SWAZILAND PUBLIC PROCUREMENT

REGULATORY AGENCY INVESTIGATION

MANUAL (DRAFT)

INTRODUCTION
The Swaziland Public Procurement Regulatory Agency (SPPRA or the Agency) has in line
with the Procurement Act No.7 of 2011 and the Draft Public Procurement Regulations,
especially Section 10 and 11 of The Act, established the Investigation Unit to deal with fraud
and corruption and any other malpractices or transgressions within The Agency, Procuring
entities and Suppliers.
The Investigation Unit, is charged with mainly, the investigation any conduct of any
procurement activities that are suspected to involve violations of the Procurement Act, 2011.
This includes but not limited to reported and potential fraud and corruption. However, the
Unit may from time to time be asked to perform some other duties such as prevention of
fraud and corruption and any other transgressions and as well as providing educational and
awareness on prevention and eradication of fraud and corruption.

PURPOSE
The Purpose of the Investigation Unit is to transform public procurement to a law abiding
environment by promoting integrity and accountability, through pro-active and re-active
preventative measures.

OBJECTIVES
The objectives of the Unit are not in isolation but is based on the main Objectives of the
Agency. They are as follows:
To achieve a maximum compliance to The Procurement Act and Regulations
To secure transparency, accountability and sound management of revenue,
expenditure, assets and liabilities of the Government of Swaziland.
To promote the principle for value for money in the public procurement

MANDATE AND SCOPE

The units scope is only limited to investigations, no power to arrest though, and to all public
procuring entities including suppliers.

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CONFIDENTIALITY
Confidentiality is required for effective investigation and other appropriate action in cases of
alleged wrongdoing. Confidentiality is in the interest of the Organization, investigation
participants and the subject of the investigation. Information will only be disclosed as
required by the legitimate needs of the investigation. The requirement for confidentiality
extends equally to investigators, management, staff members and other personnel,
investigation participants, and investigation subjects.

INVESTIGATION MANUAL
1. PROCEDURE FOR REGISTRATION AND FILING OF COMPAINTS
1.1. Complaints incidents maybe reported by any of the following means:
Personal visits
Letters
Toll Free Hotline

1.2. A reported complaint must be registered with the Investigation Unit of the Agency on a
registration book, complaint form (Annexure A). A main file herein be referred to as a case
file (Annexure B) will then be created on the computer system and a physical one kept in a
well secured cabinet according to the procuring entity it relates to. The main File will have
three Sections, namely;
Section A all materials of evidential value or that will assist prosecution
Section B all correspondences which relates to the matter i.e. newspaper articles
Section C Investigation diary (Record of cause of actions)

1.3. All correspondences pertaining to the reported case must be filed within that particular
file. The file will then be sent to the Senior Investigation officer and it will be allocated a case
number. Such case number will chronological without recognition of the procuring entity it
relates to.

2. ASSESSMENT AND ALLOCATION OF INVESTIGATION

2.1 The Senior Investigation Officer will assess all reported incidents and allocate an
investigator. Instructions and remarks will be recorded under section C of the case file. The
investigator through instructions found in Section C will be called upon to come up with an
investigation plan which will be commissioned by the Senior Investigation Officer.

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3. INVESTIGATION
3.1. PLANNING
3.1.1. An investigator upon receiving an instruction to investigate, compile an investigation
plan which must be submitted to the Senior Investigation Officer for consideration before an
investigation can commence.
3.1.2. The senior Investigation Officer will review the plan, make corrections or inputs where
it is necessary and communicate such inputs with the investigator and there after approves the
plan.
3.1.3. A well-articulated investigation plan will cover the following aspects:
Establish the area of concern, eg: the procuring entity, suppliers, the tender board, etc.
Establish the type of transgression that have occurred
Establish the names and responsibilities of those that may be interviewed
Take into account and determine what evidence there will be to prove a crime has
been committed.
Take into account where the evidence may be located
Determine how they intend to recover the evidence
Make list of evidence or information that is required but beyond the powers of the
investigator, i.e. Bank statement, expect opinion, etc.
Establish the period in which the investigation may be completed.

4. INFORMATION GATHERING/COLLECTION
4.1. SOURCES OF INFORMATION
A source of information is either an individual who can provide information, or a point of
collection within the investigators organization. Sources of information can be classified
under four categories: Human, Field, Electronics and Scientific.
4.2. Below is a list of sources of information we can utilise as our investigation tools:
Police systems
Swaziland Revenue Authority
Swaziland Financial Intelligence Unit
The Deeds Office
Banks
Central Motor Vehicle Registry
Surveillance
Swazi MTN
Swaziland Post and Telecommunications
Association and Family
Motor vehicle dealers
Immigration
Registrar of Companies

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 Insurance companies

4.3. Intelligence Role of Investigations

Assist in location of suspects
Establish movements
Establish criminal activity
Determine lifestyle
Identify witnesses
Identify assets

5. SOURCES OF EVIDENCE
5.1. Our sources of evidence mainly would be:
Documentary
Oral (recorded statements)
Forensic evidence

5.2. The rule of thumb is that evidence must be obtained legally

5.3. Gather all identified and required documentary evidence. This exercise may require the
application of Section 11(2) and the use of a letter in the case of entity that SPPRA has a
Memorandum of Understanding (MOU).
5.4. The case file must be filed with copies of every obtained document where ever possible,
and the originals be locked away in a safe place. No marks or high lights or whatsoever must
be made on any of the original document/s. A corresponding entry of filed document in
section A of the case file must be entered in Section C of the case file with some brief details
of the nature of the document/s.
5.5. In our section A of the case file, we shall have evidence/information matrix (Annexure?).
The matrix will ensure that all relevant information or sources are identified and collected in
a systematic and logical manner. It also helps to identify any gaps in the information/evidence
obtained. The matrix will contain the following topics:
The allegation
The evidentiary requirements/information
Evidence available
Exhibit number or reference

6. CHAIN OF CUSTODY
6.1. When evidence in the form of document or object is seized as a result of section 11 of the
Act or discovered in the course of investigation, it should be marked, identified, and
preserved to maintain its original condition and to establish a clear chain of custody until it is
introduced at the trial. If gaps in possession or custody occur, the evidence may be challenged

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at the trial on the theory that the writing or object introduced may not be the original or is not
in its original condition and therefore is of doubtful authenticity. For a seized document to be
admissible as evidence, it is necessary to prove it is the same document seized and is in the
same condition as it was when seized. Because several people may handle it in the interval
between seizure and trial, it should be adequately marked at the time of seizure for later
identification, and its custody must be shown from that time until it is introduced in court.
Investigators who seize or secure documents should quickly identify them by some marking,
so they can later testify that they are the documents seized and that they are in the same
condition as they were when seized. Investigators must make sure that they have their exhibit
bags with them whenever there are to collect evidence in order to package and seal the
exhibit bag in presence of the person from whom the document or physical evidence was
obtained. These techniques should be applied any time investigators come into possession of
original documents that might be used as evidence in a trial. If investigators make copies of
documentary evidence, they should take steps to preserve their authenticity in case they are
needed as secondary evidence if the original documents are not available for the trial.
6.2. It is the investigators responsibility to keep record of the custody of any evidence
obtained pursuant to his/her investigation. A form (annexure C) must be completed to control
the chain of custody of such evidence and a copy of each be kept safe in a separate file.

7. INTERVIEWING GUIDELINES
7.1. CRITERIA FOR INTERVIEWERS
Among the most important traits for a successful interviewer are Empathy, Communication
and Professionalism. All three of these characteristics combine to send a powerful message to
the subject. That is, that the interviewer is an honourable person, who has all of the necessary
evidence, and truly understands the feelings of guilt within the subject.
Empathy is considered an essential characteristic of a good interviewer. Empathy is the
capacity for participating in anothers feelings. Investigators who use empathy can more
readily identify with another person. They can see things through anothers eyes. An
interview is a conversation between two human beings. The subject and interviewer are on an
equal footing. Unlike the interviewer, the subject probably has no training in interviewing.
But as a person the subject has been communicating all of ones life and can recognize when
one is dealing with a person who is not sincere. The most important trait for a good
interviewer is being a good communicator. When people communicate they use more than
words. Tone, inflection, volume and pauses are all important components of para-verbal
communication. Non-verbal communication is at least as important as what is actually said.
Gestures, posture, hand, eye and head movement (or lack thereof) are important parts of a
persons non-verbal communication. The interviewer should also be aware of the messages
sent by the subjects physiological responses such as skin tone, sweating and respiration.
During some interviews the subject may suddenly have red splotches like hives or rashes
appear on ones neck, arms and face. In some circumstances the interviewer will notice that

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one can visibly monitor the subjects heart rate by observing the carotid pulse. The most
important communication challenge for the interviewer is to be aware of all of these channels
of communication. The interviewer must not only be aware of what he or she is receiving but
also of what one is sending. While the subject may not be consciously aware of these signals
in the same way as the interviewer, one is subconsciously aware of communications beyond
what is actually said. Regardless of how observant an interviewer is he or she must be able to
control and manipulate the non-verbal signals being sent.
The core of interviewing is communication. In the section above important communication
skills are discussed. But how the interviewer presents oneself to the subject is the first
communication that occurs. The interviewer should be dressed professionally. This does not
necessarily mean that a business suit is required for every interview (This is also in line with
SPPRA policy on Code of conduct). The conversation should begin civilly with a handshake
and end in the same manner.

7.2. INTERVIEW STANDARDS

The location of the interview should be considered carefully before proceeding. Ideally the
interview would be held in a private office or designated interview room. Since this, is not
always possible, in particular, witness interviews are often conducted as time permits.
Witnesses may initially be interviewed at their place of employment. The number of
distractions in these settings can be limitless. The interviewer should make every attempt to
minimize these distractions. Even things as minor as asking a witness to step aside or away
from a group and turning off a cell phone can make a difference.
When possible, interviews should be conducted in private. The room should be free of
distractions such as telephones. All participants should turn off or silent cell phones. The
investigator must budget enough time for the interview. In law enforcement this may mean as
much as four or five hours. The investigator must have time to work through the interview
process in order to convince a person to confess.

7.3. INVESTIGATION REPORT

If the investigation reveals adequate evidence to reasonably conclude that wrongdoing has
occurred, the investigator will prepare an investigation report setting out the allegations, the
investigation methodology and the facts established in the investigation. This report together
with the set of evidence and after evaluation by the senior investigator, through the office of
the Executive Director be transferred to the relevant stakeholders, i.e. the Police or Anti-
Corruption Commission.

8. ADMISSIONS AND CONFESSIONS

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The goal of an investigator in her investigations maybe to eventually obtain a written
confession by the suspect, if any transgression did indeed occur. That goal is why the
processes of investigations deliberately avoid confronting the suspect until the last phase of
the gathering of evidence. The last phases include interviews, and the last round of interviews
is to interview the suspect. By then the investigator has gathered sufficient evidence to
identify the suspect. So the step of gathering evidence by the investigator includes
interviewing people, beginning far away from the target, and gradually interviewing people
closer to the suspect. When it finally comes time to interview the target, the purpose of that
interview is to obtain a signed confession and is thus referred to as an admission-seeking
interview. The importance of confessions and admissions in resolving crime should not be
understated. Without such confessions and admissions, many crimes would never be solved.
In some cases, it could be difficult to get enough evidence to convict a suspect. So a
confession from suspect makes prosecutions easier. A freely given confession often details
the scheme and the systems manipulated. The evidence gathered after a confession may
corroborate the crime. A confession alone will not support a criminal conviction, however, so
the investigator will have to dig for enough corroborating evidence to support the confession.

9. GENERAL CRITERIA AND STANDARDS FOR EVALUATING AN EXPERTS

QUALIFICATIONS
9.1. Determining that a given person is sufficiently knowledgeable and capable of serving as
an expert depends on two factors. First, does the candidate possess the objective
qualifications for the job? Does he have the appropriate credentials, relevant prior experience,
and critical information that bears on successful resolution of the case? Second, does the
expert, even if sufficiently qualified, have the personal characteristics to function effectively
as part of the investigative team? Is the individual a team player? Does her professional
reputation and the quality of previous work recommend using her in the case at hand? Can
the expert explain technical complexities in such a way that both the criminal justice
practitioners, investigators, prosecutors, and judges can clearly understand their meaning and
importance? Does the expert project a professional manner? Can he build and keep rapport
with others? Below are formal requisite expert credentials.

9.2. CREDENTIALS
Credentials and standards vary for assessing the knowledgeability of out-of-court experts,
depending on the area of expertise. Even with regard to laying the foundation at trial for the
court to accept a witness as an expert, the criteria, although generally standardized between
fields of expertise in the eyes of the law, are not inflexible and are subject to some variation.
With these caveats in mind, there are several broad areas in which experts are expected to
have credentials and qualifications that distinguish them from laypeople. These include:
Professional licensure, certification, or registration by a recognized professional body
in the field of expertise in question

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 Undergraduate, graduate, and postgraduate academic degrees that are either in the
field of expertise or serve as a suitable background to it
Specialized training and/or continuing professional education beyond academic
degrees that indicate up-to-date familiarity with the latest technical developments in
the subject area
Writings and publications that display technical opinions and are available as part of
the general body of knowledge in the subject area
Relevant teaching, lecturing, and/or other consultancies that indicate that one is held
in high professional esteem in the subject area
Affiliation with professional associations
Directly relevant prior experience gained through similar assignments, whether as
technical advisor or expert witness, in the subject area
Special status, or access to privileged information, peculiar to the case at hand, which
renders the individual an expert