PERFORMANCE TRACKING SYSTEM

PERFORMANCE TRACKING SYSTEM

Objectives of PTS

Performance tracking system is designed by keeping in view of the following objectives

• Systematically evaluate individuals, institutions, programs, and departments.

• Identify Indicators for both Performance & Process.

• Provide Drill down capability

§ By Field

§ By Function

§ By Functionary

§ By Finance

• Integrate grading of Functionaries, Institutions, Units, and Departments.

• Support Objective Assessment for Incentives and Disincentives.

Features of the System

The main features of the PTS are described as follows:

• Login accounts for all employees and the functionaries of the GoAP. I.e., support to all 10 lakh employees of all 200 departments of the GoAP

• Automatic provision of all forms and reports with due permissions, authorized as per the roles in effect.

• Provision to specify an organization structure, addition of employees, institutions, functionaries, and department indicators.

• Provision for setting resource distribution, target setting using common models by indicator, by employee, by department from top à bottom. I.e., setting target models by indicator, by employee, by department and field-wise.

• A variety of reports to be viewed by HoD, various functionaries and users (employees/public) of the system.

• Automated information flow, computation of grades, ranks, and preparation of report with best-practices, best-achievers etc.

• Entry of information by each employee (or by his superiors – to cater for the short-term situation with limited computers & bandwidth).

• Provides drill-down information following the 5-dimensions: Function, Functionary, Field, Finance, and Time.

• Integration and Linkages with External Assessment – Media Perception, Peoples Feedback, Call Center Service Fulfillment etc.

• Supports the Pentagonal Model: Comparisons with the past, targets, cumulative, bench-marks, Vision 2020 goals, Functionaries of the same cadre etc.

• Tracking various measures – Indicators, Growth

• Support for different predictive models

• Calendar, Scheduler, Tour Planner Services that are sensitive enough to the roles of the user.

• Communication facilities – Chat, Messaging, e-mail, SMS Messaging, Web-boards etc.

INTRODUCTION:

In line with the IT-based governance initiatives outlined in Vision 2020, an online system for tracking performance at all levels of governance known as the “Performance Tracking System (PTS)” has been developed. The conception and designing of this system relates in its entirety to the critical role that governance plays in achievement of targets and the system is also synchronized to support officials at all levels in implementing reforms in government.

PTS is an online information tracking system that assesses the performance of employees and the departments and would help them in coordinating a plan to achieve their targets and a better grade. PTS is programmed to collate performance data that will play a major role in realizing the goals of Vision 2020--Implementing IT in alleviating poverty and in simplifying government procedures, training government officials in implementing new reforms, suggesting Best Practices to the government on the basis of research, and supporting decision making in the government.

The current system of submitting monthly reports by every department to their heads is a manual one, wherein reports are generated manually by collecting data from various sources in the department. This system of reporting takes several days to process and involves immense calculations before a report is prepared for submission. This system costs about Rs.1–1.5 crores every month in terms of manpower and material and there is always a chance of losing data while maintaining huge stacks of files built as a result of paper-based work. Moreover, there is no central tracking or monitoring system in place and each functionary, geographical unit, and department functions independently.

PTS is an online web based application that avoids the above mentioned problems. This application is a comprehensive, user-friendly, automated management information system, which will send monthly reports from the respective lower level functionaries to their immediate superiors of the departments through the web. The monthly data sent by the departments to their heads are maintained in a centralized database that can be tracked and monitored from a focal position.

The main objective of PTS is to bring transparency in the government by evaluating the performance of various functionaries and employees in the government departments. This is done by comparing their achievements with the respective targets set by their immediate superiors. PTS, therefore, enables the employees to know their performance as well as the department’s performance by comparing various reports generated by the system.

PTS works in a systematic manner to evaluate individuals, institutions, programmes, and departments and identifies indicators for both performance and processes. The package is divided into Field (geographical location—village, mandal, taluk, district, and state), Function (services—agriculture, industry, education, etc.), Functionary (people in respective responsible posts), and Finance (allocation and utilization) for easy and uncomplicated use. Data fed into each of these domains from the lowest level gets automatically added to the central data pool, which is used to assess achievement. Target fixing and resource allocation is carried out in the system by the top-down process, wherein targets and resources are distributed step by lower step from the highest level.

PTS also has distributing data feeding capability which provides authentication for different employees/functionaries/departments to access the system by giving them separate login facilities through which data is entered online. This kind of authentication ensures that there is no mix up in data between any two or more employees/functionaries/departments, thus eliminating inconsistencies.

This tracking system enables the integrated grading and achievements assessment of functionaries, institutions, units, and departments, on the basis of the targets fixed and responsibilities given. The system is also programmed to facilitate easy and cost-effective communication between departments, thus saving on time, resources, and cumbersome procedures. These conveniences would go a long way in supporting objective assessments for incentives and disincentives.

PTS has a number of advantages over the current manual system. It facilitates effective management of data, provides distributed services to employees, ushers transparency in governance, brings about responsiveness among employees, assists in rapid retrieval of data, and most importantly, it is simple to use.

This is a web application aimed at assisting the government in tracking the processes workflows and achievements in all the departments throughout the state. This system provides an e-interface to all the departments in performing their duties. The objective is to quantify the performance of each and every functionary, department in the state. We can track this performance at functionary as well as resource level. Through this application each department,

1) can define,

a. their jurisdictions, called the territories,

b. the container relationships that exist among the territories,

c. The geographical locations, called the resources that map to each of the territories.

2) can specify, the designation hierarchies and the different Jobs that exist in the jurisdictions,

3) can record, the details of the employees, called the functionaries, that are holding those Jobs

4) Can define Performance as well as process indicators which are relevant to each department.

5) Can set the targets for the Indicators, to be achieved by the employees, and the corresponding grading system to evaluate the performance.

6) Provide all kinds of Reports showing performance of each and every functionary, performance of each resource and reports showing the performance of each department in different resources for easy comparison.

At the end of the month all the employees will use the system to feed their month long activities. The system can be used to evaluate the performance of the employees and departments from different standpoints, and hence the overall performance of the government.

INDICATOR or BENCHMARK

• A measure which helps to quantify the achievement of a result.

For example: Rate of low birth-weight babies, rate of high school graduation, crime rate, air quality index, unemployment rate

PERFORMANCE INDICATOR

• A measure of how well agency or program service delivery is working.

Three types:

How much did we do? e.g. # of customers served
How well did we do it? e.g. police response time, unit cost
Is anyone better off? e.g. % of clients who get and keep jobs

For this, all resources and functionaries are assigned indicators. All indicators broadly divided into two categories

(i) Performance Indicator

(ii) Process Indicators

Among these two categories, while evaluating performance of we are giving 70% weight age to “Performance Indicators” and the remaining 30% weight age to Process Indicators. The system is flexible enough to change these weight ages.

Targets are set for those indicators on regular basis and achievements against the targets show the performance of the department.

In the existing system only HOD is providing all data that is required to find the grading of the department for the indicators. The absence of lower level functionaries’ participation in directly providing data to the system is hampering the idea of indicator based measurement.

A web application is the easiest way to make all functionaries part of the system who are spread over various districts in the state.

The system facilitates employee membership in the application, a way to define targets at the state HOD level for the entire department, distribute those targets to lower level territories and functionaries i.e. pass them on up to the lowest level possible, and making every level employee feed his own achievement details.

Terminology

Territory:

Each department has its own partitioning structure of the state that is defined in relation to its nature of work and ease of administration and other factors. Each territory may contain several other territories. In order to capture this structure the territory type is defined.

Store the abstract representations of administrative fields, places or area (like “district” instead of Rangareddy) in the state by a department. DepartmentID tells the territories belonging to departments.

Resource:

A resource is a region or a division or partition on which an employee has control over it. E.g. Resource for Rangareddy district collector is the Rangareddy district itself. The resource for a clerk is the particular section of the office in which he is working. Container relationships exist among the resources. Simply saying, Resource is an instance of Territory.

E.g. Prakasm District, Kandukur Mandal.

Designation:

Designations define the employee hierarchy of the department. The several levels of jobs and responsibilities that exist in a department are defined based on designations.

E.g. District Collector, Mandal Revenue Officer etc.

Job:

Job is a Designation allotted to a particular Resource.

E.g. If we take “District Collector” is a Designation and “Rangareddy District” is a resource then “Rangareddy District Collector” is a Job.

Job = Resource + Designation

Note: Previously ‘Job’ is called as ‘Post’

Functionary:

A functionary is an Employee assigned to a particular Job. We can say it as an instance of “Job”.

E.g. “Mr. .Ajay Jain holding the Job of Rangareddy District Collector” is a functionary.

Functionary = Employee + Job

Indicator definition and assignment:

Indicators can be defined for any level of the department. Functionary indicators measure the performance of a functionary as an individual. Resource indicator tells his performance as the responsible person for the resource under his control. So to measure the functionaries’ performance we have to find his resource’s performance and also his personal indicator performance.

Resource indicators are given state level target and those targets are distributed among different sub resources. The achievement for the resource will be entered by the functionary responsible for the resource.

Apart from resource targets a functionary may be given indicators for his personal performance, for which also he must enter the achievement.

Indicators:
            Indicator is the yard stick with which we will measure the performance. An indicator has the following attributes.
i) Target
ii) Achievement
iii) A grade
iv) A grade calculation formula
v) periodicity
vi) weight age
             There will be a target set for the indicator for a year or month or quarter. There are four possible grades. A, B, C and D. The grade calculation formula specifies the percentage values for deciding the grade for whatever achievement that is made.
Ex: grade formula: 90-80% A
                              70-80% B
                              50-60% C
                             < 50% D
achievement percentage = achievement/target*100.

Periodicity:

This is the nature of the indicator i.e. whether it is monthly indicator, quarterly or half yearly

Weight age:

Weight age tells the importance of the indicator when using it to measure the performance of the department.

Target setting:

Let an indicator be applicable to the entire department. For this indicator the annual target is specified and the target is distributed among the next level resources by the state HOD. The next level functionaries will in turn distribute it among their sub resources and so on.

Target distribution:
The target may be distributed in any combination of the following ways:

1) The entire target is distributed among lower level resources
2) Part of the target is kept as personal target by the resource functionary
3) Subordinates in the same resource may be given some target

Achievement recording:
The achievement details come in accordance with the distribution process. The resource level functionaries may contribute to the target. If the target is given to lower level resources, then that lower level functionary will also feed his resource achievement.

Grade calculation:

Grade calculation of a resource w.r.to one indicator:

The target for a resource indicator is set at its highest territory level (the state level), and then distributed to lower level sub resources. If none of the middle level functionaries have any personal contribution targets for the indicator then the achievement entry takes place only at the lowest level. Now the grade of any resource for that indicator is given as follows.

             Achievement = sum of all achievements from all the sub resources
            Target = target for the resource given to it by the superior
            percentage = achievement/Target*100;
            Grading range = {90-80-70-50}

Use the grading range to give grading between A-D accordingly

Grade calculation of the entire resource w.r.to all indicators:

Let the resource have n indicators. Grade for each indicator is calculated as specified above. Then the grades are converted corresponding integers as (A=4, B=3, C=2, D=1). All of the indicators have weightings associated with them for that resource i.e. the importance of the indicator in measuring the performance of that particular resource. Sum of all weightings is 1. The weighted sum of all indicators gives a value between 1 and 4, which will give the grade of the resource.

INTEGRATED GRADING SYSTEM FOR SECRETARY, HOD, DISTRICT OFFICER, MANDAL OFFICER AND BELOW MANDAL LEVEL FUNCTIONARY

A functionary exists in association with a resource. The resource may have some targets. Now this functionary is responsible for those targets.
Let the resource target be 100 for a given month. Let the functionary is also having the indicator so that he is supposed to make some contribution to the total target personally. Now he may keep some target for himself for that month and distribute the remaining target among his sub resources or subordinates. For that indicator his performance is nothing but his resource’s performance. The functionary may have additional indicators which his resource is not having. In that case his personal achievement vs. target decides his grade for that indicator. His overall performance is again the weighted sum of all grades.

GRADING SYSTEM FOR PERFORMANCE PARAMETERS

· NON-REVENUE EARNING DEPARTMENTS

% OF TARGET ACHIEVED GRADE (SCORE)

≥ 100% A (4 POINTS)

90-100% B (3 POINTS)

75-90% C (2 POINTS)

< 75% D (1 POINTS)

· REVENUE EARNING DEPARTMENTS

% OF TARGET ACHIEVED GRADE (SCORE)

≥ 100% A (4 POINTS)

95-100% B (3 POINTS)

90-95% C (2 POINTS)

< 90% D (1 POINTS)

GRADING SYSTEM FOR TOURS & INSPECTIONS

% OF TOURS / INSPECTIONS GRADE (SCORE)

≥ 100% A (4 POINTS)

75-100% B (3 POINTS)

50-75% C (2 POINTS)

< 50% D (1 POINTS)

GRADING SYSTEM FOR FILE DISPOSAL

% OF FILES DISPOSED GRADE (SCORE)

≥ 50% A (4 POINTS)

25-50% B (3 POINTS)

10-25% C (2 POINTS)

< 10% D (1 POINTS)

GRADING SYSTEM FOR ACTION IN IMPORTANT MATTERS

% OF CASES DISPOSED GRADE (SCORE)

≥ 50% A (4 POINTS)

25-50% B (3 POINTS)

10-25% C (2 POINTS)

< 10% D (1 POINTS)

WEIGHTS FOR PERFORMANCE & PROCESS INDICATORS

WEIGHT

I. PERFORMANCE PARAMETERS 0.70

II. PROCESS INDICATORS 0.30

TOURS & INSPECTIONS [0.10]

DAYS TOURED (0.03)

OFFICE INSPECTIONS (0.02)

SURPRISE INSPECTIONS (0.03)

ROUTINE INSPECTIONS (0.02)

FILE DISPOSAL [0.10]

ACTION IN IMPORTANT MATTERS [0.10]

VIGILANCE CASES

ACB CASES

COMMISSION OF ENQUIRY CASES (0.04)

DEPARTMENTAL ENQUIRY

AUDIT REPORTS/PARAS

CMO REFERENCES (0.02)

CALCULATION OF INTEGRATED / COMPOSITE SCORE

INTEGRATED / COMPOSITE SCORE

= 0.7 (PERFORMANCE SCORE)

+ 0.1 (TOURS & INSPECTIONS SCORE)

+ 0.1 (FILE DISPOSAL SCORE)

+ 0.1 (ACTION IN IMPORTANT MATTERS SCORE)

HIGHEST SCORE = 4

LOWEST SCORE = 1

· GRADING SYSTEM FOR SCORE / GRADE POINT AVERAGE

SCORE/GPA GRADE

≥ 3.5 A

2.5 – 3.5 B

1.5 – 2.5 C

< 1.5 D

CALCULATION OF INTEGRATED / COMPOSITE SCORE

INTEGRATED / COMPOSITE SCORE

= 0.7 (PERFORMANCE SCORE)

+ 0.1 (TOURS & INSPECTIONS SCORE)

+ 0.1 (FILE DISPOSAL SCORE)

+ 0.1 (ACTION IN IMPORTANT MATTERS SCORE)

HIGHEST SCORE = 4

LOWEST SCORE = 1

· GRADING SYSTEM FOR SCORE / GRADE POINT AVERAGE

SCORE/GPA GRADE

≥ 3.5 A

2.5 – 3.5 B

1.5 – 2.5 C

< 1.5 D

WHERE

1. PERFORMANCE SCORE

= (TOTAL SCORE OF PERFORMANCE INDICATORS FOR A DEPARTMENT) / TOTAL NO.OF PERFORMANCE INDICATORS

Example: Department 1: TOTAL PERFORMANCE INDICATORS = 8

An indicator’s grade will be any of A=4, B=3, C=2, D=1.

Its contribution to the total performance will be = value * weightage.

For n indicators

Total grade of the department= ∑Gi*Wi Gi=grade Wi=weightage

2. TOURS & INSPECTIONS SCORE

= [DAYS TOURED SCORE (0.3) X 4 OR 3 OR 2 OR 1]

+ [ROUTINE INSPECTIONS SCORE (0.2) X 4 OR 3 OR 2 OR 1]

+ [SURPRISE INSPECTIONS SCORE (0.3) X 4 OR 3 OR 2 OR 1]

+ [OFFICE INSPECTIONS SCORE (0.2) X 4 OR 3 OR 2 OR 1]

Example: Department 1:

INDICATIVE CONDUCTED % GRADE (SCORE)

DAYS TOURED 10 10 100 A (4)

ROUTINE INSPECTIONS 5 4 80 B (3)

SURPRISE INSPECTIONS 5 3 60 C (2)

OFFICE INSPECTIONS 10 4 40 D (1)

TOURS & INSPECTIONS SCORE = [(0.3 X 4) + (0.2 X 3) + (0.3 X 2) + (0.2 X 1)] = 2.6

3. FILE DISPOSAL SCORE

= [TOTAL FILES: 4 OR 3 OR 2 OR 1]

Example: Department 1:

TOTAL FILES DURING DISPOSED DISPOSAL % GRADE (SCORE)

THE MONTH

1000 500 50 A (4)

FILE DISPOSAL SCORE: 4

4. ACTION IN IMPORTANT MATTERS SCORE

= [VIGILANCE CASES, ACB CASES, COMMISSION OF ENQUIRY CASES,

DEPARTMENTAL ENQUIRY, AUDIT REPORTS/PARAS (0.4) X 4 OR 3 OR 2 OR 1]

+ [CMO REFERENCES, CMS ANNOUNCEMENTS (0.2) X 4 OR 3 OR 2 OR 1]

+ [ADVERSE MEDIA REPORTS (0.4) X 4 OR 3 OR 2 OR 1]

Example: Department 1:

TOTAL DURING DISPOSED DISPOSAL % GRADE (SCORE)

THE MONTH

VIGILANCE CASES

ACB CASES

COMMISSION OF ENQUIRY 200 50 25 B (3)

DEPARTMENTAL ENQUIRY

AUDIT REPORTS / PARAS

CMO REFERENCES

CM’S ANNOUCEMENTS 10 5 50 A (4)

ADVERSE MEDIA REPORTS 5 2 40 B (3)

ACTION IN IMPORTANT MATTERS SCORE = [(0.4 X 3) + (0.2 X 4) + (0.4 X 3)] = 3.2

CALCULATION OF INTEGRATED SCORE FOR THE DEPARTMENT IN ABOVE EXAMPLE

PERFORMANCE TOURS & INSPECTIONS FILE ACTION INTEGRATED

SCORE SCORE SCORE SCORE SCORE

2.5 2.6 4 3.2 2.73*

*INTEGRATED SCORE 2.73 = 0.7 (2.5) + 0.1 (2.6) + 0.1 (4) + 0.1 (3.2)

Note:

1. IN CASE TOURS & INSPECTIONS IS NOT APPLICABLE FOR A DEPARTMENT, INTEGRATED SCORE IS CALCULATED BY USING PROPORTIONAL WEIGHTS i.e. 10% WEIGHT OF TOURS & INSPECTIONS IS DISTRIBUTED AMONG PERFORMANCE, FILE DISPOSAL AND ACTION IN IMPORTANT MATTERS SCORES.

2. SIMILARLY, IF THERE IS NO CASE (VIGILANCE, ACB, etc.) PENDING FOR A DEPARTMENT, PROPORTIONAL WEIGHTS IS USED TO CALCULATE INTEGRATED SCORE.