Organization
Does your department have a mission statement?
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Yes
No
Does your department have a code of conduct?
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Yes
No
Does your department have written up-to-date procedures for processes specific to your department?
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Yes
No
Does your department follow University policies for record retention?
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Yes
No
Financial/Cash
Are expenditures and commitments of funds tracked and compared to budgets on a timely basis?
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Yes
No
Do you have accountability for cash?
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Yes
No
Do you have separation of duties (different people responsible for receiving, balancing and verifying cash accounts?)
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Yes
No
If separation of duties is not practical, is there supervisory oversight?
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Yes
No
Is there adequate security where cash handling activities occur?
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Yes
No
Are cash receipts deposited timely? (Daily)
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Yes
No
Are all cash receipts deposited and not used in lieu of petty cash funds?
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Yes
No
Purchasing
Is there separation of duties for purchasing related duties? i.e. different individuals are responsible for (1) approving the purchasing requisitions and orders, (2) receiving ordered materials, (3) approving invoices for payment, and (4) reviewing and reconciling the monthly General Ledger.
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Yes
No
Are vendor invoices approved prior to payment?
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Yes
No
Equipment
Is there separation of duties for inventories? i.e. employees assigned to perform physical inventories to confirm that materials and equipment listed on inventory sheets are not responsible for maintaining custody of the items.
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Yes
No
Are equipment records maintained?
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Yes
No
Is your equipment tagged with UC property numbers?
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Yes
No
Do you take equipment inventory counts at lease every two years and document them?
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Yes
No
Can all your equipment items be located?
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Yes
No
Payroll/Personnel
Are your staff employee overtime hours properly authorized, recorded and compensated?
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Yes
No
Is administrative staff cross- trained to provide coverage during extended absences?
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Yes
No
Are procedures specified and followed when an employee terminates for any reason? ( removal of computer access, return of keys, ID cards, purchasing cards)
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Yes
No
Computer
Is computer access limited to authorized employees?
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Yes
No
Is critical information backed up and stored off-site?
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Yes
No
Are passwords controlled and protected?
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Yes
No
Are laptop computers secured when not in use?
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Yes
No
Is all software properly licensed?
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Yes
No
Other
Have you done a risk assessment for your area? Did you consider areas such as financial, regulatory, human resources, information security, health & safety, effectiveness and efficiency?
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Yes
No
Have you identified your critical objectives and performance monitors?
Select One
Yes
No
