UCSD

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        UCSD Audit & Management Advisory Services 

Training

Audit and Management Advisory Services is involved with Staff Education and Development in providing various types of training for UCSD staff.  Below is a listing of these types of programs currently available.

PROGRAMS CURRENTLY AVAILABLE:

• The Red Flags Of Fraud

• Protocols For Surviving An Audit

• Internal Controls - What Are They And Why Should You Care

• Financial Link:  Risk-Based Analysis

• Post-Award Administration Workshop

PRESENTERS  Stephanie Burke and/or Robert Mannie

INTENDED FOR  This class is intended primarily for University employees with fiscal oversight responsibilities (e.g., managers business officers, fund managers, bookkeepers, etc.) who would benefit in having a general awareness of fraud topics and circumstances that may be indicative of fraudulent activity.

DESCRIPTION  The class provides an overview of some common characteristics of employees who have perpetrated a fraud against their employer, as well as the circumstances that motivated them.  Presenters describe recent acts of fraud committed in the University environment, and the breakdown in internal controls that allowed the acts to be committed. Presenters also address both the legal environment and University policy as they relate to "whistle blowing," and the effort associated with investigating potential improper governmental activities.

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PRESENTERS  Stephanie Burke and/or Terri Buchanan

INTENDED FOR  This class is intended primarily for University employees with fiscal oversight responsibilities (e.g., department management, business officers, fund managers, etc. ) who would benefit in understanding a strategy for surviving a review of their department by an outside agency such as a research sponsor.

DESCRIPTION  The class provides an overview of the audit process, the audit liaison role of Audit & Management Advisory Services, and actions that the department being audited may have to take in response to the audit.  Presenters provide an overview of recent audit coverage by sponsoring agencies, and some common audit tactics.  Finally, the class provides an overview of the process for internal reviews conducted by UCSD Audit & Management Advisory Services.

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TITLE  "Internal Controls - What They Are and Why You Should Care"

PRESENTERS  Stephanie Burke and/or David Meier

INTENDED FOR  This class is intended primarily for University employees with any fiscal oversight responsibilities  (e.g., department managers, business officers, fund managers, bookkeepers, etc.) who would benefit from general knowledge about internal controls and good business practices.

DESCRIPTION  The class provides an overview of the system-wide framework for evaluating internal controls that was developed by the Council of Sponsoring Organizations (COSO).  Presenters provide a detailed description of the COSO model, the five elements of good internal controls, and how they relate to business objectives in the University environment. Presenters also provide an overview of current campus initiatives to improve accountability and controls, and various tools that can be used to assess performance within attendees' departments.

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PRESENTERS  Greg Buchanan

INTENDED FOR  University employees with any fiscal oversight responsibilities (e.g., department managers, business officers, fund managers, bookkeepers, etc.) who have responsibility for monitoring and reconciliation of financial transactions. Emphasis is on FinancialLink features and other tools that can be used to facilitate a risk-based approach to ledger reconciliation.

DESCRIPTION  In anticipation of continued student growth and limited administrative resources, new approaches may be effective towards meeting financial oversight responsibilities. In this course, you will learn how to apply a risk-based approach to reviewing your financial operating ledgers using Financial Link tools.

This is not an introductory course. Course attendees should be experienced with Financial Link Tools and aware of their departmental funds and transactions. It would be especially helpful if the attendees were familiar with use of the Ledger Reviewer or Annotator. For each attendee, an IFIS user ID and Group Identifier is required. Please see also the Required Preparation, below.

This course will help you to:

• Improve efficiency by monitoring financial activity on a risk basis;
• Define risk in the context of financial ledger review;
• Learn how to prioritize transactions based on the level of risk;
• Utilize IFIS early index inactivation and account code/fund warnings;
• Utilize Financial Link tools using transaction attributes;
• Reconcile ledgers electronically and more timely (versus using hard copy ledgers).

Required Preparation: This is not an introductory course. Class attendees should have possession of a valid IFIS user ID, Group Identifier Code, experience working with their department financial records, and should have attended FinancialLink 101: The Basics or have equivalent experience.

INTENDED FOR  Employees performing contract and grant administration.

DESCRIPTION  This four-session workshop is a joint effort between the Office of Contract and Grant Administration (OCGA), the Audit and Management Advisory Services (AMAS), Office of Post award Financial Services (OPAFS), Business Contracts and Capitalized Assets, Division of Purchasing and the Department of Surgery.  The class focuses on three major areas of post-award administration: policies, regulations and procedures; internal controls for accountability and compliance at the central administration and departmental levels, and managing and administering contract and grant activities.  The basic policies and regulations covered include the OMB Circulars; Cost Accounting Standards; PHS and NSF agency requirements; FAR; FDP; and University, State, and private sponsor requirements. The course covers procedures associated with advance approvals, award review and acceptance, institutional and agency prior-approval requirements, award modification, terminations, final report requirements and cost transfers. Other topics include: consultant agreements, equipment, subcontracting, internal and external audits, along with a perspective of internal controls within a department.

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