1. PCard Administration and FSO Compliance Karen Brookbanks, C.P.M., CPPB, PCard Administrator Floyd Roman, Associate Comptroller Susan Reece, Lead Compliance Reviewer

2. Where does the PCard Program reside? The Purchasing Card Program is a division of Procurement and Contracting Services (PACS) The Purchasing Card Program is a division of Procurement and Contracting Services (PACS) PCard Administration is under PACS PCard Administration is under PACS FSO Compliance is under the Financial Services Office FSO Compliance is under the Financial Services Office

3. Who reviews receipts, PCard Administration or FSO Compliance? FSO Compliance receives all PCard Transactional receipts monthly. These receipts are reviewed, scanned and retained on-line. FSO Compliance receives all PCard Transactional receipts monthly. These receipts are reviewed, scanned and retained on-line. However, there may be times when copies of receipts are requested by PCard Administration for compliance related issues. However, there may be times when copies of receipts are requested by PCard Administration for compliance related issues.

4. If I have a question about an upcoming purchase who should I make inquiry to? Call PCard Administration Call PCard Administration Customer Service 626-9091 Customer Service 626-9091

5. PCard Administration Programmatic Oversight PCard Customer Service PCard Customer Service Processes applications for PCards Processes applications for PCards Status of Applications Status of Applications Policy Questions & General Questions Policy Questions & General Questions Password resets Password resets Reconciler, Approver, Liaison Changes Reconciler, Approver, Liaison Changes Creates and maintains Policies and Procedures for the PCard Program Creates and maintains Policies and Procedures for the PCard Program Work directly with JPMorgan Chase on Program Works directly with JPMorgan Chase on Program Creates and maintains PCard hierarchy information within the JPMorgan Chase banking system PaymentNet Creates and maintains PCard hierarchy information within the JPMorgan Chase banking system PaymentNet

6. PCard Administration Training conducted Training conducted PCard Policy Training PCard Policy Training Reconciliation & Approver Review Training Reconciliation & Approver Review Training Refresher trainings Refresher trainings Assigns access to PaymentNet software Assigns access to PaymentNet software Creates and maintains master files on PCards issued Creates and maintains master files on PCards issued

7. PCard Administration Programmatic Oversight Monitors Decline Reports for possible violations and/or fraudulent attempts Monitors Decline Reports for possible violations and/or fraudulent attempts Reviews transactions under $1.01 Reviews transactions under $1.01 (For Fraud testing attempts - posted) (For Fraud testing attempts - posted)

8. PCard Administration Programmatic Oversight Work with departmental liaisons on changes to limits, defaults, reconcilers and approvers Work with departmental liaisons on changes to limits, defaults, reconcilers and approvers Assist cardholders with transactional dispute process Assist cardholders with transactional dispute process Assist cardholder with Fraud process Assist cardholder with Fraud process Work with Risk Management on Department PCards with Fraud Work with Risk Management on Department PCards with Fraud

9. PCard Administration Compliance Reviews transactions/Program Policies and Procedures for possible violations Reviews transactions/Program Policies and Procedures for possible violations Pyramiding Pyramiding Not Reconciled Not Reconciled Not Approved Not Approved Single Established Transaction Limit Violation Single Established Transaction Limit Violation Unauthorized Sharing of a PCard Unauthorized Sharing of a PCard

10. PCard Administration Improved Communication Creation of improved communication to campus community Creation of improved communication to campus community Listserv Listserv Cardholder Cardholder Software Users (Liaisons, Reconcilers and Approvers) Software Users (Liaisons, Reconcilers and Approvers) PCard Advisory Board PCard Advisory Board Quarterly Meetings Quarterly Meetings PCard Newsletter PCard Newsletter Quarterly Quarterly PCard Summer School * New Topics PCard Summer School * New Topics Posting Notices on PaymentNet Home Page Posting Notices on PaymentNet Home Page Message from Administrator Message from Administrator

11. FSO Compliance Reviews PCard transactions for compliance with: PCard Policy PCard Policy University Policy University Policy

12. FSO Compliance Receives & prepares documents for scanning Receives & prepares documents for scanning Scans documents (Records Management & Archiving Team) Scans documents (Records Management & Archiving Team) Monitors for missing documents Monitors for missing documents Reviews transactions (sample basis) for compliance Reviews transactions (sample basis) for compliance

13. FSO Compliance Received 173,010 PCard transactions for FY ’09 Received 173,010 PCard transactions for FY ’09 Scanned 776,651 individual images for FY ‘09 Scanned 776,651 individual images for FY ‘09

14. FSO Compliance Violations for FY ‘09 Violations for FY ‘09 1. Personal Purchases 2. Payments to or on behalf of foreign visitors 3. Prepaid cards (including gift cards and phone cards)

15. FSO Compliance Documentation Most common problems: Most common problems: 1. Submitting Credit Card Statements or Account Numbers Retain Credit Card Statements in Depts. Retain Credit Card Statements in Depts. Black out Credit Card Account Numbers Black out Credit Card Account Numbers 2. Copies or.pdf files submitted Submit original itemized receipt/invoice Submit original itemized receipt/invoice 3. Phone Statements submitted with missing pages All pages (12 of 12 pages) printed are required All pages (12 of 12 pages) printed are required

16. FSO Compliance Policy Issues Do not use a PCard to Purchase: Do not use a PCard to Purchase: 1. Personal items Use personal funds Use personal funds 2. Payments to or on behalf of foreign visitors Use the Check Request process, so the IRS and USCIS compliance issues can be evaluated Use the Check Request process, so the IRS and USCIS compliance issues can be evaluated 3. Prepaid cards Use another form of payment Use another form of payment

17. FSO Compliance Policy Issues Do not use a PCard to Purchase (cont’d): Do not use a PCard to Purchase (cont’d): 4. Hotels Use another form of payment Use another form of payment 5. Tax Reportable Awards Service/Achievement over $75.00 including engraving, taxes, & shipping Service/Achievement over $75.00 including engraving, taxes, & shipping Retiree Farewell over $400.00 including engraving, taxes, & shipping Retiree Farewell over $400.00 including engraving, taxes, & shipping

18. How we work together… PCard Administration and FSO Compliance meet together monthly to review compliance issues, discuss items that have come up, and collaborate on solutions for each respective area. PCard Administration and FSO Compliance meet together monthly to review compliance issues, discuss items that have come up, and collaborate on solutions for each respective area.

19. Contact Information PCard Administration PCard Administration Customer Service 626-9091 Customer Service 626-9091 PCard Fax 621-1245 PCard Fax 621-1245 FSO Compliance FSO Compliance - Susan Reece 646-4544 - Susan Reece 646-4544 - Floyd Roman 621-7739 - Floyd Roman 621-7739