Red Alert for Red Tapism

8/4/2019 Red Alert for Red Tapism

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Avideo still thatallegedlyshowsactressRanjithaandSwamiNityanandaindulging in actsofintimacy.

Red for tapismalert redHOLDINGministriesandbureaucratsaccountableforresult-orientedimplementationof governanceisnolongeradreaminanopiumden—itishappeninghere,now,andwithanurgency,planningandpurposeneverbeforeundertakeninthehistoryofmodernIndia.Thisexclusivereportonhowthisexercise,directlyunderthePrimeMinister’scontrol,isshakingupthewholesystemofgovernancefromtoptobottomandcouldbenchmarkthemostseriousimplementationofadministrativereformseverattemptedinindependentIndia.

DRIVENbythebeliefthatnationsandgovernmentsthatdonotperformaredoomed,ultimately,toperishundertheweightoftheirowninefficiencyandbureaucraticsloth,PrimeMinister ManmohanSinghhasfinallytakenthebullof

maladministrationbythehorns.Inano-nonsensedirectiveinnocuouslylabelled “PerformanceMonitoringandEvaluationSystem(PMES)for GovernmentDepartments”,dated11/9/2009,hehasorderedhisCabinetSecretarytoundertakewhatcouldbethemostambitiousandchallengingtaskeverassignedtoanyheadofbureaucracy:Everydepartmentandministrywill,inatime-boundmanner,prepareaResults-FrameworkDocument(RFD). ThehelmsmanforthisprojectisformerHarvardProfessorandWorldBankeconomistPrajapati Trivedi,whohasthenewtitle,

Secretary,PerformanceManagement,andworksinclosecooperationwithPrimeMinisterManmohanSingh,DeputyChairmanofthePlanningCommissionMontekSingh Ahluwalia,andCabinetSecretaryKMChandrasekhar. Thiscouldarguably

bethemosthappeningmissioneverundertakenbytheIndiangovernmentduringthelast63years.Shornofbureaucratese,RFDmeans: Areyouimplementingtheadministrativeagenda? Areyoukeepingdeadlines? Areyoushowingresults?Ifnot,whynot? Andifyou’renotperforming,thengetreadytofacethemusic.Nomoreexcuses.

Theguidelinesaresuccinct.Theyareimbuedwithauniqueperspectivethatrecognizesthedifficultyofadministeringanationinwhichtheremaybedifferencesbetweenpoliticalandadministrativegoalsandcultures.Forthisreason,theformatoftheRFDisauniquememorandumofunderstandingbetweentheadministratorandhispoliticalboss:ItisarecordofappreciationbetweenaMinisterrepresentingthepeople’smandate,andtheSecretaryofadepartmentresponsibleforimplementingthismandate. Thisdocumentcontainsnotonlytheagreedobjectives,policies,

programmesandprojectsbutalsosuccessindicatorsandtargetstomeasureprogressinimplementing

them. Toensurethesuccessfulimplementationofagreedactions,RFDmayalsoincludenecessaryoperationalautonomythatisconsiderednecessarytoachievethedesiredresults.



As Trivediputsit: “ThiswillbeakintoaBillofRightsforgovernmentfunctionaries.Itwillliberatethebureaucracyfromvagariesofad-hocism,subjectivityanduncertainty.” Inthefirstphase,fourministries —Home,Finance,DefenceandExternal Affairs — areexcludedfromtheperformancemanagementpurview.

Alltherestwillberatedonscalesrangingfrom “excellent” to “poor”. Allministrieshavebeeninstructedtoimplementstrategicplanningforthenextfiveyearstoensuretheyaremovingintherightdirection. Thatis,theyshouldnotonlydo “thingsright” butalsodothe “rightthings”.Performanceresultswillbemadepublicandthemarkingswilldetermineseniorpromotionsaswellaspost-retirementappointments.Says Trivedi: “ForthefirsttimeinthehistoryofmodernIndia,theperformanceofdepartmentsandMinistriesoftheGovernmentofIndiawillbemeasured.Whenyoudon’thavemeasurements,howdoyou

giveincentives?” Thatisperhapswhyrecommendationsofthe4th,5thand6thPayCommissionsrelatingtoperformance-relatedincentivescouldnotbeimplemented. ThegovernmentisseriouslyexaminingproposalsunderwhichSecretarieswhoperformwellarelikelytoreceiveashighasa40percentbonusontheirbasesalaries.Infact,undertheseproposals,departmentalbonusescouldbelinkedtotheRFD.Underthereformedperformanceappraisalsystem,noofficialwithinadepartmentwillreceivemorethansixoutof10marksinhispromotionorconfidentialreportifthatdepartmentisratedatsixoutof10intheRFD.Inotherwords,noSecretarywillnowhavethefreedomtomarkeverybodyas “excellent” inthefaceofthenew,tangiblebenchmarkingofthedepartmentasawhole.

Table2-MandatorySuccessIndicators:EachRFDmustcontainthefollowingmandatoryindicatorsfor 2010-11topromotesystemicefficiencyandresponsivenessofdepts



Theformulamaybenovel,evenrevolutionarytoIndia,butOECDcountriesaswellasnationslikeKoreahavelongacceptedthisasworkable. AcommitteeofformerSecretariestotheGOI,assistedbyabatteryofIIMprofessorsanddomainexperts,arealreadyonthejob.Inthelongrun,thepoliticalclimatewithinwhichthebureaucracyfunctionsisboundtochangeasthenew

parametersforresult-orientedgovernancecome

Trivediobserves, “Itwillnothappenovernight. Therewillbeapaperchange,habitchange,followedbyculturalchange,untiltheentiresystemgoesonautomated.”

A completeunderstandingoftheRFDrevolutionrequiresknowledgeofthreebroadareas:(I)Formatof RFD;(II)MethodologyforEvaluation;and(III)RFDProcessand Timelines.TheRFDFormatItaddresses(a)whatarethedepartment’smainobjectivesfortheyear?(b)Whatactionsareproposedtoachievetheseobjectives?(c)Howwouldsomeoneknowattheendoftheyear thedegreeofprogressmadeinimplementingtheseactions? Thatis,whataretherelevantsuccess

indicatorsandtheirtargets?Itcontainsfivesections: TheMinistry’svision,mission,objectivesandfunctions;prioritiesamongkeyobjectivesandfunctions;trendvaluesofsuccessindicators;descriptionanddefinitionofsuccessindicatorsandproposedmeasurementmethodology;specificperformancerequirementsfromotherdepartmentsthatarecriticalfordeliveringagreedresults.

RFDProcessandTimelinesBeginningoftheYear

• Atthebeginningofeachfinancialyear,withtheapprovaloftheMinisterconcerned,eachDepartmentwillprepare

aResults-FrameworkDocument(RFD)consistentwiththeseguidelines.

• ToachieveresultscommensuratewiththeprioritieslistedintheRFD,theMinisterinchargewillapprovethe

proposedactivitiesandschemesfortheMinistry/Department.TheMinistersinchargewillalsoapprovethe

correspondingsuccessindicators(KeyResultAreas– KRAsorKeyPerformanceIndicators– KPIs)andtime-bound

targetstomeasureprogressinachievingtheseobjectives.

• Basedontheproposedbudgetaryallocationsfortheyearinquestion,thedraftsofRFswillbecompletedby5thof

Marcheveryyear.Toensureuniformity,consistencyandcoordinatedactionacrossvariousDepartments,the

CabinetSecretariatwillreviewthesedraftsandprovidefeedbacktotheMinistries/Departmentsconcerned.This

processwillbecompletedbyMarch31ofeachyear.

• ThefinalversionsofallRFswillbeputuponthewebsitesoftherespectiveMinistriesbythe15thofAprileach

year.

• TheResultsFrameworkofeachDepartment/MinistrywillbesubmittedtotheCabinetSecretariat,bythe15thof

Aprileachyear.ItwilltakeintoaccountbudgetprovisionsandinparticulartheOutcomeBudget.TheResults

Frameworkwillbedrawnupinsuchmannerthatquarterlymonitoringbecomespossible.Quarterlyreportswillbe

submittedtotheCabinetSecretariat.

DuringtheYear

• Aftersixmonths,theResultsFrameworkaswellastheachievementsofeachMinistry/Departmentagainstthe

performancegoalslaiddownatthebeginningoftheyear,willbereviewedbyaCommitteeonGovernment

PerformanceconsistingoftheCabinetSecretary,FinanceSecretary,ExpenditureSecretary,Secretary(Planning

Commission),Secretary(PerformanceManagement)andtheSecretaryoftheDepartmentconcerned.Atthisstage,

theResultsFrameworkmayhavetobereviewedandthegoalsreset,takingintoaccounttheprioritiesatthatpoint

oftime.Thiswillenablefactoringinunforeseencircumstancessuchasdroughtconditions,naturalcalamitiesor

epidemics.ThereportoftheCommitteeonGovernmentPerformancewillbesubmittedtothePrimeMinister,

throughtheconcernedMinister,forfurtheractionasdeemednecessary.

EndoftheYear



Results-FrameworkDocument(RFD) Ad-hoc TaskForce(ATF)Membersfor2009-2010

JNL Srivastava(Convenor),IAS,1966,PB,Ex-Secy,GOI,

AgricultureP Abraham,IAS,1962,Ex-Secy,Power,former Chairman,MSEBDP Tripathi,IRTS(Retd),Ex-Secy,M/oRailways,FoodProcessingInd,GOI ArunKumar(II),IAS,1965,MPSrinibasRath,IAS,1968,Orissa,Ex-Addl.Chief Secy,OrissaVineetaRai,IAS68UT,FormerSecretaryExpenditure,MemberSecretary,Second AdministrativeReformCommissionV.N. Asopa,IIMA,Professor E.M.Koshy, AOFGIndia,Director

RitwickDutta,SupremeCourtLawyer Yoginder Alagh,ChairmanIRMA, Anand,Former UnionMinisterof StateforPlanning

PremPangotra,IIM Ahmedabad,Professor VijayPaulSharma,IIM Ahmedabad,Professor HumanDevelopment ArvindVarma(Convenor),IAS,1963,UP,Ex-Secy,DoPT,GOIBKMishra,IAS,1967, Assam,formerSecytoGOI,formerchairman(SSC)SBMishra,IAS,1965,Orissa,Ex-ChiefSecy,

Orissa,Ex-Secy,D/oDisinvestment,GOI ArunKumarMago,IAS,1967,MS,Ex-Chief Secy,MaharashtraSanjeevMishra,IAS,1972,Gujarat,Ex-Secy.Expenditure,Member13thFinanceCommissionGopaBharadwaj,DelhiUniversity,Professor DileepMavalankar,IIMA,Professor Shivkumar,IndianSchoolofBusiness/UNICEF,Professor

T VRao,IIM Ahmedabad, AdjunctProfessor

AshokChandra(Chairman, ATF&Convenor),IAS,1959,UP,Ex-Secy,I&BKPadmanabhaiah,IAS,1961,MS,Ex-Secy,M/oHome,GOI ArunKumar(i),IAS,1965,Kerala,Ex-Secy,WaterResources,GOI; Adviser,IRCSABrijeshKumar,IAS,1968,UP,Former Addl.Chief Secy,UPBB Tandon,IAS,1965,HP,Dir,IIM,Shillong,ChiefElectionCommission AjayPandey,IIMA,Professor ChakraborthyS,JaipuriaInstitute,Lucknow,

Director RajenMalhotra, ACCCements,ChiefKnowledgeOfficer VasantGandhi,IIMA,Professor

AgricultureandRuralDevelopment

CORETEAMMEMBERS

CORETEAMMEMBER

ResourceManagement

CORETEAMMEMBERSAbishekMishra,IIM Ahmedabad, Adjunct

Professor

CORETEAMMEMBERS

CORETEAMMEMBERS

CORETEAMMEMBER

RajanishDass,IIM Ahmedabad,Professor Trade,IndustryandServicesSSathyam(Convenor),IAS,1961,MP,Ex-Secy,M/o Textiles,GOIPrabirSengupta,IAS,1965, Assam-Meghalaya,Ex-Secy,Commerce&IndustryDP Bagchi,IAS,1965,Orissa,Ex-Secy,Small

ScaleIndustriesCRamachandran,IAS,1960, TN,Pr.Secy,Industries,Govtof TN AnilKumar,IAS,1965,Rajasthan,Secy,GOI,M/o TextilesShielaBhide,IAS,1973, AP,Ex-Secretary,GOI,Chairman,IndianTradeFair AuthoritySebastianMorris,IIMA,Professor SandeepParikh,IIMA,Professor JerryIssac,National AeronauticalLaborataries,SeniorScientistKalraSK,IMI,Delhi,Dean

BakulHDholakia,Director, AdaniInstitituteof InfrastructureManagement

RekhaJain,IIM Ahmedabad,Professor ManjariSingh,IIM Ahmedabad,Professor InfrastructureDevelopmentVinodVaish(Convenor),IAS,1966,Chhattisgarh,Member,TelecomDisputesSettlement& AppellateTribunalMoosaRaza,IAS,1960,Gujarat,SecyofD/oInformation TechPawanChopra,IAS,1967,Rajasthan,Secy,M/o

Information&Broadcasting AHJung, A&AS,1965,Secy,M/oCivil Aviation,Chairman, AINP Gupta,IAS,1972, TN,Director(TNRoadSector) ASBansal,FormerC&MD TCIL, Telecom&IT-relatedInvestmentDecisionIMPandey,DelhiUniversity,ProfessorEmeritusKuriakoseMankootam,FMS,UniversityofDelhi,DeanPradeepKhandwala,Ex-director,IIM Ahmedabad

GRaghuram,IIM Ahmedabad,Professor NarayanRangaraj,IIT Mumbai,Professor SocialWelfareSP Jakhanwal(Convenor),IAS,1963,Bihar,Ex-SecytoGOIKShankarNarayanan,IAS,1970,MP,Secy(Coord&PublicGrievances)DevSwarup,IAS,1969,HP,NationalCommissionforMinoritiesRPoornalingam,IAS,1970, TamilNadu,Ex-Secy,DisinvestmentKT Chacko,IAS,1973,MP,Director,IndianInstituteofForeign TradePunamSaigal,IIMLucknow,Dean,NoidaCampusSharatBabu,FounderCEO,Foodking,ChennaiIndiraParikh,FLAME,Pune,President AnilGupta,IIM Ahmedabad,Professor

BijuVarkkey,IIM Ahmedabad,Professor



Ministry’sVision,Mission,ObjectivesandFunctions:

“Visionshouldnevercarrythe ‘how’ partofvision.Forexample, ‘Tobethemostadmiredbrandintheaviationindustry’ isafinevisionstatement,whichcanbespoiledbyextendingitto ‘Tobethemostadmiredbrandintheaviationindustrybyprovidingworld-classin-flightservices’. Thereasonfornotincluding ‘how’ isthat ‘how’ maykeeponchangingwithtime,” thedocumentsays.Leadersmaynotbeabletomakeaconnectionbetweenthevision/missionandpeople’severydaywork.

Toooften,employeesseeagapbetweenthevision,mission,andtheirgoalsandpriorities.Evenifthereisavalid/tacticalreasonforthismismatch,itisnot TheleadershipoftheMinistry(MinisterandtheSecretary)shouldthereforeconsultawidecross-sectionandcomeupwithavisionthatcanbeownedbytheemployeesoftheMinistry/department.

explained.

Missionshouldfollowthevision. Thisisbecausethepurposeoftheorganizationcouldchangetoachievethevision. TheMinistry/Department’smissionisthenutsandboltsofthevision.Missionisthewho,whatandwhyofthedepartment’sexistence. Thevisionrepresentsthebigpictureandthemissionrepresentsthenecessarywork.Objectivesrepresentthedevelopmentalrequirementstobeachievedbythedepartmentinaparticular sectorbyaselectedsetofpoliciesandprogrammesoveraspecificperiodoftime(short-medium-long).Forexample,objectivesoftheMinistryofHealth&FamilyWelfarecouldinclude:(a)reducingtherateof infantmortalityforchildrenbelowfiveyears;and(b)reducingtherateofmaternitydeathby30%bytheendofthedevelopmentplan.

Prioritiesamongkeyobjectives,successindicatorsandtargets:TheheartofthissectionoftheRFDdocumentconsistsof Table1.Underneatharetheguidelinesfor eachcolumnofthistable.Column1:Fromthelistofallobjectives,selectthosekeyobjectivesthatwouldbethefocusforthecurrentRFD.Column2:ObjectivesintheRFDshouldberankedinadescendingorderofpriorityaccordingtothedegreeofsignificanceandspecificweightsshouldbeattachedtotheseobjectives. TheMinisterinchargewilldecidetheintersepriorities

amongdepartmentalobjectivesandallweightsmustaddto100.Column3:Foreachobjective,thedepartmentmustspecifytherequiredpolicies,programmes,schemesandprojects.Column4:Foreach“action” specifiedinColumn3,thedepartmentmustspecifyoneormore “successindicators”. Thisprovides

ameanstoevaluateprogressinachievingthepolicy,programme,schemeandproject.Successindicatorsareimportantmanagementtoolsfordrivingimprovementsindepartmentalperformance. Theyshouldrepresentthemainbusinessoftheorganizationandshouldalsoaidaccountability.If therearemultipleactionsassociatedwithanobjective,theweightassignedtoaparticularobjectiveshouldbespreadacrosstherelevantsuccessindicators.Column5:Ifthereismorethanoneaction

associatedwithanobjective,eachactionshouldhaveoneormoresuccessindicatorstomeasureprogressinimplementingtheseactions.Column6: Thenextstepistochooseatargetforeachsuccessindicator.Targetsaretoolsfordrivingperformanceimprovements. Targetlevelsshould,therefore,containanelementofstretchandambition.



Thetargetshouldbepresentedasthefollowingfive-pointscale:Itisexpectedthatbudgetarytargetswouldbeplacedat90%(VeryGood).Foranyperformance

below60%,thedepartmentwouldgetascoreof0%.Trendvaluesofthesuccessindicators:Foreverysuccessindicatorandthecorrespondingtarget,RFDmustprovideactualvaluesforthepasttwoyearsandalsoprojectedvaluesfortwoyearsinthefutureasindicatedin Table3.RFDmustcontainasectiongivingdetaileddefinitionsofvarioussuccessindicatorsandtheproposedmeasurementmethodology.Whereverpossible,therationaleforusingtheproposedsuccessindicatorsmaybeprovided.Specificperformancerequirementsfromotherdepartmentsthatarecriticalfordeliveringagreedresults. Thissectionshouldcontainexpectationsfromotherdepartmentsthatimpactthedepartment’sperformance. Theseexpectationsshouldbementionedinquantifiable,specific,andmeasurableterms.

AttheendoftheyearthePMESwillevaluatetheachievementsofgovernmentdepartments,comparethem

withthetargets,anddeterminethecompositescore(Table4).Thetableprovidesanexamplefromthehealth

sector.Forsimplicity,itfocusesononeobjectivetoillustratetheevaluationmethodology.

TherawscoreforAchievementinColumn6isobtainedbycomparingtheachievementtotheagreedtarget

values.Forexample,theachievementforfirstsuccessindicator(%increaseinprimaryhealthcarecentres)

is15%.Thisachievementisbetween80%(Good)and70%(Fair)andhencetheRawScoreis75%.

TheweightedrawscoreforAchievementinColumn6isobtainedbymultiplyingtherawscorewiththe

relativeweights.Thus,forthefirstsuccessindicator,theWeightedRawScoreisobtainedbymultiplying75%

by.50.Thisgivesusaweightedscoreof37.5%.

DepartmentalRatingValueofCompositeScore:

EvaluationMethodology

Excellent=100%-96%

Poor=65%andbelow

Good=85 – 76%

Fair=75%-66%VeryGood=95%-86%

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Red Alert for Red Tapism