DePaul :: Office of Institutional Compliance




	Manager Control Self-Assessment Worksheet Use this worksheet when preparing for the MCSA Certification or for a Quality Assurance Review. Financial Responsibilities Describe the process for departmental transactions. Is there evidence of a sign-off by two people on purchases, reimbursements, ProCard statements and budget reconciliations? Provide monthly copies of Mobius reports. Is there evidence that a reconciliation occurred (such as tick marks, notes, initials or signatures)? Is there evidence that the Mobius report was checked against original receipts or other source documents? (Suggestion: keep all Mobius reports in a binder) Using the department's organizational chart, explain how duties are segregated. Is a petty cash fund necessary? What are the controls placed on the department's petty cash fund? Were gifts or donations made in DePaul's name? Were ProCards and/or the employee reimbursement form used for local travel, entertainment or other reimbursable items? Were ProCards and/or the travel expense form used for out-of-town travel, entertainment or other reimbursable items? Was the Office of Sponsored Programs and Research (OSPR) or Development appropriately contacted for external funding or grants? Did you make sure that grant funds were not used for charitable contributions? Were proper procedures followed for negotiating and executing all contracts? Was the contract then filed in the Office of the General Counsel? Did you avoid sharing a ProCard or charge-splitting? Are all ProCard receipts available for this year? Did you put signatures or initials and dates on each ProCard statement? Did you submit your ProCard report for approval within one month of the closing date? For any equipment or assets, particularly computers, provide documentation on disposal procedures. Were the proper steps followed for technology purchases greater than $10,000? Human Resource Responsibilities Are current job descriptions on file for all departmental positions? Were references checked for all new employees, either by the hiring manager or HR? Did you contact HR regarding a potential instance of employing relatives? Were I-9 forms for part-time new employees sent ahead of time and completed on or before their first day? Did new employees receive training and an evaluation? Show how all time and leave records were maintained. Were employees directed to follow FMLA procedures on the HR Web site? Was HR notified of when any leaves of absence were requested and a Leave of Absence was filled out? Using time reports, show that student employee hours did not exceed designated limits. Were performance reviews conducted for all employees by May 15? How were employee disciplinary problems handled? Were all ADA requirements met? Was Accounts Payable or Payroll contacted to determine if an independent contractor was hired and how he or she was paid? Were proper procedures followed with any foreign nationals seeking temporary visas and/or permanent U.S. residency? Information Responsibilities How were any security breaches, data losses or abuses handled? Were the contract review procedures followed before sharing DePaul data with an outside service provider? Were passwords and other sensitive data protected and regularly backed up? Did student educational records remain secure, despite different levels of data accessibility within the department? How was mission critical information backed up? Was sensitive electronic information closely guarded in accordance with FERPA? Is there evidence that applicable records were maintained in accordance with local, state or federal guidelines? If the department was contacted by a member of the media, how was the inquiry handled? Did the department use the university's copyright service when copyrighted materials were obtained? Were the university’s name and logos approved and used properly? Community Responsibilities Are there departmental procedures for safeguarding resources, such as a key log to detail which employees have access to what keys? Was the EEO policy followed in all aspects of hiring a new employee? Was the proper authority notified for any complaints of discriminatory harassment? Was the proper authority notified in any instances of sexual or gender harassment? If any conflicts of interest existed, were the proper procedures followed in handling it? Were political candidates or issues improperly promoted by department members? What avenues were taken to contact government officials? Workplace Safety Responsibilities Is there evidence that emergency and evacuation plans were distributed to employees and posted in the department? Is there evidence of compliance with DePaul's Chemical Hygiene and Hazardous Communications policies? Compliance Responsibilities What local, state and federal laws or regulations are pertinent to your operation? Were you in compliance with these laws or regulations? Did department staff with financial responsibilities attend Management Standards Training? Did all employees in the area complete General Compliance Training?