i. What is the average size of transfers? 500,000 to 1,000,0000 j. Are all funds transfer functions handled by banks and/or institutions? X k. Do you have facilities to transfer funds yourself without involving third parties? X 5. Funds Transfer Procedures (continued) l. Are all telephone transfer instructions given to banks confirmed in writing within 24 hours? N/A, we do not use telephone transfers m. Is there segregation of duties so that no one employee can initiate and complete transactions without approval by others? n. Do you change passwords when employees leave? X o. Describe controls in place to prevent unauthorized use of computers by employees or others (i.e. are computer rooms locked, maintenance ports protected, etc.)? Individual computers are automatically locked if not used within a 20 minute time period. p. What is the total number of employees who have the authority to make transfers? Two q. Do you utilize port security that detects unusual activity? X r. How do you detect whether an employee has exceeded their authority? N/A 6. Vendor Information Yes No a. Are background checks performed on vendors in order to determine ownership and financial capability prior to doing business with them? b. Is an authorized vendor list utilized and updated for all annual purchases, with competitive bidding required over stated amounts? c. Are requisitions and purchase orders issued only after the approval of specified personnel within specified limits? d. Is each cash disbursement based on a recognized liability, accurately prepared, and appropriately authorized, including comparisons to authorized vendor lists and receiving reports? e. Are perpetual inventories maintained of materials and supplies and periodically verified by physical count? N/A, we do not have material & supply inventories. f. Are vendors provided with a statement of your conflict of interest and gift policy (prohibiting gifts of any significant value)? g. Are vendors asked to disclose any gifts or favors offered or requested or other questionable behavior by employees? h. Do the same controls apply to locations outside of the United States? X 7. Prior Insurance Yes No a. Has any similar insurance been declined or canceled during the past three years? If yes, please explain b. Prior insurance to be superseded Check here if none Form of Insurance Effective Date Expiration Date Government Crime State of Florida 01/01/2014 01/01/2015 Limit of Insurance Refer to Policy # CCP 0066388 04 X X X X X X X Name of Insurance Company Fidelity & Deposit Company 8. Loss History Enter all claims or occurrences whether or not paid that may give rise to claims for the prior 5 years. Check here if none Date of Occurrence Type/Description of Occurrence or Claim Date of Claim Amount Paid Claim Status Open Closed 3
8. Loss History (continued) Comments/Corrective Action Taken: 9. Classification of Employees and Locations Grand total of ALL employees: 343 # of CLASS 1 144 PLEASE ATTACH TOTAL EMPLOYEE CENSUS BY DEPARTMENT Note: Persons required by law to be individually bonded and treasurers or tax collectors by whatever titles know are automatically excluded. If insurance is desired on any of your appointed or elected agents please complete the following: Capacity in Which Each Agent Serves 10. Money - Securities Limit of Insurance Which locations require Money and Securities Coverage? Business Office, Four Winds Café, Bike Shoppe. Type Money Securities (other than Payroll Checks) Checks (Excluding Retail Checks) Inside 5000 1,000,000 Messenger #1 Messenger #2 Payroll Checks Money Overnight Securities (In Bank/Safe Deposit) Please advise if you need to temporarily increase the above limits for what departments and for what timeframe. 11. Premises/Safe Protection a. What type of alarm(s) do you have at each of your premises? Hold-up Alarm Premises Alarm Safe Alarm Local Gong Central Station Alarm Police Connected Alarm If alarms vary from location to location, please explain: b. Please specify the number of guards and/or watchpersons on duty each shift: Campus maintains Certified Law Enforcement Department 24/7 2 per shift minimum + MOU s w/ external agencies. c. Please describe any additional protection (e.g. fences, floodlights, etc.): 12. Internet Security Yes No a. Do you buy or sell goods via the internet? Buy, not Sell b. Do you have a firewall? c. Do you have an intrusion detection system that identifies unauthorized access? d. Do you have documented internet guidelines for employees? e. Do you have documented emergency procedures? f. Has your computer system ever been invaded by a hacker or virus? 4
If yes, when and what controls have been implemented to prevent further incidences? College installed a Firewall, intrusion Prevention System (IPS), and improved antivirus use. In 2005 the 13. Food Stamp Procedures Yes No Please complete this section if your organization handles Food Stamps, Vouchers or Debit Cards a. Where is the bulk supply of food stamp coupons or debit cards stored? Who has access to this storage area? 13. Food Stamp Procedures (continued) b. How often are they inventoried? Who has the ability to secure the coupons? c. Are those employees specifically responsible for issuance restricted from access to storage and issuance areas? d. How do you distribute food stamps or debit cards to recipients? e. How are coupons secured for transit? Are they stored in a locked container? Who is responsible for transit? f. When are they activated and by whom? g. If a card is reported lost or stolen, how are they replaced? What controls are in place to prevent duplicates from being issued? h. Safe/Vault Manufacturer Label Door Type Combination Locks Thickness UL/SNMA Class Round Square Outer Inner Chest Door Wall NOTICE TO APPLICANTS: Any person who knowingly and with intent to injure, defraud, or deceive any insurer files a statement of claim or an application containing any false, incomplete, or misleading information is guilty of a felony of the third degree. Applicant Signature: Ron Hambrick Title: Director of Env. Health and Safety Date:9/5/14 Please submit the 15-16 Crime ITB Excel workbook with along with this application. 5
Public Service Commission (PSC) Location Detail Limits Inside, Per Location Limits Outside, Per Location Location Number of Department Cash Checks Cash Checks Description Address Locations PSC - 4,000,000-4,000,000 1 Office 2540 Shumard Oak Blv Tallahassee FL 32399-0850 1
Agency or University making application: Florida Public Service Commission Principal address: 2540 Shumard Oak Blvd. City: Tallahassee State: FL Zip: 32399 Any excluded entities: Policy Effective Period 1/1/2015, 12:01 am To 1/1/2016, 12:01 am 1. Insuring Agreement Limit of Insurance Deductible 1. Employee Dishonesty 500,000 10,000 2. Forgery or Alteration N/A 3. Inside Premises 4,000,000 10,000 4. Outside Premises 4,000,000 10,000 5. Computer Fraud N/A 6. Money Orders and Counterfeit Paper Currency N/A 7. Funds Transfer Fraud N/A 8. Faithful Performance Coverage Yes No If Faithful Performance of Duty is requested, please cite statutory provision or indicate None 2. Coverage Amendments (Endorsements) Yes No a. Is Kidnap, Ransom, and Extortion coverage desired? (separate application required) b. Description of your organization: State Agency Other c. Is Insurance being provided for a State college or university? d. Description of operations for covered entities: Regulation of public utilities. e. Do you receive payments via the internet? (If yes, please compete the Internet Security Section 12 of this application) 3. Audit Procedures The PSC s Inspector General conducts an annual risk assessment and audits when determined necessary. a. Is there an annual audit complete by a: State Agency Public Accountant If yes, how frequently? Quarterly Semiannually Annually b. Does the state auditor conduct an audit annually or on a surprise basis? c. Are all departments and agencies audited? d. Does the auditor have the authority to check any record at any time? e. If weaknesses are discovered, to whom does the auditor report to for corrections? f. Date of completion of last audit: State CPA g. Do you audit your wire funds transfer procedures? h. Do you audit the usage of grant funds? i. Please list your divisions/locations that accept cash payments (Ex: DMV, licensing and permit agencies, toll collections, etc.) Division / Locations 1 Computerized Additional locations are provided on the Crime Schedule 15-16 attached hereto. Yes Audited Annually No Yes No Yes No Yes No Yes No Yes No Yes No
4. Internal Controls Yes No Bank Accounts The PSC does not have any bank accounts a. Are bank accounts reconciled monthly? b. Are bank accounts reconciled by someone not authorized to deposit, withdraw, or write checks? Checks and Securities The PSC does not issue checks or securities. c. Is countersignature of all checks required? Above what amount? d. Do all vouchers or other supporting records accompany all checks to be signed? e. Are vouchers/supporting records stamped PAID when checks are signed? f. Are controls set up to prevent unauthorized use of check signing machines and/or signature stamps? g. Are your systems designed so that no single employee can control a transaction from beginning to end (e.g. approve a voucher, request and sign a check?) h. Are securities subject to the joint control of two or more employees? i. Is a positive pay system used? Payroll The PSC does not manage its payroll. j. Do you screen your employees for prior acts of dishonesty? If not, which departments employ those without background checks? k. Do you use drug free workplace programs? l. Is the payroll made up by persons other than those who distribute it to employees? m. Are all persons who are authorized to hire and/or fire emplo yees prohibited from distributing the payroll? n. Is positive identification required of each person receiving pay? o. Do you have employees acting in the capacity of an in house claims adjuster? Purchasing and Inventory p. Are all persons engaged in purchasing prohibited from taking part in receiving the inventory? q. Are all shipping and receiving activities reconciled to all applicable sale or purchase orders? r. Does any employee have access to the purchasing system and also the accounts payable system? s. Do you have a system to detect payment to fictitious suppliers? t. Do you verify tax ID numbers for all vendors? u. Is a complete inventory made with physical check of stock and equipment? 5. Funds Transfer Procedures The PSC does not conduct wire transfers. Yes No a. What departments conduct wire transfers? b. Do you maintain a fully documented procedure manual covering all wire transfer procedures? c. Are all payment instructions executed under a sequential numbering system? d. Is there an internal audit department which includes E.D.P. auditing? e. If there is no internal audit department, please advise how this function is fulfilled: f. If you utilize consultants, do you change passwords when they finish their work? g. What is the total annual volume of funds transferred? h. What is the largest amount one person can transfer? i. What is the average size of transfers? j. Are all funds transfer functions handled by banks and/or institutions? k. Do you have facilities to transfer funds yourself without involving third parties? 2
5. Funds Transfer Procedures (continued) l. Are all telephone transfer instructions given to banks confirmed in writing within 24 hours? m. Is there segregation of duties so that no one employee can initiate and complete transactions without approval by others? n. Do you change passwords when employees leave? o. Describe controls in place to prevent unauthorized use of computers by employees or others (i.e. are computer rooms locked, maintenance ports protected, etc.)? p. What is the total number of employees who have the authority to make transfers? q. Do you utilize port security that detects unusual activity? r. How do you detect whether an employee has exceeded their authority? 6. Vendor Information Yes No a. Are background checks performed on vendors in order to determine ownership and financial capability prior to doing business with them? In most instances. b. Is an authorized vendor list utilized and updated for all annual purchases, with competitive bidding required over stated amounts? c. Are requisitions and purchase orders issued only after the approval of specified personnel within specified limits? d. Is each cash disbursement based on a recognized liability, accurately prepared, and appropriately authorized, including comparisons to authorized vendor lists and receiving reports? The PSC does not use cash disbursements. e. Are perpetual inventories maintained of materials and supplies and periodically verified by physical count? The PSC does not maintain perpetual inventories. f. Are vendors provided with a statement of your conflict of interest and gift policy (prohibiting gifts of any significant value)? g. Are vendors asked to disclose any gifts or favors offered or requested or other questionable behavior by employees? h. Do the same controls apply to locations outside of the United States? N/A. 7. Prior Insurance Yes No a. Has any similar insurance been declined or canceled during the past three years? If yes, please explain b. Prior insurance to be superseded Check here if none Form of Insurance Effective Date Expiration Date Government Crime State of Florida 01/01/2014 01/01/2015 Limit of Insurance Refer to Policy # CCP 0066388 04 Name of Insurance Company Fidelity & Deposit Company 8. Loss History Enter all claims or occurrences whether or not paid that may give rise to claims for the prior 5 years. Check here if none Date of Occurrence Type/Description of Occurrence or Claim Date of Claim Amount Paid Claim Status Open Closed 3
8. Loss History (continued) Comments/Corrective Action Taken: 9. Classification of Employees and Locations Grand total of ALL employees: 286 # of CLASS 1 69 PLEASE ATTACH TOTAL EMPLOYEE CENSUS BY DEPARTMENT Note: Persons required by law to be individually bonded and treasurers or tax collectors by whatever titles know are automatically excluded. If insurance is desired on any of your appointed or elected agents please complete the following: Capacity in Which Each Agent Serves 10. Money - Securities Limit of Insurance Which locations require Money and Securities Coverage? 2540 Shumard Oak Blvd., Tallahassee, FL, 32399. Type Inside Messenger #1 Messenger #2 Money Please refer to the provided Excel Spreadsheet. Securities (other than Payroll Checks) Checks (Excluding Retail Checks) 4 Payroll Checks Money Overnight Securities (In Bank/Safe Deposit) Please advise if you need to temporarily increase the above limits for what departments and for what timeframe. 11. Premises/Safe Protection a. What type of alarm(s) do you have at each of your premises? Hold-up Alarm Premises Alarm Safe Alarm Local Gong Central Station Alarm Police Connected Alarm If alarms vary from location to location, please explain: b. Please specify the number of guards and/or watchpersons on duty each shift: 2 c. Please describe any additional protection (e.g. fences, floodlights, etc.): Parking lot lights and security cameras. 12. Internet Security N/A. Yes No a. Do you buy or sell goods via the internet? b. Do you have a firewall? c. Do you have an intrusion detection system that identifies unauthorized access? d. Do you have documented internet guidelines for employees? e. Do you have documented emergency procedures? f. Has your computer system ever been invaded by a hacker or virus?
If yes, when and what controls have been implemented to prevent further incidences? Implemented a Barracuda web application firewall. 13. Food Stamp Procedures N/A. Yes No Please complete this section if your organization handles Food Stamps, Vouchers or Debit Cards a. Where is the bulk supply of food stamp coupons or debit cards stored? Who has access to this storage area? 13. Food Stamp Procedures (continued) b. How often are they inventoried? Who has the ability to secure the coupons? c. Are those employees specifically responsible for issuance restricted from access to storage and issuance areas? d. How do you distribute food stamps or debit cards to recipients? e. How are coupons secured for transit? Are they stored in a locked container? Who is responsible for transit? f. When are they activated and by whom? g. If a card is reported lost or stolen, how are they replaced? What controls are in place to prevent duplicates from being issued? h. Safe/Vault Manufacturer Label Door Type Combination Locks Thickness UL/SNMA Class Round Square Outer Inner Chest Door Wall NOTICE TO APPLICANTS: Any person who knowingly and with intent to injure, defraud, or deceive any insurer files a statement of claim or an application containing any false, incomplete, or misleading information is guilty of a felony of the third degree. Applicant Signature: Title: Date: Please submit the 15-16 Crime ITB Excel workbook with along with this application. 5
Small Business Administration (SBA) Location Detail Limits Inside, Per Location Limits Outside, Per Location Location Department Cash Checks Cash Checks Number of Locations Description Address SBA 250,000 1,000,000 250,000 1,000,000 1 Office 1801 Hermitage Blvd. Tallahassee FL 1
Agency or University making application: State Board of Administration Principal address: 1801 Hermitage Blvd., Suite 100 City: Tallahassee State: Florida Zip: 32308 Any excluded entities: Policy Effective Period 1/1/2015, 12:01 am To 1/1/2016, 12:01 am 1. Insuring Agreement Limit of Insurance Deductible 1. Employee Dishonesty See expiring policy ---------- 2. Forgery or Alteration 3. Inside Premises 1,000,000 500,000 4. Outside Premises 1,250,000 500,000 5. Computer Fraud 6. Money Orders and Counterfeit Paper Currency 7. Funds Transfer Fraud 8. Faithful Performance Coverage Yes No If Faithful Performance of Duty is requested, please cite statutory provision or indicate None 2. Coverage Amendments (Endorsements) Yes No a. Is Kidnap, Ransom, and Extortion coverage desired? (separate application required) b. Description of your organization: State Agency Other c. Is Insurance being provided for a State college or university? d. Description of operations for covered entities: Administer investments for Florida Retirement System and various other clients. e. Do you receive payments via the internet? (If yes, please compete the Internet Security Section 12 of this application) 3. Audit Procedures Yes No a. Is there an annual audit complete by a: State Agency Public Accountant If yes, how frequently? Quarterly Semiannually Annually b. Does the state auditor conduct an audit annually or on a surprise basis? c. Are all departments and agencies audited? d. Does the auditor have the authority to check any record at any time? e. If weaknesses are discovered, to whom does the auditor report to for corrections? f. Date of completion of last audit: State Feb. 2014 CPA Nov. 2013 g. Do you audit your wire funds transfer procedures? h. Do you audit the usage of grant funds? i. Please list your divisions/locations that accept cash payments (Ex: DMV, licensing and permit agencies, toll collections, etc.) Division / Locations Computerized Audited Annually N/A Yes No Yes No Additional locations are provided on the Crime Schedule 15-16 attached hereto. Yes No Yes No Yes No Yes No 1
4. Internal Controls Yes No Bank Accounts a. Are bank accounts reconciled monthly? b. Are bank accounts reconciled by someone not authorized to deposit, withdraw, or write checks? Checks and Securities c. Is countersignature of all checks required? Above what amount? d. Do all vouchers or other supporting records accompany all checks to be signed? e. Are vouchers/supporting records stamped PAID when checks are signed? N/A f. Are controls set up to prevent unauthorized use of check signing machines and/or signature stamps? g. Are your systems designed so that no single employee can control a transaction from beginning to end (e.g. approve a voucher, request and sign a check?) h. Are securities subject to the joint control of two or more employees? i. Is a positive pay system used? Payroll j. Do you screen your employees for prior acts of dishonesty? If not, which departments employ those without background checks? k. Do you use drug free workplace programs? l. Is the payroll made up by persons other than those who distribute it to employees? m. Are all persons who are authorized to hire and/or fire emplo yees prohibited from distributing the payroll? n. Is positive identification required of each person receiving pay? o. Do you have employees acting in the capacity of an in house claims adjuster? Purchasing and Inventory p. Are all persons engaged in purchasing prohibited from taking part in receiving the inventory? q. Are all shipping and receiving activities reconciled to all applicable sale or purchase orders? r. Does any employee have access to the purchasing system and also the accounts payable system? s. Do you have a system to detect payment to fictitious suppliers? t. Do you verify tax ID numbers for all vendors? u. Is a complete inventory made with physical check of stock and equipment? 5. Funds Transfer Procedures Yes No a. What departments conduct wire transfers? Financial Operations b. Do you maintain a fully documented procedure manual covering all wire transfer procedures? c. Are all payment instructions executed under a sequential numbering system? d. Is there an internal audit department which includes E.D.P. auditing? e. If there is no internal audit department, please advise how this function is fulfilled: f. If you utilize consultants, do you change passwords when they finish their work? g. What is the total annual volume of funds transferred? >15 billion h. What is the largest amount one person can transfer? Set by bank up to 1 billion in one wire. i. What is the average size of transfers? >10 million j. Are all funds transfer functions handled by banks and/or institutions? k. Do you have facilities to transfer funds yourself without involving third parties? 2
5. Funds Transfer Procedures (continued) l. Are all telephone transfer instructions given to banks confirmed in writing within 24 hours? m. Is there segregation of duties so that no one employee can initiate and complete transactions without approval by others? n. Do you change passwords when employees leave? Cancel access. o. Describe controls in place to prevent unauthorized use of computers by employees or others (i.e. are computer rooms locked, maintenance ports protected, etc.)? Password protected pcs. p. What is the total number of employees who have the authority to make transfers? 15 q. Do you utilize port security that detects unusual activity? r. How do you detect whether an employee has exceeded their authority? Preset limits. 6. Vendor Information Yes No a. Are background checks performed on vendors in order to determine ownership and financial capability prior to doing business with them? b. Is an authorized vendor list utilized and updated for all annual purchases, with competitive bidding required over stated amounts? c. Are requisitions and purchase orders issued only after the approval of specified personnel within specified limits? d. Is each cash disbursement based on a recognized liability, accurately prepared, and appropriately authorized, including comparisons to authorized vendor lists and receiving reports? e. Are perpetual inventories maintained of materials and supplies and periodically verified by physical count? f. Are vendors provided with a statement of your conflict of interest and gift policy (prohibiting gifts of any significant value)? g. Are vendors asked to disclose any gifts or favors offered or requested or other questionable behavior by employees? h. Do the same controls apply to locations outside of the United States? 7. Prior Insurance Yes No a. Has any similar insurance been declined or canceled during the past three years? If yes, please explain b. Prior insurance to be superseded Check here if none Form of Insurance Effective Date Expiration Date Government Crime State of Florida 01/01/2014 01/01/2015 Limit of Insurance Refer to Policy # CCP 0066388 04 N/A Name of Insurance Company Fidelity & Deposit Company 8. Loss History Enter all claims or occurrences whether or not paid that may give rise to claims for the prior 5 years. Check here if none Date of Occurrence Type/Description of Occurrence or Claim Date of Claim Amount Paid Claim Status Open Closed 3
8. Loss History (continued) Comments/Corrective Action Taken: 9. Classification of Employees and Locations Grand total of ALL employees: 236 # of CLASS 1 148 PLEASE ATTACH TOTAL EMPLOYEE CENSUS BY DEPARTMENT Note: Persons required by law to be individually bonded and treasurers or tax collectors by whatever titles know are automatically excluded. If insurance is desired on any of your appointed or elected agents please complete the following: Capacity in Which Each Agent Serves 10. Money - Securities Which locations require Money and Securities Coverage? 1801 Hermitage Blvd. Tallahassee, FL 32308 Type Inside Messenger #1 Messenger #2 Money Securities (other than Payroll Checks) State Warrants: 1,000,000,000.00 Checks (Excluding Retail Checks) 10,000,000.00 4 Payroll Checks Limit of Insurance Money Overnight Securities (In Bank/Safe Deposit) Please advise if you need to temporarily increase the above limits for what departments and for what timeframe. 11. Premises/Safe Protection a. What type of alarm(s) do you have at each of your premises? Hold-up Alarm Premises Alarm Safe Alarm Local Gong Central Station Alarm Police Connected Alarm If alarms vary from location to location, please explain: b. Please specify the number of guards and/or watchpersons on duty each shift: One c. Please describe any additional protection (e.g. fences, floodlights, etc.): Fence, floodlight, cameras. 12. Internet Security Yes No a. Do you buy or sell goods via the internet? b. Do you have a firewall? c. Do you have an intrusion detection system that identifies unauthorized access? d. Do you have documented internet guidelines for employees? e. Do you have documented emergency procedures? f. Has your computer system ever been invaded by a hacker or virus? If yes, when and what controls have been implemented to prevent further incidences? 13. Food Stamp Procedures N/A Yes No Please complete this section if your organization handles Food Stamps, Vouchers or Debit Cards a. Where is the bulk supply of food stamp coupons or debit cards stored?
Who has access to this storage area? 13. Food Stamp Procedures (continued) b. How often are they inventoried? Who has the ability to secure the coupons? c. Are those employees specifically responsible for issuance restricted from access to storage and issuance areas? d. How do you distribute food stamps or debit cards to recipients? e. How are coupons secured for transit? Are they stored in a locked container? Who is responsible for transit? f. When are they activated and by whom? g. If a card is reported lost or stolen, how are they replaced? What controls are in place to prevent duplicates from being issued? h. Safe/Vault Manufacturer Label Door Type Combination Locks Thickness UL/SNMA Class Round Square Outer Inner Chest Door Wall NOTICE TO APPLICANTS: Any person who knowingly and with intent to injure, defraud, or deceive any insurer files a statement of claim or an application containing any false, incomplete, or misleading information is guilty of a felony of the third degree. Applicant Signature: Emily Moore Title: Office Specialist Date: 9/8/14 Please submit the 15-16 Crime ITB Excel workbook with along with this application. 5
University of Central Florida (UCF) Location Detail Limits Inside, Per Location Limits Outside, Per Location Location Department Cash Checks Cash Checks Number of Locations Description Address UCF 200,000 2,000,000 200,000 2,000,000 1 University Main Campus, 4000 Central Florida Blvd. Orlando FL 32816 UCF 2,000 1,000,000 2,000 1,000,000 1 University Business Services, 12479 Research Parkway Orlando FL 32826 UCF 800,000 800,000 1 University Finance and Accounting, 12424 Research Parkway Orlando FL 32826 UCF 3,500 15,000 3,500 15,000 1 University Rosen College, 9907 Universal Blvd. Orlando FL 32819 UCF 1,000 42,000 1,000 42,000 1 University FSEC, 1679 Clearlake Road Cocoa FL 32922 UCF 120,000 120,000 1 University College of Medicine, 6850 Lake Nona Blvd. Orlando FL 32827 6
Agency or University making application: University of Central Florida Principal address: 4000 Central Florida Blvd City: Orlando State: FL Zip: 32816 Any excluded entities: Policy Effective Period 1/1/2015, 12:01 am To 1/1/2016, 12:01 am 1. Insuring Agreement Limit of Insurance Deductible 1. Employee Dishonesty 2. Forgery or Alteration 3. Inside Premises 4. Outside Premises 5. Computer Fraud 6. Money Orders and Counterfeit Paper Currency 7. Funds Transfer Fraud 8. Faithful Performance Coverage Yes No If Faithful Performance of Duty is requested, please cite statutory provision or indicate None 2. Coverage Amendments (Endorsements) Yes No a. Is Kidnap, Ransom, and Extortion coverage desired? (separate application required) b. Description of your organization: State Agency Other University c. Is Insurance being provided for a State college or university? d. Description of operations for covered entities: e. Do you receive payments via the internet? (If yes, please compete the Internet Security Section 12 of this application) 3. Audit Procedures Yes No a. Is there an annual audit complete by a: State Agency Public Accountant If yes, how frequently? Quarterly Semiannually Annually b. Does the state auditor conduct an audit annually or on a surprise basis? c. Are all departments and agencies audited? Yes as part of the annual Financials Audit performed by the state auditor d. Does the auditor have the authority to check any record at any time? e. If weaknesses are discovered, to whom does the auditor report to for corrections? President of UCF f. Date of completion of last audit: State March 2014- Financials Audit CPA g. Do you audit your wire funds transfer procedures? h. Do you audit the usage of grant funds? i. Please list your divisions/locations that accept cash payments (Ex: DMV, licensing and permit agencies, toll collections, etc.) Division / Locations 1 Computerized Audited Annually Main Campus, 4000 Central Florida Blvd Yes No Yes No Business Services, 12479 Research Parkway Yes No Yes No Finance and Accounting, 12424 Research Parkway Yes No Yes No Rosen College, 9907 Universal Blvd Yes No Yes No
College of Medicine, 6850 Lake Nona Blvd Yes No Yes No FSEC, 1679 Clearlake Road Yes No Yes No Additional locations are provided on the Crime Schedule 15-16 attached hereto. 4. Internal Controls Yes No Bank Accounts a. Are bank accounts reconciled monthly? b. Are bank accounts reconciled by someone not authorized to deposit, withdraw, or write checks? Checks and Securities c. Is countersignature of all checks required? No Above what amount? Only checks greater than or equal to 50,000 require a countersignature. d. Do all vouchers or other supporting records accompany all checks to be signed? e. Are vouchers/supporting records stamped PAID when checks are signed? The vouchers/supporting records are recorded in an ERP system and assigned a check number which is eventually reconciled to the bank. f. Are controls set up to prevent unauthorized use of check signing machines and/or signature stamps? g. Are your systems designed so that no single employee can control a transaction from beginning to end (e.g. approve a voucher, request and sign a check?) h. Are securities subject to the joint control of two or more employees? i. Is a positive pay system used? Payroll j. Do you screen your employees for prior acts of dishonesty? If not, which departments employ those without background checks? Any employee hired by a department as an OPS graduate student. k. Do you use drug free workplace programs? l. Is the payroll made up by persons other than those who distribute it to employees? m. Are all persons who are authorized to hire and/or fire employees prohibited from distributing the payroll? n. Is positive identification required of each person receiving pay? o. Do you have employees acting in the capacity of an in house claims adjuster? Purchasing and Inventory p. Are all persons engaged in purchasing prohibited from taking part in receiving the inventory? q. Are all shipping and receiving activities reconciled to all applicable sale or purchase orders? r. Does any employee have access to the purchasing system and also the accounts payable system? s. Do you have a system to detect payment to fictitious suppliers? t. Do you verify tax ID numbers for all vendors? u. Is a complete inventory made with physical check of stock and equipment? 5. Funds Transfer Procedures Yes No a. What departments conduct wire transfers? b. Do you maintain a fully documented procedure manual covering all wire transfer procedures? c. Are all payment instructions executed under a sequential numbering system? d. Is there an internal audit department which includes E.D.P. auditing? e. If there is no internal audit department, please advise how this function is fulfilled: 2
f. If you utilize consultants, do you change passwords when they finish their work? Consultants are locked out (passwords disabled) when their work/assignment is completed. g. What is the total annual volume of funds transferred? 395,339,117 Total wires transferred h. What is the largest amount one person can transfer? 30,000,000 using a bank template to invest university funds. Two times a year, during peak financial aid times, wire authority is temporarily increased to invest university funds. No one individual has authority to transfer funds as the system requires dual administration and separation of duties for all transfers. i. What is the average size of transfers? 1,126,322 which includes transfers for investments j. Are all funds transfer functions handled by banks and/or institutions? k. Do you have facilities to transfer funds yourself without involving third parties? 5. Funds Transfer Procedures (continued) l. Are all telephone transfer instructions given to banks confirmed in writing within 24 hours? N/A m. Is there segregation of duties so that no one employee can initiate and complete transactions without approval by others? n. Do you change passwords when employees leave? Individuals are locked out of the banking and ERP systems when they leave o. Describe controls in place to prevent unauthorized use of computers by employees or others (i.e. are computer rooms locked, maintenance ports protected, etc.)? All personal computers (PCs) and networks are inside secured and locked facilities. An active UCF network ID (NID) credential is required to g ain access to UCF resources. Without an active NID credential access is restricted (e.g. UCF wireless networks, enterprise resource planning systems, and Exchange). p. What is the total number of employees who have the authority to make transfers? 2 individuals to initiate outgoing wires and 4 individuals to approve outgoing wires. Each wire transfer includes the initiator and an approver q. Do you utilize port security that detects unusual activity? r. How do you detect whether an employee has exceeded their authority? An individual cannot exceed their authority because the banking system combines dual administration and enforces separation of duties. The process to provide initiator and approver authority requires two different system administrators, one to create the increase and the other to review and authorize the increa se. 6. Vendor Information Yes No a. Are background checks performed on vendors in order to determine ownership and financial capability prior to doing business with them? b. Is an authorized vendor list utilized and updated for all annual purchases, with competitive bidding required over stated amounts? c. Are requisitions and purchase orders issued only after the approval of specified personnel within specified limits? d. Is each cash disbursement based on a recognized liability, accurately prepared, and appropriately authorized, including comparisons to authorized vendor lists and receiving reports? e. Are perpetual inventories maintained of materials and supplies and periodically verified by physical count? f. Are vendors provided with a statement of your conflict of interest and gift policy (prohibiting gifts of any significant value)? g. Are vendors asked to disclose any gifts or favors offered or requested or other questionable behavior by employees? h. Do the same controls apply to locations outside of the United States? 7. Prior Insurance Yes No a. Has any similar insurance been declined or canceled during the past three years? If yes, please explain b. Prior insurance to be superseded Check here if none 3
Form of Insurance Effective Date Expiration Date Government Crime State of Florida 01/01/2014 01/01/2015 Limit of Insurance Refer to Policy # CCP 0066388 04 Name of Insurance Company Fidelity & Deposit Company 8. Loss History Enter all claims or occurrences whether or not paid that may give rise to claims for the prior 5 years. Check here if none Date of Occurrence 3/21/2008-10/9/2011 Type/Description of Occurrence or Claim Date of Claim Amount Paid Employee theft 12/9/2013 0.00 8/1/2013 Employee theft 12/17/2013 0.00 8. Loss History (continued) Claim Status Open Closed Comments/Corrective Action Taken: After the Audit Dept completes their investigation, they make recommendations to the affect department and the University for ways to improve processes and internal controls so the loss does not occur again. 9. Classification of Employees and Locations Grand total of ALL employees: 11,680 # of CLASS 1: 1,605 PLEASE ATTACH TOTAL EMPLOYEE CENSUS BY DEPARTMENT Note: Persons required by law to be individually bonded and treasurers or tax collectors by whatever titles know are automatically excluded. If insurance is desired on any of your appointed or elected agents please complete the following: Capacity in Which Each Agent Serves 10. Money - Securities Limit of Insurance Which locations require Money and Securities Coverage? All locations listed on Question 3.i. Type Inside Messenger #1 Messenger #2 Money Securities (other than Payroll Checks) Checks (Excluding Retail Checks) Payroll Checks Money Overnight Securities (In Bank/Safe Deposit) Please advise if you need to temporarily increase the above limits for what departments and for what timeframe. 11. Premises/Safe Protection a. What type of alarm(s) do you have at each of your premises? Hold-up Alarm Premises Alarm Safe Alarm Local Gong Central Station Alarm Police Connected Alarm If alarms vary from location to location, please explain: b. Please specify the number of guards and/or watchpersons on duty each shift: 8 police officers, minimum per shift c. Please describe any additional protection (e.g. fences, floodlights, etc. ): Site lights on the outside of all buildings 4
12. Internet Security Yes No a. Do you buy or sell goods via the internet? b. Do you have a firewall? c. Do you have an intrusion detection system that identifies unauthorized access? d. Do you have documented internet guidelines for employees? e. Do you have documented emergency procedures? f. Has your computer system ever been invaded by a hacker or virus? If yes, when and what controls have been implemented to prevent further incidences? Additional monitoring, more outbound firewall controls, user awareness education, etc. 13. Food Stamp Procedures Yes No Please complete this section if your organization handles Food Stamps, Vouchers or Debit Cards a. Where is the bulk supply of food stamp coupons or debit cards stored? Who has access to this storage area? 13. Food Stamp Procedures (continued) b. How often are they inventoried? Who has the ability to secure the coupons? c. Are those employees specifically responsible for issuance restricted from access to storage and issuance areas? d. How do you distribute food stamps or debit cards to recipients? e. How are coupons secured for transit? Are they stored in a locked container? Who is responsible for transit? f. When are they activated and by whom? g. If a card is reported lost or stolen, how are they replaced? What controls are in place to prevent duplicates from being issued? h. Safe/Vault Manufacturer Label Door Type Combination Locks Thickness UL/SNMA Class Round Square Outer Inner Chest Door Wall NOTICE TO APPLICANTS: Any person who knowingly and with intent to injure, defraud, or deceive any insurer files a statement of claim or an application containing any false, incomplete, or misleading information is guilty of a felony of the third degree. Applicant Signature: Title: Date: Please submit the 15-16 Crime ITB Excel workbook with along with this application. 5
Limits Inside, Per Location Limits Outside, Per Location Location Department Cash Checks Cash Checks Number of Locations Description Address UF 100,000 3,500,000 100,000 3,500,000 1 University Main Campus-Encompassed within West University Avenue, SW 13th Street, SW 24th Street and Williston Road Gainesville FL UF 100,000 3,500,000 100,000 3,500,000 1 University SAA-Encompassed within West University Avenue, SW 13th Street, SW 34th Street and Williston Road Gainesville FL 2 University of Florida (UF) Location Detail
Agency or University making application: University of Florida Principal address: City: State: Zip: Any excluded entities: Policy Effective Period 1/1/2015, 12:01 am To 1/1/2016, 12:01 am 1. Insuring Agreement Limit of Insurance Deductible 1. Employee Dishonesty 2. Forgery or Alteration 3. Inside Premises 2,500,000 10,000 4. Outside Premises 7,200,000 10,000 5. Computer Fraud 6. Money Orders and Counterfeit Paper Currency 7. Funds Transfer Fraud 8. Faithful Performance Coverage Yes No If Faithful Performance of Duty is requested, please cite statutory provision or indicate None 2. Coverage Amendments (Endorsements) Yes No a. Is Kidnap, Ransom, and Extortion coverage desired? (separate application required) b. Description of your organization: State Agency Other c. Is Insurance being provided for a State college or university? d. Description of operations for covered entities: e. Do you receive payments via the internet? (If yes, please compete the Internet Security Section 12 of this application) 3. Audit Procedures Yes No a. Is there an annual audit complete by a: State Agency Public Accountant If yes, how frequently? Quarterly Semiannually Annually b. Does the state auditor conduct an audit annually or on a surprise basis? c. Are all departments and agencies audited? University as a whole is audited.by the Auditor General. Inspector General audits for specific compliance and operations. d. Does the auditor have the authority to check any record at any time? e. If weaknesses are discovered, to whom does the auditor report to for corrections? The Auditor General reports to the State Legislature. The Inspector General reports to the University Board of Trustees. f. Date of completion of last audit: State December 2013 for FYE 2013 CPA g. Do you audit your wire funds transfer procedures? h. Do you audit the usage of grant funds? i. Please list your divisions/locations that accept cash payments (Ex: DMV, licensing and permit agencies, toll collections, etc.) Division / Locations See Attached (Computerized? YES- PeopleSoft; Random selection for audit by OIA and AG) 1 Computerized Audited Annually Yes No Yes No Yes No Yes No
Additional locations are provided on the Crime Schedule 15-16 attached hereto. 2 Yes No Yes No 4. Internal Controls Yes No Bank Accounts a. Are bank accounts reconciled monthly? b. Are bank accounts reconciled by someone not authorized to deposit, withdraw, or write checks? Checks and Securities c. Is countersignature of all checks required? Yes Above what amount? 0 d. Do all vouchers or other supporting records accompany all checks to be signed? e. Are vouchers/supporting records stamped PAID when checks are signed? f. Are controls set up to prevent unauthorized use of check signing machines and/or signature stamps? g. Are your systems designed so that no single employee can control a transaction from beginning to end (e.g. approve a voucher, request and sign a check?) h. Are securities subject to the joint control of two or more employees? i. Is a positive pay system used? Payroll j. Do you screen your employees for prior acts of dishonesty? If not, which departments employ those without background checks? k. Do you use drug free workplace programs? l. Is the payroll made up by persons other than those who distribute it to employees? m. Are all persons who are authorized to hire and/or fire employees prohibited from distributing the payroll? n. Is positive identification required of each person receiving pay? o. Do you have employees acting in the capacity of an in house claims adjuster? Purchasing and Inventory p. Are all persons engaged in purchasing prohibited from taking part in receiving the inventory? q. Are all shipping and receiving activities reconciled to all applicable sale or purchase orders? r. Does any employee have access to the purchasing system and also the accounts payable system? s. Do you have a system to detect payment to fictitious suppliers? t. Do you verify tax ID numbers for all vendors? u. Is a complete inventory made with physical check of stock and equipment? 5. Funds Transfer Procedures Yes No a. What departments conduct wire transfers? Treasury Management b. Do you maintain a fully documented procedure manual covering all wire transfer procedures? c. Are all payment instructions executed under a sequential numbering system? d. Is there an internal audit department which includes E.D.P. auditing? e. If there is no internal audit department, please advise how this function is fulfilled: NA f. If you utilize consultants, do you change passwords when they finish their work? Deleted access g. What is the total annual volume of funds transferred? 369,584,160 h. What is the largest amount one person can transfer? All transfers require 2 people; transfers over 1million require 3 people to transfer