DePaul :: Office of Institutional Compliance

Manager Control Self-Assessment Checklist

*These checklist items pertain to the responsibilities outlined in DePaul University's Management Standards Handbook. Use this document to prepare for the Manager Control Self-Assessment Certification, a Quality Assurance Review or to ensure compliance with university standards.

Financial Responsibilities


______	Two sets of eyes reviewed each transaction.
______	Mobius reports were reviewed monthly, accounts were reconciled and oversight requirements met.
______	Budgetary and administrative tasks were appropriately segregated between different staff members.
______	The cash receipts journal was checked against Mobius reports.
______	Petty cash was eliminated or a need for it was determined.
______	The department did not make any gifts or donations on behalf of DePaul.
______	A ProCard or the employee reimbursement form was used for all local travel, entertainment or other reimbursable items, and included original receipts and a description of the expense.
______	A ProCard or a travel expense form was used for all out-of-town travel, entertainment or other reimbursable items, and included original receipts and a description of the expense.
______	The initial clearance process was followed prior to submitting a proposal for external funding. Development was contacted prior to submitting or contacting a private funder. OSPR was contacted for all other proposals.
______	The Fly America Act guidelines were followed when federal grant money was used to fly internationally.
______	Grant funds were not used for charitable contributions.
______	Contract negotiation and execution procedures were met and reviewed by the appropriate authorities.
______	Purchase requisitions or Requests for Proposals (RFP) were used to initiate purchases of more than $2,500 (or financial limit previously determined by Procurement Services) from outside sources, and a purchase order or contract was used for these goods and services. Exceptions were first cleared with the Manager of Accounts Payable or the Director of Procurement Services.
______	ProCards were used for purchases less than $2,500 (or financial limit previously determined by Procurement Services) and the transactions were submitted for approval within one month of the ProCard statement closing date. The ProCard statements were also reconciled with the monthly Mobius reports and receipts were available for review.
______	Bids and written justification were received for requests for proposals or purchases totaling more than $25,000. If a bid was not obtained, documentation detailing the basis for vendor or contractor selection and justification for the purchase price and lack of competitive bidding was provided.
______	Procurement Services was contacted before discarding any university assets, such as equipment or furniture. Confidential or sensitive data was removed before disposing of computer equipment.
______	The appropriate approvals were received for technology purchases of more than $10,000, and Procurement Services helped facilitate the order.

Human Resource (HR) Responsibilities


______	Job descriptions were maintained for all departmental positions.
______	HR recruitment procedures and reference checks were completed for all potential new employees.
______	No preferential consideration was given to relatives of employees, and no employees worked in a supervisory capacity with a relative as a direct report.
______	All new employees filled out a Form I-9 prior to or on their first day of employment at DePaul.
______	During a staff member's first six months, he or she received training and evaluation.
______	Time reporting reports were reviewed and approved for all non-exempt employees, no compensatory time was added as a "reward", and all time worked was recorded."
______	Employees were directed to follow the procedures on the HR website for time off for Family Medical Leave (FMLA)
______	HR was notified when any leaves of absence were requested and a Leave of Absence form was filled out.
______	All employees' floating holidays were recorded by both exempt and non-exempt employees.
______	Student employee hours did not exceed the maximum number of hours the student employee was eligible to work, based on their academic and citizenship status.
______	Performance reviews for all employees were completed by May 15.
______	Progressive discipline procedures were followed when an employee's performance was unsatisfactory.
______	In accordance with the Americans with Disabilities Act (ADA), job descriptions were regularly reviewed to ensure that all physical or mental job requirements are job-related, consistent with business necessity and necessary for safe job performance.
______	Prior to hiring a new consultant or independent contractor, the Director of Payroll, the Manager of Accounts Payable, or the Tax Manager helped determine the proper employment classification.
______	Proper procedures were followed when any foreign nationals sought temporary employment visas and/or applications for permanent residency.

Information Responsibilities


______	Information security breaches, data losses and abuses were properly reported.
______	Contract requirement and review procedures were followed prior to sharing any confidential DePaul data with an outside service provider.
______	Passwords and other sensitive electronic information were not disclosed, and information resources were used for educational and business purposes only.
______	Mission critical information was regularly backed up and recovery processes were in place.
______	Sensitive electronic materials, such as student academic records, were closely guarded in accordance with FERPA.
______	Local, state and federal records retention laws were followed.
______	All media inquiries were referred to Media Relations.
______	The university�s copyright service was used when copyrighted materials were obtained.
______	The university's name and logos received approval for use and were used appropriately.

Community Responsibilities


______	DePaul�s mission was adhered to � business was conducted in an ethical and professional manner, the university�s resources were safeguarded and others were treated with dignity and respect.
______	DePaul�s EEO policy was followed in recruitment and selection of new employees, promotions, transfers, compensation, training, benefits, terminations and other terms and conditions of employment.
______	All complaints of discriminatory harassment were appropriately reported.
______	All complaints of sexual or gender harassment were appropriately reported.
______	Conflicts of interest were avoided or disclosed and evaluated.
______	No political candidates were endorsed or opposed using DePaul as a forum to do so. The appropriate avenue for contacting political officials was used.

Workplace Safety Responsibilities


______	Emergency and evacuation procedures were followed.
______	Chemical Hygiene and Hazards Communications policies were followed.

Compliance Responsibilities


______	Management Standards Training was completed and the policies and procedures outlined in the Management Standards Handbook were followed.
______	Local, state and federal laws and regulations were followed during the certification period.
______	All direct reportsd completed General Compliance Training.