TRAINING ONLINE INTERNAL AUDIT QUALITY ASSURANCE REVIEW

TRAINING WEBINAR INTERNAL AUDIT

TRAINING QUALITY ASSURANCE UNTUK PRAKERJA

pelatihan INTERNAL AUDIT QUALITY ASSURANCE REVIEW online

The  International  Professional Practices Framework (IPPF) – dari the
Institute  of  Internal  Auditors  (IIA)  mengharuskan  Internal audit
departemen  melakukan  proses review kesesuaian antara semua aktifitas
dengan  Professional  Standards dan Code of ethics minimum setiap lima
tahun sekali. pelatihan internal audit online

Tujuan  dari review ini adalah agar internal auditor lebih profesional
dan  efektif  dalam  melaporkan  kepastian  dan  memberikan konsultasi
kepada  dewan direksi, eksekutif senior perusahaan dan pihak lain yang
berkepentingan. pelatihan quality assurance online

Selain  itu  pelaksanaan review penilaian tersebut dapat memfasilitasi
proses  transformasi  departemen  internal  audit menjadi mitra bisnis
yang lebih strategis selain memberikan nilai tambah kepada perusahaan.
Proses  ini  dapat  mengidentifikasi  peluang perbaikan dan pengkinian
kwalitas    dan   efektifitas   dalam   meningkatkan   kinerja   serta
mempromosikan citra dan kredibilitas departemen internal audit.

Perencanaan  strategis  dari  departemen internal audit untuk mencapai
tujuan tersebut antara lain dengan: pelatihan pengenalan internal audit online

1) Membuat dulu suatu komitmen peningkatan mutu kualitas,

2) Melakukan program dalam menjamin kepastian mutu kualitas,

3) Membuat rencana protocol untuk berpikiran yang lebih maju,

4) Melakukan kajian eksternal dengan benchmarking secara terintegrasi,

5)   Melakukan   tindakan  perbaikan  yang  diperlukan  sesuai  dengan
prioritas,

6)    Merancang    program   penilaian   secara   terus-menerus   atau
berkesinambungan atas

kinerja fungsi internal audit.

Dalam  usaha untuk memenuhi perencanaan tersebut diatas, maka internal
audit  dapat  lebih  memfokuskan dalam meningkatkan penilaian kwalitas
yang  lebih  efektif dengan menggunakan elemen-elemen governance, risk
management  dan  compliance  (GRC).  Dalam kaitan ini the Institute of
Internal  Auditors  (IIA)  telah  merancang  program  manual  “Quality
Assurance  Review  (QAR)”  berdasarkan elemen-elemen The International
Standards  for  the  Professional  Practice of Internal Auditing untuk
dipergunakan  oleh Internal Audit departemen dalam melakukan evaluasi,
kepatuhan atas qualitas (mutu) dan peningkatannya.

Materi workshop akan disajikan dalam Bahasa Inggris dan Indonesia.

Outline Materi

Materi  training  yang  akan  di  bahas  topik  INTERNAL AUDIT QUALITY
ASSURANCE REVIEW adalah :

CHAPTERS
  1. Framework, Scope, Objectives, and Approach
  2. The Detailed Framework
  3. Internal Review
  4. External Review: The Process for a Business-Focused QAR
  5. External  Review  Program for a Business-Focused Quality Assurance
     Review

TOOLS

Planning and Preparation

Tool  1  –  Self-Study Report for a Business-Focused Quality Assurance
Review

Tool 2 – Preparation and Planning Program

Tool 3 – Audit Customer Survey

Tool 4 – Sample Letter — Internal Auditing Staff Survey

Tool 5 – Observations and Issues Worksheet

Interviews

Tool 6 – Audit Committee Interview

Tool  7  –  Executive  to Whom the Chief Audit Executive (CAE) Reports
Interview

Tool 8 – Performance and Senior Management Interview

Tool 9.1 – Chief Audit Executive Interview

Tool 9.2 – Internal Auditing Staff Interview

Tool 10 – External Auditor Interview

Additional Procedures

Tool 11 – Risk Analysis and Audit Planning Program

Tool 12 – Considerations for Assessing the Department’s Organization

Tool 13 – Information Technology (IT) Review

Tool 14 – Audit Plan/Accomplishment Analysis Supplement

Tool 15 – Staff Professional Proficiency Program

Tool 16 – Individual Audit File Review Program

Tool 17 – Evaluation Summary

Key Documents

Tool 18 – Sample Policy Statement for Controlling an Organization

Tool 19 – Model Internal Auditing Department Charter

Tool 20 – Sample Quality Assurance Review Report

Supplement

Tool 21 – Consulting Services

INTRODUCTION

In accordance with The IIA’s Standards, effective January 1, 2013, The
chief  audit  executive  must develop and maintain a quality assurance
and  improvement program that covers all aspects of the internal audit
activity”  (Standard  1300).  As  indicated  in  the  Preface, earlier
editions  of  this  manual were designed to provide guidance and tools
for  the chief audit executive (CAE) in establishing and maintaining a
quality  program,  as well as for reviewers, internal and external, in
testing  and  assessing  that program. The current edition updates and
expands that guidance and enhances the models and assessment tools.

The  current  edition  is divided into chapters based on the principal
elements  of  the  quality  program  required by the Standards, with a
continued  strong  emphasis  on  external  assessments,  as summarized
below:

   * Chapter  1  gives  the  rationale for a new edition of the manual,
     based primarily on the updated Standards and the ongoing evolution
     of internal auditing. That evolution of internal auditing includes
     its  increasing  focus  on  business risk, closer alignment of its
     activities  with  management  strategies and accountabilities, and
     its  strong  emphasis on assisting management through advisory and
     consulting  services,  while  continuing  to  provide  traditional
     assurance services.
   * Chapter  2  outlines the external quality assessment, which should
     be the capstone of any activity’s quality program. As specified in
     Standard  1312,  such  external assessments -…must be conducted at
     least  once  every five years by a qualified, independent reviewer
     or review team from outside the organization.”
   * Chapter  3  is  designed to expand the external quality assessment
     process  to  a  wider  range of internal audit (IA) activities and
     provide  another  approach  to  comply  with  Standard  1312. This
     approach   would   require   a  rigorous  and  documented  quality
     assessment, similar to that outlined in Chapter 2, performed under
     the  direction  of  the  CAE.  This  self-assessment would then be
     validated  by an independent evaluator with qualifications similar
     to those of an external quality assessment team.
   * Chapter  4  sets  forth  the elements of an IA activity’s internal
     quality  assessment  process,  such as evaluation of conformity to
     the  Standards;  compliance  with  the charter, mission statement,
     objectives, and policy manual; supervision; staff development, and
     other  steps  to  assess  the activity’s effectiveness and promote
     continuous improvement.
   * Chapter  5  is  an  overview  of  the program segments for quality
     assessment  and  other tools, with brief guidance for their use in
     external  and internal assessments, as well as in self-assessments
     (Chapter 3). Chapter 5 also serves as an overall index and control
     document for applying the program segments and tools.

Supplementing  the five chapters of the manual are five References and
four  Appendices that contain practical guidance, model documents, and
the  various  assessment  tools  described  and referenced in the five
chapters. The References and their content are as follows:
  1. IIA   Standards   and  Practice  Advisories  relevant  to  quality
     assessment (1300 series).
  2. An   overview   of   enterprise   risk,  management  control,  and
     accountability,  with  examples  of frameworks for enterprise risk
     management  and  guidance  for  the  alignment  and integration of
     internal auditing.
  3. Models,  including  a  sample  Model  Management Control Policy, a
     Model  Audit  Committee  (or  similar  board  oversight  function)
     Charter,  a  Model  Internal Audit Activity Charter, and a list of
     internal audit measurement criteria.
  4. Listings  of  current  successful practices for internal auditing,
     including a brief explanation of each.
  5. Sample  documents  that can be used as guides, such as Request for
     Proposal,  Timelines,  Engagement Letters, Quality Assessment Team
     Checklist,  Interview Calendar, Survey Transmittal, Survey Advance
     Notice,  Company  To-do  List,  Letter  to  Audit  Committee,  and
     Invitation E-mails.

The Appendices are divided into four segments:

Appendix  A  –  Tools  for  the preparation and preliminary phase of a
quality assessment, which includes:

–  Preparation for a quality assessment (Tool 1) and a self-assessment
with independent validation (Tool 1A).

–  Guidance  for  preparation of self-assessment documents (Tool 2) to
use  in  preparing for quality assessments, including self-assessments
with  independent  validation  (Tool  2A),  and a    CAE questionnaire
(Tool 3) for use in internal assessments and as a potential supplement
for Tool 2 and Tool 9 in other assessments.

–   Survey  format (Tool 4) for customers of the IA activity and (Tool
5) for the IA activity’s staff.

–   Appendix  B  –  Interview  guides  for board members (Tool 6), the
executive to whom the CAE reports (Tool 7) and other executives of the
organization  (Tool  8), the CAE (Tool 9) and other activity personnel
(Tool 10), and the external auditor of the organization (Tool 11).

–   Appendix  C  – Program segments for the detailed assessment of the
activity   by   the   external   assessment   team   or   for  use  in
self-assessments  and  other  internal  quality  assessment  processes
(Tools 12-17).

–   Appendix D – Guidance for summarizing findings and preparing for a
closing  conference  (Tool  18),  overall evaluation of the activity’s
conformity   to  the  Standards  (Tool  19),  and  reporting  results,
including   sample   reports  on  quality  assessment  (Tool  20)  and
self-assessment with independent validation (Tool 21).

 

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