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How did Swartland proceed from a qualified audit in 2005/06 to achieve a CLEAN audit in 2010/11?

SALGA Western Cape: Provincial Members Assembly. How did Swartland proceed from a qualified audit in 2005/06 to achieve a CLEAN audit in 2010/11?. Swartland 17 October 2013. War in stead of Peace. Poverty in stead of Prosperity. WHY?. Failure in stead of Success. Leadership.

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How did Swartland proceed from a qualified audit in 2005/06 to achieve a CLEAN audit in 2010/11?

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  1. SALGA Western Cape: Provincial Members Assembly How did Swartland proceed from a qualified audit in 2005/06 to achieve a CLEAN audit in 2010/11? Swartland 17 October 2013

  2. War in stead of Peace Poverty in stead of Prosperity WHY? Failure in stead of Success Leadership Understanding International overview

  3. Content of presentation 1. Back ground: Swartland Local Municipality (SM) • How did SM proceed from an qualified audit report 2005/06 to consecutive clean audits?. 2.1 Leadership, and 2.2 Good Governance principles • What next: (1) Attitude, (2) Self improvement and (3)Leadership development

  4. 1. Die Swartland MunisipaleGebied 1. Swartland Municipal Area CAPE TOWN KAAPSTAD KALBASKRAAL MALMESBURY DARLING YZERFONTEIN RIEBEEK WES / KASTEEL MOORREESBURG KORINGBERG

  5. 1. IntroductionWhere are we? WEST COAST DISTRICT WESTERN CAPE

  6. POPULATION – 2011 CENSUS :113762 KORINGBERG MOORREESBURG Staff members: 538 Councillors: 23 11 Towns AREA SIZE 3700 Km² YZERFONTEIN RIEBEEK WES DARLING RIEBEEK KASTEEL MALMESBURY WESTERN CAPE ABBOTSDALE RIVERLANDS CHATSWORTH KALBASKRAAL

  7. Population growth

  8. Population growth • The population increased from 65 300 in 1996 to 72 116 in 2001 and to 113 762 in 2011. • The average growth rate between 1996 and 2001 was 2% per annum while the growth between 2001 and 2011 escalated to 4.7% per annum. • Swartland was the second fastest growing municipality in the Western Cape between 2001 and 2011.

  9. Population growth • In terms of population size Swartland is now the sixth largest municipality in the Western Cape out of 24 municipalities (Cape Town metro excluded) and the largest in the West Coast District. • 64.8% of the population is Coloured, 18.3% Black African, 15.6% White, 0.5% Indian or Asian and 0.7% Other.

  10. How did SM proceed from a qualified report in 2005/2006 Spending of Capex • 2010/11: 96% • 2011/12: 108% • 2012/13: 100 Unqualified with other matters 2006/2007 2007/2008 2008/2009 2009/2010 Since 2005, eight consecutive years of 100% spending of MIG Why am I telling you this? To prove to you that Swartland has the ability to execute E E E E = Energy Clean audit in 2010/2011 Clean audit in 2011/2012 Clean audit in 2012/2013 = Energise Part of attitude = Edge = Execute

  11. Back to the question re“How did SM proceed from a qualified report in 2005/2006 to a CLEAN AUDIT in 2010/11 and 2011/2012?”The answer is two-fold and is based on: A: Leadership B: Good Governance

  12. A: LEADERSHIP • Leadership styles and quality • Begin with the end in mind • Were is the beginning ? • What is success? • Will success ever be successful ? • Prosperity partnership and creating a • positive organisational culture Rules for interaction Value system Leadership philosophy Invocom methodology

  13. …. cont. LEADERSHIP • Ethical business practices • Implement and develop systems (automate) • Oversight by management • Staff (prosperity partnership and work • place climate change)and IT

  14. B: GOVERNANCE • Not only to comply, but to improve • Risk Management • Internal Audit and Audit Committee • Fraud and corruption

  15. Qualities Leadership Styles Techniques SMART Goals Understanding-Based Leadership® Leadership Present/Future Leaders must be able to communicate and explain - i.e. understand themselves Informed Understand Involved Share Past Leadership Problems/ Challenges Talents/ Resources

  16. ABOUT A, B, C, D AND E LEADERSHIP/DECISION-MAKING STYLES: THE FOLLOWING SLIDES REPRESENTS SWARTLAND’SFORMULAE FOR SUCCESSFUL LEADERSHIP OF BOTH APPOINTED AND ELECTED LEADERS

  17. Army Appointed Business Elected Politicians Shop/Shaft Stewards Informal Kings Inherited Chiefs Self Appointed Types of leaders

  18. X Synergy 4 X 1 = 5 LEADERSHIP AND DECISION STYLES A B X X X • The leader thinks on own • The leader makes the final decision • Decision is implemented • Monitor, problem-solving and healthy discipline • The leader thinks on own • Outlines the problem, ask for suggestions, stimulates participation and new ideas, listensopen-mindedly • Interaction: discussions; explanations; acknowledgments • The leader makes the final decision - explains reasoning • Decision is implemented • Monitor, problem-solving and healthy discipline

  19. W D W W H GOAL OBSTACLES √ Recognition X Plan PERFORMANCE EVALUATION Leadership Technique

  20. Negative outside influences Communication Communication Respect Respect Relations Relations X Y Discipline Discipline The bad workman always blames his tools. A bad leader always blames his followers. Leadership Problems/ Challenges Leadership Problems/ Challenges There are no bad battalions only bad officers Napoleon LEADERSHIP QUALITIES (CONTINUED)

  21. THELEVEL OF SUSTAINABLE PERFORMANCE IS DETERMINED BY LEADERS HIGH COSY ENVIRONMENT SUSTAINABLE VALUE ORGANISATIONAL FOCUS DEAD FISH IN THE WATER SHORT TERM RESULTS LOW HIGH OPERATIONAL FOCUS

  22. A: Leadership Will come back to this at the END of presentation Begin with the end in mind In my case 1 August 2006. Where is the beginning? The desire to be successful How does it feel? What is success? How does it taste? Will success ever be successful ??? Is it tangible?

  23. … Leadership continue Creating a positive organisational culture • Developed rules for interaction • Developed a value system • Developed a leadership philosophy • Implemented the INVOCOM system

  24. 1. Rules for interaction

  25. OUR No subjects are taboo Rationally with dignity: 1 2 Systematic & logic discussion 3 4 5 Parking Bay 6 7 Historic perspective Holistic perspective Never to hurt, only to learn Participate as equals: Workshop status depends on contribution I shall always try to be completely objective PROPOSED RULES X Pascal

  26. 2.VALUE SYSTEM • Mutual Respect • Positive Attitude • Honesty and Integrity • Self-discipline • Solidarity and Commitment • Support • Work in harmony

  27. 3. Leadership Philosophy • Through participation, understanding and purposefulness we create an environment in which staff flourish and deliver outstanding and sustainable services

  28. INVOCOM® 4. INVOCOM methodology Employee Involvement through Communication for Commitment and Innovation

  29. ….. continueLEADERSHIP ETHICAL BUSINESS PRACTISES • Do the “right thing” (Obama vs Banks) • Get the team to do the “right thing” • Convince the politicians to support the “right thing” • The “right thing” was, to do away with performance bonuses !*

  30. …………LEADERSHIP continue Implementation and development of automated systems • Performance Management (Excel to Database) • HR – Develop electronic leave application/attendance register/exception reports within Payroll & Personnel Administration • Supply Chain Management- automated • Record keeping - Collaborator • Land use, Capital Contribution & Building Plans (now only 15days) • Executionof Council, Mayoral, Port Folio and management • decisions – collaborator (world wide only 13% of strategic plans are executed/ implemented) • Make the IDP everybody’s business • 3 years ago 50% of our goals did not meet the SMART principle • # Baseline info, of utmost importance

  31. ………..LEADERSHIP OVERSIGHT BY MANAGEMENT • Monthly reporting: “checklist”- part of agenda of • management meeting. Also PMS indicator of MM • Reconciliations • Exception reports – follow-up deviations & action • Monthly report on Internal Audit & Auditor- • General findings – follow-up and action (The above, part of Municipal Managers PMS)

  32. ………..LEADERSHIP STAFF • Appoint quality/competent people (fit for purpose) • Training– identify needs – train staff to ensure • effectiveness and efficiency • Competent staff in critical positions – Engineering/Finance/Corporate/Development/ • Protection • Municipal Managers must regard Internal Audit as • their accountability agent

  33. ……STAFF continue Reality: Not sufficient funds in all spheres of Government to address ALL expectations • Money/People/Skills– every spheres problem ۪۪۫ Re-evaluate your organogram: Deep structures(expensive, not always effective and efficient) Flat structures(need good leadership skills) Matrix structures(any one of the management team can be the leader, needs a lot of maturity)

  34. SWARTLAND MUNICIPALITY STRUCTURE Municipal Manager EAC Protection Civil Electrical Finance Corporate Development Strategic & Performance InternalAuditor • Flat structure • Certain situations – matrix approach • Internal Auditor vs Municipal Manager • vs External Audit Committee

  35. ……..LEADERSHIP continue IT DEPARTMENT • Develop and improvement of systems • Develop and use dashboards • DASHBOARD (1) In your (Governance) face (2) Talks about critical things (if something goes wrong it will cost you) (3) One pager (4) Automated (5) It is in the negative

  36. B: GOVERNANCE • Not only to comply, but to improve • Risk Management • Internal Audit and Audit Committee • Fraud and corruption

  37. ……….GOVERNANCE Judge King said: “It is more expensive to be legal complaint, to be delivery complaint.” In Swartland Municipality, we do not do things only to comply with legislation, we really try to effectively implement, to improve service delivery. We collectively create an environment that is conducive to perform and to deliver

  38. What is Performance Alignment all about? STAKEHOLDER EXPECTATIONS STRATEGIC ANALYSIS AND PLANS RESULTS ALIGN THE ORGANISATION FOR SUSTAINABLE HIGH LEVELS OF PERFORMANCE

  39. FIRST STEP ……….GOVERNANCE continue Was to do away with performance bonuses (Swartland Municipality since 2005/2006) Developed an Client Service Charter PMS Contracts for all divisional heads PMS for Councillors Creates confidence and trust amongst the members of the public

  40. ………..GOVERNANCE RISK MANAGEMENT • STRATEGIC- and operational risks • Priorities risks (High/Medium/Low) • Develop and implement preventative • and detective controls to mitigate risks • and to bring it within an acceptable • norm • (RISK APPETITE)

  41. Risk profile Risiko = somtotaal van L + I

  42. ….. RISK MANAGEMENT Risk Management and control is a daily activity There are only 4 risk strategies (1) Avoid it (2) Accept it - Then you are accountable (3) Share it - Outsource - PPP’s - Reduce impact (insure) (4) Manage it - 95% of risks - Develop controls Accountability:= Is the sole purpose of PMS PM is the mechanism for good corporate citizenship

  43. … RISK MANAGEMENT • The focus must be on: • GOVERNANCE • RISKS, and • CONTROLS • What is the reason for non-compliance? • Bad management/leadership • Bad governance • Napoleon

  44. NAPOLEON • “The General is the Army” • “There are no bad battalions, only • bad officers”

  45. Do you still remember: What next?:(1) Attitude, (2) Self improvement, and (3)Leadership development Why “Begin with the end in mind? Where or what is the “END” Searching for success

  46. DEFINITION OF SUCCESS

  47. A: KNOWING YOUR PURPOSE Our responsibility and our GREATEST joy – is to identify our PURPOSE in life ASK YOURSELF THE FOLLOWING QUESTIONS? WHO SAID SO? Theodore Roosevelt “Do what you can, with what you have, where you are”. When do I/you start? NOW

  48. “The only way to control our (local governments) future, is to create it”

  49. I thank you Joggie Scholtz

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