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Internal Audit Plan
2018-19
2
Internal Audit Plan Objectives
Improve the effectiveness of campus governance, risk management and control processes;
Assist campus leadership in the discharge of their oversight, management, and operating responsibilities;
Assist management in addressing the Universitys significant financial, operational and compliance risks and making informed risk acceptance decisions;
Support and leverage campus efforts to identify, evaluate and mitigate risks;
Support managements restructuring and budget coping strategies;
Serve the needs of campus/laboratory leadership while addressing broader issues from a systemwide perspective;
Support the evolution of the Systemwide Compliance Program; and
Meet the challenge to enhance the value of the Internal Audit Program.
3
Internal Audit Plan DevelopmentRisk Assessment Process for 2018-19
Solicit input from the Regents, Senior Management, system-wide and campus management
Conduct risk assessment activities in coordination with risk partners (e.g. Compliance, Risk Services)
Gather and assess input from external sources (e.g. regulatory, industry)
Share information among campus/laboratory auditors to leverage input and ensure consistent audit consideration of risks of interest, industry sources
The result of the risk assessment is an informed perspective on the current risk environment including a prioritization of risks that are scalable to available resources.
CybersecurityOperational Efficiency/Cost Reduction
Financial Sustainability
UC Health Strategic Priorities
Diversity, Equity and Inclusion
Innovation & Entrepreneurship
Research
Academic Excellence & Student Support
Focus on Strategic AlignmentAs part of the annual risk assessment and internal audit planning process, locations identified projects that aligned with systemwide and local strategic objectives and initiatives.
4
This graphic illustrates the distribution of our FY2018-19 planned projects by functional area. Over half of the planned project hours are allocated to health sciences operations, information management and technology, and financial management.
Planned Projects by Functional Area
Health Sciences Operations, 18%
Information Management and Technology, 18%
Financial Management, 15%
Academic Units and Programs, 8%
Facilities, Construction and Maintenance, 6%
Human Resources and Benefits, 6%
Risk, Environment and Safety, 5%
Governance, 5%
Lab Research Programs and Processes, 4%
Auxiliary, Business and Employee Support Services,
4%
Research, 4%
Development and External Relations, 3%
Student Affairs, 3%Office of the President, 1%
5
Auxiliary, Business & Employee Support Services
Auxiliary Services
Internal Audit Plan Themes
6
Health SciencesOperations
Medical Billing and ReceivablesAdmission, Registration and Scheduling
Information Management and Technology
System ImplementationsUCPathIT SecurityCloud Computing
Financial Management
Procurement/ Business ContractsFinancial MonitoringInventory ManagementThird Party RelationshipsCashiering
Facilities, Construction and Maintenance
Construction/ Capital ProgramsFacilities/ Maintenance
Human Resources and Benefits
Executive CompensationAcademic Personnel
Risk, Environment & Safety
Business Continuity/ Disaster RecoveryControlled Substances
Governance Conflicts of Interest/Conflicts of Commitment
Research Contracts and Grants
Development and External Relations
Gift Administration
Student Affairs
Student FeesMental Health
Our analysis of the planned FY2018-19 Internal Audit Plan identified the following themes in the planned projects:
Highlights of Consolidated Audit Plans
7
Personnel:Authorized staff level 116 FTEs 113 FTE'sAverage staff level 106 FTEs 108 FTE's
Distribution of Planned Activities:By Audit Activity Type (hours/%): Audits 94,374 62% 102,142 65% Advisory Services 41,737 28% 38,424 24% Investigations 15,302 10% 16,372 11%
151,413 100% 156,938 100%
By University area: Campus/Laboratory* 75% Health Sciences 25%
100%
* Includes Lawrence Berkeley National Laboratory (LBNL), Agriculture & Natural Resources (ANR), and UCOP
23%100%
FY19 Plan
FY19 Plan
Prior Year Plan
Prior Year Plan
FY19 Plan Prior Year Plan
77%
JP Plan Sched 1 & 2
FY 2019 Audit Plan - Schedules 1 & 2
CampusStd.%UC-ALLUCBUCDUCIUCLAUCMUCOPUCRUCSBUCSCUCSDUCSFLBNL
Schedule 1 - PersonnelGross & Net Available Hours CalculationTotal Year FTE'sTotal Year FTE'sTotal Year FTE'sTotal Year FTE'sTotal Year FTE'sTotal Year FTE'sTotal Year FTE'sTotal Year FTE'sTotal Year FTE'sTotal Year FTE'sTotal Year FTE'sTotal Year FTE'sTotal Year FTE's
Number of authorized professional staff116.47.512.09.027.02.07.55.07.004.016.413.06.0
Number of Permanently OPEN Authorized Professional Staff Positions3.51.50.00.00.00.00.00.00.000.01.01.0
Number of professional positions at full staffing112.96.012.09.027.02.07.55.07.004.016.412.05.0
PLANNED ACTUAL FTEs
Beginning of Period105.34.012.09.023.92.06.55.05.504.016.412.05.0
Additions--Permanent6.53.01.00.00.00.01.00.01.50.00.00.0
Additions--Temporary1.00.01.00.00.00.00.00.00.00.00.00.00.0
Departure --Within UC(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)
Departure--Outside UC(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)
Retirements(3.0)(0.0)(1.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(2.0)(0.0)(0.0)
Long-Term Leave(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)
Estimated Turnover(1.0)(1.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)
End of Period108.86.013.09.023.92.07.55.07.004.014.412.05.0
GROSS & NET AVAILABLE HRS CALCULATIONTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year Hours
Weighted Avg. FTE's 1064.7512.509.0023.902.006.945.006.134.0014.4012.005.00
Hours in the period - Campus2,0802,0802,0802,0802,0802,0802,0802,0802,0802,0802,0802,0802,080
Hours in the period - Lab2,088000000000002,088
Subtotal - Lab / Campus219,7109,88425,99218,72049,7124,16014,43010,40012,7408,32029,95224,96010,440
Other Resources:
Overtime0000000000000
Contract Labor/Interns5,22025000001,5301,44000002,000
Recharge In (or Out)0000000000000
Admin. & Other0000000000000
Subtotal5,22025000001,5301,44000002,000
Gross Available Hours224,93010,13425,99218,72049,7124,16015,96011,84012,7408,32029,95224,96012,440
Non Controllable Hours36,6612,0644,0003,4409,2442452,0001,4401,5601,4245,7004,3441,200
Non Controllable Hours Percent16.30%20.37%15.39%18.38%18.60%5.89%12.53%12.16%12.24%17.12%19.03%17.40%9.65%
Net Available Hours 188,2698,07021,99215,28040,4683,91513,96010,40011,1806,89624,25220,61611,240
Schedule 2 - Activity ReportDistribution of Net Available HoursUCOP % GuidelineTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year Hours
INDIRECT HOURS
Administration5--10%14,1108001,7201,1302,0003201,0002201,1006502,2502,120800
Professional Development2--5%8,2613607509201,5001764003204103651,300960800
Other0--3%4870018000401127500080
Total Indirect Hours22,8581,1602,4702,2303,5004961,4406521,5851,0153,5503,0801,680
Total Indirect Percent15%12.13%14.67%11.23%14.59%8.65%12.67%10.31%6.27%14.18%14.72%14.64%14.94%14.94%
DIRECT HOURS
Audit Program
Prior Year Audits Not Completed, DNF1,45030060000200003500000
Planned New Audits, PN74,1972,9505,9906,20025,0021,8004,6504,7003,4502,1556,3506,3504,600
Supplemental Audits, PSApprox 10%11,6878001,5801,2001,5002001,1006705004951,5421,350750
Audit Follow up, PNF7,0404001,5506001,00040600330400170800900250
Total Audit Program Hours94,3744,4509,7208,00027,5022,2406,3505,7004,7002,8208,6928,6005,600
Total Audit Program Percent40--60%50.13%55.14%44.20%52.36%67.96%57.22%45.49%54.81%42.04%40.89%35.84%41.72%49.82%
Advisory Services
Consultations/Spec. Projects, SC28,1479007,1301,2003,9868506001,2001,3601,3604,5004,0611,000
Ext. Audit Coordination, SE7,4381001,2001201,700045060300582,600400450
Internal Control & Accountability, SI1,61920001205000300270681060100
IPA, COI & Other, SP3690012000200681060100
Compliance Support, SU1,6442000120004000104200700100
Systems Dev., Reeingineering Teams, etc., SR2,52000120001,35074012015075100
Total Advisory Services Hours41,7371,4008,3301,8006,1868503,1202,2702,0201,4557,1005,3561,850
Total Advisory Services Percent10--25%22.17%17.35%37.88%11.78%15.29%21.71%22.35%21.83%18.07%21.10%29.28%25.98%16.46%
Investigations Hours, IN15,3025006622,4001,0001002001,3402,1008003,2002,0001,000
Investigations Percent10--20%8.13%6.20%3.01%15.71%2.47%2.55%1.43%12.88%18.78%11.60%13.19%9.70%8.90%
Audit Support Activities
Audit Planning4,137240250275200109500212300291350940470
Audit Committee Support1,895100160160808030030140125150240330
Systemwide Audit Support3,726100200375200201,6009623519040024070
Computer Support3,2208020001,600202008060807508070
Quality Assurance1,02040040200025020401206080170
Total Audit Support Hours13,9985608108502,2802292,8504387758061,7101,5801,110
Total Audit Support Percent5--10%7.44%6.94%3.68%5.56%5.63%5.85%20.42%4.21%6.93%11.69%7.05%7.66%9.88%
Total Direct Hours165,4116,91019,52213,05036,9683,41912,5209,7489,5955,88120,70217,5369,560
Total Direct Percent85%87.87%85.33%88.77%85.41%91.35%87.33%89.69%93.73%85.82%85.28%85.36%85.06%85.06%
Total Net Available Hours188,2698,07021,99215,28040,4683,91513,96010,40011,1806,89624,25220,61611,240
Total Net Available Percent100%100.00%100.00%100.00%100.00%100.00%100.00%100.00%100.00%100.00%100.00%100.00%100.00%100.00%
Schedule 1,2 - Cross CheckTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year Hours
Total net available hours (From Sch 1)188269.008070.0021992.0015280.0040468.003915.0013960.0010400.0011180.006896.0024252.0020616.0011240.00
Total net available hours (From Sch 2)188269.008070.0021992.0015280.0040468.003915.0013960.0010400.0011180.006896.0024252.0020616.0011240.00
Total A+AS+IN (Scd 3 Check)15141363501871212200346883190967093108820507518992159568450
Actual FTEs, End of Period (Check down)108.806.0013.009.0023.902.007.505.007.004.0014.4012.005.00
Avail. Hours, Other Res., Subtotal (Check Down)522025000001530144000002000
Gross Available Hours2249301013425992187204971241601596011840127408320299522496012440
Net Available Hours188269807021992152804046839151396010400111806896242522061611240
Indirect Hours228581160247022303500496144065215851015355030801680
Audit Program943744450972080002750222406350570047002820869286005600
Audit Support Activities1399856081085022802292850438775806171015801110
Investigations Hours153025006622400100010020013402100800320020001000
Advisory Services4173714008330180061868503120227020201455710053561850
Total Direct Hours165411691019522130503696834191252097489595588120702175369560
Net Available Hours188269807021992152804046839151396010400111806896242522061611240
&F
JP YTD Sched 2
FY 2018 Year to Date Actuals - Schedules 1 & 2
CampusUC-ALL Actual AnnualizedUC-ALL Actual Q1-Q3
Jackson Pham: Actual Numbers from current fiscal year.
Schedule 1 - PersonnelGross & Net Available Hours CalculationTotal Year FTE'sTotal Year FTE's
Weighted Avg. FTE's 11083
Personnel Hours230,105172,579
Other Resource Hours2,7532,065c
Gross Available Hours232,859174,644
Non Controllable Hours42,32731,745c
Non Controllable Hours Percent18.18%18.18%
Net Available Hours 190,532142,899
Schedule 2 - Activity ReportDistribution of Net Available HoursFY14 (Exp.) HoursFY14 (Exp.) Hours
INDIRECT HOURS
Administration22,59116,943
Professional Development7,8595,894
Other00
Total Indirect Hours30,44922,837c
Total Indirect Percent15.98%15.98%
DIRECT HOURS
Audit Program
Prior Year Audits Not Completed, DNF1,6511,238c
Planned New Audits, PN71,04353,282c
Supplemental Audits, PS6,1244,593c
Audit Follow up, PNF8,4766,357c
Total Audit Program Hours87,29365,470
Total Audit Program Percent45.82%45.82%
Advisory Services
Consultations/Spec. Projects, SC35,38526,539c
Ext. Audit Coordination, SE5,2913,968c
Internal Control & Accountability, SI739554c
IPA, COI & Other, SP183137c
Compliance Support, SU3,5512,663c
Systems Dev., Reeingineering Teams, etc., SR1,7041,278c
Total Advisory Services Hours46,85235,139
Total Advisory Services Percent24.59%24.59%
Investigations Hours, IN11,5368,652c
Investigations Percent6.05%6.05%
Audit Support Activities
Audit Planning4,0073,005
Audit Committee Support1,201901
Systemwide Audit Support4,3753,281
Computer Support3,1532,365
Quality Assurance1,6651,249
Total Audit Support Hours14,40110,801c
Total Audit Support Percent7.56%7.56%
Total Direct Hours160,083120,062
Total Direct Percent84.02%84.02%
Total Net Available Hours190,532142,899
Total Net Available Percent100.00%100.00%
Total net available hours (From Sch 1)190532.00142899.00
Total net available hours (From Sch 2)190532.00142899.00
Total A+AS+IN (Scd 3 Check)145681109261
0.000.00
Gross Available Hours232,859174644
Net Available Hours190532142899
Indirect Hours3044922837
Audit Program8729365470
Audit Support Activities14,40110801
Investigations Hours115368652
Advisory Services4685235139
Total Direct Hours160083120062
Net Available Hours190532142899
&F
JP Resources p.8
Available Resources
FY19 Plan3/31/18 Annualized
Weighted Average FTE106110
HoursPercentHoursPercent
Personnel Hours219,71097.7%230,10698.8%
Other Resource Hours5,2202.3%2,7531.2%
Gross Available Hours224,930100.0%232,859100.0%
Less: Non-Controllable Hours36,66116.3%42,32718.2%*Total Hours for 30 Planned Projects = 94,037 (See Planned Projects at Appendix 1)
Less: Admin/Training22,85810.2%30,44913.1%
Total Direct Hours165,41173.5%160,08368.7%
Resource Allocation
FY19 Plan3/31/18 Annualized
Audit Program HoursPercentHoursPercent
Planned Audits* (224 projects)75,64745.7%72,69345.4%Values
Supplemental Audits11,6877.1%6,1243.8%Row LabelsCount of Name/Title of AuditSum of Planned Hours
Audit Follow Up7,0404.3%8,4765.3%Audit Program
Total Audit Program94,37457.1%87,29354.5%PN21574,197
DNF91,450
Advisory Services PNF137,040
Planned Projects* (77 projects)18,39011.1%N/AN/APS1211,687
Supplemental Hours23,34714.1%N/AN/AIN
Total Advisory Services41,73725.2%46,85229.3%IN1415,302
Advisory Projects
Investigations15,3029.2%11,5367.2%SC9827,447
Audit Support Activities13,9988.5%14,4019.0%SE148,138
Total Direct Audit Hours165,411100.0%160,083100.0%SI121,619
*Total Hours for 30 Planned Projects = 94,037 (See Planned Projects at Appendix 1)SP6369
*Total Hours for 301 Planned Projects = 94037 (see Planned Projects at Appendix 1)SU71,644
SR142,520
Grand Total414151,413
Column Labels
x(blank)Total Count of ProjectTotal Sum of Planned Hours
Row LabelsCount of ProjectSum of Planned HoursCount of ProjectSum of Planned Hours
PN2157419721574197
DNF9145091450
PNF70407040
PS1168711687
IN1530215302
SC6415030124176427447
`SE3950718838138
SI4520109941619
SP369369
SU16441644
SR6189063062520
Grand Total30194,03757376301151413
Projectx
Values
Row LabelsCount of ProjectCount of Name/Title of AuditSum of Planned Hours
DNF991450
PN21521574197
SC646415030
SE33950
SI44520
SR661890
Grand Total30130194,037
This is a filter - i can see specific project totals (x) and the blank projects
Total Projects (including the Unplanned)
SPECIFIC Projects (only the "x")
check formulas for +/- edits for rounding
JP Avail. Hrs p.10
DISTRIBUTION OF AVAILABLE HOURS
FY193/31/2018 AnnualizedCheck
PlanPercentActual PercentTotalsPlanYTD
INDIRECT HOURS
Administration14,1107.4%22,59011.9%
Professional Development8,2614.4%7,8594.1%
Other4870.3%- 00.0%
Total Indirect Hours22,85812.1%30,44916.0%22,85812.13%15.98%
100%100.0%100.0%
DIRECT HOURS
Audit Program
Planned New Audits, PN75,64740.2%72,69338.2%
Supplemental Audits, PS11,6876.2%6,1243.2%
Audit Follow up, PNF7,0403.7%8,4764.4%
Total Audit Program Hours94,37450.1%87,29345.8%94,37450.13%45.82%
100%100.0%100.0%
Advisory Services
Consultations/Spec. Projects, SC28,14715.0%35,38518.5%
Ext. Audit Coordination, SE7,4384.0%5,2912.8%
Systems Dev., Reeingineering Teams, etc., SR2,5201.3%1,7040.9%
Internal Control & Accountability, SI1,6190.9%7390.4%
Compliance Support, SU1,6440.9%3,5511.9%
IPA, COI & Other, SP3690.2%1830.1%
Total Advisory Services Hours41,73722.3%46,85324.6%41,73722.17%24.59%
100%100.0%100.0%
Investigations Hours, IN15,3028.1%11,5366.0%15,3028.13%6.05%
100%100.0%100.0%
Audit Support Activities
Audit Planning4,1372.2%4,0072.1%
Audit Committee Support1,8951.0%1,2010.6%
Systemwide Audit Support3,7262.0%4,3752.3%
Computer Support*3,2201.7%3,1531.7%
Quality Assurance1,0200.5%1,6650.9%
Total Audit Support Hours13,9987.4%14,4017.6%13,9987.44%7.56%
100%100.0%100.0%
Total Direct Hours165,41187.9%160,08384.0%165,41187.87%84.02%
100%100.0%100.0%
TOTAL NET AVAILABLE HOURS188,269100.0%190,532100.0%188,269100.00%100.00%
100%100.0%100.0%
check for +/- in the actual and % fields (doen fro rounding)
JP S3 Pivot
Sum of Planned HoursColumn Labels
Audit ProgramInvestigationsAdvisory ServicesGrand Total
Row Labels
UCB4,4505001,4006,3500
UCD9,7206628,33018,7120
UCI8,0002,4001,80012,2000
UCLA27,5021,0006,18634,6880
UCM2,2401008503,1900
UCOP1,9502008002,9500
ECAS4,4002,3206,7200
UCR5,7001,3402,2709,3100
UCSB4,7002,1002,0208,8200
UCSC2,8208001,4555,0750
UCSD8,6923,2007,10018,9920
UCSF8,6002,0005,35615,9560
LBNL5,6001,0001,8508,4500
Grand Total94,37415,30241,737151,4130
Row LabelsSum of Planned Hours
CAM73,267
CAM/HS45,421
HS24,275
Lab8,450
Grand Total151,413
Schedule 1,2
UCBUCDUCIUCLAUCMUCOPUCRUCSBUCSCUCSDUCSFLBNLUC-ALL
Audit Program4,4509,7208,00027,5022,2406,3505,7004,7002,8208,6928,6005,60094,374
Investigations5006622,4001,0001002001,3402,1008003,2002,0001,00015,302
Advisory Services1,4008,3301,8006,1868503,1202,2702,0201,4557,1005,3561,85041,737
Audit Support Services5608108502,2802292,8504387758061,7101,5801,11013,998
Sched3 Check6,35018,71212,20034,6883,1909,6709,3108,8205,07518,99215,9568,450151,413
111111
Jackson Pham: Jackson Pham:Must add both UCOP and ECAS to make it correct since we combined them in schedule 1&2 but kept them separate in schedule 31111111
Schedule 3
Sum of Planned HoursColumn Labels
Row LabelsUCBUCDUCIUCLAUCMUCOPECASUCRUCSBUCSCUCSDUCSFLBNLGrand Total
Audit Program
PN2,9505,9906,20025,0021,8002504,4004,7003,4502,1556,3506,3504,60074,197
DNF3006002003501,450
PNF4001,5506001,000406003304001708009002507,040
PS8001,5801,2001,5002001,1006705004951,5421,35075011,687
Investigations5006622,4001,0001002001,3402,1008003,2002,0001,00015,302
Advisory Services1,4008,3301,8006,1868508002,3202,2702,0201,4557,1005,3561,85041,737
Grand Total6,35018,71212,20034,6883,1902,9506,7209,3108,8205,07518,99215,9568,450151,413
JP Schedule3Final
FY LOB LOC Prj CodeName/Title of AuditHigh RiskPlanned HoursPrimary Index CodeProject NumberProjectType
FY19CAMUCBDNFTBD300.0xAudit
FY19CAMUCBPNUC Path Readiness (system)250.0G.b.04xAudit
FY19CAMUCBPNFair Wage Fair Work (system)1150.0H.f.01xAudit
FY19CAMUCBPNResearch Gifts1300.0L.a.07xAudit
FY19CAMUCBPNIncubators for Start-up Organizations2200.0A.b.01xAudit
FY19CAMUCBPNEmployees Working Abroad - Registration and Foreign Tax Compliance1200.0J.b.07xAudit
FY19CAMUCBPNCloud Computing1250.0G.b.05xAudit
FY19CAMUCBPNFinancial Strategy 300.0N.a.01xaudit
FY19CAMUCBPNStudent Financial aid office250.0O.a.02xaudit
FY19CAMUCBPNCal Performances225.0M.a.06xaudit
FY19CAMUCBPNBerkeley Art Museum1225.0M.a.06xAudit
FY19CAMUCBPNChange Management1300.0N.e.05xAudit
FY19CAMUCBPNBenefits - Administrative and Academic Employees1300.0J.axAudit
FY19CAMUCBPS(c) Planned Supplemental Audits (lumpsum)800.0Audit
FY19CAMUCBPNF(d) Audit Follow Up (lump sum)400.0Audit
FY19CAMUCBSCUnplanned SC900Advisory
FY19CAMUCBSEUnplanned SE100Advisory
FY19CAMUCBSIUnplanned SI200Advisory
FY19CAMUCBSUUnplanned SU200Advisory
FY19CAMUCBINPlanned Investigation Hours (lump sum)500Investigations
FY19LabLBNLPNFY18 Cost Allowability3800C.c.04xAudit
FY19LabLBNLPNFY18 UCNL Home Office Costs3350C.c.04xAudit
FY19LabLBNLPNOMB A-123 IT General Controls3250G.bxAudit
FY19LabLBNLPNContinuous Monitoring3400N.e.02xAudit
FY19LabLBNLPNExport Control Compliance3400E.a.03xAudit
FY19LabLBNLPNPII Management and Controls3400C.fxAudit
FY19LabLBNLPNConstruction Management3400KxAudit
FY19LabLBNLPNSubcontract Closeout Process1400C.f.01xAudit
FY19LabLBNLPNSystem Placeholder1400C.c.04xAudit
FY19LabLBNLPNAffiliates Management1400H.h.02xAudit
FY19LabLBNLPNBusiness Process Reviews - Stewardship & Financial Management1400N.e.03xAudit
FY19LabLBNLPS(c) Planned Supplemental Audits (lumpsum)750Audit
FY19LabLBNLPNF(d) Audit Follow Up (lump sum)250Audit
FY19LabLBNLSCLDRD Management350.0C.c.04xAdvisory
FY19LabLBNLSCUnplanned SC650Advisory
FY19LabLBNLSEUnplanned SE450Advisory
FY19LabLBNLSIUnplanned SI100Advisory
FY19LabLBNLSPUnplanned SP100Advisory
FY19LabLBNLSUUnplanned SU100Advisory
FY19LabLBNLSRUnplanned SR100Advisory
FY19LabLBNLINPlanned Investigation Hours (lump sum)1000.0Investigations
FY19CAMUCMDNFTuition, Student Fees, and Receivables200O.a.04.xAudit
FY19CAMUCMPNEmergency Planning, Disaster Recovery, and Business Continuity200I.d.01xAudit
FY19CAMUCMPNReview of Controls in new systems (OnBase, Jaggaer)300G.b.04xAudit
FY19CAMUCMPNAuxiliaries - Review of Financial Processes400M.axAudit
FY19CAMUCMPNFaculty Recruiting350J.dxAudit
FY19CAMUCMPNExecutive Compensation (Systemwide)100J.b.06xAudit
FY19CAMUCMPNFair Work / Fair Wage (Systemwide)150J.b.03xAudit
FY19CAMUCMPNConflicts of Interest300H.h.01xAudit
FY19CAMUCMPS(c) Planned Supplemental Audits (lumpsum)200Audit
FY19CAMUCMPNF(d) Audit Follow Up (lump sum)40Audit
FY19CAMUCMSCSuccession Planning100J.b.02xAudit
FY19CAMUCMSCLeadership Transition Review200A.d.xAudit
FY19CAMUCMSCEmployee Support Services2100J.b.03xAdvisory
FY19CAMUCMSCFraud Risk Program and Data Analytics2250N.c.03xAdvisory
FY19CAMUCMSCUnplanned SC200Advisory
FY19CAMUCMINPlanned Investigation Hours (lump sum)100Investigations
FY19CAM/HSUCIPNUC Path Operational Readiness Assessment2250.0G.b.04xAudit
FY19HSUCIPNCOI/COC Reporting - Sunshine Act/Open Payments Data 300.0H.h.01xAudit
FY19CAMUCIPNSales and Service agreements400.0F.a.02xAudit
FY19CAMUCIPNSchool of the Arts300.0A.b.01xAudit
FY19CAMUCIPNChancellor's Expenses1100.0J.b.06xAudit
FY19HSUCIPNClaim Denial Management350.0B.f.02xAudit
FY19HSUCIPNBiomedical Engineering - Medical Equipment Inventory and Maintenance2400.0B.gxAudit
FY19CAMUCIPNCloud Computing2450.0G.b.07xAudit
FY19CAMUCIPNFinancial Services Billing350.0H.a.01xAudit
FY19HSUCIPNEPIC Post Implementation2550.0G.b.04xAudit
FY19CAM/HSUCIPNMobile Devices - Inventory of Data, Devices, and Software1400.0G.bxAudit
FY19HSUCIPNOpioids - Drug Diversion and Controlled Substances2450.0B.b.04xAudit
FY19CAMUCIPNSmall Equipment Charged on Federal Awards 1400.0E.d xAudit
FY19CAM/HSUCIPNOutside Professional Activities250.0N.c.08xAudit
FY19HSUCIPNPediatrics1300.0B.exAudit
FY19CAM/HSUCIPNAnnual Reporting of Executive Compensation (AREC)1100.0J.b.06xAudit
FY19CAM/HSUCIPNFair Wage Fair Work1150.0H.f.01xAudit
FY19CAMUCIPNCost Transfers1300.0E.f.04xAudit
FY19HSUCIPNGavin Herbert Eye Institute1300.0B.cxAudit
FY19CAM/HSUCIPNSocial Media300.0L.b.02xAudit
FY19CAM/HSUCIPS(c) Planned Supplemental Audits (lump sum)1200.0Audit
FY19CAM/HSUCIPNF(d) Audit Follow Up (lump sum)600.0Audit
FY19CAM/HSUCIscState Audit Follow-Ups3150.0N.d.01xAdvisory
FY19CAM/HSUCISCInformation Security and Privacy Committee350.0GxAdvisory
FY19CAMUCISCStudent Intern Program3200.0xAdvisory
FY19CAM/HSUCISCData Analytics3200.0N.c.03xAdvisory
FY19CAMUCISCContinuous Auditing Corporate Card Transactions3100.0N.e.02xAdvisory
FY19CAMUCISCPhysical Inventory Observations350.0H.gxAdvisory
FY19CAMUCISCStudent Information System Advisory Committee350.0GxAdvisory
FY19CAM/HSUCISCMisc SC3400Advisory
FY19CAM/HSUCISEMisc SE3120Advisory
FY19CAM/HSUCISIMisc SI3120Advisory
FY19CAM/HSUCISPMisc SP3120Advisory
FY19CAM/HSUCISRMisc SR120Advisory
FY19CAM/HSUCISUMisc SU3120Advisory
FY19CAM/HSUCIINPlanned Investigation Hours (lump sum)2400.0Investigations
FY19CAMUCDDNFQuest Data Center1200G.b.05xAudit
FY19HSUCDDNFVet Med Teaching Hospital200A.b.01xAudit
FY19HSUCDDNFVolunteers200B.exAudit
FY19CAMUCDPNCampus Business Continuity System1300I.d.01xAudit
FY19CAMUCDPNIncident Response Reporting1300G.b.07xAudit
FY19CAMUCDPNStudent Housing1400O.c.02xAudit
FY19CAMUCDPNChancellor's Expenses (G-45)1200J.b.06xAudit
FY19CAM/HSUCDPNAnnual Report on Executive Compensation1200J.b.06xAudit
FY19CAM/HSUCDPNConflict of Interest1300E.a.02xAudit
FY19CAM/HSUCDPNFair Wage/Fair Work1200N.e.01xAudit
FY19CAM/HSUCDPNForeign Research1300E.d.02xAudit
FY19CAM/HSUCDPNHuman Resources1350J.b. xAudit
FY19CAM/HSUCDPNOutside Professional Activities140N.c.08xAudit
FY19CAM/HSUCDPNReview of Past MCAs1300N.e.xAudit
FY19CAM/HSUCDPNUC Path 1250G.b.04xAudit
FY19HSUCDPNContracting1300H.f.01xAudit
FY19HSUCDPNEmergency Room1300B.g.01xAudit
FY19HSUCDPNFinancial Assistance1300B.a.01xAudit
FY19HSUCDPNMind Institute1250B.e.02xAudit
FY19HSUCDPNMobile Technology1300G.b.05xAudit
FY19HSUCDPNProfessional Fees1400B.i.03xAudit
FY19HSUCDPNProvider Credentialing2300B.h.01xAudit
FY19HSUCDPNScheduling1300B.a.01xAudit
FY19CAM/HSUCDPNDirector time400A.b.08xAudit
FY19CAM/HSUCDPSTotal supplemental1,580I.aAudit
FY19CAMUCDPNFFollow-up 775I.aAudit
FY19HSUCDPNFFollow-up 775I.aAudit
FY19CAMUCDSCDesign and Construction Management1350K.a.xAdvisory
FY19CAMUCDSCOffice of Research Follow-Up 180A.b.05xAdvisory
FY19CAMUCDSCRisk and Safety Solutions2200G.b.05xAdvisory
FY19CAMUCDSCSocial Media2250L.b.02xAdvisory
FY19CAMUCDSCCampus Committees1120A.b.08xAdvisory
FY19CAMUCDSCCollege of Agriculture Administrative Review2400A.b.01xAdvisory
FY19CAMUCDSCDiversity, Inclusion and Equity Administrative Review1300A.b.02xAdvisory
FY19CAMUCDSEFinance, Operations and Administration Administrative Review1400A.b.03xAdvisory
FY19CAMUCDSCLibrary Administrative Review1200A.b.04xAdvisory
FY19CAMUCDSCStudent Affairs Administrative Review1300A.b.06xAdvisory
FY19CAMUCDSCUndergraduate Education Administrative Review200A.b.07xAdvisory
FY19CAM/HSUCDSCAnnual Monitoring of High Risk Research Projects250E.d.02xAdvisory
FY19CAM/HSUCDSCCarryforward Analysis250F.a.02xAdvisory
FY19CAM/HSUCDSEExternal Audit Coordination1,200E.d.02Advisory
FY19CAM/HSUCDSCFaculty Funds300HxAdvisory
FY19CAM/HSUCDSCHow to Survive an Audit80E.axAdvisory
FY19CAM/HSUCDSCIT Committees80A.b.08xAdvisory
FY19CAM/HSUCDSCLaw Fellow Development750A.b.08xAdvisory
FY19HSUCDSCDepartment Prescription Pad Controls1200B.b.04xAdvisory
FY19HSUCDSCQuincy Data Center 200G.b.05xAdvisory
FY19HSUCDSCUCD Health Committees120A.b.08xAdvisory
FY19HSUCDSCUCDH Information Technology Administrative Review350B.e.01xAdvisory
FY19CAM/HSUCDSCDirector time400A.b.08Advisory
FY19CAM/HSUCDSCMisc1,350Advisory
FY19CAMUCDINCampus300Investigations
FY19HSUCDINHealth System300Investigations
FY19CAM/HSUCDINDirector62Investigations
FY19CAMUCLAPNASUCLA Store Operations2240M.a.02xAudit
FY19CAMUCLAPNASUCLA Health Sciences Store2220M.a.02xAudit
FY19CAMUCLAPNASUCLA Central Division2260M.a.03xAudit
FY19CAMUCLAPNASUCLA Accounts Payable3320H.c.01xAudit
FY19CAMUCLAPNASUCLA Main Cashier's Office 1180H.b.02xAudit
FY19CAMUCLAPNFacilities Management Customer Relations (CR)2400K.b.02xAudit
FY19CAMUCLAPNFacilities Management Contracting and Project Management (DPMO)2350K.a.02xAudit
FY19CAMUCLAPNFacilities Management Tool Crib/Equipment Assignment (F&IS)3250K.b.02xAudit
FY19CAMUCLAPNFacilities Management Materials and Equipment (M&A)3400K.b.02xAudit
FY19CAMUCLAPNCapital Programs Contract Management2400K.a.01xAudit
FY19CAMUCLAPNCapital Programs Employee Training Practices and Documentation2300J.b.02xAudit
FY19CAMUCLAPNCapital Programs Fund Management2350K.a.01xAudit
FY19CAMUCLAPNCapital Programs Personnel / Payroll Review2350H.e.01xAudit
FY19CAMUCLAPNHousing Information Technology1318G.b.01xAudit
FY19CAMUCLAPNHousing OCH - Food Inventory1418O.c.01xAudit
FY19CAMUCLAPNHousing Vending Services Procurement and Inventory2268M.a.08xAudit
FY19CAMUCLAPNLuskin Conference Center2418M.b.01xAudit
FY19CAMUCLAPNF&T - Vehicle and Vessel Management1320M.b.04xAudit
FY19CAMUCLAPNEvents and Transportation Cashiering 1337H.b.02xAudit
FY19CAMUCLAPNUC Police Equipment Inventory and Evidence Management1475I.c.02xAudit
FY19CAMUCLAPNInformation technology Services Voice Tool Crib 2323H.g.05xAudit
FY19CAMUCLAPNHuman Resource and Payroll Center - North2500H.e.01xAudit
FY19CAMUCLAPNCentral Ticket Office Recharges2285H.i.01xAudit
FY19CAMUCLAPNMail, Document, and Distribution Services2350M.b.05xAudit
FY19CAMUCLAPNCampus Service Enterprises Real Estate3320H.g.03xAudit
FY19CAMUCLAPNAthletics - Academic Division2500M.a.01xAudit
FY19CAMUCLAPNUCLA Anderson School of Management - Transition Review2600A.b.01xAudit
FY19CAMUCLAPNUCLA Graduate Division2600A.c.01xAudit
FY19CAMUCLAPNUniversity Library2600A.b.02xAudit
FY19CAMUCLAPNDivision of Social Sciences2600A.b.01xAudit
FY19CAMUCLAPNCloud Computing1600G.b.07xAudit
FY19CAMUCLAPNUCLA Foundation1500L.a.03xAudit
FY19CAMUCLAPNReferenda Fees1600O.a.04xAudit
FY19CAMUCLAPNCounseling and Psychological Services (CAPs)1500O.b.01xAudit
FY19CAMUCLAPNChancellor's Office2200A.b.01xAudit
FY19CAMUCLAPNExecutive Compensation200L.a.05xAudit
FY19CAMUCLAPNExternal Affairs500L.a.05xAudit
FY19CAMUCLAPNNew Financial System - Change Management1500G.b.04xAudit
FY19CAMUCLAPNUCPath Readiness Review #31200G.b.04xAudit
FY19CAMUCLAPNFair Wage/Fair Work1200H.f.01xAudit
FY19CAMUCLAPNOutside Professional Activities (OPA)100N.c.08xAudit
FY19CAMUCLAPNData Analytics1300N.e.02xAudit
FY19HSUCLAPNPatient Access Services1550B.a.01xAudit
FY19HSUCLAPNTiverton House1500M.a.07xAudit
FY19HSUCLAPNBlood & Platelet Center1500B.b.01xAudit
FY19HSUCLAPNHyperbaric Medicine Center1500B.b.10xAudit
FY19HSUCLAPNNuclear Medicine2450B.b.05xAudit
FY19HSUCLAPNBowyer Oncology 2500B.c.01xAudit
FY19HSUCLAPNRehabilitation Services2500B.b.08xAudit
FY19HSUCLAPNVolunteer Services2500J.b.05xAudit
FY19HSUCLAPNPsychiatry Partial Hospitalization Program2450B.c.01xAudit
FY19HSUCLAPNBone Marrow Transplant Program2400B.g.05xAudit
FY19HSUCLAPNPharmacy2500B.b.04xAudit
FY19HSUCLAPNPaid Time Off Accrual Transfers2300J.c.01xAudit
FY19HSUCLAPNUCLA Health Clinical Practice Operations22,000B.c.02xAudit
FY19HSUCLAPNSchool of Medicine Departmental Audits21,200B.e.01xAudit
FY19HSUCLAPNControlled Substances500I.b.01xAudit
FY19CAM/HSUCLAPSSupplemental1500Audit
FY19CAM/HSUCLAPNF(d) Audit Follow Up (lump sum)1000Audit
FY19CAM/HSUCLASCMics SC3986Advisory
FY19CAM/HSUCLASIMisc SI500Advisory
FY19CAM/HSUCLASEMisc SE1700Advisory
FY19CAM/HSUCLAINPlanned Investigation Hours (lump sum)1000Investigations
FY19CAMECASPNOutside Professional Activities150.0N.c.08xAudit
FY19CAMECASPNFair Wage/Fair Work (systemwide)150.0H.fxAudit
FY19CAMECASPNControlled Substances (systemwide)300.0I.b.01xAudit
FY19CAMECASPNMedical Centers Clinical Enterprise Management Recognition Plan (CEMRP)300.0J.b.06xAudit
FY19CAMECASPNOffice of the Treasurer Annual Incentive Plan (AIP)300.0J.b.06xAudit
FY19CAMECASPNVulnerability Assessment and Penetration Testing1100.0GxAudit
FY19CAMECASPNCloud Audit Infratructure500.0GxAudit
FY19CAMECASPNCritical Infrastructure IT systems - UCLA Health/Campus400.0GxAudit
FY19CAMECASPNUCPath Cybersecurity400.0GxAudit
FY19CAMECASPNSystemwide Network Infrastructure Security500.0GxAudit
FY19CAMUCOPPNElectric Service Provider (ESP) Power Supply Validation100.0K.b.03xAdvisory
FY19CAMECASPNFiat Lux Financial Controls150.0I.a.05xAudit
FY19CAMUCOPPNStudent Affairs Business Continuity/Disaster Recovery150.0OxAudit
FY19CAMECASPNAdministrative Fees and Invoice Processing for the Retirement Savings Program (RSP)150.0D.c.01xAudit
FY19CAMUCOPPSSupplemental1100Audit
FY19CAMUCOPPNFFollowup600Advisory
FY19CAMECASSEState Audit Implementation Advisory250.0G.b.04xAdvisory
FY19CAMECASSRProject Redwood Readiness Model100.0G.b.04xAdvisory
FY19CAMECASSRUCPath Deployments 1 and 2 Readiness Assessment500.0G.b.04xAdvisory
FY19CAMECASSRUC Health Data Center Review50.0G.bxAdvisory
FY19CAMECASSRCAT Process Improvements250.0N.e.02xAdvisory
FY19CAMUCOPSCANR Financials - Phase 2300.0D.b.01xAdvisory
FY19CAMUCOPSRANR UCPath Future State Process250.0G.b.05xAdvisory
FY19CAMUCOPSIProposition 56 Funds Internal Controls Review250.0E.dxAdvisory
FY19CAMECASSCUnplanned SC200300Advisory
FY19CAMECASSEUnplanned SE200200Advisory
FY19CAMECASSIUnplanned SI5050Advisory
FY19CAMECASSPUnplanned SP2020Advisory
FY19CAMECASSUUnplanned SU400400Advisory
FY19CAMECASSRUnplanned SR200200Advisory
FY19CAMUCOPINInvestigations 200Investigations
FY19CAMUCRPNDeferred Maintenance400K.b.04xAudit
FY19CAMUCRPNBanner Implementation370G.axAudit
FY19CAMUCRPNFacilities400K.bxAudit
FY19CAMUCRPNBusiness Continuity400G.b.08xAudit
FY19CAMUCRPNAnnual Analytic Review & Fraud Detection1,080HxAudit
FY19CAMUCRPNCourse Materials and Technology Fees460O.a.04xAudit
FY19CAMUCRPNArchitects & Engineers500KxAudit
FY19CAMUCRPNSMG Outside Professional Activities (SW)150J.b.06xAudit
FY19CAMUCRPNControl Unit Management Transition Audit320HxAudit
FY19CAMUCRPNEquipment Inventory320H.gxAudit
FY19CAMUCRPNFair Wage Fair Work (SW)300J.b.01xAudit
FY19CAMUCRPS(c) Planned Supplemental Audits (lumpsum)670Audit
FY19CAMUCRPNF(d) Audit Follow Up (lump sum)330Audit
FY19CAMUCRSCWorkers Compensation420I.a.04xAdvisory
FY19CAMUCRSRUC Path Post Implementation740H.c.01xAdvisory
FY19CAMUCRSCBackground Checks/Third Party Providers 280H.hxAdvisory
FY19CAMUCRSCChemical Inventory300I.b.01xAdvisory
FY19CAMUCRSITraining - other100J.b.02xAdvisory
FY19CAMUCRSITraining - WB & Fraud95J.b.02xAdvisory
FY19CAMUCRSITraining - Orientation75J.b.02xAdvisory
FY19CAMUCRSCUnplanned SC200Advisory
FY19CAMUCRSEUnplanned SE60Advisory
FY19CAMUCRINPlanned Investigation Hours (lump sum)1,340Investigations
FY19CAMUCSBDNFDNF Audit- YR 2100xAudit
FY19CAMUCSBDNFDNF Audit- YR 2100xAudit
FY19CAMUCSBDNFDNF Audit- YR 2100xAudit
FY19CAMUCSBDNFDNF Audit - YR 250xAudit
FY19CAMUCSBPNGift Administration -Donor Intent275La.07xAudit
FY19CAMUCSBPNDesign and Construction Cost Tracking and Reports275KaxAudit
FY19CAMUCSBPNEarth Research Institute300Ab.01.44xAudit
FY19CAMUCSBPNIT: Password Management275G.b.07xAudit
FY19CAMUCSBPNCollege of Engineering -Internal Control Review300Aa.01.02xAudit
FY19CAMUCSBPNBusiness Contracts - International300H.f..01xAudit
FY19CAMUCSBPNEnvironmental Health & Safety (EH&S): Lab Safety and Hazardus Material Handling300IbxAudit
FY19CAMUCSBPNOutside Professional Activities (Systemwide)150J.d.xAudit
FY19CAMUCSBPNIT: UC Path Progress Review300G.b.04.01xAudit
FY19CAMUCSBPNFair Work /Fair Wage (Systemwide)150H.f.xAudit
FY19CAMUCSBPNIT:BARC250G.b.04xAudit
FY19CAMUCSBPNIT:Campus Financial System Post Implementation Internal Control Review300G.b.04.06xAudit
FY19CAMUCSBPNTravel 275J.b.04xAudit
FY19CAMUCSBPS(c) Planned Supplemental Audits (lumpsum)500Audit
FY19CAMUCSBPNF(d) Audit Follow Up (lump sum)400Audit
FY19CAMUCSBSCIT:Work Order Systems and Processes250KxAdvisory
FY19CAMUCSBSCIT:Disaster Recovery /Business Continuity 275G.b.08xAdvisory
FY19CAMUCSBSCEHS: Personal Protective Equipment275I.bxAdvisory
FY19CAMUCSBSCIT:Information Security Advisory - Placeholder for As-Needed Services275Gb.07xAdvisory
FY19CAMUCSBSCData Analytics Program - Development and Collaboration145AxAdvisory
FY19CAMUCSBSCOutreach, Training, and Presentations100AxAdvisory
FY19CAMUCSBSCUnplanned SC40Advisory
FY19CAMUCSBSEUnplanned SE300Advisory
FY19CAMUCSBSIUnplanned SI68Advisory
FY19CAMUCSBSPUnplanned SP68Advisory
FY19CAMUCSBSUUnplanned SU104Advisory
FY19CAMUCSBSRUnplanned SR120Advisory
FY19CAMUCSBINPlanned Investigation Hours (lump sum)2100Investigations
FY19CAMUCSCPNCampus Use of Consultants300H.f.01xAudit
FY19CAMUCSCPNSuccession Planning375J.b.04xAudit
FY19CAMUCSCPNOPERS Diving and Boating Safety Program250I.b.03xAudit
FY19CAMUCSCPNFair Wage/Fair Work (systemwide)200J.b.04xAudit
FY19CAMUCSCPNOutside Professional Activities (systemwide)80N.c.08xAudit
FY19CAMUCSCPNCounseling and Psychological Services350O.b.01xAudit
FY19CAMUCSCPNBusiness Continuity Planning350N.c.08xAudit
FY19CAMUCSCPNUCPath Operational Readiness Assessment (systemwide)250H.e.01xAudit
FY19CAMUCSCPS(c) Planned Supplemental Audits (lump sum)495Audit
FY19CAMUCSCPNF(d) Audit Follow Up (lump sum)170Audit
FY19CAMUCSCSCNCAA Report Annual Review90M.a.01xAdvisory
FY19CAMUCSCSCUNEX Annual Monitoring350A.c.03xAdvisory
FY19CAMUCSCSCStudent Intern Program240xAdvisory
FY19CAMUCSCSCBAS Support145Advisory
FY19CAMUCSCSCInvestigation Workgroup40Advisory
FY19CAMUCSCSCITSC Committee65Advisory
FY19CAMUCSCSCCampus Committees/Workgroups (BAS)50Advisory
FY19CAMUCSCSCCampus Committees/Workgroups (non BAS)130Advisory
FY19CAMUCSCSCLimited Scope Consultations/Spec. Projects (Max 4 hours)250Advisory
FY19CAMUCSCSEExternal Audit Coordination (SE)58Advisory
FY19CAMUCSCSIInternal Control & Accountability (CRSA) (SI)1Advisory
FY19CAMUCSCSPCalifornia Information Practices Act (IPA), Conflict of Interest (COI) & Other1Advisory
FY19CAMUCSCSUCompliance Support (SU) 20Advisory
FY19CAMUCSCSRSystems Development, Reengineering Teams (SR)15Advisory
FY19CAMUCSCINPlanned Investigation Hours (lump sum)800Investigations
FY19CAMUCSDPNCashiering Compliance1300H.b.02xAudit
FY19CAMUCSDPNRecharge Centers1300H.i.01xAudit
FY19CAMUCSDPNDeficit Balance Reporting (Self Supporting Activities, CPO)1300H.exAudit
FY19CAMUCSDPNReal Estate Development - Tririga Implementation1350H.h.02xAudit
FY19CAMUCSDPNExpress Card Program1350H.g.02xAudit
FY19CAMUCSDPNInstitute for Neural Computation (INC)/UCSD Center on Global Justice1400E.c.01.13xAudit
FY19CAMUCSDPNPsychology - Department Audit1400A.b.01.16xAudit
FY19CAM/HSUCSDPNSystem Wide Review Fair Wages1300H.f.01xAudit
FY19HSUCSDPNClinical Research Billing Encounter-Linking Pilot1350E.a.04xAudit
FY19HSUCSDPNPhysician Receivables1400B.i.03xAudit
FY19HSUCSDPNIngenious Med for Charge Capture at Non-UCSD Clinic Locations1350B.i.03xAudit
FY19HSUCSDPNCARE Payment Supplement1350B.d.01xAudit
FY19HSUCSDPNHealth System Procurement 1400H.f.04xAudit
FY19HSUCSDPNQuality Measures for Reimbursement & Incentive Programs1400B.i.01xAudit
FY19HSUCSDPNDepartment of Ophthalmology 1350B.e.01.05xAudit
FY19HSUCSDPNDepartment of Neurosciences 1350B.e.01.04xAudit
FY19HSUCSDPNCenter for Translational Imaging and Precision Medicine (CTIPM)1350B.e.01.11xAudit
FY19HSUCSDPNAcademic Personnel Appointment & Promotion Process1350J.d.01xAudit
FY19CAM/HSUCSDPSSupplemental audits1542Audit
FY19CAM/HSUCSDPNFAudit follow up800Audit
FY19CAMUCSDSCAnnual Report on Executive Compensation2200J.b.06xAdvisory
FY19CAMUCSDSCEnterprise System Renewal Project2350G.a.01xAdvisory
FY19CAMUCSDSCIdentity and Access Management System2350G.a.01xAdvisory
FY19CAMUCSDSCCANRA2300N.c.10xAdvisory
FY19CAMUCSDSCOffice of Innovation and Commercialization (OIC)2300A.d.01xAdvisory
FY19CAM/HSUCSDSCUCPath Operational Readiness1250G.a.01xAdvisory
FY19CAM/HSUCSDSCClinical Practice Organization Expenditure Controls 250H.d.01xAdvisory
FY19HSUCSDSCCenter for Integrative Medicine250B.e.01.02xAdvisory
FY19HSUCSDSEUCSD/VA Faculty Joint Appointments300H.h.02xAdvisory
FY19CAM/HSUCSDSCUnplanned SC1950Advisory
FY19CAM/HSUCSDSEUnplanned SE2600Advisory
FY19CAM/HSUCSDINPlanned Investigation Hours (lump sum)3,200Investigations
FY19CAMUCSFPNConstruction Cost Compliance300H.g.01xAudit
FY19CAMUCSFPNDepartmentally managed AWS (SOM)250G.b.04xAudit
FY19CAMUCSFPNResearch Award Set-Up300E.d.01xAudit
FY19CAMUCSFPNClinical data request process validation250G.a.01xAudit
FY19CAMUCSFPNInternational Activities - IT & Privacy Security 200G.a.01xAudit
FY19CAMUCSFPNDeferred Maintenance/Maintenance (FIN Administration)300K.b.04xAudit
FY19CAMUCSFPNDepartmental Review - SOM400A.b.01xAudit
FY19CAMUCSFPNCost Sharing for Sponsored Awards300E.d.02xAudit
FY19CAMUCSFPNGift Administration 250L.a.05xAudit
FY19CAMUCSFPNPrior project followup250xAudit
FY19HSUCSFPNClinical Research Billing300E.a.04xAudit
FY19CAM/HSUCSFPNExchange 365250G.b.07xAudit
FY19CAM/HSUCSFPNADA Assessments400KxAudit
FY19CAM/HSUCSFPNFair Wage/Fair Work200H.f.01xAudit
FY19CAM/HSUCSFPNOutside Professional Activities100H.h.01xAudit
FY19CAM/HSUCSFPNTitle IX Investigation and Adjudication Process Validation350N.b.02xAudit
FY19HSUCSFPNSecurity Services400IxAudit
FY19HSUCSFPNED Charge Capture300B.i.01xAudit
FY19HSUCSFPNBedside/After Hours Infusion300B.i.03xAudit
FY19HSUCSFPNAP Billing Validation250B.ixAudit
FY19CAMUCSFPNFacilities Management250K.b.02xAudit
FY19HSUCSFPNInternational/Concierge Patients250B.b.10xAudit
FY19HSUCSFPNSpecialty Pharmacy200B.b.04xAudit
FY19CAM/HSUCSFPSSupplemental1350Audit
FY19CAM/HSUCSFPNFFollowup900Audit
FY19HSUCSFSCRevenue Cycle - Value improvement Initiatives300B.ixAdvisory
FY19CAM/HSUCSFSCResearch Compliance and Monitoring250E.axAdvisory
FY19CAM/HSUCSFSCFinance & Compliance Dashboard200xAdvisory
FY19CAM/HSUCSFSCUC PATH - Operational Readiness250G.b.04xAdvisory
FY19CAM/HSUCSFSCConflict of Interest/Commitment System Data Integrity200E.a.02xAdvisory
FY19CAM/HSUCSFSCWebsite Assessibility200G.b.02xAdvisory
FY19CAMUCSFSCNew Affiliations250H.h.02xAdvisory
FY19CAM/HSUCSFSCContinuous Monitoring/Data Analytics400M.c.02xAdvisory
FY19HSUCSFSCLangley Porter Psychiatric Hospital and Clinics Bed Utilization250BxAdvisory
FY19HSUCSFSCUCSF Health Financial Integration 200H.h.02xAdvisory
FY19CAM/HSUCSFSEExternal Audit Coordination400Advisory
FY19HSUCSFSCExport Controls Assessment F/UP Action Plans 200E.a.03xAdvisory
FY19CAM/HSUCSFSUInvestigations Support700Advisory
FY19HSUCSFSCIT Governance Steering Committee25Advisory
FY19CAM/HSUCSFSCIT Governance Business Committee25Advisory
FY19CAM/HSUCSFSCIT Governance Technology & Architecture Committee30Advisory
FY19CAM/HSUCSFSCData Access Committee25Advisory
FY19CAM/HSUCSFSCEnterprise Information Analytics (EIA) Steering Committee25Advisory
FY19CAM/HSUCSFSCPrivacy Steering Committee25Advisory
FY19HSUCSFSCClinical Enterprise Compliance Committee30Advisory
FY19HSUCSFSCMedical Center Compliance Committee45Advisory
FY19HSUCSFSRApex Business Application System Committee25Advisory
FY19HSUCSFSCResearch Advisory Board30Advisory
FY19CAM/HSUCSFSCFinance Integration Steering Committee40Advisory
FY19HSUCSFSCUCSF Health Financial Integration - workgroup25Advisory
FY19HSUCSFSRCommunity Connect Steering Cttee25Advisory
FY19CAM/HSUCSFSCIT Security and Policy Committee 25Advisory
FY19CAM/HSUCSFSCIT Infrastructure Subcommittee25Advisory
FY19HSUCSFSC340B Steering Committee 25Advisory
FY19CAMUCSFSCPolice Community Advisory Board25Advisory
FY19CAM/HSUCSFSRResearch Data Broker Workgroup25Advisory
FY19CAM/HSUCSFSIInvestigations Workgroup60Advisory
FY19HSUCSFSCAward Verification 100Advisory
FY19CAM/HSUCSFSCUnplanned SC836Advisory
FY19CAM/HSUCSFSPUnplanned SP60Advisory
FY19CAM/HSUCSFINPlanned Investigation Hours (lump sum)2,000Investigations
Total1514130301
JP Schedule 3 (2)
LOC Project CodeName/Title of AuditPlanned HoursCompletionProject
ECASPAUCOP ECAS (2 FTE) AuditsHoursEst. Completion Qtr
ECASPNCybersecurity - Vulnerability Assessments and Penetration Testing (systemwide)2002X
ECASPNOutside Professional Activities2003X
ECASPNFair Wage/Fair Work (systemwide)1003X
ECASPNUCOP Executive Compensation (systemwide)1504X
UCPath Center2502
Medical Centers Clinical Enterprise Management Recognition Plan (CEMRP)2502
Office of the Treasurer Annual Incentive Plan (AIP)2502
Retirement Administration Service Center (RASC) User Access1502
RASC Death Reporting1502
New Pension Tier1501
UCOP ECAS Advisory ServicesHoursEst. Completion Qtr
Strategic Sourcing - Bypass Spending (systemwide)2504
ECAS TotalCybersecurity Risk Assessment (systemwide)2502
LBNLPAState Audit Follow-up504
LBNLPNUCPath Pilot Deployment2504X
Student Health Self-Assessment (systemwide)2002
ECAS Subtotal2,850
Lawrence Berkeley National Laboratory (5 FTE) AuditsHoursEst. Completion Qtr
FY16 Cost Allowability (annual)6504
FY16 Home Office Costs (DOE required)4504
Conference & Meals (DOE required)3003
Gifts (DOE required)3003
Systemwide Placeholder 3503
Technology Transfer Phase II4003
OMB A-123 IT Controls3003
LBNLSATime/Effort Reporting4002
LBNLSCConstruction Projects4003X
Electronic Request for Issuance of Check (eRFIC)4002
LBNLSCBenefits Eligibility3502X
LBNLSCSafety Culture3502X
UCBPALawrence Berkeley National Laboratory Advisory Services Hours Est. Completion Qtr
UCBPNCY16 Executive Compensation3003X
FY16 Employee Performance Management (HR request)3002
UCBPNLBNL Subtotal5,250X
UCBPNUC Berkeley (8 FTE) AuditsHoursEst. Completion QtrX
Leave Management and Accrual1001
UCBPNGeneral Prior Year Cleanup2001X
UCBPNInternal Communication1604X
UCBPNSponsored ProjectsAward Close-out3003X
UCBPNSponsored ProjectsIndirect Cost Recovery2402X
UCBPNSponsored ProjectsSub-awards3004X
UCBPNInternational Agreements3004X
UCBPNCampus Shared Services4002X
UCBPNRestricted Gifts3002X
UCBPNFacility Services3004X
UCBPNCapitalized Assets Equipment and Software3004X
UCBPNDisability Governance3002X
UCBPNCommon Good Expenses versus Recharged Expenses2403X
UCBPNSupply Chain Management3004X
UCBPNIntercollegiate AthleticsExpenses2403X
UCBPNIT Disaster Recovery3003X
UCBPNHuman ResourcesData Management3002X
Cybersecurity (ECAS)401
Executive Compensation1803
UC Berkeley Advisory Services Hours Est. Completion Qtr
Operational ExcellenceLeveraging Lessons Learned3004
UCBSCFinancial Fraud and Misconduct Risk Management - Procure to Pay Process2004X
UCDPNUCB Subtotal5,300X
UC Davis (11 FTE) AuditsHoursEst. Completion Qtr
UCDPNSystemwide Placeholder3003X
Review of Annual Report on Executive Compensation2003
UCDPNProtection of Minors5004X
UCDPNPurchasing Cards3002X
Physician Compensation3002
UCDPNStudent Accounting for Tuition and Fees2501X
UCDPNEpic Work Queues3002X
UCDPNCharge Description Master3003X
UCDPNCenters for Medicare & Medicaid Services (CMS) Quality Measures2002X
UCDPNCloud Computing and IT Vendor Management 3503X
UCDPNInstitutional Data Governance and Security3504X
UCDPNGraduate Studies IT Operations3001X
UCDPNVulnerability Management3002X
UCDPNPersonnel Action Approval Process2003X
Gifts and Grants Classification3004
UCDPNCharge Router3504X
UCDPNClearing and Suspense Account Management3004X
UCDPNSoftware Licensing 3002X
UCDPNVet Med Teaching Hospital3503X
UCDPNResearch Cores3002X
Outside Professional Activities1004
UCIPAUC Davis Advisory Services Hours Est. Completion Qtr
Office of Research Transition Review3504
HArCS Approval Process801
UCIPNSchool of Biological Sciences Transition Review2001X
UCIPNSchool of EducationTransition Review2001X
UCIPNIncentive Compensation - UCDHS3003X
UCIPNICA Transition Review2001X
UCIPNMaterials Management System UCDMC604X
ECO Time Reporting System 2503
Administrative Staff Comparison and Benchmarking by College/School3502
Pathology Beaker Epic Module Implementation404
UCIPNLaw Fellow Development7504X
ACL Analytics and Development2004
UCIPNUCD Subtotal9,130X
UCIPNUC Irvine (9 FTE) AuditsHoursEst. Completion QtrX
UCIPNSchool of Physical Sciences3001X
UCIPNArroyo Vista Housing3001X
UCIPNSchool of Medicine - Orthopaedic Surgery3001X
UCIPNCharging Food/Meals on Federal Awards3001X
UCIPNHuman Resources - Background Checks2001X
UCIPNAthletics4002X
UCIPNData Inventory (EIR Database)3002X
UCIPNMobile Device Security3002X
UCIPNClinical Research Billing Systems3002X
UCIPNSchool of Medicine - Psychiatry & Human Behavior3002X
School of Medicine - Anesthesiology3003
Medical Center Contract Management 3003
UCIPNVendor Master File Review 4003X
UCIPNExecutive Compensation1003X
UCIPNInternational Travel3003X
Systemwide Audit (Placeholder)3004
UCI TotalPhysician Billing Group5004
UCLAPAKuali Financial System 3004
UCLAPNFocused Audits (Cash Handling, Equipment, Ledger Reviews) 4004X
UCLAPNIBM File Imaging System (Filenet)3004X
UCLAPNUC Irvine Advisory ServicesHoursEst. Completion QtrX
Sight of Service 11 and 22 Reviews1504
UCLAPNAssessment of ICD 10 Implementation1004X
UCLAPNEHR Migration to Epic 504X
UC Path Workgroup504
Payroll Certification System504
UCLAPNPolice Department Property Audits754X
UCLAPNContinuous Auditing Corporate Card Transactions1004X
UCLAPNPhysical Inventory Observations754X
UCLAPNExchange Server504X
UCLAPNControl Substance and Drug Diversion; Security of Pharmacy in SNA1004X
UCLAPNUCI Applied Innovation Agreements and Revenue Streams1004X
UCI Subtotal7,100
UCLAPNUC Los Angeles (27 FTE) AuditsHoursEst. Completion QtrX
UCLAPNHousing & Hospitality Services - Conference Services3684X
UCLAPNHousing & Hospitality Services - Cashiering Operations4184X
UCLAPNHousing & Hospitality Services - Lake Arrowhead Conference Center3184X
UCLAPNHousing & Hospitality Services - Student Technology Center2684X
UCLAPNHousing & Hospitality Services - University Apartments - Revenue, Leasing, and Vacancy3184X
UCLAPNHousing & Hospitality Services - Vending Services Cashiering Operations2184X
UCLAPNHousing & Hospitality Services - On-Campus Housing - Major Maintenance Reserve2684X
UCLAPNEvents & Transportation - Fleet & Transit - Auto Parts Inventory2774X
UCLAPNEvents & Transportation - Fleet & Transit - Fuel Accountability2774X
UCLAPNEvents & Transportation - Pay Stations2774X
UCLAPNEvents & Transportation - Revenue Recognition4774X
UCPD - Cash Management4254
UCLAPNUCPD - Recharges and Revenue Reconciliation4754X
UCLAPNCampus Service Enterprises - Early Care and Education3204X
UCLAPNCampus Service Enterprises - Insurance and Risk Management3204X
UCLAPNInformation Technology Services - Procurement and Asset Management3504X
UCLAPNCentral Ticket Office - Cashiering2854X
Residential Life3504
UCLAPNFacilities Management - Energy Services 4004X
Facilities Management - Purchased Utility Billing4004
Facilities Management - Recycling and Waste Management3004
UCLAPNFacilities Management - Employee Incentive Awards3004X
Capital Programs - CapStar System Review4004
UCLAPNCapital Programs - Project Planning and Development4004X
UCLAPNCapital Programs - Records Center Administration3504X
UCLAPNASUCLA - UCLA Store - Retail Division - Computer Store2404X
ASUCLA - UCLA Store - Retail Division - Textbooks Division2804
UCLAPNASUCLA - UCLA Restaurants - North Campus Division 2604X
UCLAPNASUCLA - Finance Division - Accounts Receivable3204X
UCLAPNASUCLA - Finance Division - Loss Prevention2004X
UCLAPNCampus - UCLA Foundation5004X
UCLAPNCampus - Athletics4004X
UCLAPNCampus - Academic Department - 15004X
UCLAPNCampus - Academic Department - 25004X
UCLAPNCampus - Purchasing and Accounts Payable Assessment - Follow-up2004X
UCLAPNCampus - Systemwide Audit3004X
UCLAPNCampus - Data Analytics - Procurement Strategic Sourcing3004X
UCLAPNBusiness Contracts5004X
UCLAPNClinical Laboratory6004X
UCLAPNOverflow Care4504X
UCLAPNHospital Revenue15004X
UCLAPNUCLA Health Clinics3504X
UCLAPNFaculty Practice Group-Business Office5004X
UCLAPNMain Cashiers Office25004X
UCLAPNHousestaff Duty Hours4504X
UCLAPNSchool of Medicine-Administration4514X
UCLAPNNursing Support for Research Studies5304X
UCLAPNOutpatient Bone Marrow Transplant Program4004X
UCLAPNPatient Dietary Assessments3504X
UCLASATravel Expenses4004
UCLASCEntertainment Expenses4004X
Compensation Agreements4504
Nursing Volunteers3754
Decentralized On-Boarding4254
Leasing Costs4004
UC Los Angeles Advisory Services HoursEst. Completion Qtr
I.T. Security3004
Wounded Warrior Project/Operation Mend4504
UCLA TotalUCLA Subtotal24,340
UCMPAUC Merced (1 FTE) AuditsHoursEst. Completion Qtr
Pre-Award and Post-Award Processes2001
Pay Increases and Performance Evaluations3002
UCMPNAccess to Student Data - Banner Access Controls2003x
Annual Report of Executive Compensation1003
UCMPNSafety (Safe Work Practices and Building Access) 2003x
UCMPNStrategic Sourcing2004X
UCMSIUC Merced Advisory Services Hours Est. Completion Qtr X
UCOPPAFraud Risk Management Program (Reviewing Fraud Risks and Conflicts of Interest)3001
UCOPPNEmployee Turnover and Employee Success (Reclasses, Equity, Work Environment, Training)2001X
UCOPPNStudent Housing2002X
2020 Project Impact on Campus Risk Assessment3004
UCM Subtotal2,200
UCOP (1 FTE) AuditsHoursEst. Completion Qtr
UCOP Travel and Entertainment1502
UCOPSAANR Federal Excess Personal Property Program1504
UCOPSCANR Research and Extension Center (REC) Review2001X
UCOPSCElectric Service Provider (ESP) Power Supply Validation501X
UCOPSCUCOP Advisory Services Hours Est. Completion Qtr X
UCOPSCANR Financials2002X
UCOPSCModernization of Technology Infrastructure for Value (MOTIVE) Data Center Migration Project1501X
UCOPSCResearch Grants Program Office (RGPO) System Implementation Advisory Assistance1004X
UCRPNUCOP Subtotal1,000X
UCRPNUC Riverside (5 FTE) AuditsHoursEst. Completion QtrX
UCRPNHousing, Dining and Residential Services3501X
UCRPNIT Security 3702X
UCRPNPhysical Plant3501X
UCRPNCHASS Dean's Office3002X
UCRPNCNAS Dean's Office3002X
UCRPNEH&S Laboratory Safety2804X
UCRPNCampus Mobile Devices 3303X
UCRPNOvertime & Comp Time4404X
UCRPNCE-CERT4002X
UCRPNAnnual Report on Executive Compensation (AREC)2203X
Annual Analytic Review & Fraud Detection8604
UCRPNSystemwide Audit (SW)4004X
UC Riverside Advisory Services Hours Est. Completion Qtr
UCRSACampus Efficiences/Operational Excellence4304
UCRSCUC Path (pilot)2204X
UCRSCUC Mexico Initiative3203X
UCRSCContract & Grant Internal Controls Review2803X
UCRSCCHASS Cluster Review2802X
UCRSCERM604X
UCR Subtotal6,190
UC Santa Barbara (5 FTE) AuditsHoursEst. Completion Qtr
IT: Information Security - Restricted Information2501
Intercollegiate Athletics and Department of Recreation - Procurement and Contracting3001
Koegel Autism Center (and Clinic)3001
Kavli Institute for Theoretical Physics (KITP)3001
UCR TotalNational Center for Ecological Analysis and Synthesis (NCEAS) 3002
UCSBPAIT: Campus Financial System (CFS) - Phase I Post Implementation Internal Control Review 2752
UCSBPNIT: Administrative & Residential Information Technology (ARIT) Operational Review2502X
UCSBPNHuman Subjects2752X
UCSBPNHosford Counseling & Psychological Services Clinic3003X
UCSBPNIT: Student Information Systems & Technology (SIS&T) - Operational Review2503X
IT: Information Security - Server Practices2503
UCSBPNHousing Internal Control Review3003X
UCSBPNExecutive Compensation: Chancellors Expenses and Executive T&E (Systemwide)1253X
UCSBPNPlaceholder for Systemwide Projects3003X
UCSBPNIT: UCPath Project Progress Review2754X
UCSBPNConference Services - Internal Control Review3004X
UCSBPNIT: Enterprise and Campus-wide IT Project Costs - FY 2016-17 Review2754X
UCSBPNControlled Substances2754X
UCSBPNUC Santa Barbara Advisory Services Hours Est. Completion Qtr X
UCSBSAWork Order Systems and Processes2501
Environmental Health & Safety (EH&S) - Placeholder for As-Needed Services2252
UCSBSRCampus Compliance Self-Assessment2752X
Internal Control Self-Assessment2753
IT: Connect or Electronic Timekeeping - As-Needed Project2754
Data Analytics Program - Development and Collaboration2504
UCSB Subtotal6,450
UCSB TotalUC Santa Cruz (4 FTE) AuditsHoursEst. Completion Qtr
UCSCPADistributed User Authentication Controls3502
UCSCPNInformation Technology End Point Security (BigFix)3503X
UCSCPNLaptop Security3504X
UCSCPNIndependent Contactors3502X
UCSCPNExport Control Awareness Update3503X
UCSCPNLaser Safety3504X
UCSCPNConflict of Interest Disclosures on Federal Contracts3502X
UCSCPNChancellor's Expenses UC Policy BFB-G-45 (systemwide)1503X
UCSCPNAnnual Report on Executive Compensation (AREC) (systemwide)1503X
UCSCPNCampus Use of Consultants2004X
UCSCPNAudit Placeholder (systemwide)3004X
UCSCSAUC Santa Cruz Advisory Services Hours Est. Completion Qtr
UCSCSCOffice of Physical Education, Recreation and Sports (OPERS) Financial Review3501X
Summer Session Operations3004
IAS Annual Risk Assessment and Audit Plan1804
National Collegiate Athletic Association (NCAA) Report Annual Review603
Spreadsheet Use and Reporting Survey804
Student Intern Program604
Data Analytics Initiative804
UCSC Subtotal4,360
UC San Diego (14.2 FTE) AuditsHoursEst. Completion Qtr
Budget Planning and Monitoring3002
Facilities Management - Renovations and Alterations3504
Delegations of Authority3502
SIO Dept. Financial Controls (MBRD/CMBB/CMBC) 4002
UCSC TotalSupervisory Control & Data Acquisition (SCADA) Systems 3504
UCSDPAFinancial Aid Office3504
UCSDPNEmergency Management and Business Continuity 3502X
UCSDPNComputer Science and Engineering - Department Audit4002X
UCSDPNCenter for Energy Research (Organized Research Unit)4004X
UCSDPNDepartment Financial Controls (Anthropology)3002X
UCSDPNSystem Wide Review - TBD3004X
UCSDPNInformation Technology General Controls4002X
UCSDPNClinical Engineering / SCADA (Supervisory Control and Data Acquisition)3504X
UCSDPNInfusion Services (Hillcrest, La Jolla, Encinitas) 4002X
UCSDPNDepartment of Surgery 3502X
UCSDPNPsychiatry Clinical Services4004X
Medical Staff Administration Physician Credentialing & Proctoring3504
Epic Link - Access by Community Providers3504
UCSDPNClinic Cashiering & Reconciliations3502X
UCSDPNMoores Cancer Center (ORU Review)4002X
UCSDPNHuman Subjects Research 4004X
UCSDPNUC San Diego Advisory Services Hours Est. Completion Qtr X
UCSDSAData Analytics - Construction Plant Accounts3502
UCSDSCAnnual Review of Executive Compensation2003X
UCSDSCSponsored Projects Accounts Receivable and Cash Management (SPARCM) System 3504X
Genomic Testing Send-Out Tests 2502
Point of Service Collections (Passport System) 2504
Resource Alignment 4004
UCSD Subtotal9,400
UC San Francisco (12 FTE) AuditsHoursEst. Completion Qtr
Inventory Management2502
UCSD TotalPhysician Assistant / Nurse Practitioner Scope of Practice2501
UCSFPAHospital Billing Receivables3003
UCSFPNLangley Porter Psychiatric Hospital (LPPH) Revenue Cycle Processes3001X
Radiation Oncology 2501
Clinical Research Billing3004
EMR Integration3002
Adverse Event Reporting - Clinical Trials 2503
Lab Chemical Safety & Management 2502
Critical Infrastructure 2003
International Research2003
Student Record Security2501
Vendor Management2502
HR Operations 3003
Fair Wage/Fair Work2004
Data Security Compliance Program2001
Quincy Data Center2503
UCOP Placeholder3003
Prior Project Follow Up Review (Health System)1504
Prior Project Follow Up Review (Campus)1504
UCSFSA
UCSFSEUC San Francisco Advisory Services Hours Est. Completion Qtr X
Affiliations / Joint Ventures / ACO 3004
Facility Administered Pharmaceuticals Charging and Billing1504
UCSF Health Financial Integration2501
Benchmarking Accuracy and Utilization1504
Procure to Pay3004
CHORI Integration with UCSF1501
Lease Payment2001
Contracts and Grants Accounting2503
Emergency Preparedness2001
IT Outsourcing 2002
Office of Federal Contract Compliance Program (OFCCP) Data Analytics2003
Continuous Analytics Program4004
Enterprise-wide Collaboration1504
UCSF Subtotal7,800
All Campuses and Lab Total Planned Hours 91,370
JP Direct Hrs Chart p.9
ResourcesHours
Planned Audits75,64745.73%46
Audit Follow Up7,0404.26%4
Supplemental Audits11,6877.07%7
Investigations15,3029.25%9
Advisory Services41,73725.23%25
Audit Support13,9988.46%9
165,411100
FY19 Direct Hours
Hours
Planned Audits46%
Audit
Follow Up4%
Supplemental Audits7%
[CATEGORY NAME]9%
Planned AuditsAudit Follow UpSupplemental AuditsInvestigationsAdvisory ServicesAudit Support75647704011687153024173713998
JP HiLites p.6
Personnel:FY19 PlanPrior Year Plan
Authorized staff level116FTEs 113 FTE's
Average staff level106FTEs 108 FTE's
Distribution of Planned Activities:
By Audit Activity Type (hours/%):FY19 PlanPrior Year Plan
Audits94,37462%102,14265%
Advisory Services41,73728%38,42424%
Investigations15,30210%16,37211%
151,413100%156,938100%
FY19 PlanPrior Year Plan
By University area:
Campus/Laboratory*77%75%
Health Sciences23%25%
100%100%
* Includes Lawrence Berkeley National Laboratory (LBNL), Agriculture & Natural Resources (ANR), and UCOP
TRUE
CAM/HS45,421
CAM73,267
HS24,275
Lab8,450
T105,992
Allocation of Available Resources
8
Available Resources
The table to the left depicts the staffing level assumed in the Plans and quantifies the human resources available to assign to audit activities. Total hours are reduced for non-controllable hours (vacation, holiday and illness per University policy) and for program administration and training.
Resource Allocation
The table to the left displays the deployment of the Available Resources among our activities by type (audit, advisory services and investigations). While the mix over time tends to shift somewhat between Investigations and Advisory Services, the commitment of the majority of our efforts to a substantial program of regular audits remains evident.
Weighted Average FTE Hours Percent Hours Percent
Personnel Hours 219,710 97.7% 230,106 98.8%Other Resource Hours 5,220 2.3% 2,753 1.2%
Gross Available Hours 224,930 100.0% 232,859 100.0%
Less: Non-Controllable Hours 36,661 16.3% 42,327 18.2%Less: Admin/Training 22,858 10.2% 30,449 13.1%Total Direct Hours 165,411 73.5% 160,083 68.7%
FY19 Plan 3/31/18 Annualized110106
Audit Program Hours Percent Hours PercentPlanned Audits* (224 projects) 75,647 45.7% 72,693 45.4%Supplemental Audits 11,687 7.1% 6,124 3.8%Audit Follow Up 7,040 4.3% 8,476 5.3%
Total Audit Program 94,374 57.1% 87,293 54.5%
Advisory Services Planned Projects* (77 projects) 18,390 11.1% N/A N/ASupplemental Hours 23,347 14.1% N/A N/A
Total Advisory Services 41,737 25.2% 46,852 29.3%
Investigations 15,302 9.2% 11,536 7.2%Audit Support Activities 13,998 8.5% 14,401 9.0%Total Direct Audit Hours 165,411 100.0% 160,083 100.0%
*Total Hours for 301 Planned Projects = 94,037 (See Planned Projects at Appendix 1)
FY19 Plan 3/31/18 Annualized
JP Plan Sched 1 & 2
FY 2019 Audit Plan - Schedules 1 & 2
CampusStd.%UC-ALLUCBUCDUCIUCLAUCMUCOPUCRUCSBUCSCUCSDUCSFLBNL
Schedule 1 - PersonnelGross & Net Available Hours CalculationTotal Year FTE'sTotal Year FTE'sTotal Year FTE'sTotal Year FTE'sTotal Year FTE'sTotal Year FTE'sTotal Year FTE'sTotal Year FTE'sTotal Year FTE'sTotal Year FTE'sTotal Year FTE'sTotal Year FTE'sTotal Year FTE's
Number of authorized professional staff116.47.512.09.027.02.07.55.07.004.016.413.06.0
Number of Permanently OPEN Authorized Professional Staff Positions3.51.50.00.00.00.00.00.00.000.01.01.0
Number of professional positions at full staffing112.96.012.09.027.02.07.55.07.004.016.412.05.0
PLANNED ACTUAL FTEs
Beginning of Period105.34.012.09.023.92.06.55.05.504.016.412.05.0
Additions--Permanent6.53.01.00.00.00.01.00.01.50.00.00.0
Additions--Temporary1.00.01.00.00.00.00.00.00.00.00.00.00.0
Departure --Within UC(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)
Departure--Outside UC(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)
Retirements(3.0)(0.0)(1.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(2.0)(0.0)(0.0)
Long-Term Leave(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)
Estimated Turnover(1.0)(1.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)(0.0)
End of Period108.86.013.09.023.92.07.55.07.004.014.412.05.0
GROSS & NET AVAILABLE HRS CALCULATIONTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year Hours
Weighted Avg. FTE's 1064.7512.509.0023.902.006.945.006.134.0014.4012.005.00
Hours in the period - Campus2,0802,0802,0802,0802,0802,0802,0802,0802,0802,0802,0802,0802,080
Hours in the period - Lab2,088000000000002,088
Subtotal - Lab / Campus219,7109,88425,99218,72049,7124,16014,43010,40012,7408,32029,95224,96010,440
Other Resources:
Overtime0000000000000
Contract Labor/Interns5,22025000001,5301,44000002,000
Recharge In (or Out)0000000000000
Admin. & Other0000000000000
Subtotal5,22025000001,5301,44000002,000
Gross Available Hours224,93010,13425,99218,72049,7124,16015,96011,84012,7408,32029,95224,96012,440
Non Controllable Hours36,6612,0644,0003,4409,2442452,0001,4401,5601,4245,7004,3441,200
Non Controllable Hours Percent16.30%20.37%15.39%18.38%18.60%5.89%12.53%12.16%12.24%17.12%19.03%17.40%9.65%
Net Available Hours 188,2698,07021,99215,28040,4683,91513,96010,40011,1806,89624,25220,61611,240
Schedule 2 - Activity ReportDistribution of Net Available HoursUCOP % GuidelineTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year Hours
INDIRECT HOURS
Administration5--10%14,1108001,7201,1302,0003201,0002201,1006502,2502,120800
Professional Development2--5%8,2613607509201,5001764003204103651,300960800
Other0--3%4870018000401127500080
Total Indirect Hours22,8581,1602,4702,2303,5004961,4406521,5851,0153,5503,0801,680
Total Indirect Percent15%12.13%14.67%11.23%14.59%8.65%12.67%10.31%6.27%14.18%14.72%14.64%14.94%14.94%
DIRECT HOURS
Audit Program
Prior Year Audits Not Completed, DNF1,45030060000200003500000
Planned New Audits, PN74,1972,9505,9906,20025,0021,8004,6504,7003,4502,1556,3506,3504,600
Supplemental Audits, PSApprox 10%11,6878001,5801,2001,5002001,1006705004951,5421,350750
Audit Follow up, PNF7,0404001,5506001,00040600330400170800900250
Total Audit Program Hours94,3744,4509,7208,00027,5022,2406,3505,7004,7002,8208,6928,6005,600
Total Audit Program Percent40--60%50.13%55.14%44.20%52.36%67.96%57.22%45.49%54.81%42.04%40.89%35.84%41.72%49.82%
Advisory Services
Consultations/Spec. Projects, SC28,1479007,1301,2003,9868506001,2001,3601,3604,5004,0611,000
Ext. Audit Coordination, SE7,4381001,2001201,700045060300582,600400450
Internal Control & Accountability, SI1,61920001205000300270681060100
IPA, COI & Other, SP3690012000200681060100
Compliance Support, SU1,6442000120004000104200700100
Systems Dev., Reeingineering Teams, etc., SR2,52000120001,35074012015075100
Total Advisory Services Hours41,7371,4008,3301,8006,1868503,1202,2702,0201,4557,1005,3561,850
Total Advisory Services Percent10--25%22.17%17.35%37.88%11.78%15.29%21.71%22.35%21.83%18.07%21.10%29.28%25.98%16.46%
Investigations Hours, IN15,3025006622,4001,0001002001,3402,1008003,2002,0001,000
Investigations Percent10--20%8.13%6.20%3.01%15.71%2.47%2.55%1.43%12.88%18.78%11.60%13.19%9.70%8.90%
Audit Support Activities
Audit Planning4,137240250275200109500212300291350940470
Audit Committee Support1,895100160160808030030140125150240330
Systemwide Audit Support3,726100200375200201,6009623519040024070
Computer Support3,2208020001,600202008060807508070
Quality Assurance1,02040040200025020401206080170
Total Audit Support Hours13,9985608108502,2802292,8504387758061,7101,5801,110
Total Audit Support Percent5--10%7.44%6.94%3.68%5.56%5.63%5.85%20.42%4.21%6.93%11.69%7.05%7.66%9.88%
Total Direct Hours165,4116,91019,52213,05036,9683,41912,5209,7489,5955,88120,70217,5369,560
Total Direct Percent85%87.87%85.33%88.77%85.41%91.35%87.33%89.69%93.73%85.82%85.28%85.36%85.06%85.06%
Total Net Available Hours188,2698,07021,99215,28040,4683,91513,96010,40011,1806,89624,25220,61611,240
Total Net Available Percent100%100.00%100.00%100.00%100.00%100.00%100.00%100.00%100.00%100.00%100.00%100.00%100.00%100.00%
Schedule 1,2 - Cross CheckTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year HoursTotal Year Hours
Total net available hours (From Sch 1)188269.008070.0021992.0015280.0040468.003915.0013960.0010400.0011180.006896.0024252.0020616.0011240.00
Total net available hours (From Sch 2)188269.008070.0021992.0015280.0040468.003915.0013960.0010400.0011180.006896.0024252.0020616.0011240.00
Total A+AS+IN (Scd 3 Check)15141363501871212200346883190967093108820507518992159568450
Actual FTEs, End of Period (Check down)108.806.0013.009.0023.902.007.505.007.004.0014.4012.005.00
Avail. Hours, Other Res., Subtotal (Check Down)522025000001530144000002000
Gross Available Hours2249301013425992187204971241601596011840127408320299522496012440
Net Available Hours188269807021992152804046839151396010400111806896242522061611240
Indirect Hours228581160247022303500496144065215851015355030801680
Audit Program943744450972080002750222406350570047002820869286005600
Audit Support Activities1399856081085022802292850438775806171015801110
Investigations Hours153025006622400100010020013402100800320020001000
Advisory Services4173714008330180061868503120227020201455710053561850
Total Direct Hours165411691019522130503696834191252097489595588120702175369560
Net Available Hours188269807021992152804046839151396010400111806896242522061611240
&F
JP YTD Sched 2
FY 2018 Year to Date Actuals - Schedules 1 & 2
CampusUC-ALL Actual AnnualizedUC-ALL Actual Q1-Q3
Jackson Pham: Actual Numbers from current fiscal year.
Schedule 1 - PersonnelGross & Net Available Hours CalculationTotal Year FTE'sTotal Year FTE's
Weighted Avg. FTE's 11083
Personnel Hours230,105172,579
Other Resource Hours2,7532,065c
Gross Available Hours232,859174,644
Non Controllable Hours42,32731,745c
Non Controllable Hours Percent18.18%18.18%
Net Available Hours 190,532142,899
Schedule 2 - Activity ReportDistribution of Net Available HoursFY14 (Exp.) HoursFY14 (Exp.) Hours
INDIRECT HOURS
Administration22,59116,943
Professional Development7,8595,894
Other00
Total Indirect Hours30,44922,837c
Total Indirect Percent15.98%15.98%
DIRECT HOURS
Audit Program
Prior Year Audits Not Completed, DNF1,6511,238c
Planned New Audits, PN71,04353,282c
Supplemental Audits, PS6,1244,593c
Audit Follow up, PNF8,4766,357c
Total Audit Program Hours87,29365,470
Total Audit Program Percent45.82%45.82%
Advisory Services
Consultations/Spec. Projects, SC35,38526,539c
Ext. Audit Coordination, SE5,2913,968c
Internal Control & Accountability, SI739554c
IPA, COI & Other, SP183137c
Compliance Support, SU3,5512,663c
Systems Dev., Reeingineering Teams, etc., SR1,7041,278c
Total Advisory Services Hours46,85235,139
Total Advisory Services Percent24.59%24.59%
Investigations Hours, IN11,5368,652c
Investigations Percent6.05%6.05%
Audit Support Activities
Audit Planning4,0073,005
Audit Committee Support1,201901
Systemwide Audit Support4,3753,281
Computer Support3,1532,365
Quality Assurance1,6651,249
Total Audit Support Hours14,40110,801c
Total Audit Support Percent7.56%7.56%
Total Direct Hours160,083120,062
Total Direct Percent84.02%84.02%
Total Net Available Hours190,532142,899
Total Net Available Percent100.00%100.00%
Total net available hours (From Sch 1)190532.00142899.00
Total net available hours (From Sch 2)190532.00142899.00
Total A+AS+IN (Scd 3 Check)145681109261
0.000.00
Gross Available Hours232,859174644
Net Available Hours190532142899
Indirect Hours3044922837
Audit Program8729365470
Audit Support Activities14,40110801
Investigations Hours115368652
Advisory Services4685235139
Total Direct Hours160083120062
Net Available Hours190532142899
&F
JP Resources p.8
Available Resources
FY19 Plan3/31/18 Annualized
Weighted Average FTE106110
HoursPercentHoursPercent
Personnel Hours219,71097.7%230,10698.8%
Other Resource Hours5,2202.3%2,7531.2%
Gross Available Hours224,930100.0%232,859100.0%
Less: Non-Controllable Hours36,66116.3%42,32718.2%*Total Hours for 30 Planned Projects = 94,037 (See Planned Projects at Appendix 1)
Less: Admin/Training22,85810.2%30,44913.1%
Total Direct Hours165,41173.5%160,08368.7%
Resource Allocation
FY19 Plan3/31/18 Annualized
Audit Program HoursPercentHoursPercent
Planned Audits* (224 projects)75,64745.7%72,69345.4%Values
Supplemental Audits11,6877.1%6,1243.8%Row LabelsCount of Name/Title of AuditSum of Planned Hours
Audit Follow Up7,0404.3%8,4765.3%Audit Program
Total Audit Program94,37457.1%87,29354.5%PN21574,197
DNF91,450
Advisory Services PNF137,040
Planned Projects* (77 projects)18,39011.1%N/AN/APS1211,687
Supplemental Hours23,34714.1%N/AN/AIN
Total Advisory Services41,73725.2%46,85229.3%IN1415,302
Advisory Projects
Investigations15,3029.2%11,5367.2%SC9827,447
Audit Support Activities13,9988.5%14,4019.0%SE148,138
Total Direct Audit Hours165,411100.0%160,083100.0%SI121,619
*Total Hours for 30 Planned Projects = 94,037 (See Planned Projects at Appendix 1)SP6369
*Total Hours for 301 Planned Projects = 94037 (see Planned Projects at Appendix 1)SU71,644
SR142,520
Grand Total414151,413
Column Labels
x(blank)Total Count of ProjectTotal Sum of Planned Hours
Row LabelsCount of ProjectSum of Planned HoursCount of ProjectSum of Planned Hours
PN2157419721574197
DNF9145091450
PNF70407040
PS1168711687
IN1530215302
SC6415030124176427447
`SE3950718838138
SI4520109941619
SP369369
SU16441644
SR6189063062520
Grand Total30194,03757376301151413
Projectx
Values
Row LabelsCount of ProjectCount of Name/Title of AuditSum of Planned Hours
DNF991450
PN21521574197
SC646415030
SE33950
SI44520
SR661890
Grand Total30130194,037
This is a filter - i can see specific project totals (x) and the blank projects
Total Projects (including the Unplanned)
SPECIFIC Projects (only the "x")
check formulas for +/- edits for rounding
JP Avail. Hrs p.10
DISTRIBUTION OF AVAILABLE HOURS
FY193/31/2018 AnnualizedCheck
PlanPercentActual PercentTotalsPlanYTD
INDIRECT HOURS
Administration14,1107.4%22,59011.9%
Professional Development8,2614.4%7,8594.1%
Other4870.3%- 00.0%
Total Indirect Hours22,85812.1%30,44916.0%22,85812.13%15.98%
100%100.0%100.0%
DIRECT HOURS
Audit Program
Planned New Audits, PN75,64740.2%72,69338.2%
Supplemental Audits, PS11,6876.2%6,1243.2%
Audit Follow up, PNF7,0403.7%8,4764.4%
Total Audit Program Hours94,37450.1%87,29345.8%94,37450.13%45.82%
100%100.0%100.0%
Advisory Services
Consultations/Spec. Projects, SC28,14715.0%35,38518.5%
Ext. Audit Coordination, SE7,4384.0%5,2912.8%
Systems Dev., Reeingineering Teams, etc., SR2,5201.3%1,7040.9%
Internal Control & Accountability, SI1,6190.9%7390.4%
Compliance Support, SU1,6440.9%3,5511.9%
IPA, COI & Other, SP3690.2%1830.1%
Total Advisory Services Hours41,73722.3%46,85324.6%41,73722.17%24.59%
100%100.0%100.0%
Investigations Hours, IN15,3028.1%11,5366.0%15,3028.13%6.05%
100%100.0%100.0%
Audit Support Activities
Audit Planning4,1372.2%4,0072.1%
Audit Committee Support1,8951.0%1,2010.6%
Systemwide Audit Support3,7262.0%4,3752.3%
Computer Support*3,2201.7%3,1531.7%
Quality Assurance1,0200.5%1,6650.9%
Total Audit Support Hours13,9987.4%14,4017.6%13,9987.44%7.56%
100%100.0%100.0%
Total Direct Hours165,41187.9%160,08384.0%165,41187.87%84.02%
100%100.0%100.0%
TOTAL NET AVAILABLE HOURS188,269100.0%190,532100.0%188,269100.00%100.00%
100%100.0%100.0%
check for +/- in the actual and % fields (doen fro rounding)
JP S3 Pivot
Sum of Planned HoursColumn Labels
Audit ProgramInvestigationsAdvisory ServicesGrand Total
Row Labels
UCB4,4505001,4006,3500
UCD9,7206628,33018,7120
UCI8,0002,4001,80012,2000
UCLA27,5021,0006,18634,6880
UCM2,2401008503,1900
UCOP1,9502008002,9500
ECAS4,4002,3206,7200
UCR5,7001,3402,2709,3100
UCSB4,7002,1002,0208,8200
UCSC2,8208001,4555,0750
UCSD8,6923,2007,10018,9920
UCSF8,6002,0005,35615,9560
LBNL5,6001,0001,8508,4500
Grand Total94,37415,30241,737151,4130
Row LabelsSum of Planned Hours
CAM73,267
CAM/HS45,421
HS24,275
Lab8,450
Grand Total151,413
Schedule 1,2
UCBUCDUCIUCLAUCMUCOPUCRUCSBUCSCUCSDUCSFLBNLUC-ALL
Audit Program4,4509,7208,00027,5022,2406,3505,7004,7002,8208,6928,6005,60094,374
Investigations5006622,4001,0001002001,3402,1008003,2002,0001,00015,302
Advisory Services1,4008,3301,8006,1868503,1202,2702,0201,4557,1005,3561,85041,737
Audit Support Services5608108502,2802292,8504387758061,7101,5801,11013,998
Sched3 Check6,35018,71212,20034,6883,1909,6709,3108,8205,07518,99215,9568,450151,413
111111
Jackson Pham: Jackson Pham:Must add both UCOP and ECAS to make it correct since we combined them in schedule 1&2 but kept them separate in schedule 31111111
Schedule 3
Sum of Planned HoursColumn Labels
Row LabelsUCBUCDUCIUCLAUCMUCOPECASUCRUCSBUCSCUCSDUCSFLBNLGrand Total
Audit Program
PN2,9505,9906,20025,0021,8002504,4004,7003,4502,1556,3506,3504,60074,197
DNF3006002003501,450
PNF4001,5506001,000406003304001708009002507,040
PS8001,5801,2001,5002001,1006705004951,5421,35075011,687
Investigations5006622,4001,0001002001,3402,1008003,2002,0001,00015,302
Advisory Services1,4008,3301,8006,1868508002,3202,2702,0201,4557,1005,3561,85041,737
Grand Total6,35018,71212,20034,6883,1902,9506,7209,3108,8205,07518,99215,9568,450151,413
JP Schedule3Final
FY LOB LOC Prj CodeName/Title of AuditHigh RiskPlanned HoursPrimary Index CodeProject NumberProjectType
FY19CAMUCBDNFTBD300.0xAudit
FY19CAMUCBPNUC Path Readiness (system)250.0G.b.04xAudit
FY19CAMUCBPNFair Wage Fair Work (system)1150.0H.f.01xAudit
FY19CAMUCBPNResearch Gifts1300.0L.a.07xAudit
FY19CAMUCBPNIncubators for Start-up Organizations2200.0A.b.01xAudit
FY19CAMUCBPNEmployees Working Abroad - Registration and Foreign Tax Compliance1200.0J.b.07xAudit
FY19CAMUCBPNCloud Computing1250.0G.b.05xAudit
FY19CAMUCBPNFinancial Strategy 300.0N.a.01xaudit
FY19CAMUCBPNStudent Financial aid office250.0O.a.02xaudit
FY19CAMUCBPNCal Performances225.0M.a.06xaudit
FY19CAMUCBPNBerkeley Art Museum1225.0M.a.06xAudit
FY19CAMUCBPNChange Management1300.0N.e.05xAudit
FY19CAMUCBPNBenefits - Administrative and Academic Employees1300.0J.axAudit
FY19CAMUCBPS(c) Planned Supplemental Audits (lumpsum)800.0Audit
FY19CAMUCBPNF(d) Audit Follow Up (lump sum)400.0Audit
FY19CAMUCBSCUnplanned SC900Advisory
FY19CAMUCBSEUnplanned SE100Advisory
FY19CAMUCBSIUnplanned SI200Advisory
FY19CAMUCBSUUnplanned SU200Advisory
FY19CAMUCBINPlanned Investigation Hours (lump sum)500Investigations
FY19LabLBNLPNFY18 Cost Allowability3800C.c.04xAudit
FY19LabLBNLPNFY18 UCNL Home Office Costs3350C.c.04xAudit
FY19LabLBNLPNOMB A-123 IT General Controls3250G.bxAudit
FY19LabLBNLPNContinuous Monitoring3400N.e.02xAudit
FY19LabLBNLPNExport Control Compliance3400E.a.03xAudit
FY19LabLBNLPNPII Management and Controls3400C.fxAudit
FY19LabLBNLPNConstruction Management3400KxAudit
FY19LabLBNLPNSubcontract Closeout Process1400C.f.01xAudit
FY19LabLBNLPNSystem Placeholder1400C.c.04xAudit
FY19LabLBNLPNAffiliates Management1400H.h.02xAudit
FY19LabLBNLPNBusiness Process Reviews - Stewardship & Financial Management1400N.e.03xAudit
FY19LabLBNLPS(c) Planned Supplemental Audits (lumpsum)750Audit
FY19LabLBNLPNF(d) Audit Follow Up (lump sum)250Audit
FY19LabLBNLSCLDRD Management350.0C.c.04xAdvisory
FY19LabLBNLSCUnplanned SC650Advisory
FY19LabLBNLSEUnplanned SE450Advisory
FY19LabLBNLSIUnplanned SI100Advisory
FY19LabLBNLSPUnplanned SP100Advisory
FY19LabLBNLSUUnplanned SU100Advisory
FY19LabLBNLSRUnplanned SR100Advisory
FY19LabLBNLINPlanned Investigation Hours (lump sum)1000.0Investigations
FY19CAMUCMDNFTuition, Student Fees, and Receivables200O.a.04.xAudit
FY19CAMUCMPNEmergency Planning, Disaster Recovery, and Business Continuity200I.d.01xAudit
FY19CAMUCMPNReview of Controls in new systems (OnBase, Jaggaer)300G.b.04xAudit
FY19CAMUCMPNAuxiliaries - Review of Financial Processes400M.axAudit
FY19CAMUCMPNFaculty Recruiting350J.dxAudit
FY19CAMUCMPNExecutive Compensation (Systemwide)100J.b.06xAudit
FY19CAMUCMPNFair Work / Fair Wage (Systemwide)150J.b.03xAudit
FY19CAMUCMPNConflicts of Interest300H.h.01xAudit
FY19CAMUCMPS(c) Planned Supplemental Audits (lumpsum)200Audit
FY19CAMUCMPNF(d) Audit Follow Up (lump sum)40Audit
FY19CAMUCMSCSuccession Planning100J.b.02xAudit
FY19CAMUCMSCLeadership Transition Review200A.d.xAudit
FY19CAMUCMSCEmployee Support Services2100J.b.03xAdvisory
FY19CAMUCMSCFraud Risk Program and Data Analytics2250N.c.03xAdvisory
FY19CAMUCMSCUnplanned SC200Advisory
FY19CAMUCMINPlanned Investigation Hours (lump sum)100Investigations
FY19CAM/HSUCIPNUC Path Operational Readiness Assessment2250.0G.b.04xAudit
FY19HSUCIPNCOI/COC Reporting - Sunshine Act/Open Payments Data 300.0H.h.01xAudit
FY19CAMUCIPNSales and Service agreements400.0F.a.02xAudit
FY19CAMUCIPNSchool of the Arts300.0A.b.01xAudit
FY19CAMUCIPNChancellor's Expenses1100.0J.b.06xAudit
FY19HSUCIPNClaim Denial Management350.0B.f.02xAudit
FY19HSUCIPNBiomedical Engineering - Medical Equipment Inventory and Maintenance2400.0B.gxAudit
FY1