Our work on overlap and duplication has  found crosscutting areas where performance information is limited or  does not exist. How We Developed This Guide

This guide builds upon a large body of work we have conducted during  the past two decades related to performance management in the federal  government. To identify how Congress can use the consultations required under  GPRAMA, we identified requirements specified in the act, as well as the  intent of these requirements as reported by the Senate Committee on   Additionally, we identified  Homeland Security and Governmental Affairs. Section I: Consultations Provide Congress with Opportunities to Influence Development of Executive Branch Performance Information That Is Useful for Decision Making

		Consultations Are Intended to Strengthen Collaboration between the Congress and Federal Agencies

GPRAMA requires OMB and agencies to consult with relevant  committees, obtaining majority and minority views, about proposed goals  at least once every 2 years. Specifically, OMB is required to consult with  relevant committees with broad jurisdiction on crosscutting priority goals.Agencies are to consult with their relevant appropriations, authorization,  and oversight committees when developing or making adjustments to  their strategic plans and agency priority goals. The act also requires  OMB, on a governmentwide website, and agencies, in their strategic  plans, to describe how input provided during consultations was  incorporated into the crosscutting priority goals and agency goals,  respectively. performance and confirm that various committees are getting the types of  performance information they need. Congress also emphasized this point in the  report accompanying GPRAMA. According to committee staff members, the  involvement of program officials is more likely to ensure that consultations  are informative for both Congress and the agency. As the consultations proceed, the involvement of Members of Congress  and agency leadership is important because they are ultimately  responsible for making decisions about the agency’s strategic direction  and funding. In addition, to the extent feasible, consultations should be held jointly with  relevant authorizing, appropriations, budget, and oversight committees. Section II: Case Studies Illustrate How Congress Uses Performance Information to Inform Its Decision Making

Performance information can be used to inform congressional decisions  about authorizing or reauthorizing federal programs, provisions in the tax  code, and other activities; appropriating funds; and developing budget  resolutions. In one case  study, Congress required an agency to develop and submit a strategic  plan prior to receiving a portion of its appropriations. In May 2007,  USCIS submitted its Transformation Program Strategic Plan and  Expenditure Plan to the appropriations committees. Our report noted that more attention was needed in a number of  management-related activities, including performance measurement. Performance Information Can Be Used to Measure the Federal Government’s Progress toward Addressing Issues

After identifying issues, Congress has established expectations for the  level of performance to be achieved by federal agencies and programs,  and regular reporting on results. As highlighted in our case study on  efforts to address the global HIV/AIDS pandemic, setting clear goals— with target levels of performance and timeframes for achieving them— and expectations for periodic progress reports helped Congress sustain  attention on improving results over the course of several years. Performance Information Can Help Identify Better Strategies to Address Issues

Finally, Members of Congress, congressional committees, and staff can  assess whether existing strategies are the most efficient and effective  means for agencies to meet their goals. Analyzing existing performance  information can help identify new strategies that could lead to improved  results. As the case study on addressing improper payments shows,  when it is clear that agencies are not meeting performance expectations,  Congress has provided agencies with additional authorities and required  alternate approaches to achieve results. Appendix I: Illustrative Questions to Assist Congress in Focusing Consultations on Key Issues

We have previously reported that consultations provide an opportunity for  Congress to influence  1.  what results agencies should seek to achieve (long-term and annual  2.  how those results will be achieved, including how an agency’s efforts  are aligned and coordinated with other related efforts (strategies and  resources);  3.  how to measure progress given the complexity of federal programs  and activities (performance measures); and  4.  how to report on results (reporting). Table 2 presents examples of questions that Members of Congress and  their staffs can ask on strategic plans and related performance issues— during consultations with agencies or in other venues such as hearings— to help ensure that the associated performance information meets their  needs and expectations. Managing for Results: GPRA Modernization Act Implementation Provides  Important Opportunities to Address Government Challenges. Government Performance: Strategies for Building a Results-Oriented and  Collaborative Culture in the Federal Government. Managing for Results: Enhancing the Usefulness of GPRA Consultations  Between the Executive Branch and Congress.
Why GAO Did This Study

Many of the meaningful results that the federal government seeks to achieve, such as those related to protecting food and agriculture, providing homeland security, and ensuring a well-trained and educated workforce, require the coordinated efforts of more than one federal agency. As Congress creates, modifies, and funds federal programs and activities, it needs pertinent and reliable information to adequately assess agencies progress in meeting established performance goals, ensure accountability for results, and understand how individual programs and activities fit within a broader portfolio of federal efforts.
However, as our annual reports on duplication, overlap, and fragmentation in the federal government have recently highlighted, there are a number of crosscutting areas where performance information is limited or does not exist. Even in instances where agencies produce a great deal of performance information, our past work has shown that it does not always reach the interested parties in Congress, and when it does, the information may not be timely or presented in a manner that is useful for congressional decision making.
To help ensure that executive branch performance information is useful to Congress for its decision making, congressional involvement on what to measure and how to present this information is critical. Recognizing this, Congress updated the statutory framework for performance management in the federal government, the Government Performance and Results Act of 1993 (GPRA), with the GPRA Modernization Act of 2010 (GPRAMA), which significantly enhances the requirements for agencies to consult with Congress when establishing or adjusting governmentwide and agency goals. Specifically, the Office of Management and Budget (OMB) is required to consult with relevant committees with broad jurisdiction on crosscutting priority goals. Agencies are to consult with their relevant appropriations, authorization, and oversight committees when developing or making adjustments to their strategic plans and agency priority goals.
This guide, prepared at Congressional request, is intended to assist Members of Congress and their staffs in (1) ensuring the consultations required under GPRAMA are useful to the Congress and (2) using performance information produced by executive branch agencies in carrying out various congressional decision-making responsibilities, such as authorizing programs or provisions in the tax code, making appropriations, developing budgets, and providing oversight.

What GAO Found

GPRAMA requires OMB and agencies to consult with relevant committees, obtaining majority and minority views, about proposed goals at least once every 2 years. Specifically, OMB is required to consult with relevant committees with broad jurisdiction on crosscutting priority goals. Agencies are to consult with their relevant appropriations, authorization, and oversight committees when developing or making adjustments to their strategic plans and agency priority goals. The act also requires OMB, on a governmentwide website, and agencies, in their strategic plans, to describe how input provided during consultations was incorporated into the crosscutting priority goals and agency goals, respectively.
According to the Senate report accompanying the act, consultations are intended to strengthen collaboration between Congress and federal agencies to improve government performance. Successful strategic planning requires the involvement of key stakeholders, which can help build consensus. As the committee report notes, the consultation process was established so agencies could take congressional views into account as appropriate. If an agency waits to consult with relevant congressional stakeholders until a strategic plan has been substantially drafted and fully vetted within the executive branch, it foregoes important opportunities to learn about and address early on specific concerns that will be critical to successful implementation. The committee, therefore, emphasized that consultations should take place during the development of a strategic plan, not after. In addition, the requirement for consultations at least once every 2 years is intended to ensure that each Congress has input on agency goals, objectives, strategies, and performance measures. Consultations also provide agencies with opportunities to share information on their performance and confirm that various committees are getting the types of performance information they need.
Performance information can be used to inform congressional decisions about authorizing or reauthorizing federal programs, provisions in the tax code, and other activities; appropriating funds; and developing budget resolutions.
After identifying issues, Congress has established expectations for the level of performance to be achieved by federal agencies and programs, and regular reporting on results. As highlighted in our case study on efforts to address the global HIV/AIDS pandemic, setting clear goalswith target levels of performance and timeframes for achieving themand expectations for periodic progress reports helped Congress sustain attention on improving results over the course of several years.
Finally, Members of Congress, congressional committees, and staff can assess whether existing strategies are the most efficient and effective means for agencies to meet their goals. Analyzing existing performance information can help identify new strategies that could lead to improved results. As the case study on addressing improper payments shows, when it is clear that agencies are not meeting performance expectations, Congress has provided agencies with additional authorities and required alternate approaches to achieve results.