Golden Class Weekend Transportation May 9-11, 2024

Congratulations on your class's 50th Anniversary! To recognize the class's significant achievement, the University and the ASU National Alumni Association will welcome the Golden Class of 1974 back to the Lorman campus and events in Vicksburg, MS for the three-day, annual "Alumni Weekend" celebration on May 9-11, 2024. Members of the Golden Class of 1974 will have an opportunity to march in the commencement exercises and receive a Golden Diploma from the University.

During the weekend, bus transportation will be provided to Golden Class of 1974 members from the Vicksburg Holiday Inn (host hotel) to campus for Friday's activities and Saturday's commencement exercises.

If you wish to ride on the bus with other Golden Class of 1974 members, please complete and submit the form below.

Each class member is permitted ONE (1) guest.

Please select your preferred method of transportation during Golden Class Reunion Weekend *
Will you have a guest accompanying you on the bus? (Only One Guest Per Class Member)
Due to the President's schedule, not all requests can be accepted. If the President is not able to attend your event, would you like to have us recommend an alternate speaker? *
Who will be in the audience? *

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    Basic Internal Control Assessment Questionnaire

    This control self-assessment is a multipurpose tool to be used by departments in assessing adequacy of internal controls within their areas. The primary purpose of this tool is for departments to evaluate their internal control environment and identify areas of risk and opportunities for improvement. A strong internal control environment can better position a department to achieve compliance, financial and operational objectives.

    This assessment is divided into the following eleven categories:

    A. Organizational G. Human Resources
    B. Reconciliations H. Information Systems
    C. Cash Receipts/Handling I. Minors on Campus
    D. Procurement & Travel J. Health & Safety
    E. Property Accounting K. Research
    F. Payroll

    All questions should be answered by “Yes,” “No,” or “N/A.” The department may use the “Describe Control/Comment” area to document the control by describing the department’s business process/procedures, or why no control exists. The “Describe Control/Comment” area could be helpful for the Unit leadership when assessing the adequacy of controls.

    By thoroughly considering the questions, you will be evaluating your control environment against sound business practices. The Office of Internal Audit encourages you to engage your entire team in the exercise to brainstorm for those areas of opportunity and to share the experience.

    The assessment should be completed annually. The results of the basic internal control assessment should be submitted to the Office of Internal Audit by clicking on the “Submit Form” button at the end of the assessment for review and random verification of the responses. Please feel free to send an email to [email protected] if any questions or concerns arise while completing the assessment.

    • An organizational chart pictorially represents all the team players within a department. The chart shows the various working relationships between staff and supervisors. It also provides management information that may be used as a baseline for planning, budgeting, and work force modeling.
    • A mission statement guides the actions of the department, spells out its overall goal, provides a sense of direction, and guides decision making for all levels of management. It also serves as an indicator of the objective of the department within the overall mission of the university.
    • Departmental policies and procedures, as well as employee desk-top manuals will allow employees to understand their roles and responsibilities as well as promote consistency within the department. Policies and procedures allow management to guide operations without constant intervention. Policies and procedures are the strategic link between the university’s mission and its day-to-day operation and should be reviewed annually and updated, when necessary.
    • A webpage can be a valuable tool to promote/communicate to the campus community and the general public the services the department provides and how to request such services. Webpages should be maintained and updated on a periodic basis to provide the most current information to stakeholders.
    1. Does the department have an organizational chart? *
    2. Does the department have a statement of mission and objectives? *
    3. Does the department have current written departmental policies & procedures and current employee desktop manuals for critical department operations? *
    4. Does the department have a current webpage on the University website? *
    5. Are department personnel familiar with the Ethics Line for anonymous or confidential means to report suspected improper activities? *
    6. Has the department undergone other audits/reviews (external, federal and/or local inspector general) in the past three (3) years? *
    7. Are there any special issues or areas of concern to which the department feels the Office of Internal Audit should be aware of or devote additional time? (Indicate in the comment column) *
    • Documentation should exist to support timely reconciliation of departmental accounts on a consistent basis. Documentation also exists to support that reconciliations are reviewed in a timely manner by the appropriate department head and/or signature authority.
    • When you reconcile an account, you are proving that the transactions comprising the account balance are correct. A spreadsheet reconciliation should be maintained for each departmental budget. All account activity should be reviewed on a regular basis including payroll transactions details for accuracy, completeness, and compliance with Alcorn State University policies and procedures as well as any applicable external agency requirements.
    • The purpose of the reconciliation is to track transactions as they occur and match them to transactions recorded on the monthly detail reports. This will enable the department to quickly identify any questionable transactions posted to their budget and take corrective action to ensure the accurate financial condition of the department.
    • Authorization, recording and reconciling of transactions should be segregated duties. Reconciler and signature authority should sign/initial and date final reconciliation to keep on file. Proper documentation is vital, because it provides supporting evidence that departmental budget reconciliations have been reviewed for appropriateness and compliance.
    • Departments should be familiar with the Budget Office Policy and understand that departmental administrators and fiscal personnel are responsible for reviewing information in Banner Finance for accuracy and ensuring that sufficient expenditure budget allocation is available to support fiscal year activities. If a Banner Organization goes into a deficit, the deficit must be resolved immediately. A request to transfer funds must be submitted to the Budget Office no later than the end of the occurring month.
    1. Does documentation (hard copy/electronic file) exist to support timely reconciliation of departmental accounts on a consistent basis? *
    2. Does documentation (hard copy/electronic file) exist to support timely reconciliation of departmental budgets on a consistent basis? *
    3. Does documentation also exist to support that reconciliations are reviewed in a timely manner by the appropriate department head and/or signature authority? *
    4. Does the departmental account fund balances appear adequately provided for without significant deficiencies? *
    5. Is the staff that performs the reconciliation separate from the staff that initiates and finalizes transactions? *
    6. Are reconciling differences, negative balances, and/or unsupported transactions investigated and corrected timely? *
    • Annual training is required for all employees responsible for handling cash. · The department should be familiar with the Cash Handling & Management Policy.
    • Proper documentation is vital, and documentation should exist to support that cash receipts/deposits are reconciled each month.
    • Procedures should be established to ensure duties related to receipting, custody, and reconciliation of funds are adequately separated.
    • Since cash is the most liquid asset and the most susceptible to loss if not properly controlled; therefore, all departments responsible for collecting cash, checks and credit card payments should ensure timely deposits, safeguards of funds prior to deposit. Proper segregation of duties in the cash handling process and regular reconciliation should be performed to ensure all funds have been deposited accurately.
    • Independent counts must be performed periodically to help ensure the established amount is maintained in the petty cash fund at all times to reduce the risk of overages and shortages. Documentation should be maintained to support the counts, which should be available for review by auditors.
    • The Accounting Department should be consulted to determine if revenue collected from sale of goods/services (i.e., t-shirt sales, book sales, facility rentals, etc.) are subject to sales tax or other taxes.
    1. Has the department been properly authorized by the Office of Finance, Administrative Services & Operations to receive funds? *
    2. Have cash receipting/handling staff members completed the cash handling training and current approved departmental cash procedures exist? *
    3. Does documentation (hard copy/electronic file) exist to support that cash receipts/deposits are reconciled at least monthly to the detailed ledgers? *
    4. Are duties related to receipting, depositing and reconciliation of funds adequately separated? *
    5. Are funds adequately safeguarded in a secure area until deposited? *
    6. Are safe combinations restricted to a minimum number of employees? *
    7. Are safe combinations changed after termination of an employee who previously had access? *
    8. Are cash receiving and refunding cash duties separated and refunds independently authorized? *
    9. Are voided transactions independently authorized by someone other than the person receiving the funds? *
    10. Does an independent person reconcile cash register closing reports to actual receipts collected? *
    11. Are checks and money orders made payable to Alcorn State University and restrictively endorsed upon receipt with a “For Deposit Only” stamp? *
    12. Are cash drawers or cash boxes secured when the custodial leaves his/her workstation? *
    13. Is an official University pre-numbered receipt book, cash log and/or register tape used to document cash received? *
    14. Are all shortages/overages of $5.00 or more documented on a “Cash Over/Short Report and overages deposited? *
    15. Is a campus police officer used to transport cash over $500 and adhere to appropriate guidelines? *
    16. Does the department receive payments by credit card and is PCI compliant? *
    17. Does the department retain payers’ credit card information or other personal data on any university system, PC or other electronic storage media and maintain proper controls to safeguard sensitive data? *
    18. Are petty cash/change funds periodically counted by custodian and confirmed by a witness to ensure the full amount is accounted for? *
    19. Are petty cash/change funds (if used by the department) properly established? *
    20. Are petty cash/change funds adequately safeguarded. *
    21. Does documentation (hard copy/electronic file) exist to support that petty cash is reconciled periodically and deposited in a timely manner? *
    22. Does the department have an external bank account(s) or other payment accounts such as PayPal, Cash App, Zelle, etc.? If yes, (Indicate in the comment column) the number and type of account(s). *
    23. Are proper procedures in place to ensure sales tax is collected and reported accurately and timely for taxable events/goods? *
    24. Have cases of suspected fraud, waste, and abuse of cash transactions been brought to the attention of a manager, law enforcement, or the Office of Internal Audit in the last three (3) years? *
    • The department should review and be familiar with all of the university purchasing policies that are available on the University Policy Directory for Financial Services.
    • Segregation of duties reduces the risk of fraud waste or abuse of university assets. No one person should be in a position to both perpetrate and conceal errors or fraud; therefore, the duties for requisition and invoice input, approval and account reconciliation functions should be separated.
    • Segregation of duties also apply to purchases made with a procurement card, and the department should utilize a control sheet when there are multiple users of a single procurement card. By utilizing a control sheet, the department is able to keep a record of who, when, and what was charged to the card.
    • The department should be familiar with the State Procurement Card Guidelines.
    • The department should also be familiar with the Travel Policies, which are also located on the online policy directory for Financial Services.
    • If the department is required to make technology purchases, then the department personnel are aware of the guidelines pertaining to technology purchases.
    1. Has the department reviewed and adhered to the University purchasing/procurement policies and procedures, including the use of procurement cards? *
    2. Are requisition and invoice input, approval and budget reconciliations functions separated within the department? *
    3. Are invoices checked for accuracy and agreed to purchase order, contract terms, and receiving reports to ensure proper payment? *
    4. Are invoices submitted to the Business Office timely and paid within forty-five (45) days of receipt (Miss, Code 31-7-305)? *
    5. Do employees have a direct or indirect involvement in the procurement of goods and services on behalf of the University from a business in which the employee or the employee’s relative has a material financial interest? *
    6. Have any gifts or favors been accepted from current or potential vendors? *
    6a. If “YES” to Question 6 (Indicate type in the comment column) *
    7. Does the department utilize procurement cards? *
    8. Are all procurement cards kept in a secure area such as a locked drawer or filing cabinet while not in use? *
    9. Are Procurement card statements reviewed for proper charges and reconciled in a timely manner? *
    10. Are Procurement card receipts verified to ensure that transactions are in line with the Pcard guidelines (no sales tax, no cash advance, etc.)? *
    11. Are department receipts for procurement card purchases along with the order log and signed statement sent to the appropriate official in a timely manner? *
    12. Does the department use a control sheet to record card charges made by multiple users of a single procurement card? *
    13. Has the department entered into a contract with a third party? *
    13a. If “YES” to Question 13, has the contract been appropriately reviewed, approved, and signed by an authorized University personnel? *
    14. Does the department use the University dining services? *
    14a. If “YES” to Question 14, has the department retained adequate documentation for utilizing Sodexo services and adhere to the catering policies? *
    15. Is the department aware of and adhere to university travel policies and procedures? *
    16. Are all travel advances cleared in a timely manner? *
    17. Do all personnel that travel on university business prepare the necessary travel documents and receive prior approval? *
    18. Does the department utilize the Alcorn State University Visa Travel Card? *
    18a. If “YES” to Question 18, has the VISA Travel Card User Guide been reviewed and followed? *
    19. Are travel card approval segregated so that the traveler and approver are not the same? *
    20. Are all travel cards kept in secure areas such as a locked drawer or filing cabinet while not in use? *
    21. Are travel card statements reviewed for proper charges and reconciled in a timely manner? *
    22. Do the travel forms have original, appropriate signatures, and include adequate documentation for reimbursement? *
    23. Are individuals who travel aware that reimbursement for the actual costs of meals should not exceed the daily maximums for the specific location? *
    24. Does the department issue scholarships/stipends to students? *
    24a. If “YES” to Question 24, does the department appropriately manage and award scholarships/stipends based on qualifying criteria? *
    25. Does the department utilize the Comdata Fuel card? *
    25a. If “YES” to Question 25, are fuel card statements reconciled to vehicle logs for reasonableness and in a timely manner. *
    25b. If “YES” to Question 25, is the proper pre-authorized approval obtained and documentation maintained. *
    26. Are fuel card statements reviewed for unusual transactions such as excessive fuel purchases, gallons purchased in excess of fuel tank capacity, etc. and signed by Department Head? *
    27. Does the department complete and obtain appropriate approval when the fuel request forms are used for outside equipment/vehicles? *
    28. Does each Fuel card user have his/her own Personal Identification Number (PIN)? *
    29. Are procedures in place to suspend PIN numbers for individuals no longer authorized to purchase fuel (terminated, transferred, loss of license, etc.)? *
    30. Are the daily fuel reports reviewed and periodically reconciled? *
    31. Does the department purchase fuel from the ASU Service Station? *
    32. Have case of suspected fraud, waste, and abuse of procurement or travel been brought to the attention of a manger, law enforcement, or the Office of Internal Audit in the last three (3) years? *
    • The department should monitor and conduct in-house audits of their property. The fixed asset inventory database is maintained by the Director of Property Management. The department should conduct self-inventory audits of university property for which they are responsible as required by the university. This reduces the risk of missing items. Should the department discover items are missing, they must report them to the proper authorities immediately. The department should make every effort to locate the items.
    • A hand receipt should be kept on file for any property that is removed off campus. The hand receipts are only valid for one year and should be updated annually.
    • Inventory over a certain threshold should be properly identified with an inventory tag and added to the department’s inventory list.
    • A department record of keys and/or access cards issued, and extra keys/cards kept on hand should be maintained for control purposes. Access to facilities should be limited and restricted to only those who require access. The department should be familiar with the Key Control Policy.
    • Departments that utilize university-owned vehicles understands and adheres to the Transportation Policy.
    1. Does documentation (hard copy/electronic file) exist to support that the department performs/verifies inventory as per Property/Inventory policies and procedures? *
    2. Is any University equipment taken home or used off-campus? If yes, (Indicate in the comment column) list the equipment and asset number. *
    3. Does documentation exist to support the use of Hand Receipts for the removal of property off campus? *
    4. Are all Hand Receipts current and kept in a separate file? *
    5. Is old, usable property documented on a transfer/obsolescence form and properly salvaged in a timely manner? *
    6. Are transfer reports completed and properly authorized for all property that has been transferred/reassigned? *
    7. Are self-reviews conducted when department leadership transitions occur before someone else accepts responsibility for the inventory? *
    8. Are equipment purchases of $1,000 or more (and all exception items) visibly tagged with a university inventory number and included on the department’s inventory list? *
    9. Is any inventory stored or consigned at an off-campus location? *
    10. Does the department have livestock? *
    11. Are livestock inventory and disposition reports maintained and reviewed? *
    12. Does documentation exist to support that reconciliations of livestock are performed monthly? *
    13. Are livestock inventory reports submitted to accounting monthly to make appropriate inventory adjustments? *
    14. Are livestock property identified with a tag? *
    15. Does the department maintain an accurate record of building and office keys/access card and access reports are reviewed periodically? *
    16. Are periodic key audits conducted? *
    17. Does the department have a university-owned vehicle? *
    17a. If “YES” to Question 17, has the department reviewed and adhered to the Department of Transportation policies and procedures? *
    17b. If “YES” to Question 17, is vehicle use limited to personnel with valid driving credentials and a current copy is on file? *
    18. Are motor vehicle reports (MVR) checked periodically for violations and license suspensions? *
    19. Do employees that operate the Commercial Vehicles comply with Omnibus Transportation Employee Testing Act of 1991 and received all required testing? *
    20. Has the department reported any vehicle accidents or received any driving citations within the past two (2) years? *
    21. Are procedures in place for tracking the issuance of golf cards for campus use? *
    22. Does documentation (hard copy/electronic file) exist to support the proper use of mileage logs for each university-owned vehicle within the department/unit. *
    23. Does the department have procedures in place for tracking unclaimed funds and intangible property and follow state reporting guidelines for unclaimed property? *
    24. Are there any department assets (property, equipment, supplies, etc.) that you believe are not adequately protected against theft or misuse? *
    25. Have there been any cases of theft, missing property or abuse of department equipment or vehicle misuse within the last three (3) years? *
    26. Are reports of stolen or missing property timely reported to law enforcement/campus security? *
    27. Does the department rent the building for events or host events for registered student organizations? *
    27a. If “YES” to Question 27, Is the department aware of the Facilities Use Policy and completed the request form and received proper approval prior to events occurring? *
    • Time keeping documentation records actual hours worked and leave time. Employees should be familiar with utilizing the electronic time sheet that is available on Banner Online Services.
    • To ensure accountability and accuracy, time keeping records should be completed and approved by the supervisor. Management should also refer to the Fair Labor Standards Act (FLSA) for guidance. To ensure that personal and sick leave is accurately reflected in the system, it is important that the information be reported in a timely manner. Department should be familiar with all Payroll/HR Policies related to but not limited to Compensatory Time and Overtime Pay, Wage and Salary Policy, Timekeeping and Reporting Policy.
    • Payroll reports should be generated, reviewed, and reconciled to the time & attendance reports to verify the accuracy of the payroll charges.
    1. Do all employees (hourly, exempt, and non-exempt) report leave time? *
    2. Is leave usage approved timely by department head/signature authority for hourly, exempt, and non-exempt employees? *
    3. Are time sheets (electronic file) maintained by the department for all hourly and non-exempt employees? *
    4. Do time sheets record actual hours worked, leave time, and compensatory time (hourly and non-exempt)? *
    5. Are timesheets matched to leave records to ensure accuracy? *
    6. Are time sheets signed and dated (electronically) by employees and supervisor after the time period being reported? *
    7. Does documentation exist to support proper approval of overtime pay (hourly and non-exempt employees)? *
    8. Does the department follow university overtime guidelines (hourly and non-exempt employees)? *
    9. Are procedures in place to ensure student employees do not work more than the maximum number of hours allowed? *
    10. Does documentation (hard copy/electronic file) exist to support monitoring, reconciliation, and approval of compensatory time and usage (exempt and non-exempt)? *
    11. Are payroll duties such as entering payroll and approving adequately separated? *
    12. Does documentation (hard copy/electronic file) exist to support that payroll time and attendance reports are reconciled to the Payroll Distribution Reports (PDR) in Banner? *
    13. Does documentation (hard copy/electronic file) exist to support that the Payroll Distribution Reports (PDRs) are reconciled to the Monthly Distribution Reports (MDRs)? *
    14. Are departmental procedures in place to help ensure that termination documents are processed in a timely manner to stop payroll? *
    15. Are payroll changes documented? *
    16. Does the department staff utilize the nursery and set up payroll deduction for childcare payments? *
    17. Does the department staff that utilize the faculty/staff housing and set up payroll deductions for rental payments? *
    18. Have cases of suspected payroll fraud, waste, and abuse been brought to the attention of a manager, law enforcement, or the Office of Internal Audit in the last three (3) years? *
    • Procedures should be in place to help ensure that termination documents are processed, and appropriate university and departmental personnel are notified in a timely manner to stop payroll, cancel computer access, retrieve keys, access cards, university equipment, and etc.
    • Annual performance evaluations should be conducted for all employees and results submitted through the proper channel. It is beneficial to both the employee and their supervisor to review and discuss the job performance of the employee. Management should refer to the university policies and procedures for guidance.
    • Employees should be aware of the HR Policies not limited to Background Screening Policy, Code of Conduct, Clearance Requirements, and Confidentiality Policy.
    • Departments should also be aware of the Conflicts of Interest Policy as well as the obligation to disclose outside employment annually.
    1. Does documentation exist to support adequate background checks are conducted for new employees and volunteer workers? *
    2. Does documentation exist to support adequate training opportunities for employees? *
    3. Are policies & procedures documented and communicated to employees? *
    4. Are adequate procedures in place to safeguard confidential information (financial, student records, etc.)? *
    5. Are performance evaluations conducted according to University Policies, and results are submitted through proper channels? *
    6. Does documentation exist to support compliance with Federal and State employment guidelines? *
    7. Do new employees complete Form I-9 on a timely basis? *
    8. Are job descriptions up-to-date and a signed copy exists for all department employees? *
    9. Does the Department utilize volunteers to assist with day-to-day job duties? *
    9a. If “YES” to Question 9, is a volunteer service application on file for all volunteers? *
    10. Are departmental procedures in place to help ensure that terminations documents are processed, and appropriate university personnel are notified in a timely manner to stop payroll, cancel computer access, retrieve keys, access cards, university equipment, etc.? *
    11. Does documentation exist to support university clearance requirements are followed? *
    12. Is conflict of interest forms as well as requests for permission to engage in outside employment if applicable completed annually? *
    13. Has department staff completed the Confidentiality Statement Annual Attestation? *
    14. Does any of the Department staff work remotely? *
    14a. If “YES” to Question 14, has the remote work arrangements been vetted through the proper channels? *
    15. Have employees working remotely for extended periods completed the Request for Alternative Work Location Arrangement Form and received the appropriate approval(s)? *
    16. Is department staff familiar with the Nepotism Policy and understands that hiring or supervisors of family members is prohibited as set forth in Miss. Code § 25-1-53? *
    17. Does the department have procedures in place to ensure that staff with a secondary assignment have received appropriate approval and secondary assignment does not conflict with primary job duties? *
    18. Does the department receive the proper PERS determination for all returning state retirees? *
    18a. If “YES” to Question 18, is the determination current and being followed? *
    • Department staff has read and understands the Information Technology Services Policies regarding the acceptable use policy for computers and controls should exist to ensure the department computers/systems are not used to violate copyright laws.
    • The department should be aware of Data Disposal Policy and understands the proper transfer, disposal, and or/reuse of computers and other digital storage media.
    • Passwords are an important aspect of computer security and are considered the front line of protection for user accounts. Access to computers, servers, and systems that contain confidential and/or critical data must be restricted with unique user ID’s and passwords as well as firewalls. A poorly chosen password may result in the compromise of ASU’s entire network; therefore, the department should also be aware of the Password Policy and understand that everyone is responsible for safeguarding the passwords for his/her computing accounts, which should not be shared or disclosed with anyone.
    • The department should be aware of the Personally Identifiable Information (PII) Policy and understand that the responsibility for ensuring reasonable and appropriate administrative, technical, and physical safeguards are established to protect the integrity, confidentiality, and security of all PII irrespective of its source, ownership, or the medium used to store it.
    • Information security training should be completed annually so that everyone is knowledgeable of the best ways to help protect the university from malicious attacks and prevent possible security breaches. Employees should also be encouraged to lock their computers prior to stepping away from their computer.
    • Departments should encrypt files when transmitted or loaded on portable storage devices as well as used cross-cut or high security shredders for discarding sensitive information.
    • Documentation (i.e., signed confidentiality agreements, memos, information security training certificates) should be maintained to substantiate employees have been informed and educated regarding their responsibilities of safeguarding confidential information.
    1. Have the department staff read and understand the acceptable use policy for computers? *
    2. Is the department aware of the Data Disposal Policy and follows the proper steps for removal and disposal of information and equipment? *
    3. Are department software inventory and licenses tracked? *
    4. Is only officially supported software used in the department and software licenses are current? *
    5. Are the latest anti-virus software and operating system patches installed on all departmental computers and servers? *
    6. Are cellular phones and hotspots used within the department? *
    6a. If “YES” to Question 6, has the appropriate ASU Wireless/Cellular Device Request Form been completed? *
    7. Does the signature authority or their designee review monthly long-distance phone charges? *
    8. Have the department staff read and understand the Password Policy and passwords are kept confidential? *
    9. Is access to university records restricted with unique user ids and passwords? *
    10. Are personal computers and media storing protected data in electronic format encrypted? *
    11. Does any department employee have administrative rights to add or modify software? *
    12. Have routine backup procedures been established for departmental computers and servers? *
    13. Does the department have a business continuity plan to guide the department in continuing operations in case of an emergency? *
    14. Has the department reviewed and adheres to the Personally Identifiable Information (PII) Policy, and have safeguards in place when reviewing or saving data containing sensitive information such as taxpayer identification numbers, driver’s license numbers, financial account numbers, etc.? *
    15. Does the department use cross-cut or high security shredders for discarding sensitive information? *
    16. Does the department utilize multi-factor authentication on applications that contain student financial and personal data? *
    17. Are periodic user access reviews conducted to ensure that employees are granted access based on the need to perform daily duties? *
    18. Are changes to system and access modifications clearly documented? *
    19. Does documentation exist to support that all department employees have completed the annual data security training? *
    20. Are periodic user access reviews conducted to ensure that department staff only have access to systems, Banner forms, etc. that are needed to perform daily duties? *
    21. Does the department utilize special third-party software to conduct university business, other than Banner, PeopleAdmin, or Microsoft Office? *
    21a. If “YES” to Question 21, does the department have a valid executed contract with vendor? *
    21b. If “YES” to Question 21, does CITS assist in the servicing of this software? *
    21c. If “YES” to Question 21, was a vendor risk assessment conducted prior to business engagement? *
    21d. If “YES” to Question 21, does a disaster recovery plan to recover critical data saved within the software exist? *
    21e. If “YES” to Question 21, does the department request a copy of the SOC reports for review? *
    21f. If “YES” to Question 21, does a business continuity plan to continue operations under adverse conditions (i.e., interruption from natural or man-made hazards) exists? *
    21g. If “YES” to Question 21, does the department request a copy of the SOC reports annually for review? *
    • ASU is dedicated to the welfare and safety of all minors who visit our campuses to participate in university-related programs and activities or any other event involving minors on ASU campuses.
    • It is important to promote a safe environment for minors by fostering a university culture that is committed to preventing, recognizing, reporting, and addressing child and child sexual abuse.
    • Employees should be familiar with the Activities Involving Minors Policy , Children and the Workplace Policy and Child Abuse Policy
    • Employees should also be familiar with the ASU Camp Policy as well as the Title IX Policies
    1. Does the department offer, sponsor, or approve programs or activities involving minors? *
    2. Does the department have policies and procedures for minors on campus? *
    3. Has the department read Alcorn Standard Operating Camp Policy (ASOP Policy #2017-02) and adhere to the policy? *
    4. Does the department utilize volunteers to assist with programs involving minors? *
    4a. If “YES” to Question 4, is a volunteer service application on file for all volunteers? *
    5. Have employees completed the annual Title IX training? *
    6. Are you aware of any suspected child abuse or neglect? *
    1. Have reasonable safety policies and procedures been established for classrooms, labs, and workplaces to reduce and prevent injuries and illness? *
    2. Does anyone in the department use, ship, or transport any type of hazardous materials such as chemicals, bio-hazardous or radioactive materials and radiation generating devices? *
    3. Have all users of hazardous materials been trained? *
    4. Is hazardous waste disposed of through the proper channels and reported? *
    5. Are the department staff aware of and adhere to the Smoke and Tobacco-Free Campus Policy and that ASU is a Drug-Free Workplace? *
    6. Does the department have the appropriate fire protection equipment in the department? *
    6a. If “YES” to question 6, is the equipment accessible and contain a current inspection label? *
    7. Are the department employees aware of the building coordinator that is assigned to the facility in case of an emergency or evacuation? *
    8. Does the department receive timely notification of the Annual Campus Safety & Fire Safety Reports? *
    9. Are the department employees familiar with ASU Emergency Preparedness Plan and completed the mandatory active shooter training? *
    10. Has the department had any workplace injuries within the past year? *
    11. Are you aware of any suspected worker comp fraud, waste, or abuse? *
    • Departments should be familiar with the Sponsored Programs Policies and should be knowledgeable about Research Misconduct as well as Financial Conflicts of Interest in Research.
    • Departments should be knowledgeable of the Time & Efforts Reporting Requirements as listed in 13.28 of the Grants & Contracts Policy.
    1. Has a Sponsored Programs Proposal Approval Form been completed for all proposals with appropriate approval signatures? *
    2. Has research involving human subjects been formally approved by the Institutional Review Board (IRB)? *
    3. Has research involving animals been formally approved by the Institutional Animal Care and Use Committee (IACUC)? *
    4. Does all faculty, research scientist, etc. complete a Financial Conflict of Interest (FCOI) disclosure form annually? *
    5. Does any external funded research involve program income? *
    6. Does the department route all required documents to the Office of Research & Sponsored Programs in a timely manner? *
    7. Is the department aware of its post-award administration responsibilities? *
    8. Do only eligible individuals serve as a Principal Investigator (PI) or Co-PI? *
    9. Are technical reports for externally funded projects maintained per the retention period set by the funding agency? *
    10. Does the department have any cost-sharing projects? *
    10a. If “YES” to Questions 10, does the department have procedures in place to ensure compliance with a cost-sharing component? *
    11. Does the Principal Investigator verify that the University adhere to the terms and conditions of the award (i.e., the PI monitors the project work and ensures the Technical Reports are completed as required by the sponsor, etc.) *
    12. Are Time & Effort Reports signed by someone with suitable means of verifying that the work was performed? *
    13. Are the Principal Investigator and fiscal staff provided training regarding compliance with university policies and procedures and 2 CFR 200 (Uniform Guidance) related to sponsored programs? *
    14. Is the department aware of any International Traffic in Arms Regulations (ITAR)/export control related research? *
    14a. If “YES” to Question 14, is the department familiar with and comply with the export control laws? *
    15. Is the department familiar with the Research Misconduct Policy? *
    16. Have cases of suspected research fraud, waste, or abuse been brought to the attention of a manager, law enforcement, or the Office of Internal Audit in the last three (3) years? *