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TABLE OF CONTENTS
FOR AUDIT, COMPLIANCE, AND MANAGEMENT REVIEW
COMMITTEE
Committee Meeting: 5/12/2010 Austin, Texas
R. Steven Hicks, Chairman Paul L. Foster Janiece Longoria Robert L. Stillwell
Committee Meeting Page
A. CONVENE 11:00 a.m. Chairman Hicks
1. U. T. System: Report on the Systemwide Compliance Work Plan for 2010 - 2011
11:00 a.m. Report/Discussion Mr. Plutko
29
2. U. T. System: Presentation on the U. T. Systemwide Endowment Compliance Program
11:10 a.m. Report Dr. Safady
33
3. U. T. System: Internal Audit Department report for U. T. Health Science Center – Tyler
11:20 a.m. Report/Discussion Ms. Kris Kavasch, U. T. Health Science Center – Tyler
51
4. U. T. System: Report on the Systemwide internal audit activities, including the results of the Systemwide Huron/Effort Certification and Reporting Technology (ECRT) audit
11:30 a.m. Report/Discussion Mr. Chaffin
64
B. RECESS TO EXECUTIVE SESSION PURSUANT TO TEXAS GOVERNMENT CODE, CHAPTER 551
Personnel matters relating to appointment, employment, evaluation, assignment, duties, discipline, or dismissal of officers or employees - Texas Government Code Section 551.074
U. T. System: Discussion with institutional auditors and compliance officers concerning evaluation and duties of individual System Administration and institutional employees involved in internal audit and compliance functions
11:40 a.m. Report Ms. Kris Kavasch, U. T. Health Science Center – Tyler Mr. Chaffin Mr. Plutko
C. RECONVENE IN OPEN SESSION TO CONSIDER ACTION, IF ANY, ON EXECUTIVE SESSION ITEM AND TO ADJOURN
12:00 p.m.
29
1. U. T. System: Report on the Systemwide Compliance Work Plan for 2010 - 2011
REPORT Mr. Lawrence Plutko, Systemwide Compliance Officer, will provide a status update on the Systemwide Compliance Work Plan for 2010 – 2011 set forth on Pages 30 - 32.
THE UNIVERSITY OF TEXAS SYSTEM SYSTEMWIDE COMPLIANCE OFFICE
COMPLIANCE WORK PLAN FOR FISCAL YEAR 2010-2011
Page 1
PLAN OBJECTIVES AUTHORITATIVE GUIDANCE STATUS AS OF 04/15/2010 I. RESEARCH CONFLICTS OF INTEREST
Study and make recommendations regarding policy, practice, procedures, and enforcement of the UT System institutions’ research conflicts of interest policies.
Collaborate with the Office of General Counsel and the institutions to develop a System policy with performance standards/principles that will enhance and standardize institutional compliance for research conflicts of interest.
Devise a state-of-the-art policy implementation process with standardized procedures combined with legal/compliance oversight.
National Science Foundation Public Health Services Act National Institutes of Health Office of Research Integrity Department of Justice
Analysis of institutions’ policies completed with recommendations made to the Chancellor.
Draft System policy written and transmitted to the institutions for a 75-day vetting period. The comment period is completed.
IT support plan containing options for electronic submission of disclosures completed and now being vetted at the institutions.
II. VENDOR RELATIONS Study and make recommendations regarding policy,
practice, procedures, and enforcement of the UT System institutions’ policies on vendor relations.
Collaborate with OGC to develop a System policy and guidelines to govern and offer guidance on the interactions between the institutions and personnel with vendors providing financial support for educational activities, educational materials, preceptorships, fellowships, scholarships, and other similar areas.
Anti-kickback Statute PhRMA Code on Interactions
with Healthcare Professionals OIG Program Guidance for
Pharmaceutical Manufacturers ACCME Standards for
Commercial Support
TBA – early 2011 after completion of Research Conflicts of Interest initiative.
30
THE UNIVERSITY OF TEXAS SYSTEM SYSTEMWIDE COMPLIANCE OFFICE
COMPLIANCE WORK PLAN FOR FISCAL YEAR 2010-2011
Page 2
PLAN OBJECTIVES AUTHORITATIVE GUIDANCE STATUS AS OF 04/15/2010 III. RECOVERY AUDIT CONTRACTOR
PROGRAM Collaborate with Health Affairs to develop a best
practices framework to deal with CMS Claim Review Programs with a particular focus on the Recovery Audit Contractor (RAC) Program.
Design an interdisciplinary team model to provide overall guidance and direction to oversee RAC readiness and coordinate the intricate RAC appeals process.
Medicare Prescription Drug, Improvement and Modernization Act (MMA, 2003)
Tax Relief and Health Care Act (2006)
All health institutions have developed RAC committees/teams and completed RAC readiness checklist.
Systemwide Compliance providing compliance consultation as needed.
IV. EXPORT CONTROLS COMPLIANCE Collaborate with Research and Technology Transfer
to develop a model UT System Export Controls program for the benefit of the institutions.
Department of State/ITAR Department of
Treasury/OFAC Department of
Commerce/EAR
Task Force completes draft export controls policy and Research & Tech Transfer transmits and completes vetting process at the institutions for U. T. System Policy 173.
V. CLINICAL RESEARCH BILLING COMPLIANCE Collaborate with Health Affairs to develop a model
UT System Clinical Research Billing Compliance program for the benefit of the institutions.
Conduct a compliance effectiveness review once the enhanced program is in place.
Medicare General Rules Medicare Investigational
Devices Medicare National Coverage
Determinations Medicare Secondary Payor
Rules Medicaid General Rules
Guiding Principles for Clinical Research Billing Compliance completed.
Onsite, pre-enhancement compliance reviews completed at all health institutions utilizing the Guiding Principles.
31
THE UNIVERSITY OF TEXAS SYSTEM SYSTEMWIDE COMPLIANCE OFFICE
COMPLIANCE WORK PLAN FOR FISCAL YEAR 2010-2011
Page 3
PLAN OBJECTIVES AUTHORITATIVE GUIDANCE STATUS AS OF 04/15/2010 VI. HITECH ACT HIPAA PROVISIONS
Collaborate with Health Affairs and OGC to study and prepare for the major revisions to the HIPAA Privacy and Security Rules delineated in the new provisions.
Update changes to the Notice of Privacy Practices (NOPP), standard Business Associate Agreements (BAA), and other mechanisms.
Develop a Breach Notification Policy and other policies as required.
Health Information Technology for Economic and Clinical Health Act (HITECH Act, 2009)
Plans for a series of June Systemwide Compliance Academy web conferences co-sponsored by SWC and OGC in collaboration with the HIPAA Privacy and Security Officers completed.
A parallel series is being planned for academic health centers.
VII. SYSTEMWIDE COMPLIANCE PROGRAM ENHANCEMENT Develop an action plan in collaboration with the
Institutional Compliance Officers to implement the new Systemwide Compliance Program Charter and implement the same.
Revise U. T. System Policy 119, Institutional Compliance Program.
Revise quarterly reporting to include institutional compliance effectiveness metrics and institutional work plan progress and milestones.
Compliance Charter for the Systemwide Compliance Office (2009)
U. T. System Policy 119, Institutional Compliance Program
Action plan, chartering compliance advisory committees, completed.
All institutions have completed and submitted work plans for FY 2010-2011.
Phase One revisions completed for enhanced quarterly reporting.
VIII. VIRTUAL COMPLIANCE ACADEMY Establish a web conferencing and webinar platform
to serve as an education and communication tool to vet and discuss compliance program objectives and initiatives, to provide professional development opportunities, and to sponsor compliance continuing education programs on key topics.
N/A The Compliance Academy sponsored 7 webinars with a total of over 300 registrants.
The Academy also sponsored 14 medical billing compliance webinars with over 1000 registrants.
32
33
2. U. T. System: Presentation on the U. T. Systemwide Endowment Compliance Program
REPORT Vice Chancellor Safady will report on the U. T. Systemwide Endowment Compliance Program using a PowerPoint presentation set forth on Pages 34 - 50.
Endo
wm
ent C
ompl
ianc
e Pr
ogra
m
Ran
da S
afad
yV
ice
Cha
ncel
lor f
or E
xter
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elat
ions
U.T
.Sys
tem
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rdof
Reg
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’Mee
ting
U. T
. Sys
tem
Boa
rd o
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ents
Mee
ting
Aud
it, C
ompl
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e, a
nd M
anag
emen
t Rev
iew
Com
mitt
ee
May
201
0
34
Prog
ram
His
tory
and
Mis
sion
•A
utho
rized
by
the
Boa
rd o
f Reg
ents
in
Nov
embe
r 200
1 •
Ste
war
dshi
p of
pub
lic tr
ust a
nd $
5.7
billio
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en
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edph
ilant
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hila
nthr
opic
con
tribu
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•C
ompl
ianc
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ith la
ws,
pol
icie
s an
d en
dow
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t ag
reem
ents
agre
emen
ts•
Max
imiz
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n of
end
owm
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esou
rces
•Im
prov
edre
porti
ngto
dono
rsan
dU
T•
Impr
oved
repo
rting
to d
onor
s an
d U
. T.
lead
ersh
ip
2
35
Endo
wm
ent C
ompl
ianc
e C
ycle
End
owm
ent
Man
agem
ent a
nd
Gift
Acc
epta
nce
U. T
. Sys
tem
U. T
. Sys
tem
U. T
. Sys
tem
/Inst
itutio
n
Mon
itorin
g
Impl
emen
tatio
nP
lan
Adm
inis
tratio
nIm
plem
enta
tion
Pla
n
Mon
itorin
g an
d R
ti
Inst
itutio
nM
anag
emen
t R
espo
nse
and
Il
tti
Inst
itutio
n
Boa
rd o
f S
yste
m
Exe
cutiv
eR
epor
ting
UT
Sys
tem
UT
Sys
tem
Impl
emen
tatio
n P
lan
Reg
ents
Exe
cutiv
e O
ffice
rs
Ana
lysi
s
U. T
. Sys
tem
U. T
. Sys
tem
Rep
ortin
gIn
stitu
tion
3
36
His
toric
al E
ndow
men
t Num
bers
Num
bers
of E
ndow
men
ts
W
here
End
owm
ents
Are
Hel
d
928
%0.
22%
9.28
%
7,391
7,757
8,156
8,616
9,124
9,585
90.5
%
FY 04
FY 05
FY 06
FY 07
FY 08
FY09
Held
By B
oard
-8,
674
Held
By O
ther
s -21
U.T.
Affili
ate -
890
4
37
His
toric
al E
ndow
men
t Val
ueM
arke
t Val
ue (b
illio
ns)
Whe
re E
ndow
men
ts A
re H
eld
12%
8%
$49
$5.3
$5.8
$6.5
$6.4
$5.7
12%
8%
$4.9
$5.3
80%
FY04
FY05
FY06
FY07
FY08
FY09
FY 04
FY 05
FY 06
FY 07
FY 08
FY09
5
38
Endo
wm
ents
as
of A
ugus
t 31,
200
9%
Incr
ease
inM
arke
tVal
ueM
arke
tVal
ueof
Mar
ketV
alue
%M
arke
tVal
ue
Inst
itutio
nTo
tal
Endo
wm
ents
% In
crea
se in
To
tal O
ver
2008
Mar
ket V
alue
of B
oard
-Hel
dEn
dow
men
ts
Mar
ket V
alue
of
Exte
rnal
ly-H
eld
Endo
wm
ents
Tota
lM
arke
t Val
ue
Mar
ket V
alue
+/-
Ove
r 20
08
% M
arke
t Val
ue+/
-O
ver
2008
U. T
. Arli
ngto
n40
314
%$5
3,46
4,75
2$5
0,84
8$5
3,51
5,59
9($
7,49
0,63
8)-1
2%
U. T
. Aus
tin4,
760
5%$2
,376
,932
,805
$156
,564
,272
$2,5
33,4
97,0
76($
384,
323,
132)
-13%
$$
$$
U. T
. Bro
wns
ville
9311
%$6
,305
,803
$0$6
,305
,803
($1,
017,
815)
-14%
U. T
. Dal
las
170
8%$1
95,0
53,6
18$1
,463
,129
$196
,516
,747
($55
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,369
)-2
2%
U. T
. El P
aso
539
5%$1
08,3
42,4
29$4
50,0
00$1
08,7
92,4
29($
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-10%
U. T
Pan
Am
eric
an26
35%
$26,
551,
755
$24,
207,
359
$50,
759,
113
($8,
664,
452)
-15%
U. T
. Per
mia
n Ba
sin
962%
$15,
254,
934
$5,4
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00$2
0,68
9,33
4($
1,74
0,41
4)-8
%
U. T
. San
Ant
onio
304
8%$4
6,66
5,08
0$0
$46,
665,
080
($7,
419,
136)
-14%
U. T
. Tyl
er20
04%
$55,
460,
253
$3,2
95,2
26$5
8,75
5,47
8($
7,82
1,54
6)-1
2%
U. T
. SW
MC
-Dal
las
825
2%$6
33,3
32,4
81$2
91,1
09,9
01$9
24,4
42,3
82($
161,
069,
631)
-15%
()
U. T
. MB
Gal
vest
on65
22%
$368
,491
,989
$631
,848
,544
$1,0
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40,5
34$2
3,09
1,46
4 2%
U. T
. HSC
-Hou
ston
401
5%$1
28,8
45,5
37$1
,623
,256
$130
,468
,793
($22
,032
,971
)-1
4%
U. T
. HSC
-San
Ant
onio
329
9%$1
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57$8
65,8
06$1
39,3
63,2
63($
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94,1
99)
-13%
UT
MD
ACC
391
6%$4
0203
806
9$0
$402
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($54
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12%
U .T
. MD
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C39
16%
$402
,038
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$0$4
02,0
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69($
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88,5
42)
-12%
U. T
. HSC
-Tyl
er41
3%$9
,184
,005
$0$9
,184
,005
($1,
287,
219)
-12%
U.T
. Sys
tem
Adm
inis
tratio
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07%
$23,
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3$2
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7%
Mul
ti-In
stitu
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%$4
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%
6
Tota
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31$5
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($71
6,72
7,93
1)-1
1%
39
Boa
rd-H
eld
Endo
wm
ents
•Th
e 8,
674
Boa
rd o
f Reg
ents
-hel
d en
dow
men
ts a
s of
A
ugus
t 31,
200
9 ar
e re
stric
ted
as fo
llow
s:
Num
ber o
f End
owm
ents
: 8,6
74M
arke
t Val
ue $
4.6
Bill
ion
Stud
ent Supp
ort
Acade
mic Positions
Program Sup
port/M
isc.
Stud
ent Sup
port
Academ
ic Position
sProgram Sup
port/M
isc.
$668
.7 M
illio
n(1
4%)
46%
25%
29%
$2.2
Bill
ion
(49%
)$1
.7 B
illio
n(3
7%)
7
40
Boa
rd-H
eld
Endo
wm
ents
: Dis
trib
utio
ns
PD
it
ibti
Purp
ose
Dis
trib
utio
nsS
tude
nt S
uppo
rt$3
4.2
milli
onA
cade
mic
Pos
ition
s
$86.
1 m
illion
Pro
gram
Sup
port/
Mis
c.$9
6.0
milli
onP
rogr
am S
uppo
rt/M
isc.
$9
6.0
milli
onTo
tal
$216
.3 m
illion
8
41
Four
Pro
gram
Ele
men
ts•
Ris
k as
sess
men
tAn
nual
revie
w o
f end
owm
ent is
sues
to e
nsur
e th
e U
. T.
inst
itutio
n’s
abilit
y to
mee
t its
miss
ion
and
obje
ctive
s an
d pr
omise
tobe
nefa
ctor
spr
omise
to b
enef
acto
rs•
Mon
itorin
g pl
anAc
tivitie
s per
form
ed, b
ased
on
risk a
sses
smen
t, to
ident
ify a
nd
p,
,y
ensu
re co
mpli
ance
•Ed
ucat
ion
and
trai
ning
Oi
dti
ft
ffd
dt
it
iO
ngoi
ng e
duca
tion
of s
taff
and
endo
wm
ent s
igna
torie
s on
com
plia
nce
issu
es, i
nclu
ding
use
of f
unds
•R
epor
ting
Rep
ortin
gEn
dow
men
t rep
orts
pro
vided
ann
ually
to d
onor
s; e
ndow
men
t co
mpl
ianc
e re
ports
pre
sent
ed a
nnua
lly to
Boa
rd o
f Reg
ents
d
UT
St
Adi
itti
dU
Ti
titti
ld
hian
d U
. T. S
yste
m A
dmin
istra
tion
and
U. T
. inst
itutio
n le
ader
ship
9
42
Prim
ary
Ris
ks M
onito
red
Inap
prop
riate
epe
ndit
res
•In
appr
opria
te e
xpen
ditu
res
Expe
nditu
res
outs
ide
term
s of
end
owm
ent a
gree
men
t•
No
expe
nditu
res
End
owm
ents
from
whi
ch n
o fu
nds
have
bee
n d
dd
ith
tii
dex
pend
ed d
urin
g th
e re
porti
ng p
erio
d•
Exce
ssiv
e ac
cum
ulat
ions
Accu
mul
atio
ns o
f end
owm
ent’s
ear
ning
s ab
ove
the
stan
dard
set
by
the
inst
itutio
n•
Unf
illed
end
owed
aca
dem
ic p
ositi
ons
Posit
ions
with
out a
hol
der a
ppoi
nted
10
43
Inap
prop
riate
Exp
endi
ture
sI
itdit
•In
appr
opria
te e
xpen
ditur
es
rem
ain lo
w at
0.4
4% o
f tota
l m
arke
t valu
e of
iden
tified
en
dowm
ents
98%
of e
ndow
men
ts we
re
com
plian
tco
mpli
ant
Actio
n pla
ns h
ave
been
im
plem
ente
d to
add
ress
thothe
rs
11
44
No
Expe
nditu
res
•P
erce
ntag
e of
end
owm
ents
w
ith n
o ex
pend
iture
s an
d no
ju
stifi
catio
nde
crea
sed
from
just
ifica
tion
decr
ease
d fro
m
last
yea
r98
% o
f end
owm
ents
were
li
tco
mpli
ant
Inst
itutio
ns a
re re
view
ing
and
impl
emen
ting
actio
n pl
ans
to
addr
ess o
ther
s
12
45
Exce
ssiv
e A
ccum
ulat
ions
•Pe
rcen
tage
of e
ndow
men
ts
with
exc
essiv
e ac
cum
ulat
ions
d
jtifi
tid
dan
d no
just
ificat
ion
decr
ease
d fro
m la
st y
ear
97%
of e
ndow
men
ts w
ere
com
plia
ntIn
stitu
tions
are
revie
win
g an
d im
plem
entin
gac
tion
plan
sto
impl
emen
ting
actio
n pl
ans
to
addr
ess o
ther
s
13
46
Unf
illed
Aca
dem
ic P
ositi
ons
•Pe
rcen
tage
of u
nfille
d po
sitio
ns c
ontin
ues
to
p decr
ease
•10
0% o
f pos
itions
wer
e re
ieed
(236
1)re
view
ed (2
,361
)86
% w
ere
filled
on
8/31
/09
Unf
illed
posit
ions
vac
ant f
or
pan
ave
rage
of 3
0co
nsec
utive
mon
ths
Inst
itutio
nsar
ere
view
ing
and
Inst
itutio
ns a
re re
view
ing
and
impl
emen
ting
actio
n pl
ans
14
47
Fund
ing
for t
he P
rogr
am
•B
oard
of R
egen
ts a
llow
s ea
ch in
stitu
tion
to
take
anan
nual
fee
of0
08%
to0
2%of
the
take
an
annu
al fe
e of
0.0
8% to
0.2
% o
f the
m
arke
t val
ue o
f its
end
owm
ents
, dep
endi
ng
onel
igib
ility
on e
ligib
ility
•In
FY
09, $
7.7
milli
on in
fees
dis
tribu
ted
to
td
tt
dsu
ppor
t end
owm
ent m
anag
emen
t and
ad
min
istra
tion
15
48
Prog
ress
and
Pla
ns fo
r Im
prov
emen
t•
Inst
itutio
n re
ports
are
ana
lyze
d an
d a
man
agem
ent r
espo
nse
is re
quire
d fro
m th
e U
. T. i
nstit
utio
n•
Impl
emen
tatio
nof
man
agem
entr
espo
nse
ism
onito
red;
•Im
plem
enta
tion
of m
anag
emen
t res
pons
e is
mon
itore
d;
incr
ease
d ac
coun
tabi
lity
has
resu
lted
in im
prov
emen
t in
mos
t rep
ort c
ateg
orie
s•
Beg
inni
ng in
FY
10, a
ll en
dow
men
ts w
ill be
revi
ewed
at l
east
ev
ery
3 ye
ars
•Im
prov
emen
tto
the
track
ing
ofin
stitu
tion
prog
ress
•Im
prov
emen
t to
the
track
ing
of in
stitu
tion
prog
ress
•In
clus
ion
of a
“Rep
ort o
f Use
” let
ter w
ith a
ll en
dow
men
t do
nor r
epor
tsp
•E
nhan
cem
ent o
f the
dat
abas
e to
refin
e re
porti
ng a
nd
anal
ysis
cap
abili
ties
16
49
Con
clus
ions
•P
rogr
am c
ontin
ues
to id
entif
y ris
ks a
nd
incr
ease
com
plia
nce
p•
Inst
itutio
ns c
ontin
ue to
mon
itor m
ore
endo
wm
ents
each
year
endo
wm
ents
eac
h ye
ar•
Dat
a ga
ther
ed e
ach
year
con
tinue
s to
iden
tify
trend
stre
nds
•A
naly
sis
prov
ides
abi
lity
to re
vers
e or
pre
vent
ti
td
nega
tive
trend
s•
Que
stio
ns?
17
50
51
3. U. T. System: Internal Audit Department report for U. T. Health Science Center – Tyler
REPORT Using a PowerPoint presentation set forth on Pages 52 - 63, Ms. Kris Kavasch, Director of Internal Audit, U. T. Health Science Center – Tyler, will make a presentation on how audit coverage is achieved at a small institution.
Ms.
Kris
Kav
asch
, Dire
ctor
Offi
ce o
f Int
erna
l Aud
it
U. T
. Sys
tem
Boa
rd o
f Reg
ents
’ Mee
ting
Aud
it, C
ompl
ianc
e, a
nd M
anag
emen
t Rev
iew
Com
mitt
eeM
ay20
10M
ay 2
010
FAR
FR
OM
OR
DIN
AR
Y. C
LOSE
TO
HO
ME.
52
Inte
rnal
Aud
it C
omm
ittee
Inte
rnal
Mem
bers
Dr.
Kirk
A. C
alho
un, P
resi
dent
and
Cha
irman
Dr.
Dav
id C
oulta
s, V
ice
Pre
side
nt fo
r Clin
ical
Affa
irs a
nd P
hysi
cian
-In-C
hief
Dr.
Ste
ven
Idel
l, V
ice
Pre
side
nt fo
r Res
earc
hM
r. V
erno
n M
oore
, Vic
e P
resi
dent
and
Chi
ef B
usin
ess
and
Fina
nce
Offi
cer
Mr.
Rob
Mar
shal
l, V
ice
Pre
side
nt a
nd C
hief
Ope
ratin
g O
ffice
r M
r. M
ac G
riffit
h, V
ice
Pre
side
nt a
nd C
hief
Dev
elop
men
t Offi
cer
MG
Did
Hll
Ad
ii
tti
Di
tB
iO
tiM
r. G
. Dav
id H
ullu
m, A
dmin
istra
tive
Dire
ctor
, Bus
ines
s O
pera
tions
Mr.
Joe
Woe
lker
s, E
xecu
tive
Dire
ctor
, Aca
dem
ic A
ffairs
Ms.
Don
na M
artin
, Dire
ctor
of C
ompl
ianc
e an
d In
form
atio
n S
ecur
ity O
ffice
r
Ext
erna
l Mem
bers
Mr.
Jeff
Aus
tin II
I, V
ice
Cha
irman
, Aus
tin B
ank
Mr.
Ken
Fin
dley
, Atto
rney
at L
aw, F
indl
ey L
aw F
irm
FAR
FR
OM
OR
DIN
AR
Y. C
LOSE
TO
HO
ME.
Mee
ts q
uarte
rly w
ith la
st m
eetin
g he
ld o
n M
arch
19,
201
02
53
Inte
rnal
Aud
it D
epar
tmen
t Sta
ffing
pg
Dep
artm
ent c
ompo
sitio
n:
Ms.
Kris
Kav
asch
, CP
A, C
FE, D
irect
orM
s. G
ail L
ewis
, CP
A, C
IA, S
uper
viso
rM
r. D
onal
d H
enry
, CG
AP
, Int
erna
l Aud
itor
y,,
Aud
itre
ports
issu
ed:A
vera
ge10
pery
ear
FAR
FR
OM
OR
DIN
AR
Y. C
LOSE
TO
HO
ME.
Aud
it re
ports
issu
ed: A
vera
ge 1
0 pe
r yea
r3
54
Inte
rnal
Aud
itR
epor
ting
Stru
ctur
eIn
tern
al A
udit
Rep
ortin
g St
ruct
ure
Dire
ctor
of I
nter
nal A
udit
repo
rts fu
nctio
nally
to
both
the
pres
iden
t and
the
Inte
rnal
Aud
it C
omm
ittee
Com
mitt
ee
Di
tfI
tlA
dit
td
ii
tti
lD
irect
or o
f Int
erna
l Aud
it re
ports
adm
inis
trativ
ely
to th
e pr
esid
ent
FAR
FR
OM
OR
DIN
AR
Y. C
LOSE
TO
HO
ME.
4
55
Hig
h R
isk
Are
as to
be
Aud
ited
in F
Y 20
1064
% o
f the
inte
rnal
aud
it ac
tiviti
es p
lann
ed fo
r FY
20
10 a
re m
appe
d to
hig
h ris
k ar
eas
iden
tifie
d in
the
follo
win
gca
tego
ries:
follo
win
g ca
tego
ries:
Cat
egor
yPe
rcen
tage
of P
lan
Fina
ncia
l25
%Fi
nanc
ial
25%
Ope
ratio
nal
18%
Com
plia
nce
17%
Info
rmat
ion
Tech
nolo
gy13
%A
udit
Follo
w-U
p4%
Proj
ects
–A
udit,
23
% FAR
FR
OM
OR
DIN
AR
Y. C
LOSE
TO
HO
ME.
j,
Con
sulti
ng, &
Oth
er23
%
5
56
Qua
lity
Ass
uran
ce R
evie
wM
ostr
ecen
text
erna
lqua
lity
assu
ranc
ere
view
repo
rtw
asis
sued
Mos
t rec
ent e
xter
nal q
ualit
y as
sura
nce
revi
ew re
port
was
issu
ed
in O
ctob
er 2
009
Res
ult:
“Gen
eral
ly c
onfo
rms”
in a
ll m
ater
ial r
espe
cts
to In
stitu
te
ofIn
tern
alA
udito
rsS
tand
ards
and
Cod
eof
Eth
ics
of In
tern
al A
udito
rs S
tand
ards
and
Cod
e of
Eth
ics
Opp
ortu
nitie
s fo
r im
prov
emen
t ide
ntifi
ed in
the
area
s of
:O
rient
atio
n of
ext
erna
l mem
bers
of t
he In
tern
al A
udit
Com
mitt
ee
Ris
kba
sed
audi
tcom
plet
ion
Ris
k ba
sed
audi
t com
plet
ion
Info
rmat
ion
tech
nolo
gy a
udit
cove
rage
Com
mun
icat
ing
audi
t res
ults
Inte
rnal
qual
ityas
sura
nce
prog
ram
Inte
rnal
qua
lity
assu
ranc
e pr
ogra
mG
ener
ally
Acc
epte
d G
over
nmen
tal A
uditi
ng S
tand
ards
com
plia
nce
All
reco
mm
enda
tions
hav
e be
en a
ddre
ssed
by
the
orig
inal
im
plem
enta
tion
date
s
FAR
FR
OM
OR
DIN
AR
Y. C
LOSE
TO
HO
ME.
impl
emen
tatio
n da
tes
6
57
U. T
. Sys
tem
and
U. T
. Ins
titut
ion
Part
ners
hips
•Lim
ited
num
ber
of a
vaila
ble
staf
f ho
urs
and
IT
audi
t exp
ertis
e at
U
THSC
T
Iden
tifie
d St
reng
ths:
Syst
em
•Aud
it ex
pert
ise
in IT
and
oth
er
subj
ect m
atte
rs• A
bilit
y to
mat
ch
Rec
urrin
g O
ppor
tuni
ty:
Syst
em
Aud
it O
ffice
yst
reng
ths
and
oppo
rtun
ities
ac
ross
U. T
. in
stitu
tions
th
roug
h an
i
htl
Solu
tion:
Smal
l U. T
. In
stitu
tions
over
sigh
t rol
e
Two
Syst
em
Aud
it O
ffice
In
itiat
ives
•Sub
ject
Mat
ter
Expe
rt E
xcha
nge
Prog
ram
FAR
FR
OM
OR
DIN
AR
Y. C
LOSE
TO
HO
ME.
g•I
T A
udit
Exch
ange
Pr
ogra
m7
58
UTH
SCT
and
U. T
. Sys
tem
Exa
mpl
eA
td
b•T
wo
IT a
udits
on
UTH
SCT
FY 2
010
audi
t pla
n:•I
T G
over
nanc
e•T
exas
Adm
inis
trat
ive
Cod
e §
202
U. T
. Sy
stem
St
reng
th:
•Aug
men
ted
by
stra
tegi
c as
sign
men
t of a
n IT
Aud
it M
anag
er
as th
e Sy
stem
A
udit
Offi
ce
UTH
SCT
Opp
ortu
nity
: IT
audi
t
IT a
udit
man
ager
s on
team
Aud
it O
ffice
lia
ison
to
UTH
SCT
Solu
tion:
Sy
stem
Aud
it O
ffi
IT a
udit
expe
rtis
e st
ill b
eing
de
velo
ped
Offi
ce
dedi
cate
s IT
au
dit o
vers
ight
ho
urs
in F
Y 20
10 a
udit
plan
•Goa
l is
to a
ssis
t U
THSC
T in
ad
dres
sing
its
hi
hi
kd
FAR
FR
OM
OR
DIN
AR
Y. C
LOSE
TO
HO
ME.
phi
gh ri
sks
and
mee
ting
IT a
udit
requ
irem
ents
8
59
UTH
SCT
IT G
over
nanc
e A
udit
Cas
e St
udy
•C
ontr
ibut
es in
stitu
tiona
l kn
owle
dge
to a
udit
U. T
. Sy
stem
•C
ontr
ibut
es IT
te
chni
cal
know
ledg
e to
UTH
SCT
Inte
rnal
A
udit
IT A
udit
Man
ager
audi
t
Res
ult:
U. T
. Sy
stem
IT A
udit
M&
Aud
it D
irect
or
Man
ager
&
UTH
SCT
Inte
rnal
A
udit
Dire
ctor
co
mbi
ne e
ffort
s to
con
duct
aud
it
•O
bjec
tive
is to
ass
ess
whe
ther
th
e IT
gov
erna
nce
of U
THSC
T su
stai
nsan
dsu
ppor
tsits
FAR
FR
OM
OR
DIN
AR
Y. C
LOSE
TO
HO
ME.
sust
ains
and
sup
port
s its
st
rate
gies
and
obj
ectiv
es
9
60
Part
ners
hip
Enha
nced
by
Tech
nolo
gy
Com
mon
aud
it do
cum
enta
tion
softw
are
that
al
low
sbo
thU
TS
yste
man
dU
THS
CT
team
allo
ws
both
U. T
. Sys
tem
and
UTH
SC
T te
am
mem
bers
to w
ork
join
tly o
n au
dit d
ocum
ent f
iles
Sec
ure
shar
ed W
eb s
ite, a
cces
sibl
e vi
a U
THS
CT
netw
ork,
allo
ws
fors
ecur
epo
stin
gU
THS
CT
netw
ork,
allo
ws
for s
ecur
e po
stin
g an
d sh
arin
g of
pro
ject
doc
umen
ts FAR
FR
OM
OR
DIN
AR
Y. C
LOSE
TO
HO
ME.
10
61
Part
ners
hip
is C
ost E
ffici
ent
Cdi
tdt
tift
dh
dC
omm
on a
udit
docu
men
tatio
n so
ftwar
e an
d sh
ared
W
eb s
ite a
llow
for U
. T. S
yste
m IT
Aud
it M
anag
er to
ac
com
plis
h si
gnifi
cant
por
tion
of w
ork
from
Aus
tinp
gp
Sys
tem
Aud
it O
ffice
initi
ativ
e ca
lls fo
r ins
titut
iona
l lia
ison
s to
acc
ompl
ish
at le
ast t
wo
obje
ctiv
es w
hen
pj
trave
ling
to U
. T. i
nstit
utio
nsR
efer
ence
IT G
over
nanc
e A
udit:
U. T
. Sys
tem
IT A
udit
Mt
ld
tU
THS
CT
td
tj
it
Man
ager
tra
vele
d to
UTH
SC
T to
con
duct
sev
en jo
int
audi
t int
ervi
ews,
revi
ew p
roje
ct d
ocum
ents
on
site
, and
ac
com
plis
h th
e du
al p
urpo
se o
f atte
ndin
g th
e qu
arte
rly
itit
til
dit
ittti
FAR
FR
OM
OR
DIN
AR
Y. C
LOSE
TO
HO
ME.
inst
itutio
nal a
udit
com
mitt
ee m
eetin
g11
62
Ben
efits
of P
artn
ersh
ip
For U
THS
CT:
Gai
n kn
owle
dge
from
U. T
. Sys
tem
IT
Aud
it M
anag
er to
impr
ove
IT a
udit
expe
rtise
For U
. T. S
yste
m:
Inst
itutio
nal k
now
ledg
e ga
ined
du
ring
audi
t act
iviti
es im
prov
es p
erfo
rman
ce o
f S
yste
mA
udit
Offi
celia
ison
over
sigh
trol
eS
yste
m A
udit
Offi
ce li
aiso
n ov
ersi
ght r
ole
Sys
tem
wid
e:C
ost s
avin
gs b
y av
oidi
ng h
avin
g to
“buy
” IT
audi
t exp
ertis
e t
flfi
lldi
ti
td
ddi
titti
li
kto
fulfi
ll au
dit r
equi
rem
ents
and
add
ress
inst
itutio
nal r
isk
Mos
t im
port
antly
:C
apita
lize
upon
syn
ergy
ach
ieva
ble
as
The
Uni
vers
ity o
f Tex
as S
yste
m
FAR
FR
OM
OR
DIN
AR
Y. C
LOSE
TO
HO
ME.
12
63
64
4. U. T. System: Report on the Systemwide internal audit activities, including the results of the Systemwide Huron/Effort Certification and Reporting Technology (ECRT) audit
REPORT Mr. Charles Chaffin, Chief Audit Executive, will present the results of the Systemwide Huron/Effort Certification and Reporting Technology (ECRT) audit. In June 2007, after a two-year review of commercially-available systems, the U. T. System opted to purchase ECRT to assist in addressing the risks related to time and effort reporting errors at U. T. System institutions that receive grant funding for sponsored projects. To date, 10 U. T. System institutions have implemented the ECRT solution, at a cost to U. T. System Administration of approximately $2.67 million. The U. T. System Audit Office performed an implementation audit of the ECRT solution to provide manage-ment with project status, cost, and a blueprint for future ECRT and other Systemwide application implementations. Notably, the ECRT project enjoyed success in the areas of project management, executive sponsorship, and user involvement, but there may be opportunities for improvement with regard to the technical aspects of the imple-mentation, including maintaining process documentation. Mr. Chaffin will also report on the implementation status of significant audit recom-mendations. The second quarter activity report on the Implementation Status of Outstanding Significant Findings/Recommendations is set forth on Pages 65 - 66. Satisfactory progress is being made on the implementation of all significant recom-mendations. Additionally, a list of other audit reports issued by the Systemwide audit program is on Pages 67 - 68.
BACKGROUND INFORMATION Significant audit findings/recommendations are tracked by the U. T. System Audit Office. Quarterly, chief business officers provide the status of implementation, which is reviewed by the internal audit directors. A quarterly summary report is provided to the Audit, Compliance, and Management Review Committee of the U. T. System Board of Regents. Additionally, Committee members receive a detailed summary of new significant findings and related recommendations quarterly.
THE
UN
IVER
SITY
OF
TEXA
S SY
STEM
Impl
emen
tatio
n St
atus
of O
utst
andi
ng S
igni
fican
t Fin
ding
s/R
ecom
men
datio
ns
U. T
. SYS
TEM
AU
DIT
Ran
king
# o
f Si
gnifi
cant
Fi
ndin
gsR
anki
ng #
of
Sign
ifica
nt
Find
ings
2008
-01
UTA
RL
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tem
Sec
urity
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it1
14/
30/2
010
Sat
isfa
ctor
y20
09-0
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LD
igita
l Res
earc
h D
ata
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it1
16/
1/20
10S
atis
fact
ory
2007
-06
UTA
US
UTS
163:
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danc
e on
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rt R
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ting
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icie
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14/
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5: P
rote
ctin
g th
e C
onfid
entia
lity
and
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grity
of D
igita
l Res
earc
h D
ata
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w U
p 1
14/
1/20
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atis
fact
ory
2009
-02
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Fisc
al Y
ear 2
008
Phy
sica
l Pla
nt A
udit
10
3/1/
2010
Impl
emen
ted
2009
-02
UTB
Fisc
al Y
ear 2
008
Stu
dent
Fee
s A
udit
10
3/1/
2010
Impl
emen
ted
2009
-07
UTD
Uni
x1
16/
1/20
10S
atis
fact
ory
2009
-11
UTE
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scal
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r 200
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it1
13/
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udit
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se 2
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ngin
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ffice
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ner U
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udit
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urity
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it1
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y A
udit
40
7/31
/200
9Im
plem
ente
d20
09-0
3U
TTD
epar
tmen
t of C
omm
unic
atio
ns1
15/
31/2
010
Sat
isfa
ctor
y20
10-0
2U
TTO
ffice
of S
pons
ored
Res
earc
h A
udit
24/
30/2
010
Sat
isfa
ctor
y20
09-0
8U
TTU
nive
rsity
Pol
ice
Dep
artm
ent
10
12/3
1/20
09Im
plem
ente
d20
10-0
2U
TSW
MC
Phy
sici
an B
illin
g C
ompl
ianc
e1
7/30
/201
0S
atis
fact
ory
2008
-05
UTM
B -
Gal
vest
onIn
form
atio
n S
yste
ms
Cha
nge
Man
agem
ent P
roce
ss2
28/
31/2
010
Sat
isfa
ctor
y20
08-0
5U
TMB
- G
alve
ston
Info
rmat
ion
Sec
urity
Act
ion
Pla
n2
02/
28/2
010
Impl
emen
ted
2009
-12
UTM
B -
Gal
vest
onE
pic
App
licat
ion
18/
31/2
010
Sat
isfa
ctor
y20
09-1
2U
TMB
- G
alve
ston
Fisc
al Y
ear 2
009
Ann
ual F
inan
cial
Rep
ort A
udit
01/
31/2
010
Impl
emen
ted
2010
-02
UTH
SC
-Hou
ston
Tim
e an
d E
ffort
Rep
ortin
g4
8/31
/201
0S
atis
fact
ory
2009
-07
UTH
SC
- S
an A
nton
ioC
ash
Han
dlin
g/P
artic
ipan
t Rei
mbu
rsem
ent A
ccou
nts
Aud
it2
26/
30/2
010
Sat
isfa
ctor
y20
09-0
8U
THS
C -
San
Ant
onio
Cha
nge
in M
anag
emen
t - P
olic
e A
udit
20
1/15
/201
0Im
plem
ente
d20
07-0
6U
TMD
AC
C -
Hou
ston
Con
flict
of I
nter
est
11
2/28
/201
0*S
atis
fact
ory
2007
-09
UTM
DA
CC
- H
oust
onM
aint
enan
ce a
nd S
ecur
ity o
f Bio
logi
cal R
esea
rch
Mat
eria
ls1
18/
31/2
009
*S
atis
fact
ory
2007
-10
UTM
DA
CC
- H
oust
onR
esea
rch
Com
plia
nce
Des
ign
Rev
iew
11
8/31
/201
0S
atis
fact
ory
2008
-05
UTM
DA
CC
- H
oust
onC
linic
al T
rial R
esea
rch
11
5/31
/201
0S
atis
fact
ory
2009
-03
UTM
DA
CC
- H
oust
onW
irele
ss a
nd F
irew
all R
emot
e A
cces
s S
ecur
ity A
sses
smen
t4
42/
31/2
012
Sat
isfa
ctor
y20
09-0
3U
TMD
AC
C -
Hou
ston
Rev
iew
of P
atch
Man
agem
ent
11
11/3
0/20
09 *
Sat
isfa
ctor
y20
09-0
3U
TMD
AC
C -
Hou
ston
Rev
iew
of P
erfo
rman
ce a
nd C
apac
ity M
onito
ring
44
8/31
/200
9 *
Sat
isfa
ctor
y20
09-0
3U
TMD
AC
C -
Hou
ston
Rev
iew
of P
atie
nt H
isto
ry O
racl
e D
atab
ase
Sec
urity
33
5/31
/200
9*S
atis
fact
ory
2009
-05
UTM
DA
CC
- H
oust
onB
usin
ess
Con
tinui
ty P
lan
Rev
iew
11
2/28
/201
0**
Sat
isfa
ctor
y
1st Q
uart
er 2
010
2nd
Qua
rter
201
0O
vera
ll Pr
ogre
ss
Tow
ards
C
ompl
etio
n
(Not
e)
Targ
eted
Im
plem
enta
tion
Dat
eA
udit
Inst
itutio
nR
epor
t Dat
e
Info
rmat
ion
Rec
eive
d fro
m In
tern
al A
udit
Dire
ctor
s an
d C
hief
Bus
ines
s O
ffice
rsC
onso
lidat
ed b
y: S
yste
m A
udit
Offi
ceM
arch
201
0
65
THE
UN
IVER
SITY
OF
TEXA
S SY
STEM
Impl
emen
tatio
n St
atus
of O
utst
andi
ng S
igni
fican
t Fin
ding
s/R
ecom
men
datio
ns
Ran
king
# o
f Si
gnifi
cant
Fi
ndin
gsR
anki
ng #
of
Sign
ifica
nt
Find
ings
1st Q
uart
er 2
010
2nd
Qua
rter
201
0O
vera
ll Pr
ogre
ss
Tow
ards
C
ompl
etio
n
(Not
e)
Targ
eted
Im
plem
enta
tion
Dat
eA
udit
Inst
itutio
nR
epor
t Dat
e
2010
/02
UTM
DA
CC
- H
oust
onIn
form
atio
n S
ecur
ity O
rgan
izat
ion
Rev
iew
55/
31/2
010
Sat
isfa
ctor
y20
05-1
2U
TSY
S A
DM
Sys
tem
wid
e Fi
nanc
ial A
udit
Fisc
al Y
ear 2
005
11
9/1/
2010
Sat
isfa
ctor
y20
06-0
6U
TSY
S A
DM
UTI
MC
O In
stitu
tiona
l Inv
estm
ent a
nd C
ompl
ianc
e A
udits
11
8/31
/201
0S
atis
fact
ory
T
otal
s47
***
53
2010
-03
UTP
AFi
nanc
ial P
ortio
n of
the
Sta
tew
ide
Sin
gle
Aud
it R
epor
t for
the
Yea
r End
ed A
ugus
t 31,
200
91
9/30
/201
0S
atis
fact
ory
2010
-03
UTP
AFe
dera
l Por
tion
of th
e S
tate
wid
e S
ingl
e A
udit
Rep
ort f
or th
e Y
ear E
nded
Aug
ust 3
1, 2
009
48/
31/2
010
Sat
isfa
ctor
y20
09-0
3U
TPB
Fede
ral P
ortio
n of
the
Sta
tew
ide
Sin
gle
Aud
it R
epor
t for
the
Yea
r End
ed A
ugus
t 31,
200
81
03/
31/2
010
Impl
emen
ted
2010
-02
UTP
BS
outh
ern
Ass
ocia
tion
of C
olle
ges
and
Sch
ools
Fin
anci
al S
tate
men
t Rev
iew
Fis
cal Y
ear 2
009
18/
31/2
010
Sat
isfa
ctor
y20
09-0
8U
TSW
MC
- D
alla
sC
ampu
s S
ecur
ity E
mer
genc
y M
anag
emen
t Pla
ns A
udit
33
12/3
1/20
10S
atis
fact
ory
2010
-03
UTS
WM
C -
Dal
las
Fina
ncia
l Por
tion
of th
e S
tate
wid
e S
ingl
e A
udit
Rep
ort f
or th
e Y
ear E
nded
Aug
ust 3
1, 2
009
14/
30/2
010
Sat
isfa
ctor
y20
10-0
3U
TSW
MC
- D
alla
sFe
dera
l Por
tion
of th
e S
tate
wid
e S
ingl
e A
udit
Rep
ort f
or th
e Y
ear E
nded
Aug
ust 3
1, 2
009
03/
1/20
10Im
plem
ente
d20
10-0
3U
THS
C -
Hou
ston
Fede
ral P
ortio
n of
the
Sta
tew
ide
Sin
gle
Aud
it R
epor
t for
the
Yea
r End
ed A
ugus
t 31,
200
9 0
1/29
/201
0Im
plem
ente
d20
10-0
3U
THS
C -
Hou
ston
Fina
ncia
l Por
tion
of th
e S
tate
wid
e S
ingl
e A
udit
Rep
ort f
or th
e Y
ear E
nded
Aug
ust 3
1, 2
009
17/
31/2
010
Sat
isfa
ctor
y20
10-0
3U
THS
C -S
an A
nton
ioFi
nanc
ial P
ortio
n of
the
Sta
tew
ide
Sin
gle
Aud
it R
epor
t for
the
Yea
r End
ed A
ugus
t 31,
200
90
3/1/
2010
Impl
emen
ted
2010
-03
UTH
SC
- S
an A
nton
ioFe
dera
l Por
tion
of th
e S
tate
wid
e S
ingl
e A
udit
Rep
ort f
or th
e Y
ear E
nded
Aug
ust 3
1, 2
009
211
/30/
2009
*S
atis
fact
ory
2007
-05
UTS
YS
AD
MC
harit
y C
are
at H
ealth
-Rel
ated
Inst
itutio
ns1
110
/31/
2010
Sat
isfa
ctor
y
T
otal
s5
14
Col
or L
egen
d:
Eith
er a
new
sig
nific
ant f
indi
ng fo
r whi
ch c
orre
ctiv
e ac
tion
will
be
take
n in
the
subs
eque
nt q
uarte
r or a
pre
viou
s si
gnifi
cant
find
ing
for w
hich
no/
limite
d pr
ogre
ss w
as m
ade
tow
ards
impl
emen
tatio
n.
Sig
nific
ant f
indi
ng fo
r whi
ch s
ubst
antia
l pro
gres
s to
war
ds im
plem
enta
tion
was
mad
e du
ring
the
quar
ter.
Sig
nific
ant f
indi
ng w
as a
ppro
pria
tely
impl
emen
ted
durin
g th
e qu
arte
r and
will
no
long
er b
e tra
cked
.
Not
e:
Impl
emen
ted
- Th
e In
tern
al A
udit
Dire
ctor
dee
ms
the
sign
ifica
nt fi
ndin
g ha
s be
en a
ppro
pria
tely
add
ress
ed/re
solv
ed a
nd s
houl
d no
long
er b
e tra
cked
.Sa
tisfa
ctor
y -
The
Inte
rnal
Aud
it D
irect
or d
eem
s th
at th
e si
gnifi
cant
find
ing
is in
the
proc
ess
of b
eing
add
ress
ed in
a ti
mel
y an
d ap
prop
riate
man
ner.
Uns
atis
fact
ory
- Th
e In
tern
al A
udit
Dire
ctor
dee
ms
that
the
sign
ifica
nt fi
ndin
g is
not
bei
ng a
ddre
ssed
in a
tim
ely
and
appr
opria
te m
anne
r.
* Rec
omm
enda
tion
deem
ed to
be
impl
emen
ted
per m
anag
emen
t and
aw
aitin
g ve
rific
atio
n an
d va
lidat
ion
by in
tern
al a
udit.
**A
wai
ting
upda
ted
impl
emen
tatio
n da
te fr
om th
e in
stitu
tion.
*** T
he to
tal U
. T. S
yste
m s
igni
fican
t fin
ding
s fo
r the
firs
t qua
rter o
f 201
0 w
as p
revi
ousl
y re
porte
d as
44
due
to th
e ex
clus
ion
of th
ree
findi
ngs
from
U. T
. M. D
. And
erso
n C
ance
r Cen
ter's
Rev
iew
of P
atie
nt H
isto
ry O
racl
e D
atab
ase
Sec
urity
, whi
ch w
ere
erro
neou
sly
repo
rted
as im
plem
ente
d.
Sig
nific
ant f
indi
ng fo
r whi
ch s
ubst
antia
l pro
gres
s to
war
ds im
plem
enta
tion
was
mad
e du
ring
the
quar
ter t
hat t
he s
igni
fican
t fin
ding
was
firs
t rep
orte
d.
STA
TE A
UD
ITO
R'S
OFF
ICE
AU
DIT
S
Info
rmat
ion
Rec
eive
d fro
m In
tern
al A
udit
Dire
ctor
s an
d C
hief
Bus
ines
s O
ffice
rsC
onso
lidat
ed b
y: S
yste
m A
udit
Offi
ceM
arch
201
0
66
Institution AuditUTAUS National College Athletic Association Football AttendanceUTAUS Change in Management - Thompson Conference CenterUTAUS Texas Education Research CenterUTAUS Information Technology Change ManagementUTAUS Cash Management and Cash Handling PolicyUTAUS Change in Management - Department of American StudiesUTAUS Change in Management - Ferguson Structural Engineering LaboratoryUTAUS Change in Management - University Interscholastic LeagueUTAUS Change in Management - Office of AdmissionsUTAUS Change in Management - Department of Human Development and Family SciencesUTAUS Texas Administrative Code, Chapter 202
UTB Fiscal Year 2009 Audit of Dual EnrollmentUTB Fiscal Year 2010 Audit of President’s Travel and Entertainment ExpensesUTB Fiscal Year 2010 Audit of Texas Workforce Commission Contract No. 2407SDF001UTB Fiscal Year 2009 Annual Financial Report AuditUTD President's Travel and EntertainmentUTD Executive EducationUTD ConstructionUTD Cash Handling and Cash ManagementUTD University Police
UTEP Student Tuition and FeesUTEP Texas Administrative Code Chapter 202 Audit - Phase 3UTEP National Hackerman Advanced Research ProgramsUTEP Technology TransferUTPA National College Athletic Association Compliance EligibilityUTPA Texas Administrative Code, Chapter 202 AuditUTSA Information Technology Organizational FundingUTSA Institutionally Managed Construction ProjectsUTTY Annual Financial Report Audit 2009 UTTY Endowment Management Fee ReviewUTTY Annual Follow-upUTTY Review of Business Continuity Plan
UTSMC - Dallas National Pediatric Infectious Disease Foundation Fiscal Year 2009 Annual Financial Report AuditUTSMC - Dallas Physical Plant Central Data and Acquisition System AuditUTSMC - Dallas Fiscal Year 2009 Financial Statement AuditUTSMC - Dallas University Hospitals Quality IndicatorsUTSMC - Dallas Expenditure Review - High Risk AreasUTSMC - Dallas Advanced Research Program GrantsUTSMC - Dallas Physician Billing Compliance
UTHSC - Houston Follow-up on Open RecommendationsUTHSC - Houston UTHSC-H Financial Statement Assurance WorkUTHSC - Houston Presidential Travel and EntertainmentUTHSC - Houston Endowment Management FeesUTHSC - Houston Texas Higher Education Coordinating Board Family Practice Residency Program Fiscal Year 2009 Annual
Financial Report AuditUTHSC - Houston Texas Higher Education Coordinating Board Obstetrics and Gynecology Residency Program Fiscal Year 2009
Annual Financial Report AuditUTHSC - Houston Texas Higher Education Coordinating Board Obstetrics and Gynecology Residency Program at LBJ Hospital
Fiscal Year 2009UTHSC - Houston Texas Higher Education Coordinating Board Internal Medicine Residency Program Fiscal Year 2009 Annual
Financial Report AuditUTHSC - Houston Texas Higher Education Coordinating Board Family Practice Preceptorship Program Fiscal Years 2008 and
2009 Annual Financial Report AuditUTHSC - Houston Follow-up on Open Recommendations
UTHSC - San Antonio Research Grants: Review of Expenditures AuditUTHSC - San Antonio Institutional Follow-UP - 1st QuarterUTHSC - San Antonio President's Office: Expenditures AuditUTHSC - San Antonio Family Practice Residency Program Audit
OTHER U. T. SYSTEM AUDIT REPORTS RECEIVED BY SYSTEM AUDIT 12/2009 through 2/2010
Information Received from Internal Audit Directors Consolidated by: System Audit OfficeMarch 2010
67
Institution Audit
OTHER U. T. SYSTEM AUDIT REPORTS RECEIVED BY SYSTEM AUDIT 12/2009 through 2/2010
UTHSC - San Antonio Institutional Follow Up: 2nd QuarterUTHSC - San Antonio Internal Medicine Primary Care Residency ProgramUTHSC - San Antonio Regional Academic Health Center Internal Medicine Primary Care Residency ProgramUTHSC - San Antonio Department of Pediatrics, Primary Care Residency ProgramUTMDACC - Houston Human Resources ComplianceUTMDACC - Houston Advanced Recovery Programs/Advanced Technology Programs
UTHSC - Tyler Fiscal Year 2009 Annual Financial Report AuditUTHSC - Tyler UTS166 Cash Management Audit - Cash Flow AnalysisUTHSC - Tyler Family Medicine Residency Program Annual Financial Report Audit Fiscal Year 2009UTSYS ADM Information Technology GovernanceUTSYS ADM Fiscal Year 2009 Annual Financial Report Consolidation Process AuditUTSYS ADM Facilities Management Departmental AuditUTSYS ADM National College Athletic Association Fiscal Year 2009 - UT El Paso UTSYS ADM National College Athletic Association Fiscal Year 2009 - UT Pan AmericanUTSYS ADM National College Athletic Association Fiscal Year 2009 - UT San AntonioUTSYS ADM National College Athletic Association Fiscal Year 2009 - UT ArlingtonUTSYS ADM National College Athletic Association Fiscal Year 2009 - UT Permian BasinUTSYS ADM Follow-up on Information TechnologyUTSYS ADM Facilities Management Operational AuditUTSYS ADM Federation Member Operating Practices AuditUTSYS ADM UT Brownsville President's Office Expenditures AuditUTSYS ADM Board of Regents Travel, Entertainment Expenses Audit
Institution AuditUTSA, UTTY, UTPB,
UTHSC -Houston, Fiscal Year 2009 Southern Association of Colleges and Schools Accreditation Financial Review
UTA, UTAUS, UTPA, UTT, UTMB, UTHSC - Houston, UTHSC - San Antonio, UTMDACC -
Houston
State of Texas Federal Portion of the Statewide Single Audit Report for the Year Ended August 31, 2009
UTAUS, UTSA, UTHSC - Houston, UTSWMC - Dallas, UT SYS ADM
State of Texas Financial Portion of the Statewide Single Audit Report for the Year Ended August 31, 2009
STATE AUDITOR'S OFFICE AUDIT REPORTS RELEASED 12/2009 THROUGH 2/2010
Information Received from Internal Audit Directors Consolidated by: System Audit OfficeMarch 2010
68
