THE SOUTH AFRICAN HERITAGE RESOURCES AGENCY MANAGEMENT OF PERFORMANCE INFORMATION POLICY AND PROCEDURES DOCUMENT

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1 THE SOUTH AFRICAN HERITAGE RESOURCES AGENCY MANAGEMENT OF PERFORMANCE INFORMATION POLICY AND PROCEDURES DOCUMENT ACCOUNTABLE SIGNATURE AUTHORISED for implementation SIGNATURE On behalf of Chief Executive Officer SAHRA Council Date Date Management of Performance Information Policy and Procedures Page 1

2 Table of Contents LIST OF ACRONYMS... 2 PART I: MANAGEMENT OF PERFORMANCE INFORMATION POLICY POLICY STATEMENT SCOPE OBJECTIVES POLICY OUTLINE SAHRA VALUES POLICY PRINCIPLES PERFORMANCE INFORMATION MANAGEMENT RESPONSIBILITIES COMMUNICATION PLAN REVIEW PART II: MANAGEMENT OF PERFORMANCE INFORMATION PROCEDURES PROCEDURES OVERVIEW Procedure 1: Setting key performance areas and objectives Procedure 2: Performance dimensions and stakeholder needs Procedure 3: Selecting key performance indicators (KPIs) Procedure 4: Setting realistic performance targets Procedure 5: Monitoring framework Procedure 6: Measuring framework Procedure 7: Check alignment of the strategy process and development of the PMIS Procedure 8: SAHRA reporting STRATEGIC PLANS AND ANNUAL PERFORMANCE PLAN TIMEFRAMES FOR SAHRA ANNEXURE 1-QUARTERLY PERFORMANCE REPORTS ANNEXURE 2-ANNUAL REPORTS ANNEXURE 3-GLOSSARY List of Acronyms Management of Performance Information Policy and Procedures Page 2

3 SAHRA DAC Department of Arts & Culture PFMA Public Finance Management Act COBiT Control Objectives for Information and related Technology COSO Committee of Sponsoring Organizations PMI Performance Management Information PMIS Performance Management Information System Management of Performance Information Policy and Procedures Page 3

4 PART I: MANAGEMENT OF PERFORMANCE INFORMATION POLICY 1. Policy Statement Effective management of performance information requires a clear understanding of different responsibilities, the structures and systems involved in managing performance information. (SAHRA) is embarking on a process of fundamentally changing the management of performance to ensure the needs of its stakeholders are satisfied effectively, efficiently and economically. A key process to bring about the desired change is the development, implementation and maintenance of a performance management information system (PMIS) for SAHRA. SAHRA understands performance management (PM) to be an integrated management strategy that seeks- to create a shared vision of the purpose, aims and values of SAHRA, to help stakeholders and employees understand their part in contributing to the achievement of organisational aims, goals and maintaining organisational values and in so doing, manage and enhance the performance of individual employees and that of SAHRA as a whole. SAHRA has a commitment to ensure compliance with its legal and statutory obligations in relation to the management of performance information and reporting processes. Importantly, performance management and reporting facilitates delivery / achievement of the predetermined Strategic Plan objectives as approved by the Council for the benefit of Stakeholders. The policy contained in this document provides a framework- for improving integrated structures, systems and processes required to manage performance information; for a uniform approach to managing performance information throughout SAHRA; for defining the roles and responsibilities of different role players in the management of performance information and. to promote accountability and transparency. 2. Scope Management of Performance Information Policy and Procedures Page 4

5 This policy applies to SAHRA s Council, Executive Officers, Unit Management and all of SAHRA s Representatives. The policy seeks to ensure consistency in SAHRA s approach to the management of performance information and to ensure the integrity of SAHRA s reporting requirements. The more detailed operational procedures supporting SAHRA s Management of Performance Information are detailed in part II of this document. The need for a PMI policy stems from the legal obligation on public entities to develop, implement and maintain a PMIS. A policy is necessary to provide direction to SAHRA in developing, applying and reviewing its PMIS and to inform the stakeholders of SAHRA s intentions in this regard. A policy regarding PMI is necessary to ensure that- the financial implications of the PMIS and decisions about PMI are taken into account the development of a PMIS is facilitated and purposeful the PMIS is enforceable measurement and evaluation of performance are consistent feedback is provided regarding performance. A PMIS is necessary to- measure SAHRA s performance; ensure that the decisions and intentions of SAHRA are implemented and realised; and that objectives are precise and clear. Performance information will be made available to managers at each stage of the planning, budgeting and reporting cycle to allow them to adopt a results-based approach to managing service delivery. Management of Performance Information Policy and Procedures Page 5

6 The performance management process comprises planning, budgeting, monitoring and reporting of performance. The diagram below clearly shows the relationship between the processes and also highlights the executive authority s accountability for the process to Parliament. Summary of reporting legislative requirements are tabled below: Performance management process SAHRA Strategic planning Treasury Regulations chapter 30 Budgeting and implementation planning Treasury Regulations chapter 30 Implementation Treasury Regulations chapter 30 Reporting (in-year and annual reporting) PFMA, Section 55 (2) (a) and Treasury Management of Performance Information Policy and Procedures Page 6

7 Regulations Chapter Objectives The implementation of the Public Finance Management Act (PFMA) (1999) has enhanced control over public expenditure and empowered public sector managers. The Act provides processes and mechanisms to enhance corporate governance, accountability and requires SAHRA to keep the Executive Authority fully informed and regularly consulted by SAHRA s Council. Programme performance information is a component of the Government-wide Monitoring and Evaluation Framework. This policy provides the overarching requirements for SAHRA s performance management, measurement and reporting. The policy seeks to provide: A uniform approach to ensure compliance with the Public Finance Management Act in relation to performance management and reporting; Promote an open and transparent management of performance information strategy and measurement process; and Uphold good corporate governance principles. Objective 1: To identify gaps in the capacity of SAHRA and to address them Performance and capacity are interrelated concepts. Organisational performance arises from the use of capacity. Assessing performance information therefore identifies areas where capacity needs building. SAHRA will ensure that where gaps in its institutional or human resources capacity are identified that those gaps will be filled. Objective 2: To improve the effectiveness, sustainability and efficiency of service delivery Effectiveness is the degree to which a service, project or programme (activity) undertaken or delivered by or on behalf of SAHRA supply the needs of the stakeholders in quantitative and qualitative terms. In order to improve the effectiveness of service delivery, SAHRA will seek to continuously improve- the quality and coverage of services (i.e. the proportion of people who benefit from or receive a service to all those who need it); the functional and financial accessibility of services; its information about the nature and the extent of the need for services; gathering correct information about the impact (i.e. the change of status that can Management of Performance Information Policy and Procedures Page 7

8 be attributed to a particular intervention) of services on the lives of people; and the setting of clear, transparent and measurable indicators and targets against which the performance of SAHRA and service providers who act on behalf of SAHRA and the satisfaction of the customers can be measured. Efficiency is the extent to which SAHRA produces an output of the desired quality in the desired quantity with the least possible resources. It relates to the quantum of the human, financial and other resources consumed and, where applicable, time taken, to deliver each service, project and programme at the specified quality and in the specified quantity. It has to do with how well resources are used to produce specified outputs. In order to improve efficiency the Council will ensure that- the Strategic Plan includes SMART (specific, measurable, achievable, relevant and time-bound) objectives, key performance areas (KPA) and key performance indicators (KPI); everybody in SAHRA knows what those objectives, KPA s and KPI s are; standards to measure the achievement of objectives and the use of resources exist; continuous actions to improve efficiency are undertaken and employees are committed and have the skills and other attributes necessary for continuous improvement of performance. Services provided by SAHRA must be environmentally and financially sustainable. This will ensure that services are environmentally sustainable by ensuring that- the risk of harm to the environment and to human health and safety is minimized to the extent reasonably possible under the circumstances; the potential benefits to the environment and to human health and safety are maximised to the extent reasonably possible under the circumstances; and legislation intended to protect the environment and human health and safety is complied with. SAHRA will render services in such a manner to ensure funding from internal and external resources, including budgeted income, rental income, grants and subsidies for the service, is sufficient to cover the costs of at least: the initial capital expenditure required for the service(s); operating the service; and maintaining, repairing and replacing the physical assets used in the provision of the service. Objective 3: To ensure effective, economical and efficient use of resources Effective use of resources requires that resources are used in such a manner to supply the real needs of stakeholders. In order to ensure the effective use of resources, SAHRA will improve its information gathering system to provide accurate and complete information to all stakeholders which will address the needs and priorities of all stakeholders and that those needs are quantified. The Strategic Plan and other plans made by SAHRA will therefore be based on evidence and not opinions. Efficient use of resources requires that the quantum of the human, financial and other resources consumed and, where applicable, time taken, to deliver a service, project and programme at the specified quality and in the specified quantity must be known and continuously reduced. To ensure efficient use of resources SAHRA will set standards to measure the achievement of objectives and the use of resources; continuously undertake actions to improve efficiency; and Management of Performance Information Policy and Procedures Page 8

9 promote the commitment of people within SAHRA and that they have the skills and other attributes necessary for continuous improvement. Economy refers to the cost of obtaining resources of the appropriate quality and quantity as inputs into SAHRA. It means that the cost of providing one specified unit of each service that is delivered is known. SAHRA will ensure that for each service that is provided, whether externally or internally, units would be determined and unit costs calculated. The unit cost of a service includes at least the following cost factors: the capital investment required or incurred, including any planning costs and, where applicable, the purchase price and costs incidental to acquiring property. Objective 4: To promote the loyalty, morale and performance of employees The performance of SAHRA will only improve if all its employees work smarter and better. Therefore, an important component of the PMIS is an employee performance appraisal system (EPAS). SAHRA will ensure that its EPAS is developed in such a way that- employees would know exactly what would be expected of them, employees would be involved in setting their own performance objectives, exceptional performance is consistently rewarded and where under performance is determined, the EPAS must assist in determining the reasons for such under performance. SAHRA will provide reasonable opportunity for employees to improve their performance. A phased-in approach to employee performance appraisal is adopted by SAHRA. 4. Policy Outline This policy is designed to establish a robust performance framework and to document SAHRA s performance management structure that is consistent with the principles outlined in the Framework for Managing Programme Performance Information. SAHRA has identified three key elements for effective performance management: Framework roles and responsibilities, documented standards and communication; System data quality assurance, approved costing methodologies, controls and processes for analysis; and Reporting monitoring, review and reporting processes. 5. SAHRA Values SHARA s PMIS must reflect the following values adopted: Accountability Service Excellence Teamwork/Co operation Management of Performance Information Policy and Procedures Page 9

10 Respect Transparency Integrity 6. Policy Principles SAHRA s PMIS must- promote predictability be effective be efficient promote economical use of resources be simple be realistic comply with legislation. 7. Performance Information Management To achieve the above requirements SAHRA: Has established a Performance Information Management Procedure that details the obligations of SAHRA; Has developed the Performance Information Management Glossary to ensure consistency and transparency of reporting; Will provide education and training (where necessary) to relevant representatives, detailing individual responsibilities, reporting and communication methods; Will review processes and procedures to integrate the management of performance information requirements into the day to day operations of SAHRA; Will ensure the effectiveness of the Performance Management Information System by conducting regular reviews; Will introduce a process of continuous improvement in relation to reporting against SAHRA s corporate key performance indicators; Will include performance management responsibilities in position descriptions and key performance indicators. Framework SAHRA s Performance Management Framework includes the following elements: Clearly defined roles, responsibilities and accountabilities for performance measurement and reporting; Management of Performance Information Policy and Procedures Page 10

11 Well documented data quality standards and expectations for performance information and clearly communicated across the organisation; Monitoring and quality assurance procedures for performance information in place to enable assessment of SAHRA s financial and non-financial performance; and Integrated internal management reporting processes and accountabilities with reporting of performance information to stakeholders. Systems SAHRA has in place effective supporting systems and processes which measure SAHRA s performance including: Data assurance arrangements for performance information including key performance measures defined, adequate documentation and clear management trails of data sources, collection methods, methods of measurement and data quality risks; Approved costing methodologies, supported by appropriate assumptions and adequate documentation; Controls over data collection and processing to ensure the accuracy, completeness and reliability of performance information, including input, validation and monitoring controls; and Processes for ongoing analysis and evaluation of performance information and measures including variance analysis of results and progress to date against targets. Performance Management Reporting SAHRA also has in place appropriate performance measurement reporting processes including: An adequate management trail to support performance information in the Performance report, Quarterly Reports to Executive Authorities and the Annual Report; Fair representation of performance information to stakeholders including accompanying notes explaining the context, variances and any limitations in the data reported. 8. Responsibilities Executive authority: The Minister will be accountable to Parliament. The Minister will in turn ensure that the institutions under his/her control setup appropriate performance information systems so that they are able to fulfill their accountability and reporting responsibilities. SAHRA s Council (Accounting Authority) and Audit and Risk Management Committee The Council retains the ultimate responsibility for ensuring that SAHRA has implemented, maintains and adheres to the Performance Management Information System and compliance with SAHRA s legal obligations as defined in the Public Finance Management Act. Management of Performance Information Policy and Procedures Page 11

12 The Council (with the assistance of the Audit and Risk Management Committee) oversee the management and allocation of roles, responsibilities and accountabilities for performance measurement, reporting, approving costing methodologies and evaluation of performance information. The Chief Executive Officer (Accounting Officer) will ensure that SAHRA a) Has available documentation that addresses the following: Intergration of performance information structures and systems within existing management processes and systems; Definitions and technical standards of all the information collected by SAHRA, eg. COBIT applicable to IT information and systems; Processes for identifying, collecting, collating, verifying and storing information; Use information in managing results and Ensure timely publication of performance information b) Appropriate capacity to manage performance information c) SAHRA has appropriate systems to collect, collate, verify and store the information d) Consulation processes that ensure the information needs of different users are taken into consideration when specifying the range of information to be collected. e) Processes to ensure the information is appropriately used for planning, budgeting and management within SAHRA, including: o o o Processess to set performance standards and targets prior to the start of each service delivery period Processes to review performance and take management action to ensure service delivery stays on track Processess to evaluate performance at the end of a service delivery period f) Processes to ensure that responsibility for managing performance information is included in the individual performance agreements of line managers and other officials g) An identified set of performance indicators for reporting for oversight purposes. h) Adequate capacity to integrate and manage performance information within existing management systems Executive Management Executive Management is accountable for the identification, analysis, treatment and reporting of performance management issues. They are responsible for the ultimate sign-off of all information which is Management of Performance Information Policy and Procedures Page 12

13 presented to the Council for approval. The Chief Executive Officer is responsible for approving amendments to this Policy. Executive Management support the Council by managing and allocating roles, responsibilities and accountabilities for performance measurement, reporting, approving costing methodologies and evaluation of performance information. Unit Managers Unit Managers assume responsibility for ensuring effective implementation and maintenance of this Policy and that all personnel adhere to the associated systems and guidelines. Unit Managers are responsible for providing information to Executive Management and the Company Secretary in relation to performance. The unit managers will be responsible for capturing, collating and checking performance data related to their activities. The integrity of SAHRA s overall performance information will depend on how conscientiously the managers and officials reporting to them fulfill these responsibilities. The performance agreements and assessments will deal explicitly with the quality of this aspect of their work. Company Secretary The Company Secretary (in conjunction with the Chief Financial Officer) is responsible for coordinating the preparation of the Statement of Applicable Legislation and Compliance report. The Company Secretary (with the assistance of Executive Management and Managers and Representatives) prepares the Quarterly Compliance Report to Executive Authority. The Company Secretary assists the Council and Executive Management to fulfill their roles and responsibilities as detailed above and maintains detailed records of information which is used to prepare the Statement of Applicable Legislation and Quarterly Compliance Reports to the Executive Authority, as received from Representatives. Representatives All Representatives have a responsibility to cooperate with and assist Executive Management, Unit Managers and the Company Secretary in relation to the management of SAHRA s performance. All representatives are required to: Comply with this policy and relevant legislation; Familiarise themselves with SAHRA s policies, procedures and work instructions concerning the management of performance information (where these relate to their particular role); and Implement the practices learned in training provided by SAHRA in relation to the management of performance information. Internal Audit The Internal audit function of SAHRA will advise management and provide assurance on the adequacy and effectiveness of the control environment in relation to performance management information. External Audit Management of Performance Information Policy and Procedures Page 13

14 Section 20(2) (c) and section 28 (1) (c) of the Public Audit Act (PAA), 2004 requires that an audit report from the External audit must reflect at least an opinion or conclusion on the performance of the auditee against predetermined objectives. The audit will focus on the planning, implementation, monitoring and reporting of performance information. 9. Communication Plan This policy will be communicated to those responsible for the management of performance information, its measurement and reporting processes by and education and training (as necessary). 10. Review The content of this policy will be reviewed annually. Amendments to this policy are to be approved by the Chief Executive Officer and Council. PART II: MANAGEMENT OF PERFORMANCE INFORMATION PROCEDURES 11. Procedures overview a) Agree on what SAHRA are aiming to achieve b) Conduct a stakeholder analysis c) Conduct a risk assessment d) Specify the outputs, activities and inputs e) Select the most important indicators f) Select realistic performance targets g) Determine the process and format for reporting performance Management of Performance Information Policy and Procedures Page 14

15 h) Establish processes and mechanisms to facilitate corrective action i) Performance information systems should be integrated with existing management processes j) SAHRA should ensure that all previous and current accountability reports are placed on the institutions website k) Produce the performance information reports quarterly and annuallyfor audit purposes l) Submit the performance information to the Department of Arts & Culture who will perform an overview of the entity s performance Procedure 1: Setting key performance areas and objectives The PMIS will measure SAHRA s performance in relation to the following key performance areas: service delivery, which will include all priorities and objectives relating to the service delivery during the year in question as set out in SAHRA s Annual Performance Plan; development, which will include all the priorities and objectives of SAHRA; institutional transformation, which will include all the priorities and objectives of SAHRA relating to human resources management and the use of information technology, including measures to comply with the provisions of the Employment Equity Act; public finance management, which will include all the priorities and objectives of SAHRA related to improving and maintaining the financial sustainability of SAHRA and the proper management of its finances and assets during the year in question; Procedure 2: Performance dimensions and stakeholder needs SAHRA will measure and evaluate its performance in five dimensions, as follows, by using appropriate key performance indicators (KPIs) for measuring input, outcome and output: effectiveness: why a particular service/project/programme (activity) exists and what it seeks to achieve, including access to the benefits of the activity; efficiency: the resources committed to a particular activity and how they are turned into outputs; economy: the cost of acquiring the resources used to perform a particular activity; impact: the net improvement or deterioration in the quality of life or organisational performance brought about by a specific activity or the effect of a specific activity, whether intended or unintended, desirable or undesirable; and quality: the opinion of the users of services of how good a particular service is and the objective standard at which an activity is performed Procedure 3: Selecting key performance indicators (KPIs) Management of Performance Information Policy and Procedures Page 15

16 The public entity will, after consultation with stakeholders, set appropriate KPIs for each and every objective contained in the Strategic Plan. These KPIs will include the general KPIs set by the Executive Authority. The KPIs will serve as a yardstick for measuring performance, including outcomes and impact, with regard to SAHRA s development priorities and objectives set out in its Strategic Plan. KPIs will be set for each of the key performance areas determined in terms of this policy and agreed procedure. The following types of KPIs will be set: Input indicators: These are indicators that measure the resources that contribute to the production and delivery of outputs. Inputs are what SAHRA will use to do the work and will include finances, personnel, equipment. Activities indicators: These are the processes or actions that use a range of inputs to produce the desired outputs and ultimately outcomes. Output indicators: Those indicators that measure the results of activities, processes and strategies of a programme of SAHRA. Outcome indicators: These are indicators that will be used to measure the quality and impact of an output on achieving a particular objective. Impact indicators: Those indicators that measure the results of achieving the specific outcomes. The performance indicators will meet the following criteria: (a) Reliable: the indicator should be accurate enough for its intended use and respond to changes in the level of performance. (b) Well-defined: the indicator needs to have a clear, unambiguous definition so that data will be collected consistently, and be easy to understand and use. (c) Verifiable: it must be possible to validate the processes and systems that produce the indicator. (d) Cost-effective: the usefulness of the indicator must justify the cost of collecting the data. (e) Appropriate: the indicator must avoid unintended consequences and encourage service delivery improvements, and not give managers incentives to carry out activities simply to meet a particular target. (f) Relevant: the indicator must relate logically and directly to an aspect of the institution's mandate, and the realisation of strategic goals and objectives. The following steps have been adapted to develop performance indicators based on those contained in the Framework for Managing Programme Performance Information: Step 1: Agree on what you are aiming to achieve The first step in developing robust indicators is to agree on the problem SAHRA seeks to remedy. Based on an understanding of the problem, what is the solution? Or expressed in social terms, what would society look like if the desired changes could be effected? This enables SAHRA to define a clear set of outcomes and impacts. These are SAHRA's strategic goals and objectives, which need to be defined in measurable terms. Well-defined strategic goals and objectives provide a better basis from which to develop suitable programmes and projects, as well as appropriate indicators. Once SAHRA has decided on what is to be achieved, it then needs to decide what it needs to deliver to do so. Step 2: Specify the outputs, activities and inputs Management of Performance Information Policy and Procedures Page 16

17 The second step is often the most difficult - specifying what SAHRA needs to do to achieve the desired outcomes and impacts. SAHRA may find it useful to reverse the thought process: having defined the outcomes and impacts SAHRA is aiming to achieve, it should then examine: What parties are likely to be positively or negatively affected? What are their relevant characteristics? This information is important when planning interventions that will affect them and for designing appropriate indicators. What does SAHRA need to do in the short term to achieve the desired outcomes and impacts? These will be the outputs for SAHRA. The choice of outputs needs to take into account who will be affected by the intervention. What does SAHRA require to produce these outputs? These will be the activities SAHRA needs to undertake. What is needed to perform these activities? These will be the inputs SAHRA requires. This approach to planning is called the "logic model", and is a useful way to plan and order information. In determining the logic model, risk and assumptions must be identified for each of the levels of the planning process. Specifying appropriate outputs often involves extensive policy debates and careful analysis. The process of defining appropriate outputs needs to take into consideration what is practical and the relative costs of different courses of action. It is also important to assess the effectiveness of the chosen intervention. Step 3: Select the most important indicators There is no need to measure every aspect of service delivery and outputs. Fewer measures may deliver a stronger message. SAHRA should select indicators that measure important aspects of the service that is being delivered, such as critical inputs, activities and key outputs. When selecting indicators, it is important to keep the following elements in mind: Clear communication: the indicators should communicate whether SAHRA is achieving the strategic goals and objectives it set itself. The indicators should also be understandable to all who need to use them. Available data: the data for the chosen indicators needs to be readily available. Manageability: the number of indicators needs to be manageable. Line managers would be expected to track a greater number of indicators pertaining to a particular programme than, say, the CEO of SAHRA or the executive authority. Step 4: Set realistic performance targets When developing indicators there is always a temptation to set unrealistic performance targets. However, doing so will detract from the image of SAHRA and staff morale. Effective performance management requires realistic, achievable targets that challenge SAHRA and its staff. Ideally, targets should be set with reference to previous and existing levels of achievement (i.e. current baselines), and realistic forecasts of what is possible. Where targets are set in relation to service delivery standards it is important to recognise current service standards and what is generally regarded as acceptable. The chosen performance targets should: Communicate what will be achieved if the current policies and expenditure programmes are maintained Enable performance to be compared at regular intervals - on a monthly, quarterly or annual basis as appropriate Facilitate evaluations of the appropriateness of current policies and expenditure programmes. Step 5: Determine the process and format for reporting performance Management of Performance Information Policy and Procedures Page 17

18 Performance information is only useful if it is consolidated and reported back into planning, budgeting and implementation processes where it can be used for management decisions, particularly for taking corrective action. This means getting the right information in the right format to the right people at the right time. SAHRA needs to find out what information the various users of performance information need, and develop formats and systems to ensure their needs are met. Step 6: Establish processes and mechanisms to facilitate corrective action Regular monitoring and reporting of performance against expenditure plans and targets enables managers to manage by giving them the information they need to take decisions to keep service delivery on track. The information should help managers establish: What has happened so far? What is likely to happen if the current trends persist, say, for the rest of the financial year? What actions, if any, need to be taken to achieve the agreed performance targets? Measuring, monitoring and managing performance are integral to improving service delivery. SAHRA will also pay particular attention to developing indicators that measure economy, efficiency, effectiveness and equity using data collected through these and other direct indicators Procedure 4: Setting realistic performance targets SAHRA will set measurable performance targets with regard to each KPI that it determined. SAHRA will ensure that the performance targets that are set will- be practical and realistic; measure the efficiency, effectiveness, quality and impact of the performance of the public entity, administrative component, structure, body or person for whom a target has been set; be commensurate with available resources; be commensurate with SAHRA s capacity; and be consistent with SAHRA s development priorities and objectives set out in the Strategic Plan and annual performance plan. A useful set of criteria for selecting performance targets is the "SMART" criteria: Specific: the nature and the required level of performance can be clearly identified Measurable: the required performance can be measured Achievable: the target is realistic given existing capacity Relevant: the required performance is linked to the achievement of a goal Time-bound: the time period or deadline for delivery is specified Procedure 5: Monitoring framework The monitoring sub-system clarifies- What will be monitored, in terms of key performance areas, indicators and targets: Management of Performance Information Policy and Procedures Page 18

19 SAHRA will monitor all the key performance areas and performance dimensions in respect of which KPIs and performance targets had been set. Continuous and programmed monitoring will be done to enable the public entity to early detect and predict indications of under-performance. Based on the reasons for likely underperformance, the public entity will ensure that corrective measures are taken to achieve the set targets. The institutional framework in terms of roles of different role-players in the monitoring process: The Council will receive performance reports from the Executive Management Committee on a quarterly basis during a financial year. The Executive Management Committee is responsible for ensuring that the unit managers of SAHRA gather relevant information throughout every reporting period in order to submit a draft performance report.. The Chief Executive Officer, Executive Officers and other unit managers must ensure that the KPIs and performance targets set are met. This requires proper work planning and scheduling, appropriate resourcing of activities and continuous supervision. The management must also identify likely underperformance and take corrective action where necessary in time to ensure that performance targets will be met. The internal audit function must continuously audit the performance measurements of SAHRA to assess the accuracy of performance reports, the functionality of the PMIS, whether the PMIS complies with the relevant legislation and submit quarterly reports on these audits to the Chief Executive Officer and the Audit and Risk Committee. The Audit and Risk Committee must review the quarterly reports submitted to it, review the PMIS and make recommendations in this regard to the Council via the Executive Management Committee and at least once during a financial year submit an audit report to the Council.. In reviewing the public entity's PMIS, the Audit and Risk Committee must focus on economy, efficiency, effectiveness and impact in so far as the KPIs and performance targets set by SAHRA are concerned. The Audit and Risk Committee may communicate directly with the Council, Chief Executive Officer or the internal and external auditors of SAHRA, access any entity records containing information that is needed to perform its duties or exercise its powers, request any relevant person to attend any of its meetings, and, if necessary, to provide information requested by the committee and investigate any matter it deems necessary for the performance of its duties and the exercise of its powers. The duties involved in continuous data gathering and reporting and who would be responsible for it: The Chief Executive Officer must designate one manager directly accountable to him or her as project manager for PM monitoring and data gathering. The Chief Executive Officer and other Executive Officers must install a supervisory and reporting system that would ensure that relevant data is continuously gathered. This system may include focus group research, surveys and like techniques. The mechanisms that must be used to gather, store, analyse, report and verify data: The mechanisms to gather, store, analyse, report and verify information that may be used include appropriate information technology, project site reports, research, focus group research, surveys and internal reporting; Management of Performance Information Policy and Procedures Page 19

20 Interventions that may take place to rectify any shortcoming, likely underperformance, or unintended or undesirable outcome detected. The Chief Executive Officer and other Executive Officers must implement appropriate actions to rectify and prevent likely under-performance Procedure 6: Measuring framework The measuring and review sub-system clarifies: What SAHRA intends to measure in terms of key performance areas, indicators and targets. Performance will be measured against general and specific KPIs. This will include the measurement of costs, resources and time used to produce outputs in accordance with the input indicators, the extent to which SAHRA s activities or processes produced outputs in accordance with the output indicators and the total improvement brought by outputs in accordance with the outcome indicators. One of the key components of performance measurement must be an analysis of how the entity is performing in relation to general and specific KPIs and targets. Mechanisms, techniques and tools to be used in undertaking performance measurement and reviews. SAHRA will compare its current performance to the previous year s performance, other comparable entities and against baseline indicators. Frequency of measurements. Measurements must be performed at least four times a year. Reviewing and evaluating performance SAHRA will, with regard to each development priority and objective in the Strategic Plan and against the set KPIs and targets, monitor performance and measure and review performance at least four times per year. The monitoring, measurement and evaluation of performance also serve as an early warning indicator of underperformance. The review system must- identify the strengths, weaknesses, opportunities and threats SAHRA faces in meeting the KPIs and performance targets, review the KPIs set by SAHRA and allow stakeholders to participate in the review process. Determine under performance and undesirable outcomes The Strategic Plan set out what SAHRA intends to achieve over the next three years. Essentially it contains SAHRA s promise to its stakeholders. The PMIS must determine whether those promises had been fulfilled and how well they had been fulfilled. However, it may happen from time to time that SAHRA made promises that it could not keep or that its fulfillment of a promise had an undesirable result. The PMIS must clearly identify any under performance and undesirable results. Management of Performance Information Policy and Procedures Page 20

21 Determine reasons The PMIS must facilitate the determination of the reasons for under performance and for undesirable results being achieved. Formulate strategies for addressing or preventing under performance (improvement actions) Once the reasons for under performance or undesirable results had been established, steps to improve performance with regard to those development priorities and objectives where performance targets are not met or to minimise the impact of any undesirable results must be taken. Progress and annual reporting SAHRA will establish a process of regular reporting to the Council, the executive authority, other political structures, political office-bearers, the staff of the public entity and the public and appropriate organs of state Procedure 7: Check alignment of the strategy process and development of the PMIS The following checklist will be used to check alignment: Analysis Information gathering Validation Identify priority areas Organisation Maturity Analysis Strategies Vision Objectives Strategies Projects Project Management Project task teams Project proposals KPIs for projects Project budgets Integration Financial plan Capital Expenditure plan Stakeholder Needs Analysis Institutional plan Risk Management profile Disaster management plan KPIs Management of Performance Information Policy and Procedures Page 21

22 Approval Implementation Determine PMI policy Determine unit cost of products and services Group priority areas into KPAs Group objectives in KPAs Determine input, outcome and output KPIs for objectives, incorporating general KPIs Determine desired outcomes for objectives Set targets for each KPI Set KPIs for individual projects, incorporating general KPIs Set KPIs for every sub-plan, incorporating general KPIs and targets for every KPI Extract KPIs and targets for management performance agreements Develop employee performance appraisal system Develop EPAS training and application manual Review workplace skills plan Procedure 8: Public Entity reporting The Departments responsible for public entities are required to exercise oversight of the planning, budgeting and reporting processes in these institutions. The oversight department needs to work with SAHRA, with the assistance of the Presidency and National Treasury, to ensure that entities plans and budgets feed into the relevant departments plans and budgets. Departments remain accountable for the outputs of the entities for which they are responsible, and the key outputs of such entities need to be contained in the department s Strategic Plans and Annual Performance Plans. This may require departments and the public entities for which they are responsible to agree on earlier dates for the preparation of entities Strategic Plans and Annual Performance Plans than those specified below. Management of Performance Information Policy and System Description Information gathering Analysis Group priority areas into KPAs Validation Identify priority areas Group objectives in KPAs Determine input, outcome, output Strategies Management of Performance Information Policy and Procedures KPIs for objectives Page 22 Determine desired outcomes for objectives Set targets for each KPI

23 Vision Objectives Strategies Project task team Project budgets Projects Set KPIs for individual projects incorporating general KPIs Annual Plan In-year reporting Disaster management plan Intergration Approval Set KPIs for each sub plan incorporating general KPIs and targets Develop employee performance appraisal system Strategic Plan Procedures Implementation PM I Procedures Management of Performance Information Policy and Procedures Page 23

24 Strategic Plans and Annual Performance Plan timeframes for SAHRA April May June Jul Aug Sept Oct Nov Dec Jan Feb Mar Strategic Plans 1 st Draft SP 2 nd Draft SP Submission to EA Planning Annual Performance Plans (APP) & Budgets 1 st Draft AP 2 nd Draft AP Performance indicators and targets Submission to EA for APPs In-year reporting Monthly Quartely Year - end reporting Management of Performance Information Policy and Procedures Page 24

25 SAHRA will submit their Strategic Plan (in the years when they are required) and their Annual Performance Plans to the executive authorities by the end of January.The responsible departments will also monitor the implementation of their plans and budgets during the course of the financial year. Management of Performance Information Policy and Procedures Page 25

26 ANNEXURE 1-Quarterly performance reports Purpose Quarterly performance reports provide progress updates on the implementation of an institutions Annual Performance Plan in the previous quarter, with particular reference to monitoring delivery against quarterly performance targets. Focus A quarterly performance report provides the executive authority, the National Treasury and provincial treasuries with information on performance against plans. It also provides the accounting officer with an opportunity to indicate measures that will be taken to ensure that implementation of the Annual Performance Plan remains on track. Timeframe Quarterly reports must be prepared within 30 days after the end of each quarter. Updating Changes to planned targets should not be made in quarterly performance reports. Ideally, actual performance numbers reported for a particular quarter should not be revised. However, given the inherent difficulties in management information systems, it may be necessary to provide for validation and revision of reported numbers in subsequent reports, subject to appropriate quality controls and disclosures. Linked to The quarterly performance reports are ultimately consolidated into the performance section of the annual report. In addition, the quarterly performance reports for the second and third quarters provide information on the present year s performance to be taken into consideration in the development of the Annual Performance Plan and annual budget for the following year. Legal requirements and guidelines Chapters 5 and 30 of the Treasury Regulations set out the legal requirements. This Framework provides guidance on the processes relating to the production of such reports. Management of Performance Information Policy and Procedures Page 26

27 ANNEXURE 2-Annual reports Purpose The Annual Report provides information on the performance of the institutions in the preceding financial year for the purposes of oversight. Focus The Annual Report looks at the institution s performance relative to the targets set in the Annual Performance Plan and provides the audited annual financial statements. It reveals how the budget was implemented and the state of the institution s financial management systems, and should include relevant background statistics and administrative data series. Timeframe The timeframes are set out in the PFMA and the Treasury Regulations. Linked to The Annual Report should be linked to the implementation of the Annual Performance Plan and budget. All in-year reports assist in the drawing up of the Annual Report, which should be subjected to an annual review and oversight process. Recommendations emerging from the review would feed into the planning and budgeting process for the following year. Legal requirements and guidelines Section 40 of the PFMA and Chapter 18 of the Treasury Regulations set out the legal requirements for departments annual reports. Section 55 of the PFMA and Chapter 28 of the Treasury Regulations set out the legal requirements for public entities annual reports. Management of Performance Information Policy and Procedures Page 27

28 ANNEXURE 3-Glossary Key definitions for the purposes of the Management of Performance Information Policy and Procedures document are as follows: Accountability documents: Documents that the executive authorities use to give full and regular reports on the matters under their control to Parliament and the provincial legislatures in terms of the Constitution. They include plans, budgets, in-year reports and annual reports Baselines: The current performance levels that an institution aims to improve when setting performance targets Compliance: Ensuring that the requirements of laws, regulations, Codes and organisational standards are met. Executive Management Team: Chief Executive Officer, Chief Operating Officer, Chief Finance Officer and other Executive Officers. Framework for Managing Programme Performance Information: A framework developed by the National Treasury that provides guidance on managing performance to national, provincial and local government. Unit Managers: Middle Managers operating as unit Heads (excluding Executive Officers). Representatives: Representatives include Council members, employees (full-time, part-time and casual), agents and contractors. Performance Management Information System: The system which SAHRA has developed to manage and monitor the performance information of SAHRA against the key performance indicators, as contained in the Strategic Plan and Annual Performance Plan. Performance standards: Express the minimum acceptable level of performance, or the level of performance that is generally expected. Accountability : We take responsibility for our decisions and actions both negative and positive Teamwork and co operation: We work together to achieve the best performance in line with organisational goals. Respect: We value diversity and unique contributions, fostering a trusting, open and inclusive environment. Transparency: We disclose and make available full information required for collaboration, co-operation and decision making for internal and external stakeholders. Service Excellence: We go the extra mile, by exceeding expectations in terms of high quality work and exceeding deadlines. Integrity: We are truthful, open and honest in everything we do. Management of Performance Information Policy and Procedures Page 28

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