Control Self Assessment

• printable CSA questionnaire (Microsoft Word, 235KB) - Monash only

Introduction

The university’s governance revolves around sound procedures collectively known as controls. These procedures (internal controls) are designed to provide reasonable assurance regarding the achievement of the university’s objectives, and in particular those related to:

• effectiveness and efficiency of operations
• reliability of financial and operating reporting
• compliance with applicable legal requirements and community expectations
• stewardship of public resources
• minimisation of exposure to adverse events

To enhance the university’s corporate governance, the Audit Committee has recognised the need for a formal process to be implemented to ensure that administrative functions performed by departments are being properly controlled.

In order to achieve this objective in a cost-effective manner, a control questionnaire has been developed for joint completion by heads and resources managers of departments.

It is envisaged that the implementation of these questionnaires will significantly reduce the time required to inspect the department's activities thereby minimising the amount of disruption caused by an audit.

Departments are randomly selected for an audit. The Head of Department is then requested to complete the questionnaire in conjunction with the resources/business manager and return the completed questionnaire to the Audit & Risk Management Office within 10 working days. The majority of the questions merely require a yes/no response, although the opportunity exists for comments to be made on each of the questions asked. It is anticipated that most questionnaires will be returned by e-mail but the questionnaire has also been designed to accommodate the return of the document in hard copy form depending on individual preferences.