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IIA Training
Professional Development Geared Toward Personal Goals
YOUR GUIDE TO INTERNAL AUDIT TRAINING & DEVELOPMENT
You are challenged with keeping up with ever-changing risk, while establishing yourself as a trusted advisor. Training and education play a critical role in your success. The IIA’s 2017–18 Training Catalog is here as a trusted resource to support your professional development plan.
If you or your team needs practical, high-impact training in topics such as data analysis, communication, risk management, internal control, and more, The IIA can help. As the recognized authority and principal educator for the global internal audit profession, we are here to provide comprehensive and relevant training to keep you up to speed.
Use this catalog as a guide to build your annual development plan. You can search by category, delivery method, and course delivery dates. It’s a great resource to keep at your desk. You can also access and bookmark this online at www.theiia.org/2017-18IIATraining.
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TRAINING DELIVERY OPTIONSThe IIA offers training through a variety of delivery options. Use this icon/overview guide to understand the delivery options and determine what fits your needs effectively and efficiently.
GROUP TRAININGThe IIA offers training package savings for all training. An IIA team development consultant can help you build a training solution that supports your annual team development plan.
In-person training is located conveniently throughout the U.S. all year long. It is hands-on, interactive, in-depth training with seasoned instructors who share real-world experience, leading practices and techniques, and facilitate immersive peer-to-peer knowledge sharing.
Online training gives you greater flexibility with the convenience of learning from your office or preferred location. These real-time, interactive courses are scheduled in short sessions over multiple days to cater to your busy schedule.
OnDemand training allows you to learn at your own pace, at any time, and in any location with an internet connection. Many courses are available on a wide variety of topics, ranging from practical guidance for onboarding new staff to risk management for seasoned leaders.
On-site training offers the opportunity to train your whole team with a flexible, cost-effective, and customized program that meets your needs at your location. From interactive classroom sessions, online access for remote staff, or any combination of both, an IIA consultant can work with you to create a professional development plan for your team.
TABLE OF CONTENTS
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AUDIT FUNDAMENTALSTools & Techniques I: New Internal Auditor .................................04
Tools & Techniques II: Lead Auditor ..............................................05
Tools & Techniques III: Audit Manager .........................................06
Fundamentals of Internal Auditing ...............................................07
Beyond the Basics: Essential Skills and Practices ......................07
Audit Report Writing .....................................................................08
Operational Auditing: Influencing Positive Change.......................08
Analyzing & Improving Business Processes ................................09
Getting to the Root of the Matter: Root Cause Analysis Techniques for Auditors ................................................................09
Lean Six Sigma Tools for Internal Audit Planning ........................10
Lean Six Sigma Tools for Internal Audit Fieldwork ......................10
Project Management Skills for Internal Auditors ........................11
Performing an Effective Quality Assessment ...............................11
Root Cause Analysis for Internal Auditors ...................................12
EXECUTIVE DEVELOPMENTVision University.............................................................................13
AUDIT MANAGEMENTBest Practices in Internal Audit.....................................................14
Building a Sustainable Quality Program .......................................14
Small Audit Shop: Doing More With Less ......................................15
Financial Auditing for Internal Auditors ........................................15
CIA AND OTHER EXAM PREPARATIONCGAP Exam Prep Program ............................................................16
CIA Learning System Comprehensive Instructor-led Course – Part 1 .....................................................17
ENVIRONMENTAL, HEALTH, AND SAFETYAdvanced Process Safety Management ........................................18
Auditing Environmental Compliance .............................................18
Auditing Health and Safety Compliance ........................................19
Construction Activity: Audit Strategies..........................................19
Environmental, Health and Safety Audit Skills .............................20
Environmental, Health and Safety Lead Auditor ...........................20
Fundamentals of Environmental Auditing .....................................21
Introduction to Process Safety Management and Risk Management Plans ................................................................21
COURSES PG COURSES PG
FRAUDFraud Detection, Deterrence, and Incident Response for Internal Auditors ......................................................................22
GOVERNANCE, RISK, AND CONTROLCOSO Internal Control Certificate .................................................23
Assessing Risk: Ensuring Internal Audit’s Value ..........................24
Enterprise Risk Management: Elements of the Process ..............24
Risk-based Auditing: A Value Add Proposition..............................25
Value-added Business Controls: The Right Way to Manage Risk .25
Auditing Culture: Challenges and Proven Techniques ..................26
SOFT SKILLSCommunication and Negotiation Skills for the 21st Century Auditor ......................................................................27
Interviewing Techniques for Successful Audits .............................27
The Effective Auditor: Understanding and Applying Emotional Intelligence ...................................................................28
Relationships, Interpersonal Skills, and Auditing: Becoming a Trusted Advisor ...........................................................................28
Leadership Skills for Auditors .......................................................29
Critical Thinking: An Essential Skill for Internal Audit Success ...29
Audit Evidence & Professional Judgment: How to Effectively Use Critical Thinking .....................................................................30
Embedding Critical Thinking in the Internal Audit Process ..........30
Succession Planning: Leveraging and Influencing Millennials and Other Generations ..................................................................31
TECHNOLOGYCybersecurity Auditing in an Unsecure World ..............................32
Fundamentals of IT Auditing .........................................................33
Data Analysis and Sampling ..........................................................33
Data Analysis for Internal Auditors ...............................................34
Implementing Data Analytics in Internal Audit .............................35
Statistical Sampling for Internal Auditors .....................................35
The IIA’s 2017 and 2018 course schedule can be found at the end of this guide. Please refer to it to schedule your training.
Note: All courses and dates are subject to change without notice.
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TOOLS & TECHNIQUES I: NEW INTERNAL AUDITOR
FOR: PRACTITIONERS / LEVEL: INTRODUCTORY
DESCRIPTION:
Learn the basics of auditing at the new internal auditor level. This course provides an overview of the life cycle of an audit from a new internal auditor’s perspective while examining the internal control environment and audit governance.
FREE CPE: For no additional charge you can complete an OnDemand course related to professional internal auditing standards and gain an extra CPE credit. For more information, check course details online.
Lyndon Remias was appointed by the Virginia Beach City Council in May 2008 to become the City’s first city auditor. He has over 28 years of public, private, and governmental auditing experience. He is also a Distinguished Faculty Member at The IIA.
LEAD COURSE DEVELOPER:
Lyndon Remias, CIA, CGAP, CRMA, CPA, City Auditor for City of Virginia Beach
TOPICS INCLUDE:
• Defining the phases of an audit life cycle
• Communicating and interviewing skills
• Developing documentation, including audit reports
• Performing an audit risk assessment and walk-through of internal controls
• Utilizing sampling and data analysis in fieldwork
• Developing audit observations and findings
RELATED TOPICS:
• Tools & Techniques II: Internal Auditor
• Tools & Techniques III: Audit Manager
• Audit Report Writing
• Fundamentals of IT Auditing
DURATION: 4 DAYS
32CPEs
ON-SITEIN-PERSON
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TOOLS & TECHNIQUES II: LEAD AUDITOR
FOR: PRACTITIONERS, MANAGERS / LEVEL: INTERMEDIATE
DESCRIPTION:
Gain insight at the lead auditor level. This course helps you develop the organizational, time management, and problem solving skills necessary to lead a successful team, while examining the life cycle of an audit from a lead auditor’s perspective.
FREE CPE: For no additional charge you can complete an OnDemand course related to professional internal auditing standards and gain an extra CPE credit. For more information, check course details online.
Adnan Rahim joined Visa in his current role in 2017. He is responsible for overseeing and directing the execution of financial and operational audits across all of Visa’s corporate functions in the U.S., Canada, and Latin America. Rahim is also a member of The IIA’s Learning Solutions Committee.
RELATED TOPICS:
• Tools & Techniques I: New Internal Auditor
• Tools & Techniques III: Audit Manager
• Fundamentals of IT Auditing
• Enterprise Risk Management: Elements of the Process
LEAD COURSE DEVELOPER:
Adnan Rahim, CIA, CPA, CMA, Vice President, Internal Audit, Visa
TOPICS INCLUDE:
• Communicating with audit staff
• Defining audit scope, objectives, hours, resources, and key activities
• Prioritizing workload and managing efficient use of resources
• Reviewing audit reports to ensure they are written at an executive level and that recommendations address root causes
• Understanding leadership styles
• Mentoring audit staff
DURATION: 4 DAYS
32CPEs
ON-SITEIN-PERSON
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TOOLS & TECHNIQUES III: AUDIT MANAGER
FOR: MANAGERS / LEVEL: ADVANCED
DESCRIPTION:
This course provides experienced managers with the tools needed to manage efficiently and effectively in an internal auditing environment, while examining the life cycle of an audit from an audit manager’s perspective.
FREE CPE: For no additional charge you can complete an OnDemand course related to professional internal auditing standards and gain an extra CPE credit. For more information check course details online.
Chris Semrow has over 16 years of experience in the external and internal audit profession. In his current position, he is responsible for supervising, directing, and reviewing all aspects of audits through the planning, field work, and wrap up phases. Semrow is also a member of The IIA’s Learning Solutions Committee.
RELATED TOPICS:
• Tools & Techniques I: New Internal Auditor
• Tools & Techniques II: Lead Auditor
• Fundamentals of IT Auditing
• Enterprise Risk Management: Elements of the Process
LEAD COURSE DEVELOPER:
Chris Semrow, CPA, CISA, IS Assurance Senior Manager, BDO USA
TOPICS INCLUDE:
• Communicating with the CAE, board of directors, and audit committee
• Preparing a value-added audit program
• Developing a strategy for presenting audit findings and recommendations
• Developing management leadership skills
• Understanding the difference between managing and leading
• Managing relationships
• Managing conflict and change
• Marketing internal audit
DURATION: 4 DAYS
32CPEs
ON-SITEIN-PERSON
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FUNDAMENTALS OF INTERNAL AUDITING
BEYOND THE BASICS: ESSENTIAL SKILLS AND PRACTICES
FOR: PRACTITIONERSLEVEL: INTRODUCTORY
FOR: PRACTITIONERSLEVEL: INTERMEDIATE
DESCRIPTION:
If you are new to internal auditing and looking for a solid foundation as you enter the profession, this course is the perfect first step for you to become proficient in your new role. Think of it as your road map to understanding the fundamental concepts and knowledge that will help you succeed in the world of internal auditing. During this course, you will learn about the professional standards, frameworks, and competencies you need to become competent in the profession, as well as the various career paths available to you as an internal auditor.
DESCRIPTION:
This course is designed for internal auditors with 1–5 years of experience who are proficient in the foundational elements of internal auditing and now need to move to the next level, adding value and providing future-focused insight when performing audit engagements. In this course, you will learn essential skills and practices, such as employing critical thinking skills to apply key IPPF guidance principles to internal audit challenges, as well as identifying opportunities to improve the efficiency and effectiveness of the internal audit process with process improvement techniques and innovation.
RELATED TOPICS:
• Tools & Techniques I: New Internal Auditor
• Beyond the Basics: Essential Skills and Practices
• The Standards of Internal Audit
• Ethics for Internal Auditors
RELATED TOPICS:
• Tools & Techniques I: New Internal Auditor
• Internal Controls
• Enterprise Risk Management: Elements of the Process
ONLINE ON-SITEDURATION: HALF DAY
04CPEs
DURATION: 2 DAYS
16CPEs
ON-SITEIN-PERSON
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AUDIT REPORT WRITING
OPERATIONAL AUDITING: INFLUENCING POSITIVE CHANGE
FOR: PRACTITIONERSLEVEL: INTRODUCTORY
FOR: MANAGERS, EXECUTIVESLEVEL: INTERMEDIATE
DESCRIPTION:
Persuasive communication is an essential skill high atop CAEs’ and stakeholders’ lists of desired traits for internal auditors at all levels. High-quality audit reports are a key communication tool. This hands-on course will allow you to focus on the content, organization, and structure of audit reports, and utilize case study activities for practicing the basics of audit report writing.
DESCRIPTION:
Organizations are reshaping their strategies to achieve sustainable business growth in new ways and seek value creation through improved operational performance. In this course, you will explore current and emerging business trends and issues across industry sectors, and discover that operational auditing plays an important role in today’s business environment.
RELATED TOPICS:
• Audit Report Quality
• Audit Evidence & Workpapers
• Audit Reports – Communicating Assurance Results
RELATED TOPICS:
• Root Cause Analysis for Internal Auditors
• Analyzing & Improving Business Processes
• Lean Six Sigma Tools for Internal Audit Planning
• Lean Six Sigma Tools for Internal Audit Fieldwork
DURATION: 2 DAYS
16CPEs
DURATION: 2 DAYS
16CPEs
Members Save! Early registration savings and member-only rates – up to 30%! Not a member? Join today and save! www.theiia.org/Join
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ANALYZING & IMPROVING BUSINESS PROCESSES
GETTING TO THE ROOT OF THE MATTER: ROOT CAUSE ANALYSIS TECHNIQUES FOR AUDITORS
FOR: PRACTITIONERSLEVEL: INTRODUCTORY
FOR: PRACTITIONERS. MANAGERSLEVEL: INTERMEDIATE
DESCRIPTION:
Internal auditors are constantly searching for better tools and techniques for business process analysis. This course provides you with methods that can be used in any process analysis engagement and opportunities to apply these methods to real-world scenarios. Learn to conduct analyses at a holistic level — considering the customer and focusing on the associated objectives and risks — to find ways to create efficiencies, analyze work being conducted, or provide better customer service.
DESCRIPTION:
As auditors, we often hear that the “auditor just doesn’t understand my business.” Coworkers can feel this way as a reaction to the proposed action and remediation plan. If an audit team doesn’t perform effective root cause analysis to gain that understanding and buy-in from the audit client, the recommended action oftentimes will not solve the root cause and problems will persist. To add value, an audit must address the root causes of the issues and exceptions identified — not just the symptoms. This course introduces you to the various tools and methodologies used for root cause analysis and how to apply them to the audit process.
RELATED TOPICS:
• Lean Six Sigma Overview for Internal Audit
• Lean Six Sigma Tools for Internal Audit Fieldwork
• Lean Six Sigma Tools for Internal Audit Planning
• Root Cause Analysis for Internal Auditors
RELATED TOPICS:
• Root Cause Analysis for Internal Auditors
• Critical Thinking: An Essential Skill for Internal Audit Success
• Embedding Critical Thinking in the Internal Audit Process
ON-SITEDURATION: 2 DAYS
16CPEs
DURATION: 2 DAYS
16CPEs
ON-SITEIN-PERSON
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LEAN SIX SIGMA TOOLS FOR INTERNAL AUDIT PLANNING
LEAN SIX SIGMA TOOLS FOR INTERNAL AUDIT FIELDWORK
FOR: PRACTITIONERS, MANAGERS, EXECUTIVESLEVEL: INTERMEDIATE
FOR: PRACTITIONERS, MANAGERS, EXECUTIVESLEVEL: INTERMEDIATE
DESCRIPTION:
Business process improvement that follows the Lean Six Sigma methodology uses a defined sequence of steps and has specific value targets, such as reducing costs or improving customer satisfaction. This course links Lean Six Sigma to the internal audit process, and gives you the skills you need to plan an internal audit based on Lean Six Sigma quality management and statistical tools. You will learn to create a project charter that outlines the audit objectives, and use Lean Six Sigma tools like RACI and SIPOC diagrams to map processes. The skills and techniques you learn will help you identify the benefits and challenges of using Lean Six Sigma methods during an audit that can be explored further in the Lean Six Sigma Tools for Internal Audit Fieldwork course.
DESCRIPTION:
Lean Six Sigma is a set of tools used to improve processes by removing the root causes of problems, and minimizing variability in business processes. Lean Six Sigma relies heavily on empirical, statistical methodology, and this course correlates that methodology to the fieldwork phase of internal audit. You will learn to apply Lean Six Sigma tools to enhance audit effectiveness, provide deeper insight into business operations, and identify process streamlining opportunities. As part of the course, you will develop an action plan to apply these concepts and techniques to your internal audit practice. This course reviews the practical application of the Lean Six Sigma Tools for Internal Audit Planning course.
RELATED TOPICS:
• Lean Six Sigma Tools for Internal Audit Fieldwork
• Lean Six Sigma Overview for Internal Audit
• Analyzing & Improving Business Processes
RELATED TOPICS:
• Lean Six Sigma Tools for Internal Audit Planning
• Lean Six Sigma Overview for Internal Audit
• Analyzing & Improving Business Processes
DURATION: 2 DAYS
16CPEs
DURATION: 2 DAYS
16CPEs
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PROJECT MANAGEMENT SKILLS FOR INTERNAL AUDITORS
PERFORMING AN EFFECTIVE QUALITY ASSESSMENT
FOR: MANAGERSLEVEL: INTERMEDIATE
FOR: PRACTITIONERS. MANAGERSLEVEL: INTERMEDIATE
DESCRIPTION:
This course provides you with the skills and techniques necessary to embed project management methods into your internal audit process. Formal project management methodologies can help reduce and alleviate many of the struggles with delays, prioritization, scope, and timeliness that many audits routinely face. The tools and systems shared in this interactive course can be immediately implemented, and real-life examples of failures and successes of project management will be covered to enhance the learning experience through multiple hands-on exercises for you to practice what you learn.
DESCRIPTION:
An organization’s quality monitoring must keep pace with its evolution as a whole. To ensure consistent quality in a dynamic environment, internal audit’s QAIP (quality assurance and improvement program), encompassing both internal and external assessments, can provide evidence to stakeholders that internal audit is efficient, effective, and adding value. This course builds on Building a Sustainable Quality Program, exploring the various types of assessments and how to discern which is right for your situation.
RELATED TOPICS:
• Analyzing & Improving Business Processes
• Best Practices in Internal Auditing
RELATED TOPICS:
• Building a Sustainable Quality Program
ON-SITEDURATION: 2 DAYS
16CPEs
DURATION: 2 DAYS
16CPEs
Not a member? IIA Gift Membership is included with in-person courses.
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ROOT CAUSE ANALYSIS FOR INTERNAL AUDITORS
FOR: PRACTITIONERS, MANAGERS / LEVEL: INTERMEDIATE
DESCRIPTION:
Root cause analysis enhances audit effectiveness, strengthens audit observations reported, and facilitates deeper discussions with management on any identified issues. Root cause analysis uncovers things that happened, identifies why they happened, and determines what changes need to be made to address similar situations in the future. These recommended changes should be adapted to environment, resources, and staff that will carry out the recommendations.
This course provides some of the key root cause analysis tools and techniques that can be utilized in the planning, fieldwork, and reporting phase of an internal audit. These tools can be used apart from or in conjunction with existing audit methodologies, tools, and techniques.
Jimmy Parker leads audits of key processes within the wireless and chief administrative office business areas. He is a Distinguished Faculty Member at The IIA and has facilitated internal audit courses for almost 20 years, including for corporations and government agencies in the U.S. and abroad.
LEAD COURSE DEVELOPER:
Jimmy Parker, CIA, CCSA, CPA, CMA, CFM, CISA, CPIM, Senior Manager of Internal Audit, Verizon Communications
• Analyzing & Improving Business Processes
• Audit Report Writing
RELATED TOPICS:
DURATION: 2 DAYS
16CPEs
ON-SITEIN-PERSON
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UNIVERSITY
FOR: EXECUTIVES / LEVEL: ADVANCED
DESCRIPTION:
Join your executive-level colleagues at Vision University, a unique educational program for chief audit executives (CAEs). Vision University provides you with strategies, best practices, and tools to help you strengthen your audit team and inspire peak performance. The program is facilitated by expert instructors who will guide you and your peers to meet today’s internal auditing challenges.
For more information on how to apply for Vision University, please contact [email protected].
Patty Miller is an experienced internal audit professional with expertise in governance, risk management, and internal control, along with significant consulting and managerial experience in finance, accounting, internal auditing, and risk management. Miller worked with Deloitte & Touche for 14 years before founding her own consulting firm. She has been active in global leadership roles with The IIA and has served as chairman of the International Internal Audit Standards Board. Miller is also a frequent speaker on governance, control, and risk management topics, and has co-authored research projects and articles for the Internal Audit Foundation and Internal Auditor magazine.
RELATED TOPICS:
• Political Pressure
• Breaking Down the Standards for CAEs (Coming Soon)
• Threats to Independence & Objectivity for the CAE (Coming Soon)
LEAD COURSE DEVELOPER:
Patricia K. Miller, CIA, QIAL, CRMA, Founder, PKMiller Risk Consulting, LLC
THIS PROGRAM INCLUDES:
• Proven solutions for real problems, delivered through presentations and small group discussions.
• Ideas and knowledge from expert instructors and guest speakers.
• Techniques to elevate you and your internal audit function to the role of trusted advisor.
• Opportunities to network and build lasting relationships with top executives of major corporations and notable leaders in our profession.
IN-PERSONDURATION: 3 DAYS
27CPEs
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BEST PRACTICES IN INTERNAL AUDITING
BUILDING A SUSTAINABLE QUALITY PROGRAM
FOR: MANAGERSLEVEL: ADVANCED
FOR: MANAGERSLEVEL: INTERMEDIATE
DESCRIPTION:
This course presents a wealth of knowledge from world-class internal audit departments for internal audit managers who want to create or enhance their own value-added practices. You will receive practical and effective evaluation tools and learn how to apply these as well as tailor them to your own organization.
DESCRIPTION:
Building an effective QAIP (quality assurance and improvement program) is similar to establishing a total quality management program, where products and services are analyzed to verify they meet stakeholder expectations, operations are evaluated to determine their efficiency and effectiveness, and practices are assessed to confirm their conformance to standards. This course, based on The IIA’s Quality Manual and taught by those with extensive experience in quality assessments, lays the foundation upon which to construct your organization’s quality activities. It is also a recommended prerequisite to Performing an Effective Quality Assessment.
RELATED TOPICS:
• Root Cause Analysis for Internal Auditors
• Analyzing & Improving Business Processes
RELATED TOPICS:
• Performing an Effective Quality Assessment
ON-SITEDURATION: 2 DAYS
16CPEs
DURATION: 2 DAYS
16CPEs
ON-SITEIN-PERSON
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SMALL AUDIT SHOP: DOING MORE WITH LESS
FINANCIAL AUDITING FOR INTERNAL AUDITORS
FOR: MANAGERSLEVEL: INTERMEDIATE
FOR: PRACTITIONERS, MANAGERSLEVEL: INTERMEDIATE
DESCRIPTION:
This course provides a forum for auditors from small audit departments to discuss challenges and opportunities and share effective practices among group members. This highly interactive session will help you manage challenging issues, take advantage of potential opportunities, and identify a manageable number of practical solutions to improve your small audit function’s capability.
DESCRIPTION:
For internal auditors and managers who want to understand and expand their roles related to financial reporting, as well as those who simply need a refresher on financial accounting, this course is the ideal way to get up to speed. You will explore concepts that go beyond basic accounting and learn how key business processes relate to financial statements, the impact of technology on financial auditing, and how to recognize “red flags” in financial statement reporting.
RELATED TOPICS:
• Best Practices in Internal Auditing
RELATED TOPICS:
• Fraud Detection, Deterrence, and Incident Response for Internal Auditors
• FCPA: Anti-Corruption Overview
• Catching the Bad Guys: Fraud Auditing for Internal Auditors
ON-SITEDURATION: 2 DAYS
16CPEs
DURATION: 2 DAYS
16CPEs
ON-SITEIN-PERSON
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CGAP EXAM PREP PROGRAM
FOR: PRACTITIONERS, MANAGERS / LEVEL: INTERMEDIATE
DESCRIPTION:
This four-course self-study program prepares you to sit for the Certified Government Auditing Professional® (CGAP®) exam. The program is based on source materials from The IIA, as well as the latest expertise on the roles and expectations of government auditors in the current era of enhanced accountability in the public sector.
Tom O’Connor spent 34 years in various senior auditor positions in the federal government at the U.S. Government GAO, the U.S. Agency for International Development (USAID), and the U.S. Peace Corps. His extensive experience in financial and performance auditing, evaluation, and investigation has made him a highly effective subject matter expert and instructor in presenting courses throughout the U.S. and in over 60 countries.
LEAD COURSE DEVELOPER:
Thomas F. O’Connor, CIA, CGAP, CRMA, CGFM, CPA, CMA, CFE, CDFM
THE CGAP EXAM PREP PROGRAM COMPRISES:
• Domain I: Standards, Governance, and Risk and Control Frameworks
• Domain II: Government Auditing Practice
• Domain III: Government Auditing Skills and Techniques
• Domain IV: Government Auditing Environment
ON DEMAND
RELATED TOPICS:
• CGAP Domain I: Standards, Governance, and Risk and Control Frameworks
• CGAP Domain II: Government Auditing Practice
• CGAP Domain III: Government Auditing Skills and Techniques
• CGAP Domain IV: Government Auditing Environment
09CPEs
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EPCIA LEARNING SYSTEM COMPREHENSIVE
INSTRUCTOR-LED COURSE — PART 1
FOR: PRACTITIONERS / LEVEL: INTERMEDIATE
DESCRIPTION:
The Certified Internal Auditor® (CIA®) credential is the only globally accepted professional certification for internal auditors and remains the standard by which individuals demonstrate their competency and professionalism in the internal audit field. The CIA exam preparation courses provide CIA candidates, internal auditors seeking professional development, and students in accounting, business, or financial degree programs with a comprehensive review of the first part of the CIA exam. Taking this course prepares an internal auditor to take Part 1 of the three-part CIA Exam, and, upon successfully passing the exam, applying for the Internal Audit Practitioner designation.
RELATED TOPICS:
• CIA Learning System Comprehensive Instructor-led Course – Part II
• CIA Learning System Comprehensive Instructor-led Course – Part III
• Fundamentals of IT Auditing
• Enterprise Risk Management: Elements of the Process
DURATION: 2 DAYS
19.5CPEs
Now aligned with the 2017 updated edition of the International Professional Practices Framework® (IPPF®). These materials cover the entire global CIA exam syllabus, and allow you to create a customized SmartStudyTM plan that’s mobile-optimized, so you can study anywhere, at any time.
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ADVANCED PROCESS SAFETY MANAGEMENT
AUDITING ENVIRONMENTAL COMPLIANCE
FOR: PRACTITIONERSLEVEL: INTERMEDIATE
FOR: PRACTITIONERSLEVEL: INTERMEDIATE
DESCRIPTION:
This course is targeted to those who are familiar with Process Safety Management (PSM) regulatory requirements and who now need to conduct PSM audits. In-house EHS auditors and third-party auditors will benefit from understanding the requirements of these complex regulations.
DESCRIPTION:
Nearly every industry today incorporates sustainabil-ity initiatives, nonfinancial reporting, and monitoring environmental risks. This course serves as preparatory training for those working to obtain the Certified Professional Environmental Auditor® (CPEA®) credential. It is also an excellent refresher for those who want to enhance their environmental auditing skills.
RELATED TOPICS:
• Introduction to Process Safety Management and Risk Management Plans
• Fundamentals of Environmental Auditing for Internal Auditors
RELATED TOPICS:
• Fundamentals of Environmental Auditing for Internal Auditors
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DURATION: 2 DAYS
16CPEs
DURATION: 2 DAYS
16CPEs
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FETYAUDITING HEALTH
AND SAFETY COMPLIANCE
CONSTRUCTION ACTIVITY: AUDIT STRATEGIES
FOR: PRACTITIONERSLEVEL: INTERMEDIATE
FOR: PRACTITIONERSLEVEL: INTERMEDIATE
DESCRIPTION:
This course has been designed to provide auditors with health and safety audit skills consistent with updated auditing performance practices and standards from the Board of Environmental, Health & Safety Auditor Certifications® (BEAC®). It is also a preparatory course for those working to obtain the Certified Professional Environmental Auditor® (CPEA®) credential.
DESCRIPTION:
Capital construction projects can create significant exposure for organizations that may be unaware of the risks associated with excessive cost, project delays, and quality issues. This course reviews detailed audit strategies to address the risk and exposure in each phase of the life cycle, with emphasis on the construction project delivery and compensation methodologies.
RELATED TOPICS:
• Fundamentals of Environmental Auditing for Internal Auditors
• Environmental, Health and Safety Lead Auditor
RELATED TOPICS:
• Project Management Skills for Internal Auditors
[email protected] • +1-407-937-1111 19
DURATION: 2 DAYS
16CPEs
DURATION: 2 DAYS
16CPEs
See dates and locations on the Course Matrix, located at the end of the catalog.
ON-SITEIN-PERSON ON-SITEIN-PERSON
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FETY ENVIRONMENTAL,
HEALTH AND SAFETY AUDIT SKILLS
ENVIRONMENTAL, HEALTH AND SAFETY LEAD AUDITOR
FOR: PRACTITIONERSLEVEL: INTERMEDIATE
FOR: MANAGERSLEVEL: INTERMEDIATE
DESCRIPTION:
This flagship course focuses on the key competencies auditors need to enhance their environmental, health and safety (EHS) auditing skills. All course materials are consistent with recognized auditing performance practices and standards from certification organizations such as the Board of Environmental, Health & Safety Auditor Certifications® (BEAC®) and the International Organization for Standardization (ISO).
DESCRIPTION:
This one-day course is focused on preparing you to lead environmental, health and safety (EHS) audits, including compliance audits and management systems assessments, whether you work as an in-house EHS auditor or as a third-party auditor.
RELATED TOPICS:
• Fundamentals of Environmental Auditing for Internal Auditors
• Environmental, Health and Safety Lead Auditor
RELATED TOPICS:
• Fundamentals of Environmental Auditing for Internal Auditors
• Auditing Health and Safety Compliance
20 [email protected] • +1-407-937-1111
DURATION: 1.5 DAYS
12CPEs
DURATION: 1 DAY
08CPEs
ON-SITEIN-PERSON ON-SITEIN-PERSON
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FETYFUNDAMENTALS
OF ENVIRONMENTAL AUDITING FOR INTERNAL AUDITORS
INTRODUCTION TO PROCESS SAFETY MANAGEMENT AND RISK MANAGEMENT PLANS
FOR: PRACTITIONERSLEVEL: INTERMEDIATE
FOR: PRACTITIONERSLEVEL: INTERMEDIATE
DESCRIPTION:
This course uses a mix of facilitator presentations, case studies, and group exercises to improve your knowledge of the types of EHS issues and concerns faced by both public and private organizations today. Participants will have an opportunity to increase understanding of the strategies available to provide assurance that the EHS control processes in place within your organization are effective.
DESCRIPTION:
This course focuses on the OSHA Process Safety Management (PSM) Standard (29 CFR 1910.119) and the EPA Chemical Accident Prevention Provisions (commonly known as the Risk Management Plan), or RMP Rule, 40 CFR 68.
Course materials are designed to enhance professional growth and education for environmental, health and safety (EHS) auditors who are responsible for auditing PSM and RMP compliance, and to assist you in your preparation for BEAC® auditor certification as a Certified Process Safety Auditor® (CPSA®).
RELATED TOPICS:
• Environmental, Health and Safety Audit Skills
RELATED TOPICS:
• Advanced Process Safety Management
[email protected] • +1-407-937-1111 21
DURATION: 2 DAYS
16CPEs
DURATION: 1 DAY
08CPEs
Looking for training for your team? Talk to a team development consultant today about tailored group programs and savings on all training at +1-407-937-1388 or [email protected].
ON-SITEIN-PERSON ON-SITEIN-PERSON
FRA
UD
FRAUD DETECTION, DETERRENCE, AND INCIDENT RESPONSE FOR INTERNAL AUDITORS
MEMBERSHIP MEANS MORE.
FOR: PRACTITIONERSLEVEL: INTERMEDIATE
DESCRIPTION:
For many auditors, management’s anti-fraud expectations exceed the audit team’s capability to deliver. Result: a challenging gap to fill and difficult decisions to be made regarding the application of scarce resources as well as managing stakeholder expectations.
This program will show you how to close that gap. You will learn a comprehensive anti-fraud response that will fit in any organizational setting, as well as discover how to build a tailored battle plan for fighting fraud. Step-by-step instructions will allow you to meet and exceed your professional obligations to objectivity and independence while leading management through what it must do to foster an anti-fraud environment.
RELATED TOPICS:
• FCPA: Anti-Corruption Overview
• Auditing Culture: Challenges and Proven Techniques
• Catching the Bad Guys: Fraud Auditing for Internal Auditors
• Cybersecurity Auditing in an Unsecure World
• Risk Fraud and Illegal Acts
22 [email protected] • +1-407-937-1111
DURATION: 2 DAYS
16CPEs
The IIA offers multiple membership types to fit your professional and career goals, and groups of three or more individuals can get a Group Membership and save even more. Connect with more than 190,000 worldwide members of The IIA by joining today at www.theiia.org/Join.
As a member of The IIA, you receive exclusive access to the premier standards-setting and guidance-producing organization for the internal audit profession. Your membership includes a number of free benefits and select discounts on training, certification, books, and other items. Benefits include, among others:
• Certifications and Qualifications. Develop your career by earning professional internal audit credentials with member-savings.
• Complimentary CPE Reporting. Report your CPEs and maintain your certification with no annual fees (exclusions apply).
• Training and Events. Take advantage of special discounts for conferences and training events along with complimentary monthly members-only webinars with CPE credit.
• Publications. Access the leading publication covering the internal audit profession, Internal Auditor magazine, as well as newsletters, blogs, and more.
ON-SITEIN-PERSON
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[email protected] • +1-407-937-1111 23
COSO INTERNAL CONTROL CERTIFICATE
FOR: PRACTITIONERS, MANAGERS / LEVEL: INTERMEDIATE
DESCRIPTION:
This course offers you a unique opportunity to develop expertise in designing, implementing, and conducting an internal control system. This 25.5-credit program takes you through the COSO Internal Control – Integrated Framework (Framework) from start to finish and, through the use of real-world scenarios, allows you to understand the principles-based approach, identify and analyze risks, develop confidence in the internal control system, and learn from experts as well as share your experiences with your peers. Upon completion of the course, you will be eligible to sit for the exam and earn your COSO Internal Control Certificate.
RELATED TOPICS:
• COSO Based Auditing: Overview
• COSO Based Auditing: Risk Assessment
• COSO Based Auditing: Auditing for Control ActivitiesON-SITEON DEMANDDURATION: 3 DAYS
25.5CPEs
IN-PERSON
Not a member? IIA Gift Membership is included with in-person courses.
GO
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L ASSESSING RISK: ENSURING INTERNAL AUDIT’S VALUE
ENTERPRISE RISK MANAGEMENT: ELEMENTS OF THE PROCESS
FOR: MANAGERSLEVEL: INTERMEDIATE
FOR: PRACTITIONERS, MANAGERSLEVEL: INTERMEDIATE
DESCRIPTION:
This course provides practical insights related to contemporary best practices of risk assessment activities and enables you to apply what you learn so that you can implement effective risk assessment activities at your own organization. This training walks you through the fundamentals of risk assessment; nuances such as audit universe, risk appetite, and fraud; and the challenges of implementation. It also addresses skill gaps many internal auditors struggle with, such as how to develop risk assessment frameworks and how to select or construct a risk ranking system.
DESCRIPTION:
Enterprise risk management (ERM) is oftentimes an overlooked or under-implemented function, leaving organizations vulnerable and unprepared. This course will provide you with the fundamental concepts necessary to understand this function. You will acquire knowledge of the evolutionary and fluid process of developing, implementing, and evaluating ERM. You will also learn how to monitor risk at an enterprisewide level, as well as the application techniques necessary for implementing the process within your organization.
RELATED TOPICS:
• Risk Management
• Risk-based Auditing: A Value Add Proposition
• Enterprise Risk Management: Elements of the Process
24 [email protected] • +1-407-937-1111
DURATION: 2 DAYS
16CPEs
RELATED TOPICS:
• Risk Management
• Value-Added Business Controls: The Right Way to Manage Risk
• Assessing Risk: Ensuring Internal Audit’s Value
• Risk-based Auditing: A Value Add Proposition
DURATION: 2 DAYS
16CPEs
ONLINE ON-SITEIN-PERSONON-SITEIN-PERSON
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LRISK-BASED AUDITING: A VALUE ADD PROPOSITION
VALUE-ADDED BUSINESS CONTROLS: THE RIGHT WAY TO MANAGE RISK
FOR: MANAGERSLEVEL: INTERMEDIATE
FOR: PRACTITIONERSLEVEL: INTRODUCTORY
DESCRIPTION:
Successful audit leaders know that as the operating environment becomes more globalized for the majority of organizations, events halfway around the world could have unintended impacts and consequences at home. This course will open your eyes to being aware of risks that might be outside the usual parameters of your organization or your industry but that may need to make their way onto management’s radar to create a truly risk-based audit plan
DESCRIPTION:
Effective control systems are critical to mitigating a business’s risk. This course will provide an introduction to assessing risks and designing controls to fit these risks. You will develop a foundation of internal control design based on a risk assessment to ensure you can identify and analyze controls during an audit.
RELATED TOPICS:
• Risk Management
• Assessing Risk: Ensuring Internal Audit’s Value
• Enterprise Risk Management: Elements of the Process
• Value-added Business Controls: The Right Way to Manage Risk
RELATED TOPICS:
• Risk Management
• Assessing Risk: Ensuring Internal Audit’s Value
• Enterprise Risk Management: Elements of the Process
• Risk-based Auditing: A Value Add Proposition
[email protected] • +1-407-937-1111 25
DURATION: 2 DAYS
16CPEs
DURATION: 2 DAYS
16CPEs
ONLINE ON-SITEIN-PERSON ONLINE ON-SITEIN-PERSON
GO
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L AUDITING CULTURE: CHALLENGES AND PROVEN TECHNIQUES
FOR: PRACTITIONERS, MANAGERSLEVEL: INTERMEDIATE
DESCRIPTION:
Systemic cultural deficiencies are often at the root of unethical behavior and underpin the kinds of practices that have caused major corporate scandals in recent years. One study cites over 90 percent of CEOs and CFOs as seeing culture as critical and believing that improving it would increase organizational value. Culture proves difficult to audit because it is intangible and defies traditional audit methods, but it can be done. This course offers proven methods and techniques to adapt to your organization.
RELATED TOPICS:
• Tools & Techniques II: Lead Auditor
• Tools & Techniques III: Audit Manager
26 [email protected] • +1-407-937-1111
DURATION: 2 DAYS
16CPEs
REGISTER EARLY AND SAVE!
The IIA delivers quality internal audit training in a variety of ways, including in-person, online, on-site, and on-demand. Members gain added savings, access to tools, guidance, publications, and can build lasting relationships and networks with fellow participants. Learn more about training savings at www.theiia.org/Training.
ONLINE ON-SITEIN-PERSON
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COMMUNICATION AND NEGOTIATION SKILLS FOR THE 21ST CENTURY AUDITOR
INTERVIEWING TECHNIQUES FOR SUCCESSFUL AUDITS
FOR: PRACTITIONERSLEVEL: INTERMEDIATE
FOR: PRACTITIONERS, MANAGERSLEVEL: INTRODUCTORY
DESCRIPTION:
Skilled communication, including the art of negotiation, can be the difference between success and failure in auditing — or in business itself. Tools, techniques, and perceptions will be reviewed, discussed, and practiced in this training to enable internal auditors to meet stakeholder expectations more successfully. This course is recommended for auditors who may be technically proficient, but desire to polish their soft skills necessary for success.
DESCRIPTION:
Having strong interviewing skills is an essential element for gathering audit evidence to support audit conclusions. That includes staying on track, summarizing important insights, and asking key follow-up questions. This course helps you develop interview skills, prepare for difficult interviews, and provides ways to strengthen your current skills. Use of the tips, techniques, and tools provided will enable you to become a more effective interviewer.
RELATED TOPICS:
• Risk Management
• Assessing Risk: Ensuring Internal Audit’s Value
• Enterprise Risk Management: Elements of the Process
RELATED TOPICS:
• Communication Basics
• Communication Skills for Auditors
• Communication and Negotiation Skills for the 21st Century Auditor
[email protected] • +1-407-937-1111 27
DURATION: 2 DAYS
16CPEs
DURATION: 1 DAY
08CPEs
ON-SITE ON-SITE
THE EFFECTIVE AUDITOR: UNDERSTANDING AND APPLYING EMOTIONAL INTELLIGENCE
RELATIONSHIPS, INTERPERSONAL SKILLS, AND AUDITING: BECOMING A TRUSTED ADVISOR
FOR: PRACTITIONERS, MANAGERS, EXECUTIVES LEVEL: INTERMEDIATE
FOR: PRACTITIONERS, MANAGERS, EXECUTIVES LEVEL: INTERMEDIATE
DESCRIPTION:
Auditors need specific technical skills to be successful in their jobs, but that’s only half the picture. They must be able to deal with all kinds of people, too. In this course, you will learn to improve your effectiveness by identifying the communication style of others, allowing you to tailor your delivery to their method of receiving, use empathy to build engagement with team members, improve listening skills to uncover hidden information, and enhance your emotional intelligence to increase your communication effectiveness.
DESCRIPTION:
The ultimate goal of any internal auditor, regardless of career stage, is to become a trusted advisor — someone to whom others look for counsel and advice, a trusted confidante who will listen when times get difficult. During the course, you will learn the why and how of developing relationships that will assist you in becoming a trusted advisor. Tips, techniques, and reference materials will assist you in personal and team development, impacting effectiveness positively.
RELATED TOPICS:
• Communication Basics
• Communication Skills for Auditors
RELATED TOPICS:
• Leadership Skills for Auditors
• The Effective Auditor: Understanding and Applying Emotional Intelligence
28 [email protected] • +1-407-937-1111
SO
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DURATION: 2 DAYS
16CPEs
DURATION: 1 DAY
08CPEs
Members Save! Early registration savings and member-only rates – up to 30%! Not a member? Join today and save! www.theiia.org/Join
ON-SITEON-SITEIN-PERSON
LEADERSHIP SKILLS FOR AUDITORS
CRITICAL THINKING: AN ESSENTIAL SKILL FOR INTERNAL AUDIT SUCCESS
FOR: MANAGERSLEVEL: INTERMEDIATE
FOR: PRACTITIONERS, MANAGERSLEVEL: INTERMEDIATE
DESCRIPTION:
Learn tools and techniques for cultivating and maintaining an effective and efficient team, while keeping you motivated and efficient through the entire audit process. Seasoned facilitators will utilize various teaching methods and provide valuable input on understanding human behavior, helping you focus on the needs of individuals and improve communication abilities within an audit team as well as with stakeholders.
DESCRIPTION:
The ability to employ critical thinking skills is one that continually appears at the top of every CAE’s wish list of their staff’s attributes. This course provides tools and techniques, such as mind mapping, that auditors can use in evidence gathering and supporting findings and audit conclusions. This course will cover how to apply critical thinking skills to all phases of an audit, as well as how to use critical thinking skills to strengthen audit results.
RELATED TOPICS:
• The Effective Auditor: Understanding and Applying Emotional Intelligence
• Relationships, Interpersonal Skills, and Auditing: Becoming a Trusted Advisor
RELATED TOPICS:
• Audit Evidence & Professional Judgment: How to Effectively Use Critical Thinking
• Embedding Critical Thinking in the Internal Audit Process
IN-PERSON
[email protected] • +1-407-937-1111 29
SO
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DURATION: 1 DAY
08CPEs
DURATION: 4 DAYS
32CPEs
ON-SITEIN-PERSON
AUDIT EVIDENCE & PROFESSIONAL JUDGMENT: HOW TO EFFECTIVELY USE CRITICAL THINKING
EMBEDDING CRITICAL THINKING IN THE INTERNAL AUDIT PROCESS
FOR: PRACTITIONERS, MANAGERS, EXECUTIVES LEVEL: INTERMEDIATE
FOR: PRACTITIONERS, MANAGERS, EXECUTIVES LEVEL: INTERMEDIATE
DESCRIPTION:
Designed for auditors and management with at least two years’ experience, this course explores the propriety of audit evidence, its quality and quantity, and whether it supports the audit objective — and more importantly, the audit conclusion. This course will provide techniques to develop critical thinking methods and apply them to audit evidence gathering and analysis. Participants will have the opportunity to compare examples of strong and weak evidence and practice new skills.
DESCRIPTION:
Auditors are expected to be open-minded and analytical thinkers. Teaching auditors to utilize critical thinking skills throughout the audit process strengthens their ability to identify and assess risk, prioritize testing, align audit objectives with business objectives, and identify true value-add activities. This course will guide your use of critical thinking skills in risk assessment, interviewing, audit evidence gathering, root cause analysis, and report writing.
RELATED TOPICS:
• Critical Thinking: An Essential Skill for Internal Audit Success
• Embedding Critical Thinking in the Internal Audit Process
RELATED TOPICS:
• Audit Evidence & Professional Judgment: How to Effectively Use Critical Thinking
• Critical Thinking: An Essential Skill for Internal Audit Success
30 [email protected] • +1-407-937-1111
SO
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DURATION: 2 DAYS
16CPEs
DURATION: 2 DAYS
16CPEs
ON-SITEON-SITE
[email protected] • +1-407-937-1111 31
DURATION: HALF DAY
04CPEs
NEW
SUCCESSION PLANNING: LEVERAGING AND INFLUENCING MILLENNIALS AND OTHER GENERATIONS
FOR: MANAGERS, EXECUTIVES / LEVEL: INTERMEDIATE
DESCRIPTION:
This course cultivates the best in millennials and other generations by showing you how to embrace and leverage generational differences within your organization as it relates to the audit function. Special focus is placed on how millennials and other generations affect succession planning and organizational performance. You will learn key strategies to produce quality outcomes within an age-diverse audit staff.
RELATED TOPICS:
• The Effective Auditor: Understanding and Applying Emotional Intelligence
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LS
Ed Robinson is a thought leader and recognized expert in the areas of leadership development and revenue growth. For more than 30 years, he has been transforming professionals into leaders and leaders into rainmakers. As a Certified Speaking Professional (CSP), business growth coach and former CPA, Robinson has shared his insights with hundreds of leading organizations across the globe. His winning strategies, paired with his engaging delivery style, motivate audiences to embrace change.
LEAD COURSE DEVELOPER:
Ed Robinson
ONLINE
TEC
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GY CYBERSECURITY AUDITING IN
AN UNSECURE WORLD
FOR: PRACTITIONERS, MANAGERS, EXECUTIVES / LEVEL: INTRODUCTORY
DESCRIPTION:
Cybersecurity issues present grave risks beyond IT security. A severe breach can be costly enough to sink a company or substantially impact its shareholder value, oust its leadership, potentially bury its reputation, and worse. Developed by leading industry experts, this course views cybersecurity from preventive, detective, and corrective angles, and applying audit processes and protections to the cloud and today’s ever-present mobile devices.
32 [email protected] • +1-407-937-1111
DURATION: 2 DAYS
16CPEs
RELATED TOPICS:
• Fundamentals of IT Auditing
• Audit Recovery Processes
Daimon Geopfert specializes in penetration testing, vulnerability and risk management, security monitoring, incident response, digital forensics and investigations, and compliance frameworks within heavily regulated industries. He has more than 20 years of experience in a wide array of information security disciplines. Geopfert serves as RSM’s national leader for the security and privacy practice, responsible for the development of the firm’s overall strategy related to security and privacy services and applicable methodologies, toolkits, and engagement documentation.
LEAD COURSE DEVELOPER:
Daimon Geopfert, Principal, National Leader of Security and Privacy Services, RSM
Looking for training for your team? Talk to a team development consultant today about tailored group programs and savings on all training at +1-407-937-1388 or [email protected].
ONLINE ON-SITEIN-PERSON
[email protected] • +1-407-937-1111 33
DURATION: 2 DAYS
16CPEs
DURATION: 3 DAYS
24CPEs
RELATED TOPICS:
• Fundamentals of IT Auditing
• Audit Recovery Processes
FUNDAMENTALS OF IT AUDITING
DATA ANALYSIS AND SAMPLING
FOR: PRACTITIONERS, MANAGERS, EXECUTIVESLEVEL: INTRODUCTORY
FOR: PRACTITIONERS, MANAGERS, EXECUTIVESLEVEL: INTERMEDIATE
DESCRIPTION:
The continued advent of technology means that to be fully effective and focused on the areas of greatest return, auditors can no longer afford to ignore IT auditing. Even without technical knowledge, auditors can and should develop knowledge of basic IT audit concepts that can be used to facilitate integrated audits. After this course, internal auditors will be able to perform an audit of IT applications supporting key business processes and perform a risk assessment and evaluation of controls over end-user computer applications.
DESCRIPTION:
Appropriate for practitioners in the public or private sector, this course explores the challenges in selecting the most appropriate sampling methods, calculating and adjusting sample size, and integrating this knowledge into audit planning and reporting. It will also review properly reducing large data sets down to critical subsets based on risk or importance, which sampling method is most appropriate depending on the situation, and estimating the sample size to get the most information at the lowest cost.
RELATED TOPICS:
• Cybersecurity Auditing in an Unsecure World
RELATED TOPICS:
• Data Analysis for Internal Auditors
• Implementing Data Analytics in Internal Audit
• Defining Populations for Data Analytics
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ONLINE ON-SITEIN-PERSON ON-SITEIN-PERSON
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INTERNAL AUDITORS
FOR: PRACTITIONERS, MANAGERS, EXECUTIVES / LEVEL: INTERMEDIATE
DESCRIPTION:
Executing a cost-effective and value-added audit requires an understanding of population analysis. Without this knowledge, you run the risk of spreading your resources and your sampling over low-risk subsets of the population. This could result in crucial data not being collected. In this course, you will learn when and how to use population analysis in the planning phase of the audit and how to identify subsets of the population that behave differently from a benchmark data set.
34 [email protected] • +1-407-937-1111
DURATION: 1 DAY
08CPEs
Don Dickie is a professional statistician who has spent significant time in internal audit. This experience has provided a unique opportunity to understand how the needs of the auditor can be addressed through the appropriate use of statistical sampling techniques. Since 2003, Dickie has developed and taught seminars for internal auditors that specialize in various methods of random and nonrandom selection, the calculation of sample size, and development of risk-based sampling strategies that minimize cost and maximize information.
LEAD COURSE DEVELOPER:
Don Dickie, CIA, CCSA
RELATED TOPICS:
• Data Analysis and Sampling
• Implementing Data Analytics in Internal Audit
• Defining Populations for Data AnalyticsONLINE ON-SITEIN-PERSON
[email protected] • +1-407-937-1111 35
DURATION: 2 DAYS
16CPEs
DURATION: 2 DAYS
16CPEs
ON-SITE
IMPLEMENTING DATA ANALYTICS IN INTERNAL AUDIT
STATISTICAL SAMPLING FOR INTERNAL AUDITORS
FOR: PRACTITIONERS, MANAGERSLEVEL: INTERMEDIATE
FOR: PRACTITIONERS, MANAGERS, EXECUTIVESLEVEL: INTRODUCTORY
DESCRIPTION:
Data analytics programs can provide the opportunity for an audit function to add value to their organization, enhance assurance for audits, fraud detection, and Sarbanes-Oxley testing. It is also an excellent basis for fraud detection programs, allowing audit and fraud teams to identify potential fraud without having to “sample” large quantities manually to detect fraud and fraud patterns. However implementing an effective program can pose a significant challenge. This course lays the groundwork of how to develop a functional data analytics program.
DESCRIPTION:
Knowing which method of sampling is most appropriate for different situations, estimating the sample size needed to provide the desired confidence level, and assigning sample size strategically to get the most information at the lowest cost are critical steps to executing a successful audit. This course, appropriate for public and private sector auditors, covers methods of random sampling and non-random selection, adjusting for population size and resource constraints, how to combine results and extrapolate, and what to report.
RELATED TOPICS::
• Data Analysis and Sampling
• Data Analysis for Internal Auditors
• Defining Populations for Data Analytics
RELATED TOPICS:
• Data Analysis and Sampling
• Data Analysis for Internal Auditors
• Defining Populations for Data Analytics
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Not a member? IIA Gift Membership is included with in-person courses.
ONLINE ON-SITEIN-PERSON
ON DEMAND TRAINING
IIA OnDemand Training offers the flexibility to learn at your own pace. With an extensive library of high-quality courses reviewing everything from audit fundamentals through topics like data analysis and exam preparation, up to executive development, you can find the courses that fit your needs while maintaining your busy schedule.
IIA OnDemand Training courses are relevant and convenient, providing you with a time-efficient and cost-effective way to get the internal audit and professional skills training you need anytime, anywhere.
Self-paced, online training platform to take anytime, anywhere, and at your own speed:
• Assurance Engagement Communications
• Audit Engagement Fundamentals (4 Courses)
• Audit Evidence & Workpapers
• Audit Recovery Processes
• Audit Report Quality
• Audit Reports – Communicating Assurance Results
• CAATs, Data Mining, and Other Internal Audit Activities
• CGAP Exam Prep Program
• Communication Basics
• Conducting the Assurance Engagement
• COSO Based Auditing: Auditing for Control Activities
• COSO Based Auditing: Overview
• COSO Based Auditing: Risk Assessment
• COSO Internal Control Certificate
• Data Analysis Overview
• Data Sampling
• Defining Populations for Data Analytics
• Ethics for Internal Auditors
• FCPA: Anti-Corruption Overview
• Governance Overview
• IIA Internal Audit Essentials (14 Courses)
• IIA Onboarding (10 Courses)
• Internal Controls
• Introduction to Internal Auditing
• Introduction to the Engagement Process
• Lean Six Sigma Overview for Internal Audit
• Logical Security (2 Courses)
• Logical Security: Application, Database, and Operating System Layers
• Logical Security: The Network Layer
• Risk Fraud and Illegal Acts
• Risk Management
• The Consulting Engagement
• The Standards of Internal Audit
We are always adding to our portfolio. For full details and to check out the latest course offerings visit www.theiia.org/OnDemand.
GROUP TRAINING SOLUTIONS
Organizations with a need to train multiple team members can take advantage of group training solution through The IIA. Our Group Training Solutions consultants will deliver a training program based on your organization’s priorities, the needs of your staff, and the learning objectives you set.
Your group training consultant can provide group training packages for all training: on-site, in-person, on-demand and online courses, as well as CIA exam preparation. We can provide a package with savings and convenience to support your entire team’s training needs.
Your consultant will conduct a detailed needs analysis of your team, collaborating with The IIA’s instructional designers to develop a training outline. Your consultant will:
• Conduct a detailed needs analysis to understand your challenges.
• Match your team with a skilled facilitator who specializes in the specific training you need.
• Collaborate with IIA instructional designers and your facilitator to present a proposed training outline.
Group Training Solutions helps you control costs and reduce your staff’s downtime by bringing The IIA’s industry-leading training to you.
FOR A COMPLIMENTARY CONSULTATION, contact us +1-407-937-1388 or [email protected], or visit www.theiia.org/TeamDev
All courses subject to change without notice. For more information about upcoming courses, visit www.theiia.org/events.
2017 COURSE MATRIX Online Oct.
Washington DC Oct. 17–20
Toronto Oct. 23–25
San DiegoOct. 24–27
Online Nov.
Chicago Nov. 7–10
Chicago Nov. 13–15
Las Vegas Nov. 14–17
OnlineDec.
New YorkDec. 5–8
Denver Dec. 5–8
Orlando Dec. 11–14
Austin Dec. 12–15
AUDIT FUNDAMENTALS
Analyzing and Improving Business Processes Oct. 19–20 Nov. 9–10
Audit Report Writing Oct. 26–27 Nov. 7–16 Nov. 14–15
Beyond the Basics: Essential Skills and Practices Dec. 11–12
Fundamentals of Internal Auditing Dec. 18
Lean Six Sigma Tools for Internal Audit Fieldwork Oct. 3–12
Lean Six Sigma Tools for Internal Audit Planning Dec. 5–14
Operational Auditing: Influencing Positive Change Oct. 17–26 Oct. 26–27 Nov. 9–10
Performing an Effective Quality Assessment Nov. 7–16 Dec. 7–8
Root Cause Analysis for Internal Auditors Oct. 19–20 Oct. 24–25 Nov. 7–8 Nov. 14–15 Dec. 7–8 Dec. 13–14 Dec. 12–13
Tools and Techniques I: New Internal Auditor Oct. 17–20 Oct. 24–27 Nov. 7–10 Nov. 14–17 Dec. 5–8 Dec. 5–8 Dec. 11–14 Dec. 12–15
Tools and Techniques II: Lead Auditor Oct. 17–20 Nov. 7–10 Nov. 14–17 Dec. 5–8 Dec. 5–8 Dec. 11–14 Dec. 12–15
Tools and Techniques III: Audit Manager Oct. 17–20 Nov. 7–10 Nov. 14–17 Dec. 5–8 Dec. 12–15
AUDIT MANAGEMENT
Financial Auditing for Internal Auditors Oct. 17–18
CIA AND OTHER EXAM PREPARATION
CIA Learning System Comprehensive Instructor–led Course – Part 1 Nov. 27–Dec. 15
CIA Learning System Comprehensive Instructor–led Course – Part 2 Oct. 2–18
CIA Learning System Comprehensive Instructor–led Course – Part 3 Nov. 1–27
ENVIRONMENTAL, HEALTH AND SAFETY
Construction Activity: Audit Strategies Dec. 5–6
Environmental, Health and Safety Audit Skills Dec. 5–6
EXECUTIVE DEVELOPMENT
Vision University Oct. 23–25 Nov. 13–15
FRAUD
Fraud Detection, Deterrence, and Incident Response for Internal Auditors Dec. 5–6
GOVERNANCE, RISK, AND CONTROL
Assessing Risk: Ensuring Internal Audit’s Value Oct. 17–18 Oct. 23–24 Dec. 6–15 Dec. 13–14
COSO Internal Control Certificate Nov. 14–16 Dec. 5–7 Dec. 12–14
Enterprise Risk Management: Elements of the Process Nov. 7–8 Dec. 5–14 Dec. 5–6 Dec. 5–6 Dec. 11–12 Dec. 14–15
SOFT SKILLS
Communication Skills for Auditors Dec. 5–8
Critical Thinking in the Audit Process Dec. 13–14
Leadership Skills for Auditors Oct. 24–27 Dec. 11–14
Succession Planning: Leveraging and Influencing Millennials and Other Generations Dec. 19–20
The Effective Auditor: Understanding and Applying Emotional Intelligence Dec. 7–8
TECHNOLOGY
Cybersecurity Auditing in an Unsecure World Oct. 19–20 Oct. 26–27 Nov. 6–15 Nov. 16–17 Dec. 13–14
Data Analysis and Sampling Nov. 8–10
Data Analysis for Internal Auditors Nov. 29–30
Fundamentals of IT Auditing Oct. 2–11 Oct. 17–18 Oct. 24–25 Dec. 4–13 Dec. 11–12
IT General Controls Nov. 28–30
IIA TrainingCourse Matrix
2018 COURSE MATRIX OnlineJan.
OnlineFeb.
Orlando Feb.
Phoenix Feb. 13–16
Online March
San FranciscoMarch 6–9
Boston March 20–23
Online April
OrlandoApril 3–6
New YorkApril 10–13
ChicagoApril 24–27
Online May
Philadelphia May
Las VegasMay 1–4
Washington DCMay 8–11
San FranciscoMay 15–18
Online June
DallasJune 5–8
Las Vegas June 12–15
Online July
Orlando July 17–20
Online Aug.
Chicago Aug. 7–10
Boston Aug. 28–31
Online Sept.
San Diego Sept.
DallasSept. 11–14
New York Sept. 25–28
Online Oct.
Chicago Oct. 9–12
Washington DC Oct. 16–19
San AntonioOct. 23–26
Online Nov.
Austin Nov.
San Diego Nov. 6–9
Las Vegas Nov. 13–16
Online Dec.
Orlando Dec. 4–7
New York Dec. 11–14
AUDIT FUNDAMENTALS
Analyzing and Improving Business Processes Feb. 13–14 April 3–4 April 10–11 May 15–16 Aug. 7–8 Oct. 16–17 Oct. 23–24 Nov. 6–7 Dec. 11–12
Audit Report Writing Jan. 22–31 March 5–14 April 12–13 April 24–25 May 1–10 May 3–4 May 17–18 Aug. 13–22 Aug. 9–10 Aug. 30–31 Oct. 18–19 Nov. 6–15
Beyond the Basics: Essential Skills and Practices April 26–27 July 19–20 Sept. 13–14 Nov. 8–9
Fundamentals of Internal Auditing Feb. 27 May 24 July 18 Aug. 22 Sept. 26 Nov. 20
Lean Six Sigma Tools for Internal Audit Fieldwork April 17–26 May 7–16 Aug. 20–29 Oct. 9–18
Lean Six Sigma Tools for Internal Audit Planning May 15–24 July 9–18 Sept. 18–27 Oct. 30–Nov. 8
Operational Auditing: Influencing Positive Change Jan. 16–25 March 20–29 May 3–4 July 17–26 Aug. 9–10 Sept. 13–14 Oct. 22–31 Oct. 18–19 Oct. 25–26 Nov. 8–9 Dec. 4–5 Dec. 13–14
Performing an Effective Quality Assessment Jan. 9–18 Feb. 5–14 March 8–9 March 22–23 April 16–25 June 14–15 July 17–26 July 17–18 Sept. 27–28 Oct. 15–24 Oct. 11–12 Nov. 7–16 Nov. 15–16 Dec. 10–19
Root Cause Analysis for Internal Auditors March 8–9 March 22–23 April 24–25 May 10–11 July 19–20 Sept. 13–14 Sept. 27–28 Oct. 25–26 Nov. 8–9 Dec. 13–14
Tools and Techniques I: New Internal Auditor Feb. 13–16 March 6–9 March 20–23 April 3–6 April 10–13 April 24–27 May 1–4 May 8–11 May 15–18 June 5–8 June 12–15 July 17–20 Aug. 7–10 Aug. 28–31 Sept. 11–14 Sept. 25–28 Oct. 9–12 Oct. 16–19 Oct. 23–26 Nov. 6–9 Nov. 13–16 Dec. 4–7 Dec. 11–14
Tools and Techniques II: Lead Auditor Feb. 13–16 April 3–6 April 24–27 May 1–4 May 8–11 Sept. 11–14 Oct. 23–26 Nov. 6–9 Dec. 4–7 Dec. 11–14
Tools and Techniques III: Audit Manager March 6–9 March 20–23 July 17–20 Sept. 25–28 Oct. 9–12 Nov. 13–16
AUDIT MANAGEMENT
Building a Sustainable Quality Program March 6–7 March 20–21 Sept. 25–26 Oct. 9–10 Nov. 13–14
Financial Auditing for Internal Auditors April 12–13 May 10–11 May 17–18 June 14–15 Aug. 9–10 Aug. 30–31
CIA AND OTHER EXAM PREPARATION
CIA Learning System Comprehensive Instructor–led Course – Part 1 Jan. 8–26 June 4–22 Oct. 1–19
CIA Learning System Comprehensive Instructor–led Course – Part 2 April 3–26 July 9–25 Sept. 4–27
CIA Learning System Comprehensive Instructor–led Course – Part 3 March 5–30 Aug. 6–31
ENVIRONMENTAL, HEALTH AND SAFETY
Construction Activity: Audit Strategies April 5–6 May 8–9 Sept. 11–12 Oct. 9–10
EXECUTIVE DEVELOPMENT
Vision University TBD TBD TBD TBD
FRAUD
Fraud Detection, Deterrence, and Incident Response for Internal Auditors May 3–4 June 7–8 July 17–18 Aug. 30–31 Dec. 13–14
GOVERNANCE, RISK, AND CONTROL
Auditing Culture: Challenges and Proven Techniques March 6–7 April 5–6 April 26–27 Oct. 16–17 Nov. 15–16
Assessing Risk: Ensuring Internal Audit’s Value March 20–21 April 3–4 May 8–9 Oct. 9–10 Oct. 23–24 Nov. 6–7 Dec. 3–12 Dec. 11–12
COSO-based Internal Auditing Feb. 15–16 April 5–6 June 7–8 Aug. 28–29 Oct. 11–12 Oct. 16–17 Nov. 6–8 Nov. 15–16
COSO Internal Control Certificate March 20–22 May 1–3 May 8–10 Sept. 11–13 Sept. 25–27 Oct. 23–25
Enterprise Risk Management: Elements of the Process Feb. 6–15 Feb. 13–14 March 6–15 April 10–11 April 24–25 May 1–2 May 15–16 June 19–28 June 5–6 Aug. 21–30 Aug. 7–8 Aug. 28–29 Sept. 18–27 Oct. 11–12 Oct. 16–17 Nov. 7–16
Risk-based Auditing: A Value Add Proposition Jan. 10–19 April 9–18 July 10–19 Nov. 6–15
SOFT SKILLS
Communication Skills for Auditors March 6–9 July 17–20 Sept. 25–28 Oct. 9–12 Nov. 13–16 Dec. 11–14
Critical Thinking in the Audit Process Feb. 15–16 March 8–9 April 26–27 May 1–2 May 8–9 June 5–6 Aug. 28–29 Nov. 6–7 Dec. 4–5 Dec. 11–12
Leadership Skills for Auditors April 10–13 May 15–18 June 5–8 June 12–15 Aug. 7–10 Aug. 28–31 Oct. 16–19
Succession Planning: Leveraging and Influencing Millennials and Other Generations Jan. 30 March 26–28 April 5 July 23–25 Sept. 13 Oct. 29–30
The Effective Auditor: Understanding and Applying Emotional Intelligence April 3–4 May 10–11 Aug. 7–8
TECHNOLOGY
Auditing Security Monitoring (Watching the Watchers) Jan. 16–17 May 7–9 Sept. 10, 12 Nov. 19–21
Cybersecurity Auditing in an Unsecure World Feb. 13–22 Feb. 15–16 April 12–13 May 14–23 May 17–18 June 7–8 June 14–15 Aug. 7–16 Aug. 9–10 Sept. 17–26 Sept. 25–26 Oct. 9–18 Oct. 18–19 Oct. 25–26 Nov. 26–Dec.5 Dec. 6–7
Data Analysis and Sampling April 11–13 May 16–18 June 13–15
Data Analysis for Internal Auditors March 21–22 June 26–27 Sept. 11–12 Dec. 17–18 Dec. 5–7
Fundamentals of IT Auditing Feb. 7–16 Feb. 13–14 April 10–19 April 10–11 May 15–16 June 5–6 June 12–13 July 10–19 Aug. 7–8 Oct. 16–17 Oct. 23–24 Dec. 4–5
IT General Controls Jan. 22–24 March 13–15 April 24–26 July 30–31 Oct. 2–4 Dec. 18–20
Statistical Sampling for Internal Auditors Feb. 19–22 March 20–29 July 24–27 Aug. 6–9 Oct. 15–24 Nov. 26–29
CONFERENCES
The IIA offers a wide variety of dynamic events focused on emerging issues in internal audit. IIA conferences are designed to allow for networking with peers, gaining greater understanding of leading practices, and taking your career to the next level.
2017
All–Star ConferenceOct. 30–Nov. 1The Bellagio / Las Vegas, NV
2018
General Audit Management ConferenceMarch 12–14Aria / Las Vegas, NV
International Conference May 6–9Dubai World Trade Centre Dubai, UAE
Governance, Risk, and Control ConferenceAug. 13–15Omni / Nashville, TN
Financial Services ExchangeOct. 1–2Renaissance Downtown/ Washington, DC
Environmental, Health and Safety ExchangeOct. 3–4Renaissance Downtown/ Washington, DC
All Star ConferenceOct. 22–24Aria / Las Vegas, NV
Gaming and Hospitality ConferenceOct. 24–25Aria / Las Vegas, NV
02 [email protected] • 407-837-1111 1035 Greenwood Blvd., Ste. 401 / Lake Mary, FL 32746 / p: +1-407-937-1111 / f: +1-407-937-1101 / www.theiia.org
