ࡱ> vxuy ubjbj 9{{  TZZZD6DZ`zz   giiiiii$Ht     g g FuSE~ YſRxTS0)ynnE~E~&nk~ >M, y$$ n : Audit Status Report As of November 7, 2011 State Legislative Audit Activities Final Reports Issued: None Work in Progress: Potato Disease Control Program External Audit Reports & Activities Final Reports Issued: University of 91ֱAnnual Financial Audit FY11 (KPMG) UA Foundation and Consolidated Fund FY11 (KPMG) UA A-133 Single Audit FY11 (KPMG) Education Trust of 91ֱFY11 (PWC) Information Security Review (Coalfire Systems) UA Corporate Programs Alyeska Contract (Alyeska) Adobe Software Licensing (Adobe) UAA VISTA Site Review (AmeriCorps) UAF ARRA Subaward Review (Trabits Group) Work in Progress: PERS/TRS 2010 Payroll and Personnel Systems (State Dept of Administration) KUAC TV9 FM 89.9 (RJG) FY2012 Annual Audit Plan Italic Items - have been completed or are in progress External Financial Audit Support: Year-end cutoff Inventory observation Cash disbursements & bank transfers Cash depositories Auxiliary fund analysis Unexpended plant fund additions Search for Unrecorded Liabilities Audits and Projects: University of 91ֱAnchorage: Department Review* Restricted Funds Athletics** Representational Expenditures* Student Fees University of 91ֱFairbanks: Department Review* Restricted Funds** Athletics Procurement** Student Fees University of 91ֱSoutheast: Department Review 2* Restricted Funds Restricted Funds (FY11) Statewide: Facilities Procurement** Follow-up Audit** - next in queue Function and System Reviews: Banking and Reconciliation Activities next in queue Contracts BCP/DRP Effort Reporting (FY11) Information Systems Reviews: Outsourced Services Banner Access Campus IT General Controls** Banner Program Upgrade** Follow-up Auditing next in queue Special Requests* Investigations* *Specific departments/areas to be determined later **Carried forward from FY11 Audit Reports: Statewide Departmental Travel and Travel Card UAA ANSEP UAF Facilities UAA Facilities UAF Northwest Campus Data Security Audits in Review: UAA Kenai Peninsula College Data Security UAS Follow-up Auditing FY2012 Audit Plan Progress and Staffing We continue to be fully staffed with our three full-time auditors. However, our student intern position became vacant November 7, 2011. Other Department Activities Quality Assessment Review (QAR) Remediation - The QAR is a requirement of the Institute of Internal Audit (IIA) standards and should be conducted at a minimum every five years. We gained valuable information from our QAR that will be used to help the audit department maintain compliance with the IIA standards and enhance the effectiveness and efficiency of our audit process. Recommendations from the report are being implemented at this time. Emergency Alert System Proposal Review Committee Effort Reporting Work Group Participation on the Payment Card Industry Data Security Standards (PCI DSS) Compliance Committee External Audit Request for Proposal (early FY13) Continuous Controls Monitoring This is an ongoing project that involves analytical tests which run automatically on a prescheduled basis. An auditor has been assigned to the follow-up of results from tests, refinement of tests, and development of new tests. Potential Duplicate Payments by Accounts Payable Potential Scheduled Payments (unauthorized) Representational expenditures with inappropriate funding sources Gifts Exceeding $25 Threshold Potential Duplicate Payroll Checks Terminated Employees on the Payroll Phantom Employees Potentially Prohibited Credit Card Transactions Potentially Miscoded Credit Card Transactions     Reference XX Audit Status Report Page  PAGE 4 of  NUMPAGES 4 Audit Committee Agenda: Page  PAGE 4 of  NUMPAGES 4 Reference XX Audit Status Report Page  PAGE 1 of  NUMPAGES 5  FILENAME \p H:\AUDIT\Office Admin\Director\BOR\2011\September\Reference_-_Sept Audit_Status_Report wNotes.doc Audit Committee Agenda: Page  PAGE 1 of  NUMPAGES 5 $%&(*+,NO}·xmie^TID<8hhTdhj7>* hR>*h[ b>*OJQJaJh[ bOJQJaJ h[ bh~oh9Khhlh>*OJQJaJhMhlh>*OJQJaJhMhgtUOJQJaJhMhM5OJQJaJh`5OJQJaJhq5OJQJaJhHC5OJQJaJh!\[5OJQJaJh[ b5OJQJaJh_y5OJQJaJhMhW5OJQJaJhMh% 5OJQJaJ+,Oejk} @ b & F%gd[ bxgd) Lgd x`gdL x^gd5 x^gdxgdxgdlhgdlh$a$gd% |  T U e f g   > @ žzrjrjhhX^6hhEF6hX^hEF6hEF hEF>*hQhnhM6hMhM6h~ohMhTdhM>* h0>* hR>* hZl4>* hh Kh KOJQJ^JaJhEhthphj7hU'hxbHhh1/W hz1"h1/WhCXlh[ b)  + T U g  > ? @ P f gdEF^gdEF $^a$gdEFxgd$ x`gdR 8x^8gd K & F'gdExgd 7 xgd) & F%gd[ b   / B S _ ~ 8^8`gdEFBx^`BgdEF ^`gdEF $^a$gdEF^gdEF @ X o :N+,-.=KjqtusscSchh!\[>*OJQJ^JaJhh#+>*OJQJ^JaJhhOJQJ^JaJhROJQJ^JaJhh0OJQJ^JaJh0>*OJQJ^JaJhX^>*OJQJ^JaJh>hEF>*OJQJ^JaJhhEF6hS?]hS?]6 hh hhEFh5h56hEF hEF>*hhX^6>*  / @ X Y d o } :N\y8^8gdEF`gdEF 8^8gdEF 8^8`gdEF ^`gdEF h^h`gdEF^gdEF,-=ku & F"gd0xgdgxgdB/q^gdEF ^`gdEF 8^8`gdEF ^`gdEF ^`gdEF   &347S]ǸǨxhYJ;h>hZsOJQJ^JaJh>h~oOJQJ^JaJh>h^OJQJ^JaJh>h*>*OJQJ^JaJhh]?>*OJQJ^JaJhhcJX>*OJQJ^JaJhh}>*OJQJ^JaJhh*>*OJQJ^JaJhh?-OJQJ^JaJhhtOJQJ^JaJhOJQJ^JaJhh KOJQJ^JaJhhcJXOJQJ^JaJ 4UHy~:] & F&xgd+ & F&xgd+ & F&xgd!R x^gd@ & F&xgd@gdzxgdB/q & F"gd & F"gd K]cuvzUHxyʾⲢxxxxxxi]QhLOJQJ^JaJh>rOJQJ^JaJhh!ROJQJ^JaJhh@OJQJ^JaJh@OJQJ^JaJh@h@OJQJ^JaJh*h*>*OJQJ^JaJh(OJQJ^JaJh!ROJQJ^JaJhi7OJQJ^JaJh OJQJ^JaJh>hZsOJQJ^JaJh>hiOJQJ^JaJ#I|~ $%+,-.23=vivi^ivivh[$(0JmHnHujhehCXl0JUhehCXl0JhCXlCJOJQJh*;lhCXlCJOJQJh*;lhCXl5CJOJQJaJh68jh68UhcJXh*nOJQJ^JaJhcJXhLOJQJ^JaJh#+OJQJ^JaJh>rOJQJ^JaJhLOJQJ^JaJhZacOJQJ^JaJ$ AB|}$a$gdP9$a$gd.$a$gd*;l$a$gd#< $a$gde$a$gd~7$a$gde & F&xgd+=>?ɲɲɲԌƭƭݱ0Աeݱ0ݱ䴳ϴ*;ݱ䴳ϴݱ5Cϴ*;ݱ5Cϴ#<hCXlCJh[$(0JCJmHnHujh#<hCXl0JCJUhCXl0JCJh#<hCXl0JCJhCXlh*;lhCXlCJOJQJaJh[$(0JmHnHujhehCXl0JU 567UV\]^_`cdnopqrstuµ¯uuhudUhcJXh*nOJQJ^JaJh68hCXlCJhmHnHujhCXlCJUh hCXlCJhhCXl0JCJmHnHuhCXl0JCJjhCXl0JCJU hCXlCJ hCXlCJhCXlCJhmHnHujhCXlCJUh hCXlCJhhCXl hCXl0JhCXl0JmHnHujhehCXl0JUhehCXl0J7rstu & F&xgd+$a$0^0. 0 0/ =!"#$% 2 0 0/ =!"#$% P . 0 0/ =!"#$% 2 0 0/ =!"#$% P < 0 0&P1h:p*;l/ =!"#$% ^ 2 0@P`p2( 0@P`p 0@P`p 0@P`p 0@P`p 0@P`p 0@P`p8XV~_HmH nH sH tH D`D }oNormalCJOJQJ_HmH sH tH P@P }o Heading 1$!@&^`0a$5CJR@R }o Heading 2$!@&^`0a$ 5>*CJ@@@ }o Heading 3 $@&a$5CJP@P }o Heading 4$!@&^p`0a$5CJP@P }o Heading 5$!@&^`0a$5CJD@D }o Heading 6$@&^a$>*CJH@H }o Heading 7$xx@&a$>*CJH@H }o Heading 8 $@&a$5CJOJQJL @L }o Heading 9 $@&^p`0a$ 5OJQJDA`D Default Paragraph FontRiR 0 Table Normal4 l4a (k ( 0No List 6B@6 }o Body Texta$CJ44 }oHeader !4 @4 }oFooter !.)@!. }o Page NumberRC@2R }oBody Text Indent & H^a$CJLR@BL }oBody Text Indent 2 ^a$CJ@T@R@ }o Block Text]^p`CJTS@bT }oBody Text Indent 3x^`0a$CJ>'q> }oComment ReferenceCJD@D }o Comment Texta$ CJOJQJF@F $ !)O^rC$y@/yH*񄴽)޵߻UDb`}"qۋJחX^)I`nEp)liV[]1M<OP6r=zgbIguSebORD۫qu gZo~ٺlAplxpT0+[}`jzAV2Fi@qv֬5\|ʜ̭NleXdsjcs7f W+Ն7`g ȘJj|h(KD- dXiJ؇(x$( :;˹! 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