300.10 Purchasing Card Site Managers – Address Non-Compliance Procedure

Procedure # 300.10

Rev.: 0
Effective Date: May 8, 2017

Functional Owner: Accounting Services, Division of Business Services
Contact: Purchasing Card Program Manager: (608) 262-3300 meghann.grove@wisc.edu

Procedure Statement


Purchasing card site managers are responsible for reviewing purchasing card activity and identifying non-compliance.  Examples of non-compliance include using the purchasing card for personal/non-UW business-related purchases, inappropriately using University funds, serial purchasing and failure to provide required supporting documentation.  When a site manager identifies non-compliant use of a purchasing card, the following procedure should be referenced.

 Who is Affected by This Procedure


Purchasing cardholders, purchasing card site managers, Divisional Business Office leadership, Purchasing Card Program Manager.

Procedure


  1. Purchasing Card Site Manager Review and Reconciliation: Site managers are required to review Cardholder Statements and supporting documentation on a bi-weekly basis to verify policy compliance.  See 300.5 Purchasing Card Site Manager Review and Reconciliation.
  2. Non-Compliance Procedure: If non-compliance is identified, the site manager must complete the following steps:
    1. Contact the cardholder, explain the situation and identify any action items (e.g. turn in missing receipt, provide business purpose, reimburse University with personal check). If non-compliance is not address by the cardholder prior to the site manager’s edit deadline (one week after billing cycle close date), proceed to the next step.
    2. Complete the Purchasing Card Non-Compliance-Form:
      1. Complete the information header with the cardholder’s name, department, site manager’s name and date.
      2. Select option that best describes non-compliance.
      3. Provide transaction details (date, vendor, required course of action).
    3. Route the completed Purchasing Card Non-Compliance Form to the cardholder. Upon receipt of the form, the cardholder has ten calendar days to respond.
    4. Use the bottom of the Purchasing Card Non-Compliance Form to record the cardholder’s response.
      1. If the response was satisfactory, select the first option, sign the form and retain it with the related purchasing card supporting documentation. No further action is required.
      2. If the response was unsatisfactory, select the second option, sign the form and proceed to the next step.
    5. Forward the form and all other related documentation/information to the Divisional Business Office for further review and recommended course of action. Retain a copy with the related purchasing card supporting documentation.
    6. Divisional Business Office leadership will use the back side of the Purchasing Card Non-Compliance Form to document a recommended course of action to the Purchasing Card Program Manager. Select preferred options, sign the form and route to the Purchasing Card Program Manager at 21 N. Park Street, Suite 5301.
    7. The Purchasing Card Program Manager will review the form and take action.

Contact Roles and Responsibilities


  1. Cardholder: responsible for reviewing the Purchasing Card Non-Compliance Form and provide response to site manager within 10 calendar days.
  2. Site manager: responsible for reviewing purchasing card activity, identifying non-compliance, following up with cardholder and completing the Purchasing Card Non-Compliance Form.
  3. Divisional Business Office: responsible for reviewing Purchasing Card Non-Compliance Form and identifying consequence(s) for cardholder.
  4. Purchasing Card Program Manager: responsible for reviewing Purchasing Card Non-Compliance Form and implementing recommended consequence(s).

Definitions


  1. Cardholder: the individual who holds a purchasing card and is responsible for the card and use of it.
  2. Non-Compliance: any action or purchase which conflicts with Purchasing Card policy or procedure.
  3. Site manager: the individual who manages purchasing cards at the departmental or divisional level.
  4. Purchasing Card Non-Compliance Form: paper form used to notify cardholder of identified non-compliant use of a purchasing card and to track cardholder’s response/follow-up action. Also used by Divisional Business Office to recommend consequences for cardholder non-compliance.
  5. Purchasing Card Program Manager: the individual appointed by the Accounting Services unit in the Division of Business Services to manage, coordinate, and control purchasing cards for campus.

 Related References


Revisions


Procedure Number: 300.10

Date Approved: May 8, 2017