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Control Self Assessment

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Manoj Agarwal
Manoj Agarwal

How to implement CSA

Education
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Control Self Assessment Presented by Manoj Agarwal CEP on May 22, 10@IIA-India, Bombay Chapter
Agenda CSA Implementation Collecting and Reporting CSA Results Communication traits Facilitator responsibilities Presentation skills Dealing with different personalities Preparing for a CSA workshop Facilitating Workshops What are objectives, risks and controls? Soft Controls ERM Objectives, risks, and controls Definitions of CSA What makes CSA CSA? Benefits and concerns of CSA CSA controversies What is CSA?
[object Object]
What is CSA? ,[object Object],[object Object],[object Object]
What is CSA? ,[object Object],[object Object],[object Object]
CSA Rationale ,[object Object],[object Object],[object Object],[object Object],[object Object]
CSA – WHEN IS IT USED? ,[object Object],[object Object],[object Object],[object Object],[object Object]
When do you want to use CSA? ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
CSA - GOALS & OBJECTIVES ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Benefits of CSA ,[object Object],[object Object],[object Object],[object Object],[object Object]
Difficulties Encountered ,[object Object],[object Object],[object Object],[object Object]
[object Object]
System in Control ,[object Object]
Behaviors Affect Control ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Control Activities ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Control Model ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],Action PURPOSE knowing what to do CAPABILITY being able to do it COMMITMENT wanting to do it LEARNING to do it better
COSO Framework - Control Components INFORMATION COMMUNICATION Traditional Auditing/Testing CSA CONTROL ENVIRONMENT RISK ASSESSMENT CONTROL ACTIVITIES MONITORING
[object Object]
Time commitment for CSA ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
CSA - SESSION REQUIREMENTS ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
CSA Workshop Agenda ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
CSA Workshop Participants ,[object Object],[object Object],[object Object],[object Object],[object Object]
Principles ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Getting to the issues (a simplified view of what occurs) ,[object Object],[object Object],[object Object],[object Object],[object Object]
CSA – ANONYMOUS VOTING ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
CSA Action Plan ,[object Object],[object Object],[object Object],[object Object],[object Object]
CSA – FACILITATION TIPS ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
CSA - REPORTING ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
MANAGEMENT ACTION PLANS ,[object Object],[object Object],[object Object]
AUDIT & CSA REPORT - RELATIONSHIP ,[object Object],[object Object],[object Object]
In Summary ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
 
[object Object]

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Control Self Assessment

  • 1. Control Self Assessment Presented by Manoj Agarwal CEP on May 22, 10@IIA-India, Bombay Chapter
  • 2. Agenda CSA Implementation Collecting and Reporting CSA Results Communication traits Facilitator responsibilities Presentation skills Dealing with different personalities Preparing for a CSA workshop Facilitating Workshops What are objectives, risks and controls? Soft Controls ERM Objectives, risks, and controls Definitions of CSA What makes CSA CSA? Benefits and concerns of CSA CSA controversies What is CSA?
  • 3.
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  • 9.
  • 10.
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  • 16.
  • 17. COSO Framework - Control Components INFORMATION COMMUNICATION Traditional Auditing/Testing CSA CONTROL ENVIRONMENT RISK ASSESSMENT CONTROL ACTIVITIES MONITORING
  • 18.
  • 19.
  • 20.
  • 21.
  • 22.
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  • 24.
  • 25.
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  • 33.