1. HOME AFFAIRS BATHO PELE AND MANAGEMENT AUDIT Public Service Commission (1999/2000) Presentation to the Portfolio Committee on Home Affairs 20 June 2001

2. Presentation Outline Overview and Introduction Results of PSC Audit (October 1999 – March 2000) Project Tiro (March 2000 – June 2001) Overall Results and Outcomes

3. 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

4. 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

5. 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

6. MAIN FINDINGS OUTPUT PERFORMANCE –performance against published standards not measured rigorously –difficulties are experienced with the delivery of products within the set time frames

7. 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

8. 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

9. 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

10. 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

11. MAIN FINDINGS PERSONNEL PERFORMANCE MANAGEMENT –system to be developed –management’s performance not measured against performance contracts –30% of personnel assessments outstanding

12. 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

13. 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

14. 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

15. 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

16. MAIN RECOMMENDATIONS ANTI-CORRUPTION UNIT AND LINKED COMPONENTS –clear job descriptions –training programme –components should be restructured –functions of component should be re- strategised

17. MAIN RECOMMENDATIONS Fundamental re-engineering of all business processes Design and implementation of a performance management system

18. Project Tiro: Context

19. 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

20. Project Tiro: Work Components

21. Project Tiro: Business Analysis & Modelling Methodology

22. 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

23. 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

24. 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

25. Structural redesign & transformation Differentiate services Improve customer contact coverage Rationalise non-core functions & services Refocus & resource co-ordination structures Develop new stakeholder relations

26. 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

27. 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

28. 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)

29. Results and Outcomes Restructuring Inspection Unit and Anti Corruption Unit merged into one business unit reporting to Director: Ethical Conduct

30. 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

31. Results and Outcomes Service Delivery Various initiatives to increase access to services oUse of a geographic information system to relocate offices to reflect post-apartheid dispensation oNegotiations with local and traditional authorities regarding the sharing of infrastructure has reached an advanced stage oProduction 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

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

33. 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

34. 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