Post on 08-Mar-2016
description
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internal controls for both organizational units, such as a department or college, and functions, such as payroll. We also conduct compliance, fraud, financial statement, and information technology audits. And, mostly from management requests, we perform several efficiency and effectiveness studies on topics such as a 2010 review of the effectiveness of the capital projects process and a 2011 review to determine cost reductions in the operations of a Knoxville campus residence hall.
2011 Accomplishments
2011 number of projects by campus
University-wide Administration 6Knoxville 19Health Science Center 16Chattanooga 3Martin 7Institute of Agriculture 2Institute for Public Service 1
As shown above, we performed projects at every campus in the UT system. In addition to the major projects categorized here, we performed procurement card audits and equipment audits at every campus and institute except the UT Space Institute (UTSI). We also conducted follow-up audits to ensure that our recommendations in previous years’ audits were implemented. The oversight of UTSI has been moved to the UT Knoxville College of Engineering, and projects conducted there will in the future be reported as Knoxville projects. Several projects at the Space Institute were begun in 2011 and will be reported on their completion in 2012. Consistent with past years, most of the projects were conducted for UT Knoxville and the UT Health Science Center, our flagship campus and the medical center with large amounts of research activity.
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BOARD OF TRUSTEES
PRESIDENT
ExEcUTIvE ASSISTANTTO PRESIDENT
cHANcELLORUTK
cHANcELLORUTM
cHIEF OPERATINGOFFIcER UTSI
INTERIM vIcE PRESIDENT
AcADEMIcAFFAIRS &
STUDENT SUccESS
cHIEF HUMANRESOURcES
OFFIcER
vIcE PRESIDENTIPS
vIcE PRESIDENTPUBLIc &
GOvERNMENTRELATIONS
ExEcUTIvE vP/vP RESEARcH & EcONOMIc
DEv/ORNLRELATIONSHIPS
vIcE PRESIDENTEQUITY &DIvERSITY
vIcE PRESIDENTDEvELOPMENT
& ALUMNI AFFAIRS
TREASURER, cHIEFINvESTMENT
OFFIcER & INTERIM cFO
ExEcUTIvEDIREcTORAUDIT &
cONSULTINGSERvIcES
cHANcELLORUTc
cHANcELLORUTIA
cHANcELLORUTHSc
GENERAL cOUNSEL& SEcRETARY
ADMINISTRATIvE ASSISTANT
AUDITcOMMITTEE
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executive DirectorSAndy JAnSen
compliAnce officersLeIgH CHeeK – CoMP. offICer
it AuDitsVACAnt – Sr. AUdItor
AssistAnt DirectorJUdy BUrnS
performAnce AuDitsVACAnt – PerforMAnCe AUdItorVACAnt – PerforMAnCe AUdItor
investigAtionsBrIttAny BArnett – AUdItor
JAy tAyLor – AUdItor
LIndA MArIon – CoordInAtor
AssociAte DirectorJoHn fox
Knoxville AuDitorsKASAndrA Atwood – Sr. AUdItor
JAMeS Hodge – Sr. AUdItorJeSSICA LeonArd – ASSoC. AUdItoreLIzABetH HALL – ASSoC. AUdItor
procurement cArD AuDitsnAnCy LAnge – AUdItor
StUdent worKerS
support stAffSHeLLy getty – AdMIn. SPeCIALISt II
VACAnt – AdMIn SPeCIALISt I
memphis AuDitorsLeon HUrt – MAnAgerVACAnt – ASSt. AUdItor
VACAnt – ASSoC. AUdItor
Director of institutionAl compliAnce
BILL MoLeS
chAttAnoogA AuDitorsSteVe BAMBUrg – Sr. AUdItor
BILL MILLer – ConSULtAnt
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2011 Audit YearDate Issued campus Project Description Type Recommendations
Implemented comments
Dec 2009 UTHSC Clinical Education–Chattanooga Other No Given 6 months to complete
March 2011 UTHSC Pharmacy Audit Yes
March 2011 UTK Parents Association Audit Yes
April 2011 UTK 911 System IT Yes
May 2011 UTK Center for Trans Research Investigation Yes
May 2011 UWA IRIS Oracle Database IT No Agreed to accept risks
May 2011 UTK Athletics–Gift Funds Audit No Agreed to accept risks
June 2011 CVM Pharmacy Investigation Yes
June 2011 UTK Outreach and Continuing Ed Investigation Yes
July 2011 UTK Trans Services–Conflict of Interests Investigation Yes
July 2011 UTK 2009 NCAA Compliance Audit No Agreed to complete
Aug 2011 UTK Arena–Conflict of Interests Investigation Yes
Aug 2011 UTC Purchasing Audit Yes
Sept 2011 UTC Residence Halls Audit Yes
Sept 2011 UTC Top Principal Investigator Audit Yes
Sept 2011 UTC Athletics Audit Yes
Oct 2011 UTK College of Nursing Investigation Yes
Oct 2011 AG CVM Hospital Ops–Time Abuse Investigation Yes
Nov 2011 UTK UTPD Evidence Custodian Change Other Yes
Nov 2011 UTK 2010 NCAA Compliance Audit Yes
Nov 2011 UTK Directory Services IT Yes
Dec 2011 UWA Athletics–Sodexho Contract Audit Yes