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IC Roles and Responsibilities
All
employees share in the responsibility for effective internal controls in their
organization. This presentation outlined the key role played by each
employee, including the importance of the Internal Control Officer and
internal control practitioners in facilitating an effective program. You left the session understanding that these staff serve as salesman, educator,
consultant, collaborator and more in helping employees to understand and
fulfill their internal control responsibilities.
Presenter: Steve Kozlowski, Department of
Labor
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Essential
Elements for an Effective Internal Control System
The State
Comptroller’s Office has issued Internal Control Standards for New York State
as required by The New York State Governmental Accountability, Audit and
Internal Control Act. These standards are fundamental to how government
agencies should be managed. In this session, you learned the five components
of internal control and developed the ability to build these components into your
organization.
Presenter: Dave Hancox, Office of the State
Comptroller
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Educating
Managers in Internal Controls
Tone at the
top is a fundamental concept of internal controls. Managers offer the tone at
the top to their employees and must have a working knowledge of internal
controls.
This session helped you educate your managers to the importance
and utilization of internal controls using interesting and innovative methods.
Presenter: Paul
Tucci, Empire State College
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Making
Testing I C Understandable and Useful to Managers
Testing is a
key element in a system of internal controls, as it determines whether controls
are operating as intended. The Division of the Budget has published a
step-by-step testing manual, Manager’s Guide: Testing Compliance with
Internal Control Requirements. This session dissected the testing
process in detail and gave managers the ammunition they need to ensure controls
are functioning as intended.
Presenter: Tom Lukacs,
NYS Division of the Budget
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Effective
Business Continuity Planning
The public
need for government resources increases in the event of human or natural
disasters. In this session, you learned the basic concepts of a sound
disaster recovery/business continuity plan to help minimize the disruption of
essential services while maintaining the public’s confidence in your
organization.
This was an interactive session where attendees experiences were
welcomed and addressed.
Presenters: Tom Luther, NYS Office of the
State Comptroller; and Chris Lloyd, Keane
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How to
Promote Internal Controls to Managers and Employees
How do you
get the attention of these two key, but different, groups and then maintain it
long enough to get their commitment to internal controls? In this session, you
learned how to overcome the fear managers and employees may have in openly
discussing known risks and weaknesses. This session offered you strategies
to have each group take ownership of their area of the organization and
understand how each organizational component ties together to support overall
agency internal controls.
Presenter: Bill Herman, Department of
Environmental Conservation
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How to
Establish and Coordinate an Internal Control Program
With changes
in State Agencies, many managers are faced with the seemingly daunting task of
creating an internal control program from scratch or administering an existing
program they’ve inherited without any previous experience or training.
This
session offered time-tested practical solutions for establishing a sound
program. You learned how and where to tap a variety of existing resources that
can help you tailor a program to fit the size and complexity of your agency.
Presenters: Steve Surianno, Department of Public
Service; Carolyn Hapeman, NYS Lottery
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Educating
Staff Employees in Internal Controls
This presentation focused on describing objectives and
techniques for educating employees about internal controls. Information
provided included ways of helping employees understand the importance of
internal controls and how they apply to everyday work responsibilities.
Effective internal controls are everybody's business and this workshop
provided tested training methods and encouraged discussions in an interactive
learning environment.
Presenters: Mary Peck, New York Independent System Operator;
Shelly Taleporos, Department of Labor
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Using
Technology for More Effective Internal Control Programs
Developing
awareness of the importance of internal control is important within an
organization. There are a number of technology tools that can assist in this
process including effective intranets, survey software, and electronic voting
that allows all staff to participate in feedback sessions. In this session, you
learned how to maximize or use these tools effectively in your organization.
Presenters:
Ed Johnson, SUNY Geneseo;
Holly Montgomery, Division of Tax & Finance;
Steve Hillerman, Office of the State Comptroller
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Quality
Assurance and Performance Measurements for a Successful Internal Control
Program
Increasingly,
performance measurement is helping to identify internal control weaknesses in
organizations. This session explored the core concepts of performance
measures including a case study in implementing a performance
measurement system (challenges, success, benefits and lessons learned). This
session helped you learn what you can do to implement your own program
within your organization.
Presenter: Robin Rabii, Office of the State
Comptroller
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Enterprise Risk
Management Overview
Government accountability
is more important than ever, and a key component of this is the ability to
evaluate and manage risk. Enterprise Risk Management (ERM) is the process of
identifying and analyzing risk from an integrated, agency-wide perspective. In
this session, you came to understand the inherent elements of enterprise
risk management that can help management achieve its objectives. You left with
the eight interrelated components of enterprise risk management and how they
are integrated with management processes to help agencies achieve and improve
accountability.
Presenter: Anthony Monaco and Deon
Minnaar, KPMG
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Overview of
Internal Control Task Force Recommendations and Implementation Approaches
In September
2006, the New York State Internal Control Task Force issued a guide to provide
meaningful, effective implementation guidance for agency Internal Control
Officers and Directors of Internal Audit to strengthen internal controls and
internal audit activities in New
York State government.
This session
provided an overview of the guide and practical steps for improving internal
controls and internal audit activities.
Presenter: John Buyce, Office of the State
Comptroller
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Executive Briefing
Commissioners
and their Deputies were invited to attend an executive
session, to provide an overview of the Internal
Control Act, and the importance of executive "buy-in"
to the Internal Control Program. Presenters
included:
Presenters: Mark
Mitchell (NYSICA)
and Karen
Tyler (Division
of the Budget
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