conducted in accordance with the International Standards for the Professional Practice of Internal Auditing​ (Standards).

An SAIV involves the completion of a rigorous self-assessment by the internal audit activity, followed by an assessment conducted by an external, qualified validator. In addition to reviewing the self-assessment, the validator substantiates some of the work completed by the self-assessment team, makes an on-site visit, and interviews senior management. The validator either co-signs the self-assessment report or issues a separate report on any disparities. Additional guidance can be located under Resources in the Quality section on The IIA's website, including Tool 2A -Self-Assessment Guide and a detailed description in the Quality Assessment Manual.​

There are alternatives that may assist you in obtaining an external QA. For example, contact your local chapter to determine if they can assist you with an independent validation conducted at minimal cost to your company, other than maybe travel costs if the validator does not live in your city. Another option is to conduct a peer review with other local internal audit activities, rotating the assessment among members of the group, and must include at least three members. If management and the audit committee are not supportive, then your efforts at educating them regarding the reasons, benefits, and overall approach to an external QA are needed. IIA reference materials are available to help you in this effort (free in most cases to IIA members). Additionally, work with your external auditor to educate the audit committee on the benefits of an external QA, which may include additional reliance on the internal audit activity's work. This could result in making the overall external audit more efficient and effective.

The IIA strongly encourages that the results of an external QA be considered in order to come to a conclusion as to the reliability of the internal audit activity's work.

It will vary depending on the size of the internal audit activity, the number of locations, and the size of the review team. Reviews conducted by The IIA are generally designed to encompass one or two weeks of on-site work. The preliminary work, wrap-up, report writing, and review will also vary.

Since QAs should be forward-looking and improvement-oriented rather than punitive, an assessment team would be most interested in current work, generally going back one year to obtain an approprite sample.

The Quality Assessment Manual contains detailed instructions and audit programs (tools) for conducting a QA. These tools can also be used by the internal audit activity to conduct an internal assessment or self-assessment.

We recommend internal audit activities utilize The IIA's Quality Assessment Manual, which can be used to conduct periodic internal assessments or self-assessments in preparation for an external validation or as part of the internal assessment requirement under Standard 1311. This manual can be obtained through The IIA Research Foundation Bookstore.

Consider attending IIA seminars titled "Performing External Quality Assessments of the Internal Audit Activity" and "Internal Audit Quality Assessment: Establishing your QA and Improvement Program."

There is not a specific number required when sampling work papers. The IIA uses a 10-20% of audits rule of thumb in a quality assessment (QA) with independent team reviews taking into consideration the size of the IAA and the number of audits conducted per year. At a minimum, the independent QA  team should review at least two to three sets of working papers from the last twelve months. When conducting Self-Assessment with Independent Validation (SAIV), the norm is to review two-three sets of working papers that were reviewed as part of the self-assessment, and then to review a couple that were not reviewed as part of the self-assessment.

Yes. The IIA conducts both external independent team assessments and independent validations. In addition to conducting external quality assessments, The IIA can also provide some consulting services to include readiness assessments in preparation for an external quality assessment. To receive a no-obligation proposal from The IIA, please complete the free quote inquiry form.

Organizations should request proposals from providers that will be mutually acceptable to the CAE, audit committee, and possibly management. The providers should be required to perform the assessment using a methodology similar to that described in The IIA's Quality Assessment Manual. The organization should require the team to be qualified under the criteria described in Practice Advisory 1312-1.

The cost will vary depending on the size of the internal audit activity and the number of locations to be reviewed, etc. IIA Quality Services can provide a detailed proposal based on the internal audit activity's particular circumstances. To receive a no-obligation proposal from The IIA, please complete the free quote inquiry form.

Standard 1312 states that external QAs must be conducted at least once every five years by a qualified, independent assessor or assessment team from outside the organization. The potential need for more frequent external assessments, as well as the qualifications and independence of the external assessor or assessment team, including any potential conflict of interest, must be discussed by the CAE with the board. Such discussions must also consider the size, complexity, and industry of the organization in relation to the experience of the assessor or assessment team. However, best practice would suggest that the audit committee be directly involved in the selection process, as well as the determination of the QA method to be followed, the approach to be followed, and the overall cost. The CAE generally leads the selection process with the full involvement and support of the audit committee and executive management.

The International Professional Practices Framework (IPPF) defines the required competency of the external assessors. Interpretation of Standard 1312 from the International Standards for the Professional Practice of Internal Auditing contained in Practice Advisory 1312-1:

Performing and communicating the results of an external assessment require the exercise of professional judgment. Accordingly, an individual serving as an external assessor should:

• Be a competent, certified audit professional (e.g., CIA, CPA, CA, or CISA) who possesses current, in-depth knowledge of the Standards.
• Be well-versed in the best practices of the profession.
• Have at least three years of recent experience in the practice of internal auditing at a management level.
• Have competence and experience, such as that gained from working previously as a team member on an external quality assessment, successful completion of The IIA's quality assessment training course or similar training.
• Be a CAE or have comparable senior internal audit management experience.

Standard 1320 states that the chief audit executive must communicate the results of external assessments upon completion to senior management and the board (through the audit committee). Upon the completion of an external quality assessment, the assessment team must issue a formal report containing an opinion on the internal audit activity's conformance with the International Standards for the Professional Practice of Internal Auditing (Standards). The report must be addressed to the person or organization requesting the assessment. The chief audit executive must prepare a written action plan in response to the significant comments and recommendations contained in the report of the external assessment. This written action plan must also be addressed to the person or organization requesting the assessment. Appropriate follow-up is also the chief audit executive's responsibility.

Yes, as stated in Standard 1320, the results of any quality assessment by an independent group of the internal audit activity must be discussed with the board.

An example of an SAIV report is included in The IIA's Quality Assessment Manual. In general, the independent assessor must review the scope, approach, and various opinions that could be given, and the overall opinion arrived at with any qualifying issues needing attention.

It is mandatory that every internal audit activity undergo an external QA conducted by an independent team or independent validator once every five years to comply with Standard 1312. The clock starts ticking for the five-year period when an internal audit activity formally adopts the International Standards for the Professional Practice of Internal Auditing (Standards).

Adoption of the Standards establishes the intent of the IA activity to comply and as a result, is considered the starting point of the five-year period before an external QA is required. Evidence to examine to support the date of the adoption of the Standards would include audit committee minutes, updates to the audit charter, and use of the phrase "conducted in conformance with the Standards" in audit reports, etc.

In this situation, the internal audit activity is considered as being established two years ago when the company was spun out of another company. The five-year cycle starts when an IA activity formally adopts the Standards. If the Standards were formally adopted at the same time as the spin-off occurred, then the five-year cycle began at the same time. Adoption of the Standards establishes the intent of the IA activity to comply, and as a result, is considered the starting point of the five-year period before an external QA is required. Evidence to examine to support the date of the adoption of the Standards would include audit committee minutes, updates to the audit charter, and the use of the phrase "conducted in conformance with the Standards" in audit reports, etc.

The five-year cycle starts when an IA activity formally adopts the Standards. If the Standards were formally adopted at the same time as the merger occurred, then the five-year cycle began at the same time. If the Standards were previously formally adopted by the surviving internal audit activity, then the five-year cycle starts when the Standards were first adopted or from the most recent external QA, whichever is later. Adoption of the Standards establishes the intent of the IA activity to comply, and as a result is considered the starting point of the five-year period before an external QA is required. Evidence to examine to support the date of the adoption of the Standards would include audit committee minutes, updates to the audit charter, and the use of the phrase "conducted in conformance with the Standards" in audit reports, etc.

If the policies and practices of the surviving internal audit activity are based on the organization that had the external QA, then no further external QA would be needed. If not, then an external QA would be required.

If the regulator's approach follows a method which would provide an assessment against the Standards, then the regulator's assessment the Standards as a basis for the assessment, then a separate external QA would be needed.

Yes. An external QA is required, regardless of whether the internal audit activity was in-house or outsourced. The five-year requirement began when the IA activity was first enacted, regardless of whether it was outsourced, co-sourced or in-house. Adoption of the Standards establishes the intent of the IA activity to comply, and as a result is considered the starting point of the five-year period before an external QA is required. Evidence to examine to support the date of the adoption of the Standards would include audit committee minutes, updates to the audit charter, and the use of the phrase "conducted in conformance with the Standards" in audit reports, etc.

The IA activity has five years from the date of adoption of the Standards before an external quality assessment would be required. Adoption of the Standards establishes the intent of the IA activity to comply and should be considered the starting point of the five-year period before an external QA is required. Generally, adoption of the Standards and "intent" coincide with the formation of the internal audit activity. However, in other cases the election to adopt the Standards may not occur when the department is first established. Evidence to examine to support the date of the adoption of the Standards would include audit committee minutes, updates to the audit charter, and the use of the phrase "conducted in conformance with the Standards" in audit reports, etc.

In all cases, the organization maintains the responsibility for having an external QA in accordance with The IIA's Standards. If the organization has a CAE (partial outsourcing), it is clearly the CAE's responsibility to initiate the process and discussion with the audit committee. If a total outsourcing exists, the person who negotiates the outsourcing of the internal audit services (e.g.,  CFO, Corporate Controller) would be responsible for initiating the external QA. The service providers' specific work on the assignment would be reviewed as part of the external QA and not the entire firm's policies and procedures (except relevant section of the Policies & Procedures of the service provider as applied in the organization). Service providers must advise and brief their clients on the requirements of the Standards.

In all cases, the organization maintains the responsibility for having an external QA in accordance with The IIA's Standards. If the organization has a CAE (partial outsourcing) it is clearly the CAE's responsibility to initiate the process and discussion with the audit committee. If the majority of the internal audit work is outsourced to a service provider, the person who negotiates the outsourcing of the internal audit services (e.g., CFO, corporate controller) would be responsible for initiating the external QA. The service providers' specific work on the assignment would be reviewed as part of the external QA and not the entire firm's policies and procedures (except relevant section of the Policies & Procedures of the service provider as applied in the organization). Service providers must advise and brief their clients on the requirements of the Standards.

The use of the organization's external auditor to perform an external assessment could be a potential conflict of interest and may create questions regarding independence. Standard 1312 "External Assessments" of The IIA's International Standards for the Professional Practice of Internal Auditing (effective January 1, 2009) addresses this matter in that it requires "The chief audit executive must discuss with the board ... the qualifications and independence of the external assessor or assessment team, including potential conflict of interest." The interpretation section of Standard 1312 adds, "An independent reviewer or review team means not having either a real or an apparent conflict of interest..." Thus, professional guidance indicates that the CAE and the board must consider this question given the facts and circumstances.

The criteria is described in The IIA's Quality Assessment Manual. To summarize, it is a matter of determining conformity to each of the standards individually and then rolling those determinations into an overall conclusion. Due to the fact that it is a conclusion, the lack of general conformity to a particular standard would not necessarily result in an overall "partially conforms" opinion or the reverse.

The CAE should report the rationale for nonconformance of the external QA requirement to the board and management. If the internal audit activity does not undergo the external QA during the designated timeframe (once every five years), it is forbidden to use the phrase, "Conducted in accordance with the International Standards for the Professional Practice of Internal Auditing," in reports or its internal audit activity charter. A CAE who uses this statement while not in conformance is subject to ethical disciplinary sanctions by The IIA.

If an internal audit activity receives a less than generally conforms opinion regarding conformance to the Standards, the CAE must initiate action to cure the deficiency and/or discuss with the Audit Committee the limiting factors that may need to be addressed in order to resolve the area(s) where a deficiency was noted. The lack of a generally conforms opinion would preclude the internal audit activity from indicating they were operating in conformance with the Standards in any written reports or documents until the deficiency was resolved.

If the CAE does not agree with the opinion of the external QA team or the independent validator, the CAE must report their view of the situation to the audit committee and discuss the issue with the audit committee to determine the appropriate action to be taken. If a "partially conforms" or "does not conform" opinion is received, the internal audit activity is not in conformance with the Standards and the CAE must discuss the appropriate action to be taken with the audit committee to resolve the issue(s).

Yes, until the issues identified as causing the nonconformance are resolved, the activity would be out of conformance with the Standards.

The CAE must review the corrective action taken to resolve the nonconformance issue(s) with the audit committee and report when the action plan is complete. If the audit committee desires an external validation, then additional input may be needed. When the remediation work is completed to the satisfaction of the audit committee, the internal audit activity can then consider themselves in conformance with the Standards.

Volunteer team members should have the following qualifications:

- Three years of internal auditing experience
- Professionally-recognized certification (e.g., CIA, CISA, CPA, etc.)
- Current knowledge of The IIA's Standards

The IIA can offer volunteers many opportunities to participate on assignments. However, The IIA's clients have final approval of the volunteers proposed for their external QAs.

If selected by the client for participation on an external QA, you may decline, but it could have a negative impact on the engagement, especially if the cancellaton is done with short notice.

External QAs or independent validations can be conducted through peer reviews instead of utilizing external service providers. Internal auditors from three or more different organizations come together to form a pool of professionals, all of whom must be qualified to conduct external QAs. Reciprocal peer reviews between two organizations does not pass the independence test.

Peer review teams can consist of members from different organizations within an industry or other affinity group, regional association, or other group of organizations. However, administration of this process can be quite challenging because assuring appropriate composition and assignments of the teams is imperative. Perceived independence and objectivity can also be challenging.

It would be preferable to have the QA performed by other government auditors, which are not "related" to the department under review. The IIA recommends an independent validator be engaged to review and validate the "peer review" in a government setting.

A QAIP is required by the Standards. As an organization grows, its operations and quality processes must evolve and be refined in order to keep pace with the changes. To ensure consistent quality in this dynamic environment, an ongoing commitment to growth and improvement is essential. This commitment to continuous improvement is demonstrated through a documented QAIP, as described in PA1300-1.

The required elements of the program are periodic internal and external quality assessments, ongoing internal monitoring, and assurance that the internal audit activity is conforming to the Standards and the Code of Ethics. A QAIP Guide can be obtained under Resources in the Quality section on The IIA's website.

Practice Advisory 1300-1 provides an inclusive list of the elements that should be included in the QAIP. The IIA has posted a Model Quality Assurance and Improvement Program to assist you in implementing a QAIP.

Internal assessments must include ongoing of the performance of the internal audit activity and periodic reviews performed by self-assessments. External assessments require an outside team of independent reviewers to evaluate conformance with the Standards, the use of successful practices, and the efficiency and effectiveness of the internal audit activity.

No. An internal audit activity must demonstrate conformance with The IIA's Standards before it can state that it is in conformance. Simply having a contract to perform an external quality assessment after the end of the five-year cycle is not sufficient to demonstrate the conformance with the Standards. Therefore, the internal audit activity cannot state that it is in conformance with the Standards.​

As per Practice Advisory 1321, internal auditors may use the statement only if assessments of the quality improvement program demonstrate that the internal audit activity is in conformance with the Standards. An internal auditing activity must demonstrate conformance with the Standards before it can state that it is in conformance with the Standards. Standard 1300 requires the Chief Audit Executive (CAE) to develop and maintain a Quality Assurance and Improvement Program (QAIP) that covers all aspects of the internal audit activity and continuously monitors its effectiveness. The CAE of a new internal auditing activity can authorize the use of the statement, "Conducted in Conformance with the Standards,” when supported by sufficient evidence from QAIP internal assessments. While an external quality assessment must be performed within five years of a new department's existence, the conformance statement can be used after at least one year's internal assessments indicate sufficient evidence exists that the audit function is indeed compliant with the Standards.​

A reference should not be made in either the IA activity charter or the IA activity audit reports. The reference may be made when the IA activity’s quality assurance and improvement program demonstrates that the internal audit activity is in conformance with the Standards. ​

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  • Request an invoice to pay by credit card, check, or wire transfer (registration is not confirmed or reserved until full payment is received).
    
    Please contact the IIA Customer Relations Department to request an invoice for payment.
    US: +1-407-937-1111
    Email: CustomerRelations@theiia.org
• We offer a variety of ways to register and pay for IIA conferences, which are typically two and a half day events offered at locations around the United States. Choose the payment method most convenient for you:
  • Online: To register using a credit card, visit www.theiia.org and select the training & events tab. When you have located and selected your conference, simply complete your registration online. The IIA accepts American Express, Discover, MasterCard, and Visa.
  • Phone: Call Customer Relations at +1-407-937-1111 from Monday through Friday, 8:30 a.m. – 5:00 p.m. ET to prepay. If you request an invoice a minimum deposit of US$495 per person is required at the time you register.
  • Group Registration: To register a group of 4 or more, email CustomerRelations@theiia.org with each registrant’s name and contact information (address, telephone email address), conference title, and date. Include a purchase order and/or contact information for payment. Group invoices will be sent, but individual confirmations will not be issued until payment is received.

When you attend this conference you are eligible to earn continuing professional education (CPE) credits, depending on the number of sessions you attend. Attendance will be tracked via scanner at the door. The IIA’s educational programs are acceptable for fulfilling CPE requirements, which ensure that internal auditors comply with the specific standards on education in The IIA’s International Standards for the Professional Practice of Internal Auditing.

The IIA is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.NASBARegistry.org. Your CPE certificate will be emailed to you two to four weeks post-conference to the email address used to register for the conference.

CPE certificates are emailed 2-4 weeks after the close of a conference.

Continental breakfast is provided each morning prior to the scheduled start time. There will be morning and afternoon refreshment breaks for full-day sessions, and lunch will be provided for full-day sessions or where expressly indicated.​

Hotel information will be sent to you with a confirmation letter. A block of rooms has been reserved at a special rate and will be filled on a first-come, first-served basis. Please contact the hotel directly; remember to make your room reservations early and mention The IIA or the conference name to be assured a room at the special rate. After the allocated rooms have been filled, reservations may be made at the regular room rate if space is available.​

For your comfort, business casual is appropriate. We suggest you dress in layers as the temperature in the meeting rooms can vary considerably.​

At times it might be necessary to cancel or reschedule a conference after receipt of a confirmation letter. The IIA will provide advance notice of any changes and in doing so will not be responsible for penalties related to the canceling or rescheduling of airfares, lodging, etc.​

Cancellations must be made in writing before the event's start date. There is no cancellation fee for cancellations received 30 days before the event start date. A nonrefundable service charge of US $295 will be charged for cancellations within 30 days before the event start date. No refunds will be given for cancellations 2 weeks prior to the event start date. All requests for refunds will be processed within 30 days following the program. Fees, courses, and program content are subject to change without notice.​

Interested in becoming a member of The IIA and taking advantage of the many benefits – including discounted registration fees? Please visit Join The IIA to join today. Membership affords not only significant savings on conference registration, but also premier access to the  standards-setting and guidance-producing body of the profession. Exclusive networking opportunities and savings on world-class training are just a few of the many benefits enjoyed by over 199,000 members worldwide.

The IIA will waive the initial application fee (up to US$200 value) for those who attend select IIA-sponsored conferences.

To receive a copy of the application fee waiver form, please send a request to CustomerRelations@theiia.org with proof of having attended an IIA-sponsored conference*, or submit a new incident on your Certification Candidate Management System (CCMS) profile. Prior to submitting your request via CCMS, you must submit a copy of your CPE certificate through the new Document Upload Portal.

Once completed, submit your application through your CCMS profile.

The application fee waiver offer is valid for one year from the course completion date. This offer cannot be retroactively applied, and no refunds for the application fees will be issued in part or whole.

*This offer is not valid for attending an IIA Regional Conference; the Financial Services Exchange; the Governance, Risk, and Control Conference; or where otherwise noted.

Get 10 percent off your order and free shipping and handling in the United States and Canada when you purchase IIA-published Bookstore products on site during select IIA conferences. Or mail in your order using the special order form available on site at the conference. The mail-in offer is only valid for orders received by The IIA within two weeks of the program's completion date.​

If you have any concerns you would like addressed, please contact The IIA’s Customer Relations team at:

+1-407-937-1111
CustomerRelations@theiia.org
IIA Customer Relations
1035 Greenwood Blvd., Ste, 401
Lake Mary, FL 32746
USA

The IIA is happy to provide an invitation letter to accompany your visa application after full payment is received. We recommend that as soon as you register and pay the full registration fee, contact customerrelations@theiia.org with your request. You will receive a PDF printable file on IIA letterhead via an email attachment.

If you requested the invitation letter but are unable to acquire a visa for travel, The IIA will refund your registration fee in full.

The Institute of Internal Auditors is dedicated to providing a harassment-free experience for everyone. The IIA's policy is to provide an environment that is free from sexual and other types of discriminatory harassment. We do not tolerate harassment in any form.

The IIA Code of Conduct applies to all individuals at an activity or related social event. Anybody violating this Code may be sanctioned or expelled from the activity at the discretion of The IIA.

We offer a variety of ways to register and pay for IIA seminars, which are typically multi-day courses offered at locations around the United States. Choose the method that is most convenient for you:

Online: To register using a credit card, visit www.theiia.org and select the Training & Events tab. When you have located and selected your course simply complete your registration online. The IIA accepts (American Express, Discover, MasterCard and Visa).

Phone: To register by phone, call Customer Relations at +1-407-937-1111 from Monday through Friday, 8:30 a.m. to 5:00 p.m. ET.

Group Registration: To register a group of 4 or more individuals send an email to Training@theiia.org. Please provide each registrant’s name and contact information (address, telephone, email address), course name, date of presentation, and location. Include a purchase order and/or contact information for payment. Group registrations will not be processed until payment is received.

The Institute of Internal Auditors is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.learningmarket.org.

Within weeks of attending an IIA training event, you will receive an e-mail from The IIA that includes a PDF copy of the CPE certificate for you to download and save for your records.

You will only receive CPE credits for the sessions you attend.

Cancellations must be made in writing and emailed to Training@theiia.org at least 4 weeks before the event start date to receive a full refund. Cancellation notifications via social media (e.g., posting on our Facebook page or a tweet) are not acceptable.

• A per person cancellation fee of US $495 is assessed for cancellations received from four to two weeks out from the start of the event or you may transfer your registration to a different offering within the next 12 months without incurring the cancellation fee.
• No refunds or transfers will be processed for cancellations received two weeks or less from the start of the event.
• You may substitute another individual for the same event date and location.

Fees, courses, and program content are subject to change without notice. At times it might be necessary for the IIA to cancel a specific seminar. Customers will be contacted regarding a refund or to make arrangements for future training.

At times it might be necessary to cancel or reschedule a seminar after receipt of a confirmation letter. The IIA will provide advance notice of any changes and in doing so will not be responsible for penalties related to the canceling or rescheduling of airfares, lodging, etc.

Yes, for four (4) or more individuals registering for the same course, there is a discount available (CIA Review courses). Please email Training@theiia.org for details and to register.

IIA offers on-site training options. Let us bring the training to you! Please visit our on-site training page.

Continental breakfast is provided each morning prior to the scheduled start time. There will be morning and afternoon refreshment breaks for full-day sessions, and lunch will be provided for full-day sessions or where expressly indicated.

For your convenience, any materials used in your course will be waiting for you at the event when you arrive.

For your comfort, business casual is appropriate. We suggest you dress in layers as the temperature in the meeting rooms can vary considerably.

Please consult the individual course listing on the website for start and end hours for your particular event.

To have the best learning experience for some classes, it is strongly recommended that you have the prerequisite knowledge or coursework noted.

If you have any concerns you would like addressed, please contact The IIA’s Customer Relations team at:

+1-407-937-1111
eLearning@theiia.org
IIA Customer Relations
1035 Greenwood Blvd., Ste. 401
Lake Mary, FL 32746
USA

The IIA is happy to provide a customized letter of invitation to accompany your visa application after full payment for an event has been received. For those who require an invitation, we recommend that as soon as you register and pay the full registration fee for your chosen event, you may contact Training@theiia.org with your request. Please be prepared to provide your full name as it should appear on your letter, mailing address, and event that you will be attending. You will receive a PDF printable file on IIA letterhead via an email attachment.

In the event you change your mind or are unable to acquire a visa required for travel, The IIA will refund your registration fee in full or in part as follows:

• Cancellations must be made in writing and may be emailed to Training@theiia.org at least 4 weeks before the event start date to receive a full refund. Cancellation notifications via social media (e.g., posting on our Facebook page or a tweet) are not acceptable.
• There is no cancellation fee for cancellations received more than four weeks out from the start of the event.
• A non-refundable service charge of US $495 is applicable for cancellations received from four to two weeks out from the start of an event. You would receive a refund for the amount of your registration minus this US $495 service charge. However, this fee would be waived if another training program were to be purchased at the time of cancellation. If necessary, The IIA would issue another letter of invitation at that time.
• No refunds will be given for cancellations received two weeks or less from the start of the event.
• Requests for refunds will be processed within 30 days following a program.

The Institute of Internal Auditors is dedicated to providing a harassment-free experience for everyone. The IIA's policy is to provide an environment that is free from sexual and other types of discriminatory harassment. We do not tolerate harassment in any form.

The IIA Code of Conduct applies to all individuals at an activity or related social event. Anybody violating this Code may be sanctioned or expelled from the activity at the discretion of The IIA.

An eLearning event is an opportunity for you to broaden your professional internal audit skills through online training. This includes eSeminars, eWorkshops and webinars.​

We offer a variety of ways to register and pay for IIA training. Choose the method that is most convenient for you:

Online: To register for one of The IIA's training events using a credit card, use the online “Register” icon.
Phone: To register over the phone, please call Customer Relations at +1-407-937-1111. Hours of operation are Monday through Friday from 8:30 a.m. to 5:00 p.m. ET

It is important to note that payment for IIA training is due in U.S. dollars at the time of registration for the event. If payment has not been received prior to the start of the event, The IIA reserves the right to deny entrance. For programs conducted outside the U.S., applicable taxes such as GST will be added to fees.

For webinars and eWorkshops, the login links will be sent out 24 hours prior and then again, one hour before the start of the session.

For online seminars, login details will be separately two business days prior to the session, along with materials by email to the registered/paid participant.

If you did not receive a confirmation e-mail, please check any spam or quarantine folders that your organization may have to ensure that the e-mail was not filtered. If you still cannot find the e-mail, please email eLearning@theiia.org.

Cancellations must be made in writing before the event start date. The IIA's cancellation policy is as follows:

• No cancellation fee for cancellations received more than four weeks out from the start of the event.
• A non-refundable service charge of US $495 for cancellations received from four to two weeks out from the start of the event. This fee will be waived if another training program is purchased at time of cancellation.
• No refunds will be given for cancellations received two weeks or less from the start of the event.

All requests for refunds will be processed within 30 days following the program. Fees, courses, and program content are subject to change without notice.

For our free webinars, you may have a group view the presentation, however, only registered participants will be eligible for CPE credits. For paid eLearning courses, such as eSeminars and eWorkshops, only the individual that is a paid registrant may participate.

Yes, discounts may be available, exceptions apply. Please email Training@theiia.org for details and to register.

Webinars: Playback links are available within ten (10) business days after the event. CPEs are not available for playbacks.

eSeminars and eWorkshops: Playbacks are made available to registered individual on a request-only basis. Please email eLearning@theiia.org for the playback if you are unable to attend a session. CPE is not available for playbacks.

The requirements of the National Association of State Boards of Accountancy (NASBA) mandate the use of a “monitoring device to verify ALL participants are participating” to grant credit. Within the context of the eLearning event, questions related to the program will be presented. You must respond to at least 75% of these questions in order to earn credit. We will not be evaluating your answers to check for accuracy. The questions, which are tied to the content, are meant as a reinforcement method of key points and are for your personal benefit.

CPEs will be emailed to those that qualify within 10 business days or less after the date of the event.

For assistance with CPEs, please contact eLearning@theiia.org.

Depending on the type of online event, system requirements may vary. In most cases, a computer and internet connection are all that is needed. For online seminars, please use the below link to test your system and determine system requirements:

https://theiia.adobeconnect.com/common/help/en/support/meeting_test.htm

For our free webinars, to review the system requirements including cookies & JavaScript, please use this link and for other minimum requirements, please check your system using this link.

Phone numbers are not available for webinars and eWorkshops; all audio will stream through your computer.

For eSeminars, all registered attendees will receive dial-in information prior to the start of the course.

The Institute of Internal Auditors is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.learningmarket.org.

If you have any concerns you would like addressed, please contact The IIA’s Customer Relations team at:

+1-407-937-1111
eLearning@theiia.org
IIA Customer Relations
1035 Greenwood Blvd., Ste. 401
Lake Mary, FL 32746
USA

1. Select the link: Ondemand
2. Select the “Sign In” button.
3. Sign in using your IIA account member/customer number and password.
   1. Not sure whether you already have an account member/customer number?
      1. If you are a member of The IIA, either directly or through one of our International Affiliates, you have an IIA Account Member/Customer ID#.
      2. If you have attended an IIA event, training, or made a purchase through the IIA, you have an IIA Account Member/Customer ID#.
      3. If you do not know your IIA Account Member/Customer ID#, please access the following link (https://resetpassword.theiia.org) or contact IIA Customer Relations at telephone number +1 407-937-1111 to get your IIA Account Member/Customer ID#. You may also contact your local Affiliate.
      4. If you do not have an IIA Account Member/Customer ID#, please follow this link to create an IIA Account Member/Customer ID#, https://register.theiia.org/.
4. Once signed in, you should be able to view and purchase any courses in the catalog.

​Your receipt should be received via email upon purchase. It is also available in the notifications area of your OnDemand page. If for some reason you did not receive your receipt, please email ondemand@theiia.org.

​No. You cannot reproduce any of the Intellectual Property (IP), nor make derivative works of the IP, without getting our express permission in writing. You do not have any rights to the IP except granted under these Terms or any other agreement you have with us.

Yes. When you exit a course, your location is bookmarked. When you re-launch the course, a pop-up box will ask if you would like to resume where you left off. In order to return to your location, you must select Yes.
Please note: Clearing your browser history prior to returning to the course may remove your bookmark.

Please sign in at the OnDemand website, and the course thumbnail should be displayed below “My Active Courses” on your Dashboard. Select “Play” on the thumbnail to enter the course, and then select “Play” on the background image to launch the course.

Select a course thumbnail from the Course Catalog to display the associated Course Description page. The course Duration is listed on the left-hand side, below the “BUY NOW” button.

You may complete our OnDemand courses on a tablet, Mobile iOS, or Mobile Android. However, display issues may occur within the platform and the courseware.

To avoid display issues, we recommend that you access the OnDemand courses on a desktop or laptop using one of the following browsers:

• Google Chrome (optimal)
• Mozilla Firefox
• Safari 4

​Please make sure your billing address matches the billing address for the credit card you are using.

​Live Stream is a virtual training option that utilizes advanced video conferencing technology specifically designed for the learning environment to allow remote participants to take part in classroom training just as though they were physically present. The result is a hybrid learning environment where remote participants experience the same collaboration, instructor interaction, and learning benefits as if they were physically in the classroom.

​Interaction is just as easy for virtual participants as for participants inside the classroom. Virtual participants are displayed on two large screens at the back of the classroom. When virtual participants speak, they will occupy the entirety of those screens. Virtual participants essentially are the “back row” of the classroom. The remote learners also have the same degree of accessibility to the classroom and instructors. They are able to see the instructor’s presentation and the white board from their computer screens. If they need assistance, they can raise their hands, ask the instructor questions, or even share their screens with the instructor.

​Live Stream emphasizes two-way interaction, incorporating both remote and on-site participants in equal measure. Live Stream delivers the full class experience, not just the instructor’s presentation.

​There is a small plug-in for internet browsers required to run virtual training that is compatible with most PCs and Macs. It is very easy to install and works with most up-to-date systems and browsers.

​Remote participants need a computer with a reliable Internet connection as well as a microphone and webcam to allow for effective two-way communication between the instructor and class participants.

Technical support is provided for virtual training participants and instructors. While the platform has proven very stable, we will be on-hand to assist should any issues arise. Remote participants can receive real-time support for their technical issues.

​Approximately two weeks before the scheduled training, you will receive instructions for accessing the Live Stream virtual training. We strongly encourage you to review and follow the information, and test your connection before the first day of class.