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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
Signature:Date: 24 March 2017
Mr Themba TC DlaminiAccounting Officer
Signature:Date: 24 March 2017
Approved by:
Adv. Busisiwe Mkhwebane Public Protector
Signature:Date: 24 March 2017
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Public Protector South Africa | Strategic Plan 2017-2022
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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Public Protector South Africa | Strategic Plan 2017-2022
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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Public Protector South Africa | Strategic Plan 2017-2022
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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Public Protector South Africa | Strategic Plan 2017-2022
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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Public Protector South Africa | Strategic Plan 2017-2022
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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Public Protector South Africa | Strategic Plan 2017-2022
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Public Protector South Africa | Strategic Plan 2017-2022
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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Public Protector South Africa | Strategic Plan 2017-2022
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
Public Protector South Africa | Strategic Plan 2017-2022
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
Public Protector South Africa | Strategic Plan 2017-2022
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
EMEN
T
SUPP
LY C
HA
IN M
AN
AG
EMEN
T
FIN
AN
CIA
L A
CCO
UN
TIN
G
CORP
ORA
TE S
UPP
ORT
SE
RVIC
ES (
Not
Fun
ded)
STRA
TEG
IC S
UPP
ORT
SE
RVIC
ES
PARL
IAM
ENTA
RY L
IAIS
ON
AN
D
INTE
RNAT
ION
AL
RELA
TIO
NS
EXEC
UTI
NG
AU
THO
RITY
: PU
BLIC
PRO
TECT
OR
ACC
OU
NTI
NG
OFF
ICER
:CH
IEF
EXEC
UTI
VE O
FFIC
ERCH
IEF
OF
STA
FF/E
XECU
TIVE
SU
PPO
RT
DEP
UTY
PU
BLIC
PRO
TECT
OR
CEO
SU
PPO
RT S
ERVI
CES
INTE
RNA
L A
UD
IT
COM
PLA
INTS
& S
TAKE
HO
LDER
M
AN
AG
EMEN
T
AD
MIN
ISTR
ATIV
E JU
STIC
E &
SE
RVIC
E D
ELIV
ERY
GO
OD
GO
VERN
AN
CE &
IN
TEG
RITY
FIN
AN
CIA
L M
AN
AG
EMEN
T &
PL
AN
NIN
G
BUD
GET
& P
AYRO
LL
HU
MA
N R
ESO
URC
ES
MA
NA
GEM
ENT
INFO
RMAT
ION
TEC
HN
OLO
GY
COM
MU
NIC
ATIO
NS
RECO
RDS
MA
NA
GEM
ENT
FACI
LITI
ES &
LO
GIS
TICS
M
AN
AG
EMEN
T
INST
ITU
TIO
NA
L PE
RFO
RMA
NCE
MA
NA
GEM
ENT
RISK
AN
D C
OM
PLIA
NCE
M
AN
AG
EMEN
TSER
VICE
S
24
Public Protector South Africa | Strategic Plan 2017-2022
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
stit
utio
n th
at r
emed
ies
adm
inis
trat
ive
inju
stic
es a
nd p
rom
otes
go
od g
over
nanc
e in
sta
te a
ffai
rs
25
Public Protector South Africa | Strategic Plan 2017-2022
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
Public Protector South Africa | Strategic Plan 2017-2022
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
Public Protector South Africa | Strategic Plan 2017-2022
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
Public Protector South Africa | Strategic Plan 2017-2022
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
Public Protector South Africa | Strategic Plan 2017-2022
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
Public Protector South Africa | Strategic Plan 2017-2022
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
Public Protector South Africa | Strategic Plan 2017-2022
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
Public Protector South Africa | Strategic Plan 2017-2022
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
Public Protector South Africa | Strategic Plan 2017-2022
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
Public Protector South Africa | Strategic Plan 2017-2022
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
36
Public Protector South Africa | Strategic Plan 2017-2022
7.1 Programme 1: Administration
Strategic Outcome Oriented Goal 3: An effective and efficient people driven organisation
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 of 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
37
Public Protector South Africa | Strategic Plan 2017-2022
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
SO: 6 Transform 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 Factors Inadequate 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
38
Public Protector South Africa | Strategic Plan 2017-2022
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 FactorsUnreasonable 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
39
Public Protector South Africa | Strategic Plan 2017-2022
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 1. Lack of sustained clean audit opinion.
2. Heavy reliance on leasing facilities/infrastructure.
Contributing Factor/s Inadequate internal control environment.
Lack of ownership of 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
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
40
Public Protector South Africa | Strategic Plan 2017-2022
Stra
tegi
c O
bjec
tive
Aud
ited
Per
form
ance
Esti
mat
ed
Perf
orm
ance
20
16/1
7
Med
ium
tar
gets
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
Capa
city
bui
ldin
gN
umbe
r of
em
ploy
ees
trai
ned
thro
ugh
the
impl
emen
tati
on
of t
he H
RD
prog
ram
me
N/A
N/A
Skill
s au
dit
was
par
tly
com
plet
ed
150
empl
oyee
s tr
aine
d th
roug
h im
plem
enta
tion
of
sys
tem
ic H
RD
prog
ram
me
by
31 M
arch
201
8
150
empl
oyee
s tr
aine
d th
roug
h im
plem
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tion
of
sys
tem
ic H
RD
prog
ram
me
by
31 M
arch
201
9
150
empl
oyee
s tr
aine
d th
roug
h im
plem
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tion
of
sys
tem
ic H
RD
prog
ram
me
by
31 M
arch
202
0
R2 3
62 0
00
Num
ber
of
awar
enes
s ac
tivi
ties
on
Inst
itut
iona
l va
lues
and
Cu
stom
er S
ervi
ce
Char
ter
N/A
N/A
10 a
war
enes
s ac
tivi
ties
on
Inst
itut
iona
l va
lues
and
Cu
stom
er
Serv
ice
Char
ter
wer
e co
nduc
ted
10 a
war
enes
s ac
tivi
ties
on
Inst
itut
iona
l val
ues
and
Cust
omer
Ser
vice
Ch
arte
r co
nduc
ted
by
31 M
arch
201
8
10 a
war
enes
s ac
tivi
ties
on
Inst
itut
iona
l val
ues
and
Cust
omer
Se
rvic
e Ch
arte
r co
nduc
ted
by
31 M
arch
201
9
10 a
war
enes
s ac
tivi
ties
on
Inst
itut
iona
l val
ues
and
Cust
omer
Se
rvic
e Ch
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r co
nduc
ted
by 3
1 M
arch
202
0
R100
000
Ope
rati
onal
effi
cien
cies
% of
de
velo
pmen
t an
d im
plem
enta
tion
of
the
in
stit
utio
n’s
Cond
itio
ns o
f se
rvic
e in
clud
ing
rem
uner
atio
n fr
amew
ork
N/A
N/A
N/A
100%
com
plet
ion
and
appr
oval
of
the
inst
itut
ion’
s Co
ndit
ions
of
serv
ice
incl
udin
g re
mun
erat
ion
fram
ewor
k by
31
Mar
ch 2
018
100%
im
plem
enta
tion
th
e in
stit
utio
n’s
Cond
itio
ns o
f se
rvic
e in
clud
ing
rem
uner
atio
n fr
amew
ork
annu
ally
in
acc
orda
nce
to
allo
cate
d re
sour
ces
100%
im
plem
enta
tion
th
e in
stit
utio
n’s
Cond
itio
ns o
f se
rvic
e in
clud
ing
rem
uner
atio
n fr
amew
ork
annu
ally
in
acc
orda
nce
to
allo
cate
d re
sour
ces
R2 0
00 0
00
Tran
sfor
m
Info
rmat
ion
Com
mun
icat
ions
Te
chno
logy
to
opt
imal
ly
supp
ort
busi
ness
ne
eds
% of
im
plem
enta
tion
of
ICT
infr
astr
uctu
re
N/A
N/A
N/A
100%
impl
emen
tati
on
of v
ideo
con
fere
ncin
g,
inte
grat
ed t
elep
hone
m
anag
emen
t sy
stem
and
e-m
ail
encr
ypti
on b
y 31
M
arch
201
8
100%
im
plem
enta
tion
of
har
d dr
ive
encr
ypti
on b
y 31
M
arch
201
9
100%
im
plem
enta
tion
of
Disa
ster
Rec
over
y Sy
stem
by
31 M
arch
20
19
R8 5
00 0
00
41
Public Protector South Africa | Strategic Plan 2017-2022
Stra
tegi
c O
bjec
tive
Aud
ited
Per
form
ance
Esti
mat
ed
Perf
orm
ance
20
16/1
7
Med
ium
tar
gets
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
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
Public Protector South Africa | Strategic Plan 2017-2022
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
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 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
Public Protector South Africa | Strategic Plan 2017-2022
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)
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
44
Public Protector South Africa | Strategic Plan 2017-2022
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 action
Refusal 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
SO 3 Promote a culture of good governance
Objective statement To 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
45
Public Protector South Africa | Strategic Plan 2017-2022
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
Public Protector South Africa | Strategic Plan 2017-2022
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
Public Protector South Africa | Strategic Plan 2017-2022
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
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 accordance 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
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
48
Public Protector South Africa | Strategic Plan 2017-2022
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
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.
49
Public Protector South Africa | Strategic Plan 2017-2022
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
50
Public Protector South Africa | Strategic Plan 2017-2022
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
Public Protector South Africa | Strategic Plan 2017-2022
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
Aud
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
00Ad
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
1 4
69
1 4
99
2 3
52
2 9
01
3 0
69
3 2
41
Com
mun
icat
ions
1 0
96
955
9
75
1 5
30
1 8
87
1 9
96
2 1
08
Exec
utiv
e su
ppor
t 4
133
3
603
3
678
5
771
7
117
7
531
7
952
Fa
cilit
y m
anag
emen
t an
d lo
gist
ics
3 5
78
3 1
20
3 1
85
4 9
97
6 1
62
6 5
20
6 8
86
Fina
nce,
pay
roll
and
SCM
6 8
10
5 9
37
6 0
62
9 5
10
11
728
12
410
13
105
Hum
an r
esou
rce
man
agem
ent
and
deve
lopm
ent
7 0
66
6 1
60
6 2
89
9 8
67
12
168
12
876
13
597
Info
rmat
ion
and
com
mun
icat
ion
tech
nolo
gy 1
461
1
274
1
301
2
040
2
516
2
663
2
812
In
tern
al a
udit
-
-
-
-
-
-
-
Lega
l ser
vice
s an
d Q
ualit
y as
sura
nce
1 6
38
1 4
29
1 4
58
2 2
88
2 8
22
2 9
86
3 1
53
Med
ia R
elat
ions
and
Cor
pora
te B
rand
ing
874
7
62
778
1
220
1
504
1
592
1
681
Pr
ovin
cial
Inve
stig
atio
ns a
nd In
tegr
atio
n 1
965
1
713
1
749
2
744
3
384
3
580
3
781
Re
sear
ch a
nd k
now
ledg
e m
anag
emen
t 1
720
1
499
1
531
2
402
2
962
3
134
3
310
Ri
sk M
anag
emen
t 7
21
628
6
42
1 0
06
1 2
41
1 3
13
1 3
87
Goo
ds a
nd s
ervi
ces
36
001
31
765
41
153
41
977
44
230
46
523
49
128
CEO
offi
ce 1
169
1
032
1
336
1
363
1
436
1
511
1
595
CE
O s
uppo
rt
396
3
50
453
4
62
487
5
12
541
Co
mm
unic
atio
ns 1
573
1
388
1
798
1
834
1
932
2
032
2
146
Ex
ecut
ive
supp
ort
313
2
76
357
3
64
384
4
04
427
Fa
cilit
y m
anag
emen
t an
d lo
gist
ics
10
522
9 2
84
12
028
12
269
12
927
13
598
14
359
Fina
nce,
pay
roll
and
SCM
7 6
03
6 7
08
8 6
91
8 8
65
9 3
41
9 8
25
10
375
Hum
an r
esou
rce
man
agem
ent
and
deve
lopm
ent
3 3
25
2 9
34
3 8
01
3 8
77
4 0
85
4 2
97
4 5
37
Info
rmat
ion
and
com
mun
icat
ion
tech
nolo
gy 7
188
6
342
8
217
8
381
8
831
9
289
9
809
In
tern
al a
udit
450
3
97
514
5
24
552
5
81
614
Le
gal s
ervi
ces
and
Qua
lity
assu
ranc
e 2
839
2
505
3
245
3
310
3
487
3
668
3
874
52
Public Protector South Africa | Strategic Plan 2017-2022
Med
ia R
elat
ions
and
Cor
pora
te B
rand
ing
281
2
48
321
3
28
345
3
63
384
Pr
ovin
cial
Inve
stig
atio
ns a
nd In
tegr
atio
n 1
69
149
1
93
197
2
07
218
2
30
Rese
arch
and
kno
wle
dge
man
agem
ent
146
1
29
167
1
70
180
1
89
199
Ri
sk M
anag
emen
t 2
8 2
5 3
2 3
3 3
5 3
6 3
8 De
prec
iati
on 5
790
6
540
6
292
6
524
6
902
7
303
7
712
Fi
nanc
e, p
ayro
ll an
d SC
M 5
790
6
540
6
292
6
524
6
902
7
303
7
712
Lo
sses
fro
m s
ale
of fi
xed
asse
ts 5
5 2
79
306
-
-
-
-
Fi
nanc
e, p
ayro
ll an
d SC
M 5
5 2
79
306
-
-
-
-
In
tere
st 5
89
549
3
49
927
9
50
1 0
38
1 0
96
Fina
nce,
pay
roll
and
SCM
589
5
49
349
9
27
950
1
038
1
096
In
vest
igat
ions
131
878
1
33 8
38
153
873
1
59 6
51
173
815
1
83 9
22
194
221
Co
mpe
nsat
ion
of e
mpl
oyee
s 1
09 2
40
119
816
1
36 7
19
148
029
1
63 7
71
173
285
1
82 9
89
Adm
inis
trat
ive
just
ice
and
Serv
ice
Deliv
ery
13
528
14
837
16
930
18
331
20
280
21
459
22
660
Depu
ty P
ublic
Pro
tect
or 2
127
2
333
2
662
2
883
3
189
3
374
3
563
G
ood
gove
rnan
ce a
nd in
tegr
ity
9 3
22
10
224
11
666
12
632
13
975
14
787
15
615
Publ
ic P
rote
ctor
2 3
85
2 6
16
2 9
85
3 2
31
3 5
75
3 7
83
3 9
95
Publ
ic P
rote
ctor
Pro
vinc
ial R
epre
nsen
tati
on 8
1 87
9 8
9 80
6 1
02 4
75
110
952
1
22 7
51
129
883
1
37 1
56
Goo
ds a
nd s
ervi
ces
22
638
14
022
17
154
11
622
10
044
10
637
11
232
Adm
inis
trat
ive
just
ice
and
Serv
ice
Deliv
ery
1 4
25
883
1
080
7
32
632
6
69
707
De
puty
Pub
lic P
rote
ctor
712
4
41
540
3
66
316
3
35
353
G
ood
gove
rnan
ce a
nd in
tegr
ity
214
1
32
162
1
10
95
100
1
06
Publ
ic P
rote
ctor
1 2
82
794
9
72
658
5
69
603
6
36
Publ
ic P
rote
ctor
Pro
vinc
ial R
epre
nsen
tati
on 1
9 00
5 1
1 77
1 1
4 40
1 9
757
8
432
8
929
9
429
St
akeh
olde
r M
anag
emen
t 1
0 10
0 6
823
3
330
4
092
1
4 09
5 1
5 10
7 1
5 95
3 Co
mpe
nsat
ion
of e
mpl
oyee
s 4
489
4
632
2
563
2
924
1
0 60
7 1
1 41
3 1
2 05
2 Co
mpl
aint
s an
d St
akeh
olde
r M
anag
emen
t 4
489
4
632
2
563
2
924
1
0 60
7 1
1 41
3 1
2 05
2 G
oods
and
ser
vice
s 5
611
2
191
7
67
1 1
68
3 4
88
3 6
94
3 9
01
Com
plai
nts
and
Stak
ehol
der
Man
agem
ent
5 6
11
2 1
91
767
1
168
3
488
3
694
3
901
To
tal
220
322
2
11 1
01
237
265
2
63 3
13
301
831
3
19 3
26
337
208
53
Public Protector South Africa | Strategic Plan 2017-2022
Econ
omic
cla
ssifi
cati
on
Curr
ent
paym
ents
220
322
2
11 1
01
237
265
2
63 3
13
301
831
3
19 3
26
337
209
Com
pens
atio
n of
em
ploy
ees
149
638
1
55 7
55
171
244
2
01 0
95
236
217
2
50 1
32
264
139
G
oods
and
ser
vice
s 6
4 25
0 4
7 97
8 5
9 07
4 5
4 76
7 5
7 76
2 6
0 85
3 6
4 26
1 O
f w
hich
Agen
cy a
nd s
uppo
rt/o
utso
urce
d se
rvic
es 2
219
-
-
-
-
-
-
Co
mm
unic
atio
n 2
503
1
924
1
902
1
048
1
032
1
087
1
148
Co
mpu
ter
serv
ices
10
412
7 3
51
7 4
27
7 8
14
8 2
67
8 7
47
9 2
37
Cons
ulta
nts
3 8
39
4 4
41
7 6
18
9 5
07
8 6
91
9 1
95
9 7
10
Leas
e pa
ymen
ts 1
1 98
0 1
1 42
3 1
1 71
0 1
3 40
2 1
5 50
0 1
6 41
5 1
7 33
4 Re
pair
s an
d m
aint
enan
ce -
1
21
22
32
34
36
38
Trai
ning
and
sta
ff d
evel
opm
ent
1 3
59
559
1
071
2
055
2
362
2
501
2
641
Tr
avel
and
sub
sist
ence
11
957
4 9
88
3 8
77
5 3
19
5 1
25
5 4
27
5 7
31
Oth
er 1
9 98
1 1
7 17
1 2
5 44
7 1
5 59
0 1
6 75
1 1
7 44
5 1
8 42
2 De
prec
iati
on 5
790
6
540
6
292
6
524
6
902
7
303
7
712
Lo
sses
fro
m s
ale
of fi
xed
asse
ts 5
5 2
79
306
-
-
-
-
In
tere
st 5
89
549
3
49
927
9
50
1 0
38
1 0
96
Tota
l Exp
endi
ture
220
322
2
11 1
01
237
265
2
63 3
13
301
831
3
19 3
26
337
209
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
55
Public Protector South Africa | Annual Performance Plan 2017-2018 Financial Year
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
56
Public Protector South Africa | Annual Performance Plan 2017-2018 Financial Year
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
57
Public Protector South Africa | Annual Performance Plan 2017-2018 Financial Year
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
Signature: Date: 24 March 2017
Mr Themba TC DlaminiAccounting Officer
Signature: Date: 24 March 2017
Approved by:
Adv. Busisiwe Mkhwebane Public Protector
Signature: Date: 24 March 2017
58
Public Protector South Africa | Annual Performance Plan 2017-2018 Financial Year
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
59
Public Protector South Africa | Annual Performance Plan 2017-2018 Financial Year
Part A: Strategic Overview
60
Public Protector South Africa | Annual Performance Plan 2017-2018 Financial Year
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
61
Public Protector South Africa | Annual Performance Plan 2017-2018 Financial Year
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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Public Protector South Africa | Annual Performance Plan 2017-2018 Financial Year
• 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
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Public Protector South Africa | Annual Performance Plan 2017-2018 Financial Year
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
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Public Protector South Africa | Annual Performance Plan 2017-2018 Financial Year
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)
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Public Protector South Africa | Annual Performance Plan 2017-2018 Financial Year
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.
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Public Protector South Africa | Annual Performance Plan 2017-2018 Financial Year
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.
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Public Protector South Africa | Annual Performance Plan 2017-2018 Financial Year
1.4.
2
Expe
ndit
ure
Esti
mat
es
20
13/1
420
14/1
520
15/1
620
16/1
720
17/1
820
18/1
920
19/2
0
Aud
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
00Ad
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
1 4
69
1 4
99
2 3
52
2 9
01
3 0
69
3 2
41
Com
mun
icat
ions
1 0
96
955
9
75
1 5
30
1 8
87
1 9
96
2 1
08
Exec
utiv
e su
ppor
t 4
133
3
603
3
678
5
771
7
117
7
531
7
952
Fa
cilit
y m
anag
emen
t an
d lo
gist
ics
3 5
78
3 1
20
3 1
85
4 9
97
6 1
62
6 5
20
6 8
86
Fina
nce,
pay
roll
and
SCM
6 8
10
5 9
37
6 0
62
9 5
10
11
728
12
410
13
105
Hum
an r
esou
rce
man
agem
ent
and
deve
lopm
ent
7 0
66
6 1
60
6 2
89
9 8
67
12
168
12
876
13
597
Info
rmat
ion
and
com
mun
icat
ion
tech
nolo
gy 1
461
1
274
1
301
2
040
2
516
2
663
2
812
In
tern
al a
udit
-
-
-
-
-
-
-
Lega
l ser
vice
s an
d Q
ualit
y as
sura
nce
1 6
38
1 4
29
1 4
58
2 2
88
2 8
22
2 9
86
3 1
53
Med
ia R
elat
ions
and
Cor
pora
te B
rand
ing
874
7
62
778
1
220
1
504
1
592
1
681
Pr
ovin
cial
Inve
stig
atio
ns a
nd In
tegr
atio
n 1
965
1
713
1
749
2
744
3
384
3
580
3
781
Re
sear
ch a
nd k
now
ledg
e m
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t 1
720
1
499
1
531
2
402
2
962
3
134
3
310
Ri
sk M
anag
emen
t 7
21
628
6
42
1 0
06
1 2
41
1 3
13
1 3
87
Goo
ds a
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ces
36
001
31
765
41
153
41
977
44
230
46
523
49
128
CEO
offi
ce 1
169
1
032
1
336
1
363
1
436
1
511
1
595
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O s
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rt
396
3
50
453
4
62
487
5
12
541
Co
mm
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atio
ns 1
573
1
388
1
798
1
834
1
932
2
032
2
146
Ex
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ive
supp
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313
2
76
357
3
64
384
4
04
427
Fa
cilit
y m
anag
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t an
d lo
gist
ics
10
522
9 2
84
12
028
12
269
12
927
13
598
14
359
Fina
nce,
pay
roll
and
SCM
7 6
03
6 7
08
8 6
91
8 8
65
9 3
41
9 8
25
10
375
Hum
an r
esou
rce
man
agem
ent
and
deve
lopm
ent
3 3
25
2 9
34
3 8
01
3 8
77
4 0
85
4 2
97
4 5
37
Info
rmat
ion
and
com
mun
icat
ion
tech
nolo
gy 7
188
6
342
8
217
8
381
8
831
9
289
9
809
In
tern
al a
udit
450
3
97
514
5
24
552
5
81
614
Le
gal s
ervi
ces
and
Qua
lity
assu
ranc
e 2
839
2
505
3
245
3
310
3
487
3
668
3
874
68
Public Protector South Africa | Annual Performance Plan 2017-2018 Financial Year
Med
ia R
elat
ions
and
Cor
pora
te B
rand
ing
281
2
48
321
3
28
345
3
63
384
Pr
ovin
cial
Inve
stig
atio
ns a
nd In
tegr
atio
n 1
69
149
1
93
197
2
07
218
2
30
Rese
arch
and
kno
wle
dge
man
agem
ent
146
1
29
167
1
70
180
1
89
199
Ri
sk M
anag
emen
t 2
8 2
5 3
2 3
3 3
5 3
6 3
8 De
prec
iati
on 5
790
6
540
6
292
6
524
6
902
7
303
7
712
Fi
nanc
e, p
ayro
ll an
d SC
M 5
790
6
540
6
292
6
524
6
902
7
303
7
712
Lo
sses
fro
m s
ale
of fi
xed
asse
ts 5
5 2
79
306
-
-
-
-
Fi
nanc
e, p
ayro
ll an
d SC
M 5
5 2
79
306
-
-
-
-
In
tere
st 5
89
549
3
49
927
9
50
1 0
38
1 0
96
Fina
nce,
pay
roll
and
SCM
589
5
49
349
9
27
950
1
038
1
096
In
vest
igat
ions
131
878
1
33 8
38
153
873
1
59 6
51
173
815
1
83 9
22
194
221
Co
mpe
nsat
ion
of e
mpl
oyee
s 1
09 2
40
119
816
1
36 7
19
148
029
1
63 7
71
173
285
1
82 9
89
Adm
inis
trat
ive
just
ice
and
Serv
ice
Deliv
ery
13
528
14
837
16
930
18
331
20
280
21
459
22
660
Depu
ty P
ublic
Pro
tect
or 2
127
2
333
2
662
2
883
3
189
3
374
3
563
G
ood
gove
rnan
ce a
nd in
tegr
ity
9 3
22
10
224
11
666
12
632
13
975
14
787
15
615
Publ
ic P
rote
ctor
2 3
85
2 6
16
2 9
85
3 2
31
3 5
75
3 7
83
3 9
95
Publ
ic P
rote
ctor
Pro
vinc
ial R
epre
nsen
tati
on 8
1 87
9 8
9 80
6 1
02 4
75
110
952
1
22 7
51
129
883
1
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56
Goo
ds a
nd s
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ces
22
638
14
022
17
154
11
622
10
044
10
637
11
232
Adm
inis
trat
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just
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and
Serv
ice
Deliv
ery
1 4
25
883
1
080
7
32
632
6
69
707
De
puty
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lic P
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712
4
41
540
3
66
316
3
35
353
G
ood
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ce a
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tegr
ity
214
1
32
162
1
10
95
100
1
06
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rote
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1 2
82
794
9
72
658
5
69
603
6
36
Publ
ic P
rote
ctor
Pro
vinc
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epre
nsen
tati
on 1
9 00
5 1
1 77
1 1
4 40
1 9
757
8
432
8
929
9
429
St
akeh
olde
r M
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emen
t 1
0 10
0 6
823
3
330
4
092
1
4 09
5 1
5 10
7 1
5 95
3 Co
mpe
nsat
ion
of e
mpl
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s 4
489
4
632
2
563
2
924
1
0 60
7 1
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mpl
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s an
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4
632
2
563
2
924
1
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7 1
1 41
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2 05
2 G
oods
and
ser
vice
s 5
611
2
191
7
67
1 1
68
3 4
88
3 6
94
3 9
01
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plai
nts
and
Stak
ehol
der
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agem
ent
5 6
11
2 1
91
767
1
168
3
488
3
694
3
901
To
tal
220
322
2
11 1
01
237
265
2
63 3
13
301
831
3
19 3
26
337
208
69
Public Protector South Africa | Annual Performance Plan 2017-2018 Financial Year
Econ
omic
cla
ssifi
cati
on
Curr
ent
paym
ents
220
322
2
11 1
01
237
265
2
63 3
13
301
831
3
19 3
26
337
209
Com
pens
atio
n of
em
ploy
ees
149
638
1
55 7
55
171
244
2
01 0
95
236
217
2
50 1
32
264
139
G
oods
and
ser
vice
s 6
4 25
0 4
7 97
8 5
9 07
4 5
4 76
7 5
7 76
2 6
0 85
3 6
4 26
1 O
f w
hich
Agen
cy a
nd s
uppo
rt/o
utso
urce
d se
rvic
es 2
219
-
-
-
-
-
-
Co
mm
unic
atio
n 2
503
1
924
1
902
1
048
1
032
1
087
1
148
Co
mpu
ter
serv
ices
10
412
7 3
51
7 4
27
7 8
14
8 2
67
8 7
47
9 2
37
Cons
ulta
nts
3 8
39
4 4
41
7 6
18
9 5
07
8 6
91
9 1
95
9 7
10
Leas
e pa
ymen
ts 1
1 98
0 1
1 42
3 1
1 71
0 1
3 40
2 1
5 50
0 1
6 41
5 1
7 33
4 Re
pair
s an
d m
aint
enan
ce -
1
21
22
32
34
36
38
Trai
ning
and
sta
ff d
evel
opm
ent
1 3
59
559
1
071
2
055
2
362
2
501
2
641
Tr
avel
and
sub
sist
ence
11
957
4 9
88
3 8
77
5 3
19
5 1
25
5 4
27
5 7
31
Oth
er 1
9 98
1 1
7 17
1 2
5 44
7 1
5 59
0 1
6 75
1 1
7 44
5 1
8 42
2 De
prec
iati
on 5
790
6
540
6
292
6
524
6
902
7
303
7
712
Lo
sses
fro
m s
ale
of fi
xed
asse
ts 5
5 2
79
306
-
-
-
-
In
tere
st 5
89
549
3
49
927
9
50
1 0
38
1 0
96
Tota
l Exp
endi
ture
220
322
2
11 1
01
237
265
2
63 3
13
301
831
3
19 3
26
337
209
70
Public Protector South Africa | Annual Performance Plan 2017-2018 Financial Year
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
Public Protector South Africa | Annual Performance Plan 2017-2018 Financial Year
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
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Public Protector South Africa | Annual Performance Plan 2017-2018 Financial Year
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
Public Protector South Africa | Annual Performance Plan 2017-2018 Financial Year
3. Part B: Programme and sub-programme plans
74
Public Protector South Africa | Annual Performance Plan 2017-2018 Financial Year
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
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
75
Public Protector South Africa | Annual Performance Plan 2017-2018 Financial Year
SO: 5 Capacity building of 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
SO: 6 Transform 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 Factors Inadequate 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
76
Public Protector South Africa | Annual Performance Plan 2017-2018 Financial Year
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
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
77
Public Protector South Africa | Annual Performance Plan 2017-2018 Financial Year
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
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 1. Lack of sustained clean audit opinion.2. Heavy reliance on leasing facilities/infrastructure.
Contributing Factor/s Inadequate internal control environment.
Lack of ownership of 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
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 audit findings
Strategic Initiatives Develop action plans and monitor implementation
78
Public Protector South Africa | Annual Performance Plan 2017-2018 Financial Year
Stra
tegi
c O
bjec
tive
Aud
ited
Per
form
ance
Esti
mat
ed
Perf
orm
ance
20
16/1
7
Med
ium
tar
gets
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
Capa
city
bui
ldin
gN
umbe
r of
em
ploy
ees
trai
ned
thro
ugh
the
impl
emen
tati
on
of t
he H
RD
prog
ram
me
N/A
N/A
Skill
s au
dit
was
par
tly
com
plet
ed
150
empl
oyee
s tr
aine
d th
roug
h im
plem
enta
tion
of
sys
tem
ic H
RD
prog
ram
me
by
31 M
arch
201
8
150
empl
oyee
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aine
d th
roug
h im
plem
enta
tion
of
sys
tem
ic H
RD
prog
ram
me
by 3
1 M
arch
201
9
150
empl
oyee
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aine
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roug
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plem
enta
tion
of
sys
tem
ic H
RD
prog
ram
me
by
31 M
arch
202
0
R2 3
62 0
00
Num
ber
of
awar
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s ac
tivi
ties
on
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itut
iona
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and
Cu
stom
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Serv
ice
Char
ter
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10 a
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ch 2
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10 a
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ch 2
019
10 a
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31
Mar
ch 2
020
R100
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Ope
rati
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cien
cies
%
of
deve
lopm
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and
impl
emen
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on
of t
he
inst
itut
ion’
s Co
ndit
ions
of
serv
ice
incl
udin
g re
mun
erat
ion
fram
ewor
k
N/A
N/A
N/A
100%
com
plet
ion
and
appr
oval
of
the
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itut
ion’
s Co
ndit
ions
of
serv
ice
incl
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mun
erat
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fram
ewor
k by
31
Mar
ch 2
018
100%
im
plem
enta
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th
e in
stit
utio
n’s
Cond
itio
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f se
rvic
e in
clud
ing
rem
uner
atio
n fr
amew
ork
annu
ally
in
acco
rdan
ce
to a
lloca
ted
reso
urce
s
100%
im
plem
enta
tion
th
e in
stit
utio
n’s
Cond
itio
ns o
f se
rvic
e in
clud
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rem
uner
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n fr
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annu
ally
in
acco
rdan
ce
to a
lloca
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R2 0
00 0
00
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Public Protector South Africa | Annual Performance Plan 2017-2018 Financial Year
Stra
tegi
c O
bjec
tive
Aud
ited
Per
form
ance
Esti
mat
ed
Perf
orm
ance
20
16/1
7
Med
ium
tar
gets
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
Tran
sfor
m
Info
rmat
ion
Com
mun
icat
ions
Te
chno
logy
to
opt
imal
ly
supp
ort
busi
ness
ne
eds
% of
im
plem
enta
tion
of
ICT
infr
astr
uctu
re
N/A
N/A
N/A
100%
im
plem
enta
tion
of
vid
eo
conf
eren
cing
, in
tegr
ated
te
leph
one
man
agem
ent
syst
em
and
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ail
encr
ypti
on b
y 31
Mar
ch 2
018
100%
im
plem
enta
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of
har
d dr
ive
encr
ypti
on
100%
im
plem
enta
tion
of
Dis
aste
r Re
cove
ry S
yste
m
R8 5
00 0
00
Obt
ain
clea
n au
dit
Obt
ain
a cl
ean
Audi
tN
/AN
/AO
btai
ned
unqu
alifi
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audi
t op
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Sust
ain
an
unqu
alifi
ed
audi
t op
inio
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ith
no m
ater
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mis
stat
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ts
Sust
ain
an
unqu
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udit
op
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ith
lno
mat
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isst
atem
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Achi
eve
and
sust
ain
a cl
ean
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nual
ly
R500
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Crea
tion
of
an
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it
unit
N/A
N/A
N/A
N/A
Adve
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d ap
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tern
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audi
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it s
taff
Crea
te a
n in
tern
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un
it b
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Apri
l 201
9
R0
Impr
ove
secu
rity
in
all
office
s%
of
impl
emen
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tegr
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Se
curi
ty S
yste
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N/A
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Ana
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RA)
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ll offi
ces
by 3
1 De
cem
ber
2017
Im
plem
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of
the
TRA
co
mm
enda
tion
s by
31
Mar
ch
2018
100%
tes
ting
and
im
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of
the
sec
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stem
100%
im
plem
enta
tion
of
Inte
grat
ed
Secu
rity
Sys
tem
R437
200
80
Public Protector South Africa | Annual Performance Plan 2017-2018 Financial Year
Stra
tegi
c O
bjec
tive
Aud
ited
Per
form
ance
Esti
mat
ed
Perf
orm
ance
20
16/1
7
Med
ium
tar
gets
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
Purc
hase
of
key
faci
litie
s/in
fras
truc
ture
Ow
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fras
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as
sets
, ve
hicl
es,
prin
ting
and
pr
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tion
fa
cilit
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N/A
N/A
Feas
ibili
ty
stud
y on
in
sour
cing
of
key
fa
cilit
ies/
nf
rast
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was
co
mpl
eted
Deve
lop
a Pr
ojec
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o im
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the
com
men
dati
ons
of t
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(for
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-sou
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in
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)
Impl
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ase
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of
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astr
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Impl
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ase
2 of
th
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prov
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Proj
ect
Plan
of
the
infr
astr
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re
feas
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ty
stud
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or
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ourc
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of
infr
astr
uctu
re)
R500
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Qua
rter
ly T
arge
ts f
or p
rogr
amm
e 1
Stra
tegi
c O
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Perf
orm
ance
In
dica
tor
2017
/18
Targ
etQ
uart
er 1
Qua
rter
2Q
uart
er 3
Qua
rter
4
Capa
city
bui
ldin
g of
em
ploy
ees
Num
ber
of
empl
oyee
s tr
aine
d th
roug
h im
plem
enta
tion
of
sys
tem
ic H
RD
prog
ram
me
150
empl
oyee
s tr
aine
d th
roug
h im
plem
enta
tion
of
sys
tem
ic H
RD
prog
ram
me
by
31 M
arch
201
8
Fina
lise
trai
ning
ne
eds
by
30 J
une
2017
Trai
n 70
em
ploy
ees
thro
ugh
impl
emen
tati
on
of s
yste
mic
HRD
pr
ogra
mm
e
Trai
n 60
em
ploy
ees
thro
ugh
impl
emen
tati
on
of s
yste
mic
HRD
pr
ogra
mm
e
Trai
n 20
em
ploy
ees
thro
ugh
impl
emen
tati
on
of s
yste
mic
HRD
pr
ogra
mm
e
Num
ber
of
awar
enes
s ac
tivi
ties
on
Inst
itut
iona
l val
ues
and
Cust
omer
Se
rvic
e Ch
arte
r
10 a
war
enes
s ac
tivi
ties
on
Inst
itut
iona
l va
lues
and
Cu
stom
er
Serv
ice
Char
ter
cond
ucte
d by
31
Mar
ch 2
018
Deve
lop
an
awar
enes
s pr
ogra
mm
e on
In
stit
utio
nal
valu
es a
nd
Cust
omer
Se
rvic
e Ch
arte
r by
30
June
201
7
Cond
uct
4 aw
aren
ess
cam
paig
ns b
y 30
Sep
tem
ber
2017
Cond
uct
4 aw
aren
ess
cam
paig
ns b
y 31
Dec
embe
r 20
17
Cond
uct
4 aw
aren
ess
cam
paig
ns b
y 31
Mar
ch 2
018
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Public Protector South Africa | Annual Performance Plan 2017-2018 Financial Year
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
Ope
rati
onal
effi
cien
cies
% of
de
velo
pmen
t an
d im
plem
enta
tion
of
the
inst
itut
ion’
s Co
ndit
ions
of
serv
ice
incl
udin
g re
mun
erat
ion
fram
ewor
k
100%
com
plet
ion
and
appr
oval
of
the
inst
itut
ion’
s Co
ndit
ions
of
serv
ice
incl
udin
g re
mun
erat
ion
fram
ewor
k by
31
Mar
ch 2
018
Appo
int
a se
rvic
e pr
ovid
er
to d
evel
op t
he
inst
itut
ion’
s co
ndit
ions
of
ser
vice
in
clud
ing
rem
uner
atio
n fr
amew
ork
by
30 J
une
2017
Deve
lop
the
inst
itut
ion’
s co
ndit
ions
of
serv
ice
incl
udin
g re
mun
erat
ion
fram
ewor
k
Subm
it t
he
inst
itut
ion’
s Co
ndit
ions
of
serv
ice
incl
udin
g re
mun
erat
ion
fram
ewor
k fo
r co
nsul
tati
on b
y 30
Nov
embe
r 20
17
Subm
it t
he in
stit
utio
n’s
Cond
itio
ns o
f se
rvic
e in
clud
ing
rem
uner
atio
n fr
amew
ork
to t
he
Publ
ic P
rote
ctor
fo
r ap
prov
al b
y 28
Fe
brua
ry 2
018.
Appr
oval
of
the
inst
itut
ion’
s Co
ndit
ions
of
ser
vice
incl
udin
g re
mun
erat
ion
fram
ewor
k by
the
Pu
blic
Pro
tect
or b
y 31
Mar
ch 2
018
Tran
sfor
m
Info
rmat
ion
Com
mun
icat
ions
Te
chno
logy
to
opti
mal
ly s
uppo
rt
busi
ness
nee
ds
% of
im
plem
enta
tion
of
ICT
infr
astr
uctu
re
100%
im
plem
enta
tion
of
vid
eo
conf
eren
cing
, in
tegr
ated
te
leph
one
man
agem
ent
syst
em a
nd
e-m
ail e
ncry
ptio
n by
31
Mar
ch 2
018
Appo
int
a se
rvic
e pr
ovid
er
to im
plem
ent
Vide
o co
nfer
enci
ng,
inte
grat
ed
tele
phon
e m
anag
emen
t sy
stem
an
d e-
mai
l en
cryp
tion
Inst
alla
tion
of
Vid
eo
conf
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cing
, in
tegr
ated
te
leph
one
man
agem
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syst
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-mai
l en
cryp
tion
at
50%
Inst
alla
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of
Vid
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conf
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, in
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ated
te
leph
one
man
agem
ent
syst
em a
nd e
-mai
l en
cryp
tion
at
100%
100%
impl
emen
tati
on
of V
ideo
con
fere
ncin
g an
d in
tegr
ated
te
leph
one
man
agem
ent
syst
em a
nd e
-mai
l en
cryp
tion
Obt
ain
clea
n au
dit
Obt
ain
a cl
ean
Audi
tO
btai
n cl
ean
audi
t op
inio
nan
nual
ly
Deve
lop
a cl
ean
audi
t ac
tion
pl
an a
nd s
ubm
it
to C
EO f
or
appr
oval
by
30 J
une
2017
Impl
emen
t au
dit
acti
on p
lan
Impl
emen
t au
dit
acti
on p
lan
Obt
ain
clea
nau
dit
opin
ion
by31
Mar
ch 2
018
82
Public Protector South Africa | Annual Performance Plan 2017-2018 Financial Year
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
Impr
ove
secu
rity
in
all o
ffice
s%
of
impl
emen
tati
on
of In
tegr
ated
Se
curi
ty S
yste
m
Cond
uct
Thre
at
and
Risk
Ana
lysi
s (T
RA)
in a
ll offi
ces
by 3
1 De
cem
ber
2017
.Im
plem
enta
tion
of
the
TRA
re
com
men
dati
ons
by 3
1 M
arch
201
8
Cond
uct
Thre
at
and
Risk
An
alys
is in
all
office
s by
30
Jun
e 20
17
Impl
emen
tati
on
of t
he T
RA
reco
mm
enda
tion
s by
30
Sept
embe
r 20
17
Impl
emen
tati
on
and
test
ing
of t
he
secu
rity
sys
tem
100%
of
impl
emen
tati
on o
f In
tegr
ated
Sec
urit
y Sy
stem
Purc
hase
of
key
faci
litie
s/in
fras
truc
ture
Ow
n in
fras
truc
ture
as
sets
, ve
hicl
es,
prin
ting
and
pr
oduc
tion
fa
cilit
ies
Deve
lop
a Pr
ojec
t Pl
an o
f th
e in
fras
truc
ture
fe
asib
ility
rep
ort
(for
in-s
ourc
ing
of
infr
astr
uctu
re)
Deve
lop
Term
s of
Ref
eren
ce
for
appo
intm
ent
of a
ser
vice
pr
ovid
er
Appo
int
a se
rvic
e pr
ovid
er t
o de
velo
p a
cost
ed
Proj
ect
Plan
of
the
infr
astr
uctu
re
feas
ibili
ty r
epor
t
Deve
lop
a co
sted
Pr
ojec
t Pl
an o
f th
e fe
asib
ility
re
port
Appr
oval
of
a co
sted
Pr
ojec
t Pl
an o
f th
e fe
asib
ility
rep
ort
83
Public Protector South Africa | Annual Performance Plan 2017-2018 Financial Year
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
Goal statement To deliver prompt services to all persons and institutions we serve within timeframes as defined in service standards
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
Contributing Factors Inefficiencies in the whole process of investigations
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
Public Protector South Africa | Annual Performance Plan 2017-2018 Financial Year
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 action
Refusal 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
SO 3 Promote a culture of good governance
Objective statement To 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
85
Public Protector South Africa | Annual Performance Plan 2017-2018 Financial Year
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
acc
orda
nce
wit
h ap
prov
ed
serv
ice
stan
dard
s
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
acc
orda
nce
wit
h ap
prov
ed
serv
ice
stan
dard
s
100%
of
case
s in
vest
igat
ed
and
final
ised
in
acc
orda
nce
wit
h ap
prov
ed
serv
ice
stan
dard
s
R0
Perc
enta
ge
of d
eclin
e in
tu
rnar
ound
ti
mes
for
in
vest
igat
ions
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 t
urna
roun
d ti
mes
for
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
vest
igat
ions
/ in
terv
enti
ons
wer
e fin
alis
ed
Cond
uct
and
final
ise
all e
xist
ing
syst
emic
inve
stig
atio
ns/
inte
rven
tion
sas
at
1 Ap
ril 2
017
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 0
00
86
Public Protector South Africa | Annual Performance Plan 2017-2018 Financial Year
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
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
Public Protector South Africa | Annual Performance Plan 2017-2018 Financial Year
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
orda
nce
to a
ppro
ved
serv
ice
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 ap
prov
ed s
ervi
ce
stan
dard
s
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
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
Public Protector South Africa | Annual Performance Plan 2017-2018 Financial Year
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
1 Ap
ril 2
012.
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
Public Protector South Africa | Annual Performance Plan 2017-2018 Financial Year
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.
Strategic Outcome Oriented Goal 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 3 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 accordance 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
90
Public Protector South Africa | Annual Performance Plan 2017-2018 Financial Year
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
Strategic Outcome Oriented Goal 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 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.
Risk Mitigation Enforce Memorandum of Agreements and/or Service Level Agreements
91
Public Protector South Africa | Annual Performance Plan 2017-2018 Financial Year
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
92
Public Protector South Africa | Annual Performance Plan 2017-2018 Financial Year
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
Public Protector South Africa | Annual Performance Plan 2017-2018 Financial Year
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
Method of calculation Simple count
Data limitation Non-attendance of presentation session by all identified employees
Type of indicator Output Indicator
Calculation type Cumulative
Reporting cycle Quarterly
New indicator Old indicator
Desired performance 100% achievement of target
indicator responsibility Executive Manager: SCM
Reporting responsibility Executive Manager: SCM
94
Public Protector South Africa | Annual Performance Plan 2017-2018 Financial Year
Target set for thefinancial year
10 awareness activities on institutional values and Customer Service Charter conducted by 31 March 2017
lT Systems used to capture data
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
Type of indicator Output Indicator
Calculation type N/A
Reporting cycle Quarterly
New indicator New indicator
Desired performance 100% achievement of target
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
lT Systems used to capture data
Excel spread sheets and Microsoft word
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
Data limitation None
Type of indicator Output Indicator
Calculation type Cumulative
95
Public Protector South Africa | Annual Performance Plan 2017-2018 Financial Year
Reporting cycle Quarterly
New indicator New indicator
Desired performance 100% achievement of target
lndicator responsibility Senior Manager: ICT
Reporting responsibility Senior Manager: ICT
Target set for the financial year
100% implementation of video conferencing, integrated telephone management system and e-mail encryption by 31 March 2018
lT Systems used to capture data
Microsoft word
Indicator title Obtain a clean Audit
Purpose/importance To adhere to legislative and policy prescripts
Source/collection of data Reports
Method of calculation No calculation
Data limitation None
Type of indicator Output Indicator
Calculation type N/A
Reporting cycle Quarterly
New indicator New indicator
Desired performance 100% achievement of target
lndicator responsibility CFO
Reporting responsibility CFO
Target set for the financial year
Obtain clean audit opinion annually
lT Systems used to capture data
Microsoft word and Microsoft Excel
Indicator title % of implementation of Integrated Security System
Purpose/importance To safeguard employees and property
Source/collection of data Reports
Method of calculation No calculation
Data limitation None
Type of indicator Output Indicator
Calculation type N/A
Reporting cycle Quarterly
96
Public Protector South Africa | Annual Performance Plan 2017-2018 Financial Year
New indicator New indicator
Desired performance 100% achievement of target
lndicator responsibility Senior Manager: Security Management
Reporting responsibility Senior Manager: Security Management
Target set for the financial year
Conduct Threat and Risk Analysis (TRA) in all offices by 31 December 2017.
Implementation of the TRA recommendations by 31 March 2018
lT Systems used to capture data
Microsoft word
Indicator title Own infrastructure assets, vehicles, printing and production facilities
Purpose/importance To save costs for the institution
Source/collection of data Reports
Method of calculation No calculation
Data limitation None
Type of indicator Output Indicator
Calculation type N/A
Reporting cycle Quarterly
New indicator Revised indicator
Desired performance 100% achievement of target
lndicator responsibility Senior Manager: Facilities Management
Reporting responsibility CFO
Target set for the financial year
Develop a Project Plan to implement the recommendations of the feasibility study (for in-sourcing of infrastructure)
lT Systems used to capture data
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
Public Protector South Africa | Annual Performance Plan 2017-2018 Financial Year
Data limitation Reliability of case statistical data because of manual capturing of cases data
Type of indicator Output Indicator
Calculation type Cumulative
Reporting cycle Quarterly
New indicator New indicator
Desired performance 100% achievement of target
lndicator responsibility All Investigation Branch Heads from AJSD, GGI and PII
Reporting responsibility All Investigation Branch Heads from AJSD, GGI and PII
Target set for thefinancial year
100% of new cases received from 1 April 2017 investigated and finalised in accordance with approved service standards
lT Systems used to capture data
Excel spread sheets and Microsoft word
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
Type of indicator Output Indicator
Calculation type Cumulative
Reporting cycle Quarterly
New indicator Old indicator
Desired performance 100% achievement of target
lndicator responsibility All Investigation Branch Heads from AJSD, GGI and PII
Reporting responsibility All Investigation Branch Heads from AJSD, GGI and PII
Target set for thefinancial year
10% decline in turnaround times for investigations received and finalised in 2017/18 FY
lT Systems used to capture data
Excel spread sheets and Microsoft word
98
Public Protector South Africa | Annual Performance Plan 2017-2018 Financial Year
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
Data limitation None
Type of indicator Output Indicator
Calculation type Cumulative
Reporting cycle Quarterly
New indicator Old lndicator
Desired performance 100% achievement of target
lndicator responsibility Branch Heads for AJSD and PII
Reporting responsibility Branch Heads for AJSD and PII
Target set for thefinancial year
Conduct and finalise all existing systemic investigations/Interventions as at 1 April 2017 by 31 March 2018
lT Systems used to capture data
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
Method of calculation Simple count
Data limitation Non-attendance of dialogues
Type of indicator Output Indicator
Calculation type Cumulative
Reporting cycle Quarterly
New indicator Revised indicator
Desired performance 100% achievement of target
lndicator responsibility Executive Manager: CSM
Reporting responsibility Executive Manager: CSM
99
Public Protector South Africa | Annual Performance Plan 2017-2018 Financial Year
Target set for thefinancial year
10 dialogues held with organs of State on systemic challenges held by 31 March 2018
lT Systems used to capture data
Excel spread sheets and Microsoft word
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
Data limitation None
Type of indicator Output Indicator
Calculation type Cumulative
Reporting cycle Quarterly
New indicator Old indicator
Desired performance 100% achievement of target
lndicator responsibility Manager: Compliance
Reporting responsibility Senior Manager: Legal Services
Target set for thefinancial year
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
lT Systems used to capture data
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
Method of calculation Simple count
Data limitation Non-attendance of clinics
100
Public Protector South Africa | Annual Performance Plan 2017-2018 Financial Year
Type of indicator Output Indicator
Calculation type Cumulative
Reporting cycle Quarterly
New indicator Old indicator
Desired performance 100% achievement of target
lndicator responsibility Executive Manager: CSM
Reporting responsibility Executive Manager: CSM
Target set for thefinancial year
84 clinics per province by 31 March 2018
lT Systems used to capture data
Excel spread sheets and Microsoft word
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
Method of calculation Simple count
Data limitation Non-submission of reports by AORC
Type of indicator Output Indicator
Calculation type Cumulative
Reporting cycle Quarterly
New indicator Revised indicator
Desired performance 100% achievement of target
lndicator responsibility Executive Manager: CSM
Reporting responsibility Executive Manager: CSM
Target set for thefinancial year
Enter into 1 bilateral agreement with an ombudsman institution by 31 March 2018
lT Systems used to capture data
Excel spread sheets and Microsoft word