APPENDIX C draft annual audit plan 2005-6

APPENDIX C draft annual audit plan 2005-6

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APPENDIX C ANNUAL AUDIT PLAN 2005-6 COMPLIANCE AUDITS Dept Days DIRECTORATE Function Audit Education and Lifelong Learning Schools Court Lane Infants Follow up 3 Cumberland Infant Full Schools Audit Programme 5 Manor Infant 5 Craneswater Junior 5 Wimborne Junior 5 Corpus Christi 5 St Judes CE Primary 5 Lyndhurst Junior (Foundation) Full Schools Audit Programme 5 St Pauls RC Primary 5 Admiral Lord Nelson Secondary 5 Priory Secondary 5 Sprinfgfield Secondary 5 Milton Cross Secondary Follow up 3 Contingency for follow -ups/LEA and other requested Audits 15 76 Sub-Total Health Housing Social Care for Single assessment Process to Older and Social Care vulnerable Adults Ensure compliance with Directives 5 People Pilot (SAP) Area Offices Unannounced cash ups 10 LA Housing Internal redecorations allowances Process compliance review 10 Ensure compliance with law, policy, procedures etc re specification, entitlement LA Housing Disabled Facilities Grants assessment; quality checks 5 Ensure compliance with policies etc on inspections, accompanied viewings; work specs; quality LA Housing Void Properties checks; offers 10 Corporate Resources and Financial Services Cash Office Unannounced cash up Services 2 Democratic Ensure compliance with the Services Members allowances process and approved rates 10 Compliance with financial Civic Events and Lord Mayor including Regulations and Insurance Civic Plate requirements 10 Legal Services Land charges ...

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ANNUAL AUDIT PLAN 2005-6
APPENDIX C
COMPLIANCE
AUDITS
DIRECTORATE
Dept
Function
Audit
Days
Education and
Lifelong Learning
Schools
Court Lane Infants
Follow up
3
Cumberland Infant
Full Schools Audit Programme
5
Manor Infant
Full Schools Audit Programme
5
Craneswater Junior
Full Schools Audit Programme
5
Wimborne Junior
Full Schools Audit Programme
5
Corpus Christi
Full Schools Audit Programme
5
St Judes CE Primary
Full Schools Audit Programme
5
Lyndhurst Junior (Foundation)
Full Schools Audit Programme
5
St Pauls RC Primary
Full Schools Audit Programme
5
Admiral Lord Nelson Secondary
Full Schools Audit Programme
5
Priory Secondary
Full Schools Audit Programme
5
Sprinfgfield Secondary
Full Schools Audit Programme
5
Milton Cross Secondary
Follow up
3
Contingency for follow -ups/LEA and
other requested Audits
Follow up
15
Sub-Total
76
Health Housing
and Social Care
Social Care for
vulnerable Adults
Single assessment Process to Older
People Pilot (SAP)
Ensure compliance with Directives
5
Area Offices
Unannounced cash ups
10
LA Housing
Internal redecorations allowances
Process compliance review
10
LA Housing
Disabled Facilities Grants
Ensure compliance with law,
policy, procedures etc re
specification, entitlement
assessment; quality checks
5
LA Housing
Void Properties
Ensure compliance with policies
etc on inspections, accompanied
viewings; work specs; quality
checks; offers
10
Corporate
Resources and
Services
Financial Services
Cash Office
Unannounced cash up
2
Democratic
Services
Members allowances
Ensure compliance with the
process and approved rates
10
Civic Events and Lord Mayor including
Civic Plate
Compliance with financial
Regulations and Insurance
requirements
10
Legal Services
Land charges
Ensure compliance with the
process and approved rates
5
Translation
Services
Translation Services
Ensure charging is in compliance
with agreements
5
Environment and
Transport
Inspections and enforcement
To ensure statutory duties are
being complied with
10
Planning, Transport
Policy and Building
Control
Planning Applications
Review processes to ensure
compliance controls
5
Building Control
ditto
5
Camera Partnership
Compliance with grant terms
2
Economy, Culture
and Community
Safety
Culture
Trust funds
Compliance with trust fund terms
10
ALL
DIRECTORATES
Inventories
Compliance with Financial
Regulations
10
Mobile Phones
Compliance with Mobile Phones
Instructions
10
Fees and Charges
Compliance with Financial
Regulations
10
Forensic examination of PCs
Compliance with IT policies
100
Anti fraud and corruption arrangements
Compliance with policies and
procedures
20
254
TOTAL COMPLIANCE
330
Page 1 of 6
DIRECTORATE
Dept
Function
Audit
Days
CONTRACT
AUDITS
Education and
Lifelong Learning
Schools Services
and Education
Strategy
New School
Project/Contract review:
15
Milton Cross PFI
Contract Review
10
Health Housing
and Social Care
LA Housing
Heating Partnership
10
Repairs and maintenance
10
Asbestos Removal Contracts
Ensure compliance with Statutory
duties and VFM
5
Economy Culture
and Community
Safety
Community
Services
Grounds Maintenance
5
Culture
Special Events
Client Monitoring
10
Environment and
Transport
Traffic and
Transportation
Highways PFI
Client monitoring
20
Public Protection
Coastal Protection
10
Environmental
management
Waste Management Contract
5
Corporate
Resources and
Services
Asset Management
Copnor Bridge
15
Procurement
Select Lists
5
Corporate Contracts
5
CX
Port Manager
Capital Contracts
10
Advice and Contingency
20
TOTAL CONTRACTS
155
IT AUDITS
Corporate
Resources and
Services
IT Services
ICT Security Management
To ensure adoption and
compliance with BS7799/
ISO17799
15
Technical Systems Support
Review of Strategic Management,
compliance with laws, best
practice etc and efficiency and
effectiveness of operations
controls
10
Database Management System support
and administration
Strategic management and
compliance controls review only
10
System dev and project management-
methods and performance
Strategic management control
review
10
Application audit- Comino document
management
Compliance with laws etc,
effectiveness of operations and
integrity of data controls review
10
Application audit- SX3 Housing and
Revenues
Compliance with laws etc,
effectiveness of operations and
integrity of data controls review
10
Change Management
Compliance with best practice etc,
effectiveness of operations and
integrity of data controls review
5
Review of interfaces and reconciliation
processes
particularly of NGFS and its
feeders including cash receipting
and ACMS
10
E-Payments
Follow up audit recommendations
2
FOI
Follow up audit recommendations
2
ICT Strategy
Follow up audit recommendations
1
Radius Cash Receipting
Follow up audit recommendations
2
Ewebsite dev and web enabled forms
Follow up audit recommendations
2
Oracle financials upgrade
Follow up audit recommendations
2
Network management
Follow up audit recommendations
2
Page 2 of 6
DIRECTORATE
Dept
Function
Audit
Days
Novell Netware configuration, set up and
security: joint review with IT
Efficiency and effectiveness
review
15
Outlook email security and control
Fulll review of Strategic
Management, compliance with
policies, laws etc, effectiveness of
operations and integrity of data
controls
10
Intranet/ Internet Management
Access, security and control
review
5
Intranet/ Internet Use, Abuse and
Management
Review of measures taken to
ensure policies are enforced
5
Windows NT configuration, Set up and
Security (Joint Review with IT)
Effectiveness controls review
10
Desktop Computing and support
Review of Strategic Management,
compliance with laws, best
practice etc and efficiency and
effectiveness of operations
controls
15
IT Disaster recovery and business
continuity planning
Review of Strategic Management,
compliance with laws, best
practice etc and efficiency and
effectiveness of operations
controls
15
Customer Relationship Management
Project
Fulll review of Strategic
Management, compliance with
policies, laws etc, effectiveness of
operations and integrity of data
controls
5
Health Housing and
Social Care
SWIFT-PECR Social Services
Application Audit
Fulll review of Strategic
Management, compliance with
policies, laws etc, effectiveness of
operations and integrity of data
controls
10
Education and
Lifelong Learning
Schools - Portsmouth learning net
Project review
10
Port ICT
Review compliances with PCC
policies
10
Contingency for Advice and Consultancy
10
TOTAL IT
213
EFFECTIVENESS
OF OPS AUDITS
Health Housing
and Social Care
Social Care for
vulnerable adults
Domicilliary care/support and purchase of
care and user financial assessments:
contracts
Process Review
5
Direct Payments scheme
Follow up audit recommendations
5
Economy Culture
and Community
Safety
Culture
Museuems and Records, libraries and
TICS
Review of trading outlets in all
establishments for vfm
10
Libraries
VFM review
10
TOTAL EFFECTIVENESS
AUDITS
30
MANAGEMENT
AUDITS
CX
Strategy Unit
Partnerships
Follow up audit recommendations
5
CX
Performance (scorecard)
Follow up audit recommendations
5
CX
Policy Framework
Review of policy Framework
following MTE
15
DET
Corporate
Project management Framework
Follow up to Audit Commission
review
5
CX
Security
Full review of Strategic
Management; Compliance with
Laws, Policies, Best Practice;
Effectiveness and Integrity of
information controls
40
Page 3 of 6
DIRECTORATE
Dept
Function
Audit
Days
DCRAS
Legal and
Democratic
Services
Governance-Framework (Local Code)
Review of Framework: up to date;
effective as a control: approved
5
DCRAS
Legal and
Democratic
services
Governance-Standing Orders/
Delegations
Review of delegations to officers/
Members controls: including
policies and monitoring and
Standing Orders for completeness
and up to date foillowing MTE
review
5
DCRAS
Legal and
Democratic
services
Governance- Codes of Conduct/
Declarations of Interest
Review of Strategic management:
compliance: effectiveness controls
10
DCRAS
Financial Services
Financial Regulations
Review of Financial Regulations to
bring them up to date following
MTE
20
DET
Corporate
Risk Management Framework
Follow up to Audit Commission
Report
5
DCRAS
Revenues and
benefits
NFI data matching
Audit Commission initiative;
matching of payroll and benefit
data to all other LAs nationally.
Driven internally by IA.
20
DCRAS
Financial Services
Medium Term Resource Strategy
Review of MTRS to Policies,
objectives; planning etc
10
Education and
Lifelong Learning
Childrens and
Families
Childrens Trust
Review the project to the ODPM
requirements
10
DCRAS
Internal Audit
Audit Plan
Compilation of Plan, monitoring
and revision
30
DA Liaison
Regular liaison meetings re Audit
plans and concerns
20
Contingency
SI's and unplanned work: Follow-
ups Registrars; corporate credit
cards; PCMI; Petty cash
400
TOTAL MANAGEMENT AUDITS
605
FINANCIAL
REPORTING
/INTEGRITY OF
DATA AUDITS
CX
Strategy Unit
BVPPI's
Accuracy of evidence/data across
all depts pre-Audit commission
review
17
Education and
Lifelong Learning
Education services
Budgets, allocation and budget
monitoring, support with budget recovery
plans
Follow up audit recommendations
5
Grant Claims
Follow up audit recommendations
5
TOTAL INTEGRITY AUDITS
27
FULL AUDITS
Health Housing
and Social Care
Housing
management
Rent collection: debt management:
arrears advice: prevention and recovery
Full review of strategic
management, monitoring,
compliance with laws, policies,
best practice; effectiveness of
service and accuracy of financial
reports and integrity of data
controls
20
Disabled Facilities Grant
Review of monitoring, compliance
with the law, policy, procedures,
effectiveness of process and
integrity of data controls
7
Community
Housing
Supporting people
Review of monitoring, compliance
with the law, policy, procedures,
effectiveness of process and
integrity of data controls
10
Housing standards: Houses in multiple
occupancy
Review of monitoring, compliance
with the law, policy, procedures,
effectiveness of process and
integrity of data controls
10
Page 4 of 6
DIRECTORATE
Dept
Function
Audit
Days
Home Improvement Agency including
financial assistance packages
Review of monitoring, compliance
with the law, policy, procedures,
effectiveness of process and
integrity of data controls
15
Housing options: Homelessness;
temporary accommodation
Review of monitoring, compliance
with the law, policy, procedures,
effectiveness of process and
integrity of data controls
15
Environment and
Transport
Traffic and
Transportation
Car Parking: including collection of
income from Havant meters for Havant
BC
Review of monitoring, compliance
with the law, policy, procedures,
effectiveness of process and
integrity of data controls
10
Education and
Lifelong Learning
School Services
Statementing of Special Educational
Needs
Review of monitoring, compliance
with the law, policy, procedures,
effectiveness of process and
integrity of data controls
10
Early years
Sure Start
Review of monitoring, compliance
with the law, policy, procedures,
effectiveness of process and
integrity of data controls
15
Corporate
Resources and
Services
Revenues and
Benefits
HB/CT Benefit
Review of monitoring, compliance
with the law, policy, procedures,
effectiveness of process and
integrity of data controls
30
C.Tax and NNDR collection
Review of monitoring, compliance
with the law, policy, procedures,
effectiveness of process and
integrity of data controls
30
Subsidy management
Review of monitoring, compliance
with the law, policy, procedures,
effectiveness of process and
integrity of data controls
10
Fraud investigation
Review of monitoring, compliance
with the law, policy, procedures,
effectiveness of process and
integrity of data controls
10
Asset Management Landlords Maintenance
Follow up Audit Recommendations
5
Legionella surveys
Strategic Management monitoring:
Compliance with the Acts:
Effectiveness of Process:
accuracy and integrity of data
controls
15
Security for the Civic Offices Guildhall:
including confidential waste review
Strategic Management monitoring:
Compliance with the DPA:
Effectiveness of Proceses:
accuracy and integrity of data
controls
part of
manage
ment
security
review
Commercial rents
Follow up Audit Recommendations
20
Licensing
Licensing Act 2003-Sale and supply of
alcohol; Gambling bill: Gaming Act;
Licensing general
Strategic Management monitoring:
Compliance with the Acts:
Effectiveness of Process:
accuracy and integrity of data
controls
15
Financial Services
Main accounting including budgetary
control and forecasting
Follow up to 2004-5 review
10
Grant and Subsidy Claims
Review of monitoring, compliance
with the law, policy, procedures,
effectiveness of process and
integrity of data controls
10
Treasury Management
Follow up to 2004-5 review
5
VAT
Review of monitoring, compliance
with the law, policy, procedures,
effectiveness of process and
integrity of data controls
10
Banking and Bank reconciliation
Review of monitoring, compliance
with the law, policy, procedures,
effectiveness of process and
integrity of data controls
10
Corporate Credit Cards/ Purchasing
cards
Review of monitoring, compliance
with the law, policy, procedures,
effectiveness of process and
integrity of data controls
15
Page 5 of 6
DIRECTORATE
Dept
Function
Audit
Days
Accounts payable
Follow up to 2004-5 review
7
Accounts receivable/ debt management
Follow up to 2004-5 review
7
Cash Collection
Follow up to 2004-5 review
7
Capital financing
Review of monitoring, compliance
with the law, policy, procedures,
effectiveness of process and
integrity of data controls
10
Receiverships/ appointeeships functions
(Social Services)
Review of monitoring, compliance
with the law, policy, procedures,
effectiveness of process and
integrity of data controls
10
Payroll
Follow up to 2004-5 Review
7
Economy Culture
and Community
Safety
Community
Services
Community centres: Direct Services/
SLA's
Review of monitoring, compliance
with the law, policy, procedures,
effectiveness of process and
integrity of data controls
10
EXTERNAL
Langstone Harbour
Board
Review of monitoring, compliance
with the law, policy, procedures,
effectiveness of process and
integrity of data controls
10
TOTAL FULL AUDITS
375
TOTAL AUDITS
1735
TOTAL AUDIT PLAN 2005-6
1735
Page 6 of 6