AUDIT COMMITTEE MEETING MATTERS ARISING
Meeting
Resolutio
date
n number
31/08/2015
6.1.1
Resolution
Responsible
Target Date
Status on Implementation
On going
Person
That the minutes must be action based and
Senior Manager:
October
clearly articulate the resolution taken by the
Internal Audit
2015
That management review the adequacy of the
Senior Manager:
insurance coverage on IT equipment, especially
Information
October
2015
laptops.
Technology
A follow-up be conducted for the signing of the
Senior Manager:
declaration of interest with the Chairperson for the
Internal Audit
Committee.
31/08/2015
31/08/2015
6.1.2
6.2.1
meeting
held
on
the
31st
July
2015
October
2015
Still waiting for the Chairperson
October
2015
Minutes are signed and filed
to submit
(via
teleconference).
31/08/2015
31/08/2015
6.2.2
7.1
That the all the minutes of the Audit Committee be
Senior Manager:
signed by the Chairperson and filed accordingly.
Internal Audit
That an update on the implementation of the SAP
Executive Manager:
realignment project submitted to the Committee.
Corporate Services
October
2015
(IT)
31/08/2015
7.2
That a report on the IT business continuity plan be
Executive Manager:
submitted to the Committee.
Corporate Services
(IT)
October
2015
accordingly.
AUDIT COMMITTEE MEETING MATTERS ARISING
31/08/2015
31/08/2015
7.3
7.4
That a report on the corporate business continuity
Senior Manager:
plan be submitted to the Committee.
Risk Management
That an update on the implementation of the
Executive Manager:
2013/14 Auditor-General findings to avoid future
Financial
recurrences be submitted to the Committee.
Governance
October
2015
October
2015
(FMA)
31/08/2015
7.5
That a report on the business case of the
Executive Manager:
chamber system be submitted to the Committee.
Corporate Services
October
2015
(IT)
31/08/2015
7.6
That a report on the requirement analyses of the
Executive Manager:
October
chamber system be submitted to the Committee.
Corporate Services
2015
(IT)
31/08/2015
7.7
That a report on contract management as control
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to avoid over-spending be submitted to the
Financial
Committee.
Governance
October
2015
(SCM)
31/08/2015
7.8
That the deviations report remain an open item
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and must be submitted to the Committee.
Financial
Governance
(SCM)
October
2015
AUDIT COMMITTEE MEETING MATTERS ARISING
31/08/2015
7.9
That the SAP and Re-alignment status report be
Executive Manager:
October
updated and resubmitted, and must fully cover the
Corporate Services
2015
following:
(IT)
(i) time frames of the project
(ii) quality assurance – payment for what has
been done
(iii) detailed cost breakdown since procurement of
the SAP system from the initial contract to date
(iv) risks and lessons learnt from the first service
provider to Cornerstone
(v) project management steps be covered by the
report.
31/08/2015
7.10
That
the
list
of
policies
be
updated
and
resubmitted cover the following:
(i)
Alignment of the list of policies to the
policy development framework that was
supplied
to
management
by
the
Committee,
(ii)
Indicate when the policy was initially
approved and when it is due for review.
Secretary to the
October
Legislature
2015
AUDIT COMMITTEE MEETING MATTERS ARISING
31/08/2015
7.11
That the payments compliance checklist be
Executive Manager:
October
updated to reflect:
Financial
2015
(i)
the tender processes or a new checklist
Governance
be compiled for the tender processes,
(SCM)
(ii)
the budgetary implications,
(iii)
the tender Committees
That internal audit must review all the checklists
Senior Manager:
developed by the supply chain management
Internal Audit
(SCM) during the audit of SCM.
31/08/2015
7.12
That the Secretary ensure that management
Secretary to the
attends the ICT Governance Committee meeting.
Legislature
That apology for non-attendance by management
be approved by the Secretary.
On-going
AUDIT COMMITTEE MEETING MATTERS ARISING
31/08/2015
7.13
(i)
That
an
Audit
Committee
strategic
planning session be diarised for the
21st
Senior Manager:
October
Planning,
2015
October 2015 and be facilitated by an
Performance
independent facilitator.
Management and
Evaluation
(ii)
That the schedule of dates for the next
Senior Manager:
financial
Internal Audit
year
be
compiled
by
management for discussion in the next
AC meeting
31/08/2015
7.14
That the Human Resource Management report be
Executive Manager:
22 October
analysed and resubmitted to the Committee.
Corporate Services
2015
(HCM)
31/08/2015
7.15
That the R Kalidass and Associates extended
Executive Manager:
October
contract be reviewed and the following be
Parliamentary
2015
checked:
Operations
(i)
the addendum to the contract,
(ii)
the open ended contract on the
financial impact,
(iii)
the alignment of the expectations by
the
Legislature
contract.
to
the
extended
(Legal)
AUDIT COMMITTEE MEETING MATTERS ARISING
31/08/2015
8.1.1
(i)
That only one internal audit status
Senior Manager:
October
report should be submitted to the
Internal Audit
2015
That both the assurance providers must
Senior Manager:
September
work together and finalise the internal
Internal Audit
2015
Committee
through
the
Senior
Manager: Internal audit;
(ii)
That service provider should submit
the
status
Manager:
report
Internal
to
the
audit
Senior
for
synchronisation and approval by the
Secretary to the Legislature.
31/08/2015
8.1.3
(i)
audit strategic plan,
(ii)
That the plan be submitted to the
Committee within ten working days so
that the plan can be approved via round
robin
AUDIT COMMITTEE MEETING MATTERS ARISING
31/08/2015
8.1.4
(i)
That a framework for the compilation of
Senior Manager:
September
the internal audit state of readiness report
Internal Audit
2015
That the AC work-plan be aligned to the
Senior Manager:
October
specific compliance deadlines
Internal Audit
2015
be made available by the Committee
members for utilisation by the Senior
Manager: Internal audit
(ii)
That the report should cover the status of
the internal audit (a) current - “as is”, (b)
future -
the “to be”,
(c) interim
transition
arrangement,
(d)
-
resources
(financial, capital and human resources)
(iii)
That the revised report be forwarded to
the Committee within ten working days
8.1.5
(i)
(ii)
That the plan should incorporate the Audit
Committee strategic plan session
AUDIT COMMITTEE MEETING MATTERS ARISING
31/08/2015
8.1.6
That the evaluation templates for the following as
Senior Manager:
September
specified in the Audit Committee charter be
Internal Audit
2015
That the internal audit methodology be
Senior
October
properly reviewed and inputs from the
Internal Audit
compiled:
(i)
the effectiveness of the Committee
(ii)
the effectiveness of the Internal Audit
function
(iii)
the external auditors (Auditor-General)
That the Committee conduct the evaluations in the
next Committee meeting.
31/08/2015
8.1.7
(i)
Committee be incorporated.
(ii)
That the internal audit methodology be
resubmitted
in
the
meeting for approval.
next
Committee
Manager:
2015
AUDIT COMMITTEE MEETING MATTERS ARISING
31/08/2015
8.2
(i)
(ii)
That the Performance Information report
Senior
should include the budget.
Planning,
That the APP targets should address the
Performance
impact so as to ensure that it is hundred
Monitoring
percent outcomes based.
Evaluation
(iii) That management consider the security of
the Artwork.
(iv) That management consider the development
Manager:
October
2015
and
Executive Manager:
Corporate Services
(IS)
of a database for the artists based on the
Artwork and perhaps produce a booklet for
tourism enhancement
(v)
That management consider compliance to
Executive Manager:
GRAP standards for artwork and report on
Financial
the artwork in the next meeting.
Governance
(FMA)
31/08/2015
8.3.1
That the second quarter expenditure report be
Executive Manager:
October
discussed in detail in the next AC meeting.
Financial
2015
Governance
(FMA)
AUDIT COMMITTEE MEETING MATTERS ARISING
31/08/2015
8.3.3
The Committee resolved that:
(i)
management
ended
should
contract
avoid
(contracts
open
without
management
investigate
the
transactions that do not have orders
and
document
how
they
were
transacted
(iii)
that the schedule for contracts be
updated to include the amount that
has been paid to date and amount
outstanding until contract expiry
(iv)
that the accruals listing be updated to
include reasons for non-payment and
control being put in place for mitigation
(v)
that
the
deviations
October
Financial
2015
Governance
(SCM)
monetary values/ figures)
(ii)
Executive Manager:
register
be
reviewed with regards to the reasons
advanced as they may not stand the
test of the Auditor-General.
AUDIT COMMITTEE MEETING MATTERS ARISING
31/08/2015
8.4.1
(i)
That the risk management action plan
Senior
Manager:
October
include the impact of the controls that
Risk Management
2015
The corporate business continuity plan be
Senior
October
included as an agenda item in the Risk
Risk Management
reduced the residual risks
(ii)
That the risk management action plan
template be reviewed to provide a holistic
view of the risk management status within
the institution
31/08/2015
8.4.2
(i)
Manager:
2015
management Committee meeting
(ii)
That
the
report
from
the
Risk
Management Committee be aligned to the
reporting
framework
compiled
by
Provincial Treasury
________________________
__________________
Mr L MWALE
DATE
Secretary to the Legislature