HOME AFFAIRS BATHO PELE AND MANAGEMENT AUDIT

Public Service Commission(1999/2000)

Presentation to the Portfolio Committee on Home Affairs20 June 2001

Presentation Outline

• Overview and Introduction

• Results of PSC Audit (October 1999 – March 2000)

• Project Tiro (March 2000 – June 2001)

• Overall Results and Outcomes

Overview

• PSC Assessment of Batho Pele implementation

• DHA was a pilot Batho Pele Department, and management transgressions prompted specific DHA audit

• Methodology– Departmental focus with visits to service delivery

points

• Need to broaden PSC focus to service users

AIM OFAUDIT

• Establish nature and causes of irregularities and inefficiencies in management

• Recommendations to help department perform functions more effectively and efficiently

• Assess progress in the implementation of Batho Pele principles

FOCAL AREAS

• Performance of department• Financial management• Financial control• Human Resource Management and

Development• Anti-corruption measures• Management Planning• Organisation structure• Implementation of Batho Pele

MAIN FINDINGS

• OUTPUT PERFORMANCE

– performance against published standards not measured rigorously

– difficulties are experienced with the delivery of products within the set time frames

MAIN FINDINGS

• STRATEGIC CHALLENGES FACED BY DEPT

– Demand for services increasing within same budget

– Personnel is largest part of budget - 75% spent on setting up service delivery points (counter services)

– Capacity constraints to apply policy– Staff shortages

MAIN FINDINGS

• UTILISATION OF STAFF

– Maximum utilisation of staff time necessary since most wastage occurs with wastage of staff time

– Flexible deployment of staff ito fluctuations in work load should be considered

– Rigid organisation structure

MAIN FINDINGS

• IMPLEMENTATION OF STRATEGIC PLANS/ TRANSFORMATION POLICY– Transformation policy framework not

implemented – Detailed action plans have not been

developed– Lack of analytic capacity to establish

costs and benefits of possible solutions

MAIN FINDINGS

• STAFF MORALE

– Morale and work ethic require improvement:• An average of 10.6 days sick leave in

1999 at a total cost of R 10m (1,7% of the budget)

• 248 staff members lodged formal grievances in 1999

• 300 cases of misconduct in 1998 - 40 charged

MAIN FINDINGS

• PERSONNEL PERFORMANCE MANAGEMENT

– system to be developed– management’s performance not measured

against performance contracts– 30% of personnel assessments outstanding

MAIN FINDINGS

• ANTI-CORRUPTION UNIT– Lack of capacity– Need job descriptions – Unable to finalise cases– Need training– Anti-corruption strategy needs to be

developed– No system to manage performance of unit– Overlap of functions with other units

IMPLEMENTATION OF BATHO PELE PRINCIPLES

• No consultation with customers about services and service standards

• Although standards have been developed – performance is not measured against these

• No targets were set for increasing access to services

• Courtesy standards are specified but performance is not measured

IMPLEMENTATION OF BATHO PELE PRINCIPLES

• Comprehensive information about services is provided

• The department does not have a formal mechanism in place for handling of complaints

• The department does not formally report to citizens, except through its annual report

• The department does not have a productivity improvement programme and does not measure productivity

MAIN RECOMMENDATIONS

• IMPLEMENTATION OF DEPARTMENT’S OWN POLICY PRIORITIES TO – Develop streamlined, user friendly,

effective guidelines and procedures for support services

– Communicate with all staff regarding availability, distribution, control and maintenance of support infrastructure and services

MAIN RECOMMENDATIONS

• ANTI-CORRUPTION UNIT AND LINKED COMPONENTS– clear job descriptions– training programme– components should be restructured– functions of component should be re-

strategised

MAIN RECOMMENDATIONS

• Fundamental re-engineering of all business processes

• Design and implementation of a performance management system

THE PASTTHE PAST1997

President’s ReviewCommission Report

1998Transformation

Policy Framework

1999/00Public Service Comm

Batho- Pele Compliance

1997President’s ReviewCommission Report

1998Transformation

Policy Framework

1999/00Public Service Comm

Batho- Pele Audit

2000Project Tiro Analysis:Ext & I nt Environment

2000DG’s Focus Teams

Analysis - Main I ssues

J an 2001Preparation

J an 2001 OnDHA Strategic

Planning

J an 2001Preparation

J an 2001DHA Strategic

Planning

UNIFIED STRATEGIC PLANFOR TRANSFORMATION

STRATEGICPLANNINGCORRIDOR

1998- 2000Ad- Hoc Systems

Projects

THE PRESENT

THE FUTURE

Project Tiro: Context

Project Tiro: Mandate & Work Process

• Mapping of current state to serve as baseline for improvement

• Diagnostic by Tiro to feed into strategic planning by DHA management

• Project partnership - DHA, DPSA, OPSC, SAMDI, SITA & consultants

• Participative approach

I NTERNAL ANALYSI SI NTERNAL ANALYSI S

EXTERNAL ENVI RONMENT ANALYSI SEXTERNAL ENVI RONMENT ANALYSI S

I nfo Tech

Audit

Finance

Audit

Human Res

Audit

I nfo Tech

Audit

Finance

Audit

Human Res

Audit

Macro- Environment Audit

Customers

Audit

Stakeholder

Audit

Macro- Environment Audit

Customers

Audit

Stakeholder

Audit

OUTCOME:I NTEGRATED DI AGNOSTI C REPORT

(I NPUT I NTO STRATEGI C PLANNI NG)

OUTCOME:I NTEGRATED DI AGNOSTI C REPORT

(I NPUT I NTO STRATEGI C PLANNI NG)

Processes

Audit

Department Overview (Mandate, Structure, Policy, I nitiatives)

Processes

Audit

Department Overview (Mandate, Structure, Policy, I nitiatives)

Project Tiro: Work Components

StakeholderFocus

ResourceManagement

PeopleManagement

Policy &Strategy

CustomerSatisfaction

Supplier &PartnershipPerformance

PeopleSatisfaction

Impact onSociety

Lead

ersh

ip

Proc

esse

s &

Str

uctu

re

Bus

ines

s R

esul

ts

ENABLERS RESULTS

InfoManagement

Technology(IT/IS/Telecom)

Project Tiro: Business Analysis & Modelling Methodology

Project Tiro: Key Focus Areas for Change

Leadership & Management Development

• Collective leadership style• Ongoing strategic & performance

management• Management of key stakeholder relationships• Process & systems management• Information management

Strategic planning & business planning

• Principle: “structure follows process follows strategy”

• Structured, regular planning process• Single coherent change strategy• Regular audits of external environment• Envisaged changes to migrations & civic

service functions built into DHA strategic plan

Business process redesign• Redefine service approaches to serve

customer requirements• Redefine processes & functions to get closer

to stakeholders through -– decentralisation of functions– increasing agency responsibilities– empowering service users

• Guiding principles for (re)design

Structural redesign & transformation

• Differentiate services• Improve customer contact coverage• Rationalise non-core functions & services• Refocus & resource co-ordination structures• Develop new stakeholder relations

Information Systems, technology & telecommunications plans

• Integrated Master Systems Plan• Modernised real-time relational database• Align/ re-develop systems for process

requirements (automation)& extend telecom reach

• Establish a set of standards at business, process & technical levels to ensure standardisation

• Management Information System

Human Resources Planning & Development• Scientifically determine & manage optimal

establishment• Ensure consistent job grades• Establish appropriate delegation levels• Retrain staff at all offices for implementation

of new processes & systems• Comprehensive, interactive & standardised

in-house training courses• User manuals

Results and Outcomes

Strategic Planning• Strategic management approach introduced,

providing organisation-wide focus, comprehensive and ongoing planning

• Outcome of this approach is finalisation of first departmental strategic plan linking with key government policies and programmes (e.g PFM Act and the IIP)

Results and Outcomes

Restructuring

• Inspection Unit and Anti Corruption Unit merged into one business unit reporting to Director: Ethical Conduct

Results and Outcomes

Service Delivery• Standards for internal processes developed while

standards for services are also being reviewed (by end June)

• Drive towards service excellence listed as central goal in departmental strategic plans

• In-depth financial reprioritisation exercise this year• Review and re-engineering of some business

processes has begun – e.g. passport section, where backlogs overcome and passports delivered within standard time of six weeks

Results and Outcomes

Service Delivery• Various initiatives to increase access to services

o Use of a geographic information system to relocate offices to reflect post-apartheid dispensation

o Negotiations with local and traditional authorities regarding the sharing of infrastructure has reached an advanced stage

o Production of a prototype container unit soon to start – will enable the department to establish service points in deep rural areas – even where no telephone lines or electricity

Results and Outcomes

Service Delivery• Border post process streamlined:

– Bulk traffic such as buses separated from ordinary traffic– Pedestrians separated from other traffic (Maseru Bridge)– Operational hours extended – in some instances on a 24

hour basis

• Department now measures performance against standards e.g. ID documents

Published standard for first issues is 6 – 8 weeks: when measured in 2000 it took 4 – 6 weeksPublished standard for re-issues is 4 – 6 weeks: when measured in 2000 it took between 2 – 4 weeks

Results and Outcomes

Human Resources• Department is establishing a training college to train

officials in all aspects of the department’s functions • Scientific determination of HR needs• Introduction of performance management system

directly linked to strategic planning process • Performance agreements based on the operational

plans of the various components being developed

Results and Outcomes

Office Resources• Investigation carried out in conjunction with

Department of Public Works on requirements for upgrading existing offices

• Corporate identity project launched to address visibility of Home Affairs offices especially in rural areas