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HOME AFFAIRS BATHO PELE AND MANAGEMENT AUDIT Public Service Commission (1999/2000)

HOME AFFAIRS BATHO PELE AND MANAGEMENT AUDIT Public Service Commission (1999/2000). Presentation to the Portfolio Committee on Home Affairs 20 June 2001. Presentation Outline. Overview and Introduction Results of PSC Audit (October 1999 – March 2000) Project Tiro (March 2000 – June 2001)

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HOME AFFAIRS BATHO PELE AND MANAGEMENT AUDIT Public Service Commission (1999/2000)

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  1. HOME AFFAIRS BATHO PELE AND MANAGEMENT AUDITPublic 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 • Use of a geographic information system to relocate offices to reflect post-apartheid dispensation • Negotiations with local and traditional authorities regarding the sharing of infrastructure has reached an advanced stage • 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

  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

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