Information Technology Business Procedures
The Information Technology Business Office is responsible for:
§ Budgets and Financial Reporting and Analysis
§ Business Case Development and Analysis
§ General, Project and Cost Accounting
§ Accounts Receivable Billings and Collections
§ Contract Negotiation, Review, Approval and Processing
§ Procurement of Goods and Services
§ Travel Authorization, Booking and Reimbursement
§ Personnel Records and Transaction Processing
§ Payroll Processing and Payment
§ Records Management
The Information Technology Procurement Office is responsible for:
§ Asset Accounting and Inventory
§ Equipment specification and procurement proposal review
The Information Technology Security Office is responsible for:
§ Audit Coordination & Management
in the Department of Information Technology consistent with applicable laws, policies, procedures and regulations. Procedures for the conduct of departmental business detailed below recognize it is the responsibility of individual Directors to determine appropriate use of assigned resources and manage their programs within approved budgets. The services of the Business Office, IT Procurement and IT Security, while facilitating this goal, do not relieve Directors of this responsibility.
The IT Business Office is locate on the first floor of the Education South (KARN) Building. The IT Procurement Office is located in University Hospital on 4D. The IT Security Office is located in the Mediplex Apartments. All are open from 8:00 to 5:00 Monday through Friday, except for UAMS Official Holidays. Most business transactions can be processed during normal business hours; however, provision is made for emergency purchases outside normal business hours.
1. The Business Office will issue to all Department Directors detailed budget development worksheets each January including current year budget and year-to-date expenditure information accompanied by budget guidelines, a schedule of activities and instructions for completion.
2. Department Directors will compile their budget requests using these worksheets and return them to the Business Office for accumulation into the Department Budget Request for consideration by the Chief Information Officer.
3. Following the CIO’s meetings with Directors to review their requests, the CIO will provide the Business Office his/her modifications to your request. The Business Office will then provide Directors copies of budgets approved for further consideration at the campus level.
4. Once campus decisions are announced, the CIO will allocate approved resources across the Divisions.
5. The Business Office will compile spreadsheets detailing budget approvals for each Division, review them with each Director for agreement on budget distribution across accounting categories and periods and record the final budget in the campus Budget System.
1. Upon receipt of campus guidelines and instructions, the IT Business Office will provide request development forms and instructions to affected Directors.
2. Upon return of the forms by Directors, the Business Office will compile the requests for consideration by the CIO.
3. Upon receipt of the CIO’s decisions, the Business Office will compile the required campus forms and narrative; review them with the CIO and affected Directors and forward the approved package to the campus Budget Office.
1. If a Director determines a transfer of his/her Division budget is required to existing revenue or expense budgets, they will send an e-mail to the Director of IT Business Services explaining the amount of and reason for the revision as well as the timing, source and destination of the budget transfer amount(s). The Business Office will prepare the necessary Budget Revision, review it with the Director, submit it for processing by the Campus Budget Office and retain a copy for reconciliation to ledgers.
2. If a new revenue stream is identified and needs to be budgeted, the Director will send an e-mail note to the Director of IT Business Services explaining the amount, type, timing of expected receipts, source and anticipated life of the new revenue stream. The Business Office will prepare the necessary Budget Revision, review it with the Director, submit it for processing by the Campus Budget Office and retain a copy for reconciliation to ledgers.
3. If a budgeted revenue stream is reduced or lost, the Director will send an e-mail to the Director of IT Business Services explaining the timing of, reason for and expected amount of the loss and the impact of this loss on approved expense budgets. The Business Office will prepare the necessary Budget Revision, review it with the Director, submit it for processing by the Campus Budget Office and retain a copy for reconciliation to ledgers.
4. In the event of a campus budget reduction, the IT Business Office will prepare an analysis of department budget status for review by the CIO and Directors, assist them in determining how best to absorb the reduction then prepare and process the necessary Budget Revision and retain a copy for reconciliation to the ledgers.
1. The Business Office will prepare and review with the CIO and Directors monthly financial reports for the individual Divisions detailing performance against budget and explaining variances from budgets. Reports will be available by the 10th of each month for the preceding month.
2. The Business Office will request and review Directors’ plans for correcting negative budget trends and assist in implementation of approved strategies for reversing negative trends. The Business Office will monitor and report on progress following strategy implementation. In the event of no workable strategy or a failing strategy at the Director level the Business Office will elevate the problem for action or deficit acceptance by the CIO.
3. The Business Office will, with the input of Directors, develop financial forecasts as required by Management.
4. The Business Office will prepare, review with the CIO and submit to the Chief Financial Officer the monthly Scorecard for review by the Chancellor.
5. The Business Office will analyze financial trends and business patterns for use in program planning and workload assessment as requested by Management.
1. Authorization for all new projects, new programs and unbudgeted capital acquisitions requires the development of a business plan and approval of that plan by Management. Plans will address the following:
a. A statement of scope and purpose (e.g. implement a new or replacement functionality for XYZ program, create a new fee-for-service offering, replace or add specific devices)
b. The business reason for the project, program or acquisitions (e.g. federal regulation, failing equipment, cost containment, added functionality)
c. Sponsor information
d. Proposed start or acquisition date.
e. A detailed project budget proposal including anticipated costs (e.g. temporary staff, consulting, hardware, training), funding sources and timelines.
f. A five-year forecast of associated operating costs and revenue and a statement of business value added (e.g. costs reduced or avoided, revenue enhancement, process efficiencies) quantified where possible.
2. The Business Office will provide a standard electronic format for business case development and assist in the actual development on request.
3. The Business Office will review all submitted business cases for fiscal soundness and compliance with applicable laws, regulations and policies and make a recommendation to the CIO for acceptance, modification or rejection within two weeks of receipt of a complete proposal.
4. Proposals for equipment acquisition that are clearly marked as emergency needs will be acknowledged immediately and processed without delay by the Business Office.
For approved projects expected to enhance IT revenue or reduce IT costs, the Business Office will assess performance against plan annually for five years. Results will be reported to the CIO and affected Directors each July for the preceding year.
The Business Office will review ledgers monthly for completeness and appropriateness of entries to all IT accounts and process corrections for entries omitted or made in error.
The Business Office will review all outstanding encumbrances quarterly for correctness and process cancellations and corrections as appropriate. Directors may request corrections overlooked by or not obvious to the Business Office by sending an e-mail to the Director of IT Business Services.
The Business Office will maintain subsidiary accounting records and reconcile them to SAP monthly as required and requested by Directors. To request a subsidiary accounting for a program or other trackable entity, submit an e-mail request to the Director of IT Business Services detailing the information needed and the purposes for which the information will be used. The Director of IT Business Services will outline an approach to the required accounting and reach agreement with the requesting Director before setting up the subsidiary accounting mechanism.
Recognizing that reporting on projects has a broader audience than just the Project Manager, the Business Office will establish and maintain project budgets in campus accounting systems, audit expenses against those budgets and performance requirements and report on project financial status monthly. Services are provided as follows:
1. Upon approval of a business plan by the CIO and sponsoring entities, the IT Business Office will request the appropriate accounts be established to reflect the approved project budget. Signature authority against the account will reside with the CIO and Director of IT Business Services with reporting and inquiry authority also residing with the sponsor(s) Business Officer(s)
2. Requests to purchase goods or services will be confirmed as being within approved budget or independently authorized by the funding sponsor before the purchases will be authorized from any project account. Significant price variances will be reported to the sponsor and project manager for handling instructions prior to approval.
3. Requests to pay for services rendered must be supported by the project manager’s verification that the services were performed as required by the contract or agreement.
4. The Business Office will provide monthly reports of performance against budget to the CIO, Project Manager and Project Sponsor with explanations of variances. Standard report format will be on a project life-to-date basis unless otherwise requested.
IT Business Services will conduct cost studies and establish and maintain cost accumulation and allocation mechanisms on an as requested basis. We provide the following services:
1. Identification of cost drivers and appropriate allocation methodologies.
2. Cost accumulation and allocation based on approved methodologies.
3. Targeted cost studies
4. Established periodic and ad hoc cost reporting
The Business Office will prepare and/or review and process all cost transfers and miscellaneous journal entries required to properly reflect the business of Information Technology. Directors should notify the Director of IT Business Services if they believe costs or revenues have been incorrectly applied. The e-mail should include the amounts to be transferred, where they are currently posted incorrectly and the correct posting (if known) and the reason for the transfer. For example, John Doe’s salary for September is charged to ERP Systems and he transferred to ACH systems September 1. The amount is $3,500.
The Business Office will reconcile monthly all department maintained subsidiary records to the General Ledger and prepare correcting entries as required.
The IT Procurement Office is responsible for accounting for assets assigned to the Information Technology Department.
1. If a Director identifies usable equipment that is surplus to his/her program and wants to transfer it to another division within IT or to another department, s/he should arrange for the move and send an e-mail to IT Procurement and IT Business Services listing the asset tag number, description, current location, recipient unit, planned date of transfer and sales price, if any. IT Procurement will process the required Property Transfer forms and maintain the files for audit. Business Services will process the request for payment.
2. If equipment becomes unusable and is to be discarded or cannibalized, the Director should send an e-mail to IT Procurement listing the asset tag number, description, current location, planned disposition and desired date of action. IT Procurement will process the required asset transfer forms, maintain the files for audit and notify the department the disposal has been approved. The Director can then dispose of the asset.
3. If a Director identifies surplus equipment outside the IT Department that they want to acquire, they should make arrangements for the physical transfer and upon receipt send an e-mail to IT Procurement and IT Business Services listing the date acquired, asset tag number, source of the equipment, its new location and the amount and recipient of any payment to be made. IT Procurement will update asset records and Business Services will process the payment.
4. If equipment currently on or to be added to the IT inventory, was purchased on a grant and is to be transferred to/from another institution with the Principal Investigator the Director should send an e-mail to IT Procurement listing the name of the Principal Investigator, asset tag number, asset description, current/planned location, transferring/recipient institution and planned date of transfer. IT Procurement will process the required asset transfer forms and maintain the files for audit.
5. If equipment is received as a gift from a donor, the Director should send an e-mail to IT Procurement and IT Business Services listing the name and address of the donor, asset description, asset value, method of establishing value and location of the asset within UAMS. IT Procurement will process the forms to add the asset to inventory and Business Services will ensure financial records are updated and the gift is acknowledged for tax purposes.
6. For assets to be assigned to employees for use at their homes or other non-UAMS locations, Directors will complete annually the required Property Located Off Campus form and forward the signed form to IT Procurement to be retained for audit purposes. IT Procurement will provide a copy to Business Services for inclusion in the employee’s file.
7. Upon termination of employment, IT Procurement will certify the return of all equipment assigned to the employee and retain a copy of this certification for audit purposes. IT Procurement will provide a copy to Business Services for inclusion in the employee’s file.
IT Procurement will coordinate the annual inventory of moveable equipment with Property Services and notify divisions of actions required of them. Following initial scanning, Directors will be notified of assets not located or accounted for. Directors will then be responsible for locating the missing assets and producing them for scanning. IT Procurement will retain all documentation for audit purposes.
All interactions between Information Technology and auditors will be coordinated by IT Security to ensure appropriate persons provide information in a timely manner and required responses receive appropriate review. Anyone contacted directly by an auditor without prior notice from the Security Office will contact the Director of IT Security immediately. The IT Security Office will maintain copies of all documents related to audits.
The Business Office will process Billings for services and resale inventory on behalf of all Information Technology divisions.
1. Hourly rates for services will cover direct costs and reasonable overhead costs; will be below market rates for the same service; and will be consistent with other internal charge rates for similar services. The Director offering the service will provide initial and revised rate proposals. The Business Office will review proposals and recommend acceptance or modification before the CIO approves rates and rates are applied. Rates will be reviewed and reset each fiscal year.
2. As internal service commitments are made, the Director will execute a Service Agreement form/memo signed by the paying group and forward a copy to Business Services. The form/memo will include the account to be charged and the estimated cost of the work. As actual charges approach the estimated amount, the Business Office will notify the Director so s/he can advise the payer and revise the agreement or suspend work.
3. As external service commitments are made, the Director will execute a contract to be signed by the external client. The contract will detail the services to be provided, rates to be charged and terms and conditions for performance, payment and cancellation; billing address and payment address. The UAMS Office of Contract Services must sign all such agreements on behalf of UAMS. Send all such contracts to Business Services prior to client signature and we will process the proposed contract for both UAMS signature and client signature.
4. Billings for services rendered will be processed monthly for the preceding month. Directors providing the service will provide the Business Office a timesheet for each billing FTE attributing billable hours to the various projects to be billed. Timesheets should be sent to the IT Business Services conference.
1. Prices for resale inventory items will be set to cover direct costs and may also include reasonable overhead costs. The Director offering the resale service will provide initial and annual revised rate proposals. The Business Office will review proposals and recommend acceptance or modification before the CIO approves rates and rates are applied.
2. Billing for resale items will occur simultaneously with the sale. The selling division will initiate an Interdepartment Transfer (IDT) of costs (either paper or electronic) and written authorization for the charge from the requesting unit before sending the IDT to Business Services for input into SAP. The resale unit is responsible for maintaining records of the purchaser’s order. Every resale transaction must have a corresponding HEAT call number noted on the IDT.
3. The Business Office will monitor activity and recommend appropriate changes, if any, to accounting treatment of inventories for resale.
The Business Office must review and approve any contract that commits UAMS to pay money or perform services.
Contracts that produce revenue for sale of services, use of equipment or facilities, sale of property or sale of property or intellectual rights must be reviewed by the Business Office before signing. The Business Office review will ensure compliance with institutional policy, state laws, applicable regulations and IT practices and will coordinated processing with applicable UAMS offices.
8.1.1 For contracts governing sale of services and/or use of equipment or facilities:
1. Directors proposing to enter contracts for sale of services that utilize UAMS staff or property should draft a business proposal or contract that sets outs the terms and conditions under which the services will be provided and the rates to be charged for the services. A memo assessing the impact of providing this service on the IT Department’s ability to provide required services to UAMS and stating UAMS will not be in substantial competition with private providers in the local market must accompany the proposal.
2. The Business Office will review the proposal for financial viability and make recommendations to the Director for change.
3. The Business Office will review the proposal for compliance with policy and law, solicit input from Contract Services and/or Legal where appropriate and provide any language requirements to be included in the actual contract.
4. The Business Office will retain the memo of assurances in Department files.
5. Upon receipt of an executable contract, the Director of Business Services will initial the contract and advance it to the CIO for approval to execute.
6. Once approved by the CIO, Business Services will forward the contract for signatures and institutional approvals.
7. Business Services will notify the Director when the contract is approved and file the original contract for audit.
8.1.2 For contracts governing sale of property:
1. Directors proposing to sell equipment must provide the IT Procurement Office a memo stating the terms and conditions of the sale and setting forth the reason for the sale of the equipment in lieu of normal disposal.
2. IT Procurement will obtain institutional approval to sell the item and notify the Director and Business Services of how to proceed with the sale.
3. All financial transactions related to the sale will processed through Business Services.
8.1.3 For contracts governing sale of intellectual property:
1. Directors proposing to sell intellectual property must provide the Business Office a memo stating the terms and conditions of the sale, details regarding the purpose and nature of the property and by whom and under what conditions the property was developed.
2. The Business Office will review the proposal for compliance with institutional policies on patents and royalties and terms and conditions in pre-existing contracts that may preclude or limit sale options.
3. The Business Office will notify the Director and the CIO of institutional requirements to proceed.
1. Directors should forward all proposed vendor contracts for review by the Business Office for compliance with State law.
2. The Business Office will review the contract for financial acceptability and for compliance with IT standards and make recommendations for change.
3. The Business Office will work with the Director, Vendor and the Office of Contract Services to bring the contract into compliance with IT and institutional requirements.
4. Business Services will process the contract through institutional signature and approval processes, retain the executed original for audit and advise the Director when approval is received.
1. The Business Office will, on request, locate space for lease for consideration by the requesting Director. To request our assistance send an e-mail to the Director of Business Services outlining and amount and type of space required and the rent you are willing to pay.
2. Upon your acceptance of the space, Business Services will lease the space on your behalf.
3. Directors electing to locate their own space should forward all proposed lease agreements for review by the Business Office for compliance with State law.
4. The Business Office will review the lease for financial acceptability and for compliance with IT standards and make recommendations for change.
5. The Business Office will work with the Director, Lesser and the Office of Campus Operations to bring the contract into compliance with applicable requirements.
6. Business Services will process the lease through institutional signature and approval processes, retain the executed original for audit and advise the Director when approval is received.
1. Directors should forward all proposed vendor leases for review by the Business Office for compliance with State law, institutional policy and department standards.
2. Business Services will process the lease through institutional signature and approval processes, retain the executed original for audit and advise the Director when approval is received.
1. The Business Office will maintain a contract/lease database accessible by all Directors (currently under development).
2. The Business Office will notify the applicable Director 90 days before expiration in order that the Director may elect to renew or replace the contract or lease.
Directors and their designees can requisition supplies from the UAMS Stockroom independent of Business Services. Business Services will monitor reservations on line in SAP and advise the Director of any problems noted. As orders are delivered, the Director will forward the signed “Pick Ticket” or “Delivery Receipt” to Business Services for verification of charges against Information Technology accounts and retention for audit purposes.
Directors and their designees can issue orders of less than $5,000 for repairs and services other than construction/renovation independent of Business Services. Examples include moving services, printing jobs, catering and repairs to facilities. Directors will forward a copy of the order to Business Services for reconciliation of charges against your ledger. Business Services will monitor internal service purchases on line in SAP and advise the Director of any problems noted.
1. Directors requiring construction/renovation services should complete a construction/renovation checklist form and forward it to Business Services.
2. Business Services will process and track the form, report the cost estimate to the Director along with an assessment of alternatives and budget availability for acceptance or rejection. CIO approval to exceed budget is required.
3. Business Services will process the funding transfer for approved construction and close the account at the end of the project.
4. Business Services will on request arrange scheduling
1. Designated IT clerical support personnel are authorized to process orders of up to $2,000 directly in SAP.
2. For orders exceeding $2,000 Directors or their designees should e-mail the IT Business Services Conference a description of the goods or services they need, the estimated cost, if known, preferred vendor, if any, the date needed and any price quotations obtained.
3. Purchases of $5,000 to $25,000 require 3 quote bids. They may be obtained verbally. Purchases of $25,000 or more require issuance of a formal bid by the UAMS Office of Procurement.
4. Business Services will check for budget adequacy, required bids or justification for sole source purchase and notify the Director if problems are found. CIO approval to for sole source purchases or to exceed budget is required.
5. Business Services will place and track the order if budget is available.
1. Directors should forward drafts of all RFPs, RFQs and RFBs to Business Services. DO NOT GO DIRECTLY TO UAMS PROCUREMENT SERVICES.
2. Business Services will review for compliance with law, regulations and policy and make recommendations for change.
3. Business Services will work with the Director, Procurement Services and/or Contract Services to add standard boilerplate and issue the Request.
4. Responses will be returned to the Director through Business Services. Business Services will provide a financial comparison of responses, where applicable, an assessment of budget adequacy and execute the award based on the Director’s decision. CIO approval to exceed budget is required.
5. Business Services will maintain a file of Requests for review prior to development of new Requests.
1. Directors wishing to purchase hardware or software should contact IT Procurement by e-mail (until a web-based form is developed) detailing their needs. IT Procurement will ensure compatibility with campus systems and compliance will all security policies and provide the requesting Director with a cost quotation within 24 hours.
2. Directors will accept or reject the quotation.
3. IT Procurement will send accepted quotes for hardware/software purchases to Business Services for placement of the order with the vendor and recording in SAP. Orders will be marked either “emergency” or “routine” and will indicate the account to which the purchase should be charged.
4. Web-based quote sheets are being developed, but until these electronic forms are available, the accepted quotes will be faxed or e-mailed to Business Services for processing.
5. Business Services will place “emergency” orders immediately. “Routine” orders may be bundled to maximize price reduction and placed at the end of each month. Business Services will charge all purchases directly to the Director’s designated account unless prohibited by law or institutional policy,
6. Business Services will create a Help Desk call referencing the Purchase Order for each new system.
7. IT Procurement, upon receipt of the Help Desk call, will print a copy of SAP transaction #ME23N for reference in working with the requesting unit(s) and will e-mail the system owner requesting software and configuration requirements.
8. On receipt of a reply to the “software and configuration” information request, IT Procurement will arrange configuration and installation and post the license(s) to their database.
9. IT Procurement will close out the Help Desk call when configuration and installation are complete.
In the event a critical system or piece of hardware fails during hours when IT Procurement and/or Business Services are not open for business, the managing Director should purchase the equipment, supplies or services necessary to correct the problem and restore service by working directly with the vendor and send an e-mail to Business Services and IT Procurement detailing the actions taken. All documents associated with the transaction should be faxed to Business Services. IT Procurement will address system and license issues retroactively and Business Services will process the transaction through SAP and appropriate campus administrative offices.
1. Goods delivered directly to the ordering department by the vendor should be received in SAP directly by the receiving office immediately upon receipt. The packing slip should be marked “Received in SAP”, initialed by the person entering the receipt and forwarded to Business Services for retention.
2. The Business Office will, on receipt of a signed packing slip, receive the order in SAP for you if you specifically request the service.
3. For all IT equipment purchases processed through IT Procurement, IT Procurement will enter the asset tag # on the Help Desk call, receive the goods in SAP where appropriate and forward the packing slips to Business Services for attachment to the PO.
1. Billings for Services must be signed by the Director or his/her designee and forwarded to Business Services for processing.
2. Billings should clearly state the order or contract number.
1. All telephones are budgeted in and billed to Business Services. Business Services will review the detailed monthly billings from Telecommunications and other service providers to ensure Information Technology is charged only for the lines assigned to us. Suspicious or unusual charges (e.g. international calls, lengthy calls) noted will be called to the attention of the Director for follow up.
2. Moves, service deletions and installations are to be coordinated with Business Services, although the actual arrangements may be made by the applicable support staff.
3. Copies of all orders and other documentation are to be forwarded to Business Services for retention for audit purposes.
Vendor credits and refunds should be forwarded to the Business Office for appropriate disposition. Directors should provide an explanation of the credit or refund if not clearly indicated on the Vendor check, credit memo or letter.
10.0 Employee Reimbursements
UAMS recognizes that employees must sometimes purchase goods and services on behalf of UAMS and then be reimbursed. Information Technology strictly follows the institutional policy governing personal reimbursements as found in the UAMS Administrative Guide policy # 5.1.17. This procedure addresses all claims for personal reimbursement except those for travel expenses. The Department of Information Technology further requires the purchase be approved in advance by IT Administration and IT Business Services.
10.1 Procedure for Obtaining Prior Approval
1. The IT Director approving the planned expenditure (or the CIO if the employee incurring the expense is an IT Director) should send an email to the IT Business Services Conference clearly stating
a. the goods and/or services to be purchased,
b. the estimated cost of the goods or services,
c. the purpose for the expenditure,
d. the name of the employee authorized to make the purchase, and
e. the reason established UAMS purchasing procedures will not be followed and a Purchase Order issued.
2. IT Business Services will:
a. review the request for appropriateness of the expenditure under Arkansas Law and institutional policy,
b. determine the appropriate funding source for the purchase,
c. notify the employee and authorizing administrator whether or not the purchase(s) are approved, and
d. provide the employee with the appropriate form for filing the claim for reimbursement.
10.2 Procedure for Claiming Reimbursement
1. The employee will complete the form provided by IT Business Services, attach all vendor receipts, sign the claim form and forward it to the IT administrator that approved the expenditure.
2. All receipts for meals must have the names of all participants listed on the reimbursement request.
3. Gratuities are limited to no more than 20% of any bill.
4. Unless approved in advance by the CIO, alcohol expenses alone (as opposed to part of a meal) will not be eligible for reimbursement.
5. Personal use items (e.g. tobacco and other consumables, monthly telephone service fees) will not be reimbursed.
6. The approving administrator will review the claim and approve it for processing.
7. IT Business Services will process the claim for payment. Unsigned claims or claims unsupported by receipts will be returned unprocessed.
UAMS issues a list of authorized travel agents each year. IT will utilize only agents and ticket services included on this list.
1. When travel is required, the traveler should send a memo or email, with meeting or conference brochure(s) attached, to his/her Director (or CIO when the traveler is a Director). The communication must state travel dates, travel requirements, and all estimated costs. If approved, the Director or CIO should forward the memo or email (and attachments) with his/her approval noted to IT Business Services. Memos and emails without this approval will not be processed. This memo or email will serve as the Travel Authorization (TA).
2. Business Services will verify budget is available to cover the travel. If budget is not adequate, the Director will be notified and CIO approval to exceed budget will be required. The Director of IT Business Services, acting as the Travel Administrator for the department, will sign the TA indicating budget availability.
3. If budget exists to cover the trip costs, Business Services will execute a Purchase Requisition to pay the registration fees and note the SAP transaction number on the TA. If the class, seminar or meeting does not accept purchase orders in payment of registration fees Business Services will note this on the TA and provide instructions for payment of the fee through other means.
4. Business Services will return the approved TA to the requesting unit as authorization to make transportation and lodging reservations.
5. The administrative support person for that division may then make the travel arrangements based on the lowest combination of costs. For example, for meetings beginning on Monday, the total cost of transportation fares plus hotel and per diem may be less if the travel occurs on Saturday rather than Sunday. If this is the case, the travel will be booked for Saturday unless the Director for business reasons requests a waiver. If multiple flights are available, the lowest cost flight that meets the business requirements of the traveler will be chosen. The department Business Travel Account (BTA) may be used to purchase airline tickets. Business Services will provide that number to the administrative support person.
6. Car rentals are restricted to situations where the rental is more economical than use of public transportation or in areas where public transportation is not readily available. The BTA may be used to guarantee the reservation but MAY NOT be used to pay for the vehicle. Travelers are to be so advised.
7. Where hotel options exist, the lowest cost option available that meets the business requirements of the traveler will be chosen. The BTA may be used to guarantee reservations requiring an advance deposit but MAY NOT be used to pay for the lodging. Travelers are to be so advised.
8. As noted above, Business Services will process the event registration where possible and process a Purchase Order to pay the registration fee. Where personal registration or credit card payment is required, the Traveler may register directly upon execution of the Travel Authorization using a personal card. The BTA is generally not accepted for this purpose but may be used where accepted.
9. The CIO’s signature is required on all international travel requests, and Travel Authorizations for his/her direct reports. Approval of all others TA’s may be delegated by the CIO to the appropriate Director.
1. Travelers are encouraged to use personal credit cards in lieu of travel advances.
2. Travel Advance requests will be approved ONLY for travelers in good status who cannot qualify for personal credit and ONLY for trips qualifying for the Travel Advance program.
3. Travelers receiving a Travel Advance must file for reimbursement within two business days of their return from travel status and repay the advance in full immediately on receipt of the reimbursement to be considered travelers in good status for future advances.
4. Directors will be notified when a traveler fails to repay an advance in a timely fashion. It is the Director’s responsibility to counsel the employee, solicit repayment and take appropriate disciplinary action for failure to repay the advance in a timely manner.
1. Reimbursements that are within the approved limits of the Travel Authorization may be processed directly by the traveler or his/her administrative support person.
2. Reimbursements that exceed the approved limits of the Travel Authorization require an approved modification to the TA. Modification requests must explain the unanticipated costs and include a copy of the receipts. Business Services will modify the TA where appropriate and notify the requesting party that the modification has been approved or rejected and he/she may then process the reimbursement request directly.
The Division of Information Technology enjoys the use of limited Foundation Funds. These funds are derived from gifts and fees associated with official IT events and are to be used for their stated purposes. The following procedures are to be followed.
1. Checks must be made payable to the UAMS Foundation - IT Events Fund.
2. The check, along with an explanation of purpose (e.g. donation, booth rental, etc.) should be delivered to IT Business Services for deposit in the appropriate account.
3. IT Business Services will complete the required deposit forms, ensure required letters of acknowledgement for gifts are issued, transmit the deposit to the Foundation Office and verify that deposits are posted correctly to account records.
4. Donations of $100 - $9,999 require acknowledgement by the CIO. Donations of $10,000 and over require acknowledgement by the Chancellor.
1. Disbursements must be consistent with the stated purpose of the fund.
2. All disbursement requests will be processed through the Foundation Offices by IT Business Services.
3. Only the CIO and Director of IT Business Services can authorize a disbursement. Expenditures in excess of $1,000 will be reviewed with the CIO prior to processing.
4. All disbursements must have been approved in advance. To obtain prior approval
a. the requesting IT Director should send an email to IT Business Services listing:
i. The name of the vendor(s) from whom the goods or services will be purchased,
ii. The goods or services to be purchased,
iii. The estimated cost of the purchase(s), and
iv. The purpose of the purchase(s).
b. IT Business Services will review the request for appropriateness and funding adequacy then notify the Director of approval, disapproval or restrictions.
5. Upon completion of the transaction the vendor invoice should be sent to IT Business Services for payment processing direct to the vendor.
1. Directors requesting a new position or reclassification of existing position should send a Position Classification Questionnaire to Business Services together with a specific request for action: (e.g. add a position, reclassify position # _____) and the targeted salary amount and paying account. If this is a shared salary arrangement, details should be provided.
2. Business Services will verify budget availability and notify the Director if problems are found. Requests to exceed budget require the approval of the CIO.
3. Requests for which there is adequate budget will be processed through Human Resources and the Director notified of the outcome.
1. Directors wishing to advertise an approved vacant position should send a request to advertise to the Director of IT Business Services. Business Services will process the request through Human Resources.
2. When a candidate is selected and an appropriate salary determined, the Director must confirm budget availability before offering the position. This may be done by e-mail to Business Services.
3. Business Services will notify Directors of frozen positions or general hiring freezes.
1. Directors will forward details and documentation of job offers and acceptances to the Business Office for appointment processing in SAP and Human Resources. A copy of the applicant’s resume should accompany the notice.
2. The Business Office will establish an IT Personnel Folder for the employee and add the employee to the IT Personnel Database.
1. To request a change in salary, funding source or other non-personal data, send an e-mail to Business Services requesting the change.
2. Business Services will verify any monetary change is within institutional and departmental policy and is within budget. Directors will be notified if problems are found.
3. Business Services will forward compliant requests for CIO approval before entering them in SAP.
4. The CIO’s approval is also required to waive policy or exceed budget.
1. Directors will evaluate the performance of all employees annually on their review date using the approved IT evaluation form.
2. Business Services will notify each Director monthly of employees due for review that month.
3. Upon completion of the review, the signed evaluation and accompanying notes will be sent to Business Services for inclusion in the employee’s IT personnel folder.
4. When a Director determines a disciplinary notice is required s/he will issue it using the approved institutional form and forward a signed copy to Business Services for inclusion in the employee’s IT personnel folder.
5. Letters of recognition, appreciation, complaint or reprimand related to a particular employee will be discussed with the employees, signed by the employee to acknowledge receipt and forwarded to Business Services for inclusion in the employee’s IT personnel folder.
6. It is strongly recommended that anything added to the IT personnel folders also be added to the employee’s institutional personnel file. Unless the Director requests and the CIO approves a waiver, Business Services will forward copies of all evaluations, disciplinary notices and letters to HR upon receipt.
1.Terminations for cause require the advance approval of the CIO and Human Resources and require complete documentation of the problems or deficiencies to be previously on file to support the action. Directors will notify the CIO and the Director of IT Business Services before taking any action. Because of the confidentiality of such actions, it is recommended this advance notice be given either by phone call or confidential e-mail.
2.When a termination for cause is proposed, the Director of IT Business Services will review the IT personnel folder for the employee and advise the Director and CIO within 24 hours of problems anticipated, if any.
3.Letters of termination may be drafted by the Director, CIO or by Business Services on request but must be approved by the Office of Human Resources prior to issuance to the employee. The Director must provide Business Services a copy of the letter to be placed in the employee’s IT Personnel Folder.
4.All letters of voluntary resignation should be forwarded upon receipt to Business Services. If resignations are verbal, an e-mail documenting the resignation should be sent immediately to Business Services and the employee copied on the e-mail.
5.Business Services will process all terminations through Human Resources upon receipt of appropriate documentation.
6.Ensuring appropriate clearance of the terminating employee is the responsibility of the Director.
1. Business Services will provide a database of sick, vacation and compensatory leave earned, taken and available for each employee. The database will be accessible by Directors or their designee. Business Services will reconcile balances monthly to institutional records.
2. All leave taken must be documented and requests must be processed in accordance with institutional policy.
3. All leave requests will be processed electronically. The employee initiating the request will route the request through required supervisory approvals with Business Services being the last routing recipient.
4. The division’s payroll timekeeper will post the approved request to the database and return notice of approval to the employee.
5. Business Services will retain the signed request for audit purposes.
6. Payroll timekeepers will verify employee submitted timesheets against this database to ensure accurate time reporting.
1. Directors should advise employees of their normal work hours and document any change to those hours. Flex time requests should conform to departmental policy.
2. Leave forms are not required on those occasions where employees work extraordinary hours at management’s request and management determines an temporary adjustment to the employees normal work hours is in the best interest of UAMS. Directors should however, maintain records of all such adjustments.
3. For employees eligible for overtime or compensatory time, the signed and approved payroll time sheet will serve as necessary documentation for paying overtime at institutionally approved rates or crediting the employee with compensatory time at the rate of ¼ hour of comp time for ¼ hour of work.
1. Payroll timekeepers in each work area will collect, validate and forward individual time sheets to Business Services on established time collection dates. Business Services will enter time into SAP for payroll.
2. Business Services will maintain for audit records of all time reported and time sheets submitted.
1. Check distribution codes will be established for each IT division and the payroll timekeeper for that area will be designated to pick up and distribute checks and deposit advices on paydays.
2. The Business Services Office will be authorized to pick up all checks and deposit advices for all accounts and will serve as back up for divisions whose normal payroll timekeeper is on leave or the position is vacant.
The Business Services Office is the official repository for all department business records. Records will be retained consistent with audit requirements.
This includes but is not limited to:
§ Financial Transactions and Records – SAP Files, Spreadsheets, Paper Files
§ Budgets Documents – IT Spreadsheets, Paper Files
§ Contracts and Leases – Imaged Files, IT Database Files and paper copies for the duration of the contract.
§ Vendor Correspondence – Imaged Files and paper copies where appropriate.
§ Personnel Documents – Imaged Files, IT Database and Paper Files
§ Travel Documentation – SAP Files
§ Payroll Documentation – Imaged files, IT Database and SAP Files
§ Telecommunications Billings – Paper Files.
The IT Procurement Office is the official repository for all department asset records. Records will be retained consistent with audit requirements.
The IT Security Office is the official repository for all department audit records. Records will be retained consistent with institutional and/or division requirements.