Annual Unit Internal Control Certification Process

The Finance Office of Internal Controls was busy in the months of October and November collecting and summarizing the results of the Annual Unit Certification of Financial Results and Internal Controls. FY2020 marked the sixteenth year of the certification process–where 46 Deans, Directors, and Vice Presidents from the Ann Arbor, Flint, and Dearborn campuses certify that they have met their fiscal and stewardship responsibilities. In addition to unit financial related controls, the certification includes topics such as Conflict of Interest/Conflict of Commitment and Information Assurance.

Due to COVID-19, the process was adjusted this year and certification focused on areas of higher risk. Questions related to the elimination of all non-essential expenditures and the accuracy of COVID program code activity were added while the gap analysis requirement for all processes, except the employment process, was deleted. The question regarding information assurance was also modified to focus on education and awareness of securely working remotely. This year’s results had an overall “yes” rate of 94% and were shared with the Regents on December 3.