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April 2014 MRAM Internal Audit & Audits coming your way

April 2014 MRAM Internal Audit & Audits coming your way . Office of Internal Audit. Agenda. How can Internal Audit Help YOU! Audit groups who visit campus Internal Audit Plan 2014 Recent Audits on Campus NSF Audit of UW Recent Results at other Universities Requests of Data Hot topics.

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April 2014 MRAM Internal Audit & Audits coming your way

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  1. April 2014 MRAMInternal Audit & Audits coming your way Office of Internal Audit

  2. Agenda • How can Internal Audit Help YOU! • Audit groups who visit campus • Internal Audit Plan 2014 • Recent Audits on Campus • NSF Audit of UW • Recent Results at other Universities • Requests of Data • Hot topics

  3. How can Internal Audit help YOU! • University Liaison • Assist unit after notification of audit • “speak’ with auditor to ensure translation of request for UW environment • Identify parties who should be involved • Provide location for their work if necessary • BASICALLY: • NO Auditor should be in your midst if IA not aware of the audit.

  4. Audit groups who visit campus • State Auditor’s Office • Sponsors • Federal (OIG, NIH/NSF program officers) • Local Government (City, County) • Private Sponsors (e.g. foundations) • Financial Statement Auditors (KPMG) • UW Internal Audit

  5. Internal Audit Plan 2014 • Continuation of 2013 Audits: • Grant allowable costs audit – focus on non-NSF grants • Office of Research – Federal Conflict of Interest • College of the Environment – Friday Harbor Labs • 2014 Audits planned: • School of Medicine – Anesthesiology, tbd • College of Engineering - tbd • OSP – Sub-recipient Monitoring

  6. Recent Audits on Campus • State Auditor Office • Procard Audit • Incomplete documentation re: Grant requirement / benefit • Lack of food justifications, Alcohol • Gifts to individuals or groups • A-133 • Sub-recipient monitoring • FFATA reporting • ONR – Procurement – report soon • Various Closing Audits & Site Visits (Sandia, HRSA, NOAA, DOE ……

  7. NSF Audit of UW • Recent Results at other Universities • Cornell – questioned $78k extrapolated to $794k • Direct charging of supplies • Travel – req’d full hotel receipt - no balance after payment • P-Card – needed detail receipt of what purchased • Reviewed all computer purchases • Wisconsin – Madison – questioned costs of $2.1mln • Stanford – similar issues – totals not disclosed as yet • Cornell audit conducted by WSB (our auditor)

  8. NSF Audit of UW • Request of Data • Three Years of Data! • All transactions April 1, 2010 – March 31, 2013 • Expectation that 1st request in excess of 250 items • Arriving here 1st week of June for two weeks • Second Request in summer • Focus on Topics not individual tr(x)s • i.e. - All food tr(x)s for a Department

  9. NSF Audit of UW • Hot Topics • Cost Transfers • Need original transaction information to support costs • Travel – International Travel • Food • Equipment • Purchases at end of Grant

  10. Last Words….. Arguing with an auditor is like wrestling with a pig in mud ... After a while, you realize the pig ENJOYS it!

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