“The early years of the democratic public service have beencharacterised by challenges of developing progressive and practicalpolicies and frameworks in order to realise meaningful improvement inthe delivery of services to the people of our country – especiallypreviously disadvantaged communities. However one of the keychallenges in this long road to service delivery improvement, has beenthe ability of the public service to implement policies in the mosteffective and efficient manner.” – The Honourable Geraldine J Fraser-Moleketi, Minister for PublicService and Administration, in her preface to the Batho Pele Handbookdpsa SDIP Training GuidePage 2 of 35


ACRONYMS AND ABBREVIATIONSThe following acronyms and abbreviations may be used in this proposal:ABBREVIATIONMEANINGPAJAPromotion of Administrative Justice ActAPSDAfrica Public Service DayBPBatho Pele – “People First”CPSICentre for Public Service InnovationdpsaDepartment of Public Service and AdministrationGCISGovernment Communication and Information SystemsGICSGovernment Internal Consulting ServicesTSCThusong Service CentreMTEFMedium Term Expenditure FrameworkMMSMiddle Management Services in the Public ServiceOPSCOffice of the Public Service CommissionPFMAPublic Finance Management ActPSPSCPSMFPublic ServicePublic Service CommissionPublic Service Management FrameworkPSRPublic Service RegulationsPSWPublic Service WeekRDPReconstruction and Development ProgrammeRFRegulatory Framework (body of enabling legislation introduced by the SAGovernment since 1994 to facilitate transformation)SAMDISDISouth African Management and Development InstituteService Delivery ImprovementSDIPService Delivery Improvement PlanSMSSenior Management Services in the Public ServiceWPTPSWPTPSDdpsa SDIP Training GuideWhite Paper on the Transformation of the Public Service, 1995White Paper on Transforming Public Service Delivery (Batho Pele), 1997Page 4 of 35

DEFINITIONSTerms used in service delivery provision are often used imprecisely, vaguely andinterchangeably. In order to avoid confusion and in the interests of clarity we provide thefollowing definitions:1. Function: The intended purpose of a person or thing in a specific role. Purpose,responsibility, concern, undertaking, commission, obligation, duty, etc. A systemsupplying a public need such as transport or water, etc, run by the state .For example,the function of the Department of Education is to provide educational services; and thefunction of an army is to provide protection and security for the country.2. Service: Action/process of serving. Actions that fulfil a function. To supply the needs ofthe public by performing specific tasks; performance of work for another. For example,the function of a Department of Transport is to provide transport services in the form oftrains, buses, etc, and the function of a Department of Health is to provide healthcareservices through its components such as the HIV and AIDS Unit, Nutrition, LegalServices, Human Resource Development, Institutions, etc.3. Standard: Level, grade, calibre, merit, yardstick, benchmark, measurement, criterion,touchstone, such as a code of behaviour, code of honour, principle, ideal, ethics, senioritylevels at work, etc. For our purposes, a standard is something specific, measurable andrealistic that can be achieved within a given time-frame. For example, the matric passrate must reach 80% for the whole country within the next five years.4. Target: A person, object or place selected as an aim of an attack (marksman). Anobjective or result towards which efforts are directed.For the purposes of Service Delivery Improvement Standards and Targets may bedifferentiated as follows: Standards set measurable levels of Service Performance; and Targets set measurable levels of Citizen Satisfaction.5. Task: A specific piece of work that is required to be done. Assignment, duty, chore,detail, exercise. For example, by the end of this session you will be given the task ofdeveloping SDIPs for your divisions.dpsa SDIP Training GuidePage 5 of 35

6. Theme: An idea or topic, a unifying idea. A subject on which a person speaks or writesor about which she or he thinks.7. Project: An enterprise carefully planned to achieve a particular aim. For example agovernment-subsidised block of houses. A proposal, scheme or a task requiring aconcerted effort.8. Improvement: To become or make better in quality, to achieve better standards or toincrease in quantity, in comparison with existing conditions. For example, makingimprovements to your house.9. Indicator: Guide, mark; a thing that indicates a state or level; a meter or gauge to reflector indicate specific outcomes or outputs, such as a speedometer in a car or athermometer. A device to attract attention; a measuring instrument. For example,economic indicators that reflect or gauge our inflation rate, or how well or poorly we aredoing economically as a country.10. Quantity: Amount, number, aspect that can be measured, weighed, counted. An answerto “How much?” or “How many?”11. Quality: A degree or standard of excellence. High standard in accordance with a giventemplate or national or international specifications such as SABS or ISO 9001 : 2000.12. Time-bound: A specified period, duration, deadline. For example, 50 applications perday or per week or per month; or a deadline such as: “to be completed by 31 December2006.”13. Cost: Budget. Something measured in money or time; the amount paid for a commodity.If an approved service is delivered in the right quantity, at the right quality, within thegiven time-frame and budget, it is likely that it is also providing value for money.dpsa SDIP Training GuidePage 6 of 35

GUIDE ON THEDEVELOPING EFFECTIVE, REALISTIC AND CREDIBLESERVICE DELIVERY IMPROVEMENT PLANS1INTRODUCTIONThe objective of this guide is to develop basic skills regarding the development of effective,realistic and credible SDIPs and service standards conforming to basic assessment criteria atnational and provincial spheres of government.1.1“Knowing” and “Doing”One of the major issues in developing communities, especially those with a history of structuredsocio-economic disadvantage, is to get people to move from “knowing” to “doing”. This isparticularly applicable to the fields of Management and Service Delivery, especially in the PublicService in RSA, where there is a legacy of a preoccupation with rules and regulations rather thanwith delivering services to the people.The aim of this guide is to capacitate staff of all national and provincial government departments,in the development of SDIPs and standards. This will help service providers move easily andquickly across the ‘bridge’ that spans the chasm of frustration between “knowing” and “doing” andthe outcome will be continuous improvement in service delivery and enhanced satisfaction on thepart of service beneficiaries.KNOWINGDOING“Chasm of Frustration”Fig 1: ‘Bridge over troubled waters’dpsa SDIP Training GuidePage 7 of 35

1.2Addressing the inequities of the pastWhen the new South African Government was elected to power in 1994 it had a special mandateto provide appropriate services to all the people of the country. This was, still is and will continueto be a massive responsibility of government and one that requires total commitment by people atall levels of government, if it is going to be fulfilled.The new government made a promise to the people of South Africa that they would serve thepeople without discrimination, respecting the dignity of all and ensuring that the needs of themajority of the population, who had been disadvantaged in the past, are met efficiently andeffectively.1.3The Constitutional PrinciplesSuch a promise is unequivocally spelt out in the South African Constitution of 1996, whichstipulates that the public service “must be governed by the democratic values and principlesenshrined in the Constitution, including the following principles:(a) A high standard of professional ethics must be promoted and maintained.(b) Efficient, economic and effective use of resources must be promoted.(c) Public administration must be development-oriented.(d) Services must be provided impartially, fairly, equitably and without bias.(e) People’s needs must be responded to, and the public must be encouraged to participate inpolicy-making.(f) Public administration must be accountable.(g) Transparency must be fostered by providing the public with timely, accessible and accurateinformation.(h) Good human resource management and career development practices, to maximise humanpotential, must be cultivated.(i) Public administration must be broadly representative of the South African people, withemployment and personnel management practices based on ability, objectivity, fairness, andthe need to redress the imbalances of the past to achieve broad representation.”These principles are intended to guide the transformation of the public service, from being a rulebound bureaucracy, concerned with the administration of rules and regulations, to a dynamic,results-driven organisation, committed to delivering appropriate services to all the people of SouthAfrica.dpsa SDIP Training GuidePage 8 of 35

2THE CONTEXT OF TRANSFORMATION AND SERVICE DELIVERYThe Minister for Public Service and Administration, the Honourable G J Fraser Moleketi, in herpreface to the Batho Pele Handbook – A Service Delivery Improvement Guide, has the followingto say about transformation and service delivery in the Public Service:“It is almost ten years since the inception of a democratic government, whose key objective iscreating, implementing and sustaining a better life for all. The early years of the democraticpublic service have been characterised by challenges of developing progressive and practicalpolicies and frameworks in order to realise meaningful improvement in the delivery of services tothe people of our country – especially previously disadvantaged communities. However one ofthe key challenges in this long road to service delivery improvement, has been the ability of thepublic service to implement policies in the most effective and efficient manner.”2.1The Regulatory FrameworkSince 1994 the South African government has produced a substantial body of enabling legislationto promote the transformation of the public service. This body of enabling legislation is called theRegulatory Framework. It is informed by the Constitution of 1996 and includes the following Acts,Regulations, White Papers and bargaining council decisions, among others: Public Service Act, No 103 of 1994 – This remains the principal piece of legislationgoverning the Public Service, as required by the Constitution. It has been amended andamplified by the following legislation: The Public Service Commission Act, No 46 of 1997 The Public Service Laws Amendment Acts, Nos 47 and 93 of 1997 and No 86 of 1998 The Public Service Amendment Act, No 5 of 1999 The Promotion of Administrative Justice Act, No 3 of 2000 The Public Service Regulations The White Paper on the Transformation of the Public Service, 1995 The White Paper on Transforming Public Service Delivery (Batho Pele), 1997 The White Paper on Human Resource Management in the Public Service, 1997 The White Paper on Affirmative Action in the Public Service, 1998 The White Paper on Public Service Training and Education, 1998 Collective Agreements and Management Guides The Public Finance Management Act, 1999 Labour Relations Act Basic Conditions of Service Act Employment Equity Actdpsa SDIP Training GuidePage 9 of 35

Skills Development Act2.2The Public Service Management FrameworkThe Regulatory Framework is supported by an integrated system of management functions,including strategic planning, human resources planning, service delivery improvement planning,financial planning, performance management and compensation management. This supportsystem is known as the Public Service Management Framework (PSMF).The body of enabling legislation or the Regulatory Framework, together with the support providedby the Public Service Management Framework, constitutes the context of Public Service delivery.Figure 1 on the following page is a schematic representation of the Context of Transformation, asdefined by the Regulatory Framework and supported by the new Public Service ManagementFramework.Note that the relationship between the Regulatory Framework and the transformation thrust,represented by the central red arrow, is ”Service Delivery” – that is what the framework has beendesigned for and it is the nature of that service delivery that Batho Pele intends to interrogate anddefine.The relationship between the Public Service Management Framework and the red arrow oftransformation is “Innovation” and this is the challenge to all Public Service managers, i.e. to beinnovative in delivering services that meet the needs and expectations of citizens. TheRegulatory Framework only defines “What” should happen, not “How” it should happen.dpsa SDIP Training GuidePage 10 of 35

THE CONTEXT OF TRANSFORMATION AND SERVICE DELIVERY IN THE PPublic ServiceLaws AmendmentActs 97/98Public ServiceCommissionAct, 1997Public ServiceAmendment Act,1999PFMA1999AJA - 2000Public ServiceRegulationsPublic ServiceAct of 1994ServiceDeliveryConstitution c Plan –aligned to MTEFOperational PlansService DeliveryImprovement PlansOtheLeRDPERFMANHumanResources PlanSDIPsFig 2: The Context of Transformationdpsa SDIP Training GuideWhitTransfPage 11 of 35COMPENSATMANAGEME

2.3Integrated Service Delivery Improvement Plans (SDIPs)The green eclipses in the above diagram indicate the link between the body of enablinglegislation and SDIPs: the legislation, from the Constitution of 1996 through the Public ServiceRegulations and White Papers of the Transformation of the Public Service and of Public ServiceDelivery (Batho Pele), make provision for SDIPs to improve service delivery. These are part ofthe Integrated Planning Process, as prescribed by the New Public Service ManagementFramework. The SDIPs flow from the Strategic Planning process and must be aligned to thedepartment’s vision as they provide the raw material for individual Key Result Areas (KRAs).SDIPs are not bolt-on activities; they are the engine room and provide the thrust for incrementalimprovement in service delivery within the broad context of Public Service transformation.2.4Legal frameworkIn terms of the Public Service Regulations, all national and provincial government departmentshave been required to develop and implement Service Delivery Improvement Plans (SDIPs) since1999.The Public Service Regulations of 2001 make service delivery improvement compulsory: Part III.C.I states that: “an executing authority shall establish and sustain a service deliveryimprovement programme for his or her department”; and Part III.C.2 states that “the executing authority shall publish an annual statement of publicservice commitment, which will set out the department’s service standards that citizens andcustomers/clients can expect and which will serve to explain how the department will meeteach of the standards”.3THE BATHO PELE INITIATIVE (PUTTING “PEOPLE FIRST”)The Batho Pele (“People First”) initiative was launched by Government in 1997 with thepublication of the White Paper on Transforming Public Service Delivery (Batho Pele), to improveservice delivery in the Public Service. The Batho Pele White Paper provides a policy frameworkto ensure that Batho Pele is woven into the very fabric of government.The Batho Pele White Paper of 1997 states in paragraph 7.1.2 that heads of departments (HODs)are responsible for Service Delivery Improvement Plans (SDIPs) and that this responsibilityshould be clearly assigned to a person or group of people, accountable directly to the HOD.Paragraph 7.1.5 of the White Paper states that the relevant Minister/MEC/Executing Authoritymust approve the department’s SDIP and that a copy of the approved document must be sent todpsa SDIP GuidePage 12 of 35

the Department of Public Service and Administration (dpsa) to inform its yearly progress report toparliament.3.1What is Batho Pele?Simply stated, Batho Pele is an initiative to get public servants to be service orientated, to strivefor excellence in service delivery and to commit to continuous service delivery improvement. It isa simple, transparent mechanism, which allows citizens to hold public servants accountable forthe type of services they deliver.The Batho Pele White Paper signalled very strongly government’s intention to adopt a citizenorientated approach to service delivery, informed by the eight principles of consultation, servicestandards, access, courtesy, information, openness and transparency, redress and value formoney.The Batho Pele principles are elaborated on the next page.dpsa SDIP GuidePage 13 of 35

Fig 3: The Batho Pele PrinciplesBatho Pele should not be misconstrued as a separate or “bolt-on” management exercise thatneeds to be attended to on an annual basis. It needs to be embraced as an integral part of allmanagement activities and cascaded to the coalface of service delivery to ensure that everymanagement process and citizen interface is aimed at improved service delivery and citizensatisfaction.dpsa SDIP GuidePage 14 of 35

The Batho Pele policy remains government’s single most important campaign to achieve thenecessary transformation of the hearts and minds of public servants and to put the citizen at thecentre of planning and operations.Every person that works in the public service should be proud to be a servant of the people andrelish the challenge of providing improved services to all. Batho Pele is the soul of the publicservice and the heartbeat of the nation that will help us rise above the legacies of the past anddrive us forward with courage and pride.3.2The Values of Batho PeleIt is important to understand that Batho Pele is not a plan in the sense that one has strategicplans, operational plans, action plans and human resources plan, but rather an outlook thatshapes the character of the public service.The eight principles of Batho Pele, as listed above, have more to do with human values anddignity than operational processes. Batho Pele is a way of conducting oneself in the presence ofothers, it is a preparedness to acknowledge their rights and needs and a willingness to help themadd value to their lives. Batho Pele is a commitment to other people that echoes through the agesof human compassion.Batho Pele acknowledges the fundamental vulnerability of the human condition, which unites theend-user with the service provider in their mutual quest for recognition, which can only beachieved through respect for the other’s dignity as a person. This is the real power and beauty ofBatho Pele. It embodies the values that are enshrined in the Bill of Rights, namely each person’sinalienable right to their dignity as human beings. From this fundamental right to be treated withdignity come all other “rights”, such as the right to information, the right to access, the right toservice, etc,While it is true to say that Batho Pele is not a separate, bolt-on activity or just anothermanagement intervention, it is equally true that the mandate to implement certain activities canencourage and promote a change in behaviour that espouses the values and principles of BathoPele.By encouraging people to consult their customers on the services they need and the standardsthey can expect, by helping them to consider the problems of access to those services and urgingthem to communicate effectively with their service beneficieries, one can prepare the ground andlay the foundations for a truly humane and totally effective and efficient public service.dpsa SDIP GuidePage 15 of 35

Without a soul the public service will wallow in bureaucratic inefficiencies, in the mistaken beliefthat it’s an end in itself. It is the soul that gives it and all of us a perspective outside of ourselvesand makes us sensitive to the plight of others. It is the soul that humbles us in the larger schemeof things, but that makes us proud to serve our fellow beings.The principles of Batho Pele are a constant reminder of our responsibility for the wellbeing ofother people.3.3The Batho Pele Revitalisation StrategySince 1997, much has been done by government departments and frontline service deliveryinstitutions to raise levels of awareness around the Batho Pele principles and to embrace these intheir service delivery transformation initiatives.However, there has been a growing recognition that while the policy has been enthusiasticallyreceived and has become an effective brand name to signify the intention to improve servicedelivery, its actual implementation has been slow. It is against this background that the BathoPele Revitalisation Strategy was developed and disseminated to government departments duringthe course of 2001.The Batho Pele Revitalisation Strategy represents a framework within which efforts to intensifythe Batho Pele campaign could be structured. It is supported by four pillars, namely: Re-engineering and improving the back-office operations of government; Re-engineering and improving the front-office operations of government; Internal communication; and External communication.Batho Pele applies to us all. We all need to understand and embrace Batho Pele, which includesembracing the spirit of Batho Pele and the Batho Pele Belief Set of: “We belong”, “We care” and“We serve”, and taking ownership of the eight Batho Pele principles. Any attempt to improveservice delivery standards within the Public Service must take cognisance of and embrace theseprinciples.dpsa SDIP GuidePage 16 of 35

4BATHO PELE AND SDIPsWhat is the connection between Batho Pele and SDIPs? The answer is simple: the mainobjective of SDIPs is to ensure effective and efficient service delivery by making the new,transformed Public Service better, faster and more responsive to the needs of the people.At the outset it needs to be stressed that SDIPs should not be regarded as “bolt-ons” that areseparate from the strategic planning process. SDIPs are part of the Integrated Planning Processand, as such, they must be integrated in the action plans that flow from a department’s strategicplans.A department’s strategic objectives must be aligned to its vision and must be translated into KeyResult Areas (KRAs) that provide the outputs of the departmental action plans. The KRAs mustbe cascaded right down to the most junior employees in the department by interpreting them foreach individual employee in his or her performance plan.The outputs of the KRAs are the “What” of Service Delivery. In other words, the outputs shouldinclude specific services and/or products that the customers need and the standards that arespecified for each output will define the nature of the service or product, in terms of quantity,quality, time and cost, as decided in consultation with the service beneficiaries of the department.Thus, ideally, departmental action plans and the individual performance plans of employeesshould constitute the department’s SDIP.There are two sides to a SDIP: one, to improve the nature or quality of the actual service beingprovided, such as health care, and the other, to improve the manner in which the service isdelivered, that is, caring, friendly and compassionate.In South Africa, the rules bound, bureaucratic, pre-1994 Public Service had little or no interest inservice delivery that met the citizens’ needs and SDIPs were certainly not integrated into anystrategic planning processes. But the transformed, post-1994 Public Service intends to achieveresults by delivering against the expressed needs and expectations of all of its servicebeneficieries, and to achieve this, it most certainly cannot succeed without effective SDIPs.It is for this reason that the government produced the Batho Pele White Paper; to stress theimportance of “putting the people first.”dpsa SDIP GuidePage 17 of 35

The Batho Pele White Paper stipulates that the implementation, communication, drawing up anddriving of the SDIP is the responsibility of Executing Authorities, namely, Ministers and MECs.Heads of Departments are ultimately accountable for service delivery.5PUBLIC SERVICE DELIVERY (BATHO PELE) VALUE CHAINThe Batho Pele Value Chain, as depicted below, attempts to provide a mechanism to ensure thatPublic Service delivery is regularly reviewed and interventions, such as SDIPs, introduced toensure continuous improvement.2PSWJoint effort by seniormanagers to addressservice delivery issuesand backlogs at servicepoints of servicedelivery intensiveinstitutions13APSDDebates by politicians,academics and publicservants on servicedelivery challenges inthe Public ServiceIZIMBIZOInteraction betweenpoliticians and citizensand citizens can voicetheir concerns aboutservice deliveryIMPROVEDSERVICEDELIVERY4SDIPsInterventions aresought to addressservice deliveryinefficiencies asidentified during thePSW and IzimbizoFig 4: The Batho Pele Value ChainThe above value chain works as follows:dpsa SDIP GuidePage 18 of 35

1)The Africa Public Service Day (APSD) is held each year, when the South African PublicService, in collaboration with its counterparts throughout the continent, celebrates APSD inline with the Public Service Charter. This platform is used to stimulate debate anddiscussion among academics, politicians, public administration practitioners, students andmembers of the public on service delivery imperatives and challenges.2)Then Public Service Week (PSW) is used to enable government departments to assessprogress made and/or address some of the issues discussed during the APSD debates.Members of the Senior Management Services (SMS), who have undergone the Khaedutraining, are used as team leaders to identify service delivery challenges, assess progress,identify possible solutions to the challenges and submit reports to the Heads of the relevantgovernment departments.3)During the Izimbizo later in the year, politicians and Public Service managers have theopportunity to interact with citizens to monitor and evaluate service delivery progress andidentify service delivery concerns and issues.4)The service delivery issues and inefficiencies identified during the PSW and the Izimbizo arethen brought to the attention of the Executing Authorities for intervention. The relevantdepartments are expected to develop Service Delivery Improvement Plans (SDIPs), withclear standards, responsibilities and time frames, to address the issues and inefficienciesand improve service delivery to end-users.6INTERNATIONAL BEST PRACTICES FOR SERVICE DELIVERY IMPROVEMENTMany, if not most, countries throughout the world, grapple with the issue of improving servicedelivery in the Public Service. The approach to service delivery improvement adopted by theCanadian authorities is perhaps the most instructive and relevant to the situation in South Africa.In 1998 the Canadian Public Service introduced a Service Improvement Initiative (SII) calledCitizen First – very similar to our own Batho Pele (People First) project. The Canadian SIIprogramme identified the following principles of service delivery improvement: SDI must be anchored in the citizens’ priorities for service improvement. SDI must be benchmarked to measure increased citizens satisfaction levels, by using aCommon Measurement Tool (CMT) and a Citizen Satisfaction Index (CSI). Targets must be set for overall improvement, e.g. 5% over five years. SDI must be citizens driven: it must be “outside-in”, not “inside-out”.dpsa SDIP GuidePage 19 of 35

SDI must have buy-in by the leadership and it must be co-ordinated so that all speak thesame language. SDIPs are not “bolt-ons”. SDIPs must be integrated in the day-to-day operational plans. Staff must take ownership of SDI planning. SDI is not a once-a-year exercise: it must be continuous and incremental. SDI must be built into the performance management system. SDI must be one of every employee’s KPAs. All staff must accept accountability for results. There must be rewards and incentives for achievement.Four basic questions need to be asked when developing SDIPs: Where are we now? Where do our citizens want us to be? How will we get there? How do we make it happen?The Canadian authorities have developed the following 4-Step Model for SDI:1.Measure Citizen satisfaction using a Common Measurement Tool (CMT).2.Identify citizen expectations and priorities.3.Develop SDIPs and integrate them into the departmental operational plans.4.Implement and measure progress and remember to celebrate successes.When measuring citizens satisfaction, the Canadians have identified the following five keydrivers, in order of importance, of Citizens .Courtesy/Comf

The White Paper on Transforming Public Service Delivery (Batho Pele), 1997 The White Paper on Human Resource Management in the Public Service, 1997 The White Paper on Affirmative Action in the Public Service, 1998 The White Paper on Public Service Training and Education, 1998 Collective Agreements and Management Guides