DEPARTMENT OF HOME AFFAIRS
TRANSFORMATION POLICY FRAMEWORK

EXECUTIVE SUMMARY
1. lntroduction:
Public Service transformation is an essential priority in the overall process of the fundamental transformation of the South African socio-political order. It is in this context that all Government agencies are required to formulate and implement a transformation policy with regard to their allocated functions. It is essential that this be done in a systematic and carefully planned manner. This document is intended to provide such a policy framework for the Department of Home Affairs.

2. Background:
The Department has embarked on a process of formulating and sanctioning an in-house transformation policy. Extensive consultation within the Department as well as with other stakeholders was undertaken in order to comply with the operating norms of participation and transparency. This process began in October 1996 when a circular was sent out requesting input from all staff pertaining to transformation priorities in the Department. The response was overwhelmingly positive and addressed a wide range of issues.

As a next step a Draft Transformation Document was prepared on the basis of the responses to the circular. This document served as a discussion and consultation agenda in the process of formulating a formal transformation policy for the Department.

Thirdly, the Special Programmes Unit of the Department ran a series of workshops on the basis of the Draft Transformation Document and in view of intensifying the momentum of the consultative process. At first a senior management workshop was held and since a series of workshops have been conducted with each of the Chief Directorates and in six regions. Staff from al ranks of the Department attended the workshops.

In order to formalise the democratic and interactive nature of the process, a departmental Transformation Unit was established which met for the first time on 17 April 1997. Regional Transformation Units have also recently been set up which will broaden active participation further and enhance staff ownership of the final product.

These actions and initiatives culminated in a final working document of the transformation policy which was an effort to, in a comprehensive, systematic and integrated way, determine customised policy and institute action to formalise, concretise and expedite transformation initiatives in the Department. The document was circulated throughout the Department for comments and recommendations. Indicative of the enthusiasm for this process are the wide ranging and constructive inputs received, stretching over the full spectrum from senior management to organised labour and from Head Office to remote sub-regional entities. In total eighteen submissions were received and have been duly taken account of in the finalisation of the policy.

3. A strategic policy management approach to transformation:
Viewed from a strategic perspective, the need for rapid and multi-dimensional transformation in the Department necessitates a sound, dynamic, pre-emptive and innovative policy management orientation and capacities as well as the establishment of effective service delivery systems. This implies a significant paradigm shift away from traditional administration and control to the management of development in a holistic planning and process context. Other fundamental strategic considerations that have to e taken into account are the high societal expectations with regard to the meaning and impact of transformation paired systematically with the inevitable limitations of optimal system capacity, be they financial, institutional, technical, symbolic, or otherwise and transpiring in the continuous prioritisation of needs; resource re-direction and capacity building to ensure increased performance and the production of wanted results; the on-going measurement of objectives and target achievement according to realistically set standards of professional excellence; and transparency, participation and accountability of the policy planning process in order to ensure legitimacy.

Strategic policy management in the context of transformation is therefore not a simplistic, isolated and occasional process. It is multi-functional and participatory, and requires institutionalised structures and procedures to drive, manage and maintain its momentum.

4. The policy context: Imperatives for change:
The context within which the Department of Home Affairs is planning, structuring and implementing transformation is firmly based on the principles, guidelines and prescriptions provided at the macro-political level. The need to function in tandem with the national strategic vision on transformation is self-evident and the Department's efforts should throughout be co-ordinated with such broader initiatives. Moreover, consultation and co-operation at an intergovernmental level is essential, not only to demonstrate coherence and consistency, but also learn from and contribute constructively to the national process. All relevant national transformation policy directives, and notably the White Paper on the Transformation of the Public Service (1995), have been consulted and provided the guidelines for the formulation of the departmental transformation policy.

The Department has, in line with the national policy directives, initiated an in-house transformation programme that has up to the present mainly focused on:
The formation of departmental Transformation Units;
The Service Delivery Improvement Plan 1997/8;
The Draft Green Paper on International Migration (May 1997); and
The Home Affairs National Identification System (HANIS).

Although these initiatives were primarily triggered by the dictates of immediacy management, undertaken on a more or less piecemeal basis, and mostly not substantially contextualised within the framework of a re-formulated vision and mission of the Department as well as scientifically accepted policy management models, they did pride a valuable basis for the formalisation and further development of the departmental transformation policy.

5. Vision and mission of a transformed Department of Home Affairs:
The fundamental contextually induced and policy based mineshaft underlying all dimensions of future departmental approaches and activities necessitate the reformulation of the vision and mission of the Department in line therewith and in order to ensure a focus on the requirements and demands of the new socio-political reality. This entails:
Vision:
The Department of Home Affairs is committed to the vision of the Government of South Africa to continually improve the lives of the people of the country through a transformed public service which is representative, coherent, transparent, efficient, effective, accountable and responsive to the needs of all. With regard to its internal policies, structures and functions the Department will endeavour at all times to promote this vision and transform it self to comply with the requirements thereof;

Mission:
The Department of Home Affairs will throughout direct its resources and capacities towards concretising its vision in order to fully become a democratic, human rights based and people centred and driven institution characterised by a clear developmental orientation and a professional ethos and work ethic. This challenge will be vigorously pursued and culminate in a representative workforce properly equipped through empowerment and capacity building to comply with set standards of service excellence and perform its assigned responsibilities in a planned, programmed, cost-effective. efficient, transparent and accountable manner.

6. A synopsis of guiding transformation policy principles:
Following from this reformulated vision and mission as well as the above reflection on he context in which the transformation of the Department has to be considered, planned and implemented, the following policy guidelines and principles can be deducted:
* The democratic, human rights-based, reconciliatory spirit and the need to redress past imbalances and injustices proclaimed in the Constitution of the RSA;
* A developmental orientation based on dynamism, creativity, initiative and action as opposed to a law and order mentality founded on rules rather than results;
* A succinct vision of the nature and purpose of departmental transformation;
* The setting of clear goals and time-programmed targets;
* The persistence of a professional ethos and work ethic;
* Organisational restructuring and institutional capacity building within the framework of the strategic change management approach;
* Ensuring participation, transparency and accountability with regard to the internal systems and procedures of the Department as well as its interaction with the public;
* The promotion of representativeness in terms of race, gender and disability with regard to staff composition;
* Service excellence transpiring in customer/client satisfaction.
* Regarding education, training and development as a key ingredient of departmental transformation and as an essential, ongoing and sustainable process of human and functional capacity building;
* The continuous verification of transformation successes through effective and reliable monitoring, evaluation and timeous corrective action; and
* Viewing transformation as an integral part of strategic policy management which requires dedicated institutionalised structures and procedures in order to ensure multi-functionality, effectiveness, participation and accountability.

7. The inherited situation:
In considering what has to be transformed in order to comply with the identified policy requirements in terms of the new vision and mission of the Department, existing reality as inherited from the previous dispensation inevitably has to be the point of departure. Definitive elements of the most appropriate agenda for planning, programming and prioritisation transformation should emerge from such an analysis. The following is especially of the essence in this regard:
· Historical parameters consisting of the values, methodologies, structures and characteristic of the pre-1994 South African socio-political order and deeply imbedded in the discredited apartheid ideology and its crude manifestations. Years of stagnation, fragmentation and over-regulation contributed substantially to the stifling of initiative and imaginativeness and has left us with a Public Service that has in many ways become an illegitimate, non-representative and ineffective end upon itself.

Apart from the general legacy of the apartheid state, the Department, due to its assigned functions, inherited a deep association and involvement with its day to day
manifestations. Harsh and discriminatory sanctions and practices experienced by the majority of the population and adversely affecting them over their full life span (ie race classification) were directly associated with the Department and created an image of faceless, discretionary and inhumane conduct;

· With regard to its functions, structure and composition the most pertinent inherited attribute is a workforce completely unrepresentative of the South African population. Despite recent affirmative action initiatives and significant progress in this regard, representativity in staff composition in terms of race, gender and disability, especially at the management level, still eludes the Department.

Rectifying the inherited baggage of the Department essentially entails the levelling of the historical and structural playing field before the effects of substantive organisational and performance-based transformation will be broadly noticed and appreciated.

8. Impediments to transformation:
Following from the above sketched inherited reality certain crucial factors impeding rapid transformational outcomes emerge. These are:
· The historical legacy as typified above but also entailing a centralised law-and-order culture not conducive to developmental dynamism, deeply engraved ideological presuppositions which inhibit adaptation to the new democratic and human rights based situation, as well as uncertainties and fear further perpetuating resistance to change;
· An expectation overload reflected in surging expectations regarding redressing the past and fulfilling present needs. It is not always appreciated that transformation is a process and not a simple cataclysmic event, and that progress and the production of meaningful results is continuously hampered by capacity impediments such as required time frames, limited resources and the more;
· The lack of a clear and well-communicated vision of change. The magnitude of the demands placed on key role-players by transformational needs necessitate immediacy management directed by the most pressing priorities. The need for ideological and personnel repositioning also inhibits the early crystallisation of a clear vision of change and its desired outcomes resulting in uncertainties, and even occasionally, the pursuit of sectarian and personal agendas; and
· The lack of co-ordination and penetration. The dispersed areas of operational activity of the Department, with specific reference to its Regional Offices, complicate
the establishment of a coherent, integrated functional unit in which policy, and especially the implementation thereof, is synchronised. Of particular concern is the provision of adequate services to marginalised communities, especially those in geographically remote locations where the need is often the greatest.

9. Transformation objectives and strategies:
Four key areas have been identified within which the implementation of the formulated transformation policy principles will substantially impact on the overall transformation process presently underway in the Department. They are:
· Human resources policy and practice. The effective mobilisation, development and utilisation of the human resources capacity in the Department is critical for the success of transformation. Accordingly, a coherent strategic framework with the purpose of developing an optimal fit between the needs of staff, job requirements, organisational structures, the environment and the citizenry, and focused on desired levels of performance and satisfaction as well as meeting departmental transformation goals, needs to be developed. The following dimensions need to be addressed in this context:
Representativeness and affirmative action. Although progress has been made since the introduction of affirmative action in the Department, representativeness, especially at the senior management level, is still lacking. Targets have, however, been set entailing that by the year 2000 60% of management should be Black and 30% of middle and senior management should be women. It is also intended that by the year 2005 at least 2% of staff should be people with disabilities. In ensuring that affirmative action policy is effectively applied throughout the Department, the unique conditions at regional level should also be taken into account. This pertains especially to regional demographic profiles, which could substantially differ, and should be built into the equation.

Although senior management as well as all line function entities have individual and specific responsibilities with regard to the implementation of affirmative action policy, a need for ongoing co-ordination and strategic evaluation exists. The Special Programmes Unit has been tasked with this responsibility. Of special note is also the creation of a gender desk in the Special Programmes Unit of which the functions are to promote the representativity of women at all levels as well as an environment conducive to the advancement of women;

Re-orientation, motivation, commitment and a professional service ethos.
Progress with and support for affirmative action is largely dependent on a positive
orientation towards it. The above clearly necessitates that the Department's policy should be clear and well communicated, should be practically strategised for and transpire in a comprehensive and concrete action plan in order to muster enthusiasm for and commitment to affirmative action policies and strategies.

Morale building is essential in creating a performance oriented and dedicated personnel corps. All staff should accept shared ownership of the stated vision and mission of the Department. The recently published new Code of Conduct for Public Servants should truly reflect the operative principles of task fulfilment. Aspects that are of particular note are: the re-orientation of inherited staff to finally shed the remnants of past inadequacies and embrace the values, policies and practices inherent of transformation; the creation of a new culture which is respectful of diversity and team co-operation, and directed towards enhancing self-worth and personal empowerment; the institutionalisation of a professional ethos and work ethic; and the enabling and empowerment of staff to live up to these high expectations and personal demands;

Recruitment, qualifications and promotion. Within the framework of established Public Service requirements the introduction of new recruitment and promotion procedures based on non-discriminatory criteria of competency and performance rather than on formal qualifications and traditionally valued forms of experience is of the essence. This includes dimensions such as open competition, selection on merit, skills searches (head-hunting) where required, appropriate entry requirements and a promotion policy based on merit, performance and commitment;

Appraisal and evaluation systems and norms. The introduction of effective appraisal systems, based on sound performance norms, is a key human resources management tool. Performance management is an ongoing process in which the employee and employer together strive constantly to improve the employee's individual performance and his/her contribution to the wider objectives of the Department;

Career pathing. A system is required whereby the career aspirations of individual employees are reconciled with the operational objectives of the Department and opportunities for self-development and advancement are provided in line herewith;

Education, training and development An integral part of the human resources development policy of the Department is to provide optimal opportunity for entitlement and empowerment to all staff in order to maximise their capacity to fulfil their functions but also to realise their human potential. In this regard it is
essential to ensure that education, training and development is an ongoing and sustained dynamic process of human and functional capacity building spanning the full spectrum of staff levels. This entails that existing capacities within and outside the Department be adapted and supplemented to meet transformation objectives; realistic norms and standards for outputs be set; the structuring, location and management of this function reflect its priority status; an in-service training focus coupled with opportunities for self-advancement; practical and goal oriented programmes; and sufficient participation and transparency;

Labour relations. The Department recognises the importance of sound labour relations with its employees and is committed to work with employee organisations towards a model of collective bargaining based on effective negotiating structures and practices. The Labour Relations Act 1995 (Act 66 of 1995) and particularly the sections thereof which specifically apply to the public sector (Schedule 7D) constitutes the principled framework for all interaction between management and employees of the Department. The Department is at present reviewing its labour relations policies and practices in terms of these statutory requirements as well as relevant decisions and guidelines emanating from national and sectoral bargaining structures;

Job creation. In line with Government policy with regard to job creation the Department also accepts its responsibility in this field and has initiated a job creation project directed towards the unemployed. The seriousness with which the Department views its responsibility in this regard is revealed in the fact that of the 253 new appointments effected during the period 1 April 1997 to 31 July 1997, 160 (63% of newly recruited staff) were previously unemployed. The racial patterning in this regard was 139 Black, 12 Coloured, 1 Indian and 8 Whites;

· Institutional adjustment and capacity building. The approach followed by the Department with regard to institutional restructuring and development is pro-active, coherent and visionary. It recognises and addresses problems, but also exploits opportunities and builds upon existing strengths. In line with the White Paper on the Transformation of the Public Service, 1995 (Chapter 2.4) this is done in the
context of the Strategic Change Management Approach and focuses in particular on the need for new forms of managerial leadership, the devolution of decision-making power, the democratisation of internal work procedures and the incorporation of civil society bodies into the governance process. This approach is human centred, thus, whilst not disregarding the importance of institutional forms (structures, organisations and systems), regards the people/employee dimension (values, morale, motivation, aspirations and fear) as equally important;

In practical terms this entails that institutional adjustment should result in concretising the policy principles guiding departmental transformation outlined above. In order to meet the demands dictated by these policy principles, structural as well as functional adjustment should comply with output-related performance, accountability and responsiveness, as well as cost-effectiveness and organisational efficiency;

Rationalisation and outsourcing The purpose of rationalisation is to, on the one hand, restructure the Department in terms of the parameters dictated by the new socio-political order and, on the other hand, to maximise productivity in terms of functional outputs. With regard to all rationalisation and outsourcing initiatives, the applicable negotiation processes prescribed by the Labour Relations Act, 1995 (Act 66 of 1995) will throughout be followed. Of the essence in this regard are the following:

The establishment of an appropriate pool of functions that logically and according to national priorities, as determined by the Government and the Department of Public Service and Administration, should resort within the activity sphere of the Department. From a departmental perspective its core functions are regarded as those that fall within the ambit of citizenship, naturalisation and immigration matters. These are seen as so comprehensive and functionally demanding that the Department should only be tasked therewith. The restructuring and relocation of other functions that are presently handled by the Department, notably the Government Printer and Publications Control, should therefore seriously be considered. Re-naming the Department in order to reflect its core functions more adequately to the Department of Citizenship and Immigration Services (DCIS) is proposed;

The re-organization of departmental structures in line with the functional requirements established in terms of the above process. The implementation of the most efficient organisational mechanisms to deliver the right service entails the streamlining of internal operations in view of reducing costs and eliminating unnecessary activities and procedures, consolidating and rationalising structures in order to eliminate unnecessary duplication and obsolesce in roles, and the flattening of hierarchical structures to expedite decision-making. The critical objective in this process is the improvement of productivity. This demands that the Organisation and Work Study Section be realigned with the requirements of the new vision and mission of the Department and maintain an effective capacity for strategic organisational Intervention and nurturing future service excellence within the context of the productivity equation;

Since 1994 the process of unifying and integrating the Department, especially pertaining to the former TBVC and National State structures, functions and staff, has been a particular priority, and has almost been finalised;

A comprehensive review of personnel requirements and staffing structures in order to realign them with output requirements. Based on this review, new staffing levels and job descriptions will be introduced. In line with the Government policy of creating a leaner and more cost-effective Public Service, rightsizing all sections and units throughout the Department is of special consideration;

The contracting-out of certain services in order to enhance cost-effectiveness and efficiency. A careful and financially scientific investigation into such possibilities will be conducted. Methodologies for constructively implementing affirmative procurement and thereby affording a wider range of suppliers (including small business) opportunities to render their products and services to the Department are a priority;

Regionalisation, devolution and co-ordination. Affecting an effective countrywide spread and customisation according to localised needs can better disseminate services. Regional entities are primarily structured according to provincial boundaries although other factors such as population concentration (i.e. the Witwatersrand in Gauteng) and specific localised needs (i.e. language profile) are pertinent factors in regional refinement;

Building capacity to adequately service marginalised communities. Apart from the intrinsic quality of services their accessibility to the population at large is a crucial factor in performance appraisal. The need is often highest iii geographically remote rural areas and urban marginalised communities. Although cost implications have to be considered, special arrangements should be made to create acceptable service levels in these areas/communities;

Intergovernmental co-ordination and co-operation. In order to ensure effective and efficient government and the optimum allocation of scarce resources, structures and systems of intergovernmental relations enabling joint decision-making, co-operation, consultation, co-ordination, implementation and advice within and between the three tiers of Government are inevitable;

Statutory adjustment It is self evident that existing acts and regulations pertaining to the functioning of the Department are amended in line with the requirements of the new South African Constitution, 1996 (Act ~08 of 1996 as amended) as well as the values and principles on which the present socio-political order is based. If
required, new statutory instruments should be developed. The legislative programme of the Department should therefore also reflect the transformation imperative embodied in this policy document;

Following an in depth analysis and evaluation of the functionality of present institutional arrangements in the light of the above considerations and the urgency of institutional adjustment, a separate report and proposals regarding the organisational restructuring of the Department was prepared. The Director-General announced these envisaged structural adjustments on 5 December 1997 and 1 April 1998 has been set as the target date for implementation. (See Annexure I: The Department of Home Affairs in the new millennium: Organisational restructuring for
transformation and service excellence);

· Communication and marketing strategy. Being a public institution and standing in the service of the total South African population, the Department's relationship and interaction with the citizenry at large as well as, because of its line function, foreign visitors and sojourners, is not only crucially important but requires a definite policy, structures and procedures which ensure accessibility, transparency and amenity. Moreover, the Department should position itself as an enabling agency, empowering civil society to become its true guardian, course setter and evaluator. Departmental transformation structures and mechanisms should indeed facilitate this relationship. The following is of the essence in this regard:

Effectively projecting the new image of the Department to the public which entails the restoration of legitimacy to the Department and necessitates the development of an effective communication strategy and plan as well as the procurement of sufficient resources in order to benchmark the Department in terms of its new vision and mission;

Revitalising the communication section and accepting that a modern, professional and result-oriented communication capacity is essential in achieving the transformation objects of the Department;

Key communication functions to be addressed are: the identification of communication needs; identification and prioritisation of communication mediums; time-framing of communication dissemination; and evaluation of communication impact and success;

Customer care procedures and practice projecting the desired image of service excellence to the public is of the essence and includes aspects such as front desk appearance, customer friendly conduct, handling of enquiries and complaints, user
friendly forms and customer facilities at service points (i.e. counters equipped with pens, etc., adequate seating, toilets, general neatness and tidiness); and

Language policy and practice in line with the requirements of the Constitution and general Government policy and entailing that:

All official correspondence within and from the Department be in English;

All departmental forms and documents be in English unless printed in all eleven official languages (except for internationally used documents such as passports in which foreign languages (i.e. French/Spanish/Swahili) can, according to need, be included);

Within the framework of the above, sensitivities with regard to language, as well as comprehension of content, should be taken into account. This inter alia entails that region specific language demographics can necessitate the inclusion of additional languages in customised regional forms and documents;

· Service delivery policy. The Department's transformation efforts will, due to its service orientation, ultimately be judged in terms of customer/client satisfaction which in turn will be based on the level of services provided. Of particular relevance here is the following:

The need for service excellence. Service excellence entails the best possible service to the general public at the lowest possible cost to the taxpayers. Due to many factors the inherited situation in the Department does not substantially reflect this object. This poses major challenges to management and all staff. Benchmarking the Department as an affordable, efficient and effective, innovative, citizen/client focused and accountable service provider necessitates it to be at the cutting edge of public sector management;

Service delivery improvement Because of limited resources and other crucial factors compliance with the dictates of service excellence cannot be achieved overnight. This necessitates a phased approach encompassing prioritisation of needs and programmed planning. Of particular importance is also the maintenance of achieved standards and the prevention of backsliding. The first Service Delivery Improvement Plan of the Department addresses these issues;

Financial management systems. All activities are conducted in a milieu of serious financial constraints. The implications of the transformation policies elaborated in this document will incur inevitable financial costs. Detailed costing of all programmes will therefore have to be undertaken as part of the strategic planning
and implementation process. Once the costs of programmes have been calculated, resourcing thereof has to be considered. It is accepted that the bulk of transformation related costs will have to be absorbed within the existing departmental budget, particularly through the re-prioritisation of expenditure and the achievement of efficiency savings. Limited external funding (foreign and private sector), particularly in relation to human resources development and affirmative action will be secured and a clear policy with regard to realistic user fees will be established;

Information technology. Efficiency and cost-effectiveness can be substantially enhanced by the optimal use of up to date technotronic equipment and systems. Appropriate information technology procurement is crucial in this regard and it is therefore imperative that sound strategies be developed;

Support services. Optimal line function activity is closely related to the sufficient, timeous and efficient rendering of support services covering diverse aspects such as provisioning, maintenance and security. An adequate working environment and access to support infrastructure and services is conducive to job performance and satisfaction.

As the provision of such services is prone to corruption (i.e. "kick-backs" on purchasing), effective control measures and procedures are essential. In the past these have, however, often culminated in endless "red tape" merely inhibiting line function efficiency, and not effectively curtailing corruption. The development of streamlined and user friendly, yet effective, guidelines and procedures; motivation and appropriate training of staff; effective monitoring systems; and proper communication are essential in this regard;

Corruption and fraud free provision of services. A hallmark of the professional service ethos advocated to guide and underlie all departmental activity, is ensuring clean and fair management and administration devoid of corruption and favoritism. The newly formulated Code of Conduct applicable to the Public Service provides the bahavioural norms and standards expected of departmental staff. The following aspects are crucial in this regard:

* The establishment of a strong morale and sense of mission and purpose among staff constitutes the most appropriate approach to promote greater honesty, integrity and efficiency throughout the Department;

* Effective deterrents as well as means to bring culprits to justice are a requirement. This in particular necessitates the strengthening of the capacity of the Investigations Section of the Department in order to timeously detect incidences of corruption and fraud related conduct and provide reliable and substantive evidence for punitive and correctional action;

Bribery and corruption are often by-products of poor service delivery.
Pure desperation might sometimes tempt members of the public to offer bribes solely to get things done within a shorter time frame, or even, getting them done at all. In this regard unnecessary, arbitrary and time-consuming procedures further induce corrupt behaviour. It is therefore envisaged that the implementation of the Service Delivery Improvement Plan will produce the additional spin-off of significantly reducing possibilities for corruption;

The transparency principle embodied in Government policy enables continuous public scrutinisation of staff conduct, which will inevitably result in misconduct receiving adverse publicity. Although this might at times conflict with public relations initiatives of the Department, it will nurture a culture of accountability, which in the end will become a powerful tool to motivate impeccable conduct and discourage misbehaviour;

Measurement and evaluation. Whereas the mentioned first Service Delivery Improvement Plan focuses heavily on the shortening of required time frames for the production of outputs (mainly because of public expectations in this regard), it is accepted that service excellence levels should eventually be determined on a balanced scorecard of time, cost, quality, impact and citizen/client empowerment and satisfaction. Precise but realistic tools should therefore be developed for the measurement thereof.


10. CONCLUSION: TOWARDS A STRATEGIC MANAGEMENT APPROACH TO TRANSFORMATION:

POLICY
this policy framework serves as a key basis document in the process of transformation policy formulation that was undertaken in the Department of Home Affairs during the last year. It endeavours to formalise policy related issues and prospects within the context of national transformation imperatives as well as Governmental and societal expectations with regard to the Department's purpose and functions, and is contextualised within the reality of a historical inheritance in which crucial impediments and opportunities to successful change are embedded.

In line with accepted and authoritative models and approaches, strategic policy management in the context of transformation is not viewed as a simplistic, isolated and occasional process It is ongoing, multi-functional, multi-levelled, integrated and participatory. In this regard it is therefore accepted that:

· Because transformation is not a simplistic cataclysmic event, strategic policy management requires ongoing and sustained attention, re-formulating and reevaluating policy options in the light of their continued applicability in ever changing circumstances. This is therefore not a static policy framework but will only remain relevant if it is flexible enough to accommodate the dynamism inherent in the policy process;

· Because transformation is an inclusive process that cross-cuts all hierarchical and functional categories it requires a type of policy management structurally well positioned to undertake change interventions at all levels of the Department and applying to the Department as a whole, individual functional entities as well as the various points of policy interfaces such as between political leadership and management, between management and service delivery points, civil society, and the more. Especially critical in this regard is unfiltered information access and authoritative sanctioning of policy decisions;

· Because of the process nature of policy management, transformation initiatives transpire individually as well as jointly in all dimensions of the policy cycle of policy initiation, design, analysis, formulation, dialogue, mandating, implementation, strategising, monitoring and evaluation. This requires a professional, multi-disciplinary and adequately resourced lateral policy management capacity catering for each specialised policy dimension as well as their integration;

· Because of the sequential nature of the policy process as well as the scope and magnitude of every individual policy phase, it was imperative that the present focus be on the design, analysis and formulation dimensions, though throughout firmly tissued in ongoing policy dialogue. Of the essence now is the operationalisation of transformation policy planning within all hierarchical, functional and geographic units of the Department. This entails the aligning and re-aligning of the objectives, outputs and activities of all the various components of the Department in line with transformational requirements. In practical terms this operationalisation requires:

* The systematic co-ordination and synchronisation of all transformation efforts and the setting of a precise transformation agenda;

* The development of detailed sectoral action plans for the implementation of transformation policy at al levels;

* The realisation of desired outputs concretised in products and services; and

* The development of realistic and measurable key performance indicators (KPI's) to ensure meaningful evaluation.

Again, this will not merely happen and the implementational intricacies involved further underline the need for a specialised capacity in this regard.

The indispensable need for dedicated structures and procedures to guide, manage and monitor the transformation policy process, as well as the development of a strategic management culture, transpires from the above. The question now arises as to the structure and location of such a policy capacity.

Shortly after the April 1994 general election Strategic Management Teams (SMT's) w re created in Government Departments in order to conduct the immediacy crisis management requirements of essential and high priority transformation. Although SMT's contributed substantially to rapid change, especially at the symbolic and macro-policy level as well as the realignment of senior public management with the n 'w political environment, their inevitable focus on immediacy (crisis) management Iimited their capacity to institutionalise a strategic management orientation in all cadres and at all levels of the state bureaucracy. Their purpose fulfilled, SMT's were consequently disbanded at the end of 1995 in accordance with directives of the Public Service Commission (PSC). This was also the case in the Department of Home Affairs.

Furthermore, the White Paper on the Transformation of the Public Service, 1995 (section 6.2.2) provides for a Public Service Transformation Forum at the national and intergovernmental level. At a departmental level this Forum is mirrored in Departmental Transformation Units as provided for in Section 6.2.3. As indicated he Home Affairs Transformation Unit is operative and has recently extended its activities to the regional and sub-regional spheres. These structures serve a crucial consultative, monitoring and participative function involving all stakeholders. They are, however, institutionally and technically not equipped to manage the overall :transformation policy management process as outlined above, and should, as a matter of fact, not be burdened with this added responsibility.

Transformation policy management presently mainly rests with the Special Programmes Unit of the Department. Although embryonic and small, this Unit has developed some capacity to holistically and in a multi-functional way address policy related issues. Adding further professional capacity and policy management know-how to the Unit could substantially enhance its role in this regard. Of concern, however, is whether the other functions of the Unit of promptly handling urgent, ad hoc and functionally unspecific matters, are compatible with the ongoing, systematic and intrinsic demands of policy management. Special care will therefore have to b( taken not to slide from a strategic focus into an immediacy (crisis) management mode. In order to be legitimate and authoritative, primary responsibility for the professional multi-disciplinary policy management function should also be situated a the top executive level (the Office of the Director-General). The proper location o; the function is crucial in enabling it to guide, facilitate and administer the full strategic planning and management process cycle, cross-cut hierarchical and functional divides, maintain a holistic and multi-functional outlook, and oversee progress with regard to implementation as described above. Taking into account the importance of transformation policy management in terms of Governmental objectives, the establishment of a dedicated Strategic Policy Management and Planning Unit within the Office of the Director-General will therefore have to be considered carefully.

The Department of Home Affairs is committed to play its full role in the overall process of the fundamental transformation of the South African socio-political order. This obligates a two two-folded commitment. On the one hand, the Department has to transform itself in order to reflect the image and profile of a Government institution that is part and parcel of the new dispensation. On the other hand, the Department must, through the nature and content of its service provision to the citizenry, make a substantive contribution to the reshaping of South African reality in line with the values and norms that underlie the transformation process. The achievement of good governance in all its dimensions and manifestations is the principal goal of transformation policy management in the Department of Home Affairs.

END OF EXECUTIVE SUMMARY

DEPAR TMENT OF HOME AFFAIRS
TRANSFORMATION POLICY FRAMEWORK
1. Introduction:
Public Service transformation is an essential priority in the overall process of the fundamental transformation of the South African socio-political order. It is in this context that all Government agencies are required to formulate and implement a transformation policy with regard to their allocated functions. It is essential that this be done in a systematic and carefully planned manner. This document is intended to provide such a policy framework for the Department of Home Affairs.

The Department has embarked on a process of formulating and sanctioning an in-house transformation policy. Extensive consultation within the Department as well as with other stakeholders was undertaken in order to comply with the operating norms of participation and transparency. The policy formulation process also took place within the context of all relevant Government policy directives. Especially the White Paper on the Transformation of the Public Service (1995) served as a fundamental guideline in this endeavour. It was furthermore accepted that all transformation initiatives were contextualised within a specific inheritance transpiring in crucial impediments and opportunities for successful change. Taking into account these varied circumstances, national policy directives as well as societal expectations and needs, guiding policy principles could be formulated on the basis of which a vision and mission for a transformed Department of Home Affairs could be established.

Following from the above, transformation policy could be concretised in terms of specific objects and strategies with regard to the key functional activity spheres of human resources management, institutional adjustment and capacity building, communication and marketing, and service delivery.

It s intended that management as well as all sections of the Department and individually, will within the framework of this transformation policy, produce practical and workable, yet innovative and creative, action plans in order to operationalise these policy requirements functionally as well as geographically throughout the Department.

The policy process is by virtue of its nature highly dynamic and it is therefore imperative that continuous monitoring, evaluation and reassessment take place. This should transpire in the strengthening of policy output capacities, and if necessary, policy redesign.

2. A strategic policy management approach to transformation:
It is evident that fundamental transformation of the South African socio-political order is not a once-off event but an ongoing process involving the permeation of society with new values as well as policy and institutional requirements. It inter alia entails redirecting the course of all government departments and agencies to a focus reflective of the requirements of the new order. In a strategic context, this need for rapid and multi-dimensional change necessitates a sound, dynamic, preemptive and innovative policy management orientation and capacities as well as the establishment of effective service delivery systems. This implies a significant paradigm shift away from traditional administration and control to the management of development in a holistic planning and process context.

Societal expectations with regard to the meaning and impact of transformation are high. The inevitable limitations of optimal system capacity, be they financial, institutional, technical, symbolic, or otherwise have to be continuously paired with unendingly rising demands for the hasty delivery of tangible policy outcomes, concretised over the full spectrum of government activity and experienced down to the remotest grassroots level.

Viewed from a policy management perspective, this intricate relationship between available capacities/resources and expectations requires ongoing choice making between desired alternatives. Thus, prioritisation of needs and systematic ways of determining options become crucial activities of transformation management.

Furthermore, resource re-direction and capacity building are pivotal policy instruments to ensure increased performance and the production of wanted results. Of the essence in this realm is empowerment and human resources development through education and training as well as rationalisation by promoting efficiency and "rightsizing" staff compliments.

Transformation management should be performance oriented. This requires, not only adequate and reliable information systems, but also ongoing measurement audits of objective and target achievement. Realistic standards of professional excellence should be set, not only as a measurement norm, but also as a gauge for required resources and capacities.

Strategically the transparency, participation and accountability of the policy process are of primary importance. In order to ensure legitimacy, transformation management should facilitate and ensure direct co-choice and co-decision making capacities among all stakeholders. Appropriate structures and clear methodologies for the meaningful involvement of stakeholders should be established and empowered.

Strategic policy management in the context of transformation is therefore not a simplistic, isolated and occasional process. It is ongoing, multi-functional, multilevelled, integrated and participatory, and requires institutionalised structures and procedures to be successful. In order to be legitimate and authoritative, responsibility for the policy management function should be situated at the top executive level (the Director-General) and supported by a professional multidisciplinary capacity in the form of a specialist strategic unit. The purpose of such a unit would be to guide, facilitate and administer the full strategic planning and management process cycle of policy initiation, process design, policy analysis and formulation, policy dialogue and mandating, policy implementation strategizing, as well as monitoring and evaluation.

The strategic policy management approach, described above, constitutes the most appropriate tool through which the Department of Home Affairs is tackling the challenges of transformation, and is indicative of the Department's commitment to producing timeous and tangible results in this regard.

3. The policy context: Imperatives for change:
3.1 National policy initiatives:
The context within which the Department of Home Affairs is planning, structuring and implementing transformation is firmly based on the principles, guidelines and prescriptions provided at the macro-political level. The need to function in tandem with the national strategic vision on transformation is self-evident and the Department's efforts should throughout be co-ordinated with such broader initiatives. Moreover, consultation and co-operation at an intergovernmental level is essential, not only to demonstrate coherence and consistency, but also learn from and contribute constructively to the national process.

The following are crucial policy statements providing fundamental policy imperatives for transformation in the Department of Home Affairs and are regarded as directional guidelines for the Department's internal process:
3.1.1 Constitutional values and principles governing public administration (Chapter 10 of the Constitution, 1996 (Act 108 of 1996)):
· The promotion and maintenance of a high standard of professional ethics;
· The promotion of and effective use of efficient, economic resources;
· A development orientation;
· Service must be provided impartially, fairly, equitably and without bias;
· Responsiveness to the needs of the people;
· Public Service participation in policy-making;
· Accountability;
· Transparence fostered through providing the public with timely, accessible and accurate information;
· Good human resource management and career development practices cultivated in order to maximise human potential;
· Broad representativeness of all South African people;
· Employment and personnel management practices based on ability, objectivity, fairness and the need to redress the imbalances of the past to achieve broad representation;

3.1.2 The White Paper on the Transformation of the Public Service (November 1995):
The White Paper is aimed at establishing a Public Service that is:
· Representative, coherent, transparent, efficient, accountable and responsive to the needs of all;
· Committed to the provision of services of an excellent quality to all South Africans in an unbiased and impartial manner;
· Maintains fair labour practices for all public service workers irrespective of race, gender, disability or class;
· Committed to the effective training and career development of all staff;
· Goal and performance oriented, efficient and cost effective;
· Integrated, co-ordinated and decentralised;
· Open to popular participation, transparent, honest and accountable; and
· Respectful of the Rule of Law, faithful to the Constitution and loyal to the Government of the day;

3.1.3
The White Paper on Reconstruction and Development (November 1994):
· The RDP sets out a vision for the fundamental transformation of South Africa and aims to rebuild a Public Service which is the servant of the people, accessible, transparent, accountable, efficient, free of corruption and providing excellent quality of service;
· The RDP makes it mandatory for all Public Service Departments to undertake reviews in order to discontinue policies, programmes and practices that are in conflict with the letter and spirit of reconstruction and development and the Constitution;
· The RDP requires that Departments establish pro-active and sensible programmes to remove all practices based on racism, gender, inequality and other forms of inequalities or discrimination;
· The RDP further prescribes that a comprehensive programme for disabled persons be instituted to enhance their mobility in the society and remove discriminatory practices against them, especially in the workplace;

3.1.4
The Integrated National Disability Strategy of the Government (Government Gazette, 14 March 1997):
This document, which provides a comprehensive and integrated strategy to address the status and needs of disabled persons:
· Stipulates that disability is a human rights and development issue which cuts across the responsibilities of a wide range of Government Departments;
· The Public Service falls under heavy criticism for the health requirements which probe into a variety of disabilities both past and present for purposes of permanent appointment;
· The strategy serves as an effective vehicle for the integration of disability issues into employment policies and programmes;
· It calls for a radical shift from the welfarism approach which denied the disabled access to opportunities, to the creation of national machinery to promote the disabled's full participation in society;
· The strategy advocates the implementation of action planning which include measures to design and adapt workplace and work-premises to make them accessible for disabled persons support for the provisioning and use of technology and equipment in order to facilitate disabled persons in gaining and maintaining employment and the provisioning of training and support to disabled employees such as personal assistance in interpretation services;

3.1.5 The Open Democracy Bill of 1996:
The purpose of this Bill is to promote open and accountable administration at all levels of Government by:
· Regulating the right of the public to have access to records of Government bodies including Departments;


3.1.6 The Green Paper on a new Employment and Occupational Equity State (November 1995):
Fundamental issues addressed by this Green Paper are the:
· Eradication of unfair discrimination of any kind in the hiring, promotion and retrenchment of persons;
· Development of measures to encourage employers to undertake organisational transformation to remove unjustified barriers to employment for all persons and to accelerate the training and promotion of individuals from historically disadvantaged groups;
· Development of measures to effecting employment equity. Employers will be called upon to develop employment equity plans to achieve and maintain a representative Public Service and the Department of Labour will issue monitoring mechanisms for the execution of such plans;
· Acceptance of informal head-hunting for qualified applicants from historically disadvantaged groups in conjunction with advertising to as wide a group as possible;
· Defining selection criteria as far as possible in terms of skills rather than educational requirements. In instances where persons from historically disadvantage groups are underrepresented, seniority may be a discriminatory criterion;
· Conducting the screening of applicants, where possible, with the assistance of representative selection committees;


3.1.7 The Green Paper on a New Law for a New Public Service:
Policy Proposal for a New Public Service Statute
(December 1996):
This Green Paper makes proposals and discusses options for the development of new Public Service legislation to:
· Give effect to the values and principles reflected in the Constitution and to enable the continued transformation of the Public Service;
· Acknowledging that the laws which currently regulate the operation of the Public Service reflect outdated and discredited notions of the operations and functioning of Government and are obstacles to reform and transformation;
· Argues that these laws are not consistent with the Constitution and that the provisions of the Public Service Act which regulate employment within the Public Service also conflict with the major changes that have taken place in the Labour Laws which also regulate employment in the Public Service;
· Proposes legislative changes with two central themes, namely:
Replacing the excessive centralism of the current system of Public Administration with an approach that permits maximum departmental autonomy and managerial responsibility within a coherent national Public Service; and
Replacing the existing rule bound culture of work with one that is goal oriented and promotes efficiency, development and the effective delivery of services;

3.1.8 White Paper on Public Service Training and Education (July 1997):
This White Paper:
· Aims to establish a clear vision and policy framework to guide the introduction and implementation of new policies, procedures and legislation in view of transforming Public Service training and education into a dynamic, needs-based and pro-active instrument, capable of playing an integral and strategic part in the processes of building a new Public Service;
· Anticipates a new system of Public Service training and education that will be:
Strategically linked to broader processes of transformation, institution building and human resources development within the Public Service;
Strategically planned and effectively resourced;
Based on the elevation of the importance and status of training the trainer;
Effectively organised, co-ordinated and accredited in ways which promote quality, accountability and cost-effectiveness;
Flexible and decentralised within national norms and standards;
Based on broad participation and involvement by all relevant stakeholders;
Capable of producing uniform outcomes through a multiplicity of accredited providers;
Capable of promoting access by all personnel to meaningful training and education opportunities;
Capable of promoting the empowerment of previously disadvantaged groups;
Capable of facilitating the development of effective career paths for all public servants;
Demand-led, needs-based and competency-based;
Capable of promoting positive learning outcomes which add value to individual and organisational capacity;
· Recommends a number of important innovations and changes in the direction, management and operation of the current system of training and education which are consistent with, amongst other things, the Constitution;

3.1.9
White Paper on Public Service Training and Education Implementation Programme (August 1997):
This programme is intended to facilitate and co-ordinate efforts and processes of implementing the White Paper in a coherent and systematic way. It outlines a Project Planning Matrix containing six programme deliverables or results namely:

· Management support systems and capacity building strategies to implement public sector training and education successfully;
· An appropriate resources strategy for training and education;
· Establishment of a Public Sector Training and Education Organisation;
· Education, training and development of public servants coordinated, and accredited through appropriate institutions;
· An appropriate and effective communications strategy for promoting and support of training and education;
· Monitoring and evaluation systems established and functioning;

3.2 Departmental policy initiatives:
In line with the national policy directives, discussed above (see 3.1), the Department initiated an own programme in order to give effect to in-house transformation. In view of making the process as open and democratic as possible, mechanisms for consultation and participation were devised. This process began in October 1996 when a circular was sent out requesting input from all staff pertaining to transformation priorities in the Department. The response was overwhelmingly positive and addressed a wide range of issues.

As a next step a Draft Transformation Document was prepared on the basis of the responses to the circular. This document served as a discussion and consultation agenda in the process of formulating a formal transformation policy for the Department.

Thirdly, the Special Programmes Unit of the Department ran a series of workshops on the basis of the Draft Transformation Document and in view of intensifying the consultative process. At first a Senior Management workshop was held and since a series of workshops have been conducted with each of the Chief Directorates and in six regions. Staff from al ranks of the Department attended the workshops.

In order to formalise the democratic and interactive nature of the process, a departmental Transformation Unit was established which met for the first time on 17 April 1997. Regional Transformation Units have also recently been set up which will broaden active participation further and enhance staff ownership of the final product (see 3.2.1 for details on the composition and functions of these units).

These actions and initiatives culminated in a final working document of the transformation policy which was an effort to, in a comprehensive, systematic and integrated way, determine customised policy and institute action to formalise, concretise and expedite transformation initiatives in the Department. The document was circulated throughout the Department for comments and recommendations. Indicative of the enthusiasm for this process are the wide ranging and constructive inputs received, stretching over the full spectrum from senior management to organised labour and from Head Office to remote sub-regional entities. In total eighteen submissions were received and have been duly taken account of in the finalisation of the policy.

Apart from the above, and to ensure that urgent measures and actions are not unnecessary delayed, the Department did, however, on a more or less piecemeal basis give effect to priority requirements such as enhancing representativeness (See 7.1.1) and improve service delivery (See 3.2.2). These initiatives are in full harmony with this Policy Framework and are therefore integrated into its proposals.

Transformation related initiatives presently underway, and of particular note, are the following:

3.2.1 Departmental Transformation Units:

As alluded to above, the national departmental Transformation Unit is already operative. Regional Units have also been established and have involved sub-regional entities as well as even smaller service points (such as border posts) in their membership and activities. The National Transformation Unit consists of five representatives of each of the Chief Directorates, a representative of the Government Printer, ten regional representatives, one representative of the Gender Desk, two representatives of the labour unions who are sufficiently representative of the workforce in the Department, and the Directorate: Special Programmes, which serves as convenor for the national Unit and represents the Department in other transformation formations outside the Department. The functions of the Transformation Units (national and regional) are to:

· Initiate transformation activities and programmes;
· Make recommendations to the Director-General on transformation;
· Monitor, evaluate and report on transformation;
· Ensure the integration of transformation objectives with the Department's strategic, business and operational plans;
· Prepare annual reports on transformation;

3.2.2 Service Delivery Improvement Plan 1997/1998:
The Special Programmes Unit has been tasked by the Director-General to develop a service delivery improvement plan in consultation with the Department of Public Service and Administration. The plan was compiled and developed from input gathered through a process of consultation by means of a questionnaire distributed to staff both at national and regional level. It is intended that the plan will be implemented on 1 January 1998. The document is presently being printed and focuses on the shortening of time frames for the processing and issuing of documents with regard to key services provided to the public namely:

· Civic Affairs: The registration of births, marriages and deaths, and the issuing of identity documents and passports;
· Migration: Aliens control, permanent residence, citizenship and refugee affairs;
· Border Control:
· Supplying printed and allied matter:

Other aspects that are addressed in the plan are:
· Consultation: Improving the frequency, breadth and objectivity of consultation with community leaders and the public as well as the appointment of public relations officers in each region;
· Information: Improving and extending the provision and
dissemination of information to the public;
· Courtesy and Client Relations: Updating requirements and procedures, training and retraining, rewarding performance and identification procedures by staff;
· Openness and Transparency: Introducing public relations and media campaigns and marketing the activities and achievements of the Department;
· Complaints and Redress: Establishing a more effective,
accessible and responsive complaint system;
· Cost Effectiveness: Improvement through computerisation, work study analysis, decentralisation, staff audits, user fees and outsourcing;
· Monitoring and Evaluation: Introducing routine office inspections, devise and implement remedial steps timeously, training and retraining, ensure appropriate staff levels and attending to public demands;

3.2.3 Draft Green Paper on International Migration (May 1997):

Due to the present unprecedented influx of foreigners into South Africa, policy and practice with regard to migration has become a priority issue and necessitated urgent re-evaluation. The proposals contained in the Green Paper, apart from addressing the norms, conditions and mechanisms for entry of immigrants, unauthorised migrants and refugees, have far-reaching implications for the structure and functioning of the Department and should be synchronised with other transformation imperatives. In this regard the following are particularly crucial in this discussion:

All facets of immigration and migration policy, including planning, implementation and ongoing administration, should be the core responsibility of the Department. The responsibilities and obligations following from this are seen as so comprehensive, requiring that the Department should only be tasked with citizenship, naturalisation and immigration matters. The title of the Department should reflect this core responsibility and it is, therefore, recommended that it be renamed the Department of Citizenship and Immigration Services (DCIS),

As a policy issue, international immigration and migration cuts across a number of different government institutions and departments. This, on the one hand, necessitates that the responsibilities of all the different role-players should be clearly demarcated and the role of the Department's core responsibilities be put beyond doubt, and, on the other hand, proper intergovernmental structures and procedures should be established in order to ensure coherency, co-ordination and sound management. In this regard the Green Paper proposes the formation of an inter-departmental immigration committee to play this facilitative and co-ordinative role;

The proposals contained in the Green Paper also have serious implications for the staffing of, and resource allocation to, the Department and, therefore, necessitate appropriate restructuring for this purpose. Of particular note is the present shared, but blurred, responsibilities of the Department, the SA Police Services and the SA National Defence Force regarding the enforcement of immigration controls. Although present legislation tasks the Department with the enforcement function, it is handicapped in this function by a serious lack of resources and is, therefore, in practice dependent on the other two institutions for this purpose. It is proposed that the Department should have a directorate of professional immigration officers tasked specifically with the enforcement of immigration controls;

Finally, it is proposed that overall immigration/migration policy should be reviewed comprehensively in terms of the new reality, current legislation should be reviewed in terms of this policy and be replaced by a new Immigration, Naturalisation and Migration Act, and the introduction of such new policy and law should be accompanied by a public education programme cultivating and promoting positive perceptions with regard to the rationale and advantages of properly managed immigration/migration;


3.2.4 Home Affairs National Identification System (HANIS):

The HANIS concept originated from:
· The problems experienced with the issuing of a uniform ID document to all South African citizens;
· The problems experienced with the current manual finger printing system; and
· The high incidences of fraud experienced with the current system;

Thorough research and investigation has led to the acceptance of HANIS which is in line with the world wide move towards the issuing of identity cards coupled with sophisticated and reliable verification levels (visual, stand alone PC, and on line verification) to replace the present issuing of traditional identity documents.

In line with transformation requirements the new system will:
· Apart from eradicating confusion arising from the old system of racially and TBVC-states differentiated ID documents, also at a symbolic level, identify citizens in terms of the new order;

Promote service excellence and efficiency because:
* Application and issuing procedures are streamlined, less time consuming and more customer friendly;
* Fast, accurate and effective identity verification can be performed;
* Fraud is minimised;
* One convenient and secure ID card is issued;
* Multiple official and private sector use is possible; and
* Processing, control and record keeping by the Department will be rationalised and be more cost effective;

The HANIS tender was published on 6 December 1996 with a closing date of 20 March 1997. A lengthy process had to be undertaken in conjunction with the State Tender Board regarding the evaluation criteria and the process to be followed in evaluating the tenders. These were recently approved. It is expected that the evaluation process will be completed and the tender be awarded by March/April 1998. It is envisaged that implementation will commence in March 1999.