Performance Based
Management/Measurement :
An Integrated Approach
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“Performance-Based”
Management/Measurement
2 CFR 200 Omni-Circular purpose:
S Drive performance (and or outcomes) by establishing a
reduced or streamlined regulatory process or system for
federal aid, and
S Reduce the number of improper payments.
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“Performance-Based”
Management/Measurement
What’s the purpose of the change???
S Make current processes function better--causes actions, steps, and
transitions to operate seamlessly
S Overall Objective—get to the Root Causes of Issues/Outcomes
S Transparency - Compliance becomes mutually linked to
Implementation—the process, system, or people are primed for performance
and subject to general audience reporting (FFATA)
S Accountability – demands greater information exchange to comply,
from personnel to project, from status of phase to budget
S Causes a reexamination or revisiting of the processes, tools, and
technologies to get to ‘desired’ results
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“Performance-Based”
Management/Measurement
Change Demands - E2 (Efficiency and
Effectiveness)
S Assumes all related programs , projects, and processes
coordinated and are functioning optimally (tools, staff, and
technology are performing for the intended
objective/program)
S Integrated System Thinking….assumes internal and
external actions linked by design (process and
implementation)
S Changes the focus on activities and processes from internal
advancement and completion to “Universal Impact”
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“Performance-Based”
Management/Measurement and MAP-21
Map-21 Background-Performance Elements (SIP) and 2 CFR 200 OmniCircular:
S National Goals- Maintain and improve the national highway system
S Measures- System or process of evaluation
S Targets- Goals to obtain, “desired results” or outcomes
S Actions Plans ( or Scope of Works)
S Reports- Non-Federal entity reporting on Scope of Works
S Accountability and Transparency- Provide information on progress or
lack thereof to the General Public
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“Performance-Based”
Management/Measurement
S Provides a more robust guidance to Federal and non-Federal agencies
to measure performance that will help improve program outcomes,
share lessons learned, and spread adoption methods
S Agencies must require the recipient to use OMB-approved
government-wide information collections to provide financial and
performance information (only applies to 5 USDOT-FHWA
Programs; Recreational Trails, Defense Access Roads,
Transportation Alternatives, Bike/Pedestrian, and TIFIA)-
S Recipients must be required to relate financial data to performance
accomplishments, and must also provide cost information to
demonstrate cost effective practices
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“Performance-Based”
Management/Measurement
S Establish actionable Scope of Work- with measurement in mind
S Make sure the budget has ‘integrity’ and is reasonable, eligible,
and sound allocations amongst Direct Labor, Direct Non-Labor,
and or Indirect Costs
S Who’s the driver? You must know who the Principal Investigator
or Project manager and their capabilities ( particularly for nonconstruction purposes), as well as the labor on the “Staffing Plan”!
S Program Period, Performance Period and Schedule-deliberately
linked!
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Financial Reporting 200.327
S Report of Federal Cash Transactions and the Financial Status
Report has been deleted and replaced with the requirement that
federal awarding agencies only use the OMB-approved
government-wide data elements for collection of financial
information which is currently the Federal Financial Report
(FHWA was granted a reprieve or deviation for most of its programs)
S Submission frequency requirements generally remain unchanged
(No less frequently than annually, nor more frequently than
quarterly)
S New language added, however, which permits more the Federal
awarding agency to require more frequent reporting where
necessary for the effective monitoring of the Federal award or
could significantly affect program outcome and preferably in
coordination with performance reporting
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Monitoring and Reporting Program
Performance 200.328
S Non-Federal entity is responsible for monitoring programs
for compliance and performance expectations.
S Federal entity must use OMB-approved data elements.
S Non-Federal entity must submit reports as often as required but
no less frequently than annually and no more frequently than
quarterly
S Exceptions – Unusual Circumstances
S Annual Reports due 90 calendar days after reporting period
S Quarterly Reports due 30 days after reporting period
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Subrecipient Monitoring and
Management
S Requirements for Pass Through Entities (PTEs):
S Must clearly identify the agreement as a subaward
S Must identify all applicable Federal requirements
S Must identify all additional requirements imposed by the PTE
S Monitor activities of the subrecipient.
S With prior written approval from the Federal awarding agency,
a PTE may provide subawards based on fixed amounts up to
the Simplified Acquisition Threshold (currently $150,000).
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“Performance-Based”
Management/Measurement
S Assess capabilities of the organization: internal controls
(aka “Green Book” or Standards for Internal Controls in
Federal Government), staffing (persons listed), expressed
work, and previous experience with entity. If past
experience, factor in the history of the organization and its
‘risk’ based upon your knowledge
S Quantify or document the above in some formalized fashion
(NJDOT) Bureau of Research has developed a process and
system, which will become automated, for the above
activities
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“Performance-Based”
Management/Measurement
S NJDOT, Bureau of Research has developed a process and
system called “ PROMPS” – Project Management and
Project Tracking system
S Promps has three tools:
S Risk Assessment
S Monitoring Report Tool
S Site Visit/Telephone Survey Form
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Presentation Speaker
Calvin Edghill, CGMS
Director of Planning, Environment, Research, and
Civil Rights
Federal Highway Administration – NJ Division
Calvin.edghill@dot.gov or 609.637.4230
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Questions
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