Any guidance on creating a training plan for an internal audit function so that we can help teams achieve their minimum CPEs each year? I'm also looking for ideas on how we can make tracking CPEs easier for everyone.
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I don't have much to add to what has already been answered except you should check out the CPELink that is part of your Gartner membership. I know they have a tracker for CPE credits.
Effective tracking of CPE credits is as important for the personal development of employees as it is for the quality of their work. The training plan to be created with this awareness requires a strategic approach to ensure that the training is accessible and interesting. I can list some of the criteria we took into consideration when creating the training plan we currently implement as follows.
- Identify the team's training needs, preferences and existing knowledge gaps to help tailor the training plan to be most effective.
- Include training for both technical skills (e.g. audit methodologies, data analysis) and soft skills (e.g. communication, leadership).
- Clearly identify the minimum CPE hours required and encourage employees to exceed these minimum hours for their professional development.
- Work with each team member to set personalized learning goals aligned with their career path and the organization's objectives.
- Offer training in various formats such as workshops, webinars, self-paced online courses, and in-person sessions to cater to different learning preferences.
- Partner with professional organizations and educational institutions to provide access to external courses and seminars that offer CPE credits.
- Collect feedback from participants after each training session to continuously improve the quality and relevance of the training offered.
- Conduct an annual review of the training program to assess its effectiveness in meeting learning objectives and CPE requirements, making adjustments as needed.
Here are some practices that I have experienced with your topic:
a. develop competency maps to list different auditor roles (e.g., IT auditor, operational auditot) and the various types of skills you want each role to have. Then determine what experience level/ target you want with each skill (e.g., awarenesss, some experience, consistent experience, world class expert). An added thing you can do is identify the training opportunities out there that link to the different competencies and experience levels. While the trainings may change over time, they help end-users in their searches for training.
b. assess each auditors current capabilities against the target competencies. The resulting gaps are the justification for the specific type of training and development desired. Also, the gaps can be assessed from a macro point of view to identify where you would bring in a trainer to teach the staff/ participants according to your own scope/ desired outcomes.
c. make a compulsory goal for each employee to have "x" hours of training each year that are directly related to their job position. Further, I send out periodic reminders where staff can find CPEs through their GARTNER accounts.
d. TRACKING: have an administration person be responsible for updating a spreadsheet containing employees and the related results of their training immediately upon completing the training event. The spreadsheet can contain a number of variables you want, but make sure there is a way to link the training records back to the competency map (e.g., coding or some classification).
While my organization has in-house developed apps for these tasks, everything above can be done manually through spreadsheets. Best wishes in your success and buy-in from all your stakeholders!