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Business Continuity Management
- > Auditing and Assurance Standards Board Australia
- > Australian Society of Certified Practising Accountants
- > Business Continuity Institute Australia
- > Information Systems Audit and Control Association
- > Institute of Chartered Accountants Australia
- > Institute of Internal Auditors Australia
- > NSW Independent Commission against Corruption
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 CSA Surveys are co-jointly conducted by UOWIA and its engaged partner for this project, KordaMentha.
The web-based Surveys contain a series of compliance statements to which participants respond with agreement or disagreement, based on their perceptions of compliance levels.. The results are analysed for trends and comments, which collectively paint a picture of the degree of compliance in various areas and functions of UOW. The survey outcomes are available for Divisions, Faculties and Units interested to know more of their specific group results. Invited participants may not be required to respond to all statements and the average time taken to participate in this Survey ranges from 15 to 25 minutes.
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 and URAC 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 UOW CSA Survey for 2009 has been successfully completed, and the next Survey is scheduled for August 2010. Every year both UOWIA and KordaMentha as a team take the opportunity to identify pro-active improvements in the way the Survey is conducted, together with its related content, navigability and usefulness in outcomes. We especially thank all UOW policy owners and the ARD Policy & Governance Unit for their feedback and suggestions when asked to join us in making the UOW CSA Survey even better. A special note of appreciation to all Survey invitees who take part, particularly those who have provided written comments in addition to providing survey responses.
Please contact UOWIA on UOWIA-Email@uow.edu.au if you wish us to provide CSA Survey outcomes specific to your faculty, Division or Unit.
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