PCard Program Roles PCard Program Roles and Responsibilitiesand Responsibilities

Review Review

Karen Karen BrookbanksBrookbanks, C.P.M., CPPB, C.P.M., CPPB

Objective: Review the Department Program RolesObjective: Review the Department Program Roles(Slides contain excerpts from PCard Policies)(Slides contain excerpts from PCard Policies)

Department HeadDepartment Head

LiaisonLiaison

Cardholder/Responsible CardholderCardholder/Responsible Cardholder

ReconcilerReconciler

ApproverApprover

Reference PCard Policy 2.1Reference PCard Policy 2.1

Department HeadDepartment Head

Ensures all of the following program requirements are Ensures all of the following program requirements are met:met:

Establishment of a systemEstablishment of a system

PCard Liaison PCard Liaison Any changes to a Liaison’s PCard or Any changes to a Liaison’s PCard or responsibilities must be approved by the responsibilities must be approved by the Department Head.Department Head.

Department HeadDepartment Head

Primary and Backup Reconciler & Approvers Primary and Backup Reconciler & Approvers

System for processing transactional System for processing transactional documentation documentation

The department is solely responsible for The department is solely responsible for obtaining obtaining original detailed transactional original detailed transactional documentationdocumentation and providing that and providing that documentation to FSO for records retention documentation to FSO for records retention purposes. purposes.

Department HeadDepartment Head

Computer Hardware and Software necessary Computer Hardware and Software necessary to operate in the JPMorgan Chase to operate in the JPMorgan Chase PaymentNet website PaymentNet website

Holding Three Roles: Cardholder, Reconciler Holding Three Roles: Cardholder, Reconciler and Approver - signed monthly statements and Approver - signed monthly statements

Effective September 1, 2009Effective September 1, 2009: Reconcilers may : Reconcilers may be cardholders, but cannot reconcile their own be cardholders, but cannot reconcile their own transactions. transactions.

Department HeadDepartment Head

Takes immediate action as appropriate upon Takes immediate action as appropriate upon learning of card use that constitutes or learning of card use that constitutes or appears to indicate a violation of the UA appears to indicate a violation of the UA Procurement Policy and Compliance Procurement Policy and Compliance Procedures or University of Arizona Misuse of Procedures or University of Arizona Misuse of Assets Policy. Assets Policy.

(Department Heads may suspend temporarily or (Department Heads may suspend temporarily or cancel PCards based on the degree of misuse.) cancel PCards based on the degree of misuse.)

LiaisonLiaison

Departmental contact for PCard Departmental contact for PCard AdministrationAdministration

Designated signer on all PCard Designated signer on all PCard documentation.documentation.

Any changes to a Liaison’s PCard or Any changes to a Liaison’s PCard or responsibilities must be approved by the responsibilities must be approved by the Department Head.Department Head.

LiaisonLiaison

Forwards applications and agreements to the Forwards applications and agreements to the UA PCard Office. UA PCard Office.

Maintains copies of cardholder applications, Maintains copies of cardholder applications, agreements and PCard numbers. agreements and PCard numbers.

Serves as department contact for lost or Serves as department contact for lost or stolen cards and notifies PCard Office. stolen cards and notifies PCard Office.

LiaisonLiaison

Assists with disputed charges that cannot be Assists with disputed charges that cannot be resolved by the Cardholder. resolved by the Cardholder.

Disseminates information from PCard Disseminates information from PCard Administrator to Cardholders. Administrator to Cardholders.

Stores infrequently used PCards in a secured Stores infrequently used PCards in a secured location. location.

LiaisonLiaison Collects PCards from employees who terminate Collects PCards from employees who terminate

employment with the department:employment with the department:For Department PCards: completes a Transfer Form and For Department PCards: completes a Transfer Form and submits to the PCard Office.submits to the PCard Office.For Individual PCards: submits Delete Form to the PCard For Individual PCards: submits Delete Form to the PCard office and disposes of Individual PCard.office and disposes of Individual PCard.

Ensures that the ownership of a Department PCard is Ensures that the ownership of a Department PCard is transferred or the card temporarily suspended during transferred or the card temporarily suspended during the absence of a responsible Cardholder (i.e. the absence of a responsible Cardholder (i.e. Sabbatical leave, vacation, extended illness, etc.) by Sabbatical leave, vacation, extended illness, etc.) by notifying the PCard Office and processing necessary notifying the PCard Office and processing necessary documentation. documentation.

LiaisonLiaison

Ensures that an Individual PCard should be Ensures that an Individual PCard should be temporarily suspended during the absence of temporarily suspended during the absence of a Cardholder (i.e. Sabbatical leave, vacation, a Cardholder (i.e. Sabbatical leave, vacation, extended illness, etc.) by notifying the PCard extended illness, etc.) by notifying the PCard Office and processing necessary Office and processing necessary documentation. documentation.

Ensures that the PCard Office is notified of all Ensures that the PCard Office is notified of all Reconciler and Approver terminations and or Reconciler and Approver terminations and or transfers. transfers.

LiaisonLiaison

Notifies the PCard Office if a Cardholder or Notifies the PCard Office if a Cardholder or Responsible Cardholder will be traveling on University Responsible Cardholder will be traveling on University of Arizona business out of the country with the PCard. of Arizona business out of the country with the PCard.

Handles any staff questions related to the Purchasing Handles any staff questions related to the Purchasing Card Program.Card Program.

Advises the Department Head of problematic Advises the Department Head of problematic cardholders or misuse of a PCard.cardholders or misuse of a PCard.

Monitors activity of cards within the department.Monitors activity of cards within the department.

LiaisonLiaison

Submits change forms if any cardholder Submits change forms if any cardholder usage indicates need for transaction limit usage indicates need for transaction limit changes.changes.

Complies with the University of Arizona Complies with the University of Arizona Misuse of Asset’s Policy and reports any Misuse of Asset’s Policy and reports any suspected misuse of the PCard.suspected misuse of the PCard.

Cardholder/Responsible CardholderCardholder/Responsible Cardholder

Safeguard the PCard.Safeguard the PCard.

Effective July 31, 2009Effective July 31, 2009: Legal Name as listed in : Legal Name as listed in PSOS/ISW must be used for issuance of Individual PSOS/ISW must be used for issuance of Individual PCards.PCards.

Effective July 31, 2009:Effective July 31, 2009: Legal Name as listed in Legal Name as listed in PSOS/ISW must be used for association of Responsible PSOS/ISW must be used for association of Responsible Cardholder of Department PCard.Cardholder of Department PCard.

Cardholder/Responsible CardholderCardholder/Responsible Cardholder

Ensure the PCard is used for University of Ensure the PCard is used for University of Arizona business only, not for personal Arizona business only, not for personal use. use.

Fraudulent or intentional misuse of the card will Fraudulent or intentional misuse of the card will result in cancellation of the card and possible civil result in cancellation of the card and possible civil and/or criminal charges. and/or criminal charges.

Comply with all PCard and University Policies Comply with all PCard and University Policies relating to the use of the PCard relating to the use of the PCard

Cardholder/Responsible CardholderCardholder/Responsible Cardholder

What do I do with my PCard upon Termination What do I do with my PCard upon Termination of employment, retirement or transfer to of employment, retirement or transfer to another department?another department?

PCard needs to be turned into your liaison.PCard needs to be turned into your liaison.

Reference: PCard Policy 2.1.3Reference: PCard Policy 2.1.3

Cardholder/Responsible CardholderCardholder/Responsible Cardholder

Reports a lost or stolen PCard immediately, to Reports a lost or stolen PCard immediately, to JPMorgan Chase and the PCard Office. JPMorgan Chase and the PCard Office.

Reviews any transactional discrepancies with Reviews any transactional discrepancies with the Reconciler or Approver; notifies the Bank the Reconciler or Approver; notifies the Bank and PCard Administration of suspected and PCard Administration of suspected fraudulent activity. fraudulent activity.

UAPD must also be notified if fraudulent UAPD must also be notified if fraudulent transactions are foundtransactions are found

Cardholder/Responsible CardholderCardholder/Responsible Cardholder The Cardholder must call JPMorgan Chase Customer The Cardholder must call JPMorgan Chase Customer

Service at 1-800-270-7760 to report loss, theft or fraud. Service at 1-800-270-7760 to report loss, theft or fraud. In case of loss or theft of the card or misappropriation of In case of loss or theft of the card or misappropriation of the card account number, the Bank will initiate recovery the card account number, the Bank will initiate recovery efforts on fraudulent charges only on Individual PCards efforts on fraudulent charges only on Individual PCards provided they are notified within 60 days from the Billing provided they are notified within 60 days from the Billing Statement date in which the charge appears in Statement date in which the charge appears in PaymentNet (this is called the notification period). PaymentNet (this is called the notification period).

If the Bank is not contacted within the notification period, If the Bank is not contacted within the notification period, fraudulent charges could become the liability of the Cardholder’s fraudulent charges could become the liability of the Cardholder’s department or if denied by the department, the liability of the department or if denied by the department, the liability of the Cardholder. UAPD must be contacted to obtain a case number, Cardholder. UAPD must be contacted to obtain a case number, and PCard Office must also be notified of any loss, theft or fraud and PCard Office must also be notified of any loss, theft or fraud on any PCard. on any PCard.

Cardholder/Responsible CardholderCardholder/Responsible Cardholder

Department PCards do not have Department PCards do not have recovery Fraud Rights through recovery Fraud Rights through JPMorgan Chase. JPMorgan Chase.

Contact the PCard Office for assistanceContact the PCard Office for assistance 626-9091 PCard Customer Service626-9091 PCard Customer Service

Authorized Individual for Specified Authorized Individual for Specified Transaction Transaction

The Individual that has checked out Department The Individual that has checked out Department PCard with the Responsible Cardholder’s PCard with the Responsible Cardholder’s approval may make only the specific transaction approval may make only the specific transaction that has been pre-approved. that has been pre-approved.

The Individual is to return the Department PCard The Individual is to return the Department PCard and all receipts/documentation of the pre-and all receipts/documentation of the pre-approved transaction directly to the Responsible approved transaction directly to the Responsible Cardholder of the Department PCard.Cardholder of the Department PCard.

Reference PCard Policy 2.1.4Reference PCard Policy 2.1.4

ReconcilerReconciler

Reconciliation is a mandatory process.Reconciliation is a mandatory process.

Receives daily original transactional Receives daily original transactional documentation. documentation.

ReconcilerReconciler

Ensures that correct financial budgetary accounts/object Ensures that correct financial budgetary accounts/object codes are used on transactions and that sales tax is coded codes are used on transactions and that sales tax is coded correctly. correctly.

Reviews validity of transactions by scrutinizing the original Reviews validity of transactions by scrutinizing the original receipt and ensuring compliance with PCard and University receipt and ensuring compliance with PCard and University Policies.Policies.

Reviews and resolves discrepancies.Reviews and resolves discrepancies.

Ensures any purchase rewards obtained from PCard Ensures any purchase rewards obtained from PCard purchases are used to benefit the University of Arizona and purchases are used to benefit the University of Arizona and that any rebate checks are deposited into the University that any rebate checks are deposited into the University account from which the purchase was originally made.account from which the purchase was originally made.

ReconcilerReconciler

Comply with The University of Arizona Misuse of Asset’s Comply with The University of Arizona Misuse of Asset’s Policy and reports any suspected misuse of the PCard.Policy and reports any suspected misuse of the PCard.

Complies with the provisions of The University of Complies with the provisions of The University of Arizona’s Misuse of University Assets Policy since some Arizona’s Misuse of University Assets Policy since some unauthorized purchases may violate this policy. If it is unauthorized purchases may violate this policy. If it is determined through investigation that a purchase determined through investigation that a purchase violates the Misuse of Assets Policy, the purchaser is violates the Misuse of Assets Policy, the purchaser is subject to disciplinary actions.subject to disciplinary actions.

Reference: Misuse of Assets policy Reference: Misuse of Assets policy http://web.arizona.edu/~policy/misuse.pdfhttp://web.arizona.edu/~policy/misuse.pdf http://www.hr.arizona.edu/policy/420http://www.hr.arizona.edu/policy/420

ApproverApprover

Approving transactions is a mandatory process.Approving transactions is a mandatory process.

Reviews transactions and transactional Reviews transactions and transactional documentation processed by the reconcilerdocumentation processed by the reconciler

Ensures that correct financial budgetary Ensures that correct financial budgetary accounts/object codes are used on transactions accounts/object codes are used on transactions and sales tax has been coded correctly by the and sales tax has been coded correctly by the Reconciler.Reconciler.

Reference: PCard Policy 2.1.6Reference: PCard Policy 2.1.6

ApproverApprover

Reviews validity of transactions by scrutinizing the Reviews validity of transactions by scrutinizing the transactional documents/ receipts & ensures compliance transactional documents/ receipts & ensures compliance with PCard and University Policies with PCard and University Policies

Ensures either thru their action or their designee, that Ensures either thru their action or their designee, that original transactional documentation (itemized receipts, original transactional documentation (itemized receipts, itemized invoices, packing slips, etc. and any other itemized invoices, packing slips, etc. and any other documentation supporting the purchase) is submitted on documentation supporting the purchase) is submitted on a monthly basis to FSO Financial Compliance for a monthly basis to FSO Financial Compliance for scanning and retention in accordance with the Records scanning and retention in accordance with the Records Retention Policy. Retention Policy. http://www.fso.arizona.edu/internalcontrol/index.htmlhttp://www.fso.arizona.edu/internalcontrol/index.html

ApproverApprover

Comply with The University of Arizona Misuse of Comply with The University of Arizona Misuse of Asset’s Policy and reports any suspected misuse of Asset’s Policy and reports any suspected misuse of the PCard.the PCard.

Complies with the provisions of The University of Complies with the provisions of The University of Arizona’s Misuse of University Assets Policy since Arizona’s Misuse of University Assets Policy since some unauthorized purchases may violate this policy. some unauthorized purchases may violate this policy. If it is determined through investigation that a purchase If it is determined through investigation that a purchase violates the Misuse of Assets Policy, the purchaser is violates the Misuse of Assets Policy, the purchaser is subject to disciplinary actions.subject to disciplinary actions.

Reference: Misuse of Assets policy Reference: Misuse of Assets policy http://web.arizona.edu/~policy/misuse.pdfhttp://web.arizona.edu/~policy/misuse.pdf http://www.hr.arizona.edu/policy/420http://www.hr.arizona.edu/policy/420

PCard Policies PCard Policies Roles & ResponsibilitiesRoles & Responsibilities

2.1 Roles & Responsibilities2.1 Roles & Responsibilities

2.1.1 Department Head2.1.1 Department Head

2.1.2 Liaison2.1.2 Liaison

2.1.3 Cardholder/Responsible Cardholder 2.1.3 Cardholder/Responsible Cardholder

2.1.4 Department Card – Authorized Individual 2.1.4 Department Card – Authorized Individual for Specified Transactionfor Specified Transaction

2.1.5 Reconciler2.1.5 Reconciler

2.1.6 Approver2.1.6 ApproverPACS Website: PACS Website: http://pacs.arizona.edu/pcard/default.htmhttp://pacs.arizona.edu/pcard/default.htm

QuestionsQuestions

??