Casals control self assessment presentation
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Transcript of Casals control self assessment presentation
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! Introduction ! CSA experience ! Presentation
" What is CSA? " Where does it come from? " Why CSA? How to use it? " CSA Workshops / Methodology " CSA within Government Institutions " Conclusions
! Questions/Comments
Miguel García Gosalvez ([email protected]) 2
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Miguel García Gosalvez ([email protected]) 9
Miguel García Gosalvez ([email protected]) 10
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Miguel García Gosalvez ([email protected]) 11
Miguel García Gosalvez ([email protected]) 12
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Miguel García Gosalvez ([email protected]) 13
Miguel García Gosalvez ([email protected]) 14
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Miguel García Gosalvez ([email protected]) 15
! Is a means for taking the pulse to an organization ! Collecting information on the state of its institutional
health ! Assessing the risks to achieving its organizational
objectives " Recommendations for change come from employees within
the organization " Requires participation and commitment from top
management
Miguel García Gosalvez ([email protected]) 16
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Miguel García Gosalvez ([email protected]) 17
Miguel García Gosalvez ([email protected]) 18
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Miguel García Gosalvez ([email protected]) 19
! Manuals ! Policies ! Procedures ! Bureaucracy ! Hierarchy ! Regulations ! Laws ! Norms
! Ethics ! Leadership ! Competence ! Communication ! Moral ! Confidence ! Team Work
Miguel García Gosalvez ([email protected]) 20
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Miguel García Gosalvez ([email protected]) 21
Miguel García Gosalvez ([email protected]) 22
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! Reactive ! Focus on auditors,
policies & procedures ! Detect – Correct
! Inspect Quality ! Survival of the fittest
! Audit Driven Solutions
! Proactive ! Focus on people &
opportunities ! Prevent, Monitor, Learn,
Apply ! Build Quality ! Everyone can contribute ! Staff & Operations
driven solutions
Miguel García Gosalvez ([email protected]) 23
CSA/CoCo vs.
Miguel García Gosalvez ([email protected]) 24
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Miguel García Gosalvez ([email protected]) 25
Miguel García Gosalvez ([email protected]) 26
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Miguel García Gosalvez ([email protected]) 27
Miguel García Gosalvez ([email protected]) 28
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Miguel García Gosalvez ([email protected]) 29
Miguel García Gosalvez ([email protected]) 30
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Miguel García Gosalvez ([email protected]) 31
Miguel García Gosalvez ([email protected]) 32
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Miguel García Gosalvez ([email protected]) 33
Miguel García Gosalvez ([email protected]) 34
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Miguel García Gosalvez ([email protected]) 35
Miguel García Gosalvez ([email protected]) 36
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Miguel García Gosalvez ([email protected]) 37
Miguel García Gosalvez ([email protected]) 38
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Miguel García Gosalvez ([email protected]) 39
Miguel García Gosalvez ([email protected]) 40
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Miguel García Gosalvez ([email protected]) 41
Miguel García Gosalvez ([email protected]) 42
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Miguel García Gosalvez ([email protected]) 43
Miguel García Gosalvez ([email protected]) 44
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Miguel García Gosalvez ([email protected]) 45
Miguel García Gosalvez ([email protected]) 46
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Miguel García Gosalvez ([email protected]) 47
Miguel García Gosalvez ([email protected]) 48
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Miguel García Gosalvez ([email protected]) 49
Miguel García Gosalvez ([email protected]) 50
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Miguel García Gosalvez ([email protected]) 51
Miguel García Gosalvez ([email protected]) 52
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Miguel García Gosalvez ([email protected]) 53
Miguel García Gosalvez ([email protected]) 54
Control Environment
Risk Assessment
Control Activities
Monitor
Info
rmat
ion
Comm
unication
COSO
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! Control Environment " Values and Beliefs " Team Environment & Responsibilities " Skills & Knowledge " Rewards & Recognition
! Risk Assessment " Setting Team Objectives " Planning & Risk Assessment " Resources
Miguel García Gosalvez ([email protected]) 55
! Control Activities
! Monitoring " Learning and Managing Change
! Communication " Communication & Relations
! Information
Miguel García Gosalvez ([email protected]) 56
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Miguel García Gosalvez ([email protected]) 57
Disagree Strongly
1
4
7
Agree Strongly
Neither Agree Nor Disagree
! My role and responsibility in the team is clearly understood by all team members
! People in leadership positions in our organization set a good example
! I have confidence in the accuracy of the information I receive
Miguel García Gosalvez ([email protected]) 58
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Miguel García Gosalvez ([email protected]) 59
Miguel García Gosalvez ([email protected]) 60
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Miguel García Gosalvez ([email protected]) 61
PURPOSE Know what to do
COMMITMENT Want to do it
LEARNING Do it better
CAPACITY Know how to do it
! Availability and Interest ! Real and legit interest for
improving ! Opportunities to participate ! Suggestions and recommendations
come from within the organization ! The report is generated with the
participants Miguel García Gosalvez ([email protected]) 62
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! Opportunity to listen to others ! Final report is delivered in less
than 48 hours and to all participants
! Avoid creating false expectations
Miguel García Gosalvez ([email protected]) 63
! 2 facilitators ! 15-18 participants ! 7-8 hours ! Information is collected in writing
as well as by votes ! Information is collected in real
time Miguel García Gosalvez ([email protected]) 64
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! Includes what can be done and not just a passive and descriptive explanation
! Report has to be followed up, soon, with an action plan.
! Facilitators are just that, facilitators
Miguel García Gosalvez ([email protected]) 65
! Software is a support tool but not the key element
! Indicators are based in the internal control model and: " short " easy to understand " cover a single concept " self-explanatory
Miguel García Gosalvez ([email protected]) 66
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! Indicators are based in the internal control model and: " Designed to avoid Yes/No " Cover relevant aspects for all
levels within the organization " Respectful with everybody
Miguel García Gosalvez ([email protected]) 67
! People as key element ! There is a lot more than audit
reports (“El papel lo aguanta todo”)
! Key Idea: Achieve Objectives ! “Be in Control” vs.
“Controlling” Miguel García Gosalvez ([email protected]) 68