ICD Independent Complaints Directorate Annual Report 201l-20l2 independent complaints directorate Department: Independent Complaints Directorate REPUBLIC OF SOUTH AFRICA Submission of Annual Report to the Minister of Police Mr EN Mthethwa Minister of Police I have the honour of submitting the Annual Report of the Independent Complaints Directorate for the period 1 April 2011 to 31 March 2012. Mr Francois Beukman Executive Director 31 July 2012 ICD Annual Report 2011-2012 General Information DEPARTMENT: INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 Contents 1. page GENERAL INFORMATION 2 Vision, Mision and Values Legislative Mandate Minister’s Statement Deputy Minister’s Statement Accounting Officer’s Overview 2 3 6 8 10 INFORMATION ON PREDETERMINED OBJECTIVES 12 Overall Performance Voted Funds Aim of vote Overview of the service delivery environment for 2011/12 Key strategic achievements Overview of the organisational delivery environment for 2011/12 Key policy developments and legislative changes Departmental revenue, expenditure and others Programme Performance Programme 1: Administration Programme 2: Complaints processing, monitoring and investigation Programme 3: Information management and research Statistics 12 12 12 13 14 14 14 15 17 17 21 23 25 3. HUMAN RESOURCES MANAGEMENT 46 4. OTHER INFORMATION 66 Acronyms List of contact details 66 66 ANNUAL FINANCIAL STATEMENTS 71 Report of the Audit Committee Report of the Accounting Officer Report of the Auditor-General Appropriation Statement Notes to the Appropriation Statement Statement of Financial Performance Statement of Financial Position Cash Flow Statement Accounting Policies Notes to the Annual Financial Statements Disclosure notes to the Annual Financial Statements Annexures to the Annual Financial Statements 72 74 85 89 98 100 101 102 103 110 121 131 2. 5. ICD Annual Report 2011-2012 page 1 General Information 1. General Information 1.1. Mission Statement The aim of the Independent Complaints Directorate (ICD) is to ensure independent oversight over the South African Police Service (SAPS) and the Municipal Police Services (MPS), and to conduct independent and impartial investigations of identified criminal offences allegedly committed by members of the SAPS and the Municipal Police Services, and make appropriate recommendations. 1.1.1. Vision To promote proper police conduct in accordance with the principles of the Constitution. 1.1.2. Mission An effective, independent and impartial investigating and oversight body that is committed to justice and acting in the public interest while maintaining the highest standards of integrity and excellence. 1.1.3. Values The ICD aspires to adhere to the highest standards of ethical behaviour, integrity and the continuous application of our values. The following values are the core from which we operate and respond: • Mutual respect and trust • Integrity and honesty • Transparency and openness • Equity and fairness • Courtesy and commitment ICD Annual Report 2011-2012 page 2 General Information 1.2. Legislative and Other Mandates 1.2.1. Constitutional mandate Section 206(6) of the Constitution of the Republic of South Africa makes provision for the establishment of an independent police complaints body and stipulates that: “On receipt of a complaint lodged by a provincial executive, an independent police complaints body established by national legislation must investigate any alleged misconduct of, or offence committed by, a member of the police services in the province.” 1.2.2. Current legislative mandates 1.2.2.1. South African Police Service Act Chapter 10 of the SAPS Act 68 makes provision for the establishment of the ICD at both national and provincial levels. The ICD functions independently from the SAPS. In terms of section 53(1)(a) of the Act, the principal function of the ICD is to achieve the objective contemplated in section 222 of the 1993 Interim Constitution: “There shall be established and regulated by an Act of Parliament an independent mechanism under civilian control, with the object of ensuring that complaints in respect of offences and misconduct allegedly committed by members of the service are investigated in an effective and efficient manner.” In terms of section 3(a) of the SAPS Act, no organ of state and no member or employee of an organ of state or any other person shall interfere with the executive director or a member of the personnel of the Directorate in performing his or her duties. In terms of section 4 of the Act, all organs of state shall offer any assistance that may be reasonably required for the protection of the independence, impartiality, dignity and effectiveness of the directorate. Section 53(2) of the Act stipulates that the ICD: (a) May mero motu or upon receipt of a complaint, investigate any misconduct or offence allegedly committed by a member, and may, where appropriate, refer such investigation to the commissioner concerned. (b) Shall mero motu or upon receipt of a complaint, investigate any death in police custody or as a result of police action. May investigate any matter referred to the ICD by the minister or member of the executive council (MEC). The executive director of the ICD may, in terms of sections 53(6)(b), (c) and (i): (a) Request and obtain information from any commissioner or police official as may be necessary for conducting any investigation (section 53(6)(b)). (b) (i) Monitor the progress of (ii) Set guidelines regarding (iii) Request and obtain information regarding an investigation referred to a commissioner under section 53(2)(a) (section 53(6)(c)). ICD Annual Report 2011-2012 page 3 General Information (c) Make recommendations to the commissioner concerned (section 53(6)(i)). Under section 53(8) of the SAPS Act, the national or provincial commissioner of the SAPS must notify the ICD of all cases of death in police custody or as a result of police action. In terms of section 64 of the Act, read with regulation 9 and appendix 5 of the Regulations for Municipal Police Services, the ICD’s civilian oversight duties also apply to the Municipal Police Services. 1.2.2.2. Domestic Violence Act Section 18 of the Domestic Violence Act 116 (1998) stipulates that failure by a member of the SAPS to comply with an obligation imposed by the Act or the national instructions in subsection (3) of the Act constitutes misconduct as contemplated in the SAPS Act. The ICD must immediately be informed of any misconduct reported to the SAPS. Unless the ICD directs otherwise, the SAPS must institute disciplinary proceedings against any member who allegedly failed to comply with an obligation. The ICD must submit a report to Parliament every six months regarding the number and particulars of matters reported to it in terms of subsection (4)(a), and set out the recommendations made. The national commissioner of the SAPS must submit a report to Parliament every six months regarding steps taken as a result of recommendations made by the ICD. 1.2.2.3. New legislative mandate: The Independent Police Investigative Directorate Act (Act 1 of 2011) The ICD was established in terms of the SAPS Act (1995), which pre-dates the 1996 Constitution. The implementation date of the IPID Act is 1 April 2012. The new legislation will not only have an impact on the investigative capacity and public profile of the ICD, but will also have a direct impact on the administrative structure that will support the adjusted functions of the ICD. The IPID will, however, continue to reside under the Ministry of Police and will function independently of the SAPS. The IPID Act provides for the establishment and assignment of national and provincial functions to the directorate. The IPID Act will give effect to the provision of section 206(6) of the Constitution, ensuring independent oversight of the SAPS and the Municipal Police Services. The net results of the new legislation include the: • Renaming and reorganisation of the ICD • Granting of an extended mandate that focuses on more serious and priority crimes committed by members of the SAPS • Streamlining and reorganisation of the complaint-handling process and investigation functions • Establishment of a dedicated legal services programme • Establishment of a formal liaison mechanism between the ICD and the Civilian Secretariat for the Police Service • Improvement of reporting and accountability practices • Overall improvement of the management structure of the directorate. Renaming the ICD will brand the Directorate as a body that functions independently of the police service and focuses on conducting investigations into offences by police members, rather than merely receiving complaints. The thrust of the work of the directorate, in the process of conducting investigations, is to address systemic problems within the police service and recommend appropriate interventions. ICD Annual Report 2011-2012 page 4 General Information The IPID Act grants the Directorate an extended mandate that focuses on more serious and priority crimes committed by members of the SAPS and the Municipal Police Services. The work of the Directorate will help ensure that the police services become more professional and operate in the spirit of our Constitution. The IPID Act regulates the functions of the Directorate and further provides for: • The establishment of a management committee and consultative forum and their respective functions • The appointment and powers of investigators • Reporting obligations and cooperation by members of the SAPS and the Municipal Police Services • Transitional arrangements, the repeal and amendment of certain laws and related matters. Other objectives of the Act are to: • Align provincial and national strategic objectives to enhance the functioning of the directorate • Provide for independent and impartial investigation of identified criminal offences allegedly committed by members of the SAPS and the Municipal Police Services • Make disciplinary recommendations to the SAPS and the Municipal Police Services resulting from investigations conducted by the directorate • Provide for close cooperation between the Directorate and the secretariat • Enhance accountability and transparency of the SAPS and the Municipal Police Services in accordance with the principles of the Constitution. ICD Annual Report 2011-2012 page 5 General Information Statement by the Minister of Police T he philosophical orientation of our goal is to realize that the South African Police Service (SAPS) is one of the most central of all the institutions of the democratic state; which is charged and is responsible for guaranteeing the stability and the consolidation of our democracy. What this philosophy means is that, our police officers must be seen and see themselves as guardians of human rights generally and the Constitution in particular. When society gets affected by crime, they need to have hope that police will do their best to protect them, not violate their rights. This is the last Annual Report from the Independent Complaints Directorate (ICD); the next report will be from the newly formed Independent Police Investigative Directorate (IPID). In changing the focus and the name of the ICD to the IPID we were sending a clear message on the new focus for IPID. From the next financial year, the directorate’s primary focus must not just be about processing complaints but emphasis is now on developing strong investigative capacity. Not only will the Directorate have the legislative capacity to investigate any police officer involved in human right abuses, but will also be able to use this investigative capacity to investigate issues of systemic crime and corruption. The new approach seeks to establish and put in place mechanisms which ensures that the rule of law in is observed even by police themselves. We further want to ensure that the new approach supports our community-policing philosophy. It should also help our efforts as we create and transform the SAPS into a type of police service we envisage. The issue of civilian oversight of the police must not just become a rhetoric slogan. In this context there is no possibility of us moving towards a police state, as some in society have alleged. As government we have committed ourselves to actively combat crime including serious and violent crime by being tougher on criminals and organized syndicates. We have however always emphasized that this tough stance on crime must be balanced by our philosophy that policing must also be based and entrench on a human right culture and be community-orientated and sensitive. Historically there have been problems with the ICD having investigative powers and then having to submit their recommendations to the National Commissioner of Police. The ICD has had no powers to ensure the implementation of its recommendations. With the IPID legislation, the strengthening of this Directorate means that the reporting would go directly to the ministry. With further strengthening of the ICD, as the police leadership we have committed ourselves to continue working for the entrenchment of the human rights culture. We have now provided the new IPID with the necessary tools and it will be up to the leadership of this body to implement their mandate. ICD Annual Report 2011-2012 page 6 General Information This Annual Report must demonstrate to Parliament, clear performance measurements for evaluating the effectiveness of the institution over the past financial year. The report must show how targets set in the Annual Performance Plan of the ICD were met, must provide details that will enable us to measure the output and impact of the ICD. The police must recognize that we are a developmental state, as such embrace effective service delivery within the Service. We require police officers that demonstrate through their deeds, firm commitment to ensure government priorities are realized. EN Mthethwa (MP) Minister of Police ICD Annual Report 2011-2012 page 7 General Information Statement by the Deputy Minister of Police A s the Ministry of Police, we are pleased that the Independent Complaints Directorate (ICD) once again has obtained an unqualified audit from the AuditorGeneral for the third year running. This clearly demonstrates a commitment by the management of this institution to improve corporate governance. We hope that this commitment does not change going forward. The ICD has always strived for thorough investigations of complaints against transgressions of police officers. In this regard, the investigative work of the ICD has been focusing on: • Completing investigations of deaths in custody or as a result of police conduct. • Completing investigations of complaints of criminality against members of the SAPS or Municipal Police Services. The completion of such investigations is an important measure of the ICD’s performance. The Ministry has noted that the ICD managed to finalise 90 percent of cases of deaths in custody or as a result of police action. Equally, the ICD completed 86 percent of its investigations into allegations of criminality against members of the SAPS. These performance figures are a clear indication of improvement in the efforts made to strengthen civilian oversight over the police. Notwithstanding, the Ministry of Police notes the challenges that have been experienced by the ICD in the delivery of its mandate, including the following: • The late or non-reporting of deaths and priority crimes. • The lack of co-operation with regards to identification parades. • The lack of implementation of ICD’s recommendations and a lack of feedback from the SAPS in that regard. • The limited footprint of the ICD which not only impacts on the accessibility to its services, but also on investigators’ ability to immediately attend crime scenes, without delay. In this instance, the Ministry of Police had seen the need to strengthen the ICD by adopting a report that proposed the idea of separate legislation for the ICD. Parliament is now working towards the promulgation of a new Independent Police Investigative Directorate Act (IPID Act). The new IPID legislation which comes into effect on 1 April 2012, gives the ICD the teeth that it needs. The Ministry of Police is confident that the new IPID Act will enable this institution to shift the focus from being a complaints-driven ICD Annual Report 2011-2012 page 8 General Information body to one that, in conducting its investigations, addresses systematic problems within the police service, and a body that recommends appropriate interventions. In conclusion, we support the ICD in its quest to investigate police brutality. From the safety and security perspective, a better life for all requires, among other things, an independent investigative body that is committed to contribute to combat crime and corruption while at the same time entrench a culture of human rights and community-centered approach in policing. In the same vein, as the Ministry of Police, we endorse an ICD that allows police officers to do their job properly by confronting and taking action against crime, and not leaving police to feel they have one hand tied behind their back due to fear of unreasonable instigation of enquiry. Makhotso Maggie Sotyu (MP) Deputy Minister of Police ICD Annual Report 2011-2012 page 9 General Information Accounting Officer’s Overview T his is the last report that we table as the Independent Complaints Directorate (ICD). The next time we report we will be the Independent Police Investigative Directorate (IPID). The IPID Act No. 1 of 2011 which was signed into law by the President, is a result of the hard work that has been going on for the past two years or so. A large part of our efforts in the period April 2011 to March 2012 were focussed on ensuring that we are ready for the implementation of the new Act. The Independent Police Investigative Directorate Act (IPID Act), No. 1 of 2011 takes us out of the SAPS Act and therefore entrenches our independence from the police. The IPID Act focuses the investigative mandate of the Directorate to the following specified serious matters: • Any deaths in police custody and deaths as a result of police actions; • Any complaint relating to the discharge of an official firearm by any police officer; • Rape by a police officer whether on or off duty; • Rape of any person while the person is in police custody; • Any complaint of torture or assault against a police officer; and • Corruption matters within the police. Achieving of targets set for completing investigations In addition to getting the organisation ready for the implementation of the new legislation, the work of the ICD had to continue in line with our strategic objectives and priorities. I am pleased to report that the ICD’s strategic decision to prioritise serious cases (deaths that occur in police custody or as a result of police action) resulted in 90 percent of these cases being finalised in 2011/12. This exceeded the target of 65 percent. In 2011/12, the ICD made significant progress towards reaching its target to carry over only 10 percent of cases from the year under review. The Directorate made good progress by reducing the backlog and as a result it will carry over only five hundred and fifty (550) cases. This is in contrast to 2010/11 when one thousand one hundred and three (1 103) cases were carried over into the current reporting period. The directorate’s investigative capacity came under the spotlight in the reporting period with high profile investigations in various parts of the country such as Ficksburg where Andries Tatane died as a result of police action. The ICD is proud ICD Annual Report 2011-2012 page 10 General Information to report that 86 percent of investigations into complaints of criminal behaviour laid against the SAPS and the Municipal Police Services were finalised in 2011/12, against a target of 55 percent. Ninety-one percent of 4 923 complaints received by the ICD were registered and allocated within 48 hours. The 9% shortfall in meeting this target happened mainly in the Western Cape office and Gauteng. Interventions have been put in place to ensure better performance in future. Reaching out to communities The Directorate held 279 outreach events in 2011/12 to raise public awareness of the ICD’s activities and responsibilities. The target for this strategic objective was 260 events. The ICD also stepped up its efforts to communicate its activities to the media by issuing 60 statements on cases and holding media briefings in various parts of the country. Financial and asset management The Directorate received an adjusted budget allocation of R153 534 000 for three main divisions during the 2011/12 audited financial year. The actual spending was 99% of the allocated budget, which translates to R153 532 000 in monetary value. Only R2 000 of the total budget allocation was reported as under spending and the Directorate is making efforts to ensure 100% spending. The assets management compliances with minimum requirements have been achieved as expected. The Assets Register of the Directorate reflects all the required information such as description of assets; ICN; unique asset number/Bar codes; accountability information (Cost Centre Manager responsible - location and custodian); assets value. The BAS reconciliation was also performed on a monthly basis to address the discrepancies between the two used systems. The asset management system is fully implemented and complied with. Lastly I wish to thank ICD staff for their hard work, dedication and commitment to the activities of the department. The roles of the Portfolio Committee of Police and the NCOP Select Committee on Justice and Constitutional Affairs are important in overseeing our work. I thank the members of those committees for their support. The ICD wants to record its appreciation for the support and active interest of the Minister of Police, the Honourable Minister EN Mthethwa, MP in the activities of the ICD. Francois Beukman Executive Director ICD Annual Report 2011-2012 page 11 Information on Predetermined Objectives 2. Information on Predetermined Objectives 2.1 Overall Performance This section looks at the overall environment in which the ICD worked to achieve the strategic objectives set out in the 2011 to 2016 strategic plan, while continuing to improve the quality of the service it delivers to the public. Voted funds MAIN APPROPRIATION R’000 ADJUSTED APPROPRIATION R’000 151 600 ACTUAL AMOUNT SPENT R’000 153 534 153 532 Responsible minister/ member of the executive council Minister of Police Administering department Independent Complaints Directorate Accounting officer Executive Director (OVER)/UNDER EXPENDITURE R’000 2 Aim of vote The ICD is a national department listed in schedule 1 of the Public Service Act (1994), and listed as Vote 23 in the Estimates of National Expenditure 2011. The Directorate is financed from money that is appropriated to it by Parliament. Vote 23 gives financial effect to the ICD’s duty to service the public interest by acting with integrity and in accordance with its legislative mandate to investigate, among others, any misconduct or offences committed by members of the SAPS and the Municipal Police Services. Summary of programmes The ICD’s work is performed through three main programmes. • Programme 1: Administration This programme is responsible for the overall management of the ICD and its support services. It consists of the internal audit unit, auxiliary services, human resources management, financial management, supply chain management, asset management, risks and ethics management, labour relations, employee wellness management and security services. ICD Annual Report 2011-2012 page 12 Information on Predetermined Objectives • Programme 2: Complaints processing, monitoring and investigation This programme receives, registers, processes and investigates complaints of deaths in police custody or as a result of police action, and complaints of misconduct and criminality against the police. It also has a legal services component that provides legal advice to ICD officials. • Programme 3: Information management and research This programme maintains a crucial database that registers all complaints. It manages the ICD’s information technology needs and the distribution of its products, provides services to stakeholders and conducts research. Key strategic objectives and priorities The ICD’s strategic plan for 2011 to 2016 sets out strategic objectives for both ICD and the new IPID. These objectives were the result of a strategic-planning process that started in August 2009 and included ICD staff members and stakeholders. The strategic objectives and priorities were: • Provide overall accountability and strategic direction to the Directorate • Generate recommendation reports for all investigations within 30 days of completion • Strengthening of the financial management unit to ensure effective financial planning, management and accounting services according to best practice in compliance with the prescripts of the Public Finance Management Act • Establish an efficient corporate governance unit to monitor and evaluate performance reporting and risk management • Promote public awareness of the impending changes brought about by the new IPID Act • Maintain a reliable database on case management and statistical information • Ensure effective and efficient investigation of all reported cases • Make recommendations to the SAPS resulting from investigations conducted • Develop policy, reporting frameworks and standard operating procedures Some of these strategic objectives were not applicable to the year under review, and the next section (“Key strategic achievements”) looks only at those objectives that shaped the ICD’s work in 2011/12. Overview of the 2011/12 service-delivery environment The ICD’s 2011 to 2016 strategic plan identified four key areas in which to improve service delivery: • Effectively investigate criminal offences committed by members of the SAPS and the Municipal Police Services • Report and monitor recommendations that were made in respect of members of the SAPS and the Municipal Police Services resulting from investigations conducted by the IPID • Improve reporting and accountability practices • Develop policy, reporting frameworks and standard operating procedures to regulate investigations. ICD Annual Report 2011-2012 page 13 Information on Predetermined Objectives Key strategic achievements • • • • • • • The legislation that will transform the Independent Complaints Directorate to the Independent Police Investigative Directorate, the Independent Police Investigative Directorate Act, Act No. 1 of 2011, was signed into law by the President on 12 May 2011. The implementation date was set for 1 April 2012 after the approval of the regulations by the Minister of Police. The ICD’s strategic decision to prioritise serious cases (deaths that occur in police custody or as a result of police action) resulted in 90 percent of these cases being finalised in 2011/12. This exceeded the target of 65 percent. In 2011/12, the ICD made significant progress towards reaching its target to carry over only 10 percent of cases from one year to the next. The Directorate made good progress by reducing the backlog and as a result it will carry over only five hundred and fifty (550) cases. This is in contrast to 2010/11 when one thousand one hundred and three (1 103) cases were carried over into the current reporting period. The Directorate held 279 outreach events in 2011/12 to raise public awareness of the ICD’s activities and responsibilities. The target for this strategic objective was 260 events. The ICD also stepped up its efforts to communicate its activities to the media by issuing 60 statements on cases and holding media briefings in various parts of the country. The directorate’s investigative capacity came under the spotlight in the reporting period with high profile investigations in various parts of the country such as Ficksburg where Andries Tatane died as a result of police action. The ICD is proud to report that 86 percent of investigations into complaints of criminal behaviour laid against the SAPS and the Municipal Police Services were finalised in 2011/12, against a target of 55 percent. Ninety-one percent of 4 923 complaints received by the ICD were registered and allocated within 48 hours. The 9% shortfall in meeting this target happened mainly in the Western Cape office and Gauteng. Interventions have been put in place to ensure better performance in future. The ICD is proud that its investigators completed 98 percent of investigations into complaints of misconduct lodged against SAPS members in 2011/12, against a target of 55 percent. Overview of the 2011/12 organisational environment The ICD is a national organisation with provincial offices. The national office is in Pretoria and is headed by the Executive Director. The national office provides overall strategic leadership to the directorate. Investigations are conducted at provincial level. Key policy developments and legislative changes One of the most significant developments during 2011/12 was the finalisation of a new legislative framework for the ICD. The ICD is currently legally constituted by a provision in the SAPS Act. To ensure more independent, impartial and effective civilian oversight of the SAPS and the Municipal Police Services, and the directorate’s independence of the SAPS, the IPID Act was signed into law by the President on 12 May 2011. The implementation date for the legislation is 1 April 2012. ICD Annual Report 2011-2012 page 14 Information on Predetermined Objectives Departmental revenue, expenditure and transfer payments Revenue collection Departmental revenue is mainly generated from parking fees, commissions on insurance deductions and bursary debt recovery. 2008/09 ACTUAL 2009/10 ACTUAL 2010/11 ACTUAL 2011/12 TARGET 2011/12 ACTUAL % DEVIATION FROM TARGET Sales of goods and services other than capital assets 2 69 89 110 111 1% Interest, dividends and rent on land 3 24 5 4 (1) -125% Transactions in financial assets and liabilities 64 61 74 9 15 67% TOTAL DEPARTMENTAL RECEIPTS 69 154 168 123 125 2% Departmental expenditure The Directorate received an adjusted budget allocation of R153 534 000 for three main divisions during the 2011/12 audited financial year. The actual expenditure was 99% of the allocated budget, which translates to R153 532 000 in monetary value. Only R2 000 of the total budget allocation was reported as under spending and the Directorate is making efforts to ensure 100% spending. All programmes have utilised their budget allocation to the satisfactory level and action required other than encouraging value for money. Transfer payments A transfer payment has been effected to the Safety and Security Sector Education Authority (SASSETA) with regard to administrative fees in terms of the Skills Development Levy. This has been disclosed in the Annexure reflecting Transfers to Departmental Agencies and Accounts (ref to Annexure 1A). In terms of section 38(1)(j) of the PFMA, the above transfer payment was made after receiving the tabled Annual Report of SASSETA including the relevant Auditors Report. Conditional grants and earmarked funds No conditional grants were received by the ICD. The ICD received earmarked funds of R8 633 000 from the Department of Public Works for the expenditure on office accommodation and municipal services. The ICD utilised all the earmarked funds received to pay for office accommodation and municipal services. ICD Annual Report 2011-2012 page 15 Information on Predetermined Objectives Capital investment, maintenance and asset-management plan Capital investment The department has no capital investments. Maintenance The ICD occupies leased buildings and does not own any property. In view thereof, the ICD is not affected by any maintenance backlogs. Asset management Quartely assets verifications were conduted by all staff to ensure that assets were managed effectively and efficiently. Quartely asset verifications were also conducted by Asset Management to ensure that all assets were managed properly and thus prevented theft and fraudulent use. The Asset Management team also embarked on provincial visits in order to reconcile the existence of the actual assets per office to the electronic Asset Register on the LOGIS. Details such as unique asset numbers, ICN numbers and locations were reconciled to the electronic Asset Register. Verification of the correctness of the Asset Register against Vulindlela/ELBIS reports was conducted on a monthly basis to ensure the accuracy of reporting at financial year end. The Asset Register was appropriately updated to account for these disposals. Details of asset movements are disclosed in the disclosure note related to movement of tangible assets. During the 2011/12 financial year the department completed the implementation of the new Barcoding Asset Management System. All assets were physically barcoded in the 2011/12 financial year. LOGIS was also updated to reflect the unique asset barcoded numbers. ICD Annual Report 2011-2012 page 16 Information on Predetermined Objectives 2.2 Programme performance Programme 1: Administration Purpose This programme is responsible for the overall management of the ICD and its support services. The programme consists of the internal audit unit, auxiliary services, human resources management, financial management, supply chain management, asset management, risks and ethics management, labour relations, employee wellness management and security services. Strategic objectives In 2011/12, the work of Programme 1 was in compliance with the strategic objectives set out in the 2011 to 2016 strategic plan: • Increase compliance with the Employment Equity Act by ensuring that 50 percent of staff employed in senior management positions are women. The ICD aims to achieve this target fully in 2012/13. • Comply with the Employment Equity Act by ensuring that 2 percent of ICD staff are disabled persons. • Maintain the overall vacancy rate below 10 percent (by 2012/13), and fill vacancies within three months of a position becoming vacant. • Implement government’s strategy on asset management in line with the Public Finance Management Act by maintaining and updating an electronic assets register. • Promote discipline in the ICD by finalising any disciplinary procedure within 90 days. • Evaluate the effectiveness of internal controls and ensure the ICD’s compliance with the applicable rules by finalising all internal audit activities by 31 March annually. • Promote the wellness of all employees by launching health and wellness campaigns. • Combat corruption and fraud, and encourage ethical behaviour in the organisation by investigating all cases reported to the ethics helpline within 90 days of receiving a complaint. • Effectively manage risk in the ICD by providing quarterly risk-management progress reports in line with the directorate’s risk-management strategy. • Improve service delivery by revitalising the Batho Pele programme and updating the service-delivery improvement plan by 31 March every year. • Ensure the quality of staff training programmes by using recognised service providers only. • Conduct proper policy reviews by reviewing 70 percent of the ICD’s policies and procedures by 31 March annually. • Comply with the minimum information security standard policy by conducting security audits. Service-delivery objectives and indicators The programme managed to meet most of its objectives. In the majority of instances, the targets were exceeded. Those that it could not meet were largely due to factors beyond its control. These include the finalisation of disciplinary hearings, the delays in finalisation were due to reliance on outside parties and the appointment of nine interns into permanent posts which reduced the actual number of interns in the total staff complement of the ICD. The employment of people with disabilities remains a challenge that will be addressed on a continuous basis. Some positions have now been designated to be filled by people with disabilities. ICD Annual Report 2011-2012 page 17 Information on Predetermined Objectives The ICD is a small department with a very low staff turnover at senior management level, vacancies at that level do not often become available. To address this anomaly, most of the senior posts that will become available as a result of the implementation of the IPID Act, will be designated for women. The filling of such posts is with effect from 01 April 2012. The target of maintaining the ICD’s vacancy rate below 10 percent, was also reached in 2011/12 as planned two years ago. As at 31 March 2012, the Directorate had a vacancy rate of 7.9 percentage. The ICD employs a generally youthful staff who are mostly looking for opportunities to grow. Because of its small size, promotion opportunities at the ICD are limited, and young, ambitious employees look for better positions in other departments. The table below provides detailed information on all Programme 1 service-delivery objectives and indicators. Measurable objective: To ensure effective leadership, management, financial and administrative support to the Directorate through continuous refinement of organizational strategy and structure, in compliance with appropriate legislation and best practice SUB- OUTPUT INDICATOR PROGRAMME ACTUAL REASON FOR PERFORMANCE VARIANCE AGAINST TARGET TARGET ACTUAL 16 audit reviews 32 1 INTERNAL AUDIT Evaluate the effectiveness of internal controls and ensure the ICD’s compliance with applicable prescripts Number of internal audit reviews conducted 2 CORPORATE GOVERNANCE Establish a corporate governance component which will be responsible for the constant monitoring, evaluation and reporting on strategic objectives Number of performance monitoring and evaluation reports submitted Timely identification and effective mitigation of risks in the department Number of risk management reports submitted 16 16 Target met Encourage ethical behaviour by staff and prevent corruption and fraud within the department Number of ethics and integrity workshops held 10 9 Target not met Number of expenditure reports submitted 16 16 Target met Number of asset verifications and updates of Asset Register completed 4 4 Target met 3 Ensure effective and FINANCIAL MANAGEMENT efficient financial planning, management and accounting services according to best practice Implement government’s strategy on asset management in line with the prescripts of the Public Finance Management Act ICD Annual Report 2011-2012 page 18 Component yet to be established Target exceeded. The 32 reviews include audits of all provincial offices as well as 8 follow up audit reviews. The unit will be established on 1 April 2012 under the IPID Information on Predetermined Objectives SUB- OUTPUT INDICATOR PROGRAMME ACTUAL REASON FOR PERFORMANCE VARIANCE AGAINST TARGET 4 CORPORATE MANGEMENT Ensure efficient management of the minimum information security standard and compliance with the security risk management policy Reduce vacancy rate by TARGET ACTUAL Number of security audits conducted 10 15 Target exceeded – Component managed to audit all 9 provincial offices and 6 satellite offices. The audits at the satellite offices were not planned but the component felt that there was a need to audit these offices to determine the level of security compliance in order for security systems to be installed Number of workshops on minimum information security standard and security risk management policy 10 11 Target exceeded. Additional workshop was unplanned % vacancy rate 10% 7.9% % of people with disabilities 2% 1% Target not met. The ICD had 4 employees with disabilities. One employee left the department. People with disabilities do not always apply for posts even though the adverts indicate that the Directorate promotes representivity in terms of race gender and disability % females at senior and top management level 50% 35% Target not met. Posts designated for filling by women candidates were created in the new organisational structure Target met effectively administering the recruitment, selection and appointment of employees and develop and implement a retention policy to retain skilled personnel Increase compliance with prescribed equity and employment of people with disabilities to be filled in the next financial year Improve service delivery by revitalising the Batho Pele programme Number of updates of servicedelivery improvement plan 1 1 Target met. The Service Delivery Improvement Plan is developed once a year Number of awareness sessions to monitor implementation of the service-delivery improvement plan 10 12 Target exceeded ICD Annual Report 2011-2012 page 19 Information on Predetermined Objectives SUB- OUTPUT INDICATOR PROGRAMME ACTUAL REASON FOR PERFORMANCE VARIANCE AGAINST TARGET TARGET ACTUAL Develop, manage and ensure effective implementation of human resource and organisational policies and strategies % of policies evaluated and updated annually 70% 70% Manage and monitor the training and skills development of employees, as well as learnership and internship programmes Number of skills development programmes implemented 60 training programmes coordinated and monitored 65 5% internships 3.5% Coordinate and facilitate employee health and wellness programmes and ensure compliance with occupational health and safety regulations Number of internal HIV/ AIDS awareness campaigns conducted 10 7 Target not met Number of team-building sessions conducted 40 40 Target met Promote discipline in the department % of disciplinary hearings finalised within 90 days 70% 29% Target not met due to postponements % of grievances finalised within 60 days 70% 0% Capacity constraints in the Labour Relations Component. Investigators appointed from other government departments to assist with the investigation of grievances % of interns in total staff complement REASONS FOR MAJOR VARIANCES: See reasons provided in the preceeding tables. ICD Annual Report 2011-2012 page 20 Target met Target exceeded Target not met due to the appointment of nine interns in permanent posts by 31 March 2012 which reduced the actual percentage of interns in the total staff complement Information on Predetermined Objectives Programme 2: Complaints processing, monitoring and investigation Purpose This programme has two components: • Complaints processing, monitoring and investigation. • Legal services provides legal advice to ICD officials The purpose of this programme is to: • Receive, register and process complaints. • Investigate deaths in police custody or as a result of police action. • Investigate and/or monitor complaints of criminality and misconduct against the police. • Monitor the implementation of the Domestic Violence Act. Strategic objectives This programme aims to promote proper police conduct. Progress towards achieving this objective is measured by four outputs: • Finalising investigations of deaths in custody or as a result of police conduct. • Finalising investigations of complaints of criminality against members of the SAPS or Municipal Police Services. • Conducting police station audits for compliance with the Domestic Violence Act. • Processing applications for exemption in cases of non-compliance with the Domestic Violence Act. Service-delivery objectives and indicators ICD senior management decided to continue to prioritise and to focus on finalising all investigations of deaths in custody or as a result of police action, as well as cases involving serious police brutality. It was decided that emphasis would be placed on specific serious crimes, such as allegations of rape by a police officer, irrespective of whether the police officer was on or off duty when the offence was committed, as well as allegations of rape of a complainant by other detainees while the complainant was in the custody of the police. The other focus are was on torture cases involving the police. The ICD’s Monitoring and Evaluation Committee, consisting of four senior ICD staff, played an important role in ensuring that the focus on serious crimes was implemented vigorously and consistently. The committee was responsible for several strategic interventions in the process of monitoring the work of the provincial offices. Some recommendations of the committee included the deployment of investigators from other provinces in those that were struggling with workload. These interventions helped investigators to finalise 90 percent of cases of deaths in custody or as a result of police action, exceeding the target of 65 percent by 25 percent. A strategy to reduce backlog cases was introduced in 2010/11. This strategy was further implemented in 2011/12 with positive results. In terms of this strategy, provinces with a large backlog of cases had to dedicate a team of investigators to complete all outstanding work, and all provinces were expected to have finished work on backlog cases within the first six months of 2011/12. The result of the implementation of this strategy is that only five hundred and fifty (550) cases ICD Annual Report 2011-2012 page 21 Information on Predetermined Objectives were carried over to 2012/13. The table below provides detailed information on all Programme 2 service-delivery objectives and indicators. PROGRAMME 2: COMPLAINTS PROCESSING, MONITORING AND INVESTIGATION STRATEGIC OBJECTIVE MEASURE/INDICATOR REASON FOR VARIANCE TARGET ACTUAL 100% (5 450) 91% 4 499 cases registered and allocated within 48 hours out of 4 923 received Target not met in Western Cape and Gauteng due to capacity constraints 65% (470) 90% 839 investigations completed out of a workload of 932 (720+212) Target exceeded Percentage of investigations of criminality completed 55% (1 100) 86% 2 497 investigations completed out of a workload of 2 912 (2 320+592) Target exceeded Percentage of investigations of misconduct completed 55% 98% 2 031 investigations completed out of a workload of 2 072 (1 795+277) Target exceeded Number of police stations audited for compliance with the Domestic Violence Act 108 222 Target exceeded 100 99% Target not met (50) 109 applications for exemption completed out of a workload of 110 Register and allocate all new cases within 48 hours of receipt Percentage of complaints registered and allocated within 48 hours Investigate deaths in custody or as a result of police action Percentage of investigations of deaths in custody or as a result of police action completed Investigate and/or monitor complaints of criminality and misconduct Monitor the implementation of the Domestic Violence Act* ACTUAL PERFORMANCE AGAINST STRATEGIC OBJECTIVE Percentage of applications for exemption in terms of the Domestic Violence Act completed within 30 days REASONS FOR MAJOR VARIANCES: ICD Annual Report 2011-2012 page 22 Information on Predetermined Objectives Programme 3: Information management and research Purpose Programme 3 manages the ICD’s information needs, conducts research and performs various oversight activities. It also manages all communication and marketing activities. The programme maintains a database that serves as a register for all complaints, and it manages the directorate’s information technology requirements. Strategic objectives The strategic objectives for 2011/12 were to: • Analyse information in relation to the Domestic Violence Act. • Increase the number of community-awareness programmes. • Strengthen the ICD’s information and communication technology by developing and implementing an action plan. Service-delivery objectives and indicators Programme 3 met the majority of its strategic objectives in 2011/12. Part of the achievement is in relation to disseminating information to various stakeholders, particularly the media, by putting up sixty-two media statements during the period under review. The programme conducted an extensive public education campaign in two hundred and seventy nine (279) communities across the country, mostly in rural areas. The target set for the department was exceeded despite limited resources. This programme was less successful in meeting the target on conducting research and compiling reports based on the outcomes of that research. As of 1 April 2012, the research unit will cease to exist due to the implementation of the IPID Act. Significant progress was made in implementing the ICD’s information and communication technology plan. Local area networks (LANs) were established in Thohoyandou and Upington satellite offices. The ICD’s disaster recovery plan (DRP) was approved. ICD Annual Report 2011-2012 page 23 Information on Predetermined Objectives The table below provides detailed information on all Programme 3 service-delivery objectives and indicators. PROGRAMME 3: INFORMATION MANAGEMENT AND RESEARCH STRATEGIC OBJECTIVE Promote public awareness of the ICD/IPID role and services MEASURE/INDICATOR ACTUAL PERFORMANCE AGAINST TARGET TARGET ACTUAL 260 279 Target exceeded ongoing 62 Fifty eight media statements and four media advisories were posted on the departmental website 3 2 Target not met due to capacity constraints Revised and approved ICT operational plan Implement 15% of ICT operational plan ICT operational plan was revised and approved. 15% of ICT operational plan was implemented Number of community awareness and outreach programm es launched Number of updates to departmental web site Conduct proactive research Number of research projects and recommendation reports compiled Establish efficient information systems to support strategic business objectives Develop effective and efficient information and communication technology (ICT) systems REASON FOR VARIANCE REASONS FOR MAJOR VARIANCES: ICD Annual Report 2011-2012 page 24 Target met Information on Predetermined Objectives 2.3 Statistics Notifications and complaints received in 2011/12 The ICD received 4 923 complaints in 2011/12. Gauteng and the Western Cape received the largest number of complaints compared to other provinces. The intake is substantially lower than in the previous years. TABLE 2.3.1: Complaints and notifications received in 2011/12, per province PROVINCES TOTAL PERCENTAGES Eastern Cape 351 7% Free-State 562 11% Gauteng 938 19% KwaZulu-Natal 484 10% Limpopo 456 9% Mpumalanga 433 9% North West 454 9% Northern Cape 388 8% Western Cape 857 18% Grand Total 4923 100% Table 2.3.2 shows that of the 4 923 complaints received, 720 were deaths, 88 domestic violence cases, 2 320 allegations of criminal offences and 1 795 misconduct cases. TABLE 2.3.2: Complaints and notifications received, by class of offence, 2011/12 DEATH DVA CRIMINAL MISCONDUCT TOTAL Eastern Cape 107 10 147 87 351 Free-State 47 9 263 243 562 Gauteng 189 16 440 293 938 KwaZulu-Natal 180 4 219 81 484 Limpopo 56 3 216 181 456 Mpumalanga 45 3 243 142 433 North West 28 7 174 245 454 Northern Cape 14 7 270 97 388 Western Cape 54 29 348 426 857 Grand Total 720 88 2 320 1 795 4 923 PROVINCES ICD Annual Report 2011-2012 page 25 Information on Predetermined Objectives Performance information • Workload – 2011/12 In 2011/12, the ICD had a workload of 6 026 cases, including 1 103 cases carried over from the previous year. TABLE 2.3.3: Workload – backlog and new cases CARRIED OVER INTO 2011/12 AS AT 1 APRIL CASES RECEIVED DURING 2011/12 WORKLOAD Eastern Cape 34 351 385 Free-State 31 562 593 Gauteng 209 938 1 147 KwaZulu-Natal 266 484 750 Limpopo 23 456 479 Mpumalanga 187 433 620 North West 7 454 461 Northern Cape 6 388 394 Western Cape 340 857 1 197 Grand Total 1 103 4 923 6 026 PROVINCES Table 2.3.4 gives a breakdown of the workload per classification. Most of the cases were criminal offences (2 912), followed by misconduct cases (2 072), deaths in police custody and as a result of police action (932) and non-compliance with the Domestic Violence Act (110). TABLE 2.3.4: Workload, by class of offence DEATH CASES DVA NONCOMPLIANCE CASES CRIMINAL CASES MISCONDUCT CASES TOTAL Eastern Cape 120 10 165 90 385 Free-State 48 9 269 267 593 Gauteng 217 16 572 342 1 147 KwaZulu-Natal 268 4 348 130 750 Limpopo 58 3 229 189 479 Mpumalanga 81 4 373 162 620 North West 28 7 179 247 461 Northern Cape 14 7 276 97 394 Western Cape 98 50 501 548 1 197 Grand Total 932 110 2 912 2072 6 026 PROVINCES ICD Annual Report 2011-2012 page 26 Information on Predetermined Objectives • Cases completed in 2011/12 The ICD completed 91 percent of its workload in 2011/12. In terms of provincial performance, the Free State completed 100% of its workload, whereas the Northern Cape and North West both achieved a completion rate of 98 percent, followed by Limpopo with 96 percent. All the other provinces performed better than expected. TABLE 2.3.5: Completed cases WORKLOAD COMPLETED % OF COMPLETED CASES Eastern Cape 385 356 92% Free-State 593 593 100% Gauteng 1147 869 76% KwaZulu-Natal 750 661 88% Limpopo 479 458 96% Mpumalanga 620 562 91% North West 461 454 98% Northern Cape 394 388 98% Western Cape 1197 1135 95% Grand Total 6 026 5 476 91% PROVINCES Most of the completed cases were criminal offences (2 497), followed by misconduct matters (2 031), deaths in police custody and deaths as a results of police action (839) and non-compliance with Domestic Violence Act (109). TABLE 2.3.6: Completed cases, per class of offence DEATH CASES DVA NONCOMPLIANCE CASES CRIMINAL CASES MISCONDUCT CASES TOTAL Eastern Cape 115 10 141 90 356 Free-State 48 9 269 267 593 Gauteng 164 16 371 318 869 KwaZulu-Natal 246 4 287 124 661 Limpopo 55 3 211 189 458 Mpumalanga 77 4 321 160 562 North West 28 7 175 244 454 Northern Cape 14 7 270 97 388 Western Cape 92 49 452 542 1 135 Grand Total 839 109 2 497 2 031 5 476 PROVINCES ICD Annual Report 2011-2012 page 27 Information on Predetermined Objectives • Cases completed in 2011/12, compared to set targets for the year The ICD finalised 90 percent of its cases of deaths in police custody or as a result of police action, exceeding the target of 65 percent. Free State, North West, and Northern Cape all achieved 100 percent completion rates. Other provinces achieved completion rates of between 76% and 96% percent. TABLE 2.3.7: Deaths in police custody and as a result of police action – target, 65% WORKLOAD COMPLETED CASES PERCENTAGES Eastern Cape 120 115 96% Target Exceeded Free-State 48 48 100% Target Exceeded Gauteng 217 164 76% Target Exceeded KwaZulu-Natal 268 246 92% Target Exceeded Limpopo 58 55 95% Target Exceeded Mpumalanga 81 77 95% Target Exceeded North West 28 28 100% Target Exceeded Northern Cape 14 14 100% Target Exceeded Western Cape 98 92 94% Target Exceeded Grand Total 932 839 90% Target Exceeded PROVINCES TARGET Table 2.3.8 shows the completion rate for criminal matters per province. The ICD exceeded its strategic target of completing 55 percent of its workload. All provincial offices exceeded the target. TABLE 2.3.8: Criminal cases – target, 55% WORKLOAD COMPLETED CASES PERCENTAGES Eastern Cape 165 141 85% Target Exceeded Free State 269 269 100% Target Exceeded Gauteng 572 371 65% Target Exceeded KwaZulu-Natal 348 287 82% Target Exceeded Limpopo 229 211 92% Target Exceeded Mpumalanga 373 321 86% Target Exceeded North West 179 175 98% Target Exceeded Northern Cape 276 270 98% Target Exceeded Western Cape 501 452 90% Target Exceeded Grand Total 2 912 2 497 86% Target Exceeded PROVINCES ICD Annual Report 2011-2012 page 28 TARGET Information on Predetermined Objectives The completion rate for misconduct matters was exceeded by 43 percent. The Eastern Cape, Northern Cape, Free State and Limpopo all achieved 100 percent completion rate. All other provinces achieved completion rates of between 93 percent and 99 percent. TABLE 2.3.9: Misconduct cases – target, 55% WORKLOAD COMPLETED CASES PERCENTAGES Eastern Cape 90 90 100% Target Exceeded Free State 267 267 100% Target Exceeded Gauteng 342 318 93% Target Exceeded KwaZulu-Natal 130 124 95% Target Exceeded Limpopo 189 189 100% Target Exceeded Mpumalanga 162 160 99% Target Exceeded North West 247 244 99% Target Exceeded Northern Cape 97 97 100% Target Exceeded Western Cape 548 542 99% Target Exceeded Grand Total 2 072 2 031 98% Target Exceeded PROVINCES • TARGET Recommendations and outcomes – 2011/12 The ICD made 545 recommendations to the Director of Public Prosecutions regarding criminal matters, including deaths. TABLE 2.3.10: Recommendations to court or Director of Public Prosecutions, by province and class of offence PROVINCE DEATHS CRIMINAL MATTERS TOTAL Eastern Cape 24 42 66 Free State 5 18 23 Gauteng 9 4 13 KwaZulu-Natal 68 44 112 Limpopo 10 38 48 Mpumalanga 19 53 72 North West 3 72 75 Northern Cape 3 107 110 Western Cape 21 5 26 162 383 545 Total ICD Annual Report 2011-2012 page 29 Information on Predetermined Objectives In the 43 cases where members of the SAPS were convicted for various criminal offences, 18 were convicted in relation to deaths in police custody and deaths as a result of police action, and 25 convictions were related to other criminal offences. TABLE 2.3.11: Criminal convictions, by province and class of offence PROVINCE DEATH CASES CRIMINAL CASES TOTAL Eastern Cape - - - Free State 2 3 5 Gauteng 1 0 1 KwaZulu-Natal 3 1 4 Limpopo 0 2 2 Mpumalanga 0 1 1 North West 2 9 11 Northern Cape 1 6 7 Western Cape 4 1 5 13 23 36 Total Table 2.3.12 sets out the details of acquittals in criminal matters. There were 21 acquittals in murder cases, and 17 for other criminal offences. TABLE 2.3.12: Acquittals in criminal cases, by province and class of offence PROVINCE DEATHS CASES CRIMINAL CASES TOTAL Eastern Cape 7 6 13 Free State 3 0 3 Gauteng 0 2 2 KwaZulu-Natal 3 1 4 Limpopo 3 2 5 Mpumalanga 0 0 0 North West 0 3 3 Northern Cape 0 3 3 Western Cape 5 0 5 21 17 38 Total ICD Annual Report 2011-2012 page 30 Information on Predetermined Objectives The ICD made a total of 1 276 recommendations to the SAPS for various offences. Of these, 444 were for misconduct, and 608 were for criminal offences. Recommendations to SAPS were also made in respect of deaths in 168 cases. TABLE 2.3.13: Recommendations to the SAPS, by province and class of offence DEATHS CASES DVA NONCOMPLIANCE CASES CRIMINAL CASES MISCONDUCT CASES TOTAL Eastern Cape 19 6 35 0 60 Free State 25 0 139 88 252 Gauteng 13 13 52 45 123 KwaZulu-Natal 59 3 88 35 185 Limpopo 5 1 33 9 48 Mpumalanga 23 1 64 10 98 North West 8 7 48 93 156 Northern Cape 6 2 78 5 91 Western Cape 10 23 71 159 263 168 56 608 444 1 276 PROVINCE Total Table 2.3.14 gives a listing of cases in which police officers were convicted in departmental trials and the penalties imposed. TABLE 2.3.14: Departmental convictions, by province and class of offence NO. CCN STATION NATURE OF COMPLAINT SENTENCE / SANCTION DATE 1 2011010073 Bisho Attempted Murder Fined R500, to be deducted In equal installments and dismissal suspended for 6 months 2011/08/31 2 2011040363 Kempton Park Death as result of police actions Dismissed from the service 2011/09/05 3 2011030347 Pretoria West Death as result of police actions Dismissed from the service 2011/09/10 4 2011040363 Kempton Park Death as result of police actions Dismissed from the service 2011/09/01 5 2010100208 Booysens Improper performance of duties Reprimanded 2011/10/25 6 2011060454 Ennerdale Improper performance of duties Dismissed from the service 2011/10/25 7 2011050305 Eldorado Park Improper performance of duties Fine of R1500 2011/10/25 ICD Annual Report 2011-2012 page 31 Information on Predetermined Objectives NO. CCN STATION NATURE OF COMPLAINT SENTENCE / SANCTION DATE 8 2011060333 Ennerdale DVA Non Compliance Written warning 2011/11/25 9 2011070223 Garsfontein Improper performance of duties Written warning 2011/12/20 10 2011010582 Barrage Attempted Murder Dismissed from the service 2011/12/07 11 2011020623 Etwatwa Murder Dismissed from the service 2011/12/12 12 2010070341 KwaMashu Rape Dismissed from the service 2011/04/13 13 2006060253 White River Assault GBH Admission of guilt 2011/03/10 14 2011010161 Ermelo Murder Dismissed from the service 2012/03/27 15 2010020288 Jouberton Improper performance of duties Written warning 2011/06/28 16 2004010649 Bothitong Attempted Murder Dismissed from the service 2011/06/28 17 2006070017 Lichtenburg Assault GBH Written warning 2011/06/29 18 2008020302 Rustenburg Common Assault Fined R500 2011/06/29 19 2009050080 Mafikeng Assault GBH Written warning 2011/06/27 20 2009110540 Itsoseng Improper performance of duties Reprimanded 2011/06/29 21 2010020436 Lehurutshe Improper performance of duties Written warning 2011/06/29 22 2007040236 Lomanyaneng Improper performance of duties Written warning 2011/06/29 23 2009040403 Mmabatho Improper performance of duties Written warning 2011/06/28 24 2009050359 Mmabatho Improper performance of duties Reprimanded 2011/06/29 25 2009060414 Motswedi Improper performance of duties Verbal warning 2011/06/29 26 2009080096 Itsoseng Improper performance of duties Reprimanded 2011/06/29 27 2009090099 Mmabatho Improper performance of duties Verbal warning 2011/06/28 ICD Annual Report 2011-2012 page 32 Information on Predetermined Objectives NO. CCN STATION NATURE OF COMPLAINT SENTENCE / SANCTION DATE 28 2009090119 Kanana Improper performance of duties Verbal warning 2011/06/29 29 2009100332 Makwasie Improper performance of duties Verbal warning 2011/06/10 30 2009110543 Madikwe Improper performance of duties Reprimanded 2011/06/28 31 2009110546 Mmabatho Improper performance of duties Verbal warning 2011/06/29 32 2009110640 Mmabatho Reprimanded 2011/06/29 33 2009120092 Mooifontein Improper performance of duties Verbal warning 2011/06/28 34 2010010111 Mmabatho Improper performance of duties Reprimanded 2011/06/29 35 2010030037 Mafikeng Improper performance of duties Verbal warning 2011/06/29 36 2010050061 Stella Improper performance of duties Written warning 2011/06/29 37 2010050575 Mafikeng Improper performance of duties Verbal warning 2011/06/29 38 2010050627 Lomanyaneng Improper performance of duties Written warning 2011/06/28 39 2010070014 Setlagole Improper performance of duties Reprimanded 2011/06/29 40 2010070068 Mmabatho Improper performance of duties Verbal warning 2011/06/29 41 2010070614 Bray Improper performance of duties Verbal warning 2011/06/29 42 2010080177 Klerksdorp Improper performance of duties Verbal warning 2011/06/28 43 2010080439 Lomanyaneng Improper performance of duties Verbal warning 2011/06/28 Improper performance of duties ICD Annual Report 2011-2012 page 33 Information on Predetermined Objectives NO. CCN STATION NATURE OF COMPLAINT SENTENCE / SANCTION DATE 44 2010100146 Mafikeng Improper performance of duties Verbal warning 2011/06/29 45 2010110006 Mafikeng Improper performance of duties Verbal warning 2011/06/10 46 2010110022 Mmabatho Improper performance of duties Verbal warning 2011/06/28 47 2009070311 Morokweng Improper performance of duties Reprimanded 2011/07/19 48 2009100719 Vryburg Improper performance of duties Verbal warning 2011/07/19 49 2010030249 Mafikeng Improper performance of duties Verbal warning 2011/07/18 50 2010040516 Mmabatho Improper performance of duties Reprimanded 2011/07/19 51 2009080210 Phokeng Assault Common Written warning 2011/07/26 52 2009050060 Mmabatho Improper performance of duties Written warning 2011/08/05 53 2010030544 Mafikeng Improper performance of duties Verbal warning 2011/08/05 54 2010090276 Mmabatho Corruption - Abuse of informers fees Reprimanded 2011/09/10 55 2009060416 Mogwase Improper performance of duties Written warning 2011/10/18 56 2010040077 Khuma Reckless Driving Referred for counseling 2011/11/18 57 2009100479 Tlhabane Failure to dispatch a police vehicle to a scene of domestic violence Reprimanded 2011/11/02 58 2010100290 Delareyville Improper performance of duties Reprimanded 2011/11/19 59 2011020102 Boitekong Improper performance of duties Reprimanded 2011/11/15 ICD Annual Report 2011-2012 page 34 Information on Predetermined Objectives NO. CCN STATION NATURE OF COMPLAINT SENTENCE / SANCTION DATE 60 2011070116 Lomanyaneng Improper performance of duties Reprimanded 2011/11/28 61 2011020281 Phokeng Improper performance of duties Verbal warning 2011/11/09 62 2007020531 Makapanstad Improper performance of duties Verbal warning 2011/11/15 63 2007070484 Mafikeng Assault Common Written warning 2011/11/17 64 2011020476 Marikana Improper performance of duties Verbal warning 2011/11/18 65 2010030527 Mogwase Improper performance of duties Verbal warning 2011/12/05 66 2010070127 Brits Improper performance of duties Reprimanded 2012/01/12 67 2010090195 Rustenburg Improper performance of duties Verbal warning 2012/01/05 68 2010100255 Sun City Improper performance of duties Verbal warning 2012/01/13 69 2010100009 Assen Reprimanded 2012/01/09 70 2010120029 Mmakau Improper performance of duties Verbal warning 2012/01/09 71 2011010265 Klipgat Improper performance of duties Verbal warning 2012/01/09 72 2011050106 Mooinooi Improper performance of duties Written warning 2012/01/09 73 2011070023 Brits Improper performance of duties Verbal warning 2012/01/05 74 2011050454 Phokeng Improper performance of duties Verbal warning 2012/01/05 75 2011070129 Mogwase Improper performance of duties Verbal warning 2012/01/03 Improper performance of duties ICD Annual Report 2011-2012 page 35 Information on Predetermined Objectives NO. CCN STATION NATURE OF COMPLAINT SENTENCE / SANCTION DATE 76 2009040466 Boitekong Reckless Driving Verbal warning 2012/01/09 77 2009030645 Boitekong Attempted Murder Written warning 2012/01/13 78 2009090052 Hartebeespoortdam Assault Verbal warning 2012/01/16 79 2010080106 Boitekong Improper performance of duties Verbal warning 2012/01/12 80 2009050158 Klerksdorp Improper performance of duties Verbal warning 2012/01/10 81 2010050042 Itsoseng Improper performance of duties Verbal warning 2012/02/10 82 2011090008 Wolmanranstad Improper performance of duties Written warning 2012/03/05 83 2010070552 Mmabatho Improper performance of duties Written warning 2012/03/05 84 2010080487 Delareyville Improper performance of duties Verbal warning 2012/03/05 85 2010120035 Mafikeng Assault Common Verbal warning 2012/03/08 86 2011120024 Khuma Failure to open a case docket Where a criminal charge has been laid Written warning 2012/03/07 87 2010070389 Kimberley Improper performance of duties Written warning 2011/11/03 88 2010070553 Rosedale Improper performance of duties Final written warning 2011/08/15 89 2010080076 Kakamas Assault Verbal warning 2011/09/20 90 2010050347 Midelpos Assault Dismissed from the service 2011/07/20 ICD Annual Report 2011-2012 page 36 Information on Predetermined Objectives Table 2.3.15 shows that there were 5 acquittals in departmental trials. TABLE 2.3.15: Departmental acquittals, by province and class of offence NO. • CCN STATION NATURE OF COMPLAINT SENTENCE / SANCTION DATE 1 2010080227 Ikageng Improper Performance Not guilty and discharged 2011/08/30 2 2007080248 Klerksdorp Improper Performance Not guilty and discharged 2011/08/30 3 2009030380 Hartebeespoortdam Improper Performance Not guilty and discharged 2011/11/29 4 2010050308 Rustenburg Improper Performance Not guilty and discharged 2011/11/29 5 2010050013 Boitekong Improper Performance Not guilty and discharged 2011/11/29 Court attendance – 2011/12 ICD investigators spent a total of 1 202 man days in court. TABLE 2.3.16: Court attendance in days, by province and class of offence PROVINCE DEATHS CRIMINAL MATTERS TOTAL Eastern Cape 76 71 147 Free State 93 101 194 Gauteng 60 6 66 KwaZulu-Natal 183 76 259 Limpopo 97 107 204 Mpumalanga 68 22 90 North West- 16 142 158 Northern Cape 12 26 38 Western Cape 43 3 46 648 554 1202 Total ICD Annual Report 2011-2012 page 37 Information on Predetermined Objectives Table 2.3.17 sets out the details of convictions for criminal offences in which SAPS members were found guilty. TABLE 2.3.17: Convictions in criminal cases NO. CCN STATION NATURE OF COMPLAINT SENTENCE / SANCTION DATE 1 2010060348 Ladybrand Assault GBH R2000 or 6 months imprisonment and suspended for 3 years 2011/04/14 2 2010120191 Botshabelo Murder Sentenced to 12 years imprisonment 2011/05/10 3 2008110318 Mangaung Assault GBH 5 years under house arrest 2011/06/21 4 2009120312 Henneman Murder 5 years imprisonment 2011/09/16 5 2007100618 Kopanong Attempted murder R900 fine or 2 months imprisonment of which R450 and 1 month is suspended for 3 years 2012/02/07 6 2009120326 Evaton Murder 15 years imprisonment 2011/07/26 7 2008100054 Durban Central Corruption 5 years imprisonment 2011/09/20 8 2009060028 Ulundi Murder Life imprisonment 2011/06/12 9 2009060030 Ulundi Murder 24 years imprisonment 2011/06/12 10 2011070201 Umlazi Murder 17 years imprisonment 2011/12/01 11 2009070246 Matlala Reckless driving 12 months imprisonment, suspended for 4 years 2011/09/02 12 2011040180 Mokopane Assault GBH and defeating end of justice R2000 fine or 5 years imprisonment, suspended for 5 years 2011/11/22 13 2010050354 KwaMhlanga Assault GBH R2000 fine or 4 months imprisonment half of the sentence was suspended for 5 years 2012/01/20 14 2009090101 Mmabatho Corruption R1000 or 18 months imprisonment 2011/05/17 15 2010020517 Mafikeng Reckless and negligent driving R2000 of which half is suspended for 5 years 2011/05/19 16 2009020602 Mogwase Murder R5000 or 2 years imprisonment 2011/05/23 17 2009060295 Rustenburg Assault GBH R2500 or 3 months imprisonment 2011/05/23 18 2008100411 Mafikeng Assault GBH R2000 or 4 months imprisonment, half of which is suspended for 3 years 2011/07/12 19 2010020517 Mmabatho Reckless and negligent driving R2000 fine or 2 years imprisonment, half of which is suspended for 5 years 2011/09/01 20 2008050036 Tlhabane Culpable homicide 5 years imprisonment suspended for 3 years on condition that the accused compensates the family of the victim with an amount of R35 000 in installments of R700 per month. Driving license suspended for 6 months 2011/12/21 ICD Annual Report 2011-2012 page 38 Information on Predetermined Objectives NO. CCN STATION NATURE OF COMPLAINT SENTENCE / SANCTION DATE 21 2009030645 Boitekong Attempted murder 5 years imprisonment or R5000 suspended for 5 years 2012/01/13 22 2011040086 Mafikeng Assault GBH Admission of guilt 2012/02/01 23 2009050552 Sun City Assault GBH Fined R2000 or 3 months imprisonment 2012/03/15 24 2010080468 Buffelshoek Assault GBH 6 months imprisonment, suspended for 5 years 2012/03/09 25 2010060318 Kimberley Fraud R3000 fine or 6 months imprisonment, suspended for 5 years 2011/05/09 26 2011010319 Kagisho Assault Admission of guilt 2011/05/25 27 2011020168 Kagisho Assault Admission of guilt 2011/05/25 28 2010050075 Colesberg Malicious damaged to property Guilty plea, sentenced to R3000 or 6 months imprisonment, suspended for a period of 3 years 2011/08/22 29 2010010054 Kuruman Corruption Fined R2000 or 6 months imprisonment and 2 years, suspended for 5 years 2011/08/23 30 2011070371 Kimberley Common assault and Crimen Injuria Admission of guilt 2011/11/22 31 2009100062 Kagisho Culpable homicide 3 years correctional supervision 2011/12/14 32 2006010260 Bellville South Culpable homicide 12 months imprisonment, suspended for 5 years 2011/06/17 33 2007010531 Nyanga Murder 10 years imprisonment 2011/06/17 34 2007060305 Presidential Protection Unit Murder 1. Murder - 10 years imprisonment 2. Attempted Murder - 8 years 3. Discharging a firearm in a residential Area - 3 years 4. Handling a firearm while under the influence of a substance which has an intoxicating or narcotic effect – 3 years 2011/06/22 35 2010100044 Somerset West Murder 10 years imprisonment, suspended for 3 years 2011/12/07 36 2008120373 Gugulethu Assault GBH Cautioned and discharged 2011/04/14 ICD Annual Report 2011-2012 page 39 Information on Predetermined Objectives Table 2.3.18 gives a listing of acquittals in criminal cases. Members were found not guilty and discharged. TABLE 2.3.18: Acquittals in criminal cases NO. CCN STATION NATURE OF COMPLAINT SENTENCE / SANCTION DATE 1 2007080052 New Brighton Assault GBH Acquitted 2011/07/01 2 2007110459 Kleinbulhoek Assault common Acquitted 2011/05/27 3 2008090290 Grahamstown Attempted murder, intimidation and resisting arrest Acquitted 2011/08/02 4 2009010253 Humansdorp Murder Acquitted 2011/06/14 5 2009020452 Kwadesi Murder Acquitted 2011/07/15 6 2006110358 Bizana Murder Acquitted 2011/08/02 7 2007100501 Maclear Malicious damage to property Acquitted 2011/09/27 8 2010020060 Mt Fletcher Murder Acquitted 2011/08/10 9 2008020198 Somerset East Culpable homicide Acquitted 2011/09/21 10 2008020003 Cala Assault common Acquitted 2011/09/02 11 2008090248 Ndevana Murder Acquitted 2011/11/21 12 2008100507 Mdantsane Murder Acquitted 2011/11/11 13 2009080083 East London Crimen Injuria Acquitted 2011/11/24 14 2009110062 Phuthaditjhaba Culpable homicide Acquitted 2011/06/09 15 2006120413 Kestell Murder Acquitted 2011/11/11 16 2011010291 Bethlehem Murder Acquitted 2011/12/15 17 2006060046 Sinoville Murder Acquitted 2011/09/30 18 2011120281 Sandton Rape Acquitted 2012/03/16 19 2004090355 Tongaat Murder Acquitted 2011/10/14 20 2009010458 Harding Murder Acquitted 2011/11/24 21 2009010458 Harding Murder Acquitted 2011/11/24 22 2011090060 Durban Central Theft Acquitted 2011/11/29 23 2008070159 Bolobedu Murder Acquitted 2011/08/15 24 2007090366 Bolobedu Murder Acquitted 2011/08/26 25 2007090366 Bolobedu Murder Acquitted 2011/08/26 ICD Annual Report 2011-2012 page 40 Information on Predetermined Objectives NO. CCN STATION NATURE OF COMPLAINT SENTENCE / SANCTION DATE 26 2003120001 Senwabarwana Assault GBH and attempted murder Acquitted 2011/11/04 27 2010010425 Polokwane Assault GBH Acquitted 2011/12/05 28 2009030066 Tlhabane Assault GBH Acquitted 2011/05/23 29 2008010366 Leeudoringstad Assault GBH Acquitted 2012/02/06 30 2010040363 Lehurutshe Assault GBH Acquitted 2012/03/15 31 2010050035 Kimberley Theft Acquitted 2011/06/11 32 2010090030 Kimberley Assault GBH Acquitted 2011/08/14 33 2008120048 Roodepan Attempted murder Acquitted 2011/09/21 34 2005100274 Nyanga Murder Acquitted 2011/07/29 35 2001100463 Khayelitsha Murder Acquitted 2011/09/02 36 2008050458 Nyanga Murder Acquitted 2011/07/29 37 2009030657 Knysna Murder Acquitted 2012/03/15 38 2009030657 Cape Town Central Corruption Acquitted 2011/07/06 ICD Annual Report 2011-2012 page 41 Information on Predetermined Objectives • Closed cases – 2011/12 The ICD closed a total of 3 207 cases in the financial year 2011/12. The majority (1,593 or 50%) of the cases were cases of misconduct, 1,176 or 37% were criminal cases and 348 or 11% were deaths in police custody and deaths as a result of police action. TABLE 2.3.19: Manner of disposal CLASS DEATH DVA CRIMINAL MISCONDUCT TOTAL Substantiated 39 13 204 230 486 Unsubstantiated 307 73 892 1 336 2 608 2 4 80 27 113 348 90 1 176 1 593 3 207 Withdrawn Total ICD Annual Report 2011-2012 page 42 Information on Predetermined Objectives 2.4 Cases This section provides a sample selection of ICD cases during the reporting period. Case study: Murder and Assault GBH (Ficksburg) The Independent Complaints Directorate was informed on Wednesday, 13 April 2011 about the death of Mr Andries Tatane in Ficksburg, the shocking footage of the assault and shooting of the deceased was broadcast on SABC TV News on the same day. The (ICD) immediately dispatched a team from the ICD Free State provincial and satellite offices to start investigating the death in line with the ICD’s mandate. The suspects were identified with the assistance of witnesses. As a result, on 16 April 2011 the ICD arrested six suspects - two of them on murder charges, and four on assault GBH charges. Two additional suspects were arrested on charges of assault GBH. Charges have been withdrawn against one suspect, the other seven are currently on trial at the Ficksburg Regional Court. Case study: Rape (Odendaalsrus) On 25 May 2011, the ICD arrested two (2) Constables for raping a 16 year old in Odendaalsrus, Free State. The rape allegedly occurred on the evening of 22 May 2011. After learning that the girl had opened a case of rape against the constables on 23 May 2011, one of the suspects went to the victim’s home and allegedly threatened her with a firearm. The ICD took over the investigation and arrested the 2 constables on rape charges. One of the suspects also faced a charge of intimidation. The suspects, aged 34 and 28 years old, are based at the Organised Crime Unit in Odendaalsrus and at Odendaalsrus SAPS. It is alleged that on 22 May 2011, a 16 year-old girl was walking home from a friends’ house when a vehicle stopped next to her and the occupants called her and asked her to get inside the vehicle. Apparently the girl recognised the police officers as they had earlier given a talk at her school about child abuse. The suspects then drove with the victim to a nearby open space where they stopped the car. The suspects allegedly took turns to rape the victim inside the car. After her ordeal, the victim was thrown out of the car and left on the spot. She was assisted by a motorist who took her home. The following morning she went to Odendaalrus police station to report a case of rape. ICD Annual Report 2011-2012 page 43 Information on Predetermined Objectives Case study: Torture (Harburg) The ICD arrested 3 policemen for torturing a suspect to death in Harburg, KwaZulu-Natal. The incident happened in June 2011. It was alleged that suspects were remanded back to the police cells from court and that these suspects had smuggled tobacco into the cells. Police officers from the CSC who were conducting cell visits detected that the detainees had been smoking so they searched the cells. The police officers wanted to find out who had smuggled the tobacco so they started assaulting the detainees in an office where it is alleged that the officers used a plastic bag to suffocate the detainees to extract the information. One of the detainees died. The scene was attended by an ICD investigator, who managed to find the bag allegedly used by the policemen. The post mortem was attended and it was found that the deceased was murdered. The arrest was made on 8 July 2011 and the suspects, a Warrant Officer and two Constables appeared in court on charges of murder, assault GBH and defeating the ends of justice. They were all released on R5000 bail each on condition that they do not interfere with witnesses and that they hand in their fire-arms to the station. Case study: Corruption (Durban) The Independent Complaints Directorate (ICD) has arrested a Warrant Officer (W/O) for corruption in Durban. The arrest occurred on 18 July 2011. The accused is W/O Lourens Nadasen (40 years old) of the Provincial Hijacking Task Team based in Isipingo. The arrest was made following an approach to ICD investigators by a complainant after the complainant’s brother was arrested on a charge of armed robbery. The complainant alleged that the investigating officer in the case wanted R5000 from each of the suspects in the armed robbery in order to have the charges withdrawn. Authority was granted by the Director of Public Prosecutions (DPP) to conduct a trap operation. On 18 July 2011 the trap operation commenced with SAPS National Intervention Unit (NIU) providing tactical support to the ICD. The complainant was provided with marked money to the value of R2000 in cash. A meeting took place between the complainant and the police officer (suspect) where the suspect insisted that the complainant climb into his vehicle. The suspect drove off with the complainant followed by ICD members and the NIU. The suspect dropped off the complainant after the money was handed over and drove off. The accused was then stopped and the scene secured. During a search of the suspect and the vehicle, the marked money was found inside the vehicle driven by the suspect. The suspect was arrested on a charge of corruption and detained. The suspect appeared at the Durban Magistrate’s Court on 19 July 2011 and was granted bail of R2000. The case has been postponed to 26 August 2011 for further investigation. ICD Annual Report 2011-2012 page 44 Information on Predetermined Objectives Case study: Murder (Diepsloot) The Independent Complaints Directorate (ICD) has arrested four (4) policemen of whom one (1) is a Captain and three (3) are Constables, for the murder of 28 year old Mr Richard Mahlangu. The Captain is based at Diepsloot SAPS and the three constables are based at Honeydew Detective Services. It is alleged that Mr Mahlangu was arrested at his home on 11 February 2012 between midnight and 01:00 the next morning. He was then allegedly assaulted by unknown policemen. Two other persons were also assaulted by these members of the SAPS. The suspect was then placed on the back of an open police bakkie and the police drove off with him. He was found dead at about 04:45 on 12 February 2012 at the Diepsloot police station. The deceased was found lying in the parking area of the police station. The ICD started an investigation after being notified of the incident. An identification (ID) parade was held after which the suspects were arrested by the ICD’s investigators. The suspect policemen were arrested with a civilian, who managed to escape after being identified in the ID parade- he is currently being traced. The suspects will appear at the Pretoria Magistrates Court on 17 February 2012 on charges of murder and assault. Case study: Murder (Cleveland) The Independent Complaints Directorate (ICD) has arrested a Constable for the murder of Mr AS Netshikweta (27) on 27 March 2012 in Cleveland, Johannesburg. It is alleged that in the evening of 27 March 2012, the police from Cleveland SAPS were responding to a complaint of two suspicious looking vehicles with Durban registration numbers. As the police were responding, they confronted a person who was coming out of a shop opposite the Cleveland Train Station and thereafter loaded him into the police vehicle. The police then approached the driver of an Audi vehicle, whom they ordered to lie down and at that moment a police firearm was discharged and it hit an innocent bystander who died at the scene. ICD Annual Report 2011-2012 page 45 Human Resources Management 3. HUMAN RESOURCE MANAGEMENT 3.1 Expenditure AVERAGE PERSONNEL COST PER EMPLOYEE (R’000) PERSONNEL COST AS % OF TOTAL EXPENDITURE PROFESSIONAL AND SPECIAL SERVICES (R’000) TRAINING EXPENDITURE (R’000) PERSONNEL EXPENDITURE (R’000) TOTAL EXPENDITURE (R’000) PROGRAMME TABLE 3.1.1: Personnel costs by programme, 2011/12 Administration 60 872 24 424 455 383 40 262 Complaints processing, monitoring & investigation 73 245 45 212 729 7 62 314 Information management 19 415 8 457 432 6 44 201 153 532 78 093 1 616 396 51 279 Total TABLE 3.2.1: Personnel costs by salary band, 2011/12 SALARY BAND PERSONNEL EXPENDITURE (R’000) Lower skilled (levels 1-2) AVERAGE PERSONNEL COST PER EMPLOYEE (R’000) % OF TOTAL PERSONNEL COST - - Skilled (levels 3-5) 13 277 17 136 Highly skilled production (levels 6-8) 24 448 31 252 Highly skilled supervision (levels 9-12) 27 320 35 780 Senior management (levels 13-16) 13 048 17 767 Contract - - - Abnormal appointment - - - 78 093 100 279 Total ICD Annual Report 2011-2012 page 46 Human Resources Management TABLE 3.3.1: Salaries, overtime, home-owners’ allowance and medical assistance by programme, 2011/12 MEDICAL ASSISTANCE AS % OF PERSONNEL COST MEDICAL ASSISTANCE AMOUNT (R’000) AMOUNT (R’000) OVERTIME AS % OF PERSONNEL COST AMOUNT (R’000) HOME-OWNERS’ ALLOWANCE AS % OF PERSONNEL COST HOME-OWNERS’ ALLOWANCE OVERTIME SALARIES AS % OF PERSONNEL COST SALARIES AMOUNT (R’000) PROGRAMME Programme 1 16 026 66 607 2 712 3 1 069 4 Programme 2 29 085 64 517 1 1 144 3 2 232 5 Programme 3 5 767 68 204 2 302 4 500 6 50 877 65 1 327 2 2 159 3 3 801 5 Total TABLE 3.4.1: Salaries, overtime, home-owners’ allowance and medical assistance by salary bands, 2011/12 Lower skilled (levels 1-2) MEDICAL ASSISTANCE AS % OF PERSONNEL COST MEDICAL ASSISTANCE AMOUNT (R’000) AMOUNT (R’000) OVERTIME AS % OF PERSONNEL COST AMOUNT (R’000) HOME-OWNERS’ ALLOWANCE AS % OF PERSONNEL COST HOME-OWNERS’ ALLOWANCE OVERTIME SALARIES AS % OF PERSONNEL COST SALARIES AMOUNT (R’000) SALARY BANDS - - - - - - - - 6 716 49.9 192 1.4 839 6.2 1 201 8.9 Highly skilled production (levels 6-8) 13 267 53.6 637 2.6 765 3.1 1528 6.2 Highly skilled supervision (levels 9-12) 19 880 69 468 1.6 490 1.7 955 3.3 Senior management (levels 13-16) 11 014 75.9 0 0 66 0.5 115 0.8 Total 50 877 62.4 1 297 1.6 2 160 2.6 3 799 4.7 Skilled (levels 3-5) ICD Annual Report 2011-2012 page 47 Human Resources Management 3.2 Employment and vacancies TABLE 3.2.1: Employment and vacancies by programme as at 31 March 2012 PROGRAMME NUMBER OF POSTS NUMBER OF POSTS FILLED NUMBER OF POSTS FILLED ADDITIONAL TO THE ESTABLISHMENT % VACANCY RATE Programme 1 101 93 7.9 - Programme 2 158 144 8.9 - Programme 3 44 42 4.5 - 303 279 7.9 - Total TABLE 3.2.2: Employment and vacancies by salary bands as at 31 March 2012 SALARY BAND NUMBER OF POSTS Lower skilled (levels 1-2) NUMBER OF POSTS FILLED NUMBER OF POSTS FILLED ADDITIONAL TO THE ESTABLISHMENT % VACANCY RATE - - - - 106 97 8.4 - Highly skilled production (levels 6-8) 97 97 0 - Highly skilled supervision (levels 9-12) 79 68 13.9 - Senior management (levels 13-16) 21 17 19 - 303 279 7.9 - Skilled (levels 3-5) Total TABLE 3.2.3: Employment and vacancies by critical occupation as at 31 March 2012 The ICD had no critical occupations during the period under review. ICD Annual Report 2011-2012 page 48 Human Resources Management 3.3 Job evaluation Lower skilled (levels 1-2) Skilled (levels 3-5) NUMBER NUMBER % OF POSTS EVALUATED POSTS DOWNGRADED % OF POSTS EVALUATED POSTS UPGRADED 0 0 0 0 0 0 0 106 34 32.1 0 0 0 0 0 0 0 0 13 13.4 0 0 0 0 14 17.7 0 0 0 0 5 33.3 0 0 0 0 2 40 0 0 0 0 0 0 0 0 0 0 0 0 68 22.4 0 0 0 0 Highly skilled production (levels 6-8) 97 Highly skilled supervision (levels 9-12) 79 Senior management service band A 15 Senior management service band B 5 Senior management service band C 1 Senior management service band D - Total % OF POSTS EVALUATED BY SALARY BAND NUMBER OF JOBS EVALUATED NUMBER OF POSTS SALARY BAND TABLE 3.3.1: Job evaluation, 1 April 2011 to 31 March 2012 303 TABLE 3.3.2: Profile of employees whose salary positions were upgraded due to their posts being upgraded, 1 April 2011 to 31 March 2012 There were no employees whose salary positions were upgraded due to their posts being upgraded during the period under review. The following table summarises the number of cases where remuneration levels exceeded the grade determined by job evaluation. Reasons for deviations are provided in each case. TABLE 3.3.3: Employees whose salary level exceed the grade determined by job evaluation, 1 April 2011 to 31 March 2012 (in terms of PSR 1.V.C.3) There were no employees whose salary level exceed the grade determined by job evaluation during the period under review. Table 3.3.4 summarises the above beneficiaries in terms of race, gender and disability. ICD Annual Report 2011-2012 page 49 Human Resources Management TABLE 3.3.4: Profile of employees whose salary level exceed the grade determined by job evaluation, 1 April 2011 to 31 March 2012 (in terms of PSR 1.V.C.3) There were no employees whose salary level exceed the grade determined by job evaluation during the period under review. Cases where remuneration bands exceeded the grade determined by job evaluation Total number of employees whose salaries exceeded the grades determined by job evaluation in 2011/12 None 3.4 Employment changes Lower skilled (levels 1-2) TURNOVER RATE TERMINATIONS AND TRANSFERS FROM THE DEPARTMENT NUMBER OF EMPLOYEES PER BAND AS AT 1 APRIL 2011 SALARY BAND APPOINTMENTS AND TRANSFERS TO THE DEPARTMENT TABLE 3.4.1: Annual turnover rates by salary band for the period 1 April 2011 to 31 March 2012 - - - - Skilled (levels 3-5) 96 23 17 17.7 Highly skilled production (levels 6-8) 91 9 6 6.5 Highly skilled supervision (levels 9-12) 69 1 7 10.1 Senior management service band A 11 1 - - Senior management service band B 4 - 1 25 Senior management service band C 1 - - - 272 34 31 11.3 Total TABLE 3.4.2: Annual turnover rates by critical occupation for the period 1 April 2010 to 31 March 2011 There were no annual turnover rates by critical occupation during the period under review. ICD Annual Report 2011-2012 page 50 Human Resources Management TABLE 3.4.3: Reasons why staff are leaving the department TERMINATION TYPE NUMBER % OF TOTAL Death - - Resignation 5 16.1 Expiry of contract - - Dismissal – operational changes - - Dismissal – misconduct - - Dismissal – inefficiency - - Discharged due to ill-health - - Retirement 1 3.2 25 80.7 Other - - Total 31 100 Transfers to other public service departments Total number of employees who left as a % of the total employment 11 TABLE 3.4.4 Promotions by critical occupation The ICD had no critical occupations during the period under review. PROGRESSIONS TO ANOTHER NOTCH WITHIN A SALARY LEVEL NOTCH PROGRESSIONS AS % OF EMPLOYEES BY SALARY BAND - - - - - Skilled (levels 3-5) 96 4 4.2 67 69.8 Highly skilled production (levels 6-8) 91 9 9.9 63 69.2 Highly skilled supervision (levels 9-12) 69 10 14.5 49 71 Senior management (levels 13-16) 16 1 6.3 11 68.8 272 24 8.8 190 69.9 Lower skilled (levels 1-2) Total EMPLOYEES 1 APRIL 2011 SALARY BAND PROMOTIONS TO ANOTHER SALARY LEVEL SALARY BANDS PROMOTIONS AS % OF EMPLOYEES BY SALARY LEVEL TABLE 3.4.5: Promotions by salary band ICD Annual Report 2011-2012 page 51 Human Resources Management 3.5 Employment equity TABLE 3.5.1: Total number of employees (including employees with disabilities) in the following occupational categories as at 31 March 2012 TOTAL WHITE INDIAN WHITE AFRICAN COLOURED FEMALE INDIAN AFRICAN OCCUPATIONAL CATEGORIES (SASCO) COLOURED MALE Legislators, senior officials and managers 10 - - 1 7 - - - 18 Professionals 28 3 3 8 20 1 - 4 67 Technicians and associate professionals 49 1 - 1 43 2 1 - 97 Clerks 33 - - - 53 9 2 - 97 - - - - - - - - - 120 4 3 10 121 12 3 4 279 2 - - - 2 - - - 4 Service and sales workers Total Employees with disabilities TABLE 3.5.2: Total number of employees (including employees with disabilities) in each of the following occupational bands as on 31 March 2012 TOTAL WHITE INDIAN WHITE AFRICAN COLOURED FEMALE INDIAN AFRICAN OCCUPATIONAL BANDS COLOURED MALE - - - - - - - 1 1 Senior management 10 - - - 7 - - - 17 Professionally qualified and experienced specialists and mid-management 28 3 3 8 20 1 - 4 67 Skilled technical and academically qualified workers, junior management, supervisors, foremen and superintendents 49 1 - 1 43 2 1 - 97 Semi-skilled and discretionary decision making 33 - - - 53 9 2 - 97 120 4 3 9 123 12 3 5 279 Top management Total ICD Annual Report 2011-2012 page 52 Human Resources Management T1ABLE 3.5.3: Recruitment for the period 1 April 2011 to 31 March 2012 TOTAL WHITE INDIAN WHITE AFRICAN COLOURED FEMALE INDIAN AFRICAN OCCUPATIONAL BANDS COLOURED MALE Top management - - - - - - - - - Senior management 1 - - - - - - - 1 Professionally qualified and experienced specialists and mid-management - - 1 - - - - - 1 Skilled technical and academically qualified workers, junior management, supervisors, foremen and superintendents 3 1 - - 4 - - - 8 Semi-skilled and discretionary decision making 14 - - - 10 - - - 24 Total 18 1 1 - 14 - - - 34 - - - - - - - - - Employees with disabilities TABLE 3.5.4: Promotions for the period 1 April 2011 to 31 March 2012 TOTAL WHITE INDIAN WHITE AFRICAN COLOURED FEMALE INDIAN AFRICAN OCCUPATIONAL BANDS COLOURED MALE Top management - - - - - - - - - Senior management - - - - - - - - - Professionally qualified and experienced specialists and mid-management 3 - 1 - 3 - 1 - 8 Skilled technical and academically qualified workers, junior management, supervisors, foremen and superintendents 2 - - - 4 - 1 - 7 Semi-skilled and discretionary decision making 1 - - - 3 - - - 4 Total 6 - 1 - 10 - 2 - 19 Employees with disabilities - - - - - - - - - ICD Annual Report 2011-2012 page 53 Human Resources Management TABLE 3.5.5: Terminations for the period 1 April 2011 to 31 March 2012 TOTAL WHITE INDIAN WHITE AFRICAN COLOURED FEMALE INDIAN AFRICAN OCCUPATIONAL BANDS COLOURED MALE Top management - - - - - - - - - Senior management 1 - - - - - - - 1 Professionally qualified and experienced specialists and mid-management 3 - 1 - - 1 - - 5 Skilled technical and academically qualified workers, junior management, supervisors, foremen and superintendents - - - - - - - - - Semi-skilled and discretionary decision making - - - - - - - - - Total 4 - 1 - - 1 - - 6 Employees with disabilities - - - - - - - - - TABLE 3.5.6: Disciplinary action for the period 1 April 2011 to 31 March 2012 Disciplinary action 6 - - 1 - - TOTAL WHITE INDIAN AFRICAN WHITE - COLOURED FEMALE INDIAN AFRICAN COLOURED MALE 7 - TABLE 3.5.7: Skills development for the period 1 April 2011 to 31 March 2012 Legislators, senior officials and managers 9 2 9 - 5 27 - 1 18 TOTAL 24 - 70 Technicians and associate professionals 16 Clerks 32 1 - - 30 6 1 - 70 Total 89 2 2 8 84 10 2 2 199 2 - - - - - - - 2 page 54 1 2 32 ICD Annual Report 2011-2012 4 WHITE INDIAN AFRICAN WHITE 2 Professionals Employees with disabilities 1 COLOURED FEMALE INDIAN AFRICAN OCCUPATIONAL CATEGORIES COLOURED MALE 35 Human Resources Management 3.6 Performance rewards TABLE 3.6.1: Performance rewards by race, gender, and disability – 1 April 2011 to 31 March 2012 COST (R’000) AVERAGE COST PER EMPLOYEE COST % OF TOTAL WITHIN GROUP NUMBER OF BENEFICIARIES TOTAL NUMBER OF EMPLOYEES IN GROUP BENEFICIARY PROFILE African 95 241 79.5 1 130 24 114 Male 49 125 39.7 784 17 045 Female 46 116 39.8 346 7 069 Asian 3 6 100.0 40 24 675 Male 2 3 66.7 31 15 706 Female 1 3 33.3 9 8 969 Coloured 1 13 11.1 5 4 729 Male - 4 - - - Female 1 9 11.1 5 4 729 White 9 15 145.5 135 30 010 Male 5 11 45.5 71 14 115 Female 4 4 100 64 15 895 Employees with a disability 1 4 25 1 327 17 272 109 279 39.4 1 327 12 174 Total TABLE 3.6.2: Performance rewards by salary band for personnel below senior management level – 1 April 2011 to 31 March 2012 Lower skilled (levels 1-2) AVERAGE COST PER EMPLOYEE TOTAL COST (R’000) NUMBER OF EMPLOYEES TOTAL COST AS % OF THE TOTAL PERSONNEL EXPENDITURE COST % OF TOTAL WITHIN SALARY BANDS BENEFICIARY PROFILE NUMBER OF BENEFICIARIES SALARY BANDS - - - - - - Skilled (levels 3-5) 32 97 33 142 4 438 0.2 Highly skilled production (levels 6-8) 33 97 34 267 8 091 Highly skilled supervision (levels 9-12) 38 68 55.9 514 13 526 103 262 39.3 923 8 961 Total 0.3 0.7 1.2 ICD Annual Report 2011-2012 page 55 Human Resources Management TABLE 3.6.3: Performance rewards by critical occupations – 1 April 2011 to 31 March 2012 The ICD had no critical occupations during the period under review. TABLE 3.6.4: Performance-related rewards (cash bonus), by salary band, for senior management level TOTAL COST AS % OF THE TOTAL PERSONNEL EXPENDITURE AVERAGE COST PER EMPLOYEE TOTAL COST (R’000) % OF TOTAL WITHIN BAND NUMBER OF EMPLOYEES NUMBER OF BENEFICIARIES SALARY BAND BENEFICIARY PROFILE Band A 6 13 46.1 404 67 333 0.5 Band B - 3 - - - - Band C - 1 - - - - Band D - - - - - - Total 6 17 35.2 404 67 333 0.5 3.7 Foreign workers TABLE 3.7.1: Foreign workers, 1 April 2011 to 31 March 2012, by salary band The ICD had no foreign workers during the period under review. TABLE 3.7.2: Foreign workers, 1 April 2011 to 31 March 2012, by major occupation The ICD had no foreign workers during the period under review. ICD Annual Report 2011-2012 page 56 Human Resources Management 3.8 Leave utilisation for the period 1 January 2011 to 31 December 2011 ESTIMATED COST (R’000) % OF TOTAL EMPLOYEES USING SICK LEAVE AVERAGE DAYS PER EMPLOYEE NUMBER OF EMPLOYEES USING SICK LEAVE TOTAL DAYS % DAYS WITH MEDICAL CERTIFICATION TABLE 3.8.1: Sick leave, 1 January 2011 to 31 December 2012 - - - - - - Skilled (levels 3-5) 622 85.4 82 36.3 8 216 Highly skilled production (levels 6-8) 547 88.3 73 32.3 7 336 Highly skilled supervision (levels 9-12) 426 85.7 59 26.1 7 456 82 85.4 12 5.3 7 229 1677 86.4 226 100 7 1237 SALARY BAND Lower skilled (levels 1-2) Senior management (levels 13-16) Total Lower skilled (levels 1-2) Skilled (levels 3-5) Highly skilled production (levels 6-8) Highly skilled supervision (levels 9-12) Senior management (levels 13-16) Total ESTIMATED COST (R’000) AVERAGE DAYS PER EMPLOYEE % OF TOTAL EMPLOYEES USING DISABILITY LEAVE % DAYS WITH MEDICAL CERTIFICATION TOTAL DAYS TAKEN SALARY BAND NUMBER OF EMPLOYEES USING DISABILITY LEAVE TABLE 3.8.2: Disability leave (temporary and permanent), 1 January 2011 to 31 December 2011 94 100 1 50 94 65 21 38.1 1 50 21 17 - - - - - - 115 88.7 2 100 58 82 ICD Annual Report 2011-2012 page 57 Human Resources Management TABLE 3.8.3: Annual leave, 1 January 2011 to 31 December 2011 TOTAL DAYS TAKEN SALARY BANDS Skilled (levels 3-5) AVERAGE PER EMPLOYEE 1733.84 16 1846 19 1669.16 22 379 21 5628 19 TOTAL DAYS OF CAPPED LEAVE TAKEN AVERAGE NUMBER OF DAYS TAKEN PER EMPLOYEE AVERAGE CAPPED LEAVE PER EMPLOYEE AS AT 31 DECEMBER 2011 36 7 51 - - - 36 7 51 Highly skilled production (levels 6-8) Highly skilled supervision (levels 9-12) Senior management (levels 13-16) Total TABLE 3.8.4: Capped leave, 1 January 2011 to 31 December 2011 SALARY BANDS Highly skilled supervision (levels 9-12) Senior management (levels 13-16) Total The following table summarises payments made to employees as a result of leave that was not taken. TABLE 3.8.5: Leave payouts for the period 1 April 2011 to 31 March 2012 REASON TOTAL AMOUNT (R’000) AVERAGE PAYMENT PER EMPLOYEE NUMBER OF EMPLOYEES Leave payout for 2011/12 due to nonutilisation of leave for the previous cycle 75 2 37500 Capped leave payouts on termination of service for 2011/12 136 5 27200 Current leave payout on termination of service for 2011/12 23 1 23000 234 8 29250 Total ICD Annual Report 2011-2012 page 58 Human Resources Management 3.9 HIV and AIDS and health promotion programmes TABLE .3.9.1: Steps taken to reduce the risk of occupational exposure UNITS/CATEGORIES OF EMPLOYEES IDENTIFIED TO BE AT HIGH RISK OF CONTRACTING HIV & RELATED DISEASES (IF ANY) Investigators, as they have to attend crime scenes and post mortems KEY STEPS TAKEN TO REDUCE THE RISK Protective gear has been supplied by the ICD TABLE 3.9.2: Details of health promotion and HIV and AIDS programmes QUESTION YES NO DETAILS, IF YES 1. Has the department designated a member of the SMS to implement the provisions contained in part 6 (E) of Chapter 1 of the Public Service Regulations, 2001? If so, provide her/his name and position. x Ms Sibongile Phalatsi – Director: Human Resources and Employee Health & Wellness. 2. Does the department have a dedicated unit or has it designated specific staff members to promote the health and wellbeing of employees? If so, indicate the number of employees who are involved in this task and the annual budget that is available for this purpose. x The sub-directorate has two permanent employees. In the provinces, the deputy provincial heads are tasked with these programmes. The annual budget for Special Programmes and Employee Wellness during 2011/2012 was R 917 972 including salaries. 3. Has the department introduced an employee assistance or health promotion programme for employees? If so, indicate the key elements/ services of this programme. x The Employee Assistance Programme was implemented from 1 February 2005. The programme services are outsourced to Independent Counselling and Advisory Services (ICAS). The services include a 24-hour multilingual toll-free counselling, life management services, professional face-to-face counselling sessions, managerial and retrenchment counselling, trauma counselling, and incident counselling. 4. Has the department established (a) committee(s) as contemplated in part 6 E.5 (e) of Chapter 1 of the Public Service Regulations? If so, please provide the names of the members of the committee and the stakeholder(s) that they represent. x The Special Programmes and Employee Wellness Committee deals with HIV and AIDS, health and wellness and special programmes issues. The members are: Ms S Phalatsi (Chairperson) Mr. R Raburaru (Gauteng), Ms P Mlungwana (EC), Ms A Percival (WC), Mr L John (KZN), Mr D Mokoena (Limp), Ms B Motlhale (NW), Mr T Mmusi (FS), Mr O Khanyi (MPU) and Mr G Angus (NC), Ms I Lentswane (HO), Ms K Netshikulwe (HO) The Employee Wellness Advisory Committee members are: Ms Phalatsi Mr T Tshabalala Mr M Dlamini Ms E Engelbrecht Ms M Phakathi Labour representatives ICD Annual Report 2011-2012 page 59 Human Resources Management QUESTION YES NO DETAILS, IF YES 5. Has the department reviewed its employment policies and practices to ensure that these do not unfairly discriminate against employees on the basis of their HIV status? If so, list the employment policies/practices so reviewed. x The Directorate has an approved HIV and AIDS policy that addresses all forms of unfair discrimination relating to HIV and AIDS and the Employee Health and Wellness Policy. 6. Has the department introduced measures to protect HIV-positive employees or those perceived to be HIV-positive from discrimination? If so, list the key elements of these measures. x Allegations of misconduct relating to unfair discrimination on the basis of HIV and AIDS are dealt with in terms of the Disciplinary Code and Procedure and the Grievance Procedure for the Public Service. 7. Does the department encourage its employees to undergo voluntary counselling and testing? If so, list the results that you have you achieved. x All health and wellness screening activities include voluntary counselling and testing to create ample opportunities for employees to know their status. 8. Has the department developed measures/ indicators to monitor and evaluate the impact of its health promotion programme? If so, list these measures/indicators. x The measures developed to evaluate the impact of the health promotion programmes are as follows: The resilience programme, which is a debriefing session for investigators conducted by the Independent Counselling Advisory Services. Financial management workshops are offered to all employees. 3.10 Labour relations TABLE 3.10.1: Collective agreements, 1 April 2011 to 31 March 2012 No collective agreements were entered into with trade unions within the directorate. The following table summarises the outcome of disciplinary hearings conducted within the Directorate for 2011/12. TABLE 3.10.2: Misconduct and disciplinary hearings finalised, 1 April 2011 to 31 March 2012 OUTCOMES OF DISCIPLINARY HEARINGS NUMBER % OF TOTAL Final written warning 3 43 Suspended without pay 3 43 Dismissal - - Not guilty - - Case withdrawn 1 14 Total 7 100 ICD Annual Report 2011-2012 page 60 Human Resources Management TABLE 3.10.3: Types of misconduct addressed at disciplinary hearings TYPE OF MISCONDUCT NUMBER % OF TOTAL Misrepresentation 3 43 Insubordination 2 29 Contravention of policy 1 14 Theft 1 14 Total 7 100 TABLE 3.10.4: Grievances lodged for the period 1 April 2011 to 31 March 2012 NUMBER % OF TOTAL Number of grievances resolved 2 50 Number of grievances not resolved 2 50 Total number of grievances lodged 4 100 TABLE 3.10.5: Disputes lodged with councils for the period 1 April 2011 to 31 March 2012 No disputes were lodged with councils for the period 1 April 2011 to 31 March 2012. TABLE 3.10.6: Strike actions for the period 1 April 2011 to 31 March 2012 No strike actions for the period 1 April 2011 to 31 March 2012. TABLE 3.10.7: Precautionary suspensions for the period 1 April 2011 to 31 March 2012 Number of people suspended 6 Number of people whose suspension exceeded 60 days 2 Average number of days suspended 91 Cost (R’000) of suspensions 877 274 ICD Annual Report 2011-2012 page 61 Human Resources Management 3.11 Skills development This section highlights the directorate’s skills-development efforts. Legislators, senior officials and managers Professionals Technicians and associate professionals Clerks TOTAL OTHER FORMS OF TRAINING SKILLS PROGRAMMES & OTHER SHORT COURSES LEARNERSHIPS OCCUPATIONAL CATEGORIES TRAINING NEEDS IDENTIFIED AT START OF REPORTING PERIOD NUMBER OF EMPLOYEES AS AT 1 APRIL 2011 GENDER TABLE 3.11.1: Training needs identified 1 April 2011 to 31 March 2012 Female 25 - 47 18 65 Male 25 - 57 15 72 Female 46 - 46 28 74 Male 66 - 61 33 94 Female 5 - 12 - 12 Male 3 - 12 - 12 Female 61 - 88 35 123 Male 28 - 68 20 88 259 - 391 149 540 Total Legislators, senior officials and managers Professionals Technicians and associate professionals Clerks TOTAL OTHER FORMS OF TRAINING SKILLS PROGRAMMES & OTHER SHORT COURSES LEARNERSHIPS OCCUPATIONAL CATEGORIES TRAINING PROVIDED WITHIN THE REPORTING PERIOD NUMBER OF EMPLOYEES AS AT 1 APRIL 2011 GENDER TABLE 3.11.2: Training provided 1 April 2011 to 31 March 2012 Female 25 - 19 5 24 Male 25 - 22 8 30 Female 46 - 18 24 42 Male 66 - 11 19 30 Female 5 - 12 - 12 Male 3 - 12 - 12 Female 61 - 16 16 32 Male 28 - 14 15 29 259 0 124 87 211 Total ICD Annual Report 2011-2012 page 62 Human Resources Management 3.12 Signing of performance agreements by senior management staff members TABLE 3.12.1: Signing of performance agreements by senior management staff members as at 30 June 2011 SMS LEVEL TOTAL NUMBER OF FUNDED SMS POSTS PER LEVEL TOTAL NUMBER OF SMS MEMBERS PER LEVEL TOTAL NUMBER OF SIGNED PERFORMANCE AGREEMENTS PER LEVEL SIGNED PERFORMANCE AGREEMENTS AS % OF TOTAL NUMBER OF SMS MEMBERS PER LEVEL - - - - Director-General/ head of department - Salary level 16, but not head of department - Salary level 15 1 1 0 0 Salary level 14 5 3 0 0 Salary level 13 15 13 1 7 Total 21 17 1 14 - TABLE 3.12.2: Reasons for not having concluded performance agreements for all senior management staff members as at 30 June 2011 1. All three level 14 performance agreements were concluded after 31 May 2011 2. Nine members on level 13 concluded their Performance Agreements after 31 May 2011, one member promoted in July 2011 and one member placed on precautionary suspension on 09 May 2011. 3. One member on level 15 concluded the Performance Agreement after 31 May 2011. 3.13 Filling of senior management posts TABLE 3.13.1: Senior management staff posts information as at 31 March 2012 TOTAL NUMBER OF FUNDED SMS POSTS PER LEVEL TOTAL NUMBER OF SMS POSTS FILLED PER LEVEL % OF SMS POSTS FILLED PER LEVEL TOTAL NUMBER OF SMS POSTS VACANT PER LEVEL Director-General/ head of department - - - - - Salary level 16, but not head of department - - - - Salary level 15 1 1 100 - - Salary level 14 5 3 60 2 40 Salary level 13 15 13 86 2 13 Total 21 17 19 4 53 SMS LEVEL % OF SMS POSTS VACANT PER LEVEL ICD Annual Report 2011-2012 page 63 Human Resources Management TABLE 3.13.2: Senior management service post information as at 30 September 2011 SMS LEVEL TOTAL NUMBER OF FUNDED SMS POSTS PER LEVEL TOTAL NUMBER OF SMS POSTS FILLED PER LEVEL % OF SMS POSTS FILLED PER LEVEL TOTAL NUMBER OF SMS POSTS VACANT PER LEVEL % OF SMS POSTS VACANT PER LEVEL Director-General/ head of department - - - - - Salary level 16, but not head of department - - - - - Salary level 15 1 1 100 - - Salary level 14 5 3 60 2 40 Salary level 13 15 12 80 3 20 Total 21 16 76.1 5 23.8 TABLE 3.13.3: Advertising and filling of senior management posts as at 31 March 2012 ADVERTISING NUMBER OF VACANCIES PER LEVEL NOT FILLED IN 6 MONTHS, BUT FILLED IN 12 MONTHS NUMBER OF VACANCIES PER LEVEL ADVERTISED IN 6 MONTHS OF BECOMING VACANT NUMBER OF VACANCIES PER LEVEL FILLED IN 6 MONTHS OF BECOMING VACANT Director-General/ head of department - - - Salary level 16, but not head of department - - - Salary level 15 - - - Salary level 14 1 - 2 Salary level 13 1 - 2 Total 2 - 4 SMS LEVEL TABLE 3.13.4: Reasons for not having complied with the filling of funded vacant senior management posts advertised within six months and filled within 12 months after becoming vacant Reasons for vacancies not advertised within six months N/A Reasons for vacancies not filled within 12 months N/A ICD Annual Report 2011-2012 page 64 Human Resources Management 3.14 Injury on duty The following tables provide basic information on injury on duty. TABLE 3.13.1: Injury on duty, 1 April 2011 to 31 March 2012 No injuries occurred on duty during the period under review. 3.15 Utilisation of consultants TABLE 3.15.1: Report on consultant appointments using appropriated funds PROJECT TITLE TOTAL NUMBER OF CONSULTANTS THAT WORKED ON THE PROJECT DURATION: WORK DAYS Independent Counselling and Advisory Services for Employee Assistance Programme. 01 - CONTRACT VALUE IN RAND 733 508.58 TABLE 3.15.2: Analysis of consultant appointments using appropriated funds, in terms of historically disadvantaged individuals (HDI) No consultant appointments were made using appropriated funds. TABLE 3.15.3: Report on consultant appointments using donor funds No consultant appointments were made using donor funds. TABLE 3.15.4: Analysis of consultant appointments using donor funds, in terms of HDIs No consultant appointments were made using donor funds. ICD Annual Report 2011-2012 page 65 Other Information 4 Other information Abbreviations and legislation Abbreviations BAS HDI ICD IPID SAPS SMS TR PFMA ICT SCOPA LOGIS MPS Basic Accounting System Historically disadvantaged individual Independent Complaints Directorate Independent Police Investigative Directorate South African Police Service Senior management service Treasury Regulations Public Finance Management Act Information and Communication Technology Standing Committee on Public Accounts Logistical Information System Municipal Police Services Full references to legislation Constitution of the Republic of South Africa Act 108 of 1996 Criminal Procedure Act 51 of 1977 Domestic Violence Act 116 of 1998 Employment Equity Act 55 of 1998 Public Finance Management Act 1 of 1999 (as amended by the Public Finance Management Act 29 of 1999) South African Police Service Act 68 of 1995 Contact details NATIONAL OFFICE City Forum Building 114 Vermeulen Street Pretoria Private Bag X 941 Pretoria 0001 Tel: (012) 399-0000 Fax: (012) 326-0408 www.icd.gov.za complaints@icd.gov.za ICD Annual Report 2011-2012 page 66 Other Information EASTERN CAPE Provincial office: East London Mezzanine Floor, Permanent Building 4244 Oxford Street Corner Oxford & Terminus Streets East London 5200 Telephone (043) 706-6500 Fax (043) 722-2889 complaints@icd.gov.za Satellite office: Mthatha 10th floor, Room 1056B, PRD Building Suiderland Street Mthatha Telephone (047) 501-5900 Fax (047) 531-1570 complaints@icd.gov.za FREE STATE Provincial office: Bloemfontein Standard Bank Building 15 Corner St. Andrew and West Burger Street Bloemfontein Tel: (051) 406 6800 Fax: (051) 430 8852 complaints@icd.gov.za Satellite office: Bethlehem Maseroey Gebou/Building 28 Louw Street Bethlehem 9700 Tel: (058) 307 7620 Fax: (058) 303 4089 complaints@icd.gov.za ICD Annual Report 2011-2012 page 67 Other Information GAUTENG Provincial office: Johannesburg 20th Floor, Marble Towers Building 208-212 Jeppe Street Johannesburg Telephone (011) 220-1500 Fax (011) 333-2705 complaints@icd.gov.za KWAZULU-NATAL Provincial office: Durban Third Floor, The Marine Building 22 Dorothy Street Nyembe Street (Gardiner Street) Durban Telephone (031) 310-1300 Fax (031) 305-8214 complaints@icd.gov.za Satellite office: Empangeni First Floor, Room 1ICD, Edwards Pharmacy Building 10 Union Street Empangeni Telephone (035) 772-3022 Fax (035) 772-3049 complaints@icd.gov.za LIMPOPO Provincial office: Polokwane Second Floor, Femnic Building Building 66A Market Street Polokwane Telephone (015) 291-9800 Fax (015) 295-3409 complaints@icd.gov.za Satellite office: Thohoyandou Ground floor, Room D1 Limdev Building Limpopo Development Corporation Thohoyandou ICD Annual Report 2011-2012 page 68 Other Information Telephone (015) 962-0405 Fax (015) 962-0345 complaints@icd.gov.za MPUMALANGA Provincial office: Nelspruit First floor, Nedbank Centre 48 Brown Street Nelspruit Telephone (013) 754-1000 Fax (013) 752-2602 complaints@icd.gov.za NORTH WEST Provincial office: Mafikeng First floor, Molopo Shopping Centre 1 Station Road Mafikeng 2745 Telephone (018) 397-2500 Fax (018) 381-1495 complaints@icd.gov.za Satellite office: Rustenburg 165 Klopper Street Rustenburg Telephone (014) 591-8560 Fax (014) 592-1349 complaints@icd.gov.za NORTHERN CAPE Provincial office: Kimberley 39 George Street Kimberley Telephone (053) 807-5100 Fax (053) 832-5615 complaints@icd.gov.za ICD Annual Report 2011-2012 page 69 Other Information Satellite office: Upington 3 Robinson Street Upington 8800 Telephone (054) 338-5700 Fax (086) 630-0997 complaints@icd.gov.za WESTERN CAPE Provincial office: Cape Town First floor, Fintrust Building Corner Petrusa & Mazzur Streets Bellville 7530 Telephone (021) 941-4800 Fax (021) 949-3196 complaints@icd.gov.za ICD Annual Report 2011-2012 page 70 INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 for the year ended 31 March 2012 5. ANNUAL FINANCIAL STATEMENTS page Report of the Audit Committee 72 Report of the Accounting Officer 74 Report of the Auditor-General 85 Appropriation Statement 89 Notes to the Appropriation Statement 98 Statement of Financial Performance 100 Statement of Financial Position 101 Cash Flow Statement 102 Accounting Policies 103 Notes to the Annual Financial Statements 110 Disclosure notes to the Annual Financial Statements 121 Annexures to the Annual Financial Statements 131 ICD Annual Report 2011-2012 page 71 Annual Financial Statements INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 REPORT OF THE AUDIT COMMITTEE for the year ended 31 March 2012 Report of the Audit Committee We are pleased to present our report for the financial year ended 31 March 2012. Audit Committee Members and Attendance: The Audit Committee consists of the members listed hereunder and should meet three times per annum as per its approved terms of reference. During the financial year 2011 / 2012 four meetings were held. Meetings were held on the following dates; 30 May 2011, 25 July 2011, 3 November 2011 and 29 March 2012. NAME OF MEMBERS Mr A Darmalingam (Chairperson) Ms S Motuba (Deputy Chairperson) Mr V Motholo Mr D Garach Ms P Mvulane Mr F Beukman (Ex Officio) Ms L Cwele (Ex Officio) NUMBER OF MEETINGS ATTENDED 4 4 3 4 4 4 4 Audit Committee Responsibility The Audit Committee reports that it has compiled with its responsibilities arising from section 38(1) (a) of the PFMA and Treasury Regulations 3.1. The Audit Committee also reports that it has adopted appropriate formal terms of reference as its Audit Committee charter and has compiled with the terms of reference of the charter. Effectiveness of Internal Control The system of Internal Control applied by the Department over financial risk and risk management is effective, efficient and transparent. In line with the PFMA and the KING III Report on Corporate Governance requirements, Internal Audit provides the Audit Committee and management with assurance that the internal controls are appropriate and effective. This is achieved by the risk management processes, as well as the Identification of corrective actions and suggested enhancements to the controls and processes. From the various reports of the Internal Auditors, the Audit Reports on the Annual Financial Statements and the management report of the Auditor-General, it was noted that several internal control weaknesses were reported and several matters of non-compliance with laws and regulations were also reported and that management have committed to put mechanisms in place to mitigate against these weaknesses identified. Evaluation of the Annual Financial Statements The Audit Committee has: • Reviewed and discussed the audited Annual Financial Statements to be included in the annual report with the Auditor General and the Accounting Officer; ICD Annual Report 2011-2012 page 72 Annual Financial Statements INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 REPORT OF THE AUDIT COMMITTEE for the year ended 31 March 2012 • • • • • • Reviewed the Auditor General’s management report and management responses thereto; Reviewed the changes in the accounting policies; Reviewed the information on predetermined objectives to be included in the annual report; The interim financial statements were not submitted to the Audit Committee on a timely basis for oversight, due to capacity constraints by the Department; Reviewed the department’s compliance with the legal and regulatory provisions; and Reviewed the significant adjustments resulting from the audit. The Audit Committee concurs and accepts the Auditor-General South Africa’s conclusions on the Annual Financial Statements, and is of the opinion that the audited financial statements be accepted and read together with the report of the Auditor-General South Africa. Internal Audit The Audit Committee is satisfied that the internal audit function is operating effectively and that it has addressed the risks pertinent to the department in its audit. The Audit Committee approved the risk based internal audit three years rolling plan. The Audit Committee reviewed all the internal audit reports that identified weaknesses within the department and considered the adequacy of management responses to ensure the risk exposure is reduced, and there is continuous improvement within the control environment. Auditor-General South Africa The Committee also met with the Auditor-General South Africa and confirmed that there are no unresolved issues affecting ICD’s operating environment. 31 July 2012 DATE CHAIRPERSON ICD Annual Report 2011-2012 page 73 Annual Financial Statements INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 REPORT OF THE ACCOUNTING OFFICER for the year ended 31 March 2012 Report by the Accounting Officer (the Executive Director of the Independent Complaints Directorate) to the Executive Authority (the honourable Minister EN Mthethwa, the Minister of Police) and Parliament of the Republic of South Africa. 1. General review of the state of financial affairs • Important policy decisions and strategic issues facing the department During the Directorate`s strategic plan process, key issues in the service delivery environment were considered. The Directorate concluded that the IPID Act is having a significant impact on the investigative capacity and creates the opportunity for a strong and independent oversight body which will in consequence contribute to the achievement of a Police service that operates in line with a spirit of the Constitution. An in-depth analysis of the Directorate`s strengths, weaknesses, opportunities and threats, revealed that the ICD’s strong leadership and the fact that the Directorate has skilled investigators with all powers provided for in the Criminal Procedure Act 51 of (1977) that are bestowed upon a Peace officer or Police official will be a contributing factor in the realisation of the strategic outcome–oriented goals during the subsequent five years’ strategic planning period. • Comment on significant events that have taken place during the year Following the introduction of the IPID Act No. 1 of 2011 by the President of South Africa in May 2011, the Directorate during its strategic plan announced the official implementation date including the renaming of the Independent Complaints Directorate (ICD) to the Independent Police Investigative Directorate (IPID) that will have a significant impact on the public profile of the Directorate in the following financial year (2012/13). The establishment of the IPID will specifically brand the Directorate as a body that functions independently from the Police services and it will also focuses on conducting investigations into offences by Police members, rather than merely acting on complaints. The IPID Act No. 1 of 2011 was implemented on 1 April 2012. • Comment on major projects undertaken or completed during the year o o o o • During the period under review the Directorate met all of its targets related to station audits and the completion of applications for exemptions in terms of the Domestic Violence Act within 30 days; The Directorate also improved its response time with regard to the investigation of deaths in custody or as a result of police action; Most of the complaints of criminality were received and dealt with in the year under review; The two desktop research reports have been finalised for accurate reporting. Spending trends The Directorate received an adjusted budget allocation of R153 534 000 for three main divisions during the 2011/12 audited financial year. The actual spending was 99% of the allocated budget, which translates to R153 532 000 in monetary value. Only R2 000 of the total budget allocation was reported as under spending and the Directorate is making efforts to ensure 100% spending. ICD Annual Report 2011-2012 page 74 Annual Financial Statements INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 REPORT OF THE ACCOUNTING OFFICER for the year ended 31 March 2012 • Virement: During the period under review the Accounting Officer, in accordance with section 43 (1) of the PFMA, approved the virement that was implemented by reallocation of R1 276 000, translating to 1.71% from programme 2, Investigation of Complaints: Goods and services to defray the anticipated Compensation of Employees overspending in both programmes 1 Administration, R924 000 translates to 1.54% and 2 Information Management and Research, R352 000 translates to 1.85%. The following shows the virement application per Programme: Programme 1: Administration The net result of the shifting of funds and application of virement amounts to R924 000, which was transferred from Programme 2: Complaints Processing, Monitoring and Investigation. The net result for virement implementation of R924 000, translates to 1.54%. Programme 2: Complaints Processing, Monitoring & Investigations There was an anticipated under-spending of R1 276 000, which was moved through the application of virement to Programme 1: Administration (R924 000) and Programme 3: Information Management and Research (R352 000). The net result of the application for virement of R1 276 000 translates to 1.71%. Programme 3: Information Management and Research The net result of the shifting of funds and application of virement amounted to R352 000, which was received from Programme 2: Complaints Processing, Monitoring & Investigation due address the projected shortfall. The net result of the application for virement of R352 000 translates to 1.85%. The below shows the impact brought by implementation of virement per Sub-Programme: Programme 1: Administration Sub - Programmes Sub-programme: Management The projected under-spending of R589 000 was addressed by implementation of virement to cover the shortfall in the Sub-programme: Corporate Services amounting to R1 513 000 and the net result is as follows: An amount of R743 000 was shifted from Compensation of Employees due to the vacant positions that were awaiting job evaluations and was utilised to cover the anticipated shortfall in Goods & Services for an amount of R154 000. The balance of R589 000 (-R743 000 + R154 000) was utilised to address the projected shortfall in the Sub-programme: Corporate Services for R589 000. ICD Annual Report 2011-2012 page 75 Annual Financial Statements INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 REPORT OF THE ACCOUNTING OFFICER for the year ended 31 March 2012 Sub-programme: Corporate Services A projected shortfall of R1 513 000 was addressed by implementation of virement from the Sub-programme: Management to the amount of R589 000 and the Sub-programme: Complaints Processing, Monitoring and Investigation for amount of R924 000 and the net result was as follows: In terms of the Economic Classification, an amount of R4 820 000 for Compensation of Employees, due to some vacancies that resulted from a high staff turnover in Corporate Services as well as the awaiting of job evaluations before certain posts could be filled, was shifted to Goods & Services (R6 333 000) to cover an increase in office accommodation, specifically with relation to the National Office. The anticipated shortfall in Goods & Services for R1 513 000 was addressed through virement of R589 000 from the Sub-programme: Management and R924 000 from the Sub-Programme: Complaints Processing, Monitoring and Investigation. Programme 2: Investigation of Complaints Sub-Programmes Sub-programme: Complaints Processing, Monitoring & Investigation The projected under-spending of R1 062 000 in this sub-programme was addressed by implementation of virement to Sub-programme: Corporate Services for an amount of R924 000 and the Sub-programme: Information Management System to the tune of R138 000. In terms of the Economic Classification, the amount of R552 000 was shifted from Compensation and Goods & Services (R513 000) to cover the R3 000 for the writing-off of debt and the balance of R1 062 000 in this Sub-programme was utilised to address the shortfall on the Sub-programme: Corporate Services for an amount of R924 000 and Sub-programme: Information Services to the amount of R138 000. Sub-programme: Legal Services The anticipated under-spending of R214 000 in this Sub-programme was utilised for the projected overspending on the Sub-programme: Information Management System. The net result was the amounts of R64 000 under Compensation of Employees and R164 000 under Goods & Services were utilised to address the shortfall of R14 000 in Machinery and Equipment, with the balance being utilised for the virement of R214 000 to the Sub-programme: Information Management System. Programme 3: Information Management & Research Sub-Programme Sub-programme: Research The projected under-spending of R359 000 was used to defray the anticipated shortfalls and the reallocation of funds was implemented as follows: ICD Annual Report 2011-2012 page 76 INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 REPORT OF THE ACCOUNTING OFFICER for the year ended 31 March 2012 Annual Financial Statements An amount of R133 000 was shifted from Compensation of Employees and R226 000 from Goods & Services to cover the shortfall under the Sub-programme: Information Management System. Sub-programme: Information Management System The projected shortfall of R711 000 was addressed by the implementation of virement from the SubProgramme: Research to tune of R359 000, the Sub-programme: Complaints Processing, Monitoring and Investigation amounting to R138 000 and the Sub-programme: Legal Services to the amount of R214 000 which resulted into the following: An amount of R325 000 was shifted from Compensation of Employees to Goods & Services and the R3 000 for the writing-off of debt. The shortfall in Goods & Services of R711 000 was addressed by application of virement from the Sub-programme: Research to the tune of R359 000 and the Sub-programme: Complaints Processing, Monitoring and Investigation amounting to R352 000. • Unauthorised Expenditure The Directorate (ICD) did not incur any unauthorised expenditure in the year under audit, however as previously reported, the amount as disclosed under the same heading of the annual financial statements made of prior year`s over expenditures incurred by Programmes 2 and 3 in the financial years 2008/2009 and 2005/2006 respectively. All information related to the authorisation of the expenditure has been submitted to the Parliament for consideration. At the time of reporting the approval was not yet granted. • Irregular Expenditure The Directorate did identify incidents of irregular expenditure in the financial year under review. The disclosed irregular expenditure under the disclosure notes to the annual financial statements emanates from prior year(s) due to various incidents and the Directorate has since applied for condonement by the National Treasury. It also emanates from current year incidents. • Fruitless and wasteful expenditure The Directorate (ICD) did incur fruitless and wasteful expenditure in the year under audit and is disclosed under the disclosure notes to the annual financial statements. 2. Service rendered by the department 2.1 Service rendered by the Independent Complaints Directorate Reference is made to the reported Programmes’ performance in respect of Programme 2 and Programme 3 which includes the legislative mandate of the Independent Complaints Directorate (ICD). 2.2 Tariff policy For the financial year under review the Independent Complaints Directorate (ICD) did not charge tariffs for services rendered. ICD Annual Report 2011-2012 page 77 Annual Financial Statements INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 REPORT OF THE ACCOUNTING OFFICER for the year ended 31 March 2012 2.3 Free Services The service rendered by the Independent Complaints Directorate (ICD) fall within its policy mandate and is free services rendered which does not have any significant impact on revenue. 2.4 Inventories The total inventories on hand at year-end consists of National Office (Pretoria) and two Provincial Offices which are KwaZulu-Natal (Durban) and the Western Cape (Cape Town) to the tune of R204,128 as broken down below: National Office (Pretoria): R149,867 KwaZulu-Natal (Durban): R 43,073 Western Cape (Cape Town): R 11,188 3. Capacity constraints The current lack in human resource capacity and the high staff turnover are not only identified weaknesses within the Directorate, but might also pose a significant threat for the Directorate to fulfil its legislative mandate and consequently in the achievement of its strategic outcomes and goals. This is in view of the additional investigation areas identified in the extended mandate and the focus on more serious and priority crimes committed by members of the South African Police Service and the Municipal Police Services. In addressing the aforesaid weakness to ensure that the IPID fully complies with its extended legislative mandate and added reporting responsibilities, additional posts will be created over the 2012 - 2017 period. Although current economic challenges and the allocation of funding might bring about additional challenges in this regard, the Directorate is committed to deliver on its mandate with the purpose of making a lasting impact in order to contribute towards the achievement of the ultimate outcome which is a Police service that is trusted by the Community. 4. Utilisation of donor funds For the period under review, the Independent Complaints Directorate (ICD) did not receive any donor funds. 5. Trading entities and public entities The Independent Complaints Directorate (ICD) does not have activities in the trading, public as well as unlisted entities/funds that form part of the Minister’s portfolio. 6. Organisations to whom transfer payments have been made Like in the previous financial year, the Independent Complaints Directorate (ICD) has only made one transfer payment to the Safety and Security Sector Education Authority (SASSETA) in a form of administrative fees for the Skills Development Levy. (Refer to Annexure 1 to the Annual Financial Statements for the actual transfer in monetary value). ICD Annual Report 2011-2012 page 78 Annual Financial Statements INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 REPORT OF THE ACCOUNTING OFFICER for the year ended 31 March 2012 7. Public private partnerships (PPP) The Independent Complaints Directorate (ICD) did not enter into Public Private Partnerships (PPP) transactions before and in the period under review. 8. Corporate governance arrangements The ICD risk management approach is aligned to the King III Code on Corporate Governance and to the National Treasury Risk Management Framework which was developed in response to the requirements of the Public Finance Management Act for public sector departments to implement and maintain effective, efficient and transparent systems of risk management and control. The risk management approach is tailored to support the ICD on achieving its objectives and serves to effectively identify, evaluate and manage risks that can impact on the organisation. The annual risk assessment is a systematic process to quantify and qualify the level of risk associated with a specific threat or event which may probably occur. The main purpose of the risk assessment is to prioritise the risks for attention of the risk owners of specific programmes. The risk owners are responsible to develop mitigation strategies which are recorded within risk response plans and evaluated by the Ethics and Risk Management Office, as well as the Executive Director. Management of the Directorate prioritised 10 Top risks based on their assessment, which were mitigated by the Directorate during the year under review. In addition to the annual risk assessment, monthly ethics and risk reports are submitted by Provincial Heads and Responsibility Managers. These reports are monitored and evaluated by the Risk Manager. Monthly and quarterly reports are generated. A key focus of the risk management strategy is the Fraud Prevention Policy and Anti-Corruption Strategy which was established to facilitate the development of controls to assist in the detection and prevention of fraud and corruption, as well as to provide guidelines on how to respond should instances of fraud and corruption be identified. The policy was established to give effect to various legislative instruments. The purpose of the policy is to promote a high standard of professional ethics in the ICD. Conflict of Interest and Code of Conduct The department has developed a comprehensive Declaration of Interest form that is completed by all officials. These declarations are evaluated by the Risk Manager. In addition, the ICD Ethics and Integrity training programme includes modules that relate to this ethical issue and includes the Public Service Code of Conduct which is explained to all staff. 9. Discontinued activities/activities to be discontinued In the year under review the Directorate (ICD) did not discontinue any activities. ICD Annual Report 2011-2012 page 79 Annual Financial Statements 10. INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 REPORT OF THE ACCOUNTING OFFICER for the year ended 31 March 2012 New/proposed activities The IPID Act No. 1 of 2011 was implemented on the 1st of April 2012 . 11. Asset management The Directorate is accountable for movable assets in the form of office furniture and all assets have been captured in the asset register. The assets management compliances with minimum requirements have been achieved as expected. The Assets Register of the Directorate reflects all the required information such as description of assets; ICN; unique asset number/Bar codes; accountability information (Cost Centre Manager responsible - location and custodian); assets value. The BAS reconciliation was also performed on a monthly basis to address the discrepancies between the two used systems. The asset management system is fully implemented and complied with. The Directorate has complied with the Asset Management Reforms (AMR) milestones and has achieved the expected target. No problems have been experienced regarding the asset management reform. 12. Inventories All inventory opening and closing balances, together with movements for the year have been reflected in annexure 6: Inventory. 13. Events after the reporting date As from the 1st of April 2012, the department implemented the IPID Act No. 1 of 2011. This resulted in the change in the directorate’s name to the Independent Police Investigative Directorate. The department also reorganised its Programme Structures in line with the IPID Act. 14. Information on predetermined objectives The Directorate’s Strategic Plan and the Annual Performance Plan have been prepared in line with the National Treasury framework. Quarterly reports on actual performance of the programmes have been submitted and presented to the Executive Authority and the Management Committee for further discussion and inputs where necessary. In addition, the Independent Complaints Directorate (ICD) compiled a monthly In-Year Monitoring (IYM) and Quarterly Performance Report (QPR) as performance monitoring tools. The medium term expenditure estimate was also done in accordance with National Treasury Guidelines and tabled in line with the Annual Performance Plan (APP). ICD Annual Report 2011-2012 page 80 Annual Financial Statements INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 REPORT OF THE ACCOUNTING OFFICER for the year ended 31 March 2012 15. SCOPA resolutions REFERENCE TO PREVIOUS AUDIT REPORT AND SCOPA RESOLUTIONS No SCOPA resolutions received by ICD. SUBJECT Not applicable FINDINGS ON PROGRESS Not applicable Prior modifications to audit reports The following mechanisms have been put in place by the Accounting Officer to resolve the matters reported by the Auditor-General in the previous financial year. NATURE OF OPINION AND MATTERS OF NONCOMPLIANCE Matters of Non-Compliance: 1. The reported performance for Programme 2 on class I and class II cases was not valid when compared to the investigation case files. Cases were signed off as complete without the case investigation report. FINANCIAL YEAR IN WHICH IT FIRST AROSE 2010/11 PROGRESS MADE IN CLEARING / RESOLVING THE MATTER At Provincial level, the Case Intake Committee has the responsibility of ensuring that new complaints are reviewed. The Provincial Head conducts monthly reviews regarding the province’s compliance with the strategic objective for registration and allocation of all cases within 48 hours. At National Office the Database Management Unit (FlowCentric system) provides management with the necessary tool to verify the accuracy of performance and the meeting of targets against the certain predetermined objectives. Management established the Monitoring and Evaluation Committee, who visits all provinces annually to confirm from a review and audit of physical (manual) files, whether the strategic objectives were attained and in addition, whether there was compliance with the Standard Operating Procedures. Monthly reports on case intake are discussed at the Senior Management Meetings. ICD Annual Report 2011-2012 page 81 Annual Financial Statements INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 REPORT OF THE ACCOUNTING OFFICER for the year ended 31 March 2012 2. Numerous cases were approved for completion by officials without proper written delegation of authority. Letters of delegation were not in the investigation files. 2010/11 The Provincial Head, to ensure that before approving completion and/or closure of the file(s) must ensure that there is full compliance with the provisions of the Standard Operating Procedures (SOPS). A Quality Control Form serves as a checklist of activities that should be completed in the file. The Monitoring & Evaluation and Standard Operating Procedures Committee will conduct regular audits on the physical (manual) files to ensure compliance with the SOPS. The Internal Audit Unit conducts regular audits to verify compliance with the SOPS. 3. Payment claims due were not settled within thirty days as required by Treasury Regulation 8.2.3. 2010/11 Systems have been put in place through internal communication to various stakeholders to ensure that all invoices for certified service rendered are submitted and paid within thirty days. Due to financial system problems encountered in the financial year, not all payments were effected within 30 days. 4. Non verification of the qualification and other claims relevant to the employment position on newly appointed employees. 2010/11 All newly appointed staff’s qualifications are now verified with the South African Qualifications Authority (SAQA) as per the directive from the Department of Public Service Administration (DPSA) as on 01 July 2011. In addition, the Department signed a service level agreement with Experian in December 2011 to conduct the criminal record, citizen verification and financial or asset record checks of all newly appointed employees. 5. Material understatement of contingent liability disclosure to the annual financial statement. 2010/11 Management subsequently corrected the identified misstatement. The contingent liability inputs into the financial statements received from Legal Services will be signed off by the Director Legal Services as being complete and accurate. All inputs are verified for accuracy and completeness. ICD Annual Report 2011-2012 page 82 Annual Financial Statements INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 REPORT OF THE ACCOUNTING OFFICER for the year ended 31 March 2012 16. Internal Controls: 1. Leadership: Non-availability of a comprehensive system of reporting performance information. 2010/11 The Department has developed the FlowCentric Case Management System to ensure proper reporting of performance information. The system is still in the process of implementation; however internal control systems have been put in place to ensure proper performance information reporting. These include monthly verification of performance information by Provincial Heads and all Case Workers to confirm performance information contained in the monthly reports. 2. Leadership: Non-availability of a compliance structure and processes to identify relevant laws and legislative requirements, including monitoring of risk relating to non-compliance 2010/11 The Standard Operating Procedures (SOPS) have since been amended to include responsibility on the part of the Provincial Heads to ensure that workload verification is conducted monthly and performance information that is contained in the monthly report is verified by all Case Workers and certificates are signed by all Case Workers including the Provincial Heads. Programme Manager then verifies the information with Database Management and a certificate is signed to confirm the correctness of the performance information. Audits are also done by the Head Office to verify information supplied. 3. Financial and performance management: Nondevelopment of data quality standards in line with SMART principle contained in the framework for managing programme performance information for reporting. 2010/11 The newly established Corporate Governance Component has been tasked to also focus on monitoring and evaluation of performance, reporting on the attainment of strategic objectives. Exemptions and deviations received from the National Treasury No exemption or deviation from the PFMA or Treasury Regulations or deviation from the financial reporting requirements have been requested or received from the National Treasury for the current and/or prior financial year. 17. Interim Financial Statements Due to the capacity constraints particularly in financial management and other support service components, the Directorate was unable to submit the interim financial statements as required and the matter was communicated to the Office of the Auditor-General. However, the Department has since started with the process of capacitating the relevant components in order to avoid repetition of non-compliance. ICD Annual Report 2011-2012 page 83 Annual Financial Statements 18. INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 REPORT OF THE ACCOUNTING OFFICER for the year ended 31 March 2012 Other The Directorate is not aware of any material fact or circumstances not addressed, which may have an effect on the understanding of the financial state of affairs. 19. Approval The Annual Financial Statements set out on pages 72 to 137 have been approved by the Accounting Officer. Mr Francois Beukman Executive Director 31 July 2012 ICD Annual Report 2011-2012 page 84 Annual Financial Statements INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 REPORT OF THE AUDITOR-GENERAL for the year ended 31 March 2012 REPORT OF THE AUDITOR-GENERAL TO PARLIAMENT ON VOTE NO. 23: INDEPENDENT COMPLAINTS DIRECTORATE FOR THE YEAR ENDED 31 MARCH 2012 REPORT ON THE FINANCIAL STATEMENTS Introduction 1. I have audited the financial statements of the Independent Complaints Directorate (ICD) set out on pages 93 to 144, which comprise the appropriation statement, the statement of financial position as at 31 March 2012, the statement of financial performance, and the cash flow statement for the year then ended, and the notes, comprising a summary of significant accounting policies and other explanatory information. Accounting officer’s responsibility for the financial statements The accounting officer is responsible for the preparation and fair presentation of these financial statements in 2. accordance with the Departmental Financial Reporting Framework as prescribed by National Treasury and the requirements of the Public Finance Management Act of South Africa, 1999 (Act No. 1 of 1999) (PFMA), and for such internal control as the accounting officer determines is necessary to enable the preparation of financial statements that are free from material misstatement, whether due to fraud or error. Auditor-General’s responsibility My responsibility is to express an opinion on these financial statements based on my audit. 3. I conducted my audit in accordance with the Public Audit Act of South Africa, 2004 (Act No. 25 of 2004) (PAA), the General Notice issued in terms thereof and International Standards on Auditing. Those standards require that I comply with ethical requirements and plan and perform the audit to obtain reasonable assurance about whether the financial statements are free from material misstatement. 4. An audit involves performing procedures to obtain audit evidence about the amounts and disclosures in the financial statements. The procedures selected depend on the auditor’s judgement, including the assessment of the risks of material misstatement of the financial statements, whether due to fraud or error. In making those risk assessments, the auditor considers internal control relevant to the entity’s preparation of the financial statements in order to design audit procedures that are appropriate in the circumstances, but not for the purpose of expressing an opinion on the effectiveness of the entity’s internal control. An audit also includes evaluating the appropriateness of accounting policies used and the reasonableness of accounting estimates made by management, as well as evaluating the overall presentation of the financial statements. 5. I believe that the audit evidence I have obtained is sufficient and appropriate to provide a basis for my audit opinion. Opinion 6. In my opinion, the financial statements present fairly, in all material respects, the financial position of the Independent Complaints Directorate as at 31 March 2012, and its financial performance and cash flows for the year then ended in accordance with Departmental Reporting Framework prescribed by National Treasury and the requirements of the Public Finance Management Act of South Africa, 1999 (Act No.1 of 1999)(PFMA). ICD Annual Report 2011-2012 page 85 Annual Financial Statements INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 REPORT OF THE AUDITOR-GENERAL for the year ended 31 March 2012 Emphasis of matter I draw attention to the matter below. My opinion is not modified in respect of this matter. 7. Restatement of corresponding figures As disclosed in note 20 to the financial statements, the corresponding figures for 31 March 2011 have been 8. restated as a result of an error discovered during 2011/2012 in the financial statements of the Independent complaints Directorate at, and for the year ended, 31 March 2011. Additional matter I draw attention to the matters below. Financial reporting framework 9. The financial reporting framework prescribed by the National Treasury and applied by the department is a compliance framework. The wording of my opinion on a compliance framework should reflect that the financial statements have been prepared in accordance with this framework and not that they “present fairly”. Section 20(2) (a) of the PAA, however, requires me to express an opinion on the fair presentation of the financial statements. The wording of my opinion therefore reflects this requirement. REPORT ON OTHER LEGAL AND REGULATORY REQUIREMENTS 10. In accordance with the PAA and the General Notice issued in terms thereof, I report the following findings relevant to performance against predetermined objectives, compliance with laws and regulations and internal control, but not for the purpose of expressing an opinion. Predetermined objectives I performed procedures to obtain evidence about the usefulness and reliability of the information in the report 11. on performance against predetermined objectives as set out on pages 10 to 44 of the annual report. 12. The reported performance against predetermined objectives was evaluated against the overall criteria of usefulness and reliability. The usefulness of information in the annual performance report relates to whether it is presented in accordance with the National Treasury annual reporting principles and whether the reported performance is consistent with the planned objectives. The usefulness of information further relates to whether indicators and targets are measurable (i.e. well defined, verifiable, specific, measurable and time bound) and relevant as required by the National Treasury Framework for managing programme performance information. 13. The reliability of the information in respect of the selected programme objectives is assessed to determine whether it adequately reflects the facts (i.e. whether it is valid, accurate and complete). ICD Annual Report 2011-2012 page 86 Annual Financial Statements INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 REPORT OF THE AUDITOR-GENERAL for the year ended 31 March 2012 14. The material findings are as follows: Reliability of information Validity 15. The National Treasury Framework for managing programme performance information (FMPPI) requires that processes and systems which produce the indicator should be verifiable. I was unable to obtain all the information and explanations I considered necessary to satisfy myself as to the validity, accuracy and completeness of the actual reported performance relevant to 100% of the objective: To register and allocate all new cases within 48 hours of receipt. This was due to limitations placed on the scope of my work by the department’s records not permitting the provision of evidence that supports the validity, accuracy and completeness of performance against the objective. I was also unable to apply alternative audit procedures. Additional matter I draw attention 16. to the following matter below. This matter does not have an impact on the report on performance against predetermined objectives audit findings reported above. Achievement of planned targets Of the total number of planned targets, only twenty (20) were achieved during the year under review. This represents 17. 31% of total planned targets that were not achieved during the year under review. The non-achievement of other targets was as a result of the institution experiencing capacity constraints during the implementation process. Compliance with laws and regulations I performed procedures to obtain 18. evidence that the department has complied with applicable laws and regulations regarding financial matters, financial management and other related matters. My findings on material non-compliance with specific matters in key applicable laws and regulations as set out in the General Notice issued in terms of the PAA are as follows: Human resource management A human resource plan was not in place as required by Public Service Regulation 1/III/B.2 (d). 19. Expenditure management Contractual obligations and money owed by the department were not settled within 30 days, as required by 20. section 38(1)(f) of the Public Finance Management Act and Treasury Regulation 8.2.3. Internal control I considered internal control relevant to my audit of the financial statements, the report on performance against 21. predetermined objectives and compliance with laws and regulations. The matters reported below under the fundamentals of internal control are limited to the significant deficiencies that resulted in the findings on the performance report and the findings on compliance with laws and regulations included in this report. ICD Annual Report 2011-2012 page 87 Annual Financial Statements INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 REPORT OF THE AUDITOR-GENERAL for the year ended 31 March 2012 Leadership Control 22. environment that promotes responsibility and accountability of senior management with regard to compliance with applicable laws and regulation was not adequately implemented by the accounting officer. 23. Developed action plans to remedy control deficiencies reported were not properly implemented and monitored. Financial and performance management A proper record maintenance 24. system that supports actual performance reported against predetermined objectives was not adequately implemented. 25. The financial reporting system at the department was not able to produce a complete set of interim financial statement. 26. Compliance monitoring controls in place were not able to detect and prevent non-compliance with applicable laws and regulations which resulted in irregular expenditure. OTHER REPORTS Investigations An investigation by the public protector is currently taking place on the lease arrangement of the City Forum 27. Building currently by the ICD national office. Investigation pertains to procurement irregularities involving the Department of Public Works. Pretoria 27 July 2012 ICD Annual Report 2011-2012 page 88 page 89 TOTAL Subtotal Payment for financial assets Payment for capital assets Current payment 3. Programme 3 Payment for financial assets Payment for capital assets Current payment 2. Programme 2 Payment for capital assets Transfers and subsidies Current payment 1. Programme 1 STATEMENT APPROPRIATION 153 534 153 534 - 2 284 16 779 5 1 886 72 631 1 403 87 58 459 R’000 TION APPROPRIA- ADJUSTED APPROPRIATION STATEMENT - - - 88 (88) 3 342 (345) 333 - (333) R’000 FUNDS SHIFTING OF - - 924 - - 3 - 349 - - (1 276) R’000 VIREMENT 2011/12 153 534 153 534 3 2 372 17 040 8 2 228 71 010 1 736 87 59 050 R’000 TION APPROPRIA- FINAL 153 532 153 532 3 1 920 17 492 8 1 438 71 799 993 87 59 792 R’000 TURE EXPENDI- ACTUAL APPROPRIATION PER PROGRAMME INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 APPROPRIATION STATEMENT for the year ended 31 March 2012 2 2 - 452 (452) - 790 (789) 743 - (742) R’000 VARIANCE 101.3% 100.0% 100.0% 80.9% 102.7% 100.0% 64.5% 101.1% 57.2% 100.0% 100.0% % TION PROPRIA- FINAL AP- AS % OF TURE EXPENDIFINAL 131 435 131 435 - 818 14 014 - 1 710 64 215 1 025 74 49 579 R’000 TION APPROPRIA- 128 444 128 444 - 511 12 549 38 1 367 63 592 778 74 49 535 R’000 TURE EXPENDI- ACTUAL 2010/11 INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 APPROPRIATION STATEMENT for the year ended 31 March 2012 Annual Financial Statements ICD Annual Report 2011-2012 page Actual amounts per statement of financial performance (total expenditure) Actual amounts per statement of financial performance (total revenue) Departmental receipts ADD Reconciliation with statement of financial performance TOTAL (brought forward) 153 659 125 153 532 153 532 TURE TION 153 534 ACTUAL EXPENDI- FINAL APPROPRIA- 2011/12 INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 APPROPRIATION STATEMENT for the year ended 31 March 2012 FINAL 131 603 168 131 435 TION APPROPRIA- 128 444 128 444 TURE EXPENDI- ACTUAL 2010/11 Annual Financial Statements ICD Annual Report 2011-2012 90 page 91 Total Payments for financial assets Machinery and equipment Payments for capital assets Departmental agencies and accounts 153 534 5 4 149 87 62 210 Goods and services Transfers and subsidies 87 083 R’000 TION Compensation of employees Current payments ADJUSTED APPROPRIA- - 3 763 - 1 249 (2 015) R’000 FUNDS SHIFTING OF - 3 - - 6 617 (6 620) R’000 VIREMENT 2011/12 153 534 11 4 912 87 70 076 78 448 R’000 TION APPROPRIA- FINAL 153 532 11 4 351 87 70 990 78 093 R’000 TURE EXPENDI- ACTUAL 355 2 - 561 - (914) R’000 VARIANCE APPROPRIATION PER ECONOMIC CLASSIFICATION INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 APPROPRIATION STATEMENT for the year ended 31 March 2012 100.0% 88.6% 100.0% 101.3% 99.5% 100.0% % PRIATION NAL APPRO- AS % OF FI- TURE EXPENDIFINAL 131 435 - 3 553 74 55 433 72 375 R’000 TION APPROPRIA- 128 444 38 2 656 74 53 924 71 752 R’000 TURE EXPENDI- ACTUAL 2010/11 Annual Financial Statements ICD Annual Report 2011-2012 ICD Annual Report 2011-2012 page 92 Total Current payment 1.3 Sub-programme 3: OFFICE ACCOMMODATION Payment for capital assets Transfers and subsidies Current payment 1.2 Sub-programme 2: CORPORATE SERVICES Payment for capital assets Current payment 1.1 Sub-programme 1: MANAGEMENT DETAIL PER SUBPROGRAMME PROGRAMME 1: ADMINISTRATION 59 949 8 633 1 124 87 39 301 279 - - 318 - (318) 15 (15) R’000 R’000 10 525 SHIFTING OF FUNDS ADJUSTED APPROPRIATION 924 - - - 1 513 - (589) R’000 VIREMENT 2011/12 60 873 8 633 1 442 87 40 496 294 9 921 R’000 FINAL APPROPRIATION 60 872 8 633 823 87 41 115 170 10 044 R’000 ACTUAL EXPENDITURE INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 APPROPRIATION STATEMENT for the year ended 31 March 2012 1 - 619 - (619) 124 (123) R’000 VARIANCE 100.0% 57.1% 100.0% 101.5% 57.8% 101.2% 100.0% % EXPENDITURE AS % OF FINAL APPROPRIATION 50 678 8 125 615 74 32 662 410 8 792 R’000 FINAL APPROPRIATION 50 387 8 125 439 74 32 662 339 8 748 R’000 ACTUAL EXPENDITURE 2010/11 Annual Financial Statements TION PROGRAMME 1 page 93 Total Machinery and equipment Payment for capital assets Departmental agencies and accounts 59 949 1 403 87 27 883 Goods and services Transfers and subsidies to: 30 576 Compensation of employees Current payments APPROPRIA- CLASSIFICATION R’000 ADJUSTED ECONOMIC - 333 - 256 (589) R’000 FUNDS SHIFTING OF 924 - - 6 487 (5 563) R’000 VIREMENT 2011/12 60 873 1 736 87 34 626 24 424 R’000 TION APPROPRIA- FINAL 60 872 993 87 35 368 24 424 R’000 TURE EXPENDI- ACTUAL INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 APPROPRIATION STATEMENT for the year ended 31 March 2012 - 1 743 - (742) R’000 VARIANCE 57.2% 100.0% 102.1% 100.0% 100.0% % PRIATION NAL APPRO- AS % OF FI- TURE EXPENDI- 50 678 1 025 74 27 146 22 433 R’000 TION APPROPRIA- FINAL 50 387 778 74 27 102 22 433 R’000 TURE EXPENDI- ACTUAL 2010/11 Annual Financial Statements ICD Annual Report 2011-2012 page ICD Annual Report 2011-2012 94 Total Payment for capital assets Current payment 2.2 Sub-programme 2: LEGAL SERVICES Payment for capital assets Payment for financial assets Current payment 2.1 Sub-programme 1: COMPLAINTS PROCESSING, MONITORING AND INVESTIGATION INVESTIGATION MONITORING AND COMPLAINTS PROCESSING, PROGRAMME 2: PROGRAMME DETAIL PER SUB- 74 522 84 1 922 1 802 5 70 709 R’000 TION APPROPRIA- ADJUSTED - 31 (31) 311 3 (314) R’000 FUNDS SHIFTING OF (1 276) - (214) - (1 062) R’000 VIREMENT 2011/12 73 246 115 1 677 2 113 8 69 333 R’000 TION APPROPRIA- FINAL 73 245 31 1 761 1 407 8 70 038 R’000 TURE EXPENDI- ACTUAL INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 APPROPRIATION STATEMENT for the year ended 31 March 2012 1 84 (84) 706 - (705) R’000 VARIANCE 27.0% 105.0% 66.6% 100.0% 101.0% 100.0% % PRIATION NAL APPRO- AS % OF FI- TURE EXPENDIFINAL 65 925 165 2 169 1 545 - 62 046 R’000 TION APPROPRIA- 64 997 13 1 584 1 354 38 62 008 R’000 TURE EXPENDI- ACTUAL 2010/11 Annual Financial Statements TION PROGRAMME 2 page 95 Total Payments for financial assets Machinery and equipment 74 522 5 1 886 25 245 Goods and services Payment for capital assets 47 386 Compensation of employees Current payments APPROPRIA- CLASSIFICATION R’000 ADJUSTED ECONOMIC - 3 342 875 (1 220) R’000 FUNDS SHIFTING OF (1 276) - - (677) (599) R’000 VIREMENT 2011/12 73 246 8 2 228 25 443 45 567 R’000 TION APPROPRIA- FINAL 73 245 8 1 438 26 587 45 212 R’000 TURE EXPENDI- ACTUAL INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 APPROPRIATION STATEMENT for the year ended 31 March 2012 355 1 - 790 (1 144) R’000 VARIANCE 100.0% 64.5% 104.5% 99.2% 100.0% % PRIATION NAL APPRO- AS % OF FI- TURE EXPENDI- 65 925 - 1 710 20 657 43 558 R’000 TION APPROPRIA- FINAL 64 997 38 1 367 20 657 42 935 R’000 TURE EXPENDI- ACTUAL 2010/11 Annual Financial Statements ICD Annual Report 2011-2012 ICD Annual Report 2011-2012 page 96 Total Payment for financial assets Payment for capital assets Current payment 3.2 Sub-programme 2: INFORMATION MANAGEMENT SYSTEM Payment for capital assets Current payment 3.1 Sub-programme 1: RESEARCH RESEARCH MANAGEMENT AND INFORMATION PROGRAMME 3: PROGRAMME DETAIL PER SUB- 19 063 - 2 284 14 969 - 1 810 R’000 TION APPROPRIA- ADJUSTED R’000 - - 65 (65) 23 (23) FUNDS SHIFTING OF 352 3 - 708 - (359) R’000 VIREMENT 2011/12 19 415 3 2 349 15 612 23 1 428 R’000 TION APPROPRIA- FINAL 19 415 3 1 902 16 059 18 1 433 R’000 TURE EXPENDI- ACTUAL INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 APPROPRIATION STATEMENT for the year ended 31 March 2012 5 (5) - - 447 (447) R’000 VARIANCE 100.0% 81.0% 102.9% 78.3% 100.4% 100.0% % PRIATION NAL APPRO- AS % OF FI- TURE EXPENDIFINAL 14 832 - 799 12 558 19 1 456 R’000 TION APPROPRIA- 13 060 - 492 11 093 19 1 456 R’000 TURE EXPENDI- ACTUAL 2010/11 Annual Financial Statements TION PROGRAMME 3 page 97 Total Payments for financial assets Machinery and equipment 19 063 - 2 284 7 658 Goods and services Payment for capital assets 9 121 Compensation of employees Current payments APPROPRIA- CLASSIFICATION R’000 ADJUSTED ECONOMIC - - 88 118 (206) R’000 FUNDS SHIFTING OF 352 3 - 807 (458) R’000 VIREMENT 2011/12 19 415 3 2 372 8 583 8 457 R’000 TION APPROPRIA- FINAL 19 415 3 1 920 9 035 8 457 R’000 TURE EXPENDI- ACTUAL INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 APPROPRIATION STATEMENT for the year ended 31 March 2012 - - - 452 (452) R’000 VARIANCE 100.0% 80.9% 105.3% 100.0% 100.0% % PRIATION NAL APPRO- AS % OF FI- TURE EXPENDI- 14 832 - 818 7 630 6 384 R’000 TION APPROPRIA- FINAL 13 060 - 511 6 165 6 384 R’000 TURE EXPENDI- ACTUAL 2010/11 Annual Financial Statements ICD Annual Report 2011-2012 Annual Financial Statements INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 NOTES TO THE APPROPRIATION STATEMENT for the year ended 31 March 2012 NOTES TO THE APPROPRIATION STATEMENT 1. Detail of transfers and subsidies as per Appropriation Act (after Virement): Detail of these transactions can be viewed in the note on Transfers and subsidies, disclosure notes and Annexure 1 (A) to the Annual Financial Statements. 2. Detail of specifically and exclusively appropriated amounts voted (after Virement): Detail of these transactions can be viewed in note 1 (Annual Appropriation) to the Annual Financial Statements. 3. Detail on payments for financial assets Detail of these transactions per programme can be viewed in the note 5 on Payments for financial assets to the Annual Financial Statements. 4. Explanations of material variances from Amounts Voted (after Virement): 4.1 PER PROGRAMME FINAL APPROPRIATION ACTUAL EXPENDITURE VARIANCE VARIANCE AS A % OF FINAL APPROPRIATION R’000 R’000 R’000 R’000 Programme 1 60 873 60 872 1 0.00% Programme 2 73 246 73 245 1 0.00% Programme 3 19 415 19 415 - 0.00% FINAL APPROPRIATION ACTUAL EXPENDITURE VARIANCE VARIANCE AS A % OF FINAL APPROPRIATION R’000 R’000 R’000 R’000 4.2 PER ECONOMIC CLASSIFICATION Current payments Compensation of employees 78 448 78 093 355 0.45% Goods and services 68 652 70 990 (2 338) (3.41%) 87 87 - 0.00% 6 336 4 351 1 985 31.33% 11 11 - 0.00% Transfers and subsidies Departmental agencies and accounts Payments for capital assets Machinery and equipment Payments for financial assets ICD Annual Report 2011-2012 page 98 INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 NOTES TO THE APPROPRIATION STATEMENT for the year ended 31 March 2012 Annual Financial Statements The variance was attributed to the fact that funds were shifted to machinery and equipment and orders were placed. When the equipment was delivered, the detail on the invoice necessitated the allocation of goods less than R5 000 to Goods and services and not to machinery and equipment. Virement could therefore not be applied to move funds back from capital to current (PFMA: Section 43(4)(c)). ICD Annual Report 2011-2012 page 99 Annual Financial Statements INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 STATEMENT OF FINANCIAL PERFORMANCE for the year ended 31 March 2012 PERFORMANCE NOTE 2011/12 2010/11 R’000 R’000 REVENUE Annual appropriation 1 153 534 131 435 Departmental revenue 2 125 168 153 659 131 603 TOTAL REVENUE EXPENDITURE Current expenditure Compensation of employees 3 78 093 71 752 Goods and services 4 70 990 53 924 149 083 125 676 87 74 87 74 4 351 2 656 4 351 2 656 11 38 153 532 128 444 127 3 159 2 2 991 125 168 127 3 159 Total current expenditure Transfers and subsidies Transfers and subsidies 6 Total transfers and subsidies Expenditure for capital assets Tangible capital assets 7 Total expenditure for capital assets Payments for financial assets 5 TOTAL EXPENDITURE SURPLUS/(DEFICIT) FOR THE YEAR Reconciliation of Net Surplus/(Deficit) for the year Voted funds Departmental revenue and NRF Receipts 13 SURPLUS/(DEFICIT) FOR THE YEAR ICD Annual Report 2011-2012 page 100 Annual Financial Statements INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 STATEMENT OF FINANCIAL POSITION for the year ended 31 March 2012 POSITION NOTE 2011/12 2010/11 R’000 R’000 ASSETS Current assets 2 091 3 023 Unauthorised expenditure 8 891 891 Cash and cash equivalents 9 29 1 519 Prepayments and advances 10 20 19 Receivables 11 1 151 594 2 091 3 023 2 091 3 023 TOTAL ASSETS LIABILITIES Current liabilities Voted funds to be surrendered to the Revenue Fund 12 (508) 2 991 Departmental revenue and NRF Receipts to be surrendered to the Revenue Fund Bank overdraft 13 20 4 705 - Payables 15 1 874 28 2 091 3 023 - - TOTAL LIABILITIES NET ASSETS 14 ICD Annual Report 2011-2012 page 101 Annual Financial Statements INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 CASH FLOW STATEMENT for the year ended 31 March 2012 CASH FLOW NOTE 2011/12 2010/11 R’000 R’000 CASH FLOWS FROM OPERATING ACTIVITIES 153 147 131 603 153 024 131 435 123 168 1 288 134 (3 100) (10 408) (149 083) (125 676) Payments for financial assets (11) (38) Transfers and subsidies paid (87) (74) 16 2 154 (4 459) 7 (4 351) 2 (2 656) - (4 349) (2 656) (2 195) (7 115) 1 519 8 634 (676) 1 519 Receipts Annual appropriated funds received 1.1 Departmental revenue received 2 Net (increase)/decrease in working capital Surrendered to Revenue Fund Current payments Net cash flow available from operating activities CASH FLOWS FROM INVESTING ACTIVITIES Payments for capital assets Proceeds from sale of capital assets Net cash flows from investing activities Net increase/(decrease) in cash and cash equivalents Cash and cash equivalents at beginning of period Cash and cash equivalents at end of period 17 ICD Annual Report 2011-2012 page 102 INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 ACCOUNTING POLICIES for the year ended 31 March 2012 Annual Financial Statements ACCOUNTING POLICIES The Financial Statements have been prepared in accordance with the following policies, which have been applied consistently in all material aspects, unless otherwise indicated. However, where appropriate and meaningful, additional information has been disclosed to enhance the usefulness of the Financial Statements and to comply with the statutory requirements of the Public Finance Management Act, Act 1 of 1999 (as amended by Act 29 of 1999), and the Treasury Regulations issued in terms of the Act and the Division of Revenue Act, Act 1 of 2010. 1. Presentation of the Financial Statements 1.1 Basis of preparation The Financial Statements have been prepared on a modified cash basis of accounting, except where stated otherwise. The modified cash basis constitutes the cash basis of accounting supplemented with additional disclosure items. Under the cash basis of accounting transactions and other events are recognised when cash is received or paid. 1.2 Presentation currency All amounts have been presented in the currency of the South African Rand (R) which is also the functional currency of the department. 1.3 Rounding Unless otherwise stated all financial figures have been rounded to the nearest one thousand Rand (R’000). 1.4 Comparative figures Prior period comparative information has been presented in the current year’s financial statements. Where necessary figures included in the prior period financial statements have been reclassified to ensure that the format in which the information is presented is consistent with the format of the current year’s financial statements. 1.5 Comparative figures - Appropriation Statement A comparison between actual amounts and final appropriation per major classification of expenditure is included in the Appropriation Statement. ICD Annual Report 2011-2012 page 103 Annual Financial Statements 2. Revenue 2.1 Appropriated funds INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 ACCOUNTING POLICIES for the year ended 31 March 2012 Appropriated funds comprises of departmental allocations as well as direct charges against revenue fund (i.e. statutory appropriation). Appropriated funds are recognised in the financial records on the date the appropriation becomes effective. Adjustments made in terms of the adjustments budget process are recognised in the financial records on the date the adjustments become effective. Unexpended appropriated funds are surrendered to the National Revenue Fund. Any amounts owing to the National Revenue Fund at the end of the financial year are recognised as payable in the statement of financial position. 2.2 Departmental revenue All departmental revenue is recognised in the statement of financial performance when received and is subsequently paid into the National Revenue Fund, unless stated otherwise. Any amount owing to the National Revenue Fund at the end of the financial year is recognised as a payable in the statement of financial position. No accrual is made for amounts receivable from the last receipt date to the end of the reporting period. These amounts are however disclosed in the disclosure notes to the annual financial statements. 3. Expenditure 3.1 Compensation of employees 3.1.1 Salaries and wages Salaries and wages are expensed in the statement of financial performance when the final authorisation for payment is effected on the system (by no later than 31 March of each year). Other employee benefits that give rise to a present legal or constructive obligation are disclosed in the disclosure notes to the financial statements at its face value and are not recognised in the statement of financial performance or position. 3.1.2 Social contributions Employer contributions to post employment benefit plans in respect of current employees are expensed in the statement of financial performance when the final authorisation for payment is effected on the system (by no later than 31 March of each year). ICD Annual Report 2011-2012 page 104 INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 ACCOUNTING POLICIES for the year ended 31 March 2012 Annual Financial Statements No provision is made for retirement benefits in the financial statements of the department. Any potential liabilities are disclosed in the financial statements of the National Revenue Fund and not in the financial statements of the employer department. Employer contributions made by the department for certain of its ex-employees (such as medical benefits) are classified as transfers to households in the statement of financial performance. 3.2 Goods and services Payments made during the year for goods and/or services are recognised as an expense in the statement of financial performance when the final authorisation for payment is effected on the system (by no later than 31 March of each year). The expense is classified as capital if the goods and/or services were acquired for a capital project or if the total purchase price exceeds the capitalisation threshold (currently R5 000). All other expenditures are classified as current. Rental paid for the use of buildings or other fixed structures is classified as goods and services and not as rent on land. 3.3 Payments for financial assets Debts are written off when identified as irrecoverable. Debts written-off are limited to the amount of savings and/or under-spending of appropriated funds. The write off occurs at year-end or when funds are available. No provision is made for irrecoverable amounts but an estimate is included in the disclosure notes to the financial statements amounts. All other losses are recognised when authorisation has been granted for the recognition thereof. 3.4 Transfers and subsidies Transfers and subsidies are recognised as an expense when the final authorisation for payment is effected on the system (by no later than 31 March of each year). 3.5 Unauthorised expenditure When confirmed, unauthorised expenditure is recognised as an asset in the statement of financial position until such time as the expenditure is either approved by the relevant authority, recovered from the responsible person or written off as irrecoverable in the statement of financial performance. Unauthorised expenditure approved with funding is derecognised from the statement of financial position when the unauthorised expenditure is approved and the related funds are received. Where the amount is approved without funding it is recognised as expenditure in the statement of financial performance on the date of approval. ICD Annual Report 2011-2012 page 105 Annual Financial Statements 3.6 INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 ACCOUNTING POLICIES for the year ended 31 March 2012 Fruitless and wasteful expenditure Fruitless and wasteful expenditure is recognised as expenditure in the statement of financial performance according to the nature of the payment and not as a separate line item on the face of the statement. If the expenditure is recoverable it is treated as an asset until it is recovered from the responsible person or written off as irrecoverable in the statement of financial performance. 3.7 Irregular expenditure Irregular expenditure is recognised as expenditure in the statement of financial performance. If the expenditure is not condoned by the relevant authority it is treated as an asset until it is recovered or written off as irrecoverable. 4. Assets 4.1 Cash and cash equivalents Cash and cash equivalents are carried in the statement of financial position at cost. Bank overdrafts are shown separately on the face of the statement of financial position. For the purposes of the cash flow statement, cash and cash equivalents comprise cash on hand, deposits held, other short-term highly liquid investments and bank overdrafts. 4.2 Prepayments and advances Amounts prepaid or advanced are recognised in the statement of financial position when the payments are made and are derecognised as and when the goods/services are received or the funds are utilised. Prepayments and advances outstanding at the end of the year are carried in the statement of financial position at cost. 4.3 Receivables Receivables included in the statement of financial position arise from cash payments made that are recoverable from another party (including departmental employees) and are derecognised upon recovery or write-off. Receivables outstanding at year-end are carried in the statement of financial position at cost plus any accrued interest. Amounts that are potentially irrecoverable are included in the disclosure notes. 4.4 Inventory Inventories that qualify for recognition must be initially reflected at cost. Where inventories are acquired at no cost, or for nominal consideration, their cost shall be their fair value at the date of acquisition. ICD Annual Report 2011-2012 page 106 Annual Financial Statements INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 ACCOUNTING POLICIES for the year ended 31 March 2012 All inventory items at year-end are reflected using the weighted average cost formula. 4.5 Capital assets 4.5.1 Movable assets Initial recognition A capital asset is recorded in the asset register on receipt of the item at cost. Cost of an asset is defined as the total cost of acquisition. Where the cost cannot be determined accurately, the movable capital asset is stated at fair value. Where fair value cannot be determined, the capital asset is included in the asset register at R1. All assets acquired prior to 1 April 2002 are included in the register at R1. Subsequent recognition Subsequent expenditure of a capital nature is recorded in the statement of financial performance as “expenditure for capital assets” and is capitalised in the asset register of the department on completion of the project. Repairs and maintenance is expensed as current “goods and services” in the statement of financial performance. 4.5.2 Immovable assets Initial recognition A capital asset is recorded on receipt of the item at cost. Cost of an asset is defined as the total cost of acquisition. Where the cost cannot be determined accurately, the immovable capital asset is stated at R1 unless the fair value for the asset has been reliably estimated. Subsequent recognition Work-in-progress of a capital nature is recorded in the statement of financial performance as “expenditure for capital assets”. On completion, the total cost of the project is included in the asset register of the department that is accountable for the asset. Repairs and maintenance is expensed as current “goods and services” in the statement of financial performance. 5. Liabilities 5.1 Payables Recognised payables mainly comprise of amounts owing to other governmental entities. These payables are carried at cost in the statement of financial position. 5.2 Contingent liabilities Contingent liabilities are included in the disclosure notes to the financial statements when it is possible that economic benefits will flow from the department, or when an outflow of economic benefits or service potential ICD Annual Report 2011-2012 page 107 Annual Financial Statements INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 ACCOUNTING POLICIES for the year ended 31 March 2012 is probable but cannot be measured reliably. 5.3 Commitments Commitments are not recognised in the statement of financial position as a liability or as expenditure in the statement of financial performance but are included in the disclosure notes. 5.4 Accruals Accruals are not recognised in the statement of financial position as a liability or as expenditure in the statement of financial performance but are included in the disclosure notes. 5.5 Employee benefits Short-term employee benefits that give rise to a present legal or constructive obligation are disclosed in the disclosure notes to the financial statements. These amounts are not recognised in the statement of financial performance or the statement of financial position. 5.6 Lease commitments Finance lease Finance leases are not recognised as assets and liabilities in the statement of financial position. Finance lease payments are recognised as an expense in the statement of financial performance and are apportioned between the capital and interest portions. The finance lease liability is disclosed in the disclosure notes to the financial statements. Operating lease Operating lease payments are recognised as an expense in the statement of financial performance. The operating lease commitments are disclosed in the discloser notes to the financial statement. 5.7 Impairment The department tests for impairment where there is an indication that a receivable, loan or investment may be impaired. An assessment of whether there is an indication of possible impairment is done at each reporting date. An estimate is made for doubtful loans and receivables based on a review of all outstanding amounts at year-end. Impairments on investments are calculated as being the difference between the carrying amount and the present value of the expected future cash flows / service potential flowing from the instrument. 5.8 Provisions Provisions are disclosed when there is a present legal or constructive obligation to forfeit economic benefits as a result of events in the past and it is probable that an outflow of resources embodying economic benefits will be required to settle the obligation and a reliable estimate of the obligation can be made. ICD Annual Report 2011-2012 page 108 INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 ACCOUNTING POLICIES for the year ended 31 March 2012 6. Annual Financial Statements Receivables for departmental revenue Receivables for departmental revenue are disclosed in the disclosure notes to the annual financial statements. 7. Key management personnel Compensation paid to key management personnel including their family members where relevant, is included in the disclosure notes. ICD Annual Report 2011-2012 page 109 Annual Financial Statements INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 NOTES TO THE FINANCIAL STATEMENTS for the year ended 31 March 2012 NOTES TO THE FINANCIAL STATEMENTS 1. Annual Appropriation 1.1 Annual Appropriation Included are funds appropriated in terms of the Appropriation Act (and the Adjustments Appropriation Act) for National Departments (Voted funds): 2011/12 FINAL APPROPRIATION 2010/11 ACTUAL FUNDS RECEIVED FUNDS NOT REQUESTED/ NOT RECEIVED APPROPRIATION RECEIVED R’000 R’000 R’000 R’000 Programme 1 60 873 59 769 1 104 50 678 Programme 2 73 246 74 245 (999) 65 925 Programme 3 19 415 19 010 405 14 832 153 534 153 024 510 131 435 Total The reason for funds not requested was that the previously approved drawings schedule from National Treasury was used. The R510 000 was subsequently requested and received in April 2012. 2. Departmental revenue NOTE 2010/11 R’000 R’000 Sales of goods and services other than capital assets 2.1 111 89 Interest, dividends and rent on land Sales of capital assets 2.2 2.3 (1) 2 5 - Transactions in financial assets and liabilities 2.4 13 74 125 168 2011/12 2010/11 R’000 R’000 111 89 Sales by market establishment 61 42 Other sales 50 47 111 89 Departmental revenue collected 2.1 2011/12 Sales of goods and services other than capital assets NOTE 2 Sales of goods and services produced by the department Total ICD Annual Report 2011-2012 page 110 Annual Financial Statements INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 NOTES TO THE FINANCIAL STATEMENTS for the year ended 31 March 2012 2.2 Interest, dividends and rent on land NOTE 2011/12 2010/11 R’000 R’000 Interest (1) 5 Total (1) 5 2011/12 R’000 2010/11 R’000 2 2 - NOTE 2 2011/12 R’000 13 13 2010/11 R’000 46 28 74 NOTE 2011/12 2010/11 R’000 R’000 50 877 46 651 1 151 1 087 15 3 752 3 877 2 202 Other non-pensionable allowances 11 742 8 682 Total 67 662 62 374 2 2.3 Sales of capital assets NOTE 2 Tangible assets Machinery and equipment Total 2.4 Transactions in financial assets and liabilities Receivables Other Receipts including Recoverable Revenue Total 3. Compensation of employees 3.1 Salaries and wages Basic salary Performance award Service Based Compensative/circumstantial ICD Annual Report 2011-2012 page 111 Annual Financial Statements 3.2 INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 NOTES TO THE FINANCIAL STATEMENTS for the year ended 31 March 2012 Social contributions NOTE 2011/12 2010/11 R’000 R’000 Pension 6 612 5 990 Medical 3 801 3 374 18 14 Total 10 431 9 378 Total compensation of employees 78 093 71 752 303 292 2011/12 2010/11 R’000 R’000 Administrative fees 640 471 Advertising 789 465 674 814 Bursaries (employees) 215 230 Catering 340 269 2 425 2 948 Employer contributions Bargaining council Average number of employees 4. Goods and services NOTE Assets less then R5,000 4.1 Communication Computer services 4.2 7 011 5 136 Consultants, contractors and agency/outsourced services 4.3 1 841 2 076 Audit cost – external 4.4 2 453 2 995 5 586 4 480 1 972 2 048 22 792 15 568 5 537 3 999 - 2 15 723 10 617 305 306 1 616 1 113 1 071 387 70 990 53 924 Fleet services Inventory 4.5 Operating leases Property payments 4.6 Transport provided as part of the departmental activities Travel and subsistence 4.7 Venues and facilities Training and staff development Other operating expenditure 4.8 Total ICD Annual Report 2011-2012 page 112 Annual Financial Statements INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 NOTES TO THE FINANCIAL STATEMENTS for the year ended 31 March 2012 4.1 Assets less than R5,000 NOTE 2011/12 2010/11 R’000 R’000 674 814 674 814 2011/12 2010/11 R’000 R’000 SITA computer services 1 140 2 105 External computer service providers 5 871 3 031 Total 7 011 5 136 2011/12 2010/11 R’000 R’000 Business and advisory services 396 450 Legal costs 193 553 Contractors 999 1 061 Agency and support/outsourced services 253 12 1 841 2 076 2011/12 2010/11 R’000 R’000 Regularity audits 2 259 2 706 Computer audits 194 289 2 453 2 995 2011/12 2010/11 R’000 R’000 Learning and teaching support material - 8 Fuel, oil and gas 2 - 174 410 20 18 1 774 1 612 2 - 1 972 2 048 4 Tangible assets Machinery and equipment Total 4.2 Computer services NOTE 4 4.3 Consultants, contractors and agency/outsourced services NOTE 4 Total 4.4 Audit cost - external NOTE 4 Total 4.5 Inventory NOTE 4 Other consumable materials Materials and supplies Stationery and printing Medical supplies Total ICD Annual Report 2011-2012 page 113 Annual Financial Statements 4.6 INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 NOTES TO THE FINANCIAL STATEMENTS for the year ended 31 March 2012 Property payments NOTE 2011/12 2010/11 R’000 R’000 2 378 1 352 119 - Other 3 040 2 647 Total 5 537 3 999 2011/12 2010/11 R’000 R’000 15 723 10 610 - 7 15 723 10 617 2011/12 2010/11 R’000 R’000 279 - 3 11 Resettlement costs 154 77 Other 635 299 Total 1 071 387 2011/12 2010/11 R’000 R’000 11 38 11 38 4 Municipal services Property management fees 4.7 Travel and subsistence NOTE 4 Employee costs Domestic travel costs Foreign travel costs Total 4.8 Other operating expenditure NOTE 4 Learnerships Professional bodies, membership and subscription fees 5. Payments for financial assets NOTE Debts written off 5.1 Total ICD Annual Report 2011-2012 page 114 Annual Financial Statements INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 NOTES TO THE FINANCIAL STATEMENTS for the year ended 31 March 2012 5.1 Debts written off NOTE 2011/12 2010/11 R’000 R’000 - 28 11 4 - 6 Total 11 38 Total debt written off 11 38 2011/12 2010/11 R’000 R’000 87 74 87 74 2011/12 2010/11 R’000 R’000 4 351 2 656 4 351 2 656 5 Nature of debts written off Other debt written off Salary overpayment Tax debt Bursary 6. Transfers and subsidies NOTE Departmental agencies and accounts Annex 1A Total 7. Expenditure for capital assets NOTE Tangible assets Machinery and equipment 27 Total 7.1 Analysis of funds utilised to acquire capital assets - 2011/12 VOTED FUNDS AID ASSISTANCE TOTAL R’000 R’000 R’000 4 351 - 4 351 4 351 - 4 351 Tangible assets Machinery and equipment Total ICD Annual Report 2011-2012 page 115 Annual Financial Statements 7.2 INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 NOTES TO THE FINANCIAL STATEMENTS for the year ended 31 March 2012 Analysis of funds utilised to acquire capital assets - 2010/11 VOTED FUNDS AID ASSISTANCE TOTAL R’000 R’000 R’000 2 656 - 2 656 2 656 - 2 656 2011/12 2010/11 R’000 R’000 Opening balance 891 891 Unauthorised expenditure awaiting authorisation / written off 891 891 Current 891 891 Total 891 891 Tangible assets Machinery and equipment Total 8. Unauthorised expenditure 8.1 Reconciliation of unauthorised expenditure NOTE Analysis of awaiting authorisation per economic classification 8.2 Analysis of unauthorised expenditure awaiting authorisation per economic classification NOTE 8.3 2011/12 2010/11 R’000 R’000 Current 891 891 Total 891 891 2011/12 2010/11 R’000 R’000 891 891 891 891 Analysis of unauthorised expenditure awaiting authorisation per type NOTE Unauthorised expenditure relating to overspending of the vote or a main division within a vote Total ICD Annual Report 2011-2012 page 116 Annual Financial Statements INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 NOTES TO THE FINANCIAL STATEMENTS for the year ended 31 March 2012 9. Cash and cash equivalents NOTE 10. 2011/12 2010/11 R’000 R’000 Consolidated Paymaster General Account - 3 542 Disbursements 2 (2 050) Cash on hand 27 27 Total 29 1 519 2011/12 2010/11 R’000 R’000 Travel and subsistence 20 19 Total 20 19 Prepayments and advances NOTE 11. Receivables NOTE Claims recoverable 11.1 2011/12 2010/11 LESS THAN ONE YEAR ONE TO THREE YEARS OLDER THAN THREE YEARS TOTAL TOTAL R’000 R’000 R’000 R’000 R’000 583 414 - 997 414 Annex 4 Recoverable expenditure 11.2 2 25 - 27 33 Staff debt 11.3 15 102 - 117 147 Other debtors 11.4 10 - - 10 - 610 541 - 1 151 594 2011/12 2010/11 R’000 R’000 National departments 571 414 Provincial departments 426 - Total 997 414 Total 11.1 Claims recoverable NOTE 11 ICD Annual Report 2011-2012 page 117 Annual Financial Statements 11.2 INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 NOTES TO THE FINANCIAL STATEMENTS for the year ended 31 March 2012 Recoverable expenditure (disallowance accounts) NOTE 2011/12 2010/11 R’000 R’000 Independent Institutions 27 33 Total 27 33 2011/12 2010/11 R’000 R’000 - 5 10 14 Other 107 128 Total 117 147 2011/12 2010/11 R’000 R’000 Independent Institutions 10 - Total 10 - 2011/12 2010/11 R’000 R’000 2 991 10 221 2 2 991 (510) - Paid during the year (2 991) (10 221) Closing balance (508) 2 991 11 11.3 Staff debt NOTE 11 Salary Overpayment Tax debt 11.4 Other debtors NOTE 11 12. Voted funds to be surrendered to the Revenue Fund NOTE Opening balance Transfer from statement of financial performance Voted funds not requested/not received 13. 1.1 Departmental revenue and NRF Receipts to be surrendered to the Revenue Fund NOTE Opening balance Transfer from Statement of Financial Performance Paid during the year Closing balance ICD Annual Report 2011-2012 page 118 2011/12 2010/11 R’000 R’000 4 23 125 168 (109) (187) 20 4 Annual Financial Statements INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 NOTES TO THE FINANCIAL STATEMENTS for the year ended 31 March 2012 14. Bank Overdraft NOTE 15. 2011/12 2010/11 R’000 R’000 Consolidated Paymaster General Account 705 - Total 705 - 2011/12 2010/11 R’000 R’000 68 28 1 806 - 1 874 28 2011/12 2010/11 R’000 R’000 1 806 - 1 806 - 2011/12 2010/11 R’000 R’000 127 3 159 Add back non cash/cash movements not deemed operating activities 2 027 (7 618) (Increase)/decrease in receivables – current (557) 159 (1) (2) Increase/(decrease) in payables – current 1 846 (23) Expenditure on capital assets 4 351 2 656 Surrenders to Revenue Fund (3 100) (10 408) (510) - (2) - 2 154 (4 459) Payables - current NOTE Amounts owing to other entities Annex 5 Other payables 15.1 Total 15.1 Other payables NOTE Disbursements 15 Total 16. Net cash flow available from operating activities NOTE Net surplus/(deficit) as per Statement of Financial Performance (Increase)/decrease in prepayments and advances Voted funds not requested/not received Other non-cash items Net cash flow generated by operating activities ICD Annual Report 2011-2012 page 119 Annual Financial Statements 17. INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 NOTES TO THE FINANCIAL STATEMENTS for the year ended 31 March 2012 Reconciliation of cash and cash equivalents for cash flow purposes NOTE 2011/12 2010/11 R’000 R’000 (705) 3 542 Disbursements 2 (2 050) Cash on hand 27 27 (676) 1 519 Consolidated Paymaster General account Total ICD Annual Report 2011-2012 page 120 Annual Financial Statements INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 DISCLOSURE NOTES TO THE ANNUAL FINANCIAL STATEMENTS for the year ended 31 March 2012 DISCLOSURE NOTES TO THE ANNUAL FINANCIAL STATEMENTS These amounts are not recognised in the Annual Financial Statements and are disclosed to enhance the usefulness of the Annual Financial Statements. 18. Contingent liabilities and contingent assets 18.1 Contingent liabilities NOTE 2011/12 2010/11 R’000 R’000 Liable to Nature Motor vehicle guarantees Employees Annex 3A - 89 Housing loan guarantees Employees Annex 3A 168 185 Claims against the department Annex 3B 9 301 9 142 Other departments (interdepartmental unconfirmed balances) Annex 5 - 28 9 469 9 444 Total The amount included in the Claims against the Department reflects the worst case scenario. Management decided to take a prudent approach in the disclosure. 19. Commitments NOTE 2011/12 2010/11 R’000 R’000 - 1 629 - 1 629 - 188 - 188 - 1 817 Current expenditure Approved and contracted Capital expenditure Approved and contracted Total Commitments No commitment is for longer than a year ICD Annual Report 2011-2012 page 121 Annual Financial Statements 20. INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 DISCLOSURE NOTES TO THE ANNUAL FINANCIAL STATEMENTS for the year ended 31 March 2012 Accruals 2011/12 2010/11 R’000 R’000 Listed by economic classification 30 DAYS 30+ DAYS TOTAL TOTAL 1 365 608 1 973 13 802 - - - 225 1 365 608 1 973 14 027 2011/12 2010/11 R’000 R’000 1 722 13 090 247 609 4 328 1 973 14 027 Goods and services Capital assets Total NOTE Listed by programme level Administration Complaints Processing, Monitoring and Investigation Information Management and Research Total The 2010/11 accrual balance was adjusted with R11 806 519.60 in respect of back-dated billing received from the Department of Public Works (DPW) after DPW’s invoicing reconciliation exercise was concluded during the 2011/12 financial year. 21. Employee benefits NOTE 2011/12 2010/11 R’000 R’000 Leave entitlement 1 244 1 073 Service bonus (Thirteenth cheque) 2 198 1 948 Performance awards 1 299 45 Capped leave commitments 3 487 2 918 Other 1 111 1 115 Total 9 339 7 099 ICD Annual Report 2011-2012 page 122 Annual Financial Statements INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 DISCLOSURE NOTES TO THE ANNUAL FINANCIAL STATEMENTS for the year ended 31 March 2012 22. Lease commitments 22.1 Operating leases expenditure 2011/12 22.2 SPECIALISED MILITARY EQUIPMENT LAND BUILDINGS AND OTHER FIXED STRUCTURES MACHINERY AND EQUIPMENT TOTAL R’000 R’000 R’000 R’000 R’000 Not later than 1 year - - 9 268 - 9 268 Later than 1 year and not later than 5 years - - 33 274 - 33 274 Later than five years - - 5 349 - 5 349 Total lease commitments - - 47 891 - 47 891 BUILDINGS AND OTHER FIXED STRUCTURES MACHINERY AND EQUIPMENT Finance leases expenditure 2011/12 SPECIALISED MILITARY EQUIPMENT LAND TOTAL R’000 R’000 R’000 R’000 R’000 Not later than 1 year - - - 370 370 Later than 1 year and not later than 5 years - - - 160 160 Total lease commitments - - - 530 530 Total present value of lease liabilities - - - 530 530 BUILDINGS AND OTHER FIXED STRUCTURES MACHINERY AND EQUIPMENT 2011/12 SPECIALISED MILITARY EQUIPMENT LAND TOTAL R’000 R’000 R’000 R’000 R’000 Not later than 1 year - - - 1 609 1 609 Later than 1 year and not later than 5 years - - - 363 363 Total lease commitments - - - 1 972 1 972 Total present value of lease liabilities - - - 1 972 1 972 ICD Annual Report 2011-2012 page 123 Annual Financial Statements INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 DISCLOSURE NOTES TO THE ANNUAL FINANCIAL STATEMENTS for the year ended 31 March 2012 Disclosed Finance Leases refer to operating leases in respect of labour saving devices (photocopiers) as well as GG vehicles. Permitted as per Practice Note 5 of 2006/2007 (dated 05/12/2006) from National Treasury. The previous year (2010/11) amount has been changed to reflect the adjustment of R26 000 (labour saving devices) and the adjustment of R1 781 000 (GG vehicles) 23. Irregular expenditure 23.1 Reconciliation of irregular expenditure NOTE 2011/12 2010/11 R’000 R’000 184 184 83 - Less: Amounts condoned (20) - Irregular expenditure awaiting condonation 247 184 63 - Prior years 184 184 Total 247 184 Opening balance Add: Irregular expenditure – relating to current year Analysis of awaiting condonation per age classification Current year 23.2 Details of irregular expenditure – current year INCIDENT DISCIPLINARY STEPS TAKEN/ CRIMINAL PROCEEDINGS 2011/12 R’000 Travel arrangements for Western Cape Provincial Head Disciplinary steps to be taken by Provincial Head – awaiting report 7 Travel arrangements for Free State Provincial Head Disciplinary steps to be taken by Provincial Head – awaiting report 1 No amended written quotation PALAMA Catering limit exceeded by Free State Any future similar actions will have disciplinary steps instituted Exceeded amount recovered from official 11 Currently under investigation 11 Currently under investigation Currently under investigation Currently under investigation 3 29 16 Currently under investigation 4 from Attendance of workshop – KZN Investigators No approval of overtime exceeding 30% Overtime worked without prior approval Performance bonus paid to an employee without a performance agreement Non-adherence to Petty Cash Policy Total 1 83 ICD Annual Report 2011-2012 page 124 Annual Financial Statements INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 DISCLOSURE NOTES TO THE ANNUAL FINANCIAL STATEMENTS for the year ended 31 March 2012 23.3 Details of irregular expenditure condoned INCIDENT Travel arrangements for Western Cape Provincial Head Travel arrangements for Free State Provincial Head No amended quotation obtained from PALAMA Catering limit exceeded by Free State CONDONED BY (CONDONING AUTHORITY) Accounting Officer 2011/12 R’000 7 Accounting Officer 1 Accounting Officer 11 Accounting Officer 1 Total 23.4 20 Details of irregular expenditures under investigation INCIDENT 2011/12 R’000 11 3 29 16 4 Attendance of workshop – KZN Investigators No approval of overtime exceeding 30% of basic salaries Overtime worked without prior approval Performance bonus paid to an employee without a performance agreement Non-adherence to Petty Cash Policy Total 63 24. Fruitless and wasteful expenditure 24.1 Reconciliation of fruitless and wasteful expenditure NOTE 24.2 2011/12 2010/11 R’000 R’000 Opening balance - - Fruitless and wasteful expenditure – relating to current year 1 3 Less: Amounts transferred to receivables for recovery - (3) Fruitless and wasteful expenditure awaiting condonement 1 - 2011/12 2010/11 R’000 R’000 Current 1 - Total 1 - Analysis of awaiting condonement per economic classification NOTE ICD Annual Report 2011-2012 page 125 Annual Financial Statements 24.3 INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 DISCLOSURE NOTES TO THE ANNUAL FINANCIAL STATEMENTS for the year ended 31 March 2012 Analysis of current year’s fruitless and wasteful expenditure INCIDENT DISCIPLINARY STEPS TAKEN/ CRIMINAL PROCEEDINGS 2011/12 R’000 Interest paid to TELKOM Under investigation to determine action Total 25. 1 1 Key management personnel NO. OF INDIVIDUALS 2011/12 2010/11 R’000 R’000 Officials: Level 15 to 16 1 1 140 1 087 Level 14 (incl. CFO if at a lower level) 4 3 370 3 274 4 510 4 361 2011/12 2010/11 R’000 R’000 Debtors 39 54 Total 39 54 Total 26. Impairment NOTE Impairment This represents the provision for doubtful debts. ICD Annual Report 2011-2012 page 126 Annual Financial Statements INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 DISCLOSURE NOTES TO THE ANNUAL FINANCIAL STATEMENTS for the year ended 31 March 2012 27. Movable Tangible Capital Assets MOVEMENT IN MOVABLE TANGIBLE CAPITAL ASSETS PER ASSET REGISTER FOR THE YEAR ENDED 31 MARCH 2012 CURR YEAR ADJUSTMENTS TO PRIOR YEAR BALANCES ADDITIONS DISPOSALS R’000 R’000 R’000 R’000 R’000 15 467 61 4 350 (1 244) 18 634 Transport assets 1 617 1 352 - (82) 2 887 Computer equipment 9 147 (859) 3 319 (763) 10 844 Furniture and office equipment 3 198 (336) 935 (18) 3 779 Other machinery and equipment 1 505 (96) 96 (381) 1 124 15 467 61 4 350 (1 244) 18 634 OPENING BALANCE MACHINERY AND EQUIPMENT TOTAL MOVABLE TANGIBLE CAPITAL ASSETS 27.1 CLOSING BALANCE Additions ADDITIONS TO MOVABLE TANGIBLE CAPITAL ASSETS PER ASSET REGISTER FOR THE YEAR ENDED 31 MARCH 2012 CASH NON-CASH RECEIVED (CAPITAL CURRENT, WORK IN NOT PAID PROGRESS (PAID CURRENT CURRENT COSTS AND YEAR, FINANCE RECEIVED LEASE PAYPRIOR YEAR) MENTS) TOTAL R’000 R’000 R’000 R’000 R’000 MACHINERY AND EQUIPMENT 4 154 - - 196 4 350 Computer equipment 3 211 - - 108 3 319 878 - - 57 935 65 - - 31 96 4 154 - - 196 4 350 Furniture and office equipment Other machinery and equipment TOTAL ADDITIONS TO MOVABLE TANGIBLE CAPITAL ASSETS ICD Annual Report 2011-2012 page 127 Annual Financial Statements 27.2 INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 DISCLOSURE NOTES TO THE ANNUAL FINANCIAL STATEMENTS for the year ended 31 March 2012 Disposals DISPOSALS OF MOVABLE TANGIBLE CAPITAL ASSETS PER ASSET REGISTER FOR THE YEAR ENDED 31 MARCH 2012 27.3 SOLD FOR CASH TRANSFER OUT OR DESTROYED OR SCRAPPED TOTAL DISPOSALS CASH RECEIVED ACTUAL R’000 R’000 R’000 R’000 MACHINERY AND EQUIPMENT 2 1 242 1 244 2 Transport assets - 82 82 - Computer equipment - 763 763 - Furniture and office equipment - 18 18 - Other machinery and equipment 2 379 381 2 TOTAL DISPOSAL OF MOVABLE TANGIBLE CAPITAL ASSETS 2 1 242 1 244 2 Movement for 2010/11 MOVEMENT IN MOVABLE TANGIBLE CAPITAL ASSETS PER ASSET REGISTER FOR THE YEAR ENDED 31 MARCH 2011 OPENING BALANCE ADDITIONS DISPOSALS CLOSING BALANCE R’000 R’000 R’000 R’000 12 449 3 515 497 15 467 Transport assets 1 617 - - 1 617 Computer equipment 7 257 2 372 482 9 147 Furniture and office equipment 2 240 973 15 3 198 Other machinery and equipment 1 335 170 - 1 505 12 449 3 515 497 15 467 MACHINERY AND EQUIPMENT TOTAL MOVABLE TANGIBLE ASSETS ICD Annual Report 2011-2012 page 128 Annual Financial Statements INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 DISCLOSURE NOTES TO THE ANNUAL FINANCIAL STATEMENTS for the year ended 31 March 2012 27.4 Minor assets MOVEMENT IN MINOR ASSETS PER THE ASSET REGISTER FOR THE YEAR ENDED AS AT 31 MARCH 2012 SPECIALISED MILITARY ASSETS INTANGI- HERITAGE BLE ASSETS ASSETS MACHINERY AND EQUIPMENT BIOLOGICAL ASSETS TOTAL R’000 R’000 R’000 R’000 R’000 R’000 Opening balance Prior Year Balances Disposals - - 12 - 8 837 737 (652) - 8 849 737 (652) TOTAL MINOR ASSETS - - 12 8 922 - 8 934 INTANGI- HERITAGE BLE ASSETS ASSETS MACHINERY AND EQUIPMENT BIOLOGICAL ASSETS SPECIALISED MILITARY ASSETS TOTAL R’000 R’000 R’000 R’000 R’000 R’000 Number of minor assets at cost 60 - 15 5 606 - 5 681 TOTAL NUMBER OF MINOR ASSETS 60 - 15 5 606 - 5 681 MOVEMENT IN MINOR ASSETS PER THE ASSET REGISTER FOR THE YEAR ENDED AS AT 31 MARCH 2011 SPECIALISED MILITARY ASSETS INTANGI- HERITAGE BLE ASSETS ASSETS MACHINERY AND EQUIPMENT BIOLOGICAL ASSETS TOTAL R’000 R’000 R’000 R’000 R’000 R’000 Opening balance - - 12 7 694 - 7 706 Current Year Adjustments to Prior Year balances - - - 954 - 954 Additions - - - 542 - 542 Disposals - - - (353) - (353) TOTAL MINOR ASSETS - - 12 8 837 8 849 ICD Annual Report 2011-2012 page 129 Annual Financial Statements INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 DISCLOSURE NOTES TO THE ANNUAL FINANCIAL STATEMENTS for the year ended 31 March 2012 SPECIALISED MILITARY ASSETS INTANGI- HERITAGE BLE ASSETS ASSETS MACHINERY AND EQUIPMENT BIOLOGICAL ASSETS TOTAL Number of R1 minor assets Number of minor assets at cost - - 9 5 632 - 5 641 TOTAL NUMBER OF MINOR ASSETS - - 9 5 632 - 5 641 ICD Annual Report 2011-2012 page 130 - 87 R’000 87 R’000 ROLL OVERS - - R’000 ADJUSTMENTS 87 87 R’000 TOTAL AVAILABLE The payment to SASSETA related to the administrative contribution that was transferred by the Department. SASSETA DEPARTMENT/ AGENCY/ ACCOUNT ADJUSTED APPROPRIATION TRANSFER ALLOCATION STATEMENT OF TRANSFERS TO DEPARTMENTAL AGENCIES AND ACCOUNTS ANNEXURE 1A INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 ANNEXURES TO THE ANNUAL FINANCIAL STATEMENTS for the year ended 31 March 2012 87 87 R’000 ACTUAL TRANSFER 100% 100% % % OF AVAILABLE FUNDS TRANSFERRED TRANSFER 74 74 R’000 APPROPRIATION ACT 2010/11 Annual Financial Statements ICD Annual Report 2011-2012 page 131 page ICD Annual Report 2011-2012 132 - TOTAL - - - - R’000 2011/12 - Training to Investigators Donated soft toys for distribution as part of the 16 Days of No Violence Against Women and Children to Mercy House and PAHAS Food bought for distribution to Mercy House as part of the 16 Days of No Violence Against Women and Children Food bought for distribution to PAHAS as part of the 16 Days of No Violence Against Women and Children NATURE OF GIFT, DONATION OR SPONSORSHIP Subtotal SASSETA Mr D de Bruin Received in kind Subtotal Staff members Staff members Received in cash NAME OF ORGANISATION STATEMENT OF GIFTS, DONATIONS AND SPONSORSHIPS RECEIVED ANNEXURE 1B INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 ANNEXURES TO THE ANNUAL FINANCIAL STATEMENTS for the year ended 31 March 2012 4 2 1 1 2 1 1 R’000 2010/11 Annual Financial Statements page 133 ABSA Nedbank Standard Stannic GUARANTOR INSTITUTION 1 116 1 447 TOTAL 496 130 490 331 331 274 185 88 26 71 89 89 R’000 R’000 Subtotal Housing Housing Housing Housing Subtotal Motor vehicles Motor vehicles GUARANTEE IN RESPECT OF OPENING BALANCE 1 APRIL 2011 ORIGINAL GUARANTEED CAPITAL AMOUNT - - - - - R’000 GUARANTEES DRAW DOWNS DURING THE YEAR STATEMENT OF FINANCIAL GUARANTEES ISSUED AS AT 31 MARCH 2012 – LOCAL ANNEXURE 3A 106 17 17 89 89 R’000 GUARANTEES REPAYMENTS/ CANCELLED/ REDUCED/ RELEASED DURING THE YEAR - - - - - R’000 REVALUATIONS INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 ANNEXURES TO THE ANNUAL FINANCIAL STATEMENTS for the year ended 31 March 2012 168 168 88 26 54 - - R’000 CLOSING BALANCE 31 MARCH 2012 - - - - - R’000 - - - - - R’000 REALISED GUARLOSSES ANTEED NOT REINTEREST FOR YEAR COVERABLE I.E. CLAIMS ENDED 31 MARCH 2012 PAID OUT Annual Financial Statements ICD Annual Report 2011-2012 9 124 9 142 TOTAL 18 274 274 - R’000 R’000 Possible Claims Court Settlement Claims against the department NATURE OF LIABILITY LIABILITIES INCURRED DURING THE YEAR OPENING BALANCE 1 APRIL 2011 STATEMENT OF CONTINGENT LIABILITIES AS AT 31 MARCH 2012 ANNEXURE 3B 115 115 - R’000 LIABILITIES PAID/ CANCELLED/ REDUCED DURING THE YEAR INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 ANNEXURES TO THE ANNUAL FINANCIAL STATEMENTS for the year ended 31 March 2012 - - - R’000 LIABILITIES RECOVERABLE (PROVIDE DETAILS HEREUNDER) 9 301 9 283 18 R’000 CLOSING BALANCE 31 MARCH 2012 Annual Financial Statements ICD Annual Report 2011-2012 page 134 page 135 TOTAL Department National Treasury Department of Health SAPS Statistics SA Department of Trade and Industry Department of Energy National Prosecuting Authority Department of Water Affairs Department of Public Enterprises Department of Correctional Services Department of Mineral Resources Gauteng Provincial Government Limpopo: Health & Social Development Mpumalanga: Community Safety & Security GOVERNMENT ENTITY CLAIMS RECOVERABLE ANNEXURE 4 - - - R’000 R’000 - 31/03/2011 31/03/2012 CONFIRMED BALANCE OUTSTANDING 997 407 3 12 3 19 13 11 19 32 18 34 394 9 23 997 R’000 31/03/2012 414 407 3 1 3 414 R’000 31/03/2011 UNCONFIRMED BALANCE OUTSTANDING INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 ANNEXURES TO THE ANNUAL FINANCIAL STATEMENTS for the year ended 31 March 2012 997 407 3 12 3 19 13 11 19 32 18 34 394 9 23 997 R’000 31/03/2012 414 407 3 1 3 414 R’000 31/03/2011 TOTAL Annual Financial Statements ICD Annual Report 2011-2012 ICD Annual Report 2011-2012 page 136 1 806 1 874 1 874 Subtotal Total 68 20 20 20 R’000 31/03/2012 - - - - - - - R’000 31/03/2011 CONFIRMED BALANCE OUTSTANDING Independent Institutions Independent Institutions SARS Current OTHER GOVERNMENT ENTITY Total Subtotal National Treasury (NRF) Current DEPARTMENTS GOVERNMENT ENTITY INTER-GOVERNMENT PAYABLES ANNEXURE 5 1 874 1 874 1 806 68 20 20 20 R’000 31/03/2012 28 28 (3) - 31 - - - R’000 31/03/2011 UNCONFIRMED BALANCE OUTSTANDING INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 ANNEXURES TO THE ANNUAL FINANCIAL STATEMENTS for the year ended 31 March 2012 1 874 1 874 1 806 68 20 20 20 R’000 31/03/2012 28 28 (3) - 31 - - - R’000 31/03/2011 TOTAL Annual Financial Statements INVENTORY page 137 6 385 Closing balance 204 (2) (3 078) (1) - 3 108 (2 252) 2 429 R’000 2011/12 5 779 (2 969) (28 048) (11 060) 3 366 24 130 - 20 360 QUANTITY The adjustment to prior year balances was made due to incorrect LOGIS tool reports being generated in the financial year ended 31 March 2011. (296) (20 990) Add/(Less): Adjustments (Less): Issues (2) (Less): Disposals 21 060 - 5 779 QUANTITY 834 NOTE Add: Additions - Non-cash Add: Additions/Purchases - Cash Add/(Less): Adjustments to prior year balance Opening balance INVENTORY ANNEXURE 6 INDEPENDENT COMPLAINTS DIRECTORATE VOTE 23 ANNEXURES TO THE ANNUAL FINANCIAL STATEMENTS for the year ended 31 March 2012 2 429 (32) (250) (293) 41 2 374 - 589 R’000 2010/11 Annual Financial Statements ICD Annual Report 2011-2012 Notes ICD Annual Report ZOI page '38 Notes ICD Annual Report ZOI page '39 Notes ICD Annual Report ZOI page I40 ICD IC CD An Annu Annual nual nu al R Report epor ep orrt 20 2011-2012 0111-2 2012 012 01 pagee pag pa 141 14 1 Physical Address: City Forum Building 114 Vermeulen Street Pretoria 0002 Postal Address: Private Bag X941 Pretoria 0001 Contact Details: Tel : 012 399 0000 Fax : 012 326 0408 E-mail : complaints@icd.gov.za Website : www.icd.gov.za RP329/2012 ISBN: 978-0-621-41354-0 Title of Publications: Independent Complaints Directorate (ICD) Annual Report 2011/2012 ICD Annual Report 2011-2012 page 142