Strategic Plan 2017-2022 and Annual ... - Public Protector · Annual Performance Plan 2017/2018 Public Protector Vision 2023 ... Parties had been given until 28 February, ... the

Strategic Plan 2017-2022 andAnnual Performance Plan 2017/2018

Public Protector Vision 2023

Accountability Integrity Responsiveness Justice Good Governance

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Public Protector South Africa | Strategic Plan 2017-2022

Official sign-offIt is hereby certified that this Strategic Plan was developed by employees and management of the Public Protector South Africa under the guidance of Advocate Busisiwe Mkhwebane.

Takes into account all the relevant policies, legislation and other mandates for which the Public Protector is responsible.

Accurately reflects the Strategic Outcome Oriented Goals (SOOGs) and objectives which the Public Protector will endeavour to achieve over the 5 year period between 2017 and 2022.

Ms Machebane R MothibaSenior Manager: Strategic Support

Signature:Date: 24 March 2017

Mr Kennedy KaposaChief Financial Officer


Mr Themba TC DlaminiAccounting Officer


Approved by:

Adv. Busisiwe Mkhwebane Public Protector


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Part A: Strategic overview

Foreword by the Public Protector 5Public Protector South Africa Programme structure 101. Vision 122. Mission 123. Institutional Purpose Statement 124. Principles and Values 125. Legislative and other mandates 13

5.1 Constitutional mandate 135.2 Legislative mandates 135.3 Policy mandates 155.4 Relevant court rulings 16

6. Situational analysis 196.1 Performance environment 196.2 Organisation environment 206.3 Description of strategic planning process 226.4 High level organisational structure 236.5 Public Protector South Africa Strategy Map 246.6. Link between the NDP and the Strategic Outcome Oriented Goals 25

7. Strategic Outcome Oriented Goals (SOOGs) and Strategic Objectives (SOs) 26

Part B: Strategic objectives

7.1 Programme 1: Administration 367.2 Programme 2: Investigations 427.3 Programme 3: Stakeholder Management 477.4 EXPENDITURE ESTIMATES 51

Table of Contents

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ADR Alternative Dispute ResolutionAgriSETA Agricultural Sector Education Training AuthorityAJSD Administrative Justice and Service DeliveryAOMA African Ombudsman and Mediators AssociationAORC African Ombudsman Research CentreCCT Constitutional CourtCEO Chief Executive OfficerCMS Case Management SystemCOGTA Cooperative Governance and Traditional AffairsCSM Complaints and Stakeholder ManagementDA Democratic AllianceDPW Department of Public WorksEMEA Executive Members’ Ethics ActFOSAD Forum of South African Directors-GeneralFY Financial YearGGI Good Governance and IntegrityHR Human ResourcesHRD Human Resources DevelopmentHRM & D Human Resources Management and DevelopmentICT Information and Communication TechnologyISO International Organisation for StandardizationMISS Minimum Information Security StandardsMOU Memorandum of UnderstandingMTEF Medium Term Expenditure FrameworkNDP National Development PlanNHBRC National Home Builders Registration CouncilOISD Office of the Institutions Supporting DemocracyOSD Occupation Specific DispensationPAIA Promotion of Access to Information ActPII Provincial Investigations and IntegrationPMDS Performance Management and Development SystemPPSA Public Protector South AfricaSA South AfricaSABC South African Broadcasting CorporationSALGA South African Local Government AssociationSCA Supreme Court of AppealSCM Supply Chain ManagementSITA State Information and Technology AgencySMART Specific, Measurable, Achievable, Relevant, Time-BoundSO Strategic ObjectiveSOOG Strategic Outcome Oriented Goal SOP Standard Operating ProcedureSSA State Security AgencyTRA Threat and Risk AnalysisVVIP Very Very Important Person

ACRONYMS

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Since taking office, my vision for the next seven (7) years is to see people at grassroots level being empowered and able to hold their leaders to account, while continuing to give appropriate attention to the more “high profile” matters. For the institution to enable all persons to enjoy their constitutional democratic rights, accessibility of Public Protector’s services will be increased. The office will continue to play an active role in dispute resolution and in deepening responsiveness to the needs of the people of South Africa to avoid situations where people resort to violence. Great strides were made in the previous year to reduce the backlog of cases older than a year and I intend to eradicate all cases older going forward. I will engage with Organs of State to source investigation expertise that is lacking in-house in fields such as actuary, forensic, quantity surveying, etc.

Our strategic goals and objectives were revised to ensure Simple, Measurable, Achievable, Relevant and Time bound (SMART) performance targets. The changes were made in order to streamline our operations to be more accessible, effective and influence good governance in state affairs.

Investigations play a central role regarding the function of the Public Protector. So far, three (3) investigation reports have been issued. These were matters concerning ordinary people such as the pensioners from Vhembe District in Limpopo, who have been left worse off following the privatisation of the Venda Pension Fund. There was a total number of 7556 cases at hand during December 2016. By the end of the third quarter, 2083 cases were finalised. This represents 28% of finalised cases, whilst the rest were carried over to the fourth (4th) quarter of 2016/17 financial year.

Backlog cases remain a primary concern. At the beginning of the financial year, 445 cases were older than a year. The backlog was reduced to 204 ( 46%), of which 72 cases were closed within my first 100 days.

By the same token, the institution had 720 cases older than two years at the end of April 2016. At the end of December 2016, these cases were reduced to 490, with 87 of the cases that were closed up to that point disposed of during the last 100 days.

Foreword By The Public ProtectorAdv. Busisiwe Mkhwebane

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Sixteen section 7(9) notices and/or Provisional Reports in the last three months were issued. These are notices through which parties against whom the Public Protector is considering making adverse findings were given an opportunity to provide more information, essentially to persuade the Public Protector to reconsider. The notices followed investigation into allegations of maladministration against the South African Revenue Services, Department of Home Affairs, Agricultural Sector Education Training Authority (AgriSETA), Transnet, Department of Mineral Resources and the South African Nuclear Energy Corporation, among others.

We have received responses to Section 7(9) notices on the investigation into allegations that the South African government failed to implement a report produced by British firm, CIEX. This report by CIEX contained information to the effect that billions of Rand were siphoned from the public purse through unlawful means during the apartheid regime and that the post-apartheid South African government failed to recover some of the money. Parties had been given until 28 February, 2017 to comment on the provisional findings. We are now in the process of finalising the report.

With respect to Quality Assurance, 19 draft reports have been prepared after investigations were completed and are currently being quality assured. The reports are inter alia:

• Alleged irregular acquisition of VVIP planes for the Presidency, • Alleged maladministration and irregular conduct against the Rustenburg Local

Municipality with respect to the funeral of Cllr. Moses Phakoe; and • Alleged maladministration, corruption and unconscionable use of public funds by

the Eastern Cape Provincial Government regarding the expenditure of public funds in preparation for the funeral of the late former President Nelson Mandela.

In the third (3rd) and fourth (4th) quarters of the 2016/17 financial year, there were various cases of litigation, primarily these cases stem from our reports being taken on judicial review. The most recent of those cases was the application by the President of the Republic to set aside the remedial action of the State of Capture report. I have taken legal advice on the President’s application. I must say that the legal arguments raised by the President and the remedial action taken by the former Public Protector are complex in nature and enter unchartered and novel constitutional territory. I am in the process of responding to the President’s application.

On monitoring implementation of the 55 reports, 7 have been fully implemented, whilst the rest have either been partially implemented or implementation is in progress.

It is common knowledge that the bulk of the institution’s investigations do not result in formal reports. Settlements are done through Alternative Dispute Resolution (ADR) mechanisms such as conciliation, mediation and negotiation. Once common ground has been reached, a settlement agreement is developed and signed right away to implement remedial action. There are numerous of such cases that are being handled, for instance a case that involves a nudist beach in the Hibiscus Coastal municipal area in KwaZulu-Natal.

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The overall performance of the Public Protector South Africa against the targets set in the Annual Performance Plan for the third quarter is 33%. We are working hard to achieve more on the targets we have set for ourselves by 31 March 2017.

One of the challenges we face is the misalignment of the Public Protector Act 23 of 1994 and the Constitution of the Republic of South Africa of 1996. This is mainly because the Act was based on the Interim Constitution of 1993 and thus, it predates the current Constitution. On the review of the principal Act governing the functions of the Public Protector, a process that seeks to amend the Act to bring it in line with the Constitution has commenced. In the meantime, the Public Protector Rules have been submitted and the Department of Justice and Correctional Services is in the process of placing the amendments to the Act on the parliamentary legislative process.

The Public Protector is one of the most underfunded institutions when one looks at its broad mandate and jurisdiction. The allocation of R263.3 million is a drop in the ocean given the fact that only half of our organisational structure is funded whilst the core functions are under-funded. The misalignment of the PP Act will further hamper the effectiveness of the institutions. At least an allocation of R1billion would assist in addressing complex cases

A restructuring process that seeks to align operations with the new vision has been embarked upon and the Strategic Plan resembles such.

In terms of Human Resource Management, the institution is addressing the challenges of low staff morale that has resulted from, among other things, the inability to implement the Occupation Specific Dispensation for legally qualified Senior and Executive Managers. Our major internal stakeholder, the Labour Union has been engaged in discussion to address other issues that have contributed to low staff morale such as performance management and related policies as well as job evaluations.

Between November 2016 and January 2017, the institution has advertised up to 45 vacancies that must be filled urgently to help us deliver on our mandate. Key among these are positions of Chief Executive Officer, Chief Operating Officer, Executive Manager: Complaints and Stakeholder Management and Senior Manager: Legal Services, senior investigators, investigators and trainee investigators.

For these positions, interviews were conducted and offers have been made with a view of having the successful contenders start in March 2017. It can be reported that the newly appointed Chief Executive Officer commenced his duties on the 1st of March 2017. The Chief Operations Officer and other key positions will be filled in the first quarter of the new financial year.

Turning to stakeholder management, we began a four-month, nationwide stakeholder engagement roadshow in mid-February 2017. Aimed at interacting with a varied network of stakeholders, the roadshow is themed: Broadening Access – Taking the Public Protector to the Grassroots”. As part of the roadshow, we communicate the following eight pillar vision:

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Strategic Priorities for the next next seven years:• Broadening access by taking the services of this institution to the doorstep of

the communities located at the grassroots, in the margins of society;• Interacting with communities in their own languages for effective

communication;• Reaching people through the use of traditional leaders and councils;• Taking stock of all the Memoranda of Understanding between us and other key

stakeholders such as government departments;• Becoming a stronghold for the poor and the marginalized;• Empowering the people of South Africa to be able to enforce their rights

before approaching the Public Protector;• Encouraging organs of state to establish their own effective complaints

resolution units or sector-specific ombudsman institutions such as the Health, Tax and Military Ombudsman; and

• By the end of my 7-year term, the people of South Africa should have been empowered so that they can become Public Protectors themselves.

Expanding access to the services of the Public Protectors South Africa with a special focus on members of the public located in the margins of society, will be among the institution’s key priorities in the next seven years. More time will be dedicated to the grassroots to raise awareness about the potential of the Public Protector South Africa in sparking a positive change in the lives of the poor.

I will ensure that the need to provide justice is met and we serve as a refuge to members of the public, who often find themselves at the receiving end of poor service delivery.

The footprint of the Public Protector South Africa will expand into the deep rural areas to raise awareness about the services of the office by engaging people in their own languages so as to broaden access.

The Public Protector will make use community broadcasting (radio stations and televisions), and community print media, magistrate’s courts and government’s Thusong Service Centres, among other avenues, to enhance accessibility. The partnership with the Government Communications Information System is also of paramount importance.

Our vision is...An effective and trusted constitutional institution that remedies administrative injustices and promotes good governance in state affairs.

Our Mission is...We strengthen and support constitutional democracy by investigating, reporting on and remedying alleged or suspected improper conduct in state affairs.

Our Institutional Purpose Statement is...A catalyst for change in pursuit of good governance.

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Our principles are...AccountabilityIntegrityResponsivenessJusticeGood Governance

Our Strategic Risk Profile:The overarching strategic risks impacting on our Constitutional mandate are:1. Inability to fully implement the institution’s legislative mandate due to under

funding and lack of cooperation from Organs of State;2. Misalignment between the organisational structure and the strategic imperatives

of the institution;3. The lack of knowledge and inability of understanding the primary functions of the

Public Protector’s role, including the public and media result in a misunderstanding of the PPSA’s mandate and execution thereof;

4. Inability to continue to operate in a fast-changing environment due to scarcity of professional investigators in South Africa and limited means to retain and attract candidates of high calibre;

5. Slow responses by parties/agencies in implementing the Public Protectors remedial actions;

6. Probable competition posed by specialist investigating entities (Offices of the Ombudsman); and

7. Inability to meet the Chapter 14 target of the National Development Plan. 8. Misalignment of the public Protector Act 23 of 1994 and the Constitution.

With continued support from Parliament, stakeholders and society at large, the office will continue to render its services with vigour. More significantly is financial support from National Treasury.

I am pleased to present the 1st Strategic Plan review of the Public Protector South Africa since I assumed office on 15th October 2016.

Adv. Busisiwe MkhwebanePublic Protector of South Africa 24 March 2017

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Part A: Strategic Overview

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Part A: Strategic Overview1. Vision

An effective and trusted constitutional institution that remedies administrative injustices and promotes good governance in state affairs.

2. Mission

Strengthening and Supporting constitutional democracy by investigating, reporting on and remedying alleged or suspected improper conduct in state affairs.

3. Institutional Purpose Statement

A catalyst for change in pursuit of good governance.

4. Principles and Values

Anchored in the pursuit of proper conduct in state affairs and the Batho Pele principles, we seek to uphold and promote the principles of:

• Accountability• Integrity• Responsiveness• Justice• Good Governance

Furthermore our Institutional Value System is articulated by:

Ubuntu we respect the constitutionally protected dignity of all those we interact with as we deliver services and manage our affairs and serve professionally with humanity, empathy, compassion, understanding and respect for every person's human rights.

Impartiality we will make our decisions based on objective criteria, rather than on the basis of bias or prejudice.

Transparency we strive to be open in the manner in which we conduct our investigations and deal with our customers.

Efficiency and professionalism

we will deal with our customers and stakeholders with a high level of professionalism, skill, good judgement while ensuring speed and responsiveness in the delivery our services.

Redress we strive to place those that have been wronged as close as possible where they would have been had the state acted properly

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5. Legislative and other mandates

5.1 Constitutional mandate

The Public Protector as an independent institution established by section 181 of the Constitution with a mandate to support and strengthen constitutional democracy operating in a manner that is subject only to the Constitution and the law. The core mandate of the Public Protector is to support constitutional democracy operating as a supreme administrative oversight body by investigating and rooting out improper conduct in all state affairs while providing services that are universally accessible to all.

Section 182 of the Constitution provides that:

The Public Protector has the power, as regulated by national legislation

1) To investigate any conduct in state affairs, or in the public administration in any sphere of government, that is alleged or suspected to be improper or to result in any impropriety or prejudice;

2) To report on that conduct; and3) To take appropriate remedial action.

The Public Protector has the additional powers and functions prescribed by national legislation.

1) The Public Protector may not investigate court decisions.2) The Public Protector must be accessible to all persons and communities.3) Any report issued by the Public Protector must be open to the public unless

exceptional circumstances, to be determined in terms of national legislation, require that a report be kept confidential.

5.2 Legislative mandates

The Public Protector South Africa’s mandate is to strengthen constitutional democracy through the pursuit of the Constitution and the following key statutory mandate areas:

5.2.1 Maladministration and related improprietiesa) To implement the Public Protector Act 23 of 1994 through investigating

maladministration or improper or prejudicial conduct, including abuse of power and abuse of state resources in all state affairs;

b) To resolve administrative disputes or rectifying any act or omission in administrative conduct through mediation, conciliation or negotiation; and

c) To advise on appropriate remedies or employing any other expedient means.

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5.2.2 Executive Ethics EnforcementTo enforce the Executive Members’ Ethics Code as mandated by the Executive Members’ Ethics Act 82 of 1998.

5.2.3 Investigating CorruptionTo investigate allegations of corruption as mandated by Section 6(4) (a) (iv) of the Public Protector Act, read with the Prevention and Combating of Corrupt Activities Act 12 of 2004.

5.2.4 Protected DisclosuresTo receive and address protected disclosures from whistle blowers as mandated by the Protected Disclosures Act 26 of 2000.

5.2.5 Review of decisions of the National Home Builders Registration Council (NHBRC)To review decisions of the National Home Builders Registration Council as mandated by the Housing Protection Measures Act 95 of 1998.

In addition, the following laws either recognise the inherent investigative powers of the Public Protector or assign some administrative role to the office:

• Electoral Commission Act 51 of 1996 – The Public Protector must serve as a member of a panel that recommends a list of candidates to a National Assembly Committee that nominates Electoral Commissioners

• National Archives and Record Service Act 43 of 1996 – The Public Protector must be consulted on investigations into the unauthorised destruction of records otherwise protected under this Act

• National Energy Act 40 of 2004 – The protection (from civil or criminal liability, dismissal, disciplinary action, prejudice or harassment) of people who make disclosures of health and safety risks or failure to comply with a duty imposed by this Act to the Public Protector.

• Promotion of Equality and Prevention of Unfair Discrimination 4 of 2000 – recognises the Public Protector as an alternative forum to resolve equality disputes.

Promotion of Access to Information: Access to information disputes under the Promotion of Access to Information Act (PAIA) 2 of 2000 (Parliament is in the process of transferring this mandate to a specialised information regulator);

• Public Finance Management Act 1 of 1999 – The Public Protector must receive a certificate from an accounting officer of an organ of state that has received donations or sponsorship from donors or sponsors who wish to remain anonymous, stating that the identity of the donor or sponsor has been revealed to them, that they have noted it and have no objection. This provision does not limit the Public Protector from supplying this information

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to his/her staff, and where she/he deems it in the public interest, to report on this.

• Lotteries Act 57 of 1997 – The Public Protector receives bona fide confidential disclosures in respect of publishing any information in connection with any grant application or the grant itself

• Special Investigating Units and Special Tribunals Act 74 of 1996 – Referral of cases between the Public Protector and the SIU.

• National Environmental Management Act 108 of 1999 – Records and annual reports on environmental conflict management referred to in the Act include proceedings by the Public Protector

5.3 Policy mandates

5.3.1 The National Development Plan, 2030 (NDP)

Chapter 14 of the NDP states that corruption undermines good governance, and that poor governance “can critically undermine national development”. The NDP reiterates that it is crucial in an effective and democratic state that political leaders and public officials account to the citizens for their actions.

According to the NDP the country needs an anti-corruption system that “makes public servants accountable, protects whistle-blowers and closely monitors procurement.”

The NDP singles out four areas in which policies should be implemented towards an accountable state:

a) Building a resilient anti-corruption systemb) Strengthen accountability and responsibility of public servantsc) Create a transparent, responsive and accountable public serviced) Strengthen judicial governance and the rule of law.

The NDP calls for South Africa’s “anti-corruption arsenal”, including the Public Protector and the Auditor-General “to have the resources, independence from political influence, powers to investigate corruption, and their investigations should be acted upon”. The NDP highlighted that a functioning anti-corruption system requires “sufficient staff and resources with specific knowledge and skills; special legislative powers; high level information sharing and co-ordination; and operational independence”. Independence entails insulating institutions from political pressure and interference. The NDP specifically states that - “… competent, skilled institutions like the Public Protector and Special

Investigating Unit need to be adequately funded and staffed and free from external interference.”

And further “Strengthening the anti-corruption system requires increasing the agencies’

specialist resources. More capacity should be created for corruption investigations – more funding is required to employ skilled personnel and sophisticated investigative techniques”.

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The following proposals of the NDP impact directly on the mandate areas of the Public Protector:

a) Strengthen the multi-agency anti-corruption systemb) Strengthen the protection of whistle-blowers c) Greater central oversight over the awarding of large tenders or tenders with

long durationd) Empower the tender compliance monitoring office to investigate corruption

and the value for money of tenders.

The Sustainable development Goals (Goal 16: Peace, Justice and Strong Institutions)Promoting peace and justice is one of 17 Global Goals that make up the 2030 Agenda for Sustainable Development. Peace, stability, human rights and effective governance based on the rule of law are regarded as important conduits for sustainable development.

Goal 16, contains several sub-priorities which are relevant to the role and mandate of the Public Protector, including reducing corruption; developing effective, accountable, and transparent institutions; ensuring inclusive, participatory, and representative decision-making; and ensuring access to information.

5.4 Relevant court rulings

a) The Public Protector v Mail & Guardian Ltd (422/10) [2011] ZASCA 108 (1 JUNE 2011)

The Supreme Court of Appeal highlighted that the Public Protector provides what will often be a last defence against bureaucratic oppression, and against corruption and malfeasance in public office that is capable of insidiously destroying the nation. The Court stated that if the Public Protector falters, or finds itself undermined, the nation loses an indispensable constitutional guarantee.

The Court laid down standards for what would constitute a proper investigation by the Public Protector, including the following:

i. An investigation calls for an open and enquiring mind that is open to all possibilities and reflects upon whether the truth has been told.

ii. A complaint or request must not be scrutinised as if it is a pleading which serves to define and circumscribe the issues and the Public Protector needs to extract the substance of the complaint or request;

iii. The Public Protector is not restricted to investigating what has been placed before him or her and may investigate on his or her own initiative or on information that comes to his or her knowledge, however that may occur;

iv. The Public Protector is not a passive adjudicator between citizens and the state, sitting back and waiting for proof where there are allegations of malfeasance and relying on evidence placed before him or her before acting;

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v. His or her mandate was an investigatory one, requiring pro-action in appropriate circumstances to actively discover the truth; and

vi. The Act confers upon the Public Protector sweeping powers to discover information from any person at all and there is no circumscription of the persons from whom and the bodies from which information may be sought in the course of an investigation.

b) SABC v DA (393/2015) [2015] ZASCA 156 (8 October 2015).

i. The Supreme Court of Appeal considered the Constitutional and legislative scheme regulating powers of Public Protector and the question whether findings of the Public Protector are binding and enforceable. The Court held that the office of the Public Protector, like all Chapter Nine institutions, is a venerable one.

ii. The Court further held that a mere power of recommendation of the kind suggested by the High Court “… is neither fitting nor effective, denudes the office of the Public Protector of any meaningful content, and defeats its purpose.”

iii. It was the finding of the Court that any affected person or institution aggrieved by a finding, decision or action taken by the Public Protector might, in appropriate circumstances, challenge that by way of a review application. Absent a review application, however, such person is not entitled to simply ignore the findings, decision or remedial action taken by the Public Protector. Moreover, an individual or body affected by any finding, decision or remedial action taken by the Public Protector is not entitled to embark on a parallel investigation process to that of the Public Protector, and adopt the position that the outcome of that parallel process trumps the findings, decision or remedial action taken by the Public Protector.

c) Economic Freedom Fighters v The Speaker of the National Assembly and Others and Democratic Alliance v the Speaker of the National Assembly and Others (CCT 143/15 and CCT 171/15)

The Constitutional Court’s unanimous judgment was delivered on 31 March 2016 confirming the SCA’s findings in the matter of the SABC v DA that the Public Protector’s remedial action is binding. On the basis of a purposive interpretation of the South African Constitution. Mogoeng CJ held that without the power to take binding remedial action, the Public Protector would be ineffectual:

“The Public Protector’s investigative powers are not supposed to bow down to anybody, not even at the door of the highest chambers of raw State power. It is unlikely that unpleasant findings and a biting remedial action would be readily welcomed by those investigated. If compliance with remedial action taken were optional, then very few culprits, if any at all, would allow it to have any effect. And if it were, by design, never to have a binding effect, then it is incomprehensible just how the Public

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Protector could ever be effective in what she does and be able to contribute to the strengthening of our constitutional democracy.”

As a result, the Court held that the Public Protector’s remedial action must be implemented unless it is set aside by a court:

“When remedial action is binding, compliance is not optional, whatever reservations the affected party might have about its fairness, appropriateness or lawfulness. For this reason, the remedial action taken against those under investigation cannot be ignored without any legal consequences. This is so, because our constitutional order hinges also on the rule of law. No decision grounded on the Constitution or law may be disregarded without recourse to a court of law… No binding and constitutionally or statutorily sourced decision may be disregarded willy-nilly. It has legal consequences and must be complied with or acted upon. To achieve the opposite outcome lawfully, an order of court would have to be obtained.”

Court further highlighted the Constitutional obligation on the National Assembly in terms of sections 42(3) and 55(2) of the Constitution read with section 8(2) (b) (iii) of the Public Protector Act, 1994 (and section 181(3) of the Constitution) to provide for an oversight mechanism “to facilitate compliance with the remedial action” of the Public Protector.

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6. Situational Analysis

6.1 Performance environment6.1.1 The following strengths, weaknesses, opportunities and threats have been

taken into account in the development of this strategic plan.

SWOT Description

Strengths • Teamwork and/or Committed Team• Professionalism and excellent report writing skills• Legal expertise and framework clarified by constitutional

court and high court • Accessibility• Administrative support (corporate support services)• Trusted institution

Weaknesses • Areas of development such as investigations training• Capacity (diverse skills such as forensic, actuarial,

engineering, etc. lacking)• Employee relations (PMDS, OSD, job evaluation, conditions

of service• Communication (internal, face to face, adequacy of

content, clear feedback, 2-way communication• Delays in finalising investigations• Compliance (with legislation/prescripts, accountability

and consequence management, understanding, malicious compliance and no value add, no SOPs, contract management)

• Information management systems (inadequate record management)

• Organisational design (decentralise SCM, HR, ICT, finance)• Non-adherence to reporting timelines (turnaround times,

lack of clearly defined and approved turnaround times)• Resource constraints (electronic CMS, proportionate

allocation of resources)• Report writing processes (prolonged)• Security• Low staff morale• Insufficient employee wellness programme• Information leaks

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Opportunities • Other ombudsman institutions• MOUs with other institutions such as Office of Institutions

Supporting Democracy (OISD)• Clarity of mandate by courts and public debate• Support by Portfolio Committee on Justice and Correctional

Services• Collaboration with state institutions for outreach events

(sharing costs)• Improving accessibility by taking advantage of existing

resources of government (e.g. MPCC/magistrate court offices) – security concerns raised

• Automating business processes to enhance remote access • Office of institutions supporting democracy (OISD) at

speakers office• Involvement in AOMA and AORC to influence ombudsman

institutions in Africa”

Threats • Unreasonable conduct of some complainants• Security (possible hostage situations)• Safety of staff in volatile areas • Abuse of PPSA for political objectives• Current economic conditions affecting PPSA budget

allocation• Electricity and water shedding• Poor turnaround times from support state agencies/

institutions (e.g. SITA, SSA, DPW)• Non-implementation of remedial action• Increased litigation• Lack of trust due to amongst others leakage of information

and delays in finalising some investigations

6.2 Organisational Environment

To achieve the objectives of the institution, key positions have been filled of the Chief Executive Officer, Chief Operations Officer, Senior Manager: Legal Services, Senior Manager: Strategic Support, senior investigators, investigators and trainee investigators. Turnaround times in filling positions has improved for all positions due to Standard Operating Procedures that were developed to eliminate areas that created inefficiencies within the institution.

As a result of budgetary constraints, the institution had to cut down on important projects including holding back on filling of other approved posts, reviewing the Occupational Special Dispensation (OSD), finding alternative means of being accessible other than opening regional offices and adopting a phased-in approach to implement the new Electronic Case Management System.

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The approved organisational structure of the Public Protector South Africa has never been fully funded, which hampers its ability to rigorously investigate and finalise cases on time. The situation is further exacerbated by the fact that the corporate support services, particularly human resources support services, have buckled under pressure as they were experimentally created at the time the Public Protector was an office within the Department of Justice and relied on that department for additional corporate support services. For example, there is only one person responsible for Human resources development, one for labour relations and another responsible for corporate and individual performance monitoring and management in a grossly under capacitated human resources unit. When compared with the corporate Structure of the Auditor General, a fellow Chapter 9 institution with an oversight mandate converting the entire state, the Public Protector’s approved organisational structure is grossly inadequate.

Limited office space also continues to be a challenge. This has resulted in a deterioration of working conditions with some employees being forced to share offices and some offices not meeting the basic requirements of the Occupational Health and Safety Act. Security in some offices has also become a major risk and several break-ins and muggings have been reported in Provincial and Regional Offices. This is matter of serious concern. Due to financial constraints, the Public Protector South Africa has not been able to relocate high risk Provincial Offices with required urgency. Over the medium term the Public Protector South Africa will explore the option of procuring its own offices due to lack of assistance from the Department of Public Works.

The expansion of services to comply with the constitutional injunction on universal access has also been severely affected by financial constraint leading to a strategic decision to increase mobile services in the coming years. We are exploring options for optimal physical access by approaching organs of state to utilise government buildings such as magistrates courts based on the conclusion of relevant Memoranda of Understanding (MOUs) with the Department of Justice and Constitutional Affairs and other relevant institutions like traditional councils.

ICT Environment

Efforts to exploit developments in Information and Communication Technology (ICT) to enhance service delivery continue though hampered by inadequate finances. The greatest negative impact of financial constraints remains the purchase of a new electronic case management system following the decision in 2012 to impair the old system that was no longer able to cope. A service provider has estimated the cost of procuring the new system at R50 million, which is about 17% of the institution’s budget and accordingly unaffordable. It must be noted that as a professional services institution, the Public Protector’s budget is principally tied up in human resources related expenses and accommodation.

The ICT challenge has been compounded by inadequate infrastructure whose capacity was tested to the limit during electricity load shedding in the past year leading to permanent loss of some of the data amid loss of productivity. A strategic decision has been made to incrementally purchase identified components of the ideal ICT

22


system, while approaching government for additional sources of funding. Priority is given to increasing system capacity for data management as well as a rudimentary case management system that at least captures case data though not fully tracking movement. Procurement of the system will take place in the first quarter of 2017/18.

Investigations and General Management Systems

Case management lapses and findings by the Auditor General, among others, opened the Public Protector Leadership team to the need for Standard Operating Protocols and check lists principally in operations such as registration and assessment of cases, investigations, supply chain management, acquisition of new offices, and travel management, which is a gap being addressed.

6.3 Description of the strategic planning process

This Public Protector South Africa’s Strategic Plan is a result of a strategic review process that involved bottom-up planning, by which all employees were given an opportunity to make inputs into the draft Strategic Plan and Annual Performance Plan. Following bottom-up planning of branches,provinces and units, the institutions strategic planning session took place on 28 – 29 November 2016 and a follow-up session was held on 13 February 2017. The starting point was to request all employees to give inputs on how the 2016-2021 Strategic Plan and 2016/17 Annual Performance Plan can be improved. The Public Protector also made inputs in terms of her vision for the office in the next seven years. Once comments were received from all branches,provinces and units, the executive and management considered all inputs to come up with amendments to both the Strategic Plan and the Annual Performance Plan.

23


6.3

Hig

h Le

vel O

rgan

isat

iona

l Str

uctu

re

OPE

RATI

ON

S M

AN

AG

EMEN

T

PRO

VIN

CIA

L IN

VEST

IGAT

ION

S &

INTE

GRA

TIO

N

QU

ALI

TY A

SSU

RAN

CE

9X P

ROVI

NCI

AL

OFF

ICES

: E/

C; W

/C;

GA

UTE

NG

; M

PUM

ALA

NG

A;

N/W

; LI

MPO

PO;

F/S;

N/C

AN

D K

ZN

FIN

AN

CIA

L M

AN

AG

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T

SUPP

LY C

HA

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AN

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T

FIN

AN

CIA

L A

CCO

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G

CORP

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ES (

Not

Fun

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STRA

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UPP

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SE

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PARL

IAM

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RY L

IAIS

ON

AN

D

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AL

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EXEC

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AU

THO

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: PU

BLIC

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OR

ACC

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OFF

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IEF

EXEC

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OF

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TIVE

SU

PPO

RT

DEP

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PU

BLIC

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OR

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SU

PPO

RT S

ERVI

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INTE

RNA

L A

UD

IT

COM

PLA

INTS

& S

TAKE

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M

AN

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T

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ATIV

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SE

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L M

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PL

AN

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GET

& P

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LL

HU

MA

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TEC

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ATIO

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M

AN

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MA

NA

GEM

ENT

RISK

AN

D C

OM

PLIA

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M

AN

AG

EMEN

TSER

VICE

S

24


6.4

Publ

ic P

rote

ctor

Sou

th A

fric

a St

rate

gy M

ap

Stra

tegi

c O

utco

mes

orie

nted

Goa

ls

Prog

ram

mes

Stra

tegi

c O

bjec

tive

sAd

here

nce

to d

efine

d tu

rnar

ound

ti

mes

Prog

ram

me

2:

Inve

stig

atio

ns

Prog

ram

me

1:

Adm

inis

trat

ion

Prog

ram

me

3:

Stak

ehol

der

Man

agem

ent

To d

eliv

er

prom

pt s

ervi

ces

to a

ll pe

rson

s an

d in

stit

utio

ns

Prom

ote

and

mai

ntai

n go

od

gove

rnan

ce

An e

ffec

tive

an

d effi

cien

t pe

ople

dri

ven

orga

nisa

tion

To p

lay

a le

adin

g ro

le in

str

engt

heni

ng

fello

w a

dmin

istr

ativ

e ov

ersi

ght

inst

itut

ions

To a

chie

ve a

cces

s to

ava

ilabl

e Pu

blic

Pr

otec

tor

Serv

ices

Impl

emen

tati

on

of r

emed

ial

acti

on a

nd

sett

lem

ent

agre

emen

ts

Capa

city

bu

ildin

g Tr

ansf

orm

In

form

atio

n Co

mm

unic

atio

ns

Tech

nolo

gy

to o

ptim

ally

su

ppor

t bu

sine

ss

need

s

Purc

hase

of

key

faci

litie

s/in

fras

truc

ture

Ope

rati

onal

Effi

cien

cies

Impr

ove

secu

rity

in a

ll offi

ces

Obt

ain

Clea

n Au

dit

Ease

of

acce

ss

to P

ublic

Pr

otec

tor

serv

ices

Prom

ote

a cu

ltur

e of

goo

d go

vern

ance

Stre

ngth

enin

g of

the

rol

e of

om

buds

man

in

stit

utio

ns

Visi

on:A

n eff

ecti

ve a

nd t

rust

ed

cons

titu

tion

al in

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utio

n th

at r

emed

ies

adm

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trat

ive

inju

stic

es a

nd p

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otes

go

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over

nanc

e in

sta

te a

ffai

rs

25


6.5 Link between the NDP and Strategic Outcome Orientated Goal

National Development Plan

PPSA Strategic Objectives

The capacity of corruption fighting agencies should be enhanced and public education should be part of the mandate of the anti-corruption agencies.1

Ease of access to Public Protector services

Strengthen measures to ensure the security of whistle-blowers.2

Adherence to defined investigations turnaround times

Implementation of remedial action and settlement agreements

(Footnotes)

1 Chapter 14 of the NDP Executive Summary Action 101.

2 Chapter 14 of the NDP Executive Summary Action 103.

26


7. Strategic Outcome Oriented Goals (SOOGs) and Strategic Objectives (SOs)

SOOG 1 To deliver prompt services to all persons and institutions we serve

Goal statement To deliver prompt services to all persons and institutions we serve within timeframes as defined in service standards

Strategic Risk/s Inability to implement the legislative mandateConsistent inability to finalise EMEA cases on timeIncreasing impatience regarding service failures marked by violent service protects compounded by rise of social justice movements offering quick solutionsWith increased popularity, the risk of side-lining other institutions and using the public protector as a first port of callUnder fundingInability to meet Action 101 and 103 of Chapter 14 of the NDP.Lack of responses from external entities.Increased number of complex matters.Fourth industrial revolution: There is an increased risk of Cyber-crime and use of technology to conceal maladministration and corruptionIncreased litigation (completed cases taken on review)

Contributing Factor/s High caseload per investigator.High employee turnover.Abuse of review process by organs of state.

Risk Mitigation Strict assessment by chief investigators and executive managers for new cases received.Assign special teams to deal with EMEA mattersMonitoring investigations relating to volatile areas and ensuring their expeditious conclusion while communities are kept abreast of developments Social media and stakeholder dialogue utilised to position the institution appropriatelyEnsure adherence to Investigation PlansEncourage skills transfer by delegating responsibilities to senior investigators Have MOUs with relevant organs of State with forensic capabilities and other capabilities to assist in investigations requiring specific expertise that PPSA does not have in-houseMore stringent review process

27


Strategic Objective

SO1 Adherence to defined investigations turnaround times

Objective Statement Adherence to defined turnaround times in investigations and ADR proceedings per service delivery standards

Baseline Some cases were not resolved within stipulated timeframes

Risk Description Non-adherence to service delivery standardsLack of a policy in intellectual property (on investigation)

Contributing Factors Inefficiencies in the whole process of investigations

Risk Mitigation Strict adherence to the application of service standardsContinuous monitoring and evaluation of cases under investigationFormulation of a policy on intellectual property

Strategic Initiatives Workshoping approved service standards and intellectual property policy throughput the institution

SO 2 Implementation of remedial action and settlement agreements

Objective statement 100% follow-up on remedial action and settlement agreement implementation

Baseline Follow-up on implementation of remedial action is at 61% and implementation of a policy to address non-implementation of remedial action

Risk description Non-implementation or delayed implementation of remedial action and settlement agreements

Contributing Factors Unavailability of resources to implement remedial action Resistance by organs of state to implement remedial actionRefusal by the complainant to accept remedial action

Risk Mitigation Intensify engagements with organs of state to implement remedial and settlement agreements. If constructive engagements fail, issuing of a subpoena will be considered, while the last resort to be considered is measures to implement contempt of the Public Protector in line per section 11 of the Public Protector Act

Strategic Initiatives Dialogues with organs of state on investigations challenges, including implementation of remedial action

28


SO 3 Promote a culture of good governance

Objective statementTo promote the culture of good governance in state affairs through dialogues and engagements with 10 institutions annually

Baseline Activities to promote good governance undertaken include Good Governance Week and conducting systemic investigations

Risk Limited or no cooperation from targeted institutions

Contributing Factors Lack of understanding by organs of state

Risk Mitigation Ensure that during engagements with organs of state, agreements are reached

Strategic Initiatives Arrange meetings with organs of state

SOOG 2 To achieve access to available Public Protector Services

Goal statement To achieve access to available Public Protector Services to persons and communities in need in 12 villages/townships per province per annum in local languages.

Strategic Risk Under funding

Office location

Contributing Factor/s Volume of cases with limited financial and technical resources.

Vast geographic areas in provinces, making reaching communities difficult

Risk Mitigation Negotiate with organs of state to utilise their existing buildings to house PPSA

SO 4 Ease of access to Public Protector services

Objective statement To ensure that Public Protector services are accessible to persons and communities, especially in rural areas in accor-dance with the approved outreach plan

Baseline More than 72 clinics were conducted per province

Risk The Public limited access to Public Protector offices due to location.

Budgetary constraints to expand the number of clinics

29


Contributing Factors Limited application of Universal Services and access to the office of the Public Protector

Limited access in terms of providing services for persons with disabilities

Limited access to information by the public on the role of the Public Protector

Limited financial and human resource capacity

Challenge in communicating to all complainants in all official languages

Risk Mitigation Increased the number of outreach clinics

Tailor make information to suit the needs of people with disabilities

Collaborate with other State institutions to make Public Protector services available in areas that are remote

Piggy back on existing communication platforms of government platforms (e.g. GCIS)

Formulate a business case for funding

Strategic Initiatives Implementation of the revised outreach plan

30


SOOG 3 An effective and efficient people driven organisation

Goal statement An effective and efficient organisation that consistently achieves at least 90% of its intended targets

Strategic Risk/s Misalignment between the organisational structure and strategic thrusts

Operational/institutional inefficiencies (human capital/infrastructure in terms of ICT, etc.)

High attrition rate

Electricity and water shedding

Contributing Factor/s Skills match

Non alignment between recruitment process and job requirements

Poor implementation of Performance Management & Development System (PMDS).

Risk Mitigation Redesign of the organisational structure

Staff attraction and retention through improved conditions of service

Team building initiatives.

Monitoring and evaluation of the implementation of PMDS.

Generators and alternative water sources will be explored

SO: 5 Capacity building for employees

Objective statement Capacitate all employees in line with the training plan annually

Baseline Employees are trained in accordance with the approved training plan

Risk Capacitation of employees happening not in accordance with the approved training plan

Contributing Factors Non-submission of training plans by certain employees

Risk Mitigation Training that is outside the training plan will only be approved in exceptional circumstances by the CEO

Strategic Initiatives Train 150 employees annually in accordance with the training plan

31


SO: 6Transform Information Communications Technology to optimally support business needs

Objective statement To improve identified Information Communications Technology infrastructure and capacity

Baseline Information Communications Technology infrastructure is not fully capacitated to support institution’s needs

Risk

Limited ICT capacity to service all PPSA needs

Security and other threats to loss of data and records

Contributing FactorsInadequate ICT infrastructure in some offices

Risk Mitigation Upgrading of infrastructure to support IT systems

Enhancing existing ICT competencies on ICT governance

Strategic Initiatives Implementation of King IV code

Implementation of ISO/IEC 38500 standard

Implementation of COBIT

Implementation of the Case Management System (CMS)

A business continuity plan is will be finalised to ensure plans are put in place to ensure that in an event that any of the Public Protector offices is destroyed, documents will be available and work of the office will continue

SO 7 Purchase of key facilities/infrastructure

Objective statement To review the current approach in respect of procurementof facilities/infrastructure

Baseline Most facilities/equipment is outsourced

Risk Excessive rental payments on leasing

Contributing Factors Return on investment on facilities the institution is leasing

Risk Mitigation Seek National Treasury approval to own facilities/infrastructure

Strategic Initiatives Convert rentals to outright purchases of facilities/infrastructure

32


SO 8 Operational Efficiencies

Objective statement Improve optimal use business processes

Baseline Standard Operating procedures are in place and being implemented

Risk Non-existence of conditions of service,

Outdated communication strategy

Nonexistence Records, knowledge and information management strategy

Contributing Factors Lack of human capital in certain units

Using an outdated communication strategy

Lack of personnel in Knowledge and records management and the position is unfunded

Risk Mitigation Capacitation of certain units

Implementation of the revised communication strategy

Strategic Initiatives Develop critical outstanding policies/strategies

Filling of vacant positions and seek additional funding from National Treasury

SO 9 Improve security in all offices

Objective statement Install identified security measures in all PPSA offices

Baseline None

Risk Injury to employees or clients

Non-compliance with Minimum Information Security Standards (MISS)

Contributing Factors Unreasonable conduct of some complainants (public)

Lack of existence of strategy on MISS

Risk Mitigation Install systems that will ensure employee and client safety

Formulation of a security services strategy

Strategic Initiatives Implement integrated security system

33


SOOG 4 Promote and maintain good governance

Goal statement Promote and maintain good governance and consistently achieving a clean audit every year.

Strategic Risk/s Lack of sustained clean audit opinion.

Heavy reliance on leasing facilities/infrastructure.

Contributing Factor/s Inadequate internal control environment.

Lack of ownership of facilities/infrastructure.

Risk Mitigation Develop and maintain updated compliance register/dashboard.

Review compliance register monthly.

Employment of Chief Procurement Officer in SCM unit.

Insourcing/purchase of key facilities/infrastructure.

SO 10 Obtain Clean Audit

Objective statement Obtain a clean audit annually

Baseline Unqualified audit opinion with matters of emphasis

Risk Failure to obtain a clean audit

Contributing Factors Culture of non-compliance not effectively dealt with

Risk Mitigation Tighten implementation of controls

Constant monitoring of implementation of action plans to address internal and external audit findings

Strategic Initiatives Develop action plans and monitor implementation

34


SOOG 5 To play a leading role in strengthening fellow administrative oversight institutions

Goal statement To play a leading role in strengthening fellow administrative oversight institutions in the country and rest of Africa.

Strategic Risk/s Inconsistent investigation approach or methods.

Competition with specialised investigating entities.

Placing reliance on the outcomes of cases investigated.

Sustainability of funding to AORC

Contributing Factor/s Each ombudsman institution operating under different set of laws, policies and procedures.

Risk Mitigation Enforce Memorandum of Agreements and/or Service Level Agreements

Reposition the Public Protector as the supreme administrative scrutiny body and in this regard, an administrative oversight body of last resort.

Request National Treasury to begin to gradually add capital funding for AORC in the event of the African Renaissance Funding drying up.

SO 11 Strengthening of the role of ombudsman institutions

Objective statement Strengthening of the role of ombudsman institutions in SA and Africa through bilateral engagements, AOMA and AORC activities

Baseline PPSA is a member of AOMA and supports AORC in activities that support other ombudsman institutions in Africa

Risk Limited or no cooperation from ombudsman institutions

Contributing Factors Limited financial resources

Risk Mitigation Offer support that is requested and agreed on

Strategic Initiatives Support AORC operations for assist ombudsman institutions in Africa

Make a contribution at AOMA meetings

35


Part B: Strategic Objectives

36


7.1 Programme 1: Administration

Strategic Outcome Oriented Goal 3: An effective and efficient people driven organisation





High attrition rate










SO: 5 Capacity building of employees





37




SO: 6 Transform Information Communications Technology to optimally support business needs



Risk Limited ICT capacity to service all PPSA needs


Contributing Factors Inadequate ICT infrastructure in some offices








SO: 7 Purchase of key facilities/infrastructure







38


SO: 8 Operational Efficiencies



Risk

Non-existence of conditions of service,



Contributing Factors

Lack of human capital in certain units







SO: 9 Improve security in all offices


Baseline None

Risk

Injury to employees or clients


Contributing FactorsUnreasonable conduct of some complainants (public)





39


SOOG: 4 Promote and maintain good governance


Strategic Risk/s 1. Lack of sustained clean audit opinion.

2. Heavy reliance on leasing facilities/infrastructure.



Risk Mitigation 1. Develop and maintain updated compliance register/dashboard.

2. Review compliance register monthly.

3. Employment of Chief Procurement Officer in SCM unit.

4. Insourcing/purchase of key facilities/infrastructure.

SO: 10 Obtain Clean Audit






Constant monitoring of implementation of action plans to address internal and external audit findings


40


Stra

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41


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dica

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rfor

man

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et20

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2019

/20

Targ

et20

17/1

8 Bu

dget

Obt

ain

clea

n au

dit

Obt

ain

a cl

ean

Audi

tN

/AN

/AO

btai

ned

unqu

alifi

ed

audi

t op

inio

n

Sust

ain

an u

nqua

lified

au

dit

opin

ion

wit

h no

mat

eria

l m

isst

atem

ents

Sust

ain

an

unqu

alifi

ed

audi

t op

inio

n w

ith

no m

ater

ial

mis

stat

emen

ts

Achi

eve

and

sust

ain

a cl

ean

audi

t op

inio

nan

nual

ly

R500

000

Crea

tion

of

an

inte

rnal

aud

it

unit

N/A

N/A

N/A

N/A

Adve

rtis

e an

d ap

poin

t in

tern

al

audi

t un

it s

taff

Crea

te a

n in

tern

al

audi

t un

it b

y 1

Apri

l 201

9

R0

Impr

ove

secu

rity

in

all

office

s%

of

impl

emen

tati

on

of In

tegr

ated

Se

curi

ty S

yste

m

N/A

N/A

Thre

at a

nd

Risk

Ana

lysi

s w

as n

ot

cond

ucte

d

Cond

uct

Thre

at a

nd

Risk

Ana

lysi

s (T

RA)

in

all o

ffice

s by

31

Dec

embe

r 20

17

Impl

emen

tati

on

of t

he T

RA

reco

mm

enda

tion

s by

31

Mar

ch 2

018

100%

tes

ting

and

im

plem

enta

tion

of

the

secu

rity

sys

tem

100%

im

plem

enta

tion

of

Inte

grat

ed S

ecur

ity

Syst

em

R437

200

Purc

hase

of

key

faci

litie

s/

infr

astr

uctu

re

Ow

n in

fras

truc

ture

as

sets

, ve

hicl

es,

prin

ting

and

pr

oduc

tion

fa

cilit

ies

N/A

N/A

Feas

ibili

ty

stud

y on

in

sour

cing

of

key

faci

litie

s/

infr

astr

uctu

re

was

co

mpl

eted

Deve

lop

a P

roje

ct

Plan

to

impl

emen

t th

e re

com

men

dati

ons

of t

he f

easi

bilit

y st

udy

(for

in-s

ourc

ing

of in

fras

truc

ture

)

Impl

emen

t ph

ase

1 of

the

app

rove

d Pr

ojec

t Pl

an o

f th

e in

fras

truc

ture

fe

asib

ility

stu

dy

(for

in-s

ourc

ing

of

infr

astr

uctu

re)

Impl

emen

t ph

ase

2 of

the

app

rove

d Pr

ojec

t Pl

an o

f th

e in

fras

truc

ture

fe

asib

ility

stu

dy

(for

in-s

ourc

ing

of

infr

astr

uctu

re)

R500

000

Reso

urce

con

side

rati

ons

The

exis

ting

com

pens

atio

n bu

dget

of

R236

mill

ion

for

the

2017

/18

Fina

ncia

l Ye

ar (

FY),

whi

ch i

s ch

arac

teri

sed

by i

ncre

ased

ca

paci

ty f

or k

ey p

osit

ions

whi

ch w

ill b

e fil

led

in 2

017/

18 w

ill a

ssis

t w

ith

impr

ovin

g in

stit

utio

nal p

erfo

rman

ce a

nd im

plem

enti

ng

man

agem

ent

acti

on p

lans

to

addr

ess

audi

t fin

ding

. A

n ad

diti

onal

allo

cati

on o

f R2

1 m

illio

n to

incr

ease

cap

acit

y of

the

Offi

ce o

f th

e Pu

blic

Pro

tect

or w

as m

ade

avai

labl

e by

Nat

iona

l Tre

asur

y fo

r th

e 20

17/1

8 FY

.The

tra

inin

g bu

dget

is a

lloca

ted

at 1

% of

the

co

mpe

nsat

ion

budg

et in

line

wit

h th

e pr

ovis

ions

of t

he D

epar

tmen

t of

Lab

our.

Perf

orm

ance

bon

uses

and

not

ch p

rogr

essi

ons

have

be

en b

udge

ted

at 1

.5%

and

2% o

f th

e co

mpe

nsat

ion

budg

et r

espe

ctiv

ely

for

the

2017

/18

(FY)

.

42


7.2 Programme 2: Investigations

Strategic Goal 1: To deliver prompt services to all persons and institutions we serve

SOOG 1 To deliver prompt services to all persons and institutions we serve


Strategic Risk/s Inability to implement the legislative mandate

Consistent inability to finalise EMEA cases on time

Increasing impatience regarding service failures marked by violent service protects compounded by rise of social justice movements offering quick solutions

With increased popularity, the risk of side-lining other institutions and using the public protector as a first port of call

Under funding

Inability to meet Action 101 and 103 of Chapter 14 of the NDP.

Lack of responses from external entities.

Increased number of complex matters.

Fourth industrial revolution: There is an increased risk of Cyber-crime and use of technology to conceal maladministration and corruption

Increased litigation (completed cases taken on review)

Contributing Factor/s High caseload per investigator.

High employee turnover.

Abuse of review process by organs of state

43


Risk Mitigation Strict assessment by chief investigators and executive managers for new cases received.

Assign special teams to deal with EMEA matters

Monitoring investigations relating to volatile areas and ensuring their expeditious conclusion while communities are kept abreast of developments

Social media and stakeholder dialogue utilised to position the institution appropriately

Ensure adherence to Investigation Plans

Encourage skills transfer by delegating responsibilities to senior investigators

Have MOUs with relevant organs of State with forensic capabilities and other capabilities to assist in investigations requiring specific expertise that PPSA does not have in-house

More stringent review process

Strategic Objective

SO1 Adherence to defined investigations turnaround times

Objective Statement Adherence to defined turnaround times in investigations and ADR proceedings per service delivery standards

Baseline Some cases were not resolved within stipulated timeframes

Risk Description Non-adherence to service delivery standardsLack of a policy in intellectual property (on investigation)


Risk Mitigation Strict adherence to the application of service standardsContinuous monitoring and evaluation of cases under investigationFormulation of a policy on intellectual property

Strategic Initiatives Workshoping approved service standards and intellectual property policy throughput the institution

44






Contributing Factors Unavailability of resources to implement remedial action

Resistance by organs of state to implement remedial action

Refusal by the complainant to accept remedial action




Objective statement To promote the culture of good governance in state affairs through dialogues and engagements with 10 institutions annually






45


Aud

ited

Per

form

ance

Esti

mat

ed

Perf

orm

ance

20

16/1

7

Med

ium

tar

gets

Stra

tegi

c O

bjec

tive

Perf

orm

ance

In

dica

tor

2014

/15

Aud

ited

Pe

rfor

man

ce

2015

/16

Aud

ited

Pe

rfor

man

ce

2017

/18

Targ

et20

18/1

9 Ta

rget

2019

/20

Targ

et20

17/1

8 Bu

dget

Adhe

renc

e to

defi

ned

inve

stig

atio

ns

turn

arou

nd

tim

es

Perc

enta

ge

of c

ases

in

vest

igat

ed

and

final

ised

in

acco

rdan

ce w

ith

appr

oved

ser

vice

st

anda

rds

N/A

N/A

N/A

100%

of

new

cas

es

rece

ived

fro

m

1 Ap

ril 2

017

inve

stig

ated

an

d fin

alis

ed

in a

ccor

danc

e to

app

rove

d se

rvic

e st

anda

rds

100%

of

case

s in

vest

igat

ed

and

final

ised

in

acco

rdan

ce w

ith

appr

oved

ser

vice

st

anda

rds

100%

of

case

s in

vest

igat

ed

and

final

ised

in

acco

rdan

ce w

ith

appr

oved

ser

vice

st

anda

rds

R0

Perc

enta

ge

of d

eclin

e in

tu

rnar

ound

tim

es

for

inve

stig

atio

ns

N/A

N/A

Ther

e w

as le

ss

than

10%

dec

line

in t

urna

roun

d ti

mes

for

in

vest

igat

ions

10%

decl

ine

in t

urna

roun

d ti

mes

for

in

vest

igat

ions

re

ceiv

ed a

nd

final

ised

in

2017

/18

FY

10%

decl

ine

in t

urna

roun

d ti

mes

for

in

vest

igat

ions

re

ceiv

ed a

nd

final

ised

in

2018

/19

FY

10%

decl

ine

in

turn

arou

nd t

imes

fo

r in

vest

igat

ions

re

ceiv

ed a

nd

final

ised

in

2019

/20

FY

R0

Inve

stig

atio

n an

d fin

alis

atio

n of

sy

stem

ic

inve

stig

atio

ns/

inte

rven

tion

s

N/A

N/A

7 sy

stem

ic

inve

stig

atio

ns/

inte

rven

tion

s w

ere

final

ised

Cond

uct

and

final

ise

all e

xist

ing

syst

emic

inve

stig

atio

ns/

inte

rven

tion

sas

at

1 Ap

ril

2017

by

31 M

arch

201

8

Iden

tify

and

in

vest

igat

e2

syst

emic

in

vest

igat

ions

/in

terv

enti

ons

by

31 M

arch

201

9

Fina

lise

2 sy

stem

ic

inve

stig

atio

ns/

inte

rven

tion

s id

enti

fied

in20

17/1

8 by

31

Mar

ch 2

020

R4 0

00

000

Prom

ote

a cu

ltur

e of

goo

d go

vern

ance

Num

ber

of

dial

ogue

s he

ld

wit

h or

gans

of

Stat

e on

sys

tem

ic

chal

leng

es

N/A

N/A

10 c

onsu

ltat

ions

/ co

nver

sati

ons

wer

e he

ld w

ith

FOSA

D, S

ALG

A an

d CO

GTA

, AG

, Tr

easu

ry a

nd

the

exec

utiv

e on

sys

tem

ic

chal

leng

es h

eld

by

31 M

arch

201

7

10 d

ialo

gues

he

ld w

ith

orga

ns o

f St

ate

on s

yste

mic

ch

alle

nges

by

31 M

arch

201

8

10 d

ialo

gues

he

ld w

ith

orga

ns o

f St

ate

on s

yste

mic

ch

alle

nges

by

31 M

arch

201

9

10 d

ialo

gues

hel

d w

ith

orga

ns o

f St

ate

on s

yste

mic

ch

alle

nges

by

31 M

arch

202

0

R100

000

46


Aud

ited

Per

form

ance

Esti

mat

ed

Perf

orm

ance

20

16/1

7

Med

ium

tar

gets

Stra

tegi

c O

bjec

tive

Perf

orm

ance

In

dica

tor

2014

/15

Aud

ited

Pe

rfor

man

ce

2015

/16

Aud

ited

Pe

rfor

man

ce

2017

/18

Targ

et20

18/1

9 Ta

rget

2019

/20

Targ

et20

17/1

8 Bu

dget

Impl

emen

tati

on

of r

emed

ial

acti

on a

nd

sett

lem

ent

agre

emen

ts

Perc

enta

ge o

f fo

llow

-up

on

rem

edia

l act

ion

mat

ters

and

im

plem

enta

tion

of

a p

olic

y to

de

al w

ith

non-

impl

emen

tati

on

of r

emed

ial

acti

on

N/A

N/A

100%

of

rem

edia

l ac

tion

mat

ters

w

ere

follo

wed

up

100%

fol

low

up

of

rem

edia

l ac

tion

mat

ters

by

31

Mar

ch

2018

. 1

00%

deve

lopm

ent

and

impl

emen

tati

on

of a

pol

icy

to

deal

wit

h no

n-im

plem

enta

tion

of

rem

edia

l ac

tion

by

31

Mar

ch 2

018

100%

fol

low

up

of

rem

edia

l ac

tion

mat

ters

by

31

Mar

ch

2019

. 1

00%

deve

lopm

ent

and

impl

emen

tati

on

of a

pol

icy

to

deal

wit

h no

n-im

plem

enta

tion

of

rem

edia

l ac

tion

by

31

Mar

ch 2

019

100%

fol

low

up

of

rem

edia

l act

ion

mat

ters

by

31

Mar

ch 2

020

. 10

0%

deve

lopm

ent

and

impl

emen

tati

on

of a

pol

icy

to

deal

wit

h no

n-im

plem

enta

tion

of

rem

edia

l act

ion

by 3

1 M

arch

202

0

R0

Reso

urce

con

side

rati

ons

A to

tal

of R

174

mill

ion

has

been

allo

cate

d to

inv

esti

gati

ons

bran

ches

fro

m t

he t

otal

bud

get

of R

301

mill

ion

in t

he 2

017/

18

finan

cial

yea

r to

dea

l wit

h se

rvic

e de

liver

y in

inve

stig

atio

ns a

nd A

DR c

ases

. Th

is r

epre

sent

s 58

% of

the

ent

ire

Publ

ic P

rote

ctor

bu

dget

for

the

201

7/18

fina

ncia

l yea

r an

d gr

ows

to R

184

mill

ion

and

R194

mill

ion

for

the

2018

/19

and

2019

/20

finan

cial

yea

rs

resp

ecti

vely

.

The

litig

atio

n bu

dget

of

R5 m

illio

n al

loca

ted

for

each

fina

ncia

l yea

r al

so a

ssis

ts in

cas

es w

hich

the

PPS

A is

tak

en o

n re

view

by

part

ies

whi

ch d

o no

t ag

ree

wit

h th

e PP

SA r

emed

ial a

ctio

ns in

a c

ourt

pro

cess

.

47


7.3 Programme 3: Stakeholder Management

Strategic Outcome Oriented Goal 2: To achieve access to available Public Protector Services.

SOOG 2 To achieve access to available Public Protector services



Office location

Contributing Factor/s

Volume of cases with limited financial and technical resources.




Objective statement To ensure that Public Protector services are accessible to persons and communities, especially in rural areas in accordance with the approved outreach plan









48








SOOG 5 To play a leading role in strengthening fellow administrative oversight institutions


Strategic Risk/s Inconsistent investigation approach or methods.

Competition with specialised investigating entities.

Placing reliance on the outcomes of cases investigated.

Sustainability of funding to AORC


Each ombudsman institution operating under different set of laws, policies and procedures.


Reposition the Public Protector as the supreme administrative scrutiny body and in this regard, an administrative oversight body of last resort.

Request National Treasury to begin to gradually add capital funding for AORC in the event of the African Renaissance Funding drying up.

49










50


Aud

ited

Per

form

ance

Esti

mat

ed

Perf

orm

ance

20

16/1

7

Med

ium

tar

gets

Stra

tegi

c O

bjec

tive

Perf

orm

ance

In

dica

tor

2014

/15

Aud

ited

Pe

rfor

man

ce

2015

/16

Aud

ited

Pe

rfor

man

ce

2017

/18

Targ

et20

18/1

9 Ta

rget

2019

/20

Targ

et20

17/1

8 Bu

dget

Ease

of

acce

ss

to P

ublic

Pr

otec

tor

serv

ices

Num

ber

of

outr

each

cl

inic

s co

nduc

ted

acro

ss t

he

coun

try

N/A

N/A

72 c

linic

s w

ere

cond

ucte

d pe

r pr

ovin

ce

84 c

linic

spe

r pr

ovin

ceby

31

Mar

ch

2018

84 c

linic

spe

r pr

ovin

ceby

31

Mar

ch 2

019

84 c

linic

spe

r pr

ovin

ceby

31

Mar

ch

2020

R3 0

84 4

80

Stre

ngth

enin

g of

the

rol

e of

om

buds

man

in

stit

utio

ns

Num

ber

of

bila

tera

l ag

reem

ents

en

tere

d in

to

annu

ally

N/A

N/A

N/A

Ente

r in

to

1 bi

late

ral

agre

emen

t w

ith

an o

mbu

dsm

an

inst

itut

ion

by

31 M

arch

201

8

Ente

r in

to

1 bi

late

ral

agre

emen

t w

ith

an o

mbu

dsm

an

inst

itut

ion

by

31 M

arch

201

9

Ente

r in

to

1 bi

late

ral

agre

emen

t w

ith

an o

mbu

dsm

an

inst

itut

ion

by

31 M

arch

202

0

R10

000

Reso

urce

con

side

rati

ons

A to

tal b

udge

t of

R14

mill

ion

has

been

allo

cate

d to

the

sta

keho

lder

man

agem

ent

bran

ch w

hich

is c

harg

ed w

ith

the

resp

onsi

bilit

y of

ens

urin

g ac

cess

to

the

Publ

ic P

rote

ctor

ser

vice

s by

all

pers

ons

and

com

mun

itie

s. T

his

repr

esen

ts 5

% of

the

ent

ire

Publ

ic

Prot

ecto

r bu

dget

for

the

201

7/18

fina

ncia

l yea

r an

d gr

ows

to R

15 m

illio

n an

d R1

6 m

illio

n in

201

8/19

and

201

9/20

fina

ncia

l yea

rs

resp

ecti

vely

.

The

good

gov

erna

nce

and

nati

onal

sta

keho

lder

pro

gram

mes

hav

e be

en b

udge

ted

for

at R

3 m

illio

n in

the

201

7/18

fina

ncia

l yea

r. Th

is b

udge

t is

allo

cate

d to

the

Sta

keho

lder

man

agem

ent

bran

ch a

nd t

he p

rovi

nces

.

The

PPSA

thr

ough

AO

RC p

lays

a m

eani

ngfu

l ro

le i

n st

reng

then

ing

fello

w a

dmin

istr

ativ

e ov

ersi

ght

func

tion

s an

d sy

nerg

ies

betw

een

them

in S

outh

Afr

ica

and

Afri

ca.

The

Publ

ic P

rote

ctor

is t

he C

hair

pers

on o

f th

e AO

RC b

oard

and

the

PPS

A m

onit

ors

the

func

tion

s of

AO

RC t

hrou

gh it

s ov

ersi

ght

com

mit

tee.

51


7.4

EXPE

ND

ITU

RE E

STIM

ATES

20

13/1

420

14/1

520

15/1

620

16/1

720

17/1

820

18/1

920

19/2

0

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ited

O

utco

me

Aud

ited

O

utco

me

Aud

ited

O

utco

me

Adj

uste

d bu

dget

Budg

et

esti

mat

eBu

dget

es

tim

ate

Budg

et

esti

mat

ePr

ogra

mm

e bu

dget

R 0

00R

000

R 00

0R

000

R 0

00 R

000

R 0

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min

istr

atio

n 7

8 34

4 7

0 44

0 8

0 06

2 9

9 57

0 1

13 9

21

120

298

1

27 0

35

Com

pens

atio

n of

em

ploy

ees

35

909

31

307

31

962

50

142

61

839

65

434

69

098

CEO

offi

ce 3

163

2

758

2

815

4

417

5

447

5

764

6

086

CE

O s

uppo

rt

1 6

84

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69

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54

Public Protector South Africa | Annual Performance Plan 2017-2018 Financial Year

The Public Protector South Africa (PPSA)

Annual Performance Plan

For The Fiscal Year2017-2018

Public Protector Vision 2023

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The Annual Performance Plan (APP) as an implementation tool for the Strategic Plan is anchored in the priorities determined in the Strategic Plan. The implementation will be done through three programmes, namely; Administration, Investigations and Stakeholder Management.

The APP is a policy document of the institution and will be used as a guide to deliver on our mandate to strengthen constitutional democracy through Maladministration Investigations and Dispute Resolutions, Executive Ethics Enforcement, Corruption Investigations, Protected Disclosures, Review of decisions of the National Home Builders Registration Council (NHBRC) and other related mandates.

This Plan also serves as a monitoring and evaluation tool to gauge the performance of the institution.

Consultation with and inputs from all the three programme actors and taking into account some external factors have resulted in the formulation of such a plan. It is a plan that is risk-based and reviewed every year.

The frequency of assessing progress in terms of the agreed non-financial and financial performance will be carried out monthly and quarterly.

The Annual Report would be derived from the consolidation of all the monthly and quarterly reports.

Under Administration, achievement of a clean audit is paramount as systems are put in place to ensure the realisation of this specific target. Employees as the most valuable asset in the institution will be catered for to ensure a well-run organisation. The Information, Communications and Technology (ICT) systems will be put in place to assist us in being an efficient and effective organisation, while security-related matters will also be addressed. Insourcing of key infrastructure will go a long way in assisting the institution to save costs.

Foreword By The Public ProtectorAdv. Busisiwe Mkhwebane

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In Investigations, the institution’s approved service standards will be implemented to ensure that complainants are not frustrated by delayed responses to matters and to guard against cases superannuating. The main focus when following-up on the implementation of remedial action was on published reports, which will now be shifted to all matters that require remedial action, including signed settlement agreements. All systemic investigations and interventions will be concluded to allow organs of state to work towards improving identified problematic areas that affect service delivery.

Stakeholder Management focuses on the implementation of outreach clinics, outreach campaigns, dialogues with organs of State to deal with systemic challenges, communicating with stakeholders and playing a role in ensuring that strategy of the African Ombudsman Research Centre (AORC) is implemented.

Adv. Busisiwe MkhwebanePublic Protector of South Africa 24 March 2017

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Official sign-offIt is hereby certified that this Annual Performance Plan of the Public Protector South Africa for the Financial Year (FY) 2017/18:• Was developed by employees and management of the Public Protector under the

guidance of Advocate Busisiwe Mkhwebane;• Took into account all relevant policies, legislation and other mandates for which

the Public Protector is responsible for;• Was prepared in line with the current Strategic Plan of Public Protector; and• Accurately reflects the performance targets which Public Protector will

endeavour to achieve given the resources made available in the budget for 2017/18.

Ms Machebane R MothibaSenior Manager: Strategic Support

Signature: Date: 24 March 2017

Mr Kennedy KaposaChief Financial Officer


Mr Themba TC DlaminiAccounting Officer


Approved by:

Adv. Busisiwe Mkhwebane Public Protector


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Part A: Strategic overview

Foreword by the Public Protector 55Part A: Strategic Overview 601. Situational Analysis 60

1.1 Vision 601.2 Mission 601.3 Institutional Purpose Statement 601.4 Principles and Values 602.1 Performance Delivery Environment 61

2.1.1 Constitutional mandate 612.1.2 Legislative mandates 61

2.2 Organisational Delivery Environment 632.3 Revision of the legislative environment 662.4 Overview of the 207/18 Budget and MTEF Estimates 122.5.Updated Situational Analysis 12

3. Part B: Progamme and sub-programme plans 743.1 Programme 1: Administration 743.2 Programme 2: Investigations 833.3 Programme 3: Stakeholder Management 89

4. Technical Indicator Descriptions 93

Table of Contents

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Part A: Strategic Overview

60


Part A: Strategic overview1. Situational Analysis

1.1 Vision

An effective and trusted constitutional institution that remedies administrative injustices and promotes good governance in state affairs. 1.2 Mission

We strengthen and support constitutional democracy by investigating, reporting on and remedying alleged or suspected improper conduct in state affairs.

1.3 Institutional Purpose Statement

A catalyst for change in pursuit of good governance.

1.4 Principles and Values

Anchored in the pursuit of proper conduct in state affairs and the Batho Pele principles, we seek to uphold and promote the principles of:

AccountabilityIntegrityResponsivenessJusticeGood Governance

Furthermore our Institutional Value System is articulated by:

Ubuntu we respect the constitutionally protected dignity of all those we interact with as we deliver services and manage our affairs and serve professionally with humanity, empathy, compassion, understanding and respect for every person’s human rights.

Impartiality we will make our decisions based on objective criteria, rather than on the basis of bias or prejudice.

Transparency we strive to be open in the manner in which we conduct our investigations and deal with our customers.

Efficiency and professionalism

we will deal with our customers and stakeholders with a high level of professionalism, skill, good judgement while ensuring speed and responsiveness in the delivery our services.

Redress we strive to place those who have been wronged as close as possible to where they would have been, had the state acted properly

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2.1 Performance Delivery Environment

2.1.1 Constitutional mandate

The Public Protector as an independent institution established by section 181 of the Constitution with a mandate to support and strengthen constitutional democracy operating in a manner that is subject only to the Constitution and the law. The core mandate of the Public Protector is to support constitutional democracy operating as a supreme administrative oversight body by investigating and rooting out improper conduct in all state affairs while providing services that are universally accessible to all.

Section 182 of the Constitution provides that:

The Public Protector has the power, as regulated by national legislation

1) To investigate any conduct in state affairs, or in the public administration in any sphere of government, that is alleged or suspected to be improper or to result in any impropriety or prejudice;

2) To report on that conduct; and3) To take appropriate remedial action.

The Public Protector has the additional powers and functions prescribed by national legislation.

1) The Public Protector may not investigate court decisions.2) The Public Protector must be accessible to all persons and communities.3) Any report issued by the Public Protector must be open to the public unless

exceptional circumstances, to be determined in terms of national legislation, require that a report be kept confidential.

2.1.2 Legislative mandates

The Public Protector South Africa’s mandate is to strengthen constitutional democracy through the pursuit of the Constitution and the following key statutory mandate areas:

• Maladministration and related improprietiesa) To implement the Public Protector Act 23 of 1994 through investigating

maladministration or improper or prejudicial conduct, including abuse of power and abuse of state resources in all state affairs;

b) To resolve administrative disputes or rectifying any act or omission in administrative conduct through mediation, conciliation or negotiation; and

c) To advise on appropriate remedies or employing any other expedient means.

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• Executive Ethics EnforcementTo enforce the Executive Members’ Ethics Code as mandated by the Executive Members’ Ethics Act 82 of 1998.

• Investigating CorruptionTo investigate allegations of corruption as mandated by Section 6(4) (a) (iv) of the Public Protector Act, read with the Prevention and Combating of Corrupt Activities Act 12 of 2004.

• Protected DisclosuresTo receive and address protected disclosures from whistle blowers as mandated by the Protected Disclosures Act 26 of 2000.

• Review of decisions of the National Home Builders Registration Council (NHBRC)To review decisions of the National Home Builders Registration Council as mandated by the Housing Protection Measures Act 95 of 1998.

In addition, the following laws either recognise the inherent investigative powers of the Public Protector or assign some administrative role to the office:

• Electoral Commission Act 51 of 1996 – The Public Protector must serve as a member of a panel that recommends a list of candidates to a National Assembly Committee that nominates Electoral Commissioners

• National Archives and Record Service Act 43 of 1996 – The Public Protector must be consulted on investigations into the unauthorised destruction of records otherwise protected under this Act

• National Energy Act 40 of 2004 – The protection (from civil or criminal liability, dismissal, disciplinary action, prejudice or harassment) of people who make disclosures of health and safety risks or failure to comply with a duty imposed by this Act to the Public Protector.

• Promotion of Equality and Prevention of Unfair Discrimination 4 of 2000 – recognises the Public Protector as an alternative forum to resolve equality disputes.

Promotion of Access to Information: Access to information disputes under the Promotion of Access to Information Act (PAIA) 2 of 2000 (Parliament is in the process of transferring this mandate to a specialised information regulator);

• Public Finance Management Act 1 of 1999 – The Public Protector must receive a certificate from an accounting officer of an organ of state that has received donations or sponsorship from donors or sponsors who wish to remain anonymous, stating that the identity of the donor or sponsor has been revealed to them, that they have noted it and have no objection. This provision does not limit the Public Protector from supplying this information

63


to his/her staff, and where she/he deems it in the public interest, to report on this.

• Lotteries Act 57 of 1997 – The Public Protector receives bona fide confidential disclosures in respect of publishing any information in connection with any grant application or the grant itself

• Special Investigating Units and Special Tribunals Act 74 of 1996 – Referral of cases between the Public Protector and the SIU.

• National Environmental Management Act 108 of 1999 – Records and annual reports on environmental conflict management referred to in the Act include proceedings by the Public Protector

2.2 Organisational Delivery Environment

To achieve the objectives of the institution, key positions have been filled of the Chief Executive Officer, Chief Operations Officer, Senior Manager: Legal Services, Senior Manager: Strategic Support, senior investigators, investigators and trainee investigators. Turnaround times in filling positions has improved for all positions due to Standard Operating Procedures that were developed to eliminate areas that created inefficiencies within the institution.

As a result of budgetary constraints, the institution had to cut down on important projects including holding back on filling other approved posts, reviewing the Occupational Special Dispensation (OSD), finding alternative means of being accessible other than opening regional offices and adopting a phased-in approach to implement the new electronic Case Management System.

The approved organisational structure of the Public Protector South Africa has never been fully funded, which hampers its ability to rigorously investigate and finalise cases on time. The situation is further exacerbated by the fact that the corporate support services, particularly human resources support services, have buckled under pressure as they were experimentally created at the time the Public Protector was an office within the Department of Justice and relied on that department for additional corporate support services. For example, there is only one person responsible for Human resources development, one for labour relations and another responsible for corporate and individual performance monitoring and management in a grossly under capacitated human resources unit. When compared with the corporate structure of the Auditor General, which is a fellow Chapter 9 institution with an oversight mandate converting the entire state, the Public Protector’s approved organisational structure is grossly inadequate.

Limited office space also continues to be a challenge. This has resulted in a deterioration of working conditions with some employees being forced to share offices and some offices not meeting the basic requirements of the Occupational Health and Safety Act. Security in some offices has also become a major risk and several break-ins and muggings have been reported in Provincial and Regional Offices. This is matter of serious concern. Due to financial constraints, the Public Protector South Africa has

64


not been able to relocate high risk Provincial Offices with required urgency. Over the medium term the Public Protector South Africa will explore the option of procuring its own offices.

The expansion of services to comply with the constitutional injunction on universal access has also been severely affected by financial constraint leading to a strategic decision to increase mobile services in the coming years. We are exploring options for optimal physical access by approaching organs of state to utilise government buildings such as magistrates courts based on the conclusion of relevant Memoranda of Understanding (MOUs) with the Department of Justice and Constitutional Affairs and other relevant institutions like traditional councils.

ICT Environment

Efforts to exploit developments in ICT to enhance service delivery continue though hampered by inadequate finances. The greatest negative impact of financial constraints remains the purchase of a new electronic case management system following the decision in 2012 to impair the old system that was no longer able to cope. A service provider has estimated the cost of procuring the new system at R50 million, which is about 20% of the institution’s budget and accordingly unaffordable. It must be noted that as a professional services institution, the public Protector’s budget is principally tied up in human resources related expenses and accommodation.

The ICT challenge has been compounded by inadequate infrastructure whose capacity was tested to the limit during electricity load shedding in the past year leading to permanent loss of some of the data amid loss of productivity. A strategic decision has been made to incrementally purchase identified components of the ideal ICT system, while approaching government for additional sources of funding. Priority is given to increasing system capacity for data management as well as a rudimentary case management system that at least captures case data though not fully tracking movement.

Investigations and General Management Systems

Case management lapses and findings by the Auditor-General, among others opened the Public Protector Leadership team to the need for Standard Operating Protocols and check lists principally in operations such as registration and assessment of cases, investigations, supply chain management, acquisition of new offices, and travel management, which is a gap being addressed.

Economic Freedom Fighters v The Speaker of the National Assembly and Others and Democratic Alliance v the Speaker of the National Assembly and Others (CCT 143/15 and CCT 171/15)

65


The Constitutional Court’s unanimous judgment was delivered on 31 March 2016 confirming the SCA’s findings in the matter of the SABC v DA that the Public Protector’s remedial action is binding. On the basis of a purposive interpretation of the South African Constitution Mogoeng CJ held that without the power to take binding remedial action, the Public Protector would be ineffectual:

“The Public Protector’s] investigative powers are not supposed to bow down to anybody, not even at the door of the highest chambers of raw State power. It is unlikely that unpleasant findings and a biting remedial action would be readily welcomed by those investigated. If compliance with remedial action taken were optional, then very few culprits, if any at all, would allow it to have any effect. And if it were, by design, never to have a binding effect, then it is incomprehensible just how the Public Protector could ever be effective in what she does and be able to contribute to the strengthening of our constitutional democracy.” As a result, the Court held that the Public Protector’s remedial action must be implemented unless it is set aside by a court:

“When remedial action is binding, compliance is not optional, whatever reservations the affected party might have about its fairness, appropriateness or lawfulness. For this reason, the remedial action taken against those under investigation cannot be ignored without any legal consequences. This is so, because our constitutional order hinges also on the rule of law. No decision grounded on the Constitution or law may be disregarded without recourse to a court of law. No binding and constitutionally or statutorily sourced decision may be disregarded willy-nilly. It has legal consequences and must be complied with or acted upon. To achieve the opposite outcome lawfully, an order of court would have to be obtained.”

The Court further highlighted the Constitutional obligation on the National Assembly in terms of sections 42(3) and 55(2) of the Constitution read with section 8(2) (b) (iii) of the Public Protector Act, 1994 (and section 181(3) of the Constitution) to provide for an oversight mechanism “to facilitate compliance with the remedial action” of the Public Protector.

In terms of following up on remedial actions, the compliance unit has been strengthened by increasing its capacity.

The new strategic plan encapsulates the Public Protector’s vision in making PPSA services available to the grassroots and rural areas. Therefore the outreach budget has been increased to cater for the 84 clinics per province.

Risk Management in the institution is another important area that complements the efficiencies and effectiveness of the organisation. Early warnings are derived from the risk register and as a result, the institution is in a better position to respond to such early warnings. Therefore the risk unit needs to grow its capacity and its budget has been increased to cater for the expanded scope of work. This is still not adequate, but the budget allows for managing the bear minimum.

66


Regarding Training and Skill/Competency Development, the training budget has been ring-fenced to purely financed training activities and not related costs (e.g. venue hire, travelling costs and alike).

Institutional Performance in all respect, financial and performance, remains the key driver to reward performance across the entire organisation. Therefore performance assessments for 2015/16 will be conducted and notch progressions will be rewarded on the basis of the outcome of the assessments. The good governance programme has been adequately budgeted for to allow for engagements with stakeholders to promote good governance.

The PPSA will play its active oversight role to ensure AORC is properly funded and carries out its strategic functions adequately.

2.3 Revision of the legislative environment

There have been no significant changes to the Public Protector’s legislative and other mandates in the 2016/17 financial year. However, the constitutional court judgment which was delivered on 31 March 2016 clarified the powers of the Public Protector.

2.4 Overview of the 2017/2018 Budget and MTEF Estimates

1.4.1 Expenditure trends to the Strategic Outcome Oriented Goals (SOOGs)

The annual allocation to fund the mandate of the Institution has not been adequate given the responsibilities of the organisation. The primary source of our income is the Parliamentary grant received through the National Assembly. The allocation is to fund operations and core functions of the institution. Historically, this allocation has not been adequate. Although there are plans to address the backlog, the backlog of cases older than a year place a severe burden on resources of the institution.

Furthermore, additional capacity will be increased in the 2017/18 financial year in investigation branches as a result of the R21 million allocation by National Treasury.

67


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70


3. Updated situational analysis

The PPSA has tremendous ability in relations to the legal competencies that it has amassed over the period of time. As a trusted institution that stakeholders can place reliance and assurance on, the PPSA is better position in this regards. As a catalyst for good governance and zero tolerance for fraud and corruption, the level of the Institution’s professionalism is the key driver for sustaining the integrity of the organisation.

There are weaknesses that must be acknowledged and as a continually learning institution the Institution endeavours to manage such weaknesses. In particular retaining key personnel with a relatively slow increase in the budget allocation remains a fundamental weakness for the organisation. An increased number of backlogs without no adequate funding and an outmigration of personnel seeking new employment opportunities will continue to be a binding constraint on the part of the Institution. As an Institution composed of lateral thinkers, building sustainable relationship with other institution that promote good governance, ethical behaviour, accountability and transparency, the PPSA has entered into a number of Memorandum of Understanding and/or Protocol of Engagements with key strategic partners. Some of the MoUs are being reviewed so that there is impact emerging from such agreements.

The Involvement of Public Protector South Africa as a member of AOMA and Chairperson of AORC is critical in providing a platform to influence ombudsman institutions in Africa.

A primary threat to the Institution is its inability to meet its statutory obligations due to lack of funding. The increased rate of impatience emanating from complainant due to slow responses from the Public Protector’s offices and/or unreasonable demands and expectations have caused a serious strain on the existing staff establishment and the infrastructure. In addition, the non-implementation of remedial actions by affected parties affects the credibility of the Institution.

Below are details pertaining the Strength, Weaknesses, Opportunities and Threats that have been taken into consideration in the development of the Strategic and Annual Performance Plans

71


SWOT Description Strengths • Teamwork and/or Committed Team.

• Professionalism and excellent report writing skills.• Legal expertise and framework clarified by constitutional

court and high court. • Accessibility.• Administrative support (corporate support services).• Trusted institution.

Weaknesses • Areas of development such as investigations training.• Capacity (diverse skills such as forensic, actuarial,

engineering, etc. lacking).• Employee relations (PMDS, OSD, job evaluation, conditions

of service.• Communication (internal, face to face, adequacy of

content, clear feedback, 2-way communication.• Delays in finalising investigations• Compliance (with legislation/prescripts, accountability

and consequence management, understanding, malicious compliance and no value add, no SOPs, contract management).

• Information management systems (inadequate record management).

• Organisational design (decentralise SCM, HR, ICT, finance).• Non-adherence to reporting timelines (turnaround times,

lack of clearly defined and approved turnaround times).• Resource constraints (electronic CMS, proportionate

allocation of resources).• Report writing processes (prolonged.• Security.• Low staff morale.• Insufficient employee wellness programme.• Information leaks.

Opportunities • Other ombudsman institutions• MOUs with other institutions (OISD)• Clarity of mandate by courts and public debate• Support by Portfolio Committee on Justice and Correctional

Services• Collaboration with state institutions for outreach events

(sharing costs)• Improving accessibility by taking advantage of existing

resources of government (e.g. MPCC/magistrate court offices) – security concerns raised

• Automating business processes to enhance remote access • Office of institutions supporting democracy (OISD) at

speakers office• Involvement of AOMA and AORC to influence ombudsman

institutions in Africa

72


SWOT Description Threats • Unreasonable conduct of some complainants

• Security (possible hostage situations)• Safety of staff in volatile areas • Abuse of PPSA for political objectives• Current economic conditions affecting PPSA budget

allocation• Electricity and water shedding• Poor turnaround times from support state agencies/

institutions (e.g. SITA, SSA, DPW)• Non-implementation of remedial action• Increased litigation• Lack of trust due to amongst others leakage of information

and delays in finalising some investigations

73


3. Part B: Programme and sub-programme plans

74


3. Part B: Programme and sub-programme plans3.1 Programme 1: Administration

The purpose of the programme is to create an environment of compliance to applica-ble laws and regulations supported by improved business processes and systems. The programme also aims to enhance the institution’s human resources and skills base.

Strategic Outcome Oriented Goal 3: An effective and efficient people driven organisation





High attrition rate










75


SO: 5 Capacity building of employees







SO: 6 Transform Information Communications Technology to optimally support business needs



Risk Limited ICT capacity to service all PPSA needs


Contributing Factors Inadequate ICT infrastructure in some offices








76


SO: 7 Purchase of key facilities/infrastructure







SO: 8 Operational Efficiencies



Risk Non-existence of conditions of service,



Contributing Factors Lack of human capital in certain units







77


SO: 9 Improve security in all offices


Baseline None

Risk Injury to employees or clients


Contributing Factors Unreasonable conduct of some complainants (public)





SOOG: 4 Promote and maintain good governance


Strategic Risk/s 1. Lack of sustained clean audit opinion.2. Heavy reliance on leasing facilities/infrastructure.



Risk Mitigation 1. Develop and maintain updated compliance register/dashboard.

2. Review compliance register monthly. 3. Employment of Chief Procurement Officer in SCM unit.4. Insourcing/purchase of key facilities/infrastructure.

SO: 10 Obtain Clean Audit






Constant monitoring of implementation of action plans to address audit findings


78


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82


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rep

ort

83


3.2 Programme 2: Investigations

The purpose of the programme is to ensure the finalisation of all investigations with speed and required quality. Furthermore, the programme focuses on ensuring that we follow up on implementation of remedial action.

Strategic Goal 1: To deliver prompt services to all persons and institutions we serve

Strategic Outcome Oriented Goal 1

To deliver prompt services to all persons and institutions we serve


Strategic Risk/s 1. Inability to implement the legislative mandate2. Under funding3. Inability to meet Action 101 and 103 of Chapter 14 of

the NDP.4. Lack of responses from external entities.5. Increased number of complex matters.6. Increased litigation (completed cases taken on review)

Contributing Factor/s 1. High caseload per investigator.2. High employee turnover.3. Abuse of review process by organs of state

Risk Mitigation 1. Strict assessment by chief investigators and executive managers for new cases received.

2. Ensure adherence to Investigation Plans3. Encourage skills transfer by delegating responsibilities

to senior investigators 4. More stringent review process

Strategic Objective (SO)

SO 1 Adherence to defined investigations turnaround times

Objective Statement Adherence to defined turnaround times in investigations and Alternative Dispute Resolution (ADR) proceedings per service delivery standards

Baseline Some cases were not resolved within stipulated time-frames

Risk Description Non-adherence to service delivery standards


Risk Mitigation Strict adherence to the application of service standards

Continuous monitoring and evaluation of cases under investigation

Strategic Initiatives Workshoping approved service standards throughput the institution

84






Contributing Factors Unavailability of resources to implement remedial action

Resistance by organs of state to implement remedial action

Refusal by the complainant to accept remedial action




Objective statement To promote the culture of good governance in state affairs through dialogues and engagements with 10 institutions annually






85


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rget

2019

/20

Targ

et20

17/1

8 Bu

dget

Prom

ote

a cu

ltur

e of

goo

d go

vern

ance

Num

ber

of

dial

ogue

s he

ld

wit

h or

gans

of

Sta

te o

n sy

stem

ic

chal

leng

es

N/A

N/A

10 c

onsu

ltat

ions

/ co

nver

sati

ons

wer

e he

ld w

ith

orga

ns o

f St

ate

on s

yste

mic

ch

alle

nges

hel

d by

31

Mar

ch 2

017

10 d

ialo

gues

he

ld w

ith

orga

ns o

f St

ate

on s

yste

mic

ch

alle

nges

by

31 M

arch

201

8

10 d

ialo

gues

he

ld w

ith

orga

ns o

f St

ate

on s

yste

mic

ch

alle

nges

by

31 M

arch

201

9

10 d

ialo

gues

he

ld w

ith

orga

ns o

f St

ate

on s

yste

mic

ch

alle

nges

by

31 M

arch

202

0

R100

000

Impl

emen

tati

on

of r

emed

ial

acti

on a

nd

sett

lem

ent

agre

emen

ts

Perc

enta

ge o

f fo

llow

-up

on

rem

edia

l act

ion

mat

ters

and

im

plem

enta

tion

of

a p

olic

y to

de

al w

ith

non-

impl

emen

tati

on

of r

emed

ial

acti

on

N/A

N/A

100%

of

rem

edia

l ac

tion

mat

ters

w

ere

follo

wed

up

100%

fol

low

up

of

rem

edia

l ac

tion

mat

ters

as

at

1 Ap

ril

2012

by

31

Mar

ch 2

018

100%

de

velo

pmen

t an

d im

plem

enta

tion

of

a p

olic

y to

de

al w

ith

non-

plem

enta

tion

of

rem

edia

l ac

tion

100%

fol

low

up

of

rem

edia

l ac

tion

mat

ters

as

at

1 Ap

ril

2012

by

31 M

arch

201

9 10

0%

deve

lopm

ent

and

impl

emen

tati

on

of a

pol

icy

to

deal

wit

h no

n-m

plem

enta

tion

of

rem

edia

l ac

tion

100%

fol

low

up

of

rem

edia

l ac

tion

mat

ters

as

at

1 Ap

ril

2012

by

31 M

arch

202

0 10

0%

impl

emen

tati

on

of a

pol

icy

to

deal

wit

h no

n-im

plem

enta

tion

of

rem

edia

l ac

tion

R0

87


Qua

rter

ly T

arge

ts f

or p

rogr

amm

e 2

Stra

tegi

c O

bjec

tive

Perf

orm

ance

In

dica

tor

2017

/18

Targ

etQ

uart

er 1

Qua

rter

2Q

uart

er 3

Qua

rter

4

Adhe

renc

e to

defi

ned

inve

stig

atio

ns

turn

arou

nd

tim

es

Perc

enta

ge o

f ca

ses

inve

stig

ated

an

d fin

alis

ed in

ac

cord

ance

wit

h ap

prov

ed s

ervi

ce

stan

dard

s

100%

of

new

ca

ses

rece

ived

fr

om 1

Apr

il 20

17

inve

stig

ated

an

d fin

alis

ed in

ac

cord

ance

wit

h th

e re

vise

d se

rvic

e st

anda

rds

100%

of

case

s in

vest

igat

ed

and

final

ised

in

acc

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nce

to a

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ved

serv

ice

stan

dard

s

100%

of

new

ca

ses

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ived

fr

om 1

Apr

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17

inve

stig

ated

an

d fin

alis

ed in

ac

cord

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wit

h ap

prov

ed s

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dard

s

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of

case

s in

vest

igat

ed

and

final

ised

in

acco

rdan

ce w

ith

appr

oved

ser

vice

st

anda

rds

100%

of

case

s in

vest

igat

ed

and

final

ised

in

acco

rdan

ce w

ith

appr

oved

ser

vice

st

anda

rds

Perc

enta

ge

of d

eclin

e in

tu

rnar

ound

tim

es

for

inve

stig

atio

ns

10%

decl

ine

in

turn

arou

nd t

imes

fo

rin

vest

igat

ions

re

ceiv

ed a

nd

final

ised

in 2

017/

18

FY

2 %

dec

line

in t

urna

roun

d ti

mes

for

inve

stig

atio

ns

rece

ived

and

fin

alis

ed in

20

17/1

8 FY

5% d

eclin

e in

tu

rnar

ound

tim

es

for

inve

stig

atio

ns

rece

ived

and

fin

alis

ed in

201

7/18

FY

7 %

dec

line

in

turn

arou

nd t

imes

fo

rin

vest

igat

ions

re

ceiv

ed a

nd

final

ised

in

2017

/18

FY

10 %

dec

line

in

turn

arou

nd t

imes

for

inve

stig

atio

ns

rece

ived

and

fin

alis

ed in

201

7/18

FY

Inve

stig

atio

n an

d fin

alis

atio

n of

sy

stem

ic

inve

stig

atio

ns/

inte

rven

tion

s

Cond

uct

and

final

ise

all e

xist

ing

syst

emic

in

vest

igat

ions

/In

terv

enti

ons

as a

t 1

Apri

l 201

7 by

31

Mar

ch 2

018

Cond

uct

syst

emic

in

vest

igat

ions

/ in

terv

enti

ons

Cond

uct

syst

emic

in

vest

igat

ions

/ in

terv

enti

ons

Draf

t in

vest

igat

ions

re

port

s

Subm

issi

on a

nd

appr

oval

of

syst

emic

in

vest

igat

ions

/ in

terv

enti

ons

repo

rts

by t

he P

ublic

Pr

otec

tor

88


Stra

tegi

c O

bjec

tive

Perf

orm

ance

In

dica

tor

2017

/18

Targ

etQ

uart

er 1

Qua

rter

2Q

uart

er 3

Qua

rter

4

Prom

ote

a cu

ltur

e of

goo

d go

vern

ance

Num

ber

of

dial

ogue

s he

ld w

ith

orga

ns o

f St

ate

on

syst

emic

cha

lleng

es

10 d

ialo

gues

hel

d w

ith

orga

ns o

f St

ate

on s

yste

mic

ch

alle

nges

by

31 M

arch

201

8

Hol

d 4

dial

ogue

s w

ith

orga

ns

of S

tate

on

syst

emic

ch

alle

nges

Hol

d 4

dial

ogue

s w

ith

orga

ns o

f St

ate

on s

yste

mic

ch

alle

nges

Hol

d 2

dial

ogue

s w

ith

orga

ns o

f St

ate

on s

yste

mic

ch

alle

nges

N/A

Impl

emen

tati

on

of r

emed

ial

acti

on a

nd

sett

lem

ent

agre

emen

ts

Perc

enta

ge o

f fo

llow

-up

on

rem

edia

l act

ion

mat

ters

and

im

plem

enta

tion

of

a po

licy

to d

eal w

ith

non-

impl

emen

tati

on

of r

emed

ial a

ctio

n

100%

fol

low

-up

of

rem

edia

l act

ion

mat

ters

as

at 1

Ap

ril 2

012

by 3

1 M

arch

201

8. 1

00%

deve

lopm

ent

and

impl

emen

tati

on o

f a

polic

y to

dea

l wit

h no

n-im

plem

enta

tion

of

rem

edia

l act

ion

20%

follo

w-u

p of

re

med

ial a

ctio

n m

atte

rs a

s at

1

Apri

l 201

2

40%

follo

w-u

p of

re

med

ial a

ctio

n m

atte

rs a

s at

1

Apri

l 201

2. 1

00%

deve

lopm

ent

and

appr

oval

of

a po

licy

to d

eal w

ith

non-

impl

emen

tati

on o

f re

med

ial a

ctio

n

70%

follo

w-u

p of

re

med

ial a

ctio

n m

atte

rs a

s at

1

Apri

l 201

2. 1

00%

impl

emen

tati

on

of a

pol

icy

to

deal

wit

h no

n-im

plem

enta

tion

of

rem

edia

l act

ion

100%

fol

low

-up

of

rem

edia

l act

ion

mat

ters

as

at

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ril 2

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100

% im

plem

enta

tion

of

a po

licy

to d

eal w

ith

non-

impl

emen

tati

on

of r

emed

ial a

ctio

n

89


3.3 Programme 3: Stakeholder Management

The purpose of the Stakeholder Management programme is to ensure that Public Protector South Africa services are accessible to all persons and communities we serve. Furthermore, the aim of the programme is to play a leading role in strengthening ombudsman institutions in South Africa and the rest of Africa.Strategic Outcome Oriented Goal 2: To achieve access to available Public Protector Services.


To achieve access to available Public Protector services



Office location


Volume of cases with limited financial and technical resources.




Objective statement To ensure that Public Protector services are accessible to persons and communities, especially in rural areas in accordance with the approved outreach plan




90














To play a leading role in strengthening fellow administrative oversight institutions


Strategic Risk/s 1. Inconsistent investigation approach or methods.2. Competition with specialised investigating entities.3. Placing reliance on the outcomes of cases

investigated.

Contributing Factor/s Each ombudsman institution operating under different set of laws, policies and procedures.


91










92


Aud

ited

Per

form

ance

Esti

mat

ed

Perf

orm

ance

20

16/1

7

Med

ium

tar

gets

Stra

tegi

c O

bjec

tive

Perf

orm

ance

In

dica

tor

2014

/15

Aud

ited

Pe

rfor

man

ce

2015

/16

Aud

ited

Pe

rfor

man

ce

2017

/18

Targ

et20

18/1

9 Ta

rget

2019

/20

Targ

et20

17/1

8 Bu

dge

Ease

of

acce

ss t

o Pu

blic

Pro

tect

or

serv

ices

Num

ber

of

outr

each

clin

ics

cond

ucte

d ac

ross

the

co

untr

y

N/A

N/A

72 c

linic

s w

ere

cond

ucte

d pe

r pr

ovin

ce

84 c

linic

spe

r pr

ovin

ceby

31

Mar

ch

2018

90 c

linic

spe

r pr

ovin

ceby

31

Mar

ch

2019

100

clin

ics

per

prov

ince

by 3

1 M

arch

20

20

R3 0

84 4

80

Stre

ngth

enin

g of

the

rol

e of

om

buds

man

in

stit

utio

ns

Num

ber

of

bila

tera

l ag

reem

ents

en

tere

d in

to

annu

ally

N/A

N/A

N/A

Ente

r in

to

1 bi

late

ral

agre

emen

t w

ith

an

ombu

dsm

an

inst

itut

ion

by

31 M

arch

201

8

Ente

r in

to

1 bi

late

ral

agre

emen

t w

ith

an

ombu

dsm

an

inst

itut

ion

by

31 M

arch

201

9

Ente

r in

to

1 bi

late

ral

agre

emen

t w

ith

an

ombu

dsm

an

inst

itut

ion

by

31 M

arch

202

0

R10

000

Qua

rter

ly T

arge

ts f

or p

rogr

amm

e 3

Stra

tegi

c O

bjec

tive

Perf

orm

ance

In

dica

tor

2017

/18

Targ

etQ

uart

er 1

Qua

rter

2Q

uart

er 3

Qua

rter

4

Ease

of

acce

ss t

o Pu

blic

Pro

tect

or

serv

ices

Num

ber

of o

utre

ach

clin

ics

cond

ucte

d ac

ross

the

cou

ntry

84 c

linic

spe

r pr

ovin

ceby

31

Mar

ch 2

018

21 c

linic

s co

nduc

ted

per

prov

ince

per

qu

arte

r

21 c

linic

s co

nduc

ted

per

prov

ince

per

qu

arte

r

21 c

linic

s co

nduc

ted

per

prov

ince

per

qu

arte

r

21 c

linic

s co

nduc

ted

per

prov

ince

per

qu

arte

rSt

reng

then

ing

of t

he r

ole

of

ombu

dsm

an

inst

itut

ions

Num

ber

of b

ilate

ral

agre

emen

ts

ente

red

into

an

nual

ly

Ente

r in

to 1

bi

late

ral a

gree

men

t w

ith

an o

mbu

dsm

an

inst

itut

ion

by 3

1 M

arch

201

8

Iden

tify

an

ombu

dsm

an/s

in

stit

utio

n to

ent

er

into

a b

ilate

ral

agre

emen

t w

ith

Neg

otia

te

wit

h id

enti

fied

inst

itut

ion/

s an

d dr

aft

a bi

late

ral

agre

emen

t

Conc

lude

and

si

gn t

he b

ilate

ral

agre

emen

t

Impl

emen

t th

e si

gned

bila

tera

l ag

reem

ent

93


4. Technical Indicator Descriptions

Indicator title Number of employees trained through implementation of systemic HRD programme

Purpose/importance To ensure employees are capacitated to perform their duties effectively

Source/collection of data Training reports and training plan

Method of calculation Simple count

Data limitation Non-attendance of training by identified employees

Type of indicator Output Indicator

Calculation type Cumulative

Reporting cycle Quarterly

New indicator New indicator

Desired performance 100% achievement of target

indicator responsibility Senior Manager: HRM & D

Reporting responsibility Senior Manager: HRM & D

Target set for thefinancial year

150 employees trained through implementation of systemic HRD programme by 31 March 2018

lT Systems used to capture data

Excel spread sheets and Microsoft word

Indicator title Number of awareness activities on Institutional values and Customer Service Charter

Purpose/importance To optically capacitate the employees through awareness

Source/collection of data Presentation and attendance register


Data limitation Non-attendance of presentation session by all identified employees




New indicator Old indicator


indicator responsibility Executive Manager: SCM

Reporting responsibility Executive Manager: SCM

94



10 awareness activities on institutional values and Customer Service Charter conducted by 31 March 2017


Microsoft Word and Microsoft PowerPoint

Indicator title % of development and implementation of the institution’s Conditions of service including remuneration framework

Purpose/importance To ensure that employee employees are remunerated at correct levels

Source/collection of data Current conditions of service from PPSA and other institutions

Method of calculation No calculation

Data limitation None


Calculation type N/A




lndicator responsibility Senior Manager: HRM & D

Reporting responsibility Senior Manager: HRM & D

Target set for the financial year

100% completion and approval of the institution’s conditions of service including remuneration framework



Indicator title % of implementation of ICT infrastructure

Purpose/importance To ensure the institution cuts down on traveling costs and telephone costs. Ensure security of information through encryption of e-mails.

Source/collection of data Reports on existing infrastructure, sign off of the video conferencing, integrated telephone management system and e-mail encryption

Method of calculation Simple calculation and e-mail encryption




95





lndicator responsibility Senior Manager: ICT

Reporting responsibility Senior Manager: ICT


100% implementation of video conferencing, integrated telephone management system and e-mail encryption by 31 March 2018


Microsoft word

Indicator title Obtain a clean Audit

Purpose/importance To adhere to legislative and policy prescripts

Source/collection of data Reports








lndicator responsibility CFO

Reporting responsibility CFO


Obtain clean audit opinion annually


Microsoft word and Microsoft Excel

Indicator title % of implementation of Integrated Security System

Purpose/importance To safeguard employees and property







96




lndicator responsibility Senior Manager: Security Management

Reporting responsibility Senior Manager: Security Management


Conduct Threat and Risk Analysis (TRA) in all offices by 31 December 2017.

Implementation of the TRA recommendations by 31 March 2018


Microsoft word

Indicator title Own infrastructure assets, vehicles, printing and production facilities

Purpose/importance To save costs for the institution







New indicator Revised indicator


lndicator responsibility Senior Manager: Facilities Management

Reporting responsibility CFO


Develop a Project Plan to implement the recommendations of the feasibility study (for in-sourcing of infrastructure)


Microsoft word

Indicator title Percentage of cases investigated and finalised in accordance with approved service standards

Purpose/importance Prompt service of investigations

Source/collection of data Investigation Branches and Provincial case statistics

Method of calculation Percentage = Number of finalised cases in accordance with approved service standards (received from 1 April 2017) /Total number of finalised cases X 100

97


Data limitation Reliability of case statistical data because of manual capturing of cases data






lndicator responsibility All Investigation Branch Heads from AJSD, GGI and PII

Reporting responsibility All Investigation Branch Heads from AJSD, GGI and PII


100% of new cases received from 1 April 2017 investigated and finalised in accordance with approved service standards



Indicator title Percentage of decline in turnaround times for investigations

Purpose/importance Prompt service of investigations

Source/collection of data Investigation Branches and Provincial case statistics

Method of calculation Declining turnaround times = Average time it took to finalise investigations as at 1 April 2017 - Average time it took to finalise investigations by 31 March 2018/ Average time it took to finalise investigations as at 1 April 2017 X 100

Data limitation Reliability of cases statistical information because of manual capturing of cases data






lndicator responsibility All Investigation Branch Heads from AJSD, GGI and PII

Reporting responsibility All Investigation Branch Heads from AJSD, GGI and PII


10% decline in turnaround times for investigations received and finalised in 2017/18 FY



98


Indicator title Investigation and finalisation of systemic investigations/ interventions

Purpose/importance To finalise all existing systemic investigations/ interventions and issue reports

Source/collection of data Investigations Reports

Method of calculation Simple calculation





New indicator Old lndicator


lndicator responsibility Branch Heads for AJSD and PII

Reporting responsibility Branch Heads for AJSD and PII


Conduct and finalise all existing systemic investigations/Interventions as at 1 April 2017 by 31 March 2018


Microsoft word

Indicator title Number of dialogues held with organs of State on systemic challenges

Purpose/importance To work with organs of State to resolve systemic challenges

Source/collection of data Attendance registers and reports


Data limitation Non-attendance of dialogues






lndicator responsibility Executive Manager: CSM

Reporting responsibility Executive Manager: CSM

99



10 dialogues held with organs of State on systemic challenges held by 31 March 2018



Indicator title Percentage of follow-up on remedial action matters and implementation of a policy to deal with non-implementation of remedial action

Purpose/importance To ensure that remedial action is implemented

Source/collection of data One or a combination of the following: Reports, letters, action plans from state institutions and responses from state institutions

Method of calculation Percentage = Number of matters followed up / Total number of matters that needed to be followed up X 100







lndicator responsibility Manager: Compliance

Reporting responsibility Senior Manager: Legal Services


100% follow up of remedial action matters as at 1 April 2012 by 31 March 2018100% development and implementation of a policy to deal with non-implementation of remedial action


Microsoft word and excel

Indicator title Number of outreach clinics conducted across the country

Purpose/importance To ensure PPSA services are available to all persons and communities

Source/collection of data Attendance registers and reports


Data limitation Non-attendance of clinics

100










84 clinics per province by 31 March 2018



Indicator title Number of bilateral agreements entered into annually

Purpose/importance To contribute towards ombudsman development in Africa

Source/collection of data Signed bilateral agreement between PPSA and an identified ombudsman institution


Data limitation Non-submission of reports by AORC









Enter into 1 bilateral agreement with an ombudsman institution by 31 March 2018



101


NOTES

102


NOTES

103


NOTES

104


NOTES

Documents

Strategic Plan 2017-2022 and Annual ... - Public Protector · Annual Performance Plan 2017/2018 Public Protector Vision 2023 ... Parties had been given until 28 February, ... the