Risk Based Internal Auditing A Complete Guide - 2020 Edition. Gerardus Blokdyk
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11. Are approval levels defined for contracts and supplements to contracts?
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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?
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13. How will the Risk based internal auditing team and the group measure complete success of Risk based internal auditing?
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14. Is there a completed, verified, and validated high-level ‘as is’ (not ‘should be’ or ‘could be’) stakeholder process map?
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15. Is there a completed SIPOC representation, describing the Suppliers, Inputs, Process, Outputs, and Customers?
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16. Do you all define Risk based internal auditing in the same way?
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17. Will a Risk based internal auditing production readiness review be required?
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18. Is the Risk based internal auditing scope manageable?
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19. Is there a critical path to deliver Risk based internal auditing results?
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20. What key stakeholder process output measure(s) does Risk based internal auditing leverage and how?
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21. How often are the team meetings?
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22. Is there any additional Risk based internal auditing definition of success?
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23. Are accountability and ownership for Risk based internal auditing clearly defined?
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24. Who is gathering information?
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25. What scope to assess?
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26. What information should you gather?
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27. Who approved the Risk based internal auditing scope?
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28. Are task requirements clearly defined?
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29. How do you manage unclear Risk based internal auditing requirements?
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30. What constraints exist that might impact the team?
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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?
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32. Is data collected and displayed to better understand customer(s) critical needs and requirements.
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33. Is there regularly 100% attendance at the team meetings? If not, have appointed substitutes attended to preserve cross-functionality and full representation?
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34. Are audit criteria, scope, frequency and methods defined?
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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?
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36. Why are you doing Risk based internal auditing and what is the scope?
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37. What is in scope?
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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?
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39. Is the team adequately staffed with the desired cross-functionality? If not, what additional resources are available to the team?
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40. What are the dynamics of the communication plan?
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41. How would you define the culture at your organization, how susceptible is it to Risk based internal auditing changes?
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42. Has a high-level ‘as is’ process map been completed, verified and validated?
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43. How do you manage changes in Risk based internal auditing requirements?
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44. How and when will the baselines be defined?
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45. Are the Risk based internal auditing requirements testable?
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46. What would be the goal or target for a Risk based internal auditing’s improvement team?
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47. Is the work to date meeting requirements?
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48. What Risk based internal auditing requirements should be gathered?
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49. How was the ‘as is’ process map developed, reviewed, verified and validated?
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50. What are (control) requirements for Risk based internal auditing Information?
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51. What is out-of-scope initially?
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52. How do you catch Risk based internal auditing definition inconsistencies?
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53. Is Risk based internal auditing currently on schedule according to the plan?
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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?
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55. How are consistent Risk based internal auditing definitions important?
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56. Do the problem and goal statements meet the SMART criteria (specific, measurable, attainable, relevant, and time-bound)?
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57. How have you defined all Risk based internal auditing requirements first?
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58. What baselines are required to be defined and managed?
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59. What specifically is the problem? Where does it occur? When does it occur? What is its extent?
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60. What is the scope of Risk based internal auditing?
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61. In what way can you redefine the criteria of choice clients have in your category in your favor?
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62.