Advisory Services

Introduction

Would you like a fresh perspective on your operational or internal controls processes? Ever wonder what your data says about you? Are you concerned about possible fraud in your department? Audit & Advisory Services (A&AS) can help you work through these concerns, and more!

In addition to regular audits, A&AS provides Advisory Services to the UCSF community to assist departments in identifying potential risks, help improve operational efficiency and find solutions to recurring issues. We continually strive to provide independent and objective consulting services that will add value and improve operations.

Designed to be proactive or preventive in nature, Advisory Services can be requested at any time by UCSF departments. 

Request an Advisory Services consultation. Please complete an Engagement Request Form.

Risk advisory and consultations
Current-state assessments
Process mappings and operational improvements
Data analytics and continuous monitoring
Root cause analysis
Design validation
System implementation
Policy reviews
Benchmarking
Committee participation

Risk advisory and consultations

A&AS leverages (1) our knowledge of risks and controls as well as (2) subject matter specialists to provide guidance on risks to the organization as well as appropriate mitigation strategies. We may accomplish this by conducting interviews, walkthroughs, data analysis or a combination thereof. Deliverables may be reports, presentations, process maps or memos outlining results of the consultation; they typically include related risks and controls and recommendations for improvement.

Past projects include:

  • Surplus Donations Process review
  • Fire and Life Safety Equipment Maintenance
  • Data Security Compliance Program validation

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Current-state assessments

A&AS works with departments to review and document the current state of a system or operation in order to identify control gaps or to prepare for future changes. Deliverables may be process flow diagrams or narratives or both; they include risk and control points and relevant regulatory or policy requirements.

Past projects included Subaward Monitoring, for which A&AS developed a set of process flowcharts along with a table of key controls, including key risks and expected controls. Additionally, A&AS identified new Uniform Guidance requirements and preliminary assessment along with recommendations for improvement areas related to the process.

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Process mappings and operational improvements

By documenting and analyzing business processes, A&AS identifies opportunities for increased efficiency, detects control gaps, or both. We obtain a thorough understanding of the process by interviewing process owners and conducting walkthroughs. We document that understanding using process maps or narratives (or both) that are then analyzed for control gaps, redundancies and opportunities for enhanced efficiency.

Deliverables include process maps and narratives describing requirements, risks, controls, and responsibilities and recommendations for improvements to the process and for control enhancements. Past projects include FM Internal Controls Assessment.

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Data analytics and continuous monitoring

Using analytics and visualization tools such as ACL Analytics Exchange and Tableau, A&AS can create automated reports to enable management to review business processes continually. We partner with departments to assess their needs and develop ad-hoc analyses, customizable scripts and reports that can be implemented into the department’s business processes.

A&AS has expertise in examining data to uncover patterns, correlations, current trends and other information that our clients can use to increase productivity, identify risks or errors, make better decisions and identify potential solutions. The data can be provided by clients or pulled from various University systems. 

Past projects include:

  • Administrative and Non-payroll Expenses for Federal Funds – Automated scripts to identify administrative expenses, normally considered part of the indirect costs, that may be charged against federal awards.
  • Overtime – Automated scripts to identify departments and employees with the highest percentage of overtime and on-call salary relative to total salary.
  • Stipends – Automated scripts to identify departments and employees with the highest percentage of stipend or by-agreement salary relative to total salary.

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Root cause analysis

When repeated or significant errors are observed, A&AS can help identify the control gaps in the system or process that are allowing the problems to occur. We research the identified concerns by conducting interviews or walkthroughs (or both), performing data analysis, creating causal diagrams or process maps or a combination of these actions. We then use this information to pinpoint the core source of the observed problem and provide recommendations to address the root cause(s).

Past projects include UCSF Health and BCH Oakland Accounts Payable.

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Design validation

A&AS can review newly designed systems or processes to verify that development occurred appropriately, controls are built in and inefficiencies have been minimized.

Past projects included SFGH Refund Automation, where A&AS (1) reviewed process flows and system design specifications and (2) participated in discussions with operational and technical stakeholders, to identify and mitigate risks in refund processing, posting and monitoring.

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System implementation

When new systems are being implemented, A&AS can provide input on control needs and regulatory and policy requirements, enabling our clients to address proactively risks that may necessitate system modifications or adjustments. A&AS can also monitor the process of implementation to validate that all steps in the Project Life Cycle are being completed appropriately.

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Policy reviews

A&AS can provide support and guidance to departments in creating policies or documenting procedures to achieve business goals. A&AS may review policies and provide suggestions for improved clarity or coordination with existing UC Policies and state and federal regulations. Past projects include Pharmacy Billing, where A&AS helped provide direction on policy structure and content for a newly created medication billing integrity policy.

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Benchmarking

Drawing from our peer group of UC campuses as well as our connections at other universities across the country, A&AS is able to obtain data about a broad range of processes. This benchmarking data can then be used to determine how well they are performing, provide support for decisions to make changes to structure or processes, and improve operational efficiency by applying best practices identified through the benchmarking process. Past projects include a Background Check Advisory.

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Committee participation

A&AS participates on a variety of committees to provide input on risks, controls, and requirements, and welcomes invitations to existing or new committees. By applying broad institutional and regulatory knowledge as well as subject matter expertise, A&AS can help management proactively identify and address risks.

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