Performance Management Division
CABINET SECRETARIAT
Government of India
Table of Contents
A.
Background…………………………………………………………………
1
B.
Purpose of the Handbook…………………………………………….........
1
C.
Overview of the Technical Assistance Process ……………………..........
2
D.
Details of the Process……………………………………………….............
3
Step 1:
Request for technical assistance from State……………………..
3
Step 2:
Workshop on RFD for State Officials ………………………….
4
Step 3:
Decide on RFD Guidelines for State ……………………….......
7
Step 4:
Issue RFD Guidelines for State ………………………………..
7
Step 5:
Deadline for submitting revised Draft RFD to Nodal Agency…
7
Step 6:
First review of RFDs by Ad-Hoc Task Force…………………..
8
Step 7:
Revised draft of RFDs…………………………………………..
8
Step 8:
Finalize local ATF Members …………………………………… 8
Step 9:
Review of revised RFDs by ATF in state capital
8
Step 10:
Meeting of the High Power Committee (HPC) on Government
Performance
Upload RFDs on departmental websites ……………………….
10
Step 11:
10
E.
Contact for Further Information ………………………………………… 10
F.
Contents of the enclosed CD ………………………………………………
10
Handbook on Technical Assistance to States for Implementing
RESULTS-FRAMEWORK DOCUMENT (RFD)
A. BACKGROUND
The Prime Minister approved the Performance Monitoring and Evaluation System (PMES)
for Government Departments in September 2009. Under PMES, each department is required
to prepare a Results-Framework Document (RFD).
An RFD provides a summary of the most important results that a department/ministry expects
to achieve during the financial year. This document has two main purposes: (a) move the
focus of the department from process-orientation to result-orientation, and (b) provide an
objective and fair basis to evaluate department’s overall performance at the end of the year.
Starting with 59 departments in 2009-2010, today 79 departments and their Responsibility
Centres (subordinate offices, attached offices and autonomous organizations) under these
departments are covered by this policy. For more details on RFD policy, please visit our
website: www.performance,gov.in.
In the Chief Secretaries Conference in February 2010, it was decided that the Performance
Management Division (PMD), Cabinet Secretariat, will provide assistance to States interested
in implementing PMES / RFD at the state level. Pursuant to this decision, PMD has been
providing technical assistance to interested States and, as of August 1, 2012, following seven
states have already adopted RFD policy:
1.
2.
3.
4.
5.
6.
7.
Maharashtra
Punjab
Kerala
Himachal Pradesh
Karnataka
Assam
Haryana
B. PURPOSE OF THE HANDBOOK
The main purpose of this handbook is to provide an overview of the collaboration between PMD
and the State Government to implement state-level PMES / Results-Framework Document (RFD).
It will summarize the following:
1. The main steps in the collaboration process
2. Role and responsibilities of Performance Management Division, Cabinet Secretariat
3. Role and responsibilities of the State Government
In addition, we provide samples of typical templates used during the collaboration. The
accompanying CD contains electronic copies of the material that is used during the collaboration
and samples of state-level RFDs.
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C. OVERVIEW OF THE TECHNICAL ASSISTANCE PROCESS
The typical steps in the collaboration between PMD and States are summarized in the following table. The details of each step are discussed in the next
section:
STEP
WHAT
WHEN
1. Request for technical assistance from State Anytime
WHO
State Government
WHERE
2.
2-day Workshop on RFD for state officials T
PMD / State Government
State Capital
3.
Decide on RFD Guidelines for State
T+ 5 days
State Nodal Agency / State Government
State Capital
4.
Issue RFD Guidelines for State
T+ 7 days
State Nodal Agency / State Government
State Capital
5.
Deadline for submitting Draft RFDs to
State Nodal Agency
T+ 20 days
Draft RFDs to be sent to State Nodal
Agency by State Departments
State Capital
6.
First review of draft RFDs by Ad-Hoc
Task Force
T+ 30 days
State Nodal Agency / PMD
Delhi
7.
Deadline for receiving revised draft of
RFDs
T+ 45 days
State Nodal Agency / State Departments
State Capital
8.
Finalize local ATF Members
T+ 45 days
Chief Secretary / State Government
State Capital
9.
Review of revised RFDs by ATF
T+ 55 days
State Nodal Agency / PMD
State Capital
10. Meeting of the High Power Committee
(HPC) on Government Performance to
approve finalized RFDs
T+ 70 days
State Government / State Nodal Agency
State Capital
11. Upload RFDs on departmental websites
T+ 75 days
State Departments
State Capital
T = Agreed date for holding the Workshop on RFD in the State Capital
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D. DETAILS OF THE PROCESS
STEP 1: REQUEST FOR TECHNICAL ASSISTANCE FROM STATE
State Governments interested in implementing Results-Framework Documents in various
departments in the State can initiate the process by writing a letter to the Secretary (Performance
Management), Cabinet Secretariat. Based on that letter, the Performance Management Division
(PMD) seeks Cabinet Secretary’s approval to launch our collaboration with the State. A sample of
letter that the Chief Secretary of a State Government can write to PMD is given in the Box.
Dear ….
We have reviewed the Performance Monitoring and Evaluation System (PMES)
and the Results-Framework Documents implemented by the Government of India
and also some States. Based on this review, we believe that this system is relevant
for our State as well. Therefore, we will appreciate it, if you could assist us with
the implementation of this policy in our State.
From the Handbook on Technical Assistance for implementing RFDs, it appears
the next step in this process is to hold a workshop on RFD for senior officials of
the State Government in the State Capital. Please indicate a convenient time for
holding this workshop.
We have nominated Mr. …, Principal Secretary (Finance and Planning or
Administrative Reforms) as a coordinator for this exercise from our side.
We look forward to this collaboration.
Best regards,
Yours sincerely,
Chief Secretary
This letter may be sent to the following address:
Secretary (Performance Management),GoI
Chanakya Bhawan
Chanakyapuri
New Delhi 110021
Tel: +91-11-24675762
Fax: +91-11-24102290
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STEP 2: WORKSHOP ON RFD FOR STATE OFFICIALS
The real collaboration begins with the organization of the 2-day workshop on RFD. In this section
we describe not only the workshop but also the respective roles and responsibilities of the State
Government and Performance Management Division, Cabinet Secretariat.
1. Agenda
The typical agenda for the two-day workshop is as follows:
Day 1:
Time
Activity
09:00 AM — 10:00 AM
REGISTRATION
10:00 AM — 10:30 AM
INAUGURAL SESSION
•
•
•
10:30 AM — 11:00 AM
11:00 AM --- 1:00 PM
Welcome and Overview
o Chief Secretary
Introduction to the Workshop
o Secretary, Performance Management, GOI
INAUGURATION
o Hon’ble Chief Minister
Tea/Coffee Break
•
Performance Management of Government Agencies:
Overview of International Experience and Lessons for
Designing a Results-Framework Document
1:00 PM — 2:00 PM
Lunch Break
2:00 PM — 2:30 PM
•
•
2:30 PM — 6:15 PM
Formation of Groups
Instructions for Group Work on Results-Framework
Document
– Workshop participants will be divided into six groups
– Each group will work on creating a ResultsFramework Document (RFD) for one of the selected
Government department/ministry
• Group Work continues in six syndicate rooms
(Tea Coffee will be served in breakout rooms during
discussion)
•
6:15 PM — 6:30 PM
Wrap-up Session
– Review proceedings of Day 1
– Discuss agenda for Day 2
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Day 2:
Time
Activity
9:30 AM — 11:30 AM
Review of Results-Framework Documents produced by
six groups on Day 1 in the respective rooms
(Tea Coffee will be served in breakout rooms during
discussion)
Citizen’s / Client’s Charter: What, why, how and when?
11:30 AM — 12:15 PM
12:15 PM — 1:30 PM
Grievance Redress Mechanism: What, why, how and
when?
Experience from other states: Himachal Pradesh, Punjab,
Karnataka, Kerala, Assam, etc.
1:30 PM — 2:30 PM
Lunch Break
2:30 PM — 6:00 PM
Group Discussion on the documents prepared by each
group
• Each group will critique the RFD prepared by
other groups
• Criteria for judging the quality of RFDs will be
discussed
• These RFDs will be evaluated by the
participants to select the best document
prepared during the workshop.
6:00 PM – 6:15 PM
Award Ceremony
Distribution of Certificates and Awards by Chief
Secretary
2. Participants
Participants for this workshop should include Principal Secretaries, Secretaries and HODs.
The success of RFD implementation in the state depends on the seriousness with which
officers participate in this workshop. Experience suggests that it is a good idea to expose as
many officers as possible to the concept of RFD. PMD team has conducted similar
workshops with as many as 200 participants also.
3. Role and Responsibilities of Performance Management Division (PMD)
Performance Management Division (PMD), Cabinet Secretariat, will be responsible for:
a. Organizing the faculty / speakers for the workshop
b. Providing Resource Persons / experts to act as facilitators for group work during the
workshop.
c. Prepare Workshop Certificates for all participants. Sample enclosed in the CD
d. Prepare 12-15 trophies for the group adjudged to have prepared the best RFD
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The cost of travel from Delhi to State Capital and the fees for the faculty will be borne by
PMD.
4. Role and Responsibilities of State Government
State Government is expected to make all local arrangements and only bear local costs
associated with the following arrangements:
a. Suitable workshop venue that has capacity for all expected participants. This would
include:
i.
One large conference hall with state-of-the art audio visual facilities
ii.
Six smaller rooms for group work. Ideally, the groups should not have more
that 10-15 participants. More rooms may be required, if the number of groups
is larger than six.
iii.
Each of the break-out room should have a video projector, screen, laptop with
internet facility.
iv.
An office room for PMD staff and ATF with two black and white printers.
b. Prepare required backdrops and signage. A sample backdrop used in the past is
included in the CD accompanying this Handbook.
c. Access to a colour printer for printing Workshop Certificates.
d. Boarding and lodging arrangements for the PMD team.
e. Local transport arrangements for the PMD team including pick up and drop off at the
airport.
f. Arrange for overnight photocopying of group work on day 1. Typically, one has to
make around 80 copies of six 15 page documents. That is, about 7200 pages have to
be copied overnight. The group work will be available by 6:30 PM on the first day
and copies will have to be made by 9:30 AM on next day (i.e. Day 2 of the
Workshop).
Basically, the six RFDs produced by the groups have to be put together as a set and 80
copies of this set have to be prepared (i.e. one copy for each of the 80 participants in
the work). The number of copies required will vary with the number of workshop
participants.
g. Photographer for the workshop to take picture throughout for records.
In addition, State Government must also identify local Resource Persons who can be paired with the
PMD Resource Persons. They should work as a team and should be able to carry this work forward
on their own in the future. Typically, they are promising young officers from various departments.
Finally, before the Workshop, State Government must inform PMD about the tentative list of
departments that will be covered by RFD. To start with only the departments headed by a
Secretary- level officer should be included in this list. In subsequent years, Directorates, Public
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Enterprises, and other subordinate and attached offices can be included. It is important to get this
list so that we can ask the NIC (National Informatics Centre) team to create pass words and logins
for using RFMS software designed for creating RFDs.
That is why it is essential to invite the State Information Officer (the local head of NIC) to the
workshop.
5. Workshop Output
During the workshop, participants will be divided into six groups. Each group will be required to
prepare an RFD for a department of the State Government. On day two of the workshop, these
RFDs will be discussed by other groups and judged on the basis of pre-defined criteria explained
during the workshop. Thus, by the end of the workshop we should have six preliminary draft RFDs
for six departments of the State Government.
STEP 3: DECIDE ON RFD GUIDELINES FOR STATE
To start with, Guidelines for preparing RFDs from one of the States can be used during the
Workshop. These Guidelines are similar to the ones used for the departments of Government of
India. However, these appear to be more relevant as these Guidelines use terms that are more
common in the States. A sample of these Guidelines from another State is enclosed in the
accompanying CD.
Ideally, of course, we should try to make some quick changes to make these Guidelines look closer
to the final version. PMD can work with the State Government in customizing these Guidelines for
the State Government.
In any event, State Government should finalize these Guidelines within five days of the workshop
after incorporating any suggestions and feedback received during the workshop.
STEP 4: ISSUE RFD GUIDELINES FOR STATE
Once these Guidelines have been finalized they should be issued to all departments after obtaining
appropriate clearances within the State Government. While issuing these Guidelines, departments
should be asked to submit their first draft via the computer software called Results-Framework
Management System (RFMS), developed specifically for this purpose. A Users manual for the
software is provided in the accompanying CD. During the group work for the Workshop, training
will be provided on the RFMS software by PMD Resource Persons.
STEP 5: DEADLINE FOR SUBMITTING DRAFT RFD TO NODAL AGENCY
This is a critical step and will determine the success of the whole exercise. If the Nodal Agency
does not get all the drafts, then the credibility of the exercise is dented. Thus, Nodal Agency will
have to do the following:
a. After about 10 days of the RFD workshop, start reporting the status of draft RFDs received
to the Chief Secretary
b. Proactively speak with departmental Secretaries and find out if they have any issues that
need clarification. Send those queries to PMD, if required.
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c. If required, PMD can be requested to depute some Resource Persons to visit State Capital
and provide one-to-one assistance to the departments that are struggling.
d. Work closely with NIC (State Information Officer) to ensure that departments get timely
support with RFMS. In case of any difficulty, please inform PMD so that they can take up
the matter with the DG, NIC, in Delhi.
STEP 6: FIRST REVIEW OF DRAFT RFDS BY AD-HOC TASK FORCE (ATF)
The main goal of this step is to have the Ad-hoc Task Force (ATF) review the RFD drafts prepared
by the State departments. Ad-hoc Task Force consists of distinguished academicians from leading
institutions, former Secretaries to Government of India, former Chief Executives of PSUs, domain
experts and private sector executives. This non-government body has been the key institutional
innovation that has ensured quality and continuity. Having reviewed four rounds of RFDs in
Government of India and several states, they have arguably the best expertise to provide an
objective, professional and helpful feedback to departments.
This exercise is organized by PMD in Delhi and they bear the entire cost associated with this
exercise. Typically, all state departments are divided into 5-6 groups called syndicates. Each
syndicate consists of closely related departments.
The ATF review the draft RFDs and send back written comments to the departments in the State
Governments. Experience suggests that this exercise is much more effective if the Resource
persons from State Government come to Delhi and join this exercise. This allows the Resource
Persons from the State to convey the thinking behind the comments to the respective departments
of the State Government.
STEP 7: RECEIVE REVISED DRAFT OF RFDS
It is expected that the departments will incorporate the suggestion made by ATF (or have a good
reason to not do so) and submit the revised RFDs. A copy of the revised RFDs should also be sent
to PMD.
STEP 8: FINALIZE LOCAL ATF MEMBERS
While PMD will be happy to organize a review by ATF set by the GOI, eventually a local
counterpart needs to be created to make the process sustainable. Experience suggests that this is
one of the hardest things for the State Government to do. This is not something that can be done
overnight. ATF members have to be exposed to the RFD methodology and they need a lot of
experience to develop a cohesive and consistent approach to critiquing RFDs.
STEP 9: REVIEW OF REVISED RFDS BY CENTRAL ATF IN STATE CAPITAL
1. Objective
This is the culmination of the first round of RFDs. In this step, around 15 ATF members for GOI
travel to the State Capital to discuss the revised RFDs with the Principal Secretaries / Secretaries of
respective departments. The local ATF should join those from GOI for this exercise.
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Normally these meetings are for 90 minutes. The meetings are expected to start with the
department making a brief 10 minutes presentation on the main objective and functions of the
department, key challenges, possible solutions, and how the RFD fits in this context.
To support this exercise around 8 PMD officers are also required. They are the Resource Persons
who have been involved since the very beginning.
The output of the exercise is a critical review of the drafts and suggestions for improving the drafts.
These are provided to the departments as minutes of the meetings.
2. Role and Responsibilities of Performance Management Division (PMD)
a. Pay all costs associated with the travel and time of ATF members and PMD Resource
Persons
b. Identify the ATF members most appropriate for the exercise. Usually they will be from the
group that reviewed the first draft of RFDs in Delhi.
c. Organize the travel logistics from Delhi to the State Capital
d. Provide Resource Persons to support ATF members at the state meetings initially
e. Organize the travel logistics from Delhi to the State Capital for ATF and PMD team.
f. Pay all costs associated with the travel and time of ATF members and PMD Resource
Persons
3. Role and Responsibilities of the State Government
State Government is expected to make all local arrangements and bear local costs associated
with the following arrangements:
a. Suitable meeting venue that would include:
i.
Six small rooms with a minimum seating capacity of 10-12 people for ATF
meetings.
ii.
Each of the meeting room should have a video projector, screen, laptop with
internet facility.
b. An office room for PMD staff and ATF with two black and white printers.
c. Prepare required backdrops and signage. A sample backdrop used for such meetings
in the past is included in the CD accompanying this Handbook.
d. Boarding and lodging arrangements for the ATF members and the PMD team
e. Local transport arrangements for the ATF members and the PMD team including
pick up and drop off at the airport.
f. Photographer for the meetings to take pictures throughout for records.
Experience shows that an initial meeting of the ATF with the Chief Minister and the Chief
Secretary, on the first day, is very useful. State leadership is able to convey its seriousness in
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pursuing this policy and share its vision and priorities. ATF members have invariably found this
interaction useful and motivating in the past.
Step 10: Meeting of the High Power Committee (HPC) on Government Performance
Like the Government of India, State Government should consider setting up a High Power
Committee (HPC) for approving the RFDs at the beginning of the year and, then again, approve the
results at the end of the year.
Step 11: Upload RFDs on departmental websites
Once the RFDs have been approved by the HPC, departments are required to put the RFDs on their
websites. This marks the completion of one full RFD cycle.
E. CONTACT FOR FURTHER INFORMATION
For any clarifications and information, please contact:
Mr. R.L. Raichandani
Deputy Secretary,
Performance Management Division,
Cabinet Secretariat
1st floor, Wing 5, Hotel Janpath,
New Delhi-110001
FAX: 011-23741169; 011-23741181
Email: [email protected]
Tel: 011-23741161
F. CONTENTS OF ENCLOSED CD
a.
b.
c.
d.
e.
f.
g.
h.
RFD Guidelines from various States
RFDs from various States
RFDs for 2012-2013 from Government of India
Sample Workshop Certificate
Sample of the Workshop Trophy
Sample Backdrop and Signage
Sample Schedule of ATF Meetings
RFMS User Manual
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