31 March, 2011 CIRCULAR STANDING INSTRUCTION NO.1 OF ...

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THE REPUBLIC OF UGANDA
MINISTRY OF PUBLIC SERVICE
P.O.BOX 7003
KAMPALA, UGANDA
31 st March, 2011
CIRCULAR STANDING INSTRUCTION NO.1 OF 2011
PUBLIC SERVICE REWARDS AND SANCTIONS FRAMEWORK
1.0 BACKGROUND
1.1 Government has been implementing Public Service Reforms geared
towards improving efficiency and effectiveness in the performance of
the Public Service. Central to these reforms was the introduction of
Results Oriented Management (ROM) as a performance management
tool to enhance accountability, productivity and service delivery.
1.2 Accordingly, a number of initiatives have been introduced to support
ROM. These initiatives are: the Public Service Code of Conduct and
Ethics; the open Performance Appraisal System; Client Charters;
Output Oriented Budgeting; Performance Agreements for Senior
Managers; and the Rewards and Recognition Scheme. Besides,
National Service Delivery Surveys (NSDS) have been taken under
periodically to establish the extent to which the delivery of
Government services is being provided to the Citizens. These
measurehGms are aimed at transforming the Public Service and
linking the performance of individuals to the organisational and
national goals. The ultimate goal is to promote public trust and
confidence by holding Public Officers accountable for their actions and
inactions.
1.3 Sustenance of an effective performance management system must
however be supported by an objective rewards and sanctions
framework, which allows managers to reward excellent performance
and sanction poor performance in a timely manner. Such a framework
must be objective and robust enough to provide incentives for molding
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the behavior of employees and to cultivate a performance culture that
focuses on results, excellence and professionalism.
2.0 CURRENT SITUATION
2.1 A number of regulations and disciplinary procedures are detailed in
the Public Service Act, the Uganda Government Standing Orders, the
Code of Conduct and Ethics for the Public Service, the Public Service
Commission Regulations, and the Rewards and Recognition
Scheme.
2.2 Although the regulations provide for measures and procedures to
deal with indiscipline, their enforcement is still weak and slow. The
focus is on rewarding and recognizing good performance.
Sanctioning poor performance as a means of improving performance
is not being addressed. This has been confirmed by Public Service
Inspection Reports, the Local Government Reports, the Service
Commission Reports and the Joint Government/Development
Partners’ Reports.
2.3 The current system has the following weaknesses:
a) The rewards have not been applied in a standard manner across
the Service. Hence there is a lot of inconsistency in the
implementation.
b) The rewards are not significant enough to cause change in
behavior and to encourage exertion of extra effort.
c) The criteria for nominating best performers has been challenged
resulting in discontent.
d) The criteria for reward or recognition places little emphasis on
promoting innovativeness.
e) The focus on rewarding individuals does not allow enough
recognition of the collective and collaborative efforts by teams to
deliver key outputs.
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3.0 THE REWARDS AND SANCTIONS FRAMEWORK
In order to address the above shortcomings, a Rewards and
Sanctions Framework has been developed to provide a range of
rewards and sanctions to be enforced in the Public Service. The
Framework provides the principles and the criteria to be followed as
well as the Institutional arrangements. Specifically the Framework
shall:
a) facilitate recognition of employee performance, achievements,
innovations and contributions;
b) guide the management and sanctioning of poor performance at
the corporate, team and individual levels;
c) support a working environment that values employees and
facilitates a workplace that motivates and encourages high
performance; and
d) Provide for rewarding and sanctioning of Public Officers as
individuals or as members of a team.
4.0 OBJECTIVES OF THE FRAMEWORK
4.1 Overall Objective
The overall objective of the Rewards and Sanctions Framework is to
create a competitive work environment that supports a culture of
continuous search for improvements in performance, productivity,
innovation and service delivery.
4.2 Specific Objectives
The specific objectives of the framework are to:
a) enhance consistency, transparency and objectivity in application
of rewards and sanctions in the Public Service;
b) introduce sanctions to promote better performance;
c) promote innovation in public service performance and delivery;
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d) introduce financial rewards in addition to the already existing non
financial rewards; and
e) Increase the value of rewards and the intensity of the
consequences of sanctions.
5.0 GUIDING PRINCIPLES
The implementation of Rewards and Sanctions in the Public Service
shall be guided by the following principles:
Transparency:
Impartiality :
Results
Orientation:
Affordability:
Timeliness:
Flexibility:
There shall be openness and sharing of
information in rewarding good performance and
sanctioning poor performance.
In rewarding and sanctioning performance there
shall be fairness, irrespective of gender, race,
religion, disability or ethnic background.
The extent to which performance of individuals,
teams or organizations impacts on achievement of
organizational or national objectives will be the
basis for rewards or sanctions in the Public
Service.
In determining the nature of rewards, availability of
resources and sustainability shall be taken into
account.
There shall be immediate rewarding of good
performance for greater impact. Likewise,
immediate sanctioning shall be taken against poor
performance.
The rewards and sanctions may be customized to
take into account peculiar conditions that pertain in
a given Public Service entity.
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6.0 APPLICABILITY
The Public Service Rewards and Sanctions Framework shall apply to
all Ministries, Departments, Agencies and Local Governments at
Corporate; Team (Directorates, Departments, Divisions, Sections,
Units, Task Teams); and individual levels.
7.0 CRITERIA FOR APPLICATION OF A REWARD OR SANCTION
7.1 Criteria for Applying Rewards
To qualify for a reward, institutions, teams or individuals must satisfy
a number of conditions.
7.1.1 Conditions for Rewards at Institutional Level
a) Achievement of all performance targets as outlined in the
institutional performance plans outlined in the Ministerial Policy
Statement and the Budget Framework Papers.
b) Evidence of fulfillment of key service standards outlined in client
charters.
c) Sponsorship of an innovation that results in efficiency, economy
and effectiveness.
d) Demonstration of outstanding contribution towards national
development goals outlined in the National Development Plan
(NDP).
e) Achievement of results as reflected in the Government
Assessment Report.
7.1.2 Conditions for rewards at Team level
To qualify for a reward, a Team must demonstrate the following:
a) Achievement of all performance targets as outlined in the
performance plans, and the terms of reference in case of Task
Teams.
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) Sponsorship of an innovation that results in efficiency, economy
and effectiveness.
c) Demonstration of outstanding contribution towards achievement
of organizational goals.
7.1.3 Conditions for Rewards at Individual Level
To qualify for a reward, an individual must achieve one or a
combination of the following:
a) Individuals must exceed key commitments outlined in their
performance plans.
b) Sponsorship of an innovation that results in efficiency, economy
and effectiveness.
c) Demonstration of outstanding contribution towards achievement
of organizational goals
d) Exhibition of a good image of a Public Officer or the Public
Service by exceptionally observing the Code of Conduct and
Ethics for the Public Service.
7.2 Criteria for Applying Sanctions
Application of sanctions to institutions, teams or individuals shall be
based on the following conditions:
7.2.1 Conditions for Sanctions at institutional level
Sanctions shall be applied in cases of failure by an institution to:
a) Achieve half of the key deliverables as outlined in the performance
plans agreed upon under the Ministerial Policy Statements, the
Budget Framework Papers, and the Joint Assessment Framework.
b) Fulfill key service standards as outlined in the Client Charters.
c) Adhere to the Public Finance and Accountability Act and the
Leadership Code.
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7.2.2 Conditions for Sanctions at Team level
Sanctions shall be applied in cases of:
a) Failure by a Department or Team to achieve half of the key
deliverables as outlined in the performance plans agreed in the
Budget Framework Papers and Joint Assessment Framework.
b) Being among the last three worst performing Government
Institutions identified under the Government Assessment Report.
7.2.3 Conditions for Sanctions at Individual level
Sanctions shall be applied in cases of failure by a Public Officer to:
a) Achieve half of the key deliverables as outlined in the performance
plans agreed upon under Performance Agreements and the
performance appraisal process.
b) Observe the Code of Conduct and Ethics in the Public Service.
c) Meet performance standards as stipulated in the Client Charters.
d) Adhere to the Public Finance and Accountability Act, the
Leadership Code.
8.0 CATEGORIES OF REWARDS AND SANCTIONS
Three categories of rewards and sanctions shall be implemented in
the Public Service.
8.1 Reputational Rewards and Sanctions
a) Reputational Rewards: Interventions that are non financial but
boost one’s ego by exposing excellent performance. These will
include the Head of State Honours; the Minister of Public Service
Award; and the Minister of Local Government Award; Head of
Public Service and Secretary to Cabinet Award; Certificates,
Letters of Recognition or Commendation; plaques, trophies, public
applause, publishing the names and photographs of best
performers.
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) Reputational Sanctions: All interventions that are a source of
shame. These include public naming and shaming and other
appropriate disciplinary actions in accordance with the Standing
Orders, Service Commission Regulations and other appropriate
regulations.
8.2 Financial Rewards and Sanctions
a) Financial Rewards: These include increased budget allocations,
bonuses, coupons, and cash.
b) Financial Sanctions: These include reduced budget allocations,
and imposition of fines and penalties and other sanctions in
accordance with Public Finance and Accountability Act.
8.3 Operational Rewards and Sanctions
a) Operational Rewards: These are interventions that provide
operational flexibility and comfort in the management of financial
and non financial resources.
b) Operational Sanctions: These are interventions that withhold or
deny operational flexibility and comfort in the management of
financial and non financial resources.
c) The implementation modalities are detailed in Annex 1.
9.0 INSTITUTIONAL ARRANGEMENTS
a) The Ministry of Public Service will oversee the implementation of
the Rewards and Sanctions Framework.
b) There will be a Corporate Rewards and Sanctions Committee at
national level.
c) A Rewards and Sanctions Committee will be established in every
Ministry, Department or Local Government. These Committees will
replace the Disciplinary Committees.
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d) The implementation of the rewards and sanctions in the Public
Service will be a shared responsibility of all Public Officers,
supervisors and managers. Key among these are the Political
leaders in Ministries and Local Governments, Head of Public
Service and Secretary to Cabinet, Responsible Officers, Heads of
Department, Supervisors and Heads of Human Resource Division.
e) The roles and responsibilities for the key institutions and actors are
detailed in Annex 2 and 3.
10.0 INFORMATION, EDUCATION & COMMUNICATION PROGRAMME
a) All Public Officers should be aware of the rewards and sanctions
applicable in the Public Service. In this regard, Ministry of Public
Service will develop and implement a comprehensive information,
education and communication programme in respect of the
Rewards and Sanctions Framework.
b) The sensitization on rewards and sanctions will be included as one
of the sessions at all induction and orientation programs.
11.0 MONITORING AND EVALUATION (M&E) FRAMEWORK
a) The Ministry of Public Service Performance Monitoring Unit will be
responsible for monitoring the implementation of the Rewards and
Sanctions Framework.
b) The implementation of the framework will be monitored through
quarterly reports on disciplinary/absenteeism cases submitted by
the respective Ministries and Local Governments and through
annual reports, in the case of rewards.
c) The Unit will provide technical assistance and support to
Ministries, Departments, Agencies and Local Governments in the
implementation of the framework.
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12.0 IMPLEMENTATION ARRANGEMENTS
The implementation of this Circular takes effect from 1 st July 2011.
Responsible Officers are required to circularise the Public Service the
contents of this Circular for implementation and compliance. The
Circular can be accessed on the Ministry of Public Service.
Website: www.publicservice.go.ug.
Jimmy R. Lwamafa
PERMANENT SECRETARY
Distribution “B”
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Annex 1
FRAMEWORK FOR IMPLEMENTING REWARDS AND SANCTIONS AT INDIVIDUAL,
TEAM OR ORGANISATIONAL LEVEL
1. REWARDS
1.1 Rewards at Corporate Level
1.1.1 Reputational Rewards
REWARD
Head of State Honours
Minister of Public Service Award
Minister of Local Government
Award
Head of Public Service and
Secretary Cabinet Award
Other Rewards
IMPLEMENTATION MODALITIES
This will be awarded to the best performing Ministry or
Department; Agency and Local Government by H.E.
the President.
This will be awarded to the second best performing
Ministry or Department; Agency.
This will be awarded to the second best performing
Local Government.
This will be awarded to the third best performing
Ministry or Department; Agency and Local
Government.
a) The best three performing Ministries or
Departments; Agencies and Local Governments
will be publicized in the mass media.
b) Certificates of recognition will be issued to the best
three performing Ministries or Departments;
Agencies and Local Governments.
1.1.2 Financial Rewards
REWARD
Budget allocations
Cash/ Bonuses
IMPLEMENTATION MODALITIES
The Ministry responsible for Finance will explicitly
communicate, in the budget call circular, how past
good performance will have influenced budget
allocations to the best scored/ranked MDAs and LGs
The best three performing MDAs/LGs may be
considered for bonuses.
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1.1.3 Operational Rewards
REWARD
Flexibility in the management of
financial resources
IMPLEMENTATION MODALITIES
The Ministry responsible for Finance will provide
special guidelines to grant flexibility to best performing
institutions.
Flexibility in the management of
human resources
The Ministry responsible for Public Service will provide
special guidelines to grant flexibility to best performing
institutions.
1.2 Rewards at Team (Directorate/Department or Division or Unit Level)
1.2.1 Reputational Rewards
REWARD
Minister’s Award
Chairperson LCV/Mayor
Award
Other Rewards
IMPLEMENTATION MODALITIES
a) The Minister of the respective Institution will give an award
to the best performing team.
a) The Chairperson LCV/Mayor of the respective Local
Government will give an award to the best performing
team.
a) The best performing Team will be publicized on all
Institutional Notice Boards.
b) Certificates of Recognition, Plaques, Trophies will be
awarded based on the recommendation of the Reward
and Sanctions Committee
c) The best performing Team will be recognized and
applauded in all appropriate fora, throughout the year.
1.2.3 Financial Rewards
Staff bonuses/Cash/Coupons
The best performing team will be given staff bonus
cash or coupons by the respective Accounting Officers.
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1.3 Rewards at Individual Level
1.3.1 Reputational Rewards
REWARD
Responsible Officers’
Award
IMPLEMENTATION MODALITIES
The respective Responsible Officers may award Certificates of
Recognition/Letters, Plaques to the best performing individuals.
Other Rewards
a) Best performing Officers will be publicized on all Institutional
Notice Boards.
b) Certificates of recognition, plaques, trophies may be awarded
based on the recommendation of the Rewards and Sanctions
Committee.
c) The best performing Officers will be recognized and
applauded in appropriate fora throughout the Year.
d) Status symbols e.g. badges, key holders may be given to
outstanding performers
1.3.2 Operational Rewards
Invitation to high level
meetings/functions
Representing Senior
Management
Assignment of more
challenging duties
Outstanding performers may be nominated to attend high
level meetings/ functions.
Best performers may be nominated to represent Senior
Management as and when the Responsible Officer deems
appropriate.
The best performers may be assigned more challenging
and motivating duties.
1.3.3 Financial Rewards
Gifts/Presents
Bonus/ Cash reward
Gifts/ presents may be given to the best performers by the
Responsible Officers.
Best performers may be given Cash rewards/Bonuses/
Shopping Vouchers.
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2. SANCTIONS
2.1 Sanctions at Corporate Level
2.1.1 Reputational sanctions
SANCTION
Naming and Shaming
Implementation Modalities
Poor performing institutions will be publicized in all
appropriate fora
2.1.2 Financial Sanctions
Reduced budget allocations
The budgets of the poor performing institutions may be
reduced.
2.2 Sanctions at Team (Directorate/Department/Division/Unit) Level
2.2.1 Reputational Sanctions
SANCTIONS
Internal sanctions
Public shaming
IMPLEMENTATION MODALITIES
Internal sanctions like, warning letters will be administered to
the poor performers.
Results of the poor performers will be publicized in all
appropriate fora
2.2.2 Financial Sanctions
SANCTIONS
Penalty
IMPLEMENTATION MODALITIES
Poor performing Teams may be deprived of certain financial
incentives/benefits e.g bonuses/cash by the respective
Responsible Officers.
2.3 Sanctions at Individual Level
2.3.1 Reputational sanctions
SANCTIONS
Administrative Action
IMPLEMENTATION MODALITIES
Administrative progressive disciplinary action will be taken
against poor performers by the Responsible Officers, in
accordance with the Standing Orders, Service Commission
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Specific disciplinary
measures
Regulations and other appropriate regulations.
These include:
a) Warning
b) Severe Reprimand
c) Withholding or deferment of increment
d) Stoppage of increment Suspension of increment.
e) Surcharge or refund.
f) Making good of the loss or damage of public
property/assets
g) Interdiction from duty
h) Reduction in rank
i) Removal from the Public Service in Public Interest
j) Dismissal
Cases of persistent poor performance without justified cause
will be submitted to the respective Service Commissions for
appropriate action.
2.3.3 Financial Sanctions
SANCTIONS
IMPLEMENTATION MODALITIES
Specific disciplinary measures Appropriate disciplinary action will be taken against poor
performers by the Responsible Officers, in accordance
with the Standing Orders, Public Service Commission
Regulations and other appropriate Financial and
Accounting Regulations.
These may include:
a) Warning
b) Severe Reprimand
c) Withholding or deferment of increment
d) Stoppage of increment Suspension of increment.
e) Surcharge or refund.
f) Making good of the loss or damage of public
property/assets
g) Interdiction from duty
h) Reduction in rank
i) Removal from the Public Service in Public Interest
j) Dismissal
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Annex 2
INSTITUTIONAL ARRANGEMENTS
1. Ministry of Public Service
Ministry of Public Service will be responsible for:
a) Overseeing the implementation of the Rewards and Sanctions
Framework;
b) Monitoring and evaluating the implementation of the framework;
c) Providing technical assistance and support to Ministries, Departments,
Agencies and Local Governments;
d) Reviewing the framework;
e) Preparing and issuing implementation guidelines; and
f) Receiving and analyzing quarterly and annual reports from Ministries,
Departments, Agencies and Local Governments.
2. Corporate Rewards and Sanctions Committee
A Corporate Rewards and Sanctions Committee (CRSC) will be appointed
by the Head of Public Service. The Committee will, on an annual basis,
determine the level of performance at Ministry, Department, Agency or
Local Government level and recommend appropriate rewards and
sanctions.
2.1 Composition of the Committee
The Committee will be composed of the following:
a) Deputy Head of Public Service/Secretary Administrative Reform as the
Chairperson.
b) Four members of high integrity drawn from the, Private Sector, Civil
Society Organization who are knowledgeable about organizational
performance management and evaluation.
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c) One representative from the Public Sector.
d) One representative from the Academia
e) Ministry of Public Service will be the Secretariat.
2.2 Roles and Functions of the Committee
The roles and functions the Corporate Rewards and Sanctions Committee
shall be to:
a) Develop guidelines for scoring and ranking MDAs against
performance indicators applied in the performance
plans/agreements.
b) Consider submissions from the respective Responsible Officers who
deserve recognition for exemplary performance or for sanctioning.
c) Based on the guidelines and submissions from the Responsible
Officers, review the performance of the institution and identify best
and worst performing institutions.
d) Submit to the Head of Public Service nominees for consideration for
annual rewards and recognition by the H.E. the President, the
Minister responsible for Public Service and the Minister responsible
for Local Government.
e) Prepare and publish an annual performance scoring and ranking of
all Ministries, Departments, Agencies and Local Governments.
f) Support the Head of Public Service in identifying appropriate
interventions to improve the performance of poor performing
Ministries, Departments, Agencies and Local Governments.
3.0 Ministry/Department/Local Government Rewards and Sanctions
Committee
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Each Ministry/Department/Local Government shall have a Rewards and
Sanctions Committee, constituted by the Responsible Officer to:
a) Develop guidelines for scoring and ranking Teams against
performance indicators applied in the performance plans/agreements.
b) Consider submissions from the respective Heads of Departments who
deserve recognition for exemplary performance or for sanctioning;
c) Based on the guidelines and submissions from the Heads of
Department, review the performance of the team and identify best and
worst performing teams.
d) Submit to the Responsible Officer nominees for consideration for
annual rewards and recognition by, the respective Minister/Chairperson
/Mayor.
e) Prepare and publish an annual performance scoring and ranking of all
teams.
3.1 Composition of the Committee
The Responsible Officer will appoint a person of high integrity as the
Chairperson of the Committee, composed of the following:
a) Chairperson
b) Two retired Public Servants
c) One Civil Society representative
d) One Academia
e) Head of Human Resource (Secretariat)
3.2 Roles and Functions of the Committee
The Committee shall be responsible for:-
a) Receiving, assessing and reviewing nominations for rewarding and
sanctioning nominees.
b) Recommend appropriate rewards and sanctions that will be awarded.
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c) Develop guidelines for scoring and ranking nominees against
performance indicators applied in the performance plans/agreements.
d) Consider nominees by Heads of Department who deserve recognition
for exemplary performance or for sanctioning.
e) Submit to the Responsible Officer nominees for consideration for annual
rewards and sanctions.
f) Recommend to the Responsible Officer appropriate interventions to
improve the performance of lowly-scoring Departments.
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Annex 3
ROLES AND RESPONSIBILITIES KEY PLAYERS
1. Head of Public Service and Secretary to Cabinet
a) Appointing Members of the National Rewards and Sanctions Committee.
b) Submit the names of the nominees to H.E. the President, the Minister
responsible for Public Service and the Minister responsible for Local
Government.
c) Hosting the ceremony for the third best performing institution.
2. Responsible Officers
The Responsible Officers will have the direct responsibility and accountability for
implementing the Rewards and Sanctions Framework, in their respective
institutions. They will specifically:
a) Ensure effective performance management system in the Ministry,
Department, Agency or Local Government.
b) Observe and adhere to the laid down disciplinary procedures.
c) Enforce the Code of Conduct and Ethics for the Public Service.
d) Ensure that Public Officers are aware of their rights and obligations
e) Establish the Rewards and Sanctions Committee.
f) Ensure that in each financial year, adequate funds are budgeted for the
Reward and sanctions.
g) Ensure constant application and compliance to the Rewards and sanctions
scheme.
h) Provide annual reports on the implementation of the Framework.
i) Prepare and publish an annual scoring and ranking Teams.
3. Heads of Department
a) To identify Public Officers in the department who qualify for rewards or
sanctions in line with this framework.
b) Promote innovation and personal initiative.
c) Support the Heads of Sections /Divisions in delivering to the expected
standards.
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4. Supervisors
a) Support and guide staff to deliver on key deliverables in their performance
plans/Agreements.
b) Ensure that Public Officers are aware of their rights and obligations.
c) Identify individual Public Officers and teams for rewarding or Sanctioning in
the line with this framework.
d) Assess performance.
e) Recommend staff for rewards or sanctions.
5. Heads of Human resources Division/Section
a) Sensitize staff about the Rewards and Sanctions Framework.
b) Provide technical advisory services to all employees, supervisors and
managers concerning the framework.
c) Assist the Institution in developing their own awards and sanctions in line with
the principles and objectives spelt out in the Framework.
d) Monitor and evaluate of the implementation of the rewards and sanctions by
the institution.
e) Ensure that approved awards and sanctions are properly and timely
processed.
f) Maintain records of the on rewards and sanctions.
g) Coordinate the awards ceremonies.
Public Officers
a) Meet performance commitments as per the Performance Plan/Agreement.
b) Adhere to the Public Service Code of Conduct and Ethics and other
Professional Codes.
c) Support innovations at the individual or team level.
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