Internal Control Self-Assessment Surveys

Introduction

Each agency is responsible for establishing and maintaining an effective system of internal control.  Internal controls can provide reasonable, but not absolute, assurance that an agency’s objectives—including the prevention or detection of fraud, waste and abuse—will be met.  The objectives of internal control include the reliability of financial reporting, feedback on achieving organizational strategic goals, safeguarding of assets, increased efficiency, and compliance with laws, regulations, policies, and the terms of contracts and grants. More information about internal controls and minimal internal control structure requirements can be found in Topic 05 of the State of Arizona Accounting Manual (SAAM). The internal control self-assessment (ICSA) is meant as a catalyst to improve agency operations and achieve agency objectives.

SAAM 0526 requires that agencies complete all surveys no later than April 30th 2020.

Surveys

Cash, Cash Receipts, Accounts Receivable and Billing

Control Environment

Financial Reporting & Budgeting

Fixed Assets & Inventory

Grants

Human Resources & Payroll

Imprest Funds, Revolving Funds &Petty Cash

Information Technology

Purchasing & Accounts Payable

Travel


ADDITIONAL INFORMATION

  • Please submit only one response per survey for each agency.
  • Agencies may submit surveys at any time during the fiscal year but no later than April 30th 2020.
  • The person who submits the survey will receive a copy of the agency’s response via email immediately after the survey is submitted. We recommend you maintain a copy for your records.
  • If your agency contracts with CSB in a full service capacity, CSB will work with you to complete your survey. However, CSB will require approval from your agency’s Executive Director and CFO or CFO Designee attesting they have reviewed the survey and agree with the responses. Additionally, your agency will be responsible for submitting the survey online.
  • If your agency submitted a response for previous fiscal years’ surveys and would like to obtain a copy of the survey, email ADOA GAO Internal Audit at [email protected]. 
  • If you have internal control questions at any time, contact ADOA GAO Internal Audit at [email protected]. 
  • If you have questions about a survey item, or your response is of a sensitive nature, contact GAO Internal Audit directly to discuss in advance of completing your survey.
  • If you need to update your CFO or CFO Designee, email ADOA GAO at [email protected]


SURVEY LINKS - Google Forms

Google Forms are used for agency survey submission. (If using a web browser other than Google Chrome, you may need to adjust your compatibility view settings before filling out the survey) 

  1. Cash, Cash Receipts, Accounts Receivable & Billing
  2. Control Environment
  3. Financial Reporting & Budgeting
  4. Fixed Assets & Inventory
  5. Grants
  6. Human Resources & Payroll 
  7. Imprest Funds, Revolving Funds & Petty Cash
  8. Information Technology
  9. Purchasing & Accounts Payable
  10. Travel

 

Survey Copies - PDF

PDF survey copies are used as an agency resource. All surveys must be submitted using Google Forms.

  1. Cash, Cash Receipts, Accounts Receivable & Billing
  2. Control Environment
  3. Financial Reporting & Budgeting
  4. Fixed Assets & Inventory
  5. Grants
  6. Human Resources & Payroll 
  7. Imprest Funds, Revolving Funds & Petty Cash
  8. Information Technology
  9. Purchasing & Accounts Payable
  10. Travel
Date: 
10-18-2019