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    Subject Term: "Performance management systems"

    4 publications with a total of 23 open recommendations including 6 priority recommendations
    Director: Michael E. Clements
    Phone: (202) 512-8678

    2 open recommendations
    Recommendation: To help SEC address identified personnel management challenges, the Chair should enhance or expand the responsibilities and authority of the COO or other official or office so they can help ensure that improvements to communication and collaboration across SEC are made. For instance, if the duties of the COO were expanded, the COO could establish liaisons in each mission-critical office and division for SEC employees to contact or develop procedures to help facilitate communication and collaboration among the mission-critical office and divisions.

    Agency: United States Securities and Exchange Commission
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To help SEC address identified personnel management challenges, the Chair should develop and implement training for hiring specialists that is informed by a skills gap analysis.

    Agency: United States Securities and Exchange Commission
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Director: Robert Goldenkoff
    Phone: (202) 512-2757

    12 open recommendations
    including 5 priority recommendations
    Recommendation: To improve the capacity of HR functions at VA medical centers, the Secretary of Veterans Affairs should instruct the Under Secretary for Health to assign the following responsibility to the Assistant Deputy Under Secretary for Health for Workforce Service: develop a comprehensive competency assessment tool for HR staff that evaluates knowledge of all three personnel systems, (Title 5, Title 38 and Title 38-Hybrid).

    Agency: Department of Veterans Affairs
    Status: Open

    Comments: We will provide updated information once we confirm what actions the agency has taken in response to this recommendation.
    Recommendation: To improve the capacity of HR functions at VA medical centers, the Secretary of Veterans Affairs should instruct the Under Secretary for Health to assign the following responsibility to the Assistant Deputy Under Secretary for Health for Workforce Service: ensure that all VHA HR staff complete the competency assessment tool and use this data to identify and address competency gaps within HR offices.

    Agency: Department of Veterans Affairs
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To improve the capacity of HR functions at VA medical centers, the Secretary of Veterans Affairs should instruct the Under Secretary for Health to assign the following responsibility to the Assistant Deputy Under Secretary for Health for Workforce Service: evaluate the extent to which training strategies are effective for improving the skills and competencies of HR staff.

    Agency: Department of Veterans Affairs
    Status: Open

    Comments: We will provide updated information once we confirm what actions the agency has taken in response to this recommendation.
    Recommendation: To improve the capacity of HR functions at VA medical centers, the Secretary of Veterans Affairs should instruct the Under Secretary for Health to establish clear lines of authority that provide the Assistant Deputy Under Secretary for Health for Workforce Service the ability to oversee and hold medical center HR offices accountable for implementing initiatives to improve HR processes within HR offices as well as monitoring and reporting on the results of these initiatives.

    Agency: Department of Veterans Affairs
    Status: Open
    Priority recommendation

    Comments: VA agreed with our recommendation and stated that it plans to address this recommendation through an organizational realignment. As a first step, in March 2017, the Acting Under Secretary for Health issued a memo to VHA Deputy Under Secretaries, Network Directors, and Medical Center Directors stating that these officials are accountable for ensuring efficient and effective human capital service delivery. To fully implement the recommendation to hold medical center HR offices accountable, VA needs to establish procedures for monitoring and reporting on the results of its HR improvement initiatives.
    Recommendation: To improve the capacity of HR functions at VA medical centers, the Secretary of Veterans Affairs should instruct the Under Secretary for Health to establish clear lines of authority that provide the Assistant Deputy Under Secretary for Health for Workforce Service the ability to oversee and hold medical center HR offices accountable for requiring all HR staff to complete the competency assessment tool within HR offices.

    Agency: Department of Veterans Affairs
    Status: Open
    Priority recommendation

    Comments: VA agreed with our recommendation and stated that it was taking steps to address it. As a first step, in March 2017, the Acting Under Secretary for Health issued a memo stating that the Assistant Deputy Under Secretary for Health for Workforce Services (ADUSHWFS) is authorized to establish HR competencies for VHA HR staff, and also require VHA HR staff to complete HR competency assessments and training. Further, the memo requires the ADUSHWFS to report quarterly to the DUSHOM on the status of HR competency assessments and training completion. In late April 2017, VA officials stated that they are establishing processes to collect and monitor data on completion rates for the HR staff competency assessment tool. To fully implement the recommendation, VA should implement these processes and provide quarterly data on competency tool completion rates to the DUSHOM.
    Recommendation: To ensure VA medical centers make needed improvements to HR functions, such as those identified by VA's Office of Oversight and Effectiveness and VHA's Consult, Assist, Review, Develop, and Sustain (CARDS) reviews, the Secretary of Veterans Affairs should provide the Assistant Secretary for Human Resources and Administration (HR&A) and the Under Secretary for Health with the oversight responsibility of effectively monitoring the status of corrective actions at medical center HR offices and ensuring that corrective actions are implemented.

    Agency: Department of Veterans Affairs
    Status: Open

    Comments: We will provide updated information once we confirm what actions the agency has taken in response to this recommendation.
    Recommendation: To ensure that positions across all VHA medical facilities are placed in the appropriate class and grade, the Secretary of Veterans Affairs should direct the Assistant Secretary for HR&A and the Under Secretary for Health to clarify their lines of authority and processes for overseeing and holding Veterans Integrated Service Network (VISNs) and VHA medical facilities accountable for the consistent application of federal classification policies.

    Agency: Department of Veterans Affairs
    Status: Open

    Comments: We will provide updated information once we confirm what actions the agency has taken in response to this recommendation.
    Recommendation: To accelerate efforts to develop a modern, credible, and effective performance management system the Assistant Secretary for HR&A should, with input from VHA stakeholders, ensure that meaningful distinctions are being made in employee performance ratings by (1) developing and implementing a standardized, comprehensive performance management training program for supervisors of Title 5, Title 38, and Title 38-Hybrid employees based on leading practices and ensuring procedures are in place to support effective performance conversations between supervisors and employees; (2) reviewing and revising Title 5 and Title 38 performance management policies consistent with leading practices (e.g., require definition of all performance levels); and (3) developing and implementing a process to standardize performance plan elements, standards, and metrics for common positions across VHA that are covered under VA's Title 5 performance management system.

    Agency: Department of Veterans Affairs: Assistant Secretary for Human Resources and Administration
    Status: Open
    Priority recommendation

    Comments: VA partially agreed with our recommendation and described the preliminary steps it is planning to take to identify and implement a modern, credible, and effective performance management system. In late April 2017, VA officials stated that they are in the early stages of identifying a way forward for a revised performance management system, and are considering different options. To implement our recommendation, VA must ensure that meaningful distinctions are being made in employee performance ratings. This includes reviewing and revising Title 5 and Title 38 performance management policies consistent with leading practices (e.g., requiring definition of all performance levels), and developing and implementing a process to standardize performance plan elements, standards, and metrics for all common Title 5 positions across VHA. We recognize that identifying and implementing a new performance management system will require significant effort on VA's part, and will continue to monitor its actions and progress in this area.
    Recommendation: To accelerate efforts to develop a modern, credible, and effective performance management system, the Assistant Secretary for HR&A should, with input from VHA stakeholders, ensure that ratings-based performance awards are administered in a manner that is consistent with leading practices and promotes improved employee performance.

    Agency: Department of Veterans Affairs: Assistant Secretary for Human Resources and Administration
    Status: Open
    Priority recommendation

    Comments: VA partially agreed with our recommendation and stated that it will explore how to create effective incentive and reward systems. VA also noted that due to constrained funding for such systems, it will pursue ways to maximize effective use of both monetary and non-monetary awards to promote employee performance. In late April 2017, VA officials stated that they are in the early stages of identifying a way forward for a revised performance management system (including ratings-based awards), and are considering different options. To implement our recommendation, VA must ensure that its award programs are administered in a valid, reliable, and transparent manner. We recognize that identifying and implementing a new performance management system will require significant effort on VA?s part, and will continue to monitor its actions and progress in this area.
    Recommendation: To accelerate efforts to develop a modern, credible, and effective performance management system, the Assistant Secretary for HR&A should, with input from VHA stakeholders, develop a plan for how and when it intends to implement a modern information technology (IT) system to support employee performance management processes.

    Agency: Department of Veterans Affairs: Assistant Secretary for Human Resources and Administration
    Status: Open
    Priority recommendation

    Comments: VA partially agreed with this recommendation and stated that it continues to pilot its performance appraisal IT system -- known as the ePerformance system -- but that broad implementation of new technology for performance management will require adequate IT funding. In late April 2017, VA officials stated that they are exploring other potential IT systems to support the performance management process. To implement our recommendation, VA must develop a plan for how and when it intends to implement a modern performance management IT system.
    Recommendation: To better monitor and improve employee engagement, the Under Secretary for Health should establish clear and effective lines of authority and accountability for developing, implementing, and monitoring strategies for improving employee engagement across VHA, such as by establishing an employee engagement office at the VHA headquarters level with appropriate oversight of VISNs and medical center initiatives.

    Agency: Department of Veterans Affairs: Office of the Under Secretary for Health
    Status: Open

    Comments: We will provide updated information once we confirm what actions the agency has taken in response to this recommendation.
    Recommendation: To better monitor and improve employee engagement, the Under Secretary for Health should ensure that VHA and VISN entities jointly develop (1) a system to facilitate sharing of employee engagement leading practices/lessons learned; and (2) a strategy to help address barriers to improving engagement, particularly for those medical centers with the lowest engagement scores.

    Agency: Department of Veterans Affairs: Office of the Under Secretary for Health
    Status: Open

    Comments: We will provide updated information once we confirm what actions the agency has taken in response to this recommendation.
    Director: Clowers, Angela N
    Phone: (202) 512-8678

    5 open recommendations
    Recommendation: To help SEC address identified personnel management challenges, and to enhance SEC's ability to strategically hire and retain the appropriate number of staff with the requisite skill sets for today and in the future, the Chairman of SEC should direct the Office of the Chief Operating Officer (COO) and Office of Human Resources (OHR) to prioritize efforts to expeditiously develop a comprehensive workforce plan, including a succession plan, and establish time frames for implementation and mechanisms to help ensure that the plans are regularly updated.

    Agency: United States Securities and Exchange Commission
    Status: Open

    Comments: In July 2016, SEC created a workforce and succession plan consistent with Office of Personnel Management (OPM) guidance, but they do not include some key components of strategic workforce and succession planning identified by OPM and our previous work. For example, the plan lacks a comprehensive skills gap analysis, does not inform decision making about the structure of the workforce, and is not clearly linkd to its budget formulation.
    Recommendation: To help SEC address identified personnel management challenges, and to enhance SEC's ability to strategically hire and retain the appropriate number of staff with the requisite skill sets for today and in the future, the Chairman of SEC should direct the Office of the COO and OHR to incorporate OPM guidance as it develops its workforce and succession plans, by developing a formal action plan to identify and close competency gaps, and fill supervisory positions; and institute a fair and transparent process for identifying high-potential leaders from within the agency.

    Agency: United States Securities and Exchange Commission
    Status: Open

    Comments: SEC's workforce and succession plan finalized in July 2016 is consistent with some Office of Personnel Management (OPM) guidance, but lacks some key components of strategic workforce and succession planning. SEC's workforce plan is aligned with its strategic plans, references the goals outlined in those plans, and includes performance measures to monitor and evaluate SEC's progress towards its goals. SEC's workforce planing also involves relevant stakeholders, including division and office leadership, SEC University (SEC's lead office for training), and focus groups of SEC employees. However, SEC's workforce plan lacks a comprehensive skills gap analysis. For example, SEC's workforce plan did not include an assessment of the competency of 33 percent of its workforce, including mission-support staff, such as staff in the Office of Human Resources, and supervisors. Further, SEC's workforce plan does not inform decision making about the structure of the workforce and is not clearly linked to budget formulation. For example, the workforce plan does not identify the personnel costs of the current workforce, nor does it identify the number of employees SEC intends to hire and their associated costs. Finally, SEC's succession planning lacks information on workforce attrition and lacks a process for identifying future leaders.
    Recommendation: To help SEC address identified personnel management challenges, and to help enhance the credibility of its performance management system, the Chairman of SEC should direct the COO and OHR to conduct periodic validations (with staff input) of the performance management system and make changes, as appropriate, based on these validations.

    Agency: United States Securities and Exchange Commission
    Status: Open

    Comments: In 2014, SEC decided to redesign its performance management system without formally assessing it. While SEC's policies state that the Office of Human Resources (OHR) is to perform an assessment of the system on an annual basis, OHR officials told us that SEC has not conducted a formal assessment of the performance management system because the agency is in the process of developing a new system. Since our 2013 report (GAO-13-621), SEC has not reviewed the effectiveness of its existing system and has had limited stakeholder involvement in the development of the new performance management system. In developing this new system, SEC did not assess the existing system to understand if the issues raised by employees were related to the system's design or its implementation.
    Recommendation: To help SEC address identified personnel management challenges, and to build on SEC's efforts to enhance intra-agency communication and collaboration, the Chairman should direct the COO to identify and implement incentives for all staff to support an environment of open communication and collaboration, such as setting formal expectations for its supervisors to foster such an environment, and recognizing and awarding exceptional teamwork efforts.

    Agency: United States Securities and Exchange Commission
    Status: Open

    Comments: While SEC has created some incentives to support communication and collaboration across divisions, as of December 2016, barriers to cross-divisional communication and collaboration still remain. For example, SEC has implemented some incentives and procedures for staff to communicate and collaborate, such as an annual agency-wide awards program that recognizes outstanding teams and a tracking system that facilitates collaboration on interdivisional memorandums. In addition, one division (the Division of Economic and Risk Analysis) created an electronic system that allows other divisions to request data it collects and another division (the Division of Enforcement) created formal liaisons that other divisions and offices can contact. However, incentives for staff to support an environment of open communication and collaboration are not present for all staff across SEC. SEC has added performance expectations for 53 percent of supervisors to encourage communication and collaboration, including promoting and maintaining an environment of cooperation and proactively sharing relevant information. But these expectations were not present for the remaining 47 percent of supervisors across divisions and occupations.
    Recommendation: To help SEC address identified personnel management challenges, and to build on SEC's efforts to enhance intra-agency communication and collaboration, the Chairman should direct the COO to explore communication and collaboration best practices and implement those that could benefit SEC.

    Agency: United States Securities and Exchange Commission
    Status: Open

    Comments: As of December 2016, SEC has not demonstrated the use of best practices to improve communication and collaboration within and across SEC divisions and offices. SEC officials told us that they reached out to officials at the Federal Deposit Insurance Corporation (FDIC) to discuss how FDIC had obtained high survey scores related to communication and collaboration. This outreach resulted in the creation of SEC's "All Invested" initiative, which SEC described as an initiative to encourage collaboration and communication to help the agency achieve its mission and make SEC the best place in government to work. However, many of the supervisors and staff we spoke with told us that the "All Invested" initiative was more of a marketing campaign than a substantive change. In addition, SEC has established a number of working groups to improve communication and collaboration, but these working groups are often focused on specific topics and do not provide a means for divisions and offices to collaborate on the full range of their day-to-day work activities.
    Director: Clowers, Angela N
    Phone: (202) 512-8678

    4 open recommendations
    including 1 priority recommendation
    Recommendation: FSOC and OFR should clarify responsibility for implementing requirements to monitor threats to financial stability across FSOC and OFR, including FSOC members and member agencies, to better ensure that the monitoring and analysis of the financial system are comprehensive and not unnecessarily duplicative.

    Agency: Department of the Treasury: Financial Stability Oversight Council
    Status: Open
    Priority recommendation

    Comments: As of October 2016, FSOC staff have said FSOC and its members, including OFR, understand their responsibilities, saying that meetings of FSOC's Systemic Risk Committee help to ensure that FSOC member agencies have clarity on their responsibilities and noted that the committee operated under a charter. However, our review of the charter found that it does not clarify responsibilities for monitoring threats to financial stability. They also stated that actions OFR and the Federal Reserve (both of which serve on the Systemic Risk Committee) agreed to take in response to a recommendation in a GAO report issued in February 2016 would help to clarify these responsibilities. However, these represent just two of FSOC's member agencies; similar collaborative steps by other agencies would support the clarity of roles for monitoring threats to financial stability. We maintain that more specific action from FSOC and OFR, including FSOC member and member agencies, is needed to address this recommendation that ensures clarity of roles and responsibilities in proactively and comprehensively monitoring for potential emerging threats in the financial system. Our past work has shown that the lack of clear roles and coordination can lead to duplication, confusion, and regulatory gaps.
    Recommendation: FSOC and OFR should clarify responsibility for implementing requirements to monitor threats to financial stability across FSOC and OFR, including FSOC members and member agencies, to better ensure that the monitoring and analysis of the financial system are comprehensive and not unnecessarily duplicative.

    Agency: Department of the Treasury: Financial Stability Oversight Council: Office of Financial Research
    Status: Open

    Comments: As of March 2017, OFR has taken some steps to work with the Board of Governors of the Federal Reserve System, a member agency of FSOC, to organize semi-annual meetings to jointly discuss views from their respective monitoring of the financial system for risks. We continue to monitor FSOC and OFR actions that would be responsive to clarifying responsibilities for monitoring threats to financial stability across all the agencies that are members of FSOC.
    Recommendation: To strengthen accountability and collaboration in FSOC's decision making, FSOC should establish a collaborative and comprehensive framework for assessing the impact of its decisions for designating FMUs and nonbank financial companies on the wider economy and those entities. This framework should include assessing the effects of subjecting designated FMUs and nonbank financial companies to new regulatory standards, requirements, and restrictions; establishing a baseline from which to measure the effects; and documenting the approach.

    Agency: Department of the Treasury: Financial Stability Oversight Council
    Status: Open

    Comments: In response to an April 2017 presidential memorandum, Treasury is conducting a review of FSOC's designation process, including an assessment of the effects of designating FMUs and nonbank financial companies. This review will result in a report. We will update the status of this recommendation after we have reviewed the report.
    Recommendation: To strengthen accountability and collaboration in FSOC's decision making, FSOC should develop more systematic forward-looking approaches for reporting on potential emerging threats to financial stability in annual reports. Such an approach should provide methodological insight into why certain threats to financial stability are included or excluded over time, separate current or past threats from those that are potentially emerging, and prioritize the latter.

    Agency: Department of the Treasury: Financial Stability Oversight Council
    Status: Open

    Comments: When FSOC publishes its annual report for 2017 and we have reviewed it, we will provide updated information.