MANAGEMENT ACCOUNTABILITY FRAMEWORK PERFORMANCE AGREEMENTS & PERFORMANCE DEVELOPMENT PLANS

Management Accountability Framework (MAF) and Formulation of PAs/PDPs OBJECTIVES 1. Understand principles behind formulation of MAF 2. Extract components of MAF that apply to institutions 3. Share past experiences on usage of PA/PDP 4. Appreciate relationship between MAF and PAs/PDPs 5. Draft SMART commitments 6. Draft CREAM measures
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MoESD Institutional Arrangements

Cabinet
TWGs (Hon. Ministers)

(Chair-HE)
PIC Force (Chair-PSP)

STWG

MPIC

(Chair-PS)

National M&E (Chair-NSO)

Sector Plan (IDP) (Strategy/RFT)

Sector plan (RBB) (Finance)

(PBRS) (PIU)
MAF!!!

(M&E) (DEPRS)

Data Warehouse!!!

RPIC (RD) Focus

SPIC

Program/Activities & Performance Linkage Ladder

NATIONAL PRIORITIES & GOALS
LEVEL 1 Sectoral performance contributes to National Performance

SECTOR

1 Ministrys performance contributes to Sectoral Performance

LEVEL 2

MINISTRY

1 Departments performance contributes to Ministrys performance

LEVEL 3
DEPARTMENT

Personnel performance contributes to Section/Depts performance

Personnel 4

Personnel

Personnel

BUDGET COMPOSITION

DEVELOPMENT BUDGET
OPERATING BUDGET =

= 30%
70%

COMPOSITION OF OPERATING BUDGET

EMOLUMENT =

60-70%

Deming noted that yesterdays performance is tomorrows minimum performance levels.

The MoESD need to become a high performance organisation and this includes amongst others:
achieving a significant rise in our individual; and collective performance

Expectations of MoESD Management

Expectations of MOESD

Exemplify Public Service/charter values and ethics? Enforce organizational coherence and alignment to outcomes? Require and use performance information? Foster organizational confidence in the face of inevitable change? Secure and develop adequate analytic capacity?

Define the corporate context for managing risk?

Develop the workforce/workplace needed by the department and Public Service/teachers? Establish a comprehensive and comprehensible system of internal controls?

Consider the citizens perspective first?

Manage accountabilities systematically?

Exemplify Public Service/charter values and ethics?

Public Service /MoESD Values Governance & Strategic Direction

Enforce organizational coherence and alignment to outcomes? Require and use performance information?

CitizenFocused Service

Human Capital

Policies & Programs

Foster organizational confidence in the face of inevitable change? Secure and develop adequate analytic capacity? Define the corporate context for managing risk? Develop the workforce/workplace needed by the department and Public Service/teachers? Establish a comprehensive and comprehensible system of internal controls? Consider the citizens perspective first? Manage accountabilities systematically?
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Results and Performance

Risk Steward Mangmnt ship

Account ability

Learning, Innovation and Change Management

Public Service /MoESD Values Through their actions, the Ministry leaders continually reinforce the importance of public service values and ethic in the delivery of results to Batswana(e.g. democratic, professional, ethical etc)

Governanc e& Strategic Directions

The essential conditions (internal coherence, corporate discipline and alignment to outcomes are in place to provide strategic direction and support to the Minister, cabinet, Parliament and delivery of results

Citizen-Focused Service
Policies and Programs are developed outside in, and partnerships are encouraged and effectively managed

Human Capital
People, work environment and focus on building capacity & leadership to assure its success

Policies & Programs

Research& analytic capacity is developed and sustained to assure high quality policy options, program design and advice to the Minister

Results and Performance

Relevant information on results (internal, service and used to make Ministry decisions, and public reporting is balanced , transparent, and easy to understand

Risk Management
The executive team at each level clearly defines the corporate context and practices for managing clearly defined

Stewardship
The MoESD control structure (assets, money, people, services, etc) and underlying principle clear to all staff

Accountability
Accountabilities for results are assigned and consistent with resources, and delegations are appropriate to capabilities

Learning, Innovation and Change Management

The MoESD promotes learning organization concepts, values corporate knowledge and learns from its past performance . Further continuous innovation and transformation

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THE PURPOSE OF MAF

Improve the Public Sector quality management Reinforce sound management in the Public Service Management Provide Managers with a comprehensive and integrated model for management .

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MOESD priorities

REVIEW FORMAT

SWOT

APP

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How performance is assessed

Highest amount of Performance Pay

Results

WHATSurpasses

Expectations
Average amount of Performance Pay Less or no Performance Pay

Below Expectations HOW is assessed as an integral element of BOTH Ongoing and Key Commitments Below Expectations

HOW

Key Leadership Competencies

Surpasses Expectations

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HOW

of the Performance

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Learning for individuals

Botswanas approach to learning begins with competency-based leadership development (DPSM, 2011)

The Botswana Public Service has defined four key leadership competencies:
Leadership Competencies
Values & Ethics (Mastering Complexity) Strategic Thinking Engagement Drive for results (Management Excellence) People Management Action Management Financial Management

Competencies should be used for year-over-year performance reviews This approach encourages self-assessment and self learning as well as the identification of corporate needs
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Key Leadership Competencies

From a foundation of Values and Ethics, PS leaders deliver Results through mastering complexity, Engagement and focusing on the customers COMPETENCIES
Mastering Complexity

Engagement

Drive for Results

Values and ethics

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WHAT

of the Performance

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LINKS: Cascading Commitments

Government Plans and Priorities (21 Point Agenda) Ministry Mandates (NDP 9 Strategy Map) PS Priorities

World Class Public Service

(5 KRAs from the 21 Point Agenda)

Ministry BSC
Prosperity for All

PS (Performance

Agreement)
Job Effectiveness descriptions provide much of the information for Ongoing Commitments

Accountabilities are assigned through all Depts, Divs and policy and program areas

Deputy PS(s) Performance Agreement (s)

Director (s) (incl. Regions) Performance Agreement (s) School Head Performance Agreement (s)

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The PS evaluates the effectiveness of the way departments/Regions/Schools manage the Performance Management Plan based on
Alignment of high quality commitments with corporate business plans and the PSs priorities, cascading from deputy level to Directors/School Head and horizontally integrated Quality of feedback on results achieved and opportunities and support provided to improve performance Equitable, consistent and transparent assessment of performance DPS/Director/School Head understanding of the process and confidence that the PMP supports them Linkages to Key Leadership Competencies, training and development, talent management, HR Planning

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Public Service /MoESD Values Through their actions, the Ministry leaders continually reinforce the importance of public service values and ethic in the delivery of results to Batswana(e.g. democratic, professional, ethical etc)

Governanc e& Strategic Directions

The essential conditions (internal coherence, corporate discipline and alignment to outcomes are in place to provide strategic direction and support to the Minister, cabinet, Parliament and delivery of results

Citizen-Focused Service
Policies and Programs are developed outside in, and partnerships are encouraged and effectively managed

Human Capital
People, work environment and focus on building capacity & leadership to assure its success

Policies & Programs

Research& analytic capacity is developed and sustained to assure high quality policy options, program design and advice to the Minister

Results and Performance

Relevant information on results (internal, service and used to make Ministry decisions, and public reporting is balanced , transparent, and easy to understand

Risk Management
The executive team at each level clearly defines the corporate context and practices for managing clearly defined

Stewardship
The MoESD control structure (assets, money, people, services, etc) and underlying principle clear to all staff

Accountability
Accountabilities for results are assigned and consistent with resources, and delegations are appropriate to capabilities

Learning, Innovation and Change Management

The MoESD promotes learning organization concepts, values corporate knowledge and learns from its past performance . Further continuous innovation and transformation

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 MAF discussions II2.docx

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ACTIVITY 1
Divide into 10 groups/one per component Using the MAF components and its descriptors, complete the table by customizing your components to school level Group work 15 minutes Present work: 5 minutes/group

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Formulation of PAs/PDPs

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Scheme of work Introduction 5 minutes Group build up 5 minutes Activity 15 minutes Presentations 25 minutes Exposition (Uses & Alignment) 10 minutes Total time = 1 hour

SCHOOL HEAD PA/PDP

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 Activity 2 1. List the uses of a PA/PDP. 2. What tool do you use to come up with commitments/objectives? 3. Discuss your PAs/ PDPs commitments/objectives and their relevance to your deliverables. 4. Discuss Your PA/PDPs commitments/objectives and how they helped to move your institution forward. 5. Present your work.

SCHOOL HEAD PA/PDP

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PA/PDP is used to Monitor performance Guide performance Give leadership Align with others

USES
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What is a PA?
The Performance Agreement is a mutual understanding between the Supervisor and the supervisee as to what is expected from the individual and how performance will be assessed. It documents the commitments with performance measures at the beginning of the performance cycle and documents the results achieved at the end of the performance cycle

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Terminology and basic concepts: When and how PAs are developed matters
PAs should be developed right after organisation planning decisions have been made Developing PAs in intact teams
Promotes clear accountabilities Promotes horizontality Establishes clarity and a clear cascading of commitments Supports horizontal planning
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The Performance Agreement should:

Support and reinforce the achievement of MoESD business plan; Stimulate a dialogue on management expectations in terms of what must be accomplished and how; Serve as a tool which will support a consistent and continuous approach to performance management; and Be kept current by documenting commitments achieved or revised throughout the performance cycle.

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COMMITMENT
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MOESD priorities

REVIEW FORMAT

SWOT

APP

COMMITMENT
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Selecting commitments
MAF components Description The school

Public service MOESD Values

/ How Teaching and Non- School values / principles Published based on Teaching Staff conduct the Public Service Chapter themselves (on a day to day ( Timeliness,Respect,Botho,Integrity) basis) in their dealings with (might reflect in the school motto) the public and amongst Theory of axiology/society of unified culture themselves as defined by (Spiritual Values) public expectations Professionalism
Self motivated learning for both learners and staff Self-transformation - Life planning for learners and teachers and non teaching staff Institutionalized learning to overcome challenges Interpretation of the work environment Social / community engagement for example indigenous knowledge (mutual) New ways of implementing the curriculum Creative Teaching and learning Creativity in Management
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Learning, innovation Teaching and Non Teaching and change Staff are up to the task management through continuous learning. They are creative and take advantage of change opportunities.

Cascading Commitments
The idea behind cascading is simple: the work of senior executives should be reflected to some degree in the work of executive reporting to them, while clearly identifying the accountabilities at each level. Commitments of the most senior level executives should align with the priorities of the department, and these in turn should align with the priorities of the government. That way, the accountabilities of any given executive align with the strategic outcomes both of the organization and of the government of The Republic of Botswana.

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Good Practice
Commitments developed independently can result in disconnected efforts, and those developed by cut-andpaste tend to lose meaning. The best way to ensure good cascading both alignment and disaggregation is to have the right kind of process in place. This process should capitalize on sound corporate planning. The best way to ensure effective alignment, both vertical and horizontal, is to establish an effective PMA Planning process.

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ST ST Goal
DSH
HoD

HoD

HoD

HoD

ST. Obj INT 2

B S G c X X

c s s 1 2 X X

s s s s s s 1 2 3 1 2 3 X X X X X X X

TASK
X X X X X X X X X

TASK
X X X X X X X X X X X X X X X X X X X X X X X X

TASK
X

INT 2
TASK

X X X

X X X X X X X X X

TASK
X X X X X X X X
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TASK

The main design elements of a PA/PDP are:

Ongoing commitments Key commitments Performance Measures

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Ongoing Commitments
Ongoing commitments are principal, on-going results linked to business plans and/or corporate priorities that the executive is expected to accomplish and for which an executive earns a base salary.

Movement within the salary range will be earned based on the achievement of the ongoing commitments. Further, the ongoing commitments must be met before the key commitments will be assessed for Performance Pay purposes.
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What is a key Commitment?

Key commitments are priority areas of focus, linked to business plans and/or corporate priorities, which are intended to be challenging but achievable with effort. Key commitments could represent significant improvements or changes in an ongoing commitment area, introduction of a new initiative, focus on an area requiring special attention, etc. At risk pay/13th Cheaque (lump sum) will be earned based on the achievement of the key commitments. A Performance Agreement will include between one and three key commitments.
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 Examples of commitments
Commitment: A robust succession plan to address projected teacher shortages (due to study leaves) is developed and implemented by Sept 30, 2013 Commitment: Establish a special education committee to support SEN learners by October 31, 2013

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SMART COMMITMENTS
Specific Provides clear direction on what actions must be taken, easy to understand. Measurable Quantifiable and verifiable through measurement. Attainable Realistic given organizational capabilities. Results Oriented Focused on an outcome, not the method by which you get there. Time Bound Set around some time frame that is reasonable

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Writing SMART commitments offers at least three advantages

for the individual, a clear record of his or her own commitments for the organizational leadership, a common point of discussion for the individual and his or her superior and a verifiable record of an agreement between the two for the organization as a whole, a statement of all the commitments of its executives and therefore a verifiable set of executive accountabilities.
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 Characteristics of good commitments continued:

Specificity
Definiteness of the commitment

Simplicity
A commitment to one thing

Attainability
Within sphere of influence and control

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Specificity
Specificity = definiteness of the commitment A specific commitment is clear and easy to understand, free from jargon or bureaucratese, and focuses on a definite theme. A specific commitment should be headed by a strong action verb (e.g., reduce, increase, design, implement) rather than a weak action verb (e.g., ensure, contribute, facilitate). Example:
I will develop and implement a succession plan to address projected staff shortages in HR and Finance Two strong verbs express this commitment. It is clear to the reader what it means to develop and to implement something. It also states clearly what is being developed and why. To provide further definition to this commitment, performance measures can also be used to provide even more detail on how the commitment will be carried out and how its success will be measured
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Specificity
By contrast, the following examples lack the same degree of specificity:
Human resources excellence

Develop teamwork within the Branch

The second commitment is simple, actively expressed, and concise. And yet it is unsatisfactory as a commitment, because teamwork is a very broad concept with a number of facets, for example: taking a team-based approach to the doing of work, establishing a system to reward teamwork or addressing conflict within or among teams. The commitment could be pointing in many different directions at once. Adding a qualifying phrase (by, through, etc.) provides the missing information;

Another example:
Encourage team building by obtaining employee input and participation in business planning and reporting by XXX.
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Specificity
Example:
Support corporate-wide activities Is this specific? Not really. Which corporate-wide activities are at stake? How will they be supported? The verb is in the active voice, which is a plus, and the syntax is straightforward, but commitment is not at all specific A Note on Specificity and X Level
Performance agreements at all levels in the organization should be specific, even if the scope of the commitments changes. That is, the scope of an DPS commitment could be organization-wide, while the Directors scope is part of the organization. Both can be equally specific about what thy are committing to do.
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Simplicity = a commitment to one thing.

Simplicity = a commitment to one thing. The opposite is complexity or reference to many things at once. Examples I will implement the strategic plan for the Region, ensure that employees feel valued and respected, and take steps to build learning plans for every employee by XXXX.
There are three commitments here, not one. Each, moreover, is a substantial commitment. Packaging them together makes it almost impossible to state an adequate set of performance measures.

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Here is an example:
Conclude the consultation and reorganization of the regional offices and implement Phase I of the Transition Initiative by June 30 2012. Technically, there are two commitments, but they are closely linked and warrant being treated together. The theme is the same, and thus the commitment is considered simple.

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Attainability = within the individuals sphere of influence and control.

Explanation: Commitments express individual accountabilities. Individuals can be held accountable for something only if they are in a position to do it. This does not mean, of course, that they have to be in a position to do it themselves. MoESD are often not the ones who do but the ones who motivate and inspire others. Being in a position to do it also means being in a position to get it done.

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Attainability and specificity are related

If commitments are not specific, it is difficult to say whether they are attainable. The example provided earlier is pertinent here:
Human resources excellence

Human resources excellence is too big for any one person. A DPS (cs) of HR can be held to account for implementing a new development program to build leadership excellence, and an Senior Manager can be accountable for articulating a framework to advance a values-based approach to managing people. But neither can be held to account for excellence in the management of human resources. Why?

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Example
Good examples of commitments that are attainable: Manage the development and production of the Departmental Annual Report to inform strategic planning by XXXX . Develop competency profiles and competency-based developmental options for the CS group to inform recruitment by XXXX.

Here is an example of a commitment that is not attainable:

Conclude multilateral agreements with 50 countries

Assume it is possible for one individual to pursue multilateral agreements with 50 countries. What seems well beyond the sphere of the individual, or any team of individuals, is concluding the 50 agreements. This would require the agreement of the other parties; their agreement is solely within their sphere of influence and control. As a result, this commitment is not attainable.
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A Special Note on Attainability

Attainability also depends on executive level. A commitment like the following, which is attainable for an DPS or Director, is not attainable for an PS:
Manage regional financial resources within delegated authorities and in accordance with the principles of modern comptrollership by March 30. 2012

One of the reasons for insisting that commitments cascade through the management hierarchy is to ensure that they are appropriate to the executive level and hence attainable.

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The Performance Agreement (PA) Template is a tool to help executives establish PAs

The PA template has:

Ongoing commitments (3-5) Key Commitments (1-3) Results Achieved A written assessment of results and the Key Leadership Competencies demonstrated The signatures of the executive and the supervisor upon agreement about the commitments that are to be achieve

The PA may also have a section for individual development

Development Commitments (1 to 2)

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Ministry /Department/Institution Between: and: Signature: Date: Performance Agreement (year year) Reviews of this agreement were conducted on the following dates: Mid-term:

Priorities of the Ministry

Regional Priorities

Ongoing COMMITMENT (3 to 5 commitments)

Performance Measures (1 to 3 per commitment)

Results Achieved (for each commitment)

Key Commitments (1-3)

Performance Measures (1 to 3 per commitment)

Personal Dev COMMITMENTS (1 to 2)

Performance Measures (1 to 3 per commitment)

Results Achieved (for each commitment)

I have read this assessment: Signatures: DRO: Date: School Head: Date:

Ongoing Commitments Rating: Personal Dev. Commitments Rating: Evaluation Narrative Assessment

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Activity 3
Work in the same 10 groups established for MAF activity 1 Using the school level MAF components identified in activity 1 as a starting point draft: 1 ongoing 1 key commitment Commitments should be SMART and At the level of a School Head

Group work: 15 minutes Presentations: 5 minutes/ group

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Performance measures

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Importance of measures
Give employees direction in what needs to be accomplished by providing more detail on how the commitment will be carried out Checks that non-negotiable performance standards are being met Used to identify successes and where improvement is needed. Alerts the organisation to the need for strategy adjustments Used to challenge assumptions made in the development of the strategy to ensure the strategy is on course and valid
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Performance Measures
Performance measures for commitments must be quantifiable, observable, describe how one knows the results have been achieved and define standards for expected level of achievement for these results. Performance measures are results-oriented, measurable and concrete.

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CREAM PERFORMANCE MEASURES

Clear- precise and unambiguous
Relevant-appropriate to the subject, focused on
the strategy Economic-available at a reasonable cost Adequate-provide a sufficient basis to assess performance, how regularly can they be updated? Can meaningful targets be set to show improvement Monitorable-amenable to independent validation, reliable, repeatable over time,

Kusek & Rist 2004 Kaplan & Norton 1996

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Lag vs Lead measures

Lag Measures Outcome Measures Measures performance results at the end of an activity Usually easily measured Measures effects of the activity after the fact Lead measures Driver Measures Measures progress periodically throughout the activity Allow adjustments to be made in the strategy Assumes that progress on the measure will result in a distant and separate outcome

JCE Credit pass rate

Credit pass on termly examinations

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Operational vs Strategic measures

Operational Measures Strategic Measures

Low level Measures activities, processes & outputs necessary many No. standardised tests
Compliance to service standards

High level Measures outcomes

Critical few Percent improvement in PSLE credit pass Customer satisfaction level

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Tier PS / Regional Director

Improve quality of Teaching and learning to increase employability of learners Improve quality of teaching to increase transition rate

commitment

Measures
Employment index

School Head

Transition rate

Deputy School Head

Monitor use of child centered teaching methodologies to improve academic achievement

Institutional Pass rate

Senior Teacher 1

Increase use of child centered teaching methods to increase pass rate

Pass rate in my subject

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Identifying measures
Value trees or 3 step method
1. What we want 2. What we need to do
Resource procurement Develop innovative teaching methods to improve learning by XXXX

3. How we measure

Capacitate teachers

% lessons using innovated teaching % improvement in pass rate

Enhance supervision

Transition rate

COMMITMENT

DRIVERS OR CRITICAL SUCCESS FACTORS

MEASURES
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Performance Measures

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