UAlbany Internal Control Practices and Procedures

To: All Faculty and Staff

March 6, 2023 

Dear Colleagues,

As the spring 2023 semester is now underway, I want to re-engage your commitment to the use of appropriate internal controls at UAlbany and within our affiliated entities. Internal control awareness needs to guide our planning and decisions every day, especially in times where staffing shortages or changes in staffing levels present significant challenges. Without the necessary internal controls, we make the institution vulnerable to additional and more troublesome problems.

As a reminder, internal controls are measures that ensure that UAlbany’s business and administrative practices meet our high standards of efficiency and ethics. The below list includes some of the most common and most effective measures that you should keep in mind, whether working on campus or remotely.

  • Maintaining division of tasks (separation of duties) between several employees especially in the processing of financial transactions.

  • Abiding by existing access controls, such as passwords and authentication, to prevent unauthorized access to University systems and buildings.

  • Ensuring appropriate employee training in your unit via on-the-job training as well as Skillsoft training.

  • Taking physical inventories regularly of cash or other physical assets managed by your office.

I encourage all employees to review the online internal control training available at Internal Controls Training. In addition, please re-familiarize yourself with the UAlbany Principle of Professionalism, Ethics and Compliance as needed. Additional training materials can be accessed as necessary by contacting the Internal Control in the Office of Enterprise Risk Management & Compliance or the Office of Human Resources Management.

Finally, it is important to report any suspected breaches of internal control procedures, thefts or misuse of information or assets, to the University Internal Control Hotline at 518-437-4738 or [email protected]. All calls and emails are treated anonymously.

Should you have questions about the University’s internal control program or wish to schedule an office-wide training session or private consultation, please contact Anette Lippold ([email protected]) in the Office of Enterprise Risk Management & Compliance.

Thank you again for joining us to support the internal controls at our institution.

Sincerely,

Todd Foreman
Vice President, Finance & Administration