FY12

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					D0004/05/58/71/72                                            Academic Affairs/Provost
                                                            FY2012 Baseline Standards

                                                                                         Responsible Person(s) (Name/Title)
            Description of Responsibility                                        Primary (Required)             Secondary (Optional)
DEPARTMENTAL POLICIES & PROCEDURES / BASELINE
STANDARDS
   1    Ensuring the Departmental Policy and Procedures manual is              Elaine Pearson, Division       Kevin Dorsey, Financial Asst II
        current.                                                                   Administrator III
   2    Updating the Department Responsibility Matrix.                         Elaine Pearson, Division       Kevin Dorsey, Financial Asst II
                                                                                   Administrator III
FINANCIAL REPORTING - COST CENTER VERIFICATIONS
  1  Preparing cost center verifications.                                   Kevin Dorsey, Financial Asst II
  2  Reviewing cost center verifications.                                     Elaine Pearson, Division
                                                                                  Administrator III
   3    Approving cost center verifications.                                  Elaine Pearson, Division
                                                                                  Administrator III
   4    Ensuring all cost centers are verified on a timely basis.             Elaine Pearson, Division
                                                                                  Administrator III
FINANCIAL REPORTING - EXPENDITURE TRANSACTIONS
  1  Ensuring valid authorization of purchase documents.                     Laura Dillard, Admin Asst II     Kevin Dorsey, Financial Asst II
  2  Ensuring the validity of travel and expense reimbursements.             Laura Dillard, Admin Asst II     Kevin Dorsey, Financial Asst II

   3    Ensuring that goods and services are received and that timely        Laura Dillard, Admin Asst II     Kevin Dorsey, Financial Asst II
        payment is made.
   4    Ensuring correct account coding on purchases documents.              Laura Dillard, Admin Asst II     Kevin Dorsey, Financial Asst II

   5    Primary contact for inquiries to expenditure transactions.           Laura Dillard, Admin Asst II     Kevin Dorsey, Financial Asst II

PAYROLL / HUMAN RESOURCES
  1  Reconciling leave records to time and effort reports.                  Kevin Dorsey, Financial Asst II     Elaine Pearson, Division
                                                                                                                    Administrator III
   2    Reconciling leave accruals to the payroll system.                   Kevin Dorsey, Financial Asst II     Elaine Pearson, Division
                                                                                                                    Administrator III
   3    Ensuring all time and effort reports are submitted to Payroll.      Kevin Dorsey, Financial Asst II     Elaine Pearson, Division
                                                                                                                    Administrator III
   4    Reconciling time and effort reports to check registers.             Kevin Dorsey, Financial Asst II     Elaine Pearson, Division
                                                                                                                    Administrator III
   5    Completing termination clearance procedures.                        Kevin Dorsey, Financial Asst II     Elaine Pearson, Division
                                                                                                                    Administrator III
   6    Ensuring terminated employees are no longer charged to              Kevin Dorsey, Financial Asst II     Elaine Pearson, Division
        departmental cost centers.                                                                                  Administrator III
   7    Paycheck distribution.                                                          N/A                               N/A
   8    Maintaining departmental Personnel files                            Kevin Dorsey, Financial Asst II     Elaine Pearson, Division
                                                                                                                    Administrator III
   9    Ensuring valid authorization of new hires.                          Kevin Dorsey, Financial Asst II     Elaine Pearson, Division
                                                                                                                    Administrator III
  10    Ensuring valid authorization of changes in compensation rates.      Kevin Dorsey, Financial Asst II     Elaine Pearson, Division
                                                                                                                    Administrator III
  11    Ensuring the accurate input of changes to the payroll system.       Kevin Dorsey, Financial Asst II     Elaine Pearson, Division
                                                                                                                    Administrator III
  12    Propriety of leave account classification on time records.          Kevin Dorsey, Financial Asst II     Elaine Pearson, Division
                                                                                                                    Administrator III
 13 Consistent and efficient responses to inquiries.                         Laura Dillard, Admin Asst II     Kevin Dorsey, Financial Asst II
CASH HANDLING
  1   Collecting cash, checks, etc.                                          Laura Dillard, Admin Asst II     Kevin Dorsey, Financial Asst II
  2   Reconciling cash, checks, etc. to receipts.                           Kevin Dorsey, Financial Asst II
  3   Preparing deposits.                                                    Laura Dillard, Admin Asst II     Kevin Dorsey, Financial Asst II
  4   Preparing Journal Entries.                                               Elaine Pearson, Division
                                                                                   Administrator III
   5    Verifying deposits to the financial system.                         Kevin Dorsey, Financial Asst II
   6    Adequacy of physical safeguards.                                     Laura Dillard, Admin Asst II     Kevin Dorsey, Financial Asst II
   7    Transporting deposits to Student Financial Services.                 Laura Dillard, Admin Asst II     Kevin Dorsey, Financial Asst II
   8    Ensuring deposits are made timely.                                     Elaine Pearson, Division       Kevin Dorsey, Financial Asst II
                                                                                   Administrator III
     Ensuring “Acknowledgement of Cash Handling Duties” form                 Laura Dillard, Admin Asst II     Kevin Dorsey, Financial Asst II
   9 is completed by all appropriate employees.
  10 Consistent and efficient responses to inquiries.                        Laura Dillard, Admin Asst II     Kevin Dorsey, Financial Asst II
PETTY CASH

11/9/2011                                                                Page 1 of 2
D0004/05/58/71/72                                          Academic Affairs/Provost
                                                          FY2012 Baseline Standards

                                                                                        Responsible Person(s) (Name/Title)
                    Description of Responsibility                               Primary (Required)             Secondary (Optional)
   1    Preparing petty cash disbursements.                                            N/A
   2    Ensuring petty cash disbursements are not for more than $100.                  N/A

   3 Ensuring petty cash disbursements are made for only                                N/A
     authorized purposes.
  4  Approving petty cash disbursements.                                                N/A
  5  Replenishing the petty cash fund timely.                                           N/A
  6  Ensuring the petty cash fund is balanced after each                                N/A
     disbursement.
LONG DISTANCE / CELL PHONE CHARGES
   1 Forwarding employees long distance and cell phone charge              Kevin Dorsey, Financial Asst II      Elaine Pearson, Division
     reports.                                                                                                       Administrator III
  2  Ensuring employees review their long distance and/or cell             Kevin Dorsey, Financial Asst II      Elaine Pearson, Division
     phone charge reports.                                                                                          Administrator III
  3  Ensuring personal calls are reimbursed within 10 days from the        Kevin Dorsey, Financial Asst II      Elaine Pearson, Division
     billing date.                                                                                                  Administrator III
CONTRACT ADMINISTRATION
   1 Ensuring departmental personnel comply with contract                     Elaine Pearson, Division       Kevin Dorsey, Financial Asst II
     administration policies/procedures                                           Administrator III
PROPERTY MANAGEMENT

   1    Performing the annual inventory.                                    Laura Dillard, Admin Asst II     Jackie Trahan, Exec Assistant

   2    Ensuring the annual inventory was completed correctly.              Laura Dillard, Admin Asst II     Jackie Trahan, Exec Assistant

   3    Tagging equipment.                                                    Information Technology

   4    Approving requests for removal of equipment from campus.            Laura Dillard, Admin Asst II     Jackie Trahan, Exec Assistant

DISCLOSURE FORMS
  1   Ensuring all employees with purchasing influence complete a             Elaine Pearson, Division       Kevin Dorsey, Financial Asst II
      Related Party disclosure statement.                                         Administrator III
  2   Ensuring all full time, benefits eligible, exempt staff complete a      Elaine Pearson, Division       Kevin Dorsey, Financial Asst II
      Consulting disclosure statement.                                            Administrator III
  3   Ensuring that all Principal and Co-Principal Investigators              Elaine Pearson, Division       Kevin Dorsey, Financial Asst II
      complete a Conflict of Interest disclosure statement.                       Administrator III
ACCOUNTS RECEIVABLE
  1  Extending of credit.                                                               N/A
  2  Billing.                                                                           N/A
  3  Collection.                                                                        N/A
  4  Recording.                                                                         N/A
  5  Monitoring credit extended.                                                        N/A
  6  Approving write-offs.                                                              N/A
NEGATIVE BALANCES

   1 Ensuring that all fund groups have positive fund equity at year-        Elaine Pearson, Division        Kevin Dorsey, Financial Asst II
     end.                                                                        Administrator III
  2  Ensuring that research expenditures are covered by funds from          Carolyn Ivey, Director, OSP         Elaine Pearson, Division
     sponsors.                                                                                                      Administrator III
DEPARTMENTAL COMPUTING
   1    Management of the departments’ information technology               Lucy Bowen, MIS Manager
        resources.
   2    Ensuring that critical data back up occurs.                         Lucy Bowen, MIS Manager
   3    Ensuring that procedures such as password controls are              Lucy Bowen, MIS Manager
        followed.
   4    Reporting of suspected security violations.                                   All Staff




11/9/2011                                                             Page 2 of 2

				
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