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Enhancing Financial Systems: Shadow System Use Audit

This audit plan highlights the assessment of shadow systems' use on campus to ensure their capabilities align with the new financial system implementation at UCSB. The scope includes identifying current shadow system usage, determining functions, and assessing capabilities not available in existing systems.

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Enhancing Financial Systems: Shadow System Use Audit

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  1. UCSB Audit and Advisory ServicesFacilitating Change in FY 2012-13 Academic Business Officers Group October 18, 2012

  2. FY 2012-13 Audit PlanHighlights 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)

  3. FY 2012-13 Audit PlanHighlights Change and Transition: Succession Planning

  4. Financial System Implementation Project: Campus Use Of Shadow Systems • Purpose • Scope and Objectives • Audit Results

  5. 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.

  6. 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.

  7. 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.

  8. Financial System Implementation ProjectCampus 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.

  9. Financial System Implementation Project: Campus Use of Shadow Systems

  10. Financial System Implementation Project: Campus Use of Shadow Systems • Payroll • Asset Management • Reconciliation • Contracts and Grants Shadow Systems In Use On Campus Areas of Use • Purchasing • General Ledger • Posting • Specialized Reporting

  11. 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.

  12. 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

  13. 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)

  14. 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.

  15. Audit and Advisory Services Info and Contacts

  16. Audit and Advisory Services Info and Contacts

  17. Audit and Advisory Services Info and Contacts www.audit.ucsb.edu • 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

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