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Presentation by Arife Coşkun, Court of Accounts, Turkey. The workshop on “Learning from crises and fostering the continuous improvement of risk governance and management”, jointly organised with the governments of the Netherlands, Norway and Sweden, was held in Oslo, Norway on 17-18 September 2014. More information is available at www.oecd.org/gov/risk/high-level-risk-forum-oslo-workshop-2014.htm
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Role of Supreme Audit Institutions in Risk Governance & Management
Arife COŞKUN Turkish Court of Accounts
Principal Auditor
OECD Learning from crises … , Oslo, Norway, 17-18 September 2014
ISSAI 5510 Audit of Disaster Risk Reduction
OECD Learning from crises … , Oslo, Norway, 17-18 September 2014 2
Azerbaijan Chile India Indonesia Netherland
Pakistan Philippines Romania Ukraine Turkey (Lead)
Parallel/Coordinated Audit Audit of Disaster risk Reduction
OECD Learning from crises … , Oslo, Norway, 17-18 September 2014 3
4
NGOs Disaster
Management Authority
Public Institutions
State Budget
SPENDING INSTITUTIONS
FINANCIAL RECOURCES
Taxes
Grants/Credits WB, JICA, EU, UNDP
Insurance premium tax
-Red Crescent -Search and Rescue Association -Neighbourhood Disaster Support Group -Environment Foundation of Turkey -GEA Search and RescueGroup -PsychiatricAssociation
Associations & etc. -Electronic Document Management
System (EBYS) -Strengthening Information Systems & Network Infrastructure -National Earthquake Research Programme -Disaster Management &Decision Support System Research&Development -Capacity Improvement Project on Seismic Observation -The Development Study on Disaster Prevention/Mitigation Basic Plan in Istanbul including Seismic Microzonation -etc
Projects
-City planners -Geological Engineers -Civil Engineers -Geophysical Engineers -Architects -Industrialists’ &Businessmen’s’ Association
-The Union of Chambers& CommodityExchanges
-Turkish Contractors Association
Professional Chambers
Central Governmental Ins.
Municipalities& Other Authorities
•Prime Ministry -Undersecretary of Treasury (DASK) -State Planning Organization •Interior •Education •Public Works & Settlement •Health •Transportation •Agriculture & Rural Affairs •Energy & Natural Sources •Environment & Forestry •The Council of Higher Education •General Command of Mapping •Boğaziçi University, Kandilli Observatory& Earthquake Research Institute •Turkish National Research Council
-Provincial DMA Directorates -Affiliated Organizations of Ministries -Municipalities -Regulatory & Supervisory Agencies -Universities -Etc.
OECD Learning from crises … , Oslo, Norway, 17-18 September 2014
Issues Handled (ISSAI 5510 & Parallel Audit)
Policy gabs and legal arrangement
Governance structure based upon organization& coordination structure
National strategies, national and local planning.
Management tools such as GIS, GPRS, GPS, early warning systems
Training activities and public awareness campaigns
Financial structure
Projects & programs for making urban area resilient
OECD Learning from crises … , Oslo, Norway, 17-18 September 2014 5
Policy Gaps and Legal Arrangement New DMAs entered into force between
1995 &2010 Formed an inadequate framework for the
responsibilities and roles of the institutions and the arrangements for coordination Ill-defined relationship between national
and local authorities Insufficient arrangements, not setting a
facilitating framework for international & national assistance & participation
OECD Learning from crises … , Oslo, Norway, 17-18 September 2014 6
National Strategies & Plans
Lack of a holistic national disaster strategy Mostly focused on natural disasters No integration with other related strategies Lack of National Disaster Plans which cover
all aspects of disaster risk reduction and all type of potential disaster risks Unspecified responsibility for coordination
7 OECD Learning from crises … , Oslo, Norway, 17-18 September 2014
Training and Awareness Raising
Neither being planned nor conducted as part of the overall strategy
Mostly conducted as a stand-alone project and not through concerted actions
Not all risks but only one or two risks are handled The coordination of training activities is mostly
not controlled by a single centre No enough and systematic efforts to monitor and
assess training activities and trained population and outcomes
8 OECD Learning from crises … , Oslo, Norway, 17-18 September 2014
Identify, Assess and Monitor Disaster Risks
Insufficient risk assessment based on unreliable& limited data concerning a few disaster types and mostly natural
Disaster management information systems, GIS etc. Based on unreliable data & inappropriate information not
provided at the correct time and in accordance with the requirements
Bureaucratic constraints in the collection of data
A lack of basic arrangements &protocols &standards etc. for providing, sharing and delivering inputs
Using DMIS,GIS, early warnings in an ineffective manner
Lack of awareness of GIS and only for producing maps 9 OECD Learning from crises … , Oslo, Norway, 17-18 September 2014
Reduce the Underlying Risk Factors
No integration with other related strategies Some limited measures with the aim of
strengthening and protecting critical public facilities Ineffective mechanism for ensuring connection
of urban development plans with disaster risks Insufficient steps taken towards the
preparation of contingency plans & hazard maps
10 OECD Learning from crises … , Oslo, Norway, 17-18 September 2014
Making Resilient Cities & Buildings Transformation projects; Not having a comprehensive strategy Transformed without prioritization and not within the scope of
a strategy Unclear and imprecise definition of the concepts of “risky
area” and “risky building” The ground study reports, hazard and contingency plans of
many provinces not drawn up No information regarding the current building stock, nor is it
known how the current building stock will give reaction to different disaster scenarios
No correlation established among cost, needs and resources
11 OECD Learning from crises … , Oslo, Norway, 17-18 September 2014
National platforms are not held regularly and do not work well
DMAs;
Do not include clear guidelines for ensuring effective coordination
have an insufficient capacity (human resources, technical& financial)in terms of planning, monitoring and controlling activities related to disaster risk reduction
Local approach to disaster response Insufficient arrangements for voluntarism & participation Limited financial allocations
Strengthen Disaster Preparedness for
Effective Response
12 OECD Learning from crises … , Oslo, Norway, 17-18 September 2014
PERFORMANCE AUDIT PROCESS
Planning an examination
Performance Audit
Study Cycle
Deciding what to examine
Report preparation Clearing and agreeing reports
Publication
Government Response
Follow up
Presidency
Presidency
•Chamber •General Assembly •Presidency
Committee of Budget& Planning
e-TRANSFORMATION TURKEY PROJECT
2008- THE PRESENTATION FOR İCISA
Carring out an examination
14
Report Report
Fund
Use
rs/
Impl
emen
ting
Bodi
es
Audit Audit
Report Report
Fund
Pro
vide
r
Audit/ Report
International NGOs
& the like
International Institutions &
Foreign Government
etc.
Citizens Parliament Government
SUPREME AUDIT INSTITUTIONS
Published Report
PRIVATE EXTERNAL AUDIT etc.
INTERNAL AUDIT
SPECIFIC REPORTING
ARRANGEMENT
National NGOs/Private Sector & the like recipients
Existing Audit Framework for DRR
Ministries/Public Institutions
Municipalities/ Provincial
Governments
Audi
t Ins
titut
ions
Audit
Programmes/ Projects (External
Financing) OECD Learning from crises … , Oslo, Norway, 17-18 September 2014
Hesap Verme Sorumluluğu
• “the obligation to explain and justify conduct” A relationship between an actor and a forum. Actor has an obligation to explain and to
justify his or her conduct, Forum can pose questions and pass
judgement the actor may face consequences Mark Bovens, Analysing and assessing accountability: a conceptual framework, 2007
15 OECD Learning from crises … , Oslo, Norway, 17-18 September 2014
Funds
International Institutions& Foreign Government etc.
International NGOs&
the like
National Stakeholders International Stakeholders
NGOs& the like
Implem
enting Bodies
Funds
Report
Audit
Report
Published Report
Report
Audit
Tax& Authority
Budget
Allocation &Authority
Allocation &Authority
Funds
Political
Citizens
Supreme Audit Institutions
Political
Parliament
Administrative
Related Ministries
Government
Information
Municipality/Local Government
Accountability Framework for Making Cities Resilient
16
Re-Interpreted Missions of Supreme Audit Institutions
Reconsidering SAIs’ mission in a manner to contribute in public accountability
Formulating audits in a manner of raising the interest and understanding by parliament of the issues
Adopting “client/citizen oriented perspective”
Spesifying broader audit scope
Undertaking and organising joint &cooperative audits based on global needs, international and regional agreement
Fostering relationships with other relevant audit bodies
17 OECD Learning from crises … , Oslo, Norway, 17-18 September 2014
Thanks for your Attention
Arife COŞKUN Turkish Court of Accounts (TCA)
Principal Auditor
18 OECD Learning from crises … , Oslo, Norway, 17-18 September 2014