Appendix D
North Norfolk District Council - Strategic Audit Plan - April 2011 - March 2016
Description of audit
Audit Days
Delivered
2010/11
Assessed audit
risk
Strategic risk Reference
2011/12
2012/13
2013/14
Days
planned
Days
planned
Days
planned
2014/15
2015/16
Days planned Days planned
SYSTEMS AUDITS TO BE CARRIED OUT CONCURRENTLY AT
EACH AUTHORITY
CHIEF EXECUTIVE
Review of Corporate Governance and Risk Management
arrangements
Work to support the preparation of the Annual Governance
Statement
DEPUTY CHIEF EXECUTIVE
Payroll, human resources and officers expenses
Accountancy services - treasury management, control accounts,
banking, bank reconciliation, asset management/capital
expenditure, budgetary control, journal entries, etc
8
High
8
8
8
8
8
10
Very High
15
10
15
10
15
20
High
High
Exchequer services -creditors and insurance
Receipt, handling and banking of remittances, tourist information
centres, etc
15
Council Tax and NNDR
Housing benefit/CTB
Sundry debtors
20
20
21, 25
High
High
High
High
High
19
18
19
18
15
15
15
14
20
20
7
12
18
14
20
20
12
12
Page 1 of 4
Appendix D
North Norfolk District Council - Strategic Audit Plan - April 2011 - March 2016
Description of audit
Audit Days
Delivered
2010/11
Assessed audit
risk
Strategic risk Reference
2011/12
2012/13
2013/14
Days
planned
Days
planned
Days
planned
2014/15
2015/16
Days planned Days planned
OTHER SYSTEMS AUDIT
CHIEF EXECUTIVE
Active communities & Community safety
Medium
10
STRATEGIC DIRECTOR - COMMUNITY SERVICES
Tourism & Economic Development
Foreshore & coastal management / Coastal Protection
Strategic Housing and Homelessness, etc
High
Medium
High
6, 7
2, 23
7
10
Affordable housing initiatives
Medium
3
10
10
12
12
10
15
15
10
Private sector housing - improvements, etc
12
Medium
12
Planning & Development control including fees, planning delivery
grants, building control, enforcement, section 106 agreements,
land charges etc.
30
Medium
25
18
High
STRATEGIC DIRECTOR - ENVIRONMENT
Waste management contract - refuse collection, street cleaning,
recycling, clinical waste, abandoned vehicles, etc
Sports Halls/Centres & Sports Development
Leisure Complexes, Other Sports, Arts & Entertainment, including
Pier Pavilion
Parks and Open Spaces, plus Woodland Management
Environmental services other than waste management - food
control, pollution control, pest control, dog warden, licensing,
enviromental protection, rural sewerage, emergency planning etc.
20
10
18
High (3-yearly cycle
retained)
Medium
15
Medium
10
Medium
18
18
15
15
11, 16, 23, 24
15
10
20
Page 2 of 4
Appendix D
North Norfolk District Council - Strategic Audit Plan - April 2011 - March 2016
Description of audit
Audit Days
Delivered
2010/11
Assessed audit
risk
Strategic risk Reference
2011/12
2012/13
2013/14
Days
planned
Days
planned
Days
planned
2014/15
2015/16
Days planned Days planned
OTHER SYSTEMS AUDIT
STRATEGIC DIRECTOR - INFORMATION
Elections
Medium
Communications
Medium
Ethical Governance
12
Ad-hoc request from
management
Legal Services, Data Protection and Freedom of Information
22
Low
DEPUTY CHIEF EXECUTIVE
Corporate policy, planning, performance management, etc.
Performance indicators / Data integrity
Property services
Car parking & markets
Project Management and Procurement
7
Property Services - Additional Review
12
Follow up previous systems audit recommendations
10
TOTAL DAYS PER ANNUM FOR SYSTEMS AUDIT
236
Medium
High
Medium
High
Medium
Ad Hoc request from
management
Annual input
required
10
17
10
10
10
22
10
12
10
14
16
8, 10, 14
14
16
16
16
16
8
8
8
8
8
175
192
166
192
196
Page 3 of 4
Appendix D
North Norfolk District Council - Strategic Audit Plan - April 2011 - March 2016
Description of audit
Audit Days
Delivered
2010/11
Assessed audit
risk
Strategic risk Reference
2011/12
2012/13
2013/14
Days
planned
Days
planned
Days
planned
4
4
4
2014/15
2015/16
Days planned Days planned
COMPUTER AUDIT
STRATEGIC DIRECTOR - INFORMATION
Follow up of previous computer audit recommendations
6
Computer audit needs assessment
6
Annual input
required
4
4
40
40
6
Provision for computer audit coverage pending results of needs
assessment
Management Issues
Project Management
Medium
IT Security, Procurement and End User Controls
Software Licensing (incl. FAST)
Very High
10
Business Continuity
16, 22, 23
Medium
Data Centre, Back Up, Disaster Recovery
13
Medium
Very High
Data Consistency
10
15
Very High
7
10
16
10
Application Systems
Cedar Financial Application
High
Document Imaging - Civica (Revenues and Benefits)
Revenues and Benefits - Civica
10
Medium
13
Northgate - Payroll and Personnel
10
High
Medium
13
10
Infrastructure
Network Infrastructure
22
Medium
Content Management
High
Remote Access
Low
10
10
TOTAL DAYS PER ANNUM FOR COMPUTER AUDIT
57
41
44
46
44
44
TOTAL AUDIT DAYS PER ANNUM
293
216
236
212
236
240
Page 4 of 4