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{"sheet":"Cover","index":0,"n_rows":42,"n_cols":3,"rows_kept":42,"cut":false,"hidden":false,"merged":[[41,1,41,2],[28,1,28,2],[37,1,37,2],[39,1,39,2],[1,1,1,2],[11,1,11,2],[3,1,3,2],[25,1,25,2],[27,1,27,2],[12,1,17,2],[4,1,5,2]]}
[]
[null,"Internal Controls Self Assessment"]
[]
[null,"Why are internal controls important?"]
[null,"Internal controls are designed to provide reasonable assurance regarding the achievement of objectives in the following categories:"]
[]
[]
[null,"•","Effectiveness and efficiency of operations."]
[null,"•","Reliability of financial reporting."]
[null,"•","Compliance with applicable laws and regulations."]
[]
[null,"What are internal controls?"]
[null,"Internal control consists of five interrelated components. These are derived from the way management runs an operation or function, and are integrated with the management process. Although the components apply to the entire University, small and mid-size departments may implement them differently than large ones. Its controls may be less formal and less structured, yet a small department can still have effective internal control. The internal controls components are:"]
[]
[]
[]
[]
[]
[]
[null,"•","Control environment - The control environment sets the tone of an organization, influencing the control consciousness of its people. Control environment factors include the integrity, ethical values and competence of the entity's people; management's philosophy and operating style; the way management assigns authority and responsibility, and organizes and develops its people; and the attention and direction provided by the University. "]
[null,"•","Risk assessment - Risk assessment is the identification and analysis of relevant risks to achievement of the objectives, forming a basis for determining how the risks should be managed."]
[null,"•","Control activities - Control activities are the policies and procedures that help ensure management directives are carried out. They include a range of activities as diverse as approvals, authorizations, verifications, reconciliations, reviews of operating performance, security of assets, and segregation of duties."]
[null,"•","Information and communication - Pertinent information must be identified, captured and communicated in a form and timeframe that enables people to carry out their responsibilities. Information systems produce reports containing operational, financial and compliance-related information that make it possible to run and control the organization. Effective communication also must occur in a broader sense, flowing down, across and up the organization."]
[null,"•","Monitoring - Internal control systems need to be monitored - a process that assesses the quality of the system's performance over time. This is accomplished through ongoing monitoring activities, separate evaluations or a combination of the two. Ongoing monitoring occurs in the course of operations. Internal control deficiencies should be reported upstream, with serious matters reported to top management and the President."]
[]
[null,"The internal control definition (with its underlying fundamental concepts of process, effected by people, providing reasonable assurance), together with the categorization of objectives and the components and criteria for effectiveness, and the associated discussions, constitute this internal control framework."]
[]
[null,"What can my department do?"]
[null,"Control activities include, but are not limited to, the following:"]
[]
[null,"•","Implement segregation of duties where duties are divided, or segregated, among different people to reduce risk of error or inappropriate actions. No one person has control over all aspects of any financial transaction."]
[null,"•","Make sure transactions are authorized by a person delegated approval authority when the transactions are consistent with policy and funds are available."]
[null,"•","Ensure records are routinely reviewed and reconciled, by someone other than the preparer or transactor, to determine that transactions have been properly processed."]
[null,"•","Make certain that equipment, inventories, cash and other property are secured physically, counted periodically, and compared with item descriptions shown on control records."]
[null,"•","Provide employees with appropriate training and guidance to ensure they have the knowledge necessary to carry out their job duties, are provided with an appropriate level of direction and supervision, and are aware of the proper channels for reporting suspected improprieties."]
[null,"•","Make sure university and departmental level policies and operating procedures are formalized and communicated to employees. Documenting policies and procedures and making them accessible to employees helps provide day-to-day guidance to staff and will promote continuity of activities in the event of prolonged employee absences or turnover."]
[]
[null,"Remember, everyone in the department has responsibility for internal control."]
[]
[null,"The above internal controls definition was developed by the Committee of Sponsoring Organizations of the Treadway Commission (COSO) which is recognized by the Chief Audit Officer."]
[]
[null,"Go to Instructions"]

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[]
[null,"Instructions"]
[]
[null,"The form can be customized to include the categories relevant to your organization:"]
[]
[null,"Financial / Budget",null,"Online Payroll"]
[null,"Corporate Governance",null,"Online Purchase Orders"]
[null,"Compliance",null,"Online Registration"]
[null,"Cash",null,"Prepaid Expenses, Deposits and Other Assets"]
[null,"Gift Administration",null,"Nonexchange (contributions, state appropriations, property tax) Revenue and AR"]
[null,"Accounts Receivable",null,"Cash and Treasury Function"]
[null,"Management of Vendors",null,"Computing"]
[null,"Purchasing",null,"Master key Controls"]
[null,"Property, Plant and Equipment",null,"Accessible Technology"]
[null,"Payroll / Personnel",null,"Athletics"]
[null,"Revenue and Invoicing",null,"International Programs"]
[null,"Accounts Payable",null,"Disability Programs "]
[null,"Allocation of Expenses",null,"Capital Projects"]
[null,"Debt Obligations, Leases, and guarantees",null,"UW-Eau Claire Foundation"]
[null,"Grant Revenue",null,"University Property Management"]
[null,"Tuition Revenue",null,"University Foundation"]
[null,"Loans and Notes Receivable",null,"Continuing Education"]
[null,null,null,"Other"]
[]
[null,"Select the categories you wish to respond to by following these steps:"]
[]
[1,"Navigate to the self assessment sheet and click the drop-down filter button in the table header to reveal the category display filter"]
{"$rows_empty":13}
[2,"Check the boxes of the categories you would like to display. If you only want to respond to a few, uncheck \"select all\" and individually select desired categories"]
{"$rows_empty":28}
[3,"After making your selection, click \"ok\""]
{"$rows_empty":27}
[4,"Respond to the questions by clicking inside the cell adjacent to the question and answering by multiple choice selection, or typing your response in the field(s)\nIf you responded NO or do not use the Controls referenced, please describe what you are doing to mitigate the risk"]
{"$rows_empty":34}
[null,null,null,"Go to Self-Assessment"]

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[]
[{"$nulls":9},"Mitigating Controls","Additional Control Information"]
[null,null,"Internal Controls Self Assessment",{"$nulls":6},"If you responded NO or do not use the Controls referenced, please describe what you are doing to mitigate the risk",null,"To view links, Internet Explorer must be closed each time before clicking."]
[]
[null,"#","Internal Expert Contact","Category","Control Description","Y/N/NA","Anti-Fraud Control","Frequency of Control","Control Owner","Control References","Mitigating Controls","Additional Control Information (1)","Additional Control Information (2)","Additional Control Information (3)","Status of I/C"]
[null,1,"J. Doe","Financial / Budget","Are expenditures and commitments of funds tracked and compared to budgets on a timely basis (monthly)?",null,"Y",null,null,"SYS 306 - Budget and Allotments, Expenditures",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/accounting-and-budget-control/ "]
[null,{"$f":"B6+1","v":2},"J. Doe","Financial / Budget","Are there revenue and expenditure cycles that have documented policy and/or procedures?",{"$nulls":6},"Related Documents",null,null,"Adapted from Internal Control Questionnaire"]
[null,{"$f":"B7+1","v":3},"J. Doe","Financial / Budget","Do you maintain annual financial statements and/or operational reports?"]
[null,{"$f":"B8+1","v":4},"J. Doe","Financial / Budget","Are budget status reports prepared and provided to the department head or principal investigator on a regular and timely basis?",null,"Y",null,null,"SYS 306 - Reporting",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/accounting-and-budget-control/ "]
[null,5,"J. Doe","Financial / Budget","Is the department's \"shadow system\" reconciled to the General Ledger?",null,"Y",{"$nulls":7},"No policy about a \"shadow system\" "]
[null,6,"J. Doe","Financial / Budget","Is the department's donor database reconciled to the General Ledger on a monthly basis?",null,"Y",{"$nulls":7},"Cannot find anything specifically about a donor database"]
[null,7,"J. Doe","Financial / Budget","Is the review of the reconciliations of the donor database with the General Ledger performed timely on a regular monthly basis and within the same month the reconciliation is prepared?",null,"Y",{"$nulls":7},"Cannot find anything specifically about a donor database"]
[null,8,"J. Doe","Financial / Budget","Do federally unallowable charges have proper account codes in order to exclude them from the campus overhead rate calculation?"]
[null,9,"J. Doe","Financial / Budget","Are board-designated reserves maintained in accordance with established policy?",{"$nulls":4},"SYS 314 - Constraints and Related Attachments ",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/financial-management-of-auxiliary-operations/ "]
[null,10,"J. Doe","Financial / Budget","Are annual budgets approved by the Campus President?",null,"Y"]
[null,11,"J. Doe","Financial / Budget","Does the department's investment policy include categories for alternate investments?",{"$nulls":4},"Investment Policy for UW System",null,"https://www.wisconsin.edu/trust-funds/download/UW-System-Trust-Funds-Investment-Policy-Statement---Approved-April-6-2018.pdf"]
[null,12,"J. Doe","Financial / Budget","Does the organization/department perform cost analysis of business travels (for direct vs. indirect route and in case of travel alteration) in advance (at the travel authorization/approval stage)?",{"$nulls":4},"SYS 405 Travel and Expense - General Travel and Expense Policy",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/travel-and-expense-general-travel-expense-policy/ "]
[null,13,"J. Doe","Financial / Budget","Does the Oracle BI reporting system and Operating Budget Plan use the consistent report formats?            \ni.e., is it possible to run correct budget vs. actual analysis automatically using Oracle BI reporting system?",{"$nulls":4},"Industry Best Practices",{"$nulls":4},"We do this but no explicit written policy "]
[null,14,"J. Doe","Financial / Budget","Are benefits expenses loaded directly into University budget reporting system?",{"$nulls":4},"Industry Best Practices",null,"https://www.wisconsin.edu/regents/policies/policy-on-the-expenditure-of-tuition-revenue-and-state-general-purpose-revenue/ ",null,null,"We do this but no explicit written policy "]
[null,15,"J. Doe","Financial / Budget","Does the organization perform budgeted vs. actual analysis of benefits (by type) to identify trends, evaluate costs and monitor variances from plans?",null,"Y",null,null," Industry Best Practices                        "]
[null,16,"J. Doe","Financial / Budget","Does the organization develop and load budget data into the budgetary system at the program level (lowest level of cost center)?",{"$nulls":4},"SYS 306 - Accounting and Budget Control",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/accounting-and-budget-control/ "]
[null,17,"J. Doe","Financial / Budget","Are all the billings (incl. recharges) for services provided by the campus to 3rd parties (e.g. vendors) fully in line with the respective formal contracts?",null,"Y",null,null,"Regent Policy Document 12-1 - Competition with the Private Sector",null,"https://www.wisconsin.edu/regents/policies/competition-with-the-private-sector/","https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/internal-services-chargebacks/"]
[null,18,"J. Doe","Compliance","Does the organization have a formally documented comprehensive written risk management policy which includes procedures to actively identify, analyze, evaluate and manage the risks?",null,"Y",null,null,"SYS 600 Series: Risk Management (605, 610, 615)",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/loss-fund-operations/"]
[null,19,"J. Doe","Compliance","Does the organization obtain annual conflict-of-interest statements from all board members?",null,"Y",null,null,"1.) UW System General Counsel - Ethics and Related Links                                       \n2.) Regent Policy Document - Statement of Expectations of Board Members",null,"https://www.wisconsin.edu/general-counsel/legal-topics/ethics/","https://www.wisconsin.edu/regents/policies/statement-of-expectations-of-board-members/ "]
[null,20,"J. Doe","Compliance","Does the organization's Conflict-of-interest policy  require ethics training for Principal Investigators working on non-governmental awards?",{"$nulls":6},"http://docs.legis.wisconsin.gov/code/admin_code/uws/8/Title"]
[null,21,"J. Doe","Compliance","Do all  Principal Investigators who received the grants (non-governmental awards) complete the initial (within 6 month of receiving a grant) and subsequent (at least once in every two years during which the grant is in place) required ethics training?",{"$nulls":9},"I can't find much on principal investigators"]
[null,22,"J. Doe","Compliance","Does the organization obtain and review initial and renewal conflict-of-interest forms from  Principal Investigators?",null,"Y",{"$nulls":7},"I can't find much on principal investigators"]
[null,23,"J. Doe","Compliance","Does the organization complete effort reports for each reporting period and submit them in a timely manner?",{"$nulls":9},"I don't think we do effort reporting"]
[null,24,"J. Doe","Compliance","Are the Principal Investigators effort reports reviewed on a regular basis in order to ensure that they have been properly certified for accuracy and capture all of the Principal Investigator's effort for the respective reporting period?"]
[null,25,"J. Doe","Compliance","Does the organization perform all risk assessments prior to sub-award issuance?"]
[null,26,"J. Doe","Cash","Is separation of duties in place for cash receipts? i.e. different employees are responsible for (1) receiving and recording cash collections, (2) balancing daily cash receipts to related cash recordings, (3) verifying that the deposit amounts reflected in the General Ledger are in agreement with departmental records.",null,"Y",null,null,"UWW Cash Handling Manual",null,"https://www.uww.edu/adminaffairs/finance/accounting-services/campus-financial-policies"]
[null,27,"J. Doe","Cash","Are cash receipts from revenue generating activities or gifts promptly and timely endorsed, recorded, safeguarded, deposited and reconciled?",null,"Y",null,null,"UWW Cash Handling Manual",null,"https://www.uww.edu/adminaffairs/finance/accounting-services/campus-financial-policies"]
[null,28,"J. Doe","Cash","Are any incoming mail and the drop box opened by two individuals?",null,"Y",null,null,"UWW Cash Handling Manual",null,"https://www.uww.edu/adminaffairs/finance/accounting-services/campus-financial-policies"]
[null,29,"J. Doe","Cash","Are any checks received immediately endorsed as \"for deposit only\" and input on a log evidencing dual control?",null,"Y",null,null,"UWW Cash Handling Manual",null,"https://www.uww.edu/adminaffairs/finance/accounting-services/campus-financial-policies"]
[null,30,"J. Doe","Cash","Is it prohibited by the internal policies to accept checks by hand (including rent checks)?",null,"Y",null,null,"UWW Cash Handling Manual",null,"https://www.uww.edu/adminaffairs/finance/accounting-services/campus-financial-policies"]
[null,31,"J. Doe","Cash","Is a receipt immediately prepared upon collection of funds?",null,"Y",null,null,"UWW Cash Handling Manual",null,"https://www.uww.edu/adminaffairs/finance/accounting-services/campus-financial-policies"]
[null,32,"J. Doe","Cash","Are the deposits in transit appropriately incorporated in the year-end cash reconciliations?",{"$nulls":4},"UWW Cash Handling Manual",null,"https://www.uww.edu/adminaffairs/finance/accounting-services/campus-financial-policies"]
[null,33,"J. Doe","Cash","Are collections held in a secure manner until deposited (i.e., in a locked location)?",null,"Y",null,null,"UWW Cash Handling Manual",null,"https://www.uww.edu/adminaffairs/finance/accounting-services/campus-financial-policies"]
[null,34,"J. Doe","Cash","Are cash receipts not used to fund petty cash type purchases?",{"$nulls":4},"UWW Cash Handling Manual",null,"https://www.uww.edu/adminaffairs/finance/accounting-services/campus-financial-policies"]
[null,35,"J. Doe","Cash","Are cash and checks adequately protected when transferred to the Bursar's Office or bank?",null,"Y",null,null,"UWW Cash Handling Manual",null,"https://www.uww.edu/adminaffairs/finance/accounting-services/campus-financial-policies"]
[null,36,"J. Doe","Cash","Is there adequate physical security where cash handling activities occur?",null,"Y",null,null,"UWW Cash Handling Manual",null,"https://www.uww.edu/adminaffairs/finance/accounting-services/campus-financial-policies"]
[null,37,"J. Doe","Cash","Does the department have any written procedures for cash handling and related controls?",null,"Y",null,null,"UWW Cash Handling Manual",null,"https://www.uww.edu/adminaffairs/finance/accounting-services/campus-financial-policies"]
[null,38,"J. Doe","Cash","Are all cash or checks gifted to the University forwarded to the Advancement Office for gift processing?",null,"Y",null,null,"UWW Cash Handling Manual",null,"https://www.uww.edu/adminaffairs/finance/accounting-services/campus-financial-policies"]
[null,39,"J. Doe","Cash","Are all voids properly approved by someone other than employees making sales, collecting cash and preparing deposits?",null,"Y",null,null,"UWW Cash Handling Manual",null,"https://www.uww.edu/adminaffairs/finance/accounting-services/campus-financial-policies"]
[null,40,"J. Doe","Cash","Are all refunds and returns approved by management?",null,"Y",null,null,"UWW Cash Handling Manual",null,"https://www.uww.edu/adminaffairs/finance/accounting-services/campus-financial-policies"]
[null,41,"J. Doe","Cash","Are cash shortages/overages identified, investigated, recorded and reported?",null,"Y",null,null,"UWW Cash Handling Manual",null,"https://www.uww.edu/adminaffairs/finance/accounting-services/campus-financial-policies"]
[null,42,"J. Doe","Cash","Are credit card numbers truncated and/or redacted from all receipts and other documents?",null,"Y",null,null,"UWW Cash Handling Manual",null,"https://www.uww.edu/adminaffairs/finance/accounting-services/campus-financial-policies"]
[null,43,"J. Doe","Cash","Does the organization have a formally documented detailed Travel Expenses Reimbursement policy and procedures, which include the list of forms (incl. templates) to be completed and submitted for every travel?",{"$nulls":4},"1.) SYS 400 Series, Specifically 405 and Other Related Sections                             \n2.) UWW Travel Information Office",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/travel-and-expense-general-travel-expense-policy/","http://www.uww.edu/adminaffairs/finance/accounting-services/travel"]
[null,44,"J. Doe","Cash","Is the check requestor clearly identified on all Request for Payment/Reimbursement of Hospitality, Travelling and other expenses forms?",{"$nulls":4},"1.) SYS 400 Series, Specifically 405 and Other Related Sections                             \n2.) UWW Travel Information Office",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/travel-and-expense-general-travel-expense-policy/","http://www.uww.edu/adminaffairs/finance/accounting-services/travel"]
[null,45,"J. Doe","Cash","Is the complete listing of attendees submitted with all Requests for Payment/Reimbursement of Hospitality Expenses forms?",{"$nulls":4},"1.) SYS 400 Series, Specifically 405 and Other Related Sections                             2.) UWW Travel Information Office",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/travel-and-expense-general-travel-expense-policy/","http://www.uww.edu/adminaffairs/finance/accounting-services/travel"]
[null,46,"J. Doe","Cash","Are all Travel Claims and Expenses Report forms approved by an authorized person other than the traveler?",null,"Y",null,null,"1.) SYS 400 Series, Specifically 405 and Other Related Sections                            \n2.) UWW Travel Information Office",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/travel-and-expense-general-travel-expense-policy/","http://www.uww.edu/adminaffairs/finance/accounting-services/travel"]
[null,47,"J. Doe","Cash","Are all the exceptions to the organization's Travel Policy pre-approved before the expenses are paid by and reimbursed to the traveler?",null,"Y",null,null,"1.) SYS 400 Series, Specifically 405 and Other Related Sections                             \n2.) UWW Travel Information Office",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/travel-and-expense-general-travel-expense-policy/","http://www.uww.edu/adminaffairs/finance/accounting-services/travel"]
[null,48,"J. Doe","Gift Administration","Does the organization have an up-to-date list of persons who are delegated with the authority to accept in kind gifts/donations? ",{"$nulls":6},"http://www.uww.edu/policies/gift-policy",null,null,"Non existent "]
[null,49,"J. Doe","Gift Administration","Is the gift-acceptance authority delegated to individuals by name and title?",{"$nulls":6},"http://www.uww.edu/policies/gift-policy",null,null,"Non existent "]
[null,50,"J. Doe","Gift Administration","Does the organization complete all gift-acceptance forms?",{"$nulls":6},"http://www.uww.edu/policies/gift-policy",null,null,"Non existent "]
[null,51,"J. Doe","Gift Administration","Are all gift-acceptance forms approved by the delegated authority?",{"$nulls":6},"http://www.uww.edu/policies/gift-policy",null,null,"Non existent "]
[null,52,"J. Doe","Gift Administration","Does the delegated authority formally document certification of all matching gifts?",{"$nulls":6},"http://www.uww.edu/policies/gift-policy",null,null,"Non existent "]
[null,53,"J. Doe","Gift Administration","Is secondary review of matching-gift eligibility performed for all donor-advised funds?",null,"Y",{"$nulls":4},"http://www.uww.edu/policies/gift-policy",null,null,"Non existent "]
[null,54,"J. Doe","Gift Administration","Are acknowledgement letters sent to matching-gift companies?",{"$nulls":6},"http://www.uww.edu/policies/gift-policy",null,null,"Non existent "]
[null,55,"J. Doe","Gift Administration","Does the matching-gift policy:  \n1) identify employees authorized to certify online matching-gift claims?                                                                   \n2) require formal documentation of the eligibility review for online matching-gift claims?                             \n3) address circumstances warranting secondary review of matching-gift eligibility?                                                \n4) define a documentation retention period?",null,"Y",{"$nulls":4},"http://www.uww.edu/policies/gift-policy",null,null,"Non existent "]
[null,56,"J. Doe","Accounts Receivable","Is the detailed collection policy at place?",null,"Y",null,null,"SYS 326 Collections and Write-Offs",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/collections-and-write-offs/",null,null,"A/R controls are all pretty broad at the UW System level"]
[null,57,"J. Doe","Accounts Receivable","Is the Provision for doubtful accounts established to reflect the net collectible valuation of the related receivable accounts?",{"$nulls":4},"SYS 326 Collections and Write-Offs",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/collections-and-write-offs/",null,null,"A/R controls are all pretty broad at the UW System level"]
[null,58,"J. Doe","Accounts Receivable","Are the Past due accounts reviewed monthly and follow-up collection efforts made?",null,"Y",null,null,"SYS 326 Collections and Write-Offs",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/collections-and-write-offs/",null,null,"A/R controls are all pretty broad at the UW System level"]
[null,59,"J. Doe","Accounts Receivable","Are the collection efforts documented appropriately and evidence of collection attempts maintained?",null,"Y",null,null,"SYS 326 Collections and Write-Offs",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/collections-and-write-offs/",null,null,"A/R controls are all pretty broad at the UW System level"]
[null,60,"J. Doe","Accounts Receivable","Are the long-outstanding receivables provided for reviewed on a regular basis (at least once a year during year-end reporting) and written-off in a timely manner?",{"$nulls":4},"SYS 326 Collections and Write-Offs",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/collections-and-write-offs/",null,null,"A/R controls are all pretty broad at the UW System level"]
[null,61,"J. Doe","Accounts Receivable","Are the requirements for approval of write-off of accounts determined to be bad debts (and provided for) and adjustments for disputed amounts or other items established?",null,"Y",null,null,"SYS 326 Collections and Write-Offs",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/collections-and-write-offs/",null,null,"A/R controls are all pretty broad at the UW System level"]
[null,62,"J. Doe","Accounts Receivable","Is the AR collection policy is in line with the leading industry practices regarding the length of the grace period and % of the late penalty charges?",{"$nulls":4},"SYS 326 Collections and Write-Offs",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/collections-and-write-offs/",null,null,"A/R controls are all pretty broad at the UW System level"]
[null,63,"J. Doe","Management of Vendors","Does the Management perform regular reviews of contracts with vendors and other suppliers in order to estimate the embedded risks?",null,"Y",null,null,"\nRegent Policy Document 13-1\nGeneral Contract Approval, Signature Authority, and Reporting\n",null,"https://www.wisconsin.edu/regents/policies/general-contract-approval-signature-authority-and-reporting/","https://www.wisconsin.edu/risk-management/manual/vendor-certificates/","https://www.wisconsin.edu/procurement/information-for-vendors/"]
[null,64,"J. Doe","Management of Vendors","If the contracts review results in identification of significant risks to the organization, does the Management make the respective revisions to the contractual terms and conditions in order to mitigate/eliminate those risks?",null,"Y",null,null,"\nRegent Policy Document 13-1\nGeneral Contract Approval, Signature Authority, and Reporting\n",null,"https://www.wisconsin.edu/regents/policies/general-contract-approval-signature-authority-and-reporting/","https://www.wisconsin.edu/risk-management/manual/vendor-certificates/","https://www.wisconsin.edu/procurement/information-for-vendors/"]
[null,65,"J. Doe","Management of Vendors","Are the policies and procedures used in dealing/interaction with vendors standardized?                                                                 i.e. are the same, standard polices applied to ALL vendors/suppliers (within the specific categories) without exception?",null,"Y",null,null,"\nRegent Policy Document 13-1\nGeneral Contract Approval, Signature Authority, and Reporting\n",null,"https://www.wisconsin.edu/regents/policies/general-contract-approval-signature-authority-and-reporting/","https://www.wisconsin.edu/risk-management/manual/vendor-certificates/","https://www.wisconsin.edu/procurement/information-for-vendors/"]
[null,66,"J. Doe","Management of Vendors","Are the strategic requests made by the vendors tracked formally and resolved timely?",{"$nulls":6},"https://www.wisconsin.edu/risk-management/manual/vendor-certificates/","https://www.wisconsin.edu/procurement/information-for-vendors/",null,"Contract approval does not get this specific"]
[null,67,"J. Doe","Management of Vendors","Is the quality of services purchased from and provided to vendors appropriately and timely evaluated and managed?",{"$nulls":6},"https://www.wisconsin.edu/risk-management/manual/vendor-certificates/","https://www.wisconsin.edu/procurement/information-for-vendors/",null,"Contract approval does not get this specific"]
[null,{"$f":"B72+1","v":68},"J. Doe","Management of Vendors","Does the organization perform annual vendor feedback surveys?",{"$nulls":6},"https://www.wisconsin.edu/risk-management/manual/vendor-certificates/","https://www.wisconsin.edu/procurement/information-for-vendors/",null,"Contract approval does not get this specific"]
[null,69,"J. Doe","Management of Vendors","Does the organization review the feedback received from vendors (as a result of annual surveys) and take the appropriate actions to address the identified issues?",{"$nulls":6},"https://www.wisconsin.edu/risk-management/manual/vendor-certificates/","https://www.wisconsin.edu/procurement/information-for-vendors/",null,"Contract approval does not get this specific"]
[null,70,"J. Doe","Management of Vendors","Does the organization help market the food-vendors utilizing the available University resources (such as University website/Intranet)?",{"$nulls":6},"https://www.wisconsin.edu/risk-management/manual/vendor-certificates/","https://www.wisconsin.edu/procurement/information-for-vendors/",null,"Contract approval does not get this specific"]
[null,71,"J. Doe","Management of Vendors","Does the organization perform formal comparison of it's vendors' pricing with current market trends and cost of capital increases?",null,"Y",{"$nulls":4},"https://www.wisconsin.edu/risk-management/manual/vendor-certificates/","https://www.wisconsin.edu/procurement/information-for-vendors/",null,"Contract approval does not get this specific"]
[null,72,"J. Doe","Management of Vendors","Does the organization has and utilize the formal processes to communicate the campus based events to vendors in order to increase demand for their services?",{"$nulls":6},"https://www.wisconsin.edu/risk-management/manual/vendor-certificates/","https://www.wisconsin.edu/procurement/information-for-vendors/",null,"Contract approval does not get this specific"]
[null,73,"J. Doe","Purchasing","Is there separation of duties for purchasing activities? i.e. different individuals are responsible for (1) approving the purchasing requisitions and orders, (2) receiving ordered materials, (3) approving invoices for payment, and (4) reviewing and reconciling the monthly General Ledger.",null,"Y",null,null,"1.) UWW Procurement Policies and Related Links  \n2.) Dept of Administration Procurement Manual",null,"http://www.uww.edu/adminaffairs/finance/procurement","http://doa.wi.gov/Divisions/Enterprise-Operations/State-Bureau-of-Procurement/Agency-Information/Procurement-Manual/ "]
[null,74,"J. Doe","Purchasing","Are vendor invoices approved prior to payment, including express voucher system invoices?",null,"Y",null,null,"1.) UWW Procurement Policies and Related Links                                               \n2.) Dept of Administration Procurement Manual",null,"http://www.uww.edu/adminaffairs/finance/procurement","http://doa.wi.gov/Divisions/Enterprise-Operations/State-Bureau-of-Procurement/Agency-Information/Procurement-Manual/ "]
[null,75,"J. Doe","Purchasing","Are purchases of materials or services from University employees submitted in advance to the campus Procurement office for conflict of interest screening?",null,"Y",null,null,"1.) UWW Procurement Policies and Related Links                                               \n2.) Dept of Administration Procurement Manual",null,"http://www.uww.edu/adminaffairs/finance/procurement","http://doa.wi.gov/Divisions/Enterprise-Operations/State-Bureau-of-Procurement/Agency-Information/Procurement-Manual/ "]
[null,76,"J. Doe","Purchasing","Are purchase requisitions prepared and submitted to the Purchasing Office for all purchases over $1500 if not purchased via a P-card?",null,"Y",null,null,"1.) UWW Procurement Policies and Related Links                                               \n2.) Dept of Administration Procurement Manual",null,"http://www.uww.edu/adminaffairs/finance/procurement","http://doa.wi.gov/Divisions/Enterprise-Operations/State-Bureau-of-Procurement/Agency-Information/Procurement-Manual/ "]
[null,77,"J. Doe","Purchasing","Are the P-cards policies up-to-date and incorporate all the information required by system wide policy?",null,"Y",null,null,"1.) UWW Procurement Policies and Related Links                                               \n2.) Dept of Administration Procurement Manual",null,"http://www.uww.edu/adminaffairs/finance/procurement","http://doa.wi.gov/Divisions/Enterprise-Operations/State-Bureau-of-Procurement/Agency-Information/Procurement-Manual/ "]
[null,78,"J. Doe","Purchasing","Are the written policies and procedures for the Department Travel Card Program at place?",null,"Y",null,null,"US BANK Corporate Travel Card Policies",null,"https://www.wisconsin.edu/financial-administration/us-bank-travel-card/#policies-and-procedures-manual"]
[null,79,"J. Doe","Purchasing","Are the written policies and procedures for the Personal Liability Credit Card program at place?",null,"Y",null,null,"US BANK Corporate Travel Card Policies",null,"https://www.wisconsin.edu/financial-administration/us-bank-travel-card/#policies-and-procedures-manual",null,null,"Do not believe we have personal liability credit cards"]
[null,80,"J. Doe","Purchasing","Does the organization/department obtain approvals from an applicant's supervisor and the unit's business manager or chair on all personal liability credit card application?",null,"Y",null,null,"US BANK Corporate Travel Card Policies",null,"https://www.wisconsin.edu/financial-administration/us-bank-travel-card/#policies-and-procedures-manual",null,null,"Do not believe we have personal liability credit cards"]
[null,81,"J. Doe","Purchasing","Does the organization/department perform and document an initial review of cardholder eligibility for personal liability credit cards?",null,"Y",null,null,"US BANK Corporate Travel Card Policies",null,"https://www.wisconsin.edu/financial-administration/us-bank-travel-card/#policies-and-procedures-manual",null,null,"Do not believe we have personal liability credit cards"]
[null,82,"J. Doe","Purchasing","Is P-Card use adequately controlled and are transactions properly reviewed and sufficiently documented?",null,"Y",null,null,"1.) UWW Procurement Policies and Related Links                                               \n2.) Dept of Administration Procurement Manual",null,"http://www.uww.edu/adminaffairs/finance/procurement","http://doa.wi.gov/Divisions/Enterprise-Operations/State-Bureau-of-Procurement/Agency-Information/Procurement-Manual/ "]
[null,83,"J. Doe","Purchasing","Are all P-Card transactions approved by the department head/approving authority?",null,"Y",null,null,"1.) UWW Procurement Policies and Related Links                                               \n2.) Dept of Administration Procurement Manual",null,"http://www.uww.edu/adminaffairs/finance/procurement","http://doa.wi.gov/Divisions/Enterprise-Operations/State-Bureau-of-Procurement/Agency-Information/Procurement-Manual/"]
[null,84,"J. Doe","Purchasing","Are P-Card statements reviewed and reconciled with receipts and invoices promptly submitted to the Business Office?",null,"Y",null,null,"1.) UWW Procurement Policies and Related Links                                               \n2.) Dept of Administration Procurement Manual",null,"http://www.uww.edu/adminaffairs/finance/procurement","http://doa.wi.gov/Divisions/Enterprise-Operations/State-Bureau-of-Procurement/Agency-Information/Procurement-Manual/ "]
[null,85,"J. Doe","Purchasing","Do approval procedures require that the original sales receipt or invoice accompany the P-Card purchase?",null,"Y",null,null,"1.) UWW Procurement Policies and Related Links                                               \n2.) Dept of Administration Procurement Manual",null,"http://www.uww.edu/adminaffairs/finance/procurement","http://doa.wi.gov/Divisions/Enterprise-Operations/State-Bureau-of-Procurement/Agency-Information/Procurement-Manual/ "]
[null,86,"J. Doe","Purchasing","Are P-Cards returned to Purchasing when employees terminate employment and respective credit lines timely closed?",null,"Y",null,null,"1.) UWW Procurement Policies and Related Links                                               \n2.) Dept of Administration Procurement Manual",null,"http://www.uww.edu/adminaffairs/finance/procurement","http://doa.wi.gov/Divisions/Enterprise-Operations/State-Bureau-of-Procurement/Agency-Information/Procurement-Manual/ "]
[null,87,"J. Doe","Purchasing","Is the use of P-cards monitored in order  to ensure that only business-related expenses are incurred, and payments are made in timely manner?",null,"Y",null,null,"1.) UWW Procurement Policies and Related Links                                               \n2.) Dept of Administration Procurement Manual",null,"http://www.uww.edu/adminaffairs/finance/procurement","http://doa.wi.gov/Divisions/Enterprise-Operations/State-Bureau-of-Procurement/Agency-Information/Procurement-Manual/ "]
[null,88,"J. Doe","Purchasing","Are there controls for where P-card purchases can be sent and/or who can receive the items?",{"$nulls":9},"Adapted from Internal Control Questionnaire"]
[null,89,"J. Doe","Purchasing","Is there a separate receiving department for P-card purchases?",{"$nulls":9},"Adapted from Internal Control Questionnaire"]
[null,90,"J. Doe","Purchasing","Is there a P-card Site Manager(s) and auditor(s)?",{"$nulls":9},"Adapted from Internal Control Questionnaire"]
[null,91,"J. Doe","Purchasing","Are there controls for where MDS purchases can be sent and/or who can receive the items?",{"$nulls":9},"Adapted from Internal Control Questionnaire"]
[null,92,"J. Doe","Purchasing","Are MDS accounts deactivated when employees terminate employment and respective credit lines timely closed?",{"$nulls":9},"Adapted from Internal Control Questionnaire"]
[null,93,"J. Doe","Purchasing","In there a control for who can process external requisitions/Blanket Pops?",{"$nulls":9},"Adapted from Internal Control Questionnaire"]
[null,94,"J. Doe","Purchasing","Are all expenditure and related vouchers independently reviewed for completeness, accuracy, and compliance with University policies, and in agreement with supporting documentation before being approved for payment?",null,"Y",null,null,"1.) UWW Procurement Policies and Related Links                                               \n2.) Dept of Administration Procurement Manual",null,"http://www.uww.edu/adminaffairs/finance/procurement","http://doa.wi.gov/Divisions/Enterprise-Operations/State-Bureau-of-Procurement/Agency-Information/Procurement-Manual/ "]
[null,95,"J. Doe","Purchasing","Does the organization regularly (at least once a year) review its vendor master file to determine whether any vendor addresses matched employee addresses, as well as to identify any duplicate vendors, vendors with only a post office box and no physical address, or other incomplete information?",null,"Y",null,null,"1.) UWW Procurement Policies and Related Links                                               \n2.) Dept of Administration  Procurement Manual",null,"http://www.uww.edu/adminaffairs/finance/procurement","http://doa.wi.gov/Divisions/Enterprise-Operations/State-Bureau-of-Procurement/Agency-Information/Procurement-Manual/ "]
[null,96,"J. Doe","Purchasing","In case vendors with suspicious or incomplete information are identified, does the organization properly investigate such cases?",null,"Y",null,null,"1.) UWW Procurement Policies and Related Links                                               \n2.) Dept of Administration  Procurement Manual",null,"http://www.uww.edu/adminaffairs/finance/procurement","http://doa.wi.gov/Divisions/Enterprise-Operations/State-Bureau-of-Procurement/Agency-Information/Procurement-Manual/ "]
[null,97,"J. Doe","Purchasing","Is the review of purchases performed on a regular basis (at least once a year) to ensure that expenses are reasonable comparing to that of other departments and previous periods?",{"$nulls":4},"1.) UWW Procurement Policies and Related Links                                               \n2.) Dept of Administration  Procurement Manual",null,"http://www.uww.edu/adminaffairs/finance/procurement","http://doa.wi.gov/Divisions/Enterprise-Operations/State-Bureau-of-Procurement/Agency-Information/Procurement-Manual/ "]
[null,98,"J. Doe","Purchasing","Are the employee-vendor relationships monitored on a regular basis in order to prevent and/or identify conflicts of interest?",null,"Y",null,null,"1.) UWW Procurement Policies and Related Links                                               \n2.) Dept of Administration  Procurement Manual",null,"http://www.uww.edu/adminaffairs/finance/procurement","http://doa.wi.gov/Divisions/Enterprise-Operations/State-Bureau-of-Procurement/Agency-Information/Procurement-Manual/ "]
[null,99,"J. Doe","Purchasing","Are there any other controls and procedures at place to prevent, identify and monitor potential conflicts of interest?  If \"Yes\", please list which exactly.",null,"Y",null,null,"1.) UWW Procurement Policies and Related Links                                               \n2.) Dept of Administration  Procurement Manual",null,"http://www.uww.edu/adminaffairs/finance/procurement","http://doa.wi.gov/Divisions/Enterprise-Operations/State-Bureau-of-Procurement/Agency-Information/Procurement-Manual/ "]
[null,100,"J. Doe","Purchasing","Does the organization advertise acquisitions of ITR services of more than $50,000 and less than $500,000 in the CSCR?",null,"Y",null,null,"1.) UWW Procurement Policies and Related Links                                               \n2.) Dept of Administration  Procurement Manual",null,"http://www.uww.edu/adminaffairs/finance/procurement","http://doa.wi.gov/Divisions/Enterprise-Operations/State-Bureau-of-Procurement/Agency-Information/Procurement-Manual/ "]
[null,101,"J. Doe","Purchasing","Does the organization always obtain competitive bids for purchases of more than $5,000?",null,"Y",null,null,"1.) UWW Procurement Policies and Related Links                                               \n2.) Dept of Administration  Procurement Manual",null,"http://www.uww.edu/adminaffairs/finance/procurement","http://doa.wi.gov/Divisions/Enterprise-Operations/State-Bureau-of-Procurement/Agency-Information/Procurement-Manual/ "]
[null,102,"J. Doe","Purchasing","Are all of the organization's written delegations of authority up to date?",null,"Y",null,null,"1.) UWW Procurement Policies and Related Links                                               \n2.) Dept of Administration Procurement Manual",null,"http://www.uww.edu/adminaffairs/finance/procurement","http://doa.wi.gov/Divisions/Enterprise-Operations/State-Bureau-of-Procurement/Agency-Information/Procurement-Manual/ "]
[null,103,"J. Doe","Purchasing","Does the management monitor the compliance of buyers with the limits of delegated to them authority?",{"$nulls":4},"1.) UWW Procurement Policies and Related Links                                               \n2.) Dept of Administration Procurement Manual",null,"http://www.uww.edu/adminaffairs/finance/procurement","http://doa.wi.gov/Divisions/Enterprise-Operations/State-Bureau-of-Procurement/Agency-Information/Procurement-Manual/ "]
[null,104,"J. Doe","Purchasing","Does the organization report all non-public works contracts of more than $5,000 to the DFEH?",{"$nulls":4},"1.) UWW Procurement Policies and Related Links                                               \n2.) Dept of Administration  Procurement Manual",null,"http://www.uww.edu/adminaffairs/finance/procurement","http://doa.wi.gov/Divisions/Enterprise-Operations/State-Bureau-of-Procurement/Agency-Information/Procurement-Manual/ "]
[null,105,"J. Doe","Purchasing","Does the organization document the decision to waive DVBE participation requirements for competitive solicitations in cases where it is determined that DVBE participation is not required?",{"$nulls":4},"1.) UWW Procurement Policies and Related Links                                               \n2.) Dept of Administration  Procurement Manual",null,"http://www.uww.edu/adminaffairs/finance/procurement","http://doa.wi.gov/Divisions/Enterprise-Operations/State-Bureau-of-Procurement/Agency-Information/Procurement-Manual/ "]
[null,106,"J. Doe","Purchasing","Does the organization obtain conflict-of-interest and confidentiality statements from all employees involved in the proposal evaluation process?",null,"Y",null,null,"1.) UWW Procurement Policies and Related Links                                               \n2.) Dept of Administration  Procurement Manual",null,"http://www.uww.edu/adminaffairs/finance/procurement","http://doa.wi.gov/Divisions/Enterprise-Operations/State-Bureau-of-Procurement/Agency-Information/Procurement-Manual/ "]
[null,107,"J. Doe","Property, Plant and Equipment","Is there separation of duties for PPE management and accounting? i.e. employees assigned to perform physical inventories (to confirm the existence of PPE items) are not responsible for maintaining custody of the items. Property Survey Request forms are approved by someone not directly responsible for custody or disposal of equipment.",null,"Y",{"$nulls":4},"https://www.wisconsin.edu/capital-planning/property/"]
[null,108,"J. Doe","Property, Plant and Equipment","Are the appropriate records of capitalized and non-capitalized equipment maintained in the PeopleSoft Asset management systems?",null,"Y",null,null,"Annual Property Revaluation and Renewal",null,"https://www.wisconsin.edu/risk-management/manual/annual-renewal/","https://www.wisconsin.edu/capital-planning/property/"]
[null,109,"J. Doe","Property, Plant and Equipment","Is the Instructional equipment with book value greater than $500 accounted for?",{"$nulls":6},"https://www.wisconsin.edu/capital-planning/property/"]
[null,110,"J. Doe","Property, Plant and Equipment","Is the Instructional Equipment Inventory Report prepared on a regular basis (as required by the  Chancellor’s Budget Office)?",{"$nulls":4},"SYS 334 Accountability for Capital Equipment - 6D",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/accountability-for-capital-equipment/","https://www.wisconsin.edu/capital-planning/property/"]
[null,111,"J. Doe","Property, Plant and Equipment","Is  property tagged before it is distributed to the accepting department/organization?",{"$nulls":4},"SYS 334 Accountability for Capital Equipment - 6A",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/accountability-for-capital-equipment/","https://www.wisconsin.edu/capital-planning/property/"]
[null,112,"J. Doe","Property, Plant and Equipment","Does the organization determine the fair market value of the asset transferred from another campus, auxiliary organization or state agencies right upon acceptance of items?",{"$nulls":6},"https://www.wisconsin.edu/capital-planning/property/"]
[null,113,"J. Doe","Property, Plant and Equipment","Is all organization's equipment tagged with UWW property numbers?",null,"Y",null,null,"SYS 334 Accountability for Capital Equipment - 6A",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/accountability-for-capital-equipment/","https://www.wisconsin.edu/capital-planning/property/"]
[null,114,"J. Doe","Property, Plant and Equipment","Does the organization developed specific policy and procedures for Physical Inventory count, which include the frequency, number and positions of people involved into counting, documents/forms to be completed during count, etc.?",{"$nulls":4},"SYS 334 Accountability for Capital Equipment - 6C",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/accountability-for-capital-equipment/","https://www.wisconsin.edu/capital-planning/property/"]
[null,115,"J. Doe","Property, Plant and Equipment","Does the organization take Physical Inventory of Capitalized Federally Funded Equipment at least every 2 (two) years and properly document them?",null,"Y",null,null,"SYS 334 Accountability for Capital Equipment - 6C",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/accountability-for-capital-equipment/","https://www.wisconsin.edu/capital-planning/property/"]
[null,116,"J. Doe","Property, Plant and Equipment","Does the organization take Complete Physical Inventory of all  capitalized and non-capitalized equipment at least every 3 (three) years and document them?",null,"Y",null,null,"SYS 334 Accountability for Capital Equipment - 6C",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/accountability-for-capital-equipment/","https://www.wisconsin.edu/capital-planning/property/"]
[null,117,"J. Doe","Property, Plant and Equipment","Is the completed Physical Inventory reviewed and approved by management?",{"$nulls":4},"SYS 334 Accountability for Capital Equipment - 6C",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/accountability-for-capital-equipment/","https://www.wisconsin.edu/capital-planning/property/"]
[null,118,"J. Doe","Property, Plant and Equipment","Is the Physical Inventory of capitalized equipment timely reconciled to the general ledger?",{"$nulls":4},"SYS 334 Accountability for Capital Equipment - 6C",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/accountability-for-capital-equipment/","https://www.wisconsin.edu/capital-planning/property/"]
[null,119,"J. Doe","Property, Plant and Equipment","Are the records of the equipment location and/or status maintained in the PeopleSoft Asset Management System?",null,"Y",null,null,"SYS 334 Accountability for Capital Equipment - 6B",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/accountability-for-capital-equipment/","https://www.wisconsin.edu/capital-planning/property/"]
[null,120,"J. Doe","Property, Plant and Equipment","Is the timing requirements for adjustments (e.g. purchases, disposals, location change, etc.) to the asset management system specified in the organization's procedures?",{"$nulls":4},"SYS 334 Accountability for Capital Equipment - 6A & 6B",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/accountability-for-capital-equipment/","https://www.wisconsin.edu/capital-planning/property/"]
[null,121,"J. Doe","Property, Plant and Equipment","Can all your equipment items be located?",null,"Y",null,null,"SYS 334 Accountability for Capital Equipment - 6A",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/accountability-for-capital-equipment/","https://www.wisconsin.edu/capital-planning/property/"]
[null,122,"J. Doe","Property, Plant and Equipment","Has all the property used off the campus been approved to be used off-site?",null,"Y",{"$nulls":4},"https://www.wisconsin.edu/capital-planning/property/"]
[null,123,"J. Doe","Property, Plant and Equipment","Is the return of the property used (during a certain period of time) off-site documented on the authorization form with appropriate signatures?",{"$nulls":6},"https://www.wisconsin.edu/capital-planning/property/"]
[null,124,"J. Doe","Property, Plant and Equipment","Does the organization keep authorization forms (used to document the return of property used off-site) on file and store them for the specified period of time?",{"$nulls":6},"https://www.wisconsin.edu/capital-planning/property/"]
[null,125,"J. Doe","Property, Plant and Equipment","Are all the University computers used in an employee's home tracked, tagged, inventoried and approved for use off-site?",null,"Y",{"$nulls":4},"https://www.wisconsin.edu/capital-planning/property/"]
[null,126,"J. Doe","Property, Plant and Equipment","Are there established procedures for maintaining, storing, moving, installing and loss prevention of major athletic equipment?",{"$nulls":6},"https://www.wisconsin.edu/capital-planning/property/"]
[null,127,"J. Doe","Property, Plant and Equipment","Does the organization have a Motor Vehicle Inspection Program?",{"$nulls":6},"https://www.wisconsin.edu/capital-planning/property/"]
[null,128,"J. Doe","Property, Plant and Equipment","Does the organization implement appropriate equipment loss prevention/protection measures?",null,"Y",{"$nulls":4},"https://www.wisconsin.edu/capital-planning/property/"]
[null,129,"J. Doe","Property, Plant and Equipment","Does the organization obtain and retain copies of the non-profit organization’s 501(c)3 certifications for all the donations?",{"$nulls":6},"https://www.wisconsin.edu/capital-planning/property/"]
[null,130,"J. Doe","Property, Plant and Equipment","Are there any department assets (property, equipment, supplies, etc.) that you believe are not adequately protected against theft or misuse?",{"$nulls":6},"https://www.wisconsin.edu/capital-planning/property/"]
[null,131,"J. Doe","Property, Plant and Equipment","Is stolen or unlocated equipment reported to campus police immediately upon learning that the item is missing?",null,"Y",{"$nulls":4},"https://www.wisconsin.edu/capital-planning/property/"]
[null,{"$f":"B136+1","v":132},"J. Doe","Property, Plant and Equipment","Is the IT security department notified immediately (in all cases) upon discovery of theft or loss of information assets or equipment containing information assets?",null,"Y",{"$nulls":4},"https://www.wisconsin.edu/capital-planning/property/"]
[null,133,"J. Doe","Property, Plant and Equipment","Are disposed fixed assets timely reported to ABS for the removal from the fixed asset management system?",{"$nulls":6},"https://www.wisconsin.edu/capital-planning/property/"]
[null,134,"J. Doe","Property, Plant and Equipment","Does the Campus have a Property Survey Committee (PSC) responsible for determining whether the disposal of surplus property is in the best interest of the state?",null,"Y",{"$nulls":4},"https://www.wisconsin.edu/capital-planning/property/"]
[null,135,"J. Doe","Property, Plant and Equipment","Is a property transaction form completed for every equipment item that the department/organization deems as surplus?",{"$nulls":6},"https://www.wisconsin.edu/risk-management/manual/annual-renewal/","https://www.wisconsin.edu/capital-planning/property/"]
[null,136,"J. Doe","Property, Plant and Equipment","Are all property survey and property transfer reports approved by at least two PSC members prior to the completion of the disposition transaction (regarding all capitalized and non-capitalized equipment deemed trackable or taggable)?",null,"Y",{"$nulls":4},"https://www.wisconsin.edu/risk-management/manual/annual-renewal/","https://www.wisconsin.edu/capital-planning/property/"]
[null,137,"J. Doe","Property, Plant and Equipment","Are all items of property transferred, or disposed of outside the campus, only after approval of the campus defined Property Survey Committee?",null,"Y",{"$nulls":4},"https://www.wisconsin.edu/risk-management/manual/annual-renewal/","https://www.wisconsin.edu/capital-planning/property/"]
[null,138,"J. Doe","Property, Plant and Equipment","Is the transfer of  equipment to another campus, auxiliary organization or state agency documented on a campus property transfer report and properly approved by both the campus transferring the equipment and the other campus or state agency accepting the equipment?",{"$nulls":6},"https://www.wisconsin.edu/risk-management/manual/annual-renewal/","https://www.wisconsin.edu/capital-planning/property/"]
[null,139,"J. Doe","Property, Plant and Equipment","Is the fixed assets disposal approval procedure properly documented?",null,"Y",null,null,"SYS 334 Accountability for Capital Equipment - 6B",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/accountability-for-capital-equipment/","https://www.wisconsin.edu/capital-planning/property/"]
[null,140,"J. Doe","Property, Plant and Equipment","Does the organization ensure all known special requirements for equipment are addressed?",{"$nulls":6},"https://www.wisconsin.edu/capital-planning/property/"]
[null,141,"J. Doe","Payroll / Personnel","Is there separation of duties for payroll activities? i.e. are different employees are responsible for (1) updating the on-line Payroll/Personnel System (PPS), (2) reviewing PPS transactions (PAN notices), (3) reviewing the monthly Distribution of Payroll Expense (DOPE) reports, and (4) distributing payroll checks and SurePay statements.",null,"Y",null,null,"1.) Compilation of Policies and Procedures for UW Auxiliary Organizations; \n2.)  Human Resources Code;                                                     \n3.) UW System Administrative Policies;                   ",null,"https://www.wisconsin.edu/ohrwd/policies/ups-operational-policies/","http://docs.legis.wisconsin.gov/statutes/statutes/36/115"]
[null,142,"J. Doe","Payroll / Personnel","Does the organization have formally documented policies and procedures that provide clear direction of actions undertaken by Benefits, HRIS, A/R and Payroll functions?",null,"Y",{"$nulls":4},"https://www.wisconsin.edu/ohrwd/policies/ups-operational-policies/","http://docs.legis.wisconsin.gov/statutes/statutes/36/116"]
[null,143,"J. Doe","Payroll / Personnel","Are your staff employee overtime hours properly authorized, recorded and compensated?",null,"Y",{"$nulls":4},"https://www.wisconsin.edu/ohrwd/download/policies/ops/tc3.pdf","https://www.wisconsin.edu/ohrwd/policies/ups-operational-policies/","https://www.wisconsin.edu/personnelsystems/download/development_documents/ops/tc/UPS-OP-TC-3-Comparison-to-UPG's-and-OSER-Comp-Plan.pdf"]
[null,144,"J. Doe","Payroll / Personnel","Are your staff employee time-worked records reviewed and approved by the supervisor?",null,"Y",{"$nulls":4},"https://www.wisconsin.edu/ohrwd/policies/ups-operational-policies/"]
[null,145,"J. Doe","Payroll / Personnel","Are staff performance evaluations prepared on a timely basis?",{"$nulls":6},"https://www.wisconsin.edu/ohrwd/policies/ups-operational-policies/"]
[null,146,"J. Doe","Payroll / Personnel","Are administrative staff cross- trained to provide coverage during extended absences?",{"$nulls":6},"https://www.wisconsin.edu/ohrwd/policies/ups-operational-policies/"]
[null,147,"J. Doe","Payroll / Personnel","Are employees sufficiently trained to perform assigned roles and responsibilities to support payroll processing (time reported, on-line time entry, etc.)?",{"$nulls":6},"https://www.wisconsin.edu/ohrwd/policies/ups-operational-policies/"]
[null,148,"J. Doe","Payroll / Personnel","Are payroll reports monitored to identify unapproved time, miscoding's, etc.?",null,"Y",{"$nulls":4},"https://www.wisconsin.edu/ohrwd/policies/ups-operational-policies/"]
[null,149,"J. Doe","Payroll / Personnel","Are job descriptions accurate and up-to-date for all employees in the department?",{"$nulls":6},"https://www.wisconsin.edu/ohrwd/policies/ups-operational-policies/"]
[null,150,"J. Doe","Payroll / Personnel","Are all positions authorized before they are filled?",null,"Y",{"$nulls":4},"https://www.wisconsin.edu/ohrwd/policies/ups-operational-policies/"]
[null,151,"J. Doe","Payroll / Personnel","Are timesheets properly approved by someone with direct supervision and knowledge of the employee's daily work schedule?",null,"Y",{"$nulls":4},"https://www.wisconsin.edu/ohrwd/policies/ups-operational-policies/"]
[null,152,"J. Doe","Payroll / Personnel","Is all overtime and comp time recorded on the University payroll/timekeeping system?",{"$nulls":6},"https://www.wisconsin.edu/ohrwd/download/policies/ops/tc3.pdf","https://www.wisconsin.edu/ohrwd/policies/ups-operational-policies/","https://www.wisconsin.edu/personnelsystems/download/development_documents/ops/tc/UPS-OP-TC-3-Comparison-to-UPG's-and-OSER-Comp-Plan.pdf"]
[null,153,"J. Doe","Payroll / Personnel","When an employee terminated, do procedures ensure that computer access is suspended; building and office keys are returned; all borrowed University equipment is returned; and any balances due from the employee is promptly collected?",null,"Y",{"$nulls":4},"https://www.wisconsin.edu/ohrwd/policies/ups-operational-policies/"]
[null,154,"J. Doe","Payroll / Personnel","Are all the documents pertaining to an employee's termination submitted to and maintained in the employee's personal file?",{"$nulls":6},"https://www.wisconsin.edu/ohrwd/policies/ups-operational-policies/"]
[null,155,"J. Doe","Payroll / Personnel","Does the organization have a specific procedure to ensure that the information about employees' terminations is entered into the PeopleSoft HR system timely (on the employee last working day)?",null,"Y",{"$nulls":4},"https://www.wisconsin.edu/ohrwd/policies/ups-operational-policies/"]
[null,156,"J. Doe","Payroll / Personnel","Does the organization hold Managers/Supervisors accountable for making late employment termination entries into PeopleSoft HP system? If \"Yes\", please describe how exactly.",{"$nulls":4},"Industry Best Practices",null,"https://www.wisconsin.edu/ohrwd/policies/ups-operational-policies/"]
[null,157,"J. Doe","Payroll / Personnel","Does the organization apply department budget reduction policies (including a budget penalty fee program) in respect to the departments which management fails to timely notify the HR about their employees' terminations?",{"$nulls":4},"Industry Best Practices",null,"https://www.wisconsin.edu/ohrwd/policies/ups-operational-policies/"]
[null,158,"J. Doe","Payroll / Personnel","Does the Payroll Manager review the weekly report from PeopleSoft (which include information on all terminations) prior to month-end processing of the payroll?",null,"Y",{"$nulls":4},"https://www.wisconsin.edu/ohrwd/policies/ups-operational-policies/",null,null,"Policies on UW System lack specificity like this"]
[null,159,"J. Doe","Payroll / Personnel","Does the organization use the standard letter template to be sent to the overpaid former employees in order to communicate the details of overpayment?",{"$nulls":6},"https://www.wisconsin.edu/ohrwd/policies/ups-operational-policies/"]
[null,160,"J. Doe","Payroll / Personnel","Does the organization perform independent, detail and documented reconciliations of salary changes to payroll records on a regular basis (at least once a quarter)?",{"$nulls":6},"https://www.wisconsin.edu/ohrwd/policies/ups-operational-policies/"]
[null,161,"J. Doe","Payroll / Personnel","Is the information in PPT reports consistent with the data in PeopleSoft (i.e. transaction codes are identical, etc.)?",{"$nulls":6},"https://www.wisconsin.edu/ohrwd/policies/ups-operational-policies/"]
[null,162,"J. Doe","Payroll / Personnel","Does the Payroll function Management monitor the number of retroactive payroll requests of PIMS on a regular basis (at least quarterly) in order to estimate and minimize the total amount of SCO fees to be charged?",{"$nulls":6},"https://www.wisconsin.edu/ohrwd/policies/ups-operational-policies/"]
[null,163,"J. Doe","Payroll / Personnel","Did all HR and Payroll employees responsible for the student and hourly personnel Payroll-related information processing receive the training on how to review and sign-off for the students/hourly personnel hours timely?",{"$nulls":6},"https://www.wisconsin.edu/ohrwd/policies/ups-operational-policies/"]
[null,164,"J. Doe","Payroll / Personnel","Is the tracking process for student hours and work study is at place?",{"$nulls":4},"1.) UW System General Student Employment Policies                                \n2.) UW Whitewater Student Employment Workbook",null,"https://www.wisconsin.edu/ohrwd/download/policies/ops/gen20.pdf","http://www.uww.edu/studentemployment/students/policy-manual"]
[null,165,"J. Doe","Payroll / Personnel","Does all the information loaded into PeopleSoft entered by employees outside of Payroll function?",null,"Y",null,null,"Industry Best Practices"]
[null,166,"J. Doe","Payroll / Personnel","Does the company have a 1st level proxy (alternate) approver who is responsible for signing off TL on behalf of the primary 1st level approver when he is unavailable?",{"$nulls":4},"Industry Best Practices",{"$nulls":4},"Can't find anything about an alternate approver"]
[null,167,"J. Doe","Payroll / Personnel","Are procedures in effect to ensure that the proper I-9 paperwork is completed before employee begins to work and the form is reviewed and approved not later than 3 days after the employee's first date of employment?",{"$nulls":4},"UW System Policy on I-9 Verifications",null,"https://www.wisconsin.edu/ohrwd/download/policies/ops/hr11.pdf"]
[null,168,"J. Doe","Payroll / Personnel","Are the official personnel files complete and accurate?",{"$nulls":4},"UW System Personnel Files Policy Document",null,"https://www.wisconsin.edu/ohrwd/download/policies/ops/hr13.pdf","https://www.wisconsin.edu/ohrwd/download/2018-12-10-UPS-OP-HR-13-Personnel-Files_FNL.pdf"]
[null,169,"J. Doe","Payroll / Personnel","Are all credentials, licenses, performance appraisals, and documented disciplinary actions given to the appropriate human resources office in a timely manner?",{"$nulls":9},"Can't find anything about timeliness "]
[null,170,"J. Doe","Revenue and Invoicing","Does the organization invoice all counteragents in a timely manner, right after the services are rendered or goods shipped?",{"$nulls":4},"SYS 306 - Accounting and Budget Control",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/accounting-and-budget-control/"]
[null,171,"J. Doe","Revenue and Invoicing","Does the organization reconcile the accounting data (revenue transactions) with the sales supporting documents on a monthly basis?",null,"Y",null,null,"SYS 306 - Accounting and Budget Control",null,null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/accounting-and-budget-control/ "]
[null,172,"J. Doe","Revenue and Invoicing","Does the organization have a formal written policy that describes the criteria for fee adjustments and the respective approval process?",null,"Y",null,null,"SYS 805 - Tuition and Fee Policies for Credit Instruction, Section B. Fee Waivers and Remissions",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/tuition-and-fee-policies-for-credit-instruction/#B.FeeWaiversandRemissions ","https://docs.legis.wisconsin.gov/statutes/statutes/36/27/3"]
[null,173,"J. Doe","Revenue and Invoicing","Does the organization have a list of fees that can be adjusted or waived and the reasoning?",null,"Y",null,null,"SYS 805 - Tuition and Fee Policies for Credit Instruction, Section B. Fee Waivers and Remissions",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/tuition-and-fee-policies-for-credit-instruction/#B.FeeWaiversandRemissions ","https://docs.legis.wisconsin.gov/statutes/statutes/36/27/3"]
[null,174,"J. Doe","Revenue and Invoicing","Does the organization perform the regular review of all fee adjustments and waivers to assess the impact on UWW revenue?",null,"Y",null,null,"SYS 805 - Tuition and Fee Policies for Credit Instruction, Section B. Fee Waivers and Remissions",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/tuition-and-fee-policies-for-credit-instruction/#B.FeeWaiversandRemissions "]
[null,175,"J. Doe","Revenue and Invoicing","Are fees charged for processing an application?",{"$nulls":9},"Adapted from Internal Control Questionnaire"]
[null,176,"J. Doe","Accounts Payable","Are obligations for goods and services received recognized in the proper period?",{"$nulls":4},"Industry Best Practices",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/accounting-and-budget-control/"]
[null,177,"J. Doe","Accounts Payable","Are obligations for goods and services received recorded at (in)correct amounts, and/or are payments to customers applied (in)correctly?",{"$nulls":4},"Industry Best Practices",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/accounting-and-budget-control/"]
[null,178,"J. Doe","Accounts Payable","Is management monitoring Accounts Payable and (Non)Operating Expenditures?",{"$nulls":6},"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/accounting-and-budget-control/"]
[null,179,"J. Doe","Allocation of Expenses","Are expenses properly allocated by function?",{"$nulls":4},"Industry Best Practices",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/accounting-and-budget-control/"]
[null,180,"J. Doe","Allocation of Expenses","Is management monitoring allocation of expenses and joint costs?",{"$nulls":6},"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/accounting-and-budget-control/"]
[null,181,"J. Doe","Debt Obligations, Leases, and Guarantees","Are notes payable and debt obligations recorded, and are the amounts recorded (in)correct or (im)properly classified?",{"$nulls":4},"Industry Best Practices"]
[null,182,"J. Doe","Debt Obligations, Leases, and Guarantees","Is interest expense and accrued interest correct?",{"$nulls":4},"Industry Best Practices"]
[null,183,"J. Doe","Debt Obligations, Leases, and Guarantees","Is management monitoring debt obligations, leases and guarantees?"]
[null,184,"J. Doe","Grant Revenue","Are grant revenue and accounts receivable balance valid and payments applied correctly?",{"$nulls":4},"Industry Best Practices",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/financial-management-of-auxiliary-operations/"]
[null,185,"J. Doe","Grant Revenue","Are grant revenue and deferred revenue recorded at a correct amount, and/or in the correct period?",{"$nulls":4},"Industry Best Practices",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/financial-management-of-auxiliary-operations/"]
[null,186,"J. Doe","Grant Revenue","Are the grant accounts receivable adjusted to net realizable value?",{"$nulls":4},"SYS 342 - Extramural Support Administration",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/extramural-support-administration/","https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/financial-management-of-auxiliary-operations/"]
[null,187,"J. Doe","Grant Revenue","Are conditions of the grant adhered to?",{"$nulls":4},"SYS 342 - Extramural Support Administration",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/extramural-support-administration/","https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/financial-management-of-auxiliary-operations/"]
[null,188,"J. Doe","Grant Revenue","Is management monitoring grant revenue?",{"$nulls":4},"RPD 21-8 - Policy on the Annual Distribution of Tuition and Fee Revenue and State General Purpose Revenue",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/financial-management-of-auxiliary-operations/"]
[null,189,"J. Doe","Tuition Revenue","Are tuition, fees, room & board revenue and accounts receivable balances valid, and/or applied correctly?",{"$nulls":4},"RPD 21-8 - Policy on the Annual Distribution of Tuition and Fee Revenue and State General Purpose Revenue",null,"https://www.wisconsin.edu/regents/policies/policy-on-the-annual-distribution-of-tuition-and-fee-revenue-and-state-general-purpose-revenue/#RelatedRegentPoliciesandApplicableLaws","https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/financial-management-of-auxiliary-operations/"]
[null,190,"J. Doe","Tuition Revenue","Are tuition, fees, room & board revenue and deferred revenue recorded at a(n) (in)correct amount, and/or an (in)correct period?",{"$nulls":4},"Industry Best Practices",null,"https://www.wisconsin.edu/regents/policies/program-revenue-balances-and-reserves-policy/","https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/financial-management-of-auxiliary-operations/"]
[null,191,"J. Doe","Tuition Revenue","Are student accounts receivable adjusted to net realizable value, and/or are allowances recorded?",{"$nulls":4},"Industry Best Practices",null,"https://www.wisconsin.edu/regents/policies/program-revenue-balances-and-reserves-policy/","https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/financial-management-of-auxiliary-operations/"]
[null,192,"J. Doe","Tuition Revenue","Are conditions of the grant adhered to?",{"$nulls":4},"RPD 21-8 - Policy on the Annual Distribution of Tuition and Fee Revenue and State General Purpose Revenue",null,"https://www.wisconsin.edu/regents/policies/policy-on-the-annual-distribution-of-tuition-and-fee-revenue-and-state-general-purpose-revenue/#RelatedRegentPoliciesandApplicableLaws","https://www.wisconsin.edu/regents/policies/program-revenue-balances-and-reserves-policy/","https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/financial-management-of-auxiliary-operations/"]
[null,193,"J. Doe","Tuition Revenue","Is management monitoring tuition revenue?",{"$nulls":4},"RPD 21-8 - Policy on the Annual Distribution of Tuition and Fee Revenue and State General Purpose Revenue",null,"https://www.wisconsin.edu/regents/policies/program-revenue-balances-and-reserves-policy/","https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/financial-management-of-auxiliary-operations/"]
[null,194,"J. Doe","Loans and Notes Receivable","Are loans and notes receivable recorded, and are they recorded at (in)correct amounts, and/or are balances (im)property classified?",{"$nulls":4},"Industry Best Practices"]
[null,195,"J. Doe","Loans and Notes Receivable","Are interest income and accrued interest recorded (in)correctly?",{"$nulls":4},"Industry Best Practices"]
[null,{"$f":"B200+1","v":196},"J. Doe","Loans and Notes Receivable","Are impairments recognized?",{"$nulls":4},"Industry Best Practices"]
[null,197,"J. Doe","Loans and Notes Receivable","Is management monitoring loans and notes receivable?"]
[null,198,"J. Doe","Online Payroll","Are on-line timesheet submissions property initiated or authorized, or incorrect or fraudulent?",{"$nulls":4},"UW System Administrative Policy 215: Payment Methods and Timing for Payroll",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/payment-methods-and-timing-for-payroll/"]
[null,199,"J. Doe","Online Payroll","Are timesheets tracked through the system, and/or do they move through the system in a timely matter?",{"$nulls":4},"UW System Administrative Policy 215: Payment Methods and Timing for Payroll",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/payment-methods-and-timing-for-payroll/"]
[null,200,"J. Doe","Online Payroll","Is user access to the on-line payroll system property initiated, authorized or limited?",{"$nulls":4},"UW System Administrative Policy 215: Payment Methods and Timing for Payroll",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/payment-methods-and-timing-for-payroll/"]
[null,201,"J. Doe","Online Payroll","Are incorrect or fraudulent significant or unusual variances within the system identified or corrected?",{"$nulls":4},"Industry Best Practices"]
[null,202,"J. Doe","Online Purchase Orders","Are fictitious or inappropriate vendors created in the online purchase order system?",{"$nulls":4},"Industry Best Practices",null,"https://www.wisconsin.edu/sfs/download/doc_and_training/po-purchasing/po_maintenance/po-change-order.pdf"]
[null,203,"J. Doe","Online Purchase Orders","Do any inappropriate or fictitious purchase orders get approved for payment?",{"$nulls":6},"https://www.wisconsin.edu/sfs/download/doc_and_training/po-purchasing/po_maintenance/po-change-order.pdf"]
[null,204,"J. Doe","Online Purchase Orders","Are purchase orders entered into the system properly move along within the online purchase order system?",{"$nulls":6},"https://www.wisconsin.edu/sfs/download/doc_and_training/po-purchasing/po_maintenance/po-change-order.pdf"]
[null,205,"J. Doe","Online Purchase Orders","Does any inappropriate user access occur to the online purchase order system?",{"$nulls":6},"https://www.wisconsin.edu/sfs/download/doc_and_training/po-purchasing/po_maintenance/po-change-order.pdf"]
[null,206,"J. Doe","Online Purchase Orders","Are any unauthorized negative variances for budgeted expenditure amounts reviewed?",{"$nulls":6},"https://www.wisconsin.edu/sfs/download/doc_and_training/po-purchasing/po_maintenance/po-change-order.pdf"]
[null,207,"J. Doe","Online Registration","Is information entered inaccurate by students or prospective students into the online registration system?",{"$nulls":4},"UWW Registration",null,"http://www.uww.edu/registration"]
[null,208,"J. Doe","Online Registration","Do/can students enroll in classes for which they are ineligible?",{"$nulls":4},"UWW Registration",null,"http://www.uww.edu/registration"]
[null,209,"J. Doe","Online Registration","Can students who are not eligible to enroll in the institution sign up for classes?",{"$nulls":4},"UWW Registration",null,"http://www.uww.edu/registration"]
[null,210,"J. Doe","Online Registration","Is online registration data secure? Does any unauthorized access to sensitive data occur? (Examples: access to tuition rate tables and ability to place or remove holds on student accounts)",{"$nulls":4},"UWW Registration",null,"http://www.uww.edu/registration"]
[null,211,"J. Doe","Prepaid Expenses, Deposits and Other Assets","Are prepaid expenses, deposits and other assets identified and recorded, and/or recognized at incorrect amounts?",{"$nulls":4},"Industry Best Practices",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/banking-3/"]
[null,212,"J. Doe","Prepaid Expenses, Deposits and Other Assets","Are there failures to identify or recognize impairments/write-offs, amortization, etc.?",{"$nulls":4},"Industry Best Practices",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/banking-3/"]
[null,213,"J. Doe","Prepaid Expenses, Deposits and Other Assets","Is management monitoring prepaid expenses, deposits and other assets?",{"$nulls":6},"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/banking-3/"]
[null,214,"J. Doe","Property, Plant and Equipment","Are property and equipment additions property recorded, and at the correct amounts?",{"$nulls":4},"Industry Best Practices"]
[null,215,"J. Doe","Property, Plant and Equipment","Are property and equipment property depreciated, and impairments recorded?",{"$nulls":4},"Industry Best Practices"]
[null,216,"J. Doe","Property, Plant and Equipment","Are asset retirement obligations recognized?",{"$nulls":4},"Industry Best Practices"]
[null,217,"J. Doe","Property, Plant and Equipment","Is management monitoring property, plant and equipment?"]
[null,218,"J. Doe","Nonexchange (contributions, state appropriations, property tax) Revenue and AR","Are contribution, state appropriation, and/or property tax revenues and account receivable balances valid, and/or recognized at incorrect amounts, and donor payments applied correctly? ",{"$nulls":4},"Industry Best Practices"]
[null,219,"J. Doe","Nonexchange (contributions, state appropriations, property tax) Revenue and AR","Do contribution, state appropriation and/or property tax receivables get adjusted to net realizable value?"]
[null,220,"J. Doe","Nonexchange (contributions, state appropriations, property tax) Revenue and AR","Is management monitoring contribution, state appropriation, and property tax revenues?"]
[null,221,"J. Doe","Cash and Treasury Functions","Are cash and investment account activing and balance accurately stated?",{"$nulls":4},"Industry Best Practices"]
[null,222,"J. Doe","Cash and Treasury Functions","Are there failures to recognize cash transfers, including lockbox arrangements, investment sweep, line of credit sweep, wire transfer and other direct transfer arrangements?",{"$nulls":4},"Industry Best Practices"]
[null,223,"J. Doe","Cash and Treasury Functions","Is management monitoring cash and treasury functions?"]
[null,224,"J. Doe","Computing","Does your organization/department rely excessively on one individual for computer programming and network support?",null,"Y",{"$nulls":4},"http://www.uww.edu/icit/policies-agreements/network-infrastructure-use","https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/information-security-data-classification-and-protection/information-security-data-protections/","https://docs.legis.wisconsin.gov/statutes/statutes/36/59"]
[null,225,"J. Doe","Computing","Is access to campus and departmental computer resources limited to authorized employees for proper control?",null,"Y",null,null,"UW System Administrative Procedure 1030.A",null,"http://www.uww.edu/icit/policies-agreements/network-infrastructure-use","https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/information-security-data-classification-and-protection/information-security-data-protections/","https://docs.legis.wisconsin.gov/statutes/statutes/36/59"]
[null,226,"J. Doe","Computing","Are computer databases and data files backed up on a regular basis?",null,"Y",null,null,"UW System Administrative Procedure 1031.B",null,"http://www.uww.edu/icit/policies-agreements/file-storage","https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/information-security-data-classification-and-protection/information-security-data-protections/","https://docs.legis.wisconsin.gov/statutes/statutes/36/59"]
[null,227,"J. Doe","Computing","Is electronic backup media stored in a secure location remote from the original data?",null,"Y",null,null,"UW System Administrative Procedure 1031.B",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/information-security-data-classification-and-protection/information-security-data-protections/","https://docs.legis.wisconsin.gov/statutes/statutes/36/59"]
[null,228,"J. Doe","Computing","Is the department's computer equipment secured to prevent theft?",null,"Y",null,null,"UW System Administrative Procedure 1031.B",null,"http://www.uww.edu/icit/policies-agreements/office-equipment-policy ","https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/information-security-data-classification-and-protection/information-security-data-protections/","https://docs.legis.wisconsin.gov/statutes/statutes/36/59"]
[null,229,"J. Doe","Computing","Are the servers containing sensitive data maintained in facilities that have sufficient physical and environmental controls?",null,"Y",null,null,"UW System Administrative Procedure 1031.B",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/information-security-data-classification-and-protection/information-security-data-protections/","https://docs.legis.wisconsin.gov/statutes/statutes/36/59"]
[null,230,"J. Doe","Computing","Are all the sensitive paper documents are maintained in a secure file cabinets that are locked after business hours?",null,"Y",null,null,"UW System Administrative Procedure 1031.B",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/information-security-data-classification-and-protection/information-security-data-protections/","https://docs.legis.wisconsin.gov/statutes/statutes/36/59"]
[null,231,"J. Doe","Computing","Is the access to sensitive paper documents restricted to only authorized users with a need to know?",null,"Y",null,null,"UW System Administrative Procedure 1031.B",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/information-security-data-classification-and-protection/information-security-data-protections/","https://docs.legis.wisconsin.gov/statutes/statutes/36/59"]
[null,232,"J. Doe","Computing","Are policy and procedures at place for the deletion of sensitive data from discarded assets (e.g. computers) containing such data?",null,"Y",{"$nulls":4},"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/information-security-data-classification-and-protection/information-security-data-protections/","https://docs.legis.wisconsin.gov/statutes/statutes/36/59"]
[null,233,"J. Doe","Computing","Are all copies of software used by the department appropriately licensed?",{"$nulls":6},"http://www.uww.edu/icit/policies-agreements/software-acquisition","https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/information-security-data-classification-and-protection/information-security-data-protections/","https://docs.legis.wisconsin.gov/statutes/statutes/36/59"]
[null,234,"J. Doe","Computing","Are computer applications developed with adequate technical or user documentation?",{"$nulls":6},"https://docs.legis.wisconsin.gov/statutes/statutes/36/59"]
[null,235,"J. Doe","Computing","Is the assessment and inventory of protected data, residing on the organization's operation file servers performed regularly?",null,"Y",{"$nulls":4},"https://docs.legis.wisconsin.gov/statutes/statutes/36/59"]
[null,236,"J. Doe","Computing","Does the organization perform periodic inventory and controls assessments of all protected data maintained in paper files?",null,"Y",null,null,"UW System Administrative Procedure 1031.B",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/information-security-data-classification-and-protection/information-security-data-protections/","https://docs.legis.wisconsin.gov/statutes/statutes/36/59"]
[null,237,"J. Doe","Computing","Does the organization dispose of all electronic data records at the end of the required retention period?",null,"Y",null,null,"Regent Policy Document 25-5 Information Technology: Information Security",null,"http://www.uww.edu/icit/policies-agreements/data-after-departure","https://docs.legis.wisconsin.gov/statutes/statutes/36/59"]
[null,238,"J. Doe","Computing","Did all computer users complete the required information security awareness training?",{"$nulls":4},"Regent Policy Document 25-5 Information Technology: Information Security",null,"https://docs.legis.wisconsin.gov/statutes/statutes/36/59"]
[null,239,"J. Doe","Computing","Does the organization always distribute to all employees regular updates to policies, standards, procedures, and guidelines related to information security?",{"$nulls":4},"Regent Policy Document 25-5 Information Technology: Information Security",null,"https://docs.legis.wisconsin.gov/statutes/statutes/36/59"]
[null,240,"J. Doe","Computing","Does the organization maintain the evidence of all the background checks performed for employees?",{"$nulls":4},"Regent Policy Document 25-5 Information Technology: Information Security",null,"https://docs.legis.wisconsin.gov/statutes/statutes/36/59"]
[null,241,"J. Doe","Computing","Does the organization have a network IDS to monitor and respond to potential security threats?",null,"Y",null,null,"Regent Policy Document 25-5 Information Technology: Information Security",null,"http://www.uww.edu/icit/policies-agreements/network-infrastructure-use ","https://docs.legis.wisconsin.gov/statutes/statutes/36/59"]
[null,242,"J. Doe","Computing","Does the organization perform periodic, documented reviews of user access privileges for the HR system?",null,"Y",null,null,"Regent Policy Document 25-5 Information Technology: Information Security",null,"https://docs.legis.wisconsin.gov/statutes/statutes/36/59"]
[null,243,"J. Doe","Computing","Does the organization encrypt level 1 data stored on systems, file servers, and local workstations?",null,"Y",null,null,"Regent Policy Document 25-5 Information Technology: Information Security",null,"https://docs.legis.wisconsin.gov/statutes/statutes/36/59"]
[null,244,"J. Doe","Computing","Is the personal identifiable information (such as SSN, date of birth, driver's license numbers, etc.,) stored using a minimum encryption of 256-bit AES?",null,"Y",null,null,"UW System Administrative Procedure 1031.A",null,"http://www.uww.edu/icit/policies-agreements/social-security-numbers ","https://docs.legis.wisconsin.gov/statutes/statutes/36/59"]
[null,245,"J. Doe","Computing","Is the personal identifiable information (such as SSN, date of birth, driver's license numbers, etc.,) encrypted during its transit from one system to another?",null,"Y",null,null,"UW System Administrative Procedure 1031.A",null,"http://www.uww.edu/icit/policies-agreements/social-security-numbers ","https://docs.legis.wisconsin.gov/statutes/statutes/36/59"]
[null,246,"J. Doe","Computing","Does the organization have formal agreements in place with all third-party service providers that have access to sensitive information?",null,"Y",null,null,"Regent Policy Document 25-5 Information Technology: Information Security",null,"http://www.uww.edu/icit/policies-agreements/info-outsource ","https://docs.legis.wisconsin.gov/statutes/statutes/36/59"]
[null,247,"J. Doe","Computing","Does the organization perform and formally document the review of third-party IT consultants system logons on a regular basis (i.e. monthly or quarterly) in order to ensure that the activities performed by consultants are in line with authorized tasks?",null,"Y",null,null,"Regent Policy Document 25-5 Information Technology: Information Security",null,"http://www.uww.edu/icit/policies-agreements/info-outsource ","https://docs.legis.wisconsin.gov/statutes/statutes/36/59"]
[null,248,"J. Doe","Master key Controls","Were the \"UW-Whitewater Key Issue Policy and Procedures\" distributed to the university community?",{"$nulls":4},"UW-Whitewater Key Issue Policy and Procedures",null,"http://www.uww.edu/adminaffairs/fpm/policies/key","http://www.uww.edu/adminaffairs/police/building-supervisor-manual/key-security"]
[null,249,"J. Doe","Master key Controls","Were the \"UW-Whitewater Key Issue Policy and Procedures\" posted on the university or the departments websites?",{"$nulls":4},"UW-Whitewater Key Issue Policy and Procedures",null,"http://www.uww.edu/adminaffairs/fpm/policies/key","http://www.uww.edu/adminaffairs/police/building-supervisor-manual/key-security"]
[null,250,"J. Doe","Master key Controls","Does the \"UW-Whitewater Key Issue Policy and Procedures\" specify who the master keys are issued to?",null,"Y",null,null,"UW-Whitewater Key Issue Policy and Procedures",null,"http://www.uww.edu/adminaffairs/fpm/policies/key","http://www.uww.edu/adminaffairs/police/building-supervisor-manual/key-security"]
[null,251,"J. Doe","Master key Controls","Does the  \"UW-Whitewater Key Issue Policy and Procedures\" clearly describes the process of keys issuance to students?                                                         \ni.e. Policy and Procedures do not contain any conflicting statements.",{"$nulls":4},"UW-Whitewater Key Issue Policy and Procedures",null,"http://www.uww.edu/adminaffairs/fpm/policies/key","http://www.uww.edu/adminaffairs/police/building-supervisor-manual/key-security"]
[null,252,"J. Doe","Master key Controls","Is the list of the key requestors and approvers periodically reviewed and updated?",null,"Y",null,null,"UW-Whitewater Key Issue Policy and Procedures",null,"http://www.uww.edu/adminaffairs/fpm/policies/key","http://www.uww.edu/adminaffairs/police/building-supervisor-manual/key-security"]
[null,253,"J. Doe","Master key Controls","Do all key request forms contain a justification reason for the issuance of a master key?",null,"Y",null,null,"UW-Whitewater Key Issue Policy and Procedures",null,"http://www.uww.edu/adminaffairs/fpm/policies/key","http://www.uww.edu/adminaffairs/police/building-supervisor-manual/key-security"]
[null,254,"J. Doe","Master key Controls","Do all processed key request forms have signatures of the VP and CFO of Administration and Finance?",null,"Y",null,null,"UW-Whitewater Key Issue Policy and Procedures",null,"http://www.uww.edu/adminaffairs/fpm/policies/key","http://www.uww.edu/adminaffairs/police/building-supervisor-manual/key-security"]
[null,255,"J. Doe","Master key Controls","Is the complete campus-wide department by department physical inventory  of keys performed on a regular basis (at least once a year)?",null,"Y",null,null,"UW-Whitewater Key Issue Policy and Procedures",null,"http://www.uww.edu/adminaffairs/fpm/policies/key","http://www.uww.edu/adminaffairs/police/building-supervisor-manual/key-security"]
[null,256,"J. Doe","Master key Controls","Are the periodic reconciliations of key records from the database to department key requestors performed on a regular basis?",null,"Y",null,null,"UW-Whitewater Key Issue Policy and Procedures",null,"http://www.uww.edu/adminaffairs/fpm/policies/key","http://www.uww.edu/adminaffairs/police/building-supervisor-manual/key-security"]
[null,257,"J. Doe","Master key Controls","Was a full-time employee designated to maintain accurate key records?",{"$nulls":4},"UW-Whitewater Key Issue Policy and Procedures",null,"http://www.uww.edu/adminaffairs/fpm/policies/key","http://www.uww.edu/adminaffairs/police/building-supervisor-manual/key-security"]
[null,258,"J. Doe","Master key Controls","Do all issued keys contain an inventory or serial number that reflects the total number of keys issued and provides a unique identifier for every copy?",null,"Y",null,null,"UW-Whitewater Key Issue Policy and Procedures",null,"http://www.uww.edu/adminaffairs/fpm/policies/key","http://www.uww.edu/adminaffairs/police/building-supervisor-manual/key-security"]
[null,259,"J. Doe","Master key Controls","Were the major academic buildings equipped with the electronic locks?",null,"Y",null,null,"UW-Whitewater Key Issue Policy and Procedures",null,"http://www.uww.edu/adminaffairs/fpm/policies/key","http://www.uww.edu/adminaffairs/police/building-supervisor-manual/key-security"]
[null,{"$f":"B264+1","v":260},"J. Doe","Accessible Technology","Is there a procedure for maintaining all product requisition forms and documentation showing VPAT or vendor checklist reviewed for purchases?",{"$nulls":6},"https://www.wisconsin.edu/systemwide-it/download/councils/ltdc/grants/2014-2015/2014-2015-Accessability-Grant-RFP.pdf","https://www.wisconsin.edu/general-counsel/legal-topics/records/records-management-resources/records-management-guidelines-for-information-technology-systems/","https://www.wisconsin.edu/systemwide-it/accessability-grant-2015/"]
[null,261,"J. Doe","Accessible Technology","Has a clear process been implemented for product requisition support forms and VPATs on file?",{"$nulls":6},"https://www.wisconsin.edu/systemwide-it/download/councils/ltdc/grants/2014-2015/2014-2015-Accessability-Grant-RFP.pdf","https://www.wisconsin.edu/general-counsel/legal-topics/records/records-management-resources/records-management-guidelines-for-information-technology-systems/","https://www.wisconsin.edu/systemwide-it/accessability-grant-2015/"]
[null,262,"J. Doe","Accessible Technology","Does the organization document and obtain approvals from the campus president or designee for all accessibility provisions for electronic and information technology purchases?",{"$nulls":6},"https://www.wisconsin.edu/systemwide-it/download/councils/ltdc/grants/2014-2015/2014-2015-Accessability-Grant-RFP.pdf","https://www.wisconsin.edu/general-counsel/legal-topics/records/records-management-resources/records-management-guidelines-for-information-technology-systems/","https://www.wisconsin.edu/systemwide-it/accessability-grant-2015/"]
[null,263,"J. Doe","Athletics","Is the Athletics Department Statement of Revenues and Expenses in compliance with NCAA Bylaw 6.2.3?",{"$nulls":4},"NCAA Bylaw 6.2.3",null,"https://www.wisconsin.edu/regents/download/policy_attachment/rpd10-1_AccountabilityReportingFramework.pdf","https://www.ncaa.org/sites/default/files/2018NCAAFIN_Agreed_Upon_Procedures_20180525.pdf","https://www.knightcommission.org/external-resources/"]
[null,264,"J. Doe","Athletics","Are responsibilities for maintaining athletic facilities and equipment clearly determined, documented and communicated to staff?",{"$nulls":6},"https://www.wisconsin.edu/regents/download/policy_attachment/rpd10-1_AccountabilityReportingFramework.pdf","https://www.knightcommission.org/external-resources/"]
[null,265,"J. Doe","Athletics","Are the \"Budget vs. Actual\" analysis performed,  expenses tracked and results reported to the Athletics department management on a monthly basis? ",null,"Y",{"$nulls":4},"https://www.wisconsin.edu/regents/download/policy_attachment/rpd10-1_AccountabilityReportingFramework.pdf","https://www.knightcommission.org/external-resources/"]
[null,266,"J. Doe","Athletics","Are the administrative and fiscal functions performed by the Athletics department professional management rather than coaches?",null,"Y",{"$nulls":4},"https://www.wisconsin.edu/regents/download/policy_attachment/rpd10-1_AccountabilityReportingFramework.pdf","https://www.knightcommission.org/external-resources/"]
[null,267,"J. Doe","Athletics","Were the policies and procedures for maintaining, storing, moving and installation of major athletic equipment developed?",{"$nulls":6},"https://www.wisconsin.edu/regents/download/policy_attachment/rpd10-1_AccountabilityReportingFramework.pdf","https://www.knightcommission.org/external-resources/"]
[null,268,"J. Doe","Athletics","Are the policies and procedures for maintaining, storing, moving and installation of major athletic equipment consistently executed?",{"$nulls":6},"https://www.wisconsin.edu/regents/download/policy_attachment/rpd10-1_AccountabilityReportingFramework.pdf","https://www.knightcommission.org/external-resources/"]
[null,269,"J. Doe","Athletics","Has the organization developed policies and procedures for athletics department gift receipts?",null,"Y",{"$nulls":4},"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/prizes-awards-and-gifts/","https://www.knightcommission.org/external-resources/"]
[null,270,"J. Doe","Athletics","Are the athletics department gift receipts policies and procedures clearly state the following: \n1) who can be authorized to accepted cash gifts? 2) what constitutes sufficient documentation of gift receipts? \n3) when and how gift receipts should be logged into the system (prior to being transferred for processing)?",null,"Y",{"$nulls":4},"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/prizes-awards-and-gifts/","https://www.knightcommission.org/external-resources/"]
[null,271,"J. Doe","International Programs","Has the campus obtained approval for all short-term study-abroad programs from the president or his/her designee with a written delegation of authority?",null,"Y",null,null,"UW System Administrative Policy 145",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/study-abroad-programs/","https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/development-and-operation-of-off-campus-international-educational-programs-for-university-of-wisconsin-system-students/"]
[null,272,"J. Doe","International Programs","Has the campus amended contracts between international-student recruiters and the ALI to ensure that: a. Terms for tuition collection and commission payments are consistent with actual ALI practices. b. Commission payment terms are specified in the event a recruited student withdraws from the program?",{"$nulls":4},"UW System Administrative Policy 145",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/development-and-operation-of-off-campus-international-educational-programs-for-university-of-wisconsin-system-students/"]
[null,273,"J. Doe","International Programs","Is there a requirement for the chancellor’s written approval to be obtained for short-term study-abroad trips to high-hazard countries?",{"$nulls":4},"UW System Administrative Policy 145",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/development-and-operation-of-off-campus-international-educational-programs-for-university-of-wisconsin-system-students/"]
[null,274,"J. Doe","International Programs","Does the campus maintain evidence showing that students participating in short-term study-abroad programs have attended a pre-departure orientation?",{"$nulls":4},"UW System Administrative Policy 145",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/development-and-operation-of-off-campus-international-educational-programs-for-university-of-wisconsin-system-students/"]
[null,275,"J. Doe","International Programs","Does the campus ensure that course request forms for short-term study-abroad programs include signatures from all required parties? ",{"$nulls":4},"UW System Administrative Policy 145",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/development-and-operation-of-off-campus-international-educational-programs-for-university-of-wisconsin-system-students/"]
[null,276,"J. Doe","International Programs","Does the campus maintain all MOUs between CEL, the faculty, and the co-sponsoring department for all short-term study-abroad programs?",{"$nulls":4},"UW System Administrative Policy 145",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/development-and-operation-of-off-campus-international-educational-programs-for-university-of-wisconsin-system-students/"]
[null,277,"J. Doe","International Programs","Has the campus developed procedures for the review and approval of third-party short-term study-abroad program providers? ",null,"Y",null,null,"UW System Administrative Policy 145",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/development-and-operation-of-off-campus-international-educational-programs-for-university-of-wisconsin-system-students/"]
[null,278,"J. Doe","International Programs","Has the campus developed a list of approved third-party program providers that clearly states the criteria used for approval?",null,"Y",null,null,"UW System Administrative Policy 145",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/development-and-operation-of-off-campus-international-educational-programs-for-university-of-wisconsin-system-students/"]
[null,279,"J. Doe","International Programs","Has the campus investigated the faculty leader’s relationship with the third-party provider and resolve the issue in accordance with established  policies and procedures.",null,"Y",null,null,"UW System Administrative Policy 145",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/development-and-operation-of-off-campus-international-educational-programs-for-university-of-wisconsin-system-students/"]
[null,280,"J. Doe","International Programs","Has the campus developed a complete and accurate budget for the CEL short-term travel study program?",null,"Y",null,null,"UW System Administrative Policy 145",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/development-and-operation-of-off-campus-international-educational-programs-for-university-of-wisconsin-system-students/"]
[null,281,"J. Doe","International Programs","Has the campus created and maintained budgets for all short-term study-abroad programs?",null,"Y",null,null,"UW System Administrative Policy 145",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/development-and-operation-of-off-campus-international-educational-programs-for-university-of-wisconsin-system-students/"]
[null,282,"J. Doe","International Programs","Does the campus collect and deposit program-related payments prior to the commencement of a short-term study abroad course?",{"$nulls":4},"UW System Administrative Policy 145",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/development-and-operation-of-off-campus-international-educational-programs-for-university-of-wisconsin-system-students/"]
[null,283,"J. Doe","International Programs","Does the campus reconcile actual program attendance to insurance premiums charged by risk management on a timely basis?",{"$nulls":4},"UW System Administrative Policy 145",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/development-and-operation-of-off-campus-international-educational-programs-for-university-of-wisconsin-system-students/"]
[null,284,"J. Doe","Disability Programs ","Does your accessible technology program have a defined mission, stated goals and objectives, and current organizational charts that are centrally located and available for review?",{"$nulls":4},"Wisconsin Postsecondary disability documentation guide",null,"http://www.uww.edu/csd/policies ","http://www.uww.edu/csd/policies/rights-and-responsibilities","https://www.wisconsin.edu/regents/policies/discrimination-prohibited/"]
[null,285,"J. Doe","Disability Programs ","Are program policies and procedures current, comprehensive, and outline distribution procedures?",{"$nulls":4},"RPD 96-6",null,"http://www.uww.edu/csd/policies ","http://www.uww.edu/csd/policies/rights-and-responsibilities","https://www.wisconsin.edu/regents/policies/discrimination-prohibited/"]
[null,286,"J. Doe","Disability Programs ","Do you have a notification and complaint process? Are there procedures in place to ensure compliance with regulatory requirements and define the timeframes for complaint investigation and resolution?",{"$nulls":4},"UWW Nondiscrimination on Basis of Disability",null,"http://www.uww.edu/csd/policies ","http://www.uww.edu/csd/policies/rights-and-responsibilities","https://www.wisconsin.edu/regents/policies/discrimination-prohibited/"]
[null,287,"J. Doe","Disability Programs ","Do you have procedures in place to demonstrate compliance with Title I of the ADA (reasonable access and accommodations for applicants and employees)?",{"$nulls":4},"Americans with Disabilities Act, Title I Employment",null,"http://www.uww.edu/adminaffairs/hr/uww-polices/disability-accomodations-employees ","http://uww-public.courseleaf.com/general-information/academic-legal-policies/#nondiscriminationstatuespoliciestext ","https://www.wisconsin.edu/regents/policies/discrimination-prohibited/\nhttp://www.uww.edu/csd/policies/rights-and-responsibilities"]
[null,288,"J. Doe","Disability Programs ","Do you have procedures in place to demonstrate compliance with student disability services?",{"$nulls":4},"UWW Nondiscrimination on Basis of Disability",null,"http://www.uww.edu/csd/policies ","http://www.uww.edu/csd/policies/rights-and-responsibilities","https://www.wisconsin.edu/regents/policies/discrimination-prohibited/"]
[null,289,"J. Doe","Disability Programs ","Does DPRC have a documented ATI plan including procedures for on-going updates and monitoring through self-assessments?",{"$nulls":4},"UWW Nondiscrimination on Basis of Disability",null,"http://www.uww.edu/csd/policies ","http://www.uww.edu/csd/policies/rights-and-responsibilities","https://www.wisconsin.edu/regents/policies/discrimination-prohibited/"]
[null,290,"J. Doe","Disability Programs ","Do you have documented procedures for alternative access to programs and facilities?  If so, how are these alternative access programs communicated to the Campus community? ",{"$nulls":4},"UWW Nondiscrimination on Basis of Disability",null,"http://www.uww.edu/csd/policies ","http://www.uww.edu/csd/policies/rights-and-responsibilities","https://www.wisconsin.edu/regents/policies/discrimination-prohibited/"]
[null,291,"J. Doe","Disability Programs ","Do you have an established academic technology training program? How does DPRC monitor the program and assess effectiveness?",{"$nulls":4},"UWW Nondiscrimination on Basis of Disability",null,"http://www.uww.edu/csd/policies ","http://www.uww.edu/csd/policies/rights-and-responsibilities","https://www.wisconsin.edu/regents/policies/discrimination-prohibited/"]
[null,292,"J. Doe","Disability Programs ","Do you have procedures in place to demonstrate that  campus technology programs, services, and activities are readily accessible to all people and auxiliary aids and other equipment are properly maintained and safeguarded?",{"$nulls":4},"UWW Nondiscrimination on Basis of Disability",null,"http://www.uww.edu/csd/policies ","http://www.uww.edu/csd/policies/rights-and-responsibilities","https://www.wisconsin.edu/regents/policies/discrimination-prohibited/"]
[null,293,"J. Doe","Disability Programs ","Have you developed procedures to demonstrate compliance with accessible electronic and information technology procurement?",{"$nulls":4},"UWW Nondiscrimination on Basis of Disability",null,"http://www.uww.edu/csd/policies ","http://www.uww.edu/csd/policies/rights-and-responsibilities","https://www.wisconsin.edu/regents/policies/discrimination-prohibited/"]
[null,294,"J. Doe","Disability Programs ","Do you have procedures in place to make sure that all completed product requisition forms and documentation showing Voluntary Product Accessibility Templates (VPAT) or a vendor checklist is reviewed for purchases?",{"$nulls":4},"UWW Nondiscrimination on Basis of Disability",null,"http://www.uww.edu/csd/policies ","http://www.uww.edu/csd/policies/rights-and-responsibilities","https://www.wisconsin.edu/regents/policies/discrimination-prohibited/"]
[null,295,"J. Doe","Disability Programs ","Have you developed and implemented a process for maintaining requisition forms and VPAT's?",{"$nulls":4},"UWW Nondiscrimination on Basis of Disability",null,"http://www.uww.edu/csd/policies ","http://www.uww.edu/csd/policies/rights-and-responsibilities","https://www.wisconsin.edu/regents/policies/discrimination-prohibited/"]
[null,296,"J. Doe","Disability Programs ","Do you maintain documentation supporting the quarterly compliance meetings with Fiscal Affairs Procurement?",null,"Y",null,null,"UWW Nondiscrimination on Basis of Disability",null,"http://www.uww.edu/csd/policies ","http://www.uww.edu/csd/policies/rights-and-responsibilities","https://www.wisconsin.edu/regents/policies/discrimination-prohibited/"]
[null,297,"J. Doe","Capital Projects","Does your organization/department have procedures for capital planning projects which includes clearly defined roles and expectations of staff and stakeholders?",null,"Y",null,null,"Regent Policy Section 19: Facilities",null,"https://www.wisconsin.edu/regents/policies/building-program-planning-and-approval/","https://www.wisconsin.edu/capital-planning/property/"]
[null,298,"J. Doe","Capital Projects","Does your organization/department develop key performance indicators (KPIs) for major projects?",{"$nulls":4},"Administrative Affairs (Website)\nRegent Policy Section 19: Facilities",null,"https://www.wisconsin.edu/regents/policies/building-program-planning-and-approval/","https://www.wisconsin.edu/capital-planning/property/"]
[null,299,"J. Doe","Capital Projects","Does the organization tracks the job costs of each specific project using a single cost center?",{"$nulls":4},"Industry Best Practices\nRegent Policy Section 19: Facilities",null,"https://www.wisconsin.edu/regents/policies/building-program-planning-and-approval/","https://www.wisconsin.edu/capital-planning/property/"]
[null,300,"J. Doe","Capital Projects","Is the consistent project numbering methodology and approved job number listing by category applied to validate that all jobs in the CIP Draft Report are in the correct project type category?",{"$nulls":4},"Specific organization's policy\nRegent Policy Section 19: Facilities",null,"https://www.wisconsin.edu/regents/policies/building-program-planning-and-approval/","https://www.wisconsin.edu/capital-planning/property/"]
[null,301,"J. Doe","Capital Projects","Does the organization utilize a special reporting tool to map job cost codes to projects in order to improve reporting reliability?",{"$nulls":4},"Specific organization's policy\nRegent Policy Section 19: Facilities",null,"https://www.wisconsin.edu/regents/policies/building-program-planning-and-approval/","https://www.wisconsin.edu/capital-planning/property/"]
[null,302,"J. Doe","Capital Projects","Do the project cost centers include only expenses incurred during the project (direct job costs)? i.e. no revenue (funding) or income entries are maid against the project cost centers.",null,"Y",null,null,"Regent Policy Section 19: Facilities",null,"https://www.wisconsin.edu/regents/policies/building-program-planning-and-approval/","https://www.wisconsin.edu/capital-planning/property/"]
[null,303,"J. Doe","Capital Projects","Are the monthly construction WIP reports prepared by CPDC Department on a regular basis?",{"$nulls":4},"Specific organization's policy\nRegent Policy Section 19: Facilities",null,"https://www.wisconsin.edu/regents/policies/building-program-planning-and-approval/","https://www.wisconsin.edu/capital-planning/property/"]
[null,304,"J. Doe","Capital Projects","Are the monthly construction WIP reports reviewed and approved by the CPDC, Accounting and UWW Campus Management on a regular basis?",null,"Y",null,null,"Specific organization's policy\nRegent Policy Section 19: Facilities",null,"https://www.wisconsin.edu/regents/policies/building-program-planning-and-approval/","https://www.wisconsin.edu/capital-planning/property/"]
[null,305,"J. Doe","Capital Projects","Are the up-to-date forecast construction costs by project included in the monthly WIP reports from the CPDC department to Accounting and Campus Management? ",null,"Y",null,null,"Specific organization's policy\nRegent Policy Section 19: Facilities",null,"https://www.wisconsin.edu/regents/policies/building-program-planning-and-approval/","https://www.wisconsin.edu/capital-planning/property/"]
[null,306,"J. Doe","Capital Projects","Are all the material changes in the forecast of construction costs addressed in the report to inform all relevant parties of reasons for adverse and/or favorable changes?",null,"Y",null,null,"Regent Policy Section 19: Facilities",null,"https://www.wisconsin.edu/regents/policies/building-program-planning-and-approval/","https://www.wisconsin.edu/capital-planning/property/"]
[null,307,"J. Doe","Capital Projects","In case the potential risks are identified by the management during the review of the construction WIP report, are the relevant adjustments made and measures are taken promptly?",{"$nulls":4},"Regent Policy Section 19: Facilities",null,"https://www.wisconsin.edu/regents/policies/building-program-planning-and-approval/","https://www.wisconsin.edu/capital-planning/property/"]
[null,308,"J. Doe","Capital Projects","Are actual expenditures and open commitments broken out and reported separately in the CIP Draft report?",null,"Y",null,null,"Regent Policy Section 19: Facilities",null,"https://www.wisconsin.edu/regents/policies/building-program-planning-and-approval/","https://www.wisconsin.edu/capital-planning/property/"]
[null,309,"J. Doe","Capital Projects","Does the CPDC Department perform the verification of the information used for the CIP Draft report compilation, in  collaboration with the Accounting and Finance Department?",null,"Y",null,null,"Specific organization's policy\nRegent Policy Section 19: Facilities",null,"https://www.wisconsin.edu/regents/policies/building-program-planning-and-approval/","https://www.wisconsin.edu/capital-planning/property/"]
[null,310,"J. Doe","Capital Projects","Has the Budget Department verified, confirmed and footnoted total planned expenditures and estimates (historical information) included in the CIP Draft Report by the CPDC Department (i.e. not entered by the Budget Department)?",null,"Y",null,null,"Specific organization's policy\nRegent Policy Section 19: Facilities",null,"https://www.wisconsin.edu/regents/policies/building-program-planning-and-approval/","https://www.wisconsin.edu/capital-planning/property/"]
[null,311,"J. Doe","UW-Whitewater Foundation","Is the lease agreement with UW-Whitewater approved by the Foundation's Board?",null,"Y"]
[null,312,"J. Doe","UW-Whitewater Foundation","Does the formal lease agreement with UW-Whitewater University specify the following:                                                                       \n1) How often the contribution/support is to be provided to the Whitewater Student Government by the Corporation (i.e. annually, quarterly, monthly, etc.);                                                                                  \n2) Terms/restrictions of the contribution to the Whitewater Student Government;                                                     \n3) Formula which is to be used for calculation of the Net residual revenue.                                                      \nIf NO, or YES only partially, please give explanations.",{"$nulls":6},"https://www.wisconsin.edu/regents/policies/institutional-relationships-with-foundations/"]
[null,313,"J. Doe","UW-Whitewater Foundation","Has the Foundation developed and adopted the Credit and lease acceptance policy that mitigate tenant risk of repayment and if necessary, collateralize tenant lease situations, including credit assessments, personal guarantees and securitization of other tenant assets?",null,"Y",{"$nulls":4},"https://www.wisconsin.edu/regents/policies/institutional-relationships-with-foundations/"]
[null,314,"J. Doe","UW-Whitewater Foundation","Does the Foundation document and track lease agreement modifications, including monitoring of timeliness of payments, in a systematic manner?",null,"Y",{"$nulls":4},"https://www.wisconsin.edu/regents/policies/institutional-relationships-with-foundations/"]
[null,315,"J. Doe","UW-Whitewater Foundation","Are the procedures for managing the late rent payments, maid by food vendors, formally documented?",null,"Y",{"$nulls":4},"https://www.wisconsin.edu/regents/policies/institutional-relationships-with-foundations/"]
[null,316,"J. Doe","UW-Whitewater Foundation","Was the food vendor selection process updated to reflect the change in weight attributable to the \"Testing Events\" in vendors' evaluation and decision-making process?",{"$nulls":4},"Specific organization's policy",null,"https://www.wisconsin.edu/regents/policies/institutional-relationships-with-foundations/"]
[null,317,"J. Doe","UW-Whitewater Foundation","If the food vendors' evaluation process was restructured then, was this fact formally reflected in the respective policy?",{"$nulls":4},"Specific organization's policy",null,"https://www.wisconsin.edu/regents/policies/institutional-relationships-with-foundations/"]
[null,318,"J. Doe","UW-Whitewater Foundation","Was an Advisory committee created?",null,"Y",null,null,"Specific organization's policy",null,"https://www.wisconsin.edu/regents/policies/institutional-relationships-with-foundations/"]
[null,319,"J. Doe","UW-Whitewater Foundation","Is the cost/benefit analysis of the merger and management transition to the U-Corp performed and communicated to major stakeholders on a regular basis (twice a year) ?",{"$nulls":6},"https://www.wisconsin.edu/regents/policies/institutional-relationships-with-foundations/"]
[null,320,"J. Doe","UW-Whitewater Foundation","Has the written agreement for the management and distribution of endowment proceeds been established?",null,"Y",{"$nulls":4},"https://www.wisconsin.edu/regents/policies/institutional-relationships-with-foundations/"]
[null,321,"J. Doe","UW-Whitewater Foundation","Does the alternative investments agreement (between Corporation and Foundation) cover the terms of the arrangement, liquidity of the investments, valuation and monitoring procedures by the Foundation, reporting requirements to the Corporation and address the potential risk of loss in the investments?                                                              \nIf the 'Yes\" only partially, please elaborate.",{"$nulls":6},"https://www.wisconsin.edu/regents/policies/institutional-relationships-with-foundations/"]
[null,322,"J. Doe","UW-Whitewater Foundation","Is the cumulative reconciliation of Development departments' data with accounting records prepared at the end of each year?",null,"Y",{"$nulls":4},"https://www.wisconsin.edu/regents/policies/institutional-relationships-with-foundations/"]
[null,323,"J. Doe","UW-Whitewater Foundation","Is the  cumulative reconciliation of Development departments' data with accounting records reviewed and approved by the Accounting department at the year end?",{"$nulls":6},"https://www.wisconsin.edu/regents/policies/institutional-relationships-with-foundations/"]
[null,{"$f":"B328+1","v":324},"J. Doe","UW-Whitewater Foundation","Do the Campus Programs Overview policy and procedures include detailed requirements for stipends paid to the students (including: students' eligibility, selection criteria, documentation process, etc.)?",null,"Y",null,null,"Specific organization's policy",null,"https://www.wisconsin.edu/regents/policies/institutional-relationships-with-foundations/"]
[null,325,"J. Doe","UW-Whitewater Foundation","Are all fund-raising events with gross receipts greater than $5,000 approved by the delegated authority?",null,"Y",{"$nulls":4},"https://www.wisconsin.edu/regents/policies/institutional-relationships-with-foundations/"]
[null,326,"J. Doe","UW-Whitewater Foundation","Are all fund-raising events budgets, drafts of solicitation materials and action plans for compliance with federal, state and local regulations reviewed by a delegated authority prior to events?",{"$nulls":6},"https://www.wisconsin.edu/regents/policies/institutional-relationships-with-foundations/"]
[null,327,"J. Doe","UW-Whitewater Foundation","Does the Foundation have a formally documented fund-raising events policies and procedures?",{"$nulls":6},"https://www.wisconsin.edu/regents/policies/institutional-relationships-with-foundations/"]
[null,328,"J. Doe","UW-Whitewater Foundation","Does the Foundation have a formally documented policies and procedures for post-award administration of private and local grants that address PIs' ethics and conflict-of-interest training, financial/technical/final reports, project completion statements and grant fiscal administration?",null,"Y",{"$nulls":4},"https://www.wisconsin.edu/regents/policies/institutional-relationships-with-foundations/"]
[null,329,"J. Doe","UW-Whitewater Foundation","Does the Foundation obtain Statements of Economic Interests forms from PIs before the final acceptance of all contracts or grants?",null,"Y",{"$nulls":4},"https://www.wisconsin.edu/regents/policies/institutional-relationships-with-foundations/"]
[null,330,"J. Doe","UW-Whitewater Foundation","Are all private and local grants' files maintained and all required reports are submitted in a timely manner?",null,"Y",{"$nulls":4},"https://www.wisconsin.edu/regents/policies/institutional-relationships-with-foundations/"]
[null,331,"J. Doe","University Property Management","Does UWW have a formally documented mission statement (including detailed objectives, values and goals) and policies approved by executive management?",{"$nulls":6},"https://www.uww.edu/policies/facilities-and-grounds","https://www.wisconsin.edu/risk-management/manual/property-use-agreements/"]
[null,332,"J. Doe","University Property Management","Has UWW developed and formally documented the detailed procedures in the form of Course of Actions?",null,"Y",{"$nulls":4},"https://www.uww.edu/policies/facilities-and-grounds","https://www.wisconsin.edu/risk-management/manual/property-use-agreements/"]
[null,333,"J. Doe","University Property Management","Were the developed mission statement, policies and procedures communicated to the staff?",{"$nulls":6},"https://www.uww.edu/policies/facilities-and-grounds","https://www.wisconsin.edu/risk-management/manual/property-use-agreements/"]
[null,334,"J. Doe","University Property Management","Does UWW have a signed (by all parties) lease and space rental agreement for every leased unit/held event?",null,"Y",null,null,"UW System Administrative Policy 910",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/leasing/","https://www.uww.edu/policies/facilities-and-grounds","https://www.wisconsin.edu/risk-management/manual/property-use-agreements/"]
[null,335,"J. Doe","University Property Management","Does UWW perform a review ensuring a signed lease and space rental agreements are obtained before tenants/lessees are allowed to move in/hold an event?",{"$nulls":4},"UW System Administrative Policy 910",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/leasing/","https://www.uww.edu/policies/facilities-and-grounds","https://www.wisconsin.edu/risk-management/manual/property-use-agreements/"]
[null,336,"J. Doe","University Property Management","Are the original signed lease agreement, other relevant documents and agreements kept in a secured, locked, fireproof location, and not in frequently accessed unit files?",null,"Y",null,null,"UW System Administrative Policy 910",null,"https://www.uww.edu/policies/facilities-and-grounds","https://www.wisconsin.edu/risk-management/manual/property-use-agreements/"]
[null,337,"J. Doe","University Property Management","Does UWW perform regular physical inventory  to ensure the lease agreements and all required documents are on file for all currently occupied units?",null,"Y",null,null,"UW System Administrative Policy 910",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/leasing/","https://www.uww.edu/policies/facilities-and-grounds","https://www.wisconsin.edu/risk-management/manual/property-use-agreements/"]
[null,338,"J. Doe","University Property Management","Do all the lease and space rental agreements contain early termination provisions (including the respective fees)?",null,"Y",null,null,"UW System Administrative Policy 910",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/leasing/","https://www.uww.edu/policies/facilities-and-grounds","https://www.wisconsin.edu/risk-management/manual/property-use-agreements/"]
[null,339,"J. Doe","University Property Management","Does UWW lease any of the University property at no cost?                                                                                           \nIf \"Yes\", please explain the rational.",null,"Y",null,null,"UW System Administrative Policy 910",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/leasing/","https://www.uww.edu/policies/facilities-and-grounds","https://www.wisconsin.edu/risk-management/manual/property-use-agreements/"]
[null,340,"J. Doe","University Property Management","Does UWW has a documented eviction process?",{"$nulls":6},"https://www.uww.edu/policies/facilities-and-grounds","https://www.wisconsin.edu/risk-management/manual/property-use-agreements/"]
[null,341,"J. Doe","University Property Management","Is the eviction timely (and in accordance with the formal process) enforced in all the cases of rent non-payment?",null,"Y",null,null,"Specific organization's policy",null,"https://www.uww.edu/policies/facilities-and-grounds","https://www.wisconsin.edu/risk-management/manual/property-use-agreements/"]
[null,342,"J. Doe","University Property Management","Are all the lease terms present in the respective contracts properly inputted and tracked in the leasing system?",{"$nulls":6},"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/leasing/","https://www.uww.edu/policies/facilities-and-grounds","https://www.wisconsin.edu/risk-management/manual/property-use-agreements/"]
[null,343,"J. Doe","University Property Management","Is the review of all leasing system inputs and edits performed on a regular basis in order to ensure accuracy?",null,"Y",{"$nulls":4},"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/leasing/","https://www.uww.edu/policies/facilities-and-grounds","https://www.wisconsin.edu/risk-management/manual/property-use-agreements/"]
[null,344,"J. Doe","University Property Management","Are all the changes to the signed lease contracts documented on a standard amendment form signed by both parties?",null,"Y",null,null,"UW System Administrative Policy 910",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/leasing/","https://www.uww.edu/policies/facilities-and-grounds","https://www.wisconsin.edu/risk-management/manual/property-use-agreements/"]
[null,345,"J. Doe","University Property Management","Are all the changes to the signed lease contracts inputted into the leasing system only after they are agreed upon in writing by all parties?",null,"Y",null,null,"UW System Administrative Policy 910",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/leasing/","https://www.uww.edu/policies/facilities-and-grounds","https://www.wisconsin.edu/risk-management/manual/property-use-agreements/"]
[null,346,"J. Doe","University Property Management","Has the Management developed a compliance program within UWW?",{"$nulls":6},"https://www.uww.edu/policies/facilities-and-grounds","https://www.wisconsin.edu/risk-management/manual/property-use-agreements/"]
[null,347,"J. Doe","University Property Management","Are controls addressing compliance, including policy and procedures, put in place?",null,"Y",{"$nulls":4},"https://www.uww.edu/policies/facilities-and-grounds","https://www.wisconsin.edu/risk-management/manual/property-use-agreements/"]
[null,348,"J. Doe","University Property Management","Does UWW have the formally documented procedures to define the affiliations of University residents?",{"$nulls":6},"https://www.uww.edu/policies/facilities-and-grounds","https://www.wisconsin.edu/risk-management/manual/property-use-agreements/"]
[null,349,"J. Doe","University Property Management","Does the Leasing Office considers affiliation of tenants at the renewal of the lease contracts?",null,"Y",null,null,"UW System Administrative Policy 910",null,"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/leasing/","https://www.uww.edu/policies/facilities-and-grounds","https://www.wisconsin.edu/risk-management/manual/property-use-agreements/"]
[null,350,"J. Doe","University Property Management","Is the standard lease agreement reviewed and approved by legal counsel with property law expertise and an understanding of the University's structure as the state of Wisconsin?",null,"Y",{"$nulls":4},"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/leasing/","https://www.uww.edu/policies/facilities-and-grounds","https://www.wisconsin.edu/risk-management/manual/property-use-agreements/"]
[null,351,"J. Doe","University Property Management","Are the changes made to the standard lease agreement approved by legal counsel in all cases?",null,"Y",{"$nulls":4},"https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/leasing/","https://www.uww.edu/policies/facilities-and-grounds","https://www.wisconsin.edu/risk-management/manual/property-use-agreements/"]
[null,352,"J. Doe","University Property Management","Do UWW formal procedures address the cases when waivers of credit and criminal background checks, copies of bank checks, incident reports and of other verifications are allowed?",null,"Y",{"$nulls":4},"https://www.uww.edu/policies/facilities-and-grounds","https://www.wisconsin.edu/risk-management/manual/property-use-agreements/"]
[null,353,"J. Doe","University Property Management","Are the formally documented waivers (if any) maintained in the unit's file?",{"$nulls":6},"https://www.uww.edu/policies/facilities-and-grounds","https://www.wisconsin.edu/risk-management/manual/property-use-agreements/"]
[null,354,"J. Doe","University Property Management","Do UWW formal procedures indicate the level of approval required for waiver of credit and criminal background checks, copies of bank checks, incident reports and other verifications?",{"$nulls":6},"https://www.uww.edu/policies/facilities-and-grounds","https://www.wisconsin.edu/risk-management/manual/property-use-agreements/"]
[null,355,"J. Doe","University Property Management","Has UWW formally defined what a \"complete\" resident file should consist of?",{"$nulls":6},"https://www.uww.edu/policies/facilities-and-grounds","https://www.wisconsin.edu/risk-management/manual/property-use-agreements/"]
[null,356,"J. Doe","University Property Management","Does UWW consistently use checklist for each new lease to ensure completeness of documentation?",null,"Y",null,null,"UW System Administrative Policy 910",null,"https://www.uww.edu/policies/facilities-and-grounds","https://www.wisconsin.edu/risk-management/manual/property-use-agreements/"]
[null,357,"J. Doe","University Property Management","Are the checklists reviewed by the person other than the one by whom it was prepared?",null,"Y",{"$nulls":4},"https://www.uww.edu/policies/facilities-and-grounds","https://www.wisconsin.edu/risk-management/manual/property-use-agreements/"]
[null,358,"J. Doe","University Property Management","Are all the checklists for currently occupied units signed by both the preparer and reviewer?",null,"Y",{"$nulls":4},"https://www.uww.edu/policies/facilities-and-grounds","https://www.wisconsin.edu/risk-management/manual/property-use-agreements/"]
[null,359,"J. Doe","University Property Management","Does UWW review residential files on a monthly basis to ensure that the documentation (particularly Housing Assistance Payment Contracts) is current and complete?",null,"Y",{"$nulls":4},"https://www.uww.edu/policies/facilities-and-grounds","https://www.wisconsin.edu/risk-management/manual/property-use-agreements/"]
[null,360,"J. Doe","University Property Management","Does UWW complete and document its monthly internal audits of licensee files?",null,"Y",{"$nulls":4},"https://www.uww.edu/policies/facilities-and-grounds","https://www.wisconsin.edu/risk-management/manual/property-use-agreements/"]
[null,361,"J. Doe","University Property Management","Does UWW contacted the lessees within 5 to 10 days prior to commencement of the lessee's scheduled event, if a copy of the lessee's certificate of insurance has not been obtained?",{"$nulls":4},"Specific organization's policy",null,"https://www.uww.edu/policies/facilities-and-grounds","https://www.wisconsin.edu/risk-management/manual/property-use-agreements/"]
[null,362,"J. Doe","University Property Management","Does UWW create monthly reports to monitor the number of vacant units? ",null,"Y",{"$nulls":4},"https://www.uww.edu/policies/facilities-and-grounds","https://www.wisconsin.edu/risk-management/manual/property-use-agreements/"]
[null,363,"J. Doe","University Property Management","Do the reports on vacancies include the total number of units, number of rented, vacant, and in process units, and the amount of time each unit has been in its current phase?",{"$nulls":6},"https://www.uww.edu/policies/facilities-and-grounds","https://www.wisconsin.edu/risk-management/manual/property-use-agreements/"]
[null,364,"J. Doe","University Property Management","Are the reports on vacancies reviewed by the management on a monthly basis?",{"$nulls":6},"https://www.uww.edu/policies/facilities-and-grounds","https://www.wisconsin.edu/risk-management/manual/property-use-agreements/"]
[null,365,"J. Doe","University Property Management","Does management regularly (at least once a year) perform costs/benefit analysis of holding emergency rooms?",{"$nulls":6},"https://www.uww.edu/policies/facilities-and-grounds","https://www.wisconsin.edu/risk-management/manual/property-use-agreements/"]
[null,366,"J. Doe","University Property Management","Are all the tenants being instructed on a regular basis to leave rent checks in the drop box and not to give them to office staff from hand to hand?",null,"Y",{"$nulls":4},"https://www.uww.edu/policies/facilities-and-grounds","https://www.wisconsin.edu/risk-management/manual/property-use-agreements/"]
[null,367,"J. Doe","University Property Management","Is the log of received checks reviewed systematically on a daily/weekly/monthly basis to ensure all received checks were processed?",null,"Y",{"$nulls":4},"https://www.uww.edu/policies/facilities-and-grounds","https://www.wisconsin.edu/risk-management/manual/property-use-agreements/"]
[null,368,"J. Doe","University Property Management","Does UWW use the single system to record and monitor lease activity?",null,"Y",null,null,"UW System Administrative Policy 910",null,"https://www.uww.edu/policies/facilities-and-grounds","https://www.wisconsin.edu/risk-management/manual/property-use-agreements/"]
[null,369,"J. Doe","University Property Management","Does UW-Whitewater Fiscal Affairs have live access to a detailed accounts receivable aging report produces by UWW Financial Services?",null,"Y",null,null,"Specific organization's policy",null,"https://www.uww.edu/policies/facilities-and-grounds","https://www.wisconsin.edu/risk-management/manual/property-use-agreements/"]
[null,370,"J. Doe","University Property Management","In case UWW uses two (or more) separate leasing systems, are the review and reconciliation of all systems' inputs performed on a regular (monthly) basis?",null,"Y",null,null,"UW System Administrative Policy 910",null,"https://www.uww.edu/policies/facilities-and-grounds","https://www.wisconsin.edu/risk-management/manual/property-use-agreements/"]
[null,371,"J. Doe","University Property Management","Does UWW have a formally documented list of persons who have the right to approve the fee adjustments and waivers?",null,"Y",{"$nulls":4},"https://www.uww.edu/policies/facilities-and-grounds","https://www.wisconsin.edu/risk-management/manual/property-use-agreements/"]
[null,372,"J. Doe","University Property Management","Are the rental rates approved by the Vice President of Administration and Finance/CFO used for all tenants?",null,"Y",null,null,"Specific organization's policy",null,"https://www.uww.edu/policies/facilities-and-grounds","https://www.wisconsin.edu/risk-management/manual/property-use-agreements/"]
[null,373,"J. Doe","University Property Management","In case special/promotional/marketing specials rates are used, are they approved in writing by the Vice President of Administration and Finance/CFO?",null,"Y",null,null,"Specific organization's policy",null,"https://www.uww.edu/policies/facilities-and-grounds","https://www.wisconsin.edu/risk-management/manual/property-use-agreements/"]
[null,374,"J. Doe","University Property Management","Are the standard security deposits required and collected on all units?",{"$nulls":4},"Specific organization's policy",null,"https://www.uww.edu/policies/facilities-and-grounds","https://www.wisconsin.edu/risk-management/manual/property-use-agreements/"]
[null,375,"J. Doe","University Property Management","Is it officially and practically prohibited for all tenants to move in until deposit is received?",{"$nulls":4},"Specific organization's policy",null,"https://www.uww.edu/policies/facilities-and-grounds","https://www.wisconsin.edu/risk-management/manual/property-use-agreements/"]
[null,376,"J. Doe","University Property Management","Are all the security deposits returned timely to the moved out tenants?",{"$nulls":4},"Specific organization's policy\nWhitewater Real Estate Association",null,"https://www.uww.edu/policies/facilities-and-grounds","https://www.wisconsin.edu/risk-management/manual/property-use-agreements/"]
[null,377,"J. Doe","University Property Management","Is the completeness of move out processing regularly reviewed by the management?",{"$nulls":4},"Specific organization's policy",null,"https://www.uww.edu/policies/facilities-and-grounds","https://www.wisconsin.edu/risk-management/manual/property-use-agreements/"]
[null,378,"J. Doe","University Property Management","Are occupancy trends recorded for recent years?",{"$nulls":9},"Adapted from Internal Control Questionnaire"]
[null,379,"J. Doe","University Property Management","Are projected occupancy trends and metrics developed?",{"$nulls":9},"Adapted from Internal Control Questionnaire"]
[null,380,"J. Doe","University Property Management","Are room assignments reconciled from the student housing software to resident billing?",{"$nulls":9},"Adapted from Internal Control Questionnaire"]
[null,381,"J. Doe","University Property Management","Are processing of deposits for student housing controlled?",{"$nulls":9},"Adapted from Internal Control Questionnaire"]
[null,382,"J. Doe","University Property Management","Are processing of refunds for student housing controlled?",{"$nulls":9},"Adapted from Internal Control Questionnaire"]
[null,383,"J. Doe","University Property Management","Are records managed for student housing accounts receivable?",{"$nulls":9},"Adapted from Internal Control Questionnaire"]
[null,384,"J. Doe","University Property Management","Is a payment plan offered for students with outstanding bills?",{"$nulls":9},"Adapted from Internal Control Questionnaire"]
[null,385,"J. Doe","University Property Management","Are fees charged at occupancy check out?",{"$nulls":9},"Adapted from Internal Control Questionnaire"]
[null,386,"J. Doe","University Property Management","Is there someone that oversees safety inspections for the resident halls?",{"$nulls":9},"Adapted from Internal Control Questionnaire"]
[null,387,"J. Doe","University Property Management","Is there any controls for residence of Colleges merged with our campus?",{"$nulls":9},"Adapted from Internal Control Questionnaire"]
[null,{"$f":"B392+1","v":388},"J. Doe","University Foundation","Does the Foundation perform periodic review (at least once a year) of original gift value in relation to the existing accounting records?",null,"Y",{"$nulls":4},"https://www.wisconsin.edu/regents/policies/institutional-relationships-with-foundations/"]
[null,389,"J. Doe","University Foundation","Does the Foundation periodically (at least once a year) assess the appropriateness of endowments income allocation?",{"$nulls":6},"https://www.wisconsin.edu/regents/policies/institutional-relationships-with-foundations/"]
[null,390,"J. Doe","University Foundation","Does the Foundation periodically (at least once a year) check that the expenditures are made in accordance with the endowment agreement?",null,"Y",{"$nulls":4},"https://www.wisconsin.edu/regents/policies/institutional-relationships-with-foundations/"]
[null,391,"J. Doe","University Foundation","Do all gift and pledge agreement templates clearly identify the donor's intent and where/how the funds are to be used?",null,"Y",{"$nulls":4},"https://www.wisconsin.edu/regents/policies/institutional-relationships-with-foundations/"]
[null,392,"J. Doe","Continuing Education","Does the organization have an operations manual that includes policies and procedures addressing the development of contracts  and partnership agreements?",null,"Y",{"$nulls":4},"https://www.uww.edu/ce","https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/programming-for-the-non-traditional-market-in-the-uw-system/"]
[null,393,"J. Doe","Continuing Education","Does the organization maintain evidence of notifying the Chancellor's Office about all the instances when degrees are first offered in self-supported mode?",{"$nulls":6},"https://www.uww.edu/ce","https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/programming-for-the-non-traditional-market-in-the-uw-system/"]
[null,394,"J. Doe","Continuing Education","Does the organization maintain evidence of Campus approvals of new degree programs?",{"$nulls":6},"https://www.uww.edu/ce","https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/programming-for-the-non-traditional-market-in-the-uw-system/"]
[null,395,"J. Doe","Continuing Education","Does the organization maintain evidence of proper campus approval for all certificate programs?",{"$nulls":4},"Requirements for Baccalaureate Degrees, Majors, Concentrations, Minors and Certificates",null,"https://www.uww.edu/ce","https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/programming-for-the-non-traditional-market-in-the-uw-system/"]
[null,396,"J. Doe","Continuing Education","Does the organization have a properly executed Memorandum of Understanding with all 3rd party partners?",null,"Y",{"$nulls":4},"https://www.uww.edu/ce","https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/programming-for-the-non-traditional-market-in-the-uw-system/"]
[null,397,"J. Doe","Continuing Education","Does the organization properly document the nexus between expenditures made from revenue-share trust accounts and the specific CE self-supported program functions that benefit from the expenditures?",{"$nulls":6},"https://www.uww.edu/ce","https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/programming-for-the-non-traditional-market-in-the-uw-system/"]
[null,398,"J. Doe","Continuing Education","Is the rationale for the revenue-sharing rates and the overhead-recovery rate used in partnership agreements with academic colleges and departments properly documented?",{"$nulls":6},"https://www.uww.edu/ce","https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/programming-for-the-non-traditional-market-in-the-uw-system/"]
[null,399,"J. Doe","Continuing Education","Does the organization formally document the compliance with  policies when establishing fees for self-supported degree programs?",{"$nulls":6},"https://www.uww.edu/ce","https://www.wisconsin.edu/uw-policies/uw-system-administrative-policies/programming-for-the-non-traditional-market-in-the-uw-system/"]
[null,400,"J. Doe","Other","Are administrative policies, procedures and practices documented?",{"$nulls":6},"http://www.uww.edu/adminaffairs/compliance"]
[null,401,"J. Doe","Other","Are signature authorizations current?",null,"Y"]
[null,"Total",{"$nulls":11},{"$f":"SUBTOTAL(103,assessment[Additional Control Information (3)])","v":40}]
[]
[{"$nulls":4},"Risk Assessment (Optional)"]
[{"$nulls":4},"What do you consider the most significant risk (i.e., condition or event) that interferes with the achievement of your objectives and goals? "]
[{"$nulls":4},"Rate  the likelihood or probability that this risk might occur? "]
[{"$nulls":4},"Describe the impact or effect that the occurrence of such risk may have on the achievement of objectives? "]