This document discusses extracting data from various university systems for internal auditing purposes. It provides examples of types of audits including payroll, procurement, space management, and research. It also lists the types of data that may be required, including payroll, financial, purchase order, expense, supplier, student, and research records. The document notes that internal audit has authority to access all relevant documents and records to perform their responsibilities, and all staff are obligated to provide assistance. It discusses techniques for extracting the necessary data, including filtering suppliers and transactions by name and rounding amounts. Training and assistance are offered to ensure the right data is obtained.

1. Extracting data for IDEA analysis
Kate Crichton
IDEA User Group
6 June 2013

2. Examples of audits
• Payroll
– Additional payment
– Payroll deductions
– On-call and call-out
– Pay modernisation and overtime
• Procurement
• Space management
• Severance payments

3. … more examples
• Utilities
• Printing services
• Bar
• Student Withdrawals – HESA return
• Non-salary payments
• Intellectual property
• Expenses

4. … still more examples
• Research – prep for REF2014
• Studentships and research scholarships
• Let property
• Key Information Sets
• Data Protection compliance
• Authorisations
• location-based audits

5. Summary of data requirements
• Payroll
• Financial – purchases / sales
• Purchase orders – who / what / how much /
which supplier
• Expenses – who / authorised by / how much
• Supplier bank account details
• BACS files

6. Summary (contd)
• Authorisations
• Student records
• Course and degree enrolments
• Researchers and research output
• Intellectual property
• Room dimensions and classifications
• Departmental spreadsheets
• Other orgs’ data – Research Councils

7. Authority
Internal Audit has the Court’s authority to
access all documents, records, personnel and
physical properties which it considers relevant
to audit assignments and necessary to fulfil its
responsibilities. There is an obligation on all staff
to provide all necessary assistance.
Approved by Court

8. Screen shots removed
• Slides have been removed to ensure privacy.
Author happy to answer individual queries.
Contact details at end.
• Slides show data extract screens from systems
for finance, purchasing, staff & payroll,
authorisations, intellectual property, research
management, student records.

9. Extraction criteria – drop companies
@isini( "&" , SUPPLIER_NAME ) =0 .AND.
@isini( "plc" , SUPPLIER_NAME )= 0 .AND.
@isini( "Supplies" , SUPPLIER_NAME ) = 0 .AND.
@isini( "College" , SUPPLIER_NAME )= 0 .AND.
@isini( "trading" , SUPPLIER_NAME )= 0 .AND.
@isini( "University" , SUPPLIER_NAME )= 0 .AND.
@isini( "Edinburgh" , SUPPLIER_NAME )= 0 .AND.
@isini( "centre" , SUPPLIER_NAME )= 0 .AND.
@isini( "Agency" , SUPPLIER_NAME )= 0 .AND.
@isini( "Design" , SUPPLIER_NAME )= 0 .AND.
@isini( "limited" , SUPPLIER_NAME )= 0 .AND.
@isini( "services" , SUPPLIER_NAME )= 0 .AND.
@isini( "photography" , SUPPLIER_NAME )= 0 .AND.
@isini( "International" , SUPPLIER_NAME )= 0

11. Extraction criteria:
Pick out round numbers
AMOUNT - ((@int( AMOUNT /50))*50) = 0

12. case sensitive
• fred1 = FRED1
• Upper_case_userID = @upper(userID)

13. Key points
• Authority
• Be assured, data is gettable!!
• Speak to right person
• Read-only access
• Be inventive and creative
• Reasonableness check
• Training courses
• Keep notes

14. Happy to answer questions
Contact
Kate.Crichton@ed.ac.uk