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NYS Comptroller


Internal Audit Work Groups

Work Groups

Work groups will provide options and recommendations for the Steering Committee to review, and will be comprised of staff from DOB, OSC, NYSICA and agency Directors of Internal Audit (DIA) and Internal Control Officers (ICO). Work groups will meet periodically to ensure ongoing compliance with IA and IC requirements of the NYS Internal Control Act and to address developing issues.

If you have questions about the ICTF Work Groups, please reach out to NYSICA.

Internal Audit Work Groups

In addition to the specific tasks identified below, each of these work groups would follow up on the Comptroller's audit findings and provide input on the 90-day audit response, if possible.

  • Organization and Staffing - Develop guidance on DIA qualifications, staffing levels, and issues regarding reporting, independence, the host agency concept and IA outsourcing.
  • Internal Audit Process - Develop guidance and identify best practices for risk-based audit planning, reviewing internal controls, reporting, monitoring audit findings, and maintaining work papers.
  • Continuing Professional Education - Identify best practices and training opportunities, and develop an ongoing plan for DIAs and staff to comply with continuing education requirements.
  • Peer Review - Develop an ongoing plan for agencies to receive and/or conduct independent peer reviews to comply with professional standards.

Internal Control Work Groups

In addition to the specific tasks identified below, these work groups would also review the IC certification process and compliance.

  • Program Coordination and Implementation- Provide technical assistance on developing/maintaining IC systems and guidance on coordinating overall compliance with the Act, including implementing effective IC review and testing programs and developing model IC guidelines and management policy statements.
  • Education and Training - Identify education and training best practices and develop an ongoing plan for compliance with the Act's education and training requirements.