Separation of Duties Toolkit: best-practice templates, step-by-step work plans and maturity diagnostics


Save time, empower your teams and effectively upgrade your processes with access to this practical Separation of Duties Toolkit and guide. Address common challenges with best-practice templates, step-by-step work plans and maturity diagnostics for any Separation of Duties related project.

Download the Toolkit and in Three Steps you will be guided from idea to implementation results.

The Toolkit contains the following practical and powerful enablers with new and updated Separation of Duties specific requirements:

STEP 1: Get your bearings

Start with...

  • The latest quick edition of the Separation of Duties Self Assessment book in PDF containing 49 requirements to perform a quickscan, get an overview and share with stakeholders.

Organized in a data driven improvement cycle RDMAICS (Recognize, Define, Measure, Analyze, Improve, Control and Sustain), check the…

  • Example pre-filled Self-Assessment Excel Dashboard to get familiar with results generation

Then find your goals...

STEP 2: Set concrete goals, tasks, dates and numbers you can track

Featuring 989 new and updated case-based questions, organized into seven core areas of process design, this Self-Assessment will help you identify areas in which Separation of Duties improvements can be made.

Examples; 10 of the 989 standard requirements:

  1. Are procedures for the disbursement of funds under grants or loan agreements and related regulations imposing requirements updated when they differ from your organizations normal policies?

  2. To what extent does your organization ensure that privileged accounts are provisioned, managed, and reviewed in accordance with the principles of least privilege and separation of duties?

  3. Does your organization have alternative controls if separation of duties is not possible, such as outsourcing accounts payable or payroll, or splitting personnel time in functional areas?

  4. Does the policy address required separation of duties and internal controls governing the derivatives transaction execution, valuation, collateral management, and reporting processes?

  5. Is a review of the distribution of charges in the accounting department done by an individual with the knowledge and experience to determine the correctness of the distribution?

  6. Are there procedures for immediate notification, as applicable, to banks, state treasurer, state controller, etc., of newly authorized warrant, sight draft, and check signers?

  7. Does the accounting and budget department verify there are sufficient unobligated funds remaining under the appropriation to meet the proposed expenditure before commitment?

  8. Are periodic reviews done by non-procurement staff of recurring purchases and documentation of the justification for informal, rather than competitive, bids performed?

  9. Are the individuals responsible for the invoice processing and accounts payable functions different from the individuals responsible for the general ledger functions?

  10. Is the initiation of purchases of goods and services done by properly authorized requisitions bearing the approval of officials designated to authorize requisitions?

Complete the self assessment, on your own or with a team in a workshop setting. Use the workbook together with the self assessment requirements spreadsheet:

  • The workbook is the latest in-depth complete edition of the Separation of Duties book in PDF containing 989 requirements, which criteria correspond to the criteria in...

Your Separation of Duties self-assessment dashboard which gives you your dynamically prioritized projects-ready tool and shows your organization exactly what to do next:

  • The Self-Assessment Excel Dashboard; with the Separation of Duties Self-Assessment and Scorecard you will develop a clear picture of which Separation of Duties areas need attention, which requirements you should focus on and who will be responsible for them:

    • Shows your organization instant insight in areas for improvement: Auto generates reports, radar chart for maturity assessment, insights per process and participant and bespoke, ready to use, RACI Matrix
    • Gives you a professional Dashboard to guide and perform a thorough Separation of Duties Self-Assessment
    • Is secure: Ensures offline data protection of your Self-Assessment results
    • Dynamically prioritized projects-ready RACI Matrix shows your organization exactly what to do next:


STEP 3: Implement, Track, follow up and revise strategy

The outcomes of STEP 2, the self assessment, are the inputs for STEP 3; Start and manage Separation of Duties projects with the 62 implementation resources:

  • 62 step-by-step Separation of Duties Project Management Form Templates covering over 1500 Separation of Duties project requirements and success criteria:

Examples; 10 of the check box criteria:

  1. Activity Duration Estimates: Briefly describe some key events in the history of Separation of Duties project management. What Separation of Duties project was the first to use modern Separation of Duties project management?

  2. Risk Management Plan: For software; are compilers and code generators available and suitable for the product to be built?

  3. Scope Management Plan: When is corrective or preventative action required?

  4. Probability and Impact Assessment: What will be the likely political situation during the life of the Separation of Duties project?

  5. Project Performance Report: To what degree does the teams approach to its work allow for modification and improvement over time?

  6. Risk Management Plan: What are some questions that should be addressed in a risk management plan?

  7. Human Resource Management Plan: How does the proposed individual meet each requirement?

  8. Change Management Plan: Have the business unit contacts been selected and notified?

  9. Resource Breakdown Structure: Who is allowed to see what data about which resources?

  10. Procurement Audit: Were additional deliveries a partial replacement for normal supplies or installations or an extension of existing supplies or installations?

Step-by-step and complete Separation of Duties Project Management Forms and Templates including check box criteria and templates.

1.0 Initiating Process Group:

  • 1.1 Separation of Duties project Charter
  • 1.2 Stakeholder Register
  • 1.3 Stakeholder Analysis Matrix

2.0 Planning Process Group:

  • 2.1 Separation of Duties project Management Plan
  • 2.2 Scope Management Plan
  • 2.3 Requirements Management Plan
  • 2.4 Requirements Documentation
  • 2.5 Requirements Traceability Matrix
  • 2.6 Separation of Duties project Scope Statement
  • 2.7 Assumption and Constraint Log
  • 2.8 Work Breakdown Structure
  • 2.9 WBS Dictionary
  • 2.10 Schedule Management Plan
  • 2.11 Activity List
  • 2.12 Activity Attributes
  • 2.13 Milestone List
  • 2.14 Network Diagram
  • 2.15 Activity Resource Requirements
  • 2.16 Resource Breakdown Structure
  • 2.17 Activity Duration Estimates
  • 2.18 Duration Estimating Worksheet
  • 2.19 Separation of Duties project Schedule
  • 2.20 Cost Management Plan
  • 2.21 Activity Cost Estimates
  • 2.22 Cost Estimating Worksheet
  • 2.23 Cost Baseline
  • 2.24 Quality Management Plan
  • 2.25 Quality Metrics
  • 2.26 Process Improvement Plan
  • 2.27 Responsibility Assignment Matrix
  • 2.28 Roles and Responsibilities
  • 2.29 Human Resource Management Plan
  • 2.30 Communications Management Plan
  • 2.31 Risk Management Plan
  • 2.32 Risk Register
  • 2.33 Probability and Impact Assessment
  • 2.34 Probability and Impact Matrix
  • 2.35 Risk Data Sheet
  • 2.36 Procurement Management Plan
  • 2.37 Source Selection Criteria
  • 2.38 Stakeholder Management Plan
  • 2.39 Change Management Plan

3.0 Executing Process Group:

  • 3.1 Team Member Status Report
  • 3.2 Change Request
  • 3.3 Change Log
  • 3.4 Decision Log
  • 3.5 Quality Audit
  • 3.6 Team Directory
  • 3.7 Team Operating Agreement
  • 3.8 Team Performance Assessment
  • 3.9 Team Member Performance Assessment
  • 3.10 Issue Log

4.0 Monitoring and Controlling Process Group:

  • 4.1 Separation of Duties project Performance Report
  • 4.2 Variance Analysis
  • 4.3 Earned Value Status
  • 4.4 Risk Audit
  • 4.5 Contractor Status Report
  • 4.6 Formal Acceptance

5.0 Closing Process Group:

  • 5.1 Procurement Audit
  • 5.2 Contract Close-Out
  • 5.3 Separation of Duties project or Phase Close-Out
  • 5.4 Lessons Learned



With this Three Step process you will have all the tools you need for any Separation of Duties project with this in-depth Separation of Duties Toolkit.

In using the Toolkit you will be better able to:

  • Diagnose Separation of Duties projects, initiatives, organizations, businesses and processes using accepted diagnostic standards and practices
  • Implement evidence-based best practice strategies aligned with overall goals
  • Integrate recent advances in Separation of Duties and put process design strategies into practice according to best practice guidelines

Defining, designing, creating, and implementing a process to solve a business challenge or meet a business objective is the most valuable role; In EVERY company, organization and department.

Unless you are talking a one-time, single-use project within a business, there should be a process. Whether that process is managed and implemented by humans, AI, or a combination of the two, it needs to be designed by someone with a complex enough perspective to ask the right questions. Someone capable of asking the right questions and step back and say, 'What are we really trying to accomplish here? And is there a different way to look at it?'

This Toolkit empowers people to do just that - whether their title is entrepreneur, manager, consultant, (Vice-)President, CxO etc... - they are the people who rule the future. They are the person who asks the right questions to make Separation of Duties investments work better.

This Separation of Duties All-Inclusive Toolkit enables You to be that person.


Includes lifetime updates

Every self assessment comes with Lifetime Updates and Lifetime Free Updated Books. Lifetime Updates is an industry-first feature which allows you to receive verified self assessment updates, ensuring you always have the most accurate information at your fingertips.