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Program Assessment Rating Tool (PART) Status


FY 2004 Performance and Accountability Report
Bureau of Resource Management
November 2004
Report
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The Office of Management and Budget (OMB) uses the Program Assessment Rating Tool (PART) to assess federal programs. The PART is a series of diagnostic questions used to assess and evaluate programs across a set of performance-related criteria, including program design and purpose, strategic planning, program management, and results. PART results are then used to inform the budget process and improve program management to ensure the most effective and efficient use of taxpayer dollars.

To date, the Department of State and OMB have conducted 27 PART reviews for State's programs. PART reviews conducted this year include both new assessments (11) and reassessments from previous years. For CY 2004 (FY 2006 budget process), some of the programs that were newly evaluated include the Andean Counterdrug Initiative, Global Educational & Cultural Exchange programs, and the Human Rights & Democracy Fund. All of State's programs assessed to date fall within the "Adequate" to "Effective" categories. State has no programs rated as "Results Not Demonstrated" or "Ineffective." (See table below.)

One of the Department's programs, Educational and Cultural Exchange Programs in Near East Asia and South Asia, ranked as the highest scored PART program in the Federal Government. Three of the Department's programs, Global Educational and Cultural Exchanges, Capital Security Construction Program, and Security Assistance Programs to Sub-Saharan Africa, tied with two other Federal Government programs in having the second highest PART scores government-wide this year.

Based on the analysis of this year's assessment, the Department shows strength in its program purpose and design, program management, and strategic planning efforts. The results are summarized on the following pages by strategic goal, including major findings and recommendations, and actions taken or planned to address the findings and recommendations.

The results from the PART reviews are summarized below by strategic goal. On the following pages, information also is provided describing how bureaus have addressed and implemented findings and recommendations for FY 2004 PARTs (see Table 1), and FY 2005 PARTs (see Table 2). For FY 2006 PARTs (see Table 3),"major findings/recommendations" and "actions taken/planned" were not yet final at the time of this printing and thus are not shown.

 

Results of the PART AssessmentsRead Footnote 11

Assessment Category Results Percentage
Effective 19 70%
Moderately Effective 4 15%
Adequate 4 15%
Ineffective 0 0%
Results Not Demonstrated 0 0%
Totals 27 100%

 

Table 1: FY 2004 Program Assessment Rating Tool (PART) Summaries by Strategic Goal

 

STRATEGIC GOAL 1: REGIONAL STABILITY

Program Name Peacekeeping Operations - OSCE
Ratings
  • CY 2002: Results Not Demonstrated
  • CY 2003: Moderately Effective
  • CY 2004: Not Reassessed
Lead Bureau
  • European and Eurasian Affairs (EUR)
Major Findings/ Recommendations
  • PM, EUR, and USOSCE should develop measurable criteria for the assessment of peacekeeping efforts in Organization for Security and Cooperation in Europe (OSCE) states.
Actions Taken/Planned
  • USOSCE Mission Performance Plan established detailed performance indicators for resolution of conflicts in OSCE states and refined efficiency indicators for peacekeeping missions. (Action Completed)
Program Name Security Assistance to Sub Saharan Africa
Ratings
  • CY 2002: Results Not Demonstrated
  • CY 2003: Moderately Effective
  • CY 2004: Effective
Lead Bureau
  • African Affairs (AF)
Major Findings/ Recommendations
  • Program and program partners not achieving all annual performance goals.
Actions Taken/Planned
  • Provided proposed measures to OMB for review. Provided performance data for use in Department's Performance and Accountability Report.
Program Name Military Assistance to New NATO and NATO Aspirant Nations
Ratings
  • CY 2002: Moderately Effective
  • CY 2003: Not Reassessed
  • CY 2004: Not Reassessed
Lead Bureau
  • European and Eurasian Affairs (EUR)
Major Findings/ Recommendations
  • No regularly scheduled evaluation of program effectiveness exists by independent parties.
  • DoS and DoD differ on priorities and do not produce coinciding budget schedules.
Actions Taken/Planned
  • The European Command Inspector General conducts annual inspections independent of the unified command.
  • DoD goals are discussed in interagency meetings to balance DoD requirements with Department goals. This produces a single, agreed upon recommendation.

 

STRATEGIC GOAL 2: COUNTERTERRORISM

Program Name Anti-Terrorism Assistance
Ratings
  • CY 2002: Moderately Effective
  • CY 2003: Effective
  • CY 2004: Not Reassessed
Lead Bureau
  • Coordinator for Counterterrorism (S/CT)
Major Findings/ Recommendations
  • Seek to improve long-term outcome measure to capture qualitative improvements to host country capabilities.
  • Demonstrate progress on newly developed efficiency measure and incorporate refined measure into the FY 2006 budget.
Actions Taken/Planned
  • Working with OMB, S/CT has improved long-term outcome measures to better capture improvements in host country capabilities.
  • A revised efficiency measure has been developed and submitted with the PART input for this year's reassessment. The measure has been approved by OMB.

 

STRATEGIC GOAL 3: HOMELAND SECURITY

Program Name Border Security
Ratings
  • CY 2002: Moderately Effective
  • CY 2003: Moderately Effective
  • CY 2004: Effective
Lead Bureau
  • Consular Affairs (CA)
Major Findings/ Recommendations
  • The managers of this program and the program itself have made great progress over the past two years. The reassessment found that the program is not effectively tracking its own progress due to overly broad performance goals and measures, and Department of Homeland Security (DHS) and law enforcement agencies are not always including the State Department in early stages of deliberation over new policies which would enhance coordination and collaboration over long-term goals.
Actions Taken/Planned
  • CA has revised its long-term and annual goals and more clearly defined the linkages between the two. CA is working closely with DHS and the FBI, in particular, on mutual goals. This has resulted in a significantly improved score for the recent reassessment in calendar year 2004.

 

STRATEGIC GOAL 10: HUMANITARIAN RESPONSE

Program Name Refugee Admissions to the U.S.
Ratings
  • CY 2002: Adequate
  • CY 2003: Moderately Effective
  • CY 2004: Effective
Lead Bureau
  • Population, Refugees, and Migration (PRM)
Major Findings/ Recommendations
  • Review the relationship for refugee reception and placement between the Refugee Admissions program at the Department and the Office of Refugee Resettlement at the Department of Health and Human Services (HHS).
  • Continue ongoing efforts to improve strategic planning to ensure that goals are measurable and mission-related.
Actions Taken/Planned
  • Because of the Homeland Security Act, attention has been focused on other aspects of the HHS program in FY 2003 and early FY 2004. OMB action to complete.
  • Measurable goals included in FY 2005 PART and will also be included in the FY 2005 Budget. (Action Completed)
Program Name Humanitarian Migrants to Israel
Ratings
  • CY 2002: Adequate
  • CY 2003: Moderately Effective
  • CY 2004: Effective
Lead Bureau
  • Population, Refugees, and Migration (PRM)
Major Findings/ Recommendations
  • Establish better long-term goals, as well as more annual goals, with the United Israel Appeal in the 2003 grant agreement. Establish efficiency measure.
Actions Taken/Planned
  • Long-term and annual goals agreed with United Israel Appeal in 2003 and grant agreement finalized for 2004. Efficiency measure established and approved by OMB. (Action Completed)

 

STRATEGIC GOAL 11: PUBLIC DIPLOMACY AND PUBLIC AFFAIRS

Program Name Educational Exchanges in Near East Asia and South Asia
Ratings
  • CY 2002: Results Not Demonstrated
  • CY 2003: Effective
  • CY 2004: Effective
Lead Bureau
  • Education and Cultural Affairs (ECA)
Major Findings/ Recommendations
  • Clearly define targets and timeframes.
  • Create regional long-term goals.
  • Set long-term goals relative to baseline.
  • ECA is taking on additional management and administrative responsibility in 2005. This includes expansion of ECA coordination and management of policy, planning and development of standardized performance and evaluation tools and methods for all Public Diplomacy programs.
Actions Taken/Planned
  • Department provided proposed measures and goals and process to OMB for review. Measures have been approved by OMB and resulted in a dramatic increase for the recent reassessment in CY 2004.
  • Regional goals established through coordination with regional bureaus and approved by OMB.
  • Long-term and annual goals are set to established baselines, targets and timeframes now included in performance indicators.
  • ECA has consulted with public diplomacy bureaus on PART, Evaluation and Strategic Planning. ECA has conducted public briefings on PART and Evaluation, and is coordinating evaluations of several programs.

 

STRATEGIC GOAL 12: MANAGEMENT AND ORGANIZATIONAL EXCELLENCE

Program Name Capital Security Construction
Ratings
  • CY 2002: Moderately Effective
  • CY 2003: Effective
  • CY 2004: Effective
Lead Bureau
  • Overseas Buildings Operations (OBO)
Major Findings/ Recommendations
  • Effects of management changes in OBO were not fully known at the time of the FY 2004 PART review.
  • Develop new goals that closely link performance to the budget.
Actions Taken/Planned
  • Effects on management changes were well documented in the FY 2005 PART process and OBO received a strong score for this PART program. (Action Completed)
  • Goals/performance measures were developed/linked to OBO budget. (Action Completed)

 

Table 2: FY 2005 Program Assessment Review Tool (PART) Summaries by Strategic Goal

 

STRATEGIC GOAL 1: REGIONAL STABILITY

Program Name Security Assistance for the Western Hemisphere
Ratings
  • CY 2003: Moderately Effective
  • CY 2004: Effective
Lead Bureau
  • Western Hemisphere Affairs (WHA)
Major Findings/ Recommendations
  • Long-term goals need more definition, with specific targets and timeframes.
  • Annual resource needs and budget requests of State and Defense Departments could be presented in a more complete and transparent manner.
Actions Taken/Planned
  • Resubmitted goals and specific targets.
  • Established a more formal arrangement for coordinating security assistance.

 

STRATEGIC GOAL 2: COUNTERTERRORISM

Program Name Terrorist Interdiction Program (TIP)
Ratings
  • CY 2003: Results Not Demonstrated
  • CY 2004: Effective
Lead Bureau
  • Coordinator for Counterterrorism (S/CT)
Major Findings/ Recommendations
  • Complete program management staff improvements.
  • Develop targets for long-term goal of system installations.
  • Seek to improve long-term outcome measure to capture qualitative improvements to host country capabilities.
  • Demonstrate progress on newly developed efficiency measure and incorporate refined measure into the FY 2006 budget.
Actions Taken/Planned
  • Targets have been initially established for long-term goal of providing the TIP watchlisting system to every country on the joint-agency developed "tier list."
  • Improved long-term outcome measures to capture improvements in host country capabilities which have been approved by OMB.
  • A revised efficiency measure has been submitted and approved by OMB.

 

STRATEGIC GOAL 4: WEAPONS OF MASS DESTRUCTION

Program Name Nonproliferation and Disarmament Fund (NDF)
Ratings
  • CY 2003: Effective
  • CY 2004: Effective
Lead Bureau
  • Nonproliferation (NP)
Major Findings/ Recommendations
  • Add long-term measures.
Actions Taken/Planned
  • Nonproliferation and Disarmament Fund will now track all measures.

 

STRATEGIC GOALS 7 AND 8: DEMOCRACY AND HUMAN RIGHTS / ECONOMIC PROSPERITY AND SECURITY

Program Name
Coordination of Support for East European Democracy (SEED) and Assistance for the Independent States of the Former Soviet Union (FSA)
Ratings
  • CY 2003: Results Not Demonstrated
  • CY 2004: Effective
Lead Bureau
  • European and Eurasian Affairs (EUR)
Major Findings/ Recommendations
  • Unclear linkage between BPP/MPP process & Coordinator's office budget allocation process.
  • SEED and FSA annual reports do not contain sectoral performance measures.
Actions Taken/Planned
  • The MPP/BPP, Annual Reports and Country phase out process have been synchronized to guide budget allocation decisions.
  • Posts included sectoral performance measures in their 2003 Annual Report submissions.

 

STRATEGIC GOAL 8: ECONOMIC PROSPERITY AND SECURITY

Program Name United Nations Development Program (UNDP)
Ratings
  • CY 2003: Results Not Demonstrated
  • CY 2004: Effective
Lead Bureau
  • International Organizations (IO)
Major Findings/ Recommendations
  • This year's Performance Plan is a significant improvement over the previous year's. The plan contains measurable targets for UNDP programs. It is also demonstrated that Federal managers are accountable to advance U.S. interests through participation in the UNDP Executive Board.
  • The performance plan does not currently include any efficiency measures.
Actions Taken/Planned
  • The OMB-approved efficiency indicator is included in the FY 2005 Department Performance Plan.

 

STRATEGIC GOAL 10: HUMANITARIAN RESPONSE

Program Name Humanitarian Demining
Ratings
  • CY 2003: Effective
  • CY 2004: Effective
Lead Bureau
  • Political/Military Affairs (PM)
Major Findings/ Recommendations
  • Review the relationship between annual and long-term goals and develop revised goals as necessary for the FY 2006 budget.
  • Demonstrate progress on newly developed efficiency measures and incorporate into the PART for the FY 2006 budget.
Actions Taken/Planned
  • Revised existing annual performance measures and developed an additional performance measure. (Action Completed)
    The efficiency measure increased from 3.4 to 3.7 from FY 2002 to FY 2003, respectively. (Action Completed)
Program Name United Nations High Commissioner for Refugees (UNHCR)
Ratings
  • CY 2003: Moderately Effective
  • CY 2004: Effective
Lead Bureau
  • Population, Refugees, and Migration (PRM)
Major Findings/ Recommendations
  • Department should use "Framework of Cooperation" to set policy priorities and common objectives.
  • Department should work with UNHCR to establish an integrated financial system. Establish efficiency measure.
Actions Taken/Planned
  • Framework was signed on February 12, 2004. Consultations between Department and UNHCR occur regularly to review progress; last consultation occurred in July 2004.
  • System was launched in phases, beginning with Finance and Supply Chain (FSC) in 2004, followed by Human Resources and Payroll in 2005. FSC was launched on January 30, 2004. Efficiency measure established and approved by OMB.

 

STRATEGIC GOAL 12: MANAGEMENT AND ORGANIZATIONAL EXCELLENCE

Program Name Worldwide Security Upgrades
Ratings
  • CY 2003: Moderately Effective
  • CY 2004: Effective
Lead Bureau
  • Diplomatic Security (DS)
Major Findings/ Recommendations
  • Develop effective annual goals and targets.
  • Work to develop performance measures for major programs to support annual performance goals and ensure long-term effectiveness.
Actions Taken/Planned
  • Develop effective annual goals and targets.
  • Baseline performance measures now developed for major programs to support annual performance goals and ensure long-term effectiveness.

 

Table 3: FY 2006 Program Assessment Rating Tool (PART) Summaries by Strategic Goal

 

FY 2006 PARTs "major findings/recommendations" and "actions taken/planned" were not yet final at the time of this printing and thus are not shown.

 

FY 2006 PART Summaries

Strategic Goal Program Name Rating Lead Bureau
Regional Stability Contributions for International Peacekeeping Activities Effective International Organization Affairs
Weapons of Mass Destruction Nonproliferation of WMD Expertise Moderately Effective Nonproliferation
Weapons of Mass Destruction Export Controls Effective Nonproliferation
International Crime International Narcotics Control and Law Enforcement - WHA Adequate International Narcotics and Law Enforcement
International Crime Andean Counterdrug Initiative Adequate International Narcotics and Law Enforcement

Democracy and Human Rights

Human Rights and Democracy Fund Adequate Democracy, Human Rights and Labor
Economic Prosperity and Security Economic Support Fund Moderately Effective Western Hemisphere Affairs
Social and Environmental Issues International Fisheries Commissions Adequate Oceans, International Environmental and Scientific Affairs
Public Diplomacy and Public Affairs Educational Exchanges - Global Effective Educational and Cultural Affairs

Management and Organizational Excellence

Regular Asset Management Construction Program

Effective

Overseas Buildings Operations

 


 

FOOTNOTES:

  1. Includes all PART Programs assessed to date. (back to text)

 


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