Internal Audit’s report Diana Tsotadze Head of Internal Audit Office ([email protected]) Tbilisi, 2016

Presentation Outline

• Monitoring on Fulfilment 2015 Internal Audit Recommendations for the SRNSF, Internal Audit was Performed by the Ministry of Education and Science of Georgia • Internal audit Strategic and Annual Plans • Interaction with scientific community

Audit Remark Instructions on budget planning absent

Fact based regulations consumption absent

on

Recommendation Results In order to improve budget Implemented planning process, should be Date: 30.09.2015 elaborated internal instruction

Financial department should Implemented vehicle's fuel Date: 29.09.2015 fuel calculate consumption under the assignment based on distances and technical characteristic of vehicles.

SRNSF should elaborate the Implemented Evidence based assessment of staff special rules and instructions Date: 18.09.2015 performance for issuing fringe benefits for the evaluation of staff performance and for appointing and distributing the fringe benefits among staff members

Audit Remark

Recommendation

Results

Defined periods for the monitoring of SRNSF should define by its Implemented internal regulation terms for the Date: 06.08.2015 mid-term and final reports absent Department of Grants and Programs Management Evaluation and Analysis for completion mid-term and final review documentations

Budget lines aren’t clearly defined (for Grant recipient should submit Work in progress example: goods and services, overhead dissagregated detailed budget for the research proposal costs)

LEPL - Shota Rustaveli National Science Foundation Office of Intenal Audit Strategic Plan (2015-2018 Years) №

Audit Objects

1

Department of Science Grants Programs, Assessment and Analysis

2 3

and

Risk Risk level Score 2015 2.50

High

Grants and Programs Administration

2.45

High

Financial and Program Monitoring

2.15 Medium

Department of Finances, Economic and Material Maintenance Department of Legal and Administrative 5 Support 4

2.10 Medium 1.65 Medium

6

Office of Science Communication

1.45

Low

7

Office of International Relations and Fundraising

1.45

Low

8

Office of Public Relations

1.35

Low

9

Office of Science Communication

1.05

Low

Year 2016

2017

2018

LEPL - Shota Rustaveli National Science Foundation Office of Intenal Audit Annual Plan (2015-2016 years) №

Audit Objects

1

Department of Grants and Programs Management Evaluation and Analysis

2 Administration of Grants and Programs 3 Financial and Program Monitoring

2015 Year 2016 Year Risk Score Types of Audits Quarter Quarter I II IIIIV I II III IV Operational High 2.50 Audit Compliance High 2.45 Audit Compliance Medium 2.15 Audit 2015 Year 2016 Year Responsible Person Quarter Quarter I II IIIIV I II III IV Risk level

№

Working Plan

1

Trainings

Head of Internal Audit Office/Auditors

2

Monitoring

Head of Internal Audit Office/Auditors

3

Head of Internal Audit Office/Auditors

4

Responces on applicants’ complains/Correspondences Review of Strategic Plan (2015-2018 Years)

Head of Internal Audit Office/Auditors

5

Prepare Annual Working Plan (2017 year)

Head of Internal Audit Office/Auditors

6

Prepare Annual Progress Report (2015 year)

Head of Internal Audit Office/Auditors

Information about correspondence, submitted to the Foundation During the 2015, were submitted 60 complaints • FR- Basic Research - 30; • PhDF - PhD students' grants -17; • AR- Applied Research - 3; • DI- Collaborative Research Projects (Compatriots) - 3; • HE-Research of Georgia's cultural and material heritage abroad - 2; • YS- Young scientists' research grants – 2; • CG- International/regional conferences -1; • STCU – The Science and Technology Center in Ukraine - 1; • TG- Travel grant - 1

Main complains of applicants

• About research proposal peer-review - expert’s score and comment; • Information about expert’s qualification; • Additional explanation about research proposal peer-review; • Competition results revision and research proposals re-evaluation by the experts

Main Recommendations of applicants During 2015 16 Recommendation letters were submitted to the foundation covering the following requests: • Detailed and substantial comments about peer-review by the experts; • Disclosure of information - list of panel members; • Each expert should be provided with the whole package of project proposals of her/his field in order to ensure fair evaluation; • Interactive evaluation process; • Suggestions on different schemes of evaluation s

Activities implemented by the foundation • As part of the SRNSF internal audit office, issues highlighted in letters of complains were analyzed and were relevantly responded; • Recommendations of PhD students were discussed and considered during a working meeting; • SRNSF Conference 2015 was held in December and the following issues were discussed:  Increase the effectiveness of research projects  Evaluation Foundation’s research proposals and projects: dimensions, perspectives  International Cooperation

• Towards improvement evaluation criteria and procedures working process is in progress

Thank you for your attention! Aleksidze 1, 3d floor, Tbilisi 0193, Georgia

Tel.: +995 32 2 200 220 Email: [email protected]

www.rustaveli.org.ge