Description

Break the cycles of over compliance and non compliance

Does internal audit have a consistent and effective Audit and Compliance program set forth and completed over the financial risk management functions of your organization?

Is your organizations internal Audit and Compliance function independent of the function and operational areas of your organization and senior management?

Can the internal audit department audit all activities and departments of your organization?

What changes should your organization make to its internal audit practices and policies?

Do you have internal and/or external Audit and Compliance needs?

...Find the answers to these, and more, questions with this Audit and Compliance Toolkit:

Monitor compliance with records and information management policies and procedures, including your records retention schedule.
Obtain information about your supply chain compliance requirements.
Get value from your risk and compliance data and inform business decisions from solutions already in the marketplace.
Use technology to make your compliance program more effective.
Improve security compliance in your organization.
Manage the compliance performance data of your supply chain.
Improve your compliance process and protect your organization.
Demonstrate effective communication about your Compliance Program.
Implement export compliance training in your organization.

HOW THIS TOOLKIT WORKS:

Save time, empower your teams and effectively upgrade your processes with access to this practical Audit and Compliance Toolkit and guide. Address common challenges with best-practice templates, step-by-step work plans and maturity diagnostics for any Audit and Compliance related project.

Download the Toolkit and in Three Steps you will be guided from idea to implementation results.

The Toolkit contains the following practical and powerful enablers with new and updated Audit and Compliance specific requirements:

STEP 1: Get your bearings

Start with...

The latest quick edition of the Audit and Compliance Self Assessment book in PDF containing 49 requirements to perform a quickscan, get an overview and share with stakeholders.

Organized in a data driven improvement cycle RDMAICS (Recognize, Define, Measure, Analyze, Improve, Control and Sustain), check the…

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

Then find your goals...

STEP 2: Set concrete goals, tasks, dates and numbers you can track

Featuring 997 new and updated case-based questions, organized into seven core areas of process design, this Self-Assessment will help you identify areas in which Audit and Compliance improvements can be made.

Examples; 10 of the 997 standard requirements:

Are all key managerial personnel, department and staff members familiar with the policies, finance and accounting guidelines and procedures, and other relevant operating and compliance requirements?
Are you required to report any knowledge, suspicion, or information regarding an incident of sexual abuse or sexual harassment to a designated supervisor or official immediately upon learning of it?
Have the engagement objectives been designed with consideration of the risks relevant to the activity under review, probability of significant errors, fraud, noncompliance and other exposures?
Does the venue have documented procedures that have been implemented to ensure that all barring enquiries and approaches for the making of barring orders are responded to in a timely manner?
Is it possible to streamline hundreds or thousands of file transfers while still meeting the needs of trading partners, ensuring regulation compliance, and preparing for organization audits?
Do your organizations monitoring efforts indicate that preventative measures taken in response to non compliance are effective in eliminating future instances of similar non compliance?
Are there shorter, more targeted training sessions to enable employees to timely identify and raise issues to appropriate compliance, internal audit, or other risk management functions?
Does analysis of the results of repeat audits indicate an upward trend of improvement in your organizations understanding of and compliance with internal and external standards?
Has the employer promptly determined and documented an appropriate response to each of the findings of the compliance audit, and document that deficiencies have been corrected?
What role should auditors play in determining whether the directors are complying with relevant laws and regulations, including with respect to matters of capital maintenance?

Complete the self assessment, on your own or with a team in a workshop setting. Use the workbook together with the self assessment requirements spreadsheet:

The workbook is the latest in-depth complete edition of the Audit and Compliance book in PDF containing 997 requirements, which criteria correspond to the criteria in...

Your Audit and Compliance self-assessment dashboard which gives you your dynamically prioritized projects-ready tool and shows your organization exactly what to do next:

The Self-Assessment Excel Dashboard; with the Audit and Compliance Self-Assessment and Scorecard you will develop a clear picture of which Audit and Compliance areas need attention, which requirements you should focus on and who will be responsible for them:

Shows your organization instant insight in areas for improvement: Auto generates reports, radar chart for maturity assessment, insights per process and participant and bespoke, ready to use, RACI Matrix
Gives you a professional Dashboard to guide and perform a thorough Audit and Compliance Self-Assessment
Is secure: Ensures offline data protection of your Self-Assessment results
Dynamically prioritized projects-ready RACI Matrix shows your organization exactly what to do next:

STEP 3: Implement, Track, follow up and revise strategy

The outcomes of STEP 2, the self assessment, are the inputs for STEP 3; Start and manage Audit and Compliance projects with the 62 implementation resources:

62 step-by-step Audit and Compliance Project Management Form Templates covering over 1500 Audit and Compliance project requirements and success criteria:

Examples; 10 of the check box criteria:

Activity Duration Estimates: Is risk identification completed regularly throughout the Audit and Compliance project?
Risk Audit: Are corresponding safety and risk management policies posted for all to see?
Cost Management Plan: Contingency how will cost contingency be administered?
Source Selection Criteria: What are the most critical evaluation criteria that prove to be tiebreakers in the evaluation of proposals?
Project or Phase Close-Out: Who exerted influence that has positively affected or negatively impacted the Audit and Compliance project?
Variance Analysis: What is the total budget for the Audit and Compliance project (including estimates for authorized and unpriced work)?
Procurement Audit: Are incentives to deliver on time and in quantity properly specified?
Procurement Audit: Is it tested periodically, whether your organizations way of handling tasks is competitive in relation to price and quality?
Initiating Process Group: Although the Audit and Compliance project manager does not directly manage procurement and contracting activities, who does manage procurement and contracting activities in your organization then if not the PM?
Human Resource Management Plan: Are all payments made according to the contract(s)?

Step-by-step and complete Audit and Compliance Project Management Forms and Templates including check box criteria and templates.

1.0 Initiating Process Group:

1.1 Audit and Compliance project Charter
1.2 Stakeholder Register
1.3 Stakeholder Analysis Matrix

2.0 Planning Process Group:

2.1 Audit and Compliance project Management Plan
2.2 Scope Management Plan
2.3 Requirements Management Plan
2.4 Requirements Documentation
2.5 Requirements Traceability Matrix
2.6 Audit and Compliance project Scope Statement
2.7 Assumption and Constraint Log
2.8 Work Breakdown Structure
2.9 WBS Dictionary
2.10 Schedule Management Plan
2.11 Activity List
2.12 Activity Attributes
2.13 Milestone List
2.14 Network Diagram
2.15 Activity Resource Requirements
2.16 Resource Breakdown Structure
2.17 Activity Duration Estimates
2.18 Duration Estimating Worksheet
2.19 Audit and Compliance project Schedule
2.20 Cost Management Plan
2.21 Activity Cost Estimates
2.22 Cost Estimating Worksheet
2.23 Cost Baseline
2.24 Quality Management Plan
2.25 Quality Metrics
2.26 Process Improvement Plan
2.27 Responsibility Assignment Matrix
2.28 Roles and Responsibilities
2.29 Human Resource Management Plan
2.30 Communications Management Plan
2.31 Risk Management Plan
2.32 Risk Register
2.33 Probability and Impact Assessment
2.34 Probability and Impact Matrix
2.35 Risk Data Sheet
2.36 Procurement Management Plan
2.37 Source Selection Criteria
2.38 Stakeholder Management Plan
2.39 Change Management Plan

3.0 Executing Process Group:

3.1 Team Member Status Report
3.2 Change Request
3.3 Change Log
3.4 Decision Log
3.5 Quality Audit
3.6 Team Directory
3.7 Team Operating Agreement
3.8 Team Performance Assessment
3.9 Team Member Performance Assessment
3.10 Issue Log

4.0 Monitoring and Controlling Process Group:

4.1 Audit and Compliance project Performance Report
4.2 Variance Analysis
4.3 Earned Value Status
4.4 Risk Audit
4.5 Contractor Status Report
4.6 Formal Acceptance

5.0 Closing Process Group:

5.1 Procurement Audit
5.2 Contract Close-Out
5.3 Audit and Compliance project or Phase Close-Out
5.4 Lessons Learned

Results

With this Three Step process you will have all the tools you need for any Audit and Compliance project with this in-depth Audit and Compliance Toolkit.

In using the Toolkit you will be better able to:

Diagnose Audit and Compliance 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 Audit and Compliance and put process design strategies into practice according to best practice guidelines

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

Unless you are talking a one-time, single-use project within a business, 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 Toolkit 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 Audit and Compliance investments work better.

This Audit and Compliance All-Inclusive Toolkit enables You to be that person.

Includes lifetime 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.

TRUSTED BY NEARLY 200.000 PROFESSIONALS:

'I spent months shopping for an external consultant before realizing that The Art of Service would allow my team to consult themselves! Not only did we save time not catching a consultant up to speed, we were able to keep our company information and industry secrets confidential.'

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'As a new Chief Technology Officer, I was feeling unprepared and inadequate to be successful in my role. I ordered an IT toolkit Sunday night and was prepared Monday morning to shed light on areas of improvement within my organization. I no longer felt overwhelmed and intimidated, I was excited to share what I had learned.'

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'The risk of our competitors getting ahead has been mitigated because The Art of Service has provided us with a 360-degree view of threats within our organization before they even arise.'

'After purchasing The Art of Service toolkit, I was able to identify areas where my company was not in compliance that could have put my job at risk. I looked like a hero when I proactively educated my team on the risks and presented a solid solution.'

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'Everyday there are new regulations and processes in my industry. The Art of Service toolkit has kept me ahead by using AI technology to constantly update the toolkits and address emerging needs.'

'Many of our competitors have asked us about our secret sauce. When I tell them it is the knowledge we have in-house, they never believe me. Little do they know The Art of Service toolkits are working behind the scenes.'

'I used the questionnaires to interview members of my team. I never knew how many insights we could produce collectively with our internal knowledge.'

Checklists:

Checklists:Audit and Compliance Checklist Report on AUDIT.pdf

Checklists:Audit and Compliance Checklist Report on ORGANIZATION.pdf

Checklists:Audit and Compliance Checklist Report on RISK.pdf

Checklists:Audit and Compliance Checklist Report on PROCESS.pdf

Checklists:Audit and Compliance Checklist Report on MANAGEMENT.pdf

Checklists:Audit and Compliance Checklist Report on COMPLIANCE.pdf

Checklists:Audit and Compliance Checklist Report on CONTROLS.pdf

STEP 1 Get your bearings:

STEP 1 Get your bearings:Audit_and_Compliance_Quick_Exploratory_Self-Assessment_Guide.pdf

STEP 1 Get your bearings:Audit and Compliance Self-Assessment Pre-Filled EXAMPLE.xlsx

STEP 2 Set concrete goals tasks dates and numbers you can track:

STEP 2 Set concrete goals tasks dates and numbers you can track:Audit_and_Compliance.pdf

STEP 2 Set concrete goals tasks dates and numbers you can track:Audit and Compliance Self-Assessment.xlsx

..and the Project Management resources in 'STEP 3: Implement, Track, follow up and revise strategy' as described above.

Who This Toolkit Is For

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Bottom line, if you are managing high-end products and services, this toolkit will help you know more, see more and sell more - as well as train your people and co-workers to do so.

If you are a professional who wants to level-up, this Toolkit will help you do exactly that. And if you ever decide to launch products or services, this Toolkit will give you the skills that will not only serve you today as a professional but also in the future as an entrepreneur.

These skills will enrich every part of your life.

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Decision Making:

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The answer to this question is your REAL pain:

Why do you think this problem exists?
What have you tried to fix it?
How long has this been a problem?
Is this problem affecting your life in other ways, and how?

Tried:

What have you tried so far to fix this? Is there pain of frustration to solve this all on your own?

This Toolkit gives you your proven advisor, an advisor the vast majority of professionals do not use, because they do not know it exists. If you have tried Toolkits before, so have everyone else of our 200.000 clients. Once they use this Toolkit, they are shocked as to how they quickly get results.

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This toolkit will give you the exact quantifiable metrics in your situation; identifying where exactly you are in the journey to solving your problem and what that looks like.

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The reason WHY you want something always comes down to either love or status - have clarity on your WHY.

Ownership:

What is stopping you from achieving this all on your own without any help? If your answer is one of these three answers, this Toolkit is right for you:

I do not know how to do it
I want to follow a proven process from someone that has already done it
I want to get there faster

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The fact is, it is never a good time, it is never a good time to start a new program, and it is never a good time to fix a major problem. And even if you think a later time is a good time, you know something will come up. Life will keep happening. If you truly want to solve this problem, would you agree you have to commit to solving it even when it is not the perfect time?

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