Performance Management Division-Results Framework Document
The Performance Monitoring and Evaluation System (PMES) for Government Departments was put in place on September 11, 2009. Performance Management Division (PMD) in the Cabinet Secretariat is headed by a Secretary to Government of India, and is responsible for this activity through the mechanism called Results-Framework Documents (RFD). PMD has identified Performance Coordinators in the respective ministries/departments who prepare the RFDs for their respective departments.
At the beginning of each financial year, each department prepares a RFD consisting of the priorities set out by the Minister concerned, agenda as spelt out by the Government from time to time. The Minister in-charge decides the inter-se priority among the departmental objectives.
The RFD addresses three basic questions; (a) department’s main objectives for the year (b) actions proposed to achieve these objectives (c) the degree of progress made in implementing these objectives. i.e. what are the relevant success indicators and their targets.
RFDs are discussed and finalized by the ministers/departments after thorough discussion with the Ad hoc Task Force (ATF) consisting of retired civil servants, domain experts and leading management experts. This process helps the ministries/departments in arriving at realistic performance targets. The RFDs so reviewed are approved by the High Power Committee (HPC) on Government performance headed by the Cabinet Secretary.
At the end of the year, all ministries/departments are required to review and prepare a report listing their respective achievements against the agreed targets in the prescribed format. This report is expected to be finalized by the 1st of May each year.
The PMD has, in collaboration with NIC, developed a powerful software to automate monitoring and evaluation of performance based on RFDs. This software is called RFMS (Results- Framework Management System).
The PMD of the Cabinet Secretariat has also undertaken various initiatives relating to overall improvement in the functioning of the Government departments. These are :
(i) Implementation of 2nd Administration Reforms Commission Recommendation
Administrative Reforms Commission-II (ARC) in its report on Organizational Structure of Government of India inter alia recommended that Government of India should primarily focus on core functions and that it should, at all levels, be guided by the principle of subsidiarity. It was further recommended that there was a need to carry out a detailed analysis of the functions/activities in each Ministry/Department to help the ministries to prepare an action plan for delegating implementation activities and non-core activities to attached and subordinate offices.
The Performance Management Division is in the process of short-listing the organizations whose functions and activities would be analysed for implementation of this recommendation of the ARC. (ii) Performance Related Incentives (PRI) Performance Related Incentives (PRI) is defined as the variable part of pay which is awarded each year depending on performance. The scheme is applied at the individual employee level and at the team/group level. The scheme has two parts—one part measures the performance of the entity; and the second links the performance to financial incentives. Given the central role that incentives play in improving performance of employees in public and private sectors, the Cabinet Secretariat is working towards the goal of implementing a performance related incentive scheme as per recommendations of the Sixth Pay Commission. The proposed scheme is intended to be budget neutral.
(iii) Performance Appraisal Report (PAR) System
The system of Performance Appraisal Report as laid down in the All India Service (PAR) Rules, 2007 is being reviewed owing to widespread dissatisfaction with the working of the PAR system at all levels. The perception is that attempts to quantify and bring objectivity have not been successful.
Keeping in view the conceptual and procedural flaws in the performance evaluation methodology of PAR system, reform of PAR system is required and is working towards it.
(iv) Operationalizing ‘Sevottam’
The PMD, in partnership with Department of Administrative Reforms and Public Grievances, has decided to operationalize the concept of ‘Sevottam’ through the mechanism of Results-Framework Document.
Most of the ministries/departments have designed Citizen’s/Client charters along with a robust Public Grievance Redress Mechanism (PGRM) to ensure that the expectations of service recipients are catered to efficiently and effectively.
(v) Assisting State Governments in Implementing RFD
On the lines of the RFD devised by the Government of India, various states have come forward to put in place a similar performance management mechanism for better and improved performance of their respective governments. The state of Maharashtra and Punjab have already adopted the RFD mechanism with the help of PMD, Cabinet Secretariat. The state of Punjab has, in fact, gone much ahead and introduced the mechanism at the district level by formulating district-level RFDs.
The states of Kerala, Himachal Pradesh, Jammu and Kashmir, Karnataka, Orissa, Bihar, Jharkhand and West Bengal have shown interest and sought cooperation of PMD in this regard.
(vi) ISO 9001 Certification
The quality conciousness in Government has been introduced with all ministries/departments having been required to develop an action plan to obtain ISO:9001 certification of the department in phases as it is felt this has the potential to transform the functioning of the Government departments. Some departments have already got this certification.
(vii) Innovation in Government
operates or in the products and services it provides. All departments preparing RFDs are required to prepare innovation action plans for promoting innovation in Government. The focus, however, is on managerial and administrative innovations in Government departments.
(viii) Implementing e-Office
In its efforts to move towards a paperless office, the day to day working of the Cabinet Secretariat is being carried out through the e-Office system developed by the NIC. This paperless e-Office system is expected to be a role model for all other departments of the Government of India.
All departments preparing RFDs have been advised to adopt the paperless office system called e- Office.
(ix) Newsletter “Performance Matters”
In order to foster a regular dialogue on matters relating to performance management in government and to promote knowledge sharing in this area, the Performance Management Division, Cabinet Secretariat is regularly bringing out a quarterly Newsletter titled Performance Matters since April, 2009.
(x) Website
One of the intresting features on the PMD Website is Communities of Practice (CoP) on various subjects. COP is basically a group of people who share a concern or a passion for something they do and learn how to do it better as they interact regularly. In pursuing their interest in their domain, members engage in joint activities and discussions, help each other and share information. They build relationships that enable them to learn from each other.
For more details on PMD Log on to www.performance.gov.in National Authority, Chemical Weapons Convention
National Authority, Chemical Weapons Convention (NACWC) was set up by a resolution of Cabinet Secretariat dated May 5, 1997 to fulfil the obligations enunciated in the Chemical Weapons Convention. It prohibits the development, production, execution, transfer, use and stockpiling of all chemical weapons by Member-States in a non-discriminatory manner.
The Parliament enacted in 2000 a CWC Act to give effect to the provisions of the Chemical Weapons Convention in India. In accordance with the provisions of this Act a high-level steering committee under the Chairmanship of the Cabinet Secretary with Secretary (Chemical and Petrochemicals), Foreign Secretary, Secretary, Defence Research and Development, Defence Secretary and Chairman, National Authority as its other members, oversees the functioning of the National Authority.
The National Authority is responsible for implementation of the CWC Act, liaison with Organisation for the Prohibition of Chemical Weapons (OPCW) and other State parties, fulfilling of declaration obligation, negotiating facility agreements, coordinating OPCW inspections, providing appropriate facilities for training national inspectors and industry personnel, ensuring protection of confidential business information, checking declarations for consistency, accuracy and completeness of entities engaged in activities related to the CWC.
Disaster Management
monitoring the implementation of disaster management plans. It ensures measures by the various wings of the Government for prevention and mitigation of disasters and prompt response to any disaster situation.
National Policy on Disaster Management
The National Policy on Disaster Management (NPDM), 2009 envisages building a safe and disaster resilient India by developing a holistic, proactive, multi-disaster oriented and technology driven strategy through a culture of prevention, mitigation, preparedness and response. It aims at bringing transparency and accountability in all aspects of disaster management through involvement of the community, community based organisations, Panchayati Raj Institutions (PRIs), local bodies and civil society.
National Disaster Management Authority
The National Institute of Disaster Management (NIDM) was formally constituted in accordance with Section-3(1) of the DM Act on 27 September, 2006. The National Disaster Management Authority (NDMA) has been mandated with laying down policies on disaster management and guidelines which would be followed by different ministries, departments of the Government of India and State Governments in taking measures for disaster risk reduction.
National Institute of Disaster Management
The NIDM was established at the Indian Institute for Public Administration (IIPA) in 1995. The centre was upgraded and designated on October 16, 2003. It has now achieved the status of a statutory organization under the Disaster Management Act, 2005.
National Disaster Response Force
The National Disaster Response Force (NDRF) was constituted under Section 44 of the DM Act, 2005 by upgradation/ conversion of ten standard battalions of Central Para Military Forces to build them up as a specialist force to respond to disaster or disaster like situations. The ten battalions (1 battalion comprises of nearly 1000 persons) of NDRF consist of 144 specialized teams trained in various types of natural, manmade and non-natural disasters. Public Services All India Services Prior to Independence, the Indian Civil Services (ICS) was the seniormost amongst the Services of the Crown in India. Besides the ICS, there was also the Indian Police Service. After Independence, it was felt that though the ICS was a legacy of the imperial period there was need for the All India Services for maintaining the unity, integrity and stability of the nation. Accordingly, a provision was made in Article 312 of the Constitution for creation of one or more All India Services common to the Union and state. The Indian Administrative Service and the Indian Police Service are deemed to be constituted by the Parliament in terms of Article 312 of the Constitution. After the promulgation of the Constitution, a new All India Service, namely, the Indian Forest Service, was created in 1966. A common unique feature of the All India Services is that the members of these services are recruited by the Centre but their services are placed under various state cadres and they have the liability to serve both under the state and the Centre.
The other Central Services under Group ‘A’ which are also recruited through the common Civil Services Examination conducted by UPSC are Indian Foreign Service (IFS), Indian Revenue Service (IRS)—Income Tax, Customs and Central Excise, Indian Audit and Accounts Service (IAAS), Indian Post and Telecommunication Accounts and Finance Service (IP and TAFS), Indian Railway Traffic Service (IRTS), Indian Railway Accounts Service (IRAS), Central Industrial Security Force (CISF), Indian Defence Estate Service (IDES), Indian Information Service (IIS), Indian Railway Personnel Service (IRPS) and Railways Protection Force (RPF).
Union Public Service Commission
The Constitution provides for an independent body known as Union Public Service Commission (UPSC) for recruitment to Group ‘A’ and Group ‘B’ Gazetted posts under Central Government and for advice in various service matters. The Chairman and Members of the Commission are appointed by the President for a tenure of six years or till they attain the age of 65 years, whichever is earlier. To ensure independence, the Chairman after completion of tenure is not eligible for any further employment either under the Government of India or Government of a state. The Members are also covered by the above provision but they are eligible for appointment as Chairman of Union Public Service Commission or State Public Service Commission. They cannot be removed except for the reasons and in the manner provided for in the Constitution. A list of the Chairman since 1926 has been given in the chapter on General Information (Chapter-33).
The UPSC conducts various examinations every year for the recruitment of Group ‘A’ and ‘B’ posts. Some of the important examinations are : Civil Services Examination, Combined Defence Services Examination, Combined Medical Services, Engineering Services, Indian Forest Service, Indian Economic/Indian Statistical Services.
Civil Services Reforms
Second ARC in its 10th Report in November, 2008 on the subject Refurbishing of Personnel Administration has given various recommendations on Civil Services Reforms. The recommendations include (i) Stage of entry into Civil services (ii) Age of entry and number of attempts (iii) Structure of Civil Services Examination (iv) Other modes of induction into Civil Services i.e., induction of officers of State Civil Services into IAS to be made by UPSC on the basis of common examination and (v) Allotment of cadres to All India Services.
The various recommendations given by ARC have been considered by a Core Group on Administrative Reforms headed by Cabinet Secretary. Thereafter, decision would be taken at an appropriate level for implementing the accepted recommendations.
Inter-Cadre Deputation
Inter-cadre deputation is permissible to All India Service officers on completion of their nine years of service and before attaining promotion to super-time scale in his/her own home cadre. Such deputation is considered in view of the personal difficulties of the officers concerned and is permissible for a maximum period of five years in the entire service career of the officers and the period at a time thereof normally does not exceed three years.
Inter-Cadre Transfer
Inter-cadre transfer is normally permissible to an All India Service officer on the ground of his/her marriage to another officer of the All India Services. Other grounds for cadre transfer of All India
service officers is ‘extreme hardship’ which includes (a) threat to the life of the officer or his immediate family and (b) severe health problems to the officer or his immediate family due to the climate or environment of the state to which he is allotted. In the case of lady officers borne in north eastern cadres marry officer borne in another cadre, the lady officer is mandatorily transferred to her spouse’s cadre if she so requests except her home cadre. All India Service officers belonging to north eastern cadre may be allowed transfer of cadre to any other cadre in the north-east in relaxation of the existing conditions subject to availability of vacancy in the insider quota.
Staff Selection Commission
Staff Selection Commission (SSC) with headquarters at New Delhi was set up on 1, July 1978. It recruits (i) all non-Gazetted Group ‘B’ posts in the various Ministries/Departments of the Government and their attached and subordinate offices and (ii) all non-technical Group ‘C’ posts in the various ministries/ departments of the Government and their attached and subordinate offices, except those posts which are specifically exempted from the purview of the Staff Selection Commission. The Commission is an attached office of the Department of Personnel and Training and comprises a Chairman, two Members and Secretary-cum-Controller of Examinations. The Commission has Regional offices at New Delhi, Allahabad, Mumbai, Kolkata, Guwahati, Chennai and Bangalore and Sub-Regional offices at Raipur and Chandigarh.
Central Secretariat Services
The Central Secretariat has three services, namely: (i) Central Secretariat Service (CSS), (ii) Central Secretariat Stenographer ’s Service (CSSS) and (iii) the Central Secretariat Clerical Service (CSCS). The Central Secretariat Service Division in the Department of Personnel and Training is the cadre controlling authority in respect of these services. The Government had set up a Cadre Restructuring Committee on June 16, 2008: (i) to assess the magnitude of stagnation in various grades of CSS, (ii) to review the structure of the CSS and (iii) to suggest remedial measures—both short term and long term. The Committee has since submitted its report in November, 2008. The report was later on considered by the Committee of Secretaries on February 9, 2010. Reservation in Services Reservation in services under the Government of India is available to the Scheduled Castes (SCs) the Scheduled Tribes (STs), the Other Backward Classes (OBCs), the persons with disabilities and ex-servicemen. The quantum of reservation for SCs, STs and OBCs in direct recruitment on all- India basis by open competition is 15 per cent, 7.5 per cent and 27 per cent respectively. In direct recruitment on all-India basis other than by open competition, it is 16.66 per cent for SCs, 7.5 per cent for STs and 25.84 per cent for OBCs. In case of direct recruitment to Group ‘C’ and ‘D’ posts normally attracting candidates from a locality or a region, percentage of reservation for SCs and STs is generally fixed in proportion to their population in the respective states/union territories and for OBCs it is fixed keeping in view the proportion of their population in the concerned state/union territory and the fact that total reservation for SCs/ STs/OBCs remains within the limit of 50 per cent and reservation for OBCs remains within the limit of 27 per cent. The SCs and STs get reservation in promotion in all grades at the rate of 15 per cent and 7.5 per cent respectively when promotions are made by non-selection. In case of promotion by selection, reservation to SCs and
STs is available at the same rates upto the lowest rung of Group ‘A’.
Three per cent of vacancies in identified posts in direct recruitment are kept reserved for persons with disabilities in all Groups of posts. Reservation to persons with disabilities is also provided in case of promotion to Group ‘C’ and ‘D’ posts. Reservation is distributed equally amongst three categories of disabilities namely, blindness or low vision, hearing impairment, loco-motor disability or cerebral palsy.
Ten per cent of the vacancies in the posts of the level of Assistant Commandant in para-military forces, ten per cent of the vacancies in Group ‘C’ posts and 20 per cent of the vacancies in Group ‘D’ posts are reserved for the ex-servicemen.
Reservation for ex-servicemen and physically handicapped persons is termed as ‘horizontal’ reservation and reservation for SCs, STs and OBCs is termed as ‘vertical’ reservation. Guidelines exist explaining how the ‘horizontal’ reservation is to be adjusted against the ‘vertical’ reservation.
Articles 341 and 342 of the Constitution define as to who would be the SCs and the STs with respect to any state or union territory. A list of OBCs has also been prepared by the Government. Definition of ‘ex-servicemen’ for the purpose of getting reservation in services is contained in the Ex-servicemen (Re-employment in Civil Services and Posts) Rules, 1979 and conditions for reservation to persons with disabilities are derived from the Persons with Disabilities (Equal Opportunities, Protection of Rights and Full Participation) Act, 1995.
There is a general ban on de-reservation of vacancies reserved for SCs, STs and OBCs in the matter of direct recruitment. If some vacancies reserved for them could not be filled in a recruitment year, these are kept vacant and are treated as backlog reserved vacancies. The Government has been conducting Special Recruitment Drives to fill up such backlog vacancies, from time to time.
The progress of both the drives is being monitored at Joint Secretary Level in each