Traditional Internal Audit certifications and training courses focus on governance, risk, controls, compliance, and processes with an emphasis on analysis and reports of events and information from the past. TQA focuses on the future, and how we, as Internal Auditors, as Total Quality Auditors, should stop only focusing on the past and begin to look forward to the future and bringing valuable recommendations and changes to our organizations.

In this Introductory webinar, you will hear a history of TQM and a summary the TQM principles that show how truly successful companies go to work. Then you will see how TQM principles apply to Internal Auditing and be introduced to the six TQA Points of Focus that will change how successful Internal Audit functions go to work.

What went wrong at companies like Enron, Wells Fargo, Yahoo, BP, and Volkswagen? There may have been a breakdown somewhere in the audit functions (internal or external), but the real underlying problem was NOT audit and most important, the solution does not rest in “doing more of the same, traditional audits”.

The real breakdown was in the integrity and ETHICS of the organizations. It was the BIG ME mentality and the leadership failure of the employees, managers, executives, and the Board. In this TQA Point of Focus #1 webinar on Ethics, we will dive into organizational integrity and how Internal Auditors, Total Quality Auditors, can help influence, create, and sustain an ethical culture.

All organizations are not equal. There are different strategies and objectives, products and services, industry practices, geography, and culture. But one thing IS equal – a mission statement, values, and standards of conduct should be created and enforced to support the achievement of the organization goals. What does this have to do with auditing?

I believe the Internal Audit function, as part of culture auditing, CAN and SHOULD “audit” to the mission, values, and standards at their organization. In this TQA Point of Focus #2 webinar on Standards, you will see that Internal Auditors, Total Quality Auditors, should review the content of the standards of conduct, monitor the standard of conduct administration, and ensure universal, fair and equitable, uniform and consistent enforcement practices are in place.

The general rule is that someone, somewhere, knows there is a problem and they know it long before an Internal Auditor is going to find it. The liberal use of feedback mechanisms speeds up the process of getting important information. Someone (probably many) knew of unsafe and dangerous conditions on the Deepwater Horizon oil rig before disaster stuck. Someone (many) knew that employees at Wells Fargo were opening fraudulent customer accounts for personal gain before the story broke. But no one was asking the right questions (or listening to the answers).

Well-designed surveys are an efficient, effective way of obtaining large amounts of feedback regarding targeted risks, controls, compliance issues, and processes. In this part 1 webinar of TQA Point of Focus #3 on Feedback, you will learn that Internal Auditors, Total Quality Auditors, should be the experts on the use of feedback mechanisms and the architects of the effective use of surveys.

The principle objective of most organizations is to satisfy customers – both internal and external. To satisfy ALL stakeholders. So I ask, how do you know if you have satisfied your stakeholder/customer needs if you do not ask them? Sure, there are plenty of other measures that are good indicators of customer satisfaction, but nothing can be more important than hearing the feedback directly from the customer.

Internal Audit functions are NOT excluded from the organization when it comes to satisfying customers, so let’s do an Internal Audit self-assessment and see where you might stand on this topic. In this part 2 webinar of TQA Point of Focus #3 on Feedback, we will discuss the important fact that the Internal Audit function ONLY adds value if its customer believes it adds value. And the only way to know, is to start asking. As an extension of the part 1 webinar on Feedback, we will discuss the effective use of surveys specifically for Internal Audit performance feedback.

Successful organizations over the last several decades have proven the effectiveness of lean concepts and techniques. No longer do we focus on what products or services we can supply; the focus correctly is on what our customers want and demand – higher quality and lower cost. TQM principles and techniques taught us this already. Leaders of successful organizations embrace the lean concepts of knowing and delivering what the customer wants, and I say that the Internal Audit function needs to embrace the same concepts.

In this TQA Point of Focus #4 webinar on Lean, we will discuss lean audit techniques, Six Sigma techniques adapted for Internal Auditors, and how Total Quality Auditors can provide clear, simple, strategic, value added services to stakeholders.

We have all heard the terminology the “three lines of defense.” Every organization may be at different maturity levels when it comes to their Enterprise Risk Management (ERM), or second line of defense function; however, every organization has a first line of defense = the business. And that business is not only where the risks are, but also is where the risk knowledge lives.

Traditional auditing may include a standard audit rotation plan or “required” annual audits, but I challenge you to ask, is this covering the real risks to your organization? The ones facing your organization RIGHT NOW during the Pandemic?

In this extension webinar of TQA Point of Focus #4 on Lean, we will discuss how the number one way to be a lean Internal Audit function is to focus on the right risks, RIGHT NOW. 

The Institute of Internal Auditors (IIA) recognizes the need to balance traditional assurance functions with consulting by stating, “Internal auditing is an independent objective assurance and consulting activity designed to add value and improve an organization’s operations.”

Consulting engagements are advising services provided to customers that “add value and improve and organization’s operations”… the entire second half of that definition. So why is it that 74% of the Internal Auditors I have surveyed say they are not doing enough consulting work? Does this mean 74% of us are not adding the value and improving our organizations as we should be? Perhaps it does.

In this webinar for TQA Point of Focus #5 on Balance, we will discuss the value (benefit) we need to be bringing through consulting work at our organization, instead of just being a necessary evil (cost). This is one of the major keys to becoming a Total Quality Auditor.

Ethics. Integrity. Morals. Values. Trust. Truth. Honesty. We all have our own personal thoughts on what each of these terms mean. We all have made what I call a “character choice” in life. But there is still an opportunity to review that character choice and change your behavior, if needed.

In this part 1 webinar of TQA Point of Focus #6 on Leadership, we will test your personal ethics first, and then move forward to test your professional ethics. We will go through some challenging scenarios in regards to upholding the Institute of Internal Auditors (IIA) Code of Ethics. And we will even add one more key element to that Code. We will see if you have what it takes to be “the ethical, Total Quality Auditor.”

What seems like an eternity ago, I received a book in the mail entitled GRIT: The Power of Passion and Perseverance, by Angela Duckworth. It was sent to me by my mentor with a note that said, “You are gritty, and gritty is good.”

Duckworth describes those with grit as high achievers, who are diligent, hardworking, determined, who overcome obstacles, are never discouraged, and consistently maintain focus (just to name a few).

In this part 2 webinar of TQA Point of Focus #6 on Leadership, you will be introduced to “grit,” as it relates to Internal Auditing. It begins with a passion and desire to make a difference at your organization. It means looking forward to your next engagement and persevering through every challenge. It is having the courage to point out what others may not want to see. We will see if you have what it takes to be “the gritty, Total Quality Auditor.”

“A leader is one who is the anchor in the midst of life’s storms.” – Austin Harrison.

Organizations today face many new and “old hat” challenges from advancing technology and growing cyber security concerns, to basic industry competition or regulatory changes. A good leader doesn’t just “weather the storm” with the organization, but they are a strong and reliable resource to ensure the organization knows the risks and succeeds through any and all change. They don’t just point out or find the problems, they stick to their resolve until they solve problems. They remain grounded at all times and they always hold true to their values.

They are the anchor. In this part 3 webinar of TQA Point of Focus #6 on Leadership, you will see that in order to become “the respected, Total Quality Auditor, you need to be the anchor within your organization.

Only 10% of Internal Auditors I have surveyed think they are proactively improving future processes at their organization. Only 7% of Internal Auditors report having knowledge of all breaches of Ethics or Standards of Conduct at their organization. Only 6% of the Internal Auditors say their function is proactively covering all the right risks at their organization.

It’s time. Let’s focus on the future. Let’s focus on the real risks. Let’s show management what a valuable resource we are within the organization. We know the ethics and the standards of conduct needed, we now have the surveys and the lean techniques, we can properly assess the real risks and balance our work, and to top it off, we have the leadership qualities to follow through. We will start today being proactive, not reactive. And we will be an integral part of organizational success.