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    Separation Of Duties A Complete Guide - 2020 Edition
    Separation Of Duties A Complete Guide - 2020 Edition
    Separation Of Duties A Complete Guide - 2020 Edition
    Ebook324 pages2 hours

    Separation Of Duties A Complete Guide - 2020 Edition

    By Gerardus Blokdyk

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    About this ebook

    How can data be used to enhance internal control and reduce fraud risk? Are invoice quantities compared with the already stated on the receiving reports? How often must management assess internal control over financial reporting? Does investment efficiency improve after the disclosure of material weaknesses in internal control over financial reporting? How does your organization track which employees do not complete the retention authorization?

    Defining, designing, creating, and implementing a process to solve a challenge or meet an objective is the most valuable role… In EVERY group, company, organization and department.

    Unless you are talking a one-time, single-use project, there should be a process. Whether that process is managed and implemented by humans, AI, or a combination of the two, it needs to be designed by someone with a complex enough perspective to ask the right questions. Someone capable of asking the right questions and step back and say, 'What are we really trying to accomplish here? And is there a different way to look at it?'

    This Self-Assessment empowers people to do just that - whether their title is entrepreneur, manager, consultant, (Vice-)President, CxO etc... - they are the people who rule the future. They are the person who asks the right questions to make Separation Of Duties investments work better.

    This Separation Of Duties All-Inclusive Self-Assessment enables You to be that person.

    All the tools you need to an in-depth Separation Of Duties Self-Assessment. Featuring 2111 new and updated case-based questions, organized into seven core areas of process design, this Self-Assessment will help you identify areas in which Separation Of Duties improvements can be made.

    In using the questions you will be better able to:

    - diagnose Separation Of Duties projects, initiatives, organizations, businesses and processes using accepted diagnostic standards and practices

    - implement evidence-based best practice strategies aligned with overall goals

    - integrate recent advances in Separation Of Duties and process design strategies into practice according to best practice guidelines

    Using a Self-Assessment tool known as the Separation Of Duties Scorecard, you will develop a clear picture of which Separation Of Duties areas need attention.

    Your purchase includes access details to the Separation Of Duties self-assessment dashboard download which gives you your dynamically prioritized projects-ready tool and shows your organization exactly what to do next. You will receive the following contents with New and Updated specific criteria:

    - The latest quick edition of the book in PDF

    - The latest complete edition of the book in PDF, which criteria correspond to the criteria in...

    - The Self-Assessment Excel Dashboard

    - Example pre-filled Self-Assessment Excel Dashboard to get familiar with results generation

    - In-depth and specific Separation Of Duties Checklists

    - Project management checklists and templates to assist with implementation

    INCLUDES LIFETIME SELF ASSESSMENT UPDATES

    Every self assessment comes with Lifetime Updates and Lifetime Free Updated Books. Lifetime Updates is an industry-first feature which allows you to receive verified self assessment updates, ensuring you always have the most accurate information at your fingertips.

    LanguageEnglish
    Publisher5STARCooks
    Release dateSep 5, 2019
    ISBN9780655962816
    Separation Of Duties A Complete Guide - 2020 Edition

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      Book preview

      Separation Of Duties A Complete Guide - 2020 Edition - Gerardus Blokdyk

      Separation Of Duties

      Complete Self-Assessment Guide

      The guidance in this Self-Assessment is based on Separation Of Duties best practices and standards in business process architecture, design and quality management. The guidance is also based on the professional judgment of the individual collaborators listed in the Acknowledgments.

      Notice of rights

      You are licensed to use the Self-Assessment contents in your presentations and materials for internal use and customers without asking us - we are here to help.

      All rights reserved for the book itself: this book may not be reproduced or transmitted in any form by any means, electronic, mechanical, photocopying, recording, or otherwise, without the prior written permission of the publisher.

      The information in this book is distributed on an As Is basis without warranty. While every precaution has been taken in the preparation of he book, neither the author nor the publisher shall have any liability to any person or entity with respect to any loss or damage caused or alleged to be caused directly or indirectly by the instructions contained in this book or by the products described in it.

      Trademarks

      Many of the designations used by manufacturers and sellers to distinguish their products are claimed as trademarks. Where those designations appear in this book, and the publisher was aware of a trademark claim, the designations appear as requested by the owner of the trademark. All other product names and services identified throughout this book are used in editorial fashion only and for the benefit of such companies with no intention of infringement of the trademark. No such use, or the use of any trade name, is intended to convey endorsement or other affiliation with this book.

      Copyright © by The Art of Service

      http://theartofservice.com

      service@theartofservice.com

      About The Art of Service

      The Art of Service, Business Process Architects since 2000, is dedicated to helping stakeholders achieve excellence.

      Defining, designing, creating, and implementing a process to solve a stakeholders challenge or meet an objective is the most valuable role… In EVERY group, company, organization and department.

      Unless you’re talking a one-time, single-use project, there should be a process. Whether that process is managed and implemented by humans, AI, or a combination of the two, it needs to be designed by someone with a complex enough perspective to ask the right questions.

      Someone capable of asking the right questions and step back and say, ‘What are we really trying to accomplish here? And is there a different way to look at it?’

      With The Art of Service’s Standard Requirements Self-Assessments, we empower people who can do just that — whether their title is marketer, entrepreneur, manager, salesperson, consultant, Business Process Manager, executive assistant, IT Manager, CIO etc... —they are the people who rule the future. They are people who watch the process as it happens, and ask the right questions to make the process work better.

      Contact us when you need any support with this Self-Assessment and any help with templates, blue-prints and examples of standard documents you might need:

      http://theartofservice.com

      service@theartofservice.com

      Included Resources - how to access

      Included with your purchase of the book is the Separation Of Duties Self-Assessment Spreadsheet Dashboard which contains all questions and Self-Assessment areas and auto-generates insights, graphs, and project RACI planning - all with examples to get you started right away.

      How? Simply send an email to

      access@theartofservice.com

      with this books’ title in the subject to get the Separation Of Duties Self Assessment Tool right away.

      You will receive the following contents with New and Updated specific criteria:

      •The latest quick edition of the book in PDF

      •The latest complete edition of the book in PDF, which criteria correspond to the criteria in...

      •The Self-Assessment Excel Dashboard, and...

      •Example pre-filled Self-Assessment Excel Dashboard to get familiar with results generation

      •In-depth specific Checklists covering the topic

      •Project management checklists and templates to assist with implementation

      INCLUDES LIFETIME SELF ASSESSMENT UPDATES

      Every self assessment comes with Lifetime Updates and Lifetime Free Updated Books. Lifetime Updates is an industry-first feature which allows you to receive verified self assessment updates, ensuring you always have the most accurate information at your fingertips.

      Get it now- you will be glad you did - do it now, before you forget.

      Send an email to access@theartofservice.com with this books’ title in the subject to get the Separation Of Duties Self Assessment Tool right away.

      Purpose of this Self-Assessment

      This Self-Assessment has been developed to improve understanding of the requirements and elements of Separation Of Duties, based on best practices and standards in business process architecture, design and quality management.

      It is designed to allow for a rapid Self-Assessment to determine how closely existing management practices and procedures correspond to the elements of the Self-Assessment.

      The criteria of requirements and elements of Separation Of Duties have been rephrased in the format of a Self-Assessment questionnaire, with a seven-criterion scoring system, as explained in this document.

      In this format, even with limited background knowledge of Separation Of Duties, a manager can quickly review existing operations to determine how they measure up to the standards. This in turn can serve as the starting point of a ‘gap analysis’ to identify management tools or system elements that might usefully be implemented in the organization to help improve overall performance.

      How to use the Self-Assessment

      On the following pages are a series of questions to identify to what extent your Separation Of Duties initiative is complete in comparison to the requirements set in standards.

      To facilitate answering the questions, there is a space in front of each question to enter a score on a scale of ‘1’ to ‘5’.

      1 Strongly Disagree

      2 Disagree

      3 Neutral

      4 Agree

      5 Strongly Agree

      Read the question and rate it with the following in front of mind:

      ‘In my belief,

      the answer to this question is clearly defined’.

      There are two ways in which you can choose to interpret this statement;

      1.how aware are you that the answer to the question is clearly defined

      2.for more in-depth analysis you can choose to gather evidence and confirm the answer to the question. This obviously will take more time, most Self-Assessment users opt for the first way to interpret the question and dig deeper later on based on the outcome of the overall Self-Assessment.

      A score of ‘1’ would mean that the answer is not clear at all, where a ‘5’ would mean the answer is crystal clear and defined. Leave emtpy when the question is not applicable or you don’t want to answer it, you can skip it without affecting your score. Write your score in the space provided.

      After you have responded to all the appropriate statements in each section, compute your average score for that section, using the formula provided, and round to the nearest tenth. Then transfer to the corresponding spoke in the Separation Of Duties Scorecard on the second next page of the Self-Assessment.

      Your completed Separation Of Duties Scorecard will give you a clear presentation of which Separation Of Duties areas need attention.

      Separation Of Duties

      Scorecard Example

      Example of how the finalized Scorecard can look like:

      Separation Of Duties

      Scorecard

      Your Scores:

      BEGINNING OF THE

      SELF-ASSESSMENT:

      Table of Contents

      About The Art of Service11

      Included Resources - how to access11

      Purpose of this Self-Assessment13

      How to use the Self-Assessment14

      Separation Of Duties

      Scorecard Example16

      Separation Of Duties

      Scorecard17

      BEGINNING OF THE

      SELF-ASSESSMENT:18

      CRITERION #1: RECOGNIZE19

      CRITERION #2: DEFINE:27

      CRITERION #3: MEASURE:41

      CRITERION #4: ANALYZE:52

      CRITERION #5: IMPROVE:66

      CRITERION #6: CONTROL:84

      CRITERION #7: SUSTAIN:102

      Separation of Duties and Managing Projects, Criteria for Project Managers:133

      1.0 Initiating Process Group: Separation of Duties134

      1.1 Project Charter: Separation of Duties136

      1.2 Stakeholder Register: Separation of Duties138

      1.3 Stakeholder Analysis Matrix: Separation of Duties139

      2.0 Planning Process Group: Separation of Duties141

      2.1 Project Management Plan: Separation of Duties143

      2.2 Scope Management Plan: Separation of Duties145

      2.3 Requirements Management Plan: Separation of Duties147

      2.4 Requirements Documentation: Separation of Duties149

      2.5 Requirements Traceability Matrix: Separation of Duties151

      2.6 Project Scope Statement: Separation of Duties153

      2.7 Assumption and Constraint Log: Separation of Duties155

      2.8 Work Breakdown Structure: Separation of Duties157

      2.9 WBS Dictionary: Separation of Duties159

      2.10 Schedule Management Plan: Separation of Duties161

      2.11 Activity List: Separation of Duties163

      2.12 Activity Attributes: Separation of Duties165

      2.13 Milestone List: Separation of Duties167

      2.14 Network Diagram: Separation of Duties169

      2.15 Activity Resource Requirements: Separation of Duties171

      2.16 Resource Breakdown Structure: Separation of Duties173

      2.17 Activity Duration Estimates: Separation of Duties175

      2.18 Duration Estimating Worksheet: Separation of Duties177

      2.19 Project Schedule: Separation of Duties179

      2.20 Cost Management Plan: Separation of Duties181

      2.21 Activity Cost Estimates: Separation of Duties183

      2.22 Cost Estimating Worksheet: Separation of Duties185

      2.23 Cost Baseline: Separation of Duties187

      2.24 Quality Management Plan: Separation of Duties189

      2.25 Quality Metrics: Separation of Duties191

      2.26 Process Improvement Plan: Separation of Duties193

      2.27 Responsibility Assignment Matrix: Separation of Duties195

      2.28 Roles and Responsibilities: Separation of Duties197

      2.29 Human Resource Management Plan: Separation of Duties199

      2.30 Communications Management Plan: Separation of Duties201

      2.31 Risk Management Plan: Separation of Duties203

      2.32 Risk Register: Separation of Duties205

      2.33 Probability and Impact Assessment: Separation of Duties207

      2.34 Probability and Impact Matrix: Separation of Duties209

      2.35 Risk Data Sheet: Separation of Duties211

      2.36 Procurement Management Plan: Separation of Duties213

      2.37 Source Selection Criteria: Separation of Duties215

      2.38 Stakeholder Management Plan: Separation of Duties217

      2.39 Change Management Plan: Separation of Duties219

      3.0 Executing Process Group: Separation of Duties221

      3.1 Team Member Status Report: Separation of Duties223

      3.2 Change Request: Separation of Duties225

      3.3 Change Log: Separation of Duties227

      3.4 Decision Log: Separation of Duties229

      3.5 Quality Audit: Separation of Duties231

      3.6 Team Directory: Separation of Duties234

      3.7 Team Operating Agreement: Separation of Duties236

      3.8 Team Performance Assessment: Separation of Duties238

      3.9 Team Member Performance Assessment: Separation of Duties240

      3.10 Issue Log: Separation of Duties242

      4.0 Monitoring and Controlling Process Group: Separation of Duties244

      4.1 Project Performance Report: Separation of Duties246

      4.2 Variance Analysis: Separation of Duties248

      4.3 Earned Value Status: Separation of Duties250

      4.4 Risk Audit: Separation of Duties252

      4.5 Contractor Status Report: Separation of Duties254

      4.6 Formal Acceptance: Separation of Duties256

      5.0 Closing Process Group: Separation of Duties258

      5.1 Procurement Audit: Separation of Duties260

      5.2 Contract Close-Out: Separation of Duties262

      5.3 Project or Phase Close-Out: Separation of Duties264

      5.4 Lessons Learned: Separation of Duties266

      Separation Of Duties and Managing Projects, Criteria for Project Managers:268

      1.0 Initiating Process Group: Separation Of Duties269

      1.1 Project Charter: Separation Of Duties271

      1.2 Stakeholder Register: Separation Of Duties273

      1.3 Stakeholder Analysis Matrix: Separation Of Duties274

      2.0 Planning Process Group: Separation Of Duties276

      2.1 Project Management Plan: Separation Of Duties278

      2.2 Scope Management Plan: Separation Of Duties280

      2.3 Requirements Management Plan: Separation Of Duties282

      2.4 Requirements Documentation: Separation Of Duties284

      2.5 Requirements Traceability Matrix: Separation Of Duties286

      2.6 Project Scope Statement: Separation Of Duties288

      2.7 Assumption and Constraint Log: Separation Of Duties290

      2.8 Work Breakdown Structure: Separation Of Duties292

      2.9 WBS Dictionary: Separation Of Duties294

      2.10 Schedule Management Plan: Separation Of Duties297

      2.11 Activity List: Separation Of Duties299

      2.12 Activity Attributes: Separation Of Duties301

      2.13 Milestone List: Separation Of Duties303

      2.14 Network Diagram: Separation Of Duties305

      2.15 Activity Resource Requirements: Separation Of Duties307

      2.16 Resource Breakdown Structure: Separation Of Duties308

      2.17 Activity Duration Estimates: Separation Of Duties310

      2.18 Duration Estimating Worksheet: Separation Of Duties312

      2.19 Project Schedule: Separation Of Duties314

      2.20 Cost Management Plan: Separation Of Duties316

      2.21 Activity Cost Estimates: Separation Of Duties318

      2.22 Cost Estimating Worksheet: Separation Of Duties320

      2.23 Cost Baseline: Separation Of Duties322

      2.24 Quality Management Plan: Separation Of Duties324

      2.25 Quality Metrics: Separation Of Duties326

      2.26 Process Improvement Plan: Separation Of Duties328

      2.27 Responsibility Assignment Matrix: Separation Of Duties330

      2.28 Roles and Responsibilities: Separation Of Duties332

      2.29 Human Resource Management Plan: Separation Of Duties334

      2.30 Communications Management Plan: Separation Of Duties336

      2.31 Risk Management Plan: Separation Of Duties338

      2.32 Risk Register: Separation Of Duties340

      2.33 Probability and Impact Assessment: Separation Of Duties342

      2.34 Probability and Impact Matrix: Separation Of Duties344

      2.35 Risk Data Sheet: Separation Of Duties346

      2.36 Procurement Management Plan: Separation Of Duties348

      2.37 Source Selection Criteria: Separation Of Duties350

      2.38 Stakeholder Management Plan: Separation Of Duties352

      2.39 Change Management Plan: Separation Of Duties354

      3.0 Executing Process Group: Separation Of Duties356

      3.1 Team Member Status Report: Separation Of Duties358

      3.2 Change Request: Separation Of Duties360

      3.3 Change Log: Separation Of Duties362

      3.4 Decision Log: Separation Of Duties364

      3.5 Quality Audit: Separation Of Duties366

      3.6 Team Directory: Separation Of Duties369

      3.7 Team Operating Agreement: Separation Of Duties371

      3.8 Team Performance Assessment: Separation Of Duties373

      3.9 Team Member Performance Assessment: Separation Of Duties375

      3.10 Issue Log: Separation Of Duties377

      4.0 Monitoring and Controlling Process Group: Separation Of Duties379

      4.1 Project Performance Report: Separation Of Duties381

      4.2 Variance Analysis: Separation Of Duties383

      4.3 Earned Value Status: Separation Of Duties385

      4.4 Risk Audit: Separation Of Duties387

      4.5 Contractor Status Report: Separation Of Duties389

      4.6 Formal Acceptance: Separation Of Duties391

      5.0 Closing Process Group: Separation Of Duties393

      5.1 Procurement Audit: Separation Of Duties395

      5.2 Contract Close-Out: Separation Of Duties398

      5.3 Project or Phase Close-Out: Separation Of Duties400

      5.4 Lessons Learned: Separation Of Duties402

      Index404

      CRITERION #1: RECOGNIZE

      INTENT: Be aware of the need for change. Recognize that there is an unfavorable variation, problem or symptom.

      In my belief, the answer to this question is

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