Internal Control Self-Assessment Surveys

Introduction

Internal Control Self-Assessment (ICSA) is a technique used by organizations to assess the effectiveness of its risk management and control processes. The purpose of ICSA is to provide an understanding of the internal control structures of the State and its agencies and to use responses to assist agencies in determining their internal control needs and, if applicable, improving their internal control environments.

SAAM 05-26 requires that agencies complete the ICSA surveys as follows: 

• Please submit only one response per agency.
• GAO will send a reminder email prior to each deadline date.
• CFOs, CFO Designees and Agency Heads will receive an acknowledgement email with a PDF of your survey status/response. 
• The CFO or CFO Designee shall respond to the Survey Status email with an acknowledgement that the month’s survey is closed.
• If you would like to obtain a copy of your agency's response from a previous fiscal year 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 ADOA GAO Internal Audit Manager directly to discuss in advance of completing your survey.
• If you need to update your CFO or CFO Designee, email ADOA GAO Internal Audit at [email protected]. 

Survey Links

The survey links below are to be used by all agencies except those that use the Central Services Bureau (CSB) for all agency accounting needs. 

• Survey 1: Control Environment (FY2018 Agency Internal Control Self-Assessment - October Survey)
• Survey 2: Financial Reporting & Budgeting; Billing & Collections (FY2018 December Agency Internal Control Self-Assessment Survey)
• Survey 3: Purchasing & Accounts Payable; Inventory; Fixed Assets (FY2018 February Agency Internal Control Self-Assessment Survey)
• Survey 4: Human Resources & Payroll; Information Technology; Grants (FY2018 April Agency Internal Control Self-Assessment Survey)
   

The survey links below are to be used by agencies that use CSB for all agency accounting needs. 

• Survey 1: Control Environment (FY2018 Agency Internal Control Self-Assessment - October Survey (Multi Entry))
• Survey 2: Financial Reporting & Budgeting; Billing & Collections (FY2018 December Agency Internal Control Self-Assessment Survey (Multi Entry))
• Survey 3: Purchasing & Accounts Payable; Inventory; Fixed Assets (FY2018 February Agency Internal Control Self-Assessment Survey (Multi Entry))
• Survey 4: Human Resources & Payroll; Information Technology; Grants (FY2018 April Agency Internal Control Self-Assessment Survey (Multi Entry))

ICSA Surveys in Word

The links below are available for distribution to individuals for feedback on the applicable internal controls. Use this feedback to create your single survey submission.

• Survey 1: Control Environment (FY2018 Agency Internal Control Self-Assessment - October Survey)
• Survey 2: Financial Reporting & Budgeting; Billing & Collections (FY2018 December Agency Internal Control Self-Assessment Survey)
• Survey 3: Purchasing & Accounts Payable; Inventory; Fixed Assets (FY2018 February Agency Internal Control Self-Assessment Survey)
• Survey 4: Human Resources & Payroll; Information Technology; Grants (FY2018 April Agency Internal Control Self-Assessment Survey)

ICSA Crosswalks

The documents below contain the changes between FY2017 ICSA Surveys and FY2018 ICSA Surveys. 

• Survey 1: Control Environment
• Survey 2: Financial Reporting & Budgeting; Billing & Collections
• Survey 3: Purchasing & Accounts Payable; Inventory; Fixed Assets
• Survey 4: Human Resources & Payroll; Information Technology; Grants

ICSA Survey Background

The document below contains information about the ICSA survey. It is recommended that this document be reviewed by agencies periodically.

• ICSA  Survey Information & Instructions