1. Internal Audit’s report
Diana Tsotadze
Head of Internal Audit Office
Tbilisi, 2016

2. 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

3. Audit Remark Recommendation Results
Instructions on budget planning absent
In order to improve budget planning process, should be elaborated internal instruction
Implemented
Date:
Fact based regulations on fuel consumption absent
Financial department should calculate vehicle's fuel consumption under the assignment based on distances and technical characteristic of vehicles.
Date:
Evidence based assessment of staff performance for issuing fringe benefits  
SRNSF should elaborate the special rules and instructions for the evaluation of staff performance and for appointing and distributing the fringe benefits among staff members
Date:
Foundation defined vehicle's fuel consumption based on distances and technical characteristic of vehicles.

4. Audit Remark
Recommendation
Results
Defined periods for the monitoring of mid-term and final reports absent
SRNSF should define by its internal regulation terms for the Department of Grants and Programs Management Evaluation and Analysis for completion mid-term and final review documentations
Implemented
Date:
Budget lines aren’t clearly defined (for example: goods and services, overhead costs)
Grant recipient should submit dissagregated detailed budget for the research proposal
Work in progress

5. LEPL - Shota Rustaveli National Science Foundation
Office of Intenal Audit
Strategic Plan ( Years) №
Audit Objects
Risk Score
Risk level
Year
2015
2016
2017
2018 1
Department of Science Grants and Programs, Assessment and Analysis
2.50
High 2
Grants and Programs Administration
2.45 3
Financial and Program Monitoring
2.15
Medium 4
Department of Finances, Economic and Material Maintenance
2.10 5
Department of Legal and Administrative Support
1.65 6
Office of Science Communication
1.45
Low 7
Office of International Relations and Fundraising 8
Office of Public Relations
1.35 9
1.05

6. LEPL - Shota Rustaveli National Science Foundation
Office of Intenal Audit
Annual Plan ( years) №
Audit Objects
Risk Score
Risk level
Types of Audits
2015 Year
2016 Year
Quarter I II
III IV 1
Department of Grants and Programs Management Evaluation and Analysis
2.50
High
Operational Audit 2
Administration of Grants and Programs
2.45
Compliance Audit 3
Financial and Program Monitoring
2.15
Medium
Working Plan
Responsible Person
Trainings
Head of Internal Audit Office/Auditors
Monitoring
Responces on applicants’ complains/Correspondences 4
Review of Strategic Plan ( Years) 5
Prepare Annual Working Plan (2017 year) 6
Prepare Annual Progress Report (2015 year)

7. 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

8. 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

9. Main Recommendations of applicants
During 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

10. 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

11. Thank you for your attention
Thank you for your attention! Aleksidze 1, 3d floor, Tbilisi 0193, Georgia Tel.:  2 200 220