INTERNAL CONTROLS EVALUATION

We've developed several questionnaires to help evaluate your unit's system of internal controls.  When we talk about internal controls, we mean all of the activities people do to help ensure efficient and effective operations, compliance with applicable laws and regulations, and reliable financial reporting.  As a group, we call these outcomes and others related to them control objectives.

As indicated on the Audit Process page, a notification letter is sent to the department head when your unit is selected for an audit. Depending on the scope of our planned audit, we may also ask you to complete our Internal Control Questionnaire in order to provide us with some preliminary information regarding your unit's processes.

In addition, we may also use several other questionnaires during the course of the audit pertaining to specific areas such as payroll/personnel processing, non-payroll expenditures, equipment management, cash handling, and information systems. If you are not scheduled for an audit and wish to do your own evaluation, copies of these questionnaires are provided below. Please note that hte questionnaires are frequently revised to address new requirements, processes, etc. and so the questionnaires below may not be the version currently being administered by our staff.

Internal Control Questionnaire (Word; PDF)

Equipment Inventory Questionnaire (Word; PDF)

Federal Contracts and Grants Questionnaire (Word; PDF)

General Information Questionnaire (Word; PDF)

Information Systems Questionnaire (Word; PDF)

Miscellaneous Cash Handling and Petty Cash Questionnaire (Word; PDF)

Non-Payroll Expenditures Questionnaire (Word; PDF)

Payroll/Personnel Questionnaire (Word; PDF)

Sales and Cashiering Questionnaire (Word; PDF)

Feel free to contact us with any questions you have about how to address control issues that are generated from this questionnaire process.

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Updated November 2007