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									Internal Controls


        Executive Session

   Mark B. Mitchell, MBA, CIA, CGFM
 Chair, NYS Internal Control Association
           October 22, 2007

        http://www.nysica.com
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Agenda

 Internal Control Roles and
Responsibilities
Provide a Framework for Achieving
an Organization’s Objectives
 Answer Your Questions
Roles and Responsibilities


I. Agency Head
II. Internal Control Officer
III. Internal Control Coordinators &
    Practitioners
IV. Agency Management & Supervisors
V. Agency Staff
VI. Internal Audit                     3
Starting the Process

Questions to consider:
  1. Are our internal control
     systems adequate?
  2. How do we know?


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Framework for Achieving
Objectives




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Internal Controls


 Questions?
              Mark B. Mitchell, MBA, CIA, CGFM
              Director of Internal Audit
              NYS Energy Research & Development
                 Authority
              17 Columbia Circle, Albany, NY 12203

              (518) 862-1090, ext. 3289
              mbm@nyserda.org

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