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Enhancing Auditing and Compliance at PSU: Key Insights and Guidelines

This publication outlines the current focus on auditing practices at Portland State University (PSU) under the OUS Board, which is actively auditing procurement card transactions, travel reimbursements, and ethical compliance. The number of internal audits has doubled, and all reports become public records. With ongoing training in HR functions and strict policies for hiring, onboarding, and employee separation, the document emphasizes the importance of documentation, ethics, and accountability. It serves as a comprehensive guide for HR staff and management at PSU.

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Enhancing Auditing and Compliance at PSU: Key Insights and Guidelines

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  1. WelcomeHRascals Plus! October 6, 2006

  2. The “New” Environment • Six Audits in progress at PSU • Current OUS Board focusing on auditing • Size of OUS Internal Audit has Doubled • AllAudit reports go to the State Board and become public records, accessible by the Oregonian.

  3. Areas of Interest for Auditors • Ethics – ORS 244 - “Oregonian” Test - “Appearance” of Impropriety • Procurement Card Transactions • Personal Reimbursements • Hosting • Travel Reimbursements

  4. Areas of Interest for Auditors • Fiscal Irregularities Policy http://www.fadm.pdx.edu/Policy/FinIrrPol.pdf • Conflict of Interest: http://www.gsr.pdx.edu/policies/conflict.html • Outside Employment: http://www.gsr.pdx.edu/policies/outside.html • Contract Authority

  5. FIDUCIARY RESPONSIBILITY • Institution Funds • Appropriate use • Accountability • Ethics APPROVALS • Program • Budgetary • Compliance

  6. Summary • Know the policies and procedures, $ dollar $ limitations. • Collect your documentation, receipts, packing slips, etc. as required for payment or reimbursement • State the official business purpose-benefit to PSU • Complete the appropriate forms • Obtain the appropriate signatures • Meet the required deadline • Reconcile regularly

  7. Compliance & HRascals Plus Training Office of Human Resources

  8. HR for HRascals Plus • IAD slotted to audit HR functions across University departments in FY 0607 • HR role extends from selection through separation • HRascals play a daily role in numerous important HR activities • Many opportunities for proactive management, leadership and compliance • Bold items indicate audit item

  9. Selection • Clearly define job, excellent and accurate position descriptions • Interview well – Ask in-depth job-related questions • Check references – believe what you hear; external/internal • Background checks – in announcement; for security, minors, cash, systems

  10. Letters of Offer – signed/delivered to HR PRIOR to first day; pay doc and legal requirement (notice, OARs, IP, etc.) We have a monthly training on letters of offer and FTE calculations I-9 Forms – required on first day; legal requirement Hiring

  11. On-Boarding • Guide new faculty and staff through a great start-up at PSU • New Faculty Orientation in Fall • New Employee Briefing in HR – ongoing • Ethics, policies, history • Set up support systems; mentors, campus groups • Training – See HR, BAO, & IT offerings on the web

  12. Time & Leave Recording • Time Sheets - signatures by one level up • Rosters - exception leave reporting • HourlyPay - OT, Comp Time • Salaried Pay - professional work week • Know status of all your employees • Hourly/salaried • 9 mo/12 mo • SEIU, AAUP, AFT, UnUnEx

  13. Performance Management • Ongoing feedback is necessary • Classified: 6-mo trial service (3-mo review) • Classified: review on anniversary date • AAUP/Acad Professionals: May each yr • AAUP/Fixed Term: annually during yrs 1-6, every 3 years after year 6 • AFT/Adjunct: reviewed once every 6 terms worked or by request

  14. Separation • Inform HR – Banner will continue to pay until end of the contract date causing overpayments • BOLI - legal obligations for final pay on time • HRC website “Separating Employee” • Resignation letter • Employee Status Change Form • Adjunct Cancellation Form • Email • Exit Checklist for Supervisors/Dept Chairs • Return of keys, procurement cards, equipment, security access cards; • computer account deletion HRC website

  15. Questions & Answers

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