Type	Finding	Correct Action	First Offense	1st Offense - Deadline for Corrective Action	Second Offense	2nd Offense - Deadline for Corrective Action	Third Offense	3rd Offense - Deadline for Corrective Action
Level I	Controlled asset purchase made without being in compliance with Section IV. A. 7., ProCard Procedure BF-PGC-PR12	The Office of Inventory Services must be notified with 48 hours of the purchase.	Email warning sent to Cardholder and Department Head	Complete an Asset Information Form (PG-PGS-F6) and email to the Office of Inventory Services (Property_Management@uta.edu) with the invoice, sales slip or packing slip within 10 working days of notification from Payment Card Services.	Email warning sent to Cardholder, Department Head, and Chief Business Officer for the College or applicable AVP with details of required corrective actions.	Complete an Asset Information Form (PG-PGS-F6) and email to the Office of Inventory Services (Property_Management@uta.edu) with the invoice, sales slip or packing slip within 5 working days after notification from Payment Card Services. Cardholder must attend ProCard training within 15 days of notification from Payment Card Services.	Email sent to Cardholder, Department Head, Chief Business Officer for the College/applicable AVP, and applicable VP with details of card suspension and required corrective actions.	Complete an Asset Information Form (PG-PGS-F6) and email to the Office of Inventory Services (Property_Management@uta.edu) with the invoice, sales slip or packing slip 5 working days after notification from Payment Card Services. Card will be suspended for 3 months after notification from Payment Card Services. During this time, the department cannot request additional ProCards. Cardholder must attend ProCard training prior to reinstatement of card.
Level I	UTShare Procurement Card Reconcile Statement not reconciled and approved by the deadline communicated campus-wide by Business Technology Service's listserv. (Ref. ProCard Procedure BF-PGC-PR12, Section VII)	The UTShare Reconcile Statement / ProCard Transaction Page must be reconciled to the ProCard Transaction Log or the ProCard Attestation Form.	Email warning sent to Cardholder and Department Head	NOTE: No action can be taken once the period to take action on the UTShare Procurement Card Reconcile Statement has expired.	Email warning sent to Cardholder, Department Head, and Chief Business Officer for the College or applicable AVP with details of required corrective action.	Cardholder must attend ProCard training within 15 working days of notification by Payment Card Services	Email sent to Cardholder, Department Head, Chief Business Officer for the College/applicable AVP, and applicable VP with details of card suspension and required corrective actions.	Card will be suspended for 3 months after notification from Payment Card Services. During this time, the department cannot request additional ProCards. All parties involved with the reconciliation process must attend ProCard training prior to reinstatement of the card.
Level I	Receipt is insufficient to support the details of transaction (Ref. ProCard Procedure BF-PGC-PR12 Section IV. 8.b., Section IV.7.b., Section VII.A.3, Section VII.D.1., and Section VIII.A.)	Each purchase must have a detailed information to support the procurement. This can be sales receipts, credit memos, and packings slips that have cost information. All receipts must reference the vendor, quantities and pricing.	Email warning sent to Cardholder and Department Head	Cardholder must obtain from the merchant, a corrected receipt to support the purchase within 10 working days of notification from Payment Card Services.	Email warning sent to Cardholder, Department Head, and Chief Business Officer for the College or applicable AVP with details of required corrective actions.	Cardholder must obtain from the merchant, a corrected receipt to support the purchase within 5 working days of notification from Payment Card Services. Cardholder must attend ProCard training within 15 working days of notification from Payment Card Services.	Email sent to Cardholder, Department Head, Chief Business Officer for the College/applicable AVP, and applicable VP with details of card suspension and required corrective actions.	Cardholder must obtain from the merchant, a corrected receipt to support the purchase with 5 working days after notification from Payment Card Services. Card will be suspended for 3 months after notification from Payment Card Services. During this time, the department cannot request additional ProCards. Cardholder must attend ProCard training prior to reinstatement of the card.
Level I	Absense of the following required forms from the ProCard file: Official Occasion Expense Form (Form BF-PGS-F5) Gift Certificate Expense Form (Form BF-PGS-F4) Approved Business Affairs Exceptions (Ref. ProCard Procedure BF-PGC-PR12 Section IV.A.6., Section IV.A.8., Section VII.D.1., and Section XIII)	Purchase of food and/or refreshments require that the Official Occasion Expense Form be completed, signed and scanned with the receipt. Purchase of gift cards/gift certificates require the Gift Certificate Expense Form be completed and scanned with the receipt, and a copy be sent to Payroll (regardless of the dollar value). Exceptions to the ProCard Procedure must be submitted prior to the purchase being made using the Business Affairs Exception Tracker located in UTA SharePoint.	Email warning sent to Cardholder and Department Head	Within 10 working days of notification from Payment Card Services, the cardholder must take the following actions: Ensure the completion of the required forms and attachment to the UTShare ProCard Reconcile Statement. Submit an exception request to Business Affairs Exception Tracker.	Email warning sent to Cardholder, Department Head, and Chief Business Officer for the College or applicable AVP with details of required corrective actions.	Within 5 working days of notification from Payment Card Services, the cardholder must ensure the completion of the required form(s) and attachment to the UTShare ProCard Reconcile Statement. Submit an exception to the Business Affairs Exception Tracker. Cardholder must attend ProCard training within 15 working days of notification from Payment Card Services.	Email sent to Cardholder, Department Head, Chief Business Officer for the College/applicable AVP, and applicable VP with details of card suspension and required corrective actions.	Ensure the completion of the required form(s) and attachment to the UTShare ProCard Reconcile Statement within 5 working days of notification from Payment Card Services. Submit an exception to the Business Affairs Exception Tracker within 5 working days of notification from Payment Card Services. Card will be suspended for 3 months after notification from Payment Card Services. During this time, the department cannot request additional ProCards. Cardholder must attend ProCard training prior to reinstatement of the card.
Level I	State of Texas sales tax paid and no evidence of an attempt to have credited back to Procard. (Ref. ProCard Procedure BF-PGC-PR12 Section IV.A.10)	Cardholder must advise vendor of UTA's tax-exempt status. Provide a completed and signed Texas Sales and Use Tax Exemption Certification (Form BF-PGS-F3) to the vendor. If charged, work with vendor to have sales credited on ProCard.	Email warning sent to Cardholder and Department Head	Within 10 working days of notification from Payment Card Services, cardholder must take the following actions: Provide a completed and signed Texas Sales and Use Tax Exemption Certificate (Form BF-PGS-F3) to the vendor. Work with vendor to have the sales tax credited to the ProCard. If tax is paid with State appropriated funds, the cardholder is personally liable and must repay the University.	Email warning sent to Cardholder, Department Head, and Chief Business Officer for the College or applicable AVP with details of the required corrective actions.	Within 5 working days of notification from Payment Card Services, provide a completed and signed Texas Sales and Use Tax Exemption Certificate (Form BG-PGS-F3) to the vendor. Within 5 days of notification from Payment Card Services, work with vendor to credit sales tax. If tax is paid with State appropriated funds, and the merchant will not credit the tax, the cardholder is personally liable and must repay the University. Cardholder must attend ProCard training within 15 working days of notification by Payment Card Services.	Email sent to Cardholder, Department Head, Chief Business Officer for the College/applicable AVP, and applicable VP with details of card suspension and corrective actions.	Within 5 working days of notification from Payment Card Services, provide a completed and signed Texas Sales and Use Tax Exemption Certificate (Form BF-PGS-F3) to the vendor. Within 5 working days of notification from Payment Card Services, work with vendor to have sales tax credited to ProCard. If tax is paid with State appropriated funds, and the merchant will not credit the tax, the cardholder is personally liable and must repay the University. The card will be suspended for 3 months after notification from Payment Card Services. During this time, the department cannot request additional ProCards. Cardholder must attend ProCard training prior to reinstatement of card.
Level I	Personal Charge(non-business) made and University reimbursed, and documented. (Ref. ProCard Procedure BF-PGC-PR12 Section IV.A.3.a.)	A cardholder making a non-business purchase must reimburse UTA the full amount of the purchase within 10 working days of finding.	Email warning sent to Cardholder and Department Head	Cardholder must reimburse UTA the full amount of the purchase within 10 days of notification from Payment Card Services by making a deposit at Student Accounts. A copy of the receipt from Student Accounts must be provided to Payment Card Services within 10 working days of notification from Payment Card Services. NOTE: If no attempt is made to reimburse UTA, the card is suspensed, pending review by University Compliance Services (ref. Level III)	Email warning sent to Cardholder, Department Head, and Chief Business Officer for the College or applicable AVP with details of the required corrective actions.	Cardholder must reimburse UTA the full amount of the purchase within 5 working day of notification from Payment Card Services by making a deposit at Student Accounts. A copy of the receipt from Student Accounts must be provided to Payment Card Services within 5 working days of email notification NOTE: If no attempt is made to reimburse UTA, the card is suspended, pending review by University Compliance Services (ref. Level III) Cardholder must attend ProCard training within 15 working days of notification from Payment Card Services	Email sent to Cardholder, Department Head, Chief Business Officer for the College/applicable AVP, and applicable VP with details of card suspension and required corrective actions.	Cardholder must reimburse UTA the full amount of the purchase within 5 working days of notification by Payment Card Services by making a deposit at Student Accounts. A copy of the receipt from Student Accounts must be provided to Payment Card Services within 5 working days of email notification. The card will be suspended, pending review by University Compliance Services. During this time, the department cannot request additional ProCards. If University Compliance grants reinstatement of card, the cardholder must attend ProCard training prior to activation.
Level I	ProCard documentation not attached to the UTShare Procurement Card Reconcile Statement (Ref. ProCard Procedure BF-PGC-PR12, Section VII.D.)	A Certification Form or Transaction Log and all itemized documentation for each item that was purchased, returned or credited must be attached to the UTShare Procurement Card Reconcile Statement	Email warning sent to Cardholder and Department Head	Cardholder must ensure that all required ProCard documentation is attached to the UTShare Procurement Card Reconcile Statement within 10 working days of notification from Payment Card Services	Email sent to Cardholder, Department Head and Chief Business Officer for the College or applicable AVP with details of the required corrective actions.	Cardholder must ensure that all required ProCard documentation is attached to the UTShare Procurement Card Reconcile Statement within 5 working days of notification from Payment Card Services Cardholder must attend ProCard training within 15 days of notification from Payment Card Services	Email sent to Cardholder, Department Head, Chief Business Officer for the College/applicable AVP, and applicable VP with details of card suspension and required corrective actions.	Cardholder must ensure that all required ProCard documentation is attached to the UTShare Procurement Card Reconcile Statement within 5 days of notification from Payment Card Services The card will be suspended, pending review by University Compliance Services. During this time, the department cannot request additional cards. If University Compliance grants reinstatement of card, the cardholder must attend ProCard training prior to activation.
Level II	Prohibited purchase made without a pre-approved exception. (Ref. ProCard Procedure BF-PGC-PR12 , Section IV. B. and Section XIII)	Exceptions to the ProCard Procedure, for prohibited purchases, must be submitted prior to the purchase using the Business Affairs Exception Tracker located in SharePoint.	Email warning sent to Cardholder, Department Head, and Dean/applicable AVP.	Submit an exception request to the Business Affairs Exception Tracker within 10 working days of notification from Payment Card Services. Cardholder must attend ProCard training within 15 days of notification from Payment Card Services	Email sent to Cardholder, Department Head, and Chief Business Officer for the College/applicable AVP, and Provost/applicable VP with details of card suspension and corrective actions.	Submit an exception request to the Business Affairs Exception Tracker within 5 working days of notification by Payment Card Services. The card will be suspended for 3 months after finding. During this time, the department cannot request additional ProCards. Cardholder must attend ProCard training prior to reinstatement of card.	Email sent to Cardholder, Department Head, Chief Business Officer for the College/applicable AVP, and applicable VP with details of card cancellation and required correctiive action.	Submit an exception request to the Business Affairs Exception Tracker within 5 working days of notification by Payment Card Services. The card will be immediately and permanently cancelled upon notification by Payment Card Services. The cardholder will be prohibited from having a UTA ProCard in the future.
Level II	Gift Cards / Gift Certificates purchased for non-employees or university sponsored events without an approved exception "prior" to the purchase. (Ref. ProCard Procedure BF-PGC-PR12, Section IV.A.8)	The purchase of gift cards / gift certificates requires an approved exception "prior" to the purchase of the gift card(s) / gift certificate(s)	Email warning sent to Cardholder and Department Head and Dean/applicable AVP	Submit a request using the Business Affairs Exception Tracker no later than 10 working days after notification from Payment Card Services. Cardholder must attend ProCard training within 15 days of notification from Payment Card Services	Email warning sent to Cardholder, Department Head, and Chief Business Officer for the College or applicable AVP, and Provost/applicable VP with details of required corrective actions.	Submit a request using the Business Affairs Exception Tracker within 5 working days of notification from Payment Card Services. The card will be suspended for 3 months after finidng. During this time, the department cannot additional ProCards. Cardholder must attend ProCard training prior to reinstatement of card.	Email sent to Cardholder, Department Head, Chief Business Officer for the College/applicable AVP, and applicable VP with details of card cancellation and required corrective actions.	Submit an exception request using the Business Affairs Exception Tracker within 5 working days of notification from Payment Card Services. The card will be immediately and permanently cancelled upon notification by Payment Card Services. The cardholder will be prohibited from having a UTA ProCard in the future.
Level II	UTShare Procurement Card Reconcile Statement is missing a detailed/itemized receipt to support the purchase. (Ref. ProCard Procedure BF-PGC-PR12, Section VII. D.)	Each purchase must have a detailed/itemized receipt to support the procurement. This can be sales receipts, credit memos, and packings slips that have cost information.	Email warning sent to Cardholder, Department Head, and Dean/applicable AVP.	Cardholder must obtain from the merchant, a receipt to support the purchase within 10 working days of notification from Payment Card Services Cardholder must attend ProCard training within 15 days of notification from Payment Card Services	Email sent to Cardholder, Department Head, and Chief Business Officer for the College/applicable AVP, and Provost/applicable VP with details of card suspension and correction actions.	Cardholder must obtain from the merchant, a receipt to support the purchase within 5 working days of notification from Payment Card Services The card will be suspended for 3 months. During this time, the department cannot request additional cards. Cardholder must attend ProCard training prior to reinstatement of card.	Email sent to Cardholder, Department Head, Chief Business Officer for the College/applicable AVP, and applicable VP with details of card cancellation and required corrective action.	Cardholder must obtain from the merchant, a receipt to support the purchase within 5 working days of notification from Payment Card Services The card will be immediately and permanently cancelled upon notification by Payment Card Services. The cardholder will be prohibited from having a UTA ProCard in the future.
Level II	Split charge to keep under the $4,000 single transaction limit, or to circumvent the requirement to process a requisition/purchase order. (Ref. ProCard Procedure BF-PGC-PR12, Section IV.A.9)	Cardholders may not split or divide purchases into smaller amounts	Email warning sent to Cardholder, Department Head, and Dean/applicable AVP.	Cardholder must attend ProCard training within 15 working days of notification from Payment Card Services.	Email sent to Cardholder, Department Head, and Chief Business Officer for the College/applicable AVP, and Provost/applicable VP to inform of card suspension.	Card will be suspended for 3 months. During this time, the department cannot request additional cards. Cardholder must attend ProCard training prior to reinstatement of card.	Email sent to Cardholder, Department Head, Chief Business Officer for the College/applicable AVP, and applicable VP with details of card cancellation.	Card will be immediately and permanently cancelled upon notification by Payment Card Services. The cardholder will be prohibited from having a UTA ProCard in the future.
Level III	Forged or altered reciept		Email sent to Cardholder, Department Head, Dean/applicable AVP, and Provost/applicable VP with details of card suspension and referral to University Compliance Services.	Refer to University Compliance Services; await decision for further action. The card will be suspended while awaiting decision from University Compliance Services. If University Compliance Services grants reinstatement of card, the cardholder must attend ProCard training prior to activation.
Level III	Personal charge (non-business) made with no attempt to reimburse the University by the 11th working day of the notification by Payment Card Services. (Ref. ProCard Procedure BF-PGC-PR12, Section IV.A.3.)		Email sent to Cardholder, Department Head, Dean/applicable AVP, and Provost/applicable VP with details of card suspension and referral to University Compliance Services.	Refer to University Compliance Services; await decision for further action. The card will be suspended while awaiting decision from University Compliance Services. If University Compliance Services grants reinstatement of card, the cardholder must attend ProCard training prior to activation.
Level III	Consecutive ProCard reviews not Certified by Department Head or equivalent. (Ref. ProCard Procedure BF-PGC-PR12, Section VIII.)	The department head or equivalent is required to provide a Certification of Completion that describes all corrective actions taken by a given deadline.	Email is sent to Cardholder, Department Head, Reviewer and Dean/applicable AVP.	Department Head, or equivalent, must provide a Certification of Completion to Payment Card Services Cardholder, reviewer and department head, or equivalent, must attend ProCard training within 15 days of notification from Payment Card Services	Email sent to Cardholder, Department Head, and Chief Business Officer for the College/applicable AVP, and Provost/applicable VP with details of card suspension and referral to University Compliance Services.	Refer to University Compliance Services for special discussion by the Compliance Executive Committee; await decision for further action. The card will be suspended while awaiting decision from University Compliance Services. If University Compliance Services grants reinstatement of card, the cardholder must attend ProCard training prior to activation.