INGRAM QUICK, CHIEF AUDIT EXECUTIVE

AARON THOMPSON INTERIM PRESIDENT

KAREN BEARDEN BOARD OF REGENTS

This self-assessment guide is intended to serve as a tool to aid Kentucky State University management. It provides assistance in evaluating the existing business practices and internal control structure of their areas. This guide is not all-inclusive, but can serve as a guide for ensuring sound business practices and strong internal controls are in place.

The format of this assessment is designed for “Yes” or “No” responses. “No” responses indicate areas or issues that may require additional review and action by the individuals responsible for the activity. The statements are written so that necessary actions are fairly evident. In addition, each section contains examples of best practices for the area. The guide includes higher risk areas. It is intended that each area stands alone so that managers can use the applicable section needed.

This management self-assessment tool is intended to promote risk mitigation through a strong internal control structure, and compliance with applicable laws and regulations. While this tool does not replace services provided by the Office of Internal Audit, it can be used as a “pre-audit” checklist. The Office of Internal Audit is available to consult with managers to help ensure issues are properly addressed. This maximizes the benefit of the tool.

Sincerely,

Angram Zuck

Ingram Quick, CIA, CFE

Internal Auditor

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