SECTIONS 30 Internal Control Exhibit - Word


Agency-Level Internal Control Assessment
Control Environment Assessment Tools

Exhibit 1: Ethics

Exhibit 31: Cash Disbursements - Construction
Exhibit 2: Management's Philosophy
 
Exhibit 32: Fixed Asset Overview
Exhibit 3: Organizational Structure Exhibit 33: Fixed Assets - Asset Addition, Renovation's and
                    Repairs

Exhibit 4: Management's Commitment to
                  Professional and Technical Competence

Exhibit 34:  Fixed Assets - Disposals/Transfers

Exhibit 5: Assignment of Authority and
                  Responsibility
Exhibit 35: Fixed Assets - Federal Fixed Asset
                    Accounting Requirements

Exhibit 6: Human Resources Standards Exhibit 36: Maintenance of Assets

Exhibit 7: Risk Management Exhibit 37: Capital Lessees - Loans Payable

Exhibit 8: Control Activities Applicable to All
                  Fiscal Processes 

Exhibit 38: Indirect Cost Recovery 
Exhibit 9: Journal Entries Exhibit 39: Federal Grant Compliance

Exhibit 10: Control Activities Applicable to
                    Any General Ledger

Exhibit 40: SAAS Security
Exhibit 11: Agency-wide Security Management Program

Exhibit 41: SPAHRS Security
Exhibit 12: Access Control Exhibit 42: Agency-Based Automated Accounting Systems
                    (other than MMRS Systems)

Exhibit 13: Application Software Development &
                   Change Control

Exhibit 43: SAAS Reconciliation Procedures
Exhibit 14: System Software Control Exhibit 44: SAAS Quarterly 1099 Report and Certification

Exhibit 15: Service Continuity Exhibit 45: SPAHRS Introduction

Exhibit 16: Information Questionnaire Exhibit 46: SPAHRS Data Entry
 
Exhibit 17: Communication Questionnaire Exhibit 47: SPAHRS Employee Profiles Hires/Rehires

Exhibit 18: Monitoring Questionnaire Exhibit 48: SPAHRS Employee Profiles - Terminations

Exhibit 19: Appropriations - Appropriations, Allotments,
                   and Transfers


Exhibit 49: SPAHRS Leave Accounting
Exhibit 20: Cash Receipts - Deposits Exhibit 50: SPAHRS - Unpaid Leaves of Absence and
                    Overpayments

Exhibit 21: Accounts Receivable Exhibit 51: SPAHRS - Time and Attendance

Exhibit 22: Purchasing Overview Exhibit 52: SPAHRS Deductions

Exhibit 23: Purchasing - Issuing Purchase Orders Exhibit 53: SPAHRS - Direct Deposit

Exhibit 24: Purchasing - Emergency Purchases Exhibit 54: SPAHRS Payroll Certification

Exhibit 25: Cash Disbursements - Procurement Cards Exhibit 55: SPAHRS Automated Changes

Exhibit 26: Cash Disbursements - Expenditures Exhibit 56: SPAHRS Exception Pay

Exhibit 27: Cash Disbursements - Receiving Reports  Exhibit 57: SPAHRS Employee Pay - Void Payments

Exhibit 28: Cash Disbursements - Petty Cash Exhibit 58: Davis-Bacon Act

Exhibit 29: Travel Exhibit 59: Fraud, Waste & Abuse

Exhibit 30: Inter-Agency Transactions