PowerPoint Presentation- AIF

[Virtual Presenter] Good morning everyone! Today, we will be discussing the System of Quality Management (SOQM) evaluation process end to end, and its importance in the growth of the Auditor-General of South Africa. We will be focusing on the mission and values of the three-year rolling plan, the roles and responsibilities of various stakeholders, the methodology used and the activities involved. I am eager to start, so let us begin!.

[Audio] As part of our mission, the Auditor-General of South Africa is committed to strengthen our country’s democracy by enabling oversight, accountability and governance in the public sector through auditing, and to be recognised by all our stakeholders as a relevant Supreme Audit Institution (SAI). Our vision is to enhance public sector accountability. Now let's take a look at how this is implemented through the ISQM 2022/23 evaluation cycle..

[Audio] The ISQM evaluation process end to end is designed to provide an integrated and coordinated approach to monitoring and evaluating internal quality assurance and assurance of learning processes. It has clear objectives, roles and responsibilities, a three year rolling plan, and a methodology for evaluation. This process is inclusive and streamlined, facilitating the identification of areas of improvement and helping to ensure consistent, high-quality learning outcomes and assessment practices..

[Audio] We are going to discuss the objectives of the NOIIVE-]INI evaluation process and how it has been implemented to ensure that organizations across Africa are meeting their goals. We'll explore the key steps and metrics that are used to measure success and determine the best path forward..

[Audio] I'd like to discuss the ISQM evaluation process end to end and the proposed methodology. This process has been created to guarantee the data collected from operations is accurate and complete. The methodology has been examined by the Reporting & Methodology BU to make sure it fulfills our requirements. I'm excited to discuss this process and methodology with you..

[Audio] I'd like to discuss the AGSA System of Quality Management - a comprehensive end-to-end process for evaluating performance and providing feedback for further improvement. This system was introduced in May of 2023 and has since been helping businesses achieve greater levels of quality. It involves the whole organization, from leadership to frontline staff, and encourages collaboration and shared learning. It is a great way for businesses to ensure their operations are performance based and their customers receive the highest level of service..

[Audio] I would like to discuss the ISQM Evaluation Process End-to-End. It is complex and includes governance and leadership, acceptance and continuance, engagement performance, resources, information and communication, and more. It enables organizations to establish quality objectives, identify and assess quality risks, design and implement responses to mitigate risks, determine monitoring activities, identify findings, perform root cause analysis, communicate findings, collate information regarding deficiencies, evaluate and conclude on the effectiveness of the SOQM, take appropriate action, and externally report. This process is vital to the AGSA System of Quality Management..

[Audio] The ISQM evaluation process end-to-end requires an assessment of both technical and operational risks in order to determine the overall effectiveness of the management system. It entails an evaluation of current operations, a review of resources, and a comprehensive assessment of performance against industry standards. Using the insights gained, policies, procedures, and systems are developed to maintain effectiveness and compliance. Progress is then measured against objectives and any necessary changes are implemented..

[Audio] A second project was initiated following the ISQM implementation project to conduct an end to end evaluation of the system. This was in response to a resolution proposed by QMAC and approved by the SteerCo members, providing a framework for the QMBU to conduct the evaluation. The evaluation focused on a comprehensive evaluation of the ISQM system..

[Audio] I will be discussing a sub-project of the end-to-end evaluation project. The focus of this sub-project is to determine the practical ways to evaluate the SOQM each year. We aim to come up with a plan to assess the AG system of quality management and create the documents, reports and templates necessary for the evaluation process. The ISQM implementation project was about developing tools to operate the SOQM on a specific date, while this sub-project seeks to determine whether the SOQM meets the objectives of ISQM 1..

[Audio] This slide presents a table that outlines three areas: problem statement, deliverable/outcome, and proposed plans to address the issues. These plans include an evaluation work plan, a QMAC reporting framework, and a plan on timing and activities for reporting to QMAC. The purpose of these plans is to offer support and guidance to the AG in order to ensure that the AGSA SOQM evaluation is successful. This is a crucial step to help guarantee the SOQM’s quality and effectiveness..

[Audio] I'm here to discuss the Evaluation Process End to End for NOIIVE-]INI. To begin, I'd like to present data on the roles, responsibilities and extent of information to be reported for the SOQM. It is essential that these are clearly defined for the QMAC, executive leadership, QMBU, process owners and ABUs so that the evaluation and conclusion of the SOQM can be done effectively. A comprehensive submission to QMAC should be made with activities for monitoring the effectiveness of the SOQM in terms of nature, timing and extent. This will ensure all stakeholders understand and coordinate with one another. Additionally, there is a lack of an integrated work plan between the risk assessment process, monitoring process and remediation process. This is where the continuous feedback loop process must be used, to guarantee all quality risks are identified and responded to. I will be showcasing a schematic demonstrating the integration between these three processes, as well as the roles for TAS, R&E and QM to compile their own..

[Audio] A table in this slide outlines the evaluation process for SOQM, comprising of problem statements, deliverables, and timelines. Risk management, monitoring and remediation activities have to be determined in order to set compliance thresholds for the different pillars of SOQM. Resources must be allocated for proper monitoring of specialised areas of SOQM, and an external review monitoring programme with IRBA and internal audit must be implemented. These activities are needed to guarantee that the process is effective and functioning as intended..

[Audio] I would like to discuss the ISQM evaluation process end to end and the deliverables associated with it. Problem statement ten requires documentation for the risk management, monitoring, remediation and evaluation and reporting processes, with the deliverable being an AGSA System of Quality Management documentation manual. Problem statement eleven focuses on creating a Difference of Opinion mechanism for all the pillars of the SOQM house, including engagement performance and the monitoring process. This involves two deliverables: a resource plan and a document on proposed changes to the DOO mechanism. Lastly, Problem statement twelve is aimed at establishing an ISQM specific performance evaluation mechanism for individuals assigned ultimate and operational responsibility. For this, a resource plan must be created..

[Audio] We are discussing an end-to-end evaluation project for the SOQM. This project brings together members of the R&E, QM, and TAS Business Unit to develop a set of evidence for use by the auditor general. The project comprises Risk Assessment and Response; Monitoring and Identification of Findings; Identification, Assessment and Remediation of Deficiencies; creating a QMAC Evaluation Work-Plan and Framework; Roles and Responsibilities Document; Schematic Showing Integration; Three Year Rolling Plan; ISQM Methodology Document; ISQM Resource Plan; External Review Monitoring Programme; and Updated DOO Terms of Reference with Performance Evaluation Criteria. The project is scheduled to finish in May 2023..

[Audio] Identification is the first step in the end-to-end evaluation process. It involves determining the requirements of the system from the customer's perspective. After the identification, the evaluation phase starts, which encompasses assessing and comparing different solutions. To evaluate and select the best suitable solution, the evaluation team must use objective criteria and their past experiences with similar solutions. Following the selection of the solution, the implementation phase kicks off, including configuring the system and testing it. The implementation team must keep a track of the progress and make sure that the system is operating correctly. Finally, after the successful completion of testing, the system can be released for use..

[Audio] Today we are looking at AGSA's System of Quality Management. This system is made up of the House of Quality, which is the document-set we use to monitor, identify risks, responses to those risks, and the applicable controls to mitigate the risks. To start preparing for the upcoming SQM monitoring activities, a good place to start is the AGSA System of Quality Management documentation menu. From there you can access the RISK register, which will give you an understanding of the critical and high risks associated with the component. This is important as the main focus of year one will be on the critical and high risks. You can also access the consultation documents, which will assist you for the consultation process in the preparation for the monitoring activities..

[Audio] The slide examines the Integrated and Coordinated Framework for the NOIVE-INI evaluation process. It is an essential element of the assessment process as it offers a joined-up and exhaustive approach to identify any possible issues. The Framework guarantees that all essential areas are appraised, and that each area is thoroughly evaluated to obtain an exact overall evaluation. All evaluations ought to incorporate the components of the Framework, and the Framework furnishes a structure for structuring and evaluating the evaluation process..

[Audio] I will be discussing the NOIIVE-XINI GAEIISF RICA ISQM evaluation process from start to finish. This involves performing an initial risk assessment, monitoring activities continually, designing and executing an active support plan, and assessing success and impact. Additionally, the NOIIVE-XINI GAEIISF RICA ISQM evaluation process pays attention to the risk register, monitoring activities, corrective measures, and goals of the SOQ B This approach also consists of a yearly rolling risk assessment and monitoring activities to ensure that corrective measures are put in place and any shortcomings and corrective measures can be seen. Through this all-encompassing approach, the NOIIVE-XINI GAEIISF RICA ISQM evaluation process can show a precise reading of the risks and how effective existing controls and preventive measures are..

[Audio] ISQM evaluation process outlines a three-year rolling plan to help organizations analyze their performance and identify areas for improvement. This process includes a variety of assessment methods that capture feedback from multiple sources such as customers, employees, and stakeholders, and assesses the organization's performance against established criteria. After gathering the feedback, the organization can work to improve its processes and performance. Following this process enables organizations to strive for excellence and ensure their performance meets customer and stakeholder expectations..

[Audio] Defining the areas that should be monitored is the first step of the process for effective monitoring activities for the SOQM. We have to assess the significance of the responses to determine the appropriate monitoring frequency. After that, we will set up a monitoring plan to assess the quality risk rating. Furthermore, I will explain the QMBU’s five step approach for developing the Rolling plan for the period 2022-2025 and the Annual monitoring plan for 2022-2023..

[Audio] The estimated completion date of this process is May 2023..

[Audio] Good morning everyone. Today I will be discussing the NOIIVE-]INILLANVSE and ISQM evaluation process end to end. In this slide, I will be discussing the rolling plan for the years 2023, 2024, and 2025. We can see that the inherent risk ratings are rated for Critical, High and Medium, and there is an accompanying response and residual risk rating. The plan also includes an assessment of current controls, to be conducted annually. There is also a judgement and cyclical response for each of the inherent risk ratings. If your risk assessment or risk register changes, these changes may have an impact on the monitoring plan, and should be taken into consideration. This plan is subject to review and revision annually. Thank you..

[Audio] Assessing the risks for the 2023 monitoring activities requires understanding the inherent risk rating and residual risk rating. Inherent risk is based on the activity and its environment, while residual risk is based on the effectiveness of existing controls. This table shows the categories of scoped-in areas, their inherent risk rating, and respective residual risk rating. Gaining insight into these ratings allows organizations to formulate an adequate risk management strategy and effectively monitor for potential issues..

[Audio] I am going to talk about the ISQM evaluation process end to end. The ISQM process is designed to ensure the effective and efficient use of quality management resources. It begins with the identification of quality issues, assessing the risks associated with these issues, developing a plan to address them, implementing the corrective action, and then assessing the results. This helps to ensure that quality management is carried out to the highest standard while also delivering the best customer satisfaction in the most cost-effective manner..

[Audio] The System of Quality Management should be monitored using a risk based approach to determine the scope of the monitoring for the year. Four risk categories – critical, high, medium and low – have been grouped into two levels of confidence: standard and minimal. An overall tolerable threshold of 10% has been set as well as specific tolerable thresholds found in paragraphs 73 to 80 of the methodology. Control-based solutions should be implemented in response to any issues found..

[Audio] The level of assurance required should be examined based on residual risk. Paragraph 64 of the methodology states that items of higher risk or requiring more assurance need to be monitored and tracked more closely, while items of lower risk could be monitored infrequently or not at all. In order to make sure the ISQM evaluation process functions properly, it is essential to be sure every item of the evaluation process is tracked and monitored accurately..

[Audio] I'd like to discuss the key aspects of the methodology for the NOIVE-analysis evaluation process. We have identified four levels of deficiency: pervasive and severe, severe but not pervasive, pervasive but not severe, and not severe or pervasive. We will evaluate each deficiency taking into account the parameters listed in Paragraphs 91 to 116. Going into more detail, I'll explain what needs to be considered in each stage..

[Audio] Our NOIVE-MINI team has identified a deficiency in compliance with AGSA and related regulations which affects multiple locations across several organizations. This deficiency is both severe and pervasive, thus requiring immediate investigation and resolute action..

[Audio] The methodology for evaluating the SoQM requires judgement to identify any deficiencies and take remedial actions. Evidence must be gathered and taken into account to make sure deficiencies are properly addressed and the effects of the deficiencies corrected..

Severe Identüied Deficiency (ies) (Individual or in aggregate) Severe •Pervasive OBJECTIVE OF THE SOQM CONSIDERATION: Does the nature of the deficiencies and root-cause DIRECTLY the compliance with professional reqüements by engagement teams and reports issued? (Refer to paragraph 129.1) Remediation still requ*ed, hespective of impact on the conclusion Reasonable assurance NO REMEDIAL ACnON: Has remedial action been DESIGNED, IMPLEMENTED, OPERATED AND EFFECTIVE? Yes REMEDIAL ACTION: Yes Yes Partly Have mitigating (TEMPORARY) response(s) been implemented and is/are effective? Effect of deficiencies corrected Partly Except for No No 61 No asswance.

[Audio] ISQM evaluation process for the 2022/23 cycle is a comprehensive range of activities from data gathering to communication and feedback. It starts by finding the best practices, hearing input from stakeholders, organizing assessment criteria and deciding on rating scales. Subsequently, data collection and analysis take place, leading to the creation of the report, which is then followed by communication and feedback. This procedure is designed to guarantee that all data gathered is dependable, valid and precise. Additionally, it offers an opportunity to give feedback to the pertinent stakeholders in an efficient and effective manner. Ultimately, it helps enhance the quality and effectiveness of the services we provide..

[Audio] The ISQM 2022/23 evaluation cycle is broken down month by month, starting with January and going through to December. Each month contains a timeline of activities that need to be completed, including monitoring activities for the SOQM and the evaluation end-to-end project. Knowing and following this timeline will help ensure the necessary activities are fulfilled and that deadlines are met..

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[Audio] We have come to the conclusion of our presentation. This final slide highlights our social media channels. You can keep up to date with our latest news, opinions and initiatives by visiting our website at www.agsa.co.za. You can also join us on Twitter and Instagram at AuditorGen SA and follow us on Facebook as the Auditor-General of South Africa. Thank you for joining us for this presentation..