Internal Audit Plan Period Ending December 2023 - PowerPoint Presentation

1. Internal Audit Plan Period Ending December 2023

2. Summary of the Internal Audit Plan The Internal Audit plan is based on assessments and prioritisation made at the time of the plan being developed. This table summarises the 2023 Internal Audit Plan. A ‘reserve list’ of Internal Audit projects has also been included in the next slide outlining proposed projects that have not been prioritised at this time, however, will be monitored and re-prioritised if the level of risk elevates or DoE priorities change. The specific scope, timing and days will be discussed and agreed upon as part of the internal audit scope. A schedule for delivery of the Internal Audit Plan will be developed and aligned with the planned dates of the ARC to ensure a smooth and balanced cycle of reporting throughout the year.RefInternal AuditDoE GroupScheduled2023-1Government business and management of correspondence Office of the SecretaryTerm 1, 20232023-2Financial Planning – Budgeting and Forecasting (Phase 2)*COO – Finance Term 3, 20232023-3Online Enrolment System*COO – IT Term 2, 20232023-4Heavy vehiclesCOO – Shared Services Term 3, 20232023-5Rural Access GapCOO – IT Term 1, 20232023-6Wage ComplianceCOO – Shared Services Term 3, 20232023-7IT Incident, Problem and Service Request ManagementCOO – IT Term 2, 20232023-8Network – including WAN/LAN, Windows DomainsCOO – IT Term 3, 20232023-9Purchase CardsCOO – Shared ServicesTerm 3, 20232023-10Critical Incident Management / Complex Case ManagementCPO – HSSW Term 2, 20232023-11Professional Ethical StandardsCPO – PES Term 1., 20232023-12Onboarding / Offboarding (Corporates)CPOTerm 1, 20232023-13Quality Assurance and Regulatory Services (QARS)SIER Group – LI Term 2, 20232023-14Accuracy of School Attendance RecordsSIER Group – LI Term 2, 20232023-15Learning Environments**SINSWTerm 1, 20232023-16Student Behaviour Policy and StrategySIER Group – LI Term 4, 20232023-17Early Childhood FundingSIER Group – ECO Term 3, 20232023-18Review of Grants Management ProcessesSIER Group – ECO Term 2, 20232023-19Flood Response ManagementCPOTerm 2, 20232023-20Procurement / Sourcing ProcessSINSWTerm 2, 20232023-21Contract / Vendor Management ProcessesSINSWTerm 3, 20232023-22Follow-up of previously agreed actionsDoE wideQuarterly2023-23Around 300 School Audits and 200 Enrolment Audits are undertaken each financial year where the following areas are reviewed: child protection, WHS, student attendance, budgeting & financial position, receipting & banking, journals, procurement & payments, assets & equipment, and school operated canteens. Around 300 School Audits and 200 Enrolment Audits are undertaken each financial year where the following areas are reviewed: child protection, WHS, student attendance, budgeting & financial position, receipting & banking, journals, procurement & payments, assets & equipment, and school operated canteens. *These audits are on the 2023 plan and were also on the 2021-22 plan. **The Learning Environment audit (from the reserved list) has replaced the Disability and Inclusive Education audit (from the main list).

3. Internal Audit Plan – Reserve ListRefInternal Audit Reserve ListDoE Group2023-1Stakeholder and Community Engagement FrameworkOffice of the Secretary2023-2Infrastructure, including database, operating systemsCOO – IT2023-3ITD (Mission Critical Information)COO – IT2023-4Legacy SystemsCOO – IT2023-5Monitoring of DoE sourced internet bound trafficCOO – IT2023-6Compliance / Attestation ManagementCOO – CRO2023-7Financial reporting – adequacy of transaction controls for services provided by EDConnect Shared ServicesCOO – Shared Services2023-8Data Governance and Warehouse AuditCOO – IT2023-9Review of Cloud Management, including Service GovernanceCOO – IT2023-10Student Administration Program and Marketplace (Student Admin Online)COO – IT2023-11Performance Development Plans (PDPs) for DoE Public Sector Staff Grade 12 and belowCPO2023-12Assessment of School leadership programs to support the development of leadership capabilitiesCPO2023-13Work, Health and SafetyCPO – HSSW 2023-14Staff wellbeing for incident support in schoolsCPO2023-15Teacher SupplyCPO2023-16Training and contentCPO2023-17Recruitment and retention processes (Schools)CPO2023-18Vaping at schoolsSIER Group – LI 2023-19Complaints management framework and processes (Schools)SIER Group – LI 2023-20Government Pre-School (run by DoE)SIER Group – LI 2023-21Commissioner for ApprenticeshipsSIER Group – ESR 2023-22Problematic and harmful sexual behaviourSIER Group – LI 2023-23Cooler Classroom Program health checkSINSW2023-24Disability and Inclusive Education*SIER Group – LI * The Disability and Inclusive Education audit (from the main list) has replaced the Learning Environment audit (from the reserved list).