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									                                                             FY10 Baseline Standards
                                                                Dean of Students

                                                                         Responsible Person(s) (Name/Title)
Description of Responsibility                                                    Primary (Required)                      Secondary (Optional)
DEPARTMENTAL POLICIES & PROCEDURES / BASELINE
   1    Ensuring the Departmental Policy and Procedures manual is        Dr. Noel Clarke/Business Administrator       Fern Burgett/ Asst. Business
        current.                                                                                                            Administrator
   2    Updating the Baseline Standards Form.                                Dee Ann Canfield, Financial Coord
FINANCIAL REPORTING - COST CENTER VERIFICATIONS
   1    Preparing cost center verifications.                              Lily Yao / Financial Coordinator UC
   2    Reviewing cost center verifications.                             Dr. Noel Clarke/Business Administrator       Fern Burgett/ Asst. Business
                                                                                                                            Administrator
   3    Approving cost center verifications.                             Dr. Noel Clarke/Business Administrator       Fern Burgett/ Asst. Business
                                                                                                                            Administrator
   4  Ensuring all cost centers are verified/approved on a timely        Dr. Noel Clarke/Business Administrator       Fern Burgett/ Asst. Business
      basis.                                                                                                                Administrator
FINANCIAL REPORTING - EXPENDITURE TRANSACTIONS
   1  Ensuring valid authorization of purchase documents.                  Chris Herin / Financial Coordinator        Fern Burgett/ Asst. Business
                                                                          Dee Ann Canfield/Office Coordinator               Administrator
   2    Ensuring the validity of travel and expense reimbursements.        Chris Herin / Financial Coordinator        Fern Burgett/ Asst. Business
                                                                          Dee Ann Canfield/Office Coordinator               Administrator
   3    Ensuring that goods and services are received and that timely      Dee Ann Canfield, Financial Coord
        payment is made.
   4    Ensuring correct account coding on purchases documents.              Dee Ann Canfield, Financial Coord           Chris Herrin/Financial
                                                                                                                           Coordinator-UC
   5    Primary contact for inquiries to expenditure transactions.           Dee Ann Canfield, Financial Coord           Chris Herrin/Financial
                                                                                                                           Coordinator-UC
PAYROLL / HUMAN RESOURCES
  1  Reconciling leave records to time and effort reports.                   Dee Ann Canfield, Financial Coord
  2  Reconciling leave accruals to the payroll system.                       Dee Ann Canfield, Financial Coord
  3  Ensuring all time and effort reports are submitted to Payroll.          Dee Ann Canfield, Financial Coord           Chris Herrin/Financial
                                                                                                                           Coordinator-UC
   4    Reconciling time and effort reports to check registers.              Dee Ann Canfield, Financial Coord           Chris Herrin/Financial
                                                                                                                           Coordinator UC
                                                                                                                           Coordinator-UC
   5    Completing termination clearance procedures.                         Dee Ann Canfield, Financial Coord
   6    Ensuring terminated employees are no longer charged to               Dee Ann Canfield, Financial Coord
        departmental cost centers.
   7    Paycheck distribution.                                               Dee Ann Canfield, Financial Coord      LaDonna Hogan, Secretary 1, UC
                                                                                                                        Administration Office
   8    Maintaining departmental Personnel files                             Dee Ann Canfield, Financial Coord
   9    Ensuring valid authorization of new hires.                           Dee Ann Canfield, Financial Coord
  10    Ensuring valid authorization of changes in compensation rates.       Dee Ann Canfield, Financial Coord

  11    Ensuring the accurate input of changes to the payroll system.        Dee Ann Canfield, Financial Coord           Chris Herrin/Financial
                                                                                                                           Coordinator-UC
  12    Propriety of leave account classification on time records.           Dee Ann Canfield, Financial Coord           Chris Herrin/Financial
                                                                                                                           Coordinator-UC
  13    Consistent and efficient responses to inquiries.                     Dee Ann Canfield, Financial Coord           Chris Herrin/Financial
                                                                                                                           Coordinator-UC
CASH HANDLING
  1   Collecting cash, checks, etc.                                              Tiffany Brailey/Fin Asst 11               Student Assistants
                                                                                     Student Employees
   2    Reconciling cash, checks, etc. to receipts.                              Tiffany Brailey/Fin Asst 11        Stella Myles, Financial Assistant
                                                                                     Student Employees                              II
   3    Preparing deposits.                                                  Stella Myles, Financial Assistant II         Chris Herrin/Financial
                                                                                                                            Coordinator-UC



                                                                         1
                                                               FY10 Baseline Standards
                                                                  Dean of Students

                                                                         Responsible Person(s) (Name/Title)
Description of Responsibility                                                     Primary (Required)                   Secondary (Optional)
  4     Preparing Journal Entries.                                         Stella Myles, Financial Assistant II        Chris Herrin/Financial
                                                                                                                          Coordinator-UC
   5    Verifying deposits to the financial system.                       Chris Herrin, Financial Coordinator-UC      Rosa Flugence, Financial
                                                                                                                         Coordinator CBO 1
   6    Adequacy of physical safeguards.                                  Chris Herrin, Financial Coordinator-UC      Rosa Flugence, Financial
                                                                                                                         Coordinator CBO 1
   7    Transporting deposits to Student Financial Services.                             UH Police                           UH Police
   8    Ensuring deposits are made timely.                                Chris Herrin, Financial Coordinator-UC      Rosa Flugence, Financial
                                                                                                                         Coordinator CBO 1
        Ensuring “Acknowledgement of Cash Handling Duties” form is Dr. Noel Clarke/Business Administrator          Fern Burgett/Assistant Business
   9    completed by all appropriate employees.                                                                            Administrator
        Uudating Cash Handling Procedures as needed                Diane Murphy, Assist VP for Student                Dr. Noel Clarke/Business
  10                                                               Affairs Admin                                           Administrator
        Consistent and efficient responses to inquiries.             Dee Ann Canfield, Financial Coord                 Chris Herrin/Financial
  11                                                                                                                      Coordinator-UC
PETTY CASH
  1   Preparing petty cash disbursements.                                                  N/A                                  N/A
  2   Ensuring petty cash disbursements are not for more than $100.                        N/A                                  N/A

   3  Ensuring petty cash disbursements are made for only authorized                       N/A                                  N/A
      purposes.
  4   Approving petty cash disbursements.                                                  N/A                                  N/A
  5   Replenishing the petty cash fund timely.                                             N/A                                  N/A
  6   Ensuring the petty cash fund is balanced after each                                  N/A                                  N/A
      disbursement.
LONG DISTANCE / CELL PHONE CHARGES
  1   Forwarding employees long distance and cell phone charge               Dee Ann Canfield, Financial Coord
      reports.
  2   Ensuring employees review their long distance and/or cell              Dee Ann Canfield, Financial Coord
                    reports
      phone charge reports.
  3   Ensuring personal calls are reimbursed within 10 days from the         Dee Ann Canfield, Financial Coord
      billing date.
CONTRACT ADMINISTRATION
  1   Ensuring departmental personnel comply with contract                                 N/A                                  N/A
      administration policies/procedures.
PROPERTY MANAGEMENT
  1   Performing the annual inventory.                                       Dee Ann Canfield, Financial Coord
  2   Ensuring the annual inventory was completed correctly.                 Dee Ann Canfield, Financial Coord
  3   Tagging equipment.                                                     Dee Ann Canfield, Financial Coord
  4   Approving requests for removal of equipment from campus.               Dee Ann Canfield, Financial Coord

DISCLOSURE FORMS
   1  Ensuring all employees with purchasing influence complete a        Dr. Noel Clarke/Business Administrator        Chris Herrin/Financial
      Related Party disclosure statement.                                                                                Coordinator-UC
   2  Ensuring all full time, benefits eligible, exempt staff complete a Dr. Noel Clarke/Business Administrator        Chris Herrin/Financial
      Consulting disclosure statement.                                                                                   Coordinator-UC
   3  Ensuring that all Principal and Co-Principal Investigators         Dr. Noel Clarke/Business Administrator        Chris Herrin/Financial
      complete a Conflict of Interest disclosure statement.                                                              Coordinator-UC
ACCOUNTS RECEIVABLE
   1  Extending of credit.                                                                N/A                                   N/A
   2  Billing.                                                                            N/A                                   N/A
   3  Collection.                                                                         N/A                                   N/A
   4  Recording.                                                                          N/A                                   N/A


                                                                         2
                                                           FY10 Baseline Standards
                                                              Dean of Students

                                                                         Responsible Person(s) (Name/Title)
Description of Responsibility                                                     Primary (Required)                 Secondary (Optional)
  5     Monitoring credit extended.                                                       N/A                               N/A
  6     Approving write-offs.                                                             N/A                               N/A
NEGATIVE BALANCES
  1     Ensuring that all fund groups have positive fund equity at year- Dr. Noel Clarke/Business Administrator   Dee Ann Canfield/Financial
        end.                                                                                                            Coordinator
  2     Ensuring that research expenditures are covered by funds from                    None                               N/A
        sponsors.
DEPARTMENTAL COMPUTING
  1     Management of the departments’ information technology               Sam Nguyen/Technology Support
        resources.                                                                      Manager
  2     Ensuring that critical data back up occurs.                         Sam Nguyen/Technology Support         Le Nguyen, Web Developer 3
                                                                                        Manager
  3     Ensuring that procedures such as password controls are              Sam Nguyen/Technology Support
        followed.                                                                       Manager
  4     Reporting of suspected security violations.                         Sam Nguyen/Technology Support
                                                                                        Manager




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