Internal Control Annual Certification Process

The Office of Internal Controls conducts an annual certification process that leverages Sarbanes-Oxley Act best practices. The process applies to selected business processes across the university (for example, financial operations, human resources, conflict of interest, and so on). It provides reasonable assurance regarding achievement of objectives in the following categories:

  1. Effectiveness and efficiency of operation
  2. Compliance with laws and regulations
  3. Reliability of financial reporting

One of the annual certification areas is information assurance. Units are asked to certify that they are compliant, partially compliant, or non-compliant with a particular information assurance practice or process that changes every fiscal year (FY).

Information Assurance Internal Control Certification Question: Current Year

FY19 Question

My unit:

  • Has implemented appropriate practices for complying with Vulnerability Management (DS-21), and
  • Consistently meets the standard’s timeframes for remediating critical vulnerabilities.

Responses to FY19 Question

All units should be able to reply yes or partial to the FY19 question. See Guidance for the FY19 Internal Control Annual Certification Process to submit or review questions about responding to the FY19 Internal Control Certification Question.

  • Yes.  My unit has fully implemented appropriate practices for complying with Vulnerability Management (DS-21) and consistently meets the standard’s timeframes for remediating critical vulnerabilities.
  • Partial.  My unit has partially implemented appropriate practices for complying with Vulnerability Management (DS-21) and/or sometimes meets the standard's timeframes for remediating critical vulnerabilities.
  • No. My unit has not implemented appropriate practices for complying with Vulnerability Management (DS-21) or does not consistently meet the standard’s timeframes for remediating critical vulnerabilities.

Archive of Previous Questions

Internal Control Annual Certification Question Archive

Information Assurance Certification Coordination—Who Does What

  • The certification form is sent to deans, directors, and vice presidents in early September. The signed form is to be submitted to the Office of Internal Controls by the end of September. The results are summarized and presented to the Regents in November.
  • Deans, directors and vice presidents from 46 units across campus are required to certify to their financial results and internal controls. See list of certifying units.
  • Security Unit Liaisons for each certifying unit should work with their unit's key administrative officer (included in list of certifying units) to ensure that their unit is prepared to answer the information assurance certification question with respect to the unit's level of compliance.