Control Self-Assessment A Guide to Facilitation-Based Consulting

by Tritter, Richard P.

• ISBN13: 9780471298427
• ISBN10: 0471298425
• Edition: 1st
• Format: Hardcover
• Copyright: 2000-02-18
• Publisher: Wiley

Summary

Control Self-Assessment is a powerful audit and consulting tool that can be organized to protect against Business Risks or used as the central tool in a Business Process Analysis. In this first comprehensive introduction to CSA methodology, Richard Tritter explains how to successfully use CSA sessions to get a realistic look at the machinery of your business with information known to its day-to-day operational staff. He goes on to show you how to use this information to develop an action plan that will be enthusiastically put into practice. Control Self-Assessment is a must for any firm in which CEOs and staff share a common vision built on their collective wisdom.

Author Biography

RICHARD P. TRITTER is the Director of Regional Business Development at a major software consulting firm in Massachusetts. Previously, he was the Director of Facilitative Consulting and the Director of Business Self-Assessment practice worldwide at a Big Five accounting firm, which involved conducting facilitative meetings with groups of client executives at the vice-presidential level or higher. Regarded as a major authority on CSA technique, Tritter researched and wrote Control Self-Assessment: Experience, Current Thinking, and Best Practices for the Institute of Internal Auditors. For his facilitation work in improving adult-handicapped programs, the author was the cowinner of the Massachusetts Better Government Competition awarded by Governor William Weld in 1991.

Table of Contents

About the Author	xi
Preface	xiii
Acknowledgments	xvii
Facilitative Consulting and Control Self-Assessment: An Introduction	1	(24)
Facilitative Consulting: A Brief History	1	(2)
Traditional versus Facilitative Consulting	3	(4)
Why Should Business Managers, Consultants, and Auditors Be Interested?	7	(1)
Strategic Planning and CSA	8	(4)
Control Self-Assessment versus the Strategic Plan	12	(1)
Improving Business Performance with Control Self-Assessment	12	(2)
Controlling Business Risks with Control Self-Assessment	14	(1)
Basics of Control Self-Assessment	14	(3)
Meeting Mechanics	17	(1)
Electronic Scribing and Voting Systems	18	(5)
Role of Different Control Self-Assessment Methodologies	23	(1)
Importance of Control Self-Assessment and Facilitative Consulting	24	(1)
Understanding the Basis of Facilitation: Models to Remember	25	(22)
Time versus Place Model	25	(2)
Selecting the Right Type of Meeting	27	(3)
Facilitation: A Same-Time/Same-Place Meeting	30	(1)
Core Facilitation Model	31	(4)
Facilitation Process Related to Meeting Stages	35	(6)
Stages of Facilitation Expertise	41	(6)
Definitions and Distinctions	47	(14)
Distinguishing Characteristics	47	(2)
Focus on Problems and Their Solutions	49	(1)
Present-Tense Orientation	50	(1)
Real-Time Interview of Clients	51	(1)
Sharing of Perspectives	51	(2)
Analyzing the Root Causes of Problems	53	(1)
Computer-Based Systems for Voting and Transcription	53	(3)
Use of Problem or Solution Framework	56	(2)
Revealing the Holes in the Organization or Process	58	(1)
Sharing Ownership of Solutions Developed	59	(2)
A Control Self-Assessment Session to Improve Business Performance	61	(18)
Viewing Business as a Set of Processes	61	(1)
Structure of Business Processes	62	(1)
Business Process Analysis: Selecting the Purpose	63	(2)
Choosing the Right Perspective	65	(2)
Segmenting the Subject Matter for Discussion	67	(2)
Determining the Appropriate Questions	69	(3)
Creating the Session Agenda	72	(7)
Planning a Control Self-Assessment Session to Assess Business Risk	79	(16)
Business Risk: A Special Perspective	79	(3)
High-Level View: Control Self-Assessment as a Business Risk Analysis Tool	82	(6)
Designing a Control Self-Assessment Session Agenda	88	(7)
Importance of Frameworks	95	(10)
Choosing the Right Framework	95	(1)
A Business Process Model	96	(1)
Framework Relating to the Particular Project	96	(3)
Internal Audit Control Models	99	(3)
Importance of Control Self-Assessment to Frameworks	102	(3)
Using Facilitation as a Consulting Sales Tool	105	(22)
Introduction	105	(1)
Potential for Facilitation-Based Selling	106	(1)
Client Marketing Seminars	107	(1)
Using Facilitation for Consulting Engagement Sales	108	(1)
Facilitation Seminars for Product Sales	109	(1)
Which Facilitation Process to Use	110	(1)
When Can a Seminar Use Control Self-Assessment Methodology?	110	(1)
Strategic Facilitation Process for Seminars	111	(13)
Conclusion	124	(3)
Different Control Self-Assessment Processes, Different Objectives	127	(8)
Introduction	127	(1)
Potential CSA Objectives and Methodologies	128	(4)
Your Own Control Self-Assessment	132	(1)
Case Study: A Multi-Control Self-Assessment Engagement	132	(3)
Necessary Skills, Qualities, and Values of a Facilitator	135	(30)
Introduction	135	(1)
Basic Values of Facilitation	135	(4)
Meeting Leadership	139	(4)
Facilitator's Mind-Set	143	(5)
Broadening the Comfort Zone	148	(1)
Managing the Emotions of the Group	149	(2)
Difficult Behaviors by Participants	151	(1)
Understanding and Managing Conflict in the Meeting	152	(2)
Setting Ground Rules	154	(1)
Use of Humor	154	(1)
Meeting Interventions	155	(2)
U-Shape Table Arrangement	157	(2)
Ideal State of Facilitation	159	(1)
Research Results on Effective Facilitation	160	(5)
Electronic Voting Systems	165	(12)
What Are Electronic Voting Systems?	165	(1)
What Role do Anonymous Voting Systems Play in Control Self-Assessment Workshops?	166	(2)
What Value Do These Systems Deliver?	168	(1)
What to Look for in an Electronic System	169	(2)
Integration of Control Self-Assessment and Electronic System Support	171	(1)
How to Use Results to Greatest Effect	172	(1)
Template-Based Scribing of Control Self-Assessment Sessions	172	(1)
Summary	172	(5)
Appendix A A Step-by-Step Guide to Facilitation Meetings: Preparation, Conduct, Reporting, and Follow-Up	177	(64)
I. Preparation	181	(19)
I.1 Understand and Identify Issues	181	(5)
I.2 Establish Clear Objectives for Session	186	(3)
I.3 Determine Methodology for Session	189	(4)
I.4 Prepare for Session	193	(4)
I.5 Schedule Time, Invite Participants	197	(3)
II. Conduct	200	(24)
II.1 Facilitator is Fully Skilled in the Process	200	(6)
II.2 Use Correct Facilitation Technology	206	(5)
II.3 Understand Depth and Specificity Required	211	(3)
II.4 Develop Group Consensus and Commitment	214	(5)
II.5 Create Record of Words and Voting Data	219	(5)
III. Reporting and Follow-Up	224	(17)
III.1 Write Participants' Report	224	(4)
III.2 Write Client's Report	228	(3)
III.3 Ensure Action Items are Completed	231	(3)
III.4 Establish Plans for Longer-Term Items	234	(4)
III.5 Review Engagement; Seek Additional Needs	238	(3)
Appendix B Listing of Electronic Voting Systems	241	(4)
Index	245