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Internal Audit has introduced a self-assessment approach to social care establishment audits whereby establishments can evaluate the effectiveness of their financial management, internal control, governance and risk management arrangements against principles of best practice. The principles of effective financial management, internal control, governance and risk management are the same in all establishments however the way in which these principles are implemented can depend on the size and organisation of each establishment, and the resources available.
In completing this document management will be able to assess the effectiveness of the financial management, internal control, governance and risk management arrangements within their establishment and identify areas for improvement. The document does not override Financial Regulations, or any other related instructions or directives. The document mainly consists of a series of yes/ no questions. Where a “no" answer arises then the Manager should identify the control risks and ramifications for the absence of the control suggested by the question. Some sections may not necessarily be applicable to some establishments in which case please indicate “Not applicable”.
If there are any areas which are not fully understood or where clarity is needed these can be discussed in more detail by contacting the Internal Audit Service. The completed questionnaire will form an integral part of the audit planning process and will inform the requirements for testing at the establishment during future internal audit reviews. It will be important to ensure that answers are an open and honest evaluation of current arrangements. Any proposed changes or remedial actions should be recorded together with the date of the proposed or actual implementation and the person responsible.
We appreciate that the document may take you an hour or so to complete, and will therefore impinge on your time and resources. We are therefore very grateful for your co-operation and assistance. We would also appreciate any comments you may have as regards the self – assessment approach, and particularly any observations relating to the document itself, the form of questions and the usefulness of this approach to you.
Thank you once again for your co-operation
Internal Audit has introduced a self-assessment approach to social care establishment audits whereby establishments can evaluate the effectiveness of their financial management, internal control, governance and risk management arrangements against principles of best practice. The principles of effective financial management, internal control, governance and risk management are the same in all establishments however the way in which these principles are implemented can depend on the size and organisation of each establishment, and the resources available.
In completing this document management will be able to assess the effectiveness of the financial management, internal control, governance and risk management arrangements within their establishment and identify areas for improvement. The document does not override Financial Regulations, or any other related instructions or directives. The document mainly consists of a series of yes/ no questions. Where a “no" answer arises then the Manager should identify the control risks and ramifications for the absence of the control suggested by the question. Some sections may not necessarily be applicable to some establishments in which case please indicate “Not applicable”.
If there are any areas which are not fully understood or where clarity is needed these can be discussed in more detail by contacting the Internal Audit Service. The completed questionnaire will form an integral part of the audit planning process and will inform the requirements for testing at the establishment during future internal audit reviews. It will be important to ensure that answers are an open and honest evaluation of current arrangements. Any proposed changes or remedial actions should be recorded together with the date of the proposed or actual implementation and the person responsible.
We appreciate that the document may take you an hour or so to complete, and will therefore impinge on your time and resources. We are therefore very grateful for your co-operation and assistance. We would also appreciate any comments you may have as regards the self – assessment approach, and particularly any observations relating to the document itself, the form of questions and the usefulness of this approach to you.
Internal Audit has introduced a self-assessment approach to social care establishment audits whereby establishments can evaluate the effectiveness of their financial management, internal control, governance and risk management arrangements against principles of best practice. The principles of effective financial management, internal control, governance and risk management are the same in all establishments however the way in which these principles are implemented can depend on the size and organisation of each establishment, and the resources available.
In completing this document management will be able to assess the effectiveness of the financial management, internal control, governance and risk management arrangements within their establishment and identify areas for improvement. The document does not override Financial Regulations, or any other related instructions or directives. The document mainly consists of a series of yes/ no questions. Where a “no" answer arises then the Manager should identify the control risks and ramifications for the absence of the control suggested by the question. Some sections may not necessarily be applicable to some establishments in which case please indicate “Not applicable”.
If there are any areas which are not fully understood or where clarity is needed these can be discussed in more detail by contacting the Internal Audit Service. The completed questionnaire will form an integral part of the audit planning process and will inform the requirements for testing at the establishment during future internal audit reviews. It will be important to ensure that answers are an open and honest evaluation of current arrangements. Any proposed changes or remedial actions should be recorded together with the date of the proposed or actual implementation and the person responsible.
We appreciate that the document may take you an hour or so to complete, and will therefore impinge on your time and resources. We are therefore very grateful for your co-operation and assistance. We would also appreciate any comments you may have as regards the self – assessment approach, and particularly any observations relating to the document itself, the form of questions and the usefulness of this approach to you.
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