Strat planning intosai gao

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Notes by Don Drach on Strategic Planning for Supreme Audit Institutions based on USGAO and INTOSAI strategic plans

Notes by Don Drach on Strategic Planning for Supreme Audit Institutions based on USGAO and INTOSAI strategic plans

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  • The bottom line is to determine what criteria apply to your plan, define for your organization what you want strategic planning to do, decide what timeframe to cover.
  • Used to have 2 year updates Moved to 3 years – decision was resource-driven
  • Strategic plan interacts with many if not all agency functions Budgeting: Aligned by goal & includes targets for budget year Accountability: Performance measurement & reporting Risk-Based Engagement Management Process: EAM & ERM Align work with objectives & perf. goals Quality Assurance Framework Resource Planning: Workforce Planning; IT needs; Training; Knowledge inventory Building Security needs Org. Structure: Create new units as needed; e.g., HSJ
  • Project leaders are SPEL & QCI Expectations discussed with Exec. Comm. Use scans to identify strengths, weaknesses, opportunities, and threats Highlighting gaps
  • Major GAO stakeholders include other legislative branch agencies accountability organizations Advisory groups Stakeholders help to identify strengths, weaknesses, opportunities, and threats Consultation can also lead to collaboration Joint planning—identifying opportunities to pursue common goals and objectives
  • Can include input/info from ongoing work Meetings with experts/think tanks/consultants Literature searches
  • The bottom line is to determine what criteria apply to your plan, define for your organization what you want strategic planning to do, decide what timeframe to cover.
  • WALKER: Examples of comments received: A number of comments received on the overall proposal had to do with independence , particularly as we begin to engage in partnerships with other bodies. Another comment that the Task Force received from some was a caution that INTOSAI not operate on two levels or two tracks, and the core value of inclusion addresses that issue. We need, for example, to give more recognition to the important role that INTOSAI’s regional working groups play…..it on the regional level that many of INTOSAI’s programs and activities are actually delivered and where SAIs see direct benefit to themselves.

Transcript

  • 1. Strategic Planning
    • What is it?
      • Systematic planning process
      • Identifies mission, vision, goals
      • Acknowledges strengths and weaknesses
      • Analyzes threats and opportunities
      • Provides structure for organizational operations
      • Sets direction for several years’ of substantive work
      • Facilitates budgeting and human capital planning
  • 2. Strategic Planning at GAO
    • First strategic plan prepared in 2000
    • Updates: June 2002, March 2004, March 2007
    • Current 2010-2015 plan issued July 2010
    • GPRA amendments of 2011 change cycle to 4 years (vs. 3)
  • 3. Strategic Planning at GAO Strategic Plan for Serving the Congress and the American People Annual Performance Budget Resource Planning Align Organizational Structure Annual Performance & Accountability Reports Risk-Based Engagement Management Process
  • 4. Strategic Planning at GAO
    • Involves many stakeholders, both internal and external
    • Project leaders report to GAO’s Executive Committee
    • Begins with formal discussions on expectations
    • Environmental scan performed early in the process
    • Draft the plan with team input
    • Obtain reviews and approvals
    • Congressional and stakeholder comments
    • Publish the plan
    • Align accounting and activity codes with new goals
    • Monitor plan performance
  • 5. Strategic Planning Publish Plan Publish Plan External Scan
    • Develop/
    • Revise
    • Mission
    • Values
    • Goals
    • Develop/ Revise
    • Trends
    • Strategic
    • Objectives
    • Performance Goals
    • Key Efforts
    Internal Review and Agreement
    • Consult
    • Congress
    • Key Stakeholders
    Develop Agreement Internal Scan Client Scan
  • 6. Environmental Scan
    • Identifies emerging issues and trends
    • External scan sources include
      • Special studies
      • Speaker series
      • Advisory boards
      • External partners
  • 7. Environmental Scan
    • Internal scan assesses internal capacities: human capital, processes, technology, environment
    • Sources
        • Employee feedback
        • Skills inventory
        • Internal customer surveys
        • Special projects
  • 8. Eight trends will shape GAO’s work
    • Evolving National security Threats
    • Fiscal Sustainability Challenges
    • Economic Recovery and Growth
    • Global Interdependence and Shifts in Power
    • Scientific and Technological Advances
    • Virtualization
    • Shifting Demands on Government
    • Demographic and Societal Change
    • e.g., Rising poverty and pressing issues among children and young adults join aging and increasing diversity as key societal trends affecting demand for government services.
  • 9.
    • Both managers and staff develop and update plan
      • Senior managers — Overall mission, core values, and strategic goals and objectives
      • Team/office managers and staff — Specific performance goals and key efforts
    Drafting the Plan
  • 10. GAO’s Strategic Planning Hierarchy
  • 11. Review, Approval, and Publication
    • Draft plan reviewed internally by Executive Committee and team and office heads
    • Approved draft electronically sent to major stakeholders (such as Congressional committees and CGAB) for comment
    • Final strategic plan consists of one document
      • Acting CG’s transmittal letter serves as the de facto summary
      • Discussion of 8 trends relates GAO work to broader context
      • Body captures planned work on fiscal crisis, economic recovery, financial and health care reform, etc.
    • Published copies sent to top managers, GAO’s appropriations and oversight committees, external partners
  • 12. GAO Performance Measurement Strategy Nonfinancial benefits Financial benefits Leading, recognizing, and listening to staff Attracting and retaining staff Getting work done Quality of work life Testimonies Timeliness Developing, supporting, and using staff Client People Internal Operations Results Past recommendations implemented Products with recommendations
  • 13. INTOSAI Organization Chart Pre-2004
    • Audit Standards
    • Cmtee 1984
    • International Institutions 2001
    • Program Evaluation 1992
    • Public Debt 1992
    • Environment
    • 1992
    • Internal Controls
    • Cmtee 1984
    • Secretariat
    • 7 Regional Working Groups
    • INCOSAI
    • Governing Board (18)
    • Privatization
    • 1992
    • Journal
    • 1974
    • Accounting & Reporting Cmtee
    • 1984
    • IDI
    • 1986
    • IT
    • 1992
    • International Money Laundering 2001
    • Strategic Planning
    • 2001
  • 14.  
  • 15. Consultation, Compromise , Consensus