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Presentation by M. Salgrāve (English), Regional Conference for Supreme Audit Institutions of the European Neighbourhood South Region, June 2018

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Presentation by M. Salgrāve (English), Regional Conference for Supreme Audit Institutions of the European Neighbourhood South Region, June 2018

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Presentation by M. Salgrāve (English), Regional Conference for Supreme Audit Institutions of the European Neighbourhood South Region, June 2018

  1. 1. © OECD Regional Conference for Supreme Audit Institutions of the European Neighbourhood South Region Initiatives and experiences with stakeholder engagement during audit processes Marita Salgrave, Strategic Advisor to Auditor General, State Audit Office, Republic of Latvia June 21, 2018 Tunis, Tunisia
  2. 2. © OECD Agenda for discussion  Stakeholder engagement vis-a-vis achievement of SDGs  Who our stakeholders are?  Principles for stakeholder engagement  Examples of stakeholder engagement in different audit phases  Raising awareness of, education of and reporting to stakeholders as one of the most important priorities of any SAI
  3. 3. © OECD Stakeholder engagement vis-a-vis achievement of SDGs Following the same «path» of ISSAI 12, while accepting that we live in a fast changing and digital world, which requires constant evolving and adaptation
  4. 4. © OECD Whom we consider as our stakeholders?  Citizens  Legislator  Executive (audited entities, government overall)  Law enforcement agencies  NGOs and expert associations  Media AS A CHANNEL  SAI’s staff that can affect or can be affected by the actions, objectives and policies of government and public sector entities (ISSAI 12)
  5. 5. © OECD Stakeholder engagement – 7 MUSTs (ISSAI 12) ① Become familiar with stakeholders - contribute to their knowledge understanding of the role and responsibilities of the SAI as an independent auditor of the public sector ② Educate stakeholders - contribute to their awareness of the need for transparency and accountability ③ Find out about the expectations of stakeholders and respond to these without compromising your independence ④ Report to stakeholders - ensure they understand the SAI’s audit work and results
  6. 6. © OECD Stakeholder engagement – 7 MUSTs (ISSAI 12) (cont.) ⑤ Use media as interlocutor in communication with citizens ⑥ Recognise the different roles of stakeholders and consider their views, without compromising your independence ⑦ Obtain regular feedback to see whether your message has been understood by stakeholders
  7. 7. © OECD Communicating effectively with stakeholders – what’s next?  Principles described by ISSAIs  Methods depend on circumstances at the national level (SAI’s mandate, legal and regulatory framework, values and culture, etc.)
  8. 8. © OECD SAI’s processes with stakeholder engagement  Organization and management  Strategic and operational planning (including selection of audit topics)  Auditing – - Planning - Conducting - Reporting and communicating audit results  Audit follow-up / roll-out of results
  9. 9. © OECD Stakeholder engagement – tendencies and example initiatives in audit process «Become familiar with stakeholders …» SAI’s organization and management Examples of opportunities -  Establishment of «Public» or «Consultative» Council of the SAI comprising respected individuals and opinion leaders  …  Benefits – getting more insight in audited areas from committed partners; «channelling» of positive and opinion-leader messages about SAI to their sectors; learning how to better approach SDG issues in given sectors
  10. 10. © OECD Stakeholder engagement – tendencies and example initiatives in audit process «… find out about the expectations of stakeholders and respond to these …» SAI’s strategic and operational planning Examples of opportunities -  Invite «organized» stakeholders (e.g. parliament, executive, law enforcement agencies) to share risky areas and topics (!independence)  Invite other stakeholders (e.g. NGOs – business associations, sectoral associations, academia, individual citizens) to share their identified risks, assumptions via an interactive homepage  Use the chance to «market» systemic performance audits as ones facilitating achievement of SDGs  …
  11. 11. © OECD Stakeholder engagement – tendencies and example initiatives in audit process «Become familiar with and educate stakeholders; recognise the different roles of stakeholders» Audit planning Examples of opportunities -  Questionnaires to specific target groups with tailored questions to further clarify risks  Meetings with NGOs to find out different views and potential solutions  … + Going beyond requirements of ISSAIs in communication with executive (audited entities) – meeting all governance levels – TCWG, ministers, mayors, senior and middle level officials
  12. 12. © OECD Stakeholder engagement – tendencies and example initiatives in audit process «Recognise the different roles of stakeholders» Conducting audit Examples of opportunities -  Questionnaires to specific target groups with tailored questions to enhance audit evidence  Involve academia and other experts as technical support to audit groups in complex audits  …
  13. 13. © OECD Stakeholder engagement – tendencies and example initiatives in audit process Reporting and communicating audit results Does a digital world require other methods for talking to (engaging) stakeholders, who are already overwhelmed with information?  Simplifying our “product” (audit reports)  Innovative approaches to selling our “product” (audit reports) to diverse audiences
  14. 14. © OECD Simplifying our “product” How to get an easy audit report? Write «Motivation» and Executive summary» as a «story» Use photos and pictures as evidences Use graphical information Use pictograms Structure the report I – core conclusions as headings – further text as easy explanation with references in footnotes and annexes Produce short videos to visualize the report
  15. 15. © OECD Simplifying our “product” - visualization
  16. 16. © OECD Simplifying our “product” – video reports
  17. 17. © OECD Simplifying our “product” – leaflets, «single pagers»
  18. 18. © OECD Selling our “product” to diverse stakeholders  Legislator - «Imposing» regular meetings, presenting SAI’s products in a simple manner  Executive - recognizing diverse audiences, visiting «highest» levels in vase of potential conflicts, sharing best practices  Sectoral experts and NGOs - participate in panel discussions initiated by them, involve them as experts in complex audits  Citizens i.a. via media – press releases – always; press conferences, where relevant; answer all letters / complaints, try to agreeing to ALL interviews, TV debates media request, diversify communication channels (interactive homepage, ), try to meet with people personally
  19. 19. © OECD Selling our “product” to diverse stakeholders
  20. 20. © OECD Selling our “product” to diverse stakeholders Citizens (cont.) Twitter (@Vkontrole) N.B. A message «living time» is around 3-4 hours; our reaction time must be 1-2 hours TWEET RETWEET DISCUSSION
  21. 21. © OECD Conceptualizing and «rolling-out» audit results – Discussion Papers Sometimes we realize that:  we are “restricted by areas or audited entities” when performing separate audits  Identified weaknesses are a part of a more conceptual issue  Implementation of recommendations lie beyond the mandate of particular audited entity
  22. 22. © OECD Enhanced stakeholder engagement – our contribution to achievement of SDGs Informed citizens become our supporters and partners Only the citizens can «motivate» public service to do a fair and good job Fair and good job by governments – 2030 Agenda for Sustainable Development might be implemented
  23. 23. © OECD . Thank you for your attention!
  24. 24. © OECD . State Audit Office Republic of Latvia Member of EUROSAI Governing Board Member of INTOSAI FIPP www.lrvk.gov.lv of the Republic of Latvia
  25. 25. © OECD . Images from the Depositphotos Site; Authors: VERSUSstudio, Torsakarin, gustavofrazao, 3D-Agentur, alexmillos, lightsource, kues, Rawpixel, destinacigdem, iqoncept, tomloel, zhudifeng, Wavebreakmedia

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