Guidelines for the Implementation of the Framework …...Planning Tools for the Situational or Diagnostic Analysis 2.1 Scenario Planning Scenario Planning is one of the tools, which

Guidelines for the

Implementation of the Framework

for Strategic and Annual

Performance Plans

Issued by the Department of Planning, Monitoring and Evaluation for

implementation by the national and provincial spheres of government.

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Table of Contents

PLANNING TOOLS ............................................................................................................. 3

1. Introduction ............................................................................................................... 3

2. Planning Tools for the Situational or Diagnostic Analysis ................................... 3

3. Planning Tools for the Development of Strategic Plans, Annual Performance

Plans and Operational Plans ................................................................................... 6

DEFINITIONS ....................................................................................................................... 8

1. Introduction ............................................................................................................... 8

2. General Concepts ..................................................................................................... 8

3. Planning Documents ................................................................................................ 8

4. Planning Concepts ................................................................................................... 9

5. Indicators ..................................................................................................................11

6. Targets ......................................................................................................................12

7. Reporting Documents .............................................................................................13

8. Programmes .............................................................................................................13

9. Budget Concepts and Documents .........................................................................14

10. Classification of Public Entities ..........................................................................15

FORMATS FOR STRATEGIC AND ANNUAL PERFORMANCE PLANS ..........................17

EXAMPLES .........................................................................................................................34

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PLANNING TOOLS

1. Introduction

This section provides tools that can be used by institutions at the different stages of the

planning process. Institutions should identify relevant tools, which will contribute to the

achievement of Results Based planning. The Theory of Change is one of the tools, which

enables thorough strategic logic achieving an identified change or impact on the society.

Various planning tools can be used at the different stages of planning to provide a

comprehensive view of the results chain and other factors such as assumptions and risks.

Some of the tools already used for planning in government include the Scenario Planning,

SWOT, PESTEL, Fishbone, Problem Tree, Solution Tree, Theory of Change, Logframe,

Balanced Score Card, Activity Based Costing, Programme Based Budgeting among others.

Institutions must use planning tools, which will result in planning for the achievement of

results, to support the Results Based methodology.

2. Planning Tools for the Situational or Diagnostic Analysis

2.1 Scenario Planning

Scenario Planning is one of the tools, which have been used in government, although it has

not been used as part of the planning process by institutions. This is a planning tool, which

can be used for medium to long term planning, or in preparation for the beginning a new

planning cycle. This tool is often appropriate for the development of a situational analysis or

diagnostic analysis.

Scenarios are tools, which assist in taking a long view of great uncertainties. Scenarios

provide for articulation of different pathways that may exist in future and potential movements

within each possible pathway; and can inform the adaptation of changing aspects within the

current environments. Scenario planning involves a process of “making choices currently,

with an understanding of how they might turnout in future”. Scenarios can inform decisions

about the future, and enable institutions to take a long view.

2.2 SWOT and PESTEL

SWOT and PESTEL are widely used and fairly well known planning tools. These tools are

used to identify the key external and internal factors, which should be taken into consideration

during a situational analysis process. SWOT and PESTEL highlight key issues relating to the

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context of a project, initiative, programme or organisation, which, if not identified and

addressed, could critically affect the chances of success.

SWOT analysis information can be summarised as:

Strengths Weaknesses

Include any kinds of capabilities or resources that

the organisation (and any partners and any active

stakeholders involved) can bring, in order to

achieve the desired result of the project, initiative,

programme or organisation.

For example; Political: power, influence,

connectedness, image and reputation; Economic

/ financial resources: skills, experience,

knowledge; qualifications, accreditation; and

Geographical advantages; among others.

Include existing gaps in capabilities or resources

in the implementing organisation(s).

For example: Weaknesses, which will take effect

in the future, such as, departure of key staff,

expiry of funds; Known vulnerabilities: things

which the organisation does not do well or

struggle with; among others.

Opportunities Threats

Are found in the operational context within which

the project, initiative or decision will be

implemented.

For example: Relationships or partnerships that

can be drawn upon; New information that has

become available; Practices adopted by other

organisations/actors in addressing similar

challenges; Potential funding sources; Possible

efficiency gains from re-allocation of resources;

among others.

Include events or trends that could threaten the

project/initiative or that put progress at risk:

Political, economic, social, technological,

environmental, legal.

For example, Risks and disadvantages that would

be incurred by a given initiative/action under

consideration; Time, including disappearing

opportunities, deadlines, unrealistic timelines;

Opportunities.

PESTEL analysis information can be summarised as:

Political factors Government policies: National, provincial, local; Government resource

allocations; Changes in power, influence, connectedness of key relevant

actors/groups; Expected direction of future political change; among others.

Economic factors Economic situation: local, national, regional, global; Financial situation of key

stakeholders or other relevant entities; Availability of private sector resources

relevant for the project/initiative; Expected direction of economic change;

among others.

Social factors Demographics and population trends; Education levels; Access to essential

services; Public perceptions; Knowledge, attitudes and practices of a

particular population group; among others.

Technological factors Population groups’ access to technologies; New technologies that could affect

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the context significantly, or that could be used to achieve objectives; Potential

for innovation; among others.

Environmental factors Contextually relevant environmental issues; Environmental impacts of planned

or ongoing activities; Relevant environmental regulations or requirements;

trends or expected future developments in the environment; among others.

Legal factors Human rights; existing legislation having an impact on other factors, or

affecting population groups, or the work of the institution; international

agreements; among others.

2.3 Fish Bone

Fish Bone tool is a cause and effect analysis method used to identify the likely cause of the

problem. A Fish Bone diagram identifies many possible causes for an effect or problem. It

can be used to structure a brainstorming session.

The Fish Bone tool is used to analyse the cause and effect of a problem. It seeks to identify

factors, which do not contribute to the core problem; eliminating the problems beyond an

institution’s control; deciding on the most important problems to solve; deciding on

information gaps which require research; and designing a solution.

2.4 Problem and Solution Tree Analysis

Problem Tree tool, sometime referred to as a problem analysis, facilitates finding solutions

by mapping out the structure of the problem. It looks up-stream at causes and determinants

and downstream at consequences and effects. Once completed, the Problem Tree can be

translated into a Solution Tree.

A problem tree identifies the focal problem, related consequences and the root causes. The

identified consequences can be divided into cause and effect logic. Problem tree steps

include:

a) Settle on a core problem: Identify the core problem or challenge that should be

overcome.

b) Identify the Causes and Effects: Once the core problem has been identified, the next

step is to consider what the direct causes of the problem are. These causes become

the roots of the tree.

c) Link Causes and Effects: Review the sequence of causes and effects to make sure

that they are clear and make logical sense.

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The Solution Tree tool seeks to provide solutions to address the problems identified in the

Problem Tree analysis. The solution tree can be developed by applying the following steps:

a) Revise Negative Statements: Revise the negative statements from the problem tree

into positive ones where the ‘challenge’ has been resolved. This is to be done for the

core problem, causes and effects.

b) Rewrite into possible solutions: Write positive causes into possible solutions that can

be used to achieve outcomes that were identified. The positive causes provide several

separate or linked suggestions to solutions to solve the problem /challenge.

c) Identify positive solutions: Solutions are to be brainstormed and available information

reviewed to determine more influential solutions. This is required as selected solutions

may not all be feasible because of financial and other resource constraints.

3. Planning Tools for the Development of Strategic Plans, Annual

Performance Plans and Operational Plans

3.1 Theory of Change

A Theory of Change explains the process to reach a commonly understood impact. The

process requires stakeholders to be precise about the type of changes they want to achieve.

It should be clear why change is expected to happen in a particular way. Once the results

chain is developed, the impact and outcomes should be reflected in the strategic plan; the

outputs should be reflected in the annual performance plan; and activities should be reflected

in the operational plan.

The Theory of Change is one of the tools, which can be used to determine the pathway to

achieving desired results. Institutions can also use planning tools other than the Theory of

Change to support the Results Based methodology. Elements of a Theory of Change include

the pathway of change, results and preconditions (impact, outcomes, outputs, activities, and

inputs), indicators and assumptions.

3.2 Logframe

A Logframe is a tool for improving the planning, implementation, management, monitoring

and evaluation of a programme.

A Logframe provides a structure of the impact, outcomes, outputs, activities and inputs as

the full results chain and highlights the logical linkages between them. Indicators, baselines

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and targets at each level of the results chain are developed to measure the progress towards

achieving the desired results. Assumptions and risks also underlie the logframe. Indicators

and targets developed through the logframe are reflected in the strategic plans, annual

performance plans and operational plans.

3.3 Balanced Score Card

The Balanced Score Card is a strategic planning and management tool that is used to align

the functions of an institution to its vision and strategy, improve internal and external

communications, and monitor institutional performance against predetermined results.

The Balanced Score Card suggests that the organization can be viewed from four

perspectives, and develop metrics, collect data and analyse it relative to each of these

perspectives. The four perspectives include: learning and growth, business process,

customer, and finances as reflected in table 1 below.

Balanced Scorecard Perspectives

Customer perspective Management must know if the institution is complying with set

legislation, policy, and regulatory directives.

Financial perspective Focus on how to achieve processes and programmes in an economic

and efficient manner.

Internal process perspective Focus on critical operations that enable satisfaction of citizens and

community needs.

Learning and growth

perspective

Institutions ability to maintain continuous improvement.

3.4 Activity Based Costing

Activity Based Costing is an approach to the costing and monitoring of activities, which

involves tracing resource use and costing final outputs. Resources are assigned to activities,

and the cost of activities is based on the estimated performance of activities. Cost drivers are

utilised to attach activity costs to outputs.

Activity Based Costing can be used by institutions during operational planning. The costs of

activities within subprogrammes are aggregated and can add up to subprogramme output

costs. However, some activities and outputs cut across subprogrammes and programmes.

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DEFINITIONS

1. Introduction

The purpose of providing definitions of concepts is to ensure standardisation, consistency

and common understanding among all stakeholders. The definition of concepts will also

minimise different interpretations by the users of the Framework, reduce confusion and

ensure transparency and usability of the Framework by the various stakeholders. The

concepts reflected in the different chapters of this Framework are defined below:

2. General Concepts

2.1. Institution(s)

Institution means a department, a constitutional institution, a public entity listed in Schedules

3A and 3C of the Public Finance Management Act, or a government component.

3. Planning Documents

3.1. Strategic Plan

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

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

institution. It identifies the impact and outcomes against which institutions can be measured

and evaluated by Parliament, provincial legislatures and the public. Strategic Plans span over

a five-year planning horizon subsequent to an election year.

3.2. Integrated Development Plans (IDP)

The Integrated Development Plan (IDP) is a five-year plan which local government is required

to compile to determine the development needs as well as fulfil the developmental mandate

the of the municipality. It is reviewed annually to adjust to the changing socio-economic,

infrastructural and environmental dynamics and the needs of the communities. The IDP

guides and informs all planning and development initiatives within a municipality, and forms

the basis of the Medium Term Revenue & Expenditure Framework (MTREF).

3.3. Service Delivery and Budget Implementation Plan (SDBIP)

SDBIP is a detailed plan approved by the mayor of a municipality to implement the

municipality’s planned service delivery and its annual budget. It indicates projections for each

month in terms of revenue to be collected by source and operational and capital expenditure

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by vote; the service delivery targets and performance indicators for each quarter; and any

other matters that may be prescribed.

3.4. Annual Performance Plan

An Annual Performance Plan identifies the outputs, output indicators and targets that the

institution will seek to achieve in the upcoming financial year, aligned to the outcomes

reflected in the Strategic Plan. It includes forward projections (annual targets) for a further

two years, consistent with the Medium Term Expenditure Framework (MTEF) period, with

annual and quarterly performance targets, where appropriate, for the financial year.

3.5. Sector Plans

These are plans for which national ministers of concurrent function departments in

consultation with provincial MECs agree on the impacts, a set of outcomes and outputs, which

must be achieved by sectors.

3.6. Cluster Plans

National departments within the same clusters can be expected to collaborate to develop a

coherent set of outcomes and outputs to be achieved by the clusters, aligned to cluster

priorities.

3.7. Annual Operational Plan

An Annual Operational Plan outlines the activities and budgets for each of the outputs and

output indicators reflected in the Annual Performance Plan. In addition, Annual Operational

Plans include operational outputs, which are not reflected in the Annual Performance Plan.

Operational plans can be developed for an institution and for branches or programmes within

an institution.

4. Planning Concepts

4.1. Performance Information

Performance information includes planning, budgeting, implementation, monitoring, reporting

and evaluation elements, which are key to effective management. Performance information

indicates how well an institution performs towards the achievement of its results. This

information is vital in enhancing transparency, accountability and oversight.

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4.2. Pathway of Change

Pathway of change is a map that illustrates the relationship between actions and outcomes.

Each step of the results chain is reflected on the map and should lead to the achievement of

the outcomes and impact.

4.3. Impact(s)

Impacts are changes in conditions. These are the results of achieving specific outcomes,

such as reducing poverty and creating jobs. Impacts seeks to answer the question of “what

do we aim to change”.

4.4. Outcome(s)

The medium term results for specific beneficiaries which are the consequence of achieving

specific outputs. Outcomes are "what we wish to achieve", institutional and behavioural

changes in development conditions that occur between completion of outputs and

achievement of affect changes in the performance of institutions.

4.5. Outputs

The final products, or goods and services produced for delivery. Outputs may be defined as

"what we produce or deliver". Outputs are also the building blocks towards the desired

outcomes.

4.6. Activities

These are processes or actions which use a range of inputs to produce the desired outputs

and ultimately outcomes. In essence, activities describe "what we do".

4.7. Inputs

These are the resources which contribute to the production and delivery of outputs. Inputs

are "what we use to do the work". They include finances, personnel, equipment and buildings.

4.8. Assumptions

Assumptions are factors that are accepted as true and certain to happen without proof.

4.9. Risks

A potential, unwanted outcome that will affect the achievement of an institution’s

predetermined results and service delivery.

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5. Indicators

5.1. Indicator

An indicator is a predetermined signal that a specific point in a process has been reached or

result achieved. It should include a unit of measurement that specifies what is to be measured

along a scale or dimension but does not indicate the direction or change. In addition,

indicators can be qualitative or quantitative measures.

5.2. Qualitative indicators

Qualitative indicators are descriptive criteria or categories of measurement. These indicators

reveal whether a certain situation is present or not, for instance, whether a law had been

passed, an institution set up, a new policy implemented, a citizens’ assessment of whether a

project’s services are excellent, satisfactory or poor.

5.3. Quantitative Indicators

These are expressed in terms of amounts, numbers, ratios, percentages, and measurement

of these give a numerical value that can be easily compared to targets to assess

performance.

5.4. Proxy indicators

Proxy indicators are used when results cannot be measured directly. A proxy indicator aims

to provide an indication of achieved performance in a specific area.

5.5. Standardised (Sector) indicators

Standardised indicators refer to a core set of indicators that have been developed and agreed

to by all provincial institutions within a sector with their national institutions. The standardised

indicators are approved by provincial Accounting Officers, incorporated in the Annual

Performance Plans of provincial institutions and form the basis for quarterly and annual

performance reporting process.

5.6. Consolidated indicators

Data that is consolidated by national or provincial institutions from implementing institutions

to present a holistic view of a sector’s performance.

5.7. Statistical indicators

Statistical indicators provide contextual information about a sector, they do not measure

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performance but rather reflect statistical or latest available information for the sector.

5.8. Demand driven indicators

Demand driven indicators are measures of efficiency for services provided by institutions

against the demand from service beneficiaries.

5.9. Technical Indicator Description (TID)

The description of impact, outcome and output indicators and targets to outline data collection

processes, gathering of portfolio of evidence, acceptable level of performance at the

beginning of the planning cycle.

6. Targets

6.1. Targets

Targets are the score an institution would like to achieve and must be time bound and

achievable. Targets must be SMART.

6.2. SMART

An acronym used to define the set of criteria for selecting performance targets: S-specific;

M-measurable; A-achievable; R-relevant; T-time-bound.

6.3. Cumulative and non-cumulative targets (Check QPR Guidelines)

6.3.1. Cumulative (Year-End)

The annual target is disaggregated into quarterly targets. Each quarter's target is reflected

for a particular quarter. The annual target is an aggregation of all the quarters' targets.

Therefore, each quarter's performance is reflected in a particular quarter. Annual

performance is an aggregation of all the quarters' performance.

6.3.2. Cumulative (Quarter-to-Date)

The annual target should be disaggregated into quarterly targets. The previous quarters'

target must be added to the next quarter to eventually add up to the annual target. Reporting

therefore, should reflect aggregated performance from the beginning of the financial year up

to the quarter being reported.

6.3.3. Non-Cumulative

The annual target cannot be disaggregated into quarterly targets. The annual target (which

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is the same as quarterly target(s)) can either be reflected for each quarter or reflected as a

target for a particular quarter, or as a stand-alone annual target). Where the same target is

reflected throughout the financial year then the reported output as prescribed by the Indicator

Administration table will be used as the annual output. If an annual target is reflected for a

particular quarter, then the output reported for that quarter will be used as the annual output.

6.4. Baseline

The current level of performance that the institution aims to improve.

7. Reporting Documents

7.1. Reviews (Mid/End-term)

Reviews are periodic or ad hoc assessment of performance against the strategic plan.

Reviews are often conducted internally by an institution.

7.2. Quarterly Performance Reports

Quarterly performance reports provide progress on the implementation of an institutions’

Annual Performance Plan, with particular reference to monitoring delivery against quarterly

performance targets. The reports enable the accounting officer to indicate measures that will

be taken to ensure that the implementation of the Annual Performance Plan remains on track.

7.3. Annual Report

An annual report is the end of year non-financial and financial performance report which

include the Auditor-General of South Africa’s opinion on an institution’s performance.

8. Programmes

8.1. Budget programme

It is a main division within a department’s budget that funds a clearly defined set of objectives

based on the services or functions within the department’s constitutional and legislative

mandates. It also constitutes a management unit established within a department responsible

for the delivery of that defined set of services and functions. The term programme is confined

to the functional divisions created within the context of the budget and designated as a

“programme” in the budget estimates, that is, main division in terms of Section 27(3)(b) of the

PFMA.

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8.2. Budget Subprogramme

Is a constituent part of a programme, that defines the services or activities which contribute

to the achievement of the objective(s) of the programme of which it forms a part. Some of the

defined services or activities could include key projects identified by a department.

8.3. Implementation Programme

An intervention that is directed towards the achievement of specific policy aims. An

implementation programme encompass several different projects and may cut across

institutions or spheres of government. Implementation programmes have a plan, clear

delivery milestones and an indicative budget. It addresses coherent areas of work which are

usually at a lower level than the budget programmes or sub-programmes.

8.4. Project

A project is a single intervention directed towards the attainment of institutional priorities, with

a fixed time schedule and a dedicated budget.

9. Budget Concepts and Documents

9.1. Medium Term Expenditure Framework (MTEF)

The MTEF is a budgeting framework which translates government policies and plans

(national, provincial and local governments) into a three year rolling spending plan. The

MTEF promotes transparency, accountability and effective public financial management and

it is published at the time of the national budget by the National Treasury.

9.2. Estimates of National Expenditure (ENE)

The ENE is a publication that provides comprehensive information on how national

departments and entities have spent their budgets in the past, how they plan to spend their

budgets in the future, and on resources generated. Information is provided for the past three

financial years, the current financial year, and for the next three financial years that are

referred to as the Medium Term Expenditure Framework (MTEF) period.

9.3. Estimates of Provincial Revenue and Expenditure (EPRE)

A summary of spending and performance plans of provincial departments and entities, three-

year receipt and payment estimates, policy developments, infrastructure expenditure

information, a review on past performance and future trends.

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10. Classification of Public Entities

10.1. Schedule 1: Constitutional Institutions: organisations established in terms of Chapter

9 of the South African Constitution.

10.2. Schedule 2: Major Public Entities

10.3. Schedule 3A: National Public Entity means a national government business enterprise;

or a board, commission, company, corporation, fund or other entity (other than a

national government business enterprise) which is established in terms of national/

provincial legislation and is fully or substantially funded either from the National /

Provincial Revenue Fund, or by way of a tax, levy or other money imposed in terms of

national legislation and is accountable to Parliament.

10.4. Schedule 3B: National Government Business Enterprises means an entity which is a

juristic person under the ownership control of the national executive and has been

assigned financial and operational authority to carry on a business activity as its

principal business, provides goods or services in accordance with ordinary business

principles and is financed fully or substantially from sources other than the National

Revenue Fund or by way of a tax, levy or other statutory money.

10.5. Schedule 3C: Provincial Public Entity means a provincial government business

enterprise; or a board, commission, company, corporation, fund or other entity (other

than a provincial government business enterprise) which is established in terms of

provincial constitution and is fully or substantially funded either from the Provincial

Revenue Fund, or by way of a tax, levy or other money imposed in terms of legislation

and is accountable to provincial legislature.

10.6. Schedule 3D: Provincial Government Business Enterprises means an entity which is a

juristic person under the ownership control of the provincial executive and has been

assigned financial and operational authority to carry on a business activity as its

principal business, provides goods or services in accordance with ordinary business

principles and is financed fully or substantially from sources other than the Provincial

Revenue Fund or by way of a tax, levy or other statutory money.

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10.7. Government Component: means a national government component listed in Part A of

schedule 3 to the Public Service Act, 1994

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FORMATS FOR STRATEGIC AND ANNUAL PERFORMANCE

PLANS

1. Format for the Strategic Plan

Name of Institution

Strategic Plan for

20XX – 20YY

Date of Tabling

[Institution’s Logo]

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Executive Authority Statement

This statement provides for an Executive Authority to clearly set out the policy priorities that

have guided the development of the Strategic Plan for a particular planning period. The

Executive Authority is responsible for ensuring that the policy priorities set out in the plan are

aligned to the mandate of the institution and government’s priorities. The Executive Authority

is also responsible for providing direction on the development and implementation of strategic

priorities and policies.

The Executive Authority should also use this statement to endorse the Strategic Plan and

indicate the commitment to ensuring its implementation.

XXXX (signature)

Executive Authority of [Name of Institution]

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Accounting Officer Statement

This statement provides for the Accounting Officer to outline an overview of the institution

and its vision. The statement should provide information about the overall focus during the

previous planning period and the key accomplishments of the institution during this period.

The statement should provide information on the institution’s strategic focus for the next

planning period ahead.

The Accounting Officer should also use this statement to make relevant acknowledgements

and indicate the institution’s commitment to the implementation of the Strategic Plan.

XXXX (signature)

Accounting Officer of [Name of Institution]

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Official Sign-Off

It is hereby certified that this Strategic Plan:

Was developed by the management of the [Name of Institution] under the guidance of

[Name of the Executive Authority]

Takes into account all the relevant policies, legislation and other mandates for which

the [Name of Institution] is responsible.

Accurately reflects the Impact, Outcomes and Outputs which the [Name of Institution]

will endeavour to achieve over the period [years covered by the plan].

[Fill in name] Signature: ___________________________

Chief Financial Officer


[Head Official responsible for Planning]


Accounting Officer

Approved by:


Executive Authority

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Part A: Our Mandate

1. Constitutional mandate

2. Legislative and policy mandates

3. Institutional Policies and Strategies over the five year planning period

Part B: Our Strategic Focus

4. Vision

5. Mission

6. Values

7. Situational Analysis

7.1. External Environment Analysis

7.2. Internal Environment Analysis

Part C: Measuring Our Performance

8. Institutional Performance Information

8.1. Measuring the Impact

Impact statement

8.2. Measuring Outcomes

Outcome Outcome Indicator Five year target

8.3. Explanation of Planned Performance over the Five Year Planning Period

The following key issues must be overs in the narrative:

a) The contribution of outcomes towards the achievement of the NDP Five-Year

Implementation Plan, the Monitoring Framework for the NDP Five Year

Implementation Plan, priorities of women, children and people with disabilities,

provincial priorities, and the mandate of the institution.

b) The rationale for the choice of the outcome indicators relevant to the respective

outcomes.

c) Explanation of enablers to achieve the five-year targets.

d) Explanation of the outcomes contribution to the achievement of the impact.

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9. Key Risks

Outcome Key Risk Risk Mitigation

10. Public Entities

Name of Public Entity Mandate Outcomes

Current Annual

Budget (R thousand) Date of Next Evaluation

Part D: Technical Indicator Description (TID)

Indicator Title Title of the indicator verbatim from the strategic plan

Definition The meaning of the indicator

The explanation of technical terms used in the indicator

Source of data Where the information is collected from

The process that is used to collect the information

Method of Calculation /

Assessment

How the performance is calculated (quantitative)

How the performance is assessed (qualitative)

Assumptions Factors that are accepted as true and certain to happen without proof

Reporting Cycle Annual

Indicator Responsibility Who is responsible for managing or reporting on the indicator

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2. Format for the Annual Performance Plan

Name of Institution

Annual Performance Plan for

20XX/YY

Date of Tabling


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Executive Authority Statement

This statement provides for an Executive Authority to clearly set out the policy priorities that

have guided the development of the Annual Performance Plan for a particular financial year.

The Executive Authority is responsible for ensuring that the policy priorities set out in the plan

are aligned to the Strategic Plan, the institution’s mandate and government’s priorities. The

Executive Authority is also responsible for providing direction on the development and

implementation of strategic priorities and policies.

The Executive Authority should also use this statement to endorse the Annual Performance

Plan and indicate the commitment to ensuring its implementation.

XXXX (signature)

Executive Authority of [Name of Institution]

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Accounting Officer Statement

This statement provides for the Accounting Officer to outline an overview of the institution

and its vision. The statement should provide information about the overall focus during the

previous financial year and the key accomplishments of the institution during this period.

The statement should provide information on the institution’s strategic focus for the next

financial year and the medium term period ahead.

The Accounting Officer should also use this statement to make relevant acknowledgements

and indicate the institution’s commitment to the implementation of the Annual Performance

Plan.

XXXX (signature)

Accounting Officer of [Name of Institution]

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Official Sign-Off It is hereby certified that this Annual Performance Plan:


[Name of the Executive Authority]


the [Name of Institution] is responsible

Accurately reflects the Impact, Outcomes and Outputs which the [Name of Institution]

will endeavour to achieve over the period [years covered by the plan].






Accounting Officer

Approved by:


Executive Authority

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Part A: Our Mandate

1. Updates to the relevant legislative and policy mandates

2. Updates to Institutional Policies and Strategies


3. Updated Situation Analysis

3.1. External Environment Analysis

3.2. Internal Environment


4. Institutional Programme Performance Information

Programme:

Purpose:

Sub-Programme (If Applicable):

Purpose:

Outcomes, Outputs, Performance Indicators and Targets

Outcome Outputs Output

Indicators

Annual Targets

Audited /Actual Performance

Estimated Performance MTEF Period

20XX/XX

20XX/XX

20XX/XX 20XX/XX

20XX/XX

20XX/XX

20XX/XX

Indicators, Annual and Quarterly Targets

Output Indicators Annual Target Q1 Q2 Q3 Q4

5. Explanation of planned performance over the medium term period

The following key issues must be overs in the narrative:

a) The contribution of outputs towards achieving the outcomes and impact in the

Strategic Plan aligned to the mandate of the institution; as well as the achievement of

priorities of women, children and people with disabilities.

b) Explanation of planned performance in relation to outputs must be discussed within

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budget programmes The rationale for the choice of the outcome indicators relevant to

the respective outcomes.

c) Explanation of the outputs contribution to the achievement of the outcomes.

6. Programme Recourse Considerations

Table: Budget Allocation for programme and subprogrammes.

Narrative: Explanation of the contribution of resources towards achievement of outputs.

7. Key Risks

Outcome Key Risk Risk Mitigation

8. Public Entities

Name of Public Entity Mandate Outcomes

Current Annual

Budget (R thousand) Date of Next Evaluation

9. Infrastructure Projects

No.

Project

name Programme

Project

description Outputs

Project

start

date

Project

completion

date

Total

Estimated

cost

Current

year

Expenditure

10. Public Private Partnerships

PPP Purpose Outputs

Current Value of

Agreement

End Date of

Agreement

29 | P a g e

Part D: Technical Indicator Descriptions (TID)

Indicator Title Title of the indicator verbatim from the Programme plan

Definition The meaning of the indicator

The explanation of technical terms used in the indicator

Source of data Where the information is collected from

The process that is used to collect the information

Method of

Calculation /

Assessment

How the performance is calculated (quantitative)

How the performance is assessed (qualitative)

Means of verification The portfolio of evidence required to verify the validity of data

Assumptions Factors that are accepted as true and certain to happen without proof

Calculation Type Cumulative (Year- End)

Cumulative (Year-to-Date)

Non-Cumulative

Reporting Cycle Each Quarter, Bi-Annual or Annual

Indicator

Responsibility

Who is responsible for managing or reporting on the indicator

30 | P a g e

Annexures to the Annual Performance Plan

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

where applicable:

Annexure A: Amendments to the Strategic Plan

Prove details of the revisions to the approved Strategic Plan with reasons for the revisions.

These should be consistent with the Format for the Strategic Plan in the area where the

amendment has been made.

Annexure B: Conditional Grants

PPP Purpose Outputs

Current Value of

Agreement

End Date of

Agreement

Annexure C: Consolidated Indicators

Institution Outputs Output Indicator Target Data Source

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3. Format for the Annual Operational Plan

Name of Institution

Annual Operational Plan for

20XX/YY

Date of Approval


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Official Sign-Off

It is hereby certified that this Annual Operational Plan:


[Name of the Accounting Officer]


the [Name of Institution] is responsible

Accurately reflects performance information which the [Name of Institution] will

endeavour to achieve as committed to in the Annual Performance Plan [Financial year

of the Annual Performance Plan].






Accounting Officer

33 | P a g e

Our Operations

Programme:

Purpose:

Sub-Programme (If Applicable):

Purpose:

Activities, Timeframes and Budgets

Output:

Output

Indicator

Annual

Target

Quarterly

Target Activities Timeframe

Budget per

Activity Dependencies Responsibility

34 | P a g e

EXAMPLES

Below are some examples1 of key planning concepts which have been illustrated through the

context of randomly selected or hypothetical institutions. This chapter aims to illustrate the

following:

a) an example of one result chain being translated into the logical framework

b) an example of a technical indicator description

c) an example of integrated sector planning

d) an example of a service delivery plan

e) an example of an operational plan

1. Strategic Plan

Example: Department of Agriculture, Forestry and Fisheries.


Vision

United and transformed agriculture, forestry and fisheries sector that ensures food security

for all and economic prosperity

Mission

Advancing food security and transformation of the sector through innovative, inclusive and

sustainable policies, legislation and programmes.

Values

Drive: driven to deliver excellent service through leadership and professionalism

Attitude: being an ambitious, passionate, reliable and dedicated workforce

Fairness: acting with objectivity, empathy, integrity and transparency

Focus: focusing on people, economic and rural development

1 All information provided in these examples are hypothetical and are for illustration purposes only.

35 | P a g e

Part C: Measuring our Performance

Institutional Performance Information

Impact

A food secure South Africa.

Outcomes

Programme 3: Food Security and Agrarian Reform

Purpose: Facilitate and promote food security and agrarian reform programmes and

initiatives.

Outcome Outcome Indicator 5 year target

A transformed agricultural sector

Percentage of black commercial farmers (%)

30%

South Africa is a net exporter of agricultural products

Net agricultural food trade (R) R 11b

Increased agro-processing capacity

Annual growth in agro-processing production (%)

2% p.a.

Part D: Technical Indicator Descriptions

Indicator Title Percentage of black commercial farmers (%)

Definition This indicator measures the percentage of black commercial farmers that are

actively farming in South Africa.

Source of data National Farmer Database

Method of Calculation

/ Assessment

Total number of black commercial farmers / Total number of commercial

farmers x 100/1

The final figure is reflected as a percentage (%).

Assumptions The data stored in the National Farmer Database is reliable, valid and

timely

Reporting Cycle Annual

Indicator

Responsibility

Programme Manager

2. Annual Performance Plans Example: Department of Agriculture, Forestry and Fisheries.

36 | P a g e


Institutional Programme Programme Information


Purpose: Facilitate and promote food security and agrarian reform programmes and

initiatives.

Outcomes, Outputs, Performance Indicators and Targets

Outcome Outputs

Output Indicators

Annual Targets

Audited /Actual Performance

Estimated Performan

ce MTEF Period

20XX/XX 20XX/XX 20XX/XX 20XX/XX 20XX/XX 20XX/XX 20XX/XX

A transformed agricultural sector

Impact Evaluation on the Comprehensive Agricultural Support Programme (CASP) conducted

Recommendations from the Impact Evaluation for CASP are implemented

- - - - Impact Evaluation on the Comprehensive Agricultural Support Programme (CASP) conducted

Impact Evaluation Report ratified by Cabinet

Recommendations from the Impact Evaluation for CASP implemented

5000 black smallholders farmers graduating to commercial farmers

Number of black smallholder farmers graduating to commercial farmers

480 590 620 850 1000 1000 1000

1000 black subsistence farmers graduating to small

Number of black subsistence farmers graduating to smallholder farmers

120 120 120 180 250 250 250

Performance Indicators, Annual and Quarter Targets


Recommendations

from the Impact

Evaluation for CASP

are implemented

Impact Evaluation on

the Comprehensive

Agricultural Support

Programme (CASP)

conducted

- - - Impact Evaluation on

the Comprehensive

Agricultural Support

Programme (CASP)

conducted

37 | P a g e


Number of black

smallholder farmers

graduating to

commercial farmers

1000 350 250 200 200

Number of black

subsistence farmers

graduating to

smallholder farmers

250 50 100 200 250

Private-Public Partnerships

PPP Purpose Outputs

Current Value of

Agreement

End Date of

Agreement

Food Security Project –

UKZN

Research

study

Impact evaluation of three food security

interventions

R 500 000 20XX/YY

Public Entities

Name of Public Entity Mandate Outputs Current annual budget

(R 000)

Date of next

evaluation

Agricultural Research

Council (ARC)

The ARC’s primary

mandate, in terms of the

Agricultural Research Act

86 of 1990 (as amended by

Act 27 of 2001), is to

conduct research and

development, and effect

the transfer of technology

in order to promote

agriculture and industry

General knowledge

Develop human capital

and foster innovation in

agriculture through

technology development

and dissemination

Commercialisation of

research results

R 800 000 20XX/YY

Infrastructure Plans

No

Project Name

Programme Municipality

Project description

/ Type of Structure

Outputs Estimated

Project Cost

(R 000)

Expenditure to date (If

any) (R 000)

Project Duration

Start Finish

1. New and Replacement Assets

a Drilling Programme 3: Food Security and Agrarian Reform

n/a Boreholes 120 boreholes a year

30 000

- 20XX/YY

20YY/ZZ

Total New and Replacement Assets 30 000

-

2. Maintenance and Repairs

a Cape Town

Programme 1: Administration n/a Office Maintenance 300 100 20XX/YY

20YY/ZZ

Total Maintenance and Repairs 300 100

3. Upgrades and Additions

a Skukuza

Programme 2: Agricultural Production, Health and Food Safety

n/a Building Upgrade 2 400 2 400 20XX/YY

20YY/ZZ

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Total Upgrades and Additions 2 400

2 400

4. Rehabilitations, Renovations and Refurbishments

a Durban

Programme 2: Agricultural Production n/a Quarantine station

Rehabilitations

6 000 6 000 20XX/YY

20YY/ZZ

Total Rehabilitations, Renovations and Refurbishments 6 000

6 000

Part D: Technical Indicator Descriptions

Performance Indicators

Indicator Title Number of black smallholder farmers graduating to commercial farmers

Definition This indicator measures the number of black smallholder farmers which have

graduated into commercial farmers. A smallholder farmer is a producer who

produces food for home consumption, as well as sell surplus produce to the

market. A commercial farmer is a producer who produces agricultural

products intended for the market, usually registered for value-added tax (VAT)

and income tax.

Source of data National Farmer Database

Method of Calculation Sum of the number of black commercial farmers who have graduated from

smallholder farmer category in a financial year

Assumptions The data stored in the National Farmer Database is reliable, valid and

timely

Calculation Type Cumulative (Year End)

Reporting Cycle Quarterly

Indicator Responsibility Programme Manager

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Annexures

Statistical Indicators

Performance Indicator Baseline Source Financial year

Total Value of exports R 108 901,5m Customs and Excise 2015

Gross value of agricultural production R 225 232,2m Statistics and Economic Analysis, DAFF 2014/15

Net farm income of the agricultural sector R 78 041,9 m Statistics and Economic Analysis, DAFF 2014/15

Conditional Grants

Name of grant Comprehensive Agricultural Support Programme (CASP)

Purpose To provide post settlement support to targeted beneficiaries of land reform and redistribution and other producers

who have acquired land through private means and are engaged in value-adding enterprises domestically, or

involved in export

Performance Indicators • Number of subsistence, smallholder and black commercial farmers supported through CASP

• Number of youth and women farmers supported through CASP

• Number of CASP beneficiaries of trained in farming methods, etc.

• Number of CASP beneficiaries of accessing markets

• Number of jobs created

• Number of extension personnel recruited and maintained in the system

• Number of extension officers upgrading qualifications at various institutions

• Agricultural Information Management System implemented in 9 provinces

• Number of ha of land ploughed and planted

Date of Next Evaluation 20XX/YY – Implementation Evaluation

Motivation It is not sufficient to provide prospective farmers with land and even capital alone; they must be empowered to

manage their businesses effectively and profitably in a competitive and often hostile environment and as such the

CASP and the Ilima / Letsema grants serve as the launching pad for smallholder farmers with a comprehensive

support package

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3. Annual Operational Plan

Our Operations


Activities, Timeframes and Budgets

Output: Indicators Annual

Target

Quarterly

Target

Activities Timeframe Budget per

activity (R

000)

Dependenc

ies

Responsibi

lity

Impact

Evaluation

on the

Comprehen

sive

Agricultural

Support

Programme

(CASP)

conducted

Recommen

dations

from the

Impact

Evaluation

for CASP

are

implemente

d

Impact

Evaluation

on the

Comprehen

sive

Agricultural

Support

Programme

(CASP)

conducted

Q4 - Impact

Evaluation

on the

Comprehen

sive

Agricultural

Support

Programme

(CASP)

conducted

Complete

the Terms

of

Reference

for the

Evaluation

Apr 20XX - SCM Deputy

Director

Sign MoU

with partner

agencies

May 20XX - Agencies,

Other

department

s, Provincial

department

s

Director

Conduct

Evaluation

May - Sep

20XX

3 000 Agencies,

Other

department

s, Provincial

department

s,

beneficiarie

s

Director,

Agencies

Consult

stakeholder

s to validate

evaluation

findings

Sep – Nov

20XX

500 Agencies,

Other

department

s, Provincial

department

s

Director

Complete

Evaluation

Report

Jan 20YY 40 Agency

offices

Deputy

Director

Evaluation

Report

Approval

Mar 20YY - Office of the

DG

Director