Work Plan
Internal Audit (Current Department Org. Chart, FTEs, and Audit Type Focus) Port Commission CEO 3-member Audit Committee Sr. Admin. Internal Audit Director Assistant Audit Manager Sr. Internal Auditor Internal Auditor Sr. Internal Auditor Internal Auditor Performance Internal Auditor Auditor Intern Governance (Accountability, Risk Assessment Internal Controls Compliance Fiscal Integrity and Transparency) Port of Seattle Internal Audit Department Approved 2011 Audits Note: 1) Approved 2011 audits include suggestions by management (superscripted) and Internal Audit (non superscripted). 2) Estimated audit resources are based on 8,854 hours which is 75% of the total FTE hours for internal Audit staff. The remaining 25% includes such administrative/professional hours as training, sick, vacation, etc. Approved Column1 Project Description 2011 Work Status Division Contact Responsible Mgmt. Plan Comprehensive Operational Audit Asset Management Corporate Debbi Browning Rudy Caluza (Central Processing Reviews) In Progress Airport Public Parking Garage Complete Aviation Diane Santiago Jeff Hoevet Comprehensive Airport Office Building Complete Aviation Michele Fideler Antonio Baca Operational Audit Container Management Complete Seaport Michael Burke Linda Styrk (Organizational Operations Reviews) Airfield Operations Not Started Aviation Mark Coates Mike Ehl Follow-Up (Police Department) Not Started Corporate Rodney Covey Colleen Wilson 3rd Party Operational VIP Lounge Not Started Aviation Jeffrey Wolf Jim Schone Audit Aviation Lost and Found Complete Aviation Susan Hansen Smith Nicholas Harrison Jolene Culler/James ENTERPRISE (owns Alamo and National) Aviation Jim Schone In Progress Jennings AIRPORT MANAGEMENT SERVICES LLC (Hudson) Aviation Deanna Zachrisson Jim Schone In Progress CRUISE TERMINALS OF AMERICA LLC In Progress Seaport Mike McLaughlin Linda Styrk REPUBLIC PARKING NORTHWEST INC (Pier 66) Not Started Real Estate Melinda Miller Joe McWilliams Wendy's (Latrelle's) Not Started Aviation Deanna Zachrisson Jim Schone IVARs Not Started Aviation Deanna Zachrisson Jim Schone Crane Rental (EAGLE MARINE, STEVEDORE SVCS, Seaport Mike Burke Linda Styrk TOTAL TERMINALS) Not Started CityIce Cold Storage Company/ Pier 91 Complete Seaport Mike Burke Linda Styrk Lease and Concession Bill and Nick Inc. Not Started Real Estate Melinda Miller Joe McWilliams Jolene Culler/James Simply Wheelz LLC (Rent-A-Car) Aviation Jim Schone Not Started Jennings Elaine Lincoln/Deanna Ex Officio LLC Aviation Jim Schone Not Started Zachrisson Elaine Lincoln/Deanna Food Systems Unlimited Inc Aviation Jim Schone Not Started Zachrisson Airline Audit (one or two annually) Not Started Aviation Vicky Ausbun Mike Ehl Subtenant Review (e.g., Concourse Concession) Not Started Aviation Deanna Zachrisson Jim Schone Fuel Dock at Shilshole Complete Real Estate Darlene Robertson Joe McWilliams John Fleet Maintenance (cross functional Program) - Aviation/Real Mary Ann Lobdell/Benny Christianson/Lindsay efficiency Estate Austin/Luisa Bangs In Progress Pulsifier Limited Operational Mobile Communication Device Procurement Practices Audit Corporate Kim Albert Peter Garlock and Administration Complete ABM contract (Aviation Main Terminal janitorial Aviation Andy Frank Mike Ehl services) - effective monitoring? Not Started Continuous Monitoring In Progress Corporate Jack Hutchinson Joyce Kirangi Nonaudit Services Enterprise Risk Management (ERM) In Progress Corporate Jeff Hollingsworth Dan Thomas Payment Card Industry (PCI) Compliance In Progress Corporate Various Various Contingency Special Projects as Requested, Unexpected Events, Various Various Various etc 2010 audits completed in 2011 7 2011 audits completed 7 Status Count 2011 audits not started 14 2011 audits in progress 8 Audit Exit Month Overtime * Jan Dollar RAC * Jan Fox RAC * Jan Travel * feb CDD * April Thrifty * April Mob. Device June Pub. Parking June Lst & Found June SeaTac Util * June AOB July Shilshole July CityIce Aug Container Op Aug * Audits highlighted in yellow are 2010 audits exited in 2011. Internal Audit Department Calculation of Remaining Audit Resources in 2011 Assumptions 1. 20 weeks remaining in the year (Aug. thru Dec.) 2. 25% administrative (training, vacation, sick, holiday, etc) 3. audit manager at 50% for audit work Internal Auditor 1 563 Internal Auditor 2 563 Internal Auditor 3 563 Senior Auditor 1 563 Senior Auditor 2 * 563 Performance Auditor 1 * 563 Audit Manager 281 Subtotal 3,656 less *12 weeks to fill Senior Auditor Position #2 (338) * New position effective July 2011 Estimated Total Available Audit Resources 3,319 "a" (in hours) from August thru December 2011 Original Work Plan Audit Hours 8,900 Consumed thru July 2011 5,000 Remaining per the original 2011 work plan 3,900 "b" shortage of the originally planned hours (see "b") as compared to the estimated remaining (581) "c" resources available (see "a") Based on the estimated shortage (see "c"), we recommend carrying forward approx. 2 to 3 audits to the 2012 work plan. Audit Work Progress (based on TeamMate time entries) Status Legend: C -- complete; O -- ongoing; NS -- not started Name Start End Status Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Asset Management 5 7 O Department Audit of Airport Operations - Landside 1 5 C Airport Office Building Mgmt 4 7 C Seaport Container Operations Dept. Review 5 7 C Air Field Operations Dept. Review 8 12 NS Lost and Found at the airport 4 6 C VIP Lounge at the airport 8 12 NS ENTERPRISE RENT A CAR 5 7 O SIMPLY WHEELZ 8 12 NS Lease and Concession Audit of Airport Management Services (Hudson News) 2 7 O CRUISE TERMINALS OF AMERICA 5 7 O REPUBLIC PARKING NORTHWEST 8 12 NS LATRELLES EXPRESS 8 12 NS IVARS 8 12 NS Crane Rental Agreement Review 8 12 NS CITY ICE AND COLD STORAGE 5 7 C BILL & NICK INCORPORATED 8 12 NS EX OFFICIO 8 12 NS FOOD SYSTEMS UNLIMITED INC 8 12 NS Airline Audit 8 12 NS Subtenant Review 8 12 NS SHILSHOLE BAY FUEL DOCK 4 6 C Port Fleet 4 7 O Mobile Communication Device Procurement Practices and Administration 1 5 C ABM Contract 8 12 NS Performance Audit of CDD Contracting 1 5 C Audit of Aviation Overtime 1 1 C Dollar Rent-A-Car 1 2 C Fox Rent-A-Car 1 1 C Travel and Entertainment Expenses 1 2 C Thrifty Rent-A-Car 1 3 C SeaTac Utilities 1 5 C 9 8 6 9 14 10 8 13 13 13 13 13
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