APPENDIX A - City of Windsor Audit Recommendation Tracking Summary - December 31, 2019

Finding #	Recommendation/Topic	CLT Member Responsible	Assigned to	Audit Report/Source	Audit Unit/Firm	Date Issued	Target Date for Implementation	Current Status(as of December 31, 2019)	Additional Comments
205	Enhance purchasing policy and document inventory and asset management procedures	CEO - Your Quick Gateway	YQG - Director of Operations	YQG - Managing Inventory, Repairs and Maintenance	PwC	August 27, 2018	2019 Q2	Item retargeted to 2020 Q2	New CEO started on January 13, 2020. More time is needed for his review.
206	Review and document current inventory/asset management systems and processes	CEO - Your Quick Gateway	YQG - Director of Operations	YQG - Managing Inventory,Repairs and Maintenance	PwC	August 27, 2018	2019 Q1	Item retargeted to 2020 Q2	See description in item 205.
207	Enhance key vendor management controls	CEO - Your Quick Gateway	YQG - Director of Finance	YQG - Managing Inventory, Repairs and Maintenance	PwC	August 27, 2018	2018 Q4	Item complete and will be included in the next validation by PwC.
209	Enhance compensating controls to address potential segregation of duties	CEO - Your Quick Gateway	YQG - Director of Finance	YQG - Managing Inventory, Repairs and Maintenance	PwC	August 27, 2018	2018 Q4	Item complete and will be included in the next validation by PwC.
211	Enhance project classification and expectation guidelines	CAO - City of Windsor	Executive Initiatives Coordinator - CAO's Office	Managing Transition of Projects into Operations	PwC	November 5, 2018	2019 Q3	Item retargeted to 2021 Q4	Resource assigned to this recommendation has been seconded to the WFM project.
212	Enhance considerations for project risk assessments	CAO - City of Windsor	Executive Initiatives Coordinator - CAO's Office	Managing Transition of Projects into Operations	PwC	November 5, 2018	2019 Q3	Item retargeted to 2021 Q4	See description in 211
213	Formalize detailed Project Implementation Plan	CAO - City of Windsor	Executive Initiatives Coordinator - CAO's Office	Managing Transition of Projects into Operations	PwC	November 5, 2018	2019 Q3	Item retargeted to 2021 Q4	See description in 211
214	Enhance approach to pre/post go-live feedback collection and aggregation	CAO - City of Windsor	Executive Initiatives Coordinator - CAO's Office	Managing Transition of Projects into Operations	PwC	November 5, 2018	2019 Q3	Item retargeted to 2021 Q4	See description in 211
215	Improve evidence of timely completion and review of key billing controls	Chief Financial Officer	Deputy Treasurer, Taxation and Financial Projects	Property tax billing and payment processing	PwC	November 5, 2018	2019 Q3	Item complete and will be included in the next validation by PwC.
217	Continue to monitor resource needs and benefits of the centralized grant function	Chief Financial Officer	Senior Manager of Asset Planning	Pursuit of Grant Funding	PwC	February 4, 2019	2019 Q2	Item complete and will be included in the next validationby PwC.
218a	Define service standards and metrics to evaluate performance	CLT-Parks, Facilities, Recreation &Culture	Senior Manager, Facilities	Facilities Operations	PwC	February 4, 2019	2020 Q2	Item retargeted to 2020 Q4	Due to unforeseen circumstances, the Senior Manager, Facilities and the Manager, Assets & Projects were not available in 2019 Q3 & Q4 to address this recommendation and therefore a retarget is required.
218b	Review of priorities assigned to work orders	CLT-Parks, Facilities,Recreation &Culture	Manager, Facility Operations	Facilities Operations	PwC	February 4, 2019	2019 Q4	Item retargeted to 2020 Q4	See description in item 218a.
218c	Establish goals and targets, and develop metrics to assist in measuring and evaluating progress towards goals.	CLT-Parks, Facilities, Recreation &Culture	Manager, Assets & Projects	Facilities Operations	PwC	February 4, 2019	2020 Q4	In progress
218d	Establish service level agreements/statements to define the expectations	CLT-Parks, Facilities, Recreation &Culture	Manager, Assets & Projects and Manager, Facility Operations	Facilities Operations	PwC	February 4, 2019	2020 Q4	In progress
219	Enhance Management Discussions	CLT-Parks, Facilities, Recreation &Culture	Manager, Assets & Projects and Manager, Facility Operations	Facilities Operations	PwC	February 4, 2019	2019 Q4	Item retargeted to 2020 Q4	See description in item 218a.
220a	Develop a formal template of criteria for pursuing/not pursuing capital work.	CLT-Parks, Facilities, Recreation &Culture	Manager, Assets & Projects and Manager, Facility Operations	Facilities Operations	PwC	February 4, 2019	2019 Q4	Item retargeted to 2020 Q4	See description in item 218a.
220b	Define clear ‘documentation’ standard and develop standard forms/templates	CLT-Parks, Facilities, Recreation &Culture	Manager, Assets & Projects and Manager, Facility Operations	Facilities Operations	PwC	February 4, 2019	2021 Q4	No update yet. Due 2021 Q4
220c	Documentation of training and that training material & records are centrally located.	CLT-Parks, Facilities,Recreation &Culture	Manager, Assets & Projects	Facilities Operations	PwC	February 4, 2019	2019 Q2	Item retargeted to 2020 Q4	See description in item 218a.