UNIVERSITY OF CALIFORNIA
INTERNAL AUDIT PLAN DETAIL
FY 2012
UC Riverside
FY
LOB
LOC
SCHEDULE 3
Prj Code
OPTIONAL
High Risk (*)
1, 2, 3
Name/Title of Audit
OPTIONAL
Planned
Hours
Primary
Index Code
Core (x)
IT
Est. Qtr
Indicator (3) Completion
Planned Carry Forward (PCs):
FY12
PC
(a) Subtotal - Planned Carry Forward
FY12
FY12
FY12
FY12
FY12
FY12
FY12
FY12
FY12
FY12
CAM
CAM
CAM
CAM
CAM
CAM
CAM
CAM
CAM
CAM
UCR
UCR
UCR
UCR
UCR
UCR
UCR
UCR
UCR
UCR
PN
PN
PN
PN
PN
PN
PN
PN
PN
PN
FY12
CAM
UCR
PN
FY12
FY12
FY12
FY12
FY12
FY12
FY12
FY12
FY12
FY12
FY12
CAM
CAM
CAM
CAM
CAM
CAM
CAM
CAM
CAM
CAM
CAM
UCR
UCR
UCR
UCR
UCR
UCR
UCR
UCR
UCR
UCR
UCR
PN
PN
PN
PN
PN
PN
PN
PN
PN
PN
PN
Planned New Audits (PNs):
Safety & Industrial Hygiene (EH&S)
Center for Nanoscale Science & Engineering (Engineering)
Budget Transparency (Resource Planning & Budget Office)
Primavera Project Management System/ODC Project (ODC)
e-Pay (Accounting)
Payroll Certification (Accounting)
CHASS Financial Management
CNAS Financial Management
Deferred Maintenance (Physical Plant)
C&C Network Renewal and Replacement Plan (C&C)
Departmental Control Assessments Post Budget Reduction &
Organizational Changes (Campus)
Annual Analytic Review and Fraud Detection (Campus)
SMG/Deans Travel & Entertainment (SW)
Chancellor Housing (SW)
Annual Report Executive Compensation/SMG Policies (SW)
Sole Source Purchase Orders (Campus)
Outside Professional Activities (Campus)
Student Recreation Center
Student Health Center (including HIPPA - SW)
Laboratory Safety Self-Assessment Review (Campus)
Leave Accounting System (Accounting)
Construction (SW)
(b) Subtotal - Planned New Audits
FY12
FY12
PS
PNF
(c) Planned Supplemental Audits (lumpsum)
(d) Audit Follow Up (lump sum)
CAM
CAM
CAM
CAM
CAM
CAM
CAM
CAM
CAM
CAM
CAM
CAM
CAM
CAM
CAM
CAM
UCR
UCR
UCR
UCR
UCR
UCR
UCR
UCR
UCR
UCR
UCR
UCR
UCR
UCR
UCR
UCR
as - sd
as - sd
as - sd
as - sd
as - sd
as - sd
as - sd
as - sd
as - sd
as
as
as
as
as
as
as
Unplanned Advisory Services (by Category)
SC
SE
SI
SP
SU
SR
G
3
4
2
3
2
3
2
1
1
4
400 H.
I
4
600
100
50
50
250
50
100
250
150
150
230
H.
J.b.06
J.b.06
J.b.06
H.f.04
H.h.01
A.d.04
A.d.07
I.b.03
J.c.01
K.a
G
I
4
3
3
3
1
3
2
2
4
4
4
G.b.01
G.b.01
G.b.01
G.b.01
G.b.01
G.b.01
G.b.01
G.b.01
G.b.01
M.a.01
A.b
B.
I.a
H
H
H
S
S
S
S
S
S
S
S
S
50
45
40
40
70
50
50
150
100
20
100
365
50
100
30
50
1,310
(2)
Unplanned SC
Unplanned SE
Unplanned SI
Unplanned SP
Unplanned SU
Unplanned SR
275
60
Total Advisory Services (e+f) (1)
IN
S
S
S
I
I
I
S
4,300
(f) Subtotal - Unplanned Advisory Services
FY10
I
I
5,612
Planned Advisory Services:
[Insert specific Advisory Services projects ]
Major Campus Systems - EDI
Major Campus Systems - GSIS
Major Campus Systems - LMS/HR
Major Campus Systems - ePay
Major Campus Systems - PAMIS
Major Campus Systems - SIS
Major Campus Systems - UA
Major Campus Systems - UCRFS/AP/eBuy
Major Campus Systems - Capital Programs
NCAA Compliance
Financial Services Organizational Review
School of Medicine
ERM
Training - Other
Training - WB & Fraud Awareness
Training - Accountability & New Employee Orientation
(e) Subtotal - Planned Advisory Services
FY12
FY12
FY12
FY12
FY12
FY12
I.b.03
A.b.01.21
F.a.03
K.a
H.c.02
E.f.02
A.b.01.13
A.b.01.02
K.b.04
G.b.01
972
340
Total Planned Audit Program (a+b+c+d) (1)
FY12
FY12
FY12
FY12
FY12
FY12
FY12
FY12
FY12
FY12
FY12
FY12
FY12
FY12
FY12
FY12
270
250
200
200
150
200
300
150
100
100
1,645
Planned Investigation Hours (lump sum)
1,900
Total Audits, Advisory Services, and Investigations
9,157
(1)
Must tie with Audit Program and Advisory Services on Schedule 2 Activity Report
enter lump sums for each applicable AS category (i.e. - SC, SE)
1 = Top 10 scores, 2 = next top 10 scores, 3 = all others
(3)
IT Indicators:
A – application review
I – integrated review
T – technical review
S – system development or post-implementation review
G – general controls review
(2)
(*)
UCR Plan Schedules FY12 Revised 6-22-2011.xlsx
4
4
4
4
4
4
4
4
4
4
4
4
4
4
4
4