REVIEW OF THE SENIOR MANAGEMENT SERVICE

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REVIEW OF THE SENIOR MANAGEMENT SERVICE HR
FORUM 20 June 2006
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BACKGROUND

• The SMS Review Report was presented to MANCO
  and MINEXCO as the initial stages of
  consultation. Comments were received from
  managers, the DG and the Minister
• After rigorous internal consultation processes
  with managers from the relevant units and
  components (e.g. LS, LR, ME, EP, AC, SAMDI),
  the recommendations were reworked and are here
  forwarded for consideration

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OVERVIEW

• Summary of TORs
• Methodology
• Findings
• Recruitment and Selection
• Retention
• Mobility
• Training
• Mobility
• Ethics
• Quality of Management
• Service Delivery
• Capacity to Deliver
• Recommendations
• Conclusion

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Terms of Reference

• The assignment identifies three key deliverables
  and milestones
• 1. To determine, examine and investigate the
  extent to which interventions that were
  introduced have-
• improved the recruitment, selection and retention
  of senior managers
• improved greater mobility to enable government to
  deploy individuals across departments at national
  and provincial level
• improved training and development
• promoted a high standard of ethical conduct
• established a more appropriate labour relations
  framework

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Terms of Reference (cont)

• 2. Assess the impact that the introduction of the
  SMS initiative has had on-
• The quality of management
• Service delivery, and
• The capacity to implement economic developmental
  programmes of the developmental state
• 3. Make recommendations for the further
  improvements or interventions

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Methodology

• Primary research
• Survey of senior managers
• Questionnaire to HR managers
• Focus group discussions with middle managers
• Key informant Interviews with recruitment
  agencies
• Secondary research
• PERSAL
• Annual reports / AG reports
• ENEs
• Business plans / Strategic plans
• Other relevant documents

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Recruitment and Selection

• The recruitment process takes an excessively long
  time
• A larger pool of applicants from outside the
  public sector is being attracted for SMS
  positions. However, the majority of appointments
  are still from within the public sector
• Competency assessments are not being used across
  the board despite positive comments from
  departments that do make use of them

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Retention

• Almost 73 of senior managers hold post graduate
  qualifications
• Factors identified by respondents that cause SMS
  members to leave their posts were-
• promotion within the public service
• financial incentives outside the public service
• professional prospects outside the public
  service
• The proportion of terminations, particularly
  resignations, to the total number of SMS has
  fallen over the last four years
• The most significant factor that influences SMS
  members to remain in their posts is the perceived
  capacity to deliver on the mandate given the
  scale of the challenge

9
Training

• Many believe that training opportunities are
  sufficient, but lack only the required time to
  attend
• Others believe that training does not receive
  adequate attention, that opportunities are not
  relevant and that it has no bearing on service
  delivery
• While the vast majority of respondents identified
  induction and training as important to support
  them in their performance, the greatest unmet
  need is for mentorship, coaching, and peer
  exchange

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Mobility

• Movement of senior managers within the public
  service not as high as expected. Only 2.5
  (03-04) to 5.3 (04 to 05) moved either
  department or salary level according to PERSAL
• Women and black SMS members are more likely to
  move positions due to the increased demand for
  them in the senior ranks to fulfil EE
  requirements
• 47 of respondents in the interviews have been in
  their current post for two years or less
• There is very little use of the relaxed
  provisions for strategic redeployments and
  secondments
• The attitude of SMS members towards being
  redeployed or seconded is very positive
  especially to promotional posts, provided that
  their needs are catered for and the requirements
  of the new position are within their area of
  competence

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Ethics

• The PFMA has had as much, if not a greater impact
  on the accountability and transparency of the
  senior managers, than the SMS framework
• Most senior and middle managers are of the
  opinion that whistle blowing protection measures
  in place are insufficient to encourage the
  reporting of corruption and/or criminal acts
• Public Service Code of Conduct not seen as
  influencing conduct of public servants

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Quality of Management

• The general perception is that the Performance
  Management and Development System (PMDS) is
  conceptually sound however, implementation has
  not led to any significant improvement in
  accountability or performance of senior managers
• Middle managers generally have a poor opinion of
  the effectiveness of the SMS initiative in
  improving the quality of management and/or
  service delivery

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Service Delivery

• Based on the annual reports submitted to
  Parliament by departments, the average level of
  achievement of service delivery targets is less
  than 50, with few exceptions
• The instruments used to monitor performance are
  not sufficient for supporting performance
  management
• Senior managers cite ad hoc meetings and
  unscheduled travel second only to staff and other
  resource shortages as the key impediments to
  their achievement of performance targets

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Capacity to Deliver

• Nearly 72 of senior managers interviewed hold
  post graduate degrees, however there is no way to
  establish whether these qualifications are
  related to their mandates and responsibilities
• The capacity of departments is coming under ever
  increasing strain as the workload increases from
  year to year
• There does not seem to be a commensurate increase
  in resources, especially personnel, to support
  implementation of the increased workload
• Planned and unplanned outsourcing is on the
  increase, even as the proportion of projects that
  are postponed or not implemented is rising
• Vacancy levels across all ranks are unacceptably
  high, and are rising over time

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Recommendations

• Recruitment and Selection
• Certain aspects of recruitment and selection to
  be centrally coordinated through the centralised
  information management system.
• - to facilitate deployment, headhunting and
  competency assessment processes.
• Departments will maintain the authority and
  final decision making to recruit and select,
  however they will be guided by national policy
  covering the three spheres of government

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Recommendations

• Recruitment cont.
• SMS handbook will provide the guidelines
• To strengthen recruitment processes the following
  strategies can be considered
• Utilise accelerated development programme for
  middle managers to recruit at entry level of the
  SMS
• Provisions for internal headhunting must be
  strengthened and linked to the centralised
  information system
• Strengthening head-heading provisions (possible
  amendments to Chapter 2 of the SMS Handbook).
• Deviations to be considered by MPSA only in
  exceptional cases.

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Recommendations

• Deployment
• - Information on DGs at national level is
  centralised at the DPSA, this makes it easy to
  inform the relevant Ministers to facilitate
  strategic deployment. The same could be done on
  all SMS levels.
• Provisions for strategic mobility and deployment
  should be formally structured and supported by a
  framework of appropriate incentives
• the implementation of strategic deployments must
  be clearly defined in terms of the PSA and better
  communicated
• Section 14 of the Act must be extended to give
  authority to the MPSA to deploy SMS members under
  specific circumstances in collaboration with the
  respective EAs
• Consider
• linking strategic deployments with the use of
  accelerated
• development programme (sustainable pools)

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Recommendations

• Competency assessments
• The use of competency assessments should
• become compulsory for both development and
• selection as the voluntary implementation
• creates the following problems
• - It becomes difficult to create a centralised
  database of generic management competencies that
  are available in the SMS
• - There is no control in respect of whether the
  assessment tools used are valid and are in line
  with the competency framework of the public
  service
• - Using different and sometimes inconsistent
  assessment tools may result in labour practice
  challenges
• - Strengthen the capacity of GICS in DPSA to
  continue providing its support in areas of
  competence

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Recommendations

• The following are the benefits of compulsory
• competency assessments
• - Comprehensive selection strategies are applied
  and therefore confirm that only those who possess
  the required competencies are appointed.
• A centrally managed comprehensive database can be
  developed to facilitate headhunting and
  deployment.
• A centrally coordinated and managed database can
  be linked to skills database can ensure targeted
  training interventions
• Cost saving for government
• - The rendering of centrally coordinated
  recruitment and selection functions as explained
  above must be linked with the strengthening of
  the SMS unit

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Recommendations

• Competency assessment can strengthen the
• selection process if used in conjunction with
  other
• selection tools, e.g. interviews, security
  clearance
• and reference checks.
• Standardised contracting with service providers
  will be provided centrally as a service by DPSA
• Standardised procedures will be determined
  centrally at DPSA
• The review and validation of competency
  assessment tools will be done centrally
• Information on competency profiles of SMS members
  can be stored, maintained and reviewed centrally
  by DPSA

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Recommendations

• Reference checks must be done prior to the
  interview, and a comprehensive report be shared
  among all members of the interview panel.
• Referees must be held accountable and must write
  a comprehensive report on the candidate.
• Exit interviews must be conducted as a standard
  practice in all SMS positions in the public
  service and departments must be compelled to
  report that information to DPSA on a quarterly
  basis.

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Recommendations

• - Probation periods to be enforced
• Minimum probation period for SMS is 12 months
  however no mechanisms to monitor compliance.
  Probation period as prescribed must be enforced.
• - Training and development for SMS members to be
  customised and informed by a proper needs
  analysis
• Urgent need for well-conceived orientation,
  induction, mentoring and coaching programmes for
  SMS members including DGs.
• Compulsory orientation and induction must be
  prioritised and should include the three CMCs as
  mandated by the MPSA as well as Project
  Management and provided in conjunction with SAMDI
  - (transitional measures for current SMS should
  be considered)
• PDPs developed when signing PAs must be based on
  competency assessment results
• Mentoring and coaching must be prioritised and be
  linked to PMDS where mentors are trained and
  recognised in terms of this system
• - Guidelines to be developed in terms of training
  and development and included in the SMS Handbook.

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Recommendations

• Exposure to the coalface of service delivery as
  mandated by Cabinet must be strictly implemented
  and monitored.
• All study tours should be needs driven.
  (Contractual binding may be considered).
• - Exchange programmes with regard to DGs may be
  considered.
• - Managers are to be better equipped to deal with
  the many challenges posed by the dynamic
  environment and government priorities

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Recommendations

• - Ethical conduct to be inculcated at all levels
  of the SMS
• - A culture of ethical conduct requires
  leadership at all levels, as non-compliance has
  proved to be the major issue and sanction are not
  regularly enforced for non-compliance
• - HODs must be held accountable for
  non-compliance and no follow-up on disciplinary
  measures, failure to do so should constitute a
  finding on their performance
• Prolonged suspensions, lack of closure on
  disciplinary actions of SMS members must also be
  seen as a performance finding on the supervisor
• Awareness of the Code of Conduct and the ethics
  chapter of the SMS Handbook must be enhanced
  through rigorous awareness campaigns.

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Recommendations

• Every member of the SMS must have a copy of the
  Code of Conduct, the Batho Pele principles and
  the SMS Handbook.
• - more emphasis should be placed on the
  enhancement of ethical issues.
• Greater focus on prevention of corruption by
  strengthening internal processes
• - Cooling-off period must be closely linked to
  disclosure framework and must be enforced

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Recommendations cont.

• - The functions of managing misconduct and
  discipline of SMS members and protection measures
  for whistle blowers to be strengthened
• -Awareness of the whistle blower protection
  measures through the PDA 2000- and the LRA for
  all employees is needed to alleviate fears in
  this regard
• -The PSC hotline must be strengthened by
  bringing the provisions of PDA and LRA to the
  attention of employees

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Recommendations cont.

• - The PMDS for SMS to be strengthened through
  identified mechanisms
• All SMS member must be trained on the application
  and implementation of the PMDS to ensure
  alignment with service delivery outputs
• Signing of PAs should include binding agreements
  on dates and time for performance appraisals
• Follow through on performance appraisals should
  form part of assessment
• Departments must apply stringent measures to
  ensure that all SMS members sign their PAs linked
  to the strategic objectives (Must start at the
  highest levels, adhere to deadlines)
• Culture of collective accountability to medium
  term targets should be established

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Recommendations

• To link PMDS results with service delivery a 360
  degree evaluation for HODs must be considered
  where recipients of services are clearly
  identified and their evaluation incorporated in
  the overall assessment of the HOD
• Auditor-Generals report must be considered when
  HODs performance assessments are done.
• Strategic plans and annual reports should be
  inextricably linked
• Reporting on performance against the targets
  should be a manadatory minimum in the annual
  report

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Recommendations cont.

• - Formal channels of communication with
  beneficiaries to be established or strengthened
• - Existing mechanisms are sometimes inadequate or
  self-defeating.
• It is vitally important that formal mechanisms
  are put in place to receive and respond to
  feedback from beneficiaries on services received
• - Job profiles to be reviewed periodically to
  ensure its validaty
• - All SMS vacancies to be filled as a matter of
  urgency
• - To address capacity to deliver on programmes
  and improve service delivery, departments must
  prioritise the filling of vacancies in terms of
  organisational needs and approved budgets
• - Establish closer links with further and higher
  education institutions to employ new entrants

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Recommendations cont.

• - Elevate and capacitate the SMS unit in DPSA to
  effectively deliver on its mandate
• The capacity of the SMS unit within the DPSA must
  be significantly enhanced in order to make it
  more effective in supporting both the
  implementation of the original scope of the SMS
  initiative, and some of the recommendations made
  in this report

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Conclusion

•   According to the Terms of Reference as outlined
  in slide 4 5, the research report confirms that
  since the establishment of the Senior Management
  Service in 2001, the SMS initiative reflects
  success in some of the interventions although
  there is room for improvement as indicated in the
  findings and recommendations in the following
• Recruitment
• The recruitment of high calibre of leadership and
  management skills has seen a significant
  improvement because the levels of attracting
  internal and external candidates have
  dramatically increased.
• Selection
• Selection of a high calibre of candidates has
  also improved since the introduction of stricter
  mechanisms through the protocol document was
  introduced at DDG and DG levels.
• Competency assessments (although voluntary) have
  also improved the application of stricter
  selection mechanisms because of the interest it
  has attracted from departments and a significant
  improvement of a high calibre of candidates is
  yet to be seen when the system becomes
  compulsory.
• .
•  
•  

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Conclusion cont.

• Training and development
• Training and development seem to be taking place
  as nearly every senior manager has been exposed
  to one form of training i.e. workshops and
  conferences. However there are significant
  strides that have to be made to improve targeted
  training. There is also a need to link training
  with ASGISA and Joint Initiatives for Priority
  Skills Acquisition(JIPSA).
• The available framework makes provision for
  equitable access to training and development of
  senior managers, however if recommendation 10.4
  is accepted, it will result in targeted training.
• There is need to align training with performance.
  The Core Management Criteria (CMCs) that have
  been mandated by the MPSA (Financial Management
  People Management and Empowerment Client
  Orientation and Customer Service if prioritised
  as training mechanisms and made compulsory will
  support improved service delivery. There must be
  monitoring attached to this requirement Project
  Management (extra).

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Conclusion cont.

• Retention
• The findings indicate that senior managers stay
  longer in the public service due to job security
  and the interest to contribute to service
  delivery for the countrys transformation
  (Director to DDG).
• Although a large number of appointments is made
  from within the Public Service, this should not
  be viewed as a negative but rather an indication
  that the public servants consider the Public
  Service as a lucrative career.
• Turnover has significantly improved at all levels
  of the SMS.
•  

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Conclusion cont.

• Mobility
• Movement of senior managers from one department
  to another occurs on the basis of transfers,
  either transversal or on promotion mostly
  initiated by the individual. Although it
  sometimes results in job-hopping therefore
  defeating the intentions of strategic mobility.
• Strategic deployment of SMS members is still to
  be improved if recommendation 10.2 is accepted.
• There is still a high number of SMS members at
  national than at provincial level where
  implementation actually takes place. SMS members
  are keen to be deployed therefore giving the MPSA
  more authority to deploy them will achieve the
  purpose.

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Conclusion cont.

• Ethical Conduct
•  
• Prescripts have been put in place there is high
  degree of compliance, although the ideal of 100
  has not yet been achieved. There is a need to
  introduce stricter non-compliance sanctions, and
  to embark on awareness campaigns. Future
  aspirations is to bring compliance of Financial
  disclosure to 100, create awareness campaigns
  for the Code of conduct and monitor whether the
  Batho Pele Principles are applied when PAs are
  signed and Appraisals are done.
•   

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Conclusion cont.

• Quality of Management
• The PFMA seems to have had a powerful impact on
  the quality of management and accountability
  because of its stricter reporting requirements.
  Similar mechanisms to be contained in the PSA and
  Regulations can further improve the quality of
  management and service delivery.

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Future areas of research- Recommendations
highlighted above are to be further researched
prior to implementation thereof.- Areas for
research already conducted such as a Salary
Review Panel, the Professional Association, job
hopping, head hunting and reference checks need
to be revitalised.- Disclosure framework will
have to be further researched and reviewed.