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Planning and Programming at GAO A Case Study

Planning and Programming at GAO A Case Study. Victor Rezendes Managing Director Strategic Issues. GAO’s Role.

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Planning and Programming at GAO A Case Study

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  1. Planning and Programming at GAOA Case Study Victor Rezendes Managing Director Strategic Issues

  2. GAO’s Role • GAO’s role has been to support the Congress in carrying out its constitutional responsibilities and to help improve the performance and assure accountability of government for the benefit of the American people • We do this in four fundamental ways: • Oversight–preventing and detecting fraud, waste, and abuse • Insight–making government more efficient and effective • Foresight–examining the role of government • Adjudication–bid protest resolution, legal opinions (e.g. appropriations law)

  3. Annual Performance Measures (1998 and 2002) Actual 93% 96%

  4. The Nature of GAO’s Work FY 1966 FY 1981 FY 1998 FY 2002 R& D Mandates Requests

  5. Transformation is about creating the future rather than perfecting the past

  6. The Evolving Role of the SAI • Our rapidly changing world is changing expectations • Increasing global interdependency • Changing security threats • Transition to knowledge-based economies • Changing demographics and quality of life issues • Rapidly evolving science and technology • Rising health care costs and challenges • Evolving governance structures • Public expectations for improved government performance and accountability • Long-range fiscal challenges

  7. Composition of Federal SpendingBy Budget Function 1962 1982 2002 Social Security Medicare & Medicaid Defense Net interest All other spending Source: Budget of the United States Government, FY 2004, Office of Management and Budget.

  8. Composition of Spending as a Share of GDP Assuming Discretionary Spending Grows with GDP after 2003and the 2001 Tax Cuts Do Not Sunset Percent of GDP Revenue Note: Assumes currently scheduled Social Security benefits are paid in full throughout the simulation period. Source: GAO’s January 2003 analysis.

  9. Federal Government:Doing More with Fewer People 9

  10. GAO’s Budget Authority and FTE LevelsFiscal Years 1992-2002 Dollars in millions FTE level 2002 1994 1998 2000 1992 1996 Fiscal years Full Time Equivalents Budget authority* *Budget authority is shown in inflation-adjusted 1992 dollars

  11. Effects of Responses to BudgetaryCuts, Downsizing, and Outsourcing • Lack of strategic alignment • Inadequate accountability for performance • Skills imbalances • Workload imbalances for remaining skilled workers • Succession planning challenges • Outdated performance appraisal systems • Reduced investments in people

  12. Strategic Planfor Serving the Congress Organizational Structure • Layers, units and locations • Horizontal and vertical axes Annual Planning • Annual Performance Plan • Budget Request (Resource Allocation) Accountability • Performance Measurement • Performance Management • P&A Report Capacity • Workforce Planning • Knowledge & Skills Inventory • Training • Information Technology Risk-Based Engagement Management Process (Portfolio Management) • Quality Assurance

  13. Strategic Planning • Six year plan is updated every 2 years to coincide with each new Congress • First strategic plan prepared in 2000; first update issued June 2002 covering FY 2002-2007

  14. Strategic Planning • Planning process based on model practices of other organizations • Case study done on first cycle; update cycle incorporated lessons learned • Planning process is ongoing and evolving

  15. Client Outreach and Consultation • Plan begins and ends with the Congress • Annual outreach effort prior to developing plan, involving all GAO teams and the Comptroller General: • Determining agenda • Feedback on performance • Systematic feedback on products

  16. Stakeholder Consultation • Major GAO stakeholders = other congressional agencies, accountability organizations, federal agencies, public policy organizations • Understanding stakeholders helps to identify our strengths and weaknesses • Consultation can also lead to collaboration • Joint planning—identifying opportunities to pursue common goals and objectives • Developing strategic relationships to accomplish common goals

  17. External (Environmental) Scan • Identification of emerging issues and trends • “Theme team” originally, now institutionalizing process • “Knowledge stewards” • Special studies • Regional environmental scans • Speaker series

  18. Internal Scan • Assessments of internal capacities: human capital, processes, technology, environment • Sources • Employee feedback • Skills inventory • Concept of operations • Others

  19. Developing and Updating the Plan • Both managers and staff develop and update plan • Senior leaders — Overall mission, core values, and strategic goals and objectives • Team managers and staff — Specific performance goals and key efforts

  20. Communication • Draft plan reviewed internally and externally; posted to our Web site with electronic comment feature • Strategic plan and performance and accountability plans and reports are online

  21. GAO’s Organization

  22. GAO’s Human Capital ProfileFY 1989, 1998, 2001, and Estimated FY 2002 23

  23. GAO’S Efforts to Develop a Skilled Workforce • Self-assessment checklist • Human capital profile • Workforce & succession planning • Employee feedback survey & suggestion program • Employee Advisory Council • Enhanced employee communications & participation • Skills & knowledge inventory • Employee preference survey • Frequent flyer miles • Training/development • Recruiting & college relations • Recognition & rewards • Flexitime & flexiplace • Business casual dress & business cards • Enabling technologies • Opportunity/inclusiveness • Mentor/buddy programs • Commuting subsidy • College loan repayment • Competency-based employee appraisal system

  24. Competency-BasedPerformance Appraisal • Clear link to our strategic plan and core values • Fair, honest, accurate and non-discriminatory assessment of performance based on standards that are valid, properly applied, and transparent to employees • Sound basis for enhancing the performance capacity of all staff, rewarding high-performing staff, and dealing with “below expected performers.”h with “below expected” performers

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  26. Institutional Risk Management • Congressional and agency protocols (policies, procedures, transparency) • International accountability and other organizations protocols planned • Domestic accountability protocols also being considered • Partnering with other accountability organizations • Constructive engagements with agencies • Client feedback (e.g. surveys)

  27. Institutional Risk Management • Seven step engagement management process 1. Formally accept engagement 2. Approve initiation of engagement 3. Commit to methodology and milestones 4. Stakeholders agree on message 5. Approval by senior managers 6. Receipt of comments by audited agency 7. Issue and distribute product publicly

  28. GAO High-Risk Program • Started in 1990 with focus on fraud, waste, abuse, and mismanagement • Evolved to include major economy, efficiency, effectiveness, and transformation challenges • Updates issued at the start of each new Congress

  29. Identifying High Risk in Government Programs Risk is seriously detrimental to Health or safety Service delivery National security National defense Economic growth Privacy or citizens’ rights Risk could result in Significantly impaired service or program failure Significantly reduced effectiveness or reduced efficiency Injury or loss of life Unreliable decision-making data Reduced confidence in government Unauthorized disclosure, manipulation or misuse of sensitive information Quantitative threshold: $1 billion in assets or revenues must be at risk.

  30. GAO’sHigh RiskList High Risk Areas Year Designated High Risk Addressing Challenges in Broad-based Transformations Protecting Information Systems Supporting the Federal Government and The Nation’s Critical Infrastructures Strategic Human Capital Management* U.S. Postal Service Transformation Efforts and Long-Term Outlook* Implementing and Transforming the New Department of Homeland Security Modernizing Federal Disability Programs * Federal Real Property * Ensuring Major Technology Investments Improve Services FAA Air Traffic Control Modernization IRS Business Systems Modernization DOD Systems Modernization Providing Basic Financial Accountability DOD Financial Management IRS Financial Management Forest Service Financial Management FAA Financial Management Reducing Inordinate Program Management Risks Medicare* Collection of Unpaid Taxes DOD Inventory Management Student Financial Aid Programs HUD Single-Family Mortgage Insurance and Rental Assistance Programs Earned Income Credit Noncompliance DOD Support Infrastructure Management Medicaid Program * Managing Large Procurement Operations More Efficiently DOD Weapon Systems Acquisition Department of Energy Contract Management NASA Contract Management DOD Contract Management 1997 2001 2001 2003 2003 2003 1995 1995 1995 1995 1995 1999 1999 1990 1990 1990 1990 1994 1995 1997 2003 1990 1990 1990 1992 *Additional authorizing legislation is likely to be required as one element of addressing this high-risk area.

  31. Next Steps • Institutionalize environmental scan • Build on stakeholder relationships • Better align strategic planning with annual planning and budget processes • Implement balanced scorecard of performance measures • GAO WEB Site : WWW.GAO.GOV

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