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Department of Education and Training School Audit Control Self Assessment (CSA) Survey Audit and Risk Management Branch User Manua School Audit Control Self Assessment (CSA) Survey User Manual Release v1.4 Date: January 2009 Audience Scope – included Overview School Administration Staff All schools. This document explains how to use the School Audit Control Self Assessment (CSA) web based survey. The survey records the control self assessment details to aid quality assurance and continuous improvement in schools. The CSA survey has been implemented as a management tool to help principals review the school’s financial and administrative systems and develop and implement processes to reduce risks in the school. Abbreviations CSC - Customer Service Centre. DET - Department of Education and Training. CSA – School Audit Control Self Assessment. CSA User Manual v1.4.doc Page 1 12 January 2009 S:\7328-Audit and Risk Management\Schools\2009 SAP\CSA\CSA User Manual v1.4.doc Department of Education and Training School Audit Control Self Assessment (CSA) Survey Audit and Risk Management Branch User Manua Contents PURPOSE OF THE CSA SURVEY...................................................................................................3 ACCESSING THE CSA SURVEY.....................................................................................................3 USING THE CSA SURVEY ..............................................................................................................4 Opening the CSA Survey page.............................................................................................4 Saving the CSA Survey........................................................................................................6 Submitting the CSA Survey ..................................................................................................6 Printing the CSA Survey.......................................................................................................8 Logging Out .........................................................................................................................9 MANAGING PASSWORDS ..............................................................................................................9 Change Password ...............................................................................................................9 Creating a Password Hint...................................................................................................10 MANAGING THE CSA SURVEY ....................................................................................................11 FURTHER INFORMATION AND TECHNICAL SUPPORT ..............................................................13 Document Control Version 1.2 1.3 1.4 Description of Version Updated version Updated version Updated version P.E. Date Completed 07-Aug-2007 25-Jul-2008 12-Jan-2009 CSA User Manual v1.4.doc Page 2 12 January 2009 S:\7328-Audit and Risk Management\Schools\2009 SAP\CSA\CSA User Manual v1.4.doc Department of Education and Training School Audit Control Self Assessment (CSA) Survey Audit and Risk Management Branch User Manua Purpose of the CSA Survey The CSA survey is a management tool designed to help principals review their schools financial and administrative systems and develop and implement processes to reduce risks in their schools and therefore to the Department of Education and Training (DET). The main purposes of the information gathered via the CSA survey is to: Help the principal understand and monitor the financial and administrative controls that operate in the school; Provide timely information that can be used to improve the financial and administrative management of the school; and Generate information for system wide reporting and planning. Please answer all questions accurately – it is better to identify and correct any issues prior to the visit of an auditor. The CSA Survey is web based and is, therefore, completed on-line. The CSA survey is fully automated and upon completion the school is able to print the survey, complete with ratings and an overall assessment score. What should be done after receiving the Assessment The CSA will give an Overall Assessment and will show an Impact Rating for any area that the school has not complied with various departmental policies. The CSA is designed to self identify any areas of weakness within the financial and administrative systems. The principal is responsible for addressing any issues that arise from the CSA. Accessing the CSA Survey To login into the CSA Survey website, Click on the button and open a new Internet Explorer window and enter the following website address: http://secureapps.det.wa.edu.au/ias This is not a public website. It can only be accessed from departmental workplaces. At the Login screen enter the HRMIS User ID and Password and then click Login. (Hint: The User ID is the HRMIS Enumber and password. See the Managing Passwords section below for more help with passwords). This system relies upon HRMIS to identify which person is the principal. That person is automatically given access to the CSA Survey. Where there is transition between principals then HRMIS needs to be updated first. CSA User Manual v1.4.doc Page 3 12 January 2009 S:\7328-Audit and Risk Management\Schools\2009 SAP\CSA\CSA User Manual v1.4.doc Department of Education and Training School Audit Control Self Assessment (CSA) Survey Audit and Risk Management Branch User Manua Using the CSA Survey Once logged in, complete the steps required to save and submit the schools' CSA survey. Opening the CSA Survey page The Main Menu will be displayed, listing surveys available for the school. At the Main Menu, Click on Surveys. This will list the current year’s survey, and any previous surveys for the school. Ensure the School Name is displayed next to School. The school name is linked to your HRMIS records. NOTE: If the school name is incorrect then the HRMIS records will need to be updated. Select the CSA for the current year so that it is highlighted and then click Display. CSA User Manual v1.4.doc Page 4 12 January 2009 S:\7328-Audit and Risk Management\Schools\2009 SAP\CSA\CSA User Manual v1.4.doc Department of Education and Training School Audit Control Self Assessment (CSA) Survey Audit and Risk Management Branch User Manua Read the instructions on the screen carefully, as this will assist in completing the survey successfully. Click Display and a multi-headed screen will be displayed. This will open the main Control Self Assessment Survey page where data can be entered. CSA User Manual v1.4.doc Page 5 12 January 2009 S:\7328-Audit and Risk Management\Schools\2009 SAP\CSA\CSA User Manual v1.4.doc Department of Education and Training School Audit Control Self Assessment (CSA) Survey Audit and Risk Management Branch User Manua The CSA Survey has five System/Control areas. These are: Receipting and Banking, Purchasing and Payment, Financial Planning, Asset Management and Human Resources. Each System/Control area has a number of questions, and some questions have multiple parts to the question. The System/Control areas can be selected by clicking on the headings. For each question, select either the Yes, No, or N/A checkboxes. Note: Comments can be entered for each section at the bottom of the screen, however as the assessment is computer generated the comment will not alter the score. Saving the CSA Survey The button on the right hand side of the screen is used to save the results. This can be used whilst the answers are being entered, and before the CSA Survey has been completed. This will enable the survey to be completed over a number of sessions. Saving the results every 15 minutes will ensure that the data is not lost. A “Survey Updated” message will be displayed on the screen so that users can verify that their answers have been saved successfully. Submitting the CSA Survey The button is used to save and submit the results. All the questions must be answered before the survey is submitted. This can only be done by the delegated school Principal. However, the Principal is able to assign other staff members with the ability to print and update survey responses. For details refer to the section on “Managing the CSA Survey”. NOTE: The survey is computer generated and requires an answer to EVERY single question (including multiple part questions) – those questions that are not applicable must be answered as not applicable. Page 6 12 January 2009 CSA User Manual v1.4.doc S:\7328-Audit and Risk Management\Schools\2009 SAP\CSA\CSA User Manual v1.4.doc Department of Education and Training School Audit Control Self Assessment (CSA) Survey Audit and Risk Management Branch User Manua ALL questions must be answered. When all questions are not answered and the school tries to submit the survey they will receive an error message. An example is shown below. The screen shot below shows that “No answer for Question 1.2 in Receipting and Banking System” was entered. The question must be answered and then the survey resubmitted. NOTE: Once successfully submitted the ‘submit’ button is no longer shown and the survey responses cannot be changed. Should any changes need to be made refer to section on Corrections or Alterations to the CSA after Submitting. CSA User Manual v1.4.doc Page 7 12 January 2009 S:\7328-Audit and Risk Management\Schools\2009 SAP\CSA\CSA User Manual v1.4.doc Department of Education and Training School Audit Control Self Assessment (CSA) Survey Audit and Risk Management Branch User Manua Printing the CSA Survey The button can be used to preview and print the survey. The system will generate a report in PDF format that will be returned to the browser. This can then be printed. NOTE: All questions must be answered (including multiple part questions such as 1.8). Failure to do so will result in the school not obtaining an overall assessment at the end of the survey. Corrections or Alterations to the CSA after Submitting CSA User Manual v1.4.doc Page 8 12 January 2009 S:\7328-Audit and Risk Management\Schools\2009 SAP\CSA\CSA User Manual v1.4.doc Department of Education and Training School Audit Control Self Assessment (CSA) Survey Audit and Risk Management Branch User Manua Once the CSA Survey has been successfully submitted, the responses are locked in. If corrections or alterations are to be made to the CSA Survey, it can be updated by the Audit & Risk Management Branch on request. The Branch can be contacted by email or telephone for any changes to be made. Logging Out When the CSA Survey has been completed and the user wishes to log out, click on the link. This will take the user back to the Login screen; users can login again or close the window to end the session. Managing Passwords The User ID is the E-number and the password is the HRMIS password. Change Password If you wish to change your password, bear in mind this will also change your HRMIS password. Log out of any applications using the HRMIS password before you change the password. On the Main Menu, click on Change Password. This will bring up the Change Password window. Enter your current Password, then enter your New Password, and enter it again in Confirm New Password. Once you’ve entered your new password and confirmed it, click on Change Password. A confirmation message will appear on the screen. Please note: You must comply with the rules and advice provided by HRMIS about passwords. CSA User Manual v1.4.doc Page 9 12 January 2009 S:\7328-Audit and Risk Management\Schools\2009 SAP\CSA\CSA User Manual v1.4.doc Department of Education and Training School Audit Control Self Assessment (CSA) Survey Audit and Risk Management Branch User Manua Creating a Password Hint You can set up a Password Hint on your account, so if you forget your password, you can reset it by using your Hint. If you use this option you must follow the advice provided by the HRMIS system about the selection and use of password hints. On the Main Menu, Click on Change Hint. The Change Password Hint screen will be displayed. Enter your current Password. Select one of the questions from the Hint Question drop down box, then type in the Answer. Click Change Hint. You will receive a confirmation message. Once you have set up your password hint, you can then use it to reset your password if you ever forget it. On the Login screen, click on the Forgot Your Password link below the Login button. At the Forgot Your Password screen, enter your User ID and click Next. CSA User Manual v1.4.doc Page 10 12 January 2009 S:\7328-Audit and Risk Management\Schools\2009 SAP\CSA\CSA User Manual v1.4.doc Department of Education and Training School Audit Control Self Assessment (CSA) Survey Audit and Risk Management Branch User Manua At the next screen you will see the Hint Question you set up previously. Simply enter the answer you entered previously in the Hint Answer box. Then reset your password by entering a New Password and then Confirming it. (Remember the restrictions on passwords) Click Reset Password. You will receive a confirmation message. You can now use this new password to log in. Managing the CSA Survey The Manage Roles allows the Principal to assign other staff members with the ‘Submitters’ role, i.e. allow other users access to the CSA Survey, so that they can display, print and update survey responses for the school but not submit the survey. This can only be done by the delegated school Principal. In the Financial Management in Schools – Polices and Procedures (1 November 2007) it states in the Policy Statement: Principals are responsible for the day-to-day management and control of their school financial resources. Principals must ensure efficient and effective use of school financial resources. All money received, held and expended through school bank accounts must be dealt with in accordance with the procedures outlined in this document. Where schools are unable to comply with a procedure they must consult with their District Finance and Administration Officer for guidance. The Principal has the overall responsibility for the information that is entered in the CSA Survey. When the Principal submits the survey on line it is the equivalent of signing a manual survey. CSA Survey information entered by delegates may be quoted in answers to parliamentary questions and will appear in departmental reports. The principal should consider this when deciding to delegate the authority to enter CSA Survey answers. CSA User Manual v1.4.doc Page 11 12 January 2009 S:\7328-Audit and Risk Management\Schools\2009 SAP\CSA\CSA User Manual v1.4.doc Department of Education and Training School Audit Control Self Assessment (CSA) Survey Audit and Risk Management Branch User Manua On the Main Menu, click on Manage Roles. The Manage School / Department Applications page is part of a separate system made available to principals. It will list - the Application (Audit and Risk Management Surveys), Role (‘Submitter’ for the right to display, update and save the CSA Survey and User (Any users that have been assigned the right to display, update and save the CSA Survey. From time to time other unrelated applications will appear here as well as CSA Survey. In order to grant another user the right to display, update and save a CSA Survey, click on the Submitter link. On the next page, select the User(s) you wish to delegate as Submitters from the All Users list. Once their name is highlighted, click on Add and their name will appear in the window on the right. Repeat this process for any other users you wish to assign the role to. Once finished click Save The User(s) you added will now appear in the User column of the Applications page. The added User(s) should now be able to login to the Audit and Risk Management Surveys site with their HRMIS User Name and Password. CSA User Manual v1.4.doc Page 12 12 January 2009 S:\7328-Audit and Risk Management\Schools\2009 SAP\CSA\CSA User Manual v1.4.doc Department of Education and Training School Audit Control Self Assessment (CSA) Survey Audit and Risk Management Branch User Manua However, these users will not be able to delegate on to other users, as the Manage School Applications option will not be listed on their main menu. Further Information and Technical Support For any further information with regards to the CSA survey please contact the following people: PH: 08 9270 3107 Glenn Pinto MOB: 0439 699 736 Fax: 08 9270 3100 E-mail: Glenn.Pinto@det.wa.edu.au PH: 08 9270 3103 Tony Vinciullo MOB: 0428 644 521 Fax: 08 9270 3100 E-mail: Tony.vinciullo@det.wa.edu.au For technical difficulties experienced with the completion of the CSA survey, please contact the help desk on 9264 5555. CSA User Manual v1.4.doc Page 13 12 January 2009 S:\7328-Audit and Risk Management\Schools\2009 SAP\CSA\CSA User Manual v1.4.doc
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