framework for strategic and annual performance plans · the framework for strategic and annual...
TRANSCRIPT
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
FOREWORD ........................................................................................................................ 3
CONTEXT OF THE FRAMEWORK ..................................................................................... 6
Chapter 1: Introduction ...................................................................................................... 8
Chapter 2: Planning Processes ........................................................................................21
Chapter 3: Strategic Planning ..........................................................................................34
Chapter 4: Annual Performance Planning .......................................................................44
Chapter 5: Annual Operational Planning .........................................................................54
Chapter 6: Implementation Programme Planning...........................................................57
Chapter 7: Infrastructure Planning ..................................................................................61
Chapter 8: Monitoring, Reporting and Evaluation ..........................................................64
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FOREWORD
The developmental approach adopted by the South African government conceptualises
development planning as a means of achieving national development priorities. Development
planning, in this context, involves the South African government making decisions about
selecting priorities of national interest and charting a road map towards achieving these
priorities.
In 2012, South Africa adopted the National Development Plan (NDP) 2030, which sets out a
long term vision for the country. The rationale for the development of such a long-term plan
is the recognition of the need for a coherent vision for the future, in order to realise changes
in the socio-economic structure and the culture of society; which are a result of a history of
oppression, exploitation and dispossession. The achievement of the NDP priorities demands
a cooperative relationship across national, provincial and local governments; private sector;
and civil society. The three spheres of government need to work collaboratively to ensure
alignment between their powers and functions, the planning processes and budget allocation
processes.
Government planning is regarded as a critical process which enables the implementation of
the NDP 2030 priorities through the development and implementation of legislation, policies
and services. Challenges have been identified over the years in government planning
processes which include the misalignment between the political planning and the strategic
planning process, budgeting process and institutional implementation processes. To quickly
respond to the demand for developmental growth, there is a need to improve the impact,
delivery and implementation of government's transformation and development interventions.
This will be achieved through a more effective coordination and integration of the planning
powers and functions that the Constitution assigns to all three spheres of Government. The
disparate and diffused nature of planning has resulted in a complex plethora of plans,
legislation and structures. This fragmented planning landscape has led to sub-optimal
outcomes and asymmetrical impacts of government policies and programmes and sub
optimal returns on the resources allocated to them. The imperative of institutionalising
planning for development in government has been fully recognised and resultant planning
reform to thus the Integrated Planning Framework Act.
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As an effort to improve the government-wide planning system and alignment of planning to
other government process, the National Planning Commission and the Department of
Performance Monitoring and Evaluation were established in 2009. The National Planning
Commission was established to facilitate high level national strategic planning, in particular
long term national plans; outlining the path by which government would achieve its identified
objectives, setting measurable targets for specific timeframes, outlining key policy trade-offs
and setting out the sequence of decisions required in achieving such objectives.
To further strengthen planning and to elevate its importance, the Department of Performance
Monitoring and Evaluation was changed to the Department of Planning, Monitoring and
Evaluation in 2014. This led to the establishment of a planning branch within the department.
The Department of Planning, Monitoring and Evaluation is responsible for the NDP Five Year
Implementation Plan which is a five year medium term plan to realise the long term strategic
vision of the NDP. All government institutions are expected to align their strategic and annual
performance plans, as well as operational plans to the NDP Five Year Implementation Plan,
to reflect the interventions which will be implemented to contribute to the achievement of the
development priorities in the NDP 2030.
The Framework for Strategic and Annual Performance Plans was issued by the National
Treasury in 2010 to guide institutional short and medium term planning. The Framework for
Strategic and Annual Performance Plans (2010) provided a standardised approach to
strategic and annual performance planning; it promoted accountability for performance and
service delivery, and promoted alignment between the planning, budgeting and reporting
processes. The Framework for Strategic and Annual Performance Plans (2010) was
implemented by the national and provincial departments, schedule 3A and 3C public entities
and constitutional institutions from 2010 till the adoption of the Revised Framework for
Strategic and Annual Performance Plans. Significant improvements in short and medium
term planning have been noted since the implementation of the Framework for Strategic and
Annual Performance Plans (2010).
A Revised Framework for Strategic and Annual Performance Plans is being introduced for
further improvement of government planning systems and processes, and to institutionalise
development planning in government. The revised framework outlines requirements for
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strategic and annual performance planning, operational planning, implementation
programme planning, infrastructure planning, monitoring and reporting, evaluations.
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CONTEXT OF THE FRAMEWORK
The South African national planning framework has evolved considerably since its
introduction in 2001 amidst a dynamic and complex policy and legislative context.
Government’s move towards a Government-wide Monitoring and Evaluation System
(GWMES) was formalised in 2007 (The Presidency, 2007) and later a results-based
approach was confirmed in the National Outcomes Approach (Presidency, 2010) and the
National Development Plan (NPC, 2011). These policy reforms were indicative of a systemic
shift toward planning and managing government performance to achieve results.
With the introduction of these policy reforms, new concepts and a guiding logic with
implications for government planning were introduced. The Framework for Strategic Plans
and Annual Performance Plans (2010) was implemented during this legislative and policy
evolution to help consolidate the planning components within the overall planning, monitoring
and evaluation system. It aimed to direct government in its approach to improving
performance towards achieving results, obtain more reliable performance information, and
support learning and improvement within the public service. It intended to improve the quality
of strategic and annual performance planning and strengthen the accountability of relevant
public institutions to contribute to a more unified, coherent and accountable public service,
with better strategic planning and management arrangements to improve policy delivery.
The emphasis of this revised framework is to build on the foundation of the Framework for
Strategic and Annual Performance Plans (2010), reaffirm the planning logic and
institutionalise planning to better enable the policy delivery. The planning principles
implemented through this framework aims to focus the planning approach towards achieving
results, standardise concepts used across short and medium term planning instruments,
streamline planning, monitoring and evaluation processes, and improve the use of evidence,
and monitoring and evaluation findings to better inform improvement, learning and innovation.
This framework will also focus on planning for women, children and people with disabilities.
This framework must be used for the compilation of institutional short and medium term plans.
The revised framework outlines with the core principles for short and medium term planning
and confirms the legislative and policy prescripts which must be adhered to in the
development of institutional short and medium term plans, and the rationale for the results
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based approach to planning, monitoring and evaluation. It then details the processes for the
development and approval of plans as well as processes for effective oversight and feedback
by relevant institutions. In addition, it sets out the planning principles that inform the logic and
content of the strategic plan, annual performance plan, annual operational plan and
implementation programme plans, and the linkages between other short and medium term
plans in government. It further provides the logic for the monitoring and evaluation of plans,
as well as the utilisation of related reporting instruments and the results thereof at the different
stages of the planning cycle.
The revised framework must be implemented in conjunction with the Guidelines for the
Implementation of the Framework for Strategic and Annual Performance Planning, which
provides the formats for short and medium term plans as an easy to use reference during the
planning processes. The guideline also provides examples to apply the planning principles
which are outlined in framework.
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Chapter 1
Introduction
1.1 Introduction
The Revised Framework for Strategic and Annual Performance Plans provides direction to
national and provincial government institutions in respect of short and medium term planning.
This chapter outlines the purpose of the implementation of this framework and sets out the
applicable legislative prescripts necessary for the development of short and medium term
plans. The chapter reflects on the long and medium term policy direction which, together with
an institution’s mandate, informs an institution’s planning trajectory. The results based
approach is an important component of this chapter and provides the planning logic which
will be institutionalised through the implementation of this framework.
1.2 Purpose of the Framework
The purpose of the Revised Framework for Strategic and Annual Performance Plans is to
provide the principles for short and medium term planning for government institutions, outline
the alignment of various institutional plans to high level government long and medium term
plans, as well as institutional processes for the different types of plans. The Revised
Framework also aims to:
Institutionalise government’s national development planning agenda through
institutional plans.
Institutionalise planning for women, children and people with disabilities
Provide information on the relevant legislation which informs planning in government
Institutionalise the Results Based methodology
Provide planning tools which can be used for the different types of plans
Outline the alignment between planning, budgeting, reporting, monitoring and
evaluation processes
Provide the definitions for the various planning, reporting, monitoring and evaluation
concepts
Outline the roles and responsibilities of various stakeholders and institutions who
participate in the planning processes
Encourage evidence based policy making, planning and implementation
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1.3 Applicability of the Framework
This Framework is applicable to all national departments, provincial departments, and
government components as listed in Schedule 1, Schedule 2 and Schedule 3A of the Public
Service Act (PSA) (1994) respectively, constitutional institutions as provided in the
Constitution of the Republic of South Africa (1996) and public entities listed in Parts A and C
of Schedule 3 of the Public Finance Management Act (PFMA) (1999).
1.4 Applicable Legislation
The legislations outlined below make provision for government planning, monitoring of
performance, reporting, and evaluation:
1.4.1 Constitution of 1996 (Sections 92, 114, 125 and 153)
The Constitution of the Republic of South Africa (1996) is the supreme law of the country and
makes provision for other legislations regarding planning and performance monitoring across
the three spheres of government.
Section 92 (3) and (4) states that members of Cabinet are accountable collectively and
individually to Parliament for the exercise of their powers and the performance of their
functions. Furthermore, members of Cabinet must act in accordance with the Constitution
and must provide Parliament with full and regular reports concerning matters under their
control.
Section 114 (2) states that a provincial legislature must provide for mechanisms to ensure
that all provincial executive organs in the province are accountable to it and to maintain
oversight of the exercise of provincial executive authority in the province including the
implementation of legislation, and any provincial organ of the state.
Section 125 (3) indicates that a province has the Executive Authority only to the extent that
the province has the administrative capacity to assume effective responsibility. The national
government by legislative and other measures must assist provinces to develop the
administrative capacity required for the effective exercise of their powers and performance of
their functions.
Section 153 outlines that municipalities must structure and manage administration, budgeting
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and planning processes to give priority to the basic needs of the community and to promote
social and economic development of the community; and participate in national and provincial
programmes.
1.4.2 Integrated Planning Framework Act (IPFA) (Year)
The IPFA provides for the functions of the Department responsible for Planning, Monitoring
and Evaluation; to establish an institutional framework for a new predictable planning
paradigm and discipline within and across all spheres of government; to support effective
monitoring and evaluation of government programmes aimed at improved service delivery
and positive impact on society, to provide for the continued existence of the National Planning
Commission; and promote better coordination, collaboration and alignment of Planning,
Monitoring and Evaluation between and across the national, provincial and local spheres of
government, and including public entities.
1.4.3 Public Service Act of 1994, amended in 2007
Section 7B (4) (C) of the Public Service Act of 1994 outlines that the Executive Authority
shall, subject to applicable legislation determine the reporting requirements to the head of the
department, including, but not limited, to enabling that head to advise the relevant executive
authority on the oversight of the unit on policy implementation, performance, integrated
planning, budgeting and service delivery.
The Public Service Act forms the basis for national and provincial planning and reporting and
promotes integrated planning.
1.4.4 Public Service Regulations, 2016
Chapter 3 of the Public Service Regulations provide requirements for the preparation of
Strategic Plans, Annual Reports and the Service Delivery Improvement Plan. Regulation 25
outlines the requirements for the development of strategic plans and related reporting
systems. Regulation 31 makes provision for the development, tabling and submission of
Annual Reports. Regulation 38 provides the requirements for the development of Service
Delivery Improvement Plans which must be informed by the Strategic Plans.
The Public Service Regulations outlines the requirements for the development, tabling and
submission of Strategic Plans and reporting against these plans.
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1.4.5 Public Finance Management Act (PFMA), 1999
Section 27(4) of the PFMA makes provision for the development of measurable objectives
which must be included in the annual budgets of national and provincial institutions. While
Section 40 (3) (a) and 55 (2) (a) makes provision for the reporting of performance against
predetermined objectives in institutions’ Annual Reports.
The PFMA promotes reporting against predetermined measurable objectives which are
outlined in short and medium terms plans.
Section 38 (d) of the PFMA states that the Accounting Officer has responsibility to manage,
safe-guard and maintain assets and manage the liabilities of the department or entity, and
Section 38 (a) (iv) and (c) (iii) makes a provision for a systems for properly evaluating all
major capital projects prior to a final decision on the project and manage available working
capital efficiently and economically.
1.4.6 Treasury Regulations, 2005
The Treasury Regulations outlines the requirements for the development and submission of
Strategic Plans, as well as, related quarterly performance reporting. In addition, National
Treasury Instruction Note 33 of 2011 regulates the development of Strategic and Annual
Performance Plans according to the Framework for Strategic Plans and Annual Performance
Plans (2010).
The Treasury regulations regulates the requirements for the development of strategic and
annual performance plans and the reporting thereof.
1.4.7 Statistics Act 6 of 1999
The Statistics Act advances the planning, production, analysis, documentation, storage,
dissemination and use of official and other statistics. The purpose of official statistics is to
assist organs of state, businesses, other organisations or the public in planning, decision
making, and monitoring or assessment of policies.
The use of official statistics strengthens the quality of government and institutional short and
medium term plans.
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1.4.8 Spatial Planning and Land Use Management Act of 2013
The Spatial Planning and Land Use Management Act (2013) was adopted shortly after the
introduction of the NDP. SPLUMA is an important component of the drive to set the broad
spatial agenda of the country. The statute establishes mechanisms for the negotiation of
spatial conflicts, issuance of guidelines and monitoring of compliance. Although SPLUMA
does not deal with fragmentation of the spatial planning function directly, it introduces a new
approach to spatial planning that can be refined and linked with overall long-term planning.
Embedding spatial planning within the overall system of planning is critical.
1.4.9 Local Government: Municipal Systems Act of 2000
The Local Government: Municipal Systems Act of 2000 makes a requirement for each council
to, within the prescribed period after the start of its elected term, adopt a single, inclusive,
strategic plan for the development of the municipality. The development of this strategic plan
or Integrated Development Plan (IDP) requires a nine month planning process with the
involvement of a wide range of role players internal and external to the municipality.
Section 24 of the Act makes provision for municipalities to undertake planning that aligns with
and compliments the development plans of other municipalities and organs of state, and to
participate in national and provincial development in the principles of cooperative
governance.
Section 28 of the Local Government Municipal Systems Act states that “Each Municipal
Council within a prescribed period after the start of its elected term, must adopt a process set
out in writing to guide the planning, drafting, adoption and review of its integrated
development plan.
According to Section 29 the process to be followed by a municipality to draft its Integrated
Development Plan, including its consideration and adoption of the draft plan, must:
(a) be in accordance with a predetermined programme specifying time frames for the
different steps
(b) through appropriate mechanisms, processes and procedures established in terms of
chapter 4, allow for:
(i) the local community to be consulted on its development needs and priorities;
(ii) organs of the state, including traditional authorities, and other role players to be
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identified and consulted on the drafting of the integrated development plan
(c) provide for the identification of all plans and planning requirements binding on the
municipality in terms of national and provincial legislation; and
(d) be consistent with any other matters that may be prescribed by regulation.
Section 31 of the Act allows for the MECs for local government in a province to assist a
municipality with planning, drafting, adoption and review of its IDP.
1.4.10 Promotion of Equality and Prevention of Unfair Discrimination Act (PEPUDA),
2000
The object of the Promotion of Equality and Prevention of Unfair Discrimination Act 4 of 2000
is to give effect to the letter and the spirit of the Constitution, in particular the promotion of
equality, the value of non-racialism and non-sexism; the prevention of unfair discrimination
and protection of human dignity as contemplated in sections 9 and 10 of the Constitution.
1.4.11 Government-wide Immovable Asset Management Act, 2007 (GIAMA)
The aim of the act is provide for a uniform framework for the management of an immovable
asset that is held or used by a national or a provincial department; to ensure the coordination
of the use of an immovable asset with the service delivery objectives of a national or provincial
department
1.4.12 Construction Regulations, 2014
Sub-Regulation 11(2) requires an owner of structures to ensure that a competent person
(typically a Built Environment Professional) carries out periodic inspections of structures at
least once every six months for the first two years after its construction and thereafter yearly
to render the structure safe for continued use and that the structure is maintained so that it
remains safe for continued use. Thus at least annual condition assessments must be carried
out and maintenance and renewal programmes must be implemented.
1.5 Applicable Policies
The policies outlined below make provision for government planning, monitoring of
performance, reporting, and evaluation. These policies must be read in conjunction with the
relevant legislation above and with the principles of this framework to inform the development
of short and medium term planning documents:
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1.5.1 Policy Framework for the Government-Wide Monitoring and Evaluation System
(2005)
The Framework for Government–Wide Monitoring and Evaluation System (GWME) identifies
programme performance information as one of the data terrains underpinning GWME,
focussing on information that is collected by government institutions in the course of fulfilling
their mandates and implementing the policies of government.
1.5.2 Framework for Managing Programme Performance Information (FMPPI) (2007)
The FMPPI outlines key concepts in the design and implementation of management systems
to define, collect, report and use performance information in the public sector. The FMPPI
emphasises that performance information is essential to focus the attention of the public and
oversight bodies on whether public institutions are delivering value for money, by comparing
their performance against their budgets and service delivery plans, and to alert managers to
areas where corrective measures are required.
1.5.3 National Development Plan (NDP) (2011)
The NDP is a long term vision for the country which provides a broad strategic framework to
guide key government choices and actions, and focuses on the critical capabilities needed to
transform the economy and society. The plan highlights that accelerated development in
South Africa requires the active support of all citizens, leadership in all sectors that puts the
country's collective interests ahead of narrow, short-term goals, and radically improved
government performance.
1.5.4 National Development Plan (NDP) Five Year Implementation Plan
The NDP Five Year implementation plan provides a medium term roadmap which will form
the basis for developing five-year institutional plans that will guide the realisation of the NDP
priorities. The purpose of the NDP Five Year implementation plan is to advance and guide
medium term and short term planning that is responsive to the attainment of the NDP
priorities. There is a need to ensure that Vision 2030 and all the priorities outlined therein are
clearly articulated in the medium and short term plans of institutions. Intergovernmental and
interdepartmental planning is crucial to the realisation of government priorities and ultimately
the vision for South Africa. The NDP Five Year Implementation Plan will allow for the
coordination and alignment of priorities across the spheres of government and non-
government stakeholders, and assist in integrating all the components of national
development into mainstream planning processes.
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1.5.5 Budget Prioritisation Framework
Government plans are implemented at different levels across the three spheres of
Government (national, provincial and local) and across a large number of public entities and
State-owned Companies. The Budget Prioritisation Framework aims to guide all spheres of
Government and all Government entities to refine plans and develop budget proposals.
The Budget Prioritisation Framework’s objective is to establish the strategic framework for
decision-making on budget priorities that are required to advance the goals of the NDP. It
seeks to establish a systematic basis for making strategic choices among competing priorities
and limited resources, in order to better optimise the budget as a key lever for driving the
NDP.
1.5.6 Monitoring Framework (MONITORING FRAMEWORK)
This is the government’s monitoring framework for the NDP Five Year Implementation Plan
during the electoral cycle. It reflects how government will measure its progress against the
commitments made in the election manifesto of the governing party and the NDP Five Year
Implementation Plan. It is a basis for measurement of government performance and must be
aligned with measurement of performance at the national, provincial and local government
spheres.
1.5.7 National Evaluation Policy Framework (2011)
The National Evaluation Policy Framework provides the basis for a minimum system of
evaluation across government. Its main purpose is to promote quality evaluations which can
be used for learning to improve the effectiveness and impact of government, by reflecting on
what is working and what is not working and revising interventions accordingly. It seeks to
ensure that credible and objective evidence from evaluation is used in planning, budgeting,
organisational improvement, policy review, as well as ongoing programme and project
management, to improve performance. It provides a common language for evaluation in the
public service.
1.5.8 Spatial Development Frameworks
Spatial transformation and decisive inclusive economic growth remain elusive despite an
enabling legislative and policy framework. The spatial planning, infrastructure investment and
social development spending by the post-Apartheid State and the private sector is
reproducing, entrenching and in some cases even reinforcing these historic spatial patterns.
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Spatial Development Frameworks seek to decisively and radically change the rationale and
rules by which planning, budgeting and infrastructure investment and development spending
in the country is done.
1.5.9 United Nations Sustainable Development Goals (SDGs)
The SDGs seek to end poverty and hunger in the world; to combat inequalities within and
among countries; to build peaceful, just and inclusive societies; to protect human rights and
promote gender equality and the empowerment of women and girls; and to ensure the lasting
protection of the planet and its natural resources. Countries committed to the SDGs aim to
create conditions for sustainable, inclusive and sustained economic growth, shared
prosperity and decent work for all, taking into account different levels of national development
and capacities. The SDGs are integrated and indivisible and balance the three dimensions
of sustainable development, namely, the economic, social and environmental. There are 17
Sustainable Development Goals and 169 targets which demonstrate the scale and ambition
of the new universal Agenda.
1.5.10 African Union Agenda 2063
Agenda 2063 is a strategic framework for the socio-economic transformation of Africa over
the next 50 years. It builds on, and seeks to accelerate the implementation of past and
existing continental initiatives for growth and sustainable development.
Agenda 2063 has the following aspirations: an integrated continent, politically united and
based on the ideals of Pan-Africanism and the vision of Africa’s Renaissance; an Africa of
good governance, democracy, respect for human rights, justice and the rule of law; a peaceful
and secure Africa; an Africa with a strong cultural identity, common heritage, shared values
and ethics; an Africa whose development is people-driven, relying on the potential of African
people, especially its women and youth, and caring for children; and Africa as a strong, united
and influential global player and partner. These aspirations have priority areas which are
aligned to the Sustainable Development Goals.
1.5.11 South African Statistical Quality Assurance Framework (SASQAF) (2008)
SASQAF has been developed to provide the framework and criteria for evaluating and
certifying statistics produced by government and non-government institutions. The framework
enables the assessment of the quality of statistics, and the distinction between official and
unofficial statistics. Official statistics are certified by the Statistician General according to
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Section 14(7) (a) of the Statistics Act. Official statistics are used by government institutions
to inform their planning processes and the development of plans.
1.5.12 National Treasury Standard for Procurement and Delivery Management System
(SIPDM), 2015
The SIPDM describes minimum requirements for infrastructure procurement and delivery
management in all spheres of government. It further provides a control framework for
procurement and infrastructure delivery management, particularly for projects.
1.5.13 International Infrastructure Management Manual (IIMM); 2006, 2011, 2015
The manual provides practitioners with the necessary tools, resources and case studies to
demonstrate how to apply and put into practice, the elements of good asset management as
proposed by the ISO Standards. The IIMM shows infrastructure managers how to achieve
the ISO Standards' goal of getting the appropriate balance between cost, risk and
performance from the assets in delivering the best service outcomes for all stakeholders.
1.5.14 Construction Industry Development Board: National Immovable Asset
Maintenance Management Standard, 2017
The standard establishes a system of principles or practice specifications for the
management and care of immovable assets subsequent to initial construction or acquisition.
The Standard focuses on the requirements for the establishment of asset care objectives,
strategies and plans; the implementation, monitoring and review of the preventative and
corrective maintenance activities, and the roles and responsibilities for effective maintenance
of infrastructure assets.
1.5.15 National Treasury Asset Management Framework v3.3, 2003
The assets management framework introduces the concept of asset management. It is
designed to highlight the principles of, and need for, asset management and give broad
guidelines in this regard.
1.5.16 Infrastructure Delivery Management System (IDMS)
The system was developed for planning, implementation, monitoring and controlling of the
infrastructure in government. The core of the IDMS comprises the legislative and regulatory
requirements for asset management, planning and budgeting, and infrastructure
procurement. This includes the standard for Infrastructure Procurement and Delivery, of
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which are interrelated. Infrastructure delivery management comprises portfolio, programme,
operations, maintenance and project management processes. The management processes
continually interact with a performance and risk management system.
1.6 Planning Methodologies
Planning methodologies provide the institutions with the planning approaches, practices and
processes which are used to develop short and medium term plans for the South African
government context.
1.6.1 Results Based Methodology
The Results Based (RB) methodology has been adopted by government post 1994. Results
Based is a methodology by which all stakeholders, contributing directly or indirectly to
achieving a set of results, ensure that the processes, products and services contribute to the
achievement of desired results (outputs, outcomes and impact). The stakeholders also use
data and evidence on actual results to inform decision making on the design, resourcing and
delivery of programmes as well as for accountability and reporting.
Key principles of the Results Based methodology include accountability, ownership
and inclusiveness
Accountability for planning. Government institutions are accountable to the citizens through
Parliament, for delivering on national development priorities.
Ownership of national priorities, programmes and projects reflected in the National
Development Plan should be assumed by each government institution, to ensure the
achievement of intended results.
Inclusiveness requires engagement of stakeholders such as, government institutions at
national, provincial and local levels, civil society organisations and communities, in planning
for the achievement of results and to improve performance.
This Framework reinforces Results Based concepts which have been used in government
over the years. These concepts must inform planning processes within government
institutions. Figure 1.1 below reflects the logical flow of the Results Based concepts.
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Figure 1.1: Results Based Concepts
Source: Framework for Managing Programme Performance Information (2007)
The Results Based methodology can be used together with the Theory of Change and other
planning tools to ensure consideration of all the factors contributing towards the achievement
of intended results. Of utmost importance is the articulation of the role of each institution
towards the realisation of the priorities encapsulated in the National Development Plan.
1.7 Planning Tools
Planning tools enables the institutions to conceptualise the strategic focus, plan for results
and identify enablers towards achieving the intended results.
The following planning tools, among others, may be used in the different stages of the
planning process:
1.7.1 Planning tools for the Situational or Diagnostic Analysis
a) Scenario planning
b) SWOT and PESTEL
c) Fishbone
d) Problem and Solution tree analysis
IMPACTS
OUTCOMES
OUTPUTS
INPUTS
ACTIVITIES
The developmental results of achieving specific outcomes
The medium-term results for specific beneficiaries that are the consequence
of achieving specific outputs
The final products, or goods and
services produced for delivery
The processes or actions that use a
range of inputs to produce the desired
outputs and ultimately outcomes
The resources that contribute to
the production and delivery of outputs
What we use to do the work?
What we do?
What we produce or deliver?
What we wish to achieve?
What we aim to change?
IMPACTS
OUTCOMES
OUTPUTS
INPUTS
ACTIVITIES
The developmental results of achieving specific outcomes
The medium-term results for specific beneficiaries that are the consequence
of achieving specific outputs
The final products, or goods and
services produced for delivery
The processes or actions that use a
range of inputs to produce the desired
outputs and ultimately outcomes
The resources that contribute to
the production and delivery of outputs
What we use to do the work?
What we do?
What we produce or deliver?
What we wish to achieve?
What we aim to change?
IMPACTS
OUTCOMES
OUTPUTS
INPUTS
ACTIVITIES
The developmental results of achieving specific outcomes
The medium-term results for specific beneficiaries that are the consequence
of achieving specific outputs
The final products, or goods and
services produced for delivery
The processes or actions that use a
range of inputs to produce the desired
outputs and ultimately outcomes
The resources that contribute to
the production and delivery of outputs
What we use to do the work?
What we do?
What we produce or deliver?
What we wish to achieve?
What we aim to change?
IMPACTS
OUTCOMES
OUTPUTS
INPUTS
ACTIVITIES
The developmental results of achieving specific outcomes
The medium-term results for specific beneficiaries that are the consequence
of achieving specific outputs
The final products, or goods and
services produced for delivery
The processes or actions that use a
range of inputs to produce the desired
outputs and ultimately outcomes
The resources that contribute to
the production and delivery of outputs
What we use to do the work?
What we do?
What we produce or deliver?
What we wish to achieve?
What we aim to change?
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1.7.2 Planning tool for the development of Strategic Plans, Annual Performance Plans
and Annual Operational Plans
a) Theory of change
b) Logframe
c) Balanced score card
d) Activity based costing
e) Project management tools
Guidelines to this Framework provides a detailed narrative on each of the abovementioned
tools.
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Chapter 2
Planning Processes
2.1 Introduction
Intergovernmental and interdepartmental planning is crucial to the realisation of government
priorities and ultimately the NDP. Therefore, it is important to ensure that the NDP and all the
priorities outlined therein are clearly articulated in the medium and short term plans of
institutions at all spheres of government. Institutional planning processes are a critical
element of planning and inform the development of the contents of short and medium term
plans. Each institution established its own planning processes which focussed more on
accountability planning, and less on planning for results through strategic planning
processes.
The purpose of this chapter is to provide information on the different planning processes
which will institutionalise results based planning across government. Information for the
following planning processes is provided:
Alignment of national, provincial and local government planning
Alignment of policy, planning, budgeting and reporting
Alignment of the NDP, the Monitoring Framework for the NDP Five Year
Implementation Plan and provincial strategies to the budget
Roles and responsibilities of the various stakeholders in the planning processes
Planning timeframes
2.2 Alignment of National, Provincial and Local Government Planning
It is important for institutions to ensure alignment of their institutional priorities which are
reflected in their short and medium terms plans to the broad strategies and policies of
government. Institutions should focus on the implementation of programmes and policies
which contribute to the achievement of the NDP priorities. The information provided in the
figure below outlines the processes for institutions to align their short and medium term plans
to the priorities of government.
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Figure 2.1: National, provincial and local government planning alignment
Figure 2.1 above illustrates the alignment and the interrelationships between the different
levels of planning at the different spheres of government. In essence, the national
government plans inform plans for the provincial sphere, and provincial plans inform local
government plans. The national and provincial sphere must take the local government
Integrated Development Plans into consideration when charting a development agenda. The
figure shows how the results of the planning of one sphere needs to feed into the planning of
the other spheres in a cyclical feedback process. Brief explanations of the various plans are
provided below.
2.2.1 The National Development Plan and NDP Five Year Implementation
Plan
All national, provincial and local government institutions must ensure that the relevant
priorities of the NDP are reflected in the institutional strategic and annual performance plans,
as identified through the NDP Five Year Implementation Plan for the relevant planning cycle.
The NDP Five Year Implementation Plan is aimed at reinforcing a coherent vision and plan
to achieve the long term priorities expressed in the NDP. It will also focus on the priorities
specific to women, children and people with disabilities. It is intended to outline an indicative
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medium term roadmap, which will form the basis for developing five-year institutional plans
that will guide the realisation of the NDP priorities.
National sector departments are responsible for developing sector plans that are aligned to
the NDP Five Year Implementation Plan. The national departments with concurrent functions
must consult with respective provincial and local government institutions to agree on the
priorities for the sector which should be included in the sector plans. Institutions must ensure
that the relevant sector priorities are included in the Strategic Plans and Annual Performance
Plans.
2.2.2 The Monitoring Framework for the NDP Five Year Implementation
Plan
Government’s contribution to the NDP Five Year Implementation Plan will be measured
through the Monitoring Framework for the NDP Five Year Implementation Plan with related
indicators and targets. National, provincial and local government institutions must ensure that
commitments in the Monitoring Framework for the NDP Five Year Implementation Plan are
included in the relevant short and medium term plans.
National institutions must incorporate the Monitoring Framework for the NDP Five Year
Implementation Plan deliverables, that are their direct responsibility, in the performance
information section of the institutional plans. Furthermore, a national department must lead
its sector to ensure that the sector contributes towards deliverables in the monitoring
framework.
Provincial institutions must incorporate the applicable Monitoring Framework for the NDP
Five Year Implementation Plan deliverables, that are their direct responsibility, in the
performance information section of institutional plans. The standardisation of output
indicators for a sector is one way of ensuring that the Monitoring Framework for the NDP Five
Year Implementation Plan indicators are incorporated into the short and medium term plans.
Provincial departments of Local Government must provide guidance to municipalities to
ensure that the applicable Monitoring Framework for the NDP Five Year Implementation Plan
deliverables, that are their direct responsibility, is incorporated in the performance information
section of municipal institutional plans.
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2.2.3 Spatial Development Plans
All government institutions preparing short and medium term plans must reflect the spatial
impact of the priorities that will be planned for. This will also facilitate and promote
intergovernmental cooperation in respect of spatial development planning and
transformation.
2.2.4 Budget Prioritisation Framework
The annual Budget Prioritisation Framework is aimed at guiding departments in the
finalisation of their draft Annual Performance Plans and budget submissions for the next
financial year. The Budget Prioritisation Framework ensures adequate and appropriate
prioritisation and alignment of plans and budgets. It reviews government priorities in relation
to economic and social developments and takes into consideration progress on programme
implementation. The Budget Prioritisation Framework proposes the refocussing and
refinement of priorities as identified in the National Development Plan and its implementation
plans. The Budget Prioritisation Framework also informs the Medium Term Expenditure
Committee in finalising recommendations to the Ministers Committee on the Budget and to
Cabinet.
2.2.5 Provincial Priorities
Provincial priorities must contribute towards the achievement of the National Development
Plan. The Offices of the Premier should ensure that applicable deliverables in the NDP Five
Year Implementation Plan and Monitoring Framework of the NDP Five Year Implementation
Plan are aligned to the Provincial Priorities. The Offices of the Premier must also ensure that
local government priorities are taken into consideration when provincial priorities are
developed.
The Office of the Premier and Provincial Departments of Local Government must ensure that
local priorities support the achievement of the national and provincial priorities. The
Integrated Development Plans of municipalities must reflect the priorities of the municipal
institutional plans. Sector departments must participate in the process of developing the IDPs
to ensure alignment to government priorities.
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2.3 Alignment of the policy, planning, budgeting and reporting
processes
Integrating policy, planning, budgeting and reporting processes is essential to ensure the
achievement of the long and medium term developmental priorities. In particular, It is
important that the planning and budgeting processes are aligned in order for the development
priorities to be budgeted for during the planning cycle. Implementation of the development
priorities must be tracked to ensure the achievement of priorities considering the allocated
budget.
Figure 2.2: National Policy Direction
Drawing on the entitlement set out in the Constitution of the Republic of South Africa (1996),
international and regional obligations, and political directives; the NDP provides overarching
goals for the country to be realised by 2030, and the mechanisms and levers to bring about
these goals. Since the adoption of the NDP, the shift in focus of South Africa’s planning
system has been to place more emphasis on planning to realise developmental results by
strengthening the existing planning system. The realisation of national development priorities
requires, among other conditions, that all sectors develop and implement sector plans that
are aligned to the NDP, guided by a common planning approach.
Long Term Development
Financial Years
Electoral Cycle
Medium Term Development
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Figure 2.3: Planning and Budgeting
The DPME will during the first quarter of each financial year, issue Budget Prioritisation
Framework to outline medium term priorities which should be reflected in institutional
budgets, for the next financial year. The DPME will further through the planning process
ensure that identified priorities for the medium term are reflected in institutional strategic and
annual performance plans. The National Treasury will through the annual budget guidelines
indicate the process for departments to budget for identified priorities which are
communicated by the DPME. Institutions must ensure that the priorities identified for the
medium term period are reflected in the plans, are budgeted for, are measured, and reported
on a quarterly basis through established reporting processes.
All institutions must in consultation with the National Treasury develop budget programme
and sub-programme structures which are aligned to the main areas of service delivery within
the institutions’ mandate. The outcomes and outputs of institutions must be developed in
terms of the approved budget programme structure and reflected in the Annual Performance
Plans. The process for the revision of the Budget Programme Structures for national and
provincial institutions is outlined in the National Treasury Guideline for Budget Programme
Structures .
Financial Years
Strategic Plans
Medium Term Planning
and Budgeting shorts
Planning &
Budgeting
Annual Performance Plans
Annual Operational Plans
Annual Allocated Budgets with MTEF
projections
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Figure 2.4: Reporting
With the development agenda institutionalised through short and medium term planning
instruments, reporting against strategic plans and annual performance plans will ensure more
focus is placed on the utilisation of reported performance information.
2.4 Integrated planning between national and provincial departments
The South African Intergovernmental Relations Framework Act, 2005 emphasises that “the
three spheres of government are distinctive, interdependent and interrelated”. All three
spheres of government (Local, Provincial and National Government) are autonomous.
Notwithstanding their autonomy, the three spheres of government must plan together for the
utilisation of scarce resources and to ensure achievement of government priorities.
Standardised indicators for sectors ensures that there is uniformity in planning and reporting
in a sector which facilitates the alignment of a sector towards the achievement of government
priorities. Standardised indicators for sectors can be developed for the following instances:
National departments and concurrent provincial departments
National departments and related public entities
National public entities and provincial public entities
2.4.1 Development of standardised indicators for sectors
The applicable deliverables in the Monitoring Framework of the NDP Five Year
Implementation Plan and sector plans must be reflected in the standardised indicators for
sectors. Standardised indicators for sectors must be developed in consultation with relevant
stakeholders. Accounting Officers for institutions responsible to implement standardised
indicators for sectors must approve the standardised indicators prior to inclusion in Annual
Financial Years
In-year
Reporting
12 Monthly Expenditure
Reports
4 Quarterly Performance
Reports
Medium Term
Reporting
End Term Reviews
Medium Term Reviews
Annual Reports
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Performance Plans. This Framework must be read in conjunction with the Guidelines for
Standardisation of Indicators for Sectors.
2.5 Roles and Responsibilities for Planning
The roles and responsibilities of various institutions contributing to and responsible for
institutional short and medium term planning are outlined below:
2.5.1 Department of Planning, Monitoring and Evaluation
The Department of Planning, Monitoring and Evaluation is the custodian for long, medium
and short term planning in government. The custodial role includes and is not limited to:
a) Developing long and medium term plans of government.
b) Institutionalising planning within government.
c) Developing the frameworks and guidelines for short and medium term planning.
d) Providing guidance on government priorities which must be funded.
e) Developing formats for performance reporting.
f) Assessing plans and reports of national and provincial institutions.
g) Coordinating the development of the standardised indicators for sectors
h) Providing guidance on monitoring and evaluation systems and processes.
i) Providing support to Offices of the Premier.
2.5.2 Offices of the Premier
The Offices of the Premier are responsible for:
a) The development of provincial priorities which are aligned to the national priorities.
b) Ensure that the national and provincial priorities are planned for, implemented and
monitored by provincial institutions.
c) Provide support to provincial departments on the planning, monitoring and evaluation
practice.
d) Monitor the implementation of the Frameworks by all institutions within their respective
provinces.
e) Assessment of the draft Strategic and Annual Performance Plans of provincial
departments.
f) Provide input into the processes to develop standardised indicators for sectors, where
applicable.
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2.5.3 National Treasury and Provincial Treasuries
a) Responsible for prescribing the formats of the budgets, and for measures to ensure
transparency and expenditure control in each sphere of government.
b) Ensure alignment of the budget to institutional plans and broad government priorities
through the Budget Prioritisation Framework.
c) Assessment of draft Strategic and Annual Performance Plans
d) Provide oversight on the development of Budget Programme Structures.
2.5.4 Department of Public Service and Administration
a) Responsible for providing guidance on the development and monitoring of service
delivery improvement plans.
2.5.5 National Department of Cooperative Governance
a) Responsible for monitoring the performance of local governments in relation to the
fulfilment of their constitutional functions.
b) Responsible for developing and implementing an integrated planning, monitoring,
reporting and evaluation system for local government.
c) Ensures that local government plans are aligned to the broad government priorities.
d) Responsible for developing of standardised indicators for local government.
2.5.6 Provincial Departments of Local Government
a) Provide support to municipalities during the development and review of IDPs.
b) Ensure alignment between local government priorities, and national and provincial
priorities.
2.5.7 National departments
a) National departments must ensure that government priorities are incorporated in their
short and medium term plans.
b) National departments must lead sector processes to develop sector plans.
c) National departments must submit draft Strategic Plans and Annual Performance
Plans to the DPME.
d) National departments must establish processes to take consolidated
recommendations from DPME into consideration to improve the quality of the plans.
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2.5.7 Provincial departments
a) Provincial department must ensure that national and provincial priorities are
incorporated in their short and medium term plans.
b) Provincial departments must submit draft Strategic Plans (if applicable) and Annual
Performance Plans to the DPME (through the respective Office of the Premier) at a
date determined by the DPME, refer to table 2.10.
c) Provincial departments must establish processes to take consolidated
recommendations from OTPs into consideration, to improve the quality of the plans.
2.5.8 Public Entities
a) Public entities must ensure that government priorities are incorporated in their short
and medium term plans.
b) Public Entities must submit draft Strategic Plans and Annual Performance Plans to the
oversight departments.
c) Public Entities must establish processes to take consolidated recommendations from
oversight departments into consideration to improve the quality of the plans.
2.5.9 National departments responsible for concurrent functions
a) Coordinate the development of sector specific plans.
b) Coordinate the standardisation of indicators for the sector.
c) Assessment of Strategic and Annual Performance Plans of their provincial concurrent
function departments.
d) Coordinate the development systems and structures to collect performance
information on concurrent functions across all spheres of government.
2.5.10 Institutions with Oversight Responsibilities of Public Entities
a) Oversight departments must provide policy direction regarding the priorities for the
sector which must be reflected in strategic and annual performance plans of public
entities.
b) Provide support on the planning, monitoring and evaluation practice.
c) The oversight department must assess plans of public entities to ensure alignment to
the mandate of the department, government priorities and the alignment of the
deliverables of the public entity to the budget.
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d) Oversight departments must establish processes for engagements with public entities
on plans and the related timelines must be synchronised with national and provincial
planning timeframes.
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2.9 Planning timeframes
Table 2.1: Planning, budgeting and reporting timeframes for national and provincial
departments
Process April May June July Aug Sep Oct Nov Dec Jan Feb Mar
Pla
nn
ing
Strategic Plans
15 Nov *Draft SPs
Tabled In Parl.
Annual Performance Plans
15 Nov *Draft APP
Tabled In Parliament
Bu
dge
tin
g
Annual Budget and MTEF
NT issues MTEF Guidelines
Depts. submit first draft budget and new expenditure estimates
NT issues Guidelines for ENE
NT issues allocation letters
Depts. submit final ENE Chapter
Tabled in Parliament
Adjusted Budget and MTEF
Mo
nit
ori
ng
and
Re
po
rtin
g
Monthly Financial Reports
15 days after month end
15 days after month end
15 days after month end
15 days after month end
15 days after month end
15 days after month end
15 days after month end
15 days after month end
15 days after month end
15 days after month end
15 days after month end
15 days after month end
Quarterly Performance Reports
Q4 (Previous planning year)
Pre-Audited Annual Performance Report (Previous planning year)
Q1 Q2 Q3
Annual Reports
Performance information sent to auditors
Tabled Annual Reports
Mid-Term Review Report
To be tabled with the third APP of the Strategic Plan
End-Term Review
60 days after the tabling of the fifth Annual Report
Co
-ord
inat
ion
Change Requests to Budget and Programme Structure
Depts. propose changes to budget and programme structure
NT approves changes to the budget and programme structure
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Process April May June July Aug Sep Oct Nov Dec Jan Feb Mar
Standardised Indicators for Sectors
Submission of final set of standardised indicators for Sectors
*National departments submit to Department of Planning, Monitoring and Evaluation
*Offices of the Premier submit to Department of Planning, Monitoring and Evaluation
*Public entities submit to the relevant oversight institution
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Chapter 3
Strategic Planning
3.1 Introduction
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. Strategic Plans institutionalise government priorities set out in the National
Development Plan (NDP), the NDP Five-Year Implementation Plan, the Monitoring
Framework for the NDP Five Year Implementation Plan, provincial priorities, sector priorities,
local government priorities, and any other government medium and long term plans.
The five-year Strategic Plan which is aligned to the electoral cycle, outlines the institutions
impact statement, outcomes, related outcome indicators and five year targets for outcomes.
The Strategic Plan informs the institution’s Annual Performance Plan. Each institution must
link its strategic focus to the allocated budget based on the mandate of the respective
institution.
This chapter provides direction for government institutions to plan using the results based
approach through developing the outcomes and impact in the strategic plans. Institutions
should use the various planning tools, outlined in the Guidelines for the implementation of
the Revised Framework for Strategic and Annual Performance Plans , for the strategic
planning processes. This chapter further provides direction on the processes related to the
development, approval, revision and tabling of SPs for national and provincial institutions; as
well as the contents of strategic plans.
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3.2 Contents of a Strategic Plan
Institutions must ensure that the following core contents are included in the Strategic Plan:
Part A: Our Mandate
3.2.1 Constitutional mandate
State the relevant section(s) of the Constitution and how the institution is directly responsible
for ensuring compliance with this section(s).
3.2.2 Legislative and policy mandates
Outline the specific legislative and policy mandates of the institution. Focus on the legislative
and other mandates that the department is directly responsible for implementing, managing
or overseeing; not the entire list of legislation that the institution is subject to, in the course of
its operations. The focus should also be given to legislative and policy mandates for cross
cutting priorities such as women, children and people with disabilities.
3.2.3 Institutional Policies and Strategies over the five year planning period
A Strategic Plan must take into consideration the National Development Plan (NDP), the NDP
Five-Year Implementation Plan, the Monitoring Framework for the NDP Five Year
Implementation Plan, spatial development plans, provincial priorities, sector priorities, local
government priorities, and any other government medium and long term plans.
Indicate in point form the most important policies and strategies the institution plans to
continue or initiate in the five year planning period.
Part B: Our Strategic Focus
3.2.4 Vision
A vision is an inspiring picture of a preferred future. It is not time-bound and serves as a
foundation for all policy development and planning, including strategic planning. It should be
specific to the institution but linked to the overall vision of a particular sector or cluster.
State the institutions vision.
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3.2.5 Mission
A mission statement sets out the reason for an institution’s existence based on its legislative
mandate, functions and responsibilities. The mission should succinctly identify what the
institution does, why and for whom.
State the institutions mission.
3.2.6 Values
Values identify the principles for the conduct of the institution in carrying out its mission.
Institutional values are derived in conjunction with the institution’s mission. These values
should define a citizen oriented approach for producing and delivering government services
in line with the Batho Pele principles.
List the institutions values.
3.2.7 Situational Analysis
The situational analysis presents broad information regarding the internal and external
environment of an institution based on the detailed information gathered in the strategic
planning process, and the strategic focus.
Information on the internal and external environment within which an institution operates must
guide the development of the Strategic Plan. Relevant research including analysis of
emerging trends, the status of women, children and people with disabilities (where
applicable), evaluations reports, and the performance information gathered during the
previous financial years must be considered when compiling the situational analysis. The
situational analysis must provide the context for the implementation of planned initiatives over
the five year planning period.
The situational analysis should also be informed by the discussions and decisions taken
through the use of planning tools such as the Scenario Planning, SWOT and PESTEL,
Fishbone, Problem and Solution Tree Analysis.
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The following core elements of the institution’s environment should be reflected in the
situational analysis:
a) The strategic focus of the institution over the five year planning period
b) Recent statistics relevant to the institution and sector
c) Reference to the medium and long term policy environment
d) Evidence-based analysis of the strategic context and priorities relating to women,
children and people with disabilities
e) Where appropriate, demographic data
f) Where appropriate, background information on the demand for services
g) Where appropriate, use of spatial information to guide planning
h) Challenges experienced by the institution in the performance environment and
mechanisms to address the challenges over the planning period
i) Emerging priorities and opportunities which will be implemented during the planning
period
j) Information on the capacity of the institution to deliver on its mandate
k) Relevant stakeholders which contribute to the institution’s achievement of its
outcomes.
3.2.7.1 External Environment analysis
Summarise key issues in the delivery environment. Core elements in this section should
include:
a) Background information on factors contributing to the performance of policy and
regulatory institutions
b) Where applicable, background information on demand for services and other factors
which informs the development of the Strategic Plan.
c) Identify challenges to be addressed and provide interventions.
d) Demographic or other data that will be used to inform planning for the five year period.
e) Trend analysis based on annual reports and end term reports that will inform the
strategy going forward.
f) Findings of internal or external research that will be used to inform the strategy of the
department
g) Findings of internal or external evaluations that will be used to inform the strategy of
the department.
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h) Information from the political environment which may impact on the implementation of
the Strategic Plan.
i) Diagnostic and analysis of relevant environmental factors, data, trends, barriers,
research, evaluations, relating to women, children and people with disabilities that will
inform the strategy of the institution.
3.2.7.2 Internal Environment Analysis
Summarise the structure of the institution and its configuration to deliver on the mandate of
the institution. Other internal institutional factors which may impact on the achievement of the
institution’s outcomes must be reflected. Core elements should include:
a) The capacity of the institution to deliver on the mandate. This should include the
Human Resources, Information Technology, financial resources, among others.
b) Other internal factors that have informed the development of the Strategic Plan such
as budget.
c) The status of the institution regarding compliance with the BBBEE Act.
d) The status of the institution regarding women and people with disabilities.
Part C: Measuring Our Performance
3.2.8 Institutional Performance Information
The information reflected in the performance information section of the Strategic Plan should
be underpinned by a relevant planning methodology and tools, and a comprehensive
diagnostic assessment.
3.2.8.1 Impact
Provide an impact statement to which an institution contributes, as informed by the legislative
or policy mandate. The impact must be informed by the theory of change or any other tools
used to develop a results based plan.
3.2.8.2 Outcome
State the institution’s outcomes which must be accompanied by at least one outcome
indicator which will be used to measure attainment of the outcome.
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3.2.8.3 Outcome indicator
This is a measure of the achievement of the outcomes at the end of the five period. It should
be clear, specific and measurable. The outcome indicators can either be qualitative or
quantitative depending on the nature of business of an institution; and must be able to gather
dissagregated data for women, children and people with disabilities, where applicable.
3.2.8.4 Outcome Indicator Baseline
The current level of performance in relation to the outcome indicator at the beginning of the
five year planning period.
3.2.8.5 Five (5) year target
This is the desired level of performance to assess progress towards the achievement of the
outcome indicator by the end of the five-year period.
3.2.8.6 Explanation of planned performance over the five year planning period
A narrative must be provided for each of the outcomes to outline the importance of the
outcomes’ contribution towards the achievement of the NDP, 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. The narrative should include the rationale for the choice of the outcome indicators
relevant to the respective outcomes. The narrative should also indicate how the identified
outcomes will contribute to the achievement of the impact.
3.2.8.7 Key risks
A summary of key risks which may affect the achievement of the identified outcomes, as well
as, measures to mitigate the identified risks must be included in Part B of the Strategic Plan.
This information must be included in the format stipulated in the Guidelines for the
Implementation of the Framework for Strategic and Annual Performance Planning.
3.2.8.8 Public entities
A description of public entities within the oversight of a department must be included in Part
B of the Strategic Plan, where applicable. A table with a list of public entities and the relevant
outcomes to which the public entities contribute to must be included in the format stipulated
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in the Guidelines for the Implementation of Framework for Strategic and Annual Performance
Planning.
Part D: Technical Indicator Descriptions (TID)
Technical Indicator Descriptions must be completed for each outcome indicator in the format
stipulated in the Guidelines for the Implementation of the Framework for Strategic and Annual
Performance Planning.
3.3 Processes for the development, approval and revision of strategic
plans by national and provincial institutions
3.3.1 Processes for the development Strategic Plan
a) Institutions should engage all internal and external stakeholders. Stakeholders refer
to those who are implementing the plan, those who will be affected by the plan, those
who will monitor its implementation and those who are responsible for the planning
of the institution (usually referred to as the Strategic Planners). Principles for
prioritising women, children and people with disabilities should be adhered to in the
stakeholder consultation process (where applicable).
b) Stakeholders can be involved through a number of workshops (e.g. per programme,
sub programme, outcome, cross cutting functional areas), or a series of consultation
meetings with specific groups (e.g. per programme, sub programme, outcome, cross
cutting functional areas).
c) The head of planning and the Accounting Offcer must identify and agree on the
planning tools which will be used through a well-defined process of collaboration,
partnership and communication. This process must be accompanied by a rigorous
diagnostic with a particular focus on achieving the identified outcomes and
contribution to the NDP, NDP Five-Year Implementation Plan, the Monitoring
Framework for NDP Five Year Implementation Plan and provincial priorities.
d) The head of planning together with the Chief Financial Officer must ensure that the
budget is prioritised to support the achievement of identified outcomes.
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e) The planner for the department consolidates the plan for the institution that has been
developed using the relevant planning tools. This is embedded in a Results Based
Strategic Plan.
f) Programme managers must sign off on the contents of the Strategic Plan. This can
be done through internal sign off mechanisms.
g) The Accounting Officer, Chief Financial Officer and Head of Planning must sign off
on the Strategic Plan before it is approved by the Executive Authority.
h) The Accounting Officer of an institution must submit the Strategic Plan to the
Executive Authority of the institution for approval.
i) The Accounting Officer of an institution must ensure that the strategic planning
processes of the institution are aligned to the timeframes determined by the Leader
of Government Business, the applicable provincial legislature, the Department of
Planning, Monitoring and Evaluation, or Offices of the Premier, as may be applicable.
j) The Strategic Plan must be shared with all the stakeholders, including the legislature,
DPME, Offices of the Premier, and relevant Treasuries. The Strategic Plan must also
be published on the institutions’ website.
3.3.2 Processes for the tabling of Strategic Plans
National Institutions
a) New strategic plans developed at the beginning of a five year planning cycle:
i. The plans of national institutions approved by the Executive Authority must be
tabled in Parliament at a date determined by the Leader of Government
Business.
ii. The tabling of the approved plans must follow the process and the time for
tabling outlined by Parliament.
b) Revised, approved strategic plans during the five year planning cycle:
i. Strategic Plans which are revised and approved by the Executive Authority
during the cause of a financial year, and after the tabling date has been issued,
must be tabled in Parliament at a date provided by Parliament.
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c) Proof of tabling of new Strategic Plan and proof of re-tabling of revised Strategic Plans
must be submitted to the DPME within a month after the tabling or re-tabling of a
Strategic Plan in Parliament.
d) The Strategic Plan must be shared with all the stakeholders, including the legislature,
DPME, Offices of the Premier, and relevant treasuries. The Strategic Plan must also
be published on the institutions’ website.
Provincial Institutions
a) New strategic plans developed at the beginning of a five year planning cycle:
i. The plans of provincial institutions approved by the Executive Authority must
be tabled in the Legislature at a date determined by the relevant Legislature.
ii. The tabling of the approved plans must follow the process and the time for
tabling outlined by the Legislature.
b) Revised, approved strategic plans during the five year planning cycle:
i. Strategic Plans which are revised and approved by the Executive Authority
during the cause of a financial year, and after the tabling date has been issued,
must be tabled in Legislature at a date provided by the relevant Legislature.
c) Proof of tabling of new Strategic Plan and proof of re-tabling of revised Strategic Plans
must be submitted to Offices of the Premier within a month after the tabling or re-
tabling of a Strategic Plan. The OTP must submit tabled plans to DPME within two
weeks after receiving them.
d) The re-tabled Strategic Plan must be shared with all the stakeholders, including the
legislature, DPME, Offices of the Premier, and relevant treasuries. The Strategic Plan
must also be published on the institutions’ website.
3.3.3 Processes for the revision of the Strategic Plan
Ideally, a Strategic Plan should not be revised during the five year planning period.
A Strategic Plan can be revised during the five year planning period if there are significant
changes to the policy, significant changes in the service delivery environment, or significant
changes to the planning methodology.
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The following process must be followed to revise a strategic plan:
a) Institutions can reflect the revisions to the Strategic Plan through the re-tabling of the
whole Strategic Plan or the tabling of an Annexure to the Annual Performance Plan:
i. If the changes in policy, service delivery environment, and planning
methodology result in the revision of vision, mission, values and impact
statement, outcomes, outcome indicators and targets, then institutions can
conduct a comprehensive revision to the Strategic Plan which must be re-tabled
in the relevant legislature. This must not be done in-year.
ii. If the changes are minimal, such as, changes to the outcomes, outcome
indicators and targets, institutions can reflect such revisions to the Strategic
Plan as an Annexure to the Annual Performance Plan which will be tabled in
the relevant legislature.
b) The re-tabled Strategic Plan must be shared with all the stakeholders, including the
legislature, DPME, Offices of the Premier, and relevant treasuries. The Strategic Plan
must also be published on institutions’ website.
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Chapter 4
Annual Performance Planning
4.1 Introduction
The Annual Performance Plan should outline the outputs (pre-conditions) towards the
realisation of the outcomes and impact statements reflected in the Strategic Plan. These
outputs must also reflect the audited performance for the past three planning years, the
estimated performance for the current year and forward projections for the medium term
period, and should inform the budget. The annual performance planning process is informed
by the strategic planning process.
This chapter seeks to strengthen the alignment between the Strategic Plan and the Annual
Performance Plan, by ensuring that the chosen outputs focus on the realisation of outcomes
and impact as reflected in the Strategic Plan. Provision is made for narratives on planned
performance in relation to the selected outputs. The chapter also provides for integrated
planning for different institutions and spheres of government towards better coherence and
coordination of government priorities. The contents of the Annual Performance Plan must be
informed by the relevant planning tools used in the strategic planning process.
4.2 Contents of the Annual Performance Plan
Part A: Our Mandate
4.2.1 Updates to the relevant legislative and policy mandates
Provide an update to the mandate of the institution which is reflected in the Strategic
Plan, where applicable.
4.2.2 Updates to Institutional Policies and Strategies
Provide an update to the institutional policies and strategies which are reflected in the
Strategic Plan, where applicable.
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Part B: Our Strategic Focus
4.2.3 Updated Situational Analysis
During the first year of the five year planning cycle the situational analysis reflected in the
Annual Performance Plan must be the same as the situational analysis reflected in the
Strategic Plan. Information provided in the first Strategic Plan at the beginning of the planning
cycle must be updated annually in the Annual Performance Plan form the second year of the
five year planning cycle. Changes to the internal and external environment within which an
institution operates must guide the development of the Annual Performance Plan. Relevant
research including analysis of emerging trends, the status of women, children and people
with disabilities (where applicable),evaluations reports and the performance information
gathered during the previous financial years must be considered when reviewing the
situational analysis. The updated situational analysis must provide the context for the
implementation of planned initiatives over the medium term period.
The updated situational analysis should also be informed by the discussions and decisions
taken through the use of planning tools such as the Scenario Planning, SWOT and PESTEL,
Fishbone, Problem and Solution Tree Analysis.
The following core elements of the institution’s environment should be reflected in the Annual
Performance Plan:
a) The strategic focus of the institution over the five year planning period
b) Recent statistics relevant to the institution and sector
c) Reference to the medium and long term policy environment
d) Evidence based analysis of the strategic context and priorities relating to women,
children and people with disabilities
e) Where appropriate, demographic data
f) Where appropriate, background information on the demand for services
g) Where appropriate, the use of spatial information to guide planning
h) Challenges experienced by the department in the performance environment and
mechanisms to address the challenges over the medium term period
i) Emerging priorities and opportunities which will be implemented during the medium
term period
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j) Information on the capacity of the institution to deliver on its mandate
k) Relevant stakeholders which contribute to the institution’s achievement of its
outcomes
4.2.3.1 External Environment Analysis
Summarise key issues in the delivery environment. Information in this section should include:
a) Background information on factors contributing to the performance of policy and
regulatory institutions
b) Where appropriate, background information on demand for services and other factors
which informs the development of the Annual Performance Plan.
c) Challenges experienced by the institution in the performance environment and
mechanisms to address the challenges over the medium term period
d) Demographic or other data that will be used to inform planning for the medium term
period.
e) Trend analysis based on annual reports or other reports that will inform the strategy
going forward.
f) Findings of internal or external research that will be used to inform the strategy of the
department
g) Findings of internal or external evaluations that will be used to inform the strategy of
the department.
h) Information from the political environment which may impact on the implementation of
the Annual Performance Plan.
i) Diagnostic and analysis of relevant environmental factors, data, trends, barriers,
research, evaluations, relating to women, children and people with disabilities that will
inform the strategy of the institution.
4.2.3.2 Internal Environment
Summarise the structure of the institution and its configuration to deliver on the mandate of
the institution. Other internal institutional factors which may impact on the achievement of the
institution’s outcomes must be reflected. Information in this section should include:
a) The capacity of the institution to deliver on the mandate. This should include the
Human Resources, Information Technology and financial resources among others.
b) Other internal factors that have informed the development of the Annual Performance
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Plan such as the budget.
c) The status of the institution regarding compliance with the BBBEE Act.
d) The status of the institutions regarding women, children and people with disabilities.
Part C: Measuring Our Performance
4.2.4 Institutional Programme Performance Information
The information reflected in the programme performance information section of the Annual
Performance Plan should be underpinned by a relevant planning methodology and tools, and
a comprehensive diagnostic assessment. The following core elements of the institution’s
programme performance information must be reflected in the Annual Performance Plan:
4.2.4.1 Programme Names
Each programme and sub-programme must have a distinct name which provides a succinct
description of the core functions. The programme names must be consistent with the Budget
Programme Structure approved by the National Treasury.
4.2.4.2 Programme Purpose
Each programme and sub-programme must have a purpose which outlines the intended
results for which funds are appropriated by the legislature. The programme purpose must be
same to those reflected in the Appropriation Bill.
4.2.4.3 Programme Outputs
The institutions must identify outputs which are strategic for each sub-programme within a
programme. The outputs must indicate the strategic deliverables which will be achieved by
each sub-programme , including those relating to women, children and people with disabilities
(where applicable). For each output in each sub-programme, institutions must identify and
reflect an outcome to which outputs contribute to. The outcomes reflected in the Annual
Performance Plans must be aligned to those in the Strategic Plans.
Outputs which are within the direct responsibility of an institution must be outlined for sub-
programmes. In addition, outputs from implementing agencies can be included as an
annexure to the Annual Performance Plan. In addition, outputs identified from Implementation
Programme Plans must also be reflected in the relevant sub-programmes.
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Public entities must develop outputs in consultation with the respective oversight
departments. Oversight departments must provide support to the public entities to ensure
that the plans of public entities reflect their core mandates and contribution to government
priorities.
4.2.4.4 Output Indicators
Each output must have at least one output indicator with related annual targets over the
medium term. Output indicators can be either qualitative or quantitative; and must be able to
gather dissagregated data for women, children and people with disabilities, where applicable.
In addition, output indicators identified from Implementation Programme Plans must also be
reflected in the relevant sub-programmes.
Output indicators for Administration programme must measure the strategic support to other
programmes to enable the achievement of line function programme outputs.
4.2.4.5 Targets
Annual targets over the medium term and quarterly targets for the planning year must be
provided for outputs indicators. It is important for a logical alignment to exist between
indicators and targets for both quantitative and qualitative output indicators. Targets are
informed by baselines which reflect the current level of performance.
4.2.4.6 Explanation of planned performance over the medium term period
A narrative must be provided for each programme to indicate how each of the outputs will
contribute towards achieving the outcomes and impact aligned to the mandate of the
institution; as well as the achievement of priorities of women, children and people with
disabilities. The explanation of planned performance in relation to outputs must be discussed
within budget programmes and the contribution of the outputs to outcomes must be clearly
outlined.
4.2.4.7 Programme Resource Considerations
For each programme, institutions must outline the available and required resources which
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will contribute to the achievement of outputs. The institution must provide the budget
allocation for each programme and sub-programme, and indicate how these allocations will
contribute to achieve the planned outputs. The institution must provide a narrative on
changes or trends in the budget allocations, and the impact on the projected outputs. A
discussion of human resources which contribute to the achievement of sub-programme
outputs must also be included within this section.
4.2.4.8 Key Risks
Institutions should identify key risks which can impact on the achievement of outputs, as well
as risk mitigation factors. This should include:
a) Key risks which may impede the success of the outputs within a programme.
b) Unintended consequences of the outputs within a programme.
c) Assumptions underlying the achievement of the outputs.
d) Credible measures to mitigate identified risks.
4.2.5 Public entities
A description of public entities within the oversight of a department must be included in Part
B of the Annual Performance Plan, where applicable. A table with a list of public entities and
the relevant outputs must be included in the format stipulated in the Guidelines for the
Implementation of Strategic and Annual Performance Planning.
4.2.6 Infrastructure projects
A description of infrastructure projects which will be implemented during the medium term
period must be included in Part B of the Annual Performance Plan, where applicable. A table
with a list of infrastructure projects, as well as, the outcomes to which the infrastructure
projects contribute must be included as Part B of the Annual Performance Plan in the format
stipulated in the Guidelines for the Implementation of Strategic aand Annual Performance
Planning.
4.2.7 Public Private Partnerships
A description of Public Private Partnerships an institution has entered into for the purpose of
delivering outcomes according to its mandate must be included in Part B of the Annual
Performance Plan, where applicable. A table with a list of Public Private Partnerships must
be provided in the format stipulated in the Guidelines for Implementation of the Framework
for Strategic and Annual Performance Planning.
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PART D: Technical Indicator Descriptions (TID)
4.3 Technical Indicator Descriptions
TIDs must be developed for each of the output indicators which are contained in the Annual
Performance Plan.
The core elements of the institution’s TIDs are provided in the Guidelines for the
Implementation of the Framework for Strategic and Annual Performance Planning.
4.4 Annexures to the Annual Performance Plan
The following annexures must be included in the Annual Performance Plans of institutions
where applicable:
a) Details of the revisions to the approved Strategic Plan with reasons for the revisions.
b) Conditional grants managed by an institution and the related indicators and targets
c) Consolidated indicators should be included as an annexure to the national and
provincial institutions Annual Performance Plans.
4.5 Processes for the development, approval and revision of annual
performance plans by national and provincial institutions
4.6.1 Processes for the development of an Annual Performance Plan
a) Institutions should engage all internal and external stakeholders. Stakeholders refer
to those who are implementing the plan, those who will be affected by the plan, those
who will monitor its implementation and those who are responsible for the planning of
the institution (usually referred to as the Strategic Planners). Principles for prioritising
women, children and people with disabilities should be adhered to in the stakeholder
consultation process, where applicable.
b) Stakeholders can be involved through a number of workshops (e.g per programme,
sub programme, objective, cross cutting functional areas), or a series of consultation
meetings with specific groups (e.g. per programme, sub programme, objective, cross
cutting functional areas).
c) Stakeholders must continue to use the planning tools which are used through a well-
defined process of collaboration, partnership and communication, and which were
agreed to during the development of the Strategic Plan.
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d) Stakeholders must ensure that the outputs in the Annual Performance Plan are aligned
to the outcomes in the Strategic Plan.
e) The planner for the institution consolidates the plan which has been developed using
relevant planning tools. This is embedded in a Results Based Annual Performance
Plan.
f) Programme managers must sign off on the contents of the Annual Performance Plan.
This can be done through internal sign off mechanisms.
g) The Accounting Officer, Chief Financial Officer and Head of Planning must sign off on
the plan before it is approved by the Executive Authority.
h) The Accounting Officer of an institution must submit the Annual Performance Plan to
the Executive Authority of the institution for approval.
i) The Accounting Officer of an institution must ensure that the planning processes of
the institution are aligned to the timeframes determined by the Leader of Government
Business, the applicable provincial legislature, the Department of Planning,
Monitoring and Evaluation, or Offices of the Premier, as may be applicable.
j) The Annual Performance Plan must be shared with all the stakeholders, including the
legislature, DPME, Offices of the Premier, and relevant Treasuries. The Annual
Performance Plan must also be published on institutions’ website.
4.6.2 Processes for the tabling of Annual Performance Plans
National Institutions
a) New Annual Performance Plan developed prior to the beginning of a new planning
year:
i. The Annual Performance Plan approved by the Executive Authority of an
institution must be tabled in Parliament at a date determined by the Leader of
Government Business.
ii. The tabling of the approved plans must follow the process outlined by the
Parliament.
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b) Revised, approved Annual Performance Plans:
i. Annual Performance Plans which are revised and approved by the Executive
Authority during the course of a financial year, and after the tabling date has been
issued, must be tabled in Parliament at a date provided by the relevant Portfolio
Committee.
c) Proof of tabling or re-tabling of the revised Annual Performance Plans must be
submitted to the DPME within a month after the tabling or re-tabling.
Provincial Institutions
a) New Annual Performance Plan developed prior to the beginning of a new planning
year:
i. The Annual Performance Plan approved by the Executive Authority of an
institution must be tabled in the Legislature at a date determined by the relevant
Legislature.
ii. The tabling of the approved plans must follow the process outlined by the relevant
Legislature.
b) Revised, approved Annual Performance Plans:
i. Annual Performance Plans which are revised and approved by the Executive
Authority during the course of a financial year, and after the tabling date has been
issued, must be tabled in Legislature at a date provided by the relevant
Legislature.
d) Proof of tabling of revised Annual Performance Plans must be submitted to the Offices
of the Premier within a month after the tabling or re-tabling. The Offices of the Premier
must submit tabled or re-tabled plans to DPME within two weeks after receiving them.
4.6.3 Processes for the revision of Annual Performance Plans
An Annual Performance Plan should ideally not be changed during a financial year.
Nonetheless, an Annual Performance Plan can be revised during a particular financial year,
as per the following conditions:
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a) Revisions to the Strategic Plan, as outlined in section 3.3.3 (a)(ii), will necessitate a
revision of the outcomes and related outputs in the Annual Performance Plan.
b) The targets which are amended as a result of the in-year budget adjustment process
must be reflected in both a re-tabled Annual Performance Plan and the Adjusted
Estimates of National Expenditure or the Adjusted Estimates of Provincial Revenue
and Expenditure.
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Chapter 5
Annual Operational Planning
5.1 Introduction
An Annual Operational Plan outlines the activities and budgets for each of the outputs and
output indicators reflected in the Annual Performance Plan. Annual Operational Planning is
crucial in the hierarchy of institutional planning as it is the mechanism within which institutions
plan for the achievement of activities that contribute to the Annual Performance Plan outputs.
In addition, Annual Operational Plans include operational outputs, which are not reflected in
the Annual Performance Plan.
The contents of the Annual Operational Plan should be informed by the Strategic and Annual
Performance Planning processes using the relevant planning tools. Annual Operational Plans
must be developed at an institutional level and should be used as a management tool to
inform performance agreements.
This chapter provides information on the contents of the Annual Operational Plan, which
enable the achievement of outputs reflected in the Annual Performance Plan.
5.2 Contents of an Annual Operational Plan
5.2.1 Programme Name
Each programme and sub-programme should have a distinct name, which provides a
succinct description of the core functions. The programme names must be consistent with
the Budget Programme Structure approved by National Treasury.
5.2.2 Programme Outputs
All Annual Performance Plan outputs and other outputs not included in the Annual
Performance Plan must be included in the Annual Operational Plan per sub-programme.
These outputs should have annual and quarterly targets.
5.2.3 Activities
Relevant activities contributing to the outputs within sub-programmes must be provided,
including for outputs which are not reflected in the Annual Performance Plan.
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5.2.4 Activity Timeframes
A start and end date for each activity must be provided.
5.2.5 Activity Budget Allocations
The institution should cost each activity based on the allocated budget of the sub-programme.
5.2.6 Activity Dependencies
Dependencies are factors which contribute to the achievement of activities. Institutions
should outline all the dependencies for each activity.
5.2.7 Activity Responsibilities
The institution should identify the official responsible for the activities.
5.2.8 Risks and Mitigation Factors
Institutions should identify key risks which could affect the achievement of activities, as well
as risk mitigation factors.
5.3 Processes for the development of an Annual Operational Plan
a) Involve stakeholders at a sub-programme level.
b) Identify the outputs at sub-programme level, those in the Annual Performance Plan
and those not reflected in the Annual Performance Plan, including those relating to
women, children and people with disabilities (where applicable).
c) Develop a set of activities to be delivered for each of the outputs.
d) For each activity, identify the timeframes for completion of the activity.
e) Cost each activity.
f) Determine the dependencies for each activity.
g) Assign responsibly for each activity
h) Identify risks per activity and mitigating factors.
g) The planner for the institution consolidates the Annual Operational Plan for the
institution.
i) The Annual Operational Plan must be approved by the Accounting Officer by end of
March.
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5.3.1 Processes for the revision of the Annual Operational Plans
a) Institutions must establish internal processes for the revision of Annual Operational
Plans.
b) The institutions Performance Information Management policy or Planning, Monitoring
and Evaluation framework must outline procedures for the revision, approval and
reporting on a revised Annual Operational Plan.
c) Revisions to the Annual Operational Plans must not deviate from the outputs in the
tabled Annual Performance Plan.
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Chapter 6
Implementation Programme Planning
6.1 Introduction
Planning for Implementation Programmes is essential to accelerate service delivery. The
purpose of this chapter is to ensure alignment between planning for Implementation
Programmes and Strategic and Annual Performance Planning.
This chapter includes elements to be considered in planning for Implementation
Programmes; alignment of Implementation Programmes to the Annual Performance Plans;
and processes for the development of Implementation Programme plans.
6.2 Steps in Planning for Implementation Programmes
The following steps are required for the development of an Implementation Programme plan.
These steps can be applied for the development of plans for new Implementation
Programmes. Institutions can also consider the steps below to review existing
Implementation Programme plans, and for improving the implementation of such
programmes.
Steps Explanation
1. Diagnostic Analysis Analysis of the status quo, referring to the results of
relevant research, evaluation or other evidence.
Use of the status quo information to indicate the
problem or opportunity and root causes thereof.
Consultation with clients of programme and show
results.
2. Analysis of Options Analysis of options for addressing the problem.
Determination of cost-benefit of different options.
Motivation of programme selected as the preferred
option.
3. Programme Description Description of how the programme contributes to
institutional outcomes and government’s outcomes.
Outlining the relationship with the outputs of any
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other existing or planned programmes, within an
institution or sector.
4. Target Group Definition of target group in some qualitative and / or
quantitative way.
5. Theory of Change Theory of Change is required to address the problem
or opportunity
Provide the explanation of the causal mechanism of
how activities and outputs will result in anticipated
outcomes, impact statement and assumptions
involved.
6. Logframe Use of the structure of a Logframe to reflect
indicators at different levels of the results chain,
baselines and targets
Indication of key assumptions and risks which
underpin the results chain
Indication of key outputs and related activities
required to achieve the desired outcomes
Provision of a summary of the human and financial
resources (inputs) needed to achieve the outcomes
and impacts
7. Roles and responsibilities
of stakeholders
Indication of roles and responsibilities of internal and
external stakeholders.
Assessment of whether the roles and responsibilities
contradict or duplicate any existing institutional
arrangements and explain how this will be
addressed.
Assessment of whether the roles and responsibilities
result in any government body being requested to
perform functions which they do not have capacity to
perform, and explain how capacity constraints will be
addressed.
8. Risk Management Plan A risk management plan should be compiled that
includes key risks to the success of the programme,
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unintended consequences of the outputs, their
probability and impact, and measures to mitigate
identified risks.
9. Cost estimates Cost estimates of inputs required to achieve outputs
in the Logframe.
10. Life-cycle evaluation A life-cycle evaluation plan for the programme –
potentially baseline evaluation, implementation
evaluation, impact evaluation, depending on the size
of the programme.
6.3 Alignment of the Implementation Programme Planning with Annual
Performance Planning
Implementation Programmes are focused programmes which are aimed at addressing a
specific challenge or are implemented as a strategic intervention within an institution or
sector. Output for Implementation Programmes should be reflected in the Annual
Performance Plans, and activities should be reflected in Annual Operational Plans. The
Implementation Programme Plan must be developed to improve the implementation of
existing and new programmes.
6.4 Alignment between Implementation Programme Plans and the
DoRA requirements
To be informed by consultation with National Treasury.
6.5 Processes for the development of an Implementation Programme
Plan
a) Identify stakeholders at an Implementation Programme level. These stakeholders
could span across budget programmes, institutions and spheres of government, and
non-government stakeholders, where relevant.
b) Stakeholders can be involved through a number of workshops and / or a series of
consultation meetings with specific groups.
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c) The Implementation Programme plan needs to be coordinated and consolidated by
the leading institution.
d) Accounting Officers of contributing institutions must approve the commitments made
on the Implementation Programme plans and these should be reflected in their
institutional short and medium term plans.
e) A process for monitoring the progress of an Implementation Programme plan should
also be outlined by the leading institution in line with the relevant prescripts.
f) The Accounting Officer of the leading institution must approve the consolidated
Implementation Programme plan.
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Chapter 7
Infrastructure Planning
7.1 Introduction
Infrastructure comprises of the essential facilities and systems serving a country, city, or other
areas necessary for the economy to function. Infrastructure includes public and private
physical improvements such as roads, water supply, sewers, electrical grids and
telecommunications.
Infrastructure Planning is a process for ensuring that the physical needs of an area can be
delivered to keep pace with developmental requirements. Infrastructure planning must form
part of the short and medium term planning process to contribute to the achievement of
institutional priorities and broader government priorities.
This Revised Framework for Strategic and Annual Performance Plans aims to create
synergies between the existing Infrastructure Planning processes and short and medium term
planning in government. The Revised Framework for Strategic and Annual Performance
Plans must be read in conjunction with the National Treasury (NT) guidelines and regulations,
and other legislation and policies related to Infrastructure Planning.
This chapter provides institutions with a streamlined approach to Infrastructure Planning as
well as guidance on how Infrastructure Planning processes can be aligned to the short and
medium term planning processes of institutions.
7.2 Relationship between Infrastructure Planning and Spatial Planning
The NDP vision for the National Spatial Development Framework (NSDF) is to optimise,
integrate and coordinate strategic interventions in national spaces towards spatial
development and transformation. The Spatial Planning and Land Use Management Act
(SPLUMA) legislates the development of the National Spatial Development Framework to
provide direction for spatial targeting towards spatial development aspirations expressed in
the NDP.
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National sector departments and their provincial counterparts must add a spatial component
to their strategic plans that (1) is aligned to the NSDF, and (2) depicts the location of their
spending, especially those components with a specific spatial and/or capital/infrastructure
expenditure component. In doing so, they should also indicate how they will engage with the
unique attributes of the places where the investment will ‘land’ in a local space in such manner
that it (1) responds to the unique regional and local challenges (as articulated in the IDP and
SDFs), and (2) supports regional and local development in the area concerned.
7.3 Process for aligning Infrastructure Plans with Short and Medium
Term Plans
The process to be undertaken during the planning process for infrastructure development is
outlined in the Standard for Infrastructure Procurement and Delivery Management issued by
National Treasury.
The Strategic Plan focuses on a strategic overview of the sector or department/institution’s
vision, mission, values and impact, outcomes it aims to achieve over a five-year period.
In each province, there is an IDMS protocol, which outlines the roles and responsibilities of
the provincial department, related to infrastructure. With the IDMS, the portfolio management
process requires the development of the Infrastructure Asset Management Plan. The
Infrastructure Asset Management plan derives its mandate from the departmental strategic
plans in terms of outcomes it aims to achieve in relation to infrastructure development over 5
to 10 years, and therefore ensuring alignment of use of immovable assets with service
delivery objectives of a national or provincial department and the efficient utilisation of
immovable assets.
The infrastructure plan is governed by the Government Immovable Asset Management Act
which outlines the uniform framework of managing the immovable assets used by national or
provincial departments. The plan is reviewed annually to take into consideration the national
and provincial priorities decided by the Executive Authority. The Infrastructure Asset
Management Plan (IAMP) supports the development vision of the organisation and facilitates
prudent technical and financial decision-making over a long term period including the project
and programmes.
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The infrastructure planning and budgeting process begins with the identification of needs.
The needs will arise from multiple sources, including strategic requirements, infrastructure
life cycle needs, community needs, backlogs, political needs, health and safety matters, asset
management and should be recorded and retained on a database irrespective of their
perceived distinction.
The identified needs, which will be contained in the Infrastructure Asset Management Plan,
must align with the national, provincial and sector plans. Infrastructure planning processes
are adequately developed, infrastructure delivery will tend to remain reactive and not function
as an agent of strategic change i.e. a rear-view mirror approach will be pursued. The
infrastructure planning process is an absolute precondition to effective integrated
infrastructure planning. The importance of the infrastructure planning process that clearly
articulate strategic priorities cannot be over emphasised, as this is a key input when
prioritising infrastructure delivery particularly in the environment where funding is limited to
meet the identified needs.
The Infrastructure Programme Management Plan (IPMP) stipulates what the client
organisation intends to achieve in the MTEF period (i.e. the next 3 years) of implementation
including projects and programmes. The implementer responds to the IPMP through the
development of an Infrastructure Programme Implementation Plan (IPIP) which validates the
implementer’s understanding of what needs to be implemented and explicitly indicates how
this will be achieved, when and by whom. These plans also promote cooperative governance
and collaborative programme and project management. The tabled MTEF prioritised project
list, which forms part of the Estimate of Provincial Revenue and Expenditure (EPRE), is
informed by the IPMP. The Annual Performance Plans are derived from the tabled projects
list.
The Infrastructure Reporting Model is a monitoring and reporting tool used by provincial
departments to report on their infrastructure projects and programmes as required by the
Division of Revenue Act and Public Financial Management Act. Departments capture their
MTEF list of projects/programmes tabled as part of the Estimates of Provincial Revenue and
Expenditure. The provincial departments are required to report their progress on
project/programme, budget and expenditure on a monthly basis.
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Chapter 8
Monitoring, Reporting and Evaluations
8.1 Introduction
The implementation of plans must be monitored to measure progress towards the
achievement of planned targets, and to use monitoring findings to improve performance, and
future planning and budgeting.
Monitoring must be planned and conducted continuously by collecting data on specified
indicators, verifying and storing the data, and analysing and reporting findings. These
monitoring findings must be utilised to provide management, oversight institutions and the
public with information of the extent of actual progress in implementation in relation to the
plan.
Reporting is a vital component of the monitoring process and must be undertaken with the
intent to use the findings to inform management and oversight decision making. Reporting
entails tracking progress against a plan and it improves accountability for delivering on the
priorities of government, and provides focus on the use of allocated budgets by institutions.
It also provides an opportunity for institutions to indicate measures that will be taken to ensure
that implementation of plans remains on track.
Evaluations seek to systematically and objectively assess policies, programmes, and / or
systems to make judgements on the achievement of intended results and the assessment of
the causal links between implementation and the observed results.
The institutions’ Performance Information Management policy or Planning, Monitoring and
Evaluation framework should outline institutional processes for management and use of
credible Monitoring and Evaluation (M&E) findings and recommendations.
8.2 Monitoring and Reporting
In terms of the Revised Framework for Strategic and Annual Performance Plans, monitoring
and reporting must be done against the Strategic Plans, Annual Performance Plans and
Annual Operational Plans. An integral part of monitoring is the practice of regular and ad hoc
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reviews. Regular reviews must be undertaken against the Strategic Plan such as Mid-term
reviews (two and a half years) and End-term reviews (on the fifth year before the new
administration). Ad-hoc reviews should be conducted against Implementation Programmes,
policies, projects, systems and other special interventions. The findings of these reviews must
be used to inform the design or improvements of plans during the short and medium term
planning processes.
This section of the chapter aims to provide structured reporting processes and synchronise
the various reporting requirements against different institutional plans. Information is provided
for the following reports:
Mid-term and End-term review reports for the Strategic Plan
Quarterly and Annual reports for the Annual Performance Plan
Reporting against the Annual Operational Plan
8.3 Reporting on the Strategic Plan
8.3.1 Mid-Term Review Report
Purpose: Mid-Term Reviews provide progress on the implementation of an institution’s
Strategic Plan after the first two and a half financial years of implementation, with particular
reference to monitoring delivery of outcomes.
Focus:
A Mid-Term Review Report should include recommendations for performance, budgeting and
planning improvement for the remaining financial years of the implementation of the Strategic
Plan. The findings of Mid-Term Reviews can contribute towards sector performance
assessments. Institutions must report on progress against outcomes.
Timeframes:
Mid-Term Review Reports must be finalised by the end of November in the third year of
implementation of the Strategic Plan within a particular planning period, to reflect
performance for the first two and a half years of a planning cycle. Reported information must
be valid at the time of reporting.
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Process for Reporting:
a) Mid-Term Review reports of institutions must be approved by the Executive Authority and
tabled in Legislatures.
b) The approved Mid-Term Review report must be tabled in the relevant Legislature at a
date determined by the relevant Legislature.
c) The tabled Mid-Term Review report must be submitted to the DPME and the relevant
Offices of the Premier, within two weeks after tabling.
d) The tabled Mid-Term Review report must be published on the institutions’ website.
Process for Feedback:
a) Oversight institutions must use the Mid-Term Reviews during the assessment of draft
Annual Performance Plans for the next financial period.
b) Institutions must establish processes to use the Mid-term Review reports to inform the
development of the Annual Performance Plan in the next financial year and the Strategic
Plan in the following planning cycle.
Responsible institution:
All national and provincial institutions.
8.3.2 End-Term Review
Purpose: End-Term Reviews provide the extent of progress and achievement on the
implementation of an institution’s Strategic Plan, with particular reference to monitoring
delivery of outcomes and impact, where the impact can be assessed after a five year period.
Focus:
The End-Term Review should include recommendations for performance, budgeting and
planning improvement for the next planning cycle. The findings of End-Term Reviews can
contribute towards sector performance assessments. Institutions must report on progress
against outcomes and impact, where the impact can be assessed after a five year period.
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Timeframes:
End-Term Review Reports must be finalised at the end of July in the first financial year of the
new planning cycle, to reflect audited performance for the first four years of the five year
planning cycle and pre-audited performance for the fifth year of the five year planning cycle.
Reported information must be valid at the time of reporting.
Process for Reporting:
a) End-Term Review reports of institutions must be approved by the Executive Authority and
tabled in Legislatures.
b) The approved End-Term Review report must be tabled in the relevant Legislature at a
date determined by the relevant Legislature.
c) The tabled End-Term Review report must be submitted to the DPME and the relevant
Offices of the Premier, within two weeks after tabling.
d) The tabled End-Term Review report must be published on the institutions’ website.
Process for Feedback:
a) Oversight institutions must use the End-Term Reviews during the assessment of draft
Annual Performance Plan in the next financial year and the Strategic Plan in the following
planning cycle.
b) Institutions must establish processes to use the End-term Review reports to inform the
development of the Annual Performance Plan in the next financial year and the Strategic
Plan in the following planning cycle.
Responsible institution:
All national and provincial institutions.
8.4 Reporting on the Annual Performance Plan
8.4.1 Quarterly Performance Reports
Purpose:
Quarterly Performance Reports (QPRs) provide progress on the implementation of an
institutions’ Annual Performance Plan on a quarterly basis, with particular reference to
monitoring performance against outputs.
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Focus:
A Quarterly Performance Report requires institutions to review performance over a three
month period, justify and communicate achievements, and indicate the necessary actions
that will be taken to ensure that the implementation of the Annual Performance Plan remains
on track.
Timeframes:
Quarterly Performance Reports must be submitted within 30 days after the end of each
quarter. Reported information must be valid at the time of reporting.
Process for Reporting:
a) Institutional Quarterly Performance Reports must be compiled according to the
relevant Quarterly Performance Reports guidelines issued by the DPME.
b) Quarterly Performance Reports must provide progress against targets set in the
Annual Performance Plan and must be approved by the Accounting Officer, and
submitted to Executive Authority, and oversight institutions.
Process for Feedback:
a) Oversight institutions must establish processes to provide feedback to institutions on
performance reported in Quarterly Performance Reports against the Annual
Performance Plan.
b) Institutions must establish processes to implement the recommendations from the
feedback to ensure that monitoring findings are implemented to improve the
implementation of the Annual Performance Plan. Lessons learnt from the feedback
can inform the development of plans in the following financial year.
Responsible institution:
All national and provincial institutions.
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8.4.2 Annual Reports
Purpose:
The Annual Report provides information on the performance of institutions in the preceding
financial year for the purposes of performance review, learning and oversight. Annual Reports
are developed based on Annual Performance Plans.
Focus:
The Annual Report provides audited performance on the implementation of an institution’s
Annual Performance Plan. It provides details of the implementation of the allocated budget
to achieve results and the state of the institution’s management systems.
Timeframes:
Annual Reports must be finalised within nine months after the end of a financial year
according to Section 40 of the Public Finance Management Act (PFMA). Reported
information must be valid at the time of reporting.
Process for Reporting:
a) Institutional Annual Reports must be compiled according to the Annual Report
guidelines issued by the National Treasury.
b) The tabled Annual Report must be published on the website of the relevant institution
and be submitted to oversight institutions within 30 days after tabling.
Process for Feedback:
a) Oversight institutions must use the Annual Reports during the assessment of draft
Annual Performance Plans for the next planning period.
b) Institutions must establish processes to use Annual Report to inform the development
the Annual Performance Plan in the following financial year.
Responsible institution:
All national and provincial institutions.
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8.5 Reporting on the Annual Operational Plan
Purpose:
Reports provide progress on the implementation of an institutions’ Annual Operational Plan
in a particular financial year.
Focus:
Reporting on progress on the implementation of the Annual Operational Plan, with particular
reference to monitoring of outputs and activities.
Processes:
Institutions must ensure that the institution’s monitoring and evaluation system makes
provision for the continuous monitoring of the implementation of the Annual Operational Plan.
These provisions should identify processes for the collection of data on outputs and activities,
validation and storage of data, and the analysis and reporting on operations within the
institution. Reporting responsibilities and timelines must be formalised including the
institutional structures in which these reports will be tabled and discussed to inform
operational improvements.
Responsible institution:
All national and provincial institutions.
8.6 Roles and Responsibilities for Reporting
8.6.1 DPME
Role Responsibilities
a) Custodian of Monitoring
and Evaluation Systems
Establish systems for monitoring the implementation
and results of government priorities and programmes
b) Guidance on Reporting
Processes
Issue guidelines on the preparation of reports against
the Quarterly Performance Reports, and Mid-Term
Reviews and End-Term Review reports
Provide inputs into the guideline on the preparation of
the Annual Report
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Role Responsibilities
Develop reporting tools to facilitate the reporting
processes
c) Oversight on reported
information
Analyse institutional quarterly performance reports
and provide feedback
Establish structures for the oversight of performance
information of institutions
d) Support oversight
institutions and functions
on reporting practices
Support Offices of the Premier to provide oversight on
provincial institution’s reporting systems
Support national departments responsible for
concurrent functions to provide oversight on provincial
counterpart’s performance information
Support national and provincial departments to provide
oversight on public entities’ performance information
e) Support the utilisation of
monitoring findings
Support oversight institutions and bodies on the use of
monitoring findings to improve implementation, and
future planning and budgeting
8.6.2 Offices of the Premier
Role Responsibilities
a) Custodian of provincial
Monitoring and Evaluation
Systems
Establish systems for monitoring the implementation
and results of provincial priorities and programmes
b) Oversight on reported
information
Analyse institutional quarterly performance reports and
provide feedback
Establish structures for the oversight of performance
information of provincial institutions
c) Support oversight
institutions and functions
on reporting practices
Support provincial departments with public entities to
provide oversight on the performance of public entities
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Role Responsibilities
d) Support the utilisation of
monitoring findings
Support oversight institutions and bodies on the use of
monitoring findings to improve implementation, and
future planning and budgeting
Publish provincial performance information
8.6.3 National Treasury
Role Responsibilities
a) Custodian of the financial
performance reporting
system
Establish systems for monitoring the implementation of
government budget allocations
b) Guidance on Annual
Reporting
Issue guidelines on the preparation of Annual Reports
c) Oversight on reported
information
Analyse government expenditure reports and provide
feedback
Participate in structures to provide oversight on
government performance information
d) Support the utilisation of
monitoring findings
Support government institutions to use monitoring
findings during the budget process
8.6.4 Department of Women
Role Responsibilities
a) Custodian of gender
responsive, planning ,
monitoring and evaluation
systems
Coordination of gender responsive budgeting
,planning, monitoring and evaluation systems
Provide oversight on monitoring of women’s
empowerment and promotion of gender equality
Provide gender related input on report provided at all
levels
b) Facilitate gender-
responsive reporting
Provide guidance on gender-responsive reporting
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Undertake gender analysis of quarterly performance
reports, Annual Reports, Mid-Term Reports and End-
of-Term Reports
c) Support oversight Support public institutions to enhance their gender-
responsiveness in planning, budgeting, monitoring and
evaluation
a) Support the utilisation of
gender-related
monitoring findings
Support relevant public institutions on the use of
monitoring findings to improve implementation and
future planning and budgeting towards the gender
equality and women’s empowerment
8.6.5 Provincial Treasuries
Role Responsibilities
a) Custodian of the provincial
financial performance
reporting system
Establish systems for monitoring the implementation of
provincial government budget allocations
b) Oversight on reported
information
Analyse provincial institutional reports and provide
feedback
Participate in structures to provide oversight on
provincial performance information
c) Support the utilisation of
monitoring findings
Support provincial institutions to use monitoring
findings during the budget process
8.6.6 National Departments Responsible for Concurrent Functions
Role Responsibilities
a) Custodian of sector
specific monitoring
systems
Establish systems for monitoring the implementation of
national priorities specific to a particular sector
b) Oversight on reported
information
Analyse provincial institutional reports and provide
feedback
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Role Responsibilities
Establish structures to provide oversight on sector
specific performance information
c) Support the utilisation of
monitoring findings
Support provincial institutions on the use of monitoring
findings to improve implementation, and future
planning and budgeting
8.6.7 Departments with Public Entities
Role Responsibilities
a) Oversight on reported
information
Analyse relevant public entity reports and provide
feedback
Establish structures to provide oversight on public
entity performance information
b) Support the utilisation of
monitoring findings
Support public entities on the use of monitoring
findings to improve implementation, and future
planning and budgeting
8.6.8 Institutions
Role Responsibilities
a) Implement institutional
monitoring systems
Institutions must establish monitoring systems to
collect, verify and store performance information, and
analyse and report on performance against plans.
Institutions must adhere to the focus and timeframes of
reports as provided in the relevant guidelines for the
preparation of reports.
b) Utilise monitoring findings Establish institutional processes and structures to use
monitoring findings to improve implementation, and
future planning and budgeting.
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8.7 Context for Evaluations within the Planning Cycle
Evaluations seek to provide an objective view through rigorous research methods to inform
conclusions about performance, reasons for performance and non-performance, and to
suggest recommendations for improvement.
The diagram below provides a generic planning and implementation cycle for policies and
programmes, and indicates stages in which the use of evidence adds value to diagnosis,
planning design, implementation, monitoring and evaluations processes to improve the
developmental results associated with government’s policy delivery.
Figure 8.7.1: Using evidence in the policy/programme cycle
The table below shows the different types of evaluation and where they occur in the planning
and implementation cycle.
Document,
reflect, learn
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Table 8.7.2: Types of evaluations which can be undertaken at the different stages of
the planning and implementation cycle (Guidelines for the types of evaluations are
available on the DPME website)
Type of Evaluation
Description Stage in cycle Use of Evaluation Findings
Diagnostic evaluation
Defines the problem, the root causes of the problem, and options that can be considered
Diagnosis is undertaken prior to planning an intervention to inform the design of an intervention.
The diagnostic evaluation is used to assess the underlying problem, the root causes, and options / solutions.
Design evaluation
Reviews the strength of the design of an intervention.
Preferably a quick review after design is completed but before implementation, to allow time to make improvements to the intervention.
To improve the design of an intervention before implementation begins in order to strengthen the likelihood of the intervention achieving its intended results.
Implementation evaluation
Assesses whether the theory of change underlying the intervention is being achieved, whether the outputs are being achieved, whether the outcomes are likely to be achieved and whether the assumptions underlying the design of the intervention hold.
During implementation of an intervention.
Findings can be used to determine how the design and operation of an intervention should be improved to achieve the intended results.
Impact evaluation
Undertaken at the end of a phase of the implementation of a plan to assess whether the intended outcomes and impacts of the intervention are being achieved. Impact evaluation should be designed at the beginning of an intervention, including a baseline, and the planned results.
After a minimum of five years of implementation of an intervention.
This will provide a source of evidence for decisions related to the improvement, continuation or discontinuation of the intervention, and / or other policy and budget allocation decisions.
Economic evaluation
Undertaken to assess costs-benefits or cost-effectiveness of an intervention, and will often be combined with a diagnostic (to compare options), or
At any stage during the implementation of an intervention.
Findings are used to determine whether an intervention requires improvement or discontinuation
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Type of Evaluation
Description Stage in cycle Use of Evaluation Findings
impact (to compare cost-benefits of different models implemented) evaluations.
based on evidence on the relationship between an intervention’s results and the costs associated with those results.
Synthesis evaluation
Undertaken when a number of evaluations have been concluded for a sector. These evaluations review where the results of a number of evaluations and research evidence can be used to generate a performance view of the sector.
Any stage of an intervention, particularly diagnostic prior to redesign of new policy, or legislation
Findings often used from range of programme evaluations as a review of a sector
8.8 The processes for undertaking evaluations through the National
Evaluation System:
Strategic and/or large programmes which are key for the achievement of the NDP and the
Monitoring Framework for the NDP Five Year Implementation Plan should be evaluated at
least every five years. The evaluations for the identified strategic programmes which are
reflected in the Monitoring Framework for the NDP Five Year Implementation Plan and the
relevant institutional strategic plans are planned for as part of the rolling three year and annual
national evaluation plan, provincial evaluation plan, institutional evaluation plans. The
evaluation plans must be approved by Cabinet, Provincial Executive Councils and
institutional management, where applicable. The evaluation plans are developed by DPME,
Offices of the Premier and institutions respectively, and include the identified targeted priority
evaluations to be carried out.
Improvement plans to address the recommendations from the evaluations must be produced
by departments with the involvement of key stakeholders. Outputs from these improvement
plans should be reflected in institutional short and medium plans, and reported in the relevant
reports.