organization name - institute of internal auditors · the following results are based on your...
TRANSCRIPT
Organization Name
Date
Skills Assessment
1
SAMPLE
Participants By Role
CAE: 1
Reviewer/Manager: 2
Lead Auditor: 2
Staff Auditor: 2
Total: 7
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Your suggestions for improvement are always welcome and can be submitted via e-mail to [email protected].
Rating Table
The following results are based on your team's participation in the IIA Skills Assessment. Each summary is calculated by:- Total team members where their Level of Skill Exceeds the Requirements for their Role by each competency task/skill.- Total team members that Exhibit the Competency Needed for their Role by each competency task/skill.- Total team members where Further Skill Development Needed by each competency task/skill.
Please view the rating table on to see the minimum value assigned for each competency tas/skill by role.
2
SAMPLE
Table of Contents
Results Dashboard - By Role and CompetencyResults Dashboard - By Role OverallTeam Results - Summary Table ……………………….... CAE Results - Summary Table ………………………….. Reviewer/Manager - Summary Table …………………….... Lead Auditor - Summary Table ……………………… Staff Auditor - Summary Table ………………………... Team Results - Participant Detail...........................................Rating Table.............................................................
Page 4Page 5Page 6, 7Page 8, 9Page 10, 11Page 12, 13Page 14,15Page 16 - 29Page 15
3
SAMPLE
Results Dasboard - By Role and Competency
43%
46%
54%
24%
29%
36%
26%
29%
33%
29%
9%
28%
29%
29%
21%
39%
29%
36%
36%
29%
49%
26%
17%
48%
50%
25%
45%
36%
31%
43%
Ethics
Internal Audit Management
IPPF
Governance and Risk Management
Business Acumen
Communication
Persuasion and Collaboration
Critical Thinking
Internal Audit Delivery
Improvement and Innovation
Overall Team CAE
Reviewer/Manager Lead Auditor Staff Auditor
50%
58%
83%
33%
38%
50%
50%
50%
50%
50%
0%
42%
17%
33%
25%
50%
33%
38%
36%
30%
50%
0%
0%
33%
38%
0%
17%
13%
14%
20%
Ethics
Internal Audit Management
IPPF
Governance and Risk Management
Business Acumen
Communication
Persuasion and Collaboration
Critical Thinking
Internal Audit Delivery
Improvement and Innovation
Level of Skills Exceeds Requirements for the Role:
Exhibits Competency Needed for Role:
Further Skill Development Needed:
Legend
Participants: 7 Participants: 1
Participants: 2 Participants: 2 Participants: 2
60%
71%
83%
50%
63%
38%
42%
50%
57%
50%
20%
29%
8%
50%
38%
50%
58%
50%
36%
40%
20%
0%
8%
0%
0%
13%
0%
0%
7%
10%
Ethics
Internal Audit Management
IPPF
Governance and Risk Management
Business Acumen
Communication
Persuasion and Collaboration
Critical Thinking
Internal Audit Delivery
Improvement and Innovation
40%
17%
21%
0%
0%
38%
0%
0%
0%
0%
10%
33%
64%
17%
0%
38%
8%
25%
50%
30%
50%
50%
14%
83%
100%
25%
92%
75%
50%
70%
Ethics
Internal Audit Management
IPPF
Governance and Risk Management
Business Acumen
Communication
Persuasion and Collaboration
Critical Thinking
Internal Audit Delivery
Improvement and Innovation
0%
0%
0%
0%
0%
0%
0%
0%
0%
0%
0%
0%
17%
0%
25%
0%
0%
25%
14%
0%
100%
100%
83%
100%
75%
100%
100%
75%
86%
100%
Ethics
Internal Audit Management
IPPF
Governance and Risk Management
Business Acumen
Communication
Persuasion and Collaboration
Critical Thinking
Internal Audit Delivery
Improvement and Innovation
4
SAMPLE
Level of Skills Exceeds Requirements for the Role:
Exhibits Competency Needed for Role:
Further Skill Development Needed:
36%
28%
36%
Overall Team CAE
0%
8%
92%
Reviewer/Manager Lead Auditor Staff Auditor
58%
37%
6%
54%29%
17% 12%
29%59%
Results Dasboard - By Role Legend
Participants:
Participants: Participants: Participants:
Participants:7 1
2 2 2
5
SAMPLE
Team Summary
Competency Task/Skill
Further Skill
Development
Needed
Exhibits
Competency
Needed for Role
Level of Skills
Exceeds
Requirements for the
Role
Ethics Maintains integrity in all activities 3 1 3
Ethics Maintains objectivity in appearance and fact 4 0 3
Ethics Takes personal accountability for responsibilities 4 0 3
Ethics Protects confidential information 2 1 4
EthicsAdvocates the use of ethical principles and values to the
activities/functions being audited2 1 4
Internal Audit Management Ensures the independence of the audit function 1 1 1
Internal Audit ManagementManage department/team/individual time and other resources for greatest
efficiency and effectiveness4 2 1
Internal Audit ManagementWorks within team structure, delegating or receiving delegated tasks best
supporting team efforts2 3 2
Internal Audit Management Attracts qualified personnel to internal audit 2 2 3
Internal Audit Management Provides opportunities for personnel development of subordinates 2 2 1
Internal Audit ManagementMaintains department/team competencies necessary for execution of
responsibilities4 0 1
Internal Audit ManagementMonitors subordinates’ performance and workload and provides
constructive and timely feedback3 1 1
IPPF Maintains current knowledge of the IPPF 5 1 1
IPPFDemonstrates appropriate use and interpretation of the IPPF, seeking
consultation if applicability is unclear6 0 1
IPPF Adopts a risk-based approach to all activities 3 3 1
IPPFExemplifies and monitors due professional care when conducting audit
assignments3 3 0
IPPF Understand fraud risk and how to address within internal audit 4 1 2
IPPF Understands technology risks and how to address within internal audit 2 3 2
IPPF Supports function’s quality assurance program 3 3 1
Governance and Risk Management Understands governance, risk and compliance frameworks 2 1 4
Governance and Risk ManagementKnowledgeable of internal and external events & circumstances involving
governance, and understands impact to the organization.0 3 4
Governance and Risk Management Applies understanding of risk theory to audit activities 3 2 2
Business AcumenUnderstands the organization’s external environment and impact to
organization’s strategies and objectives2 2 3
Business AcumenUnderstands the organization’s alignment of strategies and objectives
with the mission and vision of the organization3 1 3
Business AcumenUnderstands the risk and risk mitigation activities associated with the
organization’s strategies and objectives3 0 4
Business AcumenKeeps current on changes in the organization’s environment, strategies,
objectives, risks and risk mitigation activities.0 3 4
Communication Uses appropriate communication methods 1 4 2
CommunicationModifies communication style based on other party of the
communications3 3 1
Communication Uses effective verbal communication skills 3 3 1
Communication Effectively communicates in writing 3 1 3
Persuasion and CollaborationUnderstands factors that motivate and effect a person’s behavior such as
personality types, organizational politics, differing objectives, etc.2 1 4
Persuasion and CollaborationEstablishes relationships with key stakeholders and clients that support
internal audit work2 2 3
Persuasion and Collaboration Collaborates with others to accomplish objectives 1 3 3
Persuasion and Collaboration Manages conflict effectively accomplishing desired objectives 3 2 2
Persuasion and CollaborationAble to persuade and lead through influence, expertise, credibility, and
sensitivity2 1 4
Persuasion and CollaborationEngage with others with an open mind and consideration of their
perspectives1 3 3
36%
28%
36%
Further Skill Development Needed
Exhibits Competency Needed for Role
Level of Skills Exceeds Requirements for the Role
Overall Score
6
SAMPLE
Team Summary
Competency Task/Skill
Further Skill
Development
Needed
Exhibits
Competency
Needed for Role
Level of Skills
Exceeds
Requirements for the
Role
Critical ThinkingDefines core considerations and gathers all relevant data/information for
identified issues and questions, considering the impact of culture3 1 3
Critical ThinkingUses best techniques to analyze and drive to root causes for identified
issues and questions3 3 1
Critical ThinkingIdentifies responsive, efficient, and innovative solutions to identified
issues and questions1 4 2
Critical Thinking
Defines considerations, gathers information, analyzes information,
focuses on root cause, and identifies solutions for unusually complex or
difficult issues and questions
1 2 4
Internal Audit Delivery Defines audit projects supporting objectives of the audit function 3 0 2
Internal Audit Delivery Plans audit projects to accomplish objectives 2 2 1
Internal Audit DeliveryExecutes procedures to gather and evaluate evidence to accomplish
audit objectives2 3 2
Internal Audit DeliveryDocuments and organizes audit evidence in conformance with quality
standards3 1 3
Internal Audit Delivery Manages resources during audit work to ensure delivery of results timely 2 2 3
Internal Audit DeliveryEvaluates audit evidence with focus on risk, root cause, and options for
improvement1 3 3
Internal Audit DeliveryCommunicates audit results to management accurately, completely, in a
balanced manner, and timely2 5 0
Improvement and InnovationChampions/supports change within the organization to further
accomplishment of its mission and purpose1 1 5
Improvement and InnovationChampion/support change within the internal audit function that furthers
accomplishment of its mission and purpose1 2 4
Improvement and InnovationExhibit/foster an attitude open to new ideas, challenges to the status quo,
and continuous improvement2 3 2
Improvement and InnovationPromotes and supports internal audit’s quality assurance and
improvement program efforts3 2 2
Improvement and InnovationPursue personal and professional development using internal and
external resources3 2 2
7
SAMPLE
CAE Summary
Competency Task/Skill
Further Skill
Development
Needed
Exhibits
Competency
Needed for Role
Level of Skills
Exceeds
Requirements for the
Role
Ethics Maintains integrity in all activities 0 0 1
Ethics Maintains objectivity in appearance and fact 0 0 1
Ethics Takes personal accountability for responsibilities 0 0 1
Ethics Protects confidential information 0 0 1
EthicsAdvocates the use of ethical principles and values to the
activities/functions being audited0 0 1
Internal Audit Management Ensures the independence of the audit function 0 0 1
Internal Audit ManagementManage department/team/individual time and other resources for greatest
efficiency and effectiveness0 0 1
Internal Audit ManagementWorks within team structure, delegating or receiving delegated tasks best
supporting team efforts0 0 1
Internal Audit Management Attracts qualified personnel to internal audit 0 0 1
Internal Audit Management Provides opportunities for personnel development of subordinates 0 0 1
Internal Audit ManagementMaintains department/team competencies necessary for execution of
responsibilities0 0 1
Internal Audit ManagementMonitors subordinates’ performance and workload and provides
constructive and timely feedback0 0 1
IPPF Maintains current knowledge of the IPPF 0 0 1
IPPFDemonstrates appropriate use and interpretation of the IPPF, seeking
consultation if applicability is unclear0 0 1
IPPF Adopts a risk-based approach to all activities 0 0 1
IPPFExemplifies and monitors due professional care when conducting audit
assignmentsN/A N/A N/A
IPPF Understand fraud risk and how to address within internal audit 0 0 1
IPPF Understands technology risks and how to address within internal audit 0 0 1
IPPF Supports function’s quality assurance program 0 1 0
Governance and Risk Management Understands governance, risk and compliance frameworks 0 0 1
Governance and Risk ManagementKnowledgeable of internal and external events & circumstances involving
governance, and understands impact to the organization.0 0 1
Governance and Risk Management Applies understanding of risk theory to audit activities 0 0 1
Business AcumenUnderstands the organization’s external environment and impact to
organization’s strategies and objectives0 0 1
Business AcumenUnderstands the organization’s alignment of strategies and objectives
with the mission and vision of the organization0 1 0
Business AcumenUnderstands the risk and risk mitigation activities associated with the
organization’s strategies and objectives0 0 1
Business AcumenKeeps current on changes in the organization’s environment, strategies,
objectives, risks and risk mitigation activities.0 0 1
Communication Uses appropriate communication methods 0 0 1
CommunicationModifies communication style based on other party of the
communications0 0 1
Communication Uses effective verbal communication skills 0 0 1
Communication Effectively communicates in writing 0 0 1
Persuasion and CollaborationUnderstands factors that motivate and effect a person’s behavior such as
personality types, organizational politics, differing objectives, etc.0 0 1
Persuasion and CollaborationEstablishes relationships with key stakeholders and clients that support
internal audit work0 0 1
Persuasion and Collaboration Collaborates with others to accomplish objectives 0 0 1
Persuasion and Collaboration Manages conflict effectively accomplishing desired objectives 0 0 1
Persuasion and CollaborationAble to persuade and lead through influence, expertise, credibility, and
sensitivity0 0 1
Persuasion and CollaborationEngage with others with an open mind and consideration of their
perspectives0 0 1
0%
8%
92%
Further Skill Development Needed
Exhibits Competency Needed for Role
Level of Skills Exceeds Requirements for the Role
Overall Score
8
SAMPLE
CAE Summary
Competency Task/Skill
Further Skill
Development
Needed
Exhibits
Competency
Needed for Role
Level of Skills
Exceeds
Requirements for the
Role
Critical ThinkingDefines core considerations and gathers all relevant data/information for
identified issues and questions, considering the impact of culture0 0 1
Critical ThinkingUses best techniques to analyze and drive to root causes for identified
issues and questions0 1 0
Critical ThinkingIdentifies responsive, efficient, and innovative solutions to identified
issues and questions0 0 1
Critical Thinking
Defines considerations, gathers information, analyzes information,
focuses on root cause, and identifies solutions for unusually complex or
difficult issues and questions
0 0 1
Internal Audit Delivery Defines audit projects supporting objectives of the audit function 0 0 1
Internal Audit Delivery Plans audit projects to accomplish objectives 0 0 1
Internal Audit DeliveryExecutes procedures to gather and evaluate evidence to accomplish
audit objectives0 0 1
Internal Audit DeliveryDocuments and organizes audit evidence in conformance with quality
standards0 0 1
Internal Audit Delivery Manages resources during audit work to ensure delivery of results timely 0 0 1
Internal Audit DeliveryEvaluates audit evidence with focus on risk, root cause, and options for
improvement0 0 1
Internal Audit DeliveryCommunicates audit results to management accurately, completely, in a
balanced manner, and timely0 1 0
Improvement and InnovationChampions/supports change within the organization to further
accomplishment of its mission and purpose0 0 1
Improvement and InnovationChampion/support change within the internal audit function that furthers
accomplishment of its mission and purpose0 0 1
Improvement and InnovationExhibit/foster an attitude open to new ideas, challenges to the status quo,
and continuous improvement0 0 1
Improvement and InnovationPromotes and supports internal audit’s quality assurance and
improvement program efforts0 0 1
Improvement and InnovationPursue personal and professional development using internal and
external resources0 0 1
9
SAMPLE
Reviewer/Manager
Competency Task/Skill
Further Skill
Development
Needed
Exhibits
Competency
Needed for Role
Level of Skills
Exceeds
Requirements for the
Role
Ethics Maintains integrity in all activities 1 1 0
Ethics Maintains objectivity in appearance and fact 2 0 0
Ethics Takes personal accountability for responsibilities 2 0 0
Ethics Protects confidential information 0 1 1
EthicsAdvocates the use of ethical principles and values to the
activities/functions being audited1 0 1
Internal Audit Management Ensures the independence of the audit function 1 1 0
Internal Audit ManagementManage department/team/individual time and other resources for greatest
efficiency and effectiveness2 0 0
Internal Audit ManagementWorks within team structure, delegating or receiving delegated tasks best
supporting team efforts1 1 0
Internal Audit Management Attracts qualified personnel to internal audit 1 1 0
Internal Audit Management Provides opportunities for personnel development of subordinates 1 1 0
Internal Audit ManagementMaintains department/team competencies necessary for execution of
responsibilities2 0 0
Internal Audit ManagementMonitors subordinates’ performance and workload and provides
constructive and timely feedback2 0 0
IPPF Maintains current knowledge of the IPPF 2 0 0
IPPFDemonstrates appropriate use and interpretation of the IPPF, seeking
consultation if applicability is unclear2 0 0
IPPF Adopts a risk-based approach to all activities 2 0 0
IPPFExemplifies and monitors due professional care when conducting audit
assignments1 1 0
IPPF Understand fraud risk and how to address within internal audit 2 0 0
IPPF Understands technology risks and how to address within internal audit 0 1 1
IPPF Supports function’s quality assurance program 2 0 0
Governance and Risk Management Understands governance, risk and compliance frameworks 1 1 0
Governance and Risk ManagementKnowledgeable of internal and external events & circumstances involving
governance, and understands impact to the organization.0 2 0
Governance and Risk Management Applies understanding of risk theory to audit activities 2 0 0
Business AcumenUnderstands the organization’s external environment and impact to
organization’s strategies and objectives1 1 0
Business AcumenUnderstands the organization’s alignment of strategies and objectives
with the mission and vision of the organization2 0 0
Business AcumenUnderstands the risk and risk mitigation activities associated with the
organization’s strategies and objectives2 0 0
Business AcumenKeeps current on changes in the organization’s environment, strategies,
objectives, risks and risk mitigation activities.0 2 0
Communication Uses appropriate communication methods 0 2 0
CommunicationModifies communication style based on other party of the
communications1 1 0
Communication Uses effective verbal communication skills 1 1 0
Communication Effectively communicates in writing 1 0 1
Persuasion and CollaborationUnderstands factors that motivate and effect a person’s behavior such as
personality types, organizational politics, differing objectives, etc.1 1 0
Persuasion and CollaborationEstablishes relationships with key stakeholders and clients that support
internal audit work1 1 0
Persuasion and Collaboration Collaborates with others to accomplish objectives 0 2 0
Persuasion and Collaboration Manages conflict effectively accomplishing desired objectives 2 0 0
Persuasion and CollaborationAble to persuade and lead through influence, expertise, credibility, and
sensitivity1 1 0
Persuasion and CollaborationEngage with others with an open mind and consideration of their
perspectives0 2 0
58%
36%6%
Further Skill Development Needed
Exhibits Competency Needed for Role
Level of Skills Exceeds Requirements for the Role
Overall Score
37%
10
SAMPLE
Reviewer/Manager
Competency Task/Skill
Further Skill
Development
Needed
Exhibits
Competency
Needed for Role
Level of Skills
Exceeds
Requirements for the
Role
Critical ThinkingDefines core considerations and gathers all relevant data/information for
identified issues and questions, considering the impact of culture2 0 0
Critical ThinkingUses best techniques to analyze and drive to root causes for identified
issues and questions2 0 0
Critical ThinkingIdentifies responsive, efficient, and innovative solutions to identified
issues and questions0 2 0
Critical Thinking
Defines considerations, gathers information, analyzes information,
focuses on root cause, and identifies solutions for unusually complex or
difficult issues and questions
0 2 0
Internal Audit Delivery Defines audit projects supporting objectives of the audit function 2 0 0
Internal Audit Delivery Plans audit projects to accomplish objectives 1 1 0
Internal Audit DeliveryExecutes procedures to gather and evaluate evidence to accomplish
audit objectives1 1 0
Internal Audit DeliveryDocuments and organizes audit evidence in conformance with quality
standards2 0 0
Internal Audit Delivery Manages resources during audit work to ensure delivery of results timely 1 1 0
Internal Audit DeliveryEvaluates audit evidence with focus on risk, root cause, and options for
improvement0 1 1
Internal Audit DeliveryCommunicates audit results to management accurately, completely, in a
balanced manner, and timely1 1 0
Improvement and InnovationChampions/supports change within the organization to further
accomplishment of its mission and purpose0 1 1
Improvement and InnovationChampion/support change within the internal audit function that furthers
accomplishment of its mission and purpose0 2 0
Improvement and InnovationExhibit/foster an attitude open to new ideas, challenges to the status quo,
and continuous improvement1 1 0
Improvement and InnovationPromotes and supports internal audit’s quality assurance and
improvement program efforts2 0 0
Improvement and InnovationPursue personal and professional development using internal and
external resources2 0 0
11
SAMPLE
Lead Auditor
Competency Task/Skill
Further Skill
Development
Needed
Exhibits
Competency
Needed for Role
Level of Skills
Exceeds
Requirements for the
Role
Ethics Maintains integrity in all activities 1 0 1
Ethics Maintains objectivity in appearance and fact 1 1 1
Ethics Takes personal accountability for responsibilities 1 1 1
Ethics Protects confidential information 1 1 1
EthicsAdvocates the use of ethical principles and values to the
activities/functions being audited1 1 1
Internal Audit Management Ensures the independence of the audit function N/A N/A N/A
Internal Audit ManagementManage department/team/individual time and other resources for greatest
efficiency and effectiveness1 1 0
Internal Audit ManagementWorks within team structure, delegating or receiving delegated tasks best
supporting team efforts1 1 0
Internal Audit Management Attracts qualified personnel to internal audit 1 1 0
Internal Audit Management Provides opportunities for personnel development of subordinates 1 1 0
Internal Audit ManagementMaintains department/team competencies necessary for execution of
responsibilities2 1 0
Internal Audit ManagementMonitors subordinates’ performance and workload and provides
constructive and timely feedback1 1 0
IPPF Maintains current knowledge of the IPPF 2 1 0
IPPFDemonstrates appropriate use and interpretation of the IPPF, seeking
consultation if applicability is unclear2 1 0
IPPF Adopts a risk-based approach to all activities 1 1 0
IPPFExemplifies and monitors due professional care when conducting audit
assignments2 1 0
IPPF Understand fraud risk and how to address within internal audit 2 1 0
IPPF Understands technology risks and how to address within internal audit 2 1 0
IPPF Supports function’s quality assurance program 1 1 0
Governance and Risk Management Understands governance, risk and compliance frameworks 1 1 1
Governance and Risk ManagementKnowledgeable of internal and external events & circumstances involving
governance, and understands impact to the organization.0 1 1
Governance and Risk Management Applies understanding of risk theory to audit activities 1 1 0
Business AcumenUnderstands the organization’s external environment and impact to
organization’s strategies and objectives1 1 0
Business AcumenUnderstands the organization’s alignment of strategies and objectives
with the mission and vision of the organization1 1 1
Business AcumenUnderstands the risk and risk mitigation activities associated with the
organization’s strategies and objectives1 1 1
Business AcumenKeeps current on changes in the organization’s environment, strategies,
objectives, risks and risk mitigation activities.0 1 1
Communication Uses appropriate communication methods 1 1 0
CommunicationModifies communication style based on other party of the
communications1 1 0
Communication Uses effective verbal communication skills 1 1 0
Communication Effectively communicates in writing 1 1 0
Persuasion and CollaborationUnderstands factors that motivate and effect a person’s behavior such as
personality types, organizational politics, differing objectives, etc.1 1 1
Persuasion and CollaborationEstablishes relationships with key stakeholders and clients that support
internal audit work1 1 0
Persuasion and Collaboration Collaborates with others to accomplish objectives 1 1 0
Persuasion and Collaboration Manages conflict effectively accomplishing desired objectives 1 1 0
Persuasion and CollaborationAble to persuade and lead through influence, expertise, credibility, and
sensitivity1 1 1
Persuasion and CollaborationEngage with others with an open mind and consideration of their
perspectives1 1 0
54%29%
17%
Further Skill Development Needed
Exhibits Competency Needed for Role
Level of Skills Exceeds Requirements for the Role
Overall Score
12
SAMPLE
Lead Auditor
Competency Task/Skill
Further Skill
Development
Needed
Exhibits
Competency
Needed for Role
Level of Skills
Exceeds
Requirements for the
Role
Critical ThinkingDefines core considerations and gathers all relevant data/information for
identified issues and questions, considering the impact of culture1 1 0
Critical ThinkingUses best techniques to analyze and drive to root causes for identified
issues and questions1 1 0
Critical ThinkingIdentifies responsive, efficient, and innovative solutions to identified
issues and questions1 1 0
Critical Thinking
Defines considerations, gathers information, analyzes information,
focuses on root cause, and identifies solutions for unusually complex or
difficult issues and questions
1 0 1
Internal Audit Delivery Defines audit projects supporting objectives of the audit function 1 0 1
Internal Audit Delivery Plans audit projects to accomplish objectives 1 1 0
Internal Audit DeliveryExecutes procedures to gather and evaluate evidence to accomplish
audit objectives1 1 0
Internal Audit DeliveryDocuments and organizes audit evidence in conformance with quality
standards1 1 0
Internal Audit Delivery Manages resources during audit work to ensure delivery of results timely 1 0 1
Internal Audit DeliveryEvaluates audit evidence with focus on risk, root cause, and options for
improvement1 1 0
Internal Audit DeliveryCommunicates audit results to management accurately, completely, in a
balanced manner, and timely1 1 0
Improvement and InnovationChampions/supports change within the organization to further
accomplishment of its mission and purpose1 0 1
Improvement and InnovationChampion/support change within the internal audit function that furthers
accomplishment of its mission and purpose1 0 1
Improvement and InnovationExhibit/foster an attitude open to new ideas, challenges to the status quo,
and continuous improvement1 1 0
Improvement and InnovationPromotes and supports internal audit’s quality assurance and
improvement program efforts1 1 0
Improvement and InnovationPursue personal and professional development using internal and
external resources1 1 0
13
SAMPLE
Staff Auditor
Competency Task/Skill
Further Skill
Development
Needed
Exhibits
Competency
Needed for Role
Level of Skills
Exceeds
Requirements for the
Role
Ethics Maintains integrity in all activities 1 0 1
Ethics Maintains objectivity in appearance and fact 1 0 1
Ethics Takes personal accountability for responsibilities 1 0 1
Ethics Protects confidential information 1 0 1
EthicsAdvocates the use of ethical principles and values to the
activities/functions being audited0 1 1
Internal Audit Management Ensures the independence of the audit function N/A N/A N/A
Internal Audit ManagementManage department/team/individual time and other resources for greatest
efficiency and effectiveness1 1 0
Internal Audit ManagementWorks within team structure, delegating or receiving delegated tasks best
supporting team efforts0 1 1
Internal Audit Management Attracts qualified personnel to internal audit 0 0 2
Internal Audit Management Provides opportunities for personnel development of subordinates N/A N/A N/A
Internal Audit ManagementMaintains department/team competencies necessary for execution of
responsibilitiesN/A N/A N/A
Internal Audit ManagementMonitors subordinates’ performance and workload and provides
constructive and timely feedbackN/A N/A N/A
IPPF Maintains current knowledge of the IPPF 1 1 0
IPPFDemonstrates appropriate use and interpretation of the IPPF, seeking
consultation if applicability is unclear2 0 0
IPPF Adopts a risk-based approach to all activities 0 2 0
IPPFExemplifies and monitors due professional care when conducting audit
assignments0 2 0
IPPF Understand fraud risk and how to address within internal audit 0 1 1
IPPF Understands technology risks and how to address within internal audit 0 2 0
IPPF Supports function’s quality assurance program 0 1 1
Governance and Risk Management Understands governance, risk and compliance frameworks 0 0 2
Governance and Risk ManagementKnowledgeable of internal and external events & circumstances involving
governance, and understands impact to the organization.0 0 2
Governance and Risk Management Applies understanding of risk theory to audit activities 0 1 1
Business AcumenUnderstands the organization’s external environment and impact to
organization’s strategies and objectives0 0 2
Business AcumenUnderstands the organization’s alignment of strategies and objectives
with the mission and vision of the organization0 0 2
Business AcumenUnderstands the risk and risk mitigation activities associated with the
organization’s strategies and objectives0 0 2
Business AcumenKeeps current on changes in the organization’s environment, strategies,
objectives, risks and risk mitigation activities.0 0 2
Communication Uses appropriate communication methods 0 1 1
CommunicationModifies communication style based on other party of the
communications1 1 0
Communication Uses effective verbal communication skills 1 1 0
Communication Effectively communicates in writing 1 0 1
Persuasion and CollaborationUnderstands factors that motivate and effect a person’s behavior such as
personality types, organizational politics, differing objectives, etc.0 0 2
Persuasion and CollaborationEstablishes relationships with key stakeholders and clients that support
internal audit work0 0 2
Persuasion and Collaboration Collaborates with others to accomplish objectives 0 0 2
Persuasion and Collaboration Manages conflict effectively accomplishing desired objectives 0 1 1
Persuasion and CollaborationAble to persuade and lead through influence, expertise, credibility, and
sensitivity0 0 2
Persuasion and CollaborationEngage with others with an open mind and consideration of their
perspectives0 0 2
12%
29%59%
Further Skill Development Needed
Exhibits Competency Needed for Role
Level of Skills Exceeds Requirements for the Role
Overall Score
14
SAMPLE
Staff Auditor
Competency Task/Skill
Further Skill
Development
Needed
Exhibits
Competency
Needed for Role
Level of Skills
Exceeds
Requirements for the
Role
Critical ThinkingDefines core considerations and gathers all relevant data/information for
identified issues and questions, considering the impact of culture0 0 2
Critical ThinkingUses best techniques to analyze and drive to root causes for identified
issues and questions0 1 1
Critical ThinkingIdentifies responsive, efficient, and innovative solutions to identified
issues and questions0 1 1
Critical Thinking
Defines considerations, gathers information, analyzes information,
focuses on root cause, and identifies solutions for unusually complex or
difficult issues and questions
0 0 2
Internal Audit Delivery Defines audit projects supporting objectives of the audit function N/A N/A N/A
Internal Audit Delivery Plans audit projects to accomplish objectives N/A N/A N/A
Internal Audit DeliveryExecutes procedures to gather and evaluate evidence to accomplish
audit objectives0 1 1
Internal Audit DeliveryDocuments and organizes audit evidence in conformance with quality
standards0 0 2
Internal Audit Delivery Manages resources during audit work to ensure delivery of results timely 0 1 1
Internal Audit DeliveryEvaluates audit evidence with focus on risk, root cause, and options for
improvement0 1 1
Internal Audit DeliveryCommunicates audit results to management accurately, completely, in a
balanced manner, and timely0 2 0
Improvement and InnovationChampion/support change within the internal audit function that furthers
accomplishment of its mission and purpose0 0 2
Improvement and InnovationExhibit/foster an attitude open to new ideas, challenges to the status quo,
and continuous improvement0 1 1
Improvement and InnovationPromotes and supports internal audit’s quality assurance and
improvement program efforts0 1 1
Improvement and InnovationPursue personal and professional development using internal and
external resources0 1 1
15
SAMPLE
Competency Task/Skill Rating Expected Rating GAP
Ethics Maintains integrity in all activities 5 4 1
Ethics Maintains objectivity in appearance and fact 5 4 1
Ethics Takes personal accountability for responsibilities 5 4 1
Ethics Protects confidential information 5 4 1
EthicsAdvocates the use of ethical principles and values to the
activities/functions being audited5 4 1
Internal Audit Management Ensures the independence of the audit function 4 3 1
Internal Audit ManagementManage department/team/individual time and other resources for greatest
efficiency and effectiveness5 4 1
Internal Audit ManagementWorks within team structure, delegating or receiving delegated tasks best
supporting team efforts5 4 1
Internal Audit Management Attracts qualified personnel to internal audit 5 3 2
Internal Audit Management Provides opportunities for personnel development of subordinates 5 4 1
Internal Audit ManagementMaintains department/team competencies necessary for execution of
responsibilities5 3 2
Internal Audit ManagementMonitors subordinates’ performance and workload and provides
constructive and timely feedback5 4 1
IPPF Maintains current knowledge of the IPPF 5 4 1
IPPFDemonstrates appropriate use and interpretation of the IPPF, seeking
consultation if applicability is unclear5 4 1
IPPF Adopts a risk-based approach to all activities 5 4 1
IPPFExemplifies and monitors due professional care when conducting audit
assignmentsN/A N/A N/A
IPPF Understand fraud risk and how to address within internal audit 5 4 1
IPPF Understands technology risks and how to address within internal audit 5 3 2
IPPF Supports function’s quality assurance program 4 4 0
Governance and Risk Management Understands governance, risk and compliance frameworks 5 3 2
Governance and Risk ManagementKnowledgeable of internal and external events & circumstances involving
governance, and understands impact to the organization.5 3 2
Governance and Risk Management Applies understanding of risk theory to audit activities 5 4 1
Business AcumenUnderstands the organization’s external environment and impact to
organization’s strategies and objectives4 3 1
Business AcumenUnderstands the organization’s alignment of strategies and objectives
with the mission and vision of the organization4 4 0
Business AcumenUnderstands the risk and risk mitigation activities associated with the
organization’s strategies and objectives5 4 1
Business AcumenKeeps current on changes in the organization’s environment, strategies,
objectives, risks and risk mitigation activities.5 3 2
Communication Uses appropriate communication methods 5 3 2
CommunicationModifies communication style based on other party of the
communications5 3 2
Communication Uses effective verbal communication skills 5 3 2
Communication Effectively communicates in writing 5 3 2
Persuasion and CollaborationUnderstands factors that motivate and effect a person’s behavior such as
personality types, organizational politics, differing objectives, etc.5 3 2
Persuasion and CollaborationEstablishes relationships with key stakeholders and clients that support
internal audit work5 3 2
Persuasion and Collaboration Collaborates with others to accomplish objectives 5 4 1
Persuasion and Collaboration Manages conflict effectively accomplishing desired objectives 5 4 1
Persuasion and CollaborationAble to persuade and lead through influence, expertise, credibility, and
sensitivity5 4 1
Persuasion and CollaborationEngage with others with an open mind and consideration of their
perspectives5 3 2
Staff Member Name: Name
Job Role: Chief Audit Executive (CAE)
Level of Skills Exceeds Requirements for the Role:
Exhibits Competency Needed for Role:
Further Skill Development Needed:
16
SAMPLE
Team Results - Participant Detail
Competency Task/Skill Rating Expected Rating GAP
Critical ThinkingDefines core considerations and gathers all relevant data/information for
identified issues and questions, considering the impact of culture5 4 1
Critical ThinkingUses best techniques to analyze and drive to root causes for identified
issues and questions4 4 0
Critical ThinkingIdentifies responsive, efficient, and innovative solutions to identified
issues and questions5 4 1
Critical Thinking
Defines considerations, gathers information, analyzes information,
focuses on root cause, and identifies solutions for unusually complex or
difficult issues and questions
4 3 1
Internal Audit Delivery Defines audit projects supporting objectives of the audit function 5 4 1
Internal Audit Delivery Plans audit projects to accomplish objectives 5 4 1
Internal Audit DeliveryExecutes procedures to gather and evaluate evidence to accomplish
audit objectives5 4 1
Internal Audit DeliveryDocuments and organizes audit evidence in conformance with quality
standards5 4 1
Internal Audit Delivery Manages resources during audit work to ensure delivery of results timely 5 4 1
Internal Audit DeliveryEvaluates audit evidence with focus on risk, root cause, and options for
improvement5 4 1
Internal Audit DeliveryCommunicates audit results to management accurately, completely, in a
balanced manner, and timely4 4 0
Improvement and InnovationChampions/supports change within the organization to further
accomplishment of its mission and purpose5 3 2
Improvement and InnovationChampion/support change within the internal audit function that furthers
accomplishment of its mission and purpose5 4 1
Improvement and InnovationExhibit/foster an attitude open to new ideas, challenges to the status quo,
and continuous improvement5 4 1
Improvement and InnovationPromotes and supports internal audit’s quality assurance and
improvement program efforts5 4 1
Improvement and InnovationPursue personal and professional development using internal and
external resources5 4 1
17
SAMPLE
Team Results - Participant Detail
Competency Task/Skill Rating Expected Rating GAP
Ethics Maintains integrity in all activities 2 4 -2
Ethics Maintains objectivity in appearance and fact 2 4 -2
Ethics Takes personal accountability for responsibilities 3 4 -1
Ethics Protects confidential information 3 3 0
EthicsAdvocates the use of ethical principles and values to the
activities/functions being audited2 3 -1
Internal Audit Management Ensures the independence of the audit function 2 3 -1
Internal Audit ManagementManage department/team/individual time and other resources for greatest
efficiency and effectiveness2 4 -2
Internal Audit ManagementWorks within team structure, delegating or receiving delegated tasks best
supporting team efforts2 3 -1
Internal Audit Management Attracts qualified personnel to internal audit 2 3 -1
Internal Audit Management Provides opportunities for personnel development of subordinates 1 3 -2
Internal Audit ManagementMaintains department/team competencies necessary for execution of
responsibilities2 3 -1
Internal Audit ManagementMonitors subordinates’ performance and workload and provides
constructive and timely feedback2 3 -1
IPPF Maintains current knowledge of the IPPF 1 3 -2
IPPFDemonstrates appropriate use and interpretation of the IPPF, seeking
consultation if applicability is unclear1 3 -2
IPPF Adopts a risk-based approach to all activities 2 4 -2
IPPFExemplifies and monitors due professional care when conducting audit
assignments2 4 -2
IPPF Understand fraud risk and how to address within internal audit 2 3 -1
IPPF Understands technology risks and how to address within internal audit 3 3 0
IPPF Supports function’s quality assurance program 1 3 -2
Governance and Risk Management Understands governance, risk and compliance frameworks 2 3 -1
Governance and Risk ManagementKnowledgeable of internal and external events & circumstances involving
governance, and understands impact to the organization.2 2 0
Governance and Risk Management Applies understanding of risk theory to audit activities 2 3 -1
Business AcumenUnderstands the organization’s external environment and impact to
organization’s strategies and objectives3 3 0
Business AcumenUnderstands the organization’s alignment of strategies and objectives
with the mission and vision of the organization2 3 -1
Business AcumenUnderstands the risk and risk mitigation activities associated with the
organization’s strategies and objectives2 3 -1
Business AcumenKeeps current on changes in the organization’s environment, strategies,
objectives, risks and risk mitigation activities.2 2 0
Communication Uses appropriate communication methods 3 3 0
CommunicationModifies communication style based on other party of the
communications2 3 -1
Communication Uses effective verbal communication skills 2 3 -1
Communication Effectively communicates in writing 2 3 -1
Persuasion and CollaborationUnderstands factors that motivate and effect a person’s behavior such as
personality types, organizational politics, differing objectives, etc.3 3 0
Persuasion and CollaborationEstablishes relationships with key stakeholders and clients that support
internal audit work2 3 -1
Persuasion and Collaboration Collaborates with others to accomplish objectives 3 3 0
Persuasion and Collaboration Manages conflict effectively accomplishing desired objectives 2 3 -1
Persuasion and CollaborationAble to persuade and lead through influence, expertise, credibility, and
sensitivity3 3 0
Persuasion and CollaborationEngage with others with an open mind and consideration of their
perspectives3 3 0
Staff Member Name: Name
Job Role: Reviewer/Manager
Level of Skills Exceeds Requirements for the Role:
Exhibits Competency Needed for Role:
Further Skill Development Needed:
Legend
18
SAMPLE
Team Results - Participant Detail
Competency Task/Skill Rating Expected Rating GAP
Critical ThinkingDefines core considerations and gathers all relevant data/information for
identified issues and questions, considering the impact of culture2 4 -2
Critical ThinkingUses best techniques to analyze and drive to root causes for identified
issues and questions3 4 -1
Critical ThinkingIdentifies responsive, efficient, and innovative solutions to identified
issues and questions3 3 0
Critical Thinking
Defines considerations, gathers information, analyzes information,
focuses on root cause, and identifies solutions for unusually complex or
difficult issues and questions
3 3 0
Internal Audit Delivery Defines audit projects supporting objectives of the audit function 2 3 -1
Internal Audit Delivery Plans audit projects to accomplish objectives 4 4 0
Internal Audit DeliveryExecutes procedures to gather and evaluate evidence to accomplish
audit objectives3 4 -1
Internal Audit DeliveryDocuments and organizes audit evidence in conformance with quality
standards2 4 -2
Internal Audit Delivery Manages resources during audit work to ensure delivery of results timely 2 3 -1
Internal Audit DeliveryEvaluates audit evidence with focus on risk, root cause, and options for
improvement3 3 0
Internal Audit DeliveryCommunicates audit results to management accurately, completely, in a
balanced manner, and timely2 3 -1
Improvement and InnovationChampions/supports change within the organization to further
accomplishment of its mission and purpose2 2 0
Improvement and InnovationChampion/support change within the internal audit function that furthers
accomplishment of its mission and purpose3 3 0
Improvement and InnovationExhibit/foster an attitude open to new ideas, challenges to the status quo,
and continuous improvement3 4 -1
Improvement and InnovationPromotes and supports internal audit’s quality assurance and
improvement program efforts2 4 -2
Improvement and InnovationPursue personal and professional development using internal and
external resources3 4 -1
19
SAMPLE
Team Results - Participant Detail
Competency Task/Skill Rating Expected Rating GAP
Ethics Maintains integrity in all activities 4 4 0
Ethics Maintains objectivity in appearance and fact 3 4 -1
Ethics Takes personal accountability for responsibilities 3 4 -1
Ethics Protects confidential information 4 3 1
EthicsAdvocates the use of ethical principles and values to the
activities/functions being audited4 3 1
Internal Audit Management Ensures the independence of the audit function 3 3 0
Internal Audit ManagementManage department/team/individual time and other resources for greatest
efficiency and effectiveness3 4 -1
Internal Audit ManagementWorks within team structure, delegating or receiving delegated tasks best
supporting team efforts3 3 0
Internal Audit Management Attracts qualified personnel to internal audit 3 3 0
Internal Audit Management Provides opportunities for personnel development of subordinates 3 3 0
Internal Audit ManagementMaintains department/team competencies necessary for execution of
responsibilities2 3 -1
Internal Audit ManagementMonitors subordinates’ performance and workload and provides
constructive and timely feedback2 3 -1
IPPF Maintains current knowledge of the IPPF 2 3 -1
IPPFDemonstrates appropriate use and interpretation of the IPPF, seeking
consultation if applicability is unclear2 3 -1
IPPF Adopts a risk-based approach to all activities 2 4 -2
IPPFExemplifies and monitors due professional care when conducting audit
assignments4 4 0
IPPF Understand fraud risk and how to address within internal audit 2 3 -1
IPPF Understands technology risks and how to address within internal audit 4 3 1
IPPF Supports function’s quality assurance program 2 3 -1
Governance and Risk Management Understands governance, risk and compliance frameworks 3 3 0
Governance and Risk ManagementKnowledgeable of internal and external events & circumstances involving
governance, and understands impact to the organization.2 2 0
Governance and Risk Management Applies understanding of risk theory to audit activities 2 3 -1
Business AcumenUnderstands the organization’s external environment and impact to
organization’s strategies and objectives2 3 -1
Business AcumenUnderstands the organization’s alignment of strategies and objectives
with the mission and vision of the organization2 3 -1
Business AcumenUnderstands the risk and risk mitigation activities associated with the
organization’s strategies and objectives2 3 -1
Business AcumenKeeps current on changes in the organization’s environment, strategies,
objectives, risks and risk mitigation activities.2 2 0
Communication Uses appropriate communication methods 3 3 0
CommunicationModifies communication style based on other party of the
communications3 3 0
Communication Uses effective verbal communication skills 3 3 0
Communication Effectively communicates in writing 4 3 1
Persuasion and CollaborationUnderstands factors that motivate and effect a person’s behavior such as
personality types, organizational politics, differing objectives, etc.2 3 -1
Persuasion and CollaborationEstablishes relationships with key stakeholders and clients that support
internal audit work3 3 0
Persuasion and Collaboration Collaborates with others to accomplish objectives 3 3 0
Persuasion and Collaboration Manages conflict effectively accomplishing desired objectives 2 3 -1
Persuasion and CollaborationAble to persuade and lead through influence, expertise, credibility, and
sensitivity2 3 -1
Persuasion and CollaborationEngage with others with an open mind and consideration of their
perspectives3 3 0
Staff Member Name: Name
Job Role: Reviewer/Manager
Level of Skills Exceeds Requirements for the Role:
Exhibits Competency Needed for Role:
Further Skill Development Needed:
Legend
20
SAMPLE
Team Results - Participant Detail
Competency Task/Skill Rating Expected Rating GAP
Critical ThinkingDefines core considerations and gathers all relevant data/information for
identified issues and questions, considering the impact of culture3 4 -1
Critical ThinkingUses best techniques to analyze and drive to root causes for identified
issues and questions2 4 -2
Critical ThinkingIdentifies responsive, efficient, and innovative solutions to identified
issues and questions3 3 0
Critical Thinking
Defines considerations, gathers information, analyzes information,
focuses on root cause, and identifies solutions for unusually complex or
difficult issues and questions
3 3 0
Internal Audit Delivery Defines audit projects supporting objectives of the audit function 2 3 -1
Internal Audit Delivery Plans audit projects to accomplish objectives 3 4 -1
Internal Audit DeliveryExecutes procedures to gather and evaluate evidence to accomplish
audit objectives4 4 0
Internal Audit DeliveryDocuments and organizes audit evidence in conformance with quality
standards3 4 -1
Internal Audit Delivery Manages resources during audit work to ensure delivery of results timely 3 3 0
Internal Audit DeliveryEvaluates audit evidence with focus on risk, root cause, and options for
improvement4 3 1
Internal Audit DeliveryCommunicates audit results to management accurately, completely, in a
balanced manner, and timely3 3 0
Improvement and InnovationChampions/supports change within the organization to further
accomplishment of its mission and purpose3 2 1
Improvement and InnovationChampion/support change within the internal audit function that furthers
accomplishment of its mission and purpose3 3 0
Improvement and InnovationExhibit/foster an attitude open to new ideas, challenges to the status quo,
and continuous improvement4 4 0
Improvement and InnovationPromotes and supports internal audit’s quality assurance and
improvement program efforts3 4 -1
Improvement and InnovationPursue personal and professional development using internal and
external resources3 4 -1
21
SAMPLE
Team Results - Participant Detail
Competency Task/Skill Rating Expected Rating GAP
Ethics Maintains integrity in all activities 2 3 -1
Ethics Maintains objectivity in appearance and fact 2 3 -1
Ethics Takes personal accountability for responsibilities 2 3 -1
Ethics Protects confidential information 2 3 -1
EthicsAdvocates the use of ethical principles and values to the
activities/functions being audited2 3 -1
Internal Audit Management Ensures the independence of the audit function N/A N/A N/A
Internal Audit ManagementManage department/team/individual time and other resources for greatest
efficiency and effectiveness1 3 -2
Internal Audit ManagementWorks within team structure, delegating or receiving delegated tasks best
supporting team efforts2 3 -1
Internal Audit Management Attracts qualified personnel to internal audit 1 2 -1
Internal Audit Management Provides opportunities for personnel development of subordinates 1 2 -1
Internal Audit ManagementMaintains department/team competencies necessary for execution of
responsibilities1 3 -2
Internal Audit ManagementMonitors subordinates’ performance and workload and provides
constructive and timely feedback2 3 -1
IPPF Maintains current knowledge of the IPPF 1 3 -2
IPPFDemonstrates appropriate use and interpretation of the IPPF, seeking
consultation if applicability is unclear1 3 -2
IPPF Adopts a risk-based approach to all activities 1 3 -2
IPPFExemplifies and monitors due professional care when conducting audit
assignments1 3 -2
IPPF Understand fraud risk and how to address within internal audit 1 3 -2
IPPF Understands technology risks and how to address within internal audit 1 3 -2
IPPF Supports function’s quality assurance program 1 3 -2
Governance and Risk Management Understands governance, risk and compliance frameworks 1 2 -1
Governance and Risk ManagementKnowledgeable of internal and external events & circumstances involving
governance, and understands impact to the organization.1 1 0
Governance and Risk Management Applies understanding of risk theory to audit activities 1 3 -2
Business AcumenUnderstands the organization’s external environment and impact to
organization’s strategies and objectives1 2 -1
Business AcumenUnderstands the organization’s alignment of strategies and objectives
with the mission and vision of the organization1 2 -1
Business AcumenUnderstands the risk and risk mitigation activities associated with the
organization’s strategies and objectives1 2 -1
Business AcumenKeeps current on changes in the organization’s environment, strategies,
objectives, risks and risk mitigation activities.1 1 0
Communication Uses appropriate communication methods 1 3 -2
CommunicationModifies communication style based on other party of the
communications1 3 -2
Communication Uses effective verbal communication skills 1 3 -2
Communication Effectively communicates in writing 1 3 -2
Persuasion and CollaborationUnderstands factors that motivate and effect a person’s behavior such as
personality types, organizational politics, differing objectives, etc.1 2 -1
Persuasion and CollaborationEstablishes relationships with key stakeholders and clients that support
internal audit work1 3 -2
Persuasion and Collaboration Collaborates with others to accomplish objectives 2 3 -1
Persuasion and Collaboration Manages conflict effectively accomplishing desired objectives 1 3 -2
Persuasion and CollaborationAble to persuade and lead through influence, expertise, credibility, and
sensitivity1 2 -1
Persuasion and CollaborationEngage with others with an open mind and consideration of their
perspectives1 3 -2
Staff Member Name: Name
Job Role: Lead Auditor
Level of Skills Exceeds Requirements for the Role:
Exhibits Competency Needed for Role:
Further Skill Development Needed:
Legend
22
SAMPLE
Team Results - Participant Detail
Competency Task/Skill Rating Expected Rating GAP
Critical ThinkingDefines core considerations and gathers all relevant data/information for
identified issues and questions, considering the impact of culture1 3 -2
Critical ThinkingUses best techniques to analyze and drive to root causes for identified
issues and questions1 3 -2
Critical ThinkingIdentifies responsive, efficient, and innovative solutions to identified
issues and questions1 3 -2
Critical Thinking
Defines considerations, gathers information, analyzes information,
focuses on root cause, and identifies solutions for unusually complex or
difficult issues and questions
1 2 -1
Internal Audit Delivery Defines audit projects supporting objectives of the audit function 1 2 -1
Internal Audit Delivery Plans audit projects to accomplish objectives 1 3 -2
Internal Audit DeliveryExecutes procedures to gather and evaluate evidence to accomplish
audit objectives2 3 -1
Internal Audit DeliveryDocuments and organizes audit evidence in conformance with quality
standards2 3 -1
Internal Audit Delivery Manages resources during audit work to ensure delivery of results timely 1 3 -2
Internal Audit DeliveryEvaluates audit evidence with focus on risk, root cause, and options for
improvement1 3 -2
Internal Audit DeliveryCommunicates audit results to management accurately, completely, in a
balanced manner, and timely1 3 -2
Improvement and InnovationChampions/supports change within the organization to further
accomplishment of its mission and purpose1 2 -1
Improvement and InnovationChampion/support change within the internal audit function that furthers
accomplishment of its mission and purpose1 2 -1
Improvement and InnovationExhibit/foster an attitude open to new ideas, challenges to the status quo,
and continuous improvement1 3 -2
Improvement and InnovationPromotes and supports internal audit’s quality assurance and
improvement program efforts1 3 -2
Improvement and InnovationPursue personal and professional development using internal and
external resources1 3 -2
23
SAMPLE
Team Results - Participant Detail
Competency Task/Skill Rating Expected Rating GAP
Ethics Maintains integrity in all activities 4 3 1
Ethics Maintains objectivity in appearance and fact 4 3 1
Ethics Takes personal accountability for responsibilities 4 3 1
Ethics Protects confidential information 4 3 1
EthicsAdvocates the use of ethical principles and values to the
activities/functions being audited4 3 1
Internal Audit Management Ensures the independence of the audit function N/A N/A N/A
Internal Audit ManagementManage department/team/individual time and other resources for greatest
efficiency and effectiveness3 3 0
Internal Audit ManagementWorks within team structure, delegating or receiving delegated tasks best
supporting team efforts3 3 0
Internal Audit Management Attracts qualified personnel to internal audit 2 2 0
Internal Audit Management Provides opportunities for personnel development of subordinates 2 2 0
Internal Audit ManagementMaintains department/team competencies necessary for execution of
responsibilities2 3 -1
Internal Audit ManagementMonitors subordinates’ performance and workload and provides
constructive and timely feedback3 3 0
IPPF Maintains current knowledge of the IPPF 2 3 -1
IPPFDemonstrates appropriate use and interpretation of the IPPF, seeking
consultation if applicability is unclear2 3 -1
IPPF Adopts a risk-based approach to all activities 3 3 0
IPPFExemplifies and monitors due professional care when conducting audit
assignments2 3 -1
IPPF Understand fraud risk and how to address within internal audit 2 3 -1
IPPF Understands technology risks and how to address within internal audit 2 3 -1
IPPF Supports function’s quality assurance program 3 3 0
Governance and Risk Management Understands governance, risk and compliance frameworks 3 2 1
Governance and Risk ManagementKnowledgeable of internal and external events & circumstances involving
governance, and understands impact to the organization.2 1 1
Governance and Risk Management Applies understanding of risk theory to audit activities 3 3 0
Business AcumenUnderstands the organization’s external environment and impact to
organization’s strategies and objectives2 2 0
Business AcumenUnderstands the organization’s alignment of strategies and objectives
with the mission and vision of the organization3 2 1
Business AcumenUnderstands the risk and risk mitigation activities associated with the
organization’s strategies and objectives3 2 1
Business AcumenKeeps current on changes in the organization’s environment, strategies,
objectives, risks and risk mitigation activities.3 1 2
Communication Uses appropriate communication methods 3 3 0
CommunicationModifies communication style based on other party of the
communications3 3 0
Communication Uses effective verbal communication skills 3 3 0
Communication Effectively communicates in writing 3 3 0
Persuasion and CollaborationUnderstands factors that motivate and effect a person’s behavior such as
personality types, organizational politics, differing objectives, etc.3 2 1
Persuasion and CollaborationEstablishes relationships with key stakeholders and clients that support
internal audit work3 3 0
Persuasion and Collaboration Collaborates with others to accomplish objectives 3 3 0
Persuasion and Collaboration Manages conflict effectively accomplishing desired objectives 3 3 0
Persuasion and CollaborationAble to persuade and lead through influence, expertise, credibility, and
sensitivity3 2 1
Persuasion and CollaborationEngage with others with an open mind and consideration of their
perspectives3 3 0
Staff Member Name: Name
Job Role: Lead Auditor
Level of Skills Exceeds Requirements for the Role:
Exhibits Competency Needed for Role:
Further Skill Development Needed:
Legend
24
SAMPLE
Team Results - Participant Detail
Competency Task/Skill Rating Expected Rating GAP
Critical ThinkingDefines core considerations and gathers all relevant data/information for
identified issues and questions, considering the impact of culture3 3 0
Critical ThinkingUses best techniques to analyze and drive to root causes for identified
issues and questions3 3 0
Critical ThinkingIdentifies responsive, efficient, and innovative solutions to identified
issues and questions3 3 0
Critical Thinking
Defines considerations, gathers information, analyzes information,
focuses on root cause, and identifies solutions for unusually complex or
difficult issues and questions
3 2 1
Internal Audit Delivery Defines audit projects supporting objectives of the audit function 3 2 1
Internal Audit Delivery Plans audit projects to accomplish objectives 3 3 0
Internal Audit DeliveryExecutes procedures to gather and evaluate evidence to accomplish
audit objectives3 3 0
Internal Audit DeliveryDocuments and organizes audit evidence in conformance with quality
standards3 3 0
Internal Audit Delivery Manages resources during audit work to ensure delivery of results timely 4 3 1
Internal Audit DeliveryEvaluates audit evidence with focus on risk, root cause, and options for
improvement3 3 0
Internal Audit DeliveryCommunicates audit results to management accurately, completely, in a
balanced manner, and timely3 3 0
Improvement and InnovationChampions/supports change within the organization to further
accomplishment of its mission and purpose3 2 1
Improvement and InnovationChampion/support change within the internal audit function that furthers
accomplishment of its mission and purpose3 2 1
Improvement and InnovationExhibit/foster an attitude open to new ideas, challenges to the status quo,
and continuous improvement3 3 0
Improvement and InnovationPromotes and supports internal audit’s quality assurance and
improvement program efforts3 3 0
Improvement and InnovationPursue personal and professional development using internal and
external resources3 3 0
25
SAMPLE
Team Results - Participant Detail
Competency Task/Skill Rating Expected Rating GAP
Ethics Maintains integrity in all activities 2 3 -1
Ethics Maintains objectivity in appearance and fact 2 3 -1
Ethics Takes personal accountability for responsibilities 2 3 -1
Ethics Protects confidential information 2 3 -1
EthicsAdvocates the use of ethical principles and values to the
activities/functions being audited2 2 0
Internal Audit Management Ensures the independence of the audit function N/A N/A N/A
Internal Audit ManagementManage department/team/individual time and other resources for greatest
efficiency and effectiveness3 3 0
Internal Audit ManagementWorks within team structure, delegating or receiving delegated tasks best
supporting team efforts3 2 1
Internal Audit Management Attracts qualified personnel to internal audit 2 1 1
Internal Audit Management Provides opportunities for personnel development of subordinates N/A N/A N/A
Internal Audit ManagementMaintains department/team competencies necessary for execution of
responsibilitiesN/A N/A N/A
Internal Audit ManagementMonitors subordinates’ performance and workload and provides
constructive and timely feedbackN/A N/A N/A
IPPF Maintains current knowledge of the IPPF 2 2 0
IPPFDemonstrates appropriate use and interpretation of the IPPF, seeking
consultation if applicability is unclear2 3 -1
IPPF Adopts a risk-based approach to all activities 2 2 0
IPPFExemplifies and monitors due professional care when conducting audit
assignments3 3 0
IPPF Understand fraud risk and how to address within internal audit 2 2 0
IPPF Understands technology risks and how to address within internal audit 2 2 0
IPPF Supports function’s quality assurance program 2 2 0
Governance and Risk Management Understands governance, risk and compliance frameworks 2 1 1
Governance and Risk ManagementKnowledgeable of internal and external events & circumstances involving
governance, and understands impact to the organization.2 1 1
Governance and Risk Management Applies understanding of risk theory to audit activities 2 2 0
Business AcumenUnderstands the organization’s external environment and impact to
organization’s strategies and objectives2 1 1
Business AcumenUnderstands the organization’s alignment of strategies and objectives
with the mission and vision of the organization2 1 1
Business AcumenUnderstands the risk and risk mitigation activities associated with the
organization’s strategies and objectives2 1 1
Business AcumenKeeps current on changes in the organization’s environment, strategies,
objectives, risks and risk mitigation activities.2 1 1
Communication Uses appropriate communication methods 2 2 0
CommunicationModifies communication style based on other party of the
communications2 3 -1
Communication Uses effective verbal communication skills 2 3 -1
Communication Effectively communicates in writing 1 2 -1
Persuasion and CollaborationUnderstands factors that motivate and effect a person’s behavior such as
personality types, organizational politics, differing objectives, etc.3 1 2
Persuasion and CollaborationEstablishes relationships with key stakeholders and clients that support
internal audit work3 2 1
Persuasion and Collaboration Collaborates with others to accomplish objectives 3 2 1
Persuasion and Collaboration Manages conflict effectively accomplishing desired objectives 2 2 0
Persuasion and CollaborationAble to persuade and lead through influence, expertise, credibility, and
sensitivity2 1 1
Persuasion and CollaborationEngage with others with an open mind and consideration of their
perspectives3 2 1
Staff Member Name: Name
Job Role: Staff Auditor
Level of Skills Exceeds Requirements for the Role:
Exhibits Competency Needed for Role:
Further Skill Development Needed:
Legend
26
SAMPLE
Team Results - Participant Detail
Competency Task/Skill Rating Expected Rating GAP
Critical ThinkingDefines core considerations and gathers all relevant data/information for
identified issues and questions, considering the impact of culture3 2 1
Critical ThinkingUses best techniques to analyze and drive to root causes for identified
issues and questions2 2 0
Critical ThinkingIdentifies responsive, efficient, and innovative solutions to identified
issues and questions2 2 0
Critical Thinking
Defines considerations, gathers information, analyzes information,
focuses on root cause, and identifies solutions for unusually complex or
difficult issues and questions
2 1 1
Internal Audit Delivery Defines audit projects supporting objectives of the audit function N/A N/A N/A
Internal Audit Delivery Plans audit projects to accomplish objectives N/A N/A N/A
Internal Audit DeliveryExecutes procedures to gather and evaluate evidence to accomplish
audit objectives3 2 1
Internal Audit DeliveryDocuments and organizes audit evidence in conformance with quality
standards3 2 1
Internal Audit Delivery Manages resources during audit work to ensure delivery of results timely 3 2 1
Internal Audit DeliveryEvaluates audit evidence with focus on risk, root cause, and options for
improvement2 2 0
Internal Audit DeliveryCommunicates audit results to management accurately, completely, in a
balanced manner, and timely2 2 0
Improvement and InnovationChampions/supports change within the organization to further
accomplishment of its mission and purpose3 1 2
Improvement and InnovationChampion/support change within the internal audit function that furthers
accomplishment of its mission and purpose3 1 2
Improvement and InnovationExhibit/foster an attitude open to new ideas, challenges to the status quo,
and continuous improvement2 2 0
Improvement and InnovationPromotes and supports internal audit’s quality assurance and
improvement program efforts2 2 0
Improvement and InnovationPursue personal and professional development using internal and
external resources2 2 0
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SAMPLE
Team Results - Participant Detail
Competency Task/Skill Rating Expected Rating GAP
Ethics Maintains integrity in all activities 4 3 1
Ethics Maintains objectivity in appearance and fact 4 3 1
Ethics Takes personal accountability for responsibilities 4 3 1
Ethics Protects confidential information 4 3 1
EthicsAdvocates the use of ethical principles and values to the
activities/functions being audited4 2 2
Internal Audit Management Ensures the independence of the audit function N/A N/A N/A
Internal Audit ManagementManage department/team/individual time and other resources for greatest
efficiency and effectiveness2 3 -1
Internal Audit ManagementWorks within team structure, delegating or receiving delegated tasks best
supporting team efforts2 2 0
Internal Audit Management Attracts qualified personnel to internal audit 2 1 1
Internal Audit Management Provides opportunities for personnel development of subordinates N/A N/A N/A
Internal Audit ManagementMaintains department/team competencies necessary for execution of
responsibilitiesN/A N/A N/A
Internal Audit ManagementMonitors subordinates’ performance and workload and provides
constructive and timely feedbackN/A N/A N/A
IPPF Maintains current knowledge of the IPPF 1 2 -1
IPPFDemonstrates appropriate use and interpretation of the IPPF, seeking
consultation if applicability is unclear1 3 -2
IPPF Adopts a risk-based approach to all activities 2 2 0
IPPFExemplifies and monitors due professional care when conducting audit
assignments3 3 0
IPPF Understand fraud risk and how to address within internal audit 3 2 1
IPPF Understands technology risks and how to address within internal audit 2 2 0
IPPF Supports function’s quality assurance program 3 2 1
Governance and Risk Management Understands governance, risk and compliance frameworks 3 1 2
Governance and Risk ManagementKnowledgeable of internal and external events & circumstances involving
governance, and understands impact to the organization.3 1 2
Governance and Risk Management Applies understanding of risk theory to audit activities 3 2 1
Business AcumenUnderstands the organization’s external environment and impact to
organization’s strategies and objectives3 1 2
Business AcumenUnderstands the organization’s alignment of strategies and objectives
with the mission and vision of the organization3 1 2
Business AcumenUnderstands the risk and risk mitigation activities associated with the
organization’s strategies and objectives2 1 1
Business AcumenKeeps current on changes in the organization’s environment, strategies,
objectives, risks and risk mitigation activities.2 1 1
Communication Uses appropriate communication methods 3 2 1
CommunicationModifies communication style based on other party of the
communications3 3 0
Communication Uses effective verbal communication skills 3 3 0
Communication Effectively communicates in writing 3 2 1
Persuasion and CollaborationUnderstands factors that motivate and effect a person’s behavior such as
personality types, organizational politics, differing objectives, etc.3 1 2
Persuasion and CollaborationEstablishes relationships with key stakeholders and clients that support
internal audit work3 2 1
Persuasion and Collaboration Collaborates with others to accomplish objectives 3 2 1
Persuasion and Collaboration Manages conflict effectively accomplishing desired objectives 3 2 1
Persuasion and CollaborationAble to persuade and lead through influence, expertise, credibility, and
sensitivity3 1 2
Persuasion and CollaborationEngage with others with an open mind and consideration of their
perspectives3 2 1
Staff Member Name: Name
Job Role: Staff Auditor
Level of Skills Exceeds Requirements for the Role:
Exhibits Competency Needed for Role:
Further Skill Development Needed:
Legend
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SAMPLE
Team Results - Participant Detail
Competency Task/Skill Rating Expected Rating GAP
Critical ThinkingDefines core considerations and gathers all relevant data/information for
identified issues and questions, considering the impact of culture3 2 1
Critical ThinkingUses best techniques to analyze and drive to root causes for identified
issues and questions3 2 1
Critical ThinkingIdentifies responsive, efficient, and innovative solutions to identified
issues and questions3 2 1
Critical Thinking
Defines considerations, gathers information, analyzes information,
focuses on root cause, and identifies solutions for unusually complex or
difficult issues and questions
3 1 2
Internal Audit Delivery Defines audit projects supporting objectives of the audit function N/A N/A N/A
Internal Audit Delivery Plans audit projects to accomplish objectives N/A N/A N/A
Internal Audit DeliveryExecutes procedures to gather and evaluate evidence to accomplish
audit objectives2 2 0
Internal Audit DeliveryDocuments and organizes audit evidence in conformance with quality
standards3 2 1
Internal Audit Delivery Manages resources during audit work to ensure delivery of results timely 2 2 0
Internal Audit DeliveryEvaluates audit evidence with focus on risk, root cause, and options for
improvement3 2 1
Internal Audit DeliveryCommunicates audit results to management accurately, completely, in a
balanced manner, and timely2 2 0
Improvement and InnovationChampions/supports change within the organization to further
accomplishment of its mission and purpose3 1 2
Improvement and InnovationChampion/support change within the internal audit function that furthers
accomplishment of its mission and purpose3 1 2
Improvement and InnovationExhibit/foster an attitude open to new ideas, challenges to the status quo,
and continuous improvement3 2 1
Improvement and InnovationPromotes and supports internal audit’s quality assurance and
improvement program efforts3 2 1
Improvement and InnovationPursue personal and professional development using internal and
external resources3 2 1
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SAMPLE