Annual Performance Plan (2014/15 2016/17) · impacted the South African fiscus and there is a clear requirement and instruction from National Treasury for public entities to reduce

APP (2014/15-2016/17) Date: 24 June 2014 Version: Final

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Annual Performance Plan

(2014/15 – 2016/17)


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Contents

1 Official plan sign-off 6

2 Overview by Accounting Authority 7

3 Mandate, purpose and Tribunal services 10 3.1 Legislative and policy mandates 10 3.2 Delivery Model for Resolving Consumer and Credit Disputes 11

4 Strategic Overview 12 4.1 Background 12 4.2 Vision, Mission and Values 12 4.2.1 Vision 12 4.2.2 Mission 12 4.2.3 Guiding Principles 12 4.2.4 Value Statements 12 4.2.5 Detailed analysis of Strategic Outcome-oriented Goals and Objectives 13 4.2.6 Product and Services 14 4.2.7 Recent Court Rulings 15 4.3 Updated Situational Analysis 15 4.3.1 PESTLE Analysis 15 4.3.2 SWOT Analysis 16 4.3.3 Risk Analysis 17 4.4 Strategic Outcomes-oriented Goals 17 4.4.1 Strategic Outcomes-oriented Goals 17 4.4.2 Key value drivers 19

5 Performance Plan Matrix 21

6 Tribunal Structure 24 6.1 Governance Structure 24 6.1.1 Operational Structure 25

7 Key Strategic risks 27 7.1 Quantitative Assessment of Strategic Risks 28

8 Finance Strategy & Plan 32 8.1 Finance Vision 32 8.2 Finance Mission 32 8.3 Finance Goals 32 8.4 Key Finance Initiatives 32 8.5 Multi-year Financial Projections 33 8.5.1 Projections of revenue and expenditure 33 8.5.2 Asset and liability management 34 8.5.3 Cash flow projections 35 8.5.4 Capital expenditure projects 35 8.5.5 Infrastructure plans 35 8.5.6 Dividend policies 35 8.6 Materiality and significance framework 36

9 Human Capital Strategy & Plan 36 9.1 Human Capital Vision 37 9.2 Human Capital Mission 37


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9.3 Human Capital Goals 37 9.4 Key Human Capital Initiatives 38

10 Information and Communications Technology Strategy & Plan 40 10.1 ICT Mission 40 10.2 ICT Vision 41 10.3 ICT Goals 41 10.4 Key ICT Initiatives 42

11 Communications Strategy & Plan 43 11.1 Communications Vision 44 11.2 Communications Mission 44 11.3 Communications Goals 44

12 Corporate Social Investment (CSI) 45

13 Annexure A: Key Performance Indicator Information 46


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Acronyms

ADR – Alternative Dispute Resolution

AGSA – Auditor-General of South Africa

APP – Annual Performance Plan

CCRD – Consumer and Corporate Regulation Division

CFO – Chief Financial Officer

COO – Chief Operating Officer

CPA – Consumer Protection Act (“Act No 68 of 2008”)

dti – Department of Trade and Industry

EAF – Enterprise Architecture Framework

ESS – Employee Self-Service

GRAP – Generally Recognised Accounting Practice

HR – Human Resource

ICT – Information and Communications Technology

IT – Information Technology

MTEF – Medium Term Expenditure Framework

NCA – National Credit Act (“Act 34 of 2005”)

NCC – National Consumer Commission

NCR – National Credit Regulator

NCT – National Consumer Tribunal

NDP – National Development Plan

PAJA –Promotion of Administrative Justice Act (“Act No 3 of 2000”)

PDP – Professional Development Plan

PEO – Public Entity Oversight Unit

PESTLE – Political, Economic, Social, Technological, Legal, Ethical and Environmental’

PFMA – Public Finance Management Act (“Act 1 of 1999”)

SMME – Small Medium & Micro Enterprise

SR – Strategic Risk

SWOT – Strength, Weakness, Opportunity, Threat


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1 Official plan sign-off

It is hereby certified that this Annual Performance Plan

Was developed by the management of the National Consumer Tribunal under the guidance of

Ms Diane Terblanche (Executive Chairperson);

Takes into account all the relevant policies, legislation and mandate for which the National

Consumer Tribunal is responsible;

Accurately reflects the strategic outcome oriented goals and objectives which the National

Consumer Tribunal will endeavour to achieve over the period ending 31st March 2017.

24 June 2014

Diane Terblanche Date

Executive Chairperson


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2 Overview by Accounting Authority

I am pleased to present this three year Annual Performance Plan for the National Consumer

Tribunal (the Tribunal or the NCT). It sets out the key focus areas over the next three years in order

for the NCT to deliver on its mandate, align its focus to the Department of Trade and Industry (the dti)

goals and to contribute towards the delivery of the goals as outlined in the National Development Plan

(NDP) as well as the Medium Term Strategic Framework dated 30 May 2014 with linked dti

responsibilities. It is prepared in consideration of the Constitution of the Republic of South Africa, the

National Credit Act, the Consumer Protection Act, the rules of the Tribunal, and any other regulations

that are applicable.

The core function of the NCT remains the provision of accessible adjudication and redress on

matters referred to the Tribunal in terms of the National Credit Act and the Consumer Protection Act.

The number of cases to be adjudicated therefore determines the resources required by the NCT to

execute on its core function. As the Tribunal currently only charges a nominal filing fee for some of the

applications and referrals filed with the Tribunal, it is not able to control its income other than by

motivating to the fiscus for funding in line with its predicted caseload.

Predictability provides a solid foundation for good planning. The predictability of the NCT’s caseload is

therefore the most important variable impacting the quality and accuracy of the Tribunal’s strategy.

Accurate caseload forecasting requires that the NCT is in touch with the most important elements in

its environment that will impact its future caseload. These elements include the economic climate, the

prevailing Consumer and related legislation and the approach of other regulators, in particular the

National Credit Regulator and the National Consumer Commission.

The NCT is exposed to and significantly impacted by changes in these elements. The past six years

have seen a significant downturn in global economic activity and growth. This has had a negative

effect on the fiscus in most developed and developing countries. The lag effect of this has now

impacted the South African fiscus and there is a clear requirement and instruction from National

Treasury for public entities to reduce spending. At the same time there is an ever-increasing

requirement to improve the delivery of services to South Africa’s citizens that cannot simply be

ignored.

The NCT has been advised that it will not receive all of the funding requested for the forthcoming

MTEF period. A shortfall of approximately 12% of the total required expenditure is anticipated. This

will mean that the NCT will have to seek alternative sources of funding.

Throughout the world the trend of increased consumer rights and protection has found its expression

in changes to legislation and regulations. South Africa has been a forerunner in this regard and

currently has the most advanced Consumer legislation and regulatory regime on the African

continent. Legislative practice however is still in its early stages, requiring land-mark judgments and

cases to set precedent and create clarity. Recent years have seen an increase in both the types and

the numbers of cases filed with the NCT. It is anticipated that this trend will continue, exacerbated by

the fact that the negative economic climate is increasing the potential for consumer debt default.

The NCT is therefore in the invidious position of being impacted simultaneously by two significant,

uncontrollable realities – an increase in caseload and budgetary constraints.

This Annual Performance Plan will detail how the NCT intends to implement ways of dealing with

these challenges through developing innovative solutions to increasing organisational efficiency.

These innovative solutions will also contribute significantly to the NCT’s future effectiveness.


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Over the past few years, the NCT has increased its employee productivity through the implementation

of more efficient ways of working. The NCT has reached its limit of productivity and efficiency

improvements. Consequently, the NCT is unable to garner more efficiency and productivity gains to

bolster its lagging financial resources. Our people have proved themselves to be talented, able and

willing to taking the ever increasing work load.

The reality is that the biggest contribution to organisational costs will continue to be the cost of

employing people – both full time and part time. The NCT must therefore continue to build flexible,

agile and responsive organisational structures with the capability to deal effectively and efficiently with

various types and number of cases.

The NCT will increasingly utilise ICT as a catalyst and enabler of productivity, efficiency and

effectiveness. With this in mind, the NCT has developed a comprehensive ICT strategy and its

implementation provides an important area of focus for this Strategy. It is anticipated that coming

years will see important breakthroughs in the real time availability of information, the automation of

workflows and in allowing for ‘virtual, real time’ meeting and adjudication. The investment in ICT being

made by the NCT will go a long way in reducing the long term cost structure of the Tribunal. These

innovations will be supplemented with the more efficient usage of workspace, better ways of

recruiting, developing and managing employees as well as energy saving.

The NCT has recognised the need for Human Capital Management to take on a more strategic role.

With the introduction of ICT interventions, change management initiatives will need to be implemented

and staff developed to be more ICT savvy. Human capital practices need to be optimised to create a

working environment where staff are fully engaged and are provided with opportunities for them to

flourish in a high performing, outputs driven environment.

Increased, more strategic communication and engagement is also central to this APP. The Tribunal

will continue to engage with the National Credit Regulator and the National Consumer Commission to

better understand their regulatory approaches and to contribute to the development of an efficient and

effective Consumer regulatory environment in South Africa. Through ‘lesson learning and sharing’

with other regulators globally and through focused dialogue with regulators in Africa, the NCT will also

seek to improve its own operations and contribute positively to the broader consumer regulatory

environment.

In the longer term, effective and sound Alternative Dispute Resolution (ADR) has the potential to

contribute to a decrease in the Tribunal’s caseload. Adjudicative round tables with stakeholders are

scheduled to re-commence and will strengthen the potential of ADR to deal with applications in a

constitutionally correct manner.

With this challenging context in mind, the NCT will continue on its path of growing into a knowledge-

based organisation, an organisation that effectively contributes to the South African consumer

protection and regulatory environment and delivers ever-increasing value to the citizens of this

country. In so doing, it will continue to guard its reputation and increase the effectiveness of its

controls and spending, ensuring that sound principles of corporate governance are efficiently adhered

to at all times.

I would like to take this time to formally thank my colleagues for their hard work in contributing to this

planning process, as well as for their support over the past years in establishing the organisation and

ensuring that the Tribunal’s mandate is fulfilled.


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I would encourage all staff, members and stakeholders of the Tribunal to adopt this APP and play

their role in delivering on its goals, objectives and targets.

_________________________________

Diane Terblanche

Executive Chairperson

24 June 2014


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3 Mandate, purpose and Tribunal services

The NCT adjudicates on both the National Credit Act (NCA) and the Consumer Protection Act (CPA).

Both Acts are jointly referred to as “the Acts” or “these Acts” within this document.

As an independent adjudicative entity, the NCT’s mandate is to hear and decide on cases involving

consumers, providers, regulators, debt counsellors and credit bureaux. In so doing, the Tribunal hears

applications and referrals and cases that are premised upon the terms outlined within these Acts and

the Rules of the Tribunal.

In pursuing its mandate, the NCT may:

Adjudicate on any application or referral of prohibited or required conduct that may be made to

it in terms of the Acts;

Effect any order outlined in the Acts, in respect of such an application; and/or adjudicate on

allegations of prohibited conduct by determining whether prohibited conduct has occurred and,

if so, impose a resolution provided for in the decreed Acts;

Grant an order for costs, with regard to these Acts;

Exercise any other power conferred on it by these Acts.

3.1 Legislative and policy mandates

The NCT derives its mandate from Section 27 of the National Credit Act. The NCT plays a significant

role in upholding and preserving the fundamental rights enshrined within the Bill of Rights.

Specifically, the NCT has a direct impact on the following areas within the Sections 32, 33 and 34 of

the Constitution, under the Bill of Rights section:

o Section 32: Access to information -

1. Everyone has the right of access to a. any information held by the state; and b. any information that is held by another person and that is required for the exercise or

protection of any rights. 2. National legislation must be enacted to give effect to this right, and may provide for

reasonable measures to alleviate the administrative and financial burden on the state.

o Section 33: Just administrative action -

1. Everyone has the right to administrative action that is lawful, reasonable and procedurally fair.

2. Everyone whose rights have been adversely affected by administrative action has the right to be given written reasons.

3. National legislation must be enacted to give effect to these rights, and must a. provide for the review of administrative action by a court or, where appropriate, an

independent and impartial tribunal; b. impose a duty on the state to give effect to the rights in subsections (1) and (2); and c. promote an efficient administration.


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o Section 34: Access to courts -

1. Everyone has the right to have any dispute that can be managed and adjudicated by the application of law decided in a fair public hearing before a court or, where appropriate, another independent and impartial tribunal or forum.

The NCT adjudicates on applications and referrals of prohibited and required conduct in pursuance of

the purpose of the NCA and CPA, as set out in Section 3 of these Acts respectively and in

accordance with Section 142 of the National Credit Act, the imperatives of the Constitution and the

Promotion of Administrative Justice Act (PAJA).

3.2 Delivery Model for Resolving Consumer and Credit Disputes

The tiered diagram depicts the Tribunal’s position, relative to other entities, for resolving consumer

and credit disputes. It furthermore shows the escalation process that is embarked upon when a

consumer and credit dispute is lodged, should resolution not be reached at a particular level.


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4 Strategic Overview

4.1 Background

The National Consumer Tribunal was established in terms of the National Credit Act, No. 34 of 2005

(NCA) to adjudicate on applications and referrals in terms of the NCA. In September 2006, sixteen

independent members of the Tribunal including a Chairperson were appointed by the President,

thereby formally establishing the Tribunal.

With effect from 1 April 2011, the Tribunal’s mandate was expanded to include the adjudication of

applications and cases referred to it in accordance with the Consumer Protection Act, No. 68 of 2009

(“CPA”).

4.2 Vision, Mission and Values

4.2.1 Vision

In the pursuance of its mandate, the Vision of the NCT is:

“To be recognised as an independent and fair adjudicator, promoting and advancing

the socio-economic welfare of South Africans”

4.2.2 Mission

The Mission of the NCT is:

“The Provision of accessible adjudication and redress on matters referred to the

Tribunal in terms of the National Credit Act and the Consumer Protection Act”

4.2.3 Guiding Principles

The following Guiding Principles define the NCT’s approach to adjudication, and go hand in hand with

the NCT’s values. These principles are aligned to the legislative provisions of the NCA which require

that the NCT conducts itself in a manner that is:

a) Inquisitorial,

b) Expeditious,

c) Informal, and

d) In accordance with the principles of natural justice

4.2.4 Value Statements

The NCT’s Values reflect traits or qualities that represent the requirements of the Constitution of

South Africa, in particular Chapter 10 – Public Administration and Batho Pele principles. This

emphasises certain basic values and principles governing Public Administration and requires that


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Public Administration be governed by the democratic values and principles enshrined in the

Constitution.

The NCT’s value statements (in alignment with the Batho Pele principles) are:

a) Honesty and Integrity

Being truthful, uncompromising and acting impartially, without fear or favour, in our relationships

with all stakeholders

b) Accessibility

Being available to serve our purpose and mandate.

c) Transparency

Being open with stakeholders and communicating the basis upon which decisions are made and

actions taken.

d) Accountability

Accepting responsibility for our own actions and commitments.

e) Respect

Considering and valuing diversity, the views of others, their values and constitutional rights.

f) Recognition

Acknowledging all stakeholders, their role and the institution.

g) Responsiveness

Responding appropriately and in a timely manner.

h) Approachability

Being open to ideas, thoughts, actions and taking time to understand and explain processes to

stakeholders, as well as communicating in clear simple language.

4.2.5 Detailed analysis of Strategic Outcome-oriented Goals and Objectives

Clear Strategic Goals, supported by a corresponding, well aligned strategic objectives have been

identified to ensure that the NCT succeeds in the delivery of its mandate.

Strategic outcome oriented goals

Key Value Drivers Strategic Objectives

Cases effectively and efficiently managed and adjudicated

Expeditious resolution of cases

High quality, consistent decisions

On-going Communication with filing

parties

To expedite service delivery through the

timely communication of outcomes of

assessment of initial filings to filing parties

To expedite service delivery through the

timely communication of judgments on non-

debt re-arrangement matters

To ensure that the NCT decisions are

accurate, objective legally correct –

substantive and procedurally correct


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Strategic outcome oriented goals

Key Value Drivers Strategic Objectives

Contribute to an efficient and

effective Consumer

Regulatory environment

Follow a consultative approach

Being a knowledge-based organisation

Translating knowledge into intelligence

Submissions based on sound analysis

of facts

Communicating of information and

data known to the NCT

Providing multiple access channels

Cost effective, accessible adjudication

To ensure regular formal engagement with

regulatory stakeholders regarding the

consumer regulatory environment

To build capacity through developing and

issuing Briefing Papers

Effective and efficient

Organisational Management

Sound governance

Teamwork & collaboration

Role clarity & accountability

Effective internal processes, systems

and controls

ICT enablement

Effective resourcing

Sound Human Capital & management

practices

To optimise the financial resources of the

NCT

To enhance operational efficiency by

implementing an enabling ICT architecture

To ensure the accessibility and integrity of

digitised case records

To ensure that the Tribunal has adequate

human resources to deliver in accordance

with its mandate

To contribute to employment

4.2.6 Product and Services

-The role of the Tribunal is to adjudicate on:

• Applications made in terms of the National Credit Act 34 of 2005 or the Consumer Protection Act 68

of 2008 by consumers, credit providers, credit bureaux, debt counsellors, the National Credit

Regulator and the National Consumer Commission;

• The Tribunal also adjudicates on applications for interim relief and review decisions by the National

Credit Regulator and the National Consumer Commission;

• Matters referred to the Tribunal by the National Credit Regulator or the National Consumer

Commission regarding complaints related to allegations of prohibited conduct; and

• Applications for confirmation of debt re-arrangement agreements as Tribunal orders in terms of the

National Credit Act 34 of 2005 or the Consumer Protection Act 68 of 2008.


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4.2.7 Recent Court Rulings

No Court Rulings were reported during this period that affects the mandate of the Tribunal

4.3 Updated Situational Analysis

In updating its assessment of the external environment and its potential impact, the NCT has

performed an External Environment Analysis using a PESTLE analysis, a SWOT analysis and a Risk

Assessment (as part of Section 8).

4.3.1 PESTLE Analysis

The NCT’s environment was assessed, taking into consideration the Political, Economic, Social,

Technological, Legal/Ethics & Environmental aspects. These trends have informed the

development of strategic goals and objectives to steer the organisation on its path to deliver on its

mandate.

Political Technology

2014 General Elections

Integrated public service delivery Alignment to government imperatives

Service delivery challenges Emergence of Special Economic Zones / MPCs Need for pan-African growth, development and

harmonisation of legislation / regulations – Africa Dialogue

Ease of Access to Information requirements

Convergence of Technology that may result in the integration, standardisation and streamlining of processes

Availability of “off the shelf” software to impact

ICT process, e.g. recording, tracking and reporting

New, cheaper platforms of communications, e.g.

increased use of cell phones for diversified communication, including data transfer

Increasing sophistication of threats on IT security

and HR processes

Economic Legal and Ethics

Decrease in consumer Income/ Debt ratio

Increase in unsecured credit & online transactions Changes in the economy Financial constraints on the Fiscus Decreased budget allocations for public sector

entities

The strategies of other, associated, Regulators

General Laws Amendment Bill “Twin Peaks”

approach to financial regulation

NCA Amendment Bill Credit amnesty Changes / Implementation of the Secrecy Bill,

King III, COBIT V, POPIA, Superior Court Act, Legal Practice Bill and Legal Structures

Social Environmental

Changing Population Demographics, i.e. geographical spread, education, languages and income spread

Need to minimise Carbon Footprint

Need to innovatively share and package information


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High levels of unemployment Need for Youth Development Active Citizenry - demand for improved access to

services and improved service delivery Deteriorating healthcare system – may impact

employee wellness

Reduced consumption - printing, water and

electricity Rise in environmentally friendly practices Need to focus on staff safety and wellness at

work

4.3.2 SWOT Analysis

The NCT’s internal strengths and weaknesses, coupled with external opportunities and threats, were

evaluated to provide a basis of establishing clear goals and objectives. The purpose is for the NCT to

optimise identified strengths, harness opportunities, offset identified weaknesses and mitigate threats.

Strengths Weaknesses

Legislative empowerment and authority (Goal 1 and 2)

Policy and procedure framework (Goal 3) Affordable alternative to the courts (Goal 1 and 2) Independence and impartiality (Goal 1) Corporate governance (Goal 3) Financial disciplines and management (Goal 3) Diversity and relevance of knowledge and

expertise of Tribunal members and staff (Goal 3) Soundness and diversity of organisational culture

( Goal 3)

Limited visibility and accessibility (Goal 2; SR3) Inability to control the amount and complexity of

cases (Goal 3, SR2, SR3 and SR4) Inadequate implementation and utilisation of

Information and Communications Technology systems to meet the needs of the NCT (Goal 3, SR6)

Recruitment system not attracting / selecting the

most competent people (Goal 3) Workspace constraints (Goal 3)

Opportunities Threats

Knowledge sharing with other national, regional and international consumer protection agencies (Goal 2)

To grow structurally through a flexible combination of permanent and contingent employment (Goal 3)

Increased technological neutrality and

convergence ( Goal 3) Ease of obtaining and sharing information ( Goal

1 and 3) Enhanced visibility and role differentiation through

building relationships with other credit and consumer regulators / agencies (Goal 2)

Focus on youth development and employment in

alignment with the dti and Government objectives

(i.e. NDP) while containing costs ( Goal 3) Increase potential for Alternative Dispute

Resolution

Inability to meet external demands beyond organisational capacity (Goal 3; SR2 and SR4)

Insufficient existing data regarding future caseload that will inform effective planning ( Goal 3; SR6)

Inadequate number of full-time and part-time

Tribunal Members ( Goal 3; SR3, SR4 and SR5) Lack of coherent pooling methods for information

and data ( Goal 3; SR6) Heavy reliance on a single source of funding (

Goal 3; SR5) Potential of negative impact on employee morale

as case load rises without commensurate increase in resources (Goal 3; SR 1, SR2, SR4)

High compliance costs as well as resource

requirements (Goal 3 and SR4)


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4.3.3 Risk Analysis

The NCT conducted a risk assessment to assess the risks that are envisaged to be a challenge in the

coming years. These risks have been specifically highlighted as they could pose a challenge for the

NCT in being able to achieve its strategic and business plan objectives. Risks were identified from

both a high-level strategic perspective and more detailed operational levels.

Amongst the key risks are:

RISK 2: Fluctuations of caseloads beyond the NCT’s control

RISK 4: Inadequate capacity

RISK 6: Lack of adequate funding

Details of these can be found in Section 8.

4.4 Strategic Outcomes-oriented Goals

4.4.1 Strategic Outcomes-oriented Goals

The NCT’s Strategic Outcomes-oriented Goals were derived from an extensive assessment of the

internal and external environment in which the NCT operates; its internal strengths and weaknesses,

as well as its external opportunities and threats (challenges). Critical challenges and opportunities

facing the NCT were refined and reshaped to define critical strategic tasks that the NCT will need to

focus on over the next three years.

The following Strategic Outcomes-oriented Goals will be pursued by the NCT over the next 5 years,

i.e. 2014/15 to 2018/19 and will receive a clear focus in this Annual Performance Plan. They are

aligned to detailed and measurable objectives, which provide an avenue to commit resources and

accountabilities to a particular course of action. The strategic objectives are supported by projects

and/or activities which will be detailed in the operational plans of the organisation.

The goals are as follows:

GOAL 1: Cases effectively and efficiently managed and adjudicated

GOAL 2: Contribute to an efficient and effective Consumer Regulatory environment

GOAL 3: Effective and efficient Organisational Management

The NCT’s strategic direction has also been shaped by trends observed with the types and numbers

of applications and referrals received. Consistently over the lifespan of the NCT, it has experienced a

continuous increase in the number, type and complexity of cases filed in terms of both the CPA and

the NCA.


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4.4.1.1 Alignment to the National Development Plan (NDP)

The insights of the NDP are self-evident. It provides an outstanding framework for all South Africans

to work with. During the strategic planning process, the NCT ensured the alignment of its strategy,

Annual Performance Plan and Business Plan with the NDP.

The National Development Plan

The Plan

An approach to prosperity and equity can be

achieved when South Africans:

NCT alignment to NDP

There’s a shared vision to fully commit and

contribute to the goals of the NDP through:

Provide for job creation and quality education Employment of the Youth through internships, contingent employment of young people, and skills development for the youth

Fight corruption Fair adjudication of cases, sound governance and fraud management

Build a capable and developmental state Public redress

Ensure active Citizenry Access remote areas through ICT interventions

Overall impact service delivery Committed to service delivery, constitution, committed staff, proactive thinking driven to succeed in achieving the mandate of the NCT.

Alignment to Government’s Medium Term Strategic Framework (MTSF)

MTSF Outcome 4:

Decent employment through economic

growth

NCT alignment to MTSF

Alignment is achieved through:

Sub Outcome Two: The productive sectors

account for a growing share of production and

employment

Procure from local service providers.

Prioritise BEE suppliers for general services

Sub Outcome Three: The elimination of

unnecessary regulatory burdens and lower price

increases for key inputs and wage goods fosters

investment and economic growth

Make submissions to the dti in relation to

reducing regulatory burden within the NCT

environment and reviewing NCT’s filing fee

structure.

Interactions with regulatory stakeholders in

relation to rule amendments to facilitate ease of

filing with NCT.

Input into Socio-Economic Impact Assessment

Systems Committee in relation to regulatory

impact. Commissioning of research to contribute

to this study.

Sub Outcome Four: Workers' education and skills

increasingly meet economic needs

Training and development of NCT staff to obtain

key skills necessary in the NCT environment

Debt management training and retirement fund

preparation training to be compulsory courses for


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all NCT staff members.

Sub Outcome Seven: Reduced workplace conflict

and improved collaboration between government,

organised business and organised labour

Participation in the Collective Bargaining Forum

Interactions and engagements with staff

Finalise Space Planning Project

Create OHS Awareness in the Workplace

Sub Outcome Eight: Expanded economic

opportunities for historically excluded and

vulnerable groups

Employment opportunities for youth, including

woman, and historically disadvantaged

individuals, through the NCT’s intern programme

and contingent resources pool.

Equity targets set at minimum target of 45%

female.

Sub Outcome Nine: Public employment

schemes provide short-term relief for the

unemployed and build community solidarity and

agency

Ad hoc employment opportunities provided

through contingent resources pool

4.4.1.2 Alignment to the dti priorities

Alignment is achieved with the dti’s Consumer and Corporate Regulation Division (“CCRD”) to whom

the NCT relates in respect to its mandate, as one of its key roles, the creation of “credible

institutions for the enforcement and implementation of regulatory instruments”. The following

table shows the linkage between the objectives of the dti/CCRD and the NCT.

the dti (CCRD) Strategic Goals

To create a fair regulatory environment that enables

Investment, Trade and Enterprise Development in an equitable and socially responsible and socially responsible manner

Promote a professional, competitive and customer-

focused working environment that ensures effective and efficient service delivery

GOAL 1: Cases effectively and efficiently managed

and adjudicated

GOAL 2: Contribute to an efficient and effective

Consumer Regulatory environment

GOAL 3: Effective and efficient Organisational

Management

4.4.2 Key value drivers

An analysis of key value drivers was performed to ensure that the NCT is focused on the most

important activities that will deliver the most important value required by its key stakeholders. The

identification of key value drivers is important in focusing initiatives and performance on what is

important to the NCT’s long term success.

Focusing on the following value drivers will have the most significant impact on the future delivery of

value. These value drivers may be used to monitor progress towards the identified strategic goals.

Interlinked with all the key drivers is the explicit intention for the NCT to be more accessible and

visible to all its Stakeholders and Customers.


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Strategic Goals Key Value Drivers


Expeditious resolution of cases

High quality, consistent decisions

On-going communication with filing parties

Contribute to an efficient and effective Consumer Regulatory environment

Follow a consultative approach

Being a knowledge-based organisation

Translating knowledge & information into intelligence

Submissions based on sound analysis of facts

Communication of information and data known to the NCT

Providing multiple access channels

Cost effective, accessible adjudication

Effective and efficient Organisational Management

Sound governance

Teamwork & collaboration

Role clarity & accountability

Effective internal processes, systems and controls

ICT enablement

Effective resourcing

Sound Human Capital & management practices

Safety & Wellness


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5 Performance Plan Matrix

Strategic Outcome-

oriented Goal

Budget allocation

(,000) Outcome

Strategic Objective/Output

Key Performance Indicators

Baseline as at 31 March 2014

2014/15 2015/16 2016/17


R24,372

Responsive, timeous service to stakeholders in line with mandate

To expedite service delivery through the timely communication of outcomes of assessment of initial filings to filing parties

Average number of days for communicating outcome of assessment of initial filing of an application to filing parties

4.1 days ≤ 5 working days

≤ 5 working days

≤ 5 working days

To expedite service delivery through the timely communication of judgments on non-debt re-arrangement matters

Average number of days for issuance of judgments to parties after final date of adjudication of non-debt re-arrangement matters

31.6 days ≤ 40 days ≤ 40 days ≤ 40 days

Sound decision making and creating jurisprudence in consumer and credit matters

To ensure that the NCT decisions are accurate, objective legally correct – substantive and procedurally correct

% Decisions overturned on appeal or review

0.03% <5 % <5 % <5 %

Contribute to an efficient and effective Consumer Regulatory environment

R Nil

Enhanced knowledge and information sharing

To ensure regular engagement with regulatory stakeholders regarding the consumer regulatory environment

Number of engagements

2

6

8

10

To build capacity Number of research 12 20 30 40


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Strategic Outcome-

oriented Goal

Budget allocation

(,000) Outcome




2014/15 2015/16 2016/17

through developing research and approved briefing papers

or approved briefing papers added to the NCT knowledge database.

Effective and efficient Organisational Management

R18,667

A financial sustainable organisation

To optimise the financial resources of the NCT

Number of recommendations to Executive Chairperson in relation to spending trends and value for money observed

NIL 3 4 4

Number of cost saving or efficiency initiatives implemented as approved

2 2 2 2

Enabling efficient and effective operations through ICT

To enhance operational efficiency by implementing an enabling ICT architecture

Number of identified project deliverables implemented.

Debt Rearrangement Assistant Implemented

Website – Functional Specification Approved & procure service provider to build website

Implementation of CMS

Implementation of Efiling.

External roll-out of Debt rearrangement Assistant

Implementation of Electronic Document and Records Management system (EDRMS).

Management Information System implemented.

New website implemented

E-Learning

SCM system.


23

Strategic Outcome-

oriented Goal

Budget allocation

(,000) Outcome




2014/15 2015/16 2016/17

To ensure the accessibility and integrity of digitised case records

% digitisation of case records – debt reiarrangement Files

62% 95%

95% 95%

% digitisation of case records – non- debt re-arrangement Files

30% 95%

95% 95%

Competent people available to be deployed as required

To ensure that the Tribunal has adequate human resources to deliver in accordance with its mandate

% of positions filled1 80% of positions in

approved structure filled

80% 80% 80%

Contribute to skills development of youth

To contribute to youth employment

Number of youth employed through structured opportunities created for youth development

22 24 26 28

1 The Percentage of the total number of approved Posts (38) as per the approved Organisational Structure.


24

6 Tribunal Structure

6.1 Governance Structure

The National Consumer Tribunal Chairperson is accountable for the governance and oversight of the

NCT‘s operations, as well as the management of adjudications. The NCT reports to the Executive

Authority, the Minister of Trade and Industry, through the Consumer and Corporate Regulation

Division (CCRD) and the Public Entity Oversight Unit (PEO) of the Department of Trade and Industry

(“the dti”).

The NCT has three governance committees: The Audit and Risk Committee, Human Capital

Governance Committee, and the ICT Governance Committee advise the Accounting Authority on

matters pertaining to governance issues. These committees function by way of a formal Charter. The

NCT’s activities are enabled by the provision of a budget approved annually by the dti.

Executive

Authority

Accounting

Authority

Governance

Committees

Minister of

Trade and

Industry

Tribunal

Chairperson

GOVERNANCE

Human Capital

Governance

Committee

Audit and Risk

Committee

ICT

Governance

Committee


25

6.1.1 Operational Structure

The following organogram represents the envisaged operational structure of the NCT:


26

The structure of the NCT was approved by the dti on 1st May 2012. Consequently, the NCT has

made minor revisions to the reporting lines and naming conventions of some positions. These have

been adjusted to ensure that the organisation can continue to have the right people, at the right time

and at the right level, to deliver on its mandate.

The key driver in the near future with regard to the number of resources required, is the case load. A

variable case load requires a flexible and agile structure. In instances where peak caseload demand

arises, the NCT will meet this need through a contingent pool of select legal and administrative

professionals (in academia and business). These individuals will receive the requisite training from the

NCT to ensure that they have the necessary competence to perform the work assigned to them.

The NCT will retain interns on one year contracts and enlist legal professionals on a database to

assist with spikes in case loads that require work to be completed beyond the capacity of the

permanent staffing structure, as and when required. The skills development afforded to these interns

and legal and administrative professionals will enable them to either continue servicing the NCT or to

acquire pertinent professional skills that will fulfil the NCT’s aim of promoting youth development

within the field. The number of interns will remain stable over the specified annual period, but the

number of legal and administrative professionals called upon may fluctuate from time to time.

In light of the above, the NCT will implement an optimal structure that effectively segregates non-

compatible functions. This contributes to upholding robust internal control processes. The structure

outlines the specific business functions which are directly impacted by any variance or increase in

demand for NCT services.

In order to better accommodate for these variances, the role of the Chief Operating Officer (COO) will

take over functional responsibilities and oversee the operations of the organization. All senior

managers will now directly report to the COO. This restructuring will render the Executive Chairperson

to supervise the COO, Executive for Strategic Support, Executive Assistant, Full-Time Tribunal

Members and Part-Time Tribunal Members.

As a result of restructuring and digitisation of the Registry Unit, the Unit will now be under ICT and the

ICT Manager will be responsible for the functioning of the Unit as it is evolving to be IT driven. The

position of Human Resources & Facilities Manager has been created to drive the HR Strategy and

Plan. The transition from manual to digitally based operations requires support from HR at a strategic

level, in order to develop strategies and implementation thereof in respect of change management,

career development, training and development as well as the long-term thinking of the business in

human resources terms. Currently the HR function is largely administrative and as such does not

support the organisation strategically. For this reason it is imperative that an HR position at strategic

level is created. NCT is growing operationally and therefore HR focus of capacity development has to

shift to that of human capital development and organisation design and development.

Four positions of Case Assessors have been created in the Registrar’s Office in order to register

cases and capture case information required for the adjudication process. As part of succession

planning and growing the organisation from within, NCT has adopted the strategy of recruiting skills

from the pool of legal interns in the organisation. The above organisational structure ring- fences

areas of growth or variability with respect to the demand for Tribunal services. In these areas, it is

reasonably expected that the structure should be able to adapt accordingly, as demand for Tribunal

services increases.

Lastly, the above organisational structure ring-fences areas of growth or variability with respect to the

demand for Tribunal services. In these areas, it is reasonably expected that the structure should be

able to adapt accordingly, as demand for Tribunal services increases.


27

7 Key Strategic risks

Once identified, each risk is assessed on how it might affect the achievement of the NCT’s objectives.

Each risk is rated according to a robust framework, which centres on an impact versus probability

matrix, control percentage quantification, real risk scores and mitigation plans. The resultant risk

response strategy that arises from such an exercise articulates the necessary action plans that will

ensure these risks are addressed and thus minimised.

Timeframes are also stated for each action plan. All levels of staff in the organisation are encouraged

to continuously identify risks in the organisation and bring these to the attention of relevant managers

for further discussion at the Executive Committee meetings, held every 2 months. The internal audit

plans are also aligned to the identified risks and the extent to which the internal control environment is

effective is acknowledged. The risk status register is monitored and updated on a quarterly basis and

progress is tabled at the Audit and Risk Committee meetings.

The strategic risks currently facing the NCT are detailed below. These will have to be managed on an

on-going basis; until such time that they have been adequately addressed. The latest re-assessment

of strategic risks was undertaken on the 25th of September 2013, with the presence of the Audit and

Risk committee.

A detailed quantitative assessment of risks arising from the Risk Assessment process is reflected in

the Strategic Risk Plan.


28

7.1 Quantitative Assessment of Strategic Risks

Risk Ref. No.

Risk Description

Focus Areas

Inherent Impact

Inherent Probabili

ty

Inherent Risk

Control Adequacy

Residual Risk

Control Effective

ness

Real Risk

Controls Actions

SR1

Failure to promote Socio-Economic Welfare through judgments

S1_ Cases effectively and efficiently managed and adjudicated

3 2 6 80% 1 70% 3

- Repository of research - Provision of

case support, analysis and additional research

- Develop briefing framework to provide guidance

- Setting head notes to cases

- Encourage memberships to professional associations

- Focus on continuous education of tribunal members

- Review previous cases to understand socio-economic implications

SR2

Fluctuations of caseloads beyond the NCT’s control

Linked to multiple/ all operational objectives

5 5 25 20% 20 20% 24

- Provision of ad-hoc staff

- Constant interactions with ICT

- Constant revisions of process

- Tracking of Efficiencies Projects

- Look at scalability of systems

- Follow up on Legislative amendments

- Establish pool of legal professions

- Submissions to the dti on

appointment of additional tribunal members

- Implement forecasting based on historical


29

information - Increase levels

of automation and systems intelligence

SR3

Credibility and Reputational risks due to the NCT not meeting its mandate


4 2 8 90% 1 90% 2

- Interventions around training, research, interactions, support within NCT

- Performance Agreements with the Tribunal members

- Legal updates - Capacity

sessions - Annual

Compliance universe review

SR4

Inadequate capacity


4 5 20 60% 8 60% 13

- Utilisation of ad-hoc (temporary) staff

- Enrolment for studies - Succession planning

in place - Utilisation of students

and interns as feed for permanent staff

- Have agreements with law firms

- Implementation of PDP’s

- Generic training to be provided to staff

- Implementation of coaching and mentoring

- Increase levels of systems intelligence

SR5 Lack of adequate funding

S3_ Sound Organisational Management

4 5 20 40% 12 40% 17

- Monthly monitoring of spending, budgets and costs

- Submissions to the DTI

- Internal audit reports - Budgeting and

forecasting exercise

- Consider Efficiencies Projects as a preventative measure

- Determine cost recovery initiatives

- Explore possibilities of revenue generation

- Explore funding initiatives


30

- Implement outcomes from economic modelling

- Motivate funding in line with economic modelling exercise

- Complete cost allocation review

- Complete utility usage optimisation review

- Implement environmentally friendly practices

SR6

Lack of MIS to meet organisational needs


4 3 12 20% 10 40% 11

- Spreadsheets - Templates from the

bodies (i.e. DTI, NCA, etc.)

- Research available technologies to optimise operational efficiency

- Formulation of MIS implementation plan

- Implement comprehensive ICT governance processes and structure

- Implementation of gaps arising from AG & Internal Audits

- Complete Business Process


31

Engineering - Review and

implement (as applicable) enterprise architecture

- Acquire project management capacity


32

8 Finance Strategy & Plan

This Finance Strategy has been developed to ensure that the NCT is financially sustainable for the

period covered by these plans. It incorporates practical, realistic plans to:

ensure that the Finance function provides sound advice and delivers excellence in its functional services

maintain effective controls and high standards of corporate governance

investigate and deliver on alternative ways of containing costs and / or generating funds to ensure the financial sustainability of the NCT

8.1 Finance Vision

“To be a respected Business Partner that contributes to financial sustainability and the sound

reputation of the NCT.”

8.2 Finance Mission

“To optimise financial performance and good governance at the NCT by providing insightful

guidance, excellent service and ensuring sound internal controls.”

8.3 Finance Goals

The Finance Division’s strategic goals have been formulated to ensure the effective and efficient use

of financial resources. Sound financial management is an imperative in sustaining the NCT.

GOAL 1: To provide sound strategic financial advice

GOAL 2: To provide effective financial services that maximise the potential value for money received

GOAL 3: To implement and maintain effective financial processes, systems, controls and policies to

manage financial resources and risks

8.4 Key Finance Initiatives

The rapid increase in caseload over the past four years has been the main driver behind the increase

in the operating expenses of the NCT. Associated costs incurred to cover the spike in cases filed

have also contributed to the increased operating expenses. Future changes to legislation may further

increase the scope of the NCT’s mandate, which will result in a further variation of case numbers

brought before the NCT. Currently there is no funding allocated to fulfil any additional mandate that

may be established through such legislative changes.

There is a strong indication that the case numbers will increase by at least 30% on a year-on-year

basis over the Medium Term Expenditure Framework (MTEF) period as well as the coming years. In

order to fund that caseload increase, additional funding will be required.


33

The table below provides a projection of case numbers if a 30% increase in the caseload is applied to

the case numbers of the 2012/3 financial year.

Financial Year

Type of cases 2010/11 2011/12 2012/13 2013/14f 2014/15f 2015/16f 2016/17f 2017/18f 2018/19f

Debt re-arrangement agreements

1 358 2 143 4 072 5 294 6 882 8 946

11 630

15 119

19 655

Non-debt re-arrangement matters

24 62 121 157 204 266 346 450 584

Total number of filings

1 382 2 205 4 193 5 451 7 086 9 212 11 976 15 569 20 239

f = forecasted numbers

Financial disciplines and cost-saving initiatives (taking into consideration the benefits thereof) will be

critical in ensuring optimal utilisation of the available funds. This will include a careful analysis of the

NCT’s current cost of compliance with a view to increasing the efficiency with which funds are spent in

this regard. The NCT is a relatively small entity and yet it is required to adhere to all of the regulatory

standards and practices that apply to a large public sector organisation. This means that the NCT has

an extremely high cost of governance and associated risk management practices in comparison to its

budget and headcount. Ways of increasing the efficiency of governance and risk management

practices, without detracting from their effectiveness, will be investigated and implemented in

consultation with important stakeholders such as the dti, National Treasury and the Auditor-General.

Proactive financial monitoring and effective controls will include the analysis of expenditure in order to

develop forecasts that will determine the levels of future expenditure and to consequently

communicate the necessary proactive and corrective measures required. As the NCT currently

embarks on key capital projects (e.g. a much needed ICT infrastructure), the required financial

resourcing will need to be determined up front. Going forward, NCT will also explore alternative ways

of obtaining funds for specific projects. The Finance Unit will also ensure that the Tribunal maximises

the value for money received from suppliers and services providers through adherence to the supply

chain management policies and processes of the NCT.

8.5 Multi-year Financial Projections

Allocations have been made to the NCT by National Treasury for the specific periods indicated (table

below). According to the amounts already allocated in terms of the MTEF, grants were allocated for

Financial Years 2014/15 to 2016/17. To ensure that the NCT copes with the increased caseload, an

additional grant request was included for the 2015/16 and 2016/17 financial years.

8.5.1 Projections of revenue and expenditure

The expected budgeted shortfall for the 2014/15 financial year amounting to R4.4 million will be

finance out of anticipated savings to be accumulated during the 2013/14 financial year. This is

indicated as a surplus brought forward for that year. Filing fees and interest income (from investing

surplus funds) are represented by the “Other Income” line item. Income from filing fees has been

escalated by 30% per annum, in anticipation for the increase in the caseload, while interest income

has been kept at the current rate of 4% per annum.


34

Compensation of employees for the 2014/15 financial year has been determined in accordance with

the current staff complement. As set out in the operational structure, the compensation of employees

includes a full time Executive Chairperson and two full-time Tribunal members from the 2013/14

financial year.

Compensation of employees includes an annual inflation adjustment of 5.3% to 6.4% as prescribed

by the MTEF guidelines. Compensation of Tribunal members has been escalated by around 37%

due to the anticipated increase of 30% in the case numbers as well as an annual inflationary

adjustment. In addition, four case assessors will be employed from 2014/15 (which can be seen in the

operational structure in section 6.1) due to ICT projects and a need to contribute to the government’s

targets relating to youth employment development.

An average of 15% to 19% per annum has been applied for an increase in goods and services

expenditure, arrived at after escalating certain of the fixed cost items by a 5.3% inflationary

adjustment and variable costs by 30% in anticipation of the increase in the caseload. Capital

expenses have been budgeted for the maintenance of systems and hardware as well as the

implementation of newly identified ICT projects. Details of the expenditure and capital expense

requirements for the 2014/15 financial year are documented in the Financial Budget attached to the

Business Plan for that year.

8.5.2 Asset and liability management

As for asset and liability management, the NCT’s biggest asset at any given time is cash and cash

equivalents. The annual grant allocation to the NCT gets paid by the dti in two instalments. When a

grant payment is received it gets invested in the Corporation for Public Deposits account at the South

African Reserve Bank. Funds are then withdrawn on a monthly basis to fund the day to day business

operations of the NCT. Detailed cash forecasts for the following two months get submitted to the

Accounting Authority on a monthly basis as part of the management accounts, thereby indicating the

short term cash requirements of the NCT. Monies are then transferred to the current account once a

month according to the approved cash flow forecast. This ensures that the NCT does not carry any

excess funds in the current account and that interest income is thereby maximised.

Another significant asset class is property, plant and equipment. These assets are entered into a fixed

asset register that comply with the requirements of the prescribed Generally Recognised Accounting

Practice (GRAP) reporting standards. The asset register is reconciled with the general ledger on a

monthly basis and assets counts are done monthly on a spot check basis. A full asset count is

conducted twice a year.

Apart from the annual provision for performance bonuses, made only at the financial year end, the

most significant liability item is trade and other payables. These include the amounts due to suppliers

of goods and services where payments are still to be made. The NCT makes payments to suppliers at

least twice a month on the basis of valid and approved invoices. Creditor’s accounts are reconciled

monthly with the age analysis and the general ledger. The NCT pays all its undisputed invoices

received from suppliers within a 30 day period.

The NCT has adopted a value for money procurement strategy that is closely managed through the

supply chain processes. This ensures that suppliers are only paid for services provided when the NCT

is satisfied that it received a value for money service.


35

8.5.3 Cash flow projections

Actual

2012/13 Forecast 2013/14

Budget 2014/15

Budget 2015/16

Budget 2016/17

Budget 2016/17

Budget 2018/19

Grant allocation 33 165 000 36 099 000 40 164 000 43 029 000 46 151 000

62 594 597

68 766 273

Additional Grant / Donor funding

- - - 4 700 000 8 900 000 - -

Other income 1 043 556 937 475 1 325 657 1 746 302 2 055 038 2 333 102 2 779 162

Surplus B/F - 3 500 000 4 400 000 - - - -

Total income 34 208 556 40 536 475 45 889 657 49 475 302 57 106 038

64 927 699

71 545 435

Expenditure 31 457 206 40 536 475 45 889 657 49 475 302 57 106 038

64 927 699

71 545 435

Compensation of employees

13 746 430 22 003 976 23 037 945 24 518 604 26 092 106

28 129 655

29 620 527

Goods and services 17 366 123 17 902 499 20 001 712 24 426 698 30 613 932

36 198 044

41 274 908

Capital expenses 344 653 630 000 2 850 000 530 000 400 000

600 000

650 000

Surplus / (Deficit) 2 751 350 - - - - - -

8.5.4 Capital expenditure projects

Refer to section 9.5.3 above for the capital projects included in the cash flow projections.

8.5.5 Infrastructure plans

The National Consumer Tribunal is not engaged in infrastructure projects. For this reason, it does not

create infrastructure plans.

8.5.6 Dividend policies

The National Consumer Tribunal is a Schedule 3A public entity and as such does not have share

capital to declare dividends on. It therefore has not formulated dividend policies.


36

8.6 Materiality and significance framework

The NCT uses 0.60% of budgeted operational expenditure for the materiality and significance

framework and the basis is consistent with prior years. The implications, based on the estimated

budget, are summarised as follows

Item % Used 2013/14 2014/15 2015/16 2016/17 2017/18 2018/19

Budget 39 906 475 43 039 657 48 945 302 56 706 038 64 327 699 70 895 435

Materiality 0.60% 239 439 258 238 293 672 340 236 385 966 425 373

9 Human Capital Strategy & Plan

The NCT is a transforming organisation that is embracing the full potential of ICT to enable intelligent,

efficient and effective work. The reality however is that ICT enabled processes still rely on the

competence, passion and commitment of people to ensure efficient and effective service delivery. It is

for this reason that ensuring that the NCT has the ‘right people in the right place at the right time’ is a

central theme of the overall NCT strategy.

In order to achieve the NCT’s aspiration of a fully engaged workforce with the capacity and capability

to fully deliver on its mandate, it is the responsibility of NCT leadership to ensure that a formalised HR

strategy is implemented. This strategy and the associated initiatives within this Human Capital

Strategy, will unlock the latent value that exists within the NCT’s people.


37

9.1 Human Capital Vision

“To be a resilient and dynamic organisation with fully engaged, competent people, firmly

rooted in the realities of South Africa”

9.2 Human Capital Mission

“To develop an enabling environment that supports the NCT’s people to optimise their

contribution anywhere, anytime.’

9.3 Human Capital Goals

The following Human Resource Goals have been adopted by the NCT to focus its HR strategy over

the next three years. The governance framework oversees the achievement of the four goals, by

establishing a mechanism to neutralise any potential conflicts of interest, due to the small, flat nature

of the NCT’s structure.

GOAL 1: To enable the NCT to be a resilient, flexible organisation through the attraction,

development and retention of talented people

GOAL 2: To develop an enabling and safe work environment that optimises the potential for

employee engagement

GOAL 3: To shape a high performance culture that ensures that people enjoy work life balance

GOAL 4: To ensure compliance with all relevant employment related policies, legislation and

regulations


38

Human Capital Management

Strategy

Organisation

People

HR Systems and Processes

Culture and Climate

In order to realise its Human Capital goals, the NCT will implement a Strategic Human Resource

Management framework, as illustrated below:

9.4 Key Human Capital Initiatives

The Human Capital Team has aligned its focus in line with the realities of the NCT’s operating

environment. Within its limited means, the HC Team will work to improve the overall quality of the

NCT’s human capital and contribute to building an enabling environment for high performance.

Structure, job roles and reporting lines

EE, Employee benefits

Labour Relations

Administration Policies and

Procedures

Business Procedures

Belief, values,

norms and styles

Work-life balance

Engagement

Attraction and

Recruitment

Induction/

Onboarding

Performance

Management

Talent

Management

Employee

Relations

Training and

Development

Business Needs HR Governance,

Risk and Compliance


39

A number of key, high impact HR systems and processes will be reviewed, revised and re-

implemented in the forthcoming coming years. These include an innovated recruitment process and

an improved performance management system.

Innovated recruitment system

The current system has not been able to attract and retain the competent talent required to deliver

on the NCT mandate. There is a need to improve the overall process of competency profiling and

assessment to allow for more focused and effective selection. This competency profiling process

will also enable better focused developmental exercises. The NCT realises that analytical skills,

sound decision making skills and a high level of ICT expertise are all fundamental requirements

for its workforce of the future. Recruitment processes will be focused on ensuring that all gaps in

the current approved organisational structure are filled.

Improved performance management system

The current performance management system has worked well in providing a focus for the work

of the NCT’s people. There are however challenges with obtaining, recording and utilising

evidence of performance in the overall performance management process. Ways of using ICT to

link organisational and individual performance information will be sought in an attempt to reduce

the bureaucracy and administration required.

The very significant risk of employee ‘burnout’ as a result an increased workload will to an extent

be mitigated by the introduction of ICT enabled workflows. The increased caseload as well as the

changes to employee routines brought about by the adoption of ICT enabled systems will

however initially create a more stressful work environment. This will need to be carefully managed

through a focus on change enablement, timeous recruitment, employee wellness and the

encouragement of an approach to work that embraces sound work - life balance principles.

There is an identified need to further entrench, refine and shape the NCT desired organisational

culture and climate. Initiatives in this regard have been planned for the coming year. The most

significant, a comprehensive employee engagement evaluation and climate shaping initiative has

unfortunately had to be removed from the plan as a result of cost containment measures. The

implementation of both formal and informal coaching and mentoring processes will however go

ahead as planned.

Attention will also have to be paid to an innovated Youth Development Programme. Cost

containment has meant that the current intern programme will need to be scaled back, as fewer

interns will be employed and these interns will be in the legal sphere rather than in other

professions.


40

10 Information and Communications Technology Strategy & Plan

The NCT’s ICT Strategy and the associated Business Plan for 2014 – 2015 will ensure that there is a

strong and clear relationship between ICT investment decisions, the operational focus of the ICT team

and the achievement of the NCT’s overall organisational strategies, goals and objectives.

Through ICT, the NCT will:

Improve stakeholder access to the NCT

Increase operational efficiency and productivity, contributing to significant reductions in expenditure

Increase strategic and operational effectiveness, ensuring consistent approaches to work and intelligent decision making

Enable collaboration, learning and the sharing of information

Enhance the connectedness and integrity of data, systems, processes and people

An ICT capability is the ability, enabled by ICT, for the NCT to conduct its operations efficiently,

effectively and intelligently. Based upon the requirements of the NCT’s strategy and the consistent,

efficient execution of its core process, it is clear that the following ICT capabilities are mission critical

to the NCT:

An interface that provides access and allows for bi-directional engagement (based around the NCT website)

A case management system that automates the key processes associated with case management, captures information accurately, enables filing parties to file cases on line, facilitates bi-directional communication and allows for the efficient allocation and deployment of resources

An adjudication capability that provides for remote ‘video’ conferencing, automatic recording and transcribing, consistent application of processes and enables effective decision making through access to guidelines and relevant information such as previous cases and precedents

A records management capability that allows for information to be securely stored, managed and accessed in accordance with the appropriate standards of governance

Organisational performance reporting capability that streamlines and automates the production of organisational performance reports, including dashboards, that can be linked to individual employee contribution

A learning capability that allows for people inside and outside of the NCT to flexibly and efficiently build the required competencies to successfully administer and adjudicate NCT cases

Over the forthcoming years, the ICT Team will focus on ensuring that these capabilities are developed

and successfully adopted. The ICT Team will transform their contribution from the current

transactional support focus to that of being ‘Information Optimisers’, able to enhance collaboration,

create systemic integration and unlock the potential value of ICT investments

10.1 ICT Mission

‘To provide the advice, collaborative solutions and support required to ensure that the NCT

has a secure, stable ICT architecture and the tools it requires to meet its core business needs.’


41

ICT will play the following roles at the NCT:

ICT will inform the choices made about ICT solutions, in line with the best, most appropriate technology and the other principles that inform the NCT’s enterprise architecture

ICT will competently project manage the acquisition and implementation of ICT solutions

ICT will train and support end-users of ICT solutions thereby maximising the potential for user adoption

ICT will maintain and configure the NCT’s ICT infrastructure to ensure security and systems uptime and to optimise the return on its ICT investment

ICT will ensure effective risk management and good governance by engaging with the appropriate structures and abiding by all supply chain and other relevant procurement policies

10.2 ICT Vision

‘To be a respected business partner and information optimiser who enhances access,

improves operational efficiency and informs intelligent decision-making at the NCT.’

10.3 ICT Goals

The following ICT Goals have been adopted by the NCT to focus its ICT activities and investments

over the next three years:

GOAL 1: To ensure that the NCT’s ICT Enterprise Architecture supports, enables and meets the NCT’s

business requirements

GOAL 2: To increase secure, controlled access for Tribunal Members, employees and other relevant

stakeholders to the NCT’s key business processes, information and services

GOAL 3: To ensure that the NCT’s ICT Enterprise Architecture and its users are secure and protected

against hacking and virus intrusions

GOAL 4: To provide effective change management to support user adoption of implemented systems

GOAL 5: To effectively manage ICT related risk through effective management and good governance


42

A summary of the ICT roadmap to achieve these goals may be seen below:

10.4 Key ICT Initiatives

ICT has prioritised a number of important initiatives. These include:

Optimising remote access to the NCT and relevant information through an innovated NCT portal (website)

Implementing an effective ICT enabled Case Management System


43

Implementing safe, secure and effective, electronic communication including VOIP and video conferencing to enable remote participation in NCT hearings / adjudications

Implementing an effective, ICT enabled Adjudication System

Designing and implementing an ICT enabled Records Management System

Designing and implementing automated reports that provide relevant NCT performance information

The implementation of ICT enabled work systems to support the operations of the NCT will be a

significant change to current ways of working. In an environment where ICT skills and competencies

are not at the requisite level, this will imply that the ICT Team will need to be supportive and user-

centered in their approach. In future, recruitment practices will be focused on bringing on board

employees with a higher aptitude and increased competence in ICT.

The ICT Team’s initiatives will therefore be implemented in parallel with a focus on improving overall

levels of ICT service to users at the NCT. This will include ensuring that users receive the appropriate

ICT systems and administration training as well as ensuring that all initiatives are supported by

effective change enablement practices. This will increase overall levels of user adoption of ICT

systems and optimize the NCT’s ICT investment.

The envisaged ICT capital expenditure over the next three years is tabled below:

FY14/15 FY15/16 FY16/17

R 2 700 000 R 400 000 R 200 000

11 Communications Strategy & Plan

This Communications Plan has been developed to serve the NCT and its key stakeholders.

Information is a key resource in a knowledge economy. The way information is communicated shapes

perceptions and attitudes. It also informs decision making and ultimately the behaviour of all of the

parties within a regulatory system.

The faith, trust and respect that stakeholders have for a regulatory body and, in particular, for its

adjudicative ability and impartiality, are significant factors that impact its reputation, and by

implication, the credibility of the entire regulatory system. This is of critical importance for the NCT and

informs its thinking about what and how to communicate.

The NCT communicates with external parties through its judgments and interactions with

stakeholders. Internally, the NCT makes use of Intranet and other communication initiatives to ensure

effective employee involvement. It is also important that the NCT has a clear understanding of what is

happening in the Consumer regulatory environment and is well informed regarding the approach of

fellow regulators.

The NCT’s Communications Plan ensures that the NCT keeps all of its stakeholders aware of key

developments in the consumer legislative field and of the key factors influencing its decisions. A


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community of well-informed stakeholders ensures a more consistent and predictable approach at all

levels of the regulatory system. Internally, effective communications contributes to employee

engagement and to ever-increasing competency.

These factors all reinforce the importance and relevance of communications and make a case for the

appropriate resourcing of communications within the NCT. The Communications function within the

NCT is currently vested in the Executive Strategic Support.

11.1 Communications Vision

“To develop a reputation as an impartial, professional and effective adjudicator that

contributes to a fair, consistent and predictable consumer regulatory environment in

South Africa by providing legal certainty on consumer and credit issues.”

11.2 Communications Mission

“To contribute to the positive reputation of the NCT in the consumer regulatory

environment through sound engagement with stakeholders and by effectively

communicating the NCT’s role, functions and findings.

11.3 Communications Goals

The following strategic goals have been formulated to contribute to the overall achievement of the

NCT’s strategy and business plan. The goals are as follows:

GOAL 1: Contribute to the consumer regulatory environment by building sound, well informed

relationships with stakeholders

GOAL 2: Contribute to a consistent, predictable regulatory environment through increased

accessibility and the effective communication of the NCT’s judgments

GOAL 3: To engage with fellow regulators in order to both contribute and stay abreast of consumer

regulatory trends, strategies and approaches

GOAL 4: To be well informed about international consumer regulatory trends and developments

GOAL 5: To contribute to high-levels of employee engagement through effective internal

communication

Effective stakeholder engagement is of strategic importance to the NCT. The NCT is committed to

developing synergistic relationships with fellow regulators and ombuds which will ultimately contribute

to an effective system of consumer protection in South Africa.

Increased accessibility to the services and workings of the NCT also plays a very important strategic

role within the NCT. It is anticipated that on-going implementation of the NCT’s ICT architecture in the

coming year will contribute to enhancing its accessibility and credibility, thereby its reputation.

This communications plan identifies and prioritises activities that will effectively and efficiently

communicate the NCT’s messages, as well as provide a platform for regular interactions and


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engagements with its key stakeholders within the consumer regulatory environment. As the NCT

communicates with stakeholders primarily through its judgments it is of paramount importance that

they are written in clear and understandable language that creates clarity and legal certainty on

consumer and credit issues.

The NCT will also continuously guide the filing of applications and respond to queries throughout the

filing process. By doing so the NCT will contribute to a more effective adjudication process. Additional

channels for information will be established in order to promote a sense of confidence in the progress

of cases and to ensure that filing parties do not have to constantly approach the NCT for confirmation

of the status of their cases. This will be achieved through ICT interventions that enable stakeholders

to track the status of their cases.

The NCT will also embark on creating awareness of its purpose by holding consultative forums such

as adjudicator roundtables, attending conferences, as well as collaborating with organisations with

similar mandates.

On-going stakeholder engagement, within the overall consumer regulatory environment is essential at

both strategic and tactical level. With the expected increase in caseloads it is important that the NCT

communicates to its stakeholders timeously in relation to both consultative and adjudicative decision-

making processes.

To stay abreast of trends in the consumer regulatory environment, webinars with international

consumer protection bodies, trend publications and media analysis reports will be utilised. To

maximize its impact, the Communications Strategy will also be targeted internally to feed vital

information into the organization, to ensure alignment and efficient use of resources.

The Communications Strategy is inclusive in its focus allowing for engagement with previously

marginalised groups in the economy and providing the approach and tools required to meet the needs

of the different stakeholders that engage with the NCT.

12 Corporate Social Investment (CSI)

The NCT, through its social investment programmes, acknowledges that human and environmental resources must be sustainably developed if the future of all South Africans is to be bettered. The NCT actively supports CSI initiatives that are in line with the key social development needs highlighted by government, as well as:

Support Social development;

Encourage Education; and

Help conserve our environment


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13 Annexure A: Key Performance Indicator Information

Goal 1: Cases effectively and efficiently managed and adjudicated.

Measurable Objective 1: To expedite service delivery through the timely

communication of outcomes of assessment of initial filings to filing parties

Indicator Title Average number of days for communicating outcome of assessment of initial filing of an application with the Tribunal to filing parties

Short Definition Indicator measures the average number of days taken to assess initial applications filed for completeness in terms of the approved and documented case management process document and communicating the outcome thereof to the parties

Purpose/Importance Efficient service delivery would dictate that an acceptable, expeditious standard of responsiveness to filing parties must be observed. This standard also fulfils the requirement of the Rules of Procedure for Matters that come before the Tribunal.

Source/Collection of Data The case spreadsheet and the case files. The application reflects a date stamp from Registry validating the date received. An-e-mail/fax confirmation validates the date that the communication was sent to the parties. This information is collated on a case spreadsheet which electronically calculates the number of business days from date of filing to date of issuing the notice of complete or incomplete filing. This information is filed on the case files. An initial filing refers to the first time that a matter is filed with the Tribunal. It does not count additional filings that occur where additional information has been filed in order to render an application complete.

Method of Calculation The turnaround time for each application received is calculated from the date that the case was initially filed to the date that the correspondence was issued on the status of complete or incomplete filing. An average number of days are calculated for all cases received during a quarter. The calculation is arrived at by taking the total number of days from receipt of new applications until communication is issued divided by the total number of applications received. This average number of days is reported in the quarterly report and also reported as an annual figure at the end of the financial year. The calculation is based on business days – it excludes weekends, public holidays and the period during which the Tribunal is officially closed.

Data limitations The accuracy could be impacted on as a result of human error due to the high caseloads that are tracked on an excel spreadsheet, rather than on an automated system

Type of indicator Measures activity that contributes directly to an output

Calculation type Cumulative – over the 4 quarters to obtain an annual figure

Reporting cycle Reported quarterly and aggregated annually for cases filed for each financial year (i.e. 01 April 2014 – 31 March 2015)

New indicator No

Desired performance Performance equal or below target of 5 working days is desired

Indicator responsibility Registrar and ICT & RM Manager


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Measurable Objective 2: To expedite service delivery through the timely

communication of judgments on non-debt re-arrangement matters

Indicator Title Average number of days for issuance of judgments to parties after final date of adjudication

Short Definition Non-debt re-arrangement matters are defined as an application brought to the Tribunal under the CPA or NCA, excluding the application brought in terms of Section 138 of the NCA. Indicator measures the average number of days taken for a judgment to be issued regarding the outcome of a non-debt re-arrangement matter to the relative parties involved from the last date of adjudication.

Purpose/Importance Principles of being expeditious in terms of the National Credit Act and efficient service delivery would indicate that judgment arising from the adjudication of a non-debt re-arrangement matter should be provided in a timely manner. This directly contributes to the state of the NCT reputation.

Source/Collection of Data Once the adjudication has been complete, an e-mail/fax confirmation validates the date that the judgment was issued to the parties. This information is collated on a case spreadsheet which electronically calculates the number of business days from the last date of adjudication to the date of issuing the judgment. This information will be filed and stored on the case files. Judgment refers to a decision and reasons in a matters, except for an application for a debt re-arrangement agreement being made an order of the Tribunal.

Method of Calculation Calculate the total number of days from the last date of the adjudication to the date that the judgment was issued to the parties. The calculation is based on business days (5 working days a week) and excludes weekends, public holidays and the period during which the Tribunal closes for business annually.

Data limitations High and/or variable caseloads. Inadequate representation of tribunal members to participate in judgment sessions may impede the judgment finalisation.

Type of indicator Aggregation that measures activities resulting in important written orders and issue of written judgments on non-debt re-arrangement matters

Calculation type Cumulative

Reporting cycle Quarterly

New indicator No

Desired performance Performance below target of 40 days is preferred

Indicator responsibility Registrar and Tribunal members

Measurable Objective 3: To ensure that the NCT decisions are substantially and

procedurally correct in law

Indicator Title Percentage of decisions overturned on appeal or review

Short Definition Indicator measures the percentage of decisions and/or verdicts that are overturned by a superior court, once an appeal or review process of a higher authority has been completed, excluding instances where the parties have entered into a settlement made an order of the court.

Purpose/Importance Important in establishing the reputation of the NCT and in warranting the credibility of adjudications undertaken


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Source/Collection of Data Final verdicts will be captured on the case spreadsheet. In addition to this, an appeals and review register will document all cases that have been taken on review or appeal by a superior court. This register will highlight the status of the appeal or review – either overturned, withdrawn, finalised or pending.

Method of Calculation Number of appeals that are overturned, divided by the number of complete cases that have received a final ruling, multiplied by 100 to obtain a percentage. The period will be calculated over a 3 year period. In 2014/15, the 3 year rolling period will be calculated from 2012/13 to 2014/15. In 2015/16, the 3 year rolling period will be calculated from 2013/2014 to 2015/2016. In 2016/17, the 3 year rolling period will be calculated from 2014/15 to 2016/17.

The calculation will exclude matters settled between the parties or which have not been fully heard by a superior court and where a written decision that the matter has been overturned has not been obtained.

Data limitations The implementation of new legislation without legal jurisprudence may lead to varied interpretation.

Type of indicator Outcome

Calculation type Cumulative over a 3 year rolling period. In 2014/15, the 3 year rolling period will be calculated from 2012/13 to 2014/15. In 2015/16, the 3 year rolling period will be calculated from 2013/2014 to 2015/2016. In 2016/17, the 3 year rolling period will be calculated from 2014/15 to 2016/17.

Reporting cycle Annual

New indicator No

Desired performance Performance below target of 5% is desired

Indicator responsibility Chairperson and Tribunal Members

Goal 2: Contribute to an efficient and effective Consumer regulatory

environment

Measurable Objective 4: To ensure regular engagement with regulatory

stakeholders regarding the consumer regulatory environment

Indicator Title Number of engagements

Short Definition The indicator measures the number of engagements with regulatory

stakeholders, regarding the consumer and credit regulatory

environment.

Purpose/Importance It is important that the NCT engages with its regulatory stakeholders,

inclusive of fellow regulators such as the NCR and the NCC as well

as registrants for example debt counsellors. Stakeholder strategies,

especially enforcement strategies, may influence the type and


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number of cases which may be referred to the Tribunal.

Stakeholder interaction also allows the NCT to gauge the prevailing

circumstances impacting the consumer and the marketplaces within

which the consumer participates. Regular engagement allows for

information gathering, the exchange of views and for an ongoing

dialogue to be developed. This in turn contributes to positive,

productive regulatory stakeholder relationships. The engagements

further allow for information sharing to ensure that consumers obtain

redress as effectively and efficiently as possible.

Source/Collection of Data All forms of engagement with stakeholders, e.g. conferences,

meetings, roundtables, road shows in which a briefing note is

generated after the session.

Method of Calculation Count the number of engagements held

Data limitations Unavailability of stakeholders

Type of indicator Activity leading to an output

Calculation type Accumulated over the quarters

Reporting cycle Quarterly and aggregated annually

New indicator Yes

Desired performance Performance equal or higher than target of 6 reports is desirable.

Indicator responsibility All Tribunal Members and Managers

Goal 2: Contribute to an efficient and effective Consumer regulatory

environment

Measurable Objective 5: To build internal capacity through developing research

and Briefing Papers

Indicator Title Number of research or approved briefing papers added to the

NCT knowledge database.

Short Definition This indicator measures the extent to which internal Tribunal

capacity is being built through the development of research and

approved briefing papers

Purpose/Importance Briefing papers assist in ensuring that all employees and Tribunal

Members are aware of the latest trends, issues and precedents

impacting on the consumer regulatory environment. Continuous

research fosters continuous development. The sharing of research

and briefing papers not only contributes to the development of

internal capacity, but contributes to an external sense of credibility

as a thought leader and subject related expert to whom other entities


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could refer to for guidance.

Source/Collection of Data Research and approved briefing papers added to the Tribunal’s

knowledge database– with dates of issue that will indicate when they

were first developed and added to the database.

Method of Calculation Count the number of research and approved briefing papers

developed and added to the NCT’s knowledge database.

Data limitations Accessibility of data


Calculation type Accumulate over the quarters


New indicator Yes

Desired performance Neither higher or lower is desirable

Indicator responsibility Registrar and Tribunal members

Goal 3: Effective and efficient organisational management

Measurable Objective 6.1: To optimise the financial resources of the NCT

Indicator Title Number of recommendations to Executive Chairperson in

relation to spending trends and value for money observed

Short Definition Measures whether spending trends are in line with budget

assumptions and if value for money was received on funds spent by

the NCT and recommends future action based on current spending

trends to ensure that the NCT receives value for money and

optimise its available financial resources.

Purpose/Importance The indicator measures the extent to which the NCT has spent its

money in a sustainable way by getting value for money on the funds

that were spent and to recommend future action based on current

spending trends to ensure that the NCT receives value for money

and optimise its available financial resources.

Source/Collection of Data Recommendation approved by the Executive Chairperson.

Method of Calculation Count the number of value for money and spending trends

recommendations submitted to and approved by the Executive

Chairperson.

Data limitations Real value for money assessments and the analysis of spending

trends might be difficult to perform in an objective manner.


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Reporting cycle Reported quarterly and accumulated annually

New indicator Yes

Desired performance Funds are optimally spent on the desired goods and services in a

manner that ensures the NCT derives value for money on the funds

that it spent and that NCT optimises its financial resources.

Indicator responsibility CFO


Measurable Objective 6.2: To optimise the financial resources of the NCT.

Indicator Title Number of cost saving or efficiency initiatives approved and

implemented

Short Definition Measures the number of cost saving and efficiency initiatives

approved and implemented.

Purpose/Importance Due to budget constraints the NCT has to manage costs very closely

to ensure that savings and other efficiencies materialise into an

overall reduction in operating costs. This will assist the NCT to

operate within its MTEF allocation and reduce the pressure that is

created by the increase in caseload on the financial resources of the

NCT.

Source/Collection of Data Approved Proposal on the initiatives to be implemented together

with an approved report on the outcome of the initiatives

implemented.

Method of Calculation Number of initiatives successfully implemented as approved

Data limitations Cost savings and efficiency initiatives may be difficult to identify.

Type of indicator Activities


Reporting cycle Reported quarterly and consolidated annually

New indicator Yes

Desired performance Achievement of cost savings and efficiency gains that will enhance

the financial position of the NCT.


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Indicator responsibility COO, CFO, Registrar and ICT & RM Manager


Measurable Objective 7: To enhance operational efficiency and effectiveness by

implementing an enabling ICT architecture.

Indicator Title Number of identified project deliverables implemented.

Short Definition The measure shows the extent to which ICT enables the NCT

business processes to become more effective and efficient.

Purpose / importance The timeous and successful implementation of specified ICT project

deliverables will play an important role in driving the NCT’s overall

efficiency and effectiveness.

Source / collection of data For the website it will be the approved functional specification as

well as the service level agreement with the appointed service

provider to build the website. For all other identified project

deliverables, EXCO Sign-Off.

Method of calculation Count the number project deliverables implemented.

Data limitations Effectiveness of translating business requirements into

comprehensive technical design, development and testing

specification. Vendor failure to deliver.




New indicator Yes

Desired performance Milestones achieved on time on target

Indicator responsibility ICT & RM Manager


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Measurable Objective 8.1: To ensure the accessibility and integrity of case records

through the digitisation of Case Files

Indicator Title Percentage of debt Rre-arrangement Case Files digitised

Short Definition Measures the extent to which debt re-arrangement case records are

accessible and complete.

Purpose/Importance To ensure efficiency and maintain data integrity, it is imperative that

records are readily accessible. To achieve this, the Tribunal needs

to digitise all of its Case Records, pertaining to debt re-arrangement

case Files filed with the Tribunal and assessed as from 1 April 2014.

This will reinforce the NCT’s consistency of decision making,

improve employee and Tribunal Member efficiency and enhance the

NCT’s reputation as a Tribunal of Record.

Source/Collection of Data All debt re-arrangement case records filed with the Tribunal and

assessed as from 1 April 2014 will be physically scanned and

entered into the NCT’s Case Management System. All such digitised

records will then be made available to employees and Tribunal

Members through the system.

Method of Calculation Count the number of digitised debt re-arrangement case files filed

and assessed with the Tribunal as from 1 April 2014 divided by the

total number of debt re-arrangement case files received filed with

the Tribunal and assessed as from 1 April 2014, multiplied by 100 in

order to obtain a percentage for debt re-arrangement cases filed in

the 2014/15 financial year

Data limitations Files stolen, misplaced, removed or destroyed by human error.

Incorrect debt re-arrangement case files digitised and loaded into

system.




New indicator No

Desired performance Desired performance is more than 95% of debt re-arrangement case

records digitised



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Measurable Objective 8.2: To ensure the accessibility and integrity of case records

through the digitisation of case files

Indicator Title Percentage of non-debt re-arrangement Case files digitised

Short Definition Non-debt re-arrangement matters are defined as an application

brought to the Tribunal under the CPA or NCA, excluding the

application brought in terms of Section 138 of the NCA. The

percentage measures the extent to which non-debt re-arrangement

case files are accessible and complete.

Purpose/Importance To ensure efficiency and maintain data integrity, it is imperative that

records are readily accessible. To achieve this, the Tribunal needs

to digitise all of its non-debt re-arrangement case files filed with the

Tribunal and assessed as from 1 April 2014.

This will reinforce the NCT’s consistency of decision making,

improve employee and Tribunal Member efficiency and enhance the

NCT’s reputation as a Tribunal of Record.

Source/Collection of Data All non-debt re-arrangement case files filed with the Tribunal and

assessed as from 1 April 2014 will be physically scanned and

entered into the NCT’s case files. All such digitised records will then

be made available to employees and Tribunal Members through the

system.

Method of Calculation Count the number of digitised non-debt re-arrangement case files

filed with the Tribunal and assessed as from 1 April 2014 divided by

the total number of non-debt re-arrangement cases filed with the

Tribunal filed with the Tribunal as from 1 April 2014, multiplied by

100 in order to obtain a percentage for non-debt re-arrangement

cases filed in the 2014/15 financial year.

Data limitations Files stolen, misplaced, removed or destroyed by human error.

Incorrect non-debt re-arrangement case files digitised and loaded

into system.

Type of indicator Activities leading to an output



New indicator No

Desired performance Desired performance is more than 95% of non-debt re-arrangement

case files digitised



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Measurable Objective 9: To ensure that the Tribunal has adequate human

resources to deliver in accordance with its mandate

Indicator Title Percentage of positions filled

Short Definition Indicator measures the percentage of positions filled on the

approved organisational structure.

Purpose / importance Without people, service delivery and strategy execution are

severely impacted

Source / collection of data Payroll will indicate whether or not a position is filled or not as well

as appointment letters. Payroll files and personnel files would have

the source of evidence.

Method of calculation Number of months that a post is filled in line with the approved

organisation structure divided by the total number of months for all

posts on the approved organisational structure as a percentage.

The calculation will exclude positions that may be placed on hold

due to budgetary or organisation constraints as approved by the

Chairperson.

Data limitations Funding may not be available to fill positions, despite the fact that

the structure is approved. Certain positions may be difficult to fill as

desired competencies are scarce in the talent marketplace.



Reporting cycle Quarterly and consolidated to an annual figure

New indicator No

Desired performance Performance higher than targeted performance is desired

Indicator responsibility COO and HR Manager


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Measurable Objective 10: To contribute to employment

Indicator Title Number of youth employed through structured opportunities

created for youth development

Short Definition The measure shows the extent to which the NCT specifically initiates

formal employment and developmental opportunities, to the benefit

of the youth in South Africa.

Purpose / importance Employment and developmental opportunities for the youth are

central to the National Development Plan and have a national

importance. It is also important for the NCT to be able to develop a

young talent pool of suitably experienced young people to provide

services during peak times and to act as a source of talent for

permanent NCT positions. Few other opportunities provide the type

of experience required by the NCT and as such it is up to the

organisation to provide such opportunities to the employment

marketplace.

Source / collection of data ‘Youth’ will be defined in accordance with relevant legislation. These

may be internships, short term contract employment opportunities.

Appointment letters of the youth that are employed will be the source

of evidence.

Structured opportunities will not include formal full time employment

in the approved organisational structure offered to youth.

Method of calculation Count the number of youth employed in terms of structured

opportunities that were created.

Data limitations Budgetary constraints may impact the ability of the NCT to provide

structured opportunities.

Type of indicator Outcome

Calculation type Quarterly

Reporting cycle Quarterly, annualised

New indicator Yes

Desired performance 24 or above

Indicator responsibility COO and HR Manager

Documents

Annual Performance Plan (2014/15 2016/17) · impacted the South African fiscus and there is a clear requirement and instruction from National Treasury for public entities to reduce