TRAINING ONLINE INTERNAL AUDIT QUALITY ASSURANCE REVIEW
TRAINING ONLINE INTERNAL AUDIT QUALITY ASSURANCE REVIEW
TRAINING WEBINAR INTERNAL AUDIT
TRAINING QUALITY ASSURANCE UNTUK PRAKERJA
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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