Audit Guidance

Office of the University Auditor
Elevator Maintenance Contracts
Summary of Improvement Opportunities
March 16, 2012

The Office of the State Comptroller (OSC) conducted reviews of elevator maintenance contracts at four campuses to determine whether services were being provided in accordance with the contract terms and that campuses are only paying for those services received and at the rate specified in the contracts. The Office of the University Auditor (OUA) has also audited these types of contracts as part of its recent financial management audits. The following list summarizes the improvement opportunities identified by OSC and OUA. Campus officials should review the list to determine if there are opportunities to improve controls over these contracts at their campuses.

• • Develop policies and procedures to ensure payments for preventative maintenance and repairs to elevators are appropriate.
  • Ensure rates charged agree to contract terms.
  • Ensure staff is properly trained to monitor vendor performance and contract payments.
  • Develop controls to ensure elevator maintenance is being conducted in accordance with the contract:

1. Utilize charts (or logs) at each elevator location that indicate the date, time, and services provided.
2. Require elevator service employees to sign in and out with a campus official.
3. Periodically conduct a review of the charts (logs) and sign in and out sheets to verify that all services as prescribed by the contract are being completed.
4. Compare the preventative maintenance schedule contained in the contract to supporting documentation such as logs, sign in sheets, work orders, or electronic work tickets to ensure that all services were provided prior to approving invoices for payment and, as necessary adjust invoices for services not performed.
5. Require third party safety inspections every six months and ensure any items identified are addressed in a timely manner.
   
   
   • Ensure any changes to contract terms are properly amended and, when required, submitted to the Office of the State Comptroller for approval.

For additional information, please contact the Office of the University Auditor at 518-320-1533 or University.Audit@sysadm.suny.edu