Procedure: 1-1

Effective: September 15, 1987

Owner: University Comptroller

Latest Revision: May 1, 2003

Scope

This procedure covers the perparation and submission of the annual Internal Controls Questionnaire.

System References [Top]

Internal Controls Questionnaire

Policy [Top]

Financial and Administrative Policy I.A.1

Responsibility [Top]

The Dean or Department Head is responsible for certifying that each Organization (as defined in the University's Integrated System) for which they are responsible is exercising proper internal controls, or has developed a plan for corrective action.

Distribution [Top]

Department Heads
Department Business Managers
Fiscal Administrators

Ownership [Top]

The University Comptroller is responsible for ensuring that this procedure is necessary, reflects actual practice, and supports University policy.

Activity Preface

This actvity is performed whenever the Internal Controls Questionnaire is distributed to University organizations by the University Comptroller. The purpose of this activity is to maintain an effective system of internal controls. University departments are asked to complete the Internal Controls Questionnaire annually.

The results of the questionnaire enable University management to:

• Assess the overall internal controls environment of the University
• Document each department's internal controls status
• Inform new department heads of their responsibilities related to internal controls
• Identify areas of internal controls weaknesses so that corrective action can be taken.

Department Head or Designee

1. Download the Questionnaire from the UVA Forms Directory.

2. Complete one form for each organization for which you are responsible, as noted in the distribution notification from the University Comptroller.
Note: The form may be opened and completed interactively.

3. Print a completed form for each organization.

4. Prepare and attach a plan for corrective action which addresses all "no" responses made on the questionnaire.

Department Head

4. Complete the certification section of the questionnaire and sign the form.

5. Return the completed forms via messenger mail to the address indicated on the form.

 

End of Activity