CAP Point Descriptions

CAP Point Descriptions

OVERVIEW

A chapter must earn the minimum CAP points in each of the three service categories to qualify for a performance level: Service to Members (325 points)

Service to Profession (200 points)

Chapter Administration (160 points)

Once these minimums are achieved per category, the chapter qualifies for performance levels:

BRONZE – 685 points

SILVER – 1,060 points

GOLD – 1,560 points

PLATINUM – a chapter achieving GOLD status 10 of 11 years

Note: Complete only the ‘PEACH’ area of the CAP report.

TOP OF THE PAGE

Item / Description
Chapter Name / Name of chapter
Chapter Number / This number can be found on the third tab of the workbook: “Chapter Regional Stats Report”
Submission Date / DD/MM/YY format
Completed By / Name and title of chapter officer in case any questions arise
# of Members / Enter in the number of chapter members at the start of the chapter year, from the “Chapter Regional Stats Report” under the third tab of the worksheet.

SECTION I: SERVICE TO MEMBERS

Activity / CAP Points / Additional links, due date, etc.
Educational Programs for Members / Computed based on equivalent CPE credit for member attendance / No maximum.
Enter the name of the event, the name of the program, the speaker name and email, whether the speaker was excellent (Y/N) (based on evaluations), number of CPE (1 per 50 minutes) and the number of members and non-members who attend. (Note: you will receive credit for non-members in Section II: Service to the Profession.)
All meetings should be included in this section:

• Monthly member meetings / Seminars
• Joint meetings (with other associations, etc.,)
• Roundtables (CAE, Industry, etc.) - Extra points available under Service to the Profession section below.
• CIA and other IIA certification review courses
• CIA Learning System instructor-led courses
• On-Site Training (IIA Headquarters) - Extra points available under Service to the Profession section below.
• Other educational programs.
• Student Activities - Should be recorded here the same as a chapter member meeting event Extra points available under Service to the Profession section below.
• Don't forget to include the speaker name and email for speakers in order to claim Speaker Database Points. Be sure to indicate speakers who were rated excellent.
• Officer/Board meetings can also be listed here; however, please note that no CAP credits are available for Officer / Board Meetings. By listing these in addition to chapter member meetings, seminars and conferences, this will reflect a history of all activities, meetings and events held during the chapter year.

Social Events / 10 points / 30 points maximum.Each event worth 10 points / not to exceed 3 events or 30 points.These are non-educational events.
Number of new IIA certifications received by members / 5 points / No maximum.
5 points per member per certification.
For new IIA certifications: CIA, CCSA, CFSA,CGAP, CRMA

SECTION II: SERVICE TO THE PROFESSION

Activity / CAP Points / Additional links, due date, etc.
CAE - Audit Executive Center (AEC): Contributing thought Leadership to the AEC Knowledge Center / 1 point each / Points based on the number of referred authors and submitted thought leadership pieces. Send to .
No maximum.
CAE - Audit Executive Center (AEC): Submitting resource documents to AEC Resource Library / 1 point each / Points based on the number of contributions: audit tools, templates, plans, programs, etc.
No maximum.
Editorial: Articles published in the Internal Auditor magazine / 20 points / No maximum.
Editorial: Articles Submitted to the Internal Auditor magazine / 5 points / No maximum.
Must follow the established guidelines for submitting articles – please click here for more information.
Editorial: Articles published in other professional journals / 5 points / No maximum.
Speaker Database / 0.5 points each / No maximum.
Can claim for each speaker at a chapter program where “Speaker Name,” “Speaker Email” and “Excellent (Y/N)” is recorded in section I. Service to Members.
Speaking Engagements / 1 point per 50 minutes / No maximum.
Each speaking engagement on internal auditing that a chapter member completes will earn 1 point per 50 minutes. Double points are earned for engagements outside North America. IIA employees and paid speakers are exempt.
Website: Maintain a Chapter Website with Monthly Updates / 1 point/month / 12 points maximum.
Website: Maintain a Social Media Presence / 1 point/month / 12 points maximum.
Website: Promote Audit Executive Center & other IIA resources available to CAEs for example GAIN, Vision University, GAM / 1 point/month / 12 points maximum.
Website: Promote Member Only Webinars through chapter websites or newsletters. / 1 point/month / 12 points maximum.
Website: Link Chapter Website to IIA Website / 2 points / 2 points maximum.
Link to
Website: Post IIA Volunteer Tile Ad on Chapter Home Page / 2 points / 2 points maximum.
Tile Ad accessible from Web Administrator’s File Library.
Academic Relations: Applications submitted for the Esther R. Sawyer Research Award (student must be from an IAEP school) / 5 points each / No maximum.
Academic Relations: Chapter Scholarship Program / 1 point per $100 up to $1000.00
2 points for each $100 thereafter / No maximum.
Establish a chapter scholarship.
Academic Relations: Contributions to The IIA’s Internal Auditing Academic Advancement Fund (IAAAF) / 1 point per $100 up to $1000.00
2 points for each $100 thereafter / No maximum.
Complete Annual Chapter Giving Pledge Form
Academic Relations: Develop an Approved IAEP Program with a Post-secondary School / 20 points / No maximum.
Please click here for more information.
Academic Relations: Participate with the Development of an IIA Student Chapter / 20 points / No maximum.
Refer to the Academic Relations Manual.
Academic Relations: Participate in IIA or IAEP Student Chapter Events / 2 points per member / No maximum.
Academic Relations: Sponsor Student Attendance at Chapter Meetings or Events / 0.5 points per student / No maximum.
Academic Relations: Student Events Held by the Chapter / 5 points / No maximum.
Can also claim points under Section I. Service to Members as an Educational Program.
Advocacy: Innovative Advocacy Efforts / 2 points / No maximum
Please use the Advocacy Updates and Tools form to share these ideas. Please click here for the form.
Advocacy – Chapter Involved in the Formation of New Chapter / 20 points / No maximum.
Advocacy: Funding Support for District Advisor, District Representative, and/or Chapters-in-Need / 1 point per $100 up to $1000.00
2 points for each $100 thereafter / No maximum.
Advocacy: Establish a Library through a local college, university or public Library / 10 points / No maximum.
Advocacy: Gift Subscriptions for Internal Auditor (to a local college, university, public library) / 5 points / No maximum.
Contact IIA Customer Services 407/937-1111 and ask for the Chapter discount
Advocacy: International Nominations / 2 points / No maximum.
2 points per nominee / 1 additional point if they hold an IIA certification.
Advocacy: Chapter organizes a JA Involvement Meeting. / 5 points / 5 points maximum.
Can also claim points under Section I. Service to Members as an Educational Program.
Advocacy: Participation by any chapter member in any JA program or event / 0.5 points per member per hour / No maximum.
Points for Junior Achievement activities are available by completing the JA CAP Worksheet and submitting the completed form to .
Advocacy: Hold Internal Audit Awareness Month activities / 5 points / No maximum.
May also claim points under Section I. Service to Members as an Educational Program, if applicable.
Advocacy: Members Serving on an International Committee / 10 points / No maximum.
Advocacy: Gift Membership to a Student / 5 points / No maximum.
Advocacy: Proclamation / 5 points / No maximum.
Audit Channel TV / 0.5 point per submission / 20 points maximum
Submissions
CAE and Audit Executive Center (AEC) / 10 points / Hosting CAE roundtables and sending agenda, minutes/notes to .
CAE and Audit Executive Center (AEC) / 5 points / Recruiting new CAEs to the Audit Executive Center (AEC)
Certifications: Group Exam Writing Strategy Meeting (per guidelines) / 10 points / 10 points maximum.
For developing / holding group meeting (per guidelines/toolkit) Please click here for more information.
Certifications: Writing Exam Questions for IIA Certifications: CIA, CCSA, CFSA, CGAP, CRMA / 5 points for each accepted question / No maximum.
Must adhere to exam-writing criteria.
Please click here for more information.
Certification: Chapter Officer is IIA Certified: CIA, CCSA, CGAP, CFSA, CRMA / 2 points per officer, per certification / 32 points max.
Certification: Host a live IIA CIA Learning System Course within your chapter area / 20 points / Can also claim points under Section I. Service to Members as an Educational Program.
Must utilize the “Chapter of Excellence Tracking and Application”. Please click here for more information.
Certification: Promote live or online IIA CIA Learning System Course outside of your chapter area. / 10 points / Can also claim points under Section I. Service to Members as an Educational Program.
Must utilize the “Chapter of Excellence Tracking and Application”. Please click here for more information.
Certification: Promote IIA CIA Learning System Self-Study materials. / 5 points
1 point per kit sold / Must utilize the “Chapter of Excellence Tracking and Application”. Please click here for more information.
International Conference Promotion and Support / See guidelines / Refer to the International Toolkit for a list of activities. Toolkits are available under the Communications section of the Leader Resource Webpage
On-Site Training: Hosting an IIA Chapter on-site Training event / 10 points / No Maximum.
On-Site Training: Obtaining a quote / 2 points / Inquiring into and obtaining a quote for a chapter onsite training event. 2 points maximum
Quality: Chapter members participating on an IIA-sponsored Quality Review Team / 10 points / No maximum.
10 points per review.
Quality: Chapter recognizes the member company for completing their QA via member meeting, website, and/or chapter newsletter. / 2 points / No Maximum.
Research Foundation: Complete an IIA-approved Chapter Research Project / 20 points / No maximum.
Must be Submitted to the Board of Research Advisors by March 1st.
Please click here for more information.
Research Foundation: Chapter Research Submission to the Donald E. Ricketts Chapter Research Award Competition / 20 points / No maximum.
Please click here for more information:
Research Foundation: Contribute to The IIA Research Foundation / 1 point per $100 up to $1000.00
2 points for each $100 thereafter / No maximum.
Complete Annual Chapter Giving Pledge Form
Other Miscellaneous / TBD / CAP points approved by IIA HQ for other miscellaneous Service to the Professionactivities.
Net Gain in Chapter Membership Count / 2 points per member / No maximum.
Based on net gain as of May 31. If a net loss is experienced, a negative number should not be recorded.
The report will be available mid June 2012 – CAP reports should be turned on time (June 10) and IIA HQ will populatethis field.
Non-Member Educational Benefits / Computed based on equivalent CPE points for member attendance / Automatically Calculated.
No maximum.
Note: non-member educational programs are entered into Section I. Service to Members, but calculate into Section II. Service to the Profession on the CAP form.
Host a District or Regional
Workshop / 10 points / Points available to host chapter
Host a District Conference / 25 points
Hosting a Regional Conference / 50 points
Hosting an International Conference / 100 points
Quarterly

SECTION III: ADMINISTRATION(Link to Reporting Forms and Templates)

Activity / CAP Points / Additional links, due date, etc.
Monthly Chapter Achievement Program (CAP) Reports / 5 points/month / 60 points maximum.
Due by the 10th of each month.
When the 10th falls on a weekend and/or holiday, reports should be submitted the following business day.
Monthly Newsletter or Updates to the News Section of the Chapter Web site / 7 points/month / 84 points maximum.
Chapter Event Approvals / 8 points per event / No maximum.
Advance approval is required for chapter programs 1 day or longer (6 CPE or more).
Miscellaneous Activities / TBD / CAP points approved by IIA HQ for other miscellaneous Administrative activities.
Annual Member Survey / 10 points / 10 points maximum.
Survey Monkey templates are available on the IIA Website. Please click here for more information.
Annual CAE Survey / 5 points / 5 points maximum.
Survey Monkey templates are available on the IIA Website. Please click here for more information.
HQ Chapter Leader Webinars / 2 points per attendee / No maximum.
Attendance at District Workshop / ½ day = 5 points
Full day (6 hours or longer) = 10 points / No maximum.
Form T1044 (Canada only) / 2 points / 2 points maximum.
Chapter (MMT) Administrator and Chapter Website Administrator Letter of Agreements submitted to HQ / 2 points / 8 points maximum.
Due June-July
Annual Report of Income and Expenses / 8 points / 8 points maximum.
Due August 31.
Chapter Long Range Plan / 8 points / 8 points maximum.
Due August 31.
Chapter Goals and Objectives / 8 points / 8 points maximum.
Due August 31.
Membership Recruitment and Retention Plan / 8 points / 8 points maximum.
Due August 31.
Chapter Budget / 8 points / 8 points maximum.
Due September 30
Chapter Programs / 8 points / 8 points maximum.
Due September 30.
Chapter Planning Checklist / 8 points / 8 points maximum.
Due September 30.
Annual Chapter Giving Pledge Form / 8 points / 8 points maximum.
Due October 15.
Form 990EZ / 2 points / 2 points maximum.
Due October 15 (US Chapters Only).
Submit directly to IRS.
Succession Plan / 8 points / 8 points maximum.
Due November 30.
District Representative Assessment Report. / 8 points / 8 points maximum.
Due November 30.
Chapter Bylaws (Review annually) / 2 points / 2 points maximum.
Review of chapter bylaws. Forward revised copies to the District Rep & .
Complete by January 31.
Incorporation Status Update / 2 points / 2 points maximum.
Due January 31 (US Chapters Only). Contact your state’s Secretary of State office for information and assistance. Nothing needs to be submitted to IIA HQ.
Form 1099-MISC / 1 point / 1 point maximum.
Due January 31 (US Chapters Only).
Send to recipient (individuals only)
Form 1099-MISC / 1 point / 1 point maximum.
Due February 28 (US Chapters Only).
Submit directly to IRS.
Research Annual Plan Development Survey (RF) / 8 points / 8 points maximum.
Survey link sent to chapters in February from The IIA’s Research Foundation.
Chapter Maturity Model / 8 points / 8 points maximum.
Due March 31.
Chapter Officer Listing / 8 points / 8 points maximum.
Due April 30.
Attendance at Leadership Conference / 25 points / No maximum.
Cash Balance Recordings / 2 points / 8 points maximum.

Revised June 1, 2012