Internal Controls Questionnaire
                                                                                                                                                          
Office of the University Comptroller
P.O. Box 400194
Carruthers Hall
Charlottesville, VA 22904-4194
fax: 434-982-2315
 
ID:        
User Name:   Receipt Date:    
         
Department Name:    
Department Address:    
         
Contact Person:        
Contact Phone:        
Contact Email:  @virginia.edu    
         
Oracle Org. #:        
         
Yes No  
Corrective Action Schedules will be submitted.
 
 Department Head's Name:  
 
 Department Head's Email:  @virginia.edu
 
Yes No  
Department Head Signed ICQ
 
 
Section 1: Basic Financial Management
       
Yes
 No
 N/A
 1.1 As department head, I have read University Financial Policy FIN-021 on internal controls and I understand my responsibility for ensuring that business activities of my unit are conducted in a manner consistent with good internal control, such as maintaining the separation of duties, and in accordance with applicable Federal, State, and University regulations.
Yes
 No
 N/A
 1.2 Employees assigned to the department's fiscal and administrative duties have received the necessary training to satisfactorily accomplish their assigned duties, including attending all appropriate classes for the Integrated System and the Business Professionals Development Program (BPDP).
Yes
 No
 N/A
 1.3 Employees assigned to the department's fiscal and administrative duties are adhering to the responsibilities stated in the Integrated System Responsibility Acknowledgment and Agreement.
Yes
 No
 N/A
 1.4 Employees assigned to the department's fiscal and administrative duties have access to, and refer to, the following University reference materials, as appropriate. All appropriate personnel are aware of these resources and periodically review them for changes.
Yes
 No
 N/A
 1.5 The department provides appropriate cross-training and internal procedures documentation so that all critical job duties can be performed in the absence of key individuals.
Yes
 No
 N/A
 1.6 The department reviews and reconciles the Integrated System activity reports to departmental records by the 15th calendar day of each month, in compliance with University Policy FIN-023. If "No," the department must submit an alternate schedule based on criteria detailed in University Policy FIN-023 to request approval by the University Comptroller and the Chief Audit Executive.
Yes
 No
 N/A
 1.7 Someone with knowledge of and responsibility for a project or award, other than the preparer, reviews and signs any reconciliation on a timely basis (by the 15th calendar day, unless on an approved alternate schedule) as required in the University Policies FIN-021 and FIN-023.
Yes
 No
 N/A
 1.8 Employees assigned to the department's fiscal and administrative duties know to immediately report any suspected fraudulent transaction to BOTH the University Police and the University Audit Department as required in University Policy GOV-002.
Yes
 No
 N/A
 1.9 Employees assigned to the department's fiscal and administrative duties know to immediately report any loss or occurrence that could be filed as an insurance claim to the Office of Risk Management as required in University Policy FIN-006.
Yes
 No
 N/A
 1.10 Employees assigned to the department's fiscal and administrative duties that prepare or execute contracts in the name of the University are familiar with, and adhere to, the provisions in University Policy FIN-036.
Yes
 No
 N/A
 1.11 Upon receipt of a request for University records or information from an outside source, employees assigned to the department's fiscal and administrative duties know to notify the office of Office of University Communications and to process the request in accordance with University Policy XV.C.1.
Yes
 No
 N/A
 1.12 Employees assigned to the department's fiscal and administrative duties know to report potential conflict of interest situations to the Assistant Vice President for Finance and University Comptroller in accordance with University Policy XV.A.1.
Yes
 No
 N/A
 1.13 Employees assigned to the department's fiscal and administrative duties know that all on-grounds student fund-raising projects must be approved in writing by the respective dean, department head, or designee as required by University Policy I.H.1.
Yes
 No
 N/A
 1.14 Employees assigned to the department's fiscal and administrative duties know that all services and activities offered on behalf of the University must be consistent with the mission of the University and must not compete unfairly with the private sector as stipulated in University Policy XV.G.3.
Yes
 No
 N/A
 1.15 Employees assigned to the department's fiscal and administrative duties know that any items carrying the University's trademarked logos which are produced and offered for sale must conform to the guidelines and restrictions stipulated in University Policy XV.G.5.
Yes
 No
 N/A
 1.16 The department has a current business continuity plan which has been communicated to its employees and addresses issues such as fire, water damage, etc. A printed copy is filed in the department and a backup copy is kept in an off-site location. See the University's Critical Incident Management Plan.
Yes
 No
 N/A
 1.17 Employees assigned to the department's fiscal and administrative duties are aware of their responsibility to authorize appropriate access privileges to employees, contractors, and others working under their direction or sponsorship and to modify or revoke those privileges when individuals transfer to another job within the University, terminate from the University, or otherwise no longer need these privileges, as stipulated in Human Resources Policies and Procedures, Responsibility of Managers and Other UVa Officials for Access Privileges.
Yes
 No
 N/A
 1.18 The department complies with University Policy FIN-031 regarding prevention, detection, and mitigation of identity theft as well as related guidance on the University website Red Flags Rule Program as necessary, including reporting suspicious activity to the Office of the Comptroller.
 
  
Section 2: Financial Management: Handling of Cash
 
Yes
 No
 N/A
 2.1 All cash receipts (currency or checks) are deposited into a University bank account, as required by the Commonwealth's cash management guidelines and University Policy II.E.4. If no, list bank name and account number in popup window.
Yes
 No
 N/A
 2.2 Responsibility for cash receipts is fixed from the time the funds are received until sent to the bank or taken to the Cashier's Office (i.e., adequate accountability exists--using check logs, cash registers, or pre-numbered receipts--to identify who is responsible for cash at any given time) in accordance with University Policy II.E.4.
Yes
 No
 N/A
 2.3 All checks received by the department are restrictively endorsed immediately after receipt as specified in University Procedures 5-5 and 5-6.
Yes
 No
 N/A
 2.4 Only employees with cashiering responsibilities have access to a secure cash storage container and know that any un-deposited cash items must be properly secured and stored prior to deposit, as required by the Commonwealth's cash management guidelines and University Policies II.E.4 and V.B.1.
Yes
 No
 N/A
 2.5 If receipts are used in departmental cash transactions, voided receipts are maintained and reviewed by someone other than the person collecting cash in accordance with University Policy II.E.4.
Yes
 No
 N/A
 2.6 All employees assigned cashiering duties understand that all cash receipts (currency or checks) must be deposited into a University bank account within 24 hours if greater than $200 or weekly if total receipts are $200 or less as required by the Commonwealth's cash management guidelines and University Policy II.E.4.
Yes
 No
 N/A
 2.7 The department accepts, processes, stores, or transmits payment card data (which includes credit, debit, purchase card or virtual card data) or receives payments from third-party vendors that use these processes:
  Yes
 No
 N/A
 a) All payment card activities have been approved by UVA Payment Card Services, including activities by agreement or contract, with an external vendor or organization that processes payment card data (such as Visa, AMEX, etc.) on the department's behalf. Examples could include organizations that handle application fees, subscription services, ticket sales, conference registration, etc. that remit payments/revenue to the department.
  Yes
 No
 N/A
 b) On-going payment card processes (excluding those managed by an affiliated University foundation) have been issued a merchant number from UVA Payment Card Services as stipulated in the University's Payment Card Requirements.
  Yes
 No
 N/A
 c) All processes and required desktop procedures support and comply with PCI-DSS Standards and the University's Payment Card Requirements. The merchant department has completed the appropriate annual PCI Self-Assessment Questionnaire (SAQ) and University supplements. These are filed annually with UVA Payment Card Services by the stated deadline.
  Yes
 No
 N/A
 d) The department has identified at least one University employee that will serve as the department’s PCI Coordinator. This responsibility is reflected in the employee’s job duties. Current contact information is updated annually.
  Yes
 No
 N/A
 e) Payment card data are securely destroyed immediately after processing or stored for no more than 90 days after receipt in accordance with the PCI Data Security Standards and the University's Payment Card Requirements.
  Yes
 No
 N/A
 f) To prevent tampering, the merchant department physically secures (i.e., locked cabinet, safe, shroud or other authorized means) all devices (i.e., point-of-sale terminals, registers, etc.) involved in the processing, storage, or transmission of payment card data, when University authorized payment card personnel are not present.
  Yes
 No
 N/A
 g) The merchant department annually verifies PCI compliance from third-party providers and confirms that third-party software products are PA-DSS compliant for the version in use. Any notification of PA-DSS non-compliance from a software provider is immediately communicated to the UVA Payment Card Services.
  Yes
 No
 N/A
 h) All personnel (full and part-time employees, student workers, and volunteers) involved in the storing, processing, and transmission (electronically or physically) of payment card data have:
  Yes
 No
 N/A
 2.8 Accountability over cash transactions is ensured by having at least two persons involved in performing the duties of cash collection, accounts receivable record keeping, and account reconciliation, unless an explanation of special circumstances is attached for review and approval by the University Comptroller II.E.4.
 
  
Section 3: Financial Management: Internal Billings
 
Yes
 No
 N/A
 3.1 If the department engages in a revenue generating activity, the activity has been approved by the appropriate Dean or Vice President and then by the University Comptroller in accordance with University Policies XV.G.3 and V.A.1, and an appropriate Sales and Services Award and Project have been established as stipulated in University Procedure 15-70.
Yes
 No
 N/A
 3.2 All such revenues/recoveries only come from other University or Medical Center departments (for recoveries) or external entities (for revenues).
Yes
 No
 N/A
 3.3 All billable services are properly documented, promptly billed at approved rates, on a timeframe required by University Policy V.B.2, and reconciled to receipts on a consistent and timely basis as stipulated in University Policy VI.A.6.
Yes
 No
 N/A
 3.4 All revenue generating activities are managed to operate on a breakeven basis. Rate reviews are submitted to Cost Analysis every two years, or sooner if rates are changed. The rates charged to users are set at a level which will recover all allowable costs. Over/under recoveries from prior years is factored into updated or revised rate calculations.
Yes
 No
 N/A
 3.5 All delinquent accounts are referred to Student Financial Services or Accounting Services for collections efforts as stipulated in University Policy V.B.2.
Yes
 No
 N/A
 3.6 Virginia Sales Tax is collected, reported, and remitted when a sale is subject to the Virginia Sales Tax as described in University Policy V.A.3.
Yes
 No
 N/A
 3.7 If the revenue generating activity generates unrelated business income as described in University Policy XV.G.4, such income is reported to the University's Director of Tax Compliance & Operational Contracts.
 
  
Section 4: Financial Management: Petty Cash
 
Yes
 No
 N/A
 4.1 All petty cash accounts and change funds have been approved and established by Treasury Management as stipulated in University Policies FIN-040 and FIN-042.
Yes
 No
 N/A
 4.2 Petty cash funds (cash and checking accounts) are used ONLY for University transactions as stipulated in University Policies FIN-040 and FIN-041.
Yes
 No
 N/A
 4.3 Petty cash funds (cash and checking accounts) are reimbursed at least every 30 days and at fiscal year-end as stipulated in University Policies FIN-040 and FIN-041.
Yes
 No
 N/A
 4.4 Treasury Management has approved all departmental checking accounts and all other Bank accounts/relationships as stipulated in University Policy FIN-020.
Yes
 No
 N/A
 4.5 Petty cash funds (cash and checking accounts) are reconciled at least monthly as stipulated in University Policies FIN-040 and FIN-041.
Yes
 No
 N/A
 4.6 Change funds (cash drawers) are verified at the end of the day by two different people as stipulated in University Policy FIN-042.
Yes
 No
 N/A
 4.7 Petty cash funds (cash and checking accounts) are stored in a secure physical location with access limited to only the minimum necessary number of authorized employees as stipulated in University Policies FIN-040 and FIN-041.
 
  
Section 5: Financial Management: Procurement
 
Yes
 No
 N/A
 5.1 All expenditures of University funds are reasonable, necessary, directly related to the goals and mission of the University, and in compliance with applicable state, federal, University, and where applicable, donor regulations, as stipulated in University Policies VI.F.1 and VI.F.2, and the department can document and justify its expenditures if necessary.
Yes
 No
 N/A
 5.2 At least two persons are aware of all financial transactions, such as the same person approving the purchase does not also process the receiver, or another compensating control, as stipulated in University Policy FIN-038.
Yes
 No
 N/A
 5.3 Receiving information is recorded in the University's Integrated System, in a timely manner, for the amount of the goods/services actually received, as stipulated in University Policy VI.H.1.
Yes
 No
 N/A
 5.4 The department maintains sufficient documentation to support charges to its projects as stipulated in University Policy II.B.2.
Yes
 No
 N/A
 5.5 If the department uses the University Procurement Card, cardholders and their supervisors and/or reviewers of cardholder documentation have met the requirement for annual purchasing card training.
Yes
 No
 N/A
 5.6 If the department uses the University Procurement Card, receipts are kept as an auditable record of purchases made and the card's statements are reconciled monthly as stipulated in University Policy VII.C.3.
Yes
 No
 N/A
 5.7 If the department uses the University Procurement Card, the supervisors and/or authorizers of all UVA purchasing cardholders conduct an annual review of cardholder limits and document the analysis, in writing for audit review, and provide any necessary changes in limits to the UVA Purchasing Card Administrator.
Yes
 No
 N/A
 5.8 Employees assigned to the department's fiscal and administrative duties know that vendor refunds and other credits received in the department must be taken to the University Cashier's Office to be processed as an Expenditure Credit as stipulated in University Policy V.B.3.
Yes
 No
 N/A
 5.9 Long distance phone bills are reviewed monthly by the owner of the Forced Authorization Code, and approved by their supervisor, to identify and resolve erroneous long distance charges as stipulated in University Policy IRM-005.
Yes
 No
 N/A
 5.10 Transactions placed in OTPS Suspense are redistributed to the correct PTA combination on a monthly basis.
Yes
 No
 N/A
 5.11 Employees assigned to the department's fiscal and administrative duties know that someone with knowledge of, and responsibility for, approving reimbursements to employees (including University sponsored travel) is signing off on all reimbursements, and is ensuring that expenses paid by an external entity have been received and reimbursement requests have been appropriately adjusted for expenditures covered by external entities, including University foundations, as stipulated in University Policy VI.G.1.
 
  
Section 6: Financial Management: Gifts
 
Yes
 No
 N/A
 6.1 Employees assigned to the department's fiscal and administrative duties know to promptly notify the Office of University Development when gifts are received, as stipulated in University Policy IX.A.2. This includes non-cash gifts, such as stocks, as stipulated in University Policy FIN-018, or works of art, as stipluated in University Policy X.E.2. 
Yes
 No
 N/A
 6.2 Employees assigned to the department's fiscal and administrative duties know to promptly notify the Office of University Development and the University Investment Management Company (UVIMCO) when gifts of securities are received as stipulated in University Policy FIN-018.
 
  
Section 7: Financial Management: Tax
 
Yes
 No
 N/A
 7.1 Employees awarding scholarships and fellowships are aware of their responsibility to complete the "Fellowship Disclosure Form/Questionnaire" required in University Policy IV.G.3.
Yes
 No
 N/A
 7.2 Employees awarding scholarships and fellowships are aware of their responsibility to inform award recipients of possible tax implications related to those awards as stipulated in University Policy IV.G.3.
Yes
 No
 N/A
 7.3 If the department has revenues from a revenue generating activity from outside (non-UVA) sources, the activity has been reviewed by the University's Director of Tax Compliance & Operational Contracts as specified in University Policy V.A.1.
Yes
 No
 N/A
 7.4 Employees assigned to posting revenue amounts have examined the source of the revenue to determine if the revenue is being generated from outside (non-UVA) sources as specified in University Policy V.A.1.
Yes
 No
 N/A
 7.5 If the department had unrelated business income tax allocated to them in past years, the current year's unrelated business income source has been examined and a summary been given to the University's Director of Tax Compliance & Operational Contracts.
Yes
 No
 N/A
 7.6 Virginia Sales Tax has been paid or submitted to Accounting Services on goods purchased by the University only when:
  • Goods are purchased for non-University use, whether or not University funds are used,
  • Employee purchases of meals or lodging, whether or not on official purchase orders, and
  • The purchase of tangible personal property to be sold through vending machines.
Yes
 No
 N/A
 7.7 Payments made to persons, partnerships, and LLCs (Limited Liability Companies) for services performed in excess of $600 (including payments made from petty cash) for any calendar year have been reported to Procurement and Supplier Diversity Services for possible issuances of an IRS Form 1099. Payments may include honoraria, payments for human subjects, gifts, etc.
Yes
 No
 N/A
 7.8 All new management contracts, leases, and revenue generating activities are reviewed for potential tax consequences to debt issued by or for the University.
Yes
 No
 N/A
 7.9 All new corporate sponsorship contracts are submitted for review to the University's Director of Tax Compliance & Operational Contracts for potential unrelated business income tax consequences.
 
  
Section 8: Financial Management: Sponsored Programs
 
Yes
 No
 N/A
 8.1 Employees responsible for the review and certification of effort reports understand their roles in the process in accordance with University Policies FIN-027 and FIN-028 as well as University Procedure 8-31.
Yes
 No
 N/A
 8.2 Employees responsible for the direct costing decisons and management of Federal and Federal flow-through sponsored programs understand proper cost accounting (consistency, allocation, allowability, and reasonableness) in accordance with the University Policy VIII.C.1A and the Cost Accounting Standards Guidelines.
Yes
 No
 N/A
 8.3 Employees responsible for the review and/or approval of sponsored project expenditures on a monthly basis understand their roles in the process and comply with University Procedure 1-4A.
Yes
 No
 N/A
 8.4 Employees responsible for the fiscal administration of sponsored programs understand how to properly address project deficits in accordance with University Policy FIN-003 and Procedure 8-30.
Yes
 No
 N/A
 8.5 Employees responsible for the fiscal administration of sponsored programs understand how to properly process cost transfers and labor distribution adjustments in accordance with University Procedures 8-20, 8-21, and 8-22 as well as following OSP guidance on the entry of adequate comments in labor distribution workflow for subsequent review and final action by OSP.
Yes
 No
 N/A
 8.6 Employees responsible for the management of sponsored funds from the National Science Foundation (NSF) and any flow-though sponsoring entities awarding NSF funding understand the restrictions, use and management of Participant Support costs in accordance with University Procedure 8-24.
Yes
 No
 N/A
 8.7 Employees responsible for the management of sponsored funds from the National Science Foundation (NSF) and any flow-through sponsoring entities awarding NSF funding understand the 2 month salary limitation for senior personnel over a one year period as outlined here and in accordance with NSF policy.
Yes
 No
 N/A
 8.8 Employees responsible for the management of sponsored funds from the National Institutes of Health (NIH) and any flow-through sponsoring entities awarding NIH funding understand the application of the sponsor imposed cap on direct support of salary from the NIH and apply this understanding in the budgeting, scheduling and charging of these costs in accordance with University Procedure 8-31 as well as OSP guidance on implementing the newest NIH/DHHS cap.
Yes
 No
 N/A
 8.9 Employees responsible for the management of sponsored funds from the National Institutes of Health (NIH) and any flow-through sponsoring entities awarding NIH funding understand the definition of Research Patient Care Costs and apply this understanding in the budgeting and charging of such costs in accordance with the NIH Policy Statement, Part II, Subpart B, Section 19, at Definitions - Research Patient Care Costs.
Yes
 No
 N/A
 8.10 Employees working with sponsored program activities understand and manage all related documents and records in accordance with the Records Management Policy at University Policy IRM-017.
Yes
 No
 N/A
 8.11 Employees responsible for review, completion, or sign-off of the Internal Proposal Approval Form (Goldenrod) are doing so with due diligence in their approach and response to the questions asked with an understanding of impacts on Research Administration compliance.
Yes
 No
 N/A
 8.12 Employees engaged in or in support of: 1) international shipments of materials, 2) international travel, and/or 3) collaborative research with international entities have read and understand University Policy FIN-043 on 'Managing Exports of Controlled Technology to Foreign Persons and Destinations in Support of Research and Scholarship.'
 
  
Section 9: Financial Management: Asset Management
 
Yes
 No
 N/A
 9.1 The department's resources (personnel, space, and equipment both on and off grounds) are used solely to promote the University's primary mission as stipulated in University Policies XV.G.1 and PRM-011.
Yes
 No
 N/A
 9.2 Employees assigned to the department's fiscal and administrative duties know to dispose of surplus property through Procurement and Supplier Diversity Services as stipulated in University Policy X.F.1. Electronic devices or media are being surplused as stipulated in University Policy IRM-004 and by Surplus Property Procedures.
Yes
 No
 N/A
 9.3 Each Chair, Dean, Principle Investigator, and those employees assigned to the department's fiscal and administrative duties are aware that they must notify the Fixed Assets Accounting Group within Financial Administration when capital equipment is obtained without using a purchase order (i.e. sponsoring agency furnishes equipment on loan), or equipment is permanently transferred (e.g. location changes or employee departs), or equipment is disposed of or retired as stipulated in University Policy X.A.1.
Yes
 No
 N/A
 9.4 Employees who have been given the authority to make or place purchases (via requisitions/purchase orders/procurement card/credit card/etc.) have received the required Procurement and Supplier Diversity Services training for processing these transactions. In addition, these employees understand the proper use of expenditure types (i.e. capital equipment threshold is $5000 per item for "Eq-Capital XXX" expenditure types for non-ETF items), and that capital equipment items should not be purchased on P-cards/credit cards, as stipulated in University Policy X.A.1 and listed on the Procurement and Supplier Diversity Services website.
Yes
 No
 N/A
 9.5 Each Chair, Dean, and Primary Investigator recognizes their responsibilities and accountability over University-owned capital equipment or sponsor-owned equipment within their respective organizations. This includes submitting an approved P-1 form which documents any permanent equipment disposition to enable the Fixed Assets Accounting Group's Fixed Assets Module to be accurately maintained. This also includes providing timely support for periodic inventories performed by the Fixed Assets Accounting Group as stipulated in University Policy VIII.E.4, including locating any and all missing equipment in an expeditious manner.
Yes
 No
 N/A
 9.6 Each Chair, Dean, and Primary Investigator understands there may be general or specific restrictions on their awards/grants/contracts requiring them to first seek Office of Sponsored Programs (OSP) review/approval before transferring equipment to another institution as stipulated in University Policies VIII.E.1 and VIII.E.5. In addition, the department understands it must process the required P1 Request form through the Fixed Assets Accounting group BEFORE transferring equipment as stipulated in University Policy X.A.2 along with completing a Surplus request form as stipulated in University Policy X.F.1.
Yes
 No
 N/A
 9.7 Assets belonging to the department are properly safeguarded, with access restricted only to those properly authorized, as stipulated in University Policy I.A.1.
Yes
 No
 N/A
 9.8 Each Chair, Dean, and Primary Investigator establishes and documents their organization's internal control procedures over capital (i.e. "tagged") equipment to ensure that they know the location of each piece of equipment, and eliminate any potential "Missing" or otherwise unaccounted for equipment as stipulated in University Policy VIII.E.4.
 
  
Section 10: Decorative Art
 
Yes
 No
 N/A
 10.1 If the department owns or houses any fine or decorative art items (paintings, sculptures, antiques, etc.), employees assigned to the department's fiscal and administrative duties are aware of their responsibilities under University Policy X.E.2, including maintaining a current inventory listing of any fine or decorative art items and their location (building, floor, room).
Yes
 No
 N/A
 10.2 Employees assigned to the department's fiscal and administrative duties are aware that when gifts/donations of fine or decorative art items are received, a deed of gift is executed with the donor through the Development Office, as stipulated in University Policy IX.A.4.
 
  
Section 11: Personnel Management
 
Yes
 No
 N/A
 11.1 The duties of adding new employees to the payroll and of approving new hires are assigned to different employees.
Yes
 No
 N/A
 11.2 Employees assigned to the department's fiscal and administrative duties are aware of and adhere to University (or Medical Center Payroll) policies on earning and using leave as stipulated in the University's Human Resources Policy on leave.
Yes
 No
 N/A
 11.3 Employees assigned to the department's fiscal and administrative duties are aware of and adhere to University policy governing hours of work, overtime hours, Fair Labor Standards Act, and compensatory leave.
Yes
 No
 N/A
 11.4 Employees assigned to the department's fiscal and administrative duties are aware of their responsibility to closely monitor their workers and record hourly and overtime hours in accordance with published schedules, so as to produce an accurate payroll, as stipulated in the University's Human Resources Policy on departmental responsibilities for payroll.
Yes
 No
 N/A
 11.5 Payroll encumbrance reports are reviewed monthly to ensure salary and overtime rates are correct in accordance with University Policies FIN-021 and FIN-023.
Yes
 No
 N/A
 11.6 Transactions placed in Labor Suspense are redistributed to the correct PTA combination at least monthly.
 
  
Section 12: Security and Records Management
 
Yes
 No
 N/A
 12.1 The department has obtained the proper approvals for the installation of any surveillance cameras as stipulated in University Policy XI.E.1.
Yes
 No
 N/A
 12.2 Employees are aware that all public records must be retained and/or destroyed in accordance with Federal and State requirements and University Policies IRM-017 and IRM-004, and are familiar with the services provided by the University Records Management Office.
Yes
 No
 N/A
 12.3 The department disposes of surplus software and its documentation in accordance with the license agreement, as stipulated in University Policy IRM-004. (Note: software upgrades are an extension of the original license and must be treated accordingly.)
Yes
 No
 N/A
 12.4 The department completes the process outlined in the University's Information Technology Security Risk Management Program at least once every three years, when there are significant changes to departmental IT assets or when there are significant changes to the risk environment, as stipulated in University Policy IRM-003.
Yes
 No
 N/A
 12.5 Department faculty and staff understand that they must immediately report actual or suspected information security incidents to the Information Security, Policy, and Records Office as required by University Policy IRM-012.
Yes
 No
 N/A
 12.6 Department faculty and staff understand that University Policy IRM-015: a) strictly limits the circumstances under which highly sensitive data may be stored on their electronic devices and electronic media; b) it is their responsibility to determine if they have highly sensitive data on their device(s) and media and, if so, to ensure compliance with requirements listed in the policy; and c) failure to comply with requirements of the policy will result in disciplinary action up to and including termination.
 
  
Section 13: Data Collection
 
List All Petty Cash, Change Funds, and Checking Accounts
 
Type Amount Custodian Date Last Reimbursed Checking Account Number
 Petty Cash          N/A
 Change       N/A N/A
 Checking            
 
Departmental Cash Accounts and Amounts
For revenue projects where cash (defined as currency or checks) is received directly
in the department, please list those projects and annual dollar amounts received
over the last fiscal year.
 
Entity Project Fund Source Object Organization Approx. Annual Dollar Amt.
        Total:  
 
 
List Organizations That Collect Money on Your Behalf
and Remit Revenue to the Department
If you use other organizations or third party vendors, such as Pay-Pal, to collect
money on your behalf and remit revenue to the Department, please list them here.
 
 Organization Name Estimated Annual Revenue
 
 
List All Accounts with University Affiliated Foundations
 
Foundation Name Account Numbers and Name
     
     
     
     
     
     
     
     
     
     
 
Personnel

List the names of the departmental personnel assigned responsibility for the following areas:
Note: Place N/A in all three table cells of any row that does NOT apply to your Org(s).
 
Area Name(s) Phone Email
(prefix only)
      Payroll         
      Leave         
      Property         
      Fine or Decorative Art         
      Fiscal Responsibilities         
      Internal Controls Questionnaire
      Completion		         
 
 
Oracle Organizations
If this is a consolidated questionnaire for several Oracle Organizations within your department, please identify those organizations in the spaces below (Org. # only!).
 
Org. # Org. # Org. # Org. # Org. # Org. # Org. # Org. #