Internal Controls

Forms

• Police Background Screening Request Form
  Used by recruiters and Human Resources to conduct background screening on job applicants.
• Sample Monthly Financial Reconciliation Certification
  Form to ensure that all Department IDs and Fund Codes have been reconciled.

Resources

• Internal Controls Checklist
  Provides the University with a tool for evaluating the internal control structure in a department or functional unit, while also promoting effective and efficient business practices.
• Review Your Accounts – Guide to Complete the Monthly Financial Reports Reconciliation
  Provides best practice suggestions to help guide through the monthly financial reconciliation and review process.
• Separation of Duties – Cash and Check Process Flowchart
  Shows the step-by-step process of receiving, depositing, and reconciling cash and checks.
• Tier 1 Checklist for Monthly Reconciliation
  Assists Tier 1 reconcilers with performing the reconciliation of the Monthly Financial Reports.
• Tier 2 Checklist for Reconciliation Review
  Assists Tier 2 employees with reviewing the monthly reconciliation of the Monthly Financial Reports prepared by Tier 1.
• Tier 3 Payroll Detail Spot Check
  Details potential red flags for Tier 3 employees to look for while performing spot checks of the completed Monthly Financial Report reconciliation.
• Tier 3 Quick Guide for Obtaining the Monthly Financial Reports
  Step-by-step instructions for obtaining and saving monthly financial reports for Tier 3 employees.
• Tier 3 Quick Guide for Spot-Checking the Payroll Reconciliation Report
  Provides details on formatting the Payroll Reconciliation Detail in Excel to allow for easy spot checking and provides suggestions for items to look for during the checks.
• Tier 3 Quick Guide for Spot-Checking the Transaction Detail Report
  Provides details on formatting the Transaction Detail in Excel to allow for easy spot-checking and provides suggestions for transactions to look for during the checks.
• Tier 3 Transaction Detail Spot Check
  Details potential red flags for Tier 3 employees to look for while performing spot checks of the completed reconciliation.