	Background

A long-standing challenge for federal agencies has been developing  credible and effective performance management systems that can serve  as a strategic tool to drive internal change and achieve results. The GEAR Framework Generally Addresses Key Performance Management Practices; Refinements Could Improve Future Government-wide Implementation

		The GEAR Framework Generally Addresses Key Performance Management Practices

We have previously identified a set of key practices for modern, effective  performance management, which appear with summary descriptions in  table 1. OPM has taken several steps to help the pilot agencies implement GEAR. However, beyond its completion in September 2013, the CHCO Council  has no stated plans to update the toolkit, such as collecting lessons  learned on an ongoing basis from the pilot agencies, or including  additional promising practices as needed. While the toolkit shows promise for refining the future implementation of  GEAR, its utility in this regard could be limited because neither the CHCO  Council nor OPM have stated plans to broadly disseminate it. Pilot Agencies Adopted Various Approaches to Implementing GEAR; Opportunities Exist to Capture Lessons Learned

		Pilot Agencies Adopted Various Approaches to Implementing GEAR

The five pilot agencies adopted various approaches to implementing all  five of the GEAR recommendations based on their needs and available  resources. Thus, three of the five agencies – DOE, HUD, and OPM – implemented  GEAR agency-wide, while two agencies – Coast Guard and NCA–  established pilots in single units. Early stakeholder involvement with employees, management,  executive team and unions resulted in greater transparency and  fewer obstacles during implementation. Administer employee surveys prior to implementation to identify  the greatest needs and to establish a baseline to better track  results. Each of the pilot agencies developed a GEAR project plan that outlined  specific actions. For example, DOE’s GEAR project  plan was the most thoroughly documented of the five plans we assessed  and included project planning best practices for all five elements we  assessed. The other four agency plans did not include all project planning  best practices. Recommendations for Executive Action

Recognizing that moving toward a more performance-oriented culture  within federal agencies is likely to be a continuous effort and to ensure  that the opportunity GEAR recommendations offer to improve  performance management is not lost, we recommend the Acting Director  of OPM, in collaboration with the Chief Human Capital Officers Council,  define roles and responsibilities of OPM, the CHCO Council, and  participating federal agencies going forward as the GEAR framework is  implemented government-wide. In addition, to improve agencies’ GEAR implementation plans, we  recommend that:  the Secretary of Homeland Security direct the Commandant of the  Coast Guard take the following two actions to update the agency’s  GEAR implementation plan to include: (1) performance measures that  permit comparison between desired outcomes and actual results and  (2) additional information on schedules that are linked to specific  actions;  the Secretary of Housing and Urban Development take the following two  actions to update the agency’s GEAR implementation plan to: (1)   include objectives describing the goals the agency plans to achieve and  (2) identify roles and responsibilities for specific actions and  stakeholders; the Secretary of Veterans Affairs direct the Under Secretary for  Memorial Affairs take the following three actions to update the  National Cemetery Administration’s GEAR implementation plan to  include: (1) performance measures that permit comparison between  desired outcomes and actual results, (2) additional information on  roles and responsibilities for specific actions and stakeholders, and (3)  additional information on schedules that are linked to specific actions;  and the Acting Director of OPM to take the following two actions to update  the agency’s GEAR implementation plan to: (1) include objectives  describing the goals the agency plans to achieve and (2) identify roles  and responsibilities for specific actions and stakeholders. In their written responses, OPM, DHS, and VA officials agreed with our  recommendations. APPENDIX I: Objectives, Scope, and Methodology

This report (1) analyzes how the Goals-Engagement-Accountability- Results (GEAR) framework addresses key practices for effective  performance management and identifies opportunities, if any, to improve  GEAR implementation government-wide; (2) describes the status of each  pilot agency’s GEAR implementation and any lessons learned to date;  and (3) assesses the extent to which each agency’s GEAR  implementation plan includes selected best practices for project planning. The GEAR framework is currently being piloted in five departments and  agencies – the Departments of Energy (DOE), Homeland Security/United  States Coast Guard (DHS/Coast Guard), Housing and Urban  Development (HUD), Veterans Affairs/National Cemetery Administration  (VA/NCA), and the Office of Personnel Management (OPM). VA officials project the implementation  to be complete by 2016.
Why GAO Did This Study

A longstanding challenge for federal agencies has been developing credible and effective performance management systems that can serve as a strategic tool to drive internal change and achieve results. In 2011, various federal agencies, labor unions, and other organizations developed the Goals-Engagement-Accountability-Results (GEAR) framework to help improve performance management.
GAO was asked to evaluate GEAR. This report (1) analyzes how the GEAR framework addresses key practices for effective performance management and identifies opportunities to improve GEAR implementation government-wide; (2) describes the status of GEAR implementation at pilot agencies and lessons learned to date; and (3) assesses the extent to which each pilot agency's GEAR implementation plan includes selected best practices for project planning. The report is based on GAO's analysis of GEAR documents, agency project plans, and interviews with agency officials.

What GAO Found

GAO found that the GEAR framework generally addresses previously identified key practices for effective performance management, such as aligning individual performance expectations with organizational goals, but refinements could improve future government-wide implementation. Five federal agencies are piloting GEAR--the Departments of Energy (DOE), Homeland Security/Coast Guard (DHS/Coast Guard), Housing and Urban Development (HUD), Veterans Affairs/National Cemetery Administration (VA/NCA), and the Office of Personnel Management (OPM)--with the intention to expand GEAR government-wide. The Chief Human Capital Officers Council (CHCO Council) is developing a toolkit based, among other things, on the experience of the pilot agencies. The toolkit is intended to help additional agencies implement the GEAR framework; CHCO Council representatives expect the toolkit to be complete by the end of September 2013. However, beyond the toolkit, neither the CHCO Council nor OPM have identified next steps to implement GEAR government-wide, such as identifying roles and responsibilities. Further, neither OPM nor the CHCO Council has plans to regularly update the GEAR framework or toolkit to include additional lessons learned, or to make such information available more broadly to key stakeholders, such as human resource professionals who may be responsible for future implementation. Without taking these steps, agencies that have already begun implementing GEAR risk losing their momentum; in addition, it may be challenging to implement GEAR government-wide.
The five pilot agencies adopted various approaches to implementing GEAR -DOE, HUD, and OPM implemented GEAR agency-wide, while Coast Guard and NCA adopted GEAR in single units - based on agency needs, available resources, and GAO's lessons learned to date. For example, early stakeholder involvement, including engagement between those representing labor and management, resulted in greater transparency and fewer obstacles. In addition, administering employee surveys to identify the greatest needs before implementing GEAR helped establish a baseline to better track results.
Each of the pilot agencies developed a GEAR project plan that outlined specific actions. DOE's GEAR plan was the most thoroughly documented. The other four agency plans did not include all project planning best practices. Without these elements, agencies may be limited in their ability to determine what needs to be done, when it should be done, who should do it, and how to measure progress towards achieving objectives.

What GAO Recommends

As GEAR is adopted government-wide, GAO recommends that the Director of OPM, in collaboration with the CHCO Council, define roles and responsibilities for OPM, the CHCO Council, and individual agencies, in such areas as updating the toolkit (as needed) and disseminating information on GEAR more broadly. GAO also recommends that OPM, Coast Guard, HUD, and NCA update their GEAR project plans to be consistent with best practices for project planning. OPM, DHS, HUD, and VA agreed with the recommendations.