Audit Manual - Core Treasury System Uttarakhand

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Government of Uttarakhand Audit Manual Sr. No Activity Risk Audit Steps the process for cause of delay 4 Organisational analysis • Non compliance with the authorisation limit • Inadequate segregation of duties • Problem of over or under staffing of the employee • Verify the organisational pattern & procedure manual so as to check that clear line authority and responsibility for financial and operational activity has been defined • Check that proper distribution and clear demarcation of responsibilities exists among the personnel • Check that finance function employees are separated from other administrative function • Verify the financial limit defined for each authority of department and ensure the same has been adhered at any given point of time • Analyze the reason for the post remain vacant for long period and the necessary follow up made to fill the position as per the need • Check that there was no overstaffing with respect to the requirement for doing functional responsibilities • Verify the staff requirement report to check that adequate changes have been made as per the requirement 5 System Development • Possibility of unnecessary expenditure on system • Verify published standard methodology being used for designing and developing the system Page 598 of 705
Government of Uttarakhand Audit Manual Sr. No Activity Risk Audit Steps development activity • Verify whether a feasibility study has been done prior to system development which determines appropriate solution to the problem 6 Application control for the system • Possibility of duplicate transaction • Possibility of unnoticed missing transaction • Verify controls establish to check missing & duplicate transaction • Verify controls establish on rejected items to remain in computer suspense record Page 599 of 705
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Audit Manual - Core Treasury System Uttarakhand

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