1. Independent Police Investigative Directorate (IPID)
PORTFOLIO COMMITTEE ON POLICE
BRIEFING ON THE IMPLEMENTATION PROGRESS OF THE PCP BRRR RECOMMENDATIONS AND AGSA ACTION PLANS
Independent Police Investigative Directorate (IPID)
Date: 31 OCTOBER 2017
Venue: V226
Time: 10:00-13:00

2. Index TOPIC SLIDES OVERVIEW 3
PROGRESS ON COMMITTEE RECOMMENDATIONS
AGSA FINDINGS 2016/17 – STATUS OF IMPLEMENTATION
CONCLUSION

3. OVERVIEW
The purpose of this briefing is to present IPID’s progress with regards to implementation of the PCP BRRR recommendations and the AGSA Action Plans for the period 2016/2017.
The Directorate will report on 30 November 2017 and thereafter on a quarterly basis on the implementation of AGSA action plans and PCP BRRR recommendations.
Out of 56 AGSA audit findings 40 have been implemented and the remaining 16 are in the process of being implemented are in progress which includes findings that have more than one action plan.
Internal control systems are being strengthened to address gaps that were identified.
Chief Director: Corporate Services will present Committee BRRR Recommendations.
The Acting CFO will present AGSA Audit Action Plans.

4. PROGRESS ON COMMITTEE RECOMMENDATIONS
PCP RECOMMENDATION
ACTION PLAN PROGRESS
RESPONSIBLE PROGRAMME
TIME FRAME
AUDIT ACTION PLAN
The Committee recommends that an Audit Action Plan must be developed and implemented by the Directorate as a matter of priority in order to ensure that the Directorate has an unqualified audit opinion in the 2017/18 financial year.
Action plans were developed by programme managers and responsibility managers, internal audit is monitoring implementation of action plans on a monthly basis and reporting progress to audit committee and PCP quarterly.
Refer to AGSA findings 2016/17 – Status of implementation: 1 to 56.
Acting Director: Internal Audit.
Quarterly
2. VACANCIES
Funded vacancies must be filled as a matter of urgency, especially in the Investigation and Information Programme. The appointment of a qualified Chief Financial Officer (CFO) must be prioritised in an effort to ensure stability within the financial services component of the Directorate. Appropriate consequence management also applies to general poor performance and dereliction of duty
Currently the vacancy rate is at 7%. All positions are in the process of being filled.
Shortlisting session for the CFO vacant post conducted on 23 October 2017 and interviews scheduled for November 2017.
Chief Director: Corporate Services.
1 January 2018

5. PROGRESS ON COMMITTEE RECOMMENDATIONS
PCP RECOMMENDATION
ACTION PLAN PROGRESS
RESPONSIBLE PROGRAMME
TIME FRAME
3. CONSEQUENCE MANAGEMENT
Department must adhere to section 38(1)(h)(iii) of the PFMA, which provides that Accounting Officers must take appropriate disciplinary steps against officials who make or permit irregular or fruitless and wasteful expenditure.
In line with PFMA an investigation was conducted which led to the criminal case being opened and the docket has been handed over to the NDPP.
Executive Director
Done
Implemented monthly performance reporting template to hold Provincial Heads accountable for their provinces performance. Review of performance at the quarterly provincial forum
Chief Director: Investigation and Information Management
4. PROCUREMENT AND CONTRACT MANAGEMENT
Supply Chain Management (SCM) environment must be strengthened and upskilled to ensure that all quotations are awarded to bidders based on preference points allocated and calculated in accordance with the requirements of the Preferential Procurement Policy Framework Act and its regulations.
Capacity in SCM will be strengthened to ensure compliance with SCM legislatives. Additional four posts have been made available from beginning of the new financial year 2018/19.
Acting Chief Financial Officer
01 April 2018

6. PROGRESS ON COMMITTEE RECOMMENDATIONS
PCP RECOMMENDATION
ACTION PLAN PROGRESS
RESPONSIBLE PROGRAMME
TIME FRAME
5. FUTURE FUNDING
The Committee recommends that the Department enhance engagements with the National Treasury, Executive Authority and JCPS Cluster (especially SAPS) to secure additional funding over the MTEF.
All correspondences has been shared with the PCP and acknowledgement received.
Second Info note to be submitted to the Minister regarding the IPID In-year pressure and funding relief.
Acting Chief Financial Officer
Done
25 October 2017
6. EXPENDITURE MANAGEMENT
Department should develop a strategy to honour all goods and services commitment within the prescribed period (30 days) or go without the service. Strict expenditure management controls must be put in place by the Department to ensure that service providers are paid within the allowed timeframe.
Due to the budgetary constraints, the management has taken a strategic decision to close three (3) Satellite offices in order to reduce the cost incurred on contractual obligations.
31 December 2017

7. PROGRESS ON COMMITTEE RECOMMENDATIONS
PCP RECOMMENDATION
ACTION PLAN PROGRESS
RESPONSIBLE PROGRAMME
TIME FRAME
7. CONFLICT OF INTEREST
Regular checks must be conducted to identify whether any IPID official is doing business with the state. This has been criminalised through Section 13(c) of the Regulation and must be enforced.
Submission of declaration of interest by all IPID officials on level 1 – 12.
Comply with the DPSA e-disclosure process of MMS, SCM and finance officials.
Director: Corporate Governance
Done
01 April 2017
8.CAPACITATION OF FINANCE TRAINING
Skills audit must be conducted in the Financial Services Sub programme. All skills shortages found must be addressed through skills training before the end of the current financial year (2017/18).
The AFS must be prepared in accordance to the relevant prescripts. Any deviation thereto must be explained to the Committee.
The skills gaps for SCM practitioners have been identified during their performance assessment. The SCM Bid training has been identified and prioritized for the current financial year.
The AFS are currently prepared as per relevant prescripts and National Treasury guide lines.
Acting Chief Financial Officer
30 November 2017

8. PROGRESS ON COMMITTEE RECOMMENDATIONS
PCP RECOMMENDATION
ACTION PLAN PROGRESS
RESPONSIBLE PROGRAMME
TIME FRAME
9. PERFORMANCE MANAGEMENT SYSTEM.
Directorate must perform a critical assessment of the Performance Management System to analyse performance indicators and the process behind ensuring proper records management. The Directorate must ensure that the Performance Management System must be able to give reliable performance information.
Full Case Management System (CMS) evaluation will be done and system will be enhanced to be in line with Standard Operating Procedure (SOPS) after appointment of the programmer.
In addition, additional positions will also be created to ensure CMS is functioning optimally. (SQL database Administrator and Business Analysts)
CD : Investigation and Information Management.
31 March 2018
Full review of ICT infrastructure required and upgrading of entire system to assist operations and critical systems for reporting (CMS) and improved ICT performance.
Additional funding would be required for the entire ICT infrastructure upgrade.
01 April 2018
10. UNDER PERFORMANCE.
Directorate must address the overall underperformance on predetermined performance indicators in future years. The disjoint between expenditure (high at 99%) and performance (low at 35%) should be brought in line with each other
Costing will be done to establish the performance that can be achieved based on budget allocations.
Annual Performance Plan will be aligned to envisaged performance based on costing and allocated budget.
Quality control has been enhanced.
Program Managers
30 November 2017
In progress

9. AGSA FINDINGS 2016/17 – STATUS OF IMPLEMENTATIONS
The 2016/2017 AGSA review report for IPID identified a total of 56 audit findings which comprised of compliance and internal control issues.
Out of 56 audit findings 40 were implemented representing 71% and the remaining are in process of being implemented and quarterly reports will be submitted to the PCP.
Below is the status of implementation in line with action plans and time frames.

10. TOTAL FULLY IMPLEMENTED / ADDRESSED
QUANTIFICATION OF FINDINGS AND PROGRESS MADE
FOCUS AREA
TOTAL NO. OF FINDINGS
TOTAL FULLY IMPLEMENTED / ADDRESSED
Corporate Governance 1
Finance 6 3
HRM 5 2
Asset Management and SCM 7
Auxiliary Services
ICT
Internal Audit
Investigation Management 30 25
Legal Services
TOTAL 56 40

11. AGSA FINDINGS 2016/17 – STATUS OF IMPLEMENTATION
Action Plans
Responsibility and Due Date
Implementation Status
Corporate Governance Unit 01
Officials performed additional remunerative work without prior approval or declaration thereof.
The official has resigned from the company as per the communication to CIPC, awaiting confirmation from CIPC on resignation.
Director: Corporate Governance
01 April 2018
The de-registration process with CIPRO is at the finalisation stages. Consultation with DTI already commenced. Awaiting final feedback from CIPRO.
The official has de-registered as a member of the company.
Executive Director’s Directive issued to all IPID employees with regard to conducting other remunerative work outside their employment in the department as of the company contemplated in Public Service Act and Regulations, including the Public Administration Management Act.
Done

12. AGSA FINDINGS 2016/17 – STATUS OF IMPLEMENTATION
Action Plans
Responsibility and Due Date
Implementation Status
Finance Unit 02
Accruals not accurately disclosed in the notes of the Annual Financial Statement
The development and implementation of electronic accrual register will also ensure accuracy in the case accruals reporting.
Acting Chief Financial Officer
Quarterly
Both Heads of Expenditure management and Supply chain management are validating the quarterly Accruals reconciliation report.
The Management strategic decision to close three (3) Satellite Offices will minimize the budget pressure which will result in reduction of accruals.
31 December 2017
Monthly reconciliation of manual register and electronic ordering systems (LOGIS)

13. AGSA FINDINGS 2016/17 – STATUS OF IMPLEMENTATION
Action Plans
Responsibility and Due Date
Implementation Status
Finance Unit 03
Invoices not made within 30 days from date of receipt.
The reduction of three (3) Satellite offices will partially address the projected shortfall.
Acting Chief Financial Officer
31 December 2017
On monthly basis when compiling the 30 Days reports, the Responsibility Managers are requested to provide reasons in case where payments exceeded 30 days.
The requested assistance of additional funding from SAPS will address the budgetary constraints to ensure that funds are available for service rendered.
31 March 2018
Done
All SMS members` performance agreements (PA) have been amended to include 30 days payment KRA for monitoring and accountability.
Establishment and Centralization of the invoicing unit.
Full implementation of electronic ordering system.
The two capacitated Provinces have been identified for relocation of LOGIS system for effective processing of orders and Invoices within the prescribed period.
Admin Officers will also be provided with the training on LOGIS.
Reducing of invoices through centralisation of some of the services procured .

14. AGSA FINDINGS 2016/17 – STATUS OF IMPLEMENTATION
Action Plans
Responsibility and Due Date
Implementation Status
Finance Unit 04
Other non-pensionable allowances recorded as periodic payments
The Internal verification process has been strengthened to improve the quality of the disclosure notes to the AFS. In addition the quarterly financial statements are prepared and submitted to the Internal Audit for verification also.
Acting Chief Financial Officer
Quarterly
Strengthening of quarterly Financial Statements Verification processes at different levels; including:
-Finance
-Internal Audit
-Audit Committee .

15. AGSA FINDINGS 2016/17 – STATUS OF IMPLEMENTATION
Action Plans
Responsibility and Due Date
Implementation Status
Finance Unit 05
Internal Control deficiency: Misclassification of expenditure
BAS System controller has been tasked to perform a monthly reconciliation on the system captured transactions and the SCOA.
Quarterly Compliance Certificate will be issued to confirm accuracy and completeness.
Acting Chief Financial Officer
Quarterly
Monthly reconciliation and verification processes have commenced 06
Long Service award provision not disclosed
The long service award report is drawn on quarterly basis to confirm the disclosed amount.
Done 07
Brief description of the contingent liability not disclosed
The brief description on contingent liability has been included in the final AFS and has also been updated in the quarterly financial statements submitted to both National Treasury and AG.
Done.

16. AGSA FINDINGS 2016/17 – STATUS OF IMPLEMENTATION
Action Plans
Responsibility and Due Date
Implementation Status
Legal Services Unit 08
Fruitless and wasteful expenditure incurred on the re-organisation process.
Management has revisited the entire population and updated amount to R2.2 million in total.
The money spend in the unlawful reorganisation proceeds to be recovered from the responsible official.
Acting Chief Financial Officer
Chief Director: Legal Services
15 November 2017
Done
Consultation with Counsel. 09
Prior year irregular expenditure not investigated.
The official in question left the Department whilst the preliminary investigation was under way. Investigation must be conducted that will inform the Accounting Officer of the appropriate actions to take.
To finalize specification for the appointment of panel of lawyers in order to avoid future recurrence of audit finding.
30 November 2017
31 October 2017
In progress
The specification to be sent to the Bid Specification

17. AGSA FINDINGS 2016/17 – STATUS OF IMPLEMENTATION
Action Plans
Responsibility and Due Date
Implementation Status
Asset Management and SCM Unit 10
Quotations awarded not in accordance with the prescribed preference point system
The introduction of CSD has since addressed this finding as it verifies and validates BBBEE on the system and Government departments are no longer required to request BBBEE certificates from service providers.
Acting Chief Financial Officer
Done
The Department use CSD system to verify and validate BBBEE certificates.
SCM Staff will be provided with training on the SCM prescripts in order to ensure compliance with preference point system for accurate comparative schedule.
The comparative schedule is now compiled by the SCM Buyer, verified by both Assistant Director and the Deputy Director. 11
Contract extensions or renewals not justifiable
The Department has commenced with the centralisation of both security and cleaning services. This will consolidate all extended contracts in two consolidated contracts. National Treasury was also consulted to provide the advice on the gaps that were identified in the specifications.
In progress
The consolidated contracts will alleviate the continuous and unnecessary extensions contracts.

18. AGSA FINDINGS 2016/17 – STATUS OF IMPLEMENTATION
Action Plans
Responsibility and Due Date
Implementation Status
Asset Management and SCM Unit 11
Contract extensions or renewals not justifiable
Acting Chief Financial Officer
In progress
The Security Bid has been adjudicated however based on the recommendations and the identified gaps, the Bid will be re-advertised.
The cleaning bid will be re – advertised due to the received Bids that did not meet specifications requirements.

19. AGSA FINDINGS 2016/17 – STATUS OF IMPLEMENTATION
Action Plans
Responsibility and Due Date
Implementation Status
Asset Management and SCM Unit 12
Contract extension exceeding 15% of original contract not approved by Treasury
In case where the Department is expected to extend any contract for valid and acceptable reasons, the National Treasury will be requested to approve the 15% thresholds in line with the Instruction note
Acting Chief Financial Offices
In progress
The irregular expenditure reported as a result 15% access has been quantified to request the condonement from National Treasury. 13
Internal control deficiency (Investigations not conducted on assets that could not be verified)
Some of the investigations were finalized and the ED has approved the assets that will be written off.
Conducting Quarterly Asset verification in conjunction with Heads of Admin in all the Provinces.
Acting Chief Financial Officer
Done

20. AGSA FINDINGS 2016/17 – STATUS OF IMPLEMENTATION
Action Plan (s)
Responsibility and Due Date
Implementation Status
Asset Management and SCM Unit 14
Internal Control Deficiency: Central Supplier Database reports
SCM when sourcing quotations ensures that the CSD reports are printed and verified by both the Buyer and the Assistant Director before procurement.
Acting Chief Financial Officer
Done
On advertised tenders, Bidders are requested to attach the CSD reports and SCM also prints the CSD reports to validate.

21. AGSA FINDINGS 2016/17 – STATUS OF IMPLEMENTATION
Action Plan (s)
Responsibility and Due Date
Implementation Status
Asset Management and SCM Unit 15
Non-compliance to PFMA and Preferential Procurement Regulations with regards to awarding of BBBEE points
The certified copy of BBBEE certificate was requested and attached to the file.
The comparative schedule is now compiled by the buyer and verified by Assistant Director and the Deputy Director.
Acting Chief Financial Officer
Done 16
Inadequate Logistical Information System (LOGIS) user account management policy
The user account policy will be updated to include monitoring of access logon violations. Currently the policy has been updated. It is currently at draft stage.
The policy has been drafted and submitted to Legal Service for quality assurance

22. AGSA FINDINGS 2016/17 – STATUS OF IMPLEMENTATION
Action Plans
Responsibility and Due Date
Implementation Status
Human Resource Management Unit 17
Employee appointed without meeting the minimum qualification requirements.
Roles of panel members for recruitment to be presented to MANCO.
Refresher training course for HRM recruitment and selection representatives to be coordinated.
Chief Director: Corporate Service.
18 October 2017
31 January 2018
Done
In progress
Chief Director: Corporate Service
27 October 2017
ED’s Directive to be circulated highlighting SAQA and shortlisting process. 18
Approval of the selection committee and qualification checks not provided.
Refresher training course for HRM recruitment and selection representatives to be coordinated to ensure that records are kept in line with check list provided.
Reminder of record keeping for recruitment documents was made during MANCO on 18 October 2017.
Spot checking during Provincial visits is in progress.

23. AGSA FINDINGS 2015/16 – STATUS OF IMPLEMENTATION
Action Plans
Responsibility and Due Date
Implementation Status
Human Resource Management Unit
Chief Director: Corporate Service
27 October 2017
ED’s Directive to be circulated highlighting SAQA and shortlisting process. 19
Housing allowance application not signed for approval- Internal Control Deficiency.
Another level of verification has been issued with instruction in writing that the Deputy Director: HRM must verify Housing allowance application forms.
Done

24. AGSA FINDINGS 2016/17 – STATUS OF IMPLEMENTATION
Action Plan (s)
Responsibility and Due Date
Implementation Status
Human Resource Management Unit 20
Positions (Director Investigation Advisory Services) not advertised within 6 months and not filled within 12 months as required.
This post is amongst other positions that were put on hold as a result of budget reduction during the adjusted Estimates of National Expenditure (ENE) on compensation of employees.
Therefore advertising and filling of the post would have resulted in overspending and exceeding the ceiling on compensation of employees.
Chief Director: Corporate Service
The position in question is one of the 35 frozen posts. However, all posts are advertised immediately after being vacant.

25. AGSA FINDINGS 2016/17 – STATUS OF IMPLEMENTATION
Action Plans
Responsibility and Due Date
Implementation Status
Human Resource Management Unit 21
Key management Personnel Disclosure note incorrectly calculated.
The revised amount as agreed with the Auditors has been communicated to Finance to update the disclosure note in question.
The current verification process will be strengthened to ensure that the information is prepared, verified for accuracy with the source and quarterly Interim Financial Statements disclosure notes.
Director: Internal Audit
Quarterly
Internal Audit to conduct quarterly verification on key management personnel disclosure notes

26. AGSA FINDINGS 2016/17 – STATUS OF IMPLEMENTATION
Action Plans
Responsibility and Due Date
Implementation Status
Auxiliary Services Unit 22
Incorrect Kilometres claimed by officials
The official kilometres travelled claims are compiled by the applicant, verified by an administration official (Auxiliary Unit) and approved by the Supervisor of the applicant before submitted to finance for payment. This internal control process is viewed as an acceptable system to ensure accuracy as there are various role-players involved prior to the payment.
Chief Director: Corporate Services
In progress
The Auxiliary Services is now utilizing the Google maps to obtain approximate KMs distances travelled.
With regard to the specific cases raised in the finding, the role-players involved provided various reasons to support the kilometres travelled.
Done

27. AGSA FINDINGS 2016/17 – STATUS OF IMPLEMENTATION
Action Plans
Responsibility and Due Date
Implementation Status
Internal Audit Unit 23
Internal control Deficiency - Internal Audit not conducting any work on Procurement and Contract Management
The 2017/2018 Internal Audit Plan included an audit review on Procurement and Contract Management.
Acting Director: Internal Audit.
Done
Procurement and Contract Management audit review has commenced and it is on the execution stage.
Information Communication Technology Unit 24
Inadequate database management
The Department does not have a post of Database Administrator (DBA) on its establishment nor does it have anyone skilled to perform this function. The DBA post was proposed together with the Programmer post, however only the Programmer post was approved and funded.
Director: ICT
31 March 2018
Programme 2 has offered to convert the vacant ASD: Knowledge Management post to SQL Database Administration. The Job Evaluation process is currently underway.

28. AGSA FINDINGS 2016/17 – STATUS OF IMPLEMENTATION
Action Plans
Responsibility and Due Date
Implementation Status
Information Communication Technology Unit
Training programme will be developed and implemented for the newly appointed Principal Network Controller to be trained on SQL Database Administration. Once trained, he will then be assigned the DBA roles.
Application and Database Management Policies will also be developed.
Director: ICT
31 March 2018 25
Inadequate user access controls on Flow Centric system
All requests for user access changes are preceded by completed and approved forms by line managers and supervisors.
Done

29. AGSA FINDINGS 2016/17 – STATUS OF IMPLEMENTATION
Action Plans
Responsibility and Due Date
Implementation Status
Information Communication Technology Unit 26
Inadequate maintenance of the department’s facilities and environmental controls
Uninterrupted Power Supply (UPS):
The equipment has reached its lifespan, and there were no funds to replace it. In the interim the Department relies on the generator.
Fire detection system:
Security Management Unit is in the process of appointing a service provider to perform maintenance work on the security systems including the fire detection system.
Director: ICT
01 April 2018
There are still no funds allocated for the UPS replacement and other infrastructure requirements.

30. AGSA FINDINGS 2016/17 – STATUS OF IMPLEMENTATION
Action Plans
Responsibility and Due Date
Implementation Status
Investigation and Information Management 27
Duplicate cases reported in the flow centric system.
Standard Operating Procedure (SOPS) reviewed to ensure that the Case Intake Committee (CIC) verifies that the case is not a duplicate.
Case Management System (CMS) to be enhanced to identify duplicates based on name, surname (free text), D.O.B., Police Station and CAS linked to time and date of incident.
Chief Director: Investigation and Information Management
28 February 2018
Once the programmer is appointed, we will amend and extend the variables that can be used to identify possible duplication.
Lastly we will engage the programmer to create a script that will remove cases completed and closed as duplicates from the intake.

31. AGSA FINDINGS 2016/17 – STATUS OF IMPLEMENTATION
Action Plans
Responsibility and Due Date
Implementation Status
Investigation and Information Management 28
Overstatement of the backlog cases that are decision ready
Monthly reporting template introduced to ensure provinces do a reconciliation of all completed cases (Current and Backlog cases).
Chief Director: Investigation and Information Management.
Done
The SOPS were amended and work shopped and the Provincial Heads will have to verify all backlog cases that are completed and ensure statistical accuracy. This will be done in conjunction with the use of the Completion Check List.

32. AGSA FINDINGS 2016/17 – STATUS OF IMPLEMENTATION
Action Plans
Responsibility and Due Date
Implementation Status
Investigation and Information Management 29
Supporting documentation not included in the case investigation files.
Checklist to be introduced to ensure that supervisors and Provincial Management check all documents and completeness of the case(s).
Chief Director: Investigation and Information Management.
Done
Completion Check List to be completed with all investigations that are to be considered for completion to ensure that all investigative information is available in the docket. 30
The cases were referred to be investigated by SAPS however reported as decision ready
SOPS reviewed to deal with cases that are referred to SAPS when a person involved is not a SAPS member.
SOPS provide for proper referral of cases to SAPS.

33. AGSA FINDINGS 2016/17 – STATUS OF IMPLEMENTATION
Action Plans
Responsibility and Due Date
Implementation Status
Investigation and Information Management 31
Notifications of discharge of fire arm from SAPS have being incorrectly classified as decision ready cases.
SOPS have been amended to give more guidance as to which cases should be registered for investigation and which should be recorded as outside mandate for record keeping.
All cases to be registered in the manual registration register.
Chief Director: Investigation and Information Management.
Done
SOPS have been amended and workshopped to give more guidance as to the registration of Section 28(1)(c) matters 32
Current year intake cases closed as special closure
SOPS amended to ensure that no case is closed as special closure.
CMS to be enhanced to address the special closure.
Issues were addressed in the SOPS and work shopped on SOPS.
CMS has been enhance to do away with special closure.

34. AGSA FINDINGS 2016/17 – STATUS OF IMPLEMENTATION
Action Plans
Responsibility and Due Date
Implementation Status
Investigation and Information Management 33
No firearm permit obtained for investigation of discharge of official firearm
This will be done by means of the use of the Completion Check List to ensure investigations are complete and all required documentation are obtained.
Chief Director: Investigation and Information Management.
Done
Check List was created to ensure that investigations are completed and required document are attached. 34
Cases re-registered with different case control numbers and reported as decision ready.
SOPS to be amended.
CMS to be enhanced on appointment of Programmer to ensure that cases are not duplicated using the same CAS details.
CMS to be enhanced. 35
Cases where no full investigations or recommendations made regarded as decision ready.
Issue was addressed in the SOPS and it will be done by means of the use of the Completion Check List to ensure investigations are complete.
SOPS amended.

35. AGSA FINDINGS 2016/17 – STATUS OF IMPLEMENTATION
Action Plans
Responsibility and Due Date
Implementation Status
Investigation and Information Management 36
Cases reported as decision ready without following standard operating procedures.
The issue to be addressed in the SOPS and it will be done by means of the use of the Completion Check List to ensure investigations are complete.
Chief Director: Investigation and Information Management.
Done
SOPS amended and work shopped. 37
Cases where recommendations were not submitted to the external stakeholders.
Issue to be addressed in the SOPS and it will be done by means of the use of the Completion Check List to ensure investigations are complete.
In addition, this will also be checked against the inputs received from Programme 4 and the information from Provinces as per the Monthly Narrative Report.
SOPS reviewed and engagements with Programme 4 will take place to verify information.

36. AGSA FINDINGS 2016/17 – STATUS OF IMPLEMENTATION
Action Plans
Responsibility and Due Date
Implementation Status
Investigation and Information Management 38
Duplicate cases recorded in the flow centric system.
SOPS to be reviewed to ensure that the CIC verifies that the case is not a duplicate.
CMS to be enhanced to identify duplicates based on name, surname (free text), D.O.B., Police Station and CAS number.
Chief Director: Investigation and Information Management
28 February 2018
Once the programmer is appointed, we will amend and extent the variables that can be used to identify possibly duplication.
Lastly we will engage the programmer to create a script that will remove cases completed and closed as duplicates from the intake.

37. AGSA FINDINGS 2016/17 – STATUS OF IMPLEMENTATION
Action Plans
Responsibility and Due Date
Implementation Status
Investigation and Information Management 39
Cases where no full investigations or recommendations made regarded as decision ready
SOPS to be reviewed to deal with cases that are referred to SAPS.
CMS to be aligned with SOPS once programmer appointed and all enhancements effected
Chief Director: Investigation and Information Management
28 February 2018
Done
SOPS amended and work shopped.
CMS to be aligned once programmer has been appointed. 40
The cases recorded as any other referred matters have been classified
SOPS have been amended to ensure that CIC properly classifies cases. Cases can also be reclassified upon completion.
Issue was addressed in SOPS and CMS. 41
Documents not included in the case investigation file
Checklist introduced to ensure that supervisors and Provincial Management check all documents and completeness of the case(s).
Completion Check List to be completed with all investigations that are to be considered

38. AGSA FINDINGS 2016/17 – STATUS OF IMPLEMENTATION
Action Plans
Responsibility and Due Date
Implementation Status
Investigation and Information Management
Chief Director: Investigation and Information Management
for completion to ensure that all investigative information is available in the docket. 42
Case referred to SAPS for investigation, however recorded as decision ready
SOPS to be reviewed to deal with cases that are referred to SAPS when a person involved is not a SAPS member.
Done
SOPS provides for proper referral of cases to SAPS.

39. AGSA FINDINGS 2016/17 – STATUS OF IMPLEMENTATION
Action Plans
Responsibility and Due Date
Implementation Status
Investigation and Information Management 43
Notifications of discharge of fire arm from SAPS have been incorrectly classified as decision ready case
SOPS to be amended to give more guidance as to which cases should be registered for investigation and which should be recorded for record keeping.
All cases to be registered in the manual registration register.
Chief Director: Investigation and Information Management
Done
SOPS have been amended to give more guidance as to the registration of Section 28(1)(c) 44
No receipt date stamped on the complainant forms (Adjustments)
SOPS to be amended to require a date stamp on all written complaints received and CIC to confirm that the date stamp information correctly reflects on CMS.
SOPS amended and workshopped 45
No receipt date stamped on the complainant forms.

40. AGSA FINDINGS 2016/17 – STATUS OF IMPLEMENTATION
Action Plans
Responsibility and Due Date
Implementation Status
Investigation and Information Management 46
Recommendations submitted to stakeholders however not recorded in the Master Register
Monthly Narrative Report to be introduced and implemented to ensure that provincial offices verify information in the master register against information in the files.
Chief Director: Investigation and Information Management
Done
Monthly Narrative Report implemented. 47
Internal control deficiency- Rejections of cases not within the mandate of IPID
SOPS to be amended to ensure that CIC properly classifies cases. Cases can also be reclassified upon completion.
The issue was addressed in SOPS and CMS. Cases can be re-classified upon completion.

41. AGSA FINDINGS 2016/17 – STATUS OF IMPLEMENTATION
Action Plans
Responsibility and Due Date
Implementation Status
Investigation and Information Management 48
Misclassification of investigation cases reported between different indicators
SOPS to be amended to ensure that CIC properly classifies cases. Cases can also be reclassified upon completion.
Chief Director: Investigation and Information Management
Done
Issue was addressed in SOPS and CMS. Cases can be re-classified upon completion. 49
Internal control deficiencies identified in relation to registration of cases on the flow centric system
SOPS to be amended and CIC to confirm that the date stamp information correctly reflects on CMS.
SOPS amended and workshopped

42. AGSA FINDINGS 2016/17 – STATUS OF IMPLEMENTATION
Action Plans
Responsibility and Due Date
Implementation Status
Investigation and Information Management 50
Lack of Segregation of duties on the case information
SQL database administrator and business analyst to be appointed to deal with segregation of duties on the CMS once funding has been obtained.
Chief Director: Investigation and Information Management
01 April 2018
Positions needs to be created and funding obtained 51
There is no unique identifier for complainants.
CMS to be enhanced to identify duplicates based on name, surname (free text), D.O.B., Police Station and CAS linked to a case.
28 February 2018
Once the programmer is appointed, we will amend and extent the variables that can be used to identify possibly duplication. 52
The system does not allow re-classification of case
SOPS to be amended to ensure that CIC properly classifies cases. Cases can also be reclassified on the CMS upon completion through prepare edit report activity.
Done
Issue was addressed in SOPS and CMS

43. AGSA FINDINGS 2016/17 – STATUS OF IMPLEMENTATION
Action Plans
Responsibility and Due Date
Implementation Status
Investigation and Information Management 53
Pending cases appear on work list of an employee who has left the organisation
Provinces will have to verify on a monthly basis the correctness on CMS users and access levels. Will be added to the monthly narrative report
Chief Director: Investigation and Information Management
Done.
Added to the Monthly Narrative report 54
Access rights not automatically deactivated on the system once the acting period has elapsed.
CMS to be enhanced to de-activate the user rights automatically.
31 March 2018
Existing function to be enhanced to include automatic deactivation.

44. AGSA FINDINGS 2016/17 – STATUS OF IMPLEMENTATION
Action Plans
Responsibility and Due Date
Implementation Status
Investigation and Information Management 55
Recommendations submitted to NPA within 30 days; however it was recorded in the Master Register as more than 30 days.
A check list and monthly verification template to be developed to ensure accuracy of information on the master register.
Chief Director: Investigation and Information Management
Done
The CMS to be enhanced to do away with a manual register.
31 March 2018
Enhancement to be implemented after the appointment of the Programmer

45. AGSA FINDINGS 2016/17 – STATUS OF IMPLEMENTATION
Action Plans
Responsibility and Due Date
Implementation Status
Investigation and Information Management 56
Recommendations submitted to stakeholders within 30 days; however it was not recorded in the Master Register as more than 30 days.
A check list and monthly verification template to be developed to ensure accuracy of information on the Master Register.
Chief Director: Investigation and Information Management
Done
Check list has been implemented to ensure accuracy of information captured in the Master Register.
The CMS to be enhanced to do away with a Manual Register
31 March 2018
Enhancement to be implemented after the appointment of the Programmer.

46. CONCLUSION
Strengthening of internal control systems.
Capacitation of internal governance units/components within the department.
Implementation of AGSA recommendations with management action plans.
Continuous monitoring of strategies identified to improve performance of Programmes.
Financial constraints remain to hamper the Department’s ability to implement the IPID Act.