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 |
|---|---|---|---|---|---|---|---|---|---|
| 221 | Periodic WO Aging Analysis | 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. |
| 222 | Design and implement Customer Satisfaction Survey | CLT-Parks, Facilities,Recreation &Culture | Senior Manager, Facilities | Facilities Operations | PwC | February 4, 2019 | 2019 Q4 | Item retargeted to 2020 Q4 | See description in item 218a. |
| 223 | Track Conditions and Building Condition Assessments (BCA) periodically | CLT-Parks, Facilities,Recreation &Culture | Senior Manager, Facilities | Facilities Operations | PwC | February 4, 2019 | 2019 Q4 | Item retargeted to 2020 Q4 | See description in item 218a. |
| 224 | Refresh SM Policy and Implement SM Procedures | City Clerk | Senior Manager Communications & Customer Service | Social Media Strategy Assessment | PwC | February 4, 2019 | 2019 Q4 | Item complete and will be included in the next validation by PwC. | |
| 225 | Enhance formal oversight controls over SM policies / procedures and governance | City Clerk | Senior Manager Communications & Customer Service | Social Media Strategy Assessment | PwC | February 4, 2019 | 2020 Q4 | In progress | |
| 226 | Define and implement strategy evaluation and performance reporting processes | City Clerk | Senior Manager Communications & Customer Service | Social Media Strategy Assessment | PwC | February 4, 2019 | 2020 Q4 | In progress | |
| 227 | Develop standard forms/templates for new account creation requests | City Clerk | Senior Manager Communications & Customer Service | Social Media Strategy Assessment | PwC | February 4, 2019 | 2019 Q4 | Item complete and will be included in the next validation by PwC. | |
| 228 | Improve controls over Access Management | City Clerk | Senior Manager Communications & Customer Service | Social Media Strategy Assessment | PwC | February 4, 2019 | 2019 Q4 | Item complete and will be included in the next validationby PwC. | |
| 229 | Document key content management procedures/checklists and review/update key account level roles/responsibilities. | City Clerk | Senior Manager Communications & Customer Service | Social Media Strategy Assessment | PwC | February 4, 2019 | 2019 Q4 | Item complete and will be included in the next validation by PwC. | |
| 230 | Update the Emergency response plan and document process for performing annual update | City Solicitor | Emergency Planning Officer | Emergency Response Planning & Preparedness | PwC | May 6, 2019 | 2019 Q3 | Item retargeted to 2020 Q1 | |
| 231 | Documentation of EMPC meeting minutes and retention of annual review of emergency management documentation | City Solicitor | Emergency Planning Officer | Emergency Response Planning & Preparedness | PwC | May 6, 2019 | 2019 Q2 | Item complete and will be included in the next validation by PwC. | |
| 232 | Implement incident notification and briefing documentation/logging | City Solicitor | Emergency Planning Officer | Emergency Response Planning & Preparedness | PwC | May 6, 2019 | 2019 Q2 | Item complete and will be included in the next validationby PwC. | |
| 233 | Develop process guidelines for continuous improvement exercises,documentation and reporting | City Solicitor | Emergency Planning Officer | Emergency Response Planning & Preparedness | PwC | May 6, 2019 | 2019 Q4 | Item complete and will be included in the next validation by PwC. | |
| 234 | Review completeness of annual ERP training provided to the staff | City Solicitor | Emergency Planning Officer | Emergency Response Planning & Preparedness | PwC | May 6, 2019 | 2019 Q4 | Item complete and will be included in the next validation by PwC. | |
| 235 | Present phase 2 regeneration plan prior to assigning accountabilities for SAMP goals and objectives | WECHC Chief Executive Officer | WECHC - Chief Development and Regeneration Officer | CHC - Asset Management Housing Portfolio | PwC | July 29, 2019 | 2020 Q4 | In progress | |
| 236 | Update LTAM Policy with approved FCI target and outline requirements for review/ approval when changes are required to FCI into a procedure/guideline | WECHC Chief Executive Officer | WECHC - Director of Asset Management | CHC - Asset Management Housing Portfolio | PwC | July 29, 2019 | 2020 Q1 | In progress | |
| 237 | Establish an acknowledgement procedure to document whether changes to scope prior to issuing addendum were reviewed by a qualified professional | City Engineer | Purchasing Manager | Hotline Investigation - NTS- 002-NOV-2018 | PwC | July 29, 2019 | 2019 Q4 | Item complete and will be included in the next validation by PwC. | |
| 238 | Enhance controls over authorization, recording and release of materials to contractors | City Engineer | Senior Manager of Traffic Operations | Hotline Investigation - NTS- 002-NOV-2018 | PwC | July 29, 2019 | 2019 Q4 | Item complete and will be included in the next validation by PwC. | |
| 239 | Formalize Incident Management Plan and Procedures | Chief Financial Officer | Executive Director Information Technology | Cyber Response Strategy Assessment | PwC | September 23, 2019 | 2020 Q4 | In progress |