Planning and Programming at GAO A Case Study

1
Planning and Programming at GAOA Case Study
Victor Rezendes Managing Director Strategic Issues
2
GAOs Role

• GAOs 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 
• Oversightpreventing and detecting fraud, waste,
  and abuse
• Insightmaking government more efficient and
  effective
• Foresightexamining the role of government
• Adjudicationbid protest resolution, legal
  opinions (e.g. appropriations law)

3
Annual Performance Measures (1998 and 2002)
Actual
93
96
4
The Nature of GAOs 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 GAOs January 2003
analysis.
9
Federal GovernmentDoing More with Fewer People
9
10
GAOs 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• Outdated performance appraisal systems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
• PA 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
(No Transcript)
16
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

17
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 planningidentifying opportunities to
  pursue common goals and objectives
• Developing strategic relationships to accomplish
  common goals

18
External (Environmental) Scan

• Identification of emerging issues and trends
• Theme team originally, now institutionalizing
  process
• Knowledge stewards
• Special studies
• Regional environmental scans
• Speaker series

19
Internal Scan

• Assessments of internal capacities human
  capital, processes, technology, environment
• Sources
• Employee feedback
• Skills inventory
• Concept of operations
• Others

20
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

21
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

22
GAOs Organization
23
GAOs Human Capital ProfileFY 1989, 1998, 2001,
and Estimated FY 2002
23
24
GAOS 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

25
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

26
26
27
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)

28
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

29
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

30
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.
31
GAOsHigh RiskList
High Risk Areas
Year Designated High Risk
Addressing Challenges in Broad-based
Transformations Protecting Information Systems
Supporting the Federal Government and The
Nations 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 Coll
ection 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 19
95 1995 1999 1999 1990 1990 1990 1990 1994 1995 1
997 2003 1990 1990 1990 1992
Additional authorizing legislation is likely to
be required as one element of addressing this
high-risk area.
32
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