Fillable CashCollection SelfAudit - Self Audit Control Questionnaire

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CashCollection SelfAudit - Self Audit Control Questionnaire

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TheUniversityofWestFloridaFinancialServicesOffice

SelfAuditInternal ControlQuestionnaire for CashCollections andDeposits

Answerstothefollowingquestionsmaybeobtainedbyinterviewswithindividualsresponsible

forcollectinganddepositingcash.

1. Arepersonnelwhohandlecashandpreparedeposits

familiarwiththeUniversity’spoliciesandprocedures

regardingcashfunds?

2. Haseachcashcollectionpointbeenapprovedtoreceive

cashcollectionsandormaintainpettycashchange

funds?

3. Arereceiptsissuedandcashtransmittalformsrecorded

immediatelyforallformsofcollectionsreceivedandat

theearliestpointofcollection?

4. Isotherdocumentationmaintainedthatsupportthat

depositindetail?

5. Istheindividualresponsibleforcollectingcashdifferent

fromthepersonresponsibleforpreparingthedeposit?

6. Aredepositstransmittedinlockedbankbags?

7. Areallcopiesofvoidedreceiptformsretainedand

accountedforand/orapproveddocumented?

8. Areresponsibilitiesformoniesfixedatalltimes?(This

wouldincludeprohibitingthecashhandlersfrom

workingoutofthesamecashdrawerandrequiring

documentationoftransfersofcollectionsamong

employees.)

9. Arecashdrawersorcashboxessecuredwhenthecash

collectioncustodianleaveshis/herworkstation?

10. Ifitisnecessarytomakeasmall,routinepurchase,

wouldyouuseaPurchasingCardorauthorizedpetty

cashratherthancashthathadbeencollectedfor

deposit?

11. Ifsomeoneneedsapersonalcheckcashed,wouldyou

referthemtoanATMoranindependentfinancial

institutionratherthanusedepartmentalfundstocash

thecheck?

YESNON/SN/A

*N/S‐ NOTSURE*N/A‐NOTAPPLICABLE

12. Aredepositsmadeatleastweeklyoreachdaywhenfunds

collectedexceed$50.00?

13. Areallcollectionsrequiredtobemadepayabletothe

properpayee,UniversityofWestFlorida”,orthe

appropriatedirectsupportorganizationpartytothe

transaction?

14. Areallincomingchecksdatestampedwiththedate

receivedonthefaceofthecheckuponreceiptfromthe

issuer?

15. Areallincomingchecksrestrictivelyendorsedwithastamp

approved by Financial Servicesuponreceipt

fromthe

issuer?

16. Arestepstakentoensurethatdepartmentalcollectionsare

notheldovertheweekend?

17. Aredailycollectionsheldinasecuremanner(e.g.under

lockandkey)untildepositedintheCashier’sOffice?

18. Arethedepositsreconciledtoreceiptsandanydifferences

betweencashcollectedandreceiptsissuedidentified?

19. Doesthedepartmentuse the UWF Central Invoicing System

for any billings or invoices?

20. Ifgiftsofcashorchecksarereceived,aretheseforwarded

totheFoundationfordeposit?

21. AreexistingchangefundsauthorizedbyFinancialServices?

22. Areemployeesprohibitedfromusingmoneyfromthe

changefundforemployeeloans,purchases,ortocasha

check?

23. Iftheunithasapettycashfund,isthepettycashfund

authorizedwithFinancialServices?

24. Isthepettycashfundperiodicallycountedbysurpriseby

anindependentemployee?

25. Areemployeesprohibitedfromusingmoneyfromthe

pettycashfundforemployeeloansortocashacheck?

26. Arecashcollectionsorchangefundskeptseparatefrom

thepettycashfund?



YESNON/SN/A

*N/S‐NOTSURE*N/A‐NOTAPPLICABLE

27. Isthepettycashfundreconciledmonthlytoensurethatcash

onhandpluspaidreceiptsequaltheamountofthefund?Is

thePettyCashReportandReimbursementRequisitionform

sentmonthlytoFinancialServices?

28. Arechangeandpettycashfundsstoredinasafeorequally

securelocation?

29. Isknowledgeofsafecombinationsoraccesskeysrestrictedto

employeeswithaneed‐to‐knoworneed‐to‐access,andisthe

combination/keystothesafechangedwhenthereare

changestothestaffthathaveknowledgeofthesafe

combinationorwhohaveaccesstothesafekeys?

30. Arecasesofsuspectedfraudortheftbroughttotheattention

oftheCampusPolice,theFinancialSer

vicesofficeandthe

OfficeofInternalAuditing?

31. Aresalestaxcollectedandproperlyremittedwhen

appropriate?

32. IfrevenuesarepossiblysubjecttoUnrelatedBusinessIncome

Taxes(UBIT),hastheFinancialServicesOfficebeennotified?

33. Ifthedepartmentacceptscreditcardsforpayment,isthe

departmentfollowingFinanceandA

ccountingDirectivesand

Proceduresoncreditcards?Thisrequires

compliancewiththePaymentCardIndustryDataSecurity

Standards(PCIDSS).Thesestandardsaddressappropriate

securitymeasurestosecurecustomerinformation and may be

found at uwf.edu/financial/internal/creditcard.cfm



YESNON/SN/A

*N/S‐NOTSURE*N/A‐ NOTAPPLICABLE

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PRINTED NAME: _____________________________________

DEPARTMENT: ______________________________________

PHONE NUMBER: ____________________________________

DATE: _____________________________________________

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Completed 26 February 2020

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