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West Coast District Municipality

West Coast District Municipality. CLEAN AUDIT WEST COAST EXPERIENCE HENRY PRINS MUNICIPAL MANAGER 29-30 APRIL 2013 NATIONAL MUNICIPAL MANAGERS’ FORUM; RUSTENBURG. OUTLINE. INTRODUCTION STAKEHOLDERS SYSTEMS CONCLUSION. INTRODUCTION. DO NOT CLAIM TO KNOW IT ALL

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West Coast District Municipality

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  1. West Coast District Municipality CLEAN AUDIT WEST COAST EXPERIENCE HENRY PRINS MUNICIPAL MANAGER 29-30 APRIL 2013 NATIONAL MUNICIPAL MANAGERS’ FORUM; RUSTENBURG

  2. OUTLINE • INTRODUCTION • STAKEHOLDERS • SYSTEMS • CONCLUSION

  3. INTRODUCTION • DO NOT CLAIM TO KNOW IT ALL • GOING BACK TO BASICS BY ENSURING THE BOOKS WERE KEPT IN ORDER • NOT DOING ANYTHING SPECIAL • 9 CONSECUTIVE UNQUALIFIED OPINIONS • 2010/11; 2011/2012 CLEAN AUDIT

  4. STAKEHOLDERS: POLITICAL LEADERSHIP • ROLES AND RESPONSIBILITIES • SYSTEM OF DELEGATIONS • POSITIVE ENVIRONMENT • ACCESSIBLE; COMMUNICATION • PORTFOLIO COMM EACH MONTH (NOT JAN AND DEC) FOR OVERSIGHT • AD-HOC RFI

  5. STAKEHOLDERS: POLITICAL LEADERSHIP (CONT) • ACCESS TO IGNITE PMS • ATTENDANCE AUDIT COMMITTEE AND AG STEERING • WHIPS ATTENDING AC • VALUES: INTEGRITY, TRANSPARENCY, LOYALTY, ETHICAL, RESPECT, QUALITY

  6. STAKEHOLDERS: MANAGEMENT • LEADS ADMIN • SET THE TONE AT THE TOP • LEAD BY EXAMPLE • WORK ETHIC • FRAUD DECLARATIONS • ZERO TOLERANCE MISCONDUCT • COMMITMENT TO SUSTAIN AND IMPROVE GOVERNANCE PROCESSES

  7. STAKEHOLDERS: MANAGEMENT (CONT) • SUSTAINABILITY (CAN RECOMMENDATIONS / DECISIONS STAND THE TEST OF TIME) • COMMUNICATION

  8. STAKEHOLDERS: AG • PARTNERSHIP • KEY-CONTROL VISITS OPPORTUNITY • MONITORING AND EVALUATING THE STATUS OF IMPROVEMENTS • THE SUSTAINABILITY OF KEY INTERNAL CONTROLS • ENCOURAGE LEADERSHIP THAT WOULD BE A CATALYST FOR REALISATION OF CLEAN ADMIN

  9. STAKEHOLDERS:AG (CONT) • GIVE SUPPORT AND GUIDANCE TO THE AUDITEES (AG FOCUS AREAS) • CONTINUOUS COMMUNICATION; STANDING INVITE TO AC • PROPER PREPARATION FOR THE AUDIT • SINGLE CONTACT FOR RFI’S AND COMAFS

  10. STAKEHOLDERS:AUDIT COMMITTEE • INDEPENDENCE • SKILLED; QUALIFIED • COMPOSITION; RIGHT MIX • QUALITY OF INFO; ACCESS TO PMS/SDBIP • MEETS 6X P.A. • DISTRIBUTION OF AGENDA • PROJECT: EVALUATE POLICY

  11. STAKEHOLDERS:AUDIT COMMITTEE (CONT) • TRAINING / NETWORKING OPPORTUNITIES • MINUTES TO COUNCIL • STRATEGIC PARTNER; VALUE-ADD • OVERSIGHT

  12. STAKEHOLDERS: INTERNAL AUDIT • STRATEGIC PARTNER • PROPERLY RESOURCED • REPORT TO AUDIT COMM • RBAP IMPLEMENTATION • PLAN TO ADDRESS PAST FINDINGS • REPORT TO MANAGEMENT ON FINDINGS; FOLLOW-UP • ITEM ON EMT AGENDA

  13. STAKEHOLDERS: INTERNAL AUDIT (CONT) • LIAISON AG; NT; PT • REVIEW AFS • PREPARE AUDIT FILE (NOTES; BUDGET; COUNCIL RESOLUTIONS) • CAE FORUM NETWORK

  14. STAKEHOLDERS: IGR • PROVINCIAL TREASURY: CAE AND CRO FORUMS • CFO FORUM (MFMA MATTERS) • MGRO PROCESS: MAYOR AND MM COMMITMENT • NATIONAL TREASURY: ADVICE; SUPPORT

  15. STAKEHOLDERS: STAFF • TEAMWORK • QUALIFIED / SKILLS • INSTITUTIONAL MEMORY; CONTINUITY • RECRUIT, RETAIN AND DEVELOP THE BEST AVAILABLE TALENT • DO NOT COMPROMISE ON COMPETENCE • COMMITTED

  16. STAKEHOLDERS:STAFF (CONT) • ACTIVE PARTICIPATION DIVISIONAL HEADS (ERM; STRATEGIC PLANNING; PMS/SDBIP; BUDGET; PF COMM) • ACCOUNTABILITY FOR UNIT; PERFORMANCE AGREEMENT • EXTENDED MANAGEMENT TEAM (QUARTERLY) • WHO PACKS YOUR PARACHUTE? (CHARLIE PLUMB, US PILOT IN VIETNAM)

  17. SYSTEMS: RECORDS • DOCUMENT MANAGEMENT (AUTOMATE) • PROPER FILING; BASICS • AVAILABILITY • INTEGRITY / RELIABILITY

  18. SYSTEMS: IT • GOVERNANCE FRAMEWORK ADOPTED • THE RIGHT SOFTWARE WILL REDUCE RISK E.G. IGNITE; SAMRAS; CAPMAN; CASEWARE; COLLABORATOR • CONSOLIDATION OF FIGURES ARE PRONE TO HUMAN ERROR • SLA’S WITH SERVICE PROVIDERS (EVALUATE)

  19. SYSTEMS: RISK MANAGEMENT • RISK COMMITTEE INTERNALLY • QUATERLY RISK ASSESSMENT PER DIRECTORATE • REPORT TO MANAGEMENT • REPORT TO AUDIT COMM • SHARED SERVICES RISK MANAGEMENT

  20. SYSTEMS: PMS • PDO DEVELOPMENT INTERNALLY (EMT); CONTINUOUS REVIEW OF KPI’S • CREATE OWNERSHIP (KPI NOT APPLICABLE; CORRECT; NOT CONSULTANT DRIVEN) • GENERATE OWN REPORTS • RESPONSIBLE FOR INPUT IGNITE • AVAILIBILITY OF POE

  21. SYSTEMS: PMS (CONT) • QUARTERLY AUDIT OF KPI’S / PMS • PMS DEVOLVED SECTION HEADS • AGENDA ITEM EMT

  22. SYSTEMS: FINANCIAL • MONTHLY BALANCING (TB) • RIGHT SYSTEM • COMPLIANCE REPORTING • CONTINUOUS EVALUATION / TESTING OF INTERNAL CONTROL • COMMUNICATE YEAR-END PROCESSES • AFS PREPARE ON TIME

  23. SYSTEMS: FINANCIAL (CONT) • PERSON RESPONSIBLE FOR AFS MUST HAVE KNOWLEDGE OF THE REQUIREMENTS E.G. GRAP; ASSET REGISTER • INSTITUTIONAL CAPACITY • AFS REVIEW BY IA AND AC

  24. SYSTEMS: SCM • INDEPENDENT • NO OUTSIDE INFLUENCE • COMPLIANCE: BSC; BEC; BAC • CHAIR ROTATES • REPORT TO PF COMM, MAYCO, AC • TRANSPARENT • PARTICIPATION AT SCM FORUM

  25. CONCLUSION • MANAGEMENT SHOULD BE ACTIVELY INVOLVED IN ALL ASPECTS OF MUNIC • FOCUS ON BASICS • “IF THE ONLY TOOL YOU HAVE IS A HAMMER, YOU TEND TO SEE EVERY PROBLEM AS A NAIL” ABRAHAM MASLOW • PERSPECTIVE (INFO, DISTANCE, TIME)

  26. CONCLUSION (CONT) • SHOULD WORK TOWARDS ACHIEVING CLEAN AUDITS TO ENSURE CITIZENS THAT GOVERNMENT RESOURCES HAVE BEEN EFFECTIVELY USED FOR THE PURPOSES INTENDED

  27. THANK YOU PRESENTATION BY MUNICIPAL MANAGER HENRY PRINS TEL 022 4338410 CELL 0832935329 EMAIL hfprins@wcdm.co.za WEST COAST DISTRICT MUNICIPALITY LONG STREET, MOORREESBURG

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