Process Responsible RPN

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GSS Assurance Archival Process - Failure Mode & Effects Analysis

Review & Confirm

Follow up for Engagements due for

Archival

Confirm the final status

Complete Archival

GSS Assurance team

Engagement team

Engagement team

GSS Senior/Office PoC

GSS Senior/Office PoC

GSS Associate

Create ARC forms

Update ARC forms

Potential Failure Mode Potential EffectsSeverity

(1-10)

­ Inaccurate data entered in ARC forms (i.e) Manager Name,report date, YE, etc Quality issues 7

­ Missing to collect nessary information from Local championsQuality issues 8

­ Missing to create draft ARC form Impact on delivery 9

­ Sending details to wrong mail ID /missing to update GSS PoCDelay in form creation/missing deadline 8

­ Inaccurate audit report date Wrong calculation archival deadline 7

­ Duplicate request for GAMx engagements Reporting issues / retrival issues 6

­ Duplicate request if created by local champions Reporting issues / retrival issues 6

­ Duplicate request if created by GSS follow up Reporting issues / retrival issues 9

­ Incomplete / wrong version of workpapers submission to GSS KArchival policy deviation 9

­ Delay in response for due engagements (10 days due )Late Archival Clasification 8

­ Revising the information without updating GSS Archival policy deviation 8

­ Confirm without complete review Quality issues 9

­ Major deviation in the expected date to release audit report Archival policy deviation 9

­ Missing to follow up backlogs / missing escalate due engagementsImpact on commitment to stakeholders 8

­ missing to collect the critical detials / obtain confirmationQuality issues 8

­ Inappropriate documentation / tracking / communication Quality issues 7

­ Missing to update the obtained information in ARC formQuality issues leading to big risk to engagement team 8

­ missing to verify any change from onshore Quality issues 8

­ missing to replace the amendmented files if any i.e SEAD Checklist, amended reportQuality issues 8

­ missing to confirm the current status of engagement, audit report dateQuality issues & Impact on delivery 8

­ Ensure accuracy of files recived through multiple path/verify bad files Archival policy deviation 9

­ Missing to send enfinal confirmation on details in email on critical detailsQuality issues 8

­ Missing to obtain final confirmation from engagement team on critical details Quality issues leading to policy deviation 10

GSS Assurance Archival Process - Failure Mode & Effects Analysis

Potential CauseOccurrence

(1-10) Current Control

Detection

(1-10)

▪ Incomplete training 5

▪ Incomplete training

▪ Lack of monitoring

▪ Lack of awareness

▪ Lack of information/ pending engagement activities

▪ Lack of awareness

▪ Lack of awareness

▪ Lack of awareness

▪ Lack of validation process

▪ Lack of information / Availability of PoC

▪ Non adherence of protocols

▪ Lack of validation process

▪ Pending engagement activities

▪ Adequacy of resource/volue of work / other priority works

▪Non adherence of protocols / lack of validation process

▪Non adherence of protocols / lack of validation process

▪ Lack of validation / review process / short deadline pressure

▪ Non adherence of protocols

▪ Knowledge gap / lack of monitoring

▪ Non adherence of protocols

▪ Lack of validation process

▪ Non adherence of protocols

▪ Non adherence of protocols

GSS Assurance Archival Process - Failure Mode & Effects Analysis

Corrective / Preventive Action