gao gpra modernization act overview

The GPRA Modernization Act

Public Law 111-352

Performance Community of Practice

Benjamin Licht, Senior AnalystStrategic Issues

March 2, 2011

Overview

• This presentation will provide an overview of

• the Government Performance and Results Act (GPRA);

• GAO’s findings related to GPRA;

• the requirements of the GPRA Modernization Act (GPRAMA);

• GAO’s responsibilities under GPRAMA; and

• GAO resources related to GPRAMA’s requirements

Government Performance and Results Act of 1993 (Public Law 103-62)• Part of a series of laws in the 1990s aimed at improving federal

government management

• Requires federal agencies to develop• strategic plans with long-term goals• performance plans with annual goals and measures• performance reports on prior year performance

• Also requires a governmentwide performance plan, intended to provide a single, cohesive picture of federal performance

After Nearly 2 Decades of GPRA, GAO’s Work Has Revealed…• GPRA has established a solid foundation of results-oriented planning,

measurement, and reporting in the federal government

• Federal managers surveyed by GAO reported having significantly more of the types of performance measures called for by GPRA

• However, we have not seen significant gains in the use of performance information for decisionmaking

• To encourage greater use of performance information, agencies should:• demonstrate leadership commitment• align individual, program, and agency goals• improve the usefulness of performance information• build analytic capacity to analyze and use performance information• communicate performance information frequently and effectively

After Nearly 2 Decades of GPRA, GAO’s Work Has Revealed…(cont.)• Challenges facing the federal government cannot be effectively

addressed by individual programs and organizations working in isolation.

• Yet agency GPRA plans and reports often contained little information on how agencies work with others to accomplish goals that cut across organizational lines.

• We have stated that GPRA’s requirement for a governmentwide performance plan could help provide a more crosscutting view on government performance and better integrate agency efforts, but OMB has not fully implemented this provision.

• In addition, we have recommended that a governmentwide strategic plan could provide a more integrated and long-term approach to addressing the nation’s most significant challenges.

GPRA Modernization Act of 2010 (Public Law 111-352) • Among other things, GPRAMA

• Creates a new governmentwide planning and reporting framework

• Amends agency level planning and reporting requirements

• Requires leadership involvement and accountability

• Requires the identification of key performance management skills and competencies

• Creates an annual process to reduce duplicative and outdated planning and reporting

GPRAMA Adds Governmentwide Planning and Reporting Requirements• The Act creates a new governmentwide framework including

• long-term federal government priority goals

• revised federal government performance plan requirements

• quarterly priority progress reviews

• a governmentwide performance website

Federal Government Priority Goals

• Long-term goals for the federal government covering

• select crosscutting policy areas

• management improvements needed governmentwide

• Developed every 4 years, beginning in a President’s 2nd year

• Informed by consultations with Congress at least every 2 years

• May be adjusted due to significant changes in the environment

Federal Government Performance Plans

• Annual plan to make progress toward long-term federal government priority goals

• Developed by OMB in coordination with agencies

• Comes out concurrent with the President’s Budget

• Plan identifies• annual performance goals and their lead government officials• federal agencies, programs and activities contributing to goals• common crosscutting performance measures• quarterly performance targets and milestones• plans to address crosscutting major management challenges

Federal Government Quarterly Priority Progress Reviews• At least quarterly, OMB supported by the Performance

Improvement Council will review with lead government officials the progress made toward achieving each federal government priority goal

• The review involves officials from the federal agencies, programs and other activities that contribute to achieving each goal

• At the review, they• assess how relevant federal agencies, programs and

activities are contributing to achieving each goal• categorize goals by their risk of not being achieved• for those at risk, identify strategies to improve performance

Federal Government Performance Website

• Presents a coherent picture of

• all federal programs, with each agency sharing information about each of its programs, including how it defines “program,” the purposes of each program, how it contributes to the agency’s mission, and recent funding information

• governmentwide performance by presenting information about the federal government priority goals, performance plans, and quarterly review results

• individual agency performance by consolidating information from each agency’s GPRA plans and reports, as well as highlighting the agency’s priority goals and quarterly results

GPRAMA Changes Planning and Reporting Requirements at the Agency Level• The Act adds

• agency priority goals

• agency quarterly priority progress reviews

• The Act amends the existing process and content requirements for

• strategic plans

• performance plans

• performance reports

Agency Priority Goals

• Every 2 years, OMB determines the total number of goals across the government, and how they are divided among agencies

• Agency priority goals• reflect the priorities of the agency head• are informed by the federal government priority goals and

Congressional consultations• have ambitious targets that can be achieved within 2 years• have a goal leader responsible for achieving each goal• have quarterly performance targets and milestones

Agency Quarterly Priority Progress Reviews

• At least quarterly, the agency head, Chief Operating Officer, and Performance Improvement Officer will review with goal leaders the progress made toward achieving each priority goal

• The review involves those who contribute to achieving the goal, both within the agency and from outside the agency

• At the review, they• assess how relevant programs and activities are contributing

to achieving the goal• categorize goals by their risk of not being achieved• for those at risk, identify strategies to improve performance

Agency Strategic Planning Process AmendmentsFormer GPRA Requirements:

• Revised at least every 3 years

• Covers at least a 5-year period

• Consultations with Congress

• Involve other stakeholders

• Submitted to OMB and Congress

GPRA as Amended:

• Revised every 4 years, approximately 1 year after a new Presidential term begins

• Consultations with relevant Congressional committees at least every 2 years

• Made available online and notify the President and Congress

Agency Strategic Plan Content AmendmentsPreviously Existing GPRA

Requirements:

• Mission statement

• Strategic goals

• Strategies and resources

• Relationship to performance goals

• External factors that could significantly affect the goals

• Program evaluations

GPRA as Amended Adds:

• Relationship to federal government priority goals

• Interagency coordination and collaboration

• Identification of agency priority goals

• Description of incorporation of Congressional input

Agency Performance Planning Process AmendmentsFormer GPRA Requirements:

• Covers the upcoming fiscal year

• No set timeframe (determined by OMB)

• Submitted to OMB

GPRA as Amended:

• Covers 2 fiscal years—the current and upcoming

• Timeframe concurrent with the President’s Budget

• Made available online and notify the President and Congress

Agency Performance Plan Content AmendmentsPreviously Existing GPRA

Requirements:

• Performance goals in objective, quantifiable, measurable form

• Cover all program activities

• Strategies and resources

• Performance measures

• Basis for comparing actual results with performance goals

• Means to verify/validate data


• Relationship to agency strategic and priority goals, and federal government performance goals

• Coordination and collaboration

• Contributing programs & activities

• Milestones

• Goal leaders

• Balanced set of measures

• Data accuracy and reliability

• Major management challenges

• Low-priority programs

Agency Performance Reporting Process AmendmentsFormer GPRA Requirements:

• Not later than 150 days after the end of a fiscal year

• Submitted to the President and Congress

GPRA as Amended:

• Not later than 150 days after the end of a fiscal year; more frequently for data of “significant value”

• Made available online only

Agency Performance Report Content AmendmentsPreviously Existing GPRA

Requirements:

• Actual performance compared to planned performance

• Trend information for 3 years

• Evaluate current performance plan based on last year’s performance

• Explanations for and plans to achieve unmet goals

• Summary findings of program evaluations


• Trend information for 5 years

• Data accuracy and reliability

OMB Report on Unmet Agency Goals

• Each year, OMB determines which goals each agency did not meet, based on targets set in performance plans

• OMB submits a report on unmet goals to Senate HSGAC, House OGR, the head of each agency with unmet goals, and GAO

• GPRAMA requires different actions depending on how long a goal has been unmet:

• 1st year – the agency submits a plan to meet unmet goals to OMB• 2nd year – the agency submits a plan to meet unmet goals to

Congress, which may include any statutory and/or funding changes• 3rd year – OMB submits recommendations to Congress, including

reauthorization proposals, statutory changes, executive actions or program termination

Implementation of GPRAMA’s Planning and Reporting Requirements• June 30, 2011 – Quarterly agency progress reviews, consistent with the Act,

begin for the goals listed in the President’s Budget for fiscal year 2011

• February 6, 2012 –• OMB publishes interim federal government priority goals and prepares

federal government performance plans, consistent with the Act• Agencies adjust their current strategic plans, prepare performance plans,

and identify new or update existing agency priority goals to make them consistent with the Act

• No later than February 27, 2012 – Agencies make performance reporting updates on FY2011 performance consistent with the Act

• June 30, 2012 – Quarterly federal government progress reviews begin

• No later than October 1, 2012 – OMB launches the governmentwide performance website

• February 3, 2014 – Full Implementation with a new strategic planning cycle

Other GPRAMA Requirements

• In addition to the governmentwide and agency level planning requirements, GPRAMA also requires:

• Leadership involvement and accountability

• The identification of key performance management skills and competencies

• An annual process to reduce duplicative and outdated planning and reporting

Governmentwide Leadership Involvement and Accountability• OMB – The Director has responsibilities for carrying out

provisions of the Act

• Performance Improvement Council (PIC) – Interagency council, chaired by the OMB Deputy Director for Management and composed of various agency Performance Improvement Officers, with responsibility for improving the management and performance of the federal government, and implementing the governmentwide planning and reporting requirements of the Act

• Lead Government Officials – For each governmentwide performance goal, the federal official responsible for coordinating efforts to achieve the goal

Agency Leadership Involvement and Accountability• Agency Head – Has responsibilities for carrying out various

provisions of the Act

• Chief Operating Officer (COO)– Deputy head of agency with responsibilities to improve agency management and performance

• Performance Improvement Officer (PIO) – Agency senior executive, chosen by agency head and COO, with responsibilities to assist in implementing the agency requirements of the Act

• Agency Goal Leaders – For each performance goal, including any priority goals, the agency official(s) responsible for achieving the goal

Federal Performance Management Skills and Competencies• The Act requires the Office of Personnel Management (OPM), in

consultation with the PIC, to identify key skills and competencies needed by federal employees to carry out various performance management activities

• After key performance management skills and competencies are identified, OPM incorporates them into

• relevant federal position classifications• existing agency training for relevant federal employees

Reducing Duplicative and Outdated Agency Planning and Reporting• Creates the following annual process at each agency:

• Agency compiles a list of all plans and reports the agency produces for Congress

• Agency analyzes the list and identifies duplicative or outdated plans and reports

• Agency consults with Congressional committees that receive the duplicative/outdated plans and reports to see if they are no longer useful and could be consolidated or eliminated

• Agency submits a total count of all plans/reports and the list of duplicative/outdated ones to OMB

• OMB proposes plan and report consolidation/elimination in the President’s Budget, and may also submit draft legislation aimed at this purpose

GAO’s Responsibilities under GPRAMA

• June 30, 2013 – GAO report reviewing implementation of the interim planning and reporting requirements (at the governmentwide and agency levels), including any recommendations to improve implementation

• September 30, 2015 and 2017 – GAO reports reviewing and recommending needed improvements to implementation for

• the 24 CFO Act agencies• the governmentwide planning and reporting processes

• September 30, 2021 and every 4 years thereafter – reviews of the governmentwide planning and reporting processes

Related GAO Reports

Comprehensive GPRA Reports

• Results-Oriented Government: GPRA Has Established a Solid Foundation for Achieving Greater Results, GAO-04-38 (Washington, D.C.: March 10, 2004)

• Managing for Results: Federal Managers' Views on Key Management Issues Vary Widely Across Agencies, GAO-01-592 (Washington, D.C.: May 25, 2001)

• The Government Performance and Results Act: 1997 Governmentwide Implementation Will Be Uneven, GAO/GGD-97-109 (Washington, D.C.: June 2, 1997)

• Executive Guide: Effectively Implementing the Government Performance and Results Act, GAO/GGD-96-118 (Washington, D.C.: June 1996)

Related GAO Reports (cont.)

Using Performance Information• Government Performance: Strategies for Building a Results-Oriented and Collaborative

Culture in the Federal Government, GAO-09-1011T (Washington, D.C.: September 24, 2009)

• Results-Oriented Management: Strengthening Key Practices at FEMA and Interior Could Promote Greater Use of Performance Information, GAO-09-676 (Washington, D.C.: August 17, 2009)

• Government Performance: Lessons Learned for the Next Administration on Using Performance Information to Improve Results, GAO-08-1026T (Washington, D.C.: July 24, 2008)

• Managing for Results: Enhancing Agency Use of Performance Information for Management Decision Making, GAO-05-927 (Washington, D.C.: September 9, 2005)


Crosscutting Activities and Interagency Coordination/Collaboration• Results-Oriented Government: Practices That Can Help Enhance and Sustain

Collaboration among Federal Agencies, GAO-06-15 (Washington, D.C.: October 21, 2005)

• Results-Oriented Management: Agency Crosscutting Actions and Plans in Border Control, Flood Mitigation and Insurance, Wetlands, and Wildland Fire Management, GAO-03-321 (Washington, D.C.: December 20, 2002)

• Results-Oriented Management: Agency Crosscutting Actions and Plans in Drug Control, Family Poverty, Financial Institution Regulation, and Public Health Systems, GAO-03-320 (Washington, D.C.: December 20, 2002)

• Managing for Results: Barriers to Interagency Coordination, GAO/GGD-00-106 (Washington, D.C.: March 29, 2000)

• The Results Act: Assessment of the Governmentwide Performance Plan for Fiscal Year 1999, GAO/AIMD/GGD-98-159 (Washington, D.C.: September 8, 1998)

• Managing for Results: Using the Results Act to Address Mission Fragmentation and Program Overlap, GAO/AIMD-97-146 (Washington, D.C.: August 29, 1997)


Congressional Involvement• Managing for Results: Views on Ensuring the Usefulness of Agency Performance

Information to Congress, GAO/GGD-00-35 (Washington, D.C: January 26, 2000)

• Agencies' Annual Performance Plans Under the Results Act: An Assessment Guide to Facilitate Congressional Decisionmaking, GAO/GGD/AIMD-10.1.18 (Washington, D.C.: February 1998)

• Agencies' Strategic Plans Under GPRA: Key Questions to Facilitate Congressional Review, GAO/GGD-10.1.16 (Washington, D.C.: May 1997)

• Managing for Results: Using GPRA to Assist Congressional and Executive Branch Decisionmaking, GAO/T-GGD-97-43 (Washington, D.C.: February 12, 1997)

• Managing for Results: Achieving GPRA's Objectives Requires Strong Congressional Role, GAO/T-GGD-96-79 (Washington, D.C.: March 6, 1996)


Leadership Commitment to Results-Oriented Management

• Organizational Transformation: Implementing Chief Operating Officer/Chief Management Officer Positions in Federal Agencies, GAO-08-34 (Washington, D.C.: November 1, 2007)

• Managing for Results: Federal Managers’ Views Show Need for Ensuring Top Leadership Skills, GAO-01-127 (Washington, D.C.: October 20, 2000)

Strategic Planning Practices


• Managing for Results: Critical Issues for Improving Federal Agencies' Strategic Plans, GAO/GGD-97-180 (Washington, D.C.: September 16, 1997)


Performance Planning Practices


• Managing for Results: Opportunities for Continued Improvements in Agencies' Performance Plans, GAO/GGD/AIMD-99-215 (Washington, D.C.: July 20, 1999)

• Performance Plans: Selected Approaches for Verification and Validation of Agency Performance Information, GAO/GGD-99-139 (Washington, D.C.: July 30, 1999)

• Agency Performance Plans: Examples of Practices That Can Improve Usefulness to Decisionmakers, GAO/GGD/AIMD-99-69 (Washington, D.C.: February 26, 1999)

• Managing for Results: An Agenda to Improve the Usefulness of Agencies' Annual Performance Plans, GAO/GGD/AIMD-98-228 (Washington, D.C.: September 8, 1998)

• The Results Act: An Evaluator's Guide to Assessing Agency Annual Performance Plans, GAO/GGD-10.1.20 (Washington, D.C.: April 1998)


Performance Reporting Practices


• Performance Reporting: Few Agencies Reported on the Completeness and Reliability of Performance Data, GAO-02-372 (Washington, D.C.: April 26, 2002)

• GPRA Performance Reports, GAO/GGD-96-66R (Washington, D.C.: February 14, 1996)

GAO on the WebWeb site: http://www.gao.gov/

ContactChuck Young, Managing Director, Public Affairs, [email protected](202) 512-4800, U.S. Government Accountability Office441 G Street NW, Room 7149, Washington, D.C. 20548

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