Managing for Results:

Further Progress Made in Implementing the GPRA Modernization Act, but Additional Actions Needed to Address Pressing Governance Challenges

GAO-17-775: Published: Sep 29, 2017. Publicly Released: Sep 29, 2017.

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J. Christopher Mihm
(202) 512-6806
mihmj@gao.gov

 

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The GPRA Modernization Act was designed to help the federal government address longstanding performance and management problems. Among other things, it requires agency leaders to set goals and use data to review progress toward them.

We surveyed more than 4,000 federal managers and found overall use of performance data in decision making has dropped since 2007. However, the survey shows that data-driven reviews agencies conducted for a subset of goals did improve program performance.

We recommended that OMB work with agencies to identify and share practices for conducting performance reviews for additional goals.

 

Photo of three people sitting at a table reviewing performance information

Photo of three people sitting at a table reviewing performance information

Additional Materials:

Contact:

J. Christopher Mihm
(202) 512-6806
mihmj@gao.gov

 

Office of Public Affairs
(202) 512-4800
youngc1@gao.gov

What GAO Found

The Office of Management and Budget (OMB) and agencies have made some progress in more fully implementing the GPRA Modernization Act (GPRAMA), but GAO's work and 2017 survey of federal managers highlight numerous areas where improvements are needed.

Cross-cutting issues: Various GPRAMA provisions are aimed at addressing cross-cutting issues, such as cross-agency and agency priority goals and related data-driven reviews of progress towards those goals. To ensure alignment with the current administration's priorities, OMB's 2017 guidance removed the priority status of those goals, which stopped quarterly data-driven reviews and related public progress reports until new goals are published. OMB plans to resume implementation of these provisions in February 2018. GPRAMA also requires OMB and agencies to implement an inventory of federal programs, which could help decision makers better identify and manage fragmentation, overlap, and duplication. OMB and agencies implemented the inventory once, in May 2013. In October 2014, GAO found several issues limited the usefulness of that inventory. Since then, OMB has postponed updating the inventory, citing among other reasons the passage of subsequent laws. OMB has yet to develop a systematic approach for resuming implementation of the inventory and specific time frames for doing so. A systematic approach to developing the inventory could help ensure it provides useful information for decision makers and the public.

Performance information: Survey results show federal managers generally reported no improvements in their use of performance information in decision making for various management activities, or practices that can enhance such use, since GAO's 2013 survey. For example, the use of performance information to streamline programs to reduce duplicative activities (an estimated 33 percent in 2017) is statistically significantly lower relative to 2013 (44 percent). In contrast, managers who were familiar with and whose programs were subject to quarterly data-driven reviews reported that those reviews were used to make progress toward agency priority goals. Identifying and sharing practices to expand the use of such reviews—for other performance goals and at lower levels within agencies—could lead to increased use of performance information.

Daily operations: Agencies have made progress in developing results-oriented cultures but need to take additional actions. GAO's past work found that high-performing organizations use performance management systems to help individuals connect their daily activities to organizational goals. In 2017, about half of federal managers reported using performance information when setting expectations with employees (no change from GAO's last survey in 2013).

Transparent and open government: GAO's past work identified a number of needed improvements to Performance.gov, the central government-wide website required by GPRAMA. The site is to provide quarterly updates on priority goals in effect through September 2017, but those updates stopped in December 2016. According to OMB, the existing information for cross-agency priority goals is the final update, and agencies should publish final updates on their priority goals in annual performance reports. Performance.gov does not provide users with this information, thereby limiting the transparency and accessibility of those results.

Why GAO Did This Study

Full implementation of GPRAMA could facilitate efforts to reform the federal government and make it more effective. GPRAMA includes a provision for GAO to review the act's implementation. This report assesses how GPRAMA implementation has affected the federal government's progress in resolving key governance challenges in (1) addressing cross-cutting issues, (2) ensuring performance information is useful and used, (3) aligning daily operations with results, and (4) building a more transparent and open government.

To address these objectives, GAO reviewed statutory requirements, OMB guidance, and GAO's recent work related to GPRAMA implementation and the key governance challenges. GAO also interviewed OMB staff and surveyed a stratified random sample of 4,395 federal managers from 24 agencies on various performance and management topics. With a 67 percent response rate, the survey results are generalizable to the government-wide population of managers.

What GAO Recommends

In addition to following through on plans to resume implementation of key GPRAMA provisions, GAO recommends that OMB (1) consider a systematic approach to developing the program inventory, (2) revise guidance to provide specific time frames for inventory implementation, (3) identify and share practices for expanding the use of data-driven reviews, and (4) update Performance.gov to explain that reporting on priority goals was suspended and provide the location of final progress updates. OMB staff agreed with these recommendations.

For more information, contact J. Christopher Mihm at (202) 512-6806 or mihmj@gao.gov.

Recommendations for Executive Action

  1. Status: Open

    Comments: In comments on a draft of this report, OMB staff agreed with this recommendation. As of September 2018, OMB has not taken any actions to address it. In March 2018, OMB archived the past version of Performance.gov that contained the fiscal year 2014 through 2017 cross-agency priority goals and fiscal year 2016 and 2017 agency priority goals. However, the archived version of the site does not contain the final progress updates for those goals, nor does it direct users to another location, such as relevant agency annual performance reports, to obtain those updates. We will continue to monitor progress.

    Recommendation: The Director of OMB should update Performance.gov to explain that quarterly reporting on the fiscal year 2014 through 2017 cross-agency priority goals and fiscal year 2016 and 2017 agency priority goals (APGs) was suspended, and provide the location of final progress updates for these goals. (Recommendation 1)

    Agency Affected: Executive Office of the President: Office of Management and Budget

  2. Status: Open

    Comments: In comments on a draft of this report, OMB staff agreed with this recommendation. However, as of September 2018, OMB has taken no action to address it. Although OMB issued its updated guidance for implementing the GPRA Modernization Act in June 2018, that guidance does not provide any time frames or milestones for implementing the federal program inventory. The guidance states that OMB is continuing to work with agencies and stakeholders to merge implementation of the DATA Act and other priorities with the federal program inventory requirements to provide a coherent picture of federal programs, activities, and spending. We will continue to monitor progress.

    Recommendation: The Director of OMB should revise and publicly issue OMB guidance--through an update to its Circular No. A-11, a memorandum, or other means--to provide time frames and associated milestones for implementing the federal program inventory. (Recommendation 2)

    Agency Affected: Executive Office of the President: Office of Management and Budget

  3. Status: Open

    Comments: In comments on a draft of this report, OMB staff agreed with this recommendation. However, as of September 2018, OMB has taken no action to address it. Although OMB issued its updated guidance for implementing the GPRA Modernization Act in June 2018, that guidance states that OMB is continuing to work with agencies and stakeholders to merge implementation of the DATA Act and other priorities with the federal program inventory requirements to provide a coherent picture of federal programs, activities, and spending. We will continue to monitor progress.

    Recommendation: The Director of OMB should consider--as OMB determines its strategy for resumed implementation of the federal program inventory--using a systematic approach, such as the information architecture framework, to help ensure that GPRAMA requirements and our past recommendations for the inventory are addressed. (Recommendation 3)

    Agency Affected: Executive Office of the President: Office of Management and Budget

  4. Status: Open

    Comments: In comments on a draft of this report, OMB staff agreed with this recommendation. As of September 2018, OMB and the PIC have taken few actions to address it. In June 2018, OMB updated its annual guidance to agencies to explicitly encourage them to expand data-driven reviews to include other goals, priorities, and management areas as applicable to improve organizational performance. However, OMB and the PIC have not yet undertaken efforts to identify and share practices for expanding the use of these reviews beyond agency priority goals. We will continue to monitor progress.

    Recommendation: The Director of OMB should work with the Performance Improvement Council to identify and share among agencies practices for expanding the use of data-driven performance reviews beyond agency priority goals, such as for other performance goals and at lower levels within agencies, that have led to performance improvements. (Recommendation 4)

    Agency Affected: Executive Office of the President: Office of Management and Budget

 

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