Appendix 1
Review of Work delivered in accordance with the Annual Audit Plan for 2010/11 plus Ad-Hoc Work requested by Management
Audit No.
Description of Audit
PLANNED SYSTEMS AUDIT WORK
NN/11/01
Environmental Services other than waste
management
NN/11/02
Private Sector Housing - Improvements
etc
NN/11/03
Ethical Governance
Frequency of
Audit Coverage
Original Days
Planned
Days
Planned
Days
Delivered
Scheduling
3-yearly
20
20
20
Q1 - Apr
2-yearly
12
12
12
Q1 - June
Ad-hoc at the
request of
management
5-yearly
12
12
12
Q1 - June
22
22
22
Status
Assurance
Level
applicable
Summary Report
Details presented to
Members
Complete
Final Report issued 16 August 2010
Complete
Final Report issued 17 August 2010
Complete.
Final Report issued 15 July 2010
Adequate
Audit Committee
14 September 2010
Audit Committee
14 September 2010
Audit Committee
14 September 2010
Q2 - Aug
Complete
Final Report issued 22 November 2010
Adequate
Audit Committee
7 December 2010
Adequate
Adequate
NN/11/04
Legal Services, Data Protection and
Freedom of Information
NN/11/05
Performance Indicators / Data Integrity
Annual
7
7
7
Q2 - Sept
Complete
Final Report issued 11 November 2010
Good
Audit Committee
7 December 2010
NN/11/06
Payroll, Human Resources and Officers'
Expenses
2-yearly
20
20
20
Q3 - Oct
Complete
Final Report issued 11 November 2010
Good
Audit Committee
7 December 2010
NN/11/07
NN/11/08
Council Tax and NNDR
Exchequer Services - Creditors and
Insurances
2-yearly
2-yearly
20
15
20
15
18
15
Q3 - Oct
Q3 - Nov
Audit in review process
Complete
Final Report issued 8 February 2011
Adequate
Audit Committee
8 March 2011
NN/11/09
Housing and Council Tax Benefit
Annual
20
20
18
Q3 - Nov
NN/11/10
Waste Management Contract - Refuse
Collection, Street Cleaning, Recycling,
Clinical Waste, Abandoned Vehicles
2-yearly
18
18
15
Q3 - Dec
Initial draft report reviewed 25 January
2011
Fieldwork in completion
NN/11/11
Corporate Governance and Risk
Management
Planning and Development Control with
Land Charges
Work to support the 2010/11 Annual
Governance Statement
Systems audit follow-up
Annual
8
8
3
Q4 - Jan
Fieldwork in progress
3-yearly
30
30
26
Q4 - Jan
Fieldwork in completion
Annual
10
10
Q4 - Feb
Annual
10
10
5
Audit Brief issued 31 January 2011 fieldwork to start 3 March
Work to take place in March / April
based on position at 31 March
224
224
193
86%
Complete
Final Report issued 23 June 2010
Report to be finalised pending
agreement of audit plans
Complete
Final Report issued 20 September 2010
Adequate
Audit Committee
14 September 2010
Adequate
Audit Committee
7 December 2010
Complete
Final Report issued 15 February 2011
Limited
Audit Committee
8 March 2011
NN/11/12
NN/11/13
TOTAL PLANNED SYSTEMS AUDIT WORK
PLANNED COMPUTER AUDIT WORK
NN/11/14
Software Licensing
3-yearly
10
10
10
NN/11/15
Computer Audit Needs Assessment
3-yearly
6
6
5
Q1 - Apr
June
Q1 - May
NN/11/16
Revenues and Benefits Application
3-yearly
13
13
12
Q1 - June
NN/11/17
Network Infrastructure
3-yearly
22
22
22
Q3 - Nov
October
Audit No.
Description of Audit
Computer audit follow-up
TOTAL PLANNED COMPUTER AUDIT WORK
Frequency of
Audit Coverage
Original Days
Planned
Days
Planned
Days
Delivered
Annual
6
57
6
57
3
52
91%
281
281
245
87%
TOTAL PLANNED WORK
EXTRA WORK REQUESTED
New Burdens Grant
Property Services review
TOTAL OF EXTRA WORK UNDERTAKEN
GRAND WORK TOTAL
Central
Government
Requirement
Client Request
Scheduling
Status
Assurance
Level
applicable
Summary Report
Details presented to
Members
N/A
Audit Committee
8 March 2011
Grant Statement for 2009/10 processed
at the end of June 2010.
0
3
3
3
3
284
248
Complete
Final Report issued 7 January 2011