Gerardus Blokdyk

Risk Based Internal Auditing A Complete Guide - 2020 Edition


Скачать книгу

Score

      11. Are approval levels defined for contracts and supplements to contracts?

      <--- Score

      12. Is the improvement team aware of the different versions of a process: what they think it is vs. what it actually is vs. what it should be vs. what it could be?

      <--- Score

      13. How will the Risk based internal auditing team and the group measure complete success of Risk based internal auditing?

      <--- Score

      14. Is there a completed, verified, and validated high-level ‘as is’ (not ‘should be’ or ‘could be’) stakeholder process map?

      <--- Score

      15. Is there a completed SIPOC representation, describing the Suppliers, Inputs, Process, Outputs, and Customers?

      <--- Score

      16. Do you all define Risk based internal auditing in the same way?

      <--- Score

      17. Will a Risk based internal auditing production readiness review be required?

      <--- Score

      18. Is the Risk based internal auditing scope manageable?

      <--- Score

      19. Is there a critical path to deliver Risk based internal auditing results?

      <--- Score

      20. What key stakeholder process output measure(s) does Risk based internal auditing leverage and how?

      <--- Score

      21. How often are the team meetings?

      <--- Score

      22. Is there any additional Risk based internal auditing definition of success?

      <--- Score

      23. Are accountability and ownership for Risk based internal auditing clearly defined?

      <--- Score

      24. Who is gathering information?

      <--- Score

      25. What scope to assess?

      <--- Score

      26. What information should you gather?

      <--- Score

      27. Who approved the Risk based internal auditing scope?

      <--- Score

      28. Are task requirements clearly defined?

      <--- Score

      29. How do you manage unclear Risk based internal auditing requirements?

      <--- Score

      30. What constraints exist that might impact the team?

      <--- Score

      31. Has anyone else (internal or external to the group) attempted to solve this problem or a similar one before? If so, what knowledge can be leveraged from these previous efforts?

      <--- Score

      32. Is data collected and displayed to better understand customer(s) critical needs and requirements.

      <--- Score

      33. Is there regularly 100% attendance at the team meetings? If not, have appointed substitutes attended to preserve cross-functionality and full representation?

      <--- Score

      34. Are audit criteria, scope, frequency and methods defined?

      <--- Score

      35. If substitutes have been appointed, have they been briefed on the Risk based internal auditing goals and received regular communications as to the progress to date?

      <--- Score

      36. Why are you doing Risk based internal auditing and what is the scope?

      <--- Score

      37. What is in scope?

      <--- Score

      38. Has the Risk based internal auditing work been fairly and/or equitably divided and delegated among team members who are qualified and capable to perform the work? Has everyone contributed?

      <--- Score

      39. Is the team adequately staffed with the desired cross-functionality? If not, what additional resources are available to the team?

      <--- Score

      40. What are the dynamics of the communication plan?

      <--- Score

      41. How would you define the culture at your organization, how susceptible is it to Risk based internal auditing changes?

      <--- Score

      42. Has a high-level ‘as is’ process map been completed, verified and validated?

      <--- Score

      43. How do you manage changes in Risk based internal auditing requirements?

      <--- Score

      44. How and when will the baselines be defined?

      <--- Score

      45. Are the Risk based internal auditing requirements testable?

      <--- Score

      46. What would be the goal or target for a Risk based internal auditing’s improvement team?

      <--- Score

      47. Is the work to date meeting requirements?

      <--- Score

      48. What Risk based internal auditing requirements should be gathered?

      <--- Score

      49. How was the ‘as is’ process map developed, reviewed, verified and validated?

      <--- Score

      50. What are (control) requirements for Risk based internal auditing Information?

      <--- Score

      51. What is out-of-scope initially?

      <--- Score

      52. How do you catch Risk based internal auditing definition inconsistencies?

      <--- Score

      53. Is Risk based internal auditing currently on schedule according to the plan?

      <--- Score

      54. How will variation in the actual durations of each activity be dealt with to ensure that the expected Risk based internal auditing results are met?

      <--- Score

      55. How are consistent Risk based internal auditing definitions important?

      <--- Score

      56. Do the problem and goal statements meet the SMART criteria (specific, measurable, attainable, relevant, and time-bound)?

      <--- Score

      57. How have you defined all Risk based internal auditing requirements first?

      <--- Score

      58. What baselines are required to be defined and managed?

      <--- Score

      59. What specifically is the problem? Where does it occur? When does it occur? What is its extent?

      <--- Score

      60. What is the scope of Risk based internal auditing?

      <--- Score

      61. In what way can you redefine the criteria of choice clients have in your category in your favor?

      <--- Score

      62.