Audit Plan Update FY20-21 Status
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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 & Published Link Citywide Asset Management Program Evaluation Performance High Contract Firm 2019-20 Apr-Jun 2020 2020-21 Completed & Published Link Fire Department Telestaff Business Process and Internal Control Review Compliance High Contract Firm 2019-20 Jan-Mar 2020 2020-21 Received management responses. Finalized draft report for audit committee 6/3. Planned for June Audit Committee Innovation and Technology Information Systems Security Performance High Contract Firm 2019-20 Jan-Mar 2020 2020-21 Pending management responses for draft report to audit committee meeting 6/3. Planned for June Audit Committee Innovation and Technology Technology Governance Program Evaluation Performance Medium Contract Firm 2019-20 Jan-Mar 2020 2020-21 Pending management responses for draft report to audit committee meeting 6/3. Planned for June Audit Committee Citywide Annual Payroll/Timesheets Review Continuous Medium Internal 2020-21 Oct-Dec 2020 2021-22 Completed, Pending review by IIAP Manager Planned for September Audit Committee Community Services Community Action Program Evaluation Performance Medium Internal 2020-21 Jan-Mar 2021 2020-21 Completed, Pending review by IIAP Manager Planned for September Audit Committee Human Resources Overtime use and compliance Compliance High Contract Firm 2020-21 Oct-Dec 2020 2020-21 Planning finalized. Fieldwork requests sent to HR week of 5/17. Planned for September Audit Committee Human Resources Position Control Policy Evaluation Performance Medium Contract Firm 2020-21 Oct-Dec 2020 2020-21 Finalizing preliminary draft for department review early June. Planned for September Audit Committee Police Department Police Operations Staffing Analysis Performance Medium Contract Firm 2020-21 July-Sep 2020 2020-21 Reviewed preliminary observations for the Police Staffing Review this week with Dept Leadership (including 2 assistant chiefs)—we have some minor data adjustments to make but overall the department agreed with our recommendations. The preliminary draft report should be delivered to the department by the end of next week. Planned for September Audit Committee City Clerk/Citywide Public Records Law Compliance Performance/ Compliance Medium Contract Firm 2020-21 Oct-Dec 2020 2020-21 Kick-off meeting scheduled for week of May 24th with City staff. Moss Adams to reach out to dept in early May. Citywide Contract Compliance and Performance Performance Medium Contract Firm 2020-21 Jan-Mar 2021 2020-21 External to do as part of FY21-22 plan Update to be provided at June Audit Committee Meeting Budget and Finance Arizona Sports and Tourism Authority (AZSTA) Contract Compliance Compliance Medium Contract Firm 2020-21 July-Sep 2020 2020-21 IIAP manager will perform this audit as part of FY21-22 plan Update to be provided at June Audit Committee Meeting Citywide Purchase Card Review Continuous Medium Internal 2020-21 Jan-Mar 2021 TBD IIAP manager will perform this audit as part of FY21-22 plan Update to be provided at June Audit Committee Meeting Citywide Travel Policy compliance review Continuous Medium Internal 2020-21 July-Sep 2020 TBD IIAP manager will perform this audit as part of FY21-22 plan 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. Published Reports Link: https://docs.glendaleaz.com/WebLink/CustomSearch.aspx?SearchName=AuditReportsNew5/24/2021bid=0 Page 1 of 2 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 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 Fire Asset Management Performance Medium N/A 2019-20 TBD Deferred to FY2022-23 Risk Assessment (planning begins Fall 2021) Fire admin is reviewing their operations for what their highest needs are. They would like to defer and continue to develop a priority list. 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 (Hexagon) 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. Citywide Custodial Contract Compliance and Evaluation Performance/ Compliance Medium Contract Firm 2020-21 Jan-Mar 2021 2020-21 Deferred to FY2022-23 Risk Assessment (planning begins Fall 2021) Department recently switched vendors. Water Services Storm Water Management Program Evaluation Performance Medium Contract Firm 2020-21 Apr-Jun 2021 2020-21 Deferred to FY2022-23 Risk Assessment (planning begins Fall 2021) Department is making programmatic changes Citywide HR Employee Relations Program Evaluation Performance Medium Internal 2020-21 Apr-June 2021 TBD Deferred to FY2022-23 Risk Assessment (planning begins Fall 2021) Transportation Recovery of ROW Damage Claims Performance Medium Internal 2020-21 July-Sep 2020 TBD Deferred to FY2022-23 Risk Assessment (planning begins Fall 2021) Published Reports Link: https://docs.glendaleaz.com/WebLink/CustomSearch.aspx?SearchName=AuditReportsNew5/24/2021bid=0 Page 2 of 2