Number Category Findings Recommendation Root cause Action Plans Implementations Responsible Progress Status date person 1 Predetermined Complaints Management 1. Lack of The Annual Immediately HOD Legal 1. Obtained the Complete Objectives not dealt with needs to ensure management target for legal amended APP, in accordance that the oversight complaints to be and inspected the with the complaints are No continuous adjusted to legal complaints complaints dealt with in monitoring and ensure it annual target and manual accordance to the review of legal complies with the it was noted that Complaints’ complaints for SMART criteria the annual target Manual, this can compliance with the 2. HOD Legal will was adjusted be achieved by procedure manual. continuously respectively. 2. ensuring that the 2. The annual monitor Selected a steps taken to target did not complaints files sample of 10 attend to comply with the for compliance complaints files complaints are SMART criteria with the and inspected if clearly procedure the documented and manual acknowledgement adhered to. letters were sent Additionally, within 7 days and continuous it was noted that monitoring of the from sample complaints selected the process should be acknowledgement completed to letters were sent ensure that legal within 7 days. officers, which are the individuals who are attending to the complaint, are familiar with the manual and apply it consistently through the complaints that are received. We have noted that a checklist has been developed to assist the legal officers to comply
Number Category Findings Recommendation Root cause Action Plans Implementations date Responsible person Progress Status 1 Predetermined Objectives Complaints not dealt with in accordance with the complaints manual Management needs to ensure that the complaints are dealt with in accordance to the Complaints’ Manual, this can be achieved by ensuring that the steps taken to attend to complaints are clearly documented and adhered to. Additionally, continuous monitoring of the complaints process should be completed to ensure that legal officers, which are the individuals who are attending to the complaint, are familiar with the manual and apply it consistently through the complaints that are received. We have noted that a checklist has been developed to assist the legal officers to comply 1. Lack of management oversight No continuous monitoring and review of legal complaints for compliance with the procedure manual. 2. The annual target did not comply with the SMART criteria The Annual target for legal complaints to be adjusted to ensure it complies with the SMART criteria 2. HOD Legal will continuously monitor complaints files for compliance with the procedure manual Immediately HOD Legal 1. Obtained the amended APP, and inspected the legal complaints annual target and it was noted that the annual target was adjusted respectively. 2. Selected a sample of 10 complaints files and inspected if the acknowledgement letters were sent within 7 days and it was noted that from sample selected the acknowledgement letters were sent within 7 days. Complete
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