Self-Assessment Checklist

Objective: The purpose of this checklist is to provide a list of steps to complete when conducting a self-assessment and compiling results.

Self-Assessment Step Comment1. Determine primary contact for the self-assessment process (outside the Internal Audit team)

2. Discuss among Internal Audit team and with COMPANY X management personnel the scope of the self-assessment.

3. Determine population for self-assessment and which staff level should complete the assessment through discussion with business unit management and Legal Department.

4. Determine the various roles for participants in the self-assessment process.

5. Obtain the following information for each division to be part of assessment: division number, division name, including name, phone number, and email address for the person completing the questionnaire, the area manager, and VP of X.

6. Hold conference call with Internal Audit Self Assessment team and appropriate COMPANY X personnel (i.e. primary contact, regional managers, etc.) to explain the self assessment process.

7. Obtain information from COMPANY X about their processes and procedures related to contracting. Information should be sought from the following sources:

a. COMPANY X Intranet

b. COMPANY X Legal Guide / COMPANY X Legal publications

c. Other internal COMPANY X sources

d. Best Practices

e. Resource Binders, if applicable

f. Prior COMPANY X Internal Audit reports

8. Obtain buy-in from applicable COMPANY X personnel regarding timetable for distribution and returning questionnaires and action plans.

9. Develop draft of questionnaire (initial draft should include all feasible questions).

10. Route initial draft through Internal Audit team for review. Internal Audit team will cut back to desired questions.

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11. Develop action plans and self-audit steps for process.

12. Obtain feedback on draft questionnaire, self-audit and action plans from the following:

a. COMPANY X Legal

b. Primary business unit process contact

c. X number of individuals of the level who will be completing the questionnaire

d. Other personnel as deemed appropriate by Internal Audit Self-Assessment team

13. Make adjustments to questionnaire based on input.

14. Establish Excel questionnaire spreadsheet.

15. Set-up document/database to track the following questions: Master Data, Answers – Score and Answers – Verbal.

16. Gather self-assessment data.

17. Develop the following reports:

a. Score Ranking Report – showing division number, name, and % score, sorted in descending order.

b. Answer by question reports – showing all divisions’ answers to a single question, sorted so that all like answers are grouped together.

18. Perform testing on database to ensure accuracy (using sample questionnaires). Delete sample data from database when testing is completed.

19. Draft introduction memo from COMPANY X senior management.

20. Have business operations personnel and business unit President review introduction memo. Make any necessary changes.

21. Update the detail instructions to be mailed with the questionnaire.

22. Update the survey to be mailed out with results.

Performance of Self-Assessment

23. Send out introductory memo to the following people: people completing the questionnaire, branch managers, area managers, BU President. Blind copy the Internal Audit engagement team.

24. Send out questionnaire to the people completing the questionnaire within 2-5 days of sending the introductory memo. (Time frame established in step 8)

25. On day before due date, consider sending a reminder email to

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offices that have not yet submitted their assessment.

26. Questionnaires are to be received by Internal Audit from reviewers within 7-12 days after being sent out. Send reminders for questionnaires not received.

27. Questionnaires are scanned for completeness and obvious errors. If a questionnaire is not complete, it should be returned to the reviewer contact who will then contact the office.

28. Divisions with responses that are not clear are contacted. Responses are clarified and, if necessary, the Excel questionnaire is changed. (All questionnaire changes must be approved by Internal Audit senior and/or manager.)

29. Changes to questionnaires should be documented on a log of problems / issues.

30. Questionnaires are uploaded into the database.

31. Reports are generated from the data loaded into database.

32. Return results to divisions. Summary reports are provided to appropriate management for their review. (Individuals only receive scores of divisions for which they are responsible.) Distribute surveys at this time.

33. Action plans are received back from participating offices.

34. Surveys are obtained and reviewed. Tabulate results. (Using database may be appropriate if a large number of results are received.)

Management Reporting

35. Based on questionnaire results, identify significant issues within the process being assessed.

36. Develop Executive Summary and Management Draft Report based on standardized format.

37. Provide to Internal Audit management for review.

38. Make appropriate adjustments.

39. Distribute report to appropriate management.

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