Better health and ageing for all Australians

Risk and Compliance

Detailed Assessment - Document Requirement List

OATSIH Risk Assessment

Financial Management

All documents required are for the period 1 July 2012 – 30 June 2013

General

  • Bank Statements – all Accounts
  • Bank Reconciliations
  • Budget and Actual report for year ending 30 June 2013
  • Chart of Accounts

Asset Management

  • Asset Management Policy
  • Documents relating to leasing arrangements, including internal arrangements
  • Documents relating to the purchase, disposal and proceeds of sale for any assets
  • Asset Register

Cash Management

  • List of Delegates with authority to spend and authorises limits
  • Credit Card Usage Policy
  • Authorised list of approved credit card holders
  • Credit card transaction listing
  • Cheque Book

Grant Related Income and Expenditure

  • Any policy relating to treatment of grant monies, including income generated from grant monies
  • Evidence of treatment of any grant surplus at the end of the financial year (ie treated as a liability or transferred to equity)
  • Supporting calculations and documentation to validate the basis under which attribution of

overheads to grant occurs

  • Treatment of unspent overhead allocation at the end of the financial year
  • Detail of each related party transaction
  • Detail of all internal transfers of funds

Travel and Allowances

  • Travel Policy
  • Documentation (business case, authorisation etc.) supporting travel and relevance to funded project(s)

The Assessor will ask for a General Ledger transaction listing for particular accounts when onsite.

The Assessor will need to access all Invoices/receipts relating to expenditure in the categories above.

Your assistance in preparing this information prior to the Assessor’s arrival is greatly appreciated.

PDF Printable version: Detailed Assessment - Document Requirement List (PDF 149 KB)

If you are unable to access the attachment or would like more information please email: QRaC@health.gov.au, or call 02 6289 5291.

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