Question:

What consequences do you have for out-of-compliance transactions?

We only notify management.

Escalation to supervisor, mandatory re-training after repeated issues

For accountholders who receive the final reminder, their card account will be suspended if still not signed off one week after that. For approvers, my manager will engage the approver's manager to remind them that this action must be completed -- we have never run into a situation where the issue is not resolved after this step.

Slap on the hand, nothing really.

Retake training
Lower MCL
Ratifications
Cancel P-Card
Discipline
Loss of Employment

Suspension of the card until out-of-compliance transactions have been reconciled

Depending on the severity of the out of compliance transaction. It could be a warning, it could be temporarily losing card privileges, losing the card all together to termination.

We are still working on this strategy. Suspending cards, possible weekly review of transaction approvals for the late approver, etc.

We do not have consequences yet. It has not been accepted at the corporate level.

Card suspension if past 60 days old without approval. If a cardholder reaches 3 card suspensions in 2 years time due to delinquent submission/approval, their card privledges are revoked.

We have an internal Audit notification form. This does not mean that their card is being audited. This is a separate form that informs the cardholder and their management team that they have misused their card. A meeting is set to go over the improper transaction and a consequence is agreed upon by management and purchasing. Sometimes it is a verbal Counseling, a formal write up or a suspension of the card.

Audit sends a warning about policy and requirements. Manager is copied. If the trend continues, card could be cancelled.

None at this time, but due to the increased frequency of late completion of these tasks we are considering implementing.

none that are upheld

additional approvals required. 3 strikes rule- when out of compliance 3 times in one year card turned off until issue(s) fixed and retraining required

Procurement Procedures and Policies have warning and infractions in place.

Late reports receive audit points. If a cardholder accumulates too many audit points, then they will have their card suspended until points are reduced. If a report is not submitted by a fiscal quarter deadline, then the card is suspended until the report is fully approved.

Possible card suspension or loss of card privileges altogether.

We do not have a policy for out of compliance transactions at this time.

Warning letters and card suspension

The transactions are categorized as Non Compliance and then a report is ran monthly to provide to the division of frequent non compliance users. And after 3 non compliance times, their card is suspended for 6 months.

Card will be shutdown if persistent issues.

If the cardholder is non-compliant (transactions outstanding and not submitted for more than two cycles), we contact the department director and let them know we are suspending card from use for 60 days after several unsuccessful attempts to get the transactions reconciled. Approvers are just reminded and normally comply within reasonable timeframe, so no action taken against them.

Suspension of p-card through the end of the month.

Turn down card limits until all transactions are reconcilled.

Warning 1st
15 day suspension 2nd
30 days suspension 3rd

Violation memos to include department director, and temporary to permanent suspension of their purchasing card if multiple violations.

We try to mitigate this by providing an exception request to allow approval of transactions that may not meet normal policy (e.g., over the limit transactions) before they occur. Consequences for violating policy without prior approval could face an escalation process including suspension or termination of the card.

Notice to employee and supervisor with a due date; if not responded to, the card will be suspended. If there is no response for 30 days the card will be deactivated and the cardholder will have to apply again.

Employee reimbursement to company

It depends on the circumstances. It can vary from justification, employee financial responsibility, loss of cardholder privilege's.

written warning, written warning with supervisor copied, card suspension, re-training required, loss of privileges

They are require to payback the transaction.

Depending on the severity, mandatory retraining, card suspension, card cancellation or director memo citing the unauthorized procurement and actions being taken to prevent further noncompliance.

None, Audit handles this part.