Internal Audit Polices and Procedures
Chapter 4 - Office Policies and Procedures
Work Planning and Performance Review will be handled in keeping with State and University policy. Each year, in May and June, a Work Plan will be developed for and discussed with each staff member. The Work Plan will define performance expectations at the “Good” level. A development plan worksheet, identifying training goals and suggestions for improving or enhancing knowledge, skills, and abilities, will accompany the Work Plan.
Twice a year, in November and May, each staff member’s performance will be reviewed. This process gives the staff member and the Director an opportunity to discuss strengths, weaknesses and progress towards performance goals.
The Work Day and Leave
University policy and the nature of audit work allow some flexibility in our official work hours. Each staff member should adopt standard work hours and note these hours on his or her timesheets. Work days may start any time between 7:00 and 8:30 AM. Staff members are allowed up to one hour for a lunch break. While there is official lunch hour for the department, staff members should arrange their lunch schedules to ensure that someone will be present to respond to telephone calls or visitors to the Internal Audit Office. Each staff member must work or charge leave for a total of at least 40 hours a week.
Requests for leave should be submitted to the Director in advance whenever possible. When an employee is out on unplanned leave, such as due to illness or adverse weather, he or she should notify the office as soon as possible, preferably within an hour of the normal start of the work day.
Employees are expected to work as required to complete the assignments they have been given. Under special conditions, subject to advance approval by the Director, compensatory time may be granted for hours worked outside the normal day.
Break periods are not required by the Fair Labor Standards Act. However, as operational requirements permit and working conditions warrant, staff members may be allowed to take one 15-minute paid break during any work period of four consecutive hours. Break periods are counted as work time.
When an employee is working outside of the department office there is a sign out board in the office so that an employee can be contacted while working at an audit site or other location.On-Campus Parking
Each year, the Internal Audit Department receives an allocation of on-campus parking permits for sale to employees of the department. One permit, for “all gated lots,” is assigned to the Director of Internal Audit as a direct report to the Chancellor. Historically, the number of other permits assigned to the Department has not been sufficient for each employee to obtain a permit. Therefore, the remaining permits will be offered to other employees of the Department on the basis of seniority, i.e. the employee with the most years of service in Internal Audit will have first choice of available permits. Employees who do not receive a permit will be placed on the Department’s parking permit waiting list in order of seniority in Internal Audit.Timekeeping
The department manages its available hours based on information from a timekeeping system. Each employee should complete a timesheet for each pay period. Timesheets should be submitted to the Director for review and approval no later than the close of the business day following the end of a pay period. The timesheet will be signed by the Director and should be given to the department secretary to be entered into the timekeeping system within business days after the end of each pay period. The department secretary will enter the hours as charged into the timekeeping system and distribute reports as they have been requested.Keys and Security
All staff members will be issued keys to the department offices. These keys should be safeguarded and items that can identify the lock a key matches should not be attached to a key or key ring. In the event that employee's keys are lost, the Director should be notified immediately.
The Internal Audit staff is responsible for locking the back entrance to the Hill Commercial Building at the end of the work day. Any employee may lock this door at the end of the day. However, the last person to leave the office is responsible for checking this door and securing it if it is not locked, even if this individual will be leaving through the front (Franklin Street) entrance.
Each staff member is responsible for locking his or her office and securing his or her files and working papers at the end of the business day. When an auditor is working in the field, he or she should take steps to safeguard working papers when they are not in the auditor’s possession. In the absence of a locking desk or file cabinet, the auditor should take the papers home at the end of the day.
The Internal Audit Department frequently deals with information of a confidential nature. It is expected that all employees will treat confidential information in an appropriate manner. Breach of confidentiality is grounds for disciplinary action.Travel
All travel associated with department business, including training, will be reimbursed in accordance with state policy.
Employees should complete the Travel Authorization section of the Travel Request Form as soon as it is known that travel will be necessary. Employees may make their own travel arrangements or may ask the department secretary to assist with making the arrangements. The employee who is traveling will be provided with confirmation numbers for accommodations and tickets, including boarding passes for travel.
If more than one staff member is driving to the same destination at the same time, they should travel together, unless “ride-sharing” is impractical. When staff members driving to the same destination travel separately for personal convenience, only one individual will be reimbursed for mileage.Within five business days after returning from a trip, a staff member should complete the Travel Reimbursement section of the Travel Request Form to obtain reimbursement for the expenses that have been incurred while on University business. The reimbursement amount will be in accordance with current University and State policy. The form should be submitted to the Director for review and approval and will then be processed by the department secretary. These forms, and repayment of any unused travel advance funds, are due to Travel Accounting within 10 days after a trip is complete.
As outlined in the Professional Proficiency section of this manual, individuals are expected to seek professional certifications. The department will reimburse the employee for the cost of one exam when the entire process is complete. Appropriate receipts should be submitted to the department secretary for processing.Smoking
The department office areas are designated as a non-smoking workplace. Smoking is prohibited in all department offices.Files
The department secretary maintains central department files. There are two major file types:
Maintenance of general office equipment should be coordinated by the
department secretary. If an employee encounters a problem the
secretary should be notified immediately. The secretary will
the problem or will arrange for service.
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