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Self Assessment

RISK ASSESSMENT

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1.

Are there written policies and internal operating procedures to identify and react to changes that can have an adverse effect on the department as well as to the University?

 

Yes   No


2.

Has management identified and analyzed entity risks relating to change, such as high turnover, new technology, new regulations, restructuring, or rapid growth?

 

Yes   No

3.

Has management analyzed the potential monetary impact associated with financial and operating risks?

 

Yes   No

4.

Are cost benefit studies performed before committing resources to changes?

 

Yes   No

5.

Are external resources consulted as needed?

 

Yes   No

6.

Is the department having difficulty meeting financial obligations or have operations deteriorated significantly?

 

Yes   No

7.

Is there significant strain on the director to provide funds for the department?

 

Yes   No

8.

Is senior management emphasis placed on improved financial position?

 

Yes   No

9.

Is the director prone to taking unnecessary risks?

 

Yes   No

10.

Is the director adequately compensated?

 

Yes   No

11.

Do personnel have the background, education, and experience appropriate for their duties?

 

Yes   No

12.

Is there significant turnover in personnel?

 

Yes   No

Name and Title                          Length of Employment

13.

Is management satisfied that all employees are honest?

 

Yes   No

14.

Has management identified accounts, such as those requiring complex calculations or accounting estimates, which are especially at risk of misstatement and developed policies and procedures to address those risks in a timely manner?

 

 

Yes   No

 

 

 

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