SELF-ASSESSMENT CHECKLIST

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

Self-Assessment Step Comment

1. Determine primary contact for the self-assessment process (outside of 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 the 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 the

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 the internal audit self-assessment team and
appropriate Company X personnel (e.g., primary contact, regional managers,
etc.) to explain the self-assessment process.

7. Obtain information from Company X about its processes and procedures

related to contracting. Information should be sought from the following
sources:

• Company X intranet

• Company X legal guide/Company X legal publications

• Other internal Company X sources

• Best practices

• Resource binders, if applicable

• 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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 Self-Assessment Step Comment

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

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

• Company X Legal

• Primary business unit process contact

• X number of individuals of the level who will be completing the questionnaire

• 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 items: master data,

answers – score and answers – verbal.

16. Gather self-assessment data.

17. Develop the following reports:

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

• 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 and 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).

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 Self-Assessment Step Comment

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