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Audit Planning: Annual Audit Plan

 

The Audit Plan Preparation Phase is performed upon completion of the Risk Assessment Phase.

The annual audit plan is driven by two key factors: (1) risk assessment results and (2) Internal Audit resources. The goal is to address the highest risk areas at the Lab given the resources available to the Internal Audit Services Department. Changes in either or both areas, for example a change in high risk areas, may lead to a change in the plan. Per University guidelines, changes to the audit plan are addressed with the Lab audit committee which includes the Laboratory Director and UC's Chief Compliance and Audit Officer.

    FY14 Annual Audit Plan

    • Cost Allowability FY13 (Annual)
    • HR Services
    • PO & Subcontract Awards and Compliance Monitoring
    • IUTs Awards
    • Recharges
    • Payroll Processing
    • Indirect Expense Budgeting and Monitoring
    • Maintenance
    • Conference Activities
    • Subcontract Audit (Annual)
    • CY12 Executive Compensation (Advisory)
    • Administration of Employee Performance Evaluation (Advisory)
    • Compensated Outside Professional Activities (Advisory)
    • Post-Doc Classification and Compensation (Advisory)
    • F$M Pre-Implementation Review (Advisory)
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