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UT Tyler Quality Assurance Reviews

Office of Financial Services

On a rotating risk based schedule, the Director of Compliance conducts a departmental review (“Quality Assurance Review” or "QAR") on selected departments or units, based on criteria described in the Management Responsibilities Handbook and in the annual Sub-Certification letters signed by the Budget Authorities. For a general list of items typically reviewed in a QAR, click on the Compliance Tip Sheet below. The Director of Compliance communicates review findings to the budget authority and the Institutional Compliance Officer and works with the departmental budget authority to resolve any instances of non-compliance. A memo summarizing the review findings is distributed to the Institutional Compliance Officer and to the Compliance Working Group. Note: If during the QAR significant problems are found in either segregation of duties or account reconciliations, a follow-up QAR will be scheduled for the next year.

Significant findings, particularly findings that indicate fraud, are referred to the Director of Audit Services.

For a one page summary of some of the items reviewed, click on the below link. Note: This is a summary and is not meant to be all inclusive.

For a check list of the Top 20 Departmental Risks For Budget Authorities, click on the below link.   Note:  This is not meant to be a complete list, only the top 20 risks for Budget Authorities.