14 AUGUST 2012 Building a New Home Affairs BRIEFING BY THE DEPARTMENT OF HOME AFFAIRS TO THE PORTFOLIO COMMITTEE ON HOME AFFAIRS STATUS OF DUPLICATE DOCUMENTS,

14 AUGUST 2012

Building a New Home Affairs

BRIEFING BY THE DEPARTMENT OF HOME AFFAIRS TO THE PORTFOLIO COMMITTEE ON HOME AFFAIRS

 STATUS OF DUPLICATE DOCUMENTS, UNCOLLECTED IDENTITY

DOCUMENTS (IDS) AND BACKLOG PERMITS CASES.

TABLE OF CONTENTS

1. PURPOSE

2. DUPLICATES AND UNCOLLECTED ID’s

2.1 BACKGROUND

2.2 BREAKDOWN: PEOPLE SHARING ID

2.3 BREAKDOWN: ONE PERSON MULTIPLE ID’s

2.4 CURRENT INITIATIVES

2.5 PROGRESS TO DATE: ENQUIRIES

2.6 PROGRESS TO DATE: CASES RESOLVED

3. UNCOLLECTED IDENTITY DOCUMENTS

3.1 CAUSES

3.2 CURRENT STATISTICS FOR UNCOLLECTED ID DOCUMENTS

3.3 CURRENT INITIATIVES

2

TABLE OF CONTENTS Cont……

4. CHALLENGES

5. PERMITS

5.1 VISION – TRANSFORMATION OF PERMITTING

5.2 PERMITTING BACKLOG (TEMPORARY RESIDENCE) AND DAILY

MANAGEMENT

5.3 MANAGEMENT OF PERMANENT RESIDENCE PERMITS

5.4 RATIONALISATION OF PERMIT DESIGNATED OFFICE (PDOS)

5.5 PROCESS MAPPING FOR PERMIT APPLICATIONS

5.6 DHA MODERNISATION PROJECT: VISA AND PERMIT

AUTOMATION

5.7 LEGISLATIVE AND POLICY ISSUES

6. WAY FORWARD3

PURPOSE

To update the Portfolio Committee on the status of duplicate documents ,uncollected identity documents (IDs); and

To provide feedback to the Portfolio Committee on permits backlog and the ongoing Transformation of Permitting in the Department of Home Affairs.

4

DUPLICATE DOCUMENTS

5

BACKGROUND DUPLICATE

LEGACY OF APARTHEID GOVERNMENT

South Africa had different population registers (for National, Self Governing states and TBVC states) with different enabling documents (e.g. reference book, identity cards, book of life)

Prior to amalgamation reference book holders were allocated with identity number without their knowledge

A pre-printed list of ID numbers was utilized to allocate Identity Documents

Consequently people applied without using those allocated id numbers or the pre-printed numbers were misallocated amongst the citizens resulting in duplicates.

No fingerprints were taken on allocation of the ID number and there were no verification of fingerprints

In the late eighties, electronic birth certificate with an identity number was introduced, without fingerprints

Fingerprints were kept manually whilst the identity numbers were kept in the National Population Register

6

BACKGROUND Cont…

CURRENT PROCESS

Government continued to issue birth certificates for children without taking fingerprints which is the first point of entry into the NPR

In 2002 the Department developed HANIS system to store fingerprints, however not integrated with the NPR

A process of conversion of the manual record ensued for storing in HANIS, however due to the quality of some fingerprints, they were not captured

2005 Digitization of manual records (Back Record Conversion – BRC) resulted in the following outcome

68 872 duplicates where more than one person shared an identity number.

460 000 duplicates where one person had multiple identity numbers

Due to identity theft, corrupt officials were able to identify ID numbers on NPR which are not linked to fingerprints and issue fraudulent identity documents. These fraudulently ID’s resulted in duplicates

7

8

# Area & Category Current Volume as at 2012 Description

PEOPLE SHARING ONE IDN

68 872 Total figure of identified duplicate cases subjected for investigation and contacting clients there

after for additional supporting documents

1 Finalized cases 19 639 after investigation these cases belongs to one person with multiple numbers and were resolved.

2 Finalized cases 10 915 Finalized cases from 1st of April 2011 to 31st December 2011 .

3 Finalized cases 6 418 Finalized cases as from 1st January 2011 to 31st May 2012 .

4 Pending cases 2 223 Clients already contacted

5 Published cases 29 677

Investigated cases where a response from the client to a query letter / telephone enquiry is

required before the case can be finalized. All these cases are published due to poor response of

clients.

BREAKDOWN OF THE 68 872: PEOPLE SHARING AN ID NUMBER

NOTES: From the 29 677 duplicates

A CD of 29 677 duplicates was handed to Trans Union, SASSA, BANKS to run it against their database and give analysis feedback and information to DHA to utilize. Furthermore they were published

25 497 of these duplicate cases were identified by Trans Union

9

# Area & Category Current Volume as at 2012 Description

1 Identification-BRC Hits 460 000

Fingerprint cards of people who had been allocated more than one ID number. Detected during Back Record Capturing (BRC) period when cards were being scanned into HANIS and “Hit” against another ID number

ID numbers blocked, The impact on the client is only realised when the applicant applies for a service at any DHA office

2 Deceased 2833 These are duplicates but the clients have since passed on

3 ID’s linked to Foreign Nationals 51703 Cases have been resolved

4 IDN link to reference Book 49151

These are cases were people were allocated identity numbers without them aware. They then applied for an Identity number and were allocated another number which they use to apply and issued a document.

5 Already resolve when project started 237199

These are duplicate cases where the duplicates were solved over the years prior to duplicate project.

6 IDN not linked to reference book 119114 • These are cases were there is a need to resolve the duplicate cases.

BREAKDOWN OF THE 460000: ONE PERSON MULTIPLE IDN

NOTES: From the 460 000 duplicates:

376 446 are resolve

A CD of 83 554 duplicates was handed to Trans Union, SASSA, BANKS to run it against their database and give analysis feedback and information to DHA.

CURRENT INITIATIVES

Publication of the 29 677 in May 2012, on National newspapers and the public was informed through electronic media as well as a WEBSITE was developed

Engaged external stakeholders like Sassa, Trans Union, SABRIC, MTN, Vodacom

Created the sms capability for clients to check if their ID’s are not duplicating by dialing 32551 followed by “D” and ID number

Home visit by officials from the offices Through the IT modernization of the Department the following projects will be

implemented: Development of the New National Identification System which includes both

Biometrics and personal particulars The rollout of the ID Smart Card Conducting a feasibility study of at which age a fingerprint of a child can be

taken without a risk of changing and to determine system implications The registration of birth within thirty days as the only entry point to the

National Population Register Registration of birth will also require the taking of fingerprints of one of the

parents and online verification of that parent/guardian will be conducted.

10

11

Progress to Date: Enquiries

Date Province Enquiries Received

Applications Received

12 May –31 July 2012 N CAPE 126 6412 May –31 July 2012 KZN 675 59412 May –31 July 2012 LIMPOPO 315 41312 May –31 July 2012 GAUTENG 699 47612 May –31 July 2012 NORTH WEST 166 12112 May –31 July 2012 MPUMALANGA 422 30312 May –31 July 2012 FREE STATE 73 4712 May –31 July 2012 EASTERN CAPE 913 24612 May –31 July 2012 WESTERN CAPE 483 315TOTAL: 3872 2579

Summary of Applications processed

Date 1Person 2 ID(83 554)

2 Person Sharing(29 677)

17 May - 31 May 2012 2984 47

01 June - 29 June 2012 3785 204

02 July - 17 July 2012 1629 109

18 July – 25 July 2012 569 25

26 July - 01 August 2012 500 43

TOTAL: 9467 428

TOTAL RESOLVED : 9895

NOTE: 9467 - 1 Person 2 ID cases were resolved at Head Office from 17 May - 01 August 2012 428 - 2 Persons Sharing cases were resolved at Head Office from 17 May – 01 August 2012

12

UNCOLLECTED IDENTITY DOCUMENTS

13

CAUSES

Migration of people from one place to the other without updating their address with DHA, which is none compliant with section 11(1) of Identification Act

Death before collecting the ID document Applying for ID from one office to the other

without collecting the document Misplacing one’s ID and in the process apply for

another ID. Once the misplaced ID is found, one does not bother to collect.

14

CURRENT STATISTICS FOR UNCOLLECTED ID’s

PROVINCES TOTAL OF UNCOLLECTED ID’s

Eastern Cape 27 906

Gauteng 12 789

Kwa-Zulu-Natal 43 034

Limpopo 1 348

Mpumalanga 11 432

Free State 5 073

North West 7 401

Northern Cape 1 334

Western Cape 15 639

TOTAL FOR PROVINCES 125 956

Head office 301 699

TOTAL OF UNCOLLECTED ID’s 427 655

15

Current initiatives

1. Introduced an SMS capability, which provides a client with three (3) SMS messages to collect the ID

2. Through outreach programmes the lists are submitted to the various stakeholders (Traditional Leaders, CDW’s, Local Municipalities etc)

3. The impact of the new tariffs has shown a drastic reduction of uncollected ID’s

4. To conduct the age analysis as well as a split in terms of first application and re-issue and then apply disposal policy

16

CHALLENGES

17

DUPLICATES AND UNCOLLECTED ID’s Poor response from client Outdated contact details Misrepresentation by clients Lack of public awareness about the value of an ID document and risk

of ID theft Migration of clients from province to province Identity theft by syndicates

18

CHALLENGES

BACKLOG PERMITS CASES

18

20

VISION - INITIAL PERMIT TRANSFORMATION PLAN

NO. PERMIT STABILIZATION PLAN - VISION PROGRESS

1.Facilitate adoption of the new Permitting Functions and Structure √

2. Rationalize Permit Offices to 10 X3. Automate Permitting Processes X4. Pilot Application Scanning System X5. Develop New Security Features √

6.Clarify the new roles of Permit Offices (Front, Back and Missions) √

7. Appoint Dedicated Permit Officials X

8.Restructure Permitting to eliminate duplications and shift managers √

9.Review Adjudication Processes, Systems & Capacity (backlog & daily) √

10. Develop an Enquiry Management System √11. Consolidate the Postal Receipt and Dispatch System √

12.Consolidate the work of the 48hr Hub and increase its capacity √

13. Review applications for Functional Services X

14.Integrate applications for FS into existing Permit Application System X

15.Reposition LAU to increase its workload and productivity level √

21

PERMITTING BACKLOG AND DAILY

MANAGEMENT

22

46076

BACKLOG MANAGEMENT – AS AT 18 JUNE 2012

PERMIT CATEGORY

LOCKEDBACKLOG

(As at Dec. 2011)

PENDINGAPPLICATIONS

(As at 18. 06. 2012)

FINALISEDAPPLICATIONS

(As at 18. 06. 2012)

1.Visit 10811 0 10811

2.Study (sent to CD office) 3933 0 3933

3.Medical (finalised) 245 0 245

4.Relative 18754 0 18754

5.Transfer 2713 0 2713

7.Work 5950 0 5950

8.Intra-Company Transfer 536 0 536

9.Quota Work Permit 868 0 868

10.Quota Reporting (sent to LAU office) 999 0 999

11.Business 5780

578

12.Exceptional Skills 313 0 313

13.Corporate Permits (sent to LAU office) 285 0 285

14.Treaty (finalised) 25 0 25

15.Exchange (finalised) 22 0 22

16.Retired (finalised) 44 0 44

TOTALS 0 46076

23

DAILY MANAGEMENT – STEP 1 & 2 (RECEIPT) – D1DATE: 02/08/2012 RECEIVING AND UPDATING

CATEGORYBAL B/D REC

TOTAL ON HAND T&T BAL C/F   BAL B/D REC

TOTAL ON HAND LISTING BAL C/F

VISIT 0 125 125 125 0  0 125 125 125 0

STUDY 0 54 54 54 0  0 54 54 54 0

MEDICAL 0 11 11 11 0  0 11 11 11 0

RELATIVE 0 172 172 172 0  0 172 172 172 0

TRANSFER 0 21 21 21 0  0 21 21 21 0

WORK 0 78 78 78 0  0 78 78 78 0

INTRA COMPANY TRANSFER 0 3 3 3 0  0 3 3 3 0

QOUTA W/P 0 15 15 15 0  0 15 15 15 0

QOUTA REPORT 0 0 0 0 0  0 0 0 0 0

BUSINESS 0 8 8 8 0  0 8 8 8 0

EXP SKILLS 0 3 3 3 0  0 3 3 3 0

CORP PERMITS 0 0 0 0 0  0 0 0 0 0TREATY 0 0 0 0 0  0 0 0 0 0

EXCHANGE 0 0 0 0 0  0 0 0 0 0

RETIRED 0 2 2 2 0  0 2 2 2 0

TOTAL 0 492 492 492 0 0 0 492 492 492 0

24

DAILY MANAGEMENT – STEP 3 (ADJUDICATION) D2DATE: 03/08/2012 ADJUDICATION

CATEGORY BAL B/D RECEIVEDTOTAL ON HAND APPROVED REJECTED REFERRED INCOMPLETE

TOTAL ADJUDICATED BAL C/F

VISIT 77 125 202 99 18 15 3 135 67

STUDY 76 54 130 51 8 3 4 66 64

MEDICAL 9 11 20 10      10 10

RELATIVE 60 172 232 103 31 41 9 184 48

TRANSFER 3 21 24 9      9 15

WORK 26 78 104 49 32 16 6 103 1INTRA COMPANY TRANSFER 0 3 3    1  1 2

QOUTA W/P 13 15 28 9 14 5  28 0QOUTA REPORT 0 0 0        0 0

BUSINESS 6 8 14 6 5 1  12 2

EXP SKILLS 2 3 5 3 1 1  5 0CORP PERMITS 1 0 1    1  1 0

TREATY 0 0 0        0 0

EXCHANGE 0 0 0        0 0

RETIRED 2 2 4    1  1 3

TOTAL 275 492 767 339 109 85 22 555 212

25

DAILY MANAGEMENT – STEP 4 & 5 (CAPTURING) D3SATURDAY OVERTIME DATE: 04/08/2012

T& T CAPTURING MCS CAPTURING  

CATEGORYBAL B/D REC

TOTAL ON HAND T&T BAL C/F BAL B/D REC

TOTAL ON HAND MCS BAL C/F

VISIT 0 135 135 135 0 0 135 135 135 0

STUDY 0 66 66 66 0 0 66 66 66 0

MEDICAL 0 10 10 10 0 0 10 10 10 0

RELATIVE 0 184 184 184 0 0 184 184 184 0

TRANSFER 0 9 9 9 0 0 9 9 9 0

WORK 0 103 103 103 0 0 103 103 103 0

INTRA COMPANY TRANSFER 0 1 1 1 0 0 1 1 1 0

QOUTA W/P 0 28 28 28 0 0 28 28 28 0

QOUTA REPORT 0 0 0 0 0 0 0 0 0 0

BUSINESS 0 12 12 12 0 0 12 12 12 0

EXP SKILLS 0 5 5 5 0 0 5 5 5 0

CORP PERMITS 0 1 1 1 0 0 1 1 1 0

TREATY 0 0 0 0 0 0 0 0 0 0

EXCHANGE 0 0 0 0 0 0 0 0 0 0

RETIRED 0 1 1 1 0 0 1 1 1 0

TOTAL 0 555 555 555 0 0 555 555 555 0

26

DAILY MANAGEMENT – STEP 6 (DISPATCH) D4DATE DISPATCHED:06/08/2012

DISPATCH

CATEGORY BAL B/D RECTOTAL ON HAND APPR REJ REF INCOM

TOTAL DISPATCHED BAL C/F

VISIT 120 135 255 201 25 20 9 255 0STUDY 35 66 101 77 14 5 5 101 0MEDICAL 9 10 19 17 2 0 0 19 0RELATIVE 137 184 321 194 55 61 11 321 0TRANSFER 10 9 19 19 0 0 0 19 0

WORK 98 103 201 93 54 44 10 201 0INTRA COMPANY TRANSFER 0 1 1 0 0 1 0 1 0

QOUTA W/P 11 28 39 19 14 6 0 39 0QOUTA REPORT 0 0 0 0 0 0 0 0 0BUSINESS 6 12 18 9 7 2 0 18 0

EXP SKILLS 2 5 7 5 1 1 0 7 0CORP PERMITS 0 1 1 0 0 1 0 1 0TREATY 0 0 0 0 0 0 0 0 0

EXCHANGE 0 0 0 0 0 0 0 0 0RETIRED 0 1 1 0 0 1 0 1 0

428 555 983 634 172 142 35 983 0

27

PERMANENT RESIDENCE PERMITS: BACKLOG MANAGEMENT PLAN

- Capacity has been increased to manage the PR backlog, totaling 356 staff

- First step was to count (11 239) and list all PR applications from 2001 to 2012

- The approach adopted is to separate Backlog and Daily Applications

- Two teams are then separately adjudicating Backlog and Daily applications

- Our target is to finish the backlog by end December 2012

28

PRP MANAGEMENT – (PR COUNTING)

PERMANENT RESIDENCE PERMIT (PRP) COUNTING

CATERGORY 2001 2002 200320042005 2006 2007 2008 2009 2010 2011 2012 TOTAL

Sec 26(a) work 0 0 0 0 2 1 0 0 7 32 893 524 1456

Sec 26(b) spouse 0 0 1 5 3 3 3 8 12 57 1822 1200 3099Sec 26(c) dependent 1 0 1 1 0 7 1 0 20 51 1086 801 1958Sec 26(d) dependent 0 0 0 0 0 0 0 0 0 0 141 99 240

Sec 27(a) work 0 0 0 0 0 0 0 0 0 3 357 241 601Sec 27(b) exceptional skills 0 0 0 0 0 0 0 1 1 10 457 306 775

Sec 27(c) business 0 0 0 1 0 0 3 4 1 13 185 127 330

Sec 27(d) refugee 0 0 0 0 0 0 0 0 2 29 468 256 755

Sec 27(e) retired 0 0 0 0 0 1 0 1 0 2 88 114 205Sec 27(f) financially independent 0 0 0 0 0 0 0 0 0 0 3 55 58

Sec 27(g) relative 0 0 0 2 1 2 1 3 6 48 1059 646 1762

TOTAL 1 0 2 9 6 14 8 17 49 245 6559 4369 11239

29

RATIONALIZATION OF PERMITTING

OFFICES

30

RATIONALE AND STRATEGIC APPROACH Rationale for 10 Visa and Permit Offices

• Standardize visa and permit applications at front offices• Develop dedicated capacity at front offices• Retrain front office staff on DHA Compulsory Course and IMS legislation• Establish a Premier Visa and Permit Office – Market Street• Develop seamless processes between front and back offices• Develop M&E systems for visa and permit applications

Strategic Approach to Rationalization• Consultative process started with all Provincial Managers• A list of Permitting Designated Offices (PDOs) were submitted by PMs• Consultations are presently on-going and will also cover external

stakeholders• Immigration Advisory Board already consulted on rationalization of offices• 3 meetings have been held with FIPSA in GP, WC and KZN• Provinces are consulting stakeholders on rationalization of permit offices• A proposed structure for 10 offices have been developed• The structure will be integrated into provincial structures as per DHA

operational model

31

NO. PROVINCE PDO

1. Eastern Cape Port Elizabeth

2. Free State Mangaung

3. Kwazulu-Natal Durban

4. Limpopo Polokwane

5. Mpumalanga Nelspruit

6. North West Klersksdorp

7. Northern Cape Upington

8. Western Cape Cape Town

9. Gauteng1 Market Street

10. Gauteng2 Akasia

SUBMITTED VISA AND PERMIT DESIGNATED OFFICES (PDOs)

32

Process Mapping of Visa and Permit Applications• Develop a clear process for visa and permit applications at PDOs• Set targets for processing visa and permit applications• Develop systems for monitoring and evaluating visa and permit

applications

Identification of Visa and Permitting Workstations• Confirm existing workstations for visa and permit applications • Re-design standardized workstations for all PDOs• Audit infrastructure required for standardized re-designed workstations

Appointment of Visa and Permit Officials• DHA never had staff in provinces appointed solely for permit applications• Staff were taken from either Inspectorate or Civic Services in provinces• Jointly with LA develop Training Modules for Visa and Permit applications• Train appointed staff as a preparation for applications management

KEY MILESTONES

33

PERMITTING APPLICATIONSAT FRONT OFFICES: PROCESS MAPPING

34

Applications Process Mapping – Front Office (DAYS 1 & 2)

Application received at Front Office

FOC checks application

requirements

(Quality Assurance)

Application is checked on MCS (Block)

Prepare for dispatch – waybill and

list

Hand over applications to XPS and sign the list

Payment is made where applicable

No payment is made where applicable

35

Receipt of outcome from the Hub

Receive outcome from XPS and acknowledge

receipt

Capture the receipt of

outcome from the Hub on T&T

Capture outcome handed over to the applicant on

T&T

Submit list to the Hub for

reconciliation Hub

Front Office keeps records of outcome

handed to the applicant

36

Front Office Process Mapping

1. The Front Office Process is two days from date of receipt

2. Applications must be captured on Track and Trace

3. Applications must be checked on MCS and comments must be made

4. Proof of dispatch to the Hub must be kept on file

5. Outcome from the Hub must be captured on receipt

6. Proof of receipt of the outcome from the Hub must be kept on file

7. Such list must be sent to the Hub for reconciliation (like in Civic Services)

8. Application for Large Account Unit (LAU) must be cleared marked as such

37

DHA MODERNIZATION PROJECTAUTOMATION OF VISA & PERMITS

38

DHA

PERMITS INPUTS INTO THE DHA MODERNIZATION PROJECT

39

LEGISLATIVE AND

POLICY ISSUES

40

Personal Appearance and Handover of Applications• Same process with the rest of DHA services (ID, BMD, Passport) • DHA will be taking biometrics of applicants as part of e-permitting

First time Applications to be strictly done Abroad/Missions• Reduce turn-around times and backlog inland• Drastically prevent irregular migration• Urgently developing a strategy to pilot Corporate Visa applications abroad

No change of status in the country • To be strictly applied to medical and study visa• Others clients must go back to their countries of origin• Streamline and develop a clear dispensation for Relative’s Visa to curb

abuse

LEGISLATIVE AND POLICY ISSUES

WAY FORWARD

1. Continuation of cleaning of the NPR and HANIS2. To continue with the efforts of tracing the affected

individuals through home visits, linking the duplicate ID’s with other relevant stakeholders (Banks, Credit bureau, cellular networks etc)

3. Strengthen communication efforts to create public awareness about the value of ID documents and the risk of ID theft

4. Implementation of IT modernisation for DHA5. Clearance of backlog and ensuring the implementation of

an improved process of managing permits6. Finalisation of the development of the Immigration policy

42

Thank you