Participant Handbook updated April 2022

Project Charter  The internal audit function will add value to the ECP by bringing a systematic and disciplined approach to evaluate and improve the program’s governance, risk management, and internal controls.  The internal audit function will be authorized unrestricted access to any and all ECP records.  The internal audit review team will consist of retired examiners who were certified under the ECP or other accredited credentialing entity during state agency employment and/or employed as a subject matter expert during credential development, communicating to the Certification Committee through a liaison selected by its chairman.  The internal audit review team will assess the efficiency and effectiveness of the internal audit function and identify opportunities for improvement.  Every two years, ECP staff will work with the Certification Committee and the audit review team to produce a report regarding its findings, the corrective/preventive actions to be taken, and the results of those actions.

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Internal Audit Function (IAF) Scope

 Input  Feedback provided through survey of program participants

 Impartiality / waiver / appeal information  Results of a random audit ofCE submissions

 Regular credential review (bank safety & soundness) notes and final report  Credential development (CDAS) meeting minutes; mark ‐ up; final requirements

 Control self ‐ assessment questionnaire  Results of corrective/preventiveactions  Output  Written report of review team

 Evaluation of program processes and procedures  Opportunities for improvement

 CertificationCommittee will consider and approve/reject review team suggestions  Approved changes will be implemented by ECP staff within one year of approval  By establishing an IAF, ECP ensures compliance withClause 10 ofANSIStandard 17024  Stakeholders  ECP, ECP participants,CertificationCommittee, and ECP staff

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4 CSBS Examiner Certification Program Participant Handbook (4 th 3 rd ed.)

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