Oversight Matters: Balancing Mission, Risk, and Compliance
Recommendations from the BPC Task Force on Executive Branch Oversight
The Brief
The Bipartisan Policy Center’s Task Force on Executive Branch Oversight examined approaches to more efficient and effective oversight by the executive branch of its own affairs that would enable departments and independent agencies to improve mission and program performance.
This report:
- examines the current state of oversight in the executive branch;
- analyzes the effectiveness of current oversight practices; and
- presents recommendations to improve and streamline current practices.
The task force identified recommendations to improve oversight in the executive branch in four areas:
- Oversight community capacity;
- Trust in the oversight culture;
- Risk-based, data-driven compliance policies; and
- Collaboration among oversight bodies.
The Bipartisan Policy Center’s Task Force on Executive Branch Oversight examined approaches to more efficient and effective oversight by the executive branch of its own affairs that would enable departments and independent agencies to improve mission and program performance. This report: (1) examines the current state of oversight in the executive branch; (2) analyzes the effectiveness of current oversight practices; and (3) presents recommendations to improve and streamline current practices.
The task force identified recommendations to improve oversight in the executive branch in four areas:
• Oversight community capacity;
• Trust in the oversight culture;
• Risk-based, data-driven compliance policies; and
• Collaboration among oversight bodies.
The first part of this report examines the current state of oversight in the executive branch, through the lens of “people, process, and technology.” The “people” involved are the personnel—both internal (e.g., agency leaders, program managers) and external (e.g., inspectors general, Congress)—who are responsible for (1) ensuring agencies effectively accomplish their missions, (2) improving efficiency and effectiveness, and (3) combating waste, fraud, and abuse. The “processes” and requirements employed to exercise oversight in the executive branch exist in a plethora of policies and legislation. The task force specifically concentrated on one of those: the enterprise risk-management framework memorialized in Office of Management and Budget Circular A-123. Finally, the “technology” portion of the oversight discussion focuses on the role data plays in determining oversight metrics and the constant changes that are necessary to oversee technology itself.
The second part of the report discusses the four areas listed above and the task force’s recommendations for more effectively leveraging each of them. With respect to oversight community capacity, the task force recognizes that for internal oversight bodies, such as program managers, compliance is certainly important to the successful performance of any mission. However, there must be an appropriate balance between compliance with management and reporting requirements and mission performance. For external bodies, such as the Government Accountability Office, however, the task force identifies an opportunity for it to perform a more consultative role when agencies request it. Regarding the topic of trust in the oversight culture, the task force concentrates on the idea that, while there is an overall lack of trust in the government among Americans, within agencies the culture of trust emanates from the top and public perceptions can be mitigated. The task force’s concentration on risk-based, data-driven compliance policies emphasizes the need to eliminate compliance for compliance sake and reframe oversight to one that relies more on evidence. Finally, with respect to collaboration among oversight bodies, the task force discusses the benefits to be gained through more constructive engagement between internal and external oversight entities.
The Task Force on Executive Branch Oversight makes these recommendations to independent agencies, department heads, and Congress.
Recommendations:
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- External executive branch oversight bodies (for example, inspector generals, or the Government Accountability Office) should
refocus their oversight practices to include more mission-related values and outcomes in addition to the traditional emphasis
on fraud, waste, and abuse. - Internal executive branch oversight bodies (for example, department and independent agency leaders) should reduce the time
they spend on compliance-related activities so they can dedicate more time to mission performance. - Internal executive branch oversight bodies (for example, department and independent agency leaders) should consider
collecting proxy or qualitative data related to time spent on compliance versus performance activities in order to conduct cost/
benefit analyses. - The Office of Management and Budget should consider building on the existing enterprise risk-management (ERM) framework
by incorporating mission performance as the end goal.
- External executive branch oversight bodies (for example, inspector generals, or the Government Accountability Office) should
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- Department and independent agency leaders should consider addressing incidents of improper behavior by identifying the root
cause of the incident before establishing new policies. - Department and independent agency leaders should set a tone of trust from the top by regularly recognizing and incentivizing
exemplary performances characterized by a risk-balanced perspective in achieving operational, compliance, and reporting
objectives.
- Department and independent agency leaders should consider addressing incidents of improper behavior by identifying the root
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- The Congressional Research Service should consider updating the 2004 management compendium so that agencies have an
up-to-date list of management laws and policies they must comply with. - In their oversight agendas, Congress should consider using a risk-based approach that better emphasizes performance
outcomes. - Department and independent agency leaders should collect more robust measures of mission performance and analyze with
risk measures to better identify root causes of risks.
- The Congressional Research Service should consider updating the 2004 management compendium so that agencies have an
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- Internal oversight bodies should regularly consult with and seek guidance from external oversight bodies.
- Internal oversight bodies should define and adopt cultures that more transparently report and address risks.
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