Non-PO Invoice Audits

Run the Report:

1)  In PASdb, run the QRY Non-PO Invoice Audit by Date

2)  Enter start and end dates in a format of yyyymmdd (ex: 7/31/2012 would be 20120731)

3)  Export the Query to Excel by:

  1. Clicking on the External Data tab
  2. In the Export box, click Excel
  3. Browse where you want the file to save to
  4. Check the Export data with formatting and layout box
  5. Check the Open the destination file box
  6. Click OK

  1. Do not save the export steps and close the Save Steps box

4)  In Excel, select invoices to spot audit. (See procedure below) At a minimum, audit:

  1. 10 Non-PO Invoices to Individuals
  2. 1 to 5 Food and/or Hotel invoices
  3. 10 Non-PO Invoices that are to companies but not individuals

5)  Upload the items you are auditing into the Non-PO Invoice Audit database

6)  Update the database with your findings

7)  Contact departments as needed with your findings and instructions on how to correctly enter future Non-PO Invoices.

8)  Keep track of any departments and/or specific people who consistently come up in audit findings for outreach and possible violation consequences.

Spot Audits:

1)  Select invoices to review, and then upload only those to Access Database. (see screenshots below)

2)  Look up each invoice in eProcurement using the Search à Invoice section. Enter the Supplier Invoice # in the blank field and click Search. When your results come up, select the correct invoice and click on the ID link.

3)  Find the attached invoice at the bottom of the Summary page and review it against the entered items

4)  Review 10 Non-PO Invoices to individuals

  1. Is the individual in Hepps as an employee this fiscal year? (see screenshots below on how to check Hepps)
  2. Is the 1632 box correctly selected on the invoice? (see screenshots below on how to check the 1632)
  3. Is the charge taxable and was the tax correctly added? (see screenshots below)

5)  Look for food (or hotel) vendors

  1. Is food a part of purchase?
  2. If yes, is the department using a food approved budget and is the flag correctly answered?
  1. If the department is not using a food approved budget, is there a 1798 food form attached?

6)  Select 10 Non-PO Invoices to suppliers that are not individuals

  1. Is the invoice appropriate to go through Non-PO? (check exceptions list at http://f2.washington.edu/fm/ps/nonpo-exceptions)
  2. If the invoice is attached, did the department enter the information correctly? (i.e. tax is on the tax line and shipping is broken out?)
  3. Did the department use an appropriate commodity code?
  4. Check the History tab. Did two different people submit and approve the invoice?

7)  Enter comment for each invoice reviewed at Summary level, including notes on if you contacted the department for any findings and who you contacted.

Various Instructions

How to check Hepps:

1)  Log in to Hepps

2)  Enter 1 in the Action box for Employee Data Menu

3)  Enter 1 in the Action box for Employee Profile

4)  Enter the name of the vendor using a Last, First format then press Enter

5)  When the search results return, if you do not find a matching name, this person is not in HEPPS. If you DO find a matching name, put an X next to the name and enter 33 in the Action box.

6)  Review their employee status and if they have been paid anything in the current calendar year. Next enter 2 in the Action box. (Note: This person’s personal data removed for the example below)

7)  Check the address against what you have in the Non-PO as the remit address. Is it the same? If so, was the person paid in this calendar year at the UW? If yes, this is an employee and should have been paid through Payroll. Email Vendor Control to remove this person from the database and eProcurement. If there is no match, this Non-PO Invoice should be okay as is.

How to check the 1632 flag:

1)  Find the invoice in the Non-PO System. On the Summary page, locate the Payment to an individual question. If the supplier is an individual (not a company name), check to see if the Payment to an individual question was answered correctly.

2)  Individuals should be flagged Yes. If this is flagged incorrectly, note this for audit purposes.

3)  If the department attached the 1632 form, check to see if they filled out the UW Taxpayer ID Number field on the form. If so, email them to not include this for all future forms. Because this is an open system, someone could potentially see the vendor’s social security number. This data is kept in the Vendor Control file so is not needed on the form.

How to check sales tax:

1)  Find the invoice in the Non-PO System. ON the Summary page, locate the line item, sales tax, and invoice if it is attached.

2)  Review the attached invoice against the sales tax entered. Make sure any tax on the invoice matches the tax line. (Ex: If the vendor did not bill sales tax, the tax line should be $0)

How to prepare your spreadsheet for upload into Access:

1)  Write down the total amount of Non-PO Invoices on your spreadsheet.

2)  Delete DSI # and Doc_seq_inv_no columns

3)  Note the total number of items you are auditing.

4)  Save the file and close the spreadsheet.

5)  Open the Non-PO Invoice Audits Database (found at I://groups/procurement/Procurement Customer Service/Databases/Non-PO Audit/Non-PO Invoice Audits.accdb)

6)  Highlight the Non-PO Audits : Table on the left column

7)  Click on the External Data tab, and then click Excel in the Import section.

8)  Browse and select the Excel file you saved. Then click Append a copy. Click OK.

9)  When the Import Wizard appears, click the Next button. If you see a note that the first row contains data that can’t be used for valid Access field names, click OK.

10)  Click Next, then Finish. You do not need to save the Import steps.

11)  Find the invoices you need to audit on the record. Fill out the date you reviewed, your name, comments and notes.

12)  An invoice is High Risk if it is over the Direct Buy limit or goods not normally purchased for the UW.

13)  An invoice is a Potential Contract Vendor if we are using this vendor many times a month.

14)  Enter the total number of Non-PO Invoices for the time period you selected.

15)  Enter the total number of Non-PO Invoices you are auditing.

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