PRESENTATION%20TO%20THE%20PORTFOLIO%20COMMITTEE%20ON%20PUBLIC%20SERVICE%20AND%20ADMINISTRATION%20%20Report%20on%20the%20Management%20of%20Discipline%20in%20the%20Public%20Service%20%208%20September%202004

1
PRESENTATION TO THE PORTFOLIO COMMITTEE ON
PUBLIC SERVICE AND ADMINISTRATION Report on
the Management of Discipline in the Public
Service 8 September 2004
2
INTRODUCTION

• The need for the investigation stems
  predominantly from previous reports which
  indicate lack of discipline and a prevalence of
  misconduct as one of the problems in departments.
• The objective of the investigation was to
  determine the status of managing discipline and
  builds on a 1999 PSC Report on the Management of
  Dismissals to ascertain the efficacy and
  efficiency of the new Disciplinary Code and
  Procedures.
• As such, the investigation focuses on policy,
  organisational arrangements and the management of
  disciplinary procedures and related activities.

3
METHODOLOGY

• Scope National Departments and Provincial
  Administrations
• Source of Information
• - Drawn from Persal
• - Questionnaires were addressed to Heads of
  Personnel Officers as line function managers
• Trends on these issues were summarised per
  department, per province and for national level.

4
OBSTACLES ENCOUNTERED

• Inability by some departments to submit
  information timeously and completely even after
  the deadline was extended by a month.
• In the majority of cases information submitted by
  a department did not tally. In some cases this
  could be ascribed to incomplete record keeping
  and/or poor reporting.
• Another problem experienced was a lack of
  continuity. Staff who were not involved in this
  exercise were required to follow up requests with
  the Commission.

5
KEY STATISTICAL FINDINGS AND ANALYSIS

• In National Departments 985 individuals were
  charged while the total number of charges is
  recorded as 1031.
• In Provincial Departments 2566 individuals were
  charged while the total number of charges is
  recorded as 2616.
• The difference in the two figures is indicative
  that some officials have more than one charge
  against them.

6
KEY STATISTICAL FINDINGS AND ANALYSIS

• The 1999 PSC Report on the Management of
  Dismissals at National Level indicated 1077
  misconduct cases whilst the current investigation
  has shown 985 individual cases during the period
  2000-2001.
• The drop in overall numbers is approximately 9 -
  which is marginal. This decrease must be viewed
  with caution as the validity and reliability of
  information received is of concern given the
  challenges of record keeping.
• Much of the disciplinary cases at both National
  (38) and Provincial (26) are related to fraud,
  misappropriation/embezzlement of funds as well as
  theft.

7
KEY STATISTICAL FINDINGS AND ANALYSIS

• Cases of absenteeism at National level which was
  a major disciplinary problem indicated in the
  1999 Report, currently seems to have dropped from
  378 cases in 1999 to only 151 cases during
  2000-2001. In the Provinces cases of absenteeism
  are also among the top two.
• In terms of salary level, by far the largest of
  disciplinary cases in both National Departments
  (86) and Provincial Administrations (94) are
  encountered between levels 2 and 8, with a few
  cases at the SMS level.

8
KEY STATISTICAL FINDINGS AND ANALYSIS

• In terms of distribution of disciplinary cases
  along race, the results indicate that black
  employees make up the majority National (66)
  and Provincial (75) whereas Indians are in the
  minority at 2 at both levels.
• At National Level 73,5 of cases are attributed
  to males and 26,5 to females this is
  representative of 70 male employee and 30
  female employee rates in these departments. This
  disparity between male and female transgressors
  is huge.

9
KEY STATISTICAL FINDINGS AND ANALYSIS

• 91 of disciplinary cases at National Level and
  82 at Provincial Level are investigated. 87 of
  these cases at National Level and 70 at
  Provincial Level appear before a disciplinary
  hearing.
• Of the cases that are heard, 77 and 59 at
  National and Provincial levels respectively are
  found guilty.
• Only 82 of the cases at National level and 70
  at Provincial level result in sanction being
  imposed. Results indicate that 46 at National
  level and 41 cases at Provincial level result in
  dismissal.

10
KEY STATISTICAL FINDINGS AND ANALYSIS

• Of the National figure of 985 individual cases,
  23 have led to suspensions whilst in Provinces,
  12 of the 2566 has led to suspensions. 65 at
  National and 92 at Provincial were with
  emoluments while 13 at National and 4 at
  Provincial were without emoluments.
• At National Level, 19 of the cases have appealed
  against the charges imposed on them and just more
  than half of the appeals were dismissed. Only 6
  were upheld indicating accuracy of the procedure
  used in the disciplinary process.

11
KEY STATISTICAL FINDINGS AND ANALYSIS

• The provincial figures are less satisfying as the
  13 cases that have appealed, only 43 are
  dismissed while 23 are upheld and in 8 of the
  cases sanction is amended.

12
QUALITATIVE FINDINGS AND ANALYSIS

• Problems around the Code are a management
  problem. Many of the proposals requested by
  departments can be effected but require
  explicit guidelines.
• The Code provides an adequate framework to manage
  discipline in departments.Departments should
  concentrate on building a supportive
  infrastructure for implementation and
  application.
• There appears to be no constraints limiting
  access to the Code. It was found four Provincial
  Departments did not have access to the Code
  this is a cause for concern.

13
QUALITATIVE FINDINGS AND ANALYSIS

• The Code is seen to expedite the management of
  discipline. Reasons cited as ways in which the
  Code expedited discipline ranged from clear
  procedures, adherence to time frames, role
  clarification, reduction in disciplinary cases
  and an awareness of the Code among employees.
• It would appear as though managers, line managers
  and supervisors are taking the responsibility to
  manage discipline. Ways in which departments
  ensure line managers do not avoid dealing with
  discipline is that the management of discipline
  is spelled out as a requirement in their
  Performance Agreements.

14
QUALITATIVE FINDINGS AND ANALYSIS

• Lack of adequately trained and designated
  investigating officers poses a challenge and
  threat to the management of discipline. The main
  difficulty identified are the non-availability,
  limited capacity and reluctance on the part of
  individuals. The issue of fear, intimidation and
  victimisation appear to be prevalent in
  Provinces.
• National and Provincial Departments experience
  constraints in providing training to line
  managers.
• Specific training needs were identified with
  regard to Persal. Majority of Departments that
  responded required training in data capturing and
  the need for a step-by-step manual.

15
QUALITATIVE FINDINGS AND ANALYSIS

• Responses received indicate the shift to using
  information for strategic purposes. In this
  regard it is clear that Departments need
  assistance.

16
KEY OBSERVATIONS AND RECOMMENDATIONS

• The Public Service needs to be aware of
  implementing good governance practices as laid
  down in key legislation, policies and guidelines
  in order to prevent a sliding into disregard for
  norms and standards.
• The Code as a framework is effective, there is a
  case to be made for more specific guidelines for
  clear and unambiguous application of the
  Disciplinary Code and Procedures. Such a clarity
  will allow for greater uniformity and consistency
  for dealing with discipline across the Public
  Service. The Code needs to be reviewed.

17
KEY OBSERVATIONS AND RECOMMENDATIONS

• Funds are not necessarily allocated to support
  effective administration of the disciplinary
  process. Departments should be equipped with the
  necessary human and financial resources to meet
  the regulatory requirements.
• Investment in training to improve skills and
  expertise is needed. There is a need for training
  and record keeping and capturing of usable
  statistics at departmental level.

18
KEY OBSERVATIONS AND RECOMMENDATIONS

• Quick intervention for high profile and sensitive
  misconduct cases is required. There should be a
  categorization of cases based on gravity, impact
  on service delivery and effect on public
  perception.
• The creation of a structure to deal with high
  profile and complex cases may be necessary to
  overcome the persistent challenges to the
  disciplinary process. This will ensure a
  permanent pool of public servants responsible for
  presenting and hearing the cases of misconduct.

19
KEY OBSERVATIONS AND RECOMMENDATIONS

• The current database of presiding and
  investigating officers housed by the DPSA should
  continue to cater for this need but should take
  into account the challenges facing departments in
  the utilization of presiding and investigating
  officers.

20
CONCLUSION

• This study has shown that effective policy and
  infrastructure go a long way in addressing the
  challenges experienced in the disciplinary
  process.
• It also showed that the management of discipline
  has improved in some instances but there are
  vulnerable gaps that need to be closed.
• The management of discipline remains primarily a
  management prerogative and responsibility.But the
  professional ethos of the public service relies
  on the commitment of all stakeholders.