UNITED NATIONS DEVELOPMENT PROGRAMME (UNDP)

AND

AFRICAN UNION

CONSULTANCY TO PREPARE A GUIDE ON PERFORMANCE MANAGEMENT

AND EVALUATION IN PUBLIC SERVICE INSTITUTIONS IN AFRICA

INCEPTION REPORT

BY

Gelase Mutahaba, PhD

Professor of Public Administration

Department of Political Science and Public Administration

University of Dar es Salaam

Tanzania

September 2010.

i

Table of contents

Abbreviations/ Acronyms..................................................................................................…..........i

Table of contents...............................................................................................................…..........ii

1. Introduction. ........................................................................................................................…...1

2. Comments on ToR...............................................................................................................…...2

3. Detailed Methodology, Approach to the Consultancy and Timelines..................................…...2

3.0 Preparation of the Inception Report…………………………………………………………..3

3.1 A Review of the Literature on Performance Management………………………….………..4

3.2 Review of Adoption and Use of performance management

Framework/systems by African countries .........................................................................…...4

3.3 In Depth Review of PMS Use in Selected Member Countries………………………….…...4

3.4 Write Up of the Zero Draft of the Report on the State of Implementation

of PMS in Africa including the Guide……….…………………………………………..….4

3.5 Production of the First Draft………………………………………………………………....4

3:6 Production of the Final Report..........................................................................................…...4

4. Concept Note on Performance Management in Public Service Institutions in Africa ……...5

Annexes

ii

LIST OF ABBREVIATIONS

AU African Union

CAMPS Conference of African Ministers of Public Services

ROM Result Oriented Management

PMS Performance Management Systems

TOR Terms of Reference

UNDP United Nations Development Program

1

Inception Report on Consultancy to Prepare a Management Guide on Performance

Management Systems

Introduction

UNDP contracted me to prepare a management guide on Performance Management systems to

be used by African Union member countries in improving the efficiency and effectiveness of

their public service organizations. The assignment is to be undertaken between 7th September

and 18th

November 2010. The agreed consultancy days are 42.

The Terms of Reference as provided by the client and revised during the inception meeting that

was held in Maputo, Mozambique on 6th and 7

th September, 2010 are attached to this report as

Annex1. In summary, the Consultant is to document global practices on performance

management, produce a report on the extent to which African countries are adopting

performance management systems in their public services, identify good practices and lessons

that can be emulated across Africa and more specifically develop a Management Guide on

Performance Management that AU member countries can use in implementing PMS frameworks

at country level.

One of the provisions of the TOR is a requirement enjoining the Consultant to produce an

Inception Report seven days from the signing of the contract. At the Maputo Inception meeting

this requirement was amended to read that the report was to be submitted by 15th September

2010. This report is intended to fulfill that requirement.

The report consists of five sections. Section1, which has just been concluded, constitutes the

introduction; Section 2 consists of the consultant’s comments on the TOR; section 3 the

consultant outlines the approach and methodology to be used in undertaking the assignment,

based on a situation analysis of the environmental conditions. In section 4, the consultant

presents a note on performance management outlining his formulation and understanding of the

concept, which will be used as the paper as well as the guide, is developed.

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2. Comments on the TORs.

In broad terms, as noted earlier, the consultant is comfortable with the generic ToRs including

the revisions documented in the Final Report on the Inception Meeting held in Maputo on 06 and

07 September 2010. The only problem is related to the fact that inadequate time has been

allocated for the preparation of the activity related to gathering data and preparation of the zero

draft. For that reason the consultant has limited the time to be devoted to field work. While there

could be some issues on the specifics of the TOR, as the consultancy is executed these will not

seriously affect the achievement of its objectives.

3. Detailed Methodology, Approach to the Consultancy and Timelines

Based on the objectives of the consultancy and ToR the consultant will divide the assignment

into six main activities as follows:

3.0 Preparation of the Inception Report (7 days with effect from 8th

September, 2010)

3.1 A Review of the Literature on Performance Management (5 weeks starting from 10th

September, 2010).

Review existing literature on performance management systems globally both at conceptual and

practical levels. In undertaking the review special attention will be paid to studies focusing on

Africa. The intention of undertaking this task is to:

• Sharpen and deepen the consultant’s understanding of performance management at a

conceptual level with a view to determining the attributes of a performance management

framework/model that can best suit the conditions obtaining in African countries

• Create baseline data/information on approaches to performance management that

different authors ,

• Identify good practices on using performance management frameworks/systems to

improve service delivery in public service organizations across the world, and

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• Identify good practices in using performance management to improve service delivery in

public service organizations in Africa.

3.2 Reviews of Adoption and Use of performance management framework/systems by

African countries (2 weeks starting from 10th

September, 2010).

Based on the information generated from the literature review in task 2.1 the consultant will

undertake further desk reviews, including using information obtained through the CAMPS

Secretariat to determine the extent to which member countries have adopted and are using

performance management frameworks to improve efficiency and effectiveness in their public

services. In undertaking the activity there will be no restrictions on the numbers of countries to

be reviewed; the net will therefore be wide, covering all member countries, which more than

fifty percent suggested in the ToRs. This review will also generate information on types and

characteristics of performance management frameworks that are in use as well as identifying

emerging good practices that can inform the development of the guide. It is expected that the

consultant will use the outputs from this activity to decide on how to proceed to the next stage of

the review.

3.3 In Depth Reviews of PMS Use in Selected Member Countries (3 weeks from 23th

September, 2010)

This stage will require the consultant to restrict efforts to a smaller set of countries selected from

the countries which the review at stage 2.2 suggested that they were actively using PMS

frameworks. The selection of countries to include in the sample will be based on the following

criteria:

• Countries should be pursuing the use of PMS frameworks;

• The need to ensure geographic spread across the continent which also takes account of

the AU tradition of representativeness based linguistic groups (Anglophone,

Francophone, Lucophone and Arabphone);

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• Countries emerging from conflict and rebuilding their public administration systems

• Countries that are reputed to be “leaders” in use of PMS frameworks,

• Champion/Co-Champion of the performance management thematic theme

While data collection will also be based on review of documentation, there will be need to

augment that source of data with information obtained from field visits, depending on the extent

to which available information needs to be supplemented by face to face discussions with

officials from the respective selected member countries. The number of countries to be visited

will also be determined by the time/man-days that are provided for in the contract as well the

time frames agreed during the Inception meeting in Maputo.

Based on the preliminary information on the state of use of PMS that has been generated during

this inception period as well issues raised above the consultant plans to proceed as follows:

The sample size will include seven countries as follows:

• Botswana- (Anglophone, reputation for being a Leader in PMS, Southern Africa)

• Cameroon-(Francophone, has been introducing PMS frameworks over the last few years,

West Africa).

• Kenya – (Anglophone, reputed to be a Leader on Performance Contracting, East Africa,

Champion).

• Mozambique- (Lucophone, has started the PMS process, Southern Africa),

• Rwanda ( Francophone, has started the PMS process, recently emerged from conflict,

Central Africa),

• Tanzania ( Anglophone, reputed to be a “ Leader” on PMS, Champion)

• Tunisia ( Arabphone, North Africa, is involved in PMS processes)

The consultant has relevant deep prior knowledge of what is happening on the ground with

regard to PMS installation and use in Botswana, Cameroon, Mozambique, Rwanda, Tanzania

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having been a consultant on public service reform issues (including PMS) to the countries as/or

development agencies supporting public service reform in those countries in the last two years.

He will therefore have no reason to undertake field visits to those countries.

Therefore the countries to be visited will include Kenya and Tunisia. During those visits the

consultant will meet with senior officials in relevant public institutions to obtain in-depth

information on the design and implementation of PMS frameworks in those countries including

an assessment of effectiveness and constraints. This will require a budget to meet the costs of

travel and accommodation as well as photocopying relevant documents. An indicative budget is

attached as an Annex 1 to this Report.

Based on both the documentation review as well as data gathered from field visits, the consultant

will proceed to the next stage of the assignment- preparation of a Report on the State of PMS

Implementation in Africa.

3.4 Write Up of the Zero Draft of the Report on the State of Implementation of PMS in

Africa including the Guide (17 days from 4th October 2010)

The consultant will use the data collected from all sources to develop a detailed paper on the

Status of Implementing Performance Management Frameworks in Selected African Countries:

Lessons Learned and the Way Forward. The Report will include, as an Annex a Management

Guide on Implementing Performance Management Frameworks in Africa.

The zero draft will be submitted to the to the CAMPS Secretariat and reviewed by the Reference

Group at a meeting specifically convened for that purpose.

3.5 Production of the First Draft (7 days from 24th

October, 2010)

Following the feedback on the zero draft the Consultant will revise the documents to respond to

the comments and produce a first Draft, which will then be submitted to CAMPS Secretariat for

comments and feedback by the Reference Group and other parties.

3:6 Production of the Final Report ( 3 days from 14th November, 2010).

6

The consultant will use the feedback to revise the first draft and produce a final draft, which will

again be submitted to the CAMPS Secretariat and validated by the a larger team including

member countries.

4. Concept on Performance Management in Public Service Institutions in Africa

Performance Management has been defined differently by a number of authors. For purposes of

this exercise we define the concept as the process of communicating organizational aims and

objectives to all stakeholders, setting performance targets in order to measure the achievement of

those aims and objectives, and ensuring that all these activities provide a basis for continual

improvement. In order to manage performance, those who delegate tasks to public service

managers need to inform managers concerning the criteria to be used to assess their performance.

In public services, such criteria normally relate to the need to ensure that efficiency and

effectiveness are achieved, while remaining mindful of fairness and non discriminatory treatment

of people.

Many countries have adopted performance management frameworks to achieve the above goals.

In Africa, performance management frameworks are increasingly being adopted as a common

umbrella reform measure to improve performance in public services with a view to enhance

service delivery. Countries are adopting various strands of performance management, with the

two common strands being Results Oriented Management (ROMs) and Performance

Management Systems (PMS). All of them aim at creating a culture of focusing on results rather

than processes. The key is in measurable outputs and a strategic approach to planning. It

provides a framework for resource allocation, accountability, monitoring and evaluation of

performance. ROM is not only a key to performance with limited financial resources; it is also a

key to reporting to the executive and citizens. It integrates plans, resources and activities

together, making accountability easy. The key elements of ROM are setting targets, outputs,

performance indicators and monitoring.

However, the situation on the ground is far from the ideal in that most countries

seem to have adopted bits and pieces of the ROM/PMS frameworks and do not

have an integrated approach to its implementation.

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ANNEX 1.

Terms of Reference for Consultancy to Develop a Management Guide on Performance

Management and Measurement including Monitoring and Evaluation

1.1 Introduction

The Conference of African Ministers for Public/Civil Service (CAMPS) programme, currently

chaired by Kenya, is an initiative of the African Union. The Programme was started in 1994 to

support public administration in Africa through initiation of reforms, codes and standards. The

key objectives of the Programme is to assess and establish linkages between Governance and

Public Administration capabilities and the broader developmental agenda within the continent;

and share knowledge and learning within the framework of exchange and capacity development

on focused priority areas within the continental Programme.

Since its inception, the Ministerial Conference has demonstrated a commitment to move beyond

simply the exchange of information towards establishing practices, codes and standards for

public administration in Africa. The Conference of Minister’s adopted the Long Term Strategy

on African Governance on Public Administration and Programme to guide implementation of the

public administration agenda for the continent.

A Bureau which is elected by member States provides strategic political leadership in execution

of the Programme. Its role is to identify priority areas that have the highest impact in

governance and public administration across the continent; support the chairperson in the overall

governance and management of the Programme; monitor, evaluate and prepare reports for the

Ministerial Conferences; provide oversight over implementation of activities; initiate modalities

for championing and political buy-in of the Programme at the national, regional, continental and

international levels; and support the chairperson in resource mobilization activities. The Bureau

reports to the Conference of Ministers which is the apex body in decision making in the

Ministers Programme.

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The Bureau identified priority areas for implementation (referred to as thematic areas) and

intends to develop a management guide for performance management and measurement

including monitoring and evaluation thematic area.

The guide is meant to provide practitioners with a code of standard that is an international

benchmark to leverage their respective leadership and management development systems and

practices. It is also meant to provide an easy to use and applicable tool to member states wishing

to institute leadership and management systems and processes in their respective public/civil

services

The CAMPS, with funding from UNDP, therefore seeks to engage the services of a Consultant to

develop a management guide regarding Performance Management and Measurement including

Monitoring and Evaluation.

1.2 Development of Performance Management and Measurement Including Monitoring

and Evaluation Management Guide

The assignment will have travel component and the Consultant is required to factor that into the

financial bid.

1.3 Specific Terms of Reference

The consultant is expected to undertake the following tasks: -

(i) Collect and document data on methodologies, tools and instruments used in different

countries in the continent for the purpose of performance management and measurement

including monitoring and evaluation including documenting global practices

(ii) Develop a guide to inform on performance management and measurement including

monitoring and evaluation.

(iii) Present progress reports to Service Champions and member States for validation

(iv) Produce final guide (in soft and hard copies)

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1.4 Expected outputs

The consultant is expected to deliver the following outputs:

• Inception report (both soft and hard copies) on the interpretation and understanding of the

terms of reference

• Sample tools and instruments in the continent and globally in performance management

and measurement including monitoring and evaluation.

• Develop and submit monitoring and evaluation strategies with annual baselines, targets

and indicators for success for the guide

• Identify risks to implementation of the guide and integrate into the guide a

process/framework for management and monitoring of programme risks through a

comprehensive programme risks log

• Present in user friendly form all qualitative, substantive and financial data in the report

• Support preparation and/or presentation of research material and other requirements for

management guides validation process

• Progress report comprising guides, tools and instruments submitted (both soft and hard

copies)

• Final report submitted (both soft and hard copies)

•

1.5 Profile of the consultant

The CAMPS Secretariat seeks to engage an internationally reputable management consultant

to undertake this assignment. The successful consultant for this assignment must:

• Demonstrate at least 10 years experience in the area of performance management and

measurement including monitoring and evaluation, organizational development and

strategy formulation in the continent and globally.

• Provide documentary proof of professional and academic qualification and testimonials.

• Display cultural, gender, religion, race, nationality and age sensitivity and adaptability.

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1.6 Education

A Masters degree in public administration, political or social sciences, international studies

and development related field. Postgraduate studies in democratic governance, organizational

development, performance management and measurement, monitoring and evaluatiion and

strategy development related field is highly desirable.

1.7 Functional competencies

The process of developing management guides under CAMPS is a highly consultative

process and as such over and above the professional qualifications, the consultant must also

demonstrate the following functional competencies:

• Ability to establish and maintain contacts with senior-level officials with programme

partners, African governments and other regional organizations required. Excellent

interpersonal skills are essential part of the job.

• Ability to communicate effectively, both orally and in writing, is required to obtain,

evaluate and interpret factual data and to prepare accurate and complete reports and

other documents

• Client orientation, management and teamwork

• Builds strong relationships with clients, focuses on impact and result for the client

and responds positively to feedback

• Demonstrate openness to change and ability to manage complexities

• Consistently approaches work with energy and a positive, constructive attitude and is

able to handle pressure

• Ability to work well as part of a multi-disciplinary team

• Development and operational effectiveness

• Ability to perform a variety of specialized tasks related to Results based management

including support to design, planning and implementation of programme, managing

data, monitoring and evaluation, results reporting

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1.8 Language requirement

Fluency in English and or French as well as a good working knowledge of the other working

languages of the African Union is required. Knowledge of other official languages of the

countries in the region is desirable

1.9 Time frame

The estimated duration of the assignment is 30 consultancy days effective from the date of award

of the consultancy.

1.10 Consultancy management

The consultant will be line-managed by Service Champions through UNDP and shall have a

primary accountability to CAMPS through the Head of CAMPS Secretariat

1.11 Evaluation and award of consultancy

Evaluation of the proposals and award of the contract (consultancy) will be based on technical

and financial feasibility. CAMPS/UNDP reserves the right to accept or reject any proposal

received without offering any explanation and is not bound to accept the lowest or the highest

bidder.

1.12 Intellectual property rights

Any reports, books or other materials, graphics, software or otherwise, prepared by the

consultant for this assignment shall belong to and remain the property of CAMPS.

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ANNEX 2

Implementation Schedule

September 2010 October 2010 November 2010

2nd

Wk

3rd

Wk

4th

wk

1st

Wk

2nd

Wk

3rd

Wk

4th

wk

1st

Wk

2nd

Wk

3rd

Wk

4th

wk

3:0 Preparation of the Inception

Report ( 7 days with effect from

September 8th)

3.1 A Review of the Literature on

Performance Management (5

weeks starting from 10th

September,

2010)

3.2 Reviews of Adoption and Use

of performance management

framework/systems by African

countries (2 weeks starting from

10th

September, 2010).

3.3 In Depth Reviews of PMS Use

in Selected Member Countries

(3 weeks from 23rd

September,

2010)

3.4 Write Up of the Zero Draft of

the Report on the State of

Implementation of PMS in

Africa ( 17 days with effect from 1st

wk of oct)

3.5 Production of the First Draft (7

days from October 24th

)

3:6 Production of the Final Report

(Nov 3 days starting 14)

13

ANNEX 3:

Budget for Field Visits

The consultant will undertake field Visits to two member countries Tunisia, and Kenya in early

part of October, 2010. The exact timing will be decided following consultation between the

consultant, the CAMPS Secretariat and the countries concerned.

The cost items include:

i. Travel to Kenya

• Air fare (Dar es Salaam –Nairobi and return)

• Perdiem for three days

ii. Travel to Tunisia

• Air fare (Dar es Salaam –Tunisia and return)

• Perdiem for three days