India: P erformance M anagement & E valuation S ystem (PMES)

1. India: Performance Management & Evaluation System (PMES) Dr. Prajapati Trivedi Secretary, Performance Management Cabinet Secretariat

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

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

4. 2. Format of Results-Framework Document (RFD)

5. Section 2 of Results-Framework Document

6. Section 3:Trend Value of Success Indicators 5-year Trend

7. 3. How does RFD work? (The Process) 3 1 2 End of Year Beginning of Year During the Year Evaluate Performance Prepare RFD Monitor Progress April 1 June 1 October 1

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

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

10. 59 Departments 2009-2010 Phase I RFDs Prepared Results Conveyed 62 Departments 2010-2011 Phase II RFDs Prepared Strategy Development Sevottam 760 Subordinate Offices 5. What has been the progress in implementation?

11. What has been the progress in implementation? 80 Departments 2011-2012 Phase III 74 RFDs for Departments 6 Departments RFDS for RCs • Mandatory Indicators • Anti-corruption measures • E-Office • ISO 9001 Standards

12. Implementation at State-Level • Already begun implementation • Maharashtra • Punjab • Delhi • Karnataka • Kerala • Himachal Pradesh • Wanting to move forward • Orissa • Bihar • Assam • Jammu and Kashmir • Gujarat

13. A Taxonomy of Performance Evaluation Approaches Managerial Performance Agency Performance Cell # 1 Ex-ante Performance Cell # 2 Results-Based Management Framework Ex-post Performance Cell # 4 Cell # 3 Impact Studies

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

15. Results-Based Management Framework BEGINNING OF YEAR END OF YEAR Step 1 Criteria Selection Step 2 Criteria Weight Selection Step 3 Criteria Value Selection Step 4 Performance Evaluation (Composite Score) “FAIR” to Officials “FAIR” to country Negotiated “FREELY”

16. Example of Evaluation of RFD Step 1 Step 2 Step 3 Step 4

17. Use of Evaluation for Public Policies and Programmes • Arrive at a uniform conclusion across government about the departmental performance • Reduce fuzziness resulting from multiple principals with multiple and conflicting goals. • Make if difficult to “pass the buck” at the end of the year and blaming others • Increase level of accountability. • Provide a framework for delivery of plan targets. • Allow a more rigorous evaluation of the policies • Make it possible to undertake other reforms to increase autonomy of government departments.

18. Performance –Related Incentive Scheme

19. 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

20. 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