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The University of Texas at Dallas
Appendix A
FY 2015 Audit Plan
1
FY 2015 Audit Plan
Audit/Project
Description
Financial
FY 2014 Financial Statement Audit
Internal Audit is required by UTS 142.1, Policy on the Annual Audit Report , Section 6, to perform an annual internal
audit of the monitoring plan for financial statement certifications and validate the assertions on segregation of duties
and account reconciliations.
FY 2014 Financial Statement Audit Assistance to Deloitte Required assistance to Deloitte on the FY 2014 AFR audit of UT System. Hours provided by UT System.
FY 2015 Interim Financial Statement Audit Work Required assistance to Deloitte on the FY 2015 AFR audit of UT System.
Institutional Data Reporting Audit of institutional data reporting to ensure accuracy and integrity of reporting to outside entities.
Journal Entry and Interdepartmental Transfer Process Financial and operational review of the process journal entry accounting.
Receivables
Financial review of the receivables process across all departments, including sponsored programs receivables from
FY 2014 audit plan.
Financial Subtotal
Operational
Note: operational audits to include IT audit work in respective information systems integrated within the audit
objectives.
Career Center Audit of student hiring process, including college work study; CareerWorks system.
Enrollment Management
Risk-based operational audit of admissions process. Potential information systems include Fire Engine Red,
Uachieve, Enrollment Manager.
Gifts Risk-based audit of donations process, including TRIP funds and Raiser's Edge system.
Hiring and Compensation Risk-based operational audit of the hiring and compensation process
Intercollegiate Athletics Change in leadership audit and operational review of athletics.
International Study Abroad Programs Operational audit of the process for international studies abroad process.
Naveen Jindal School of Management
Operational audit of the School's business processes, including a review of bookkeeping, internal controls systems,
and the effectiveness and efficiency of operations and controls.
Policy and Procedures Governance Review of policy management process including policy writing, review and publishing.
President's Travel and Entertainment Required assistance to UT System on President's travel and entertainment expenses audit.
Scholarships
Operational, risk-based audit of the scholarship process, including Title IX compliance as applicable. Data analytics
project.
School of Engineering and Computer Science
Operational audit of the School's business processes, including a review of bookkeeping, internal controls systems,
and the effectiveness and efficiency of operations and controls.
Student Housing
Operational risk-based audit of student housing construction, planning, and operations. High growth in the last years
in this area; StarRez Student Housing System.
Technology Commercialization
Operational and compliance review of intellectual property, technology transfer, patents, start-ups, and other ventures
related to research.
FY 2014 Operational Audits in Process Remaining time estimated as of June 2014 to completed outstanding audits from FY 2014 Audit Plan.
Operational Subtotal
Compliance
Benefits Funding Proportionality
Required by Governor. To be completed by end of 1st Quarter.
Contract and Grants Compliance audit to ensure UT Dallas' compliance with federal and grant requirements.
Executive Travel and Entertainment Required by UT System to determine compliance with executive travel and entertainment expenses
Export Controls Compliance audit to ensure UT Dallas' compliance with export controls regulations.