Audit & Risk Management Practices - Roadmap > Assessing > Workshop Assessment

Audit & Risk Management Practices - Roadmap - Edition September 2002

Assessing -- Workshop Assessment

 

Identify and quantify problem areas and set-up appropriate corrective/preventive measures

Workshop Assessment
Assessment preparation:

What mechanisms do we need to put in place to ensure that the Assessment Force has

  1. synthetic historical background information
  2. last assessment findings and recommendations/actions
  3. incident facts since the last assessment
  4. list of unresolved issues

Do we apply upfront consultation of the Assessed parties'  (Sr.) Management Team(s)?

 

Who is to decide the focus of the assessment?

 

Do we have rules for inviting the right discussion partners?

 

Do we need to include arbitration parties and rules?

 

How do we ensure that we have enough business competence for drilling down?

 

Assessment execution:

How do we have to organise to ensure execution with correct focus and complete scope within agreed timeframes?

 

Do we want to work with separate identification, assessment and actioning steps?

 

Do we have the means to check/test whether workshop input is factual?

 

Are we organised to capture and record the essentials of the discussion?

 

Action Plan setup & follow-through:

Do we have an owner to follow through completion of agreed actions till final resolution?

 

Do we have a system in place that ensures issue & action ownership allocation and acceptance?

 

Do we have rules to check adequacy of action/recommendation results?

 

What escalation channels need to be installed to ensure that non-reacting parties act upon recomendations?

 

How do we handle situations where recommendations are to be acted upon by other parties? (other than the one being assessed)