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This is an HTML version of an attachment to the Freedom of Information request 'INTERNAL AUDIT - REPORT OF INTERNAL AUDIT ACTIVITY FOR THE PERIOD 1st DECEMBER 2008 - 28th FEBRUARY 2009'.
Appendix A
Internal Audit Plan Progress Monitor
APPENDIX A
Assignments completed or in progress during period 01/12/2008 - 28/02/2009
DEPT
AREA
ASSIGNMENT
STATUS
OPINION
28/02/09
KEY ASSIGNMENTS
CYPS
Strategic Management
Childrens Trust - Children and Young People's Partnership
Completed
Satisfactory
RE
Finance Division
Bank Reconciliation and Cheque Control
Completed
Satisfactory
CD
IT
Mobile computing and Data Transfer
Completed
Needs Improvement
HSC
IT
Business Continuity Planning/Disaster Recovery
Completed
Needs Improvement
Departmental Resource Al ocation, Budgetary Control (all 
CYPS
Strategic Management
levels incl service) - Follow up
In Progress
C&L
Contracts/Procurement
PFI- South Bristol Healthplex (Hengrove)
In progress
CYPS
Schools General
FMSiS - External Assessments 2008/09
In Progress
RE-FIN
B/F from 2007/08
Gershon
In progress
C&L
Contracts/Procurement
Museum of Bristol
In progress
DCX
B/F from 2007/08
INTERREG III
In progress
NH
Contracts/Procurement
Waste Services, Refuse Collection and Recycling
In progress
Departmental Resource Al ocation, Budgetary Control and 
HSC
Strategic Management
MTFP - Fol ow up
In Progress
C&L
IT
Mobile computing and Data Transfer
In progress
RE
IT
Mobile computing and Data Transfer
In progress
NH
IT
Mobile computing and Data Transfer
In progress
CYPS
IT
Mobile computing and Data Transfer
In progress
NH
IT
Business Continuity Planning/Disaster Recovery
In progress
Corporate - IT
IT
Business Transformation Programme (Block) Allocation)
In progress
RE
IT
Information Security Policy & Management
In progress
HSC
IT
Mobile computing and Data Transfer
In progress
RE
Finance Division
Capital Accounting Key Controls
In progress
Corp. Planning, Performance & 
Corporate
Improvement
Partnerships (General) Including Bristol Partnership
In Progress
Corporate
Corporate Governance
Comprehensive Area Assessment - Issues
In Progress
Other Corporate Policies and 
Corporate
Processes
Business Transformation - Over arching review  of  process
In Progress
Other Corporate Policies and 
Corporate
Processes
Members Declarations
In Progress
Corporate
Corporate Governance
Business Continuity  
In Progress
Value for money strategy (to include strategy, profile and 
VFM performance measures and Productivity project 
Corporate
Corporate Finance
progress)
In Progress
Corporate
Corporate Governance
Annual Governance Statement Monitoring
In Progress
Corporate
Corporate Governance
Annual Governance Statement ( Production and Process)
In Progress
RE
Human Resources
Corporate Payroll System
In progress
RE
Finance Division
General Debtors Key Controls
In progress
RE
Finance Division
Business Transformation
In progress
NH
Housing Benefit
HB Key Controls
In progress
DCX
Chief Executive
West of England Partnerships
In progress
RE
Finance Division
Creditors Key Controls
In progress
NON KEY ASSIGNMENTS
NH
Housing Benefit
Assessment Teams 
Completed
Good
Financial Grants Certification Process ie: Year of Sports & 
C&L
Strategic Management
Sports England
Completed
Good
CYPS
Primary Schools
Summerhil  Infant
Completed
Good
CYPS
Primary Schools
Knowle Park Primary
Completed
Good
NH
B/F from 2007/08
Anite - Housing Management System
Completed
Satisfactory
RE
Legal Services
Conveyancing
Completed
Satisfactory
NH
Housing General
Homelessness, Board & Lodge, Housing Options and Advice
Completed
Satisfactory
Monks Park (Replaced Burnbush Primary - Deferred until 
CYPS
Secondary Schools
2009/10)
Completed
Satisfactory
CYPS
Primary Schools
Perry Court Infant
Completed
Satisfactory
CYPS
Primary Schools
Perry Court Junior
Completed
Satisfactory
NH
Housing General
Sales of Council Houses
Completed
Satisfactory
CYPS
Primary Schools
Victoria Park Junior
Completed
Satisfactory
CYPS
Special Schools
Claremont
Completed
Needs Improvement
CYPS
Special Schools
Florence Brown
Completed
Needs Improvement
CD
B/F from 2007/08
Major works (Vivaldi, Traffic signals, etc)
Completed
Needs Improvement
RE
IT
E Forms projects
Completed
Needs Improvement
HSC
B/F from 2007/08
Bristol 600
Completed
Needs Improvement
CYPS
Primary Schools
New Oak Primary
Completed
Needs Improvement
CYPS
Primary Schools
Holymead Infant
Completed
Needs Improvement
CYPS
Primary Schools
Summerhil  Junior
Completed
Needs Improvement
CYPS
Primary Schools
Wansdyke Primary
Completed
Needs Improvement
CYPS
Primary Schools
Two Mile Hill Junior
Completed
Needs Improvement
CYPS
Secondary Schools
Redland Green
Completed
Poor
Corporate
Audit Development
Snips and Tips
Completed
N/A
Corporate
Risk Management
British Standard
Completed
N/A
Other Corporate Policies and 
Corporate
Processes
Staff - Declarations of Interest, Gifts and Hospitality Phase 2
In Progress
Corporate
Networking/Best Practice/Alerts Assistance to other teams re fraud investigation enquiries
In Progress
Fraud Risk Assessment and 
Corporate
Testing
Risk Based Anti Fraud Testing Programme
In Progress
Corporate - IT
IT
Strategic IT Management Meetings Attendance
In Progress
Fraud Risk Assessment and 
Corporate
Testing
Fraud Risk Assessment 
In Progress
Other Corporate Policies and 
Corporate
Processes
Review  of the Employee Code of Conduct
In Progress
Page 1
Appendix A
DEPT
AREA
ASSIGNMENT
STATUS
OPINION
28/02/09
HSC
IT
Home Care Roster
In Progress
Learning difficulties and Provider  Day Centres (replaced planned audit of Residential and 
HSC
Services
Nursing Home Provision  - EPH's/PwD)
In Progress
HSC
Older People/PSI
Windfall Income and Memorandum Debt - Follow up
In Progress
NH
Housing Rents
Rents - Income from Dwellings
In Progress
Corporate
Risk Management
Attendance and SWURM/Bench Marking
In Progress
Corporate
Risk Management
Risk Management Group
In Progress
Corporate
Risk Management
General Guidance 
In Progress
Corporate
Risk Management
Web page maintenance
In Progress
Corporate
Risk Management
Risk Management Reporting
In Progress
Fraud Risk Assessment and 
Corporate
Testing
NFI Electoral Reg Match
In Progress
Fraud Risk Assessment and 
Corporate
Testing
NFI 2008 output review and reporting
In Progress
Corporate
Risk Management
Facilitating Workshops - SDP Risk Assessment
In Progress
Corporate
Risk Management
Policy review
In Progress
Corporate
Networking/Best Practice/Alerts NAFN Warning bulletins
In Progress
Fraud Training (Members and Staff  Incl Anti-frauf ICQ 
Corporate
Training & Awareness
training)
In Progress
Corporate
Training & Awareness
Fraud Bulletin
In Progress
HSC
B/F from 2007/08
School Road
In Progress
Corporate
Networking/Best Practice/Alerts NAFN   (National Antifraud Network)
In Progress
CD
Transport Operations
Public Transport (bus info, monitoring local bus services etc.)
In Progress
RE
IT
Internet Usage Management (Websense)
In Progress
NH
IT
Programmed Works IT Systems
In Progress
NH
Housing Benefit
HB Subsidy
In Progress
NH
Housing Benefit
HB Intervention/Visiting Team
In Progress
NH
Contracts/Procurement
Partnering Schemes (M&E, Response, Planned, Heating)
In Progress
HSC
Strategic Management
Health and Safety Audits
In Progress
Departmental Payrol  including Working Arrangements Policy 
HSC
Strategic Management
- Follow up
In Progress
CYPS
Contracts/Procurement
Security Framework Contract
In Progress
CD
Contracts/Procurement
Pay and Display system replacement
In Progress
Corporate
Networking/Best Practice/Alerts Hotline (admin/advertisement etc)
In Progress
CD
Transport Operations
Car Park Management and Admin Incl. Cash
In Progress
CYPS
B/F from 2007/08
St Werburgh's
In Progress
Corporate
Networking/Best Practice/Alerts South West Fraud Group /benchmarking
In Progress
RE-RR
IT
Procurement Transformation Programme
In Progress
Education Support and 
CYPS
Development
Music Service - Follow up
In Progress
Corporate
Audit Development
Roll-out of Risk Based Auditing
In Progress
RE
Finance Division
Corporate Purchase Cards
In Progress
Corporate Governance Policy  Financial Regulations - Review and on-line version 
Corporate
Reviews
maintenance
In Progress
Corporate
Audit Development
Code of Corporate Governance
In Progress
Corporate
Audit Development
Audit Groups - Core Cities
In Progress
Corporate
Audit Development
Audit Groups - West of England
In Progress
CYPS
Primary Schools
Broomhill Junior
In Progress
Corporate
Audit Development
Audit Library 
In Progress
Corporate
B/F from 2007/08
Procurement Analytical Review
In Progress
CD
B/F from 2007/08
Uniform - Licensing System
In Progress
RE
Human Resources
Payroll - Casual Payroll 
In Progress
Corporate
B/F from 2007/08
CRM  System
In Progress
CYPS
B/F from 2007/08
PFI - Phase 1
In Progress
Corp, Planning, Performance &  Service Delivery Planning  (nb incl look at quality, risk mtfp 
Corporate
Improvement
and vfm inds - schedule for 1st quarter
In Progress
NH
Contracts/Procurement
Housing maintenance transformation programme
In Progress
RE
Human Resources
Payroll Certification Process
In Progress
CYPS
Schools General
School Fund Audit Certificate
In Progress
Corporate
HR Management
Sickness Absence Management
In Progress
Corporate
Audit Development
Audit Manual/Guidance/Practice Notes
In Progress
Corporate
Audit Development
Audit Committee Support & Development
In Progress
Corporate
Audit Development
Staff Training Provision and Plans (incl edg)
In Progress
Corporate
Contracts/Procurement
PPG Meetings
In Progress
Corporate
Risk Management
CRR monitoring group
In Progress
C&L
Contracts/Procurement
City Docks Capital Project
In Progress
Corporate
Risk Management
Liaison with Departmental Reps
In Progress
NH
Housing Benefit
Overpayments
In Progress
NH
Housing Benefit
HB - Fraud Module Health Check
In Progress
Corporate
Audit Development
APACE and Management Information Reports
In Progress
Corporate
Audit Development
APACE roll out of upgrade and troubleshooting
In Progress
Corporate
Audit Development
Western Unitaries Group Working
In Progress
RE
Finance Division
Cash Office Support Team X2
In Progress
Corporate
Audit Development
Intranet Page
In Progress
Corporate
Audit Development
Effectiveness of IA including benchmaking
In Progress
Corporate
Fraud Agenda
Money Laundering Policy - General Provision
In Progress
Corporate
IT
Payment Card Industry Standard - Compliance Audit
In Progress
Corporate
Contracts/Procurement
Procurement Analysis and Regulation Compliance
In Progress
Page 2

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