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 1. Determine primary contact for the self-assessment process (outside the Internal Audit team) 2. Discuss among Internal Audit team and with CO !A"# $ management personnel the scope of the self-assessment. %. Determine population for self-assessment and which staff le&el should complete the assessment through discussion with 'usiness unit management and (egal Department. ). Determine the &arious roles for participants in the self-assessment process. *. O'tain the following information for each di&ision to 'e part of assessment+ di&ision num'er, di&ision name, including name, phone num'er, and email address for the person completing the -uestionnaire, the area manager, and .! of $. /. 0old conference call with Internal Audit 1elf Assessment team and appropriate CO !A"# $ personnel (i.e. primary contact, regional managers, etc.) to e2plain the self assessment process. 3. O'tain information from CO !A"# $ a'out their processes and procedures related to contracting. Information should 'e sought from the following sources+ a. CO !A"# $ Intranet '. CO !A"# $ (egal 4uide 5 CO !A"# $ (egal pu'lications c. Other internal CO !A"# $ sources d. 6est !ractices e. 7esource 6inders, if applica'le f. !rior CO !A"# $ Internal Audit reports 8. O'tain 'uy-in from applica'le CO !A"# $ personnel regarding timeta'le for distri'ution and returning -uestionnaires and action plans. 9. De&elop draft of -uestionnaire (initial draft should include all feasi'le -uestions). 1:. 7oute initial draft through Internal Audit team for re&iew. Internal Audit team will cut 'ac; to desired -uestions. Comment

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11. De&elop action plans and self-audit steps for process. 12. O'tain feed'ac; on draft -uestionnaire, self-audit and action plans from the following+ a. CO !A"# $ (egal '. !rimary 'usiness unit process contact c. $ num'er of indi&iduals of the le&el who will 'e completing the -uestionnaire d. Other personnel as deemed appropriate 'y Internal Audit 1elf-Assessment team 1%. a;e ad<ustments to -uestionnaire 'ased on input.

1). =sta'lish =2cel -uestionnaire spreadsheet. 1*. 1et-up document5data'ase to trac; the following -uestions+ aster Data, Answers > 1core and Answers > .er'al. 1/. 4ather self-assessment data. 13. De&elop the following reports+ a. 1core 7an;ing 7eport > showing di&ision num'er, name, and ? score, sorted in descending order. '. Answer 'y -uestion reports > showing all di&isions@ answers to a single -uestion, sorted so that all li;e answers are grouped together. 18. !erform testing on data'ase to ensure accuracy (using sample -uestionnaires). Delete sample data from data'ase when testing is completed. 19. Draft introduction memo from CO !A"# $ senior management. 2:. 0a&e 'usiness operations personnel and 'usiness unit !resident re&iew introduction memo. a;e any necessary changes. 21. Apdate the detail instructions to 'e mailed with the -uestionnaire. 22. Apdate the sur&ey to 'e mailed out with results. erformance of Self-Assessment 2%. 1end out introductory memo to the following people+ people completing the -uestionnaire, 'ranch managers, area managers, 6A !resident. 6lind copy the Internal Audit engagement team. 2). 1end out -uestionnaire to the people completing the -uestionnaire within 2-* days of sending the introductory memo. (Bime frame esta'lished in step 8) 2*. On day 'efore due date, consider sending a reminder email to
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offices that ha&e not yet su'mitted their assessment. 2/. Cuestionnaires are to 'e recei&ed 'y Internal Audit from re&iewers within 3-12 days after 'eing sent out. 1end reminders for -uestionnaires not recei&ed. 23. Cuestionnaires are scanned for completeness and o'&ious errors. If a -uestionnaire is not complete, it should 'e returned to the re&iewer contact who will then contact the office. 28. Di&isions with responses that are not clear are contacted. 7esponses are clarified and, if necessary, the =2cel -uestionnaire is changed. (All -uestionnaire changes must 'e appro&ed 'y Internal Audit senior and5or manager.) 29. Changes to -uestionnaires should 'e documented on a log of pro'lems 5 issues. %:. Cuestionnaires are uploaded into the data'ase. %1. 7eports are generated from the data loaded into data'ase. %2. 7eturn results to di&isions. 1ummary reports are pro&ided to appropriate management for their re&iew. (Indi&iduals only recei&e scores of di&isions for which they are responsi'le.) Distri'ute sur&eys at this time. %%. Action plans are recei&ed 'ac; from participating offices. %). 1ur&eys are o'tained and re&iewed. Ba'ulate results. (Asing data'ase may 'e appropriate if a large num'er of results are recei&ed.) !anagement "eporting %*. 6ased on -uestionnaire results, identify significant issues within the process 'eing assessed. %/. De&elop =2ecuti&e 1ummary and 'ased on standardiDed format. anagement Draft 7eport

%3. !ro&ide to Internal Audit management for re&iew. %8. a;e appropriate ad<ustments.

%9. Distri'ute report to appropriate management.

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