FINAL REPORT ON THE SUPPORT INTERVENTION IN THE DEPARTMENT OF HOME AFFAIRS

PRESENTED BY: OR RAMSINGH: DIRECTOR-GENERAL

DATE: 14 March 2007

PRESENTATION OVERVIEW

· Background to the Support Intervention in Home Affairs

· Observations made

· Progress against the work plan in the focus areas of the Home Affairs support intervention

− Leadership and management

− Human Resources

− Information Technology Management

− Service Delivery Improvement

· Strategic considerations and recommendations

· Conclusion

BACKGROUND TO SUPPORT INTERVENTION

· The Minister of Home Affairs indicated in her budget vote speech on 30 May 2006 that she was enlisting external assistance to deal with various challenges faced by the Department.

· A Support Intervention Team (Team), comprising the Office of the Public Service Commission (OPSC), Department of Public Service and Administration (DPSA) and the Accountant General, together with the Department, embarked on a collaborative effort to address these challenges.

· Support was provided to the Department during the period July to December 2006.

· The support intervention was categorised into the following five focus areas:

− Leadership and management To establish a stronger and cohesive management team.

− Human Resources: To provide focused support to particular human resources management issues.

− Information and Communication Technology: To provide support in Information and Communication Technology management matters.

− Service delivery: To strengthen service delivery improvement initiatives.

− Financial management To improve financial management and internal controls.

· The Team submitted a progress report to the Committee of Ministers in September 2006. The report was primarily based on the observations of the Team, challenges identified and interventions embarked upon, and progress made during the period July to September 2006.

· The final report of the Team mainly focuses on the strategic considerations and recommendations emanating from the support intervention. It also reflects the progress that has been achieved since the commencement of the support intervention in the Department.

· The Team also submitted a number of comprehensive reports to the Minister regarding various issues addressed during the support intervention, e.g:

− Report on the filling of critical vacant SMS posts.

− Audit into the granting of performance rewards.

− Report on the handling of Parliamentary questions and Cabinet Memoranda.

− Report on spending and claims for international travel for the 2005/2006 financial year.

− Report on the review of SMS appointments.

− Review of sick leave during the period 1 April 2005 to 31 March 2006.

− Competency Assessment Management Assessment Report.

− Report on the backlog of permits for permanent residence and intra-company transfers.

− Report on the assessment of ICT management.

· These reports contain specific recommendations on corrective action to be undertaken by the Minister and the Department.

· The consolidated report is based, amongst others, on these various reports.

LEADERSHIP AND MANAGEMENT OBSERVATIONS

· The lack of strategic leadership and management capability continues to be a fundamental challenge facing the Department.

· The Department still lacks a cohesive management team that is capable of driving its transformation agenda and is able to cascade its change objectives to lower levels in the organisation.

· There is a lack of urgency and adherence to deadlines.

· There is a general crisis response to problems due to a lack of adequate management plans.

· Managers have developed a better understanding of the strategic and operational challenges facing the Department.

· The level of reporting by managers on programme performance has improved.

LEADERSHIP AND MANAGEMENT PROGRESS AGAINST THE WORK PLAN

· 2006/ 7 business plan reviewed and submitted to the Portfolio Committee: The business plan was reviewed and presented to the Portfolio Committee.

· Branch and business units meetings with Support Intervention Team to understand the functions of the Department: Meetings were held to engage on key matters pertaining to the branches/ business units. An observations document was developed.

· Financial disclosure forms signed: All senior managers have signed financial disclosure forms for the 2005/06 financial year and the forms were submitted to the PSC.

· Spending and claims for international travel for the 2005/06 financial year assessed: The assessment identified a general trend whereby officials submitted incomplete claims and relied on the Directorate: Financial Management to calculate claims on their behalf. Findings and recommendations were made to improve internal controls, to recover funds in the case of overpayments, and for the Minister to consider taking disciplinary action in some instances.

· Performance Agreements (PAs) of SMS members for the financial years 2002/03, 2003/04 & 2004/05 assessed: The PSC presented a report to SCOPA. It was indicated that there appeared to be no regard for the due date by which PAs should be concluded, and that PAs were signed well into the financial year and even beyond the particular financial year

LEADERSHIP AND MANAGEMENT PROGRESS AGAINST THE WORK PLAN

· Assessment of SMS performance reviews (2005/06): Documentation did not meet the standards as contained in the Performance Management and Development System (PMDS) for SMS members. A proposal was made to the Minister for the approval of a template to measure the performance of SMS members.

· Appointments of SMS members during the period 2004-2006 reviewed: 54 appointments were reviewed. Eleven (11) SMS members were appointed who did not meet the advertised requirements. This trend was ascribed to ineffective leadership, lack of knowledge of the prescribed recruitment and selection process 0 the Public Service, as well as fundamental problems within the Department

· Competency assessments for all SMS members: 56 SMS members were assessed. Severe gaps in the proficiency of managers at all levels were found. These gaps could be addressed through developmental programmes that may entail coaching, mentoring and formal training programmes.

· SMS Performance Agreements for the period 2006/07 reviewed, aligned with the business plan and signed: PAs were assessed and assistance was provided to individual managers who report to the DG to ensure that their PAs are aligned with the Business Plan. A random verification of the PAs of other SMS members pointed to various shortcomings, and the Department has been informed accordingly. The Department has verified whether the remaining PAs comply with the requirements of the PMDS.

· Strategic leadership at provincial and local offices assessed

− Provincial managers have inadequate time to deal with management issues in the provinces as a substantial amount of time is spent away from their offices.

− The Job Evaluation results of 90 posts of Deputy Director were verified.

− The outcome of the job evaluation process had not been submitted to the Minister for approval.

− All vacant and funded posts of Immigration Officer were identified and advertised. Trainees assumed duty in a staggered manner.

− A draft plan for the devolution of functions and powers to the provincial offices was developed. The plan focuses on the shorter-term devolution of aspects of functions and is expected to be rolled out in a phased approach.

· Strategic planning for the period 2007/8 - 2009/10 commenced The approach to developing the 2007/8 - 2009/10 strategic plan was defined. Planning commenced in November 2006.

· Organisational model of the Department reviewed The Team also worked closely with the Chief Directorate: SESS to review the current organisational model of the Department.

LEADERSHIP AND MANAGEMENT: STRATEGIC CONSIDERATIONS AND RECOMMENDATIONS

· Leadership and Management Capacity

− Urgent consideration should be given to the appointment of a DG who is able to address the current service delivery challenges in the Department.

− The DG should be appointed on a contract of 5 years.

− The profile of the DG required is that of a hands-on manager, transformational leader and excellent administrator

− No matter how strong or effective the new DG will be, he/she will need the support of a strong management team.

− Competency-based assessments should be included in the selection and appointment of all SMS members

· Leaving the selection and recruitment to the current management team may not attract the candidates needed to fill the strategic gap in the Department. If a new DG does not take office soon, the recruitment and selection process of the senior vacant positions should be undertaken by a department within the Public Service, but external to the Department.

LEADERSHIP AND MANAGEMENT: STRATEGIC CONSIDERATIONS AND RECOMMENDATIONS

· Performance management of SMS members

− The Branch: Corporate Services should playa more active role in the administrative management of the Performance Management and Development System (PMDS) of SMS members.

− Managers in the Department should take responsibility for the effective implementation of the PMDS.

· Strengthening the strategic management process

− The approach to developing the 2007/8 - 2009/10 strategic plan was defined. Strategic planning commenced in November 2006.

− The annual strategic planning process should begin with the review of the strategic objectives over the 5-year outlook.

− Strategic planning needs to be more structured and systematic.

− A rigorous system of regular monitorin9 and reporting of progress against the management plans should be Implemented.

· Review of the departmental budget structure

− The establishment of a separate budget programme for each of the three programmes, National Immigration Branch, Civic Services and Service Delivery should be considered.

− This will promote better planning and accountability for spending in each of the Branches.

LEADERSHIP AND MANAGEMENT STRATEGIC CONSIDERATIONS AND RECOMMENDATIONS

· Reconfiguration of Home Affairs

− The Department is currently composed of two line functions, namely the National Immigration and Civic Services Branches. Both are specialised and diverse, and require unique sets of policies, strategic approaches and distinctive organisational arrangements. They also face different service delivery challenges. Such diversity places a heavy burden on the overall management of the Department.

− The Home Affairs portfolio needs to be reconfigured. However, an assessment should be done to determine whether adequate justification exists for doing so. The conducting of a functional analysis would assist in determining to what extent Home Affairs represents two different fully fledged functions or whether such functions merely constitute two sub functions of the overall Home Affairs portfolio.

· Review of the organisational structure

− The current organisational structure does not enable the Department to deliver on its core responsibilities and to adequately address the need for improving horizontal and vertical reporting and management accountability for service delivery. The review of the Department's organisational structure should be completed as an interim measure.

LEADERSHIP AND MANAGEMENT STRATEGIC CONSIDERATIONS AND RECOMMENDATIONS

· Improving internal and external communication

− The manner in which internal and external communication is managed by the Department is inadequate.

− Internal communication is not utilised to promote certain events within the Department, as an effective tool to build morale of staff, the culture of the Department and to popularise the Departmental programmes and policies among its employees.

− Effective external communication is also lacking in that most reports in the media about the Department are negative and sometimes even inaccurate.

− The Department should conduct a thorough analysis of its communication challenges and develop a communication strategy addressing internal and external communication needs.

· Instilling a culture of compliance

− There is an unhealthy culture of non-compliance by SMS members within the Department, e.g. the failure by some SMS members to submit financial disclosure forms in terms of the Financial Disclosure Framework.

− The Department should internalise a culture of governance, ethics and compliance across through ongoing training and development and take disciplinary action as and when necessary.

LEADERSHIP AND MANAGEMENT: STRATEGIC CONSIDERATIONS AND RECOMMENDATIONS

· Monitoring and Evaluation

− A glaring weakness in the operations of the Department is the lack of internal monitoring. The Department should put in place adequate internal monitoring and evaluation mechanisms that can provide reliable and up-to-date management information for decision-making purposes.

− External monitoring and evaluation of the Department's performance could be conducted in the form of a peer review. This could avoid crisis management interventions and contribute to early warning signals to problems arising.

− The implementation of recommendations made in most support interventions is often not tracked. There is a need for strong monitoring to measure progress on the implementation of the recommendations of the Team.

HUMAN RESOURCES OBSERVATIONS

· The management of human resources is one of the weakest links within the Department. Senior managers tend to work at a very operational level and they lack a coherent and strategic approach to human resource management in the Department.

· There is a lack of a strategic, integrated approach and no cogent HR plan exists.

· Core HR functions are farmed out in other sections of the department e.g. job evaluation and job design are located in Strategic Executive Support Services, which creates serious non-compliance and accountability risks.

· The Corporate Services Branch is failing to ensure that regulatory requirements are met and managers continue to disregard or are ignorant of HR prescripts and practices.

· Line function managers need to playa more active role in determining future HR requirements.

· Corporate Services lacks the ability to give leadership in the area of HR management and has a partisan and inconsistent approach in dealing with matters.

· The engagement of the Department with the unions has in the past not been managed well. It appears that the unions have lost confidence in the ability of the Department to meet its undertakings.

HUMAN RESOURCES: PROGRESS AGAINST THE WORK PLAN

· Recruitment and selection policy and process reviewed

A report was submitted addressing various short-comings, such as the inconsistencies in the requirements relating to, for example qualifications, for similar posts and the long periods to finalise the short-listing process.

· Critical SMS appointments finalised

An action plan to fast-track the filling of SMS posts was developed. Progress on the implementation of the action plan has been slow, due to various reasons, such as the unavailability of panel members and outstanding job evaluation results.

· Internal training on Batho Pele and Code of Conduct

− Guidelines have been provided to the Department to develop a training strategy and workshops was held to improve the Department's understanding of Batho Pele.

− A twelve month theoretical and practical training programme for Trainee Immigration Officers was developed.

· Review of the professionalisation approach within the Department

The Team became involved in projects such as the job evaluation of posts of Immigration Officer and the migration plan of Immigration Officers. It also facilitated the assistance of the Public Service Education and Training Authority (PSET A) to develop unit standards for a suite of specialist qualifications for the occupational class of Immigration Officer.

HUMAN RESOURCES PROGRESS AGAINST THE WORK PLAN

· Sick leave trend analysis conducted

A report shows that the statistics obtained from various sources reflected variances in the number of persons that took sick leave. Recommendations were therefore made to ensure the availability of more accurate and reliable statistics in the Department.

· Evaluation of the jobs of Immigration Officers

− Job evaluation of the jobs of Immigration Officers for salary levels 1-12 was conducted and verified.

− A migration plan for Immigration Officers developed and implemented.

− A delegation met with unions operating in the sector to share with them the approved outcome of the job evaluation process as well as the placement strategy for Immigration Officers.

· Conducting of a staff headcount

− The tendering process to appoint an external service provider to assist the Department to conduct the headcount is underway.

· Conducting of a skills audit

− The PSETA has begun the tendering process to appoint a service provider to assist the Department with the conducting of the skills audit and the audit should commence early in 2007.