The Growing Importance of The Growing Importance of Performance Management Systems at the Federal Level in the United States Professor Kenneth Apfel University of Maryland

KEY COMPONENTS OF PERFORMANCE MANAGEMENT PLANS System of measuring performance, setting performance goals and establishing accountabilities System used to manage the organization (through common language) System linked to strategic planning and evaluation processes Internal and external involvement and acceptance of system - transparency

Accurate and timely intelligence shared by all. Rapid deployment of resources Effective tactics and strategies Relentless follow-up and assessment PERFORMANCE-STAT TENETS

The Baltimore Citi-Stat Process Participating agencies submit customized data templates on a regular basis to report on key performance indicators.

Mapping Digital maps are used to plot complaints, vacant homes, lead paint violations, food inspections, and potholes, allowing managers to track employee performance and public service delivery.

Most states - and many US cities - have now established performance management systems in varying forms. This is a harder task for the US Federal Government, but performance systems are growing in importance. Older history: Johnson, Nixon, Reagan

PRESIDENT CLINTON’S PERFORMANCE MANAGEMENT APPROACH Use Government Performance and Results Act to drive reforms – a federal law, not just administrative reforms by the Executive Branch National Performance Review – over 1,200 proposals bubbled up. Outcomes to be transparent Hammer Awards – recognition and rewards for major successes

GPRA FRAMEWORK: Strategic Plans –general goals and objectives, including outcome- related goals and objectives, for the major agency functions Annual Performance Plans –establish performance goals to define the level of performance to be achieved by a program activity Program Performance Reports –Includes the performance indicators established in the agency performance plan, along with the actual program performance achieved compared with the performance goals expressed in the plan for that fiscal year.

SSA’s Performance Management Plan INTERNAL & EXTERNAL INVOLVEMENT IN: 1.Mission 2.Strategic Plan (5 year plan) 3.Annual Performance Plan (annual plan) 4.Annual Performance Reports (results) Performance reinforced through: –Monthly Executive meetings –Quarterly Management Meetings –Regional/Field Actions: Drive Down in Organization –Link to Accountability

President Bush’s Performance Management Approach President’s Management “Scorecard” Program Assessment Review Tool Greater transparency A forceful, focused, high level approach!

Executive Branch Management Scorecard

Program Assessment Rating Tool Assesses Programs in Four Key Dimensions –Purpose and Design –Planning –Management –Results and Accountability Generates Objective Program Ratings –Effective –Moderately Effective –Adequate –Ineffective –Results Not Demonstrated Encourages Continuous Improvement Applies Consistent Framework to all Programs

National Academy of Public Administration Study on Federal Performance Management Strengthen performance initiatives by: Focusing on high Administration priorities Establishing agency accountability Establishing more transparency Conducting consultations with Congress Ensuring that performance systems are both useful and used

The Governance Dilemma (Donald Kettl) Coordination –Growing need for network-based solutions –No one is—or can be—in charge of results –Need for a leader to guide process Environment –Intense, immediate media coverage –Large, rapid costs from program failure –Serious problems spread globally Constraints –Money: fiscal limits –Management: results we have are as good as it gets Intellectual capital –No clear guide for theory or practice 17

President Obama’s Performance Management Approach A new, strengthened performance law Establish a new White House and agency senior executive: Chief Performance Officer Focus all agency performance around 2-4 key performance goals Establish broad-based, cross-cutting networked goals Make performance information both a useful and a used management tool

19 The Government Performance and Results Modernization Act of 2010 Signed into law on January 4, reinforces the 1993 GPRA performance legislation:  White House to work with agencies to create a Federal Performance Plan and Federal Priority Goals.  White House to develop government-wide performance goals in consultation with key committees of Congress.  All federal agencies to designate a Chief Operating Officer and a Performance Improvement Officer  Systems need more transparency

20 Recovery.gov

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22 (and next generation)

23 USAspending.gov

Most Important: Performance.gov This new site will include performance and evaluation information for all federal agencies Still in development stage --not yet ready for public viewing Soon!

Example of Performance.gov : Dep’t of Housing and Urban Development HUDStat: -- HUD is using HUDStat meetings – frequent goal- focused, data-driven discussions – to identify problems and examine them more carefully to find patterns and causal relationships, speed progress, improve quality, prevent or reduce problems, and cut costs. --In one HUDStat meeting that focused on rental housing, HUD examined geographic disparities in public housing occupancy rates to identify opportunities for increasing the number of renters it serves. HUDStat sessions inform program and budget decisions.

Example of Performance.gov: Food and Drug Administration FDA-TRACK : --FDA-Track develops, monitors, and reports on monthly performance measures, which are then analyzed and discussed with Agency's senior leadership. --FDA-Track website allows the public to view FDA’s performance data, learn about the agency’s breadth of responsibilities, and track progress. --FDA-Track includes important Agency-wide initiatives, such as progress on egg farm inspections, H1N1 vaccines and medical countermeasures.

27 Example of Performance.gov: Social Security Administration  SSA Performance Improvement Officer is the new, accountable official  All federal agencies required to establish ambitious Priority Goals to achieve over the next months. Social Security Administration has four Priority Goals: Increase benefit applications filed “online” Reduce backlogs for disability claims Improve customers’ service experience Ensure effective stewardship by increasing program integrity efforts SSA evaluations to be included in Annual Performance and Accountability Reports

28 Example: Crosscutting Goals High Priority Performance Goals: limited number, high public value, achievable in months: Examples: –Reduce the population of homeless veterans to 59,000 by June, 2012 (HUD and VA and HHS) –By the end of 2011, increase the number of provinces in Afghanistan in which women and children are food secure from 10 to 14. (USDA, State, Defense) Evaluation initiatives linked to goals

CLINTON AND BUSH AND OBAMA ADMINISTRATIONS The past two decades: a stronger approach than the performance initiatives of prior US Administrations. Focus on results: federal laws enacted with greater focus on performance. Major, high visibility efforts by all three Presidents. And all newer initiatives were built on the performance initiatives (and weaknesses) of prior Administrations. All important steps. But the increasingly “networked” nature of public challenges will test the performance management movement in the years ahead. Who is accountable for what? PREDICTION: Future Presidents may criticize past Presidential efforts -- but they will build on past efforts, with increased transparency. Performance management is here to stay.