National Consumer Tribunal Annual Report 2011/12 National Consumer Tribunal 2011-12 | Page 58

Operational review (continued)
Ten templates for the analyses of cases were developed for various types of matters that are filed
with the Tribunal, leading to improved support for members of the Tribunal that in turn enhances
their decision-making capacity.
A practice note on consent orders was issued and distributed to debt counsellors, taking the
number of practice notes issued to four, while two research papers were issued.
During the year, the case management system (CMS) was further developed, and a training
session held with Tribunal members and staff on the functionalities and utilisation of the system.
However, despite numerous engagements with the service provider, the system was not fully
operational as at the end of the financial year.
Corporate Services Unit (CSU)
The Tribunal places high value on ensuring it is compliant with the various policies that apply to it
as well as its own internal policies. At the same time, risk management is an ongoing priority that
is carefully monitored at all times.
The PFMA compliance checklist is updated quarterly and tabled at Audit and Risk Committee
meetings.
The Tribunal also monitors 36 internal policies in the following categories:
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Corporate Governance;
Administration;
Information Communication Technology;
Human Resources; and
Finance.
During the year, all policies were examined and some variances identified. Certain of the Tribunal’s
policies, including HR policies, Code of Ethics, Conflict of Interest and Fraud Prevention, were
revised. A compliance monitoring system was sourced and procured to address the risk of non-
compliance with legislation and policies.
No cases of fraud were reported during the year, and there was no unauthorised, fruitless, wasteful
or irregular expenditure.
Risk assessment is not an annual event; rather, all levels of staff in the organisation are encouraged
to continuously identify risks in the organisation and to bring this to the attention of the relevant
managers so they can be discussed at the Executive Committee meetings which are held on a
monthly basis. The internal audit plans are also aligned to the risks that have been identified and
Strategic Risks facing the Tribunal – finalised and in progress
Annual Report 2011
page 56 | national consumer tribunal