Internal Control Annual Certification Process

The Office of Internal Controls conducts an annual certification process that leverages Sarbanes-Oxley Act best practices. The process applies to selected business processes across the university (for example, financial operations, human resources, conflict of interest, and so on). It provides reasonable assurance regarding achievement of objectives in the following categories:

  1. Effectiveness and efficiency of operation
  2. Compliance with laws and regulations
  3. Reliability of financial reporting

One of the annual certification areas is IT security. Units are asked to certify that they are compliant, partially compliant, or non-compliant with a particular security practice or process that changes every fiscal year.

Information Assurance Internal Control Certification Questions

Fiscal Year 2017 Question

I have read Section IX (Information Technology Security and Privacy) of Procurement General Policies and Procedures (SPG 507.01) and have begun to assess how this affects my unit.

Guidance for the FY17 Internal Control Annual Certification Process (All units should be able to reply "yes" or "partial" to the FY17 question.)

Archive of Previous Questions

Internal Control Annual Certification Question Archive

Information Assurance Certification Coordination—Who Does What

  • The certification form is sent to deans, directors, and vice presidents in early September. The signed form is to be submitted to the Office of Internal Controls by the end of September. The results are summarized and presented to the Regents in the Finance, Audit, and Investment Committee in November.
  • Deans, directors and vice presidents from 46 units across campus are required to certify to their financial results and internal controls. See list of certifying units.
  • Security Unit Liaisons for each certifying unit should work with their unit's key administrative officer (included in list of certifying units) to ensure that their unit is prepared to answer the IT security certification question with respect to the unit's level of compliance.