PERFORMANCE IMPROVEMENT PLANNING MODEL PERFORMANCE ASSESSMENT SYSTEM PROJECT
Contents 1. Approach to Performance improvement planning model 2. Data Entry and Forecasts 3. Module I: Performance Assessment 4. Module II: Action Planning 5. Module III: Financing Plan 6. Comparison of PIP plan options 2 Performance Assessment Systems (PAS) project, CEPT University, Ahmedabad
Approach to Performance Improvement planning model
Performance Improvement Performance Improvement component of the PAS Project focuses on development of financially feasible approaches to improve delivery of city-level services for water supply, wastewater and solid waste management. PIP Model has been developed as a multi-year plan with a focus on improving service performance across themes of access, equity, service levels and quality, efficiency and financial sustainability. To measure service performance Service Level Benchmarking indicators of the Government of India with additions for equity and on-site sanitation have been adopted in the PIP Model. 4 Performance Assessment Systems (PAS) project, CEPT University, Ahmedabad
Approach to Performance Improvement Planning Conventional Approach PAS Approach ‘PROJECT’ based approach ‘SERVICE’ based approach Oriented towards achieving OUTPUTS Oriented towards achieving OUTCOMES Starting point is an assessment of funding resources available – SUPPLY DRIVEN Starting point is measurement of current performance and local priorities – NEED DRIVEN Focus on developing INDIVIDUAL PROJECTS of various sectors Focus on developing integrated SECTORAL SOLUTIONS 5 Performance Assessment Systems (PAS) project, CEPT University, Ahmedabad
Approach to Action planning for service improvement Focus on moving away from ‘infrastructure investment plans’ to evolving ‘service improvement plans’ which include wide set of actions for improving service delivery. Multi-layered links between improvement actions and Multi-layered links between improvement actions and performance indicators, performance indicators, Regularise Policy for as against big singular project proposals … as against big singular project proposals … infrastructure unauthorised sewerage provision in slums connections Improve condition Coverage of Simplifying of existing household level new connection community and toilets in slums procedure public toilets Coverage of households with Provide new adequate Provision of safe Provision of safe individual toilet on-site sanitation on-site sanitation sanitation system system for system for facilities unsanitary toilets unsanitary toilets Efficiency of Coverage of Coverage of wastewater and Construct new household septage collection household community and system level toilets in public toilet blocks Household level toilets in city survey city Extent of reuse/recycling of treated Improving service levels related to Access and coverage by wastewater and varied set of interventions, septage rather than just infrastructure creation … Inter- sectoral linkages are also captured in PIP model … Impact of water augmentation on Per capita supply but also on wastewater generation, treatment capacity required, impact on finances
Integrated approach for FINANCIAL PLANNING Financial implications of each Improvement action Assess aggregate funding demand Capital expenditure Revenue generation from all improvement Operating and maintenance Effect of inflation based on actions expenditure phasing External sources of funds Exploring funding pattern possible Aligning both these for each improvement action financial streams to evolve sustainable ‘Financing Plan’ Internal sources of funds Exploring options to increase revenue from own income sources Assess financial Municipal finances of urban local bodies health and extent of Past trends of municipal Forecasting for finances for revenue surplus finances Business as Usual scenario available 7 Performance Assessment Systems (PAS) project, CEPT University, Ahmedabad
Performance Improvement Planning model I. PERFORMANCE PRIORITIES PIP Model starts with IMPROVEMENT PLAN OPTIONS Sector Performance indicators used as the measurement of current basis for assessing service performance performance levels. This is Actions (investments, policies, process followed by identification and changes) identified to achieve sector service objectives design of a set of actions to improve performance. Phasing II. ACTION PLANNING and financial implications of Improvement Plan developed by designing these actions are assessed and a actions for costs, phasing & revenue impact financing plan is developed. The Review Improvement Plan for impact on service performance Model enables comparison of various options in terms of their impacts on service levels and on III. FINANCIAL PLANNING ULB’s financial capacity to Key financial decisions related to sources funds, tariffs and transfer of surplus to WSS operate and maintain new Review feasibility of Financing Plan for infrastructure. capital and operating expenditure 8 Performance Assessment Systems (PAS) project, CEPT University, Ahmedabad
Steps in Performance Improvement Planning model PIP Model is DATA ENTRY BASELINE INFORMATION FOR PERFORMANCE ASSESSMENT developed as an Water supply, wastewater and solid waste; Municipal finance past trends and future forecasts excel based Excel sheet in PIP model : WSS info, Finance info, Municipal Finance spreadsheet to facilitate interactive PERFORMANCE Step 1.: ASSESS CITY PRIORITIES usage. Review trends of key performance indicators and peer comparison ASSESSMENT Excel sheet in PIP model : Performance assessment The structure of Step 2. SELECT IMPROVEMENT ACTIONS the Model has Identify improvement actions to meet sector goals been aligned Excel sheet in PIP model : Performance assessment with PIP planning process. It has ACTION Step 3. DEVELOP IMPROVEMENT PLAN three distinct Design of actions in Improvement Plan – Phasing, quantity and costs PLANNING modules, each Excel sheet in PIP model : WS Plan, WW Plan, SW Plan for a stage of PIP Step 4. REVIEW IMPROVEMENT PLAN planning Review impact on service performance process. Excel sheet in PIP model : Summary of Action Plan The chart alongside FINANCIAL Step 5. MAKE FINANCIAL DECISIONS denotes each Sources of funds, Tariff structures & levels, Transfer surplus to WSS PLANNING sheet of excel Excel sheet in PIP model : Action Plan finance, Financing Plan workbook and Step 6. REVIW FINANCING PLAN its flow of Review feasibility of Financing plan for CapEx and OpEx sequence . Excel sheet in PIP model : Financing Plan 9 Performance Assessment Systems (PAS) project, CEPT University, Ahmedabad
Data Entry and Forecasts for Performance assessment
Situational assessment of sector across ‘value chain’ BASELINE Performance assessment is envisaged as a sector-wide approach, assessing entire INFORMATION value chain rather than focusing it as separate compartments. Value chain of Water supply and wastewater services ASSESS CITY PRIORITIES SELECT IMPROVEMENT ACTIONS DEVELOP IMPROVEMENT PLAN Current performance levels of water and sanitation services are assessed and quantified in terms of Key performance indicators. To arrive at these results, comprehensive compilation of baseline REVIEW IMPROVEMENT information is required. Each sector is captured through various data sets across their respective PLAN value chain. DEMOGRAPHY WATER SUPPLY WASTEWATER SOLID WASTE Water production Wastewater conveyance Solid waste generation MAKE FINANCIAL Water treatment Toilet facilities Collection & transportation DECISIONS Demography Water supply distribution Treatment and disposal Processing & treatment REVIW Taxes and charges Taxes and charges Taxes and charges FINANCING PLAN 11 Performance Assessment Systems (PAS) project, CEPT University, Ahmedabad
Snapshot of sector input sheet in PIP model BASELINE INFORMATION ASSESS CITY PRIORITIES SELECT IMPROVEMENT ACTIONS DEVELOP IMPROVEMENT PLAN REVIEW IMPROVEMENT PLAN MAKE FINANCIAL DECISIONS REVIW FINANCING PLAN 12 Performance Assessment Systems (PAS) project, CEPT University, Ahmedabad
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