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APPENDIX 3: DEFERRED REVIEWS AND INTERIM REPORTS 2008/09 AUDIT PLAN
REVIEW CARRIED FORWARD FROM
REASON CURRENT STATUS / PLANNED ACTION ACTION DATE
2008/09 AUDIT PLAN
To review accounting and commitment Interim The last implementation date for a recommendation Include in 2010/11
systems used in the department of review contained in the action plan is 31 July 2009. Audit Plan
Enterprise, Tourism and the Environment completed
and assess whether procedures are used March 2009
appropriately and are complied with.
To review the adequacy of controls for the Deferred The Business Health Check of Planning and Included in the
delivery of the Local Transport Plan. Transport will include an assessment of Traffic 2009/10 Audit Plan
Management function.
The outcome of this review will influence the risk
assessment of the area and whether further coverage
is required.
To assess the arrangements for the Deferred An investigation into irregularities in this area has Consider as part of
collection of monies from the Penalty Charge recently taken place and procedural changes are in the risk assessment
Notices. progress. for the 2010/11 Audit
Plan
The operation of the new enforcement contract to be
assessed as part of next risk assessment.
To assess the use of Section 106 Interim The last implementation date for a recommendation Include in 2011/12
agreements. review contained in the action plan is April 2011. Audit Plan
completed
June 2009
To review the new contract arrangement for Deferred The Council is still only using the contract for Consider as part of
consultants, agency and contract staff. recruiting temporary staff, and the contract has only the risk assessment
been operating since October 2008. for the 2010/11 Audit
Plan
To assess whether Democratic Service Deferred Substantially covered by review of Cabinet, Scrutiny Included in the
provide robust support to Members. and Standards Committees completed August 2009. 2009/10 Audit Plan
Page 1 of 4
APPENDIX 3: DEFERRED REVIEWS AND INTERIM REPORTS 2008/09 AUDIT PLAN
REVIEW CARRIED FORWARD FROM
REASON CURRENT STATUS / PLANNED ACTION ACTION DATE
2008/09 AUDIT PLAN
To assess the effectiveness of procedures to Deferred Business Health Checks will review the effectiveness Included in the
identify, process and resolve complaints. of complaint handling in one service in each 2009/10 Audit Plan
department. This is also covered as part of the
planned assurance work.
To establish whether Facilities Management Interim One recommendation remains outstanding relating to Include in 2010/11
contractual and staffing arrangements are report the development of corporate facilities management Audit Plan
robust. completed contracts. Further review to check on progress will
January be undertaken next year.
2008
To assess the control environment Covalent Deferred Current work in progress Included in the
Application. 2009/10 Audit Plan
To review the processes for ensuring all Deferred Current work in progress Included in the
required Criminal Records Bureau checks 2009/10 Audit Plan
are carried out.
To assess the adequacy and standard of Deferred Not planned to be undertaken as part of the new Consider as part of
plans and reviews undertaken by the audit approach to be piloted in Children and Learning. the risk assessment
Children and Learning Specialist and However, the area will be considered as part of the for the 2010/11 Audit
Resources and Quality Assurance Team. next risk assessment. Plan
To assess the adequacy of the follow up Deferred The wider Local Children’s Safeguarding Board Included in he
process of recommendations made within arrangements are to be reviewed by the Local 2009/10 Local
Children’s Serious Case Reviews. Strategic Partnership Internal Audit Working Group. Strategic Partnership
Audit Plan
To assess whether robust arrangements are Deferred This was deferred as there were fundamental November 2009
in place to deliver the aims and objectives of changes taking place relating to these arrangements.
Section 31 Agreements.
Work is to be undertaken to establish and risk assess
those Section 31 Agreements now in place.
Page 2 of 4
APPENDIX 3: DEFERRED REVIEWS AND INTERIM REPORTS 2008/09 AUDIT PLAN
REVIEW CARRIED FORWARD FROM
REASON CURRENT STATUS / PLANNED ACTION ACTION DATE
2008/09 AUDIT PLAN
To evaluate the project and contract Deferred A review of Programme Office to be undertaken to Included in the
monitoring arrangements for the: assess whether there are robust corporate 2009/10 Audit Plan
arrangements to monitor and manage capital
school capital programme projects.
new swimming pool This work will also incorporate some testing of
Progress Road and Victoria Station individual projects.
project.
To assess whether the Council’s Risk Interim Business Health Checks include some work on Include in 2010/11
management framework is fit for purpose report service risk management arrangements and the Audit Plan
and applied consistently. produced assurance work considers the corporate processes.
March 2009
As the consolidation of the arrangements won’t be
complete until later in 2009/10, a more detailed
review won’t be undertaken again until next year.
To assess whether the Council’s Project Deferred Business Health Checks include some work on Included in the
Management Framework is fit for purpose service risk management arrangements and the 2009/10 Audit Plan
and applied consistently. assurance work considers the corporate processes.
To assess whether supporting systems Interim Follow up work was completed in August 2009 on Include in the
collect relevant, reliable information and report National Indicators submitted to Audit Commission’s 2009/10 Audit Plan
National Indicators have been correctly completed Data Hub. onwards
calculated in accordance with the current February
Audit Plan going forward will include quarterly spot
guidance. 2009
checks of national and local indicators.
To assess the effectiveness of the asset Interim Work is to be undertaken to assess the robustness of Included in the
management approach to ensure best use of report these arrangements taking into account the 2009/10 Audit Plan
the Council’s land and buildings. completed requirements of the Audit Commission’s Use of
January Resources.
2009
Page 3 of 4
APPENDIX 3: DEFERRED REVIEWS AND INTERIM REPORTS 2008/09 AUDIT PLAN
REVIEW CARRIED FORWARD FROM
REASON CURRENT STATUS / PLANNED ACTION ACTION DATE
2008/09 AUDIT PLAN
To assess effectiveness of operational team Deferred Complete August 2009 Included in the
to deliver high quality street scene services. 2009/10 Audit Plan
To assess whether the Council has an up to Interim Work is to be undertaken to assess the robustness of Included in the
date energy management policy which is report these arrangements taking into account the 2009/10 Audit Plan
being effectively delivered. completed requirements of the Audit Commission’s Use of
November Resources.
2008
To assess the effectiveness of the economic Deferred Consider whether it is appropriate to review this as Included in the
regeneration team. part of the Programme Office audit. 2009/10 Audit Plan
To assess the extent transport services Interim Follow up review yet to be undertaken. Scheduled for Include in 2010/11
provide value for money. report 2010/11 Audit Plan
completed
(Review from the 2007/08 Audit Plan)
Sept 2007
To assess whether the Drug and Alcohol Deferred Work currently in progress Included in the
Action Team has effective arrangements in 2009/10 Audit Plan
place to deliver the National Drugs Strategy.
To evaluate progress towards obtaining level Deferred Level 3 of the Equality Standard for local government None
3 of the Equality Standard for local has been obtained.
government.
Assess whether the Cumberledge Interim The Cumberledge Intermediate Care Centre operates November 2009
Intermediate Care Centre is delivering in line report under a Section 31 agreement.
with agreed care criteria and provides value completed
This was deferred as there were fundamental
for money. November
changes taking place relating to these arrangements.
2007
(Review from the 2007/08 Audit Plan)
Work is to be undertaken to establish and risk assess
those Section 31 Agreements now in place.
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