- CIMCON Software

CIMCON Software Confidential Spreadsheet Control Self Assessment
Benchmark your business and identify how to improve the use of spreadsheets in your business.
- Understand your exposure to spreadsheet risk
- Consider the regulatory impact on your business
- Assess opportunities to reduce costs and risk
The survey takes about six minutes to complete.

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Please provide us with Email and we will send you the report.

First Name

Last Name

Business Email

Company

Phone number

Job title

Question 1 Of 38 Is your business numbers driven? Does your organisation need to make complex calculations as a core part of your business? Examples of numbers driven businesses includes most financial institutions, commodity traders and some engineering businesses

Essential to the success of the business An important part of the business Relevant but not the core to the business Unimportant

Question 2 Of 38 How dependent is your organisation on spreadsheets in the finance and accounting department

Primary system for the department Used widely as a supporting system Used occasionally for specific analyses Spreadsheets have been eliminated from the department Don't know

Question 3 Of 38 How dependent is your organisation on spreadsheets for Risk/Actuarial

Primary system for the department Used widely as a supporting system Used occasionally for specific analyses Spreadsheets have been eliminated for the department Don't know

Question 4 Of 38 How dependent is your organisation on spreadsheets for pricing

Primary system for pricing Used widely as a supporting system Used occasionally for specific analyses Spreadsheets have been eliminated pricing Don't know

Question 5 Of 38 How dependent is your organisation on spreadsheets for core operations

Primary system for the department Used widely as a supporting system Used occasionally for specific analyses Spreadsheets have been eliminated from the department Don't know

Question 6 Of 38 Does your organisation use spreadsheets to build large >1mb financial models? E.g. project finance, complex bank lending, complex engineering projects

Used for more than 10 projects Used for 1-10 projects Not used for projects

Question 7 Of 38 Are you a life sciences company using spreadsheets for manufacturing quality control -

Yes using more than 50 spreadsheets Yes using 20-50 spreadsheets Yes using less than 1- 20 spreadsheets No not a life sciences company or not using spreadsheets

Question 8 Of 38 Are you a life sciences company using spreadsheets for clinical trials

Yes using more than 50 spreadsheets Yes using 20-50 spreadsheets Yes using less than 1- 20 spreadsheets No not a life sciences company or not using spreadsheets

Question 9 Of 38 Have your internal or external auditors formally commented that the organisation is dependent on spreadsheets for core activities

Yes No

Question 10 Of 38 Does your organisation have to comply with the Sarbanes Oxley legislation (SOX) or equivalent requirements over financial reporting

Yes No

Question 11 Of 38 Are you a life sciences business that has to comply with FDA 21 CFR Part 11 Compliance

Yes No

Question 12 Of 38 Are you a bank that has to comply with BCBS239 ?

Yes No

Question 13 Of 38 Are you a German Bank that has to comply with BAIT

Yes No

BAIT refers to the "Supervisory Requirements for IT in Financial Institutions" published by the German Bank Regulator, it specifies how banks should manage IT including end user computing applications.

Question 14 Of 38 Are you a financial institution that has to comply with Model Risk Management regulations e.g. SR11-7

Yes No

Question 15 Of 38 Are you a financial institution required to complete regular stress tests

Yes No

Question 16 Of 38 Does your organisation routinely store personal information on spreadsheets

Yes No

Question 17 Of 38 Has your organisation had a serious error with a critical spreadsheet

Yes No Do not know

Question 18 Of 38 Does your organisation have a process for reviewing existing applications and replacing or improving existing applications

No Yes for replacement only Yes for improving existing spreadsheet applications Yes for both

Question 19 Of 38 Does your organisation train staff in how to use spreadsheets and build and test robust spreadsheet applications

No Yes - spreadsheet use only Yes - build and test robust spreadsheet applications

Question 20 Of 38 Does the organisation have a competency framework used for hiring staff and making sure staff have the skills required to

No Yes but informal Yes - used to define who can do what with important spreadsheets

Question 21 Of 38 Spreadsheets are often operated by a single individual and run the risk that the operator may leave or be otherwise unavailable. Does the organisation have a policy to reduce key person risk ?

No There is an informal process There is a formal process to train more than one person to operate the spreadsheet

Question 22 Of 38 Is there a process in place for reducing costs by making manual processes more efficient?

No Occasional informal reviews Programme in place with a dedicated team

Question 23 Of 38 Does your organisation have standards in place for the development and testing of spreadsheets

No Yes - but not enforced Yes - spreadsheet users are required to follow them

Question 24 Of 38 Are senior management aware of spreadsheet risk and taking action to address it

No - not aware Yes - but no measures to reduce the risk Yes - committed to addressing risk in the future Yes - implemented measures to manage risk

Question 25 Of 38 Does your organisation have a written policy for the control of spreadsheets

No Yes but not enforced Yes and there is a process in place to enforce compliance

Question 26 Of 38 Has the organisation compiled an inventory of critical spreadsheets that need to be controlled under the policy

No Manual inventory as a one off exercise Manual inventory updated regularly Automated inventory

Question 27 Of 38 How many critical spreadsheet applications are in the inventory

0 1-100 101-200 201-300 301- 500 501-1000 1001-3000 3000+ Do not know

Question 28 Of 38 Does the organisation prepare documentation for critical spreadsheets?

No Required but not enforced Required and regularly validated

Question 29 Of 38 Are users required to specify and carry out controls over data entry

No Yes - informal controls Yes - formally documented controls

Question 30 Of 38 Are users required to maintain historic versioning or audit trails ?

No Yes - carried out manually by saving with different version numbers Yes - automated

Question 31 Of 38 Are users required to have process controls in place where relevant. For example ensuring the spreadsheet is recalculated and relevant macros executed

No Yes - informal controls Yes - formally documented controls

Question 32 Of 38 Is there a change management process in place to ensure that all logic changes are authorised

No Yes - documented in workbook Yes- formal approval process

Question 33 Of 38 Is there a process in place for review and approval of spreadsheets before they are published

No Yes - informal review Yes - documented review and approval

Question 34 Of 38 Are there controls over access to spreadsheets - e.g. by restricting access to folders

No Yes

Question 35 Of 38 Are the spreadsheets backed up on a regular basis

No Yes

Question 36 Of 38 Is there a disaster recovery process in place

No Yes

Question 37 Of 38 Is there a process in place for testing and validation of critical spreadsheets

No Yes sample testing of less than 10% of cells Yes comprehensive testing of all formulas

Question 38 Of 38 Is there a process in place to consider the build quality of spreadsheets

Yes - formal review process Yes - but informal No