Post on 18-Jun-2020
transcript
CERTIFICATIONCandidateHandbook
TABLE OF CONTENTS Introduction........................................................................................................................................................................2Step1:Apply.......................................................................................................................................................................2EligibilityRequirementsforCIA...........................................................................................................................................3ProgramandExamEligibilityExtensions..............................................................................................................................3HardshipExtensions............................................................................................................................................................4Non-hardshipProgramExtensions.......................................................................................................................................4CreateaProfileintheCertificationCandidateManagementSystem(CCMS).......................................................................4PaymentOptions.................................................................................................................................................................4UploadRequiredDocuments...............................................................................................................................................4ProofofIdentity..................................................................................................................................................................5ProofofEducation...............................................................................................................................................................5CompletetheCharacterReferenceProcess.........................................................................................................................5SpecialAccommodations.....................................................................................................................................................6Step2:Test.........................................................................................................................................................................7ExamRegistrationPayment.................................................................................................................................................7ScheduleanExam...............................................................................................................................................................7ExamEligibilityExtensions...................................................................................................................................................8ReceivingConfirmation.......................................................................................................................................................8FailuretoAppearforYourScheduledExam.........................................................................................................................8ChanginganExamAppointment..........................................................................................................................................9SitfortheExam...................................................................................................................................................................9BeforeStartingtheExam.....................................................................................................................................................9TakingtheExam................................................................................................................................................................10ReceivingYourScore.........................................................................................................................................................11RetakingtheExam.............................................................................................................................................................11Step3:Verify.....................................................................................................................................................................12CompletetheProofofExperienceProcess........................................................................................................................12ReceiveNotificationofCertification..................................................................................................................................12Step4:Maintain................................................................................................................................................................13DisplayingYourCertification.............................................................................................................................................13CertificationRegistry.........................................................................................................................................................13SocialBadging...................................................................................................................................................................13AppendixA:ExamSecurity................................................................................................................................................14AppendixB:HelpfulLinks..................................................................................................................................................16AppendixC:NondisclosureAgreementandGeneralTermsofUse.....................................................................................18
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Congratulations onbeginning your journey towardsearning a certification fromTheInstituteofInternalAuditors(IIA)—oneofthemosttangiblewaystodemonstrateyour professional internal audit knowledge and skills throughout your internalauditcareer.
This handbook provides certification information for The IIA’s Certified InternalAuditor®(CIA®)andCertificationinRiskManagementAssurance®(CRMA®)programs.ForinformationontheQualificationinInternalAuditLeadership®(QIAL®)andInternalAuditPractitionerprograms,visittheQIALandInternalAuditPractitionerwebpages.
Pleasereadthisguidecarefully.Itwilltakeyouthroughthecertificationprocessfromstarttofinishandprovideyouwithhelpfultipsforeachstepalongtheway.
StepstoCertification:Step1–ApplyStep2–TestStep3–VerifyStep4–Maintain
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INTRODUCTION TheIIAoffersseveralcoreglobaldesignations:theCertifiedInternalAuditor®(CIA®),theCertificationinRiskManagementAssurance®(CRMA®),andtheQualificationinInternalAuditLeadership®(QIAL®),aswellastheInternalAuditPractitionerprogram.
CERTIFIEDINTERNALAUDITOR®(CIA®)The CIA is the flagship certification for internal auditors and the designation that The IIArecommendseveryinternalauditorpursueandpossess.NotonlydoestheCIAdemonstrateyourcredibilityasaninternalauditprofessional,butitgivesyouacompetitiveedgeoveryourpeers.TheCIAisathree-partexamthatcoverstheknowledge,skills,andabilitiesthattoday’sinternalauditorsmustdemonstratetoachievesuccess.FordetailsregardingthetopicareascoveredonthethreepartsoftheCIAexam,pleaserefertotheexamsyllabi.TheCIAisofferedinmultiplelanguages.Clickhereforacurrentlist.
CERTIFICATIONINRISKMANAGEMENTASSURANCE®(CRMA®)TheCRMAprogramincludestwoexams:Part1of theCIAexamandaseparateCRMAexam,which covers governance, principles of risk management assurance, and assurance andconsultingrolesforinternalauditors.FordetailsregardingthetopicareascoveredontheCRMAexam,pleaserefertotheexamsyllabus.TheCRMAexamiscurrentlyofferedinEnglishonly.
QUALIFICATIONININTERNALAUDITLEADERSHIP®(QIAL®)TheQIALprogramfocusesonleadershipcapabilities,asappliedspecificallytochiefauditexecutives(CAEs)orauditcompanyleadersinthekeyareasofleadingtheauditfunction,influencingstrategyandorganizationalperformance,providingopinionandinsight,advocatinginnovationandchange,andchampioningethicsandsocialresponsibility.Clickhereformoreinformation.
THEINTERNALAUDITPRACTITIONERPROGRAMTheInternalAuditPractitionerprogramisawayfornewandrotationalauditorstoquicklydemonstrateinternalauditaptitudeastheyendeavortotakethefirststepontheirjourneyintointernalauditing.Clickhereformoreinformation.
Certificationprocesses,pricing,andtaxesmayvaryincountrieswhereexamsareadministeredthroughagreementswithIIAaffiliates.Forexample, if you reside inSouthAfrica,youmustbeamemberof IIA–SouthAfrica toparticipate in theglobalcertificationprograms.Likewise,ifyouresideintheUnitedKingdom,youmustbeamemberofIIA–UnitedKingdom/Irelandtoparticipateintheglobalcertificationprograms.CandidatesfromthefollowingcountriesmustrefertotheirlocalIIAInstitutewebsiteorcontacttheirlocalrepresentativeformoreinformationaboutlocalcertificationprocesses:
Brazil Indonesia Korea Thailand CzechRepublic Japan Pricinginformationcanbefoundhere.
ALERT:IfyoubelievethepriceprovidedtoyouviatheCertificationCandidateManagementSystem(CCMS)isincorrect,donotsubmityourapplicationform.Instead,logacasethroughCCMSandacertificationadministratorwillcontactyou.
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ToreceivetheIIAmemberdiscountonyourcertificationapplicationandregistrationfees,yourmembershipmustbefullyprocessedbeforeyousubmityourapplicationform.Youmaycheckwithyourlocalaffiliate(oryourauditgroupcoordinatorifyouremployerisanIIAauditgroupmember)toverifythestatusofyourmembership.Therearethreeprimarystepstobecomecertified:apply,takeandpassallexamparts,andverifyexperience.TheIIA’sCCMSwillguideyouthroughthejourney.
STEP 1 Apply EligibilityRequirementsforCIAToobtaincertificationyoumustcompleteallprogramentryandexitrequirements:meeteligibilityrequirements,maintainexamconfidentiality,andadheretoTheIIA’sCodeofEthics.
Familiarize yourselfwith the followingeligibility requirements toensureyouqualifyandagree to theprogram’s termsandconditions.Moreinformationislocatedhere.
ENTRYREQUIREMENTS EXITREQUIREMENTS
Education Government-issuedID
CharacterReference
3Exams Experience
Master’sDegree(orequivalent)
X X X 12monthsrelevantexperience
Bachelor’sDegree(orequivalent)
X X X 24monthsrelevantexperience
Associate’sDegree,(orequivalent) X X X 60monthsrelevantexperience
CompletionofthreeA-levelcourseswithgradeCorhigherisconsideredanassociate’sdegreeequivalent.CRMAeligibilityrequirementsvary;moreinformationislocatedhere.
ProgramEligibilityExtensionsOnceapproved into thecertificationprogramofyourchoice,youhavethreeyears tomeetalleligibility requirementsandcompletetheprogram,unlessyourequestanextension.Ifyourprogrameligibilityexpiresbeforeyouhavecompletedallthenecessaryexamstoreceiveyourcertification,youmayreapplyforyourprogram;however,youwillhavetoretakeanyexamsyoupassedinyourpreviouseligibilitywindow.
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HardshipExtensionsAone-timeextensionofthecertificationprogramorexameligibilitywindowmaybepermittedforcandidateswhomayhaveextenuatingcircumstances(forexample,illness,maternityandpaternity,deathinthefamily,civilunrest,naturaldisaster,ormilitaryservice).Inthissituation,youshouldsubmitacasethroughCCMS,detailingtheextenuatingcircumstances.Therequestwillbereviewedandyouwillreceiveinstructionsonhowtoproceed.Allrequestsrequiresupportingdocumentation.
Non-hardshipProgramExtensionsIfyourequireaprogramextensionforreasonsotherthanhardship,youmaybegrantedaone-time,one-yearextensionaftercompletingaProgramExtensionthroughCCMSandpayingtheapplicablefee.The12-monthextensionwillbegrantedfromtheoriginalprogramexpirationdate.
CreateaProfileintheCertificationCandidateManagementSystem(CCMS)Allcertificationcandidatesmusthave,orcreate,aprofileinCCMS.Thereisnocosttodothis.IfyoualreadyhaveaprofileinCCMS,youmayskipthisstep,butifsometimehaspassedsinceyoucreatedyourprofile,youshouldverifyyourcurrentinformation.Clickhere to accessCCMSand create yourprofile. If youexperience anydifficulties, please contactCustomerRelations atCustomerRelations@theiia.orgor+1-407-937-1111.
PaymentOptionsPaymentcanbemadebycreditcard(recommendedforfasterservice),ACH,orwiretransfer.Wiretransferoptionsmaytakeseveralweekstoprocess.Ifyoupaybywiretransfer,youmustincludeinformationaboutyourselectedformofpaymentduringtheapplicationprocessandfollowtheon-screeninstructionsregardingpaymentsubmission.Theon-screenpaymentacknowledgmentwillserveasyourinvoice.
UploadRequiredDocumentsInorderforTheIIAtoverifythatyoumeettheentryrequirementsforthecertificationprogramyouselected,youmustprovidethefollowingdocumentation:
• Proofofidentity.
• Proofofeducation.
Documentssubmitted in languagesother thanEnglishmustbeaccompaniedbyanEnglishtranslation.TranslationsmaybecompletedbyanyonefluentintheEnglishlanguage,andmustbesignedanddatedbytheindividualperformingthetranslation.
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ProofofIdentityThefollowingchartliststheacceptableandunacceptableformsofidentification:
ACCEPTABLEFORMSOFID UNACCEPTABLEFORMSOFID
Government-issueddriver’slicense EmployeeIDorworkbadge
Passport UniversityorcollegeID
MilitaryID Insurancecard
Alienregistrationcard(greencard,permanentresidentvisa,etc.)
SelfieorphotoIDwithoutname
Government-issuedlocallanguageID(plasticcardwithphotoandsignature,acceptedonlyifissuedfromthe
countryinwhichthecandidateistesting)ExpiredphotoID
ProofofEducationTheCCMSwillguideyouthroughprovidingoneofthefollowingdocumentsasproofofeducation:
• Acopyofyourdegreeorofficialtranscripts.Ifyournamehaschangedsinceyouearnedyourdegree,youmustalsoinclude
yourlegalnamechangedocument.
• Aletterfromyourcollegeoruniversityconfirmingyourdegree.
• Aletterfromanacademicevaluationserviceconfirmingyourdegreelevel.
Ifyouareastudentinyourfinalyearofcollege,youmaybeprovisionallyapprovedintothecertificationprogramofyourchoiceifyouprovideevidence(e.g.,transcripts)ofyoureducationstatus.However,yourcertificationwillnotbeawardeduntilyoureducationrequirementiscompletedandsupportingdocumentationissubmitted.
NotethatTheIIAoffersanalternatepathtoeligibilityforcandidateswhodonotpossesstheminimumeducationrequirements.CandidatesmaynowbecomeeligiblefortheCIA,subjecttoapproval,whopossesssevenyearsofverifiedexperienceininternalauditoritsequivalent.Moreinformationcanbefoundhere.
CompletetheCharacterReferenceProcessThebasisforyourproofofcharacterisTheIIA’sCodeofEthics.TheCCMSwillguideyouthroughtheautomatedcharacterreferenceprocess.
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SpecialAccommodationsTheIIAwillmakereasonabletestingaccommodationsforcertificationcandidateswhenappropriateandconsistentwithlegalrequirements,suchasforcandidateswithadocumenteddisabilitythatsubstantially limitstheirabilitytoreadorotherwisecompletetheexamination.
Ifyourequiretestingaccommodations,pleasedownloadTheIIA’sofficialAccommodationsApplication.Duringtheapplicationprocess,youwillbeinstructedtouploadyourcompletedformandanyotherrelevantsupportingdocumentation.
ALERT:Onceyouhaveregistered,youwillhave180daystoscheduleandsitforyourexam.
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STEP 2 Test Youmustcompleteallentrancerequirementsandbeapproved intoacertificationprogrambeforeyouareeligibletoregisterandscheduleyourexam(s).
ExamRegistrationPaymentTheIIA’sexamregistrationpaymentpoliciesaresimilartothoserelatedtoprogramapplicationinthat:
• Ifyoubelievethepriceshown is incorrect foranyreason,donotcomplete
yourregistration.Instead,openacasewithinCCMS.
• No exam fee refunds or credits will be made once you accept the price andcomplete your registration; registration cannot be undone once payment hasbeensubmitted.
• FeespaidthroughCCMScannotbetransferredfromoneregistrationtoanother.
• RegistrationspaidthroughCCMSwithwiretransfermaytakeseveralweekstoprocess;payingwithacreditcardorACHshortensprocessingtime.
TheIIAandPearsonVUETheIIAhascontractedwithPearsonVUEtoadministeritscertificationexams.PearsonVUEhastestcentersaroundtheworld,offeringcomputer-basedtestinginavarietyoflanguages.Itstechnologyinvestmentsensureleading-edgesecurityandimprovedserviceforIIAcertificationcandidates.
Oncepaymentiscomplete,yourexamwindowis180daysoruntilyourprogramexpirationdate,whichevercomesfirst.(Examscannotbetakenafteraprogramexpires.)Youmustscheduleandtakeyourcertificationexamwithintheeligibilitywindow.
ScheduleanExamPearsonVUE testcenterschedulesvaryandmaychangeoften;however,mostareopen fiveorsixdaysperweekduringnormalbusinesshours(basedonlocalconditions)throughouttheyear.Youareencouragedtoscheduleyourexamassoonaspossible.Theearlieryouschedule,thebetteryourchancesofreservingadate,time,andlocationthatisconvenientforyou.Walk-insarenotaccepted;youmusthaveascheduledappointmenttositforanexam.
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Alternatively,youmayscheduleyourexambycallingPearsonVUEcustomerservice.
• VisitPearsonVUE’scustomerservicewebpagetofindtheappropriatecustomerservicecenterphonenumberforyourlocation.
Manycustomerservicecentershavetoll-freenumbersforyourconvenience.
• FindalistoftestcenterlocationsonthePearsonVUEwebsite,andselectyourpreferredlocationbeforeyoucall.
• Haveyourfirst,second,andthirdchoicesofdatesandtimesinmindbeforeyoucall.
• ProvidethePearsonVUEcustomerservicecenterrepresentativewithyourIIAcandidateIDnumber,andyouwillbeguidedthroughtheschedulingprocess.
ALERT:Donotcallaspecifictestcentertoscheduleorcancelanexam.OnlyPearsonVUEcustomerservicerepresentativescanassistyou.Testcentersshouldnotchargeanyadditionalfees;donotpayanyfeesdirectlytotestcenters.Ifyouareaskedtodoso,pleasecontactPearsonVUEcustomerservice.
ExamEligibilityExtensionsWhenyouregisterforanexam,yourexamwindowisopenfor180daysoruntilyourprogramexpirationdate,whichevercomesfirst.Failuretomeetthedeadlinewillinvalidateyourregistration(youwillforfeitanyfeespaid,andyouwillhavetoreregisterandremitpaymentagain).
Ifneeded,youmaypurchaseaone-timeextensiontoyourexameligibilitythroughCCMSandpayingtheapplicablefee.Theextensionallowsanadditional60days(oruntilyourprogramexpirationdate,whichevercomesfirst)tositfortheexam.Theexameligibilityextensionwillnotbegrantedbeyondyourprogramexpirationdate.
ReceivingConfirmationAfteryouscheduleyourexam,PearsonVUEwillemailyouanappointmentconfirmationthatincludesinformationaboutthetestcenterlocationyouselected.IfyoudonotreceiveanemailfromPearsonVUEstatingthatyouarescheduledforanexam,contactPearsonVUEcustomerserviceimmediately,asthismayindicatethatyourappointmentwasnotproperlyrecorded.
FailuretoAppearforYourScheduledExamOnceyourexamappointmentisconfirmed,youareexpectedtobepresentwithappropriategovernment-issuedIDonthedateoftheexam.Ifyoudonotappearforyourexamatyourscheduledlocationonyourscheduleddateandtime,yourregistrationwillbevoided,a“No-Show”statuswillbemarkedinyourrecord,andyouwillforfeityourexamregistrationfeeandnorefundwillbeprovided.Ifa“No-Show”statusisissued,youwillneedtocompleteanewexamregistrationwithpaymenttoscheduleanothertestdate.
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ChanginganExamAppointmentYoumaycancelorrescheduleyourconfirmedexamappointmentasneededduringyourexamwindowdirectlyinCCMSorbycontactingPearsonVUE.Youmaymakechangesupto48hourspriortoyourconfirmedappointment.However,youwillbechargedaUS$75changefee(payabledirectlytoPearsonVUE)eachtimeyoureschedule.YouwillreceiveanemailfromPearsonVUE confirming your changes. If you do not receive the email, contact Pearson VUE immediately to ensure that yourappointmentwasproperlyrecorded.
Note:TheprocessandfeearedifferentinChina.Allchangesmustbecompletednolaterthan48hourspriortotheopeningofthetestwindowinwhichtheirappointmentisconfirmed.
SitfortheExamTheIIAhighlyrecommendsthatyoufamiliarizeyourselfwiththebasicsofcomputer-basedtesting(CBT)beforeyourexamdayarrives.VisitTheIIA’swebsiteforatutorialonCBT.Thistutorialisnotavailableatthetestcenter.
Plantoarriveatyourtestcenterlocationatleast30minutespriortoyourscheduledappointmenttime.Ifyouarrivefewerthan30minutesbeforeyourappointment,youmaybedeniedaccessandconsidereda“No-Show.” Ifyouarriveafteryourscheduledappointmenttime,youwillnotbeadmittedtositfortheexam,andyouwillbeconsidereda“No-Show.”
Youarerequiredtopresentagovernment-issuedphotoIDcontainingyournameexactlyasyouprovidedduringtheprogramapplicationprocess.Dependingonthetestcenter,youalsomayberequiredtoprovideafingerprintorpalmveinimage.
ALERT: If you do not present acceptable ID at the time you are scheduled to take your exam, youwill not bepermittedtotakeyourexamandyouwillbeconsidereda“No-Show,”eventhoughyouappearedatthetestcenter.Norefundwillbeprovided.YourIDmustcontainyournameexactlyasyouprovideditduringtheexamregistrationprocess(asitappearsonyourPearsonVUEexamappointmentconfirmationletter).
Testcenterswillnotrequireanypaymentfromyou(withtheexceptionofcountrieswherealocaltaxmustbecollected).Ifyouareaskedtosubmitanyfeesdirectlytothetestcenter,contactPearsonVUEcustomerserviceatwww.pearsonvue.com/iia/contact.
Formoreinformationaboutthetestcenterexperience,visitTheIIA’swebsiteandscrolldowntoviewthe“WhattoExpectatPearsonVUE”video.
BeforeStartingtheExamOnceyouhavecompletedthecheck-inprocedures,theexamadministratorwillescortyoutoyourworkstation,whereyoumustremainforthedurationofyourtimeatPearsonVUE,unlessyouareauthorizedtoleavetheroom.Onceyouhavebeenseatedatyourexamstation,theadministratorwilllogyouintoyourexam.Youwillbeaskedtoconfirmthattheexamshownonthescreenistheexamyouarescheduledtotake.
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Thesessionbeginswithawelcomescreen,andyouwillbeaskedtoagreetoTheIIA’sNondisclosureAgreement(NDA)andGeneralTermsofUsebeforetheexamstarts.(SeeAppendixCtoreadtheNDAandGeneralTermsofUseinadvance.)IfyoudonotagreetotheNDA,youwillnotbepermittedtotaketheexam,andyouwillforfeityourexamfee.
These initial screens do not count toward your exam time. However, please beawarethatthere isaseparatetime limitonthese initialscreens,and if thattimelimitisexceeded,theexamsessionwillbeginautomatically.
TakingtheExamYourcomputerscreenhasabuilt-intimertoletyouknowhowmuchtimeremainsasyouprogressthroughyourexam.Planyourtimewiselysoyouwillhaveenoughtimetocompleteallquestions.Thereisnopenaltyforincorrectresponses.
Pleasebeawarethattherearenoscheduledbreaksduringtheexam.Youmaytakeabreak, if necessary,but the time taken forbreaks counts toward youroverall timeallotmentfortheexam.Ifyouleavethetestroomforanyreason,youwillberequiredtosignthetestcenterlogandshowyourIDuponexitingandreentering.Youmayalsoberequiredtoprovideafingerprintorpalmveinimage.
Ifyouencounteracomputerproblem,reportitimmediatelytotheexamadministratorandasktheproctorto logacase.Pleaserefrainfromaskingtestcenteremployeesquestionsabouttheexamcontentorexamscores.Theyareunabletoassistyouwiththesematters.Ifyouhaveanyconcernsregardingyourexamexperience,logacaseinyourCCMSprofile.
UnexpectedClosureofYourTestCenterLocationIfthetestcenterlocationthatyouselectedclosesorotherwiseisunavailableonthedayofyourscheduledexam,PearsonVUEwillcontactyou.However,ifyouareunsurewhetheryourtestcenterisopenonthedayofyourscheduledexamduetoinclementweatherorotherunexpectedlocalissues,callthetestcenterdirectly.Ifitisopen,itisyourresponsibilitytokeeptheappointment.Ifitisclosed,youwillbegiventheopportunitytoreschedulewithoutpenaltyorfee.
Ifyouareunabletocontactthelocaltestcenter,pleasecontactPearsonVUEcustomerservice.
CandidateconductduringexamsistakenseriouslybybothTheIIAandPearsonVUE.Testcenteremployeesaretrainedtowatchforunusualbehaviorandcasesduringexams,andtheirreal-timemonitoringisreinforcedbyaudioandvideorecordingoftheexamsessions.
Afteryou’vecompletedtheexamorthetimelimithasexpired,youwillbenotifiedonyourscreenthattheexamisover.Atthatpoint,youwillturnoveranymaterials(noteboard,dryerasemarker,etc.)totheexamadministratorandyoumaycollectyourpersonalitemsandleavethetestcenter.
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ReceivingYourScoreEachexamquestionthatcontributestoyourscorehasbeenpretestedtoensurestatisticalvalidity.Yourrawscoreiscalculatedbasedonthenumberofquestionsansweredcorrectlyandisconvertedtoareportingscalerangingfrom250to750points.Ascoreof600orhigherisrequiredtopassanIIAexam;however,ifyoupassedtheexam,yourscorereportwillindicatejustthat—nonumericscorewillbereported.
Youwillreceiveanunofficialscorereportatthetestcenter.YourscorebecomesofficialonceTheIIApublishesittoCCMS,andyouwillbenotifiedbyemailwhenyourofficialscoreisavailable.Thisistypicallywithin48hoursafteryoucompleteyourexam.
IfTheIIAdeterminesthatyourexamresultsrequirefurtheranalysis,theremaybeadelayinreceivingyourofficialscore,andyouwillbenotified.Theanalysismaytakeupto45days tocomplete.Additionally,anofficiallypublishedscoremaybeinvalidatedformisconduct,scoreanomalies,orbreachesofTheIIA’sCodeofEthics.
Ifyoudidnotpasstheexam,yourscorereportwillincludetwoimportantdatapoints:yournumericscoreandyourperformanceoneachmajorexamtopicareaordomain,soyouknowonwhichdomain(s)youneedfurtherstudy.
RetakingtheExamTheIIAdoesnotlimitthenumberofattemptstosuccessfullycompleteanexampartduringyourprogrameligibilitywindow. Theearliestappointmentdatethatyouwillbeabletoschedulewillbe60daysfromthedateyoulasttookthatexam.Youmustcompleteanewregistrationwithpaymenttoretakeafailedexam.Ifyoudonotcompleteyourcertificationprogramwithinthethree-yearprogrameligibilitywindow,youwillforfeitallfeespaidandexampartspassed.Youarenotpermittedtoretakeanexamyoupreviouslypassedunlessyourcertificationprogramwindowhasexpired.Ifyouneedtoretakeanexamorexampartthatyoupreviouslypassed(becauseyourcertificationprogramwindowexpired), theearliestexamappointmentdatethatyoucanselectwillbe60daysfromthedateyoulasttookthatexam.
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STEP 3 Verify Proofofexperienceisanexitrequirementofthecertificationprogram.Youmaycompletetheexperienceverificationanytimeafteryourapplicationhasbeenapproved,butonceyoupasstherequiredexam(s),yourexperiencemustbeverifiedforyoutobecomecertified.
CompletetheProofofExperienceProcessEvenifyoupassyourexam(s),yourcertificationwillnotbegranteduntilyoursubmittedproofofexperiencehasbeenverifiedbyTheIIA.TheCCMSwillguideyouthroughtheautomatedproofofexperienceprocess.Thereisnofeeassociatedwiththeexperience-verificationprocess.
ReceiveNotificationofCertificationWhenyouhavemetallprogramrequirementsforaparticularcertification,youwillreceivenotification(atyourprimaryemailaddressinyourCCMSprofile)thatyouarecertifiedandyoumaybegindisplayingtangibleevidenceofyouraccomplishment.
IamaCertifiedInternalAuditor.
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STEP 4 Maintain Tomaintainyourcertification,youmustearnandreportcontinuingprofessionaleducation(CPE)credithours—includingtwohoursofethicstraining—by31Decemberannually,inaccordancewithTheIIA’sCPEPolicy.
IfyoufailtomeetyourCPErequirementsbythereportingdeadline,youwillautomaticallybeplacedin“GracePeriod”statusandmaynotuseyourcertificationuntiltherequirementsaremet.IfyourcertificationstatusremainsinGracePeriodformorethan12monthsduetonon-reporting,youwillautomaticallybeplacedinan“Inactive”statusandwillberequiredtocompleteareinstatementapplicationtoreactivateyourcertification.Feesapply.
Eachyear,TheIIArandomlysamplesapercentageofallcertifiedindividualswhoreportCPEhourstoconfirmconformancewithTheIIA’sCPEPolicy.Ifyouareselectedforanaudit,youwillberequiredtosubmityourCPEcertificatesasevidenceofthehoursyoureported.Ifyoufailtocomply,yourcertificationstatuswillbecome“Inactive.”
DisplayingYourCertificationOn-demand electronic certificates in PDF format are available 24/7 for individuals maintaining active status (any printedcertificates,ifdesired,maybeorderedforafee).TheIIAframestoreincludesseveraloptionsfordisplayingyourcertificationcertificate,whichcanbecustomized.
CertificationRegistryInaddition, youmayopt-in toThe IIACertificationRegistry.The IIACertificationRegistry is anup-to-datepublic recordofindividualswhohaveearnedanIIAcertificationandmaintainitbyreportingcontinuingprofessionaleducation(CPE)tokeeptheircredential(s)active.TheCertificationRegistryalsoisanopportunityforemployersandrecruiterstoverifycertification.AllIIAactivecertificationholderswhochoosetovoluntarilyopt-inwillbeincludedintheregistry.Individualswillneedtoopt-intotheregistryforcertificationverification.AnindividualwhosecertificationisnotactivewillnotbeincludedintheRegistry.
SocialBadgingYoucanalsotellyourprofessionalstoryonpopularsocialandprofessionalnetworkingsites,personalwebsites,orinemailswithweb-enabledcertificationbadges.Tolearnmore,visitTheIIA’sSocialBadgingwebpage.
QuestionsorconcernsrelatedtoyourcertificationshouldbesenttoTheIIAbysubmittingacasethroughyourCCMSaccount.
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APPENDIX A Exam Security TheIIAandPearsonVUEtakeexamsecurityseriously,becausethevalueofyourcertificationandourcredibilitydependsonit.IIAexamcontentisconfidential;itisneverappropriatetoshare,discuss,post,oruploadexamcontent.
EthicsViolationsandMisconductUnauthorized possession, reproduction, publication, or disclosure of any IIA examinationmaterials— including storing ordisclosingexaminationquestionstoanypersonorentitybyanymeansbefore,during,oraftertheexam—isprohibitedandcanresultinprogramdisqualificationorotherappropriatecensure.Examplesofethicsviolationsandmisconductinclude:
• Submittingfalse,inconsistent,ormisleadingstatementsoromittinginformationrequestedbyTheIIA.
• Submittinganalteredoraninauthentictranscript.
• Submittinganapplicationcontainingfalse,inconsistent,ormisleadinginformation.
• Attemptingtotaketheexamforsomeoneelseorhavingsomeoneelsetaketheexamforyou.
• Copyingorsharinginformation,oranyotherformofcheating.
• Obtainingadvancedaccesstocertificationorexammaterial.
• Stealingexammaterials.
• Bringingprohibiteditemsintotheexamroom.
• Failingtofollowdirectionsoftestcenterstaff.
• ViolatingPearsonVUEschedulingortestcenterrulesandregulations.
• Attemptinganyoftheabove.
VisitTheIIA’sExamSecuritywebpageformoreinformationregardingexamsecurity,includingguidanceastowhatisacceptable(andnotacceptable)behavior.
ReportingViolationsEveryone—includingcandidates,volunteers,members,certifiedindividuals,andthepublic—hasaroleinensuringthatTheIIA’sexaminformationandintellectualpropertyremainsconfidential.IfyouwitnessunusualorinappropriatebehavioratatestcenterrelatedtoIIAexamcontent,receiveorbecomeawareofoffers/advertisementsforthesaleofIIAcertificationexamquestionsandanswers,orifyouhavequestions,comments,orconcernsregardingexamsecurity,pleasecontactIIAExamSecurityatexamsecurity@theiia.orgtoconfidentiallyprovideinformation.
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ConsequencesofViolationsIf The IIA discovers any violationor irregularity, onor after theexamday, The IIAmaywithholdor invalidate your examscore(s).IrregularitiesoccurwhenacaseorpatterncausesTheIIAtoquestionthevalidityofexamscores,including:
• Suspectedexposure(purposefuloraccidental)toexamcontent;
• Unusualanswerpatterns;
• Unusualscorechanges;or
• Inconsistentperformanceondifferentpartsoftheexam.
TheIIAwillinvestigateallinstancesofallegedmisconduct,irregularities,orbreachesofTheIIA’sCodeofEthicsaccordingtotheProcessforDispositiononCertificationViolationforTheIIA’sCertificationCandidatesandCertification/QualificationHolders.
TheIIA’sexamsareconfidentialandsecure,protectedbycivilandcriminallawsoftheUnitedStatesandelsewhere.TheIIAmaytakeactiontotheextentpermittedbylaw.
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APPENDIX B Helpful Links
BEFOREAPPLICATION
TheIIA https://global.theiia.org/Pages/globaliiaHome.aspx
IIAMembership https://join.theiia.org/Pages/default.aspx
IIACertifications https://global.theiia.org/certification/Pages/Certification.aspx
CCMS https://www.theiia.org/ccms
DURINGTHEAPPLICATIONPROCESS
CodeofEthics https://global.theiia.org/standards-guidance/mandatory-guidance/Pages/Code-of-Ethics.aspx
ExamLanguageOfferings
https://global.theiia.org/certification/Pages/Exam-Language-Offerings.aspx
ExamSecurity www.theiia.org/examsecurityGL
ExamTutorials https://global.theiia.org/certification/Pages/CBT-Exam-Tutorial.aspx
PaymentOptions https://global.theiia.org/about/about-the-iia/Pages/Payment-Options.aspx
PearsonVUE www.pearsonvue.com/iia
PhotoIDPolicy https://www.theiia.org/exam-id
PricingStructure(NorthAmerica)
https://na.theiia.org/certification/Pages/Pricing-Structure.aspx
PricingStructure(outsideNorthAmerica)
https://global.theiia.org/certification/Pages/Pricing-Structure.aspx
StudyResources https://global.theiia.org/certification/enrolled/Pages/Exam-Preparation-Resources.aspx
CIAPracticeTests(practicetestsareavailableinselectlanguages)
https://global.theiia.org/certification/CIA-Certification/Pages/Certified-Internal-Auditor-CIA-Practice-Exams.aspx
WhattoExpectataPearsonVUETestCenter
https://global.theiia.org/certification/Pages/CBT-Exam-Tutorial.aspx
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AFTERCERTIFICATION
CPEPolicy www.theiia.org/CPE-Policy
CPEReporting https://global.theiia.org/certification/certified/Pages/CPE-Requirements.aspx
CPEReportingSteps
https://global.theiia.org/certification/certified/Pages/CPE-Reporting-Steps.aspx
SocialMediaandBadging
https://global.theiia.org/certification/Pages/Certifications-Social-Media-and-Badging.aspx
CertificationRegistry
https://global.theiia.org/certification/Pages/The-IIA-Certification-Registry.aspx
CertificationFrames
https://global.theiia.org/certification/Pages/Certifications-Merchandise.aspx
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APPENDIX C Nondisclosure Agreement and General Terms of Use Priortostartingtheexam,youwillbeaskedtoreadandacceptthetermsbelow.Ifyoudonotaccepttheterms,yourexamwillnotbedeliveredandyouwillforfeittheexamfee.Toprepareyouforexamday,thetermsareasfollows:
IagreetocomplywithandbeboundbyTheIIA’srules,includingthisnondisclosureagreementandgeneraltermsofuse.
I understand that The IIA’s exam is confidential and secure, protected by civil and criminal laws of theUnited States andelsewhere.Thisexamisconfidentialandisprotectedbycopyrightlaw.
Ihavenotaccessedlivequestionsthatmightappearonmyexam.Iagreenottodiscussthecontentoftheexamwithanyone.
Iwillnotrecord,copy,disclose,publish,orreproduceanyexamquestionsoranswers,inwholeorinpart,inanyformorbyanymeansbefore,during,orafterItakeanexam,includingorally;inwriting;inanyinternetchatroom,messageboard,orforum;bySMSortext;orotherwise.
Ihaveread,understand,andagreetothetermsandconditionssetforthinTheIIA’sCertificationCandidateHandbook,includingfees,policies,andscoreinvalidationsformisconduct,irregularities,orbreachesofTheIIA’sCodeofEthics.
IagreethatTheIIAhastherighttowithholdorinvalidateanyexamscorewhen,inTheIIA’sjudgment,thereisagoodfaithbasistoquestionthevalidityofascoreforanyreason.
IunderstandthatifIdonotagreetothisnondisclosureagreementandtheseconditions,Iwillnotbepermittedtotaketheexam,andIwillforfeitmyexamfee.
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TheInstituteofInternalAuditors(IIA)isaninternationalprofessionalassociationwithglobalheadquartersinLakeMary,Florida,USA.Withmorethan200,000members,TheIIAistheinternalauditprofession’sglobalvoice,recognizedauthority,acknowledgedleader,chiefadvocate,andprincipaleducator.There are more than 200,000 IIA certified individuals worldwide. In addition to global certificationprograms, IIA members enjoy benefits such as access to local, national, and global professionalnetworking; world-class training; standards and guidance; research; executive development; careeropportunities;andresourcessuchasIIAQualityServices,LLC.
GlobalHeadquarters1035GreenwoodBlvd.,Suite401LakeMary,Florida32746USA
T +1-407-937-1111E CustomerRelations@theiia.orgW www.globaliia.org/certification
2019
-166
9PR
INTEDINTHE
U.S.A.