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15 <br />2023-2024 San Mateo County Civil Grand Jury <br />Appendix A <br />Form of Survey <br />1. Please list your name, title and organization <br /> <br />2. Other than outside audits of your organization's financial statements, have you or your <br />organization performed an assessment of your organization's "internal controls" within the last 18 <br />months? (Yes/No) <br /> <br />3. If your organization has not performed an assessment of its internal controls or has not <br />completed one in the last 18 months, why? <br /> <br />4. What was the date of your internal controls assessment? <br /> <br />5. What type of tool was used to assess your internal controls? If "Other", please provide a brief <br />description of the tool. (Checklist/Guided questions/Other) <br /> <br />6. Was a written report of the assessment produced? (Yes/No) <br /> <br />7. Was this assessment report shared with your governing board? (Shared/Not shared/Written <br />assessment report was not produced) <br /> <br />8. Does your governing board require or suggest that your organization periodically review its <br />internal controls? <br /> <br />9. Have the personnel in your organization received training specific to building effective internal <br />controls? <br /> <br />10. If your organization has received training in building effective internal controls, who provided the <br />training? <br /> <br />11. Do you have an established process in place to identify organizational risks (als o known as <br />Enterprise Risk Management or "ERM")? <br /> <br />12. When substantial risks are identified, does your process require changes or improvements to the <br />applicable internal controls? <br /> <br />13. Have you shared the organizational risk assessment findings with your governing board? <br /> <br />14. Internal controls assessment tool: <br /> <br />15. Internal controls assessment report: <br /> <br />16. Risk assessment report: <br /> <br />17. Other links, please describe and include link(s): <br /> <br />6.C. - Page 19 of 22 <br />98