Transcript Internal Audit Program Activity 2011-12

UCSB Audit and Advisory Services
Facilitating Change in FY 2012-13
Academic Business Officers Group
October 18, 2012
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FY 2012-13 Audit Plan
Highlights
Information Technology
• Financial System Implementation Project (FSIP):
Campus Use of Shadow Systems
FSIP Project Progress
Mainframe Project: Migration of Other Systems
• Student Information Systems Replacement:
Project Progress
• Procurement Gateway:
Facilitation Implementation (Advisory Service)
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FY 2012-13 Audit Plan
Highlights
Change and Transition:
Succession Planning
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Financial System Implementation Project:
Campus Use Of Shadow Systems
• Purpose
• Scope and Objectives
• Audit Results
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Financial System Implementation Project:
Campus Use of Shadow Systems
Purpose
• To identify how shadow systems are used
on campus and help ensure that their
capabilities are taken into consideration
during the implementation of the new
financial system planned for campus.
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Financial System Implementation Project:
Campus Use of Shadow Systems
Scope & Objectives
• The scope of the audit included current
shadow system use on campus. The
objectives of this audit were to assess
shadow systems use on campus, including
determining which shadow systems are in
use, the extent of their use, and the functions
the systems are used for.
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Financial System Implementation Project:
Campus Use of Shadow Systems
Survey 1: Shadow Systems on Campus
• Inventory of shadow systems at UCSB.
• Areas in which shadow systems are being used.
Survey 2: Shadow System Capabilities
• Detailed understanding of functions for which shadow
systems are being used.
• Identifying key shadow system capabilities not
available in the current systems.
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Financial System Implementation Project
Campus Use of Shadow Systems
Shadow Systems In Use On Campus
• Survey sent to 129 individuals representing
approximately 83 departments. This includes
the ABOG, GUS Executive Committee, and
other individuals from the campus org charts.
• We received 61 responses.
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Financial System Implementation Project:
Campus Use of Shadow Systems
Shadow Systems in Use on Campus
Respondents Using Key Systems
28
GUS
39
Excel
Quickbooks
2
Quicken
3
IT Works
1
Other
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0
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10
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40
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Financial System Implementation Project:
Campus Use of Shadow Systems
Shadow Systems In Use On Campus
Areas of Use
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Payroll
Asset Management
Reconciliation
Contracts and Grants
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Purchasing
General Ledger
Posting
Specialized Reporting
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Financial System Implementation Project:
Campus Use of Shadow Systems
Shadow System Uses and Capabilities
• Used an existing listing of processes and transactions,
obtained from Business and Financial Services.
• Collaborated with the GUS Executive Committee to
refine and consolidate the listing.
• Survey sent to the 61 respondents of the first survey
on shadow system use.
• Received 49 responses, from 40 departments.
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Financial System Implementation Project:
Campus Use of Shadow Systems
Shadow System Uses and Capabilities
• Sponsored Projects
• Budgeting
• Purchasing
• Accounts Payable
• Accounts Receivable
• Inventorial Property and Equipment
• Recharge/Transfer of Fund/Transfer of Expenses
• Personnel
• General Ledger
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Financial System Implementation Project:
Campus Use of Shadow Systems
Shadow System Uses and Capabilities
• Sponsored Projects – Track cost shares, matching, in-kind
contributions.
• Budgeting – Develop and forecast budgets.
• Purchasing – Validate critical data (e.g., acct number, fund availability,
etc.)
• Accounts Payable – Track payments and detect duplicates.
• Accounts Receivable – Apply payments.
• Personnel – Generate payroll projections for PI and account
managers.
• General Ledger – Track general ledger data during the month. (Real
time data)
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Gateway Implementation Facilitation
Brief Overview
Gateway is the new e-procurement system at UCSB.
Audit and Advisory Services will be meeting with
departments to discuss their workflow or other concerns,
providing feedback to the Gateway Team on identified
issues.
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Audit and Advisory Services Info and Contacts
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Audit and Advisory Services Info and Contacts
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Audit and Advisory Services Info and Contacts
www.audit.ucsb.edu
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Robert Tarsia, Director
Sam Hartline, Principal Auditor
Vacant, Senior Auditor (Recruitment in progress.)
Raphaëlla Nau, Staff Auditor
Jeremy Harbin, Audit Analyst
John Kushwara, Whistleblower Complaint Investigator