CIA PART 1 - SECTION IV QUIZ - QUALITY ASSURANCE AND IMPROVEMENT PROGRAM.FINAL TEST
2026\2027.
To enable an evaluation of the internal audit activity's conformance with the Standards and an
evaluation of whether internal auditors apply the Code of Ethics.
What is the Quality Assurance and Improvement Program designed for?
• Internal assessments
• External assessments
• Communication of QAIP results
• Proper use of a conformance statement
• Disclosure of non-conformance
What are the 5 essential components a CAE must consider as part of the QAIP?
• Ongoing monitoring of the performance of the internal audit activity.
• Periodic self-assessments or assessments by other persons within the organization with
sufficient knowledge of internal audit practices.
What must internal assessments include?
A team that is totally independent of the organization that is being reviewed.
External quality assessment reviews may be performed by:
A peer review team formed using members from one or more outside organizations. (Note: there
cannot be reciprocal arrangements between two organizations)
External quality assessment reviews may be performed by:
Self-assessment with independent validation (SAIV). This is an external quality assessment
performed by an independent, qualified reviewer/team to validate a self-assessment. A self-
assessment might be used when there are limited resources available for one of the above
options.
External quality assessment reviews may be performed by:
The review process is designed to improve the operations of major, well-established internal
audit activities and should be limited in scope for small or new internal audit activities.
Which of the following statement applies to the 1300 series of standards on quality assurance and
improvement?
Incorporate requirements into routine policies and practices.
What is an important way to ensure that the ongoing monitoring requirements of an internal assessment
for a quality assurance and improvement program (QAIP) get done?
Internal and external assessments
Which activities are designed to provide feedback on the effectiveness of an audit department as part of a
quality assurance and improvement program (QAIP)?
2026\2027.
To enable an evaluation of the internal audit activity's conformance with the Standards and an
evaluation of whether internal auditors apply the Code of Ethics.
What is the Quality Assurance and Improvement Program designed for?
• Internal assessments
• External assessments
• Communication of QAIP results
• Proper use of a conformance statement
• Disclosure of non-conformance
What are the 5 essential components a CAE must consider as part of the QAIP?
• Ongoing monitoring of the performance of the internal audit activity.
• Periodic self-assessments or assessments by other persons within the organization with
sufficient knowledge of internal audit practices.
What must internal assessments include?
A team that is totally independent of the organization that is being reviewed.
External quality assessment reviews may be performed by:
A peer review team formed using members from one or more outside organizations. (Note: there
cannot be reciprocal arrangements between two organizations)
External quality assessment reviews may be performed by:
Self-assessment with independent validation (SAIV). This is an external quality assessment
performed by an independent, qualified reviewer/team to validate a self-assessment. A self-
assessment might be used when there are limited resources available for one of the above
options.
External quality assessment reviews may be performed by:
The review process is designed to improve the operations of major, well-established internal
audit activities and should be limited in scope for small or new internal audit activities.
Which of the following statement applies to the 1300 series of standards on quality assurance and
improvement?
Incorporate requirements into routine policies and practices.
What is an important way to ensure that the ongoing monitoring requirements of an internal assessment
for a quality assurance and improvement program (QAIP) get done?
Internal and external assessments
Which activities are designed to provide feedback on the effectiveness of an audit department as part of a
quality assurance and improvement program (QAIP)?
