What it is
A control self-assessment asks the people who run the controls whether they work. It spreads awareness and finds problems early, but it is not independent, so internal audit or management testing should sample the answers, especially a Yes with no evidence.
This questionnaire has seventeen plain-language questions grouped by COSO component and spare rows for your own. A Yes needs an evidence reference and a No or Partially needs an action. Scores count Yes as one and Partially as half.
When to use it
- Once a year or each quarter for process owners and business unit heads.
- To feed the entity-level and process-level evaluation.
- After a reorganization or a system change.
What’s inside
- Respondent details
- Seventeen questions by COSO component with room to add more
- Response, evidence, comment and action columns with checks
- Scores by component
Standard cited
This template follows COSO 2013 / control self-assessment. It is written in our own words, except for phrases the standard requires the document to contain, with [bracketed placeholders] for client details, amounts in USD and dates as MM/DD/YYYY. Check it against the current standard and your firm’s methodology before use.
Questions
Is a self-assessment evidence of effective controls?
Alone, no. It is not independent. It tells you where to look and which owners are aware of their duties. Test a sample of Yes answers against evidence.
How is the score calculated?
Yes counts as one, Partially as half, No as zero, and N/A is left out. The score is a signal for follow-up, not a conclusion.
Related templates
- COSO 17 Principles Assessment
- Risk and Control Matrix: Entity-Level Controls
- Quarterly Control Subcertification Form
- Control Remediation Tracker
Last updated 11/05/2026. All free templates.