Risk Management Compliance and Environmental Health Safety - D0029 Baseline Standards FY 2016
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1 DEPARTMENTAL POLICIES & PROCEDURES / BASELINE STANDARDS 1 Ensuring the Departmental Policy and Procedures manual is current. 2 Updating the Form. FINANCIAL REPORTING - COST CENTER VERIFICATIONS 1 Preparing cost center verifications. 2 Reviewing cost center verifications. 3 Approving cost center verifications. 4 Ensuring all cost centers are verified/approved on a timely basis. FINANCIAL REPORTING - EXPENDITURE TRANSACTIONS 1 Ensuring valid authorization of purchase documents. 2 Ensuring the validity of travel and expense reimbursements. 3 Ensuring that goods and services are received and that timely payment is made. 4 Ensuring correct account coding on purchases documents. 5 Primary contact for inquiries to expenditure transactions. 6 Ensuring access and use of P-Cards and T-Cards are secure. 7 Ensuring P-Card transactions are adequately documented and benefit the university. 8 Ensuring T-Card transactions are adequately documented and benefit the university. PAYROLL / HUMAN RESOURCES Business Administrator 1 Ensuring all bi-weekly reported time and leave are approved before the deadlines set by Payroll, so that the correct hours are recorded and paid on each bi-weekly paycheck. 2 Ensuring all monthly leave is recorded accurately and approved before the deadlines set by Payroll. 3 Ensuring all TRAM high level exceptions are corrected in a timely manner prior to Payroll deadlines. 4 Ensuring all Time Reporters (new employees and transfers) are assigned to Time Approvers in TRAM. 5 Reconciling approved reported time and leave (bi-weekly & monthly employees) and epars (biweekly & monthly employees) to the trial and final payroll verification reports and off-cycle payrolls. 6 Completing termination epar's within 24 hours of termination. 7 Verifying that the eterminatiion Checklist is completed by all required departments no more than two weeks after termination. 1 of 5
2 8 Ensuring terminated employees are no longer charged to departmental cost centers. 9 Maintaining departmental personnel files. 10 Consistent and efficient responses to inquiries. 11 Hire epar's should be processed prior to start date. 2 of 5
3 CASH HANDLING 1 Collecting cash, checks, etc. 2 Reconciling cash, checks, etc. to receipts. 3 Preparing deposits. 4 Preparing Journal Entries. 5 Verifying deposits posted correctly in the Finance System. 6 Adequacy of physical safeguards of cash receipts and equivalent. 7 Secure deposits via UHDPS to Student Financial Services. 8 Ensuring deposits are made timely. 9 Ensuring all employees who handle cash have completed Cash Security Procedures or Cash Deposit and Security Procedures training. 10 Updating Cash Handling Procedures as needed. 11 Distribution of Cash Handling Procedures to employees who handle cash. 12 Consistent and efficient responses to inquiries. 13 Ensuring all employees who complete or approve credit card journals have completed the Credit Card Accounting training. 14 Ensuring all access and use of credit card information is secure. PETTY CASH / CHANGE FUNDS 1 Submitting Annual Reauthorization for Petty Cash/Change Funds. 2 Preparing petty cash disbursements. 3 Ensuring petty cash disbursements are not for more than $ Ensuring petty cash disbursements are made for only authorized purposes. 5 Approving petty cash disbursements. 6 Replenishing the petty cash fund timely. 7 Ensuring the petty cash fund is balanced after each disbursement. 8 Ensuring the change fund is balanced daily, weekly or monthly. CONTRACT ADMINISTRATION 1 Ensuring departmental personnel comply with contract administration policies/procedures. PROPERTY MANAGEMENT 1 Performing the annual inventory. 2 Ensuring the annual inventory was completed correctly. 3 of 5
4 3 Tagging equipment. IT/Property Management 4 Approving requests for removal of equipment from campus. David Bradley, VP for Administration & Finance 4 of 5
5 DISCLOSURE FORMS 1 Ensuring all employees with purchasing influence complete the annual Related Party disclosure statement online. 2 Ensuring all full time, benefits eligible, exempt faculty and staff complete the Consulting disclosure statement online. 3 Ensuring that all Principal and Co-Principal Investigators complete the annual Conflict of Interest disclosure statement for the Division of Research. ACCOUNTS RECEIVABLE 1 Extending of credit. 2 Billing. 3 Collection. 4 Recording. 5 Monitoring credit extended. 6 Approving write-offs. NEGATIVE BALANCES 1 Ensuring that all fund groups for each Dept ID have positive fund equity at year-end. 2 Ensuring that research expenditures are covered by funds from sponsors. DEPARTMENTAL COMPUTING 1 Management of the departments information technology resources. Information Technology Information Technology 2 Ensuring that critical data back up occurs. Information Technology Information Technology 3 Ensuring that procedures such as password controls are followed. All Staff All Staff 4 Reporting of suspected security violations. All Staff All Staff 5 of 5
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