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DEPARTMENT OF PUBLIC WORKS

DEPARTMENT OF PUBLIC WORKS

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DEPARTMENT OF PUBLIC WORKS

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  1. DEPARTMENT OF PUBLIC WORKS PRESENTATION TO THE PORTFOLIO COMMITTEE RISK MANAGEMENT AND FRAUD PREVENTION STRATEGY 24 August 2005 PRESENTED BY: Ms. Z. Mxunyelwa, ACFE, CIA Chief Audit Executive - DPW

  2. RISK MANAGEMENT AND FRAUD PREVENTION STRATEGY INTRODUCTION • Development of a comprehensive plans for 2004 to 2007 • Adoption – 31 July 2004 • Management Committees • Audit Committee • Office of the Auditor General [Acceptance] • Annual revision of critical and emerging risks [Until 2007] • Revised comprehensive plan – April 2007

  3. RISK MANAGEMENT AND FRAUD PREVENTION STRATEGY FRAUD PREVENTION STRATEGY FRAUD PREVENTION PLANS [2004 – 2007] • Prevention Plan/Capacity • Fraud and Corruption Risks • Code of Conduct • Fraud Policy and Response Plan • Implementation Plan

  4. RISK MANAGEMENT AND FRAUD PREVENTION STRATEGY RISK MANAGEMENT PLAN Risk categories • Strategic • Financial • Technological • Operational • Fraud and corruption

  5. RISK MANAGEMENT PLAN 1. CHALLENGES STRATEGIC CHALLENGES • Mandate of the Department • Co-ordination between DPW and other government structures • Corporate Governance • Government’s Role • Communication Strategy

  6. RISK MANAGEMENT PLAN FINANCIAL CHALLENGES • Internal Controls • Financial Management • Financial Resources

  7. RISK MANAGEMENT PLAN TECHNOLOGICAL CHALLENGES • IT Governance Policies • Business Continuity • Loss of Data • Data Integrity • Access Controls

  8. RISK MANAGEMENT PLAN OPERATIONAL CHALLENGES • Service Delivery • Asset Management • BEE initiatives and implementation • Legislation Implementation • Expanded Public Works Program • HR Strategies • Lawsuits against DPW

  9. RISK MANAGEMENT PLAN FRAUD AND CORRUPTION CHALLENGES • Organizational Culture • Tender and Procurement, including fronting • Payroll • Theft • Abuse of State Assets

  10. RISK MANAGEMENT PLAN 2. CAUSES/SOURCE • DPW White Paper – 1997 • Public Finance Management Act, 1999 • State Properties Maintenance Backlog • Cooperation by Client Departments • Nature of Operations • Inadequate Financial Resources • Government Information Technology Systems • Public Sector Environment

  11. RISK MANAGEMENT PLAN 3. CONTROL STRATEGIES • Implementation of the 1997 White Paper Initiatives • Improved Service Delivery • Devolution of budgets to client department • Effective communication of the Leadership Way • Personnel Development and Training • Revised Organizational Structure • Decentralization of Functions • Capacity Building in Regions • Service Delivery Improvement • Development of New Business Processes

  12. RISK MANAGEMENT PLAN CONTROL STRATEGIES (cont.) • Service Level Agreements with Client Departments • Consultation with stakeholders on Policy Development • Information improvement on the asset registers • Proactive disposal programs • Development of IT Policies and DRP • Improved Financial Management & Controls • Coordination & improved communications with AG Office • Capacity building of the Internal Audit Activity • Fraud Awareness Workshops and Training • Measures to address fronting – BEE verification and on-site monitoring

  13. RISK MANAGEMENT PLAN 4. TIME FRAMES