Gerardus Blokdyk

Risk Based Internal Auditing A Complete Guide - 2020 Edition


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Be aware of the need for change. Recognize that there is an unfavorable variation, problem or symptom.

      In my belief, the answer to this question is clearly defined:

      5 Strongly Agree

      4 Agree

      3 Neutral

      2 Disagree

      1 Strongly Disagree

      1. Is it clear when you think of the day ahead of you what activities and tasks you need to complete?

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      2. What are the stakeholder objectives to be achieved with Risk based internal auditing?

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      3. Think about the people you identified for your Risk based internal auditing project and the project responsibilities you would assign to them, what kind of training do you think they would need to perform these responsibilities effectively?

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      4. What do employees need in the short term?

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      5. Do you have/need 24-hour access to key personnel?

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      6. What activities does the governance board need to consider?

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      7. For your Risk based internal auditing project, identify and describe the business environment, is there more than one layer to the business environment?

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      8. Are there any specific expectations or concerns about the Risk based internal auditing team, Risk based internal auditing itself?

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      9. What do you need to start doing?

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      10. Looking at each person individually – does every one have the qualities which are needed to work in this group?

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      11. What problems are you facing and how do you consider Risk based internal auditing will circumvent those obstacles?

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      12. What Risk based internal auditing problem should be solved?

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      13. How are training requirements identified?

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      14. Does your organization need more Risk based internal auditing education?

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      15. What needs to be done?

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      16. Will Risk based internal auditing deliverables need to be tested and, if so, by whom?

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      17. How do you identify the kinds of information that you will need?

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      18. Do you need different information or graphics?

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      19. Is the quality assurance team identified?

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      20. What is the problem or issue?

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      21. Do you know what you need to know about Risk based internal auditing?

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      22. What vendors make products that address the Risk based internal auditing needs?

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      23. What is the smallest subset of the problem you can usefully solve?

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      24. Which needs are not included or involved?

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      25. Who needs budgets?

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      26. To what extent would your organization benefit from being recognized as a award recipient?

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      27. Are problem definition and motivation clearly presented?

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      28. Who needs to know about Risk based internal auditing?

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      29. How can auditing be a preventative security measure?

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      30. What information do users need?

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      31. What creative shifts do you need to take?

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      32. Are your goals realistic? Do you need to redefine your problem? Perhaps the problem has changed or maybe you have reached your goal and need to set a new one?

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      33. Are employees recognized for desired behaviors?

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      34. Who else hopes to benefit from it?

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      35. Does the problem have ethical dimensions?

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      36. What should be considered when identifying available resources, constraints, and deadlines?

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      37. How much are sponsors, customers, partners, stakeholders involved in Risk based internal auditing? In other words, what are the risks, if Risk based internal auditing does not deliver successfully?

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      38. What are the clients issues and concerns?

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      39. What Risk based internal auditing coordination do you need?

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      40. What would happen if Risk based internal auditing weren’t done?

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      41. Did you miss any major Risk based internal auditing issues?

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      42. What are the expected benefits of Risk based internal auditing to the stakeholder?

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      43. What situation(s) led to this Risk based internal auditing Self Assessment?

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      44. Why the need?

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      45. Would you recognize a threat from the inside?

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      46. To what extent does each concerned units management team recognize Risk based internal auditing as an effective investment?

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      47. Are employees recognized or rewarded for performance that demonstrates the highest levels of integrity?

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      48. Which issues are too important to ignore?

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      49. What extra resources will you need?

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      50. Who defines the rules in relation to any given issue?

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      51. Where is training needed?

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      52. When a Risk based internal auditing manager recognizes a problem, what options are available?