ࡱ> pro bjbjVV ><<< 8;\4x`___VVVxxxxxxx<{}pxVVVVVx__xJJJV__xJVxJJgo_8FjJkxx0x'k^N~~N~oo&N~oVVJVVVVVxx2VVVxVVVVN~VVVVVVVVV : Audit Status Report As of May 10, 2011 State Legislative Audit Activities None External Audit Reports & Activities Final Reports Issued: None Work in Progress: FY07 Incurred Costs for Fringe Benefits (DCAA) FY08 Incurred Costs for Fringe Benefits (DCAA) National Science Foundation Audit of UAA Grants (NSF OIG) UACP Alyeska Contract (Alyeska) Adobe Software Licensing (Adobe) PERS/TRS 2010 Payroll and Personnel Systems (State Dept of Admin) FY2011 Annual Audit Plan Italic Items - have been completed or are in progress Special requests and investigations are listed by their audit number in order to maintain confidentiality KPMG External Audit Support Year-end cutoff Inventory observation Cash disbursements & bank transfers Cash depositories Auxiliary fund analysis Unexpended plant fund addition Search for unrecorded liabilities Function and System Reviews Sponsored Programs Effort Reporting Continuous Controls Monitoring in progress, this is an ongoing project UAA PCI Compliance Grant Review Athletics Rural Campus Review Kenai Peninsula College Data Security UAF PCI Compliance Grant Review Procurement Rural Campus Review Northwest Campus Data Security Cash Receipts* (includes follow-up of prior cash receipts audit) in progress from FY10 UAS PCI Compliance Departmental Review Rural Campus Review Information Systems Reviews External Security Follow-up Data Security Campus IT General Controls Banner Program Upgrade Follow-up Statewide PCI Compliance Procurement Follow-up Audits Audits in Review: Statewide Departmental Travel and Travel Card (FY10) UAF Northwest Campus Data Security UAA Facilities (FY10) UAA ANSEP UAF Facilities (FY10) UAS Follow-up Auditing FY2011 Audit Plan Progress and Staffing We continue to be fully staffed with our three full-time auditors and one student intern. The FY12 annual audit plan includes audits planned for FY11 that were not conducted during FY11. MAU Risk Assessments Risk Services and Internal Audit are working with the MAUs to facilitate the executive risk assessments during the summer of 2011, as well as facilitate detailed risk assessments with a department or function selected by each MAU. The results of the executive risk assessments will be presented to the Board of Regents as a Risk Register report at the September meeting. Background: Executive risk assessments were facilitated at each MAU in FY10, with results either presented to the Audit Committee or scheduled for presentation. The consolidated risk register was presented by Julie Baecker, chief risk officer, to the full Board of Regents at the June 2010 meeting. Internal Audit utilized the results during development of the audit plans for FY11 and FY12. Other Department Activities 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 $25 Threshold Potential Duplicate Payroll Checks Terminated Employees on the Payroll Phantom Employees Quality Assessment Review (QAR) External Validation Enterprise Risk Management and Risk Assessments Participation on the Payment Card Industry Data Security Standards (PCI DSS) Compliance Committee FY11 External Information Security Review The scope of work is to review technology controls and business practices for the safeguarding of sensitive information, such as personally identifiable information subject to regulations including FERPA, PCI DSS, HIPAA and the FTCs Red Flags Rule. The review team will conduct their procedures at each of the three MAUs plus one community campus from each MAUs system. Onsite review is scheduled to begin the week of May 23 with the UAF campuses and conclude the week of June 13 with the UAA campuses.     Audit Status Report Page  PAGE 4 of  NUMPAGES 4 Page  PAGE 4 of  NUMPAGES 4 Audit Status Report Page  PAGE 1 of  NUMPAGES 4 Page  PAGE 1 of  NUMPAGES 4  !"$&'(JKOPQt·xm`UPHD@<8<hphj7hU'hhTdhj7>* hR>*h~o>*OJQJaJh6qh6qOJQJaJhlh>*OJQJaJhMhlh>*OJQJaJhMhgtUOJQJaJhMhM5OJQJaJh`5OJQJaJhq5OJQJaJhHC5OJQJaJh!\[5OJQJaJhL5OJQJaJh_y5OJQJaJhMhW5OJQJaJhMh% 5OJQJaJ'(KPt ; [ |  gdS x`gdR x`gdL x`gd]%xgd 7 xgd) Lgd x`gdLxgdlhgdlh$a$gd%  ; Z [   y  ( 3 4 > ? 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