Internal Audit’s report Diana Tsotadze Head of Internal Audit Office (tsotadze@rustaveli.org.ge) 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 Recommendation Results   Instructions on budget planning absent In order to improve budget planning process, should be elaborated internal instruction Implemented Date: 30.09.2015 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: 29.09.2015 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: 18.09.2015 Foundation defined vehicle's fuel consumption based on distances and technical characteristic of vehicles.

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: 06.08.2015 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

LEPL - Shota Rustaveli National Science Foundation Office of Intenal Audit Strategic Plan (2015-2018 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

LEPL - Shota Rustaveli National Science Foundation Office of Intenal Audit Annual Plan (2015-2016 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 (2015-2018 Years) 5 Prepare Annual Working Plan (2017 year) 6 Prepare Annual Progress Report (2015 year)

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 Thank you for your attention! Aleksidze 1, 3d floor, Tbilisi 0193, Georgia Tel.: +995 32 2 200 220 Email: info@rustaveli.org.ge www.rustaveli.org.ge