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 In Provincial Departments 2566 individuals were charged while the total number of charges is recorded as 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 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 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.