PSCs Audit of the implementation of Batho Pele principles

1
PSCs Audit of the implementation of Batho Pele
principles Presentation to the BP Learning
Network 09-11 October 2007
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Presentation outline

• 1. Background to Batho Pele
• 2. PSC Reports on Batho Pele
• Batho Pele Survey in 2000
• 3. Reports on Specific Principles
• Objectives
• Methodology
• Research Process
• Limitations
• 4. Report on Service Standards

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Presentation outline

• 5. Report on Access principle
• 6. Report on Redress principle
• 7. General trends

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Background

• The Constitution mandates the PSC to, among
  others, investigate, monitor evaluate and
  propose measures to ensure effective and
  efficient performance
• White Paper on Transforming Public Service
  Delivery (Batho Pele) (s11) The DPSA will work
  in conjunction with the PSC to ensure that
  departments progress in implementing Batho Pele
  is systematically monitored

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Batho Pele Survey in 2000

• Limited survey to evaluate compliance and obtain
  baseline information on progress with
  implementation
• 4 national departments, Provincial Education and
  Health Department, 5 departments in North West
• Local Government and Housing
• Economic Affairs
• Transport and Civil Aviation
• Safety and Security
• Finance

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Compliance Survey 2000

• Study covered all principles not in-depth
  analysis.
• It was felt that there was a need for in-depth
  analysis looking at each principle
• Some departments had redress mechanisms in place
• Limited efforts were made to provide a complaints
  handling system

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Specific Studies on Batho Pele Principles

• Service Standard
• Access
• Redress
• Consultation
• Value for Money
• Openness and Transparency
• Information
• Courtesy

• 2004/05
• 2005/06
• 2005/06
• 2006/07
• 2006/07
• 2007/08
• 2008/09
• 2008/09

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Broad Objectives of Studies

• Evaluate performance and compliance of national
  and provincial government departments.
• Assess the degree to which departments comply
  with the requirements of the White Paper
• Benchmark
• Draft good/best practice model and
• Make generic recommendations

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Methodology

• Sampling
• All national and provincial government
  departments
• Excluding National Intelligence Agency, SA Secret
  Service, SA Defence Force, SAMDI, Office of
  Presidency
• Literature review
• Explore international best practise
• Gain understanding of the principle and project
• Basis for development of questionniares

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Methodology (continue)

• Questionnaire
• Standardised questionnaire with open and closed
  questions
• Structured in such a manner that it was possible
  to assess the extent of compliance
• Departmental officials had three months to
  complete the questionnaires
• Supporting documents to be submitted with
  questionnaires

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Research Process

• Requested departments to designate official to
  act as contact person, collate information and
  complete questionnaire
• Designated officials were invited to workshops to
  ensure understanding of questionnaire and project
  approach
• Self assessment questionnaires were completed
• PSC offices acted as liaison points for studies

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Data Control and Analysis

• Telephonic follow ups on questionnaires where
  responses were vague or incomplete
• Data analysis was outsourced
• Coding, capturing and analysis of data
• Identified overall trends, weaknesses and good
  practices

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Limitations

• Departments experienced difficulty with
  completion of questionnaires due to differences
  in extent to which services are rendered directly
  to citizens
• National Treasury- complete in relation to
  services they render to other government
  departments
• Quality of questionnaires received, varied.
  Supporting documentation was not supplied for
  verification purposes

14
Limitations Continue

• Cooperation of departments lacking in some
  instances and departments did not respond
  timeously
• Officials that did not deal with citizens
  directly did not feel that Batho Pele principles
  were applicable to them and were not willing to
  participate in the studies

15
Service Standards Regulatory Framework

• All government department are obliged to develop
  and display service standards. The absence of
  service standards thus indicates non-compliance.
• The Public Service Regulations (C1 C2, No
  20117, July 1999)
• Prescribes that all departments must establish
  Service Delivery Improvement Plans (SDIPs)
• It further prescribes that executing authorities
  must annually publish their departments service
  standards in advance in order for citizens to
  know what to expect.

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Service Standards Regulatory Framework

• Administrative Justice Act (AJA, Act No.3 of
  2000)
• Provides that everyone (citizens) must be told
  what decision is being planned before a decision
  is made
• The Act also gives citizens the right to
  challenge the decisions made by administrators in
  court

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Service Standards Regulatory Framework

• The PFMA (Act No. 1 of 1999)
• Stipulates that strategic plans cannot be
  developed in isolation and that they must be
  integrally linked to a departments Service
  Delivery Improvement Plan
• Moreover, the PFMA emphasizes the importance of
  monitoring and reporting against measurable
  objectives linked to service delivery indicators

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What are Service Standards?

• People need to be told what level and quality of
  public service they will receive so that they are
  aware of what to expect.
• Service standards are commitments that
  departments or units make towards service
  delivery.
• They define goals that a particular department is
  striving for in terms of improving service
  delivery.
• They inform citizens of the level and quality of
  service they will receive from a department.

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Service Standards Elements

• Quality/Description
• This refers to the key aspects of the specific
  service being referred to in the service
  standards. It provides details of the service
  the department intends to provide, where
  applicable, the nature of the benefits citizens
  can expect to receive. It should be brief,
  specific and easy-to-understand.
• Delivery Targets/Quantity
• Minimum targets should be defined. This
  describes the quantity of service which the
  department promises to provide. This would
  generally relate to issues of time and access
  e.g. to process your application within 30 days.

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Service Standards Elements

• Cost
• It is important for citizens to know about cost
  of a service even when there are no user fees.
• Complaint and Redress Mechanisms
• This refers to mechanisms to deal with the
  concerns and complaints of the citizens when they
  feel that a department has not met the service
  standards it has promised.

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Service StandardsMethodology

• Score sheet was developed base on the 5
  components of service standards.
• A score of 1 to 4 was used describing
  appropriateness of a departments service
  standards where 1 meant no standard and 4 meant
  complies with all five components of service
  standards
• For verifying received information, supporting
  documents e.g. annual reports, service delivery
  charters, service standards, etc. were provided
  by some departments.

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Tabulated Findings
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Assessment of Service Standards General Comments
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Assessment of Service Standards General Comments
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Service Standards General Comments
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Service Standards Findings

• Some documents covered strategic goals and
  objectives of the departments but not service
  standards.
• Some statements are operational arrangements,
  whilst others are performance measures.
• Many standards were vague and indistinct.
• Batho Pele principles were submitted as service
  standards by some departments.
• Other departments listed their outputs and
  service delivery trends as service standards.

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Key Findings and Recommendations (1)

• Key Findings and Recommendations. Most
  departments have not compiled service standards
• Recommendation
• Departments should ensure that goals and
  objectives with regards to improving service
  delivery are directly linked to the department
  service standards

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Key Findings and Recommendations (2)

• Many departments do not use service standards as
  part of the performance assessment process
• Recommendation
• Departments need to measure progress being made
  towards achieving the standards they have set for
  delivery

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Key Findings and Recommendations (3)

• The majority of departments use performance
  assessments to reward staff. Few departments use
  the results of assessing performance against
  service standards to improve service delivery.
• Recommendation
• Departments should be encouraged to use
  performance assessments not only as a mechanism
  to reward staff but also as a means to strengthen
  and improve service delivery.

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Key Findings and Recommendations (4)

• Many departments do not have specific resources
  allocated to the development of service standards
• Recommendation
• The development of service standards should be
  included within departmental work plans in order
  that service standards related activities will be
  budgeted for

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Key Findings and Recommendations (5)

• Some departments have consulted their internal
  clients when constructing service standards, most
  departments have not consulted external clients
• Recommendation
• Departments should establish a standardized
  process for engaging external clients in the
  development of service standards

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Key Findings and Recommendations (6)

• Many departments do not meet regularly to discuss
  service delivery issues
• Recommendations
• Departments should establish systematic reporting
  process that includes the development of a
  standardized reporting format.
• A standardized reporting format should be
  developed across government which would lead to
  departments reporting against a set of common
  standards.

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Access The Batho Pele principle
All citizens should have access to the services
to which they are entitled
Legacy of apartheid discrimination
Physical location
Knowledge of where service delivery points are
Ability to get into buildings especially the
disabled
Ability to find your way around govt. buildings
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Access Respondents
Out of 130 public service departments targeted,
the profile of the respondents were as follow
Summary of Respondents
11
48
36
1
35
Accessibility of services
36
Measures to improve access to services

• Measures in place in 90 of national and 86 of
  provincial departments

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Improvement as a result of measures implemented
Resulting from implementing measures to improve
access

• 70 of national Departments indicated that there
  was an improvement while
• All provincial departments indicated that there
  was an improvement

38
Communication policy and strategy to raise
awareness

• 90 national departments have communication
  policies strategies and
• 71 of provincial departments have policy and
  strategy

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Communication strategies utilised to market
services
40
Factors influencing the choice of communication
strategy
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Development of access standards

• 50 national and 46 of provincial departments
  have developed access standards 50 national and
  46 of provincial departments have developed
  access standards

Performance against standards
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Reasons advanced for not meeting the set standards

• Inadequate resources and infrastructure
• Still to be implemented in other directorates
  within particular departments
• Translation into local languages

43
Communication policy and strategy to raise
awareness

• 90 national departments have communication
  policies strategies and
• 71 of provincial departments have policy and
  strategy

44
Development of access targets
45
Difficulties in setting access targets

• Lack of resources
• Inadequate stakeholder participation
• Inadequate buildings/ infrastructure
• Lack of know-how/ understanding by staff
• Improper planning

46
Barriers to improve access

• Budgetary/ resource constraints
• Lack of skills/ capacity/ understanding
• Inadequate stakeholder participation

47
Measures to improve access

• Capacity building/ filling vacant posts
• Consultation with stakeholders
• Request for budget increase
• Public education and interaction
• Establishment of Batho Pele units
• Refurbishment/ erection of new buildings

48
Access for people with dissabilities
49
Model of good practice in implementing access
SET TARGETS ? Plan ? Set standards ? Consult
IMPLEMENT ? Implementation gents ? Wayfinding
signage ? Measures to improve access ? Consult
MONITOR EVALUATE ? Consult ? Monitor ?
Evaluate
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Conclusion Recommendations

• Measures to improve access are not backed by
  clear communication policy and strategy
• Development of standards targets- not all
  targets presented are access specific- need to
• (i) improve skills,
• (ii) fill vacant posts,
• (iii) consult and
• (iv) solicit funding

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Conclusion Recommendations (Cont.)

• Consultation- Level of consultation higher though
  there is a need to improve
• Physical access- covered groups are
• (i) rural communities
• (ii) youth
• (iii) women
• (iv) people with disabilities
• Not adequately catered for are
• (i) pensioners
• (ii) functionally illiterate

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Conclusion Recommendations (Cont)

• Monitoring evaluation- Less than half of
  departments have ME systems
• A need for use of ME system. A template for
  monitoring compliance with Batho Pele developed
  by the DPSA could be utilised

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Redress

• Redress states that if promised standard of
  service is not delivered, citizens should be
  offered an apology, a explanation and a speedy
  and effective remedy and when complaints are
  made, citizens should receive a sympathetic,
  positive response

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Principles to improve Redress Systems

• Accessibility- well publicised and easy to use
• Speed-acknowledged immediately and kept informed
  of progress and delays
• Fairness-complaints should be fully and
  impartially investigated
• Confidentiality-of complainants should be
  protected

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Principles to improve Redress Systems (continue)

• Responsiveness- complaint must be taken
  seriously, no matter how trivial it may seem.
  Remedial action must be taken
• Review- Complaints systems should incorporate
  review and feedback mechanisms to those
  responsible for rendering the service to ensure
  that failures and mistakes are not repeated
• Training- given to all officials to ensure that
  they know what action to take when a complaint is
  lidged

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Redress
Important supporting legislation is the Promotion
of Administrative Justice Act (PAJA) with its
right of review or appeal and notice of the right
to request reasons for administrative action
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Response rate

• 21 of 31 national departments
• 83 of 99 provincial departments
• 81 response rate
• Average length of service of respondents was 8
  years

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Respondents
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Departments with complaints handling mechanisms

• 90 of national and 83 of provincial departments
  have some form of complaint handling mechanism
• 71 of national and 55 provincial departments
  had complaints mechanisms linked to legislation
  or government policies other than Batho Pele e.g.
  PAJA, and or line department specific legislation
  like the Patients Rights Charter, SA Schools Act

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Development of Complaints handling Systems
Liaison in the development of Complaints
mechanisms
Internal stakeholders
External stakeholders
No liaison/ No response
Both Internal external
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Provision of training on redress

• 59 national and 54 provincial departments
  provide training on redress

62
Accommodating people with special needs
100
80
58
60
49
48
47
43
38
35
34
34
33
29
40
14
20
0
impaired
impaired
Hearing
Sight
Physically
disabled
Functionally
illiterate
Non-English
No strategies/ No answer
speakers
Provincial
National
63
Time limits for dealing with complaints

• 33 of national and 57 of provincial departments
  have time limits within which to deal with
  complaints
• e.g 7 days acknowledge receipt and 30 days to
  resolve it.

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Location of the departmental structure for
dealing with complaints
65
Existence of dedicated unit or individuals
66
Incorporation of redress standards into
performance agreements
67
70
60
54
50
40
National
29
Provincial
30
20
14
14
13
10
5
4
0
Standards incorporated
No redress standards
Not incorporated
Not indicated
67
Structure of a Batho Pele budget
68
Informing clients about procedures
78
76
80
70
60
National
Provincial
50
40
30
24
17
20
5
10
0
Clients informed
Not informed
Not indicated
69
Existence of methods for recording complaints

• 67 of the national and 63 of the provincial
  departments have methods for recording complaint

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Systems to monitor and evaluate redress

• Only 29 of national and 18 of provincial
  departments had a redress specific ME system
• The rest the departments that had an ME system,
  it was a department-wide system ( 14 of national
  and 28 of provincial a department )

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How departments rated themselves
45
45
40
National
33
35
Provincial
29
30
24
25
24
20
14
15
10
10
7
7
5
5
2
0
Excellent
Good
Adequate
Poor
Very poor
No answer
72
Good practice model for redress
73
Conclusions Recommendations

• Three broad areas requiring further attention
• Need to formalise complaint handling
• systems
• 2. Strengthen the implementation of the
• ME system
• 3. Review of these systems on a regular basis

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Emerging Trends

• Overview of compliance
• Progress made with implementation of Batho Pele
• Compliance varies across different principles
• Partial compliance with Redress- departments have
  some form of complaints handling system
• Lack of formalising complaints handling systems
  ito recording complaints, conducting regular
  monitoring and evaluation to improve service
  delivery and to review procedures to determine if
  it meet the client care objectives ,

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Emerging Trends

• Awareness
• Generally a good understanding of Batho Pele
• Officials think that Batho Pele only applies when
  services are rendered directly to citizens
• Low rate on training on Batho Pele is likely to
  weaken the understanding of Batho Pele over time

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Emerging Trends

• Standards in Batho Pele
• There was widespread use of service standards in
  departments
• Strengths identified included the desire to
  improve standards, an awareness of the importance
  of service standards and individuals were
  identified to drive the process of setting
  standards and implementing them

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Emerging Trends

• Standards in Batho Pele- weaknesses identified
• Many departments did not have service standards
• Existing service standards were often poorly
  defined
• Considerable confusion exists between the concept
  service standard and service indicator

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Emerging Trends Service Standards

• Service standards not linked to other Batho Pele
  principles
• Development of access standards remain problem,
  departments did not develop access standards and
  targets. Without these targets, access to
  services can not be increased.

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Emerging Trends Service Standards (continue)

• Very few departments had redress standards (nine
  years after Batho Pele was implemented)
• Standards for complaints handling systems are not
  set, specifically the timelines for dealing with
  complaints.

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Emerging Trends Service Standards (continue)

• Only limited number of departments had access
  targets for disadvantaged groups such as the poor
• Complaints systems does not provide for people
  with special needs (disabled) in 48 of national
  and 34 of provincial departments
• In development of service standards, departments
  do not liaise with external clietns

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Emerging Trends Service Standards (continue)

• Monitoring of Performance
• Reporting on performance against standard and
  targets is low
• Less than 50 of departments have systems in
  place to monitor performance against standards
  and targets, specifically in relation to access
  and redress
• Monitoring mostly done through monthly reports
  and performance management systems

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Challenges

• Performance Management- departments do not assess
  performance against Batho Pele
• Using performance information gained through
  Performance Management. Information gathered
  should be analysed to identify areas of
  improvement
• Resource constraints- many departments have
  designated units/persons dealing with Batho Pele,
  but many are still building internal capacity

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