The Indian Experience. Dr. Prajapati Trivedi Secretary, Performance Management Cabinet Secretariat

Transcription

1 Government Performance Management: The Indian Experience Dr. Prajapati Trivedi Secretary, Performance Management Cabinet Secretariat

2 Performance Monitoring & Evaluation System Dr. Prajapati Trivedi Secretary, Performance Management Cabinet Secretariat

3 Results-Framework Document An Instrument for Improving Government Performance Dr. Prajapati Trivedi Secretary, Performance Management Cabinet Secretariat

4 Presentation Outline Why are we behind the MDG Schedule? Perceptions about Government Performance Explanations about Government Performance Meaning of Government Performance How to Improve Government tperformance International Best Practice and Options Indian Experience Lessons of Experience Summing Up

5 Indian Experience 1. What is the Performance Monitoring and Evaluation System (PMES)? 2. When was PMES introduced? 3. What is Results-Framework Document (RFD)? 4. How does RFD system work? 5. Why is it required? 6. What is the difference between RFD, Performance Budgeting, Outcome Budgeting, MPIC, etc? 7. What has been the progress in implementation? i 8. What are the key challenges? 9. What are key Next Steps?

6 Ineffective delivery of y public Services Weak Accountability Systems Gaps in the Implementation Why are we behind the MDG Schedule?

7 Why are we behind MDG Timelines? 1. Ineffective delivery of public Services 2. Weak Accountability Systems 3. Gaps in the Implementation

8 Select Key Points 1. Countries in the world can be classified according to their ability to implement policies and programs 2. Implementation depends on effective follow-up (M&E) (another name for accountability and Results-Based Management) 3. Effectiveness of follow-up and monitoring depends on quality and not quantity of M&E (Effective evaluation requires explicit rankings). 4. Degree of Accountability for results is synonymous with ihevaluation.

9 Select Key Points 5. Evaluation techniques for management control in government are different from evaluation techniques for strategic control. 6. Evaluation is one of the three systems required for performance improvement Information and incentive systems being other two. 7. Accountability for results trickles down 8. Performance Evaluation is different from Performance Explanation and Performance Monitoring.

10 The Essence Economic Development Implementation of Policies Effective Follow-up (M & E) Results-Framework Document (RFD)

11 M & E Monitoring Evaluation Budget Performance Budget Outcome Budget RFD 1 Financial Inputs 1 Financial Inputs 1 Financial Inputs 1 Financial Inputs 2 Activities 2 Activities 2 Activities 3 Outputs 3 Outputs 3 Outputs 4 Outcomes 4 Outcomes 5 Non-financial Outcomes

12 Meta Evaluation: Evaluating Evaluation Systems Success Indicator Performance Outcome Budget RFD Budget Budget 1 How closely is it related to Organizational Objectives 2 Are the objectives prioritized? i i No No No Yes 3 Are the success indicators prioritized? No No No Yes 4 Are the deviations agreed ex-ante? No No No Yes What percentage of success indicators are 5 outcome-oriented? 6 How high does the accountability rest for results? 7 How well aligned are the targets with budget? Is there an independent scrutiny of targets as well 8 as achievements? No No No Yes Is there a built in mechanism for medium term 9 expenditure and results perspective? 10 Is it linked to incentives? No No No Yes 11 Does it have political support? 12 Does the system produce a composite index? No No No Yes

13 Presentation Outline Why are we behind the MDG Schedule? Perceptions about Government Performance Explanations about Government Performance Meaning of Government Performance How to Improve Government Performance International Best Practice and Options Indian Experience Lessons of Experience Summing Up

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16 Presentation Outline Why are we behind the MDG Schedule? Perceptions about Government Performance Explanations about Government Performance Meaning of fgovernment tperformance How to Improve Government Performance International Best Practice and Options Indian Experience Lessons of Experience Summing Up

17 RFD versus India Today RFD India Td Today Mean (Average) Score Mdi Median Score Percentage of departments t above average Percentage of departments below average Spearman Rank Correlation.02

18 What explains the Perception Gap? Perception = Achieving Targets + Quality of Interface Citizen s / Clients Charter Grievance Redress Mechanism + Communication

19 What explains the Perception Gap? India Today Perception = Achieving Targets RFD (39) 89 + Quality of Interface + Communication - 50

20 Determinants of Perception 1 Results 2 Citizen s/ Client s Charter 3 Grievance Redress Mechanism Perception Perception =

21 Presentation Outline Why are we behind the MDG Schedule? Perceptions about Government Performance Explanations about Government Performance Meaning of fgovernment tperformance How to Improve Government Performance International Best Practice and Options Indian Experience Lessons of Experience Summing Up

22 Perceptions about Performance of Government Agencies Government Agencies have not delivered what was expected from them

23 Presentation Outline Perceptions i about Government Performance Explanations about Government Performance Meaning of Government Performance How to Improve Government Performance International Best Practice and Options Lessons of Experience Summing Up

24 Problems of Government Agencies - I PARLIAMENT FINANCE MINISTRY PLANNING MINISTRY POLITICAL NON-POLITICAL ADMINISTRATIVE MINISTRY EQUITY EFFICIENCY MULTIPLE PRINCIPALS MULTIPLE GOALS FUZZY GOALS & OBJECTIVES

25 Problem of Government Agencies -II NOT ME Syndrome People Public Enterprise Parliament Government

26 Symptom: Performance Deficit Vs. Financial Deficit Performance Deficit Poor Performance Low Credibility Financial Deficit Lower Funding

27 Presentation Outline Perceptions i about Government Performance Explanations about Government Performance How to Improve Government Performance

28 Determinants of Performance 20 % 80 %

29 People 80 % 20 % Leader R E S T Determinants of Performance

30 What can be done to solve the problem? Government Agencies have not delivered what was expected from them Reduce Quantity of Government Increase Quality of Government Privatization Traditional Civil Service Reforms Trickle-down Approach Direct Approach

31 Increasing Quality of Government Trickle Down Approach Direct Approach Performance Agreement Enabling Environment Client Charter Quality Mark E-Government E-Procurement ISO 9000 Peer Reviews Knowledge Management

32 1. ISO: 9001:2008 Certificate Awarded on November 26, 2010 Awarded by Bureau Veritas A France-based certification body 140 countries 900 offices 39,000 employees

33 10 th Report of Second Administrative Reforms Commission Performance agreement is the most common accountability mechanism in most countries that have reformed their public administration systems. At the core of such agreements are the objectives to be achieved, the resources provided to achieve them, the accountability and control measures, and the autonomy and flexibilities that the civil servants will be given.

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35 Sample Performance Agreement From New Zealand

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37 Sample Performance Agreement From USA Performance Agreement between The President of USA William Jefferson Clinton and The Secretary of Energy Hazel O Leary

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44 PMA Scorecard June 30, 2002

45 Sample Performance Agreement From Malaysia

46 Sample Performance Agreement

47 Sample Performance Agreement

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52 Results-Framework Document An Instrument for Improving Government Performance 1. What is RFD? 2. How does RFD work? (The Process) 3. Origins of RFD Policy 4. What has been the progress in implementation?

53 1. What is RFD? (The Content of RFD) seeks to address three basic questions: 1. What are department s main objectives for the year? 2. What actions are proposed to achieve these objectives? 3. How to determine progress made in 3. How to determine progress made in implementing these actions?

54 Format of Result-Framework Document (RFD) Section 1 Section 2 Section 3 Section 4 Section 5 Section 6 Ministry s Vision, Mission, Objectives and Functions. Inter se priorities among key objectives, success indicators and targets. Trend values of the success indicators. Description and definition of success indicators and proposed measurement methodology. Specific performance requirements from other departments that are critical for delivering agreed results. Outcome / Impact of activities of department/ ministry

55 THE POWER OF ALIGNMENT vs.

56 Section 2 of Results-Framework Document Target / Criteria Values Criteria / Success Indicators Weight Excellent Very Good Good Fair Poor 100% 90% 80% 70% 60% % Increase in number 1 of primary health care centers 2 3 f i h lth % Increase in number of people with access to a primary health center within 20 KMs Number of hospitals with ISO 9000 certification by December 31,

57 Section 3:Trend Value of Success Indicators Objective Actions Objective 1 Action 2 Success Indicator Unit Actual Value for FY 07/08 5-year Trend Actual Value for FY 08/09 Target Value for FY 09/10 Projected Value for FY 10/11 Projected Value for FY 11/12 Action 1 No. of Schools No Action 3 Action 1 Objective 2 Action 2 Action 3 Objective 3 Action 1 Action 2

58 How does RFD work? (The Process) Beginning i During End of Year the Year of Year Prepare Monitor Evaluate RFD Progress Performance April 1 October 1 June 1

59 How does RFD work? (The Process) RFDs reviewed by Departments incorporate PMD and ATF PMD / ATF suggestions Departments send RFD to Cabinet Secretariat RFDs approved by HPC on Government Performance Minister approves RFD Departments t place RFDs on Departmental Websites

60 Origins of RFD Policy June 2009 September 2009 President announced Government will within 100 days: Establish mechanisms for performance monitoring and performance evaluation in government on a regular basis Prime Minister issued an order to implement Performance Monitoring and Evaluation System (PMES)

61 Performance Monitoring & Evaluation System What has been the progress in implementation?

62 What has been the progress in implementation? Phase I Departments RFDs Prepared Results Conveyed Phase II Departments RFDs Prepared Strategy Development Sevottam 760 Subordinate Offices

63 What has been the progress in implementation? Phase III Departments 74 RFDs for Departments 6 Departments RFDS for RCs Mandatory Indicators Anti-corruption measures E-Office ISO 9001 Standards

64 Implementation at State-Level Already begun implementation Maharashtra Punjab Karnataka Kerala Himachal Pradesh Wanting to move forward Tripura Orissa Bihar Jammu & Kashmir Gujarat Assam

65 Why the Focus on Performance? First general point The power of performance management is now widely recognized.

66 Former Prime Minister Mahathir Mohamad in his speech at Commonwealth Association for Public Administration and Management (CAPAM) Conference said: The quality of an effective government administration can not be lower than that of its clients specifically the private sector. (Malta, November 1, 1996) Government Effectiveness Risk

67 The Power of Performance Measurement What Gets Measured Gets Done If you Don t Measure Results,You Can t Tell Success from Failure If You Can t See Success, You Can t Reward It If You Can t Reward Success, You are Probably Rewarding Failure If You Can t See Success, You Can t Learn From It If You Can t Recognize Failure, You Can t Correct It If You Can Demonstrate Results, You Can Win Public Support

68 Presentation Outline Perceptions i about Government Performance Explanations about Government Performance How to Improve Government Performance Meaning of Government Performance

69 What is meant by the term: PERFORMANCE OF GOVERNMENT AGENCIES? Ex-post postversusexante Ex-ante Performance Managerial versus Agency Performance Partial versus Comprehensive Performance

70 A Taxonomy of Performance Evaluation Approaches Ex-an nte Perfo rmance Managerial Performance Cell # 1 Results-Based Management Framework Agency Performance Cll#2 Cell Ex-po ost Perfor rmance Cell # 3 Cell # 4 Impact Studies

71 Best Practice Methodology

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84 A SOLUTION! PERFORMANCE IMPROVEMENT SYSTEM Performance Performance Performance Information Evaluation Incentive System System System Criteria ( How to Evaluate) Institutional Arrangements ( Who Should Evaluate)

85 Example of Results Framework Step 1 Step 2 Step 3 Step 4 Target / Criteria Values Criteria / Very Raw Weighted Weight Excellent Good Fair Poor Good Achievement Success Indicators Score Raw Score 100% 90% 80% 70% 60% 1 % Increase in number of primary health care centers % 37.5% 2 % Increase in number of people with access to a primary health center within 20 KMs % 27% 3 Number of hospitals with ISO 9000 certification by December 31, % 20% Composite Score 84.5%

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88 Results Framework Management System

89 Lessons Learned Audacity of size Pilots remain pilots Must have a composite index for performance There must be rankings for it to work Accountability must be assigned to a person Accountability trickles down Vertical and Horizontal alignment necessary It must be wholly indigenous effort

90 Vision Vision Vision Vision Vision Long-Term Strategy Long-Term Strategy Long-Term Strategy Long-Term Strategy Long-Term Strategy Five-Year Development Plan Five-Year Development Plan Five-Year Development Plan Five-Year Development Plan Five-Year Development Plan Results Framework Results Framework Results Framework Results Framework Results Framework Objectives Objectives Objectives Objectives Objectives Policies Policies Policies Policies Policies Projects / Schemes Projects / Schemes Projects / Schemes Projects / Schemes Projects / Schemes

91 Lessons Learned Large-scale intensive training important You need a champion Location of Champion Matters Collaborate with academic institutions & other government departments Effective Communications is important

92 What are the key challenges?

93 What are the key challenges?

94 Selecting Success Indicators

95 What are the key challenges? Inadequate awareness about RFD Policy Solutions RFD Compendium to be released by PM Announcement in the Press Publish a Compendium of Citizen s / Client s Charters

96 What are the key challenges? Inadequate Vertical and Horizontal Alignment Solutions Team Targets Integration with 12 th Plan 1919 or 1823 Centres

97 Story of 3 Three-legged Stools 1 2 Elements of Government Performance Management Elements of Performance Improvement 3 Determinants of Performance Perception

98 Stool # 1 Stool # 2 Stool # 3

99 Elements of Government Performance Management Stool # 1 Government Performance Management

100 Elements of Performance Improvement Stool # 2 Performance Improvement

101 Determinants of Performance Perception Stool # 3 Performance Perception

102 Thank You For comments and further dialogue please contact: Dr. Prajapati Trivedi Secretary, Performance Management Cabinet Secretariat