Berkeley Lab

Annual Audit Plan

The Audit Plan Preparation Phase is performed upon completion of the Risk Assessment Phase.

The annual audit plan is driven by two key factors: (1) risk assessment results and (2) Internal Audit resources. The goal is to address the highest risk areas at the Lab given the resources available to the Internal Audit Services Department. Changes in either or both areas, for example a change in high risk areas, may lead to a change in the plan. Per University guidelines, changes to the audit plan are addressed with the Lab advisory audit committee which includes the Laboratory Director and UC’s Chief Compliance and Audit Officer.

FY17 Annual Audit Plan

  • FY16 Cost Allowability (Annual)
  • FY16 Home Office Costs (DOE required)
  • Gifts (DOE required)
  • OMB Circular A-123 IT Controls
  • Technology Transfer Phase II
  • Time & Effort Reporting
  • Construction Project Closeout
  • Electronic Requests for Issuance of Check
  • Benefits Eligibility
  • CY16 Annual Report on Executive Compensation and Outside Professional Activities (Advisory)
  • Affirmative Action Plan (Advisory)
  • Multi-Factor Authentication Post-Implementation (Advisory)