results-framework document (rfd) - international monetary fund · india today-50 89 rfd....

Results-Framework Document (RFD):An Instrument for Improving Government Performance

Dr. Prajapati TrivediSecretary, Performance Management

Cabinet Secretariat

March 1, 2011

Presentation Outline

• 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

www.performance.gov.in

Presentation Outline

• 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

6436

3439

India Today

33Percentage of departments below average67 Percentage of departments above average

93Median Score89Mean (Average) Score

RFD

Spearman Rank Correlation .02

RFD versus India Today

Perception = Achieving Targets

+ Quality of Interface

+ Communication

What explains the Perception Gap?

Citizen’s / ClientsCharter

GrievanceRedress

Mechanism

Perception = Achieving Targets

+ Quality of Interface

+ Communication

What explains the Perception Gap?

(39)

India Today

- 50

89RFD

Presentation Outline

• Perceptions 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

Perceptions aboutPerformance of Government Agencies

Government Agencies have not delivered what was expected from them

Government Agencies have not delivered what was expected from them

Presentation Outline

Perceptions 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

Problems of Government Agencies - I

ADMINISTRATIVE MINISTRY EQUITY EFFICIENCY

MULTIPLE PRINCIPALS

MULTIPLE GOALS

FUZZY GOALS & OBJECTIVES

PLANNING MINISTRY

FINANCE MINISTRY

PARLIAMENT

POLITICAL NON-POLITICAL

Problem of Government Agencies -II

“NOT ME”Syndrome

People

Public Enterprise

Government

Parliament

Performance Deficit Vs. Financial Deficit

Performance Deficit

Low Credibility

Lower FundingFinancial Deficit

Poor Performance

Symptom:

Presentation Outline

Perceptions about Government Performance

Explanations about Government Performance

• How to Improve Government Performance

80 %

20 %

Determinants of Performance

LeaderREST

People

80 % 20 %

Determinants of Performance

Reduce Quantity of Government

Reduce Quantity of Government

Increase Quality of Government

Increase Quality of Government

What can be done to solve the problem?

Government Agencies have not delivered what was expected from them

Government Agencies have not delivered what was expected from them

Trickle-down Approach

Direct Approach

Privatization Traditional Civil Service Reforms

Increasing Quality of Government

Trickle Down Approach

Direct Approach

Performance Agreement Client Charter

E-Government

ISO 9000E-Procurement

Quality Mark

Enabling Environment

Peer ReviewsKnowledge Management

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

10th Report ofSecond 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.”

SamplePerformance Agreement

From New Zealand

SamplePerformance Agreement

FromUSA

Performance Agreement

between

The President of USA

William Jefferson Clinton

and

The Secretary of Energy Hazel O’Leary

PMA Scorecard – June 30, 2002

SamplePerformance Agreement

From Malaysia

SamplePerformance Agreement

SamplePerformance Agreement

1. What is RFD? (The Content of RFD)

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 implementing these actions?

seeks to address three basic questions:

Format of Result-Framework Document (RFD)

Specific performance requirements from other departments that are critical for delivering agreed results.

Section 5

Description and definition of success indicators and proposed measurement methodology.

Section 4

Trend values of the success indicators.Section 3

Inter se priorities among key objectives, success indicators and targets.

Section 2

Ministry’s Vision, Mission, Objectives and Functions.

Section 1

Section 3:Trend Value of Success Indicators

Action 3

Action 2

Action 1

Objective 3

Action 3

Action 2

Action 1

Objective 2

Action 3

Action 2

14001000800650500No.No. of Schools

Action 1

Objective 1

ProjectedValue for

FY 11/12

ProjectedValue

forFY 10/11

TargetValue

for FY 09/10

Actual Value

for FY 08/09

Actual Value

for FY 07/08

UnitSuccess IndicatorActionsObjective

PrepareRFD

Beginning of Year

April 1

Monitor Progress

Duringthe Year

October 1

EvaluatePerformance

End of Year

June 1

1 2 3

How does RFD work? (The Process)

Departments send RFD to Cabinet Secretariat

RFDs reviewed byPMD and ATF

Departments incorporate PMD / ATF suggestions

RFDs approved by HPC on Government Performance

Departments place RFDs on Departmental Websites

Minister approves RFD

How does RFD work? (The Process)

Why the Focus on Performance ?

• First general point– The power of performance management is now

widely recognized.

Former Prime Minister Mahathir Mohamad in his speech atCommonwealth 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

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

Presentation Outline

Perceptions about Government Performance

Explanations about Government Performance

How to Improve Government Performance

• Meaning of Government Performance

What is meant by the term: PERFORMANCE OF GOVERNMENT AGENCIES?

• Ex-post versus Ex-ante Performance

• Managerial versus Agency Performance

• Partial versus Comprehensive Performance

A Taxonomy of Performance Evaluation Approaches

ManagerialPerformance

AgencyPerformance

Ex-a

nte

Perf

orm

ance

Ex-p

ost

Perf

orm

ance

Cell # 1Cell # 2

Cell # 3 Cell # 4

Results-BasedManagement Framework

Impact Studies

Best Practice Methodology

A SOLUTION!

Performance Information

System

Criteria(“How” to Evaluate)

Performance Evaluation

System

Institutional Arrangements(“Who” Should

Evaluate)

PERFORMANCE IMPROVEMENT SYSTEM

Performance Incentive System

A SOLUTION!

Performance Information

System

Criteria(“How” to Evaluate)

Results-Based Management Framework

Institutional Arrangements(“Who” Should

Evaluate)

PERFORMANCE IMPROVEMENT SYSTEM

Performance Incentive System

BEGINNING OF YEAR

Step 1 Criteria

Selection

“FAIR” to Officials

END OF YEAR

Step 2 Criteria Weight

Selection

Step 3 Criteria Value

Selection

“FAIR” to country

Negotiated “FREELY”

Step 4 Performance Evaluation (Composite

Score)

Results-Based Management Framework

84.5%Composite Score

20%

27%

37.5%

WeightedRaw Score

100%

90%

75%

RawScore

600

18

15

Achievement

Target / Criteria Values

PoorFairGoodVeryGoodExcellent

250

12

5

60%

300

14

10

70%

400

16

20

80%

450

18

25

90%

.20

.30

.50

Weight

500Number of hospitals with ISO 9000 certification by December 31, 2009

3

20% Increase in number of people with access to a primary health center within 20 KMs

2

30% Increase in number of primary health care centers1

100%

Criteria /Success Indicators

Example of Results FrameworkStep 1 Step 2 Step 3 Step 4

Results Framework Management System

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• Large-scale intensive training important

Vision

Long-TermStrategy

Five-Year Development

Plan

ResultsFramework

This

Presentation

Vertical Alignment

Lessons Learned

• Large-scale intensive training important

• You need a champion

• Location of Champion Matters

– Evaluator must be higher than evaluatees

• Collaborate with academic institutions & other government departments

• Effective Communications is important

Thank YouFor comments and further dialogue please contact:

Dr. Prajapati TrivediSecretary, Performance Management

Cabinet Secretariat

prajapati.trivedi@nic.in