Other Related Materials
Click to review the below other materials related to internal controls:
Instructions: Financial Process Narrative Outline
Click the above link to download an example of an outline for the financial process narrative and the instructions for filling out a financial process narrative outline. The outline should be completed prior to filling out the process narrative template.
Template: Financial Process Narrative Template
Click the above link to download a copy of the financial process narrative template and the instructions for filling out a financial process narrative.
Template: Material Transaction Coversheet Template
Click the above link to download a copy of the material transaction coversheet template. The template includes instructions and a sample of supporting documentation for reference.
Template: Material Contract Coversheet Template
Click the above link to download a template for the material contract approval process. This document must be completed in full and submitted to the appropriate campus controller or university administrative reviewer prior to entering into an agreement with an external party or component unit. This template also includes a link to the revenue and expense analysis templates.
Reference Document: API and Integration Request Form Definitions
Click on the above link to download a document defining terms related to APIs and system integrations. This document provides an overview of several current enterprise systems and modules as well. UCO recommends each unit review this document in full prior to submitted a new API or system integration request as this document helps provide general information related to APIs and outlines the systems that could potentially be impacted by the addition of an API or system integration.
Reference Document: SOP-CARD-05: Personal Purchase Reimbursement
Click the above link to navigate to the purchasing standard operating procedure for personal purchase reimbursement. This standard operating procedure acts as a guide to provide Indiana University employees instructions for reimbursing Indiana University for a personal transaction on a P-Card. Review this standard operating procedure for the rationale, procedures, and for sanctions surrounding personal purchase reimbursement.
Reference Document: SOP-CARD-04: Restricted Items
Click the above link to navigate to the purchasing standard operating procedure for restricted items. This standard operating procedure outlines that restricted items carry additional compliance considerations. The P-Card should not be used to purchase any item listed within the Standard Operating Procedure. Review this standard operating procedure for the rationale, procedures, references, and change log for restricted items.
Form: API and Integration Request Form
Click the above link to submit a request to the Office of the University Controller (UCO) for a connection between external applications and IU systems.
Form: CRU Sub-Certification Form
Click the above link to download the financial sub-certification form for constituent reporting units (CRUs). The financial sub-certification form helps ensure a sufficient and effective internal control structure and supports the Vice President and Chief Financial Officer’s basis for the annual financial attestation (Management Representation Letter) by providing reasonable assurance of the underlying financial activity reported in the university’s financial statements.
Form: Unit Level Sub-Certification Form
Click the above link to download the financial sub-certification form for units outside of constituent reporting units (CRUs). The financial sub-certification form helps ensure a sufficient and effective internal control structure and supports the Vice President and Chief Financial Officer’s basis for the annual financial attestation (Management Representation Letter) by providing reasonable assurance of the underlying financial activity reported in the university’s financial statements.
Form: Procurement Card Sign-Out Log
Click the above link to download a copy of the P-Card sign out log. This sign-out sheet must be utilized when multiple staff members have approval to use a P-Card. This sign-out sheet template helps to capture who is using the card, when, and why.