- Effective use of Local Authority Resources in Providing Services to the Community (Office Management and Administration

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1 Guidelines for Performance Improvement and Evaluation of Performance Management Competition in the Local Authorities using Performance Enhancement and Consolidation Tool (PERFECT) ක ර යස ධනය ඉහළ න ව ම සහ තහව ර ක ර ම මවලම (PERFECT) භ ව ත කරම න පළ ත ප ලන ආයතනවල ක ර ය ස ධනය ඉහළ න ව ම සහ ක ර යස ධන කළමන කරණ තරග ව න ශ චය සඳහ වන උප දස ස ගහය nrayhw;wifia Nkk;gLj;JtJ kw;wk; cwjp nra;ak; futpia (PERFECT) gad;glj;jp cs;suhl;rp kd;wq;fspd; nrayhw;wifia Nkk;gLj;JtJk; nrayhw;wif Kfhikj;Jt Nghl;bia elhj;jtjk; gw;wpa mwptiuj; njhfg;g 2009

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3 TABLE OF CONTENTS Message of the Hon. Minister of Local Government and Provincial Councils - v Acknowledgements vii Chapter 1 - An Introduction to Performance Management in Local Government System of Sri Lanka Chapter 2 - Methodology of Performance Management System - 3 Chapter 3 - Classification of Performance Criteria and Indicators - 7 Chapter 4 - The Manner of the Performance and Instructions to Panels of Evaluators Chapter 5 - Instructions regarding the implementation of Performance Indicators assessment, by using Performance Enhancement and Conciliation Tool (PERFECT) Effective use of Local Authority Resources in Providing Services to the Community (Office Management and Administration Efficient Performance of Local Authorities (Provision Of Services) Role of Local Authorities in achieving the Millennium Development Goals Chapter 6 - Performance Enhancement and Consolidation Tool (PERFECT), Questionnaire and Formats for Entering Marks Performance Enhancement and Consolidation Tool (PERFECT) - Questionnaire Performance Enhancement and Consolidation Tool (PERFECT) Format for Entering Marks Summary of Criteria..performance of the Local Authority Chapter 7 - Evaluation Sheets for Evaluation at District and Provincial Levels District Level Evaluation Sheet Provincial Level Evaluation Sheet Chapter 8 - Carrying out self-assessment by Local Authorities, by using Performance Enhancement and Consolidation Tool (PERFECT) iii

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5 MESSAGE F THE HON. MINISTER OF LOCAL GOVERNMENT AND PROVINCIAL COUNCILS Performance evaluation and encouragement of Local Authorities in this country was being implemented continuously since 1980s under the direction and guidance of the Ministry of Local Government and Provincial Councils and all Provincial Councils in the country. The Ministry of Local Government and Provincial Councils has taken steps during the past period to improve that programme further by providing the state patronage, and to implement it island wide. The objective was to create competitiveness among Local Authorities in respect of providing services as well as in the field of management and thereby to enhance, the performance of those institutions. However, the criteria adopted for that purpose were merely of traditional nature. Therefore the Ministry was anxious to give it a facelift for the purpose of ensuring a dynamic improvement in this sector. The task of undertaking a study on this matter was entrusted to a panel of officials who are competent in Local Government Management. It is very much commendable that a set of guideline under the title of Performance Enhancement and Consolidation Tool (PERFECT) has been formulated (introduced), with a great commitment and effort of those officials. It is my belief that, this Performance Evaluation Tool will be certainly helpful for assessing the performance in the field of our present Local Government, on a realistic basis. Two important features can be seen in this tool. They are; it has provided opportunity to administrators etc. of a Local Authority, for understanding well, the functions and that should be performed by the Local Authority in order to reach a satisfactory level of performance and also it has provided opportunity for making a self assessment of performance level by each Local Authority. As such this performance evaluation has an element of transparency and it paves the way for a scientific approach. So it is of special importance. I offer my gratitude, to Mr. Cashian Herath, Secretary of this Ministry, who provided correct leadership for completing this valuable task in respect of future well-being of the Local Government Sector, to Mr. M.L.S. Fernando, former Additional Secretary and present Senior Advisor of this Ministry to Mr. D.P. Hettiarachchi, Additional Secretary of this Ministry and other staff who were providing assistance to the Secretary. Also, I would like to offer my felicitations to Mr. A. Subhakaran, Project Director of Asia Foundation who worked hard with great commitment in respect of formulating and publishing the Performance Enhancement and Consolidation Tool (PEFECT), and to Mr. Nilan Fernando, Asia Foundation Resident Representative in Sri Lanka, who takes a lot of interest in uplifting the Local Government in this country. I hope that this set of Performance Criteria will be used effectively by Provincial Councils for the purpose of ensuring the efficient provision of public utility services to citizens and for promoting development in the system of Local Authorities and for the purpose of directing elected representatives and members of the staff of Local Authorities as well as other stakeholders. Janaka Bandara Tennakoon Minister of Local Government and Provincial Councils v

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7 ACKNOWLEDGMENTS The Ministry of Local Government and Provincial Councils with the cooperation of Provincial Councils has implemented a programme for encouraging Local Authorities, on a competitive basis, by making awards to Local Authorities which ensure excellent provision of services, and by evaluating the performance of Local Authorities, in Sri Lanka. It is a very special event that we have been able to introduce a set of Performance Criteria, under the title Performance Enhancement and Consolidation Tool (PERFECT), for the purpose of making meaningful initiative taken by my Minister Hon. Janaka Bandara Tennakoon, to transform Local Authorities into efficient and community focused service providing institutions, by bringing about an actual change in Local Authorities, and by giving a facelift to many aspects in the present system of Local Government in order to achieve the goals of Mahinda Chinthanaya. This tool has been formulated by a panel of competent officials who possess long standing experience in the field of Local Government representing various subject areas. My gratitude is due to all Chief Secretaries and Commissioners of Local Government in the Provinces, for the very important cooperation extended towards this task. My thanks are due to Mr. Nimal Bandara, Director, Sri Lanka Institute of Local Governance and Mr. Dilan Fernandopulle, Additional Director, Sri Lanka Institute of Local Governance and the staff of the Sri Lanka Institute of Local Governance, for the assistance rendered for this activity I also take this opportunity to thank Mr. Sunil Fernando, former Additional Secretary and present Senior Advisor of this Ministry and Mr. D.P. Hettiarachchi, Additional Secretary in charge of Local Government and Provincial Councils divisions who have played a prominent role in formulating this set of criteria and Mr. Gamini Gunasekara, (Sri Lanka Administrative Service), Assistant Secretary of the Colombo Municipal Council, Mr. W.D. Wimalaratne, retired Assistant Commissioner of Local Government, Mr. Leslie Gunawardhane of the Engineering Service, Mr. H.A.D. Jayatissa, Senior Investigating Officer, Mr. Susira Bandara, Accountant, Mr. T. Nageshwaran, retired Assistant Commissioner of Local Government, Mrs. Sanjeevani Weerasekara, Assistant Secretary, Mrs. Arosha Nilani, Development Officer and Mrs. K.G. Pushpatha, Management Assistant, of this Ministry. I am aware that this task cannot be so completed, without the support extended to this Ministry by the Asia Foundation. During the past period, the Asia Foundation has extended an extensive package of assistance, with regard to the qualitative improvement of Local Government in Sri Lanka. I take this opportunity to appreciate and commend the commitment and interest, shown in this regard, by Mr. Nilan Fernando, the Resident Representative, in Sri Lanka, of the Asia Foundation. May I extend my gratitude to Mr. A. Subhakaran, the Project Director of the Asia Foundation, who was responsible for the overall coordination of this programme. I firmly believe that the Performance Enhancement and Consolidation Tool (PEFFECT) will be useful for making Local Governmetn efficient and effective, further. H.P. Cashian Herath Secretary Ministry of Local Government and Provincial vii

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9 Chapter An Introduction to the Performance Management in Local Government of Sri Lanka. Performance management can play a very important role in respect of strengthening the Local Government Sector in Sri Lanka. It is a result oriented methodology. It will greatly help Local Authorities, to set definite targets and to determine whether those targets were achieved. to achieve great success, through failure. to highlight successes, so achieved and to display results which support the success. The Ministry of Local Government and Provincial Councils has identified the need for establishing a system of Performance Management in Local Authorities for the purpose of evaluating the process of performance in those Local Authorities and for facilitating the provision of support to them. At present, performance competitions among Local Authorities are being held and, Local Authorities which display high results among the relevant category of Local Authorities, are evaluated at provincial level as well as at national level, as an annual event. Ministry of Local Government and Provincial Councils and Departments of Local Government in respective provinces provide contributions for this activity. The main objective of this activity is to identify the best Local Authority, under each category, at provincial level and at national level. Although this methodology has been used for identifying the best Local Authority at provincial level and national level, it has not been utilized for the purposes of evaluating the performance and observing the weaknesses. Although the Ministry of Local Government and Provincial Councils attempted, on several occasions, to formulate and introduce a system of Performance Management Criteria in respect of Local Authorities, that have been constituted in Sri Lanka, it could not be materialized, due to various constraints. The Asia Foundation has agreed to provide financial support and technical assistance, needed for formulating the Performance Management System in respect of Local Authorities, thereby easing the constraints. As the first step of this initiative, the Ministry of Local Government and Provincial Councils has decided to revise the Questionnaire used in the Performance Evaluation Competition which is held annually. A panel consisting of distinguished persons who have a great knowledge in the field of Local Government was appointed to undertake the task of formulating this Questionnaire. As a result of this, Performance Enhancement and Consolidation Tool (PERFECT) for Local Authorities, has been formulated. In future this tool will be made use of as the basic instrument for performance enhancement and evaluation in Local Authorities. Chapter One 1

10 1.2 Objectives and Expectations This Manual will provide guidance with regard to the manner in which PERFECT is to be used for the process of Performance Management in Local Authorities. It is not only that this Manual will help any activity for evaluating the performance of any Local Authority by an external evaluator, but it will be useful for getting a precise understanding about the services provided and services aught to be provided by relevant Local Authorities, in carrying out the process of Performance Management in any Local Authority, by other stakeholders in Local Government such as Commissioners of Local Government and Assistant Commissioners of Local Government. Moreover, after evaluating any Local Authority, by using PERFECT, it will be easier to identity areas which need more attention for enhancing the performance. It is expected to achieve the following goals, through the PERFECT system. Build up capacity to undertake a self-assessment by a Local Authority about its performance and thereby facilitate the identification of weaknesses and threats of the relevant Local Authority and improve strengths and opportunities, for avoiding such weaknesses & threats. Provide aid to formulate basic strategic plans required by officers functioning at national and provincial levels, to whom the responsibility for advising, assisting and guiding Local Authorities to enhance their performance, is assigned. Identity good practices relating to promotion and other that should be grasped for the purpose of enhancing performance in the Local Authority. Provide guidance for prioritizing the participation of development stakeholders engaged in initial for strengthening Local Authorities. 2 PERFECT Guide Book

11 Chapter Methodology of the Performance Management System The methodology relating to the overall programme of Performance Management in Local Authorities including the manner in which the evaluation process is carried out by using the PERFECT tool, is depicted in the following diagram. Local Authority Performance Management System Performance Evaluation Programme of the Local Authority Performance Enhancement Supportive Programme in Local Authorities Development of PERFECT Tools Strengthening of Supportive Units at Provincial level Performance Evaluation at Provincial Level Evaluation Reports in respect of each Local Authority Performance Evaluation at National Level Provincial Supportive Programme for matters requiring priority Selection of Best Local Authorities at Provincial Level and National Level Follow up action in respect of each Local Authority Self-Evaluation by the Local Authority Monitoring and Evaluation of Performance of Local Authorities (for evaluating the next year s performance) As appearing in the above diagram, two broad of the Performance Management System, in Local Authorities, are included here namely, Programme of evaluating Local Authority Performance Supportive programme of enhancing Local Authority Performance. Chapter Two 3

12 Programme of Evaluating Local Authority Performance It is very important that, in implementing the overall Performance Management System, in Local Authorities, first of all they need to be evaluated by assessing their performance. This programme of assessing the performance consists of following exact series of. Development of PERFECT tool o This would be a scientific and systematic aspect of assessing. Assessing o This should be implemented at provincial level and national level. Selection of best Local Authorities out of all categories of Local Authorities. o This also should be implemented at provincial level and national level. PERFECT tool has to be formulated in such a manner that it will address following needs and matters. In this regard, the favourable as well as unfavourable matters mentioned in the tool utilized for annual performance evaluation programme of the Ministry of Local Government and Provincial Councils, also should be taken for consideration. It should be able to assess the performance of all Local Authorities in Sri Lanka, through an acceptable simple and understandable methodology. It should be able to obtain quantified results which will enable an analysis of performance in terms of its entirety as well as its aspects. In assessing the performance, attention should have been paid to all aspects of the Local Government sector. In should be able, to be used for self assessment by identifying both positive and negative conditions existing in the own performance. The Support Programme for Enhancing the Performance of Local Authorities. This is to consolidate the results achieved from the Performance Management exercise, in respect of Local Authorities in Sri Lanka. As stated earlier, implemented with the PERFECT tool, not only help to identity best Local Authorities but also to assess the performance level in each Local Authority. Under this programme, as a result of applying the PERFECT tool, it will enable us to create an environment where following good features can be developed. Facilitating the Ministry of Local Government and Provincial Councils, Provincial Council authorities and other agencies, to identify weaknesses and 4 PERFECT Guide Book

13 deficiencies in the development of Local Authorities and to improve those Local Authorities. Providing guidance to Local Authorities for implementing a good practice needed to maintain a better performance. Providing opportunity to compare good practice in international and regional Local Government and encouraging Sri Lankan Local Authorities to maintain practices which are recognized as good practices at international and regional levels. Building the capacity of Good Governance Resource Centres (GGRC) to assess development strategies of Local Authorities, quarterly or half yearly, for the purpose of assisting them. Some of the under this phase are Formulate a suitable mechanism to maintain a continuous assessment activity. Strengthen the key partners of that mechanism, so as to enable the results of that assessment to be utilized. Formulate reporting formats required for identification of areas which need assistance and further improvement in each Local Authority. Publish and give publicity to specific reports and other reports. Prepare manuals containing good practices which were underlining the performance of best Local Authorities and distribute them among other Local Authorities, for their use and study. Chapter Two 5

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15 Chapter Classification of Performance Criteria and Indicators Management competition, which was being held over a long period of time, with a view to enhancing and accelerating the performance of Local Authorities, is proposed to be held with novel features from 2008 onwards. In doing so, attention will be focused on services to be provided by Local Authorities to the community, good governance and ability to meet the future challenges and priority will be given to them. Accordingly, the services that should be provided by Local Authorities and the role of Local Authorities will be classified under four categories, as given below and a new system of awarding marks based on good features needed in each of such areas, will be introduced. a. Effective utilization of Local Authority resources, in providing services (Office management and Administration) b. Efficient performance in respect of Local Authority Responsibilities (Provision of Services) c. Local Authorities acting on principles of good governance (Good Governance) d. Role of Local Authorities in achieving Millennium Development Goals. Each of these areas, are divided into a number of sections and under every such section the indicators measuring the performance of Local Authorities have been introduced. It has been prescribed that a definite a quantum of general weightage should be given, in respect of each indicator. The number of indicators prescribed for measuring the performance shown under each section in respect of above subject areas. A. Effective utilization of Local Authority resources, in providing services to the community (Office management and Administration) Section No. of Indicators 01. Human Resources Management Office Management Financial Management 7 Total 13 Chapter Three 7

16 B. Efficient Performance in respect of Local Authority Responsibilities (Provision of Services) Section No. of Indicators 04. Public Health and Sanitation Management of roads and surface drainage Common Amenities Welfare Services Regulatory Services 6 Total 32 C. Local Authorities acting on principles of Good Governance (Good Governance) Section No. of Indicators 09. Community Participation Compliance with statutory provisions Transparency Responsiveness Equality Responsibility and Accountability Planning Capacity 4 Total 21 D. Role of Local Authorities in achieving Millennium Development Goals Section No. of Indicators 16. Millennium Development Goals 8 Total 8 8 PERFECT Guide Book

17 Performance that should be maintained by a Local Authority in respect of each indicator which will be subject to classification under five levels. In respect of each performance level a merit point will be allocated. The value of the merit point obtained in respect of any indicator multiplied by the value of the weightage given in respect of that indicator, will be reckoned as the quantum of marks obtained by that Local Authority. The above mentioned merit points are allocated as follows. Performance level - Unsuccessful Weak Average Good Very Good (Poor) Merit Point As such at a time when the weighted value for any indicator becomes 1.5, the performance level in respect of that indicator remains at very good (then the merit point is 4), the quantum of marks entitled for that should be six (1.5 x 4 = 6). If at this point the performance level is unsuccessful (deficient), the quantum of marks entitled will be 0 (1.5 x 0 = 0) (No marks are entitled). Chapter Three 9

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19 Chapter Method of Measuring the Performance and Instructions to Panels of Judges (Evaluators) When measuring the performance of Local Authorities according to the above mentioned methodology, each indicator has to be considered separately. Matters that should be achieved for considering that the performance level in respect of all indicators relevant to sections under each of the above subject areas are given in detail under each indicator, in Chapter 5 titled as Local Authority Performance Management Competition Criteria and Guidelines for awarding marks. Members of the panel of judges (evaluators) appointed to examine the performance level of any Local Authority should identify the matters achieved by that Local Authority in respect of indicators mentioned under four subject areas, in consultation with relevant officers and elected representatives of that Local Authority. It will be essential to examine the documents of the Local Authority in order to confirm the fact that relevant matter has been achieved on every occasion where necessary, and on occasions specially mentioned under each indicator. Matters which are said to be achieved by the Local Authority in respect of certain indicators will have to be confirmed by conducting a field inspection or by discussing with the people of the area. In such instances random examinations are considered to be sufficient. It is the function of the panel of judges (evaluators), to identify matters which have been confirmed as achieved, out of the matters which should be achieved under each indicator mentioned in Chapter 5, Local Authority Performance Management Competition Criteria and Guidelines for awarding marks after evaluation; and to determine the performance level in respect of that indicator, in the manner stated specifically regarding confirmation before awarding marks appearing below the matters which should be achieved under relevant indicator. Performance Enhancement and Consolidation Tool (PERFECT) What is known as Local Authority Performance Enhancement and Consolidation Tool, is a document formulated as a questionnaire which shows clearly every function that should be performed under subject areas classified in the above paragraph, in discharging its responsibility, duty and role by a Local Authority and which examines the manner in which such functions have been performed. This questionnaire is included in the paragraph 1, of the Chapter 6 of this document. It is the responsibility of the panel of judges (evaluators), who measure the performance of any Local Authority, to identify the merit point, and to affix the mark clearly in the column set apart for the relevant indicator (the column set apart for evaluated merit point in respect of that indicator) in the Performance Marks Entering Register. It is included in the paragraph 2 in Chapter 6 and it has been formulated with reference to Performance Enhancement and Chapter Four 11

20 Consolidation Tool (PERFECT). Panel of judges (evaluators are expected to refrain from affixing mark for two merit points, in the column set apart for any indicator. It is essential that evaluation (judgment) in respect of performance of every Local Authority should be obtained, by utilizing Performance Enhancement and Consolidation Tool (PERFECT),and Performance Marks Entering Register. These documents are included in the Paragraph 1 and Paragraph 2 in Chapter 6, respectively, in respect of every Local Authority. It is the responsibility of the panel of judges (evaluators) to prepare this format in duplicate in respect of each Local Authority at the time of completing these reports, Criteria Summary in respect of the Performance of the Local Authority, also has to be prepared in duplicate. It is included in Paragraph 3 of the Chapter 6. Local Authority Performance Management Competition will be conducted, separately, in respect of Municipal Councils, in respect of Urban Councils and in respect of Pradeshiya Sabhas. Initial round of the competition will be held at provincial level and the national level competition is to be held, on the results of each province. In certain provinces, there is only one Municipal Council. Although there is no any other Municipal Council in such provinces to be compared with, performance of such Councils also will have to be measured in the manner stated above, as those Municipal Councils have to be included in the national level competition. After the evaluation made by a panel of judges (evaluators) in respect of Local Authority Performance Management, a comparative report showing the Municipal Councils, Urban Councils and Pradeshiya Sabhas, separately in each district should be prepared. The format of this report is given as Format No. 1 (District Results Report) in Chapter PERFECT Guide Book

21 4.2 Work Steps for the Panel of Judges (Evaluators), in the Performance Programme Evaluate indicators of each section in each subject area, according to their order. Examine whether there is any clue given in a specific cage, relating to the evaluation of that indicator, at the beginning of each indicator, in Chapter 5. When no clue is given for evaluation Examine in the correct order, whether criteria relevant for the indicator are completed Identify the number of criteria that have been completed Enter the notes on the relevant indicator in 6.1 Enter the notes on relevant indicator and foot notes also, if there are specific observations, in 6.2 Proceed to the next indicator Chapter Four 13

22 When a clue is given for evaluation First examine the basic criteria as shown in the clue Basic criteria are completed Examine each criteria Basic criteria are not completed Enter notes of relevant indicator in 6.1 Identity the number of criteria completed Enter notes of the relevant indicator in 6.1 Enter notes of relevant indicator and also footnotes if there are specific observations Enter notes of relevant indicator and also foot notes if there are specific observations Proceed to the next indicator Things that should be done after evaluating all indicators Enter the notes in relevant to the document in 6.3 as per notes appearing in the document in 6.1 Examine the notes appearing in the document in 6.3 together with those appearing in the document in 6.2 Handover the completed documents i.e. document given at 6.1, 6.2 and 6.3 in duplicate, with signatures of the panel of examiners, to the Provincial Commissioner of Local Government 14 PERFECT Guide Book

23 4.3 Performance Management Competition at Provincial Level and Guidelines to Provincial Commissioners of Local Government The initial round of the Local Government Performance Management Competition will be conducted at provincial level. Panels of judges (evaluators) for this purpose should be appointed by the Commissioner of Local Government in the respective province. Provincial Commissioners of Local Government are requested to make arrangements for appointing a separate panel of judges (evaluators) in respect of each district in order to complete this work quickly and conveniently. It is the responsibility of Commissioners of Local Government to see that persons who are very experienced in the field of Local Government are selected for appointment as members of the panels of judges (evaluators) and also persons who are very much conversant with the areas relevant to every indicator appearing in the Performance Management Competition Criteria, should be included in the panels of judges (evaluators) Another function assigned to the Provincial Commissioners of Local Government, is to obtain, the reports submitted by panels of judges (evaluators) in respect of each Local Authority and the summary report, prepared in terms of each category of Local Authorities in each district, which should be submitted in accordance with the above paragraph, and to send them under registered post, to the following address. Additional Secretary (Local Government) (Performance Management Competition) Ministry of Local Government and Provincial Councils 330, Union Place, Colombo 02 Provincial Commissioners of Local Government are entrusted to identify the order of priority in obtaining marks, in the Performance Management Competition of Municipal Councils, Urban Councils and Pradeshiya Sabhas in each district in their respective provinces, according to the judgment (evaluation) report submitted to the Provincial Commissioners of Local Government by the panel of judges (evaluators), and the order of priority in obtaining marks by each category of Local Authorities, within the province, and to prepare a report in accordance with the Format number 2 (Report of the Provincial Results), which is included in Chapter 7 and to send the same to above address. Provincial Commissioners of Local Government are specially requested to make all arrangements to (a) (b) award certificates to all Local Authorities who have got first, second and third s in each district. award certificates to all the nine Local Authorities who have come first, second and third at the provincial level, Chapter Four 15

24 in accordance with the quantum of marks obtained by each category of Local Authorities, severally, in the Performance Management Competition of Municipal Councils, Urban Councils and Pradeshiya Sabhas within their provinces. Commissioners of Local Government are earnestly requested to make arrangements for allocating necessary financial provision, in this regard, out of Expenditure Heads of the Department of Local Government or if such financial provision has not been allocated already, for obtaining additional provision in consultation with the Chief Secretary. It should be the function of the staff, of the Local Government Department to take action for identifying, according to the evaluation report, the subject areas under which the performance has gone to a low level, in those Local Authorities, where the performance is at a minimum level, according to the results of performance Management Competition. As such the organization of the future programme necessary for enhancing the performance in those subject areas would be a district function entrusted with the Commissioner of Local Government. 4.4 Performance Management Competition at National Level and the Responsibility of the Ministry of Local Government and Provincial Councils The Secretary of the Ministry of Local Government and Provincial Councils will appoint a panel of judges (evaluators) for the national level, Performance Management Competition, as soon as possible, after the receipt of reports referred to in 4.3 above, from the Commissioners of Local Government in the provinces. Five persons who are well experienced in the field of Local Government and who are specially conversant in each subject areas will be appointed to this panel of judges (evaluators). One of them will be appointed as Chairman of the panel. In the Judgement (evaluation) of the national level competition, marks will be awarded in the same manner as stated above and according to the quantum of marks obtained, nine Local Authorities will be selected as Local Authorities which have come first, second and third at national level from among Municipal Councils, Urban Councils and Pradeshiya Sabhas. Awarding of certificates, Trophies and cash prizes to select nine Local Authorities will take under the direction of the Ministry of Local Government and Provincial Councils. Heads of those Local Authorities who have come first, second and third at district level and provincial level also will be invited to this awarding ceremony, as a mark of honouring them. The Ministry of Local Government and Provincial Council expects the full contribution of Chief Secretaries, Deputy Chief Secretaries (personnel and Training), Secretaries of Provincial Ministries of Local Government and Regional Assistant Commissioners of Local Government, in addition to the Commissioners of Local Government in each province for the overall programme of the Local Authority Performance Management Competition. 16 PERFECT Guide Book

25 The Performance of the Provincial Commissioners of Local Government also will be evaluated, taking into account the role played by them for the enhancement of performance management in Local Authorities. According to that evaluation certificates will be awarded to Commissioners of Local Government who will be d first, second and third at the national level, Regional Assistant Commissioners of Local Government, also will be evaluated in the same manner and certificates will be awarded to those who will be selected up to fifth. This evaluation will commence with the Performance Management Competition for the year 2008, which will be conducted in Starting from Performance Management Competition for the year 2009, which will be conducted in 2010, the following officers also will be evaluated in future years. (iii) (iv) (v) (vi) (vii) (viii) (ix) (x) Municipal Commissioners Municipal Secretaries Secretaries of Urban Councils Secretaries of Pradeshiya Sabhas Engineers Accountants Public Health Inspectors Community Development Officers Revenue Inspectors/Revenue Supervisors Investigation Officers Chapter Four 17

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27 Chapter 5 Local Authority Performance Management Competition Criteria and Guidelines for Awarding Marks (A) Effective Utilization of Local Authority Resources in Providing Services to the Community. (Office Management and Administration) 1. Human Resources Management 1.1 Duties and Responsibilities The following requirements should be fulfilled. Passing the Council resolution needed for delegation of powers vested with the Council under the provisions of basic laws and any other written law, to the Mayor/Chairman and /or Municipal Commissioner/Secretary (with their designations and names). This delegation of powers should have been made, at the commencement of the term of a new Council and whenever, there was a change in the positions of Mayor/Chairman and/or Municipal Commissioner/Secretary, during the term of office of that Council. The delegation should have been updated to suit the circumstances. Powers vested with the Mayor/Chairman under the provisions of the basic law and any other written law, should have been delegated to the Municipal Commissioner/Secretary, as required under the circumstances. (In the case of Municipal Council, certain additional powers vested with the Municipal Commissioner, also should be delegated to the staff who are required to execute such powers) This delegation of powers should have been made at the commencement of the term of a new council and when ever there was a change in the positions of Mayor/Chairman and/or Municipal Commissioner/Secretary, the delegation should have been updated to suit the circumstances. (iii) Every delegation of powers made as referred to in and above should have been recorded in the Register of Delegation of Powers, and certified. It should have been brought to the notice of the staff. Chapter Five 19

28 (iv) (v) (vi) (vii) All functions relating to all responsibilities, duties and the role of the Local Authority should have been distributed equitably among the approved staff by allocating them in writing through job descriptions. Performance standards which evaluate each and every function contained in every job description should have been identified. Work plan should have been prepared for the purpose of reminding the work that should be performed on specific days or in specific times, and call up diaries should have been completed accordingly. An arrangement which shows clearly the covering up of duties when members of the staff go on leave should have been, formulated and the staff should have been made aware about it. (How the duties of officers who went on leave during the recent past, have been covered up, should be examined.) (viii) Duplicate keys of the office cupboards, cabinets and table drawers (except safety locks) should have been kept in a key holder located in a fixed in such a manner that the keys can be identified and taken back when necessary Completion of the area of duties and responsibilities Confirmation before awarding marks. (iii) (iv) (v) If all the above requirements are correctly in, the section 1.1 can be considered in the position of very good (E.P = 4) If one more requirement is completed together with requirements in to (vii) above, this section can be evaluated as good (E.P = 3) If requirements in to (vi) above are completed, this section can be evaluated as average (E.P = 2) If requirements in to (iv) above are completed, this section can be evaluated as weak (E.P = 1) If above requirements are not completed in that manner, no marks will be awarded to this section (E.P = 0) 20 PERFECT Guide Book

29 Staff Performance Appraisal First of all examine the personal files of the staff. If the decision regarding the salary increment, has not been obtained during the period of two months, after the relevant date, there is no need to further examine this section. Functions allocated to the staff, should have been reviewed at least once in every year. By 15 th of January, performance agreements in respect of staff grade persons should have been entered into and the final appraisal of the last year s performance agreement should have been evaluated and quantified. (iii) (iv) (v) (vi) (vii) (viii) By 15 th of July the half yearly appraisal of the performance agreements, in respect of staff grade persons, should have been conducted. Before the expiry of the month in which the annual salary increment is due, in respect of every non-staff grade person, an evaluation should have been carried out to ascertain, that his/her Performance Appraisal is in conformity with, given performance standards. A good appraisal has been given to persons who have achieved the targets in accordance with performance standards and an appraisal has been made in respect of persons who could not reach the targets, as relevant to them. Within the month in which the annual salary increment is due in respect of every person, a final decision should have been taken, with regard to that (i.e. whether the salary increment is granted, temporarily suspended, stopped, reduced or deferred) Letters of commendation, to persons who have worked with dedication on special occasions, in addition to their normal duties, and letters with adverse comments, to persons who have neglected their duties, have been issued. Necessary steps should have been taken to rehabilitate weak persons, identified in the Performance Appraisal. Chapter Five 21

30 1.2.1 Staff Performance Appraisal Confirmation before awarding of marks. (When the due dates of the requirements stated in to (iv) below, have passed beyond two months, those requirements should be considered as, not achieved and also when all matters in any requirement, out of the following requirements are not completed that requirement also should be considered as not achieved. First get the confirmation as to whether these requirements are fulfilled.) (iii) (iv) (v) If all the above requirements are correctly in, the section 1.2 can be considered in the position of very good (E.P = 4) If requirements in to (vii) above are completed, this section can be evaluated as good (E.P = 3) If requirements in to (vi) above are completed, this section can be evaluated as average (E.P = 2) If requirements in to (iv) above are completed, this section can be evaluated as weak (E.P = 1) If above requirements are not completed in that manner, no marks will be awarded to this section (E.P = 0) 1.3 Personnel Management and Welfare (a) Needs assessment of staff training, Planning of training programmes and allocation of financial provision through budgetary estimates. There should be a training needs assessment report in respect of the year under review. Training programmes should have been prepared, as planned according to the training needs assessment report and have received the approval. (iii) If it was planned to involve external institutions, according to the training programme, the relevant letters of correspondence, with such institutions should be in the file. (iv) Financial allocations should have been provided in the annual budgetary estimates, in respect of training courses proposed to be conducted with the expenditure from the Council fund. These provisions should have been allocated, in addition to the 22 PERFECT Guide Book

31 provision for any travelling expenses that would be paid to persons who participate in training programmes referred to external institutions. (v) An amount of over ninety percent (90%) of the provision allocated out of the Council funds for training programmes, should have been spent. Travelling expenses and combined allowances referred to in (iv) above should not be included in this percentage. If any balance amount in the above expenditure item has been transferred to another expenditure item and when that amount exceeds ten percent (10%) of the provision allocated for this purpose, then it should be considered that this requirement is incomplete. (vi) The staff should have been referred for training programmes organized by the Sri Lanka Institute of Local Governance, the Management Development Training Institute of the Provincial Council and any other Training Institutes. In order to confirm the above requirements the Commissioner of Local Government in the province should furnish details about training programmes organized by above institutions in relation to the province, during the year under review and a list of persons who participated in those training programmes, together with their names and the Local Authority, to the panel of judges (evaluators). (vii) A brief introduction about the knowledge gained by the persons who participated in the training programmes organized by external institutions referred to in (vi) above, should have been presented by those persons, at the monthly management meeting of the whole staff (in the Local Authority). (viii) The knowledge and understanding that have been gained through training courses should have been utilized practically in the performance of official duties (by the staff). Chapter Five 23

32 (a.1) (iii) (iv) (v) (vi) Assessment of staff training needs, Planning of training programme and allocation of financial provision through budgetary estimates Confirmation of the fact the requirement has been fulfilled. If all the above requirements are correctly in, it should be considered that section 1.3 (a) is completed. Relevant position should be confirmed by examining files, documents and reports relevant to these. If valid reasons have been presented to the satisfaction of the panel of judges (evaluators), that a certain requirement out of the above requirements excluding Sections to (iv) above could not be completed, due to unavoidable circumstances such requirement may be considered as has been achieved. If the panel of judges (evaluators) have come to a conclusion, that such circumstances were there, the facts that were observed and the reasons for arriving at such conclusion should be stated in their report in the form of footnotes. If the progress shown is lower than the above position, it should be If all the above requirements are correctly in, it should be considered that section 1.3 (a) is completed. Relevant position should be confirmed by examining files, documents and reports relevant to these. (b) Provision of adequate space/facilities for dining and resting purposes of the staff. An adequate space, together with water facility for the accommodation of twenty percent (20%) of the entire office staff at a time to have their meals, and having not less than sixteen (16) square feet for one person, have been provided. A resting, with facilities for at least three persons, to take rest at a time, has been allocated and one of these s should be a resting for females, where at least two persons should be able to take rest at a time. 24 PERFECT Guide Book

33 (b.1) Provision of adequate space/facilities for dining and resting purposes of the staff. If all the above requirements are correctly in it should be considered that section 1.3 (b) is completed. If the requirement referred to in above is correctly in, it should be considered that seventy five percent (75%) of this section is completed. (iii) If the progress shown is lower than the above positions, it should be (c) Provision of toilet/ urinal facilities for the staff, separately for females and males. Maintaining a number of toilets with water facilities, to be adequate for fifteen percent (15%) of the staff, at a time. More than half of these toilets should have been reserved for the females. Arrangements should have been made to clean every toilet/ urinal at least three times on every day when the staff is on duty. (c.1) (iii) Provision of toilets/urinals for the staff separately for females and males confirmation of the fact that this requirement is fulfilled. If all the above requirements are correctly in it should be considered that section 1.3 (c) is completed. This position should be ascertained by inspecting the premises. If the progress shown is lower than the above positions, it should be (d) Every person in the staff wears the official Identity Card and every uniformed staff wears uniforms. An official Identity Card of the office should have been issued to every member of the staff. Issue of an official Identity Card to a new appointee or to a person, who has come on transfer, should have Chapter Five 25

34 been finalized within one month from the date of his/ her assumption of duties. All the staff should wear the official Identity Card on every occasion when they are on duty. (iii) The staff should have been made aware, through an internal circular, that every person in the staff should wear the official Identity Card, both in the office and outside the office, on every occasion when they are on duty. (iv) The staff entitled for, uniforms and the uniform prescribed for each and every post should have been identified. Financial provision should have been allocated in the annual estimates, for expenditure on uniforms. (v) Issue of uniforms to the staff who are entitled to uniforms should have been finalized before the expiry of the first quarter in every year. Uniforms, for a person who has come on transfer should have been issued, after getting a confirmation as to whether he had been issued uniforms from his former of work and for a new appointee, uniforms should have been issued, within two months from the date of his/ her assumption of duties taking into account the remaining period of the year. If the date of assumption of duties falls within the last quarter of the year, the fact that he/ she has not been issued uniforms, can be disregarded. (vi) Every person in the uniformed staff should wear the uniform prescribed for his/ her post, on every occasion when he/ she is on duty. (vii) Uniformed staff should have been made aware through an internal circular, about the disciplinary procedure that will be followed on every occasion when they do not wear or when they fail to wear uniforms, while on duty. 26 PERFECT Guide Book

35 (d.1) Confirmation of the requirement that every person in the staff wears official Identity Card and that every uniformed staff wears uniforms. If all the above requirements are correctly in it should be considered that section 1.3 (d) is completed. By cross checking the files relating to the issue of official Identity Cards and uniforms with the present staff, the correctness of the issue of official Identity Cards and uniforms can be ascertained. If the progress shown is lower than the above positions, it should be (e) Arrangements have been made for protection from fire and leakage of electricity. Fire (normal fire and fire caused by electricity) extinguishing equipment have been installed inside the office including the record room and the stores room and action has been taken to get them checked within prescribed periods of time and to get faults rectified, if any. (Certificate to that effect should have been obtained.) Preventive equipment has been installed, as necessary for preventing power leakage from electricity mains and wiring system has been free from open mains. (iii) Safety measures have been taken in connecting electricity lamps and electrical equipment to the main system. (iv) Persons who are engaged in accident or disease prone duties have been made to contribute for an insurance scheme (in accordance with Labour Compensation Ordinance) (v) Arrangements have been made for the proper disposal of waste paper and waste. Chapter Five 27