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Self-Assessment Checklist
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.
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.
• Company X intranet
• Best practices
10. Route initial draft through internal audit team for review. Internal audit team
will cut back to desired questions.
1 Source: www.knowledgeleader.com
Self-Assessment Step Comment
12. Obtain feedback on draft questionnaire, self-audit and action plans from the
following:
• Company X Legal
• Score Ranking Report – showing division number, name and % score, sorted
in descending order
20. Have business operations personnel and business unit president review
introduction memo. Make any necessary changes.
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).
2 Source: www.knowledgeleader.com
Self-Assessment Step Comment
25. On day before due date, consider sending a reminder email to offices that
have not yet submitted their assessment.
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.)
31. Reports are generated from the data loaded into database.
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.
3 Source: www.knowledgeleader.com