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2010-01-AU Limited Scope Performance Audit of Department of Water Supply's Internal Controls for Cash Handling and Financial IT Systems
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2010-01-AU Limited Scope Performance Audit of Department of Water Supply's Internal Controls for Cash Handling and Financial IT Systems
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7/19/2011 3:41:19 PM
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CHAPTER 2: INTERNAL CONTROL CRITIERIA <br />Government Finance Officers Association <br />(GFOA) <br />Cash Receipts Policy <br />(January 2007) <br />0 <br />"Background... As part of performing government services, <br />management must provide for appropriate mechanisms, <br />automated and manual, to collect all funds for services performed <br />and ensure the proper controls exist over all receipts." <br />"Recommendation... Internal controls: All aspects of cash <br />receipts shall be subject to proper internal controls with standard <br />controls documented and followed by revenue generating <br />departments: <br />• Segregation of duties — authorization, recording, custodian <br />functions, and reconciliation. <br />• Daily processing — daily cash /collection total reconciled to <br />subsequent deposit. <br />• Timely depositing of funds received ... <br />• Reconciliation to the general ledger and other supporting <br />accounting ledgers shall be performed in a timely manner. <br />• Physical security procedures during work hours and non- <br />working hours for all funds received and change drawers <br />maintained. <br />• Automated system resources should be utilized where <br />practical to provide better processing and reconciliation <br />support as well as providing a more efficient and effective <br />manner to manage receipts... <br />• Upon any suspicion of fraud, the department supervisor would <br />timely notify the appropriate personnel (e.g., internal audit, law <br />enforcement) for further investigation. <br />• If there is any suspicion regarding non - compliance of internal <br />directives, the departmental supervisor will notify the <br />appropriate personnel (e.g., internal audit) for further review." <br />
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