Controls Self Assessment Surveys
Controls Self-Assessment (CSA) Surveys have been completed by delegation holders to gauge the extent of compliance with key UOW policies since 2003. The functional areas covered include human resources, teaching and learning, finance and other legislative requirements.
The web-based Surveys contain a series of compliance statements to which participants respond with agreement or disagreement. The results are analysed for trends and comments, which collectively paint a picture of compliance in various areas and functions. The survey outcomes are available for Divisions, Faculties and Units interested to know more of their specific group results.
Although containing some subjectivity, CSA surveys have been useful to identify possible areas for attention due to associated higher risks. UOWIA has utilized this information, together with other tools as the Strategic Risk Register, Control Actions Monitoring, Audit Reports and data mining approaches, to obtain a broad-based profile of risk and identification of areas where controls can be improved.
The results of CSA surveys are confidential to UOW. Specific Divisions like the Buildings and Grounds have asked UOWIA to brief their Managers and key staff members on the results specific to their function and risk concerns. UOWIA continues to work on the benefits of such surveys and how they can add beneficially to the range of management information for governance and operational purposes.
The next scheduled CSA Survey takes place in the first half of 2008.
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