Is the idea of performance budgeting running out

advertisement
EXPERIENCES WITH PERFORMANCE
MANAGEMENT IN THE UNITED STATES
PRESENTATION TOWARDS A MORE RESULT ORIENTED
FLEMISH PUBLIC SECTOR, JANUARY 10, 2014
Donald P.
Moynihan
PART I: OVERVIEW
OVERVIEW
US Experience - background
Errors in understanding performance
management
Expectations about implementation
The politics of performance management
Lessons: how do we encourage purposeful
use?
BACKGROUND
NATIONAL GOVERNMENT-WIDE
CHANGES
Government Performance and Results Act
- GPRA (1993-2010)
Program Assessment Rating Tool (20022008)
GPRA Modernization Act (2010-)
State level variations on these models
DOCTRINAL LOGIC FOR CHANGE
20 YEARS OF LEARNING?
Some lessons on how it went
 Partly from study of topic
 Reflected in some policy changes, especially GPRA
Modernization Act
EXPECTATIONS ABOUT
IMPLEMENTATION
IS THE IDEA OF PERFORMANCE
MANAGEMENT RUNNING OUT OF STEAM?
OECD 2012 survey
Seems to be less use of performance data
than in past
Performance targets not consequential
General sense of disappointment: we have
systems in place, have not delivered
desired results
EXPECTATIONS PROBLEM
We define performance systems by the
benefits we hope will occur (more rational
budgeting, more efficient management)
The gap between our aspirations and the
observed effects of these rules are usually
large, resulting in disappointment
More grounded and accurate description:
performance systems are a set of formal
rules that seek to disrupt strongly embedded
social routines
CONFUSION: ADOPTION VS.
IMPLEMENTATION
Speak of governments doing performance
management
 What do we mean?
 Rules about measuring and disseminating data
INATTENTION TO THE USE OF DATA
 Performance data by itself does not do much
 Implementation of performance management means
using the data
 Why focus on performance information use?
 Difficult to connect public actions to outcomes
 Intermediate measure of effectiveness – performance
information use
 Without it, good things we want don’t happen
 There are different types of use
THE FOUR T YPES OF USE
Passive – minimal compliance with
procedural requirements
Purposeful –improve key goals and efficiency
Political – advocate for programs
Perverse – behave in ways detrimental to
goals (goal displacement and gaming)
EFFECT OF PERFORMANCE REFORMS
 Can observe if agencies
comply with requirements
(passive use), but not other
types of use
 Performance systems
encourage passive use, not
purposeful
THE POLITICS OF
PERFORMANCE
MANAGEMENT
APOLITICAL PERFORMANCE REFORMS?
Performance data associated with neutrality
Offers objective account of the world, and will
engender consensus
Reduces the role of politics by offering an
alternative basis to make arguments
This is part of political appeal
Has implications for adoption and
implementation
POLITICS OF ADOPTION
Elected officials motivated by symbolic values
 Primary focus on adopting information reporting
requirements, not broader change
ACTUAL PATTERN OF CHANGE
ONE BASIC REASON FOR CONFUSION
We fail to understand the nature of
performance data
We assume data are
 Comprehensive
 Objective
 Indicative of actual performance
 Consistently understood
 Prompts a consensus
THE AMBIGUIT Y OF PERFORMANCE DATA
Examine same programs but disagree on data
Agree on data but disagree on meaning
Agree on meaning, but not on next action
steps/resources
Not clear on how data links to budget
decisions
THE SUBJECTIVIT Y OF PERFORMANCE DATA
Actors will select and interpret performance
information consistent with institutional
values and purposes
Greater contesting of performance data and
less potential for solution seeking in forums
featuring actors with competing beliefs
IMPLICATIONS: POLITICAL USE
 Performance data
 is socially constructed by individuals subject to personal
biases, institutional beliefs, and partisan preferences
 has qualities of ambiguity and subjectivity
 These qualities make performance management
likely to operate as part of political process, not as
alternative to it
EVIDENCE OF ADVOCACY
 “Spinning” (Hood 2006)
 Claim credit when things go well, deny responsibility when
things do not
 Advocacy by agents seeks to avoid blame and
respond to “negativity bias”
 disproportionate citizen dissatisfaction with missed target
(James 2011)
 political officials pay more attention to high and low
performers (Nielsen and Baekgaard 2013)
 more bureaucratic explanations of failed performance
(Charbonneau and Bellavance 2012)
STAKEHOLDERS
 Political support for agency associated with performance
information use (Moynihan and Pandey 2010)
 May worry less about blame, freedom to experiment
 Belief that stakeholders care about performance or
performance measures associated with bureaucratic use
(Moynihan and Pandey 2010)
 More performance information use when:
stakeholders perceived as more influential, more in conflict, and
when there is more networking with stakeholders (Askim, Johnsen,
and Christophersen 2008; Moynihan and Hawes 2012)
PRINCIPAL AGENT ARGUMENT
Assumption: Use performance data to
reduce information advantage that
agencies have over center & elected
officials
Reality:
Some evidence of partisan biases in
implementation
As long as agencies play role in defining,
collecting, and disseminating information,
they retain information asymmetry
AN EXAMPLE: PROGRAM ASSESSMENT
RATING TOOL (PART)
• Bush-era questionnaire used by Office of
Management and Budget to rank programs
from ineffective to effective
Four sections: program purpose and design,
strategic planning, program management, and
program results/accountability
Burden of proof on agencies
Almost all federal programs evaluated
HOW MIGHT POLITICS AFFECT PART
IMPLEMENTATION?
 Ostensibly neutral reforms may serve—or may be
seen as serving—political ends:
Partisan reformers may implement reforms differently if
programs/agencies are ideologically divergent
Managers of ideologically divergent programs may perceive
bias (whether or not a reform effort is biased against their
programs)
WAS PART POLITICAL?
 Designed to be good government, politically neutral
reform, and qualitative studies do not report overt
partisanship, but…
 More liberal agencies and programs get lower scores
(Gallo and Lewis 2012; Gilmour and Lewis 2006)
 PART scores only related to President’s budget
proposals for liberal programs (Gilmour and Lewis
2006)
DID POLITICS AFFECT RESPONSE TO PART?
 Liberal agencies, though smaller, had significantly
higher PARTs completed
 Two types of effort:
 Observable: self-reported effort in completing PART –
higher for managers in liberal agencies (Lavertu, Lewis
and Moynihan 2013)
 Discretionary: performance information use – lower
for managers in liberal agencies (Lavertu and Moynihan
2012)
WHY WOULD PART IMPOSE A GREATER
ADMINISTRATIVE BURDEN ON LIBERAL
AGENCIES?
 Liberal agencies likely concerned about making their
programs look as good as possible, given preference
divergence
 Potentially greater scrutiny of liberal programs,
requiring more costly agency data collection and
reporting
LESSONS: HOW DO WE
ENCOURAGE
PURPOSEFUL USE
WHEN DOES PERVERSE USE OCCUR?
 Goal displacement – e.g. cream-skimming
 Data manipulation – including outright cheating
 Becomes more likely when
 Data is self-reported
 Task is complex and hard to measure
 High-powered incentives attached to measures
 Especially in contracting
 Job-training programs, tuition programs
 Policymakers have imperfect knowledge of perversity, amend
contracts after problems occur
NEXT GENERATION PERFORMANCE SYSTEM?
GPRA MODERNIZATION ACT OF 2010
 Quarterly performance reviews
 Goal leaders
 Chief operating officers/performance
improvement officers
 High-priority goals
 Cross-agency priority goals
 For summary, see Moynihan 2013
CONTINUING CHALLENGE: HOW TO MAKE USE
OF PERFORMANCE DATA
 Create learning forums: routine discussions of
performance data with supervisors/peers associated
with use (Moynihan and Lavertu 2012)
 GPRA Modernization Act: quarterly performance
reviews
 Not just routines, also learning culture
 Tolerates error
 Rewards innovation
 Brings together multiple perspectives
 Gives discretion to users
 Tradeoff between learning and accountability
 Accountability evokes defensive reactions and gaming
LOOK FOR ACTIONABLE DATA
You might want to measure everything but you
can’t manage everything
Problem with PART – equal attention to all
goals
Modernization Act: focus on important targets,
areas of opportunity (high priority goals,
cross-agency priority goals)
FOSTER GOAL CLARIT Y
Clear goals increase performance information
use (Moynihan and Pandey 2010); may not be
easy if:
 Service has many different aspects
 Tension between:
 Few enough measures to generate attention
 Enough measures to avoid encouraging workers to
ignore unmeasured aspects
APPEAL TO ALTRUISM
Appeal to altruistic motivations, not extrinsic
reward (Moynihan, Wright and Pandey 2012)
 Select goals that motivate
 Clear line of sight between goals and actions
 Celebrate achievement
 Connect to beneficiaries
INTEGRATE PROGRAM EVALUATION AND
PERFORMANCE MANAGEMENT
 Performance data tells you if a measure moved up or
down, evaluations tell you what affects performance
 Discussion of evaluations should be incorporated
into performance management
 Assign evaluation funding for new policies
 Example: Washington State Institute for Public Policy
provides meta-analyses of research on different
policies, and provides return-on-investment
estimates to policymakers
INDUCE LEADERSHIP COMMITMENT
Leadership commitment associated with use
(Dull 2009; Moynihan and Lavertu 2012)
How do you create commitment?
 Reputation: public commitments and responsibility
(high priority goals)
 Create leadership positions with oversight for
performance (COOs, PIOs, goal leaders)
 Select leaders based on ability to manage
performance
CONCLUSION
 Welcome your feedback and questions
 Performance Information Project:
 http://www.lafollette.wisc.edu /publi cser vi ce /per formance/ index.html
 [email protected]
REFERENCES
A s k i m , J o s te i n , Å g e J o h n s e n , a n d K n u t - A n d r e a s C h r i s to p h e r s e n . 2 0 0 8 . Fa c to r s b e h i n d
o r g a n i z a t i o n al l e a r n i n g f r o m b e n c hm a r k i ng : E x p e r i e n c e s f r o m N o r w eg i a n m u n i c ip a l
b e n c h m a rk i n g n et w o rk s . J o u r n a l o f P u b l i c A d m i n i s t r a t i o n R e s e a r c h a n d T h e o r y
1 8 ( 2 ) : 2 97 – 3 2 0 .
C h a r b o n n e a u , E t i e n n e , a n d Fr a n ç o i s B e l l ava n c e . 2 01 2 . B l a m e Av o i d a n c e i n P u b l ic
Re p o r t i n g . P u b l i c P e r f o r m a n c e & M a n a ge m e n t R ev i ew 3 5 ( 3 ) : 3 9 9 - 4 21
G a l l o , N i c k a n d D av i d E . L ew i s . 2 01 2 . T h e C o n s e q u e n c e s o f P r e s i d e n t i a l P a t r o n a g e f o r
Fe d e r a l A g e n c y Pe r f o r m a n c e J o u r n a l o f P u b l i c A d m i n i s t r a t i o n R e s e a r c h a n d T h e o r y.
2 2 ( 2 ) : 1 9 5 - 217.
D u l l , M a t t h ew. 2 0 0 9 . Re s u l t s - m o d el r e f o r m l e a d e r s hi p : Q u e s t i o n s o f c r e d i b le
c o m m it m e n t . J o u r n a l o f P u b l i c A d m i n i s t r a t i o n R e s e a r c h & T h e o r y 1 9 ( 2 ) : 2 5 5 – 8 4 .
H o o d , C h r i s to p h e r. 2 0 0 6 . G a m i n g i n t a r g et wo r l d : T h e t a r g et s a p p r o ac h to m a n a g i n g
B r i t i s h p u b l ic s e r v i c e s . P u b l i c A d m i n i s t r a t i on R ev i ew 6 6 ( 4 ) : 51 5 – 21 .
J a m e s , O l i v e r. 2 01 1 . M a n a g i n g C i t i z e n s ’ E x p e c t a t io n s o f P u b l i c S e r v i c e Pe r f o r ma n c e :
E v i d e n c e f r o m O b s e r va t i o n a n d E x p e r im e n t a t i o n i n L o c a l G o v e r n m en t P u b l i c
A d m i n i s t r a t i o n , 8 9 ( 4 ) , 1 41 9 - 3 5 .
G i l m o ur, J o h n B . , a n d D av i d E . L ew i s . 2 0 0 6 a . A s s e s s i n g p e r f o r ma n c e b u d g et i n g a t
O M B : T h e i n f l ue n c e o f p o l i t i c s , p e r fo r m a nc e , a n d p r o g r am s i z e . J o u r n a l o f P u b l i c
A d m i n i s t r a t i o n R e s e a r c h a n d T h e o r y 16 : 16 9 - 8 6 .
L av e r t u , S t é p h a n e a n d D o n a l d P. M oy n i h a n . 2 01 3 . A g e n c y Po l i t ic a l I d e o l o gy a n d
Re f o r m I m p l em e n t a t io n : Pe r f o r m a n c e M a n a g e m e n t i n t h e B u s h A d m i n i s t r a t io n .
Journal of Public Administration Research and Theor y
M oy ni h a n , D o n a l d P. a n d D a n i e l H aw e s . 2 01 2 . “ Re s p o n s i v e n e s s to Re f o r m Va l u e s : T h e
I n f l u e nc e o f t h e E nv i ro n m e n t o n Pe r f o r m a n c e I n f o r m a t io n U s e . ” P u b l i c
A d m i n i s t r a t i o n R ev i e w 7 2 ( S 1 ) : 9 5 - 1 0 5 .
L av e r t u , S te p h a n e , D av i d L ew i s a n d D o n a l d M oy ni h a n . 2 01 3
G o v e r n m e n t Re fo r m , Po l i t i c a l I d e o l o g y, a n d Ad m i n i s t r a t i v e B u r d e n : T h e C a s e o f
Pe r f o r m a n c e M a n a g e m e n t i n t h e B u s h Ad m i n i s t r a t i o n . Fo r t h c o mi n g i n P u b l i c
A d m i n i s t r a t i o n R ev i ew
M oy ni h a n , D o n a l d P. 2 0 0 8 . T h e D y n a m i c s o f P e r f o r m a n c e M a n a g e m e n t .
Wa s h i n g ton D C : G e o r g etown U n i v e r s i t y P r e s s .
M oy n ih a n , D o n a l d P. 2 01 3 . T h e N e w F e d e r a l P e r f o r m a n c e S y s te m :
I m p l e m e n t i n g t h e N e w G P R A M o d e r n i za t i o n A c t . Wa s h i n g ton D . C .: I B M C e n t e r
for the Business of Government.
Moynihan, Donald, and Sanjay Pandey. 2010. The big question for per formance
management: Why do managers use performance information? Journal of Public
Administration Research and Theory 20(4): 849–66.
M o y n i h a n , D . , P a n d e y, S . , & W r i g h t , B . ( 2 0 1 2 a ) . P r o s o c i a l v a l u e s a n d p e r f o r m a n c e
management theory: The link between perceived social impact and performance
information use. Governance, 25(3), 463–83.
M oy n i h a n , D o n a l d P. a n d D a n i e l H awe s . 2 01 2 . Re s p o n s i v e n e s s to Re f o r m Va l u e s : T h e
I n f l u e n c e o f E nv i r o n m e n t o n Pe r fo r m a n c e I n fo r m a t i o n U s e . P u b l i c A d m i n i s t r a t i o n
R ev i ew 7 2 ( S 1 ) : 9 5 - 10 5 .
M oy ni h a n , D o n a l d , a n d P a t r i c ia I n g r a h a m . 2 0 0 4 . I n te g r a t i ve l e a d e r s h i p i n t h e
p u b l ic s e c to r : A m o d el o f p e r f o r ma n c e - i n fo r m a t io n u s e . A d m i n i s t r a t i o n &
S o c i e t y 3 6 ( 4 ) : 4 27 – 5 3
M oy ni h a n , D o n a l d P. a n d S t é p h a n e L av e r t u. 2 01 2 . “ D o e s I nv o l ve m e n t i n
Pe r f o r m a nc e R e f o r ms E n c o ur a g e Pe r f o r m a nc e I n f o r m a t i o n U s e ? E v a l ua t in g
G P R A a n d PA R T. ” P u b l i c A d m i n i s t r a t i o n R ev i e w 7 ( 4 ) : 5 9 2 - 6 0 2
Download
Related flashcards
Political science

34 Cards

Liberalism

24 Cards

Media in Kiev

23 Cards

Sports television

32 Cards

Create flashcards