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

18

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.

19

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.