University of Houston System
Internal Auditing Department
Follow-up Database
as of February 18, 2016
Internal
Audit
Report
Number
Report Title
Action
No.
Total
Actions
Est.
Compl.
Date
Responsibility For Action
Name / Title
Entity
Risk Level: High
Action To Be Taken
Medium
AR2011-24
Research Administration
3d
6
4/1/2016
Mike Glisson
Controller
Administration &
Finance
UH
Implement comprehensive accounts receivable
billing, accounting, collecting, and monitoring
procedures to help ensure the accuracy of
accounts receivable relating to non-federal
sponsors and to facilitate the collection of money
owed to the university
AR2014-05
Division of Research
Departmental Reviews
1e
2
7/31/2016
Shaki Commissariat
Department Business
Administrator
Houston Coastal Center
& Biology of Behavior
Institute
UH
Work with the Division of Research to prepare a
written agreement for the Houston Coastal
Center.
AR2014-24
College of Business,
Departmental Reviews
5b
9
4/30/2016
Jason Gregory
College Business
Administrator II
UHD
Submit requests to the appropriate office to close
inactive cost centers. (Dean's Office)
AR2014-24
College of Business,
Departmental Reviews
9c
9
3/31/2016
Jason Gregory
College Business
Administrator II
UHD
Submit requests to the appropriate office to close
inactive cost centers. (Management, Marketing
and Business Administration)
AR2014-25
Endowments
3b
3
1/1/2017
Johanna Wolfe
Vice President
Advancement and
University Relations
UHD
Work with UHS University Advancement to
update the terms of endowment agreements or
prepare memorandums of understanding.
AR2014-28
Information Security
Standards
2c
3
7/1/2016
Mary Dickerson
Executive Director
IT Security
3/10/2016
5:37 PM
Control_web
UH
Status
Low
Require users on the Guest (UHWireless)
wireless network to acknowledge that they will
comply with UH policies and procedures prior to
accessing the network and restrict bandwidth
performance, as appropriate and communicate
the benefits of the UHSecure wireless network to
faculty, staff, and students in order to facilitate
its use.
1/6
University of Houston System
Internal Auditing Department
Follow-up Database
as of February 18, 2016
Internal
Audit
Report
Number
Report Title
Action
No.
Total
Actions
Est.
Compl.
Date
Responsibility For Action
Name / Title
Entity
Risk Level: High
AR2014-28
Information Security
Standards
3c
3
4/1/2016
Kirstin Rochford,
Director
Research Policies,
Compliance and
Committees
Action To Be Taken
Medium
Status
Low
UH
Implement guidelines associated with
management of data generated during a research
project and develop a university-wide policy.
Mary Ann Ottinger
Associate Vice
Chancellor / Associate
Vice President
Research
AR2015-07
Student Accounting and
Receivables
3b
7
2/28/2015
Andy Startz
Bursar
UH
Work with the Enrollment Management
Production Support department to update user
access in the Student Finance System and obtain
documentation from individuals who did not
have access forms on file.
AR2015-07
Student Accounting and
Receivables
4
7
6/30/2016
Katina McGhee
Campus Solutions
Executive Director
UH
Work with UHS Campus Solutions System
business owners to review and revise access
roles.
AR2015-10
College of Liberal Arts and
Social Sciences
Departmental Reviews
2b
51
3/31/2016
Micki Miles
Executive Director
College Business
Operations
Dean's Office
UH
Work with Academic Affairs to prepare written
agreements for the Centers.
AR2015-10
College of Liberal Arts and
Social Sciences
Departmental Reviews
6b
51
9/30/2016
Micki Miles
Executive Director
College Business
Operations
Dean's Office
UH
Submit requests to the appropriate office to
deactivate inactive cost centers.
AR2015-10
College of Liberal Arts and
Social Sciences,
Departmental Reviews
10b
51
8/1/2016
James Conyers
Director
African American Studies
UH
Work with Academic Affairs to prepare a written
agreement for the Center.
3/10/2016
5:37 PM
Control_web
2/6
University of Houston System
Internal Auditing Department
Follow-up Database
as of February 18, 2016
Internal
Audit
Report
Number
Report Title
Action
No.
Total
Actions
Est.
Compl.
Date
Responsibility For Action
Name / Title
Entity
Risk Level: High
Action To Be Taken
Medium
AR2015-10
College of Liberal Arts and
Social Sciences,
Departmental Reviews
17a
51
3/31/2016
Elizabeth Shepard
Department Business
Administrator
Band and Music
UH
Submit requests to the appropriate office to
deactivate inactive cost centers.
AR2015-10
College of Liberal Arts and
Social Sciences
Departmental Reviews
21a
51
4/1/2016
Helen Meza
Business Department
Administrator
Center for Mexican
American Studies
UH
Work with Academic Affairs to prepare a written
agreement for the Center.
AR2015-10
College of Liberal Arts and
Social Sciences,
Departmental Reviews
25b
51
4/1/2016
Micki Miles
Executive Director
College Business
Operations
Dean's Office
UH
Restore deficit budgetary grant cost center
balance to a zero or a positive amount.
AR2015-10
College of Liberal Arts and
Social Sciences,
Departmental Reviews
31a
51
3/31/2016
Carol Barr
Assistant Director
English
UH
Submit requests to the appropriate office to
deactivate inactive cost centers.
AR2015-10
College of Liberal Arts and
Social Sciences
Departmental Reviews
35a
51
4/1/2016
Randi Betts
Department Business
Administrator
Human Health
Performace
UH
Work with the appropriate office to deactivate
expired grant cost centers.
AR2015-10
College of Liberal Arts and
Social Sciences
Departmental Reviews
36a
51
4/1/2016
Norma Quinones
Department Business
Administrator
Hispanic Studies
UH
Work with Academic Affairs to prepare a written
agreement for the Center.
AR2015-10
College of Liberal Arts and
Social Sciences
Departmental Reviews
37a
51
4/1/2016
Norma Quinones
Department Business
Administrator
Hispanic Studies
UH
Require the Center to prepare and submit annual
reports.
AR2015-10
College of Liberal Arts and
Social Sciences
Departmental Reviews
41c
51
8/31/2016
Lois Zamora
Director
Center for the Americas
UH
Work with Academic Affairs to prepare a written
agreement for the Center.
3/10/2016
5:37 PM
Control_web
Status
Low
3/6
University of Houston System
Internal Auditing Department
Follow-up Database
as of February 18, 2016
Internal
Audit
Report
Number
Report Title
Action
No.
Total
Actions
Est.
Compl.
Date
Responsibility For Action
Name / Title
Entity
Risk Level: High
Action To Be Taken
Medium
AR2015-11
Student Accounting and
Receivables
1a
4
8/31/2016
Bobby Kegresse
Director of General
Accounting
UHCL
Modify accounts receivable reconciliation
procedures to require a comparison of individual
student account balances in the Student Finance
System to the amount in the Financial System
and produce a system- generated accounts
receivable report in the Student Finance System.
AR2015-11
Student Accounting and
Receivables
2b
4
2/29/2016
Chris Ross
Director of Student
Business Services
UHCL
Review and update user access in the Student
Finance System and obtain documentation from
individuals who did not have access forms on
file.
AR2015-11
Student Accounting and
Receivables
4
4
3/31/2016
Usha Mathew
Associate Vice President
Finance
UHCL
Obtain approval from the Board of Regents prior
to writing-off uncollectable student accounts
receivable.
AR2015-16
Student Accounting and
Receivables
2a
6
3/31/2016
Lois Lemke
Bursar
UHV
Review and update user access in the Student
Finance System.
AR2015-20
Student Accounting and
Receivables
1
10
9/1/2017
David Bradley
Vice President
Administration and
Finance
UHD
Work with UH System to implement PeopleSoft
Campus Solutions as its student information
system.
AR2015-20
Student Accounting and
Receivables
2a
10
3/31/2016
George Anderson
Assistant Vice President
Business Affairs
UHD
Develop procedures to reconcile student
accounts receivable in the student information
system to the student accounts receivable
recorded in the Financial System to help ensure
that accounts receivable is accurately recorded in
the Financial System.
AR2015-20
Student Accounting and
Receivables
3a
10
3/31/2016
George Anderson
Assistant Vice President
Business Affairs
UHD
Write-off all uncollectable student accounts
receivable, develop a process for writing-off
uncollectable student accounts receivable in the
student information system, and obtain approval
from the Board of Regents prior to writing-off
uncollectable student accounts receivable.
3/10/2016
5:37 PM
Control_web
Status
Low
4/6
University of Houston System
Internal Auditing Department
Follow-up Database
as of February 18, 2016
Internal
Audit
Report
Number
Report Title
Action
No.
Total
Actions
Est.
Compl.
Date
Responsibility For Action
Name / Title
Entity
Risk Level: High
Action To Be Taken
Medium
AR2015-26
Endowments
3a
3
6/30/2016
Jesse Pisors
Vice President
Advancement and
External Relations
UHV
Review endowment agreements and update the
terms of endowment agreements or prepare
memorandums of understanding.
AR2015-27
Administration and Finance,
Departmental Reviews
2
3
8/31/2016
Lydia Sonier
Senior Business
Coordinator
Facilities Management
and Construction
UHCL
Work with employees and the Payroll
Department to restore compensatory time leave
accrual balances to a zero or positive amount.
AR2015-28
Facilities Planning and
Construction
1
3
8/31/2016
David Oliver
Associate VC/VP
Administration
UH
Conduct a comprehensive review of the FP&C
department, its policies, procdures, staffing
levels, project delivery systems and tools and
implement recommendations from the review.
AR2015-28
Facilities Planning and
Construction
2
3
3/31/2016
David Oliver
Associate VC/VP
Administration
UH
Develop and implement a survey instrument to
assess project owners' feedback about FP&C
services and to implement recommendations.
AR2015-28
Facilities Planning and
Construction
3
3
8/31/2016
Emily Mesa
Associate VC/VP
Administration
UH
Update the Project Delivery Manual and develop,
modify and implement System and University
polices and procedures related to construction,
acquisition, and renovation of capital projects.
AR2015-29
Honors College, Endowments
1
1
8/31/2016
Ornela Santee
College Business
Administrator
UH
Work with the donor and University
Advancement to update the terms of the
agreement or reimburse the endowment, as
appropriate.
AR2015-31
Office of the
Chancellor/President
Departmental Review
1
1
1/31/2016
TaShawna Wilson
Director
Business Office
Operations
Office of the
Chancellor/President
AR2015-34
Internal Auditing Department,
Internal Quality Assurance
Review
2
3
2/26/2016
Don Guyton
Chief Audit Executive
3/10/2016
5:37 PM
Control_web
Status
Low
UHS/UH Determine how the available funds can be used
and/or deactivate the cost centers.
UHS
Enhance audit coverage of information
technology and information systems.
5/6
University of Houston System
Internal Auditing Department
Follow-up Database
as of February 18, 2016
Internal
Audit
Report
Number
Report Title
Action
No.
Total
Actions
Est.
Compl.
Date
Responsibility For Action
Name / Title
Entity
Risk Level: High
Action To Be Taken
Medium
AR2015-34
Internal Auditing Department,
Internal Quality Assurance
Review
3
3
8/31/2016
Don Guyton
Chief Audit Executive
UHS
Evaluate the current use of technology based
audit tools and data analysis techniques.
AR2016-04
Enrollment Management and
Student Affairs
Departmental Reviews
1
1
8/31/2019
Wayne Beran
Vice President
Administration and
Finance
UHV
Restore deficit fund group equity balance to a
zero or a positive amount.
AR2016-08
School of Science and
Computer Engineering,
Departmental Review
2
4
1/31/2016
Andrew Yang
Executive Director
Cyber Security Institute
UHCL
Include financial information in annual reports
for the Cyber Security Institute.
AR2016-08
School of Science and
Computer Engineering,
Departmental Review
3a
4
8/31/2016
Michael MacDonald
Business Coordinator
School of Science and
Computer Engineering
UHCL
Submit requests to the appropriate office to close
inactive cost centers.
AR2016-08
School of Science and
Computer Engineering,
Departmental Review
4
4
1/31/2016
Billy Satterfield
Executive Director
Financial Aid Office
UHCL
Update procedures to include requirements for
departmental administered scholarships.
AR2016-15
School of Business,
Departmental Review
1
2
5/31/2016
Wm. Theodore
Cummings
Dean
School of Business
UHCL
Prepare and submit annual financial reports for
the Center for Executive Education.
AR2016-15
School of Business,
Departmental Review
2
2
5/31/2016
Edward Altemus
Senior Business
Coordinator
School of Business
UHCL
Submit a request to the appropriate office to
close the inactive cost center.
AR2016-16
College of Optometry,
Departmental Review
1
1
9/1/2016
Roger Boltz
Associate Dean
College of Optometry
3/10/2016
5:37 PM
Control_web
UH
Status
Low
Action Complete
Action Complete
Work with Human Resources to incorporate
the Office of General Counsel’s HIPAA
training into a training module.
6/6