Office of Policy & Program Analysis Strategic Plan December 2008 Fiscal Years 2009 - 2013 Table of Contents Message from the Director 3 Summary of Major Elements 4 Introduction and Background 6 Policy Division 8 Goal 1 Performance Measures Program Analysis & Evaluation Division 10 Goal 2 Performance Measures Strategic Planning & Analysis Division 12 Goal 3 Performance Measures Transformation Management Division 14 Goal 4 Performance Measures Defense Production Act Division 16 Goal 5 Performance Measures OPPA Management 19 Goal 6 Performance Measures Implementation 22 Appendix A 23 OPPA Organizational Chart Message from the Director The Office of Policy and Program Analysis (OPPA) is entrusted with guiding and coordinating the policies, strategic planning, and analysis of the programs in FEMA, and operates under the direction of the Administrator. The office also plays a key part in coordinating the roles and responsibilities and missions and functions of FEMA’s components. The functions within OPPA have for many years, decades in fact, been scattered throughout the agency until recently. Several attempts at putting some of these pieces in place have met with moderate success, but had not fully taken root within the agency’s culture and business procedures. Since its formation in 2006, OPPA has been developing the building blocks of true integration of policy development, review, and implementation; comprehensive agency and component strategic planning; full scope investment review and programmatic analysis; and, transformation management. These institutional business practices are vital to FEMA continually improving how it does its business. This effort has just begun and needs to be strengthened in the coming years. This Strategic Plan sets forth the vision that OPPA expects to realize in the coming years. The goals, objectives and strategies for each OPPA component provide the roadmap for us to work together, and with the agency as a whole, to achieve our vision—and ultimately, to help FEMA achieve its vision as The Nation’s Preeminent Emergency Management and Preparedness Agency. Summary of Major Elements Vision A catalyst that transforms FEMA into a stronger and more agile results-oriented organization that better advances the agency’s mission and serves the American public. Mission Support and strengthen overall agency performance by providing objective planning and analysis that ensure FEMA policies and programs are continuously improved and integrated to effectively meet current and future challenges. Core Values Leadership We will motivate people to work together to achieve FEMA’s mission and adapt to new challenges, and will build trust and confidence through clear and regular two-way communication. Professionalism We will promote a culture of wise stewardship of agency resources and commit ourselves to excellence in all that we do. Teamwork We will respect and support each other and all of our partners as we work together toward a shared vision and clear results. Accountability We will be accountable for the actions we take, the decisions we make, and the resources we manage. Problem Solving We will anticipate and actively resolve problems in the best interest of the agency through reliance on sound information, objective and transparent analysis, good judgment, and bringing partners and stakeholders together. Goals 1. Lead and coordinate policy development that supports the agency across the full spectrum of preparedness and emergency management activities. 2. Institutionalize a results oriented, return-on-investment culture. 3. Instill coordinated and actionable strategic thinking throughout the agency. 4. Lead organizational change across the agency and help others manage ongoing transformation. 5. Provide guidance and support to ensure effective use of Defense Production Act (DPA) authorities by FEMA, other DHS components, and other Federal agencies. 6. Ensure effective management of OPPA operations by providing strong leadership and investing in OPPA employees. Introduction and Background FEMA was created in 1979 by merging different organizations, each with an emergency management related mission but with a culture and purpose of their own. These organizations included the United States Fire Administration, the Defense Civil Preparedness Agency, the Federal Disaster Assistance Administration, and the Federal Insurance Administration. In fact, the creation of FEMA was not dissimilar to the creation of the Department of Homeland Security 24 years later, which merged homeland security-related organizations with distinct missions and cultures. Though FEMA’s fundamental mission has not changed since its creation, the events of September 11, 2001 drew greater attention toward the full range of hazards—man-made and natural—under FEMA’s mission. The preparedness and protection components of FEMA’s mission were later greatly expanded as part of the Post-Katrina Emergency Management Reform Act (PKEMRA) of 2006. With that expansion, other components of the Department were merged into FEMA, each again bringing its own culture and distinct missions. One of FEMA’s key challenges since its creation was, and is, to operate as a single organization in which everyone makes informed decisions that are in the best interest of the agency, its mission, and the nation that FEMA serves. The Office of Policy and Program Analysis (OPPA) is uniquely positioned to facilitate and ensure that FEMA’s decisions and investments reflect an agency-wide perspective, regardless of the program area or geographic location where they might originate. The following organizational components within OPPA work together to make this happen. * The Policy Division integrates and oversees development of coordinated policy across the agency and provides oversight of FEMA’s Government Accountability Office (GAO) and Office of Inspector General (OIG) requirements. * The Program Analysis and Evaluation Division gives the agency an independent analysis capability that fosters a results-oriented, return-on-investment culture. * The Strategic Planning Division facilitates integrated strategic thinking and planning to ensure a common direction and coordinated outcomes. * The Transformation Management Division leads organization-wide transformation initiatives and supports development of long-term change priorities. In addition to these cross-cutting divisions OPPA includes one operational function, the Defense Production Act Division. This Division supports the Department and other Federal agencies to expedite and expand the supply of critical resources from the private sector when conditions demand. Though the functions in OPPA have existed at various times and in various places throughout FEMA’s history, the synergy created by having them together is new and different. Not only can the divisions be more effective through leveraging their resources and working in close partnership toward agency-focused outcomes, but the office as a whole provides substantive and vital support to the Administrator on a wide variety of initiatives. This support can range from leading or ensuring fulfillment of PKEMRA requirements; to development of the annual planning guidance for the agency’s budget submission; to co-chairing an Investment Working Group that makes recommendations to the Administrator; to spearheading the transition planning for a new Administration. The strategic goals, objectives, and strategies on the following pages outline how the people within OPPA will achieve the vision and mission of the office. The final internally-focused goal describes how OPPA supports its mission and people through effective communication and management of OPPA operations so that they are unimpeded in accomplishing their mission. And very importantly, each goal is accompanied by performance measures to ensure that OPPA tracks its progress and can be held accountable. POLICY DIVISION Mission Effectively address major policy challenges faced by the agency and represent agency interests in departmental, national, and international policy making. Goal 1 Lead and coordinate policy development that supports the agency across the full spectrum of preparedness and emergency management activities. OBJECTIVE 1.1 Develop, coordinate, and oversee the agency policy process and represent the agency on departmental and national policy matters. 1.1.1: Support the FEMA Administrator, Deputy Administrator, and OPPA Director in the identification, development, and implementation of the agency's policy priorities. 1.1.2: Chair the Policy Working Group and work with agency directorates and offices to ensure effective and coordinated development of agency policy. 1.1.3: Represent the agency on departmental policy matters. 1.1.4: Work with key stakeholders in the emergency management and preparedness communities, private and nonprofit sectors, government, as needed, to identify potential policy-related concerns and solutions. OBJECTIVE 1.2 Develop, coordinate, and oversee the agency liaison functions for the Government Accountability Office (GAO), DHS Office of the Inspector General (OIG), and other Federal audit activities. 1.2.1: Establish and maintain effective, credible working relationships with GAO, OIG, and other Federal auditors. 1.2.2: Develop systems to coordinate, track, and conduct analysis of agency responses to audit reports and recommendations. 1.2.3: Provide oversight and coordinate audit activities with the GAO and OIG audit liaisons in agency directorates and offices. 1.2.4: Work across the agency to communicate key challenges identified in audits and advocate for improvements. OBJECTIVE 1.3 Develop, coordinate, and oversee special projects to address crosscutting, critical, or high-visibility policy issues for agency leadership. 1.3.1: Lead major agency policy efforts, including development of national strategies, frameworks, or doctrine as directed by the Administrator, Deputy Administrator, and/or OPPA Director. 1.3.2: Support conceptual development for major policy efforts, to include providing strategic guidance and recommending policy priorities. Goal 1 Strategic Performance Measures Performance Measure 1 2009 2010 2011 2012 2013 Outcome: Ensure effective coordination and development of policy in support of the Administrator’s goals and priorities. Target 80% 90% 95% 95% 95% Actual Performance Measure 2 2009 2010 2011 2012 2013 Outcome: Increase in quality and timeliness of GAO/OIG response. Target 80% 90% 95% 95% 95% Actual PROGRAM ANALYSIS AND EVALUATION DIVISION Mission To give the agency an independent analysis and evaluation capability that enhances decision making, program performance transparency, and accountability. Goal 2 Institutionalize a results oriented, return-on-investment culture. OBJECTIVE 2.1 Conduct analyses to evaluate program initiatives and provide recommendations regarding the efficacy of the initiative. 2.1.1: Conduct comprehensive program evaluations of relevant programs/sub-programs. 2.1.2: Review planned activities for current fiscal year operating expenses and capital investment priorities and provide recommendations regarding priorities for resource allocation. 2.1.3: Co-Chair the Investment Working Group, the component arm of the collaborative resource allocation process. OBJECTIVE 2.2 Develop the initial component of the out-year budgeting process. 2.2.1: Assist with the development of the Administrator’s Strategic Planning Guidance. 2.2.2: Co-lead, with the Strategic Planning and Analysis Division, the Planning Phase of the Planning, Programming, Budgeting, and Execution (PPBE) process. 2.2.3: Coordinate the performance and narrative dimension of the Resource Allocation Process (RAP) submission for all FEMA programs. OBJECTIVE 2.3 Coordinate activities between DHS and FEMA on departmental performance management initiatives. 2.3.1: Coordinate program response to DHS PA&E for all FYHSP/GPRA measures on a quarterly/annual basis. 2.3.2: Lead the Program Assessment Rating Tool (PART) process with relevant OMB targeted FEMA programs. 2.3.3: Provide quarterly updates for FEMA’s response to the President’s Management Agenda (PMA). Goal 2 Strategic Performance Measures Performance Measure 1 2009 2010 2011 2012 2013 Outcome: Percent of programs showing significant progress toward implementation of resource allocation recommendations. Target 60% 70% 75% 80% 90% Actual Performance Measure 2 2009 2010 2011 2012 2013 Outcome: Percent of agency Resource Allocation Plan submissions having quantifiable performance measure linkage. Target 75% 80% 85% 90% 95% Actual Performance Measure 3 2009 2010 2011 2012 2013 Outcome: Percent of PMA (or new Administration iteration), DHS FYHSP/GPRA measures reported on-time. Target 95% 95% 95% 95% 95% Actual STRATEGIC PLANNING AND ANALYSIS DIVISION Mission To help the agency make innovative and informed decisions about FEMA’s long- term direction, and to facilitate integrated strategic planning, analysis, and decision-making. Goal 3 Instill coordinated and actionable strategic thinking throughout the agency. OBJECTIVE 3.1 Lead agency strategic planning and analysis to ensure informed priority-setting. 3.1.1: Issue FEMA Strategic Plan and update on a three-year basis. 3.1.2: Utilize innovative tools in conducting and coordinating strategic analysis and risk assessment in FEMA. 3.1.3: Co-lead, with the Program Analysis and Evaluation Division, development of the Administrator’s Intent to support the planning phase of the Planning, Programming, Budget, and Execution process. 3.1.4: Promote strategic communication through FEMA leadership conferences and various external affairs paths. OBJECTIVE 3.2 Monitor implementation of FEMA Strategic Plan and facilitate component strategic planning. 3.2.1: Issue and annually update Performance Addendum to the FEMA Strategic Plan. 3.2.2: Issue and periodically update FEMA Strategic Planning Guidance. 3.2.3: Provide strategic planning technical assistance to FEMA directorates and offices. 3.2.4: Support planning efforts throughout the agency, including employee performance plans, FEMA Planning Council, and Human Capital Plan implementation. OBJECTIVE 3.3 Share knowledge and provide input between DHS and FEMA on departmental strategic planning and risk assessment initiatives. 3.3.1: Participate on DHS Strategic Planning Work Group and provide FEMA input to DHS strategic planning. 3.3.2: Participate in DHS strategic risk assessment initiatives, including various departmental work groups. 3.3.3: Review and provide input for homeland security and departmental strategic initiatives. 3.3.4: Strengthen and build strategic planning partnerships with external departments and agencies. Goal 3 Strategic Performance Measures Performance Measure 1 2009 2010 2011 2012 2013 Outcome: Percent of Directorates and offices that have current and actionable strategic plans in alignment with the FEMA Strategic Plan. Target 80% 90% 95% 95% 95% Actual Performance Measure 2 2009 2010 2011 2012 2013 Outcome: The Administrator’s Intent fully reflects the Secretary’s Integrated Planning Guidance (IPG) and is in complete alignment with other strategic documents, including the DHS and FEMA Strategic Plans, and is issued within the time frame required by the FYHSP schedule. Target 100% 100% 100% 100% 100% Actual TRANSFORMATION MANAGEMENT DIVISION Mission Lead effective organization-wide transformation initiatives and support development of long-term change priorities. Goal 4 Lead organizational change across the agency and help others manage ongoing transformation. OBJECTIVE 4.1 Provide change management support and expertise. 4.1.1: Establish processes and procedures for managing change initiatives across the agency. 4.1.2: Identify and prioritize change activities and projects that may require TMD change management support and expertise. 4.1.3: Serve as internal change management consultants to FEMA directorates and offices. OBJECTIVE 4.2 Coordinate cross-agency projects. 4.2.1: Identify and prioritize cross-agency projects that may require TMD change management or project management support and expertise. 4.2.2: Assist directorates and offices in monitoring cross-cutting projects. 4.2.3: Organize and facilitate working groups to support cross-cutting projects. 4.2.4: Support successful senior leadership transitions. OBJECTIVE 4.3 Develop long-range decision support capability and methodology. 4.3.1: Develop concept plan for integrating long-range forecasting and planning into the policy and decision making process. 4.3.2: Catalog FEMA-wide long-range forecasting and planning activities and capabilities and assess relative to industry best practices. 4.3.3: Identify, research and analyze long-range forecasts and trends that may impact FEMA organization and operations. 4.3.4: Integrate agency-wide transformation plans to ensure they support FEMA’s strategic objectives. Goal 4 strategic Performance Measures Performance Measure 1 2009 2010 2011 2012 2013 Outcome: Percent of FEMA Directorates and Offices utilizing TMD to assist with managing change. Target 60% 75% 85% 90% 95% Actual Performance Measure 2 2009 2010 2011 2012 2013 Outcome: Percent increase in customer satisfaction among FEMA Directorates and Offices with TMD change management support. Target Survey Developed Baseline TBD Baseline+5% Baseline+10% Baseline+15% Actual Performance Measure 3 2009 2010 2011 2012 2013 Outcome: Success of FEMA transformation as measured against benchmarks of other organizations. Target BenchmarksTBD Baseline TBD Baseline+5% Baseline+10% Baseline+15% Actual DEFENSE PRODUCTION ACT DIVISION Mission To provide guidance and support actions by the Department of Homeland Security and other Federal agencies to develop plans and programs to expedite and expand the supply of critical resources from the private sector for homeland security, emergency preparedness, response, recovery, and mitigation activities and critical infrastructure protection and restoration. Goal 5 Provide guidance and support to ensure effective use of Defense Production Act (DPA) authorities by FEMA, other DHS components, and other Federal agencies. OBJECTIVE 5.1 Advise the National and Homeland Security Councils (NSC/HSC) on the DPA plans and programs of Federal agencies. 5.1.1: Conduct periodic meetings and briefings for NSC/HSC staff on DPA issues, including legislation and guidance. 5.1.2: Develop assessments and recommendations for the NSC/HSC and Congress on DPA legislation, Executive Branch DPA guidance, and other DPA issues. OBJECTIVE 5.2 Provide guidance for FEMA, other DHS components, and other Federal agencies on use of DPA authorities. 5.2.1: Develop and update Executive Branch guidance requiring NSC/HSC approval which provides policy and procedures for use of DPA authorities. 5.2.2: Develop DHS policy and procedures for use of DPA authorities in support of DHS programs. 5.2.3: Develop FEMA policy and procedures for use of DPA authorities in support of emergency preparedness, response, recovery, and mitigation activities, continuity of government and critical infrastructure protection and restoration. OBJECTIVE 5.3 Support Executive branch use of DPA authorities. 5.3.1: Work with DHS and other Federal departments to identify and provide guidance and reports for the appropriate use of DPA authorities for emergency preparedness, response, recovery, and mitigation activities and critical infrastructure protection and restoration. 5.3.2: Support FEMA, DHS, and other Federal use of the Defense Priorities and Allocations System to ensure timely delivery of critical materials and services for FEMA and other homeland security programs. 5.3.3: Develop a DPA Program website and training to provide information regarding use of DPA authorities and respond to requests for information and assistance regarding use of DPA authorities. 5.3.4: Support integration of DPA authorities into emergency preparedness plans and exercises. Goal 5 Strategic Performance Measures Performance Measure 1 2009 2010 2011 2012 2013 Outcome: Percent of OPPA deadlines met for delivery of following items for FEMA and DHS coordination: 1.Amendments to DPA; 2.Annual report to Congress; 3.Annual report to Department of Commerce on DPA. Target 95% 95% 99% 99% 99% Actual Performance Measure 2 2009 2010 2011 2012 2013 Outcome: Percent of OPPA deadlines met for FEMA and DHS coordination in developing new and updated Federal DPA guidance. Target 75% 90% 95% 97% 99% Actual Goal 5 Strategic Performance Measures (Continued) Performance Measure 3 2009 2010 2011 2012 2013 Outcome: Percent of determinations to use priority ratings for contracts or orders completed within one week of the formal request. Target 90% 95% 96% 98% 99% Actual Performance Measure 4 2009 2010 2011 2012 2013 Outcome: Percent of issues resolved within six months of first being raised to the Interagency Working Group. Target 80% 83% 86% 89% 92% Actual Performance Measure 5 2009 2010 2011 2012 2013 Outcome: Percent increase in website participation (website to be developed in FY 2009) for DPA information sharing and training. Target Website Developed BaselineTBD Baseline + 10% Baseline + 10% Baseline + 10% Actual OPPA MANAGEMENT Mission To support OPPA’s people in accomplishing their missions. Goal 6 Ensure effective management of OPPA operations by providing strong leadership and investing in OPPA employees. OBJECTIVE 6.1 Improve communication flow and information sharing. 6.1.1: Ensure that OPPA employees receive accurate information on a consistent and timely basis (Vertical Communication). 6.1.2: Promote consistent and clear information sharing across OPPA divisions to develop common expectations and operating procedures among OPPA staff (Horizontal Communication). OBJECTIVE 6.2 Ensure that employees have the facilities, equipment, and resources to effectively perform their respective missions. 6.2.1: Provide a dynamic work environment for OPPA employees with modern, safe, and secure facilities. 6.2.2: Provide all employees with sufficient tools, supplies, and support services, including reliable and up to date computers, software, copiers, and other equipment. 6.2.3: Ensure that all OPPA employees’ suggestions and concerns are heard and receive timely consideration and action. 6.2.4: Manage the OPPA budget, prepare the spending plans, and track monthly allocations. OBJECTIVE 6.3 Ensure staff positions are filled. Recognize staff performance through the use of awards, timely feedback, and by providing professional development opportunities. 6.3.1: Reward OPPA employees by recognizing outstanding performance using a creative and timely awards program. 6.3.2: Emphasize the value and importance of individual employees’ roles through clear, meaningful, and challenging job assignments that allow staff to excel. 6.3.3: Establish opportunities for professional development that emphasize cross-training and provide career-advancement paths for all employees. OBJECTIVE 6.4 Support high visibility initiatives. 6.4.1: Provide advice and consulting to the Administrator and Deputy Administrator, as appropriate, and identify potential issues that merit their attention. 6.4.2: Support the Administrator’s Office on Congressional Hearings and meetings with outside constituents groups. 6.4.3: Support the Administrator’s Office on special projects, including managing the FEMA Senior Leadership Conference. Goal 6 Strategic Performance Measures Performance Measure 1 2009 2010 2011 2012 2013 Outcome: Number of days from when the certificates of eligibles are issued to an OPPA manager to when it is returned to the Human Capital Division with a selection. Target 15 13 10 8 5 Actual Performance Measure 2 2009 2010 2011 2012 2013 Outcome: Track OPPA monthly spend down rate to ensure 100% of funds are obligated at end of the Fiscal Year. Target 100% 100% 100% 100% 100% Actual Goal 6 Strategic Performance Measures (Continued) Performance Measure 3 2009 2010 2011 2012 2013 Outcome: Percentage of OPPA employees recognized under the FEMA Awards program. Target 50% 60% 70% 80% 90% Actual Implementation Implementation of the OPPA Strategic Plan should be thought of in two ways. First, the plan itself is one of the many FEMA component strategic plans, that implements the agency’s Strategic Plan. Because of the scope of the functions within OPPA, its plan generally supports all of FEMA’s strategic goals. For example, the Defense Production Act Division supports the preparedness and readiness objectives under FEMA’s Goal 1; the Policy Division supports Goal 3 and the objective to share information on FEMA’s policies and programs; and, the OPPA Management goal implements FEMA’s Goal 4 with respect to hiring, training and supporting employees. But across the board, the FEMA strategic goal that OPPA most closely aligns with is Goal 5 and each of its supporting objectives, as shown below. FEMA GOAL 5: Build public trust and confidence through performance and stewardship. 5.1: Transform FEMA into a respected and professional organization through strong leadership and actively engaging employees in building and strengthening public trust. 5.2: Develop a results-oriented business approach that enhances FEMA’s mission success. 5.3: Instill a culture that is focused both internally and externally on customer care. 5.4: Develop, implement, and maintain proper internal management controls and training programs to provide results-oriented management of FEMA resources and prevent waste, fraud, and abuse. Secondly, OPPA is holding itself accountable for implementation of its own strategic goals and objectives through publishing performance measures for each goal and monitoring their progress. Individual performance plans, particularly for the managers, will contain goals and performance targets that directly support the OPPA strategic goals and performance measures. These, in turn, will be linked to the FEMA and Department strategic goals. Quarterly and annual performance reviews will reflect the extent to which progress has been made. As an organization, OPPA will hold itself accountable for reporting progress directly to the Administrator and Deputy Administrator on a quarterly basis. Finally, implementation carries with it the requirement to evaluate whether the plan is on target, and when or where adjustments may need to be made. This is intended to be a living document that provides a coordinated strategic direction for the office, and as such, will be reevaluated annually and revised as necessary so that OPPA continues to support the agency to the best of its ability. Appendix A Office of Policy & Program Analysis Organizational Chart Office of Policy & Program Analysis (OPPA) Organizational Chart Office of Policy and Program Analysis There are Executive Staff in OPPA The Office of Policy and Program Analysis has five divisions that fall under it: Policy Division (OP-PO) Policy and Program Analysis (OP-PE) Strategic Planning and Analysis (OP-SP) Transformation Management Division (OP-TM) Defense Production Act Program Division (OP-DP) 2