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Introduction

A Financial Policy Manual is a major part of every organization. The one that is outlined in this paper is an example that can be used to create one for a new organization or be used to review your own organization's for completeness. 

Table of Contents

Section 1 - Financial Oversight

Section 2 - General Accounting

Section 3 - Contract & Grant Administration

Section 4 -

Section 5 - Human Resources

Section 6 - Purchasing

Section 7 - Travel

Section 8 - Disbursements

Section 9 - Treasurer

Section 10 - Asset Management

Section 11 - Tax Administration

Section 12 - Budgeting

Section 13 - Financial Reporting

Section 14 - Managerial Accounting

Section 14 - Information Technologies

Section 15 - Miscellaneous

Section 16 - Auditing

Section 17 - Regulation and Legal Issues

Section 18 - Forms

Appendices

Chapters

Introduction

  1. Definitions 

  2. Responsibilities

  3. About Financial Policy Development

Section 1 - Financial Oversight

  1. General Information

  2. Conflict of Interest  

  3. Guiding Principles

  4. Use of Organization Equipment and Services

Section 2 - General Accounting

  1. General Information

  2. Agency Fund Account and Student Organization

  3. General Accounting

  4. Record Keeping

  5. Establishing Rates and transfer costs

    • Rate Review, Approval, & Adjustments

  6. Establishing Reserve Funds

  7. Accounting for Personnel

    • Accounting for Compensated Absences

    • Accounting for Various Paid Leaves

    • Accounting for Vacation

    • Accounting for Payouts under Termination/Severance Agreements

  8. Selling to External Customers

    • Planning Sales to External Customers

    • Approving External Sales

  9. Processing Internal Accounting Transactions

    • Originating Internal Accounting Transactions

    • Adjusting or Correcting Internal Accounting Transactions

  10. Accounting for  Business Activity

  11. Accounting for Managing Business Activity

  12. Strategic Financial Planning

Section 3 - Contract & Grant Administration

  1. General Information

Section 4 -

Section 5 - Human Resources

  1. General Information 

  2. Payroll

    • Payroll System Security

    • Requesting Access to Payroll 

    • Termination or Change of Department

    • Responding to Security Violations

  3. Recruitment/Retention

  4. Re-

Section 6 - Purchasing

  1. General Information

  2. Purchasing a Professional Service

    • Assuring Reasonable Price

    • Administering a Contract for Services

  3. Using the INHCC  Purchasing Card

    • Applying for the Card

    • Making Purchases with the Card. 

    • Monthly Reconciliation of Card Purchases.

    • Changes to Card Status

Section 7 - Travel

  1. General Information

  2. Using the INHCC  Corporate Travel Card

    • Applying for the Card

    • Paying for Expenses Incurred

    • Changes to Card Status

  3. Using Automotive Vehicles for InHCc  Business

    • Renting a Vehicle

  4. Traveling on InHCc  Business

    • Arranging Travel 

    • Applying for Travel Expense Reimbursement

  5. Relocating New Employees

    • Paying for Appointees Moving Expenses

  6. Travel Web - Use the WWW for travel needs. 

Section 8 - Disbursements

  1. General Information

  2. Accounts Payable

  3. Account Verification

  4. Problem Resolution

  5. Foreign Currency

  6. Approvals

  7. Record Retention Schedule A

Section 9 - Treasurer

  1. General Information

  2. Insurance

    • Automobile Insurance

    • Catastrophe Property Insurance

    • Liability Insurance

    • Worldwide Travel Insurance

    • Professional Liability Insurance

    • Directors' and Officers Liability 

    • Workers' Compensation

  3. Investments

    • Risk analysis and Selection of appropriate risk categories 

    • Selection of Banking Institution

    • Short Term Investments

    • Investments for Long Term Capital Improvements

  4. Accounts Receivable

    • Zero Balance Accounts 

    • Permanent Advances

    • Bad Debt

  5. Advances

    • Advances for projects expenditures

  6. Revenue

    • Accepting and Depositing INHCC  Revenue

    • Establishing Revenue Accounts

    • Generating or Soliciting Revenue

    • Managing and Monitoring Revenue Received

  7. Establishing Change and Miscellaneous Payment Funds

    • Establishing Authorized Change Funds

    • Adjusting Authorized Change Funds

    • Establishing Authorized Miscellaneous Payment Funds  

    • Replenishing Authorized Miscellaneous Payment Funds

    • Closing Authorized Change or Miscellaneous Payment Fund

    • Acquiring a InHCc Charge Card

Section 10 - Asset Management

  1. General Information

  2. Inventory / Equipment

  3. Property

  4. Real Estate

    • General Information

    • Using and Leasing INHCC  Real Estate

    • Use by INHCC  Groups

    • Distributing Earned Building Income

    • Use & Lease by Non-INHCC  Groups

    • Co-sponsor Contracts

    • Using and Leasing Non-INHCC  Real Estate

    • Acquiring & Disposing of INHCC  Real Estate

    • Real Estate Transactions

  5. Loss Prevention

Section 11 - Tax Administration

  1. General Information

Section 12 - Budgeting

  1. General Information

  2. Budget Preparation

    • Flexible

    • Funding

    • Capital Modeling

    • Cash Flow Modeling

    • Zero-Based 

  3. Budgeting for Non-Sponsored Funds

  4. Budget Oversight for Non-Sponsored Funds

  5. Allocating Temporary Investment Pool Income

  6. Budgeting for Capital Improvements

  7. Submitting a Project for the Capital Budget

Section 13 - Financial Reporting

  1. General Information

  2. Reporting for External Agents

  3. Reporting for Internal Management

  4. Financial Statements

    • Unrestricted Funds

    • Restricted Funds

    • Statement of Revenues and Expenses

    • Statement of Changes in Financial Balance

    • Statement of Changes in Fund Balance

  5. Accounting for adjustments in currency

  6. External audits

Section 14 - Managerial Accounting

  1. General Information

  2. Product or Service Costing

    • Methods of Costing

    • Product Costing

  3. Cost Variance Analysis

  4. Ratio Analysis

  5. Forecasting

  6. Simulation

Section 14 - Information Technologies

  1. General Information

  2. Administrative Systems Security

  3. Financial Data & System (INHCC) Security

    • Requesting Access

    • Termination or Change of Department

    • Completing a Leave of Absence Contract

    • Responding to Security Breaches and Violations

Section 15 - Miscellaneous

  1. General Information  

  2. Accepting and Managing Gifts

    • Soliciting Gifts  

    • Processing Gifts

    • Requesting Checks from the Foundations  

    • Using Gifts  

    • Monitoring Gifts

  3. Hospitality & Special Expenses

    • Documenting Hospitality and Special Expenses

    • Purchasing Alcohol with INHCC Funds

Section 16 - Auditing

  1. General Information

  2. External Auditing

  3. Internal Auditing

Section 17 - Regulation and Legal Issues

  1. General Information 

Section 18 - Forms

  1. General Information

  2. Creating & Revising INHCC Forms

  3. Submitting a Customized Form for Approval

 

Appendices

  • Appendix A - List of INHCC Reports

  • Appendix B - List of Responsibilities

  • Appendix C - Existing Information

  • Appendix D - List of INHCC Forms

  • Appendix E - Training Information

  • Appendix F - Annual Calendar, Budget and Planning Calendar Year 20 and 96

  • Appendix G - Glossary

  • Appendix H - Developing INHCC -Wide Policy & Procedures

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