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Introduction

This page lists information required from Approved Organisations and the Transport Agency (state highways) for investment audits or post implementation reviews.

 

Investment audit information requirements

 The information needed for investment audits should be ready for review when the auditor visits the Approved Organisation or Transport Agency (state highways) . This information will be requested in writing 4-6 weeks before the start of an audit.

Having this information ready to be reviewed when an audit starts helps ensure it progresses efficiently for both the Approved Organisation or Transport Agency (state highways) and the auditor.

 

  • Information required at the start of an investment audit

    Information required at the start of an investment audit

    Information that should be available at the start of an investment audit:

    • A copy of the latest audit management report from the Approved Organisation’s external auditors
    • Reports for any internal audits carried out since the previous audit
    • Copies of final claims for the previous three financial years, clearly reconciled to the entity land transport disbursement ledger accounts (with relevant working papers attached)
    • List of general ledger codes that make up the entity’s Land Transport Disbursement Account
    • A printout of latest contract retentions account, with financially assisted projects separately identified
    • A list of all National Land Transport Programme (NLTP) financially assisted contracts let in the previous three financial years –both physical works and professional services – including their let value and total costs (for completed projects)
    • A copy of the contract administration manual
    • A copy of the endorsed procurement strategy
    • Organisation charts, including asset management structure and professional services business unit (where applicable)
    • For professional services business units:
      • Copy of the most recent budget
      • Ledger printouts showing revenue and expenditure for the unit
      • Copy of the service level agreement
    • A copy of the most recent entity Annual Plan and Annual Report
    • A copy of the entity delegations.
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Additional information required for audits with a technical review

Some investment audits also involve a technical review. In these cases, the further information should be made available for review at the audit visit.

 

  • Additional information required for technical reviews

    Additional information required for technical reviews

    The following information should be made available for technical reviews at the audit visit:

    • Peer groups – identification of any particular councils consideredto be peers
    • Sample copies of maintenance contracts
    • Summary of most recent bridge and/or structural inspections report
    • Current and proposed reseal and rehabilitation programmes
    • Current minor works programme (and/or prioritised list)
    • Any recent network-wide assessments – third party, independent, or internal
    • Any reports on network condition assessment
    • Other quality assurance or review processes considered relevant.
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Post implementation review information requirements

An Approved Organisation or the Transport Agency (state highways) will be contacted in writing if any of its  completed projects or packages have been selected in the investment monitoring work programme for a post implementation review.

This written notification will include a request for information on the project/package to be provided (where applicable).

 

  • Information required for post implementation reviews

    Information required for post implementation reviews

    The following information on the project/package needs to be provided (where applicable):

    • A copy of the business case (or scheme assessment report)
    • Physical works contract start date
    • Physical works contract practical completion date and defects liability certificate date
    • Physical works cost, including professional fees
    • Area and cost of any land take
    • Copies of reports for any safety audits done, including responses and decision tracking forms
    • Results of post implementation monitoring of key performance and operation information, which may include post opening flows of people and freight, speeds, and crash records
    • Copies of any other reports or information that will help assess how well a completed project/package has achieved its expected benefits and outcomes.
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