Self-Evaluation

This questionnaire is intended for the use of USNH departments/units who wish to perform a self-evaluation of control procedures in place for ensuring compliance with USNH policies and procedures, State and Federal regulations and sound business practices. This list is not all-inclusive by any means and is to be used only as a guide to operations.

A "yes" answer indicates that a needed control or policy is in place. Some questions may not be applicable to your department's operations and therefore need not be answered. Links to relevant policies and procedures have been placed throughout this form for your reference. You have the options of printing out a blank form and filling it out manually, filling it out on-line simply by clicking Yes or No for each question and printing it locally after completion, or filling it out on-line and submitting it on-line to Internal Audit for evaluation and feedback.

You are not required to send the questionnaire to Internal Audit unless specifically requested by Internal Audit (which could occur in the planning stages of a department/unit review or in an effort to gather campus-wide or system-wide data). To send, simply click the Submit button at the end of the questionnaire. If you have any questions regarding this questionnaire, please let us know. Thanks!

Department/Unit

Name:

Phone:

Email:

Would you like feedback on this evaluation? Yes No

General and Miscellaneous Controls

YES	NO	POLICY OR CONTROL
		1. Is your department/unit aware of the on-line USNH Financial and Administrative Procedures (which is now the "official" version of USNH Financial and Administrative Procedures)?
		2. Are the department's/unit's monthly Banner reports reconciled to departmental supporting documents (invoices, time sheets, contracts, etc.)?
		3. If your department/unit enters into contracts/agreements with third parties, are they executed in accordance with USNH policies and procedures (approved by the USNH Vice Chancellor for Financial Affairs or approved by an employee with formal written authorization from the USNH Vice Chancellor for Financial Affairs to enter into financial agreements with third parties)?
		4. Does financial management in your department/unit include preparation and review of periodic financial and management reports such as a monthly budget-to-actual report for all accounts, periodic comparisons of operations, etc.

Cash and Collections (If your department/unit does not directly receive cash or other forms of revenues, skip to next section)

YES

NO

POLICY OR CONTROL

5. Are checks restrictively endorsed immediately upon receipt?

6. Are check/cash collections held in a secure manner until deposit (ie in a locked location such as a safe or strong box)?

7. Are deposits made in a timely manner as defined by USNH Financial and Administrative Procedures (up to $500 within 48 hours after receipt otherwise 24 hours)?

8. Are cash collections deposited intact with the campus Business/Bursar's Office (ie, no expenditures made from cash collections)?

9. Is there segregation of duties among employees collecting cash, recording and preparing deposits of revenue, and reconciling deposits?