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PMA
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The President’s Management Agenda (PMA)
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The President’s Management Agenda (PMA) outlines five government-wide
goals, and one initiative specific to the Department of Justice, that envision
a results-oriented, citizen-centered government and that allow for improving
performance and overall effectiveness. The Department of Justice is committed
to implementing the strategies of the PMA. Essential to successfully implementing
the PMA, and achieving the Attorney General’s management goals, is a
well-managed organization with highly skilled employees. While it will take
several years for the Department to successfully accomplish many of the PMA
items due to extensive planning, analysis, and coordination involved in implementation,
the Department has made significant progress in supporting the reforms outlined
in the PMA, and the following highlights progress made throughout FY 2003.
Proud to Be “Getting to Green”: Status of PMA Implementation
Early in FY 2003, the Office of Management and Budget (OMB) asked each agency
to reflect on the five government-wide initiatives and outline where they
would be “Proud to be” by July 1, 2004. This exercise led to the
establishment of new “Proud To Be” criteria for determining if
an agency was making progress in implementing the objectives outlined within
the President’s Management Agenda. OMB’s newly developed criteria
standardizes the elements of achieving red, yellow, and green in each of the
goal areas and serves as a guide as the Department works towards successful
attainment of each agenda item.
Throughout FY 2003, OMB continued evaluating our efforts and providing status
reports using a red, yellow, green grading system. A score of red implies
that the agency has made little progress in moving towards implementation,
yellow means the agency has a defined and approved plan for attainment, and
green indicates that an agency has successfully fulfilled each of the criteria
outlined by OMB. Closing out our second year of tracking the agenda items,
the Department moved to yellow overall in the areas of Competitive Sourcing
and the Faith Based Community Initiative. OMB is rating the Department’s
incremental progress towards getting to green is displayed in the “progress
status” area in the chart below.
President’s Management
Agenda Goal |
Overall Status
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Progress Status*
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Strategic Management of Human Capital
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Red
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Green
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Competitive Sourcing
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Yellow
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Green
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Improved Financial Management
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Red
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Green
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Expanded Electronic Government
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Red
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Green
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Budget and Performance Integration
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Red
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Green
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President’s Management Agenda Initiative
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Faith-based and Community Initiative
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Yellow
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Green
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* As of September 30, 2003
PMA 1. Strategic Management of Human Capital
President Bush’s management agenda seeks to flatten the federal hierarchy
and make government more citizen-centered by reducing the number of layers
within government. Through workforce planning, agencies can redistribute higher-level
positions to aid timely decision-making and more effectively interact with
citizens. The Department’s main initiatives under the umbrella of strategic
management of human capital include: streamlining, eliminating and/or consolidating
duplicative functions and focusing resources on front-line positions, and
strengthening hiring, training and diversity policies throughout the Department.
Criteria
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FY 2003 Progress
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- Implemented a comprehensive Human Capital Plan, analyzed
the results, and integrated them into decision making processes
to drive continuous improvement;
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- After completing a comprehensive Human Capital (HC) Strategic
Plan in September 2002, DOJ created its HC Implementation
Plan in March 2003 listing 25 objectives to achieve HC plan
goals. In June 2003, DOJ prepared a HC Project Tracking Report
with specific tasks and due dates.
- DOJ meets with OPM and OMB officials twice per quarter to
provide status updates. The project tracking report and status
discussions facilitate HC decision making and drive continuous
improvement. In June 2003, DOJ’s progress rating on
the HC scorecard was elevated from yellow to green.
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- Analyzed and optimized existing organizational structures
from service and cost perspectives, using redeployment and
delayering as necessary and integrating competitive sourcing
and E-Gov solutions; and has a process in place to address
future changes in business needs;
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- During FY 2003, DOJ transitioned Alcohol, Tobacco, Firearms
and Explosives (ATF) to DOJ and transitioned Immigration and
Naturalization Services (INS) and other DOJ organizations
to DHS.
- In fulfillment of the Attorney General’s post September
11, 2001 goals, DOJ launched efforts to restructure and reform
the Office of Justice Programs (OJP) and the Federal Bureau
of Investigation (FBI). In FY 2003, OJP made progress implementing
phase two of its approved restructuring proposal, and the
FBI continued a comprehensive reengineering.
- DOJ is participating in various E-Gov solutions and is working
to ensure hiring is automated across DOJ to the greatest extent
possible; the Drug Enforcement Agency (DEA) joined DOJ’s
automated hiring in June 2003.
- DOJ launched a contracted Workforce Analysis and Planning
Initiative in the 4th Quarter FY 2003. The project will identify
business drivers throughout DOJ and create a planning model
that will allow decision makers to better align the workforce
to meet mission requirements and to address future changes
in business needs.
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- Succession strategies, including structured executive development
programs, result in a leadership talent pool and are continuously
updated to achieve results;
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- In FY 2003, DOJ developed an Senior Executive Service (SES)
Candidate Development Program and completed a Corporate Leadership
Council sponsored survey; survey results will be used as a
foundation for the DOJ succession management process.
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- Has performance appraisal plans for all SES and managers,
and more than 60% of the workforce, that: link to agency mission,
goals and outcomes; hold employees accountable for results
appropriate to their level of responsibility; effectively
differentiate between various levels of performance; and provide
consequences based on performance. The agency is also working
to include all agency employees under such systems;
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- Performance policies for SES and General Schedule employees
were completed during FY 2003. The policies require that performance
plans and appraisals link to the DOJ Strategic Plan and will
be phased in at the beginning of each component’s next
appraisal period. A new incentive awards policy memorandum
provides for performance differentiation and consequences
for SES, managers, and employees.
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- Reduced under-representation, particularly in mission-critical
occupations and leadership ranks; established processes to
sustain diversity;
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- During FY 2003, DOJ completed several key milestones from
the Attorney General’s Management goals to support an
inclusive culture in the Department, including: developed
the policy and program for the Attorney Student Loan Repayment
(SLR) Program and made SLR awards; selected a contractor for
a Workplace Culture Assessment; and received the Attorney
General’s approval for a new mentoring proposal and
assigned mentors for honors attorneys.
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- Significantly reduced skill gaps in mission critical occupations
and competencies, integrated competitive sourcing and E-Gov
solutions into gap reduction strategy; and
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- DOJ prepared a Workforce Analysis Report in June 2003 that
identified skill gaps based on projected attrition/retirements
over the next five years.
- In September 2003, DOJ completed a comprehensive survey of
all DOJ occupations to determine means of recruitment and
training needs at entry into DOJ. DOJ also began launching
a Virtual University initiative.
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- Outcome measures are used to make human capital decisions,
demonstrate results, make key program and budget decisions,
and drive continuous improvement in the agency.
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- During FY 2003, DOJ funded and established participation
in the Corporate Leadership Council’s HR Measurement
Laboratory that will produce a web-based workforce metrics
dashboard.
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PMA 2. Competitive Sourcing
The President has proposed to increase competition for activities performed
by the government as listed on agency FAIR Act inventories. We will use competitive
sourcing as a tool for getting departmental commercial-type work done efficiently,
considering the full cost of in-house performance.
DOJ will strive to conduct accurate FAIR Act inventories that reflect closer
scrutiny of functions performed within the Department to determine those that
are commercial in nature. Additionally, as appropriate, the Department will
conduct A-76 competitions or direct conversions to achieve economies and enhance
productivity.
Criteria
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FY 2003 Progress
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- Has an OMB approved “green” competition plan
to compete commercial activities available for competition;
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- DOJ established a “yellow” plan in February 2003.
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- Has publicly announced standard competitions in accordance
with the schedule outlined in the agency “green”
competition plan;
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- DOJ has issued solicitations for its “yellow”
plan; however, the FBI vehicle maintenance competition has
been put on hold as a result of a protest. The FBI has recovered
the source selection board.
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- Since January 2001, has completed at least 10 standard and
streamlined competitions (no minimum number of positions required
per competition);
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- N/A – This criterion was modified from ten for DOJ
per agreement with OMB based on the size of the DOJ competitions.
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- In the past year, completed 90% of all standard competitions
in a 12-month timeframe;
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- N/A – Based on OMB/DOJ agreement, late FY 2003.
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- In the past year, completed 95% of all streamlined competitions
in a 90-day timeframe;
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- N/A – Based on OMB/DOJ agreement, late FY 2003.
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- In the past year, canceled fewer than 10% of publicly announced
standard and streamlined competitions; and
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- DOJ has not cancelled any competitions.
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- Has OMB approved justifications for all categories of commercial
activities exempt from competition.
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- At the time of this report, OMB has supported DOJ’s
decisions regarding exemptions.
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PMA 3. Improved Financial Management
Timely and accurate financial reports, combined with key performance information,
are critical to improving agency management, program performance, and overall
cost effectiveness. It is vital for agencies to have reliable and functionally
capable financial and associated performance systems that can provide that
critical information. It is equally important that agencies operate with efficient
business practices that are compliant with federal financial management and
accounting standards. DOJ continues to improve its systems and practices in
order to provide management and the public with reliable and timely financial
management information.
Criteria
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FY 2003 Progress
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- Receives an unqualified audit opinion on its annual financial
statements;
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- For FY 2002 and FY 2001, DOJ received unqualified opinions
on all its audited financial statements. DOJ fully expects
to receive an unqualified opinion on its FY 2003 annual financial
statements.
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- Meets financial statement reporting deadlines;
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- As a part of preparing to meet the OMB aggressive November
15, 2004 due date, the Department has accelerated the FY 2003
financial statement due date by 30 days. To ensure DOJ meets
the accelerated due dates for the FY 2003 reports, DOJ updated
its financial statements guide and issued a new statement
preparation timeline to all components. DOJ emphasized to
components the importance of meeting the Department-wide time
line, key dates for completing the fiscal year 2003 audit,
and the Treasury year-end closing requirements, including
FACTS I and II submissions.
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- Reports in its audited annual financial statements that its
systems are in compliance with the Federal Financial Mangers
Improvement Act;
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- As part of the Attorney General’s plan to improve financial
management performance, DOJ continues its preparation to acquire
a new Department-wide core financial system known as the Unified
Financial Management System (UFMS). In preparation for implementation
of the UFMS, DOJ developed business process models, a prototype
accounting scheme for coding, and issued the commercial off-the-shelf
(COTS) award solicitation.
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- Produces accurate financial information on demand;
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- The Department issues accurate financial information on demand.
DOJ completed testing of the Hyperion Financial Management
financial consolidation software testing. It also issued reimbursement
policies to accelerate quarterly and year-end closeouts and
performed interim testing.
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- Routinely assesses performance and financial information
which its managers use to make day-to-day decisions;
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- The routine assessment of performance/financial information
is being addressed through implementation of the Unified Financial
Management System and through the development of improved
performance measures. DOJ began reporting OMB government-wide
Financial Management Performance Metrics, contracted with
a recovery auditor to recover erroneous payments, and started
the audits. The Department began a partnership with OMB on
the Core Financial Management Line of Business team, and held
the first Department-wide Financial Managers Conference to
address financial management issues.
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- Has no chronic or significant Anti-Deficiency Act Violations,
has no material auditor-reported internal control weakness;
AND
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- DOJ anticipates no chronic or significant Anti-Deficiency
Act Violations. Corrective Action Plan efforts are anticipated
to result in a diminished number of internal control weaknesses
in the FY 2003 audit reports at a component level.
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- Has no material non-compliance with laws or regulations,
agency head provides an unqualified statement of assurance
in its annual accountability report.
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- DOJ anticipates meeting the objectives of Sections 2 and
4 of the Federal Managers’ Financial Integrity Act (Integrity
Act) for FY 2003. While there are still material challenges
to resolve, DOJ continues to improve in this area. During
FY 2003, the Department continued to implement Corrective
Action Plans to remedy weaknesses related to financial systems
compliance and federal accounting standards. The Department
issued guidance on reporting material weaknesses and significant
concerns under the Integrity Act.
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PMA 4. Expanding E-government
Focusing the application of information technology on improving agency mission
performance, enhancing information security, maintaining privacy, reducing
duplication and coordinating efforts with other agencies in an integrated
manner is vital to the success of this agenda item. The Department of Justice
Office of the Chief Information Officer (OCIO) has made significant progress
in implementing the DOJ IT Strategic Plan. Additionally, savings achieved
through eGoverment solutions will allow the Attorney General to achieve the
reallocation of resources in support of anti-terrorism activities.
Criteria
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FY 2003 Progress
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- Has a Modernization Blueprint that focuses IT investments
on important agency functions and defines how those functions
will be measurably improved;
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- Established a Department-wide Enterprise Architecture (EA)
Committee to guide the development of the DOJ EA. Published
the DOJ Technical Reference Model (version 1) and the target
conceptual architecture. Identified key agency functions for
inclusion in the Common Solutions Initiative – Financial
Management and the “To-Be” Booking Architecture.
Developed and issued the DOJ IT Security Architecture. Initial
work started for the Case Management System and DOJ Infrastructure
Initiatives.
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- Has acceptable business cases (security, measures of success
linked to Modernization Blueprint, program management, risk
management, and cost, schedule and performance goals) for
all major systems;
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- In January 2003, DOJ submitted 43 acceptable business cases.
Developed consolidated business cases in program areas of:
financial management, infrastructure, and architecture. Conducted
Department-wide Exhibit 300 business case training for components
staff preparing for FY 2005 budget submission including consolidated
business cases. Established linkages from consolidated business
case for enterprise-wide financial management system in the
“To-Be” financial management architecture. Identified
additional project candidates for the DOJ Common Solutions
Initiative for integration across the Department.
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- Has cost and schedule overruns that average less than 10%
and performance shortfalls average less than 10% for all major
IT projects;
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- DOJ OCIO initiated and implemented a project oversight program
(POP) to focus on the most difficult, costly and challenging
projects from a cost, schedule and schedule perspective. Initiated
first phase an Information Technology Investment Management
(ITIM) Select process; identified projects transitioned to
the Control Phase for POP oversight/monitoring. Automated
tool used to capture, track, and report all IT projects cost
schedule and performance data. Initiated Department-level
IT Review Board for selected projects classified as high-risk,
high-dollar, and high profile.
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- Quarterly status report documents sustained progress in remediating
IT security weaknesses;
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- Submitted status report to OMB and Congressional Committees
on improved capabilities of DOJ internal database to facilitate
analysis of classified systems; improved accurate and timely
reporting and established additional oversight and resources
to assist in addressing the security weaknesses identified
during the FBI and the U.S. Marhals Service certification
and accreditation process.
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- Inspector General verifies that there is a Department-wide
IT Security remediation Process;
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- DOJ OCIO accepts responsibility for the development of a
Department-wide IT Security remediation process. An IT Security
Council (ITSC) was formed in August 2003, with representatives
from each component as members. The OCIO staff is responsible
for ensuring all components have implemented the appropriate
IT security controls, ensuring components identify plans of
actions and milestones, and the monitoring of corrective action
plans.
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- Has 90% of operational IT systems properly secured (certified
and accredited, including mission critical systems; and
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- DOJ systems and networks continue to be evaluated and assessed
for risks. The percentage of IT systems reviewed continued
to rise in FY 2003 to 79%.
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- Contributes to, and participates in, 3 of the 4 categories
of E-Gov initiatives rather than creating redundant, or agency
unique, IT projects.
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- In FY 2003, DOJ contributed to, and participated in, 4 of
4 e-Gov categories. DOJ is also a partnering agency in 17
federal cross-agency initiatives, contributing content and
information resources. The Office of Justice Programs reached
a major milestone to integrate the Grants Management System
with the Grants.gov initiative.
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PMA 5. Budget and Performance Integration
Beginning with the FY 2004 budget submission, the Administration began formally
integrating review of performance with budget decisions seeking to improve
the performance and management of the federal government. This initiative
seeks to link program performance to budget decisions and improve tracking
and management, it is expected that agencies will be able to identify effective
outcome measures, monitor their progress, and accurately present the associated
costs.
Criteria
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FY 2003 Progress
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- Senior agency mangers meet at least quarterly to examine
reports that integrate financial and performance information
that covers all major responsibilities of the Department.
This information issued to make decisions regarding the management
of agency programs;
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- Implemented quarterly reporting mechanism for all components
covering financial and performance information. Leadership
briefings are scheduled quarterly, the outcomes of which guide
Departmental decision-making.
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- Strategic plans contain a limited number of outcome-oriented
goals and objectives. Annual budget and performance documents
incorporate all measures identified in PART and focus on the
information used in the senior management report described
in the first criterion;
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- Department made significant progress on the update to its
current Strategic Plan by reducing the eight-goal structure
to four and including specific long-term, measurable outcome
goals. (The Department will issue its revised strategic plan
covering FYs 2003-2008 in early FY 2004.) Additionally, in
FY 2003, the Department updated its performance informed budget
template to incorporate all measures identified in the PART
process.
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- Performance appraisal plans for at least 60% of the agency
positions link to agency mission, goals and outcomes, effectively
differentiate between consequences based on performance;
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- Budget Staff and representatives from Human Resources communicated
quarterly throughout FY 2003 to ensure efforts in this area
were in progress.
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- Reports the full cost of achieving performance goals accurately
(+/-10%) in budget and performance documents and can accurately
estimate the marginal cost (+/-10%) of changing program goals;
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- The Department continued to report the full cost of achieving
performance goals within its annual budget and performance
documents.
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- Has at least one efficiency measure for all programs; and
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- The Department currently has two programs (incarceration
and detention) with existing cost per capita efficiency measures.
The Department continued to examine, where additional efficiency
measures would be helpful in guiding decision-making and where
data developed as a result would be meaningful and appropriate.
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- Uses PART evaluations to direct program improvements and
PART ratings are used consistently to justify funding requests,
management actions, and legislative proposals. Less than 10%
of the agency programs receive a Results Not Demonstrated
rating for more than two years in a row.
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- Department used the results of the BY 2004 PART reviews in
our continuing efforts to improve DOJ programs and aid in
the development of long-term measurable outcome goals, where
possible. Also in FY 2003, the Department, in coordination
with OMB, finalized the PART inventory, which details which
programs will be PARTed through FY 2008. Budget Staff continue
to work with components and OMB to assess if programs previously
receiving assessments of “results not demonstrated”
should be reassessed.
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Faith-Based and Community Initiative
President Bush’s Management Agenda seeks to reform federal management
and improve program performance through the development of a coordinated strategy.
In addition to the five strategies outlined above, the Department is also
responsible for the Faith-Based and Community Initiative. Under this initiative,
the Department of Justice, in addition to the Departments of Education, Health
and Human Services, Housing and Urban Development, and Labor will work to
identify and eliminate unwarranted regulatory barriers that exist in providing
Faith-Based and Community-Based programs with access to federal programs.
Justice is working to provide coordinated training and technical assistance
to Faith-Based and Community-Based organizations looking to apply for grant
funding.
Criteria
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FY 2003 Progress
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- Agency has a fully implemented and coordinated plan for communication
and outreach to Faith-Based Organizations (FBOs)/Community-
Based Organizations (CBOs).
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- Initiative website invites subscription to an e-mail list
to communicate grant Request for Proposals, guidance, and
Technical Assistance opportunities to FBO/CBOs.
- Department participated in seven White House conferences
regarding the Initiative and included the Initiative
in Department sponsored grantees and administrators
conferences. Sessions on the Initiative were included
in the National Crime Prevention Council’s Annual
Meeting funded by Office of Justice Programs (OJP).
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- Agency has a coordinated technical assistance plan, which
includes efforts to streamline the application process for
small and novice applicants, and to provide these groups with
assistance in applying for federal funds.
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- Executive Office of Weed and Seed (EOWS) produced a Faith-Based
Implementation Guide for its grantees.
- Office for Victims of Crime continues its HOPE (Helping Outreach
Programs Expand) grants to provide a streamlined application
process for small and novice grantees.
- OJP provides technical assistance and training to grantees.
Each Bureau has its own technical assistance to which links
are provided from one website.
See http://www.ojp.usdoj.gov/training.htm.
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- Agency has fully implemented efforts to eliminate significant
and ongoing barriers to participation identified by Agency
audit.
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- OJP revised its Certified Assurances Form to remove extra-statutory
limitations on faith-based organizations. OJP removed requirement
that applicants be a 501(c)(3) organization unless required
by statute. DOJ published for comment a regulation implementing
Executive Order 13279 throughout the Department.
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- Agencies consistently apply appropriate legal requirements
for participation by FBO/CBOs, including grant review and
application of law by regional offices.
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- Agency has included a statement of eligibility for FBO/CBOs
in relevant program announcements and peer review guidance
as well as “dos and don’ts” guidance for
FBOs.
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- Agencies have established a pilot program targeted at FBO/CBOs
with special attention to issues of substance abuse, homelessness,
elders in need, at-risk youth, welfare to work and prisoner
re-entry.
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- Pilot Projects: COPS Reentry grants for faith-based mentoring
programs; Bureau of Prison’s Life Connections Program
(LCP) for inmates in federal institutions; OVC’s Elder
Fraud Pilot using funding from Civil Division to involve faith-based
service providers in efforts to protect the elderly from fraud;
Office on Violence Against Women’s Safe Havens Project
to enlist and equip FBOs to help combat violence against women.
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- Agencies have a fully implemented research agenda assessing
the impact of the initiative.
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- OJP sponsored a Research Study Group on Faith-Based Outcomes
to solicit research possibilities and to examine the present
findings in the field. BOP continues collection of baseline
data from LCP Program. Development of evaluation of other
pilots is ongoing.
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