2021.03.04 Comprehensive Audit Plan Update
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Independent Internal Audit Program Initial 18-month Audit Plan Implementation Status FY2019-20 and FY2020-21 Updated: March 2, 2021 Green, IIAP Manager Orange, Contracted Firm Gray, Future Risk Assessment Department Program Audit Type Risk Auditor Original FY Original Timeframe Updated FY Status Notes City Court Revenue management Compliance High Internal 2019-20 Jan-Mar 2020 No Change Completed & Published Link City Court Triennial audit Compliance High Internal 2019-20 Nov-Jan 2020 No Change Completed & Published Link Citywide Cash Handling Review Continuous Medium Internal 2020-21 Oct-Dec 2020 2021-22 Completed & Published Link Development Services, Economic Development Development Agreement Compliance Compliance High Internal 2019-20 Apr-Jun 2020 No Change Completed & Published Link Budget and Finance Vendor Management Compliance High Contract Firm 2019-20 Jan-Mar 2020 2020-21 Completed, Pending Audit Committee Scheduled March 4, 2021 Citywide Asset Management Program Evaluation Performance High Contract Firm 2019-20 Apr-Jun 2020 2020-21 Completed, Pending Audit Committee Scheduled March 4, 2021 Citywide Annual Payroll/Timesheets Review Continuous Medium Internal 2020-21 Oct-Dec 2020 2021-22 Completed, Pending Review by New IIAP Manager Planned for June Audit Committee Community Services Community Action Program Evaluation Performance Medium Internal 2020-21 Jan-Mar 2021 2020-21 Completed, Pending Review by New IIAP Manager Planned for June Audit Committee Fire Department Telestaff Business Process and Internal Control Review Compliance High Contract Firm 2019-20 Jan-Mar 2020 2020-21 Contracted, In-Process Planned for June Audit Committee Innovation and Technology Information Systems Security Performance High Contract Firm 2019-20 Jan-Mar 2020 2020-21 Contracted, In-Process Planned for June Audit Committee Innovation and Technology Technology Governance Program Evaluation Performance Medium Contract Firm 2019-20 Jan-Mar 2020 2020-21 Contracted, In-Process Planned for June Audit Committee Human Resources Overtime use and compliance Compliance High Contract Firm 2020-21 Oct-Dec 2020 2020-21 Contracted, Planned Begins March 2021 Human Resources Position Control Policy Evaluation Performance Medium Contract Firm 2020-21 Oct-Dec 2020 2020-21 Contracted, Planned Begins March 2021 Police Department Police Operations Staffing Analysis Performance Medium Contract Firm 2020-21 July-Sep 2020 2020-21 Contracted, Planned Begins March 2021 Budget and Finance AZSTA contract Compliance Compliance Medium Contract Firm 2020-21 July-Sep 2020 2020-21 Contracted, Schedule Pending To be completed as part of the FY2020-21 Audit Plan City Clerk/Citywide Public Records Law Compliance Performance/Co mpliance Medium Contract Firm 2020-21 Oct-Dec 2020 2020-21 Contracted, Schedule Pending To be completed as part of the FY2020-21 Audit Plan Citywide Contract Compliance and Performance Performance Medium Contract Firm 2020-21 Jan-Mar 2021 2020-21 Contracted, Schedule Pending To be completed as part of the FY2020-21 Audit Plan Citywide Custodial Contract Compliance and Evaluation Performance/Co mpliance Medium Contract Firm 2020-21 Jan-Mar 2021 2020-21 Contracted, Schedule Pending To be completed as part of the FY2020-21 Audit Plan Water Services Storm Water Management Program Evaluation Performance Medium Contract Firm 2020-21 Apr-Jun2021 2020-21 Contracted, Schedule Pending To be completed as part of the FY2020-21 Audit Plan Citywide HR Employee Relations Program Evaluation Performance Medium Internal 2020-21 Apr-June2021 TBD Deferred for evaluation by New IIAP Manager Update to be provided at June Audit Committee Meeting Citywide Purchase Card Review Continuous Medium Internal 2020-21 Jan-Mar 2021 TBD Deferred for evaluation by New IIAP Manager Update to be provided at June Audit Committee Meeting Citywide Travel Policy compliance review Continuous Medium Internal 2020-21 July-Sep 2020 TBD Deferred for evaluation by New IIAP Manager Update to be provided at June Audit Committee Meeting Transportation Recovery of ROW Damage Claims Performance Medium Internal 2020-21 July-Sep 2020 TBD Deferred for evaluation by New IIAP Manager Update to be provided at June Audit Committee Meeting City Court E-Warrants Program Evaluation Performance High N/A 2019-20 Jan-Mar 2020 TBD Deferred to FY2022-23 Risk Assessment (planning begins Fall 2021) System undergoing upgrade. City Manager's Office Code Compliance Program Evaluation Performance Medium N/A 2019-20 Apr-Jun 2020 TBD Deferred to FY2022-23 Risk Assessment (planning begins Fall 2021) Requested by DCM for Public Safety due to implementation of new systems and processes. Fire Department Emergency Management Office Program Evaluation Performance Medium N/A 2019-20 Jan-Mar 2020 TBD Deferred to FY2022-23 Risk Assessment (planning begins Fall 2021) Deferred due to COVID-19 pandemic. Fire Department Fire Asset Management Performance Medium N/A 2019-20 TBD Deferred to FY2022-23 Risk Assessment (planning begins Fall 2021) Deferred due to COVID-19 pandemic. Transportation Airport operations-Leases; Rates and charges Compliance Medium N/A 2020-21 Apr-Jun 2021 TBD Deferred to FY2022-23 Risk Assessment (planning begins Fall 2021) Airport Rules and Regulations are being revised. Police Department Records Management System (Hexegon) Program Evaluation Performance High N/A 2020-21 July-Sep 2020 TBD Deferred to FY2022-23 Risk Assessment (planning begins Fall 2021) Department is implementing a new system. Published Reports Link: https://docs.glendaleaz.com/WebLink/CustomSearch.aspx?SearchName=AuditReportsNew3/2/2021bid=0 Page 1 of 1