Framework for Strategic and Annual Performance Plans · The Framework for Strategic and Annual Performance Plans was issued by the National Treasury in 2010 to guide institutional

Framework for Strategic and Annual

Performance Plans

Issued by the Department of Planning, Monitoring and Evaluation for

implementation by the national and provincial spheres of government.

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Table of Contents

FOREWORD ........................................................................................................................ 3

CONTEXT OF THE FRAMEWORK ..................................................................................... 6

Chapter 1: Introduction ...................................................................................................... 8

Chapter 2: Planning Processes ........................................................................................21

Chapter 3: Strategic Planning ..........................................................................................34

Chapter 4: Annual Performance Planning .......................................................................44

Chapter 5: Annual Operational Planning .........................................................................54

Chapter 6: Implementation Programme Planning...........................................................57

Chapter 7: Infrastructure Planning ..................................................................................61

Chapter 8: Monitoring, Reporting and Evaluation ..........................................................64

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FOREWORD

The developmental approach adopted by the South African government conceptualises

development planning as a means of achieving national development priorities. Development

planning, in this context, involves the South African government making decisions about

selecting priorities of national interest and charting a road map towards achieving these

priorities.

In 2012, South Africa adopted the National Development Plan (NDP) 2030, which sets out a

long term vision for the country. The rationale for the development of such a long-term plan

is the recognition of the need for a coherent vision for the future, in order to realise changes

in the socio-economic structure and the culture of society; which are a result of a history of

oppression, exploitation and dispossession. The achievement of the NDP priorities demands

a cooperative relationship across national, provincial and local governments; private sector;

and civil society. The three spheres of government need to work collaboratively to ensure

alignment between their powers and functions, the planning processes and budget allocation

processes.

Government planning is regarded as a critical process which enables the implementation of

the NDP 2030 priorities through the development and implementation of legislation, policies

and services. Challenges have been identified over the years in government planning

processes which include the misalignment between the political planning and the strategic

planning process, budgeting process and institutional implementation processes. To quickly

respond to the demand for developmental growth, there is a need to improve the impact,

delivery and implementation of government's transformation and development interventions.

This will be achieved through a more effective coordination and integration of the planning

powers and functions that the Constitution assigns to all three spheres of Government. The

disparate and diffused nature of planning has resulted in a complex plethora of plans,

legislation and structures. This fragmented planning landscape has led to sub-optimal

outcomes and asymmetrical impacts of government policies and programmes and sub

optimal returns on the resources allocated to them. The imperative of institutionalising

planning for development in government has been fully recognised and resultant planning

reform to thus the Integrated Planning Framework Act.

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As an effort to improve the government-wide planning system and alignment of planning to

other government process, the National Planning Commission and the Department of

Performance Monitoring and Evaluation were established in 2009. The National Planning

Commission was established to facilitate high level national strategic planning, in particular

long term national plans; outlining the path by which government would achieve its identified

objectives, setting measurable targets for specific timeframes, outlining key policy trade-offs

and setting out the sequence of decisions required in achieving such objectives.

To further strengthen planning and to elevate its importance, the Department of Performance

Monitoring and Evaluation was changed to the Department of Planning, Monitoring and

Evaluation in 2014. This led to the establishment of a planning branch within the department.

The Department of Planning, Monitoring and Evaluation is responsible for the NDP Five Year

Implementation Plan which is a five year medium term plan to realise the long term strategic

vision of the NDP. All government institutions are expected to align their strategic and annual

performance plans, as well as operational plans to the NDP Five Year Implementation Plan,

to reflect the interventions which will be implemented to contribute to the achievement of the

development priorities in the NDP 2030.

The Framework for Strategic and Annual Performance Plans was issued by the National

Treasury in 2010 to guide institutional short and medium term planning. The Framework for

Strategic and Annual Performance Plans (2010) provided a standardised approach to

strategic and annual performance planning; it promoted accountability for performance and

service delivery, and promoted alignment between the planning, budgeting and reporting

processes. The Framework for Strategic and Annual Performance Plans (2010) was

implemented by the national and provincial departments, schedule 3A and 3C public entities

and constitutional institutions from 2010 till the adoption of the Revised Framework for

Strategic and Annual Performance Plans. Significant improvements in short and medium

term planning have been noted since the implementation of the Framework for Strategic and

Annual Performance Plans (2010).

A Revised Framework for Strategic and Annual Performance Plans is being introduced for

further improvement of government planning systems and processes, and to institutionalise

development planning in government. The revised framework outlines requirements for

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strategic and annual performance planning, operational planning, implementation

programme planning, infrastructure planning, monitoring and reporting, evaluations.

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CONTEXT OF THE FRAMEWORK

The South African national planning framework has evolved considerably since its

introduction in 2001 amidst a dynamic and complex policy and legislative context.

Government’s move towards a Government-wide Monitoring and Evaluation System

(GWMES) was formalised in 2007 (The Presidency, 2007) and later a results-based

approach was confirmed in the National Outcomes Approach (Presidency, 2010) and the

National Development Plan (NPC, 2011). These policy reforms were indicative of a systemic

shift toward planning and managing government performance to achieve results.

With the introduction of these policy reforms, new concepts and a guiding logic with

implications for government planning were introduced. The Framework for Strategic Plans

and Annual Performance Plans (2010) was implemented during this legislative and policy

evolution to help consolidate the planning components within the overall planning, monitoring

and evaluation system. It aimed to direct government in its approach to improving

performance towards achieving results, obtain more reliable performance information, and

support learning and improvement within the public service. It intended to improve the quality

of strategic and annual performance planning and strengthen the accountability of relevant

public institutions to contribute to a more unified, coherent and accountable public service,

with better strategic planning and management arrangements to improve policy delivery.

The emphasis of this revised framework is to build on the foundation of the Framework for

Strategic and Annual Performance Plans (2010), reaffirm the planning logic and

institutionalise planning to better enable the policy delivery. The planning principles

implemented through this framework aims to focus the planning approach towards achieving

results, standardise concepts used across short and medium term planning instruments,

streamline planning, monitoring and evaluation processes, and improve the use of evidence,

and monitoring and evaluation findings to better inform improvement, learning and innovation.

This framework will also focus on planning for women, children and people with disabilities.

This framework must be used for the compilation of institutional short and medium term plans.

The revised framework outlines with the core principles for short and medium term planning

and confirms the legislative and policy prescripts which must be adhered to in the

development of institutional short and medium term plans, and the rationale for the results

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based approach to planning, monitoring and evaluation. It then details the processes for the

development and approval of plans as well as processes for effective oversight and feedback

by relevant institutions. In addition, it sets out the planning principles that inform the logic and

content of the strategic plan, annual performance plan, annual operational plan and

implementation programme plans, and the linkages between other short and medium term

plans in government. It further provides the logic for the monitoring and evaluation of plans,

as well as the utilisation of related reporting instruments and the results thereof at the different

stages of the planning cycle.

The revised framework must be implemented in conjunction with the Guidelines for the

Implementation of the Framework for Strategic and Annual Performance Planning, which

provides the formats for short and medium term plans as an easy to use reference during the

planning processes. The guideline also provides examples to apply the planning principles

which are outlined in framework.

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Chapter 1

Introduction

1.1 Introduction

The Revised Framework for Strategic and Annual Performance Plans provides direction to

national and provincial government institutions in respect of short and medium term planning.

This chapter outlines the purpose of the implementation of this framework and sets out the

applicable legislative prescripts necessary for the development of short and medium term

plans. The chapter reflects on the long and medium term policy direction which, together with

an institution’s mandate, informs an institution’s planning trajectory. The results based

approach is an important component of this chapter and provides the planning logic which

will be institutionalised through the implementation of this framework.

1.2 Purpose of the Framework

The purpose of the Revised Framework for Strategic and Annual Performance Plans is to

provide the principles for short and medium term planning for government institutions, outline

the alignment of various institutional plans to high level government long and medium term

plans, as well as institutional processes for the different types of plans. The Revised

Framework also aims to:

Institutionalise government’s national development planning agenda through

institutional plans.

Institutionalise planning for women, children and people with disabilities

Provide information on the relevant legislation which informs planning in government

Institutionalise the Results Based methodology

Provide planning tools which can be used for the different types of plans

Outline the alignment between planning, budgeting, reporting, monitoring and

evaluation processes

Provide the definitions for the various planning, reporting, monitoring and evaluation

concepts

Outline the roles and responsibilities of various stakeholders and institutions who

participate in the planning processes

Encourage evidence based policy making, planning and implementation

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1.3 Applicability of the Framework

This Framework is applicable to all national departments, provincial departments, and

government components as listed in Schedule 1, Schedule 2 and Schedule 3A of the Public

Service Act (PSA) (1994) respectively, constitutional institutions as provided in the

Constitution of the Republic of South Africa (1996) and public entities listed in Parts A and C

of Schedule 3 of the Public Finance Management Act (PFMA) (1999).

1.4 Applicable Legislation

The legislations outlined below make provision for government planning, monitoring of

performance, reporting, and evaluation:

1.4.1 Constitution of 1996 (Sections 92, 114, 125 and 153)

The Constitution of the Republic of South Africa (1996) is the supreme law of the country and

makes provision for other legislations regarding planning and performance monitoring across

the three spheres of government.

Section 92 (3) and (4) states that members of Cabinet are accountable collectively and

individually to Parliament for the exercise of their powers and the performance of their

functions. Furthermore, members of Cabinet must act in accordance with the Constitution

and must provide Parliament with full and regular reports concerning matters under their

control.

Section 114 (2) states that a provincial legislature must provide for mechanisms to ensure

that all provincial executive organs in the province are accountable to it and to maintain

oversight of the exercise of provincial executive authority in the province including the

implementation of legislation, and any provincial organ of the state.

Section 125 (3) indicates that a province has the Executive Authority only to the extent that

the province has the administrative capacity to assume effective responsibility. The national

government by legislative and other measures must assist provinces to develop the

administrative capacity required for the effective exercise of their powers and performance of

their functions.

Section 153 outlines that municipalities must structure and manage administration, budgeting

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and planning processes to give priority to the basic needs of the community and to promote

social and economic development of the community; and participate in national and provincial

programmes.

1.4.2 Integrated Planning Framework Act (IPFA) (Year)

The IPFA provides for the functions of the Department responsible for Planning, Monitoring

and Evaluation; to establish an institutional framework for a new predictable planning

paradigm and discipline within and across all spheres of government; to support effective

monitoring and evaluation of government programmes aimed at improved service delivery

and positive impact on society, to provide for the continued existence of the National Planning

Commission; and promote better coordination, collaboration and alignment of Planning,

Monitoring and Evaluation between and across the national, provincial and local spheres of

government, and including public entities.

1.4.3 Public Service Act of 1994, amended in 2007

Section 7B (4) (C) of the Public Service Act of 1994 outlines that the Executive Authority

shall, subject to applicable legislation determine the reporting requirements to the head of the

department, including, but not limited, to enabling that head to advise the relevant executive

authority on the oversight of the unit on policy implementation, performance, integrated

planning, budgeting and service delivery.

The Public Service Act forms the basis for national and provincial planning and reporting and

promotes integrated planning.

1.4.4 Public Service Regulations, 2016

Chapter 3 of the Public Service Regulations provide requirements for the preparation of

Strategic Plans, Annual Reports and the Service Delivery Improvement Plan. Regulation 25

outlines the requirements for the development of strategic plans and related reporting

systems. Regulation 31 makes provision for the development, tabling and submission of

Annual Reports. Regulation 38 provides the requirements for the development of Service

Delivery Improvement Plans which must be informed by the Strategic Plans.

The Public Service Regulations outlines the requirements for the development, tabling and

submission of Strategic Plans and reporting against these plans.

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1.4.5 Public Finance Management Act (PFMA), 1999

Section 27(4) of the PFMA makes provision for the development of measurable objectives

which must be included in the annual budgets of national and provincial institutions. While

Section 40 (3) (a) and 55 (2) (a) makes provision for the reporting of performance against

predetermined objectives in institutions’ Annual Reports.

The PFMA promotes reporting against predetermined measurable objectives which are

outlined in short and medium terms plans.

Section 38 (d) of the PFMA states that the Accounting Officer has responsibility to manage,

safe-guard and maintain assets and manage the liabilities of the department or entity, and

Section 38 (a) (iv) and (c) (iii) makes a provision for a systems for properly evaluating all

major capital projects prior to a final decision on the project and manage available working

capital efficiently and economically.

1.4.6 Treasury Regulations, 2005

The Treasury Regulations outlines the requirements for the development and submission of

Strategic Plans, as well as, related quarterly performance reporting. In addition, National

Treasury Instruction Note 33 of 2011 regulates the development of Strategic and Annual

Performance Plans according to the Framework for Strategic Plans and Annual Performance

Plans (2010).

The Treasury regulations regulates the requirements for the development of strategic and

annual performance plans and the reporting thereof.

1.4.7 Statistics Act 6 of 1999

The Statistics Act advances the planning, production, analysis, documentation, storage,

dissemination and use of official and other statistics. The purpose of official statistics is to

assist organs of state, businesses, other organisations or the public in planning, decision

making, and monitoring or assessment of policies.

The use of official statistics strengthens the quality of government and institutional short and

medium term plans.

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1.4.8 Spatial Planning and Land Use Management Act of 2013

The Spatial Planning and Land Use Management Act (2013) was adopted shortly after the

introduction of the NDP. SPLUMA is an important component of the drive to set the broad

spatial agenda of the country. The statute establishes mechanisms for the negotiation of

spatial conflicts, issuance of guidelines and monitoring of compliance. Although SPLUMA

does not deal with fragmentation of the spatial planning function directly, it introduces a new

approach to spatial planning that can be refined and linked with overall long-term planning.

Embedding spatial planning within the overall system of planning is critical.

1.4.9 Local Government: Municipal Systems Act of 2000

The Local Government: Municipal Systems Act of 2000 makes a requirement for each council

to, within the prescribed period after the start of its elected term, adopt a single, inclusive,

strategic plan for the development of the municipality. The development of this strategic plan

or Integrated Development Plan (IDP) requires a nine month planning process with the

involvement of a wide range of role players internal and external to the municipality.

Section 24 of the Act makes provision for municipalities to undertake planning that aligns with

and compliments the development plans of other municipalities and organs of state, and to

participate in national and provincial development in the principles of cooperative

governance.

Section 28 of the Local Government Municipal Systems Act states that “Each Municipal

Council within a prescribed period after the start of its elected term, must adopt a process set

out in writing to guide the planning, drafting, adoption and review of its integrated

development plan.

According to Section 29 the process to be followed by a municipality to draft its Integrated

Development Plan, including its consideration and adoption of the draft plan, must:

(a) be in accordance with a predetermined programme specifying time frames for the

different steps

(b) through appropriate mechanisms, processes and procedures established in terms of

chapter 4, allow for:

(i) the local community to be consulted on its development needs and priorities;

(ii) organs of the state, including traditional authorities, and other role players to be

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identified and consulted on the drafting of the integrated development plan

(c) provide for the identification of all plans and planning requirements binding on the

municipality in terms of national and provincial legislation; and

(d) be consistent with any other matters that may be prescribed by regulation.

Section 31 of the Act allows for the MECs for local government in a province to assist a

municipality with planning, drafting, adoption and review of its IDP.

1.4.10 Promotion of Equality and Prevention of Unfair Discrimination Act (PEPUDA),

2000

The object of the Promotion of Equality and Prevention of Unfair Discrimination Act 4 of 2000

is to give effect to the letter and the spirit of the Constitution, in particular the promotion of

equality, the value of non-racialism and non-sexism; the prevention of unfair discrimination

and protection of human dignity as contemplated in sections 9 and 10 of the Constitution.

1.4.11 Government-wide Immovable Asset Management Act, 2007 (GIAMA)

The aim of the act is provide for a uniform framework for the management of an immovable

asset that is held or used by a national or a provincial department; to ensure the coordination

of the use of an immovable asset with the service delivery objectives of a national or provincial

department

1.4.12 Construction Regulations, 2014

Sub-Regulation 11(2) requires an owner of structures to ensure that a competent person

(typically a Built Environment Professional) carries out periodic inspections of structures at

least once every six months for the first two years after its construction and thereafter yearly

to render the structure safe for continued use and that the structure is maintained so that it

remains safe for continued use. Thus at least annual condition assessments must be carried

out and maintenance and renewal programmes must be implemented.

1.5 Applicable Policies

The policies outlined below make provision for government planning, monitoring of

performance, reporting, and evaluation. These policies must be read in conjunction with the

relevant legislation above and with the principles of this framework to inform the development

of short and medium term planning documents:

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1.5.1 Policy Framework for the Government-Wide Monitoring and Evaluation System

(2005)

The Framework for Government–Wide Monitoring and Evaluation System (GWME) identifies

programme performance information as one of the data terrains underpinning GWME,

focussing on information that is collected by government institutions in the course of fulfilling

their mandates and implementing the policies of government.

1.5.2 Framework for Managing Programme Performance Information (FMPPI) (2007)

The FMPPI outlines key concepts in the design and implementation of management systems

to define, collect, report and use performance information in the public sector. The FMPPI

emphasises that performance information is essential to focus the attention of the public and

oversight bodies on whether public institutions are delivering value for money, by comparing

their performance against their budgets and service delivery plans, and to alert managers to

areas where corrective measures are required.

1.5.3 National Development Plan (NDP) (2011)

The NDP is a long term vision for the country which provides a broad strategic framework to

guide key government choices and actions, and focuses on the critical capabilities needed to

transform the economy and society. The plan highlights that accelerated development in

South Africa requires the active support of all citizens, leadership in all sectors that puts the

country's collective interests ahead of narrow, short-term goals, and radically improved

government performance.

1.5.4 National Development Plan (NDP) Five Year Implementation Plan

The NDP Five Year implementation plan provides a medium term roadmap which will form

the basis for developing five-year institutional plans that will guide the realisation of the NDP

priorities. The purpose of the NDP Five Year implementation plan is to advance and guide

medium term and short term planning that is responsive to the attainment of the NDP

priorities. There is a need to ensure that Vision 2030 and all the priorities outlined therein are

clearly articulated in the medium and short term plans of institutions. Intergovernmental and

interdepartmental planning is crucial to the realisation of government priorities and ultimately

the vision for South Africa. The NDP Five Year Implementation Plan will allow for the

coordination and alignment of priorities across the spheres of government and non-

government stakeholders, and assist in integrating all the components of national

development into mainstream planning processes.

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1.5.5 Budget Prioritisation Framework

Government plans are implemented at different levels across the three spheres of

Government (national, provincial and local) and across a large number of public entities and

State-owned Companies. The Budget Prioritisation Framework aims to guide all spheres of

Government and all Government entities to refine plans and develop budget proposals.

The Budget Prioritisation Framework’s objective is to establish the strategic framework for

decision-making on budget priorities that are required to advance the goals of the NDP. It

seeks to establish a systematic basis for making strategic choices among competing priorities

and limited resources, in order to better optimise the budget as a key lever for driving the

NDP.

1.5.6 Monitoring Framework (MONITORING FRAMEWORK)

This is the government’s monitoring framework for the NDP Five Year Implementation Plan

during the electoral cycle. It reflects how government will measure its progress against the

commitments made in the election manifesto of the governing party and the NDP Five Year

Implementation Plan. It is a basis for measurement of government performance and must be

aligned with measurement of performance at the national, provincial and local government

spheres.

1.5.7 National Evaluation Policy Framework (2011)

The National Evaluation Policy Framework provides the basis for a minimum system of

evaluation across government. Its main purpose is to promote quality evaluations which can

be used for learning to improve the effectiveness and impact of government, by reflecting on

what is working and what is not working and revising interventions accordingly. It seeks to

ensure that credible and objective evidence from evaluation is used in planning, budgeting,

organisational improvement, policy review, as well as ongoing programme and project

management, to improve performance. It provides a common language for evaluation in the

public service.

1.5.8 Spatial Development Frameworks

Spatial transformation and decisive inclusive economic growth remain elusive despite an

enabling legislative and policy framework. The spatial planning, infrastructure investment and

social development spending by the post-Apartheid State and the private sector is

reproducing, entrenching and in some cases even reinforcing these historic spatial patterns.

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Spatial Development Frameworks seek to decisively and radically change the rationale and

rules by which planning, budgeting and infrastructure investment and development spending

in the country is done.

1.5.9 United Nations Sustainable Development Goals (SDGs)

The SDGs seek to end poverty and hunger in the world; to combat inequalities within and

among countries; to build peaceful, just and inclusive societies; to protect human rights and

promote gender equality and the empowerment of women and girls; and to ensure the lasting

protection of the planet and its natural resources. Countries committed to the SDGs aim to

create conditions for sustainable, inclusive and sustained economic growth, shared

prosperity and decent work for all, taking into account different levels of national development

and capacities. The SDGs are integrated and indivisible and balance the three dimensions

of sustainable development, namely, the economic, social and environmental. There are 17

Sustainable Development Goals and 169 targets which demonstrate the scale and ambition

of the new universal Agenda.

1.5.10 African Union Agenda 2063

Agenda 2063 is a strategic framework for the socio-economic transformation of Africa over

the next 50 years. It builds on, and seeks to accelerate the implementation of past and

existing continental initiatives for growth and sustainable development.

Agenda 2063 has the following aspirations: an integrated continent, politically united and

based on the ideals of Pan-Africanism and the vision of Africa’s Renaissance; an Africa of

good governance, democracy, respect for human rights, justice and the rule of law; a peaceful

and secure Africa; an Africa with a strong cultural identity, common heritage, shared values

and ethics; an Africa whose development is people-driven, relying on the potential of African

people, especially its women and youth, and caring for children; and Africa as a strong, united

and influential global player and partner. These aspirations have priority areas which are

aligned to the Sustainable Development Goals.

1.5.11 South African Statistical Quality Assurance Framework (SASQAF) (2008)

SASQAF has been developed to provide the framework and criteria for evaluating and

certifying statistics produced by government and non-government institutions. The framework

enables the assessment of the quality of statistics, and the distinction between official and

unofficial statistics. Official statistics are certified by the Statistician General according to

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Section 14(7) (a) of the Statistics Act. Official statistics are used by government institutions

to inform their planning processes and the development of plans.

1.5.12 National Treasury Standard for Procurement and Delivery Management System

(SIPDM), 2015

The SIPDM describes minimum requirements for infrastructure procurement and delivery

management in all spheres of government. It further provides a control framework for

procurement and infrastructure delivery management, particularly for projects.

1.5.13 International Infrastructure Management Manual (IIMM); 2006, 2011, 2015

The manual provides practitioners with the necessary tools, resources and case studies to

demonstrate how to apply and put into practice, the elements of good asset management as

proposed by the ISO Standards. The IIMM shows infrastructure managers how to achieve

the ISO Standards' goal of getting the appropriate balance between cost, risk and

performance from the assets in delivering the best service outcomes for all stakeholders.

1.5.14 Construction Industry Development Board: National Immovable Asset

Maintenance Management Standard, 2017

The standard establishes a system of principles or practice specifications for the

management and care of immovable assets subsequent to initial construction or acquisition.

The Standard focuses on the requirements for the establishment of asset care objectives,

strategies and plans; the implementation, monitoring and review of the preventative and

corrective maintenance activities, and the roles and responsibilities for effective maintenance

of infrastructure assets.

1.5.15 National Treasury Asset Management Framework v3.3, 2003

The assets management framework introduces the concept of asset management. It is

designed to highlight the principles of, and need for, asset management and give broad

guidelines in this regard.

1.5.16 Infrastructure Delivery Management System (IDMS)

The system was developed for planning, implementation, monitoring and controlling of the

infrastructure in government. The core of the IDMS comprises the legislative and regulatory

requirements for asset management, planning and budgeting, and infrastructure

procurement. This includes the standard for Infrastructure Procurement and Delivery, of

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which are interrelated. Infrastructure delivery management comprises portfolio, programme,

operations, maintenance and project management processes. The management processes

continually interact with a performance and risk management system.

1.6 Planning Methodologies

Planning methodologies provide the institutions with the planning approaches, practices and

processes which are used to develop short and medium term plans for the South African

government context.

1.6.1 Results Based Methodology

The Results Based (RB) methodology has been adopted by government post 1994. Results

Based is a methodology by which all stakeholders, contributing directly or indirectly to

achieving a set of results, ensure that the processes, products and services contribute to the

achievement of desired results (outputs, outcomes and impact). The stakeholders also use

data and evidence on actual results to inform decision making on the design, resourcing and

delivery of programmes as well as for accountability and reporting.

Key principles of the Results Based methodology include accountability, ownership

and inclusiveness

Accountability for planning. Government institutions are accountable to the citizens through

Parliament, for delivering on national development priorities.

Ownership of national priorities, programmes and projects reflected in the National

Development Plan should be assumed by each government institution, to ensure the

achievement of intended results.

Inclusiveness requires engagement of stakeholders such as, government institutions at

national, provincial and local levels, civil society organisations and communities, in planning

for the achievement of results and to improve performance.

This Framework reinforces Results Based concepts which have been used in government

over the years. These concepts must inform planning processes within government

institutions. Figure 1.1 below reflects the logical flow of the Results Based concepts.

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Figure 1.1: Results Based Concepts

Source: Framework for Managing Programme Performance Information (2007)

The Results Based methodology can be used together with the Theory of Change and other

planning tools to ensure consideration of all the factors contributing towards the achievement

of intended results. Of utmost importance is the articulation of the role of each institution

towards the realisation of the priorities encapsulated in the National Development Plan.

1.7 Planning Tools

Planning tools enables the institutions to conceptualise the strategic focus, plan for results

and identify enablers towards achieving the intended results.

The following planning tools, among others, may be used in the different stages of the

planning process:

1.7.1 Planning tools for the Situational or Diagnostic Analysis

a) Scenario planning

b) SWOT and PESTEL

c) Fishbone

d) Problem and Solution tree analysis

IMPACTS

OUTCOMES

OUTPUTS

INPUTS

ACTIVITIES

The developmental results of achieving specific outcomes

The medium-term results for specific beneficiaries that are the consequence

of achieving specific outputs

The final products, or goods and

services produced for delivery

The processes or actions that use a

range of inputs to produce the desired

outputs and ultimately outcomes

The resources that contribute to

the production and delivery of outputs

What we use to do the work?

What we do?

What we produce or deliver?

What we wish to achieve?

What we aim to change?

IMPACTS

OUTCOMES

OUTPUTS

INPUTS

ACTIVITIES












What we do?




IMPACTS

OUTCOMES

OUTPUTS

INPUTS

ACTIVITIES












What we do?




IMPACTS

OUTCOMES

OUTPUTS

INPUTS

ACTIVITIES












What we do?




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1.7.2 Planning tool for the development of Strategic Plans, Annual Performance Plans

and Annual Operational Plans

a) Theory of change

b) Logframe

c) Balanced score card

d) Activity based costing

e) Project management tools

Guidelines to this Framework provides a detailed narrative on each of the abovementioned

tools.

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Chapter 2

Planning Processes

2.1 Introduction

Intergovernmental and interdepartmental planning is crucial to the realisation of government

priorities and ultimately the NDP. Therefore, it is important to ensure that the NDP and all the

priorities outlined therein are clearly articulated in the medium and short term plans of

institutions at all spheres of government. Institutional planning processes are a critical

element of planning and inform the development of the contents of short and medium term

plans. Each institution established its own planning processes which focussed more on

accountability planning, and less on planning for results through strategic planning

processes.

The purpose of this chapter is to provide information on the different planning processes

which will institutionalise results based planning across government. Information for the

following planning processes is provided:

Alignment of national, provincial and local government planning

Alignment of policy, planning, budgeting and reporting

Alignment of the NDP, the Monitoring Framework for the NDP Five Year

Implementation Plan and provincial strategies to the budget

Roles and responsibilities of the various stakeholders in the planning processes

Planning timeframes

2.2 Alignment of National, Provincial and Local Government Planning

It is important for institutions to ensure alignment of their institutional priorities which are

reflected in their short and medium terms plans to the broad strategies and policies of

government. Institutions should focus on the implementation of programmes and policies

which contribute to the achievement of the NDP priorities. The information provided in the

figure below outlines the processes for institutions to align their short and medium term plans

to the priorities of government.

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Figure 2.1: National, provincial and local government planning alignment

Figure 2.1 above illustrates the alignment and the interrelationships between the different

levels of planning at the different spheres of government. In essence, the national

government plans inform plans for the provincial sphere, and provincial plans inform local

government plans. The national and provincial sphere must take the local government

Integrated Development Plans into consideration when charting a development agenda. The

figure shows how the results of the planning of one sphere needs to feed into the planning of

the other spheres in a cyclical feedback process. Brief explanations of the various plans are

provided below.

2.2.1 The National Development Plan and NDP Five Year Implementation

Plan

All national, provincial and local government institutions must ensure that the relevant

priorities of the NDP are reflected in the institutional strategic and annual performance plans,

as identified through the NDP Five Year Implementation Plan for the relevant planning cycle.

The NDP Five Year Implementation Plan is aimed at reinforcing a coherent vision and plan

to achieve the long term priorities expressed in the NDP. It will also focus on the priorities

specific to women, children and people with disabilities. It is intended to outline an indicative

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medium term roadmap, which will form the basis for developing five-year institutional plans

that will guide the realisation of the NDP priorities.

National sector departments are responsible for developing sector plans that are aligned to

the NDP Five Year Implementation Plan. The national departments with concurrent functions

must consult with respective provincial and local government institutions to agree on the

priorities for the sector which should be included in the sector plans. Institutions must ensure

that the relevant sector priorities are included in the Strategic Plans and Annual Performance

Plans.

2.2.2 The Monitoring Framework for the NDP Five Year Implementation

Plan

Government’s contribution to the NDP Five Year Implementation Plan will be measured

through the Monitoring Framework for the NDP Five Year Implementation Plan with related

indicators and targets. National, provincial and local government institutions must ensure that

commitments in the Monitoring Framework for the NDP Five Year Implementation Plan are

included in the relevant short and medium term plans.

National institutions must incorporate the Monitoring Framework for the NDP Five Year

Implementation Plan deliverables, that are their direct responsibility, in the performance

information section of the institutional plans. Furthermore, a national department must lead

its sector to ensure that the sector contributes towards deliverables in the monitoring

framework.

Provincial institutions must incorporate the applicable Monitoring Framework for the NDP

Five Year Implementation Plan deliverables, that are their direct responsibility, in the

performance information section of institutional plans. The standardisation of output

indicators for a sector is one way of ensuring that the Monitoring Framework for the NDP Five

Year Implementation Plan indicators are incorporated into the short and medium term plans.

Provincial departments of Local Government must provide guidance to municipalities to

ensure that the applicable Monitoring Framework for the NDP Five Year Implementation Plan

deliverables, that are their direct responsibility, is incorporated in the performance information

section of municipal institutional plans.

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2.2.3 Spatial Development Plans

All government institutions preparing short and medium term plans must reflect the spatial

impact of the priorities that will be planned for. This will also facilitate and promote

intergovernmental cooperation in respect of spatial development planning and

transformation.

2.2.4 Budget Prioritisation Framework

The annual Budget Prioritisation Framework is aimed at guiding departments in the

finalisation of their draft Annual Performance Plans and budget submissions for the next

financial year. The Budget Prioritisation Framework ensures adequate and appropriate

prioritisation and alignment of plans and budgets. It reviews government priorities in relation

to economic and social developments and takes into consideration progress on programme

implementation. The Budget Prioritisation Framework proposes the refocussing and

refinement of priorities as identified in the National Development Plan and its implementation

plans. The Budget Prioritisation Framework also informs the Medium Term Expenditure

Committee in finalising recommendations to the Ministers Committee on the Budget and to

Cabinet.

2.2.5 Provincial Priorities

Provincial priorities must contribute towards the achievement of the National Development

Plan. The Offices of the Premier should ensure that applicable deliverables in the NDP Five

Year Implementation Plan and Monitoring Framework of the NDP Five Year Implementation

Plan are aligned to the Provincial Priorities. The Offices of the Premier must also ensure that

local government priorities are taken into consideration when provincial priorities are

developed.

The Office of the Premier and Provincial Departments of Local Government must ensure that

local priorities support the achievement of the national and provincial priorities. The

Integrated Development Plans of municipalities must reflect the priorities of the municipal

institutional plans. Sector departments must participate in the process of developing the IDPs

to ensure alignment to government priorities.

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2.3 Alignment of the policy, planning, budgeting and reporting

processes

Integrating policy, planning, budgeting and reporting processes is essential to ensure the

achievement of the long and medium term developmental priorities. In particular, It is

important that the planning and budgeting processes are aligned in order for the development

priorities to be budgeted for during the planning cycle. Implementation of the development

priorities must be tracked to ensure the achievement of priorities considering the allocated

budget.

Figure 2.2: National Policy Direction

Drawing on the entitlement set out in the Constitution of the Republic of South Africa (1996),

international and regional obligations, and political directives; the NDP provides overarching

goals for the country to be realised by 2030, and the mechanisms and levers to bring about

these goals. Since the adoption of the NDP, the shift in focus of South Africa’s planning

system has been to place more emphasis on planning to realise developmental results by

strengthening the existing planning system. The realisation of national development priorities

requires, among other conditions, that all sectors develop and implement sector plans that

are aligned to the NDP, guided by a common planning approach.

Long Term Development

Financial Years

Electoral Cycle

Medium Term Development

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Figure 2.3: Planning and Budgeting

The DPME will during the first quarter of each financial year, issue Budget Prioritisation

Framework to outline medium term priorities which should be reflected in institutional

budgets, for the next financial year. The DPME will further through the planning process

ensure that identified priorities for the medium term are reflected in institutional strategic and

annual performance plans. The National Treasury will through the annual budget guidelines

indicate the process for departments to budget for identified priorities which are

communicated by the DPME. Institutions must ensure that the priorities identified for the

medium term period are reflected in the plans, are budgeted for, are measured, and reported

on a quarterly basis through established reporting processes.

All institutions must in consultation with the National Treasury develop budget programme

and sub-programme structures which are aligned to the main areas of service delivery within

the institutions’ mandate. The outcomes and outputs of institutions must be developed in

terms of the approved budget programme structure and reflected in the Annual Performance

Plans. The process for the revision of the Budget Programme Structures for national and

provincial institutions is outlined in the National Treasury Guideline for Budget Programme

Structures .

Financial Years

Strategic Plans

Medium Term Planning

and Budgeting shorts

Planning &

Budgeting

Annual Performance Plans

Annual Operational Plans

Annual Allocated Budgets with MTEF

projections

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Figure 2.4: Reporting

With the development agenda institutionalised through short and medium term planning

instruments, reporting against strategic plans and annual performance plans will ensure more

focus is placed on the utilisation of reported performance information.

2.4 Integrated planning between national and provincial departments

The South African Intergovernmental Relations Framework Act, 2005 emphasises that “the

three spheres of government are distinctive, interdependent and interrelated”. All three

spheres of government (Local, Provincial and National Government) are autonomous.

Notwithstanding their autonomy, the three spheres of government must plan together for the

utilisation of scarce resources and to ensure achievement of government priorities.

Standardised indicators for sectors ensures that there is uniformity in planning and reporting

in a sector which facilitates the alignment of a sector towards the achievement of government

priorities. Standardised indicators for sectors can be developed for the following instances:

National departments and concurrent provincial departments

National departments and related public entities

National public entities and provincial public entities

2.4.1 Development of standardised indicators for sectors

The applicable deliverables in the Monitoring Framework of the NDP Five Year

Implementation Plan and sector plans must be reflected in the standardised indicators for

sectors. Standardised indicators for sectors must be developed in consultation with relevant

stakeholders. Accounting Officers for institutions responsible to implement standardised

indicators for sectors must approve the standardised indicators prior to inclusion in Annual

Financial Years

In-year

Reporting

12 Monthly Expenditure

Reports

4 Quarterly Performance

Reports

Medium Term

Reporting

End Term Reviews

Medium Term Reviews

Annual Reports

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Performance Plans. This Framework must be read in conjunction with the Guidelines for

Standardisation of Indicators for Sectors.

2.5 Roles and Responsibilities for Planning

The roles and responsibilities of various institutions contributing to and responsible for

institutional short and medium term planning are outlined below:

2.5.1 Department of Planning, Monitoring and Evaluation

The Department of Planning, Monitoring and Evaluation is the custodian for long, medium

and short term planning in government. The custodial role includes and is not limited to:

a) Developing long and medium term plans of government.

b) Institutionalising planning within government.

c) Developing the frameworks and guidelines for short and medium term planning.

d) Providing guidance on government priorities which must be funded.

e) Developing formats for performance reporting.

f) Assessing plans and reports of national and provincial institutions.

g) Coordinating the development of the standardised indicators for sectors

h) Providing guidance on monitoring and evaluation systems and processes.

i) Providing support to Offices of the Premier.

2.5.2 Offices of the Premier

The Offices of the Premier are responsible for:

a) The development of provincial priorities which are aligned to the national priorities.

b) Ensure that the national and provincial priorities are planned for, implemented and

monitored by provincial institutions.

c) Provide support to provincial departments on the planning, monitoring and evaluation

practice.

d) Monitor the implementation of the Frameworks by all institutions within their respective

provinces.

e) Assessment of the draft Strategic and Annual Performance Plans of provincial

departments.

f) Provide input into the processes to develop standardised indicators for sectors, where

applicable.

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2.5.3 National Treasury and Provincial Treasuries

a) Responsible for prescribing the formats of the budgets, and for measures to ensure

transparency and expenditure control in each sphere of government.

b) Ensure alignment of the budget to institutional plans and broad government priorities

through the Budget Prioritisation Framework.

c) Assessment of draft Strategic and Annual Performance Plans

d) Provide oversight on the development of Budget Programme Structures.

2.5.4 Department of Public Service and Administration

a) Responsible for providing guidance on the development and monitoring of service

delivery improvement plans.

2.5.5 National Department of Cooperative Governance

a) Responsible for monitoring the performance of local governments in relation to the

fulfilment of their constitutional functions.

b) Responsible for developing and implementing an integrated planning, monitoring,

reporting and evaluation system for local government.

c) Ensures that local government plans are aligned to the broad government priorities.

d) Responsible for developing of standardised indicators for local government.

2.5.6 Provincial Departments of Local Government

a) Provide support to municipalities during the development and review of IDPs.

b) Ensure alignment between local government priorities, and national and provincial

priorities.

2.5.7 National departments

a) National departments must ensure that government priorities are incorporated in their

short and medium term plans.

b) National departments must lead sector processes to develop sector plans.

c) National departments must submit draft Strategic Plans and Annual Performance

Plans to the DPME.

d) National departments must establish processes to take consolidated

recommendations from DPME into consideration to improve the quality of the plans.

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2.5.7 Provincial departments

a) Provincial department must ensure that national and provincial priorities are

incorporated in their short and medium term plans.

b) Provincial departments must submit draft Strategic Plans (if applicable) and Annual

Performance Plans to the DPME (through the respective Office of the Premier) at a

date determined by the DPME, refer to table 2.10.

c) Provincial departments must establish processes to take consolidated

recommendations from OTPs into consideration, to improve the quality of the plans.

2.5.8 Public Entities

a) Public entities must ensure that government priorities are incorporated in their short

and medium term plans.

b) Public Entities must submit draft Strategic Plans and Annual Performance Plans to the

oversight departments.

c) Public Entities must establish processes to take consolidated recommendations from

oversight departments into consideration to improve the quality of the plans.

2.5.9 National departments responsible for concurrent functions

a) Coordinate the development of sector specific plans.

b) Coordinate the standardisation of indicators for the sector.

c) Assessment of Strategic and Annual Performance Plans of their provincial concurrent

function departments.

d) Coordinate the development systems and structures to collect performance

information on concurrent functions across all spheres of government.

2.5.10 Institutions with Oversight Responsibilities of Public Entities

a) Oversight departments must provide policy direction regarding the priorities for the

sector which must be reflected in strategic and annual performance plans of public

entities.

b) Provide support on the planning, monitoring and evaluation practice.

c) The oversight department must assess plans of public entities to ensure alignment to

the mandate of the department, government priorities and the alignment of the

deliverables of the public entity to the budget.

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d) Oversight departments must establish processes for engagements with public entities

on plans and the related timelines must be synchronised with national and provincial

planning timeframes.

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2.9 Planning timeframes

Table 2.1: Planning, budgeting and reporting timeframes for national and provincial

departments

Process April May June July Aug Sep Oct Nov Dec Jan Feb Mar

Pla

nn

ing

Strategic Plans

15 Nov *Draft SPs

Tabled In Parl.

Annual Performance Plans

15 Nov *Draft APP

Tabled In Parliament

Bu

dge

tin

g

Annual Budget and MTEF

NT issues MTEF Guidelines

Depts. submit first draft budget and new expenditure estimates

NT issues Guidelines for ENE

NT issues allocation letters

Depts. submit final ENE Chapter

Tabled in Parliament

Adjusted Budget and MTEF

Mo

nit

ori

ng

and

Re

po

rtin

g

Monthly Financial Reports

15 days after month end












Quarterly Performance Reports

Q4 (Previous planning year)

Pre-Audited Annual Performance Report (Previous planning year)

Q1 Q2 Q3

Annual Reports

Performance information sent to auditors

Tabled Annual Reports

Mid-Term Review Report

To be tabled with the third APP of the Strategic Plan

End-Term Review

60 days after the tabling of the fifth Annual Report

Co

-ord

inat

ion

Change Requests to Budget and Programme Structure

Depts. propose changes to budget and programme structure

NT approves changes to the budget and programme structure

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Process April May June July Aug Sep Oct Nov Dec Jan Feb Mar

Standardised Indicators for Sectors

Submission of final set of standardised indicators for Sectors

*National departments submit to Department of Planning, Monitoring and Evaluation

*Offices of the Premier submit to Department of Planning, Monitoring and Evaluation

*Public entities submit to the relevant oversight institution

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Chapter 3

Strategic Planning

3.1 Introduction

Strategic Plans (SP) reflect institutional programmes and projects which contribute to the

achievement of the overall priorities of government, and the realisation of the mandate of the

institution. Strategic Plans institutionalise government priorities set out in the National

Development Plan (NDP), the NDP Five-Year Implementation Plan, the Monitoring

Framework for the NDP Five Year Implementation Plan, provincial priorities, sector priorities,

local government priorities, and any other government medium and long term plans.

The five-year Strategic Plan which is aligned to the electoral cycle, outlines the institutions

impact statement, outcomes, related outcome indicators and five year targets for outcomes.

The Strategic Plan informs the institution’s Annual Performance Plan. Each institution must

link its strategic focus to the allocated budget based on the mandate of the respective

institution.

This chapter provides direction for government institutions to plan using the results based

approach through developing the outcomes and impact in the strategic plans. Institutions

should use the various planning tools, outlined in the Guidelines for the implementation of

the Revised Framework for Strategic and Annual Performance Plans , for the strategic

planning processes. This chapter further provides direction on the processes related to the

development, approval, revision and tabling of SPs for national and provincial institutions; as

well as the contents of strategic plans.

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3.2 Contents of a Strategic Plan

Institutions must ensure that the following core contents are included in the Strategic Plan:

Part A: Our Mandate

3.2.1 Constitutional mandate

State the relevant section(s) of the Constitution and how the institution is directly responsible

for ensuring compliance with this section(s).

3.2.2 Legislative and policy mandates

Outline the specific legislative and policy mandates of the institution. Focus on the legislative

and other mandates that the department is directly responsible for implementing, managing

or overseeing; not the entire list of legislation that the institution is subject to, in the course of

its operations. The focus should also be given to legislative and policy mandates for cross

cutting priorities such as women, children and people with disabilities.

3.2.3 Institutional Policies and Strategies over the five year planning period

A Strategic Plan must take into consideration the National Development Plan (NDP), the NDP

Five-Year Implementation Plan, the Monitoring Framework for the NDP Five Year

Implementation Plan, spatial development plans, provincial priorities, sector priorities, local

government priorities, and any other government medium and long term plans.

Indicate in point form the most important policies and strategies the institution plans to

continue or initiate in the five year planning period.

Part B: Our Strategic Focus

3.2.4 Vision

A vision is an inspiring picture of a preferred future. It is not time-bound and serves as a

foundation for all policy development and planning, including strategic planning. It should be

specific to the institution but linked to the overall vision of a particular sector or cluster.

State the institutions vision.

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3.2.5 Mission

A mission statement sets out the reason for an institution’s existence based on its legislative

mandate, functions and responsibilities. The mission should succinctly identify what the

institution does, why and for whom.

State the institutions mission.

3.2.6 Values

Values identify the principles for the conduct of the institution in carrying out its mission.

Institutional values are derived in conjunction with the institution’s mission. These values

should define a citizen oriented approach for producing and delivering government services

in line with the Batho Pele principles.

List the institutions values.

3.2.7 Situational Analysis

The situational analysis presents broad information regarding the internal and external

environment of an institution based on the detailed information gathered in the strategic

planning process, and the strategic focus.

Information on the internal and external environment within which an institution operates must

guide the development of the Strategic Plan. Relevant research including analysis of

emerging trends, the status of women, children and people with disabilities (where

applicable), evaluations reports, and the performance information gathered during the

previous financial years must be considered when compiling the situational analysis. The

situational analysis must provide the context for the implementation of planned initiatives over

the five year planning period.

The situational analysis should also be informed by the discussions and decisions taken

through the use of planning tools such as the Scenario Planning, SWOT and PESTEL,

Fishbone, Problem and Solution Tree Analysis.

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The following core elements of the institution’s environment should be reflected in the

situational analysis:

a) The strategic focus of the institution over the five year planning period

b) Recent statistics relevant to the institution and sector

c) Reference to the medium and long term policy environment

d) Evidence-based analysis of the strategic context and priorities relating to women,

children and people with disabilities

e) Where appropriate, demographic data

f) Where appropriate, background information on the demand for services

g) Where appropriate, use of spatial information to guide planning

h) Challenges experienced by the institution in the performance environment and

mechanisms to address the challenges over the planning period

i) Emerging priorities and opportunities which will be implemented during the planning

period

j) Information on the capacity of the institution to deliver on its mandate

k) Relevant stakeholders which contribute to the institution’s achievement of its

outcomes.

3.2.7.1 External Environment analysis

Summarise key issues in the delivery environment. Core elements in this section should

include:

a) Background information on factors contributing to the performance of policy and

regulatory institutions

b) Where applicable, background information on demand for services and other factors

which informs the development of the Strategic Plan.

c) Identify challenges to be addressed and provide interventions.

d) Demographic or other data that will be used to inform planning for the five year period.

e) Trend analysis based on annual reports and end term reports that will inform the

strategy going forward.

f) Findings of internal or external research that will be used to inform the strategy of the

department

g) Findings of internal or external evaluations that will be used to inform the strategy of

the department.

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h) Information from the political environment which may impact on the implementation of

the Strategic Plan.

i) Diagnostic and analysis of relevant environmental factors, data, trends, barriers,

research, evaluations, relating to women, children and people with disabilities that will

inform the strategy of the institution.

3.2.7.2 Internal Environment Analysis

Summarise the structure of the institution and its configuration to deliver on the mandate of

the institution. Other internal institutional factors which may impact on the achievement of the

institution’s outcomes must be reflected. Core elements should include:

a) The capacity of the institution to deliver on the mandate. This should include the

Human Resources, Information Technology, financial resources, among others.

b) Other internal factors that have informed the development of the Strategic Plan such

as budget.

c) The status of the institution regarding compliance with the BBBEE Act.

d) The status of the institution regarding women and people with disabilities.

Part C: Measuring Our Performance

3.2.8 Institutional Performance Information

The information reflected in the performance information section of the Strategic Plan should

be underpinned by a relevant planning methodology and tools, and a comprehensive

diagnostic assessment.

3.2.8.1 Impact

Provide an impact statement to which an institution contributes, as informed by the legislative

or policy mandate. The impact must be informed by the theory of change or any other tools

used to develop a results based plan.

3.2.8.2 Outcome

State the institution’s outcomes which must be accompanied by at least one outcome

indicator which will be used to measure attainment of the outcome.

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3.2.8.3 Outcome indicator

This is a measure of the achievement of the outcomes at the end of the five period. It should

be clear, specific and measurable. The outcome indicators can either be qualitative or

quantitative depending on the nature of business of an institution; and must be able to gather

dissagregated data for women, children and people with disabilities, where applicable.

3.2.8.4 Outcome Indicator Baseline

The current level of performance in relation to the outcome indicator at the beginning of the

five year planning period.

3.2.8.5 Five (5) year target

This is the desired level of performance to assess progress towards the achievement of the

outcome indicator by the end of the five-year period.

3.2.8.6 Explanation of planned performance over the five year planning period

A narrative must be provided for each of the outcomes to outline the importance of the

outcomes’ contribution towards the achievement of the NDP, NDP Five-Year Implementation

Plan, the Monitoring Framework for the NDP Five Year Implementation Plan, priorities of

women, children and people with disabilities, provincial priorities, and the mandate of the

institution. The narrative should include the rationale for the choice of the outcome indicators

relevant to the respective outcomes. The narrative should also indicate how the identified

outcomes will contribute to the achievement of the impact.

3.2.8.7 Key risks

A summary of key risks which may affect the achievement of the identified outcomes, as well

as, measures to mitigate the identified risks must be included in Part B of the Strategic Plan.

This information must be included in the format stipulated in the Guidelines for the

Implementation of the Framework for Strategic and Annual Performance Planning.

3.2.8.8 Public entities

A description of public entities within the oversight of a department must be included in Part

B of the Strategic Plan, where applicable. A table with a list of public entities and the relevant

outcomes to which the public entities contribute to must be included in the format stipulated

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in the Guidelines for the Implementation of Framework for Strategic and Annual Performance

Planning.

Part D: Technical Indicator Descriptions (TID)

Technical Indicator Descriptions must be completed for each outcome indicator in the format

stipulated in the Guidelines for the Implementation of the Framework for Strategic and Annual

Performance Planning.

3.3 Processes for the development, approval and revision of strategic

plans by national and provincial institutions

3.3.1 Processes for the development Strategic Plan

a) Institutions should engage all internal and external stakeholders. Stakeholders refer

to those who are implementing the plan, those who will be affected by the plan, those

who will monitor its implementation and those who are responsible for the planning

of the institution (usually referred to as the Strategic Planners). Principles for

prioritising women, children and people with disabilities should be adhered to in the

stakeholder consultation process (where applicable).

b) Stakeholders can be involved through a number of workshops (e.g. per programme,

sub programme, outcome, cross cutting functional areas), or a series of consultation

meetings with specific groups (e.g. per programme, sub programme, outcome, cross

cutting functional areas).

c) The head of planning and the Accounting Offcer must identify and agree on the

planning tools which will be used through a well-defined process of collaboration,

partnership and communication. This process must be accompanied by a rigorous

diagnostic with a particular focus on achieving the identified outcomes and

contribution to the NDP, NDP Five-Year Implementation Plan, the Monitoring

Framework for NDP Five Year Implementation Plan and provincial priorities.

d) The head of planning together with the Chief Financial Officer must ensure that the

budget is prioritised to support the achievement of identified outcomes.

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e) The planner for the department consolidates the plan for the institution that has been

developed using the relevant planning tools. This is embedded in a Results Based

Strategic Plan.

f) Programme managers must sign off on the contents of the Strategic Plan. This can

be done through internal sign off mechanisms.

g) The Accounting Officer, Chief Financial Officer and Head of Planning must sign off

on the Strategic Plan before it is approved by the Executive Authority.

h) The Accounting Officer of an institution must submit the Strategic Plan to the

Executive Authority of the institution for approval.

i) The Accounting Officer of an institution must ensure that the strategic planning

processes of the institution are aligned to the timeframes determined by the Leader

of Government Business, the applicable provincial legislature, the Department of

Planning, Monitoring and Evaluation, or Offices of the Premier, as may be applicable.

j) The Strategic Plan must be shared with all the stakeholders, including the legislature,

DPME, Offices of the Premier, and relevant Treasuries. The Strategic Plan must also

be published on the institutions’ website.

3.3.2 Processes for the tabling of Strategic Plans

National Institutions

a) New strategic plans developed at the beginning of a five year planning cycle:

i. The plans of national institutions approved by the Executive Authority must be

tabled in Parliament at a date determined by the Leader of Government

Business.

ii. The tabling of the approved plans must follow the process and the time for

tabling outlined by Parliament.

b) Revised, approved strategic plans during the five year planning cycle:

i. Strategic Plans which are revised and approved by the Executive Authority

during the cause of a financial year, and after the tabling date has been issued,

must be tabled in Parliament at a date provided by Parliament.

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c) Proof of tabling of new Strategic Plan and proof of re-tabling of revised Strategic Plans

must be submitted to the DPME within a month after the tabling or re-tabling of a

Strategic Plan in Parliament.

d) The Strategic Plan must be shared with all the stakeholders, including the legislature,

DPME, Offices of the Premier, and relevant treasuries. The Strategic Plan must also

be published on the institutions’ website.

Provincial Institutions

a) New strategic plans developed at the beginning of a five year planning cycle:

i. The plans of provincial institutions approved by the Executive Authority must

be tabled in the Legislature at a date determined by the relevant Legislature.

ii. The tabling of the approved plans must follow the process and the time for

tabling outlined by the Legislature.

b) Revised, approved strategic plans during the five year planning cycle:

i. Strategic Plans which are revised and approved by the Executive Authority

during the cause of a financial year, and after the tabling date has been issued,

must be tabled in Legislature at a date provided by the relevant Legislature.

c) Proof of tabling of new Strategic Plan and proof of re-tabling of revised Strategic Plans

must be submitted to Offices of the Premier within a month after the tabling or re-

tabling of a Strategic Plan. The OTP must submit tabled plans to DPME within two

weeks after receiving them.

d) The re-tabled Strategic Plan must be shared with all the stakeholders, including the

legislature, DPME, Offices of the Premier, and relevant treasuries. The Strategic Plan

must also be published on the institutions’ website.

3.3.3 Processes for the revision of the Strategic Plan

Ideally, a Strategic Plan should not be revised during the five year planning period.

A Strategic Plan can be revised during the five year planning period if there are significant

changes to the policy, significant changes in the service delivery environment, or significant

changes to the planning methodology.

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The following process must be followed to revise a strategic plan:

a) Institutions can reflect the revisions to the Strategic Plan through the re-tabling of the

whole Strategic Plan or the tabling of an Annexure to the Annual Performance Plan:

i. If the changes in policy, service delivery environment, and planning

methodology result in the revision of vision, mission, values and impact

statement, outcomes, outcome indicators and targets, then institutions can

conduct a comprehensive revision to the Strategic Plan which must be re-tabled

in the relevant legislature. This must not be done in-year.

ii. If the changes are minimal, such as, changes to the outcomes, outcome

indicators and targets, institutions can reflect such revisions to the Strategic

Plan as an Annexure to the Annual Performance Plan which will be tabled in

the relevant legislature.

b) The re-tabled Strategic Plan must be shared with all the stakeholders, including the

legislature, DPME, Offices of the Premier, and relevant treasuries. The Strategic Plan

must also be published on institutions’ website.

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Chapter 4

Annual Performance Planning

4.1 Introduction

The Annual Performance Plan should outline the outputs (pre-conditions) towards the

realisation of the outcomes and impact statements reflected in the Strategic Plan. These

outputs must also reflect the audited performance for the past three planning years, the

estimated performance for the current year and forward projections for the medium term

period, and should inform the budget. The annual performance planning process is informed

by the strategic planning process.

This chapter seeks to strengthen the alignment between the Strategic Plan and the Annual

Performance Plan, by ensuring that the chosen outputs focus on the realisation of outcomes

and impact as reflected in the Strategic Plan. Provision is made for narratives on planned

performance in relation to the selected outputs. The chapter also provides for integrated

planning for different institutions and spheres of government towards better coherence and

coordination of government priorities. The contents of the Annual Performance Plan must be

informed by the relevant planning tools used in the strategic planning process.

4.2 Contents of the Annual Performance Plan

Part A: Our Mandate

4.2.1 Updates to the relevant legislative and policy mandates

Provide an update to the mandate of the institution which is reflected in the Strategic

Plan, where applicable.

4.2.2 Updates to Institutional Policies and Strategies

Provide an update to the institutional policies and strategies which are reflected in the

Strategic Plan, where applicable.

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Part B: Our Strategic Focus

4.2.3 Updated Situational Analysis

During the first year of the five year planning cycle the situational analysis reflected in the

Annual Performance Plan must be the same as the situational analysis reflected in the

Strategic Plan. Information provided in the first Strategic Plan at the beginning of the planning

cycle must be updated annually in the Annual Performance Plan form the second year of the

five year planning cycle. Changes to the internal and external environment within which an

institution operates must guide the development of the Annual Performance Plan. Relevant

research including analysis of emerging trends, the status of women, children and people

with disabilities (where applicable),evaluations reports and the performance information

gathered during the previous financial years must be considered when reviewing the

situational analysis. The updated situational analysis must provide the context for the

implementation of planned initiatives over the medium term period.

The updated situational analysis should also be informed by the discussions and decisions

taken through the use of planning tools such as the Scenario Planning, SWOT and PESTEL,

Fishbone, Problem and Solution Tree Analysis.

The following core elements of the institution’s environment should be reflected in the Annual

Performance Plan:

a) The strategic focus of the institution over the five year planning period

b) Recent statistics relevant to the institution and sector

c) Reference to the medium and long term policy environment

d) Evidence based analysis of the strategic context and priorities relating to women,

children and people with disabilities

e) Where appropriate, demographic data

f) Where appropriate, background information on the demand for services

g) Where appropriate, the use of spatial information to guide planning

h) Challenges experienced by the department in the performance environment and

mechanisms to address the challenges over the medium term period

i) Emerging priorities and opportunities which will be implemented during the medium

term period

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j) Information on the capacity of the institution to deliver on its mandate

k) Relevant stakeholders which contribute to the institution’s achievement of its

outcomes

4.2.3.1 External Environment Analysis

Summarise key issues in the delivery environment. Information in this section should include:

a) Background information on factors contributing to the performance of policy and

regulatory institutions

b) Where appropriate, background information on demand for services and other factors

which informs the development of the Annual Performance Plan.

c) Challenges experienced by the institution in the performance environment and

mechanisms to address the challenges over the medium term period

d) Demographic or other data that will be used to inform planning for the medium term

period.

e) Trend analysis based on annual reports or other reports that will inform the strategy

going forward.

f) Findings of internal or external research that will be used to inform the strategy of the

department

g) Findings of internal or external evaluations that will be used to inform the strategy of

the department.

h) Information from the political environment which may impact on the implementation of

the Annual Performance Plan.

i) Diagnostic and analysis of relevant environmental factors, data, trends, barriers,

research, evaluations, relating to women, children and people with disabilities that will

inform the strategy of the institution.

4.2.3.2 Internal Environment

Summarise the structure of the institution and its configuration to deliver on the mandate of

the institution. Other internal institutional factors which may impact on the achievement of the

institution’s outcomes must be reflected. Information in this section should include:

a) The capacity of the institution to deliver on the mandate. This should include the

Human Resources, Information Technology and financial resources among others.

b) Other internal factors that have informed the development of the Annual Performance

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Plan such as the budget.

c) The status of the institution regarding compliance with the BBBEE Act.

d) The status of the institutions regarding women, children and people with disabilities.

Part C: Measuring Our Performance

4.2.4 Institutional Programme Performance Information

The information reflected in the programme performance information section of the Annual

Performance Plan should be underpinned by a relevant planning methodology and tools, and

a comprehensive diagnostic assessment. The following core elements of the institution’s

programme performance information must be reflected in the Annual Performance Plan:

4.2.4.1 Programme Names

Each programme and sub-programme must have a distinct name which provides a succinct

description of the core functions. The programme names must be consistent with the Budget

Programme Structure approved by the National Treasury.

4.2.4.2 Programme Purpose

Each programme and sub-programme must have a purpose which outlines the intended

results for which funds are appropriated by the legislature. The programme purpose must be

same to those reflected in the Appropriation Bill.

4.2.4.3 Programme Outputs

The institutions must identify outputs which are strategic for each sub-programme within a

programme. The outputs must indicate the strategic deliverables which will be achieved by

each sub-programme , including those relating to women, children and people with disabilities

(where applicable). For each output in each sub-programme, institutions must identify and

reflect an outcome to which outputs contribute to. The outcomes reflected in the Annual

Performance Plans must be aligned to those in the Strategic Plans.

Outputs which are within the direct responsibility of an institution must be outlined for sub-

programmes. In addition, outputs from implementing agencies can be included as an

annexure to the Annual Performance Plan. In addition, outputs identified from Implementation

Programme Plans must also be reflected in the relevant sub-programmes.

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Public entities must develop outputs in consultation with the respective oversight

departments. Oversight departments must provide support to the public entities to ensure

that the plans of public entities reflect their core mandates and contribution to government

priorities.

4.2.4.4 Output Indicators

Each output must have at least one output indicator with related annual targets over the

medium term. Output indicators can be either qualitative or quantitative; and must be able to

gather dissagregated data for women, children and people with disabilities, where applicable.

In addition, output indicators identified from Implementation Programme Plans must also be

reflected in the relevant sub-programmes.

Output indicators for Administration programme must measure the strategic support to other

programmes to enable the achievement of line function programme outputs.

4.2.4.5 Targets

Annual targets over the medium term and quarterly targets for the planning year must be

provided for outputs indicators. It is important for a logical alignment to exist between

indicators and targets for both quantitative and qualitative output indicators. Targets are

informed by baselines which reflect the current level of performance.

4.2.4.6 Explanation of planned performance over the medium term period

A narrative must be provided for each programme to indicate how each of the outputs will

contribute towards achieving the outcomes and impact aligned to the mandate of the

institution; as well as the achievement of priorities of women, children and people with

disabilities. The explanation of planned performance in relation to outputs must be discussed

within budget programmes and the contribution of the outputs to outcomes must be clearly

outlined.

4.2.4.7 Programme Resource Considerations

For each programme, institutions must outline the available and required resources which

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will contribute to the achievement of outputs. The institution must provide the budget

allocation for each programme and sub-programme, and indicate how these allocations will

contribute to achieve the planned outputs. The institution must provide a narrative on

changes or trends in the budget allocations, and the impact on the projected outputs. A

discussion of human resources which contribute to the achievement of sub-programme

outputs must also be included within this section.

4.2.4.8 Key Risks

Institutions should identify key risks which can impact on the achievement of outputs, as well

as risk mitigation factors. This should include:

a) Key risks which may impede the success of the outputs within a programme.

b) Unintended consequences of the outputs within a programme.

c) Assumptions underlying the achievement of the outputs.

d) Credible measures to mitigate identified risks.

4.2.5 Public entities

A description of public entities within the oversight of a department must be included in Part

B of the Annual Performance Plan, where applicable. A table with a list of public entities and

the relevant outputs must be included in the format stipulated in the Guidelines for the

Implementation of Strategic and Annual Performance Planning.

4.2.6 Infrastructure projects

A description of infrastructure projects which will be implemented during the medium term

period must be included in Part B of the Annual Performance Plan, where applicable. A table

with a list of infrastructure projects, as well as, the outcomes to which the infrastructure

projects contribute must be included as Part B of the Annual Performance Plan in the format

stipulated in the Guidelines for the Implementation of Strategic aand Annual Performance

Planning.

4.2.7 Public Private Partnerships

A description of Public Private Partnerships an institution has entered into for the purpose of

delivering outcomes according to its mandate must be included in Part B of the Annual

Performance Plan, where applicable. A table with a list of Public Private Partnerships must

be provided in the format stipulated in the Guidelines for Implementation of the Framework

for Strategic and Annual Performance Planning.

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PART D: Technical Indicator Descriptions (TID)

4.3 Technical Indicator Descriptions

TIDs must be developed for each of the output indicators which are contained in the Annual

Performance Plan.

The core elements of the institution’s TIDs are provided in the Guidelines for the

Implementation of the Framework for Strategic and Annual Performance Planning.

4.4 Annexures to the Annual Performance Plan

The following annexures must be included in the Annual Performance Plans of institutions

where applicable:

a) Details of the revisions to the approved Strategic Plan with reasons for the revisions.

b) Conditional grants managed by an institution and the related indicators and targets

c) Consolidated indicators should be included as an annexure to the national and

provincial institutions Annual Performance Plans.

4.5 Processes for the development, approval and revision of annual

performance plans by national and provincial institutions

4.6.1 Processes for the development of an Annual Performance Plan

a) Institutions should engage all internal and external stakeholders. Stakeholders refer

to those who are implementing the plan, those who will be affected by the plan, those

who will monitor its implementation and those who are responsible for the planning of

the institution (usually referred to as the Strategic Planners). Principles for prioritising

women, children and people with disabilities should be adhered to in the stakeholder

consultation process, where applicable.

b) Stakeholders can be involved through a number of workshops (e.g per programme,

sub programme, objective, cross cutting functional areas), or a series of consultation

meetings with specific groups (e.g. per programme, sub programme, objective, cross

cutting functional areas).

c) Stakeholders must continue to use the planning tools which are used through a well-

defined process of collaboration, partnership and communication, and which were

agreed to during the development of the Strategic Plan.

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d) Stakeholders must ensure that the outputs in the Annual Performance Plan are aligned

to the outcomes in the Strategic Plan.

e) The planner for the institution consolidates the plan which has been developed using

relevant planning tools. This is embedded in a Results Based Annual Performance

Plan.

f) Programme managers must sign off on the contents of the Annual Performance Plan.

This can be done through internal sign off mechanisms.

g) The Accounting Officer, Chief Financial Officer and Head of Planning must sign off on

the plan before it is approved by the Executive Authority.

h) The Accounting Officer of an institution must submit the Annual Performance Plan to

the Executive Authority of the institution for approval.

i) The Accounting Officer of an institution must ensure that the planning processes of

the institution are aligned to the timeframes determined by the Leader of Government

Business, the applicable provincial legislature, the Department of Planning,

Monitoring and Evaluation, or Offices of the Premier, as may be applicable.

j) The Annual Performance Plan must be shared with all the stakeholders, including the

legislature, DPME, Offices of the Premier, and relevant Treasuries. The Annual

Performance Plan must also be published on institutions’ website.

4.6.2 Processes for the tabling of Annual Performance Plans

National Institutions

a) New Annual Performance Plan developed prior to the beginning of a new planning

year:

i. The Annual Performance Plan approved by the Executive Authority of an

institution must be tabled in Parliament at a date determined by the Leader of

Government Business.

ii. The tabling of the approved plans must follow the process outlined by the

Parliament.

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b) Revised, approved Annual Performance Plans:

i. Annual Performance Plans which are revised and approved by the Executive

Authority during the course of a financial year, and after the tabling date has been

issued, must be tabled in Parliament at a date provided by the relevant Portfolio

Committee.

c) Proof of tabling or re-tabling of the revised Annual Performance Plans must be

submitted to the DPME within a month after the tabling or re-tabling.

Provincial Institutions

a) New Annual Performance Plan developed prior to the beginning of a new planning

year:

i. The Annual Performance Plan approved by the Executive Authority of an

institution must be tabled in the Legislature at a date determined by the relevant

Legislature.

ii. The tabling of the approved plans must follow the process outlined by the relevant

Legislature.

b) Revised, approved Annual Performance Plans:

i. Annual Performance Plans which are revised and approved by the Executive

Authority during the course of a financial year, and after the tabling date has been

issued, must be tabled in Legislature at a date provided by the relevant

Legislature.

d) Proof of tabling of revised Annual Performance Plans must be submitted to the Offices

of the Premier within a month after the tabling or re-tabling. The Offices of the Premier

must submit tabled or re-tabled plans to DPME within two weeks after receiving them.

4.6.3 Processes for the revision of Annual Performance Plans

An Annual Performance Plan should ideally not be changed during a financial year.

Nonetheless, an Annual Performance Plan can be revised during a particular financial year,

as per the following conditions:

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a) Revisions to the Strategic Plan, as outlined in section 3.3.3 (a)(ii), will necessitate a

revision of the outcomes and related outputs in the Annual Performance Plan.

b) The targets which are amended as a result of the in-year budget adjustment process

must be reflected in both a re-tabled Annual Performance Plan and the Adjusted

Estimates of National Expenditure or the Adjusted Estimates of Provincial Revenue

and Expenditure.

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Chapter 5

Annual Operational Planning

5.1 Introduction

An Annual Operational Plan outlines the activities and budgets for each of the outputs and

output indicators reflected in the Annual Performance Plan. Annual Operational Planning is

crucial in the hierarchy of institutional planning as it is the mechanism within which institutions

plan for the achievement of activities that contribute to the Annual Performance Plan outputs.

In addition, Annual Operational Plans include operational outputs, which are not reflected in

the Annual Performance Plan.

The contents of the Annual Operational Plan should be informed by the Strategic and Annual

Performance Planning processes using the relevant planning tools. Annual Operational Plans

must be developed at an institutional level and should be used as a management tool to

inform performance agreements.

This chapter provides information on the contents of the Annual Operational Plan, which

enable the achievement of outputs reflected in the Annual Performance Plan.

5.2 Contents of an Annual Operational Plan

5.2.1 Programme Name

Each programme and sub-programme should have a distinct name, which provides a

succinct description of the core functions. The programme names must be consistent with

the Budget Programme Structure approved by National Treasury.

5.2.2 Programme Outputs

All Annual Performance Plan outputs and other outputs not included in the Annual

Performance Plan must be included in the Annual Operational Plan per sub-programme.

These outputs should have annual and quarterly targets.

5.2.3 Activities

Relevant activities contributing to the outputs within sub-programmes must be provided,

including for outputs which are not reflected in the Annual Performance Plan.

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5.2.4 Activity Timeframes

A start and end date for each activity must be provided.

5.2.5 Activity Budget Allocations

The institution should cost each activity based on the allocated budget of the sub-programme.

5.2.6 Activity Dependencies

Dependencies are factors which contribute to the achievement of activities. Institutions

should outline all the dependencies for each activity.

5.2.7 Activity Responsibilities

The institution should identify the official responsible for the activities.

5.2.8 Risks and Mitigation Factors

Institutions should identify key risks which could affect the achievement of activities, as well

as risk mitigation factors.

5.3 Processes for the development of an Annual Operational Plan

a) Involve stakeholders at a sub-programme level.

b) Identify the outputs at sub-programme level, those in the Annual Performance Plan

and those not reflected in the Annual Performance Plan, including those relating to

women, children and people with disabilities (where applicable).

c) Develop a set of activities to be delivered for each of the outputs.

d) For each activity, identify the timeframes for completion of the activity.

e) Cost each activity.

f) Determine the dependencies for each activity.

g) Assign responsibly for each activity

h) Identify risks per activity and mitigating factors.

g) The planner for the institution consolidates the Annual Operational Plan for the

institution.

i) The Annual Operational Plan must be approved by the Accounting Officer by end of

March.

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5.3.1 Processes for the revision of the Annual Operational Plans

a) Institutions must establish internal processes for the revision of Annual Operational

Plans.

b) The institutions Performance Information Management policy or Planning, Monitoring

and Evaluation framework must outline procedures for the revision, approval and

reporting on a revised Annual Operational Plan.

c) Revisions to the Annual Operational Plans must not deviate from the outputs in the

tabled Annual Performance Plan.

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Chapter 6

Implementation Programme Planning

6.1 Introduction

Planning for Implementation Programmes is essential to accelerate service delivery. The

purpose of this chapter is to ensure alignment between planning for Implementation

Programmes and Strategic and Annual Performance Planning.

This chapter includes elements to be considered in planning for Implementation

Programmes; alignment of Implementation Programmes to the Annual Performance Plans;

and processes for the development of Implementation Programme plans.

6.2 Steps in Planning for Implementation Programmes

The following steps are required for the development of an Implementation Programme plan.

These steps can be applied for the development of plans for new Implementation

Programmes. Institutions can also consider the steps below to review existing

Implementation Programme plans, and for improving the implementation of such

programmes.

Steps Explanation

1. Diagnostic Analysis Analysis of the status quo, referring to the results of

relevant research, evaluation or other evidence.

Use of the status quo information to indicate the

problem or opportunity and root causes thereof.

Consultation with clients of programme and show

results.

2. Analysis of Options Analysis of options for addressing the problem.

Determination of cost-benefit of different options.

Motivation of programme selected as the preferred

option.

3. Programme Description Description of how the programme contributes to

institutional outcomes and government’s outcomes.

Outlining the relationship with the outputs of any

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other existing or planned programmes, within an

institution or sector.

4. Target Group Definition of target group in some qualitative and / or

quantitative way.

5. Theory of Change Theory of Change is required to address the problem

or opportunity

Provide the explanation of the causal mechanism of

how activities and outputs will result in anticipated

outcomes, impact statement and assumptions

involved.

6. Logframe Use of the structure of a Logframe to reflect

indicators at different levels of the results chain,

baselines and targets

Indication of key assumptions and risks which

underpin the results chain

Indication of key outputs and related activities

required to achieve the desired outcomes

Provision of a summary of the human and financial

resources (inputs) needed to achieve the outcomes

and impacts

7. Roles and responsibilities

of stakeholders

Indication of roles and responsibilities of internal and

external stakeholders.

Assessment of whether the roles and responsibilities

contradict or duplicate any existing institutional

arrangements and explain how this will be

addressed.

Assessment of whether the roles and responsibilities

result in any government body being requested to

perform functions which they do not have capacity to

perform, and explain how capacity constraints will be

addressed.

8. Risk Management Plan A risk management plan should be compiled that

includes key risks to the success of the programme,

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unintended consequences of the outputs, their

probability and impact, and measures to mitigate

identified risks.

9. Cost estimates Cost estimates of inputs required to achieve outputs

in the Logframe.

10. Life-cycle evaluation A life-cycle evaluation plan for the programme –

potentially baseline evaluation, implementation

evaluation, impact evaluation, depending on the size

of the programme.

6.3 Alignment of the Implementation Programme Planning with Annual

Performance Planning

Implementation Programmes are focused programmes which are aimed at addressing a

specific challenge or are implemented as a strategic intervention within an institution or

sector. Output for Implementation Programmes should be reflected in the Annual

Performance Plans, and activities should be reflected in Annual Operational Plans. The

Implementation Programme Plan must be developed to improve the implementation of

existing and new programmes.

6.4 Alignment between Implementation Programme Plans and the

DoRA requirements

To be informed by consultation with National Treasury.

6.5 Processes for the development of an Implementation Programme

Plan

a) Identify stakeholders at an Implementation Programme level. These stakeholders

could span across budget programmes, institutions and spheres of government, and

non-government stakeholders, where relevant.

b) Stakeholders can be involved through a number of workshops and / or a series of

consultation meetings with specific groups.

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c) The Implementation Programme plan needs to be coordinated and consolidated by

the leading institution.

d) Accounting Officers of contributing institutions must approve the commitments made

on the Implementation Programme plans and these should be reflected in their

institutional short and medium term plans.

e) A process for monitoring the progress of an Implementation Programme plan should

also be outlined by the leading institution in line with the relevant prescripts.

f) The Accounting Officer of the leading institution must approve the consolidated

Implementation Programme plan.

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Chapter 7

Infrastructure Planning

7.1 Introduction

Infrastructure comprises of the essential facilities and systems serving a country, city, or other

areas necessary for the economy to function. Infrastructure includes public and private

physical improvements such as roads, water supply, sewers, electrical grids and

telecommunications.

Infrastructure Planning is a process for ensuring that the physical needs of an area can be

delivered to keep pace with developmental requirements. Infrastructure planning must form

part of the short and medium term planning process to contribute to the achievement of

institutional priorities and broader government priorities.

This Revised Framework for Strategic and Annual Performance Plans aims to create

synergies between the existing Infrastructure Planning processes and short and medium term

planning in government. The Revised Framework for Strategic and Annual Performance

Plans must be read in conjunction with the National Treasury (NT) guidelines and regulations,

and other legislation and policies related to Infrastructure Planning.

This chapter provides institutions with a streamlined approach to Infrastructure Planning as

well as guidance on how Infrastructure Planning processes can be aligned to the short and

medium term planning processes of institutions.

7.2 Relationship between Infrastructure Planning and Spatial Planning

The NDP vision for the National Spatial Development Framework (NSDF) is to optimise,

integrate and coordinate strategic interventions in national spaces towards spatial

development and transformation. The Spatial Planning and Land Use Management Act

(SPLUMA) legislates the development of the National Spatial Development Framework to

provide direction for spatial targeting towards spatial development aspirations expressed in

the NDP.

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National sector departments and their provincial counterparts must add a spatial component

to their strategic plans that (1) is aligned to the NSDF, and (2) depicts the location of their

spending, especially those components with a specific spatial and/or capital/infrastructure

expenditure component. In doing so, they should also indicate how they will engage with the

unique attributes of the places where the investment will ‘land’ in a local space in such manner

that it (1) responds to the unique regional and local challenges (as articulated in the IDP and

SDFs), and (2) supports regional and local development in the area concerned.

7.3 Process for aligning Infrastructure Plans with Short and Medium

Term Plans

The process to be undertaken during the planning process for infrastructure development is

outlined in the Standard for Infrastructure Procurement and Delivery Management issued by

National Treasury.

The Strategic Plan focuses on a strategic overview of the sector or department/institution’s

vision, mission, values and impact, outcomes it aims to achieve over a five-year period.

In each province, there is an IDMS protocol, which outlines the roles and responsibilities of

the provincial department, related to infrastructure. With the IDMS, the portfolio management

process requires the development of the Infrastructure Asset Management Plan. The

Infrastructure Asset Management plan derives its mandate from the departmental strategic

plans in terms of outcomes it aims to achieve in relation to infrastructure development over 5

to 10 years, and therefore ensuring alignment of use of immovable assets with service

delivery objectives of a national or provincial department and the efficient utilisation of

immovable assets.

The infrastructure plan is governed by the Government Immovable Asset Management Act

which outlines the uniform framework of managing the immovable assets used by national or

provincial departments. The plan is reviewed annually to take into consideration the national

and provincial priorities decided by the Executive Authority. The Infrastructure Asset

Management Plan (IAMP) supports the development vision of the organisation and facilitates

prudent technical and financial decision-making over a long term period including the project

and programmes.

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The infrastructure planning and budgeting process begins with the identification of needs.

The needs will arise from multiple sources, including strategic requirements, infrastructure

life cycle needs, community needs, backlogs, political needs, health and safety matters, asset

management and should be recorded and retained on a database irrespective of their

perceived distinction.

The identified needs, which will be contained in the Infrastructure Asset Management Plan,

must align with the national, provincial and sector plans. Infrastructure planning processes

are adequately developed, infrastructure delivery will tend to remain reactive and not function

as an agent of strategic change i.e. a rear-view mirror approach will be pursued. The

infrastructure planning process is an absolute precondition to effective integrated

infrastructure planning. The importance of the infrastructure planning process that clearly

articulate strategic priorities cannot be over emphasised, as this is a key input when

prioritising infrastructure delivery particularly in the environment where funding is limited to

meet the identified needs.

The Infrastructure Programme Management Plan (IPMP) stipulates what the client

organisation intends to achieve in the MTEF period (i.e. the next 3 years) of implementation

including projects and programmes. The implementer responds to the IPMP through the

development of an Infrastructure Programme Implementation Plan (IPIP) which validates the

implementer’s understanding of what needs to be implemented and explicitly indicates how

this will be achieved, when and by whom. These plans also promote cooperative governance

and collaborative programme and project management. The tabled MTEF prioritised project

list, which forms part of the Estimate of Provincial Revenue and Expenditure (EPRE), is

informed by the IPMP. The Annual Performance Plans are derived from the tabled projects

list.

The Infrastructure Reporting Model is a monitoring and reporting tool used by provincial

departments to report on their infrastructure projects and programmes as required by the

Division of Revenue Act and Public Financial Management Act. Departments capture their

MTEF list of projects/programmes tabled as part of the Estimates of Provincial Revenue and

Expenditure. The provincial departments are required to report their progress on

project/programme, budget and expenditure on a monthly basis.

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Chapter 8

Monitoring, Reporting and Evaluations

8.1 Introduction

The implementation of plans must be monitored to measure progress towards the

achievement of planned targets, and to use monitoring findings to improve performance, and

future planning and budgeting.

Monitoring must be planned and conducted continuously by collecting data on specified

indicators, verifying and storing the data, and analysing and reporting findings. These

monitoring findings must be utilised to provide management, oversight institutions and the

public with information of the extent of actual progress in implementation in relation to the

plan.

Reporting is a vital component of the monitoring process and must be undertaken with the

intent to use the findings to inform management and oversight decision making. Reporting

entails tracking progress against a plan and it improves accountability for delivering on the

priorities of government, and provides focus on the use of allocated budgets by institutions.

It also provides an opportunity for institutions to indicate measures that will be taken to ensure

that implementation of plans remains on track.

Evaluations seek to systematically and objectively assess policies, programmes, and / or

systems to make judgements on the achievement of intended results and the assessment of

the causal links between implementation and the observed results.

The institutions’ Performance Information Management policy or Planning, Monitoring and

Evaluation framework should outline institutional processes for management and use of

credible Monitoring and Evaluation (M&E) findings and recommendations.

8.2 Monitoring and Reporting

In terms of the Revised Framework for Strategic and Annual Performance Plans, monitoring

and reporting must be done against the Strategic Plans, Annual Performance Plans and

Annual Operational Plans. An integral part of monitoring is the practice of regular and ad hoc

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reviews. Regular reviews must be undertaken against the Strategic Plan such as Mid-term

reviews (two and a half years) and End-term reviews (on the fifth year before the new

administration). Ad-hoc reviews should be conducted against Implementation Programmes,

policies, projects, systems and other special interventions. The findings of these reviews must

be used to inform the design or improvements of plans during the short and medium term

planning processes.

This section of the chapter aims to provide structured reporting processes and synchronise

the various reporting requirements against different institutional plans. Information is provided

for the following reports:

Mid-term and End-term review reports for the Strategic Plan

Quarterly and Annual reports for the Annual Performance Plan

Reporting against the Annual Operational Plan

8.3 Reporting on the Strategic Plan

8.3.1 Mid-Term Review Report

Purpose: Mid-Term Reviews provide progress on the implementation of an institution’s

Strategic Plan after the first two and a half financial years of implementation, with particular

reference to monitoring delivery of outcomes.

Focus:

A Mid-Term Review Report should include recommendations for performance, budgeting and

planning improvement for the remaining financial years of the implementation of the Strategic

Plan. The findings of Mid-Term Reviews can contribute towards sector performance

assessments. Institutions must report on progress against outcomes.

Timeframes:

Mid-Term Review Reports must be finalised by the end of November in the third year of

implementation of the Strategic Plan within a particular planning period, to reflect

performance for the first two and a half years of a planning cycle. Reported information must

be valid at the time of reporting.

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Process for Reporting:

a) Mid-Term Review reports of institutions must be approved by the Executive Authority and

tabled in Legislatures.

b) The approved Mid-Term Review report must be tabled in the relevant Legislature at a

date determined by the relevant Legislature.

c) The tabled Mid-Term Review report must be submitted to the DPME and the relevant

Offices of the Premier, within two weeks after tabling.

d) The tabled Mid-Term Review report must be published on the institutions’ website.

Process for Feedback:

a) Oversight institutions must use the Mid-Term Reviews during the assessment of draft

Annual Performance Plans for the next financial period.

b) Institutions must establish processes to use the Mid-term Review reports to inform the

development of the Annual Performance Plan in the next financial year and the Strategic

Plan in the following planning cycle.

Responsible institution:

All national and provincial institutions.

8.3.2 End-Term Review

Purpose: End-Term Reviews provide the extent of progress and achievement on the

implementation of an institution’s Strategic Plan, with particular reference to monitoring

delivery of outcomes and impact, where the impact can be assessed after a five year period.

Focus:

The End-Term Review should include recommendations for performance, budgeting and

planning improvement for the next planning cycle. The findings of End-Term Reviews can

contribute towards sector performance assessments. Institutions must report on progress

against outcomes and impact, where the impact can be assessed after a five year period.

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Timeframes:

End-Term Review Reports must be finalised at the end of July in the first financial year of the

new planning cycle, to reflect audited performance for the first four years of the five year

planning cycle and pre-audited performance for the fifth year of the five year planning cycle.

Reported information must be valid at the time of reporting.


a) End-Term Review reports of institutions must be approved by the Executive Authority and

tabled in Legislatures.

b) The approved End-Term Review report must be tabled in the relevant Legislature at a

date determined by the relevant Legislature.

c) The tabled End-Term Review report must be submitted to the DPME and the relevant

Offices of the Premier, within two weeks after tabling.

d) The tabled End-Term Review report must be published on the institutions’ website.


a) Oversight institutions must use the End-Term Reviews during the assessment of draft

Annual Performance Plan in the next financial year and the Strategic Plan in the following

planning cycle.

b) Institutions must establish processes to use the End-term Review reports to inform the

development of the Annual Performance Plan in the next financial year and the Strategic

Plan in the following planning cycle.



8.4 Reporting on the Annual Performance Plan

8.4.1 Quarterly Performance Reports

Purpose:

Quarterly Performance Reports (QPRs) provide progress on the implementation of an

institutions’ Annual Performance Plan on a quarterly basis, with particular reference to

monitoring performance against outputs.

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Focus:

A Quarterly Performance Report requires institutions to review performance over a three

month period, justify and communicate achievements, and indicate the necessary actions

that will be taken to ensure that the implementation of the Annual Performance Plan remains

on track.

Timeframes:

Quarterly Performance Reports must be submitted within 30 days after the end of each

quarter. Reported information must be valid at the time of reporting.


a) Institutional Quarterly Performance Reports must be compiled according to the

relevant Quarterly Performance Reports guidelines issued by the DPME.

b) Quarterly Performance Reports must provide progress against targets set in the

Annual Performance Plan and must be approved by the Accounting Officer, and

submitted to Executive Authority, and oversight institutions.


a) Oversight institutions must establish processes to provide feedback to institutions on

performance reported in Quarterly Performance Reports against the Annual

Performance Plan.

b) Institutions must establish processes to implement the recommendations from the

feedback to ensure that monitoring findings are implemented to improve the

implementation of the Annual Performance Plan. Lessons learnt from the feedback

can inform the development of plans in the following financial year.



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8.4.2 Annual Reports

Purpose:

The Annual Report provides information on the performance of institutions in the preceding

financial year for the purposes of performance review, learning and oversight. Annual Reports

are developed based on Annual Performance Plans.

Focus:

The Annual Report provides audited performance on the implementation of an institution’s

Annual Performance Plan. It provides details of the implementation of the allocated budget

to achieve results and the state of the institution’s management systems.

Timeframes:

Annual Reports must be finalised within nine months after the end of a financial year

according to Section 40 of the Public Finance Management Act (PFMA). Reported

information must be valid at the time of reporting.


a) Institutional Annual Reports must be compiled according to the Annual Report

guidelines issued by the National Treasury.

b) The tabled Annual Report must be published on the website of the relevant institution

and be submitted to oversight institutions within 30 days after tabling.


a) Oversight institutions must use the Annual Reports during the assessment of draft

Annual Performance Plans for the next planning period.

b) Institutions must establish processes to use Annual Report to inform the development

the Annual Performance Plan in the following financial year.



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8.5 Reporting on the Annual Operational Plan

Purpose:

Reports provide progress on the implementation of an institutions’ Annual Operational Plan

in a particular financial year.

Focus:

Reporting on progress on the implementation of the Annual Operational Plan, with particular

reference to monitoring of outputs and activities.

Processes:

Institutions must ensure that the institution’s monitoring and evaluation system makes

provision for the continuous monitoring of the implementation of the Annual Operational Plan.

These provisions should identify processes for the collection of data on outputs and activities,

validation and storage of data, and the analysis and reporting on operations within the

institution. Reporting responsibilities and timelines must be formalised including the

institutional structures in which these reports will be tabled and discussed to inform

operational improvements.



8.6 Roles and Responsibilities for Reporting

8.6.1 DPME

Role Responsibilities

a) Custodian of Monitoring

and Evaluation Systems

Establish systems for monitoring the implementation

and results of government priorities and programmes

b) Guidance on Reporting

Processes

Issue guidelines on the preparation of reports against

the Quarterly Performance Reports, and Mid-Term

Reviews and End-Term Review reports

Provide inputs into the guideline on the preparation of

the Annual Report

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Develop reporting tools to facilitate the reporting

processes

c) Oversight on reported

information

Analyse institutional quarterly performance reports

and provide feedback

Establish structures for the oversight of performance

information of institutions

d) Support oversight

institutions and functions

on reporting practices

Support Offices of the Premier to provide oversight on

provincial institution’s reporting systems

Support national departments responsible for

concurrent functions to provide oversight on provincial

counterpart’s performance information

Support national and provincial departments to provide

oversight on public entities’ performance information

e) Support the utilisation of

monitoring findings

Support oversight institutions and bodies on the use of

monitoring findings to improve implementation, and

future planning and budgeting

8.6.2 Offices of the Premier


a) Custodian of provincial

Monitoring and Evaluation

Systems

Establish systems for monitoring the implementation

and results of provincial priorities and programmes

b) Oversight on reported

information

Analyse institutional quarterly performance reports and

provide feedback

Establish structures for the oversight of performance

information of provincial institutions

c) Support oversight

institutions and functions

on reporting practices

Support provincial departments with public entities to

provide oversight on the performance of public entities

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d) Support the utilisation of

monitoring findings

Support oversight institutions and bodies on the use of


future planning and budgeting

Publish provincial performance information

8.6.3 National Treasury


a) Custodian of the financial

performance reporting

system

Establish systems for monitoring the implementation of

government budget allocations

b) Guidance on Annual

Reporting

Issue guidelines on the preparation of Annual Reports

c) Oversight on reported

information

Analyse government expenditure reports and provide

feedback

Participate in structures to provide oversight on

government performance information

d) Support the utilisation of

monitoring findings

Support government institutions to use monitoring

findings during the budget process

8.6.4 Department of Women


a) Custodian of gender

responsive, planning ,

monitoring and evaluation

systems

Coordination of gender responsive budgeting

,planning, monitoring and evaluation systems

Provide oversight on monitoring of women’s

empowerment and promotion of gender equality

Provide gender related input on report provided at all

levels

b) Facilitate gender-

responsive reporting

Provide guidance on gender-responsive reporting

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Undertake gender analysis of quarterly performance

reports, Annual Reports, Mid-Term Reports and End-

of-Term Reports

c) Support oversight Support public institutions to enhance their gender-

responsiveness in planning, budgeting, monitoring and

evaluation

a) Support the utilisation of

gender-related

monitoring findings

Support relevant public institutions on the use of

monitoring findings to improve implementation and

future planning and budgeting towards the gender

equality and women’s empowerment

8.6.5 Provincial Treasuries


a) Custodian of the provincial

financial performance

reporting system


provincial government budget allocations


information

Analyse provincial institutional reports and provide

feedback

Participate in structures to provide oversight on

provincial performance information

c) Support the utilisation of

monitoring findings

Support provincial institutions to use monitoring

findings during the budget process

8.6.6 National Departments Responsible for Concurrent Functions


a) Custodian of sector

specific monitoring

systems


national priorities specific to a particular sector


information

Analyse provincial institutional reports and provide

feedback

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Establish structures to provide oversight on sector

specific performance information

c) Support the utilisation of

monitoring findings

Support provincial institutions on the use of monitoring

findings to improve implementation, and future

planning and budgeting

8.6.7 Departments with Public Entities


a) Oversight on reported

information

Analyse relevant public entity reports and provide

feedback

Establish structures to provide oversight on public

entity performance information

b) Support the utilisation of

monitoring findings

Support public entities on the use of monitoring

findings to improve implementation, and future

planning and budgeting

8.6.8 Institutions


a) Implement institutional

monitoring systems

Institutions must establish monitoring systems to

collect, verify and store performance information, and

analyse and report on performance against plans.

Institutions must adhere to the focus and timeframes of

reports as provided in the relevant guidelines for the

preparation of reports.

b) Utilise monitoring findings Establish institutional processes and structures to use


future planning and budgeting.

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8.7 Context for Evaluations within the Planning Cycle

Evaluations seek to provide an objective view through rigorous research methods to inform

conclusions about performance, reasons for performance and non-performance, and to

suggest recommendations for improvement.

The diagram below provides a generic planning and implementation cycle for policies and

programmes, and indicates stages in which the use of evidence adds value to diagnosis,

planning design, implementation, monitoring and evaluations processes to improve the

developmental results associated with government’s policy delivery.

Figure 8.7.1: Using evidence in the policy/programme cycle

The table below shows the different types of evaluation and where they occur in the planning

and implementation cycle.

Document,

reflect, learn

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Table 8.7.2: Types of evaluations which can be undertaken at the different stages of

the planning and implementation cycle (Guidelines for the types of evaluations are

available on the DPME website)

Type of Evaluation

Description Stage in cycle Use of Evaluation Findings

Diagnostic evaluation

Defines the problem, the root causes of the problem, and options that can be considered

Diagnosis is undertaken prior to planning an intervention to inform the design of an intervention.

The diagnostic evaluation is used to assess the underlying problem, the root causes, and options / solutions.

Design evaluation

Reviews the strength of the design of an intervention.

Preferably a quick review after design is completed but before implementation, to allow time to make improvements to the intervention.

To improve the design of an intervention before implementation begins in order to strengthen the likelihood of the intervention achieving its intended results.

Implementation evaluation

Assesses whether the theory of change underlying the intervention is being achieved, whether the outputs are being achieved, whether the outcomes are likely to be achieved and whether the assumptions underlying the design of the intervention hold.

During implementation of an intervention.

Findings can be used to determine how the design and operation of an intervention should be improved to achieve the intended results.

Impact evaluation

Undertaken at the end of a phase of the implementation of a plan to assess whether the intended outcomes and impacts of the intervention are being achieved. Impact evaluation should be designed at the beginning of an intervention, including a baseline, and the planned results.

After a minimum of five years of implementation of an intervention.

This will provide a source of evidence for decisions related to the improvement, continuation or discontinuation of the intervention, and / or other policy and budget allocation decisions.

Economic evaluation

Undertaken to assess costs-benefits or cost-effectiveness of an intervention, and will often be combined with a diagnostic (to compare options), or

At any stage during the implementation of an intervention.

Findings are used to determine whether an intervention requires improvement or discontinuation

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Type of Evaluation

Description Stage in cycle Use of Evaluation Findings

impact (to compare cost-benefits of different models implemented) evaluations.

based on evidence on the relationship between an intervention’s results and the costs associated with those results.

Synthesis evaluation

Undertaken when a number of evaluations have been concluded for a sector. These evaluations review where the results of a number of evaluations and research evidence can be used to generate a performance view of the sector.

Any stage of an intervention, particularly diagnostic prior to redesign of new policy, or legislation

Findings often used from range of programme evaluations as a review of a sector

8.8 The processes for undertaking evaluations through the National

Evaluation System:

Strategic and/or large programmes which are key for the achievement of the NDP and the

Monitoring Framework for the NDP Five Year Implementation Plan should be evaluated at

least every five years. The evaluations for the identified strategic programmes which are

reflected in the Monitoring Framework for the NDP Five Year Implementation Plan and the

relevant institutional strategic plans are planned for as part of the rolling three year and annual

national evaluation plan, provincial evaluation plan, institutional evaluation plans. The

evaluation plans must be approved by Cabinet, Provincial Executive Councils and

institutional management, where applicable. The evaluation plans are developed by DPME,

Offices of the Premier and institutions respectively, and include the identified targeted priority

evaluations to be carried out.

Improvement plans to address the recommendations from the evaluations must be produced

by departments with the involvement of key stakeholders. Outputs from these improvement

plans should be reflected in institutional short and medium plans, and reported in the relevant

reports.

Documents

Framework for Strategic and Annual Performance Plans · The Framework for Strategic and Annual Performance Plans was issued by the National Treasury in 2010 to guide institutional