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 Effects
Severity
(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 champions Quality issues 8
- Missing to create draft ARC form Impact on delivery 9
- Sending details to wrong mail ID /missing to update GSS PoC Delay 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 K Archival 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 engagements Impact on commitment to stakeholders 8
- missing to collect the critical detials / obtain confirmation Quality issues 8
- Inappropriate documentation / tracking / communication Quality issues 7
- Missing to update the obtained information in ARC form Quality 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 report Quality issues 8
- missing to confirm the current status of engagement, audit report date Quality 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 details Quality 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 Cause
Occurrence
(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