Sheet 1: Overview

	
	
	
	

		


		
GovS 009 Internal Audit Functional Standard Self-Assessment Tool 2021-22 
		


	
	

		


		


		


	
	

		


		
This self assessment tool is devised to assist you in reporting compliance for 2021-22 against the mandatory 'shalls' in GovS009 Internal Audit Functional Standard, or where not in compliance, to report on a plan in place to comply with the functional standard. This self assessment is designed to help drive continuous improvement within and across government organisations, by enabling us to assess adherence to key features in the Internal Audit Functional Standard and to understand overall performance.                                                                                                                                                                              Note: Please send a copy of your completed return to GIAA.IAprofession@giaa.gov.uk 
		


	
	

		


		


		


	
	

		
Provider Name:
		


		


	
	

		


		


		


	
	

		
Customer Name:
		


		


	
	

		
<Select from List>
		


		


	
	

		


		


		


	
	

		
Contact Name:
		


		


	
	

		


		


		


	
	

		
Contact Email:
		


		


	
	

		


		


		


	



Sheet 2: Summary

	
	
	
	

		
Summary
		
	

		
Count
		


		
Status Code - Meaning
		
Status Code
	
	

		
0
		


		
Subject area is defined / documented and practiced / implemented
		
Met
	
	

		
0
		


		
Subject areas is practiced / implemented without adequate documentation; Process must be defined  / documented to ensure repeatability of process and mitigate the risks. 
		
Partially Met
	
	

		
0
		


		
Process is defined and not practiced
		
Not Met
	
	

		
0
		


		
Process is not applicable as is not in scope.
		
Not Applicable
	
	

		
0
		


		
TOTAL
		


	



Sheet 3: Section 2

	
	
	
	
	
	
	
	

		
2. Principles
		


		


		


		


		


		


	
	

		


		


		


		


		


		


		


	
	

		
Gov. Functional Standard
		
Functional Standard Section
		
Functional Standard Descriptions
		
Implementation Status
		
Please explain how you meet the requirements of this standard.
If subject area is partially implemented or not applicable, please provide details as to why this is (comply or explain)
		
Do you have documents/records that supports compliance?
		
If yes, please provide details of this evidence

	
	

		


		
2
		
Principles
		


		


		


		


	
	

		
009
		
2.0.0
		
Audit objectives are aligned to government policy and organisational objectives and risks.
		


		


		


		


	
	

		
009
		
2.0.0
		
There is appropriate access for internal auditors to discharge their duties, including the ability to communicate findings without hindrance.
		


		


		


		


	
	

		
009
		
2.0.0
		
Work is assigned to people with the required capability, capacity, proficiency and due professional care
		


		


		


		


	
	

		
009
		
2.0.0
		
Internal audit findings are captured, shared and used to promote improvement in the efficiency and effectiveness of the organisation and value for money.
		


		


		


		


	
	

		
009
		
2.0.0
		
Public service codes of conduct and ethics and those of associated professions are upheld.