briefing by the saps to the portfolio...

BRIEFING BY THE SAPS TO THE PORTFOLIO COMMITTEE ON

POLICE: ACTION PLAN TO ADDRESS THE AGSA’S FINDINGS,

2015/2016

15 November 2016

Contents

1. Auditor-General of South Africa Findings Action Plan:

Programme 2: Visible Policing (5 findings);

Programme 3: Detective Service – Specialised Investigations (3 findings);

Programme 3: Detective Service – Forensic Science Laboratory (1 finding); &

Actions to be addressed in support of the rectification of all 9 findings.

2. Overview of the SAPS’s Combined Assurance Process:

Combined Assurance Lines of Defence; &

Combined Assurance Dashboard

3. Annual Financial Statements

4. Procurement & Contract Management

1. Auditor-General of South

Africa (AGSA) Findings

Action Plan

4

Matters Affecting the Auditor-General’s Report

2015/2016 (AGSA’s Material Findings)

Programme 2

Visible Policing

• Quantity of illicit drugs confiscated as a result of police

actions

• Volume of liquor confiscated as a result of police action

• Percentage of stolen / lost firearms recovered in relation to

the number of firearms reported stolen / lost

• Percentage of stolen / lost state-owned firearms recovered

in relation to the number of firearms reported stolen / lost

• Number of schools linked to police stations to advance the

school safety programme

Programme 3:

Detective Service

• Anti-Corruption Task Team:

• Value of amount involved in procurement fraud and corruption related

cases

• Number of serious commercial crime-related trial ready cases dockets

where officials are involved including procurement fraud and corruption

• Percentage trial-ready case dockets for serious commercial

crime-related charges

• Detection rate for serious commercial crime-related charges

• Percentage of ballistics (IBIS) intelligence case-exhibits (entries)

finalized within 28 working days

5

Key Rectification Drivers Underpinning the AGSA’s

Findings Action Plan

Key

Rectification

Drivers:

Layered approach to data anomaly detection, i.e. geographically (nationally &

provincially) as well as methodologically (manual & system reports).

Coordinated, comprehensive compliance inspections, targeting stations visited by the

AGSA & stations at which data anomalies have been detected & corrected.

Prioritisation of stations audited by the AGSA during 2015/2016 by key internal

assurance providers (Internal Audit & Management Interventions).

Consequence management (during & after implementation to ensure sustainability).

Identification, analysis & review of all relevant organisational controls.

Review of all related business processes & the relevant Technical Indicator Descriptions

(TIDs).

Monthly monitoring of the implementation of the AGSA Findings Action Plan by

Strategic Management & the relevant Division & quarterly monitoring by the National

Management Forum (NMF), including the imposing of consequence management for

identified non-compliance.

The AGSA Findings Action Plan will extend until the end of the 3rd Quarter 2017 and will

be updated to include the AGSA’s 2016/2017 Interim Management Letter

AGSA Finding:

Quantity of illicit drugs confiscated as a result of police actions

Volume of liquor confiscated as a result of police action

Primary Organisational

Control:

Operational Planning and Monitoring System (OPAM) System Standard Operating

Procedure

Deta

il o

f th

e F

ind

ing

: Quantity of illicit drugs incorrectly

captured on OPAM (26%)

No forensic report on drugs

confiscated on OPAM (20%)

Drugs captured on OPAM not

recorded on SAPS 13 register (19%)

Volume of liquor incorrectly


Volume of liquor confiscated not


Volume of liquor captured on OPAM

not recorded in SAPS 13 register

(1%)

Differences between classifications

of liquor confiscated as recorded on

OPAM and SAP 13 register (0.8%)

AG

SA

Reco

mm

en

dati

on

s: 1. On a daily basis, station commanders should

review information captured on the OPAM system

by comparing information per OPAM to SAPS 13

register and SAPS 13 store.

2. Where there are discrepancies, station

commanders should ensure that these

discrepancies are appropriately dealt with and

rectified.

3. Station commanders should ensure that all

confiscated drugs are sent to the forensic science

laboratory for analysis to determine the nature of

confiscated drugs.

4. Station commanders should also ensure that

SAPS 13 register is updated after receipt of the

forensic science laboratory reports.

5. Station commanders should validate drug

successes on OPAM by tracing drug successes as

per the OPAM to SAPS 13 register.

6

Programme 2: Visible Policing: Quantity of illicit drugs &

Volume of liquor confiscated as a result of police action (1)

Error Rate:

65% (127/194)

Error Rate:

45% (56/124)

7



AGSA Finding:

Quantity of illicit drugs confiscated as a result of police actions

Volume of liquor confiscated as a result of police action

Root Causes of the Finding:

1. Shortage of capacity at Stations for the capturing, verification & authorisation of information on OPAM

(trained members moved).

2. OPAM capturing & verification “over & above” functions.

3. OPAM Capturers & Verifiers not all trained due to high turnover of personnel.

4. OPAM Capturers, Verifiers & Approvers ignore system protocols (share passwords).

5. OPAM is slow at times, resulting in captured information being lost due to system shutdown.

6. Supervision of OPAM capturing & verification not done leading to capturing & verification not being

performed.

7. The SAPS 594 is a time-consuming document to complete.

8. Data anomalies are currently identified manually.

9. Not all stations have weighing scales & existing scales are not adequately calibrated to weigh small

volumes (drugs).

10. Performance management mechanisms relevant to stations do not reflect functions relevant to the

management of the OPAM System.

11. The prescripts guiding the administration of the SAPS 13 Property Register are not adhered to in respect

of entries regarding drugs & liquor confiscated due to negligence, non-compliance or inadequate

training.

8



Key Actions ResponsibilityPerformance

IndicatorsTargets

1. Monitor the OPAM System daily (weekdays) to

identify data anomalies (drugs & liquor) at stations,

targeting stations visited by the AGSA.

Component

Head:

Proactive

Policing

Services

Number of stations at

which anomalies

were identified

All identified stations’

supporting data

(SAPS 13 Register)

verified within 1

working day

2. Conduct compliance inspections at police stations at

which data anomalies have been identified &

targeting stations visited by the AGSA, using the

purpose-designed inspection template, correct

inconsistencies & provide in-service training.

Number of stations

inspected12 Stations

3. Identify unverified data captured on the OPAM

System through quarterly ad hoc reports provided

by Technology Management Service (TMS) &

activate corrective action at identified stations.

Number of stations at

which corrective

action was taken


supporting data

verified within 5

working days of the

end of a quarter

4. Ensure inclusion of key functions related to the

managing of drug performance management

information into the PEP Plans & Job Descriptions of

the Provincial Head: Visible Policing, Cluster

Commander, Station Commander & OPAM

Coordinator.

Approved generic PEP

Plans & Job

Descriptions

31 March 2017

Root Cause (8)

Root Causes

(2/10)

9




IndicatorsTargets

5. Review the SAPS 594 (Operations Success

Report) to ensure its relevance & optimal

functionality.

Component

Head: Proactive

Policing Services

Approved SAPS 594 30 November 2016

6. Conduct OPAM information sessions with

Provinces to ensure the uniform

implementation of corrective action [2

sessions conducted in the Eastern Cape,

Gauteng - 27 October, Northern Cape - 2

and 4 November 2016]

9 information

sessions31 March 2017

7. Monitor the OPAM System to identify data

anomalies (drugs & liquor) at stations,

targeting stations visited by the AGSA.

Provincial

Heads: Visible

Policing

Number of stations

at which anomalies

were identified

All identified stations’ data

(SAPS 13 Register) verified

daily

8. Conduct compliance inspections at police

stations at which data anomalies have been

identified & targeting stations visited by the

AGSA, using the purpose-designed

inspection template & the updating of the

SAPS 13 register in respect of the Section

212 Forensics Service Laboratory Report.

Number of stations

inspected16 per Province per Quarter

AGSA

recommendations

(1/2)

Root Cause (7)

10




IndicatorsTargets

9. Ensure the implementation of corrective

measures & consequence management.

Provincial

Heads: Visible

Policing

Number of

members

charged

departmentally

Target not set (statistical

indicator), including

correlation with the

number of stations at

which data anomalies &

non-compliance were

detected

10. Conduct a skills audit on OPAM System training

requirements (coordinators, approvers, verifiers

& data capturers).

Completed skills

audit31 December 2016

11. Prioritize the training of identified personnel in

the OPAM Learning Programme

Provincial

Heads: Human

Resource

Development

Number of

members trained

To be informed by the

skills audit

Root Causes (1/3)

11




IndicatorsTargets

12. Conduct compliance inspections at police

stations (using the purpose-designed inspection

template) & ensure the updating of the SAPS 13

register in respect of the Section 212 Forensics

Service Laboratory Report.

Cluster

Commanders

Number of

stations

inspected

All stations in the Cluster

per Quarter

13. Conduct weekly compliance inspections at the

police station (using the purpose-designed

inspection template) & ensuring the updating of

the SAPS 13 register in respect of the Section

212 Report.

Station

Commanders

Number of

inspections

conducted

Monthly Compliance

certificates submitted

within 5 working days of

the month-end

14. Ensure OPAM Coordinators conduct daily

(weekdays) data integrity checks correlating the

data on OPAM versus the SAPS 13 register &

store.

Compliance

certificates

Weekly certificates

submitted within 2

working days of the end

of week

15. Implement corrective measures, including

consequence management.

Number of

members

charged

departmentally


indicator

AGSA

recommendations

(3/4)

AGSA

recommendation

(1)

Root Cause (6)

AGSA

recommendation

(2)

AGSA

recommendations

(3/4/5)

12



Emerging

Issues:

Prioritized OPAM Training for

Capturers, Verifiers &

Authorisers.

Procurement of portable

weighing scales (tender

process).

Calibration of weighing scales

to enable measurement of

small quantities (tender

process).

OPAM System enhancement

to:

Provide system notification of data

anomalies.

Provide system notification of a breach

in the capturing, verification &

authorisation process.

Ensure integration of OPAM & the

Property Control and Exhibit

Management (PCEM) System

Root Causes (1/3)

Root Cause 9

Root Cause 9

Root Causes (8/4)

Deta

il o

f th

e F

ind

ing

: Firearms not circulated on

EFRS (35%).

Overstatement of lost

firearms (State firearms)

(34%)

Limitation of scope – Case

dockets not submitted for

audit purposes (14%).

AG

SA

Reco

mm

en

dati

on

: 1. Management should ensure that negligent losses

or enquiry files should be opened for all lost / not

reported as lost firearms.

2. Furthermore, management should ensure that the

recovered firearms are circulated on the ERF System

as soon as they are reported as stolen or recovered.

3. Limitation of scope – Case dockets not

submitted for audit purposes (14%).

4. Station commanders should ensure that all

firearms reported as stolen are circulated as a loss

on the EFRS as soon as possible within the same

period reported.

5. Station commanders must implement and

maintain proper record keeping ensuring that

information requested is submitted and available for

audit purposes as required by section 41 of the

PFMA.

13

Programme 2: Visible Policing – Percentage stolen lost

firearms / state-owned firearms recovered (1)

AGSA Findings:

- Percentage of stolen / lost firearms recovered in relation

to the number of firearms reported stolen / lost

- Percentage of stolen / lost state-owned firearms

recovered in relation to the number of firearms reported

stolen / lost

Primary Organisational Control:Draft Standard Operating Procedure on Notification of

Lost, Stolen and Found Firearms (Circulation of Firearms)

Error Rate:

35% (32/91)

Error Rate:

48%(20/41)

14



AGSA Findings:

- Percentage of stolen / lost firearms

recovered in relation to the number of

firearms reported stolen / lost

- Percentage of stolen / lost state-owned

firearms recovered in relation to the number

of firearms reported stolen / lost


1. Data limitation, stolen/lost firearms not reported as stolen, hence not circulated.

2. Firearms recovered often have firearm numbers & unique markings removed to avoid

identification.

3. SAPS 521 (f) – Notification of Lost/Stolen/Found Firearms Form, not completed (negligence

& non-compliance).

4. Shortage of capacity at Stations for the performing of the Designated Firearms Officer

(DFO) function.

5. Not all DFOs trained on the Enhanced Firearms Register System (EFRS).

6. Inspections not conducted by cluster & station management.

7. Performance management mechanisms relevant to stations do not reflect functions

relevant to the management of the EFRS.

15




IndicatorsTargets

1. Finalisation of the draft Standard Operating

Procedure on the Notification of Lost, Stolen &

Found Firearms (Circulation of Firearms).

Component

Head: Firearms,

Liquor &

Second-Hand

Goods

Approved SOP 31 March 2017

2. Identify firearms not circulated, linked to Crime

Administration System (CAS) numbers, through

ad hoc reports from TMS.

Number of stations

at which corrective

action was taken


data verified within 5

days of the end of a

month

3. Conduct regular, unannounced inspections at

stations using the purpose-designed template

to correct identified discrepancies & ensuring

the circulation of firearms & the opening of

enquiry files for firearms not reported as lost /

stolen.

Number of stations

inspected

9 Stations per

Quarter (including

AGSA Stations)

Number of enquiry

files opened

4. Ensure inclusion of key functions & timeframes

(7 days for circulation of firearms) related to the

managing of the circulation of firearms into the

PEP Plans of Provincial Head: Visible Policing,

Cluster Commander, Station Commander & the

Designated Firearms Officer (DFO).

Approved generic

PEP Plans & Job

Descriptions

31 March 2017

AGSA

recommendation

(4)

Root Causes (1/2)

Root Causes (1/6)

Root Causes

(4/5/7)

AGSA

recommendation

(4)

16




IndicatorsTargets

5. Conduct regular, unannounced

inspections at stations to correct

identified discrepancies using the

purpose-designed template, including

comparing the SAPS 13 register &

store and the Enhanced Firearm

Register System (EFRS) & ensure

circulation.Provincial Head:

Visible Policing

Number of stations

inspected

10 Stations per Province per

Quarter (including AGSA

Stations)

6. Conduct a skills audit on the EFR

System training requirements (DFOs).Completed skills audit 31 December 2016

7. Ensure the implementation of

corrective measures & consequence

management.

Number of members

charged

departmentally


indicator), including

correlation with the number

of stations at which data

anomalies & non-

compliance were detected

Root Cause (3)

Root Cause (6)

17




IndicatorsTargets

8. Prioritize the training of DFOs on the EFRS.

Provincial Head:

Human Resource

Development

Number of

members trained

versus the training

requirement

To be informed by

the skills audit

9. Conduct regular, unannounced inspections at

stations using the purpose-designed

template, including comparing the SAPS 13

register & store & the EFRS, ensuring the

circulation of firearms within 7 days & the

opening of enquiry files for firearms not

reported as lost / stolen.Cluster Commanders

Number of stations

inspected

All stations in the

Cluster per

Quarter

10. Conduct random compliance inspections on

case dockets registered for stolen / lost

firearms to ensure availability of the case

dockets & completion of the SAPS 521 (f).

Percentage case

dockets inspected in

terms of which the

SAPS 521 (f) has

been completed &

filed

100%

AGSA

recommendations

(3/5)

Root Cause (5)

Root Causes (1/6)

Root Cause (3)

18



Key Actions Responsibility Performance Indicators Targets

11. Conduct regular, unannounced

inspections at stations to correct

identified discrepancies using the

purpose-designed template, including

comparing the SAPS 13 register, 13

Store & the EFRS, ensuring circulation

within 7 days & the opening of enquiry

files for firearms not reported as lost /

stolen.

Station Commanders

Compliance certificates

Weekly

certificates

submitted

12. Ensure the registration of both criminal

and departmental cases in the event of

a SAPS firearms being reported,

recovered or detected as having been

lost & stolen.

Percentage instances of a lost

/ stolen SAPS firearms in

terms of which both criminal

and departmental cases were

registered

100%

13. Ensure the completion of the SAPS

521(f) for the circulation of firearms.

Detective

CommandersCompliance certificates

Weekly

certificates

submitted

14. Implementation of corrective measures,

including consequence management.Station Commanders Number of members charged

Target not set

(statistical

indicator)

AGSA

recommendation

(1)

Root Causes (1/6)

Root Cause (3)

Deta

il o

f th

e F

ind

ing

: Number of

schools linked to a

police station

reported to

Divisional level

was incomplete

(34%)

Not reported in

Quarter 3 (3%)

AG

SA

Reco

mm

en

dati

on

: 1. Cluster commander should

ensure that all schools within

the eThekwini outer cluster

are linked to the police

station.

2. Cluster commanders

should ensure that all schools

linked are reported to the

Province and Divisional level

in a form of Monthly returns.

3. The Provincial Head should

ensure that the consolidated

list of schools linked within

the province is reported to

the Divisional level.2.

Co

mm

en

t: Please note that the indicator

was changed during 2016/2017

to : Percentage of school safety

programmes implemented at

identified schools.

The findings by the AGSA do,

however, remain relevant as a

schools safety programme

cannot be initiated at a school

without it having being linked

to a specific police station.

19

Programme 2: Visible Policing – Number of schools linked

to police stations (1)

AGSA Finding:

Number of schools linked to police

stations to advance the school safety

programme

Primary Organisational Control:Draft Schools-based Crime

Prevention Guidelines

Error Rate:

37% (55/148)

20



AGSA Finding:

Numbers of schools linked to police

stations to advance the school safety

programme


1. Lack of an SOP for schools-based crime prevention, a guideline is currently used.2. The detail associated with the TID related to the management of information &

source documents related to the indicator are not properly understood or not properly applied by members at cluster & stations.

3. The information & source documents related to the indicator are not verified consistently by Commanders at all levels, but particularly at cluster & station levels.

21



Key Actions Responsibility Performance Indicators Targets

1. Develop a SOP for schools-based

crime prevention (currently draft

guideline).

Component

Head: Social

Crime Prevention

Approved SOP 31 March 2017

2. Confirm 2016/2017 targets on number

of Safer Schools Programmes to be

implemented at linked schools,

communicate the TID & its related

requirements & confirm reporting

requirements.

Conduct an information &

planning session with the

Provincial Heads Visible

Policing

30 June 2016

3. Ensure that realistic targets are set for

the measurement of the

implementation of Safer Schools

Programmes.

Conduct a National Safe

Schools Review Session with

the Dept. of Basic Education

15 July 2016

4. Conduct provincial interventions to

assist all Provinces with the practical

linkage of schools to police stations &

workshop the TID and its related

requirements.

9 sessions By 31 March 2017

AGSA

recommendation

(3)

Root Cause (2)

Root Cause (1)

Root Cause (3)

22




IndicatorsTargets

5. Ensure that all monthly feedback reports have been

validated by cluster commanders & consolidate the

information into a quarterly return [The signed

provincial report & supporting information is

submitted to the Divisional Commissioner: Visible

Policing].

Provincial

Commissioners

Monthly returns &

compliance

certificates

Within 5 working

days of the end

of a month


validated by cluster commanders, including schools

linked to police stations, & consolidate the monthly

return for the cluster, including specifically the

schools within the Ethekwini Cluster. [The signed

report & supporting information is submitted to

the Provincial Commissioner].

Provincial Heads:

Visible Policing

Monthly returns &

compliance

certificates

Within 4 working

days of the end

of a month


validated by station commanders & consolidate the

monthly return for the cluster [The signed report &

supporting information is submitted to the

Provincial Head: Visible Policing].

Cluster

Commanders

Monthly returns &

compliance

certificates

Within 3 working

days of the end

of a month

8. Designate a member(s) responsible to implement

Safer Schools Programmes in linked in [the

members’ Job Description is updated to reflect the

added responsibility].

Station

Commanders

Updated

Certificates

indicating

designated

members &

approved JDs

Within 2 working

days of the end

of a month

AGSA

recommendation

(1/3)

Root Cause (4)

AGSA

recommendation

(2)

23




IndicatorsTargets

9. Validate all reports on the

implementation of Safer Schools

Programmes at linked schools [The

signed report & supporting information

is submitted to the Cluster Commander].

Station

CommandersMonthly reports

Within 2 working days

of the end of a month

10. Validate the partnership with the linked

school & record the details of the linkage

on the prescribed template.

Designated

MemberCompleted templates

Within two weeks of

the validating of the

partnership

11. Conduct Safer Schools Programmes in

conjunction with the linked school.

Designated

Member

Monthly reportsWithin 1 working day


12. Consolidate & record all crime

prevention activities or interventions at

schools in the Safe Schools Programmes

file.

Designated

Member

AGSA

recommendation

Root Cause (4)

24

Programme 3: Detective Service, Specialised Investigations

– Anti-Corruption Task Team (1)

AGSA Finding: Anti-Corruption Task Team (ACTT):

- Number of serious commercial crime-related trial ready cases dockets where

officials are involved including procurement fraud and corruption

- Value of amount involved in procurement fraud and corruption related cases

Limitation of

scope

Deta

il o

f th

e F

ind

ing

: ACTT: Scope Limitation

(National) - no evidence

provided to support the

performance reported

(R36 202 600 (million) and 18

trial-ready case dockets as

reported in the 2015/2016

Annual Report) As a result

performance indicator could

not be verified

ACTT: Scope limitation

(Polokwane) - failed to provide

returns to head office on a

monthly basis for quarterly

reporting. The information

submitted was progress

reports of the individual cases

and not the returns as

required.

Commercial crime unit

restraint amounts recorded

instead of ACTT

ACTT has not been reporting

its performance in the

Quarterly reports.

AG

SA

Reco

mm

en

dati

on

: 1. SAPS should ensure that there is sufficient and appropriate evidence to

support all their performance information reporting and information

available to allow proper audit trail.

2. In addition proper record should be kept of all final orders obtained i.e.

confiscation and forfeiture orders.

3. Monthly returns and progress reports must be submitted timeously. The

information contained in these monthly returns and progress reports need

to be verified before being submitted as indicated in the Performance

Information Management Framework (PIMF) 2015/2016

4. ACTT unit commander to ensure that monthly returns are submitted to

head office and differentiate between progress reports and returns for

statistics and auditing.

5. ACTT unit commander to ensure compliance with PFMA and the PIMF

2015/2016.

6. Accounting officer to ensure that the all Specialised Units are aware of

and have the PIMF 2015/2016.

7. The Commander: Management Information and Strategic Planning at the

DPCI should compare the information received for the ACTT unit with the

supporting documentation to include it in the quarterly report template.

8. The designated official at Monitoring and Evaluation should confirm the

information with the supporting document for quarterly and annual

reporting.

9. ACTT and the Commercial Crime Unit should ensure that returns are

compiled and submitted separately.

25



AGSA Finding: Anti-Corruption Task Team (ACTT):

- Value of amount involved in procurement fraud and corruption

related cases

- Number of serious commercial crime-related trial ready cases

dockets where officials are involved including procurement fraud

and corruption


1. Commanders & members do not have a thorough

understanding of the performance reporting

requirements and relevant directives documented

in the relevant TIDs.

Comment:

Please note that while the value of amount

involved in procurement fraud and corruption

cases is a Medium-Term Strategic Framework

(MTSF) performance indicator, it should not

have been allocated to the DPCI, but rather to

the National Prosecuting Authority (NPA).

26




IndicatorsTargets

1. Standardize / formalize the approach

to reporting performance information

to ensure the capturing of the

information required & to ensure

physical evidence supporting the

stated achievement.

Component

Head: Serious

Corruption

Investigation

Approved & distributed

reporting template

Completed on 1

November 2016

2. Conduct inspections at Units focusing

on the ACTT Performance Information

System, case dockets & Case Control

Registers to monitor performance &

the recording of performance-related

information.

The number of Units

inspected

All Units inspected

by 31 March 2017

3. Improve coordination & engagement

within ACTT structures.

Monthly meetings with

ACTT Stakeholders12 meetings

4. Ensure that all monthly returns from

Provinces are verified & certified.

Monthly certification of

performance reports

On or before the 5th

of every month

AGSA

recommendations

(1/3)

AGSA

recommendations

(1-5)

AGSA

recommendation

(1)

27




IndicatorsTargets

5. Separate performance reporting by the

two components (Serious Corruption &

Serious Commercial Crime

Investigation).

Commander:

National

Management

Information &

Strategic Planning

Established reporting

procedures & templates

Completed

6. Conduct quarterly comparisons of

reported performance information with

relevant source documentation.

Approved quarterly

performance

information

As per communicated

quarterly performance

reporting schedule

7. Ensure that all Commanders have a

thorough understanding of the

requirements of the TIDs and related

directives.

The percentage

Commanders briefed100%

8. Certify the correct completion of

performance information templates for

submission to the Component Head:

Serious Corruption Investigation.

Provincial

Commanders:

Serious Corruption

Investigation

Certified performance

information reports

On or before the 5th of

every month

9. Maintain physical copies of returns for

audit purposes. Filed returnsOn or before the 5th of

every month

10. Ensure that physical records of all

confiscation & forfeiture orders are

maintained.

Physical inspections of

all case dockets

Monthly certification

submitted

AGSA

recommendation

(9)

Root Cause (1)

AGSA

recommendations

(2)

AGSA

recommendations

(2)

AGSA

recommendation

(6)

28




IndicatorsTargets

11. Conduct inspections on case dockets &

CAS to ensure compliance.

Unit Commanders:

Serious Corruption

Investigation

Compliance certificatesWeekly certificates

submitted

12. Ensure the implementation of

corrective action, including the in-

service training of members & institute

consequence management where

required

The number of

members charged

No target set

(statistical indicator)


performance information templates &

the required supporting information

for submission to the Provincial

Commander: Serious Commercial

Crime.


information reports



AGSA

recommendations

(3/4/5)

29


– Commercial Crime (1)

AGSA Finding:

Percentage trial-ready case dockets for serious

commercial crime-related charges

Detection rate for serious commercial crime-related

charges

Error Rate: 30%

(30/100)

Deta

il o

f th

e F

ind

ing

: Trial-ready rate:

Limitation of scope -

failed to provide

supporting documentation

(monthly returns and CAS

printouts) for the

performance reported on

the quarterly reports.

Detection Rate:

Cases were incorrectly recorded as trial ready case dockets in the 3rd Quarterly report

Cases could not be traced back to the list of cases provided by the DPCI for audit (8 cases)

AG

SA

Reco

mm

en

dati

on

:

Trail-ready rate:

1. The Commercial Crime Unit Commander should ensure that the

members utilize CAS in the process of investigation and when the

investigation is being finalized to ensure that a report can be

drawn from CAS for the performance indicator.

2. The Commercial Crime Unit Commander should ensure that all

supporting documentation and information be available in order

for the validity and accuracy of the information provided in the

quarterly reports to be verified.

Detection rate:

3. The Unit Commander should implement the following controls:

3.1 The Unit Commander should ensure that regular reviews on the monthly and quarterly reporting are performed, and all errors are corrected on a timely basis.

3.2 The Unit Commander should do regular follow ups on errors that have not yet been corrected and ensure that all errors are corrected.

3.3 The discrepancies should be investigated and updated on quarterly reports to ensure that year end reporting will be accurate, valid and complete.

Error Rate: 31%

(26/83)

30



AGSA Finding:

Percentage trial-ready case dockets for serious

commercial crime-related charges

Detection rate for serious commercial crime-

related charges


1. Commanders & members do not have a thorough understanding of the performance reporting

requirements & relevant directives documented in the relevant TIDs.

2. Adequate source document controls are not in place.

3. Commanders & investigating officers are not updating the CAS/ICDMS, either due to non-compliance

or a lack of training.

31




IndicatorsTargets

1. Conduct inspections at all Serious Commercial

Crime Units to correlate case dockets with the

CAS/ICDMS and ensure the maintenance of

performance & supporting information

Component

Head: Serious

Commercial

Crime

Number of Units

inspected

All Units inspected

by 31 March 2017

2. Compile data integrity reports on information

captured on CAS pertaining to all Serious

Commercial Crime Units.

Data integrity reports Monthly

3. Liaise with TMS to develop a functionality on

CAS/ICDMS to enable Serious Commercial

Crime Units to draw the percentage of trial-

ready case dockets.

Developed

CAS/ICDMS

functionality

Monthly feedback

until the

functionality is

developed

4. Ensure all Serious Commercial Crime Units

implement a source document (Case Control

Register) to validate the accuracy of monthly,

quarterly & annual performance information.

Distributed directive 1 November 2016

5. Ensure that all monthly returns from Provinces

are verified & certified.

Monthly certification

of performance

reports

Within 5 working

days of the end of a

month

6. Ensure the inclusion of a KPA in the

Performance Agreements & PEP Plans of all

Commanders relating to the management of

performance information.

Signed-off

performance

agreements & PEP

Plans

31 March 2017

AGSA

recommendations

(1/2)

Root Cause (2)

AGSA

recommendations

(2)

32




IndicatorsTargets

7. Conduct Quarterly Performance Reviews

to ensure accuracy of reported

information.

Provincial

Commanders:

Serious

Commercial Crime

Minutes of Quarterly

Performance Reviews


of the end of a quarter

8. Conduct a comparison of the CAS & the

Business Intelligence (BI) System before

compiling monthly return.Certified performance

information reports


of the end of a month9. Certify the correct completion of


submission to the Component Head:

Serious Commercial Crime.

10. Conduct inspections on case dockets &

CAS to ensure compliance. Unit

Commanders:

Serious

Commercial Crime

Compliance certificatesWeekly certificates

submitted

11. Ensure the implementation of corrective

action, including the in-service training

of members & institute consequence

management where required

The number of members

charged

No target set (statistical

indicator)



submission to the Provincial

Commander: Serious Commercial Crime.


information reports



AGSA

recommendations

(2)

AGSA

recommendations

(2)

Root Cause (2)

33




IndicatorsTargets

13. Conduct Quarterly Performance Reviews

to ensure accuracy of reported

information.

Unit

Commanders:

Serious

Commercial Crime

Minutes of Quarterly

Performance Reviews


of the end of a quarter

14. Ensure the correction of data anomalies

reflected in monthly data integrity

reports.

Compliance certificatesMonthly certificates

submitted

15. Ensure that performance information

discrepancies that are identified are

investigated, ensure corrective action is

implemented & update quarterly &

annual performance reports.

Commander:

National

Management

Information &

Strategic Planning

Compliance certificatesMonthly certificates

submitted

16. Ensure that all Commanders have a

thorough understanding of the

requirements of the TIDs.

The percentage

Commanders briefed100%

Root Cause (1)

AGSA

recommendation

(3.1)

AGSA

recommendation

(3.3)

AGSA

recommendation

(3.2)

34

Programme 3: Detective Service, Forensic Science

Laboratory (1)

AGSA Finding:

Percentage of ballistics intelligence

(IBIS) case-exhibits (entries) finalized

within 28 working days

Primary Organisational Control:

Standard Operating Procedure:

FSL00030P Case Administration &

Exhibit Management

Error Rate:

71,13% (69/97)

Deta

il o

f th

e F

ind

ing

:

Inability to verify FSL admin

dates captured (69.07%).

No FSL system controls to limit

entry of completion of case

before date of registration

(2%).A

GSA

Reco

mm

en

dati

on

: 1. The Regional Commander

should ensure that the unit

follows the Performance

Information Management

Framework 2015/2016 in their

process of case reception,

registering, analysing, and

completion of a case.

35


Laboratory (2)

AGSA Finding:

Percentage of ballistics (IBIS)

intelligence case-exhibits (entries)

finalized within 28 working days


1. At the time of the audit, the Forensic Science Laboratory (FSL) Administration System did not permit the

manual capturing of the actual receipt date of the exhibits by the data typist. The FSL Administration

System automatically configures a registration date which is the date the exhibits were captured on the

system. Furthermore, it did not prevent the capturing of a completion date before the registration /

receipt date.

Clarification Comments:

Integrated Ballistics Intelligence System (IBIS) exhibits were received during a time when the FSL

Admin system was off-line.

Subsequently, the IBIS examiners commenced the performing of a forensic examination in order to

prevent back-logs developing.

The finalisation date of the examination was captured on IBIS when the examination was completed.

The IBIS exhibits were later registered when the FSL Admin System came on-line.

The date of registration (receipt) was automatically populated by the FSL Admin System (after the

date completion of the examination) & the date of completion was imported from IBIS system &

captured on the FSL Administration System used.

36


Laboratory (3)


IndicatorsTargets

1. Facilitate the upgrade / enhancement of

the FSL Administration System to permit a

receipt date to be entered by the capturer

and to prevent a data entry being made for

case completion date, before the receipt &

registration date entry.

FSL Management &

Division technology

Management Services Enhanced system

functionality

31 November

2016

2. The revision of SOP: FSL0030P and

implementation thereof to address the

findings.

FSL: Quality ManagerRevised and

implemented SOP01 October 2016

3. Facilitate forensic awareness and

workshops (quality circles) to ensure that

members are conversant with the revised

SOP, namely FSL0030P (Case Registration &

Exhibit Management)

Quality Managers FSL

Section Head /

CommandersNumber of forensic

awareness workshops

1 by 31

December 2016

(Continuous for

new members)

4. Conduct quality inspections and audits at

Forensic Science Laboratories to assess the

level of compliance to SOP: FSL0030P.

FSL Quality Managers

Number of Quality

inspections and audits

conducted

1 per Quarter

5. Monitoring and evaluation of the enhanced

FSL Admin system to ensure integrity of the

data from the system

Technology

Management Services

and FSL Laboratory

Management

Monthly Monitoring &

Evaluation and trend

analysis

Within 5 working

days of the end

of a month

AGSA

recommendation (1)

Root Cause (1)

37

Actions to be addressed in Support of the Rectification of

all 9 Findings


IndicatorsTargets

1. Assess all stations audited by the AGSA

during 2015/2016 to determine the

impact of a layered approach to

inspections in respect of all findings &

ensure accountability through the

application of consequence

management.

Head: Strategic

Management

Assessment reports

detailing repeat

findings &

recommending

consequence

management

31 December

2016 &

31 March 2017

2. Conduct an assessment of the all

relevant TIDs to determine their

relevance, appropriateness and viability.

Assessment Report 31 March 2017

3. Ensure that all provinces, clusters &

stations receive the approved TID & all

relevant directives relating to the

performance indicators.

Submitted

confirmation

certificates

30 November

2016

4. Identify & analyze relevant

organizational controls to the AGSA

findings.

Analysis Report 31 March 2017

5. Ensure an integrated approach to the

conducting of visits by internal

assurance providers.

Combined assurance

allocations for

2016/2017

31 March 2017

2. Overview of the SAPS’s

Combined Assurance

Process

Fourth Line of Defence

39

First Line of Defence

Line Managers:

- Station Commanders

- Cluster Commanders

- Provincial Commissioners

- Divisional Commissioners

Organisational Controls:

- Standard Operating Procedures

- Standing Orders

- National Instructions

- Official Directives

Second Line of Defence

Management (functional areas)

Management Interventions:

- Compliance Management; &

- Correction of under-

performance

Risk Management

Third Line of Defence

Internal Audit

Combined Assurance Lines of Defence

Top Management

National Management Forum /Audit Committee

Regulatory Supervisors

External Audit

Correlation of all

findings

Integrated, single

Findings

Rectification Plan

Reinforcement of

organisational

controls &

consequence

management

40

Combined Assurance Dashboard

Combined

Assurance

Dashboard

Line Management

Factory Walk

Checklist

Station Risk

Response Plan

Management & Management Interventions (MI)

Support

capabilities, e.g.

Financial

Management,

SCM

270 Priority

Stations (MI)

Computerised

Assessment Tool

(CAT)

Internal Audit

Risk-based Audits

Performance

Audits

Consulting Audits

External Audit

Financial

Predetermined

Objectives

Compliance

Oversight Bodies

Portfolio

Committee on

Police

Civilian

Secretariat

SAPS Audit

Committee

3. Annual Financial

Statements

• Keep full and proper records of the financial affairs of the

department.

• Prepare financial statements in accordance with generally

recognised accounting practice.

• Submit financial statements within two months after the

financial year (31 May).

• Auditor General (AG) to audit and submit their report ( 31 July).

End-year Reporting: Annual Financial

Statements42

• Prepared on a modified cash basis, in accordance with the formats /

standards prescribed by the National Treasury, where only certain

elements are recognised in the primary financial statements i.e.:

– Appropriation statement;

– Statement of financial performance (income statement);

– Statement of financial position (balance sheet); and

– Statement of changes in net assets and cash flow statement.

• Primary financial information (notes) thereto i.e. revenue, expenses,

assets and liabilities (Supporting notes).

• Secondary financial information that has been recorded, but did not

qualify for recognition in the primary financial statements (Additional

Notes).

Annual Financial Statements43

• Pre-month end and year-end closure meetings: 18 February 2016.

• Month-end closure: 31 March 2016 - 8 April 2016.

• Processes between 14 March and 8 April:

– Final withdrawal of funds at National Treasury.

– Final payment of revenue raised during the financial year.

– Finalisation of all ledger account transactions.

– Ensure that all transactions were received from National Treasury and

captured on POLFIN.

– Ensure that all transactions are reconciled.

• Actions after year end closure: 9 - 10 April 2016

– Roll-over of transactions to 2016/17 financial year .

Process Flow: Month- and Year-end Procedures44

• Preparing the Annual Financial Statements (AFS):

– Obtain information to compile the Accounting Officers report.

– Submission of information: 15 April 2016.

– Management review and sign off: 13 May 2016.

– Revise and finalise the accounting policies.

– Obtain information from responsible environments to prepare the appropriation statement, primary

financial statements and notes, secondary financial notes and annexures.

– Overall management review and sign off: 25 April 2016.

– Prepare secondary notes for commitments and accruals: 18 May 2016.

– Management review and sign off for commitments and accruals: 20 May 2016.

– Signing of the AFS by the accounting officer between 23 - 27 May 2016.

– Submission of AFS on 31 May 2016 to National Treasury.

• Overall Action Steps:

– Intensify review actions before sign-off.

– Capacity in the specific environment to be strengthened.

Process Flow: Month- and Year-end Procedures

cont.45

• Annual Financial Statements:

– The financial statements submitted for audit were not supported by full and proper

records.

– Material misstatements of immovable tangible assets, operating lease commitments,

and contingent liabilities identified by the auditors in the submitted financial

statements were subsequently corrected and the supporting documents were

provided subsequently.

• Procurement and contract management:

– Persons in service of the Department of Police who had a private or business interest

in contracts awarded by the Department of Police failed in certain instances to

disclose such interest.

• Reference to internal control e.g. monitoring, record keeping etc.:

– Referring to the above.

Report of the Auditor General to Parliament 46

• “Incorrect classification of Work in Progress (WIP) relating to the

Telkom Towers building”

• Accounting Manual for Departments / Standard:

– Capital WIP current costs and finance lease payments:

• The payments made during the current reporting period on projects where

the relevant asset is not ready for use at year-end.

– WIP projects – asset ready for use:

• Once a project asset is ready for use, the budget holder must bring the total

cost to bring the asset to that position and condition into its asset register.

• Once all obligations in terms of the contract are concluded the final costing

must be done and the asset register updated.

Finding: Immoveable Capital Asset (Note 30

and Annexure 7)47

• Action Steps:

– SAPS purchased building in 2015/16 financial year and paid DPW.

– SAPS viewed the payment of the building as work in progress (title deed

registration in April 2016 etc.) and not included in additions (asset

register).

– AGSA viewed initially the transaction as a prepayment.

– National Treasury ruled that the building (transaction) should be treated

as an addition to the asset register and not work in progress.

– Capital work in progress clarification to be enhanced with the National

Treasury (Accounting Treatment).

Finding: Immoveable Capital Asset (Note 30

and Annexure 7) cont.48

• “The lease commitments disclosed were calculated incorrectly”


– A lease is an agreement whereby the lessor conveys to the lessee in return for a

payment or series of payments, the right to use an asset for an agreed period of

time.

– DPW devolved its property leasing budget which is reflected as a budget for

property leases on user department’s budgets.

– The lease budget appears on a user department’s budget which is used to pay

DPW for private owned leased accommodation.

– DPW continues to enter into leases to supply in the accommodation needs of

departments.

– DPW thus still procure and manage leases on behalf of client departments.

Finding: Operating Lease Commitment for

Land and Buildings (Note 22.1)49

• Action Steps:

– Lease Commitments: Land and Buildings:

• SAPS used Property Management Information System data of DPW to compile relevant

note.

• Certain data, specifically related to four indefinite leases were found not to be correct by

AG. National Treasury was approached.

• SAPS subsequently obtained and reviewed more than 1000 lease agreements and

adjusted data.

• Establish and intensify monthly review meetings on Facility Component level. (Maintain

secondary database).

• Strengthen capacity of Sub Section: Rental and Leases in order to perform monitoring

and verifications (±3 posts).

• Activate quarterly forum meetings between DPW and SAPS, specifically aimed at leases.

• Senior Management to sign off on timeous submission of reported information.

Finding: Operating Lease Commitment for Land

and Buildings (Note 22.1) cont.50

• “Incorrect estimated amounts were incorrectly captured on the system,

and some civil claims were duplicated on the system”


– A contingent liability may arise from unexpected events that are not wholly within

the control of the department.

– Civil claims against the state (department / province) that have not been settled

(by a court order or mutually between the parties) must be included in

contingent liabilities.

– Certain types of claims are normally overstated.

– SAPS uses amounts claimed from the Department in letters of demand received

from claimants.

Finding: Contingent Liabilities (Civil Claims

note 18 and Annexure 5) 51

• Action Steps

– Process summary:

• In terms of Act 40 of 2002 (Institution of Legal Proceedings Against Certain Organs of State Act),

legal proceedings (summons issued) cannot be instituted against a Department without

complying with the Act i.e. serving a letter of demand.

• Upon receipt of a letter of demand (via facsimile, electronic mail, registered mail or hand

delivered) at either the Division: Legal & Policy Services, the Minister or the National

Commissioner’s office, the letter of demand is forwarded to Archives & Registry to open a file.

• The file is then forwarded to Division: Legal & Policy Services: Litigation & Administration.

• Upon receipt of the file, a civilian number is created.

• Thereafter an incident is registered and an acknowledgment of receipt typed.

• A schedule is then prepared for the relevant Province (where the incident occurred) and the

letter of demand with the schedule is then scanned and e-mailed to the relevant Province.

• The acknowledgment of receipt is thereafter transmitted via facsimile or post to the claimant or

the latter’s legal representative.


note 18 and Annexure 5) cont.52

• Upon receipt of the letter of demand the Provincial Legal Services must open a file and capture the provincial

file number on the Loss Control System against the specific incident number.

• An instruction must be send to the relevant station to investigate the claim details as per the letter of demand.

• Once the investigation is finalised, the report with supporting documentation is forwarded to Provincial Legal

Services.

• The latter must then check the Loss Control System for details (i.e. specific station, amount) according to the

investigation report and documents and amend (update) the Loss Control System where necessary.

• It must be noted that during the investigation of the claim and/or after receipt of the investigation report

Summons can be served.

• Once a Summons is served, the Loss Control System must be updated as the claim amount can differ from the

amount in the letter of demand, as well as a cause of action can be added and thus the Loss Control System

must be amended where necessary. Instructions are provided to the State Attorney and normal litigation

proceed.

• During the litigation process the Loss Control System must be updated as the claim amount can be increased

(amended) by a Plaintiff, e.g. in the case of a shooting incident, assault, etc. until finalisation of the litigation

(payment of court order/settlement or dismissal of claim).



• Existing controls:

– Monthly reports (exception reports) are drawn from the Loss Control System and brought to the attention of all

Provincial Heads: Legal Services, as updating of the Loss Control System is the responsibility of all legal offices

during the litigation process. The rating reports also provide an indication of whether the Loss Control System

is updated regularly.

• Additional controls to enhance accuracy of data:

– The Loss Control System has a control function (S.3.15) but it is currently allocated to administrative personnel

(capturers of data). This will be revoked and allocated to supervisors (to be identified by Provincial Heads), so

as to ensure segregation between the functions of capturing and control.

– Furthermore all Provincial Heads must ensure that monthly physical checks are done, i.e. data on the Loss

Control System against files (this instruction was provided in July after the Auditor-General’s findings where

provided).

– Training is provided to all officers and administrative personnel on the Loss Control System to ensure data

integrity; interpretation of reports; verification of data and amendments where necessary. The training

programme commenced in September 2016.

– Provincial Heads will be instructed to report on a quarterly basis the frequency on which reports were drawn,

deficiencies identified and corrections made (specifically with regard to amounts, updates and exceptions).

Finding: Contingent Liabilities (Civil claims


4. Procurement & Contract

Management

• “Inadequate monitoring of controls to detect SAPS staff members performing remunerative

work without approval”

• Policy:

– All employees of the SAPS (level 1-15), who earn money or any income from a source other than

their SAPS salary, must apply for authorization in writing.

– National Instruction 4 of 2012 regulates the performance of external remunerative work and

stipulates certain types of work that are prohibited as remunerative work while a person is in the

employ of the SAPS.

– In terms of the delegation of powers, only a Provincial Commissioner or Divisional Commissioner

may approve applications to perform remunerative work.

– The prescribed application form must be completed and submitted for consideration annually.

– The relevant Provincial Commissioner or Divisional Commissioner record all information related to

applications received, authorisation granted and applications not approved, on a database. The

information is submitted to Head Office for consolidation of a national database.

Finding: Procurement and Contract

Management56

Finding: Procurement and Contract

Management cont.57

• Action Steps:

– Two circulars were issued instructing SCM practitioners in SAPS to verify the identity

number(s) as provided by bidders against the Public Servant Verification System which

resides on the website of the Department of Public Service and Administration. (If found

that any of the directors/members/shareholders are employed by the State such written

price quotation or bid will be disqualified).

– The SAPS has implemented National Treasury’s Central Supplier Database (CSD) which came

into in effect on 1 July 2016. The CSD verifies the status of directors and shareholders of

bidders against various databases as part of its compliance checks on State employees.

– Importance of this matter was raised and reiterated at a recent National Procurement

Forum which was held with all Section Heads in divisions and provinces.

– Public Service Regulations (13C) published on 29 July 2016 also require that an employee

shall not conduct business with any organ of state or be a director of a public or private

company conducting business with an organ of state, unless such is in an official capacity a

director of a company listed in schedule 2 and 3 of the PFMA (by 31 January 2017).

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