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["STRATEGIC RISK REGISTER - 2023/24 FY"]
[" Risk Number","Outcome"," Risk Category","Risk Description","Impacts / Consequences        ","Contributing Factors","Inherent risk",null,null,"Current Controls","Individual Risk Control Effectiveness (RCE)","Overall Risk Control Effectiveness (RCE)","Control Owner","Risk Owner","Residual risk",null,null,"Remedial Actions ","Task Owner","Start date","Target Date","Q1 Progress (2017/18FY)","Q2 Progress (2017/18FY)","Q3 Progress (2017/18FY)","Q4 Progress (2017/18FY)"]
[{"$nulls":6}," Consequence "," Likelihood"," Risk rating",{"$nulls":5},"  Consequence "," Likelihood"," Risk Rating"]
[1,"A compliant, high-performance SIU that is well-capacitated to rid society of corruption, maladministration and fraud in State institutions","Strategic","Inability to provide adequate protection of investigators, witnesses and whistleblowers against intimidation and threats emanating from the SIU investigations","> Loss of SIU assets\n> Reputation & brand damage\n> Financial loss\n> Loss of SIU critical information\n","1. Protracted process to conduct and complete Threat Risk Assessments (TRAs) by SAPS\n2. Inadequate internal capacity to immediately respond to threats experienced by investigators\n3. Occupational detriment and/or victimisation arising from blowing the whistle against corruption\n4. Failure to keep whistleblowers identity anonymous due to unsecured reporting channels\n5. Inadequate whistleblowing protection advocacy and awareness program\n\n\n\n","2RB","E","I","1.1 Threats to investigators are reported to SAPS for assessments \n2.1 Outsourced Close Protection Services\n3.1 SIU escalate the matter to Accounting Officers\n4.1 Whistleblowing independent service provider is in place\n5.1 One on one engagement sessions with whistleblowers involved in SIU investigations\n","1.1  Improving\n2.1  Improving\n3.1  Improving\n4.1  Satisfactory\n5.1  Improving\n","Improving","1.1   Mr. Mkhungo\n2.1   Mr. Mkhungo\n3.1   Mr. Mkhungo\n4.1   Mr. Mkhungo\n5.1   Mr. Mkhungo\n","CRO","2RB","D","I","1.1 Conduct internal preliminary Threat Risk Assessment (TRA) to determine substance to threats against SIU investigators\n1.2 Appoint a service provider who is accredited to conduct Threats Risk Assessment (TRAs) to reduce reliance on SAPS Crime Intelligence\n1.3 Develop Memorandum of Understanding (MoU) with South African Police Services (SAPS) to address the turnaround times on Threats Risk Assessments.\n2.1 Procure protection services via RFQ process for SIU investigators whose lives are under immediate threat based on the TRA outcome\n3.1 Engage the Accounting Officers of various public entities to bring the victimisation of whistleblowers to their attention\n4.1 Whistleblowers are encouraged to report allegations via SIU whistleblowing hotline that is managed by an independent service provider\n5.1 Identify whistleblowers and witnesses involved in sensitive investigations and conduct one on one awareness training with them on whistleblowing and witness protection\n \n\n\n","1.1 Mr. Mkhungo\n2.1 Mr. Mkhungo\n3.1 Mr. Mkhungo\n3.2 Mr. Mkhungo\n4.1 Mr. Mkhungo\n5.1 Mr. Mkhungo\n",null,"1.1  > As & when\n1.2  > 30 Sep ‘23\n1.3 > 30 Jun '23\n2.1  > As & when\n3.1  > As & when\n4.1  > As & when\n5.1  > As & when\n\n\n"]
[2,"A compliant, high-performance SIU that is well-capacitated to rid society of corruption, maladministration and fraud in State institutions","Strategic","Inability to collect revenue generated through invoicing of State institutions being investigated, which impact negatively on SIU financial sustainability","> Reputation & brand damage\n> SIU objectives not achieved\n\n\n","1. Conflict of interest (e.g. Senior Officials investigated are expected to approve payments to SIU)\n2. SIU investigations are not budgeted by public institutions\n3. Some of the public entities such as  municipalities investigated are bankrupt (insolvent)\n4. Inadequate grant that SIU receives for the government\n5. Inadequate follow-ups on debtors\n6. Outdated Charge-Out rates that is not cost-effective. \n","2RB","E","I","1.1  Escalate non-payments to Accounting Officers and Executive Authority\n2.1  Investigations progress reports that show value for money\n3.1  Non-payments by Municipalities escalated to CoGTA and National Treasury\n4.1  Annual motivation to National Treasury to surplus in the balance sheet\n5.1 & 6.1  Debts & Revenue Management Policy\n\n ","1.1  Improving\n2.1  Improving\n3.1  Ineffective\n4.1  Satisfactory\n5.1  Improving\n6.1 Improving","Improving","1.1  Mr. Gernandt\n2.1  Mr. Gernandt\n3.1  Mr. Gernandt\n4.1  Mr. Gernandt\n5.1  Mr. Gernandt\n6.1  Mr. Gernandt","CFO","3RB","D","II","1.1 Engage with the National Treasury to centralize the budget for all SIU investigations in order to address the inherent risks in the funding model.\n2.1 Motivate to the National Treasury to increase SIU grant to 50% as funding model cannot be reviewed at this stage\n3.1 Escalate non-payments by the public entities to National Treasury and other government relevant structures \n4.1 Submit annual motivation to the National Treasury to keep and maintain the SIU surplus \n5.1 Collaborate with Auditor-General to assist SIU with auditing & monitoring outstanding debts \n5.2 Ensure that all invoices that are submitted to State Institutions are accompanied by investigation progress report \n5.3 Review the SIU Charge-Out rates for investigations (draft charge-out rate document developed in Q2)\n\n","1.1 Mr. Gernandt\n2.1 Mr. Gernandt\n3.1 Mr. Gernandt\n4.1 Mr. Gernandt\n5.1 Mr. Gernandt\n5.2 Mr. Gernandt\n5.3 Mr. Gernandt",null,"1.1  >  As & when\n2.1  > Annually\n3.1  > As & when\n4.1  > Annually\n5.1  > Quarterly\n5.2  > As & when\n5.3  > 30 Sep ‘23\n\n"]
[3,"State assets and cash resources protected from maladministration, fraud and corruption for the realization of full value-for-money for State programmes ","Strategic","Inability to expedite and timeously conclude civil matters and other legal proceedings enrolled at the Special Tribunal","> Reputation & brand damage\n> Unable to prevent & recover losses\n> SIU objectives not achieved\n> Poor stakeholder confidence\n> Legal outcomes not achieved\n","1. Unavailability of Presiding Officers to preside over matters in the Special Tribunal\n2. Inadequate human resources capacity in the Civil Litigation Unit\n3. Panel of attorney’s appointed to expedite provision of legal services & reduce reliance on State Attorney\n4. Unavailability of legal Counsels due to heavy schedule and diaries\n5. Delays in concluding investigations for instituting civil litigation (matters not ripe for enrolment)\n","2RB","E","I","1.1 Outsource legal service through Request For Quotations (RFQ)\n2.1 Panel of attorney’s appointed to expedite provision of legal services & reduce reliance on State Attorney\n2.2 5x Senior Managers appointed in the Civil Litigation Unit\n3.1 Panel of attorney’s appointed to expedite provision of legal services \n4.1 Civil Litigation Case Assessment Committee\n5.1 Civil matters below R500 000 are assessed by CAC and referred accordingly (e.g. AFU, Criminal, Departments, etc.)\n\n","1.1  Improving\n2.1  Improving\n2.2  Improving\n3.1  Ineffective\n4.1  Improving\n5.1  Improving\n\n","Improving","1.1 Dr Wells\n2.1 Dr Wells\n2.2 Dr Wells\n3.1 Dr Wells\n4.1 Dr Wells\n5.1 Dr Wells","CLC","2RB","C","II","1.1 Ensure speedy re-enrolment of civil matters delayed due to unavailability of Presiding Officers\n2.1 Fill vacant positions in the Civil Litigation Unit as per the approved structure.\n3.1 Monitor & review the performance of appointed panel of attorney’s providing legal services in all the civil litigation matters\n3.2 Develop implementation plan for the Civil Litigation Strategy.\n4.1 Brief other available Counsels to ensure that civil matters continues when other Counsels are not available due to heavy schedule and diaries.\n5.1 Allocate Civil Litigation lawyers to guide the litigation outcomes from project planning phase to project closure\n","1.1 Dr Wells\n2.1 Dr Wells\n3.1 Dr Wells\n3.2 Dr Wells\n4.1 Dr Wells\n5.1 Dr Wells\n\n","????????","1.1 > As & when\n2.1 > 30 Sep '23\n3.1 > As & when\n3.2 > 30 Jun '23\n4.1 > As & when\n5.1 > As & when\n\n\n\n\n\n"]
[4,"Confidence in the governance systems, structures and policies of the State is restored and maintained leading to improved country’s global rankings","Strategic","Failure to complete investigations as per the approved project plans and timeframes, which impact negatively on SIU legal outcomes\n\n\n\n\n\n\n\n\n\n","> SIU objectives not achieved\n> Litigation\n> Reputational & brand damage\n> Financial loss\n","1. Investigators allocated to multiple-projects\n2. Insufficient forensic investigations capacity and skills sets\n3. Delays in obtaining evidence due to unwillingness of witnesses & State Institutions to cooperate\n4. Protracted SCM process to procure required resources for the project \n5. Inconsistent approach to project performance monitoring and reviews\n6. Lack of integration during the investigation planning phase\n7. Inadequate cyber and fordard human resources capacity to support investigations\n","2RB","E","I","1.1  Prioritization of investigation projects \n2.1  Panel of Experts appointed to provide technical skills\n3.1  Cyber and Fordad analytical systems  \n3.2  SIU Act\n4.1  SCM Policy\n5.1  Project Plans and Risk Management SOP\n6.1  Project Team planning meeting \n7.1 Secondments in place","1.1  Improving\n2.1  Improving\n3.1  Improving\n4.1  Improving\n5.1  Improving\n6.1  Improving\n7.1 Improving \n\n\n\n\n","Improving","1.1  Mr. Lekgetho\n2.1  Mr. Lekgetho\n3.1  Mr. Lekgetho\n4.1  Mr. Gernandt\n5.1  Mr. Lekgetho\n6.1  Mr. Lekgetho\n7.1  Mr. Lekgetho\n","CNIO","2RB","C","II","1.1 Finalize and implement the SIU Resource Modelling Framework in Operations\n2.1 Implement forensic investigations capacity development programs.\n3.1 Invoke SIU powers by issuing Section 5(2)(b)(c) notices in terms of the SIU Act 74 of 1996\n4.1 Conduct annual review and appoint panel of experts based project resources requirements.\n5.1 Develop and implement Project Monitoring and Review Guidelines\n6.1 Develop a measurement tool that will assist SIU to determine the average turnaround time to conclude investigations\n6.2 Ensure that forensic lawyers are an integral part of investigations from the project planning phase until closeout\n7.1 Recruit Cyber & Fordad personnel as per the approved structure to support investigations across all SIU Offices","1.1  Mr. Lekgetho\n2.1  Mr. Lekgetho\n3.1  Mr. Lekgetho\n4.1  Mr. Lekgetho\n5.1  Mr. Lekgetho\n6.1  Mr. Lekgetho\n6.2  Mr. Lekgetho\n7.1 Mr. Lekgetho\n",null,"1.1 > 30 Jun ‘23\n1.2 > As & when\n3.1  > As & when\n4.1  > Annually\n5.1  > 30 Jun '23\n6.1  > 30 Sep ‘23\n6.2  > As & when\n8.1  > 30 Sep ‘23\n\n\n"]
[5,"A compliant, high-performance SIU that is well-capacitated to rid society of corruption, maladministration and fraud in State institutions","Strategic","Inadequate human resources capacity to execute and meet the growing demand of SIU forensic and litigation services\n","> SIU objectives not achieved\n> Reputational & brand damage\n","1. Inflexible SIU remuneration model \n2. Inadequate financial resources to fill vacant positions \n3. Critical skills scarcity & shortage in the market (forensic accountants & cyber)\n4. Inflexible recruitment practices makes it difficult to timeously conclude recruitment\n5. Inability to find suitable a candidate on the designated group required by the position\n\n","2RB","E","I","1.1  Remuneration Directive / Policy\n2.1  Prioritization of positions in the organization\n3.1  Head-hunting and outsourcing of services\n4.1  Recruitment Policy\n5.1  Employment Equity Plan","1.1  Improving\n2.1  Improving\n3.1  Improving\n4.1 Improving\n5.1 Improving\n","Improving","1.1 Ms N Masombuka\n2.1 Ms N Masombuka\n3.1 Ms N Masombuka\n4.1 Ms N Masombuka\n5.1 Ms N Masombuka","CHCO","3RB","C","II","1.1 Ensure approval and implementation of the reviewed SIU Remuneration policy. \n2.1 Appoint Fixed Term Contract (FTC) employees for a specific period when they are needed\n3.1 Outsourcing of critical services where there is shortage of skills internally \n4.1 Ensure approval of the reviewed SIU Talent Acquisition and Mobility Policy.\n4.2 Monitor SIU vacancy rate and maintain it at 12%\n5.1 Motivate to the Head of Unit for deviation to recruit the suitable candidate when suitable EE candidates are not available\n\n\n","1.1 Ms Masombuka\n2.1 Ms Masombuka\n3.1 Ms Masombuka\n4.1 Ms Masombuka\n4.2 Ms Masombuka\n5.1 Ms Masombuka",null,"1.1 > 30 Sep ‘23\n2.1 > As & when\n3.1 > As & when\n4.1 > 30 Jun ‘23\n4.2 > Quarterly\n5.1 > As & when"]
[6,"A compliant, high-performance SIU that is well-capacitated to rid society of corruption, maladministration and fraud in State institutions","Strategic","Inability to provide adequate monitoring on the implementation of the SIU legal recommendations","> SIU objectives not achieved\n> Reputation & brand damage\n> Fruitless expenditure\n> Poor stakeholder confidence","1. SIU has no powers to enforce the implementation of remedial actions\n2. Inadequate follow up on the implementation of SIU remedial actions\n3. Lack of clearly defined monitoring mechanism for implementation of legal recommendations\n4. Inadequate human resource capacity in the CPPO Monitoring Unit\n","2RB","E","I","1.1  Presidency releases SIU reports to respective Executive Authority for implementation\n2.1  SIU follows up on the implementation of its recommendations with various State Institutions\n3.1  MoUs have been developed and signed to assist with implementation of recommendations\n4.1 Senior Managers Appointed in the CPPO office\n","1.1  Improving\n2.1  Ineffective\n3.1  Ineffective\n4.1  Improving\n","Ineffective","1.1 Mr. Maharaj\n2.1 Mr. Maharaj\n3.1 Mr. Maharaj\n4.1 Mr. Maharaj","CPPO","2RB","A","III","1.1 Amend the SIU Act to give a mandate for intervention if legal recommendations are not implemented.\n2.1 Collaborate with DPSA  to assist with monitoring the implementation of SIU disciplinary actions.\n2.2 Monitor the implementation of Memorandum of Understanding (MoU) with NPA & SAPS to regulate referrals for criminal prosecution\n3.1 Develop Monitoring Policy Framework for the implementation of SIU remedial actions\n4.1 Capacitate the PPO Monitoring Unit through recruitment and filling of positions as per the approved structure.\n","1.1 Mr. Maharaj\n2.1 Mr. Maharaj\n2.2 Mr. Maharaj\n3.1 Mr. Maharaj\n3.2 Mr. Maharaj\n4.1 Mr. Maharaj",null,"1.1 > 31 Mar ‘24\n2.1  > As & when\n2.2  > As & when\n3.1  > 30 Jun ‘23\n3.2  > 30 Jun ‘22\n4.1  > 30 Sep ‘23\n"]
[7,"Corruption, maladministration and fraud deterred through proactive preventative mechanisms and effective enforcement of consequence management measures","Strategic","Inability to assist public institutions to prevent re-occurrence of corruption, malpractice and maladministration","> SIU objectives not achieved\n> Reputation & brand damage\n> Poor stakeholder confidence","1. Failure to fully implement data analytics readiness assessment recommendations.\n2. Lack of data software analytical tools to conduct data analytics\n3. Inadequate human resources capacity\n4. Corruption prevention initiatives not aligned with SIU systemic recommendations\n\n","2RB","E","I","1.1  Memorandum of Understanding with some of the  public institutions\n2.1  Cyber and Fordad analytical systems\n3.1  Senior Mangers appointed in the Market Data Analytics / Prevention & Awareness Unit\n4.1  Stakeholder Engagements on corruption preventions (e.g. Departments, Schools, etc.)\n\n\n\n","1.1  Improving\n2.1  Improving\n3.1  Improving\n4.1  Improving\n\n\n","Improving","1.1 Mr. Maharaj\n2.1 Mr. Maharaj\n3.1 Mr. Maharaj\n4.1 Mr. Maharaj\n","CPPO","3RB","B","III","1.1 Ensure that recommendations of the data analytics readiness assessment report are fully implemented\n2.1 Procure market data analytics solution to enable the roll out of data analytics project.\n3.1 Recruit and fill the vacant positions in the Market Data Analytics Unit as per the approved structure\n3.2 Recruit and fill the vacant positions in the Prevention, Advisory & Awareness Unit as per the approved structure\n4.1 Continuous implementation of targeted corruption prevention and awareness programs to address systemic weaknesses.\n4.2 Development & approval of the National Corruption Prevention Framework (NCPR)\n\n","1.1 Mr. Maharaj\n2.1 Mr. Maharaj\n2.2 Mr. Maharaj\n3.1 Mr. Maharaj\n3.2 Mr. Maharaj\n4.1 Mr. Maharaj\n",null,"1.1 > 30 Sep ‘23\n2.1 > 30 Jun ‘23\n3.1 > 30 Sep ‘23\n3.2 > 30 Sep ‘23\n4.1 > Bi-Annually\n4.2 > 30 Sep '23\n\n\n\n"]
[8,"A compliant, high-performance SIU that is well-capacitated to rid society of corruption, maladministration and fraud in State institutions","Strategic","Inability to maintain and keep the SIU accumulated cash surplus in the balance sheet to fund budget deficit","> SIU objectives not achieved\n> Reputational & brand damage\n","1. National revenue / fiscus constraints\n2. National Treasury Budget reprioritization \n3. Failure to commit funds through implementation of business initiatives and activities\n","1RB","E","I","1.1  Motivate to National Treasury to keep cash surplus\n2.1  National Treasury approved SIU budget for deficit\n3.1  Identify business activities that requires funding \n","1.1   Improving\n2.1   Improving\n3.1   Improving\n","Improving","1.1  Mr. Gernandt\n2.1  Mr. Gernandt\n3.1  Mr. Gernandt","CFO","4RB","A","IV","1.1 Submit annual motivation to National Treasury to keep the cash surplus\n2.1 Submit annual motivation to National Treasury to approve SIU budget for deficit\n3.1 Monitor implementation of the approved SIU Annual Procurement Plan\n","1.1  Mr. Gernandt\n2.1  Mr. Gernandt\n3.1  Mr. Gernandt","????????","1.1 > Annually\n2.1 > Annually\n3.1 > Quarterly\n"]
["TO"]

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["Actions behind",1]
["Actions not due yet",2]
["Actions completed",3]