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audit to perform Reevaluate for FY22-23 Risk Assessment To be done by IIAP Manager Risk Assessment Worksheet Department General Risk Theme Audit Area/Possible Audit Objective Total Score [R+F+A] Risk Category Original Timeframe FY Approximate Time Since Last Review/Audit Recommend to Include in Audit Plan? Interna Resources or External Contractor Audit Type Comments Housing - Facilities Management Housing Management and Maintenance Facilities management program evaluation (Housing only); review the process, controls in place and performance to determine efficiency and effectiveness including best practice standards. Review Maintainance process and procedures. 11.30 High 2021-22 Yes External Firm Performance Transportation - Intelligent Transportation Systems (ITS) Intelligent Trans System (ITS) ITS program evaluation to determine the efficiency and effectiveness of ITS including traffic signal and traffic flow operations including outsourcing counts and studies; reporting and incident management and preventive maintenance. Perform limited compliance review. 10.80 High 2021-22 Yes External Firm Performance 1st half of FY HR & Risk Management Risk Management training program evaluation Audit of risk management and training program and compliance with City policies and procedures. 10.75 High 2021-22 Yes External Firm Performance Engineering Capital Improvment (CIP) Program CIP Program Evaluation to determine the effciciency and effectiveness of CIP process, including CIP planning, delivery, leveraging leading practices, and reporting process. 10.45 High 2021-22 Yes External Firm Performance Budget & Finance Contract Compliance and Performance Review and evaluate effectiveness of contract compliance and performa 10.00 High 2020-21 Yes External Firm Performance & Compliance Innovation & Technology IT Security Perform a review of cyber incident management and disaster recovery process. Evaluate compliance with relevant regulations and standards. Assess how IT is leveraging leading practices. 8.10 Medium ongoing Yes External Firm Performance & Compliance Transportation - Transit City Transit Program City Transit Program Evaluation - Review the transit process to determine efficiency and effectiveness of the transit process including fare collection, perormance and compliance with relevant laws and regulations. 7.50 Medium 2021-22 Yes External Firm Performance & Compliance 2nd half of FY Field Ops - Fleet Management Fleet Management Program Fleet Management Program Evaluation - Departments see approx 40% markup for maintenance; are rates appropriate; are there opportunities to co-source certain services; are policies regarding 'take home' vehicles being followed; policy to rent vs. using an assigned vehicle for in state travel may be more costly; appropriate controls regarding 'pool' vehicles (validation employee is eligible to drive); log tracking of pool vehicles to employees who use them (best practice of predicted miles vs. actual miles). 6.20 Medium 2021-22 Yes External Firm Performance 2nd half of FY Budget & Finance AZSTA Contract Annual review of cash management process across the City as part of continuous monitoring. 9.00 Medium 2020-21 Yes Internal Resources Compliance To be performed by IIAP Manager Budget & Finance Cash Management Annual review of cash management process across the City as part of continuous monitoring. 9.00 Medium ongoing Yes Internal Resources Compliance Robotics, testing transactions, to be performed by IIAP Manager Budget & Finance Purchasing Cards Review (including data analytics) of purchase card process and analysis of transactions and controls. 7.60 Medium ongoing Yes Internal Resources Performance & Compliance Robotics, testing transactions. The aim is to perform a review that will transition this from an annual monitoring to quarterly monitoring. to be performed by IIAP Manager Budget & Finance - Accounting/Grants Payroll process Review (including data analytics) on payroll and timesheets. 7.00 Medium ongoing Yes Internal Resources Performance & Compliance Robotics, testing transactions. The aim is to perform a review that will transition this from an annual monitoring to quarterly monitoring. To be performed by IIAP Manager HR & Risk Management Telecommuting Policy and Compliance Review Telecommuting process for compliance with City policies and other relevant regulations. Evaluate monitoring of telecommuting process across the city on a sample basis. 6.10 Medium 2021-22 Yes Internal Resources Compliance PFRSE Park Ranger Program Evaluation Parks Ranger Program Evaluation - Comparative metrics to other jurisdictions (Park Ranger use and effectiveness) 6.05 Medium 2021-22 Yes Internal Resources Performance Field Ops - Facilities Management Facilities Management and Maintenance Facilities management program evaluation; review the process, controls in place and performance to determine efficiency and effectiveness including best practice standards. Review Maintainance process and procedures. 11.30 High 2022-23 Yes External Firm Performance Recently implemented Lucity for asset management. Recommend one year of operations before a performance audit. Reevaluate in FY22- 23 Risk Assessment Transportation - Airport Airport Compliance Airport Operations - Leases; Rates and Charges (frequency of review); Procedures complying with FAA (e.g., access control; haz mat; PII). 10.90 High 2022-23 Yes External Firm Compliance Defer to FY22-23. Airport regulations and regulations are being revised City-wide HR - Staffing Analysis Perform City-wide Staffing Analysis to determine the staffing levels; allocation of responsibilities and duties and sufficiency of staffing across the city to drive ths City's strategy; include best practices. 10.35 High 2022-23 Yes External Firm Performance consider HR only, maybe a study instead for a consultant to provide a report for incremental staffing adjustments Community Services - housing Housing Program CS Housing Program Evaluation. Best practices review of entire process: Including annual recertification; Public Housing; Section 8; Inspections; Efficiency and effectiveness and performance management. 9.45 High 2022-23 Yes External Firm Performance City is adopting significant changes to housing admin plans to implement best practices and streamline processes. Recommend one year of operations before a performance audit. Reevaluate in FY22-23 Risk Assessment Police Department Property Evidence security protocols; single point of failure 9.30 High 2021-22 Yes External Firm Compliance Recommend doing an audit before going into the new building. Reevaluate in FY22-23 Risk Assessment Community Services - Revitalization Revitalization Revitalization Program Evaluation - identify leading practices for ongoing review, assess effectiveness and efficiency of revitalization process, including specnding, reporting and compliance. 9.10 High 2022-23 Yes External Firm Performance City is implementing new technology and which result in streamlined processes. Recommend one year of operations before a performance audit. Reevaluate in FY22-23 Risk Assessment Police Department Physical Security process Review and evaluate physical security procedures, controls and processes at the PD. 8.75 Medium 2022-23 Yes External Firm Performance There is a City-wide security assessment/review process that incorporates PD needs. Led by DPM for public safety. Reevaluate in FY22-23 Risk Assessment Fire Department Fire Asset Management Fire Asset Management - How are small and large value assets managed; systemmatic means to track; prepardness to meet next call's need (axe on truck; meds in drawer; 9.10 High 2022-23 Yes External Firm Performance Fire admin is reviewing their operations for what their highest needs are. They would like to defer and continue to develop a priority list.