eCommerce Compliance

eCommerce is a web-based payment tool that allows departments across the University of Mary Washington to accept online payments via credit card and eCheck.  Examples of use include workshop registrations, concert tickets, class registrations, and summer camps.

For more information visit the eCommerce website.

Compliance

University of Mary Washington departments must remain in compliance with UMW policies and procedures for collecting incoming payments.  To ensure compliance, eCommerce reconcillers and program managers are subject to monthly and/or quarterly reviews.

eCommerce site reconciliations are reviewed by the Assistant Controller for Compliance. Monthly event reconciliation is mandatory for each month the event is active.

eCommerce documentation not submitted to the Assistant Conroller by deadline constitutes a Third” non-compliant finding (see below).

  • Required documentation includes:
    • eCommerce report details with calculations
    • Invalid transaction documentation (when relevant)
    • Appropraite Banner query or report with calculations
    • Third Party Summary with Calculations (when relevant)
  • Reconciliation Checklist signed and completed by the 10th of the month

Site managers will be emailed the results of the compliance findings.

In the event that it is determined by that system abuse has occurred, eCommerce Administrators reserve the right to immediately revoke system privileges and deactivate the payment site.

Non-Compliance
Sites found non-compliant will receive a review report indicating finding and corrective actions.

First non-compliant finding: The reconciler will receive an email from the Assistant Controller for Compliance notifying him/her of the non-compliant finding along with details regarding the finding.  The program manager and TESS will be copied on the email along with the Associate VP for Finance.  The Assistant Controller for Compliance will schedule a repeat compliance review.

Second non-compliant finding: The reconciler will receive an email from the Assistant Controller for Compliance notifying him/her of the non-compliant finding along with details regarding the finding.  The program manager will be copied on the email along with the Associate VP for Finance, and TESS.  The reconciler will be required to attend additional Finance and/or eCommerce training.  The Assistant Controller for Compliance will schedule a repeat compliance review.

Third non-compliant finding: The reconciler will receive an email from the Assistant Controller for Compliance notifying him/her of the non-compliant finding along with details regarding the finding.  The Program Manger will be copied on the email along with the Associate VP for Finance &  and TESS.

The Associate VP for Finance will send an email to the program manager.  The program manager will be required to assign a new reconciller responsible for eCommerce oversight and reconciliation.
New reconcillers must sign the eCommerce Partnership Agreement , fulfill any system security requirements, and complete training in the respective systems.

If a new reconciler cannot be assigned, the eCommerce site will likely be terminated. Terminated sites may be restored once a corrective action plan (CAP) is in place.  Contact Training, Evaluation & System Support <tess@umw.edu> for CAP process inquiries.