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Fiscal Close Certification Guide

This guide was created to assist the Assistant Deans, Department Chairs, Directors, MSOs/CAOs, and Budget Analysts with signing the fiscal year end certification statement.


Each certification is presented below with an explanation and a reference to a one-page checklist of steps you may take to gain assurance that your department is operating accordingly.

Collaboration is encouraged between Assistant Deans, Chairs/Directors, MSO/CAOs, and Budget Analysts to enhance understanding and communication. Reviewing the checklist together will provide assurance the department has met the certification statements. A definition of terms and a list of additional sources of information are also included.

The Certification Statements

"I am responsible for the application of university policies and procedures to ensure the efficient and effective use of resources and to prevent and detect fraud in the areas in which I am involved."

You are acknowledging your acceptance of the responsibilities of department chair/MSO/CAO. As a leader, you communicate by example the expectations that your faculty and staff will follow policy. You are not expected to know in detail all the administrative processes in your department. You are expected to delegate administrative tasks to people who are properly trained and watch overall that the department is operating correctly.

Applicable sections of the checklist: All

"There are no material transactions or agreements, including the accrual of liabilities, that have not been properly recorded in the University's accounting records."

This is accomplished by having trained people use Kuali, DaFIS and PPS correctly to record all money received and paid out. The validity of all financial transactions is confirmed monthly when your department staff review and to certify the general and payroll ledgers.

Applicable sections of the attached checklist: All

"Communications from regulatory agencies, donors, or other entities concerning noncompliance with laws, regulations, applicable guidelines, directives or with an appropriate standard of care have been disclosed in writing to the Associate Vice Chancellor - Finance/Controller."

Your department should forward to the appropriate central office any communication from an entity external to the university notifying you that your department did not meet one of their requirements.Applicable sections of the attached checklist: A, B, C

"All known allegations of fraud or suspected fraud have been disclosed to the appropriate University official or workgroup."

Any verbal or written communication that appears to be a good faith disclosure of an improper activity should have been disclosed to the Chancellor's Office.

Applicable sections of the attached checklist: C, D

"The areas in which I am involved manage funds in compliance with laws, regulations, provisions of contract and grant agreements, and donor restrictions that apply to these funds."

Set expectations of ethical behavior, train people to do their jobs, and assign tasks as specified in policy 330-11.

Applicable sections of the attached checklist: A, B, C