Audit Manual

Certification Policy

It is the policy of UTMB Audit Services to encourage staff to obtain professional certification or licensure. This policy is based on the recognition that staff certification is a key element in achieving excellence in the services we provide, and it helps ensure that audits will be performed effectively and in compliance with professional standards.

Because staff certification is directly and substantially related to our audit functions, UTMB Audit Services will reimburse certain certification/licensing fees, approved commercial review courses or self-study programs, and examination fees paid by Audit Services employees, subject to the certain terms and conditions.

Covered Certifications/Licenses*

CCSA Certified in Control Self-Assessment
CFE Certified Fraud Examiner
CIA Certified Internal Auditor
CICA Certified Internal Controls Auditor
CISA Certified Information Systems Auditor
CISM Certified Information Systems Manager
CISSP Certified Information Systems Security Professional
CPA Certified Public Accountant

*If there is a license not listed that you would like to obtain, please see the Director

Reimbursement of Certification/Licensing Fees

  • Each employee is responsible for making all required payments to maintain professional certification or licensure.
  • UTMB Audit Services will reimburse the employee for the licensing fees associated with up to three professional certifications. Costs such as late payment penalties, discretionary membership fees, or other related professional costs will not be reimbursed.
  • To be eligible to receive reimbursement, the requesting employee must have been an employee of UTMB Audit Services as of the due date for the professional fees. No prorating of professional fees will be made for employees hired after the due date.
  • Each employee who requests reimbursement of professional fees must request that the department Coordinator submit a Non-PO voucher with related supporting documentation.

Reimbursement of Commercial Review Courses and Self-Study Programs

  • Employees can choose their own source for a commercial review course or self-study program; including related materials (e.g. review books, CDs, etc.). Employees should consult with other employees for recommended courses/programs.
  • UTMB Audit Services will either pay upfront (e.g., Gleim CIA review books/CDs) or reimburse the employee (e.g., Becker CPA review course) for the costs associated with no more than one review course or self-study program per certification (not to exceed 3).
  • For CPA exam review courses or self-study programs only, the employee will be reimbursed for half of the cost before taking the certification examination. Once the employee successfully passes a part of the certification examination, he or she will be reimbursed for the remaining half of the cost in 25% increments.
  • To be eligible to receive reimbursement, the requestor must be an employee of UTMB Audit Services at the time the employee begins the review course or self-study program.
  • The employee should obtain written approval from Director or designee prior to taking the review course or self-study program.
  • Each employee who requests reimbursement of review course or self-study program costs must request that the department Coordinator submit a Non-PO voucher with related supporting documentation.

Reimbursement of Certification Examination Fees

  • Each employee is responsible for paying all required certification examination fees.
  • UTMB Audit Services will reimburse the employee for the examination fees associated with up to three professional certifications.
  • For examinations with only one section, the employee will be reimbursed for the application/registration and/or exam fees after successfully passing the exam. For all multi-part examinations, the employee will be reimbursed for the application/registration fee after successfully passing at least one part of the examination and will be reimbursed for the exam fee incrementally after successfully passing each part. The employee will not be reimbursed for any failed attempts.
  • To be eligible to receive reimbursement, the requesting employee must have been an employee of UTMB Audit Services at the time the examinations were taken.
  • Each employee who requests reimbursement of examination fees must request that the department Coordinator submit a Non-PO voucher with related supporting documentation.

Reimbursement of Professional Organization Membership Fees and/or Dues

  • UTMB Audit Services will pay upfront for the Institute of Internal Auditors’ (IIA) membership fee and yearly dues, regardless of whether the employee is a CIA.
  • UTMB Audit Services will reimburse the employee for the Information Systems Audit and Control Association’s (ISACA) membership fee and yearly dues on a case by case basis as approved by the Director of Audits.
  • Each employee who requests reimbursement of ISACA membership fees and/or yearly dues must request that the department Coordinator submit a Non-PO voucher with related supporting documentation.

NOTE: Employees should go to their Manager or Director for any questions regarding this policy. For any and all situations and/or circumstances not presented in the above policy, the Director of Audits will review and make a final decision.