can help ensure that senior management receives persuasive data regarding the effectiveness of key controls. Although policies, procedures, programs, controls for example. a highly decentralized SU1.ICture may make it difficult for centralized auditing and monitoring functions to help ensure success-been taken into account?
• Have key stakeholders responsible for compliance, investigations, and operations (e.g .. human resources. legal. security, finance, and accounting) been consulted during the planning phase of auditing and monitoring activities'?
• Is there an establrshed timeline for implementation of auditing and monitoring activities?
• Is there a process for evaluating the success of such implementation, and of redesign efforts. if necessary?
can help ensure that senior management receives persuasive data regarding the effectiveness of key controls. Although policies, procedures, programs, controls • Is there clear support from the board of directors and senior management'?• Are there well-established objectives for auditing and monitoring initiatives?• Are reporting lines well established. with direct access to the board or audit committee. if applicable?• Has an assessment been performed to identify any barriers to success')• Is there a remediation plan to overcome identified barriers'?• Have sufficient resources been provided to help ensure the effectiveness of auditing and monitoring efforts?• Are auditing and monitoring activities performed by personnel with tile requisite skills and training'?• Have existing organizational snuctures-> for example. a highly decentralized SU1.ICture may make it difficult for centralized auditing and monitoring functions to help ensure success-been taken into account?• Have key stakeholders responsible for compliance, investigations, and operations (e.g .. human resources. legal. security, finance, and accounting) been consulted during the planning phase of auditing and monitoring activities'?• Is there an establrshed timeline for implementation of auditing and monitoring activities?• Is there a process for evaluating the success of such implementation, and of redesign efforts. if necessary?
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