CIPC Annual Report V1

6. Internal Control Unit The Internal Audit three-year rolling Strategic Plan for 2019/2020 to 2021/2022 and one-year Operational Plan for 2019/2020 were approved by the CIPC Audit Committee in April 2019. The Operational Plan contained 16 internal audits that needed to be executed during the 2020/2021 financial year. Two of the 16 planned audits were removed from the plan following engagements with management. At the start of the 2020/2021 financial year there were two (20 carryover audits from the 2019/2020 financial year which were being performed by the Internal Audit Division). As at 31 March 2021, 67% of the plan had been fully achieved. This Table C. 6: Disclosure of information on Audit Committee members Name Qualifications Internal or external

percentages achievement includes special management requests for the year. 33% of the audits had been partially completed. Partially completed includes draft reports being issued and awaiting management comments or reports awaiting to be tabled at the Executive Committee and the Audit Committee. Note should be taken that, subsequent to 31 March 2021, all the audits were completed. 7. Internal audit and audit committees

The tabled below discloses relevant information on the audit Committee members.

If internal, position in the public entity

Date appointed

Date resigned

No. of meetings attended

Adv. Rory Voller Mr. Suren Maharaj Ms. Leanda Vilakazi

LLM

Internal External External

Commissioner

01 Sep 2016 N/A 01 Feb 2021 N/A 01 Feb 2021 N/A

6 6 6

BCom: Natal; CA (SA) Bachelor of Law; UKZN: Diploma in Corporate Law: UJ

N/A N/A

Mr. Bhekumuzi Zulu BCom Hons UKZN: CA External

N/A N/A N/A

01 Feb 2021 N/A 01 Feb 2021 N/A 01 Feb 2021 N/A

6 6 6

Ms. Sphiwe Mayinga

LLM; Unisa

External External

Mr. Joshua Motjuwadi BSC; Fort Hare Ms. Kamitha Singh BCom; B Compt; BCompt Honours; Executive Development Programme, CIA, Associate Member of IIA

the dtic rep Dtic rep

Dtic rep

Dtic rep 5

8. Compliance laws and regulations The organisation has established processes to ensure compliance with relevant and applicable legislation, regulations and prescripts and polices. A compliance Policy, Framework, Universe and Plan are being implemented and 9. Fraud and corruption A fraud prevention plan is compiled and approved by the relevant oversight structures annually. Quarterly reports on progress on implementation of the plan are provided and discussed by these oversight structures. The organisation has various channels for reporting fraud and corruption, among these is a dedicated independently managed 24/7 hotline which is preferred by most whistle

will be regularly reviewed. Regular monitoring is conducted and result communicated to all governance structures on a regular basis.

blowers as it provides anonymity. Whistleblowing reports are received by the CIPC as soon as they are logged. The CIPC maintains a case register which provides a record all fraud related complaints. These cases register is updated regularly with regard to the status or progress of the reported matters. After analysis, matters are investigated using internal and external resources depending on the nature

COMPANIES AND INTELLECTUAL PROPERTY COMMISSION I Annual Report 2020/21

56