GAPTC Internal Audit Service
Council Document Submission Form (Note: If you are unable to fulfil a criteria and are experiencing problems moving forward with your submission as a result, please drop-in at one of our free online sessions and talk to an auditor. The reason we often do not have 'no' as an options, is to ensure you make a full submission, avoiding unnecessary, unexapcted additional costs.)
Council Details
Council name
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Name of Clerk/RFO responsible for the Internal Audit
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First Name
Last Name
Email
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example@example.com
Phone Number
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Section 1: Governance and Policies (Required for All)
1a. Our Financial Regulations have been reviewed this year.
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Yes
1b. Provide the date of the meeting where these were reviewed AND the minute reference for the review.
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1c. Provide a website link to where the reviewed Financial Regulations can be viewed.
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2a. Our council has reviewed its Standing Orders this year.
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Yes
2b. Provide the date of the meeting where these were reviewed AND the minute reference for the review.
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2c. Provide a website link to where the reviewed Standing Orders can be viewed.
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3a. The Code of Conduct has been reviewed in the last two years.
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Yes
3b. Provide the date of the meeting where these were reviewed AND the minute reference for the review.
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3c. Provide a website link to where the Code of Conduct can be viewed.
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Section 2: Finance and Accounting (Required for All)
4a. Bank reconciliations are regularly carried out and up to date
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Yes
4b. Please upload ONE bank reconciliation per quarter. NOTE: If your expenditure does not warrant quarterly recons upload TWO bank reconciliations from different periods: 1 January to 31 March 2024; 1 April to 30 June 2024; 1 July to 30 September 2024; 1 October to 31 December 2024.
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5a. VAT claims/returns have been submitted and are up to date
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Yes (this includes councils that are not VAT registered)
No VAT claims/returns were made
5b. If you responded 'Yes' above, please upload a copy of your most recent VAT claim/return and submission confirmation.
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6a.Section 137 of the Local Government Act 1972 has been accurately applied and accounted for
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Yes
Section 137 does not apply to our council, we have adopted the General Power of Competence (See also Question 20). Skip to Question 7.
6b. Give your council’s electoral register figure for the current year. NOTE: Your council’s electoral figure is available on GAPTC’s website (gaptc.org.uk/wiki/category/39/). The spending limit for Section 137 in 2024-25 is £10.81.
6c. Our S137 spending limit for the current year is £
6d. Please upload a list of Section 137 payments.
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7a. Direct debits have been reviewed and authorised for 2024/25. Provide the date of the meeting AND the minute reference where this took place. If you have no direct debits please state N/A.
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7b. Provide the website link where these minutes can be viewed. If you have no direct debits please state N/A.
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8a. A cashbook provides an overview of the council’s financial activities and allows for a sample of payments and receipts to be reviewed. Please upload a copy of your council’s cashbook showing all transactions for the year to date. Note: Your auditor will contact you for a random sample of payments/receipts or income/expenditure from which they will confirm an accurate audit trail.
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9a. The council has a system of internal controls in place.
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Yes
We do not have Internal Controls in place and require support to meet this criterion.
9b. Provide the website link to where this policy can be viewed.
9c. Please upload a document, signed by Councillor/s indicating that internal checks have taken place this year.
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10a. The budget, precept and reserves analysis for 2024-25 has been approved by the FULL council.
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Yes
10b. Provide the date of the meeting AND the minute references where the budget and precept were approved.
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10c. Provide the website link/s where these minutes can be viewed.
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10d. Please upload a copy of the detailed budget, that includes the precept and all reserves, as approved by council (NOT a summary budget).
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11a. 2023/24 year end accounting statements have been prepared correctly; they match the cashbook and are supported by an appropriate report.
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Yes
11b. Provide the date of the meeting AND the minute reference where the 2023/24 end of year accounts were noted.
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11c. Provide the website link where these minutes can be viewed.
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11d. Please upload the council’s 2023/24 end of year accounts. Note: Where applicable councils should also upload a debtors and creditors report.
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12a. During the year, the Council has periodically reviewed expenditure against budget.
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Yes
12b. Provide the dates of the meetings where the reports were noted.
12c. Provide the minute references for the meetings where the reports were noted.
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12d. Provide the website links where these minutes can be viewed.
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12e. Please upload TWO Budget Comparison (Budget v Spend) Reports.
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13a. All petty cash payments are supported by receipts, are approved and VAT has been appropriately accounted for.
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Yes
My council does not have petty cash
13b. Please upload a report of petty cash payments (if applicable).
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14a . Insurance cover has been reviewed and, if necessary, updated. Provide the date of the meeting AND the minute reference where this was reviewed.
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14b. Provide the website link where these minutes can be viewed.
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14c. Please upload your council’s policy schedule.
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Section3: Payroll and Employment (Required for All)
15a. All employees have a contract of employment.
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Yes
15b. Are all employees on the current NALC standard employment contract?
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Yes
No
15c. Please upload the contract, signed by the Chairperson and employee, for your most recently employed clerical staff member. Note: If any employees are on different contacts, we may ask to see them. (You will be contacted)
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16a. PAYE and National Insurance have been properly applied and reported.
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Yes
16b. Please upload ONE HMRC submission for each employee. We recommend a Form P32 Employer Payment Record.
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16c. Please upload the P32 Report (if available)
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Section 4: Transparency and Public Rights (Required for All)
17a. Our Annual Governance and Accountability Return (AGAR) is published on our website.
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Yes
17b. Provide the full website link where the AGAR can be viewed.
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18a. The council has provided for the exercise of public rights as required by law.
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Yes
18b. Please upload a copy of the Notice of Public Rights.
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19a. Were matters raised in the 2023/24 internal and/or external audit which required the council’s attention?
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Yes
No
19b. If yes, list them and state what actions the council has taken to address them. If action was required, but no actions have been taken, please give reasons.
19c. Provide a website link to the previous year’s external audit (if applicable).
19d. Provide the date of the meeting AND the minute reference where the internal and external* audits were reviewed. Note: External audits are not applicable to all councils.
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19e. Provide the website link where these minutes can be viewed.
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19f. Councils below £25,000. Did council confirm exemption from external audit?
Yes
No
19g. Provide the website link where the exemption can be viewed.
Section 5: Additional Information (May Not Apply to All Councils)
20a. Our council has formally adopted the General Power of Competence (GPC).
Yes
No
20b. Provide the date of the meeting AND the minute reference where this was approved.
20c. Please provide a website link to where these minutes can be viewed.
20d. If you responded 'No', please give a reason why your council has not adopted GPC.
21a. Assets (e.g., play areas, buildings) have been inspected.
Yes
21b. Please specify which assets have been inspected:
Play areas
Trees
Land and buildings
Street furniture
Other
21c. If 'other', please say what they are.
21d. Please upload the most recent inspection report for each asset selected above.
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22a. An asset review has been conducted this year.
Yes
22b. Provide the date of the meeting AND the minute reference where this was reviewed.
22c. Provide the website link where these minutes can be viewed.
22d. Please upload a copy of the asset register
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23a. Risk management of all council’s responsibilities has been reviewed and is up to date
Yes
23b. Provide a website link to the council’s Risk Management Policy.
23c. Provide the date of the meeting AND the minute reference where it was reviewed this year.
23d. Provide a website link where these minutes can be viewed.
24a. Services and items purchased comply with Financial Regulations/procurement rules.
Yes
24b. Please upload details of contracts and tender documents (if applicable).
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24c. Town and Parish Councils over £200k gross income/expenditure must provide minute reference/s for contracts over £5,000, your auditor will request a sample (if necessary).
25a. The council has fulfilled its responsibilities as a managing trustee for any trust funds
Yes
25b. Charity/Trust name
25c. Charity/Trust number
25d. Please upload the 2023-24 AGM minutes for the Charity/Trust
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