Northern Arizona University

FINANCIAL CONTROLS

Controls and Policy Self Assessment Questionnaires

Controls and policy self assessment questionnaires are designed to help departments determine if they are in compliance with best internal control practices and NAU policies.  The optimal answer to each statement in the questionnaire is “yes” and indicates compliance with best practices and policies.  “No” responses may indicate an opportunity to improve processes.  These documents are not intended to be 100% comprehensive over policies and best practices.  They will give you a good indication if improvements should be made.

If you need assistance in changing your business processes, please contact the Financial Controls office or the resources that are outlined in the questionnaire.

Cash and Check Handling

Departmental Purchasing Document (PD)

Journal Entries

Payroll

PCard

Property Control

Purchasing

Receivables

Travel

CASH AND CHECK HANDLING RESOURCES:

Sample Cash and Check Handling Guide

Sample Mail Log

Sample Reconciliation