Government Performance and Results Act of 1993.txt

0:'document certified by superintendent of documents pkisupport@gpo.gov signed by superintendent of documents pkisupport@gpo.gov time: 2013.09.12 16:37:23 z reason: gpo attests',
1:'that this document has not been altered since it was disseminated by gpo location: us gpo, washington, dc 20401 107',
2:'stat. 286 public law 10362—aug. 3, 1993 sec. 3. strategic planning. chapter 3 of title 5, united states code, is',
3:'amended by adding after section 305 the following new section: § 306. strategic plans a no later than september 30,',
4:'1997, the head of each agency shall submit to the director of the office of management and budget and to',
5:'the congress a strategic plan for program activities. such plan shall contain— 1 a comprehensive mission statement covering the major',
6:'functions and operations of the agency; 2 general goals and objectives, including outcomerelated goals and objectives, for the major functions',
7:'and operations of the agency; 3 a description of how the goals and objectives are to be achieved, including a',
8:'description of the operationed processes, skills and technology, and the human, capital, information, and other resources required to meet those',
9:'goals and objectives; 4 a description of how the performance goals included in the plan required by section 1115a of',
10:'title 31 shall be related to the general goals and objectives in the strategic plan; 5 an identification of those',
11:'key factors external to the agency and beyond its control that could significantly affect the achievement of the general goals',
12:'and objectives; and 6 a description of the program evaluations used in establishing or revising genersd goals and objectives, with',
13:'a schedule for future program evaluations. b the strategic plan shall cover a period of not less than five years',
14:'forward from the fiscal year in which it is submitted, and shall be updated and revised at least every three',
15:'years. c the performance plan required by section 1115 of title 31 shall be consistent with the agenc3rs strategic plan.',
16:'a performance plan may not be submitted for a fiscal year not covered by a current strategic plan under this',
17:'section. d when developing a strategic plan, the agency shall consult with the congress, and shall solicit and consider the',
18:'views and suggestions of those entities potentially affected by or interested in such a plan. e ttie fimctions and activities',
19:'of this section shall be considered to be inherently jovemmental functions. the drafting of strategic plans under this section shall',
20:'be performed only by federal employees. i for purposes of this section the term agency means an executive agency defined',
21:'under section 105, but does not include the central intelligence agency, the general accounting office, the panama canal commission, the',
22:'united states postal service, and the postal rate commission.. sec. 4. annual performance plans and reports. a budget contents and',
23:'submission to congress.—section 1105a of title 31, united states code, is amended by adding at the end thereof the following',
24:'new paragraph: 29 beginning with fiscal year 1999, a federal jovemment performance plan for the overall budget as provided for',
25:'under section 1115. . public law 10362—aug. 3, 1993 107 stat. 287 b performance plans and reports.—chapter 11 of title',
26:'31, united states code, is amended by adding after section 1114 the following new sections: § 1115. performance plans a',
27:'in canying out the provisions of section 1105a29, the director of the office of management and budget shall require each',
28:'agency to prepare an annual performance plan covering each program activity set forth in the budget of such agency. such',
29:'plan shall— 1 establish performance goals to define the level of performance to be achieved by a program activity; 2',
30:'express such goals in an objective, quantifiable, and measurable form unless authorized to be in an alternative form under subsection',
31:'b; 3 briefly describe the operational processes, skills and technology, and the human, capital, imormation, or other resources required to',
32:'meet the performance goals; 4 establish performance indicators to be used in measuring or assessing the releveint outputs, service levels,',
33:'and outcomes of each program activity; 5 provide a basis for comparing actual program results with the established performance goals;',
34:'and 6 describe the means to be used to verify and validate measured values. b if an agency, in consultation',
35:'with the director of the office of management and budget, determines that it is not feasible to express the performance',
36:'goals for a particular program activity in an objective, quantifiable, and measurable form, the director of the office of management',
37:'and budget may authorize an alternative form. such alternative form shall— 1 include separate descriptive statements of— ai a minimally',
38:'effective program, and ii a successful program, or b such alternative as authorized by the director of the office of',
39:'management and budget, with sufficient precision and in such terms that would allow for an accurate, independent determination of whether',
40:'the program activit/s performance meets the criteria of the description; or 2 state whv it is infeasible or impractical to',
41:'express a performance goal in any form for the program activity. c for the purpose of complying with this section,',
42:'an agency may aggregate, disaggregate, or consolidate program activities, except that any aggregation or consolidation may not omit or minimize',
43:'the significance of any program activity constituting a major fiinction or operation for the agency. d an agency may submit',
44:'with its annual performance plan an appendix covering any portion of the plan that— 1 is specifically authorized under criteria',
45:'established by an executive order to be kept secret in the interest of national defense or foreign policy; and 2',
46:'is properly classified pursuant to such executive order. e the functions and activities of this section shall be considered to',
47:'be inherently governmental functions. the drafting of performance plans under this section shall be performed only by federal employees. 107',
48:'stat. 288 public law 10362—aug. 3, 1993 f for purposes of this section and sections 1116 through 1119, and sections',
49:'9703 and 9704 the term— 1 agency has the same meaning as such term is defined under section 306f of',
50:'title 5; 2 outcome measure means an assessment of the results of a program activity compared to its intended purpose;',
51:'3 output measure means the tabulation, calculation, or recording of activity or effort and can be expressed in a quantitative',
52:'or qualitative manner; 4 performance goal means a target level of performance expressed as a tangible, measurable objective, against which',
53:'actual achievement can be compared, including a goal expressed as a quantitative standard, value, or rate; 5 performance indicator means',
54:'a particular value or characteristic used to measure output or outcome; 6 program activity means a specific activity or project',
55:'as listed in me program and financing schedules of the annual budget of the united states jovemment; and 7 program',
56:'evaluation means an assessment, through objective measurement and systematic analysis, of the manner and extent to which federal programs achieve',
57:'intended objectives. ^§ 1116. program performance reports a no later than march 31, 2000, and no later than march 31',
58:'of each year thereafter, the head of each agency shall prepare and submit to the president and the congress, a',
59:'report on program performance for the previous fiscal year. b1 each program performance report shall set forth the performance indicators',
60:'established in the agency performance plan under section 1115, along with the actual program performance achieved compared with the performance',
61:'goals expressed in the plan for that fiscal year. 2 if performance goals are specified in an alternative form under',
62:'section 1115b, the results of such program shall be described in relation to such specifications, including whether the performance failed',
63:'to meet the criteria of a minimsuly effective or successful program. c the report for fiscal year 2000 shall include',
64:'actual results for the preceding fiscal year, the report for fiscal year 2001 shall include actual results for the two',
65:'preceding fiscal years, and the report for fiscal year 2002 and all subsequent reports shall include actual results for the',
66:'three preceding fiscal years. d each report shall— 1 review the success of achieving the performeuice goals of the fiscal',
67:'year; 2 evaluate the performance plan for the current fiscal year relative to the performance achieved toward the performance goals',
68:'in the fiscal year covered by the report; 3 explain and describe, where a performance goal has not been met',
69:'including when a program activit^s performance is determined not to have met the criteria of a successful program activity under',
70:'section 1115blaii or a corresponding level of achievement if another alternative form is used— a why the goal was not',
71:'met; b those plans and schedules for achieving the established performance goal; and public law 10362—aug. 3, 1993 107 stat.',
72:'289 c if the performance goal is impractical or infeasible, why that is the case and what action is recommended;',
73:'4 describe the use and assess the effectiveness in achiev ing performance goals of any waiver under section 9703 of',
74:'this title; and 5 include the summary findings of those program evalua tions completed during the fiscal year covered by',
75:'the report. e an agency head may include all program performance information required annually under this section in an annual',
76:'financial statement required under section 3515 if any such statement is submitted to the congress no later than march 31',
77:'of the applicable fiscal year. f the functions and activities of this section shall be considered to be inherently governmental',
78:'functions. the drafting of program performance reports under this section shall be performed only by federal employees. Ǥ 1117. exemption',
79:'the director of the office of management and budget may exempt from the requirements of sections 1115 and 1116 of',
80:'this title and section 306 of title 5, £iny agency with annual outlays of $20,000,000 or less.. sec. 5. managerial',
81:'accountability and flexibility. a managerial accountability and flexibility.—chapter 97 of title 31, united states code, is amended by adding after',
82:'section 9702, the following new section: § 9703. managerial accountability and flexibility a beginning with fiscal year 1999, the performance',
83:'plans required under section 1115 may include proposals to waive administrative procedural requirements and controls, including specification of personnel staffing',
84:'levels, limitations on compensation or remuneration, and prohibitions or restrictions on funding transfers among budget object classification 20 and subclassifications',
85:'11, 12, 31, and 32 of each annual budget submitted under section 115, in return for specific individual or orgsuiization',
86:'accountability to achieve a performance goal. in preparing and submitting the performance plan under section 1105a29, the director of the',
87:'office of management and budget shall review and may approve any proposed waivers. a waiver shall take effect at the',
88:'beginning of the fiscal year for which the waiver is approved. b any such proposal under subsection a shall describe',
89:'the anticipated effects on performance resulting from greater managerial or organizational flexibility, discretion, and authority, and shall quantify the expected',
90:'improvements in performance resulting from any waiver. the expected improvements shall be compared to current actual performance, and to the',
91:'projected level of performance that would be achieved independent of any waiver. c any proposal waiving limitations on compensation or',
92:'remuneration shall precisely express the monetary change in compensation or remuneration amounts, such as bonuses or awards, that shall result',
93:'from meeting, exceeding, or failing to meet performance goals. d any proposed waiver of procedural requirements or controls imposed by',
94:'an agency other than the proposing agency or the office of management and budget may not be included in a',
95:'107 stat. 290 public law 10362—aug. 3, 1993 performance plan unless it is endorsed by the agency that established the',
96:'requirement, and the endorsement included in the proposing agencys performance plan. e a waiver shall be in effect for one',
97:'or two years as specified by the director of the office of management and budget in approving the waiver. a',
98:'waiver may be renewed for a subsequent year. after a waiver has been in effect for three consecutive years, the',
99:'performance plan prepared under section 1115 may propose that a waiver, other than a waiver of limitations on compensation or',
100:'remuneration, be made permanent. f for purposes of this section, the definitions under section 1115f shall apply.. sec. 6. pilot',
101:'projects. a performance plans and reports.—chapter 11 of title 31, united states code, is amended by inserting after section 1117',
102:'as added by section 4 of this act the following new section: § 1118. pilot projects for performance goals a',
103:'the director of the office of management and budget, after consultation with the head of each agency, shall designate not',
104:'less than ten agencies as pilot projects in performance measurement for fiscal years 1994, 1995, and 1996. the selected agencies',
105:'shall reflect a representative range of grovemment functions and capabilities in measuring and reporting program performance. b pilot projects in',
106:'the designated agencies shall undertake the preparation of performance plans under section 1115, and program performance reports under section 1116,',
107:'other than section 1116c, for one or more of the major functions and operations of the agency. a strategic plan',
108:'shall be used when preparing agency performance plans during one or more years of the pilot period. reports. c no',
109:'later than may 1, 1997, the director of the office of management and budget shall submit a report to the',
110:'president and to the congress which shall— 1 assess the benefits, costs, and usefulness of the plans and reports prepared',
111:'by the pilot agencies in meeting the purposes of tne government performance and results act of 1993; 2 identify any',
112:'significant difficulties experienced by the pilot agencies in preparing plans and reports; and 3 set forth any recommended changes in',
113:'the requirements of the provisions of government performance and results act of 1993, section 306 of title 5, sections 1105,',
114:'1115, 1116, 1117,1119 and 9703 of this title, and this section.. b managerial accountability and flexibility.—chapter 97 of title 31,',
115:'united states code, is amended by inserting after section 9703 as added by section 5 of this act the following',
116:'new section: ^§9704. pilot j^rojects for managerial accountability and flexibility a the director of the office of management and budget',
117:'shall designate not less than five agencies as pilot projects in managerial accountability and flexibility for fiscal years 1995 and',
118:'1996. such agencies shall be selected from those designated as pilot projects under section 1118 and shall reflect a representative',
119:'public law 10362—aug. 3, 1993 107 stat. 291 range of grovernment functions and capabilities in measuring and reporting program performance.',
120:'b pilot projects in the designated agencies shall include proposed waivers in accordance with section 9703 for one or more',
121:'of the major functions and operations of the agency, c the director of the office of management and budget shall',
122:'include in the report to the president £ind to the congress required under section 1118c— 1 an assessment of the',
123:'benefits, costs, and usefulness of increasing managerial and organizational flexibility, discretion, and authority in exchange for improved performance through a',
124:'waiver; and 2 an identification of any significant difficulties experienced by the pilot agencies in preparing proposed waivers. d for',
125:'purposes of this section the definitions under section 1115f shall apply.. c performance budgeting.—chapter 11 of title 31, united states',
126:'code, is amended by inserting after section 1118 as added by section 6 of this act the following new section:',
127:'§ 1119. pilot projects for performance budgeting a the director of the office of management and budget, after consultation with',
128:'the head of each agency shall designate not less than five agencies as pilot projects in performance budgeting for fiscal',
129:'years 1998 and 1999. at least three of the agencies shall be selected from those designated as pilot projects under',
130:'section 1118, and shall also reflect a representative range of jovernment functions and capabilities in measuring and reporting program performance.',
131:'b pilot projects in the designated agencies shall cover the preparation of performance budgets. such budgets shall present, for one',
132:'or more of the major functions and operations of the agency, the varying levels of performance, including outcomerelated performance, that',
133:'would result from different budgeted amounts. c the director of the office of management and budget shall include, as an',
134:'alternative budget presentation in the budget submitted under section 1105 for fiscal year 1999, the performance budgets of the designated',
135:'agencies for this fiscal year. d no later than march 31, 2001, the director of the office reports. of management',
136:'and budget shall transmit a report to the president and to the congress on the performance budgeting pilot projects which',
137:'shall— 1 assess the feasibility and advisability of including a performance budget as part of the annual budget submitted under',
138:'section 1105; 2 describe any difficulties encountered by the pilot agencies in preparing a performance budget; 3 recommend whether legislation',
139:'requiring performance budgets should be proposed and the general provisions of any legislation; and 4 set forth any recommended changes',
140:'in the other requirements of the government performance and results act of 1993, section 306 of title 5, sections 1105,',
141:'1115, 1116, 1117, and 9703 of this title, and this section. e after receipt of the report required under subsection',
142:'d, the congress may specify that a performance budget be submitted as part of the annual budget submitted under section',
143:'1105.. 107 stat. 292 public law 10362—aug. 3, 1993 sec. 7. united states postal service. part iii of title 39,',
144:'united states code, is amended by adding at the end thereof the following new chapter: chapter 28—strategic planning and performance',
145:'management sec. 2801. definitions. 2802. strategic plans. 2803. performance plans. 2804. program performance reports. 2805. inherently grovemmental functions. §2801. definitions',
146:'for purposes of this chapter the term— 1 outcome measure refers to an assessment of the results of a program',
147:'activity compared to its intended purpose; 2 output measure refers to the tabulation, calculation, or recording of activity or effort',
148:'and can be expressed in a quantitative or qualitative manner; 3 performance goal means a target level of performance expressed',
149:'as a tangible, measurable objective, against which actual achievement shall be compared, including a goal expressed as a quantitative standard,',
150:'value, or rate; 4 performance indicator refers to a particular value or characteristic used to measure output or outcome; 5',
151:'program activity means a specific activity related to the mission of the postal service; and 6 program evaluation means an',
152:'assessment, through objective measurement and systematic analysis, of the manner and extent to which postal service programs achieve intended objectives.',
153:'§ 2802. strategic plans a no later than september 30, 1997, the postal service shall submit to the president and',
154:'the congress a strategic plan for its program activities. such plan shall contain— 1 a comprehensive mission statement covering the',
155:'major functions and operations of the postal service; 2 genersd goals and objectives, including outcomerelated goals and objectives, for the',
156:'major functions and operations of the postal service; 3 a description of how the goals and objectives are to be',
157:'achieved, including a description of the operational processes, skills and technology, and the human, capital, information, and other resources required',
158:'to meet those goals and objectives; 4 a description of how the performance goals included in the plan required under',
159:'section 2803 shall be related to the general goals and objectives in the strategic plan; 5 an identification of those',
160:'key factors external to the postal service and beyond its control that could significantly affect the achievement of the general',
161:'goals and objectives; and 6 a description of the program evaluations used in establishing or revising general goals and objectives,',
162:'with a schedule for future program evaluations. public law 10362—aug. 3, 1993 107 stat. 293 b the strategic plan shall',
163:'cover a period of not less than five years forward from the fiscal year in which it is submitted, and',
164:'shall be updated and revised at least every three years. c the performance plan required under section 2803 shall be',
165:'consistent with the postal services strategic plan. a performance plan may not be submitted for a fiscal year not covered',
166:'by a current strategic plan under this section. d when developing a strategic plan, the postal service shall solicit and',
167:'consider the views and suggestions of those entities potentially affected by or interested in such a plan, and shall advise',
168:'the congress of the contents of the plan. § 2803. performance plans a the postal service shall prepare an annual',
169:'performance plan covering each program activity set forth in the postal service budget, which shall be included in the comprehensive',
170:'statement presented under section 2401g of this title. such plan shall— 1 establish performance goals to define the level of',
171:'performance to be achieved by a program activity; 2 express such goals in an objective, quantifiable, and measurable form unless',
172:'an alternative form is used imder subsection b; 3 briefly describe the operational processes, skills and technology, and the human,',
173:'capital, information, or other resources required to meet the performance goals; 4 establish performance indicators to be used in measuring',
174:'or assessing the relevant outputs, service levels, and outcomes of each program activity; 5 provide a basis for comparing actual',
175:'program results with the estabushed performance goals; and 6 describe the means to be used to verify and validate measured',
176:'values. b if the postal service determines that it is not feasible to express the performance goals for a particular',
177:'program activity in an objective, quantifiable, and measurable form, the postal service may use an alternative form. such alternative form',
178:'shall— 1 include separate descriptive statements of— a a minimally effective program, and b a successful program, with sufficient precision',
179:'and in such terms that would allow for an accurate, independent determination of whether the program activitys performance meets the',
180:'criteria of either description; or 2 state why it is infeasible or impractical to express a performance goal in any',
181:'form for the program activity. c in preparing a comprehensive and irdformative plan imder this section, the postal service may',
182:'aggregate, disaggregate, or consolidate program activities, except that any aggregation or consolidation may not omit or minimize the significance of',
183:'any program activity constituting a major function or operation. d the postal service may prepare a nonpublic annex to its',
184:'plan covering program activities or parts of program activities relating to— 1 the avoidance of interference with criminal prosecution; or',
185:'2 matters otherwise exempt from public disclosure under section 410c of this title. 107 stat. 294 public law 10362—aug. 3,',
186:'1993 § 2804. program performance reports a the postal service shall prepare a report on program performance for each fiscal',
187:'year, which shall be included in the annual comprehensive statement presented under section 2401g of this title. b1 the program',
188:'performance report shall set forth the performance indicators established in the postal service performance plan, along with the actual program',
189:'performance achieved compared with the performance goals expressed in the plan for that fiscal year. 2 if performance goals are',
190:'specified by descriptive statements of a minimally effective program activity and a successful program activity, the results of such program',
191:'shall be described in relationship to those categories, including whether the performance failed to meet the criteria of either category.',
192:'c the report for fiscal year 2000 shall include actual results for the preceding fiscal year, the report for fiscal',
193:'year 2001 shall include actual results for the two preceding fiscal years, and the report for fiscal year 2002 and',
194:'all subsequent reports shall include actual results for the three preceding fiscal years. d each report shall— 1 review the',
195:'success of achieving the performance goals of the fiscal year; 2 evaluate the performance plan for the current fiscal year',
196:'relative to the performance achieved towards the performance goals in the fiscal year covered by the report; 3 explain and',
197:'describe, where a performance goal has not been met including when a program activitjrs performance is determined not to have',
198:'met the criteria of a successful program activity under section 2803b2— a why the goal was not met; b those',
199:'plans and schedules for achieving the established performance goal; and c if the performance goal is impractical or infeasible, why',
200:'that is the case and what action is recommended; and 4 include the summary findings of those program evalua tions',
201:'completed during the fiscal year covered by the report. ^§ 2805. inherently governmental functions the functions and activities of this',
202:'chapter shall be considered to be inherently grovemmental functions. the drafting of strategic plans, performance plans, £ind program performance reports',
203:'under this section shall be performed only by employees of the postal service.. 31 use 1115 sec. 8. congressional oversight',
204:'and legislation. a in general.—^nothing in this act shall be construed as limiting the ability of congress to establish, amend,',
205:'suspend, or annul a performance goal. any such action shall have the effect of superseding that goal in the plan',
206:'submitted under section 1105a29 of title 31, united states code. public law 10362—aug. 3, 1993 107 stat. 295 bgao report.—no',
207:'later than june 1, 1997, the comptroller general of the united states shall report to congress on the implementation of',
208:'this act, including the prospects for compliance by federal agencies beyond those participating as pilot projects under sections 1118 and',
209:'9704 of title 31, united states code. sec. 9. training. 31 usc 1115 the office of personnel management shall, in',
210:'consultation with the director of the office of management and budget and the comptroller greneral of the united states, develop',
211:'a strategic planning and performance measurement training component for its management training program and otherwise provide managers with an orientation',
212:'on the development and use of strategic planning and program performance measurement. sec. 10. application of act. 31 usc 1115',
213:'no provision or amendment made by this act may be construed ° ^ as— 1 creating any right, privilege, benefit,',
214:'or entitlement for any person who is not an officer or employee of the united states acting in such capacity,',
215:'and no person who is not an officer or employee of the united states acting in such capacity shall have',
216:'standing to file any civil action in a court of the united states to enforce any provision or amendment made',
217:'by this act; or 2superseding any statutory requirement, including any requirement under section 553 of title 5, united states code.',
218:'sec. 11. technical and conforming amendments. a amendment to title 5, united states code.—^the table of sections for chapter 3',
219:'of title 5, united states code, is amended by adding after me item relating to section 305 the following: 306.',
220:'strategic plans.. b amendments to title 31, united states code.— 1 amendment to chapter ii.—the table of sections for chapter',
221:'11 of title 31, united states code, is amended by adding after the item relating to section 1114 the following:',
222:'1115. performance plans. 1116. program performance reports. 1117. exemptions. 1118. pilot projects for performance goals. 1119. pilot projects for performance',
223:'budgeting.. 2 amendment to chapter 97.—the table of sections for chapter 97 of title 31, united states code, is amended',
224:'by adding after the item relating to section 9702 the following: 9703. managerial accountability and flexibility. 9704. pilot projects for',
225:'managerial accountability and flexibility.. 69194 o 94 11 : ql. 3 part 1 107 stat. 296 public law 10362—aug. 3,',
226:'1993 c amendment to title 39, united states code.—the table of chapters for part iii of title 39, united states',
227:'code, is amended by adding at the end thereof the following new item: ^8. strategic planning and performance management 2801.',
228:'approved august 3, 1993. legislative history—s. 20 h.r. 826: house reports: no. 103106, pt. 1, accompanying h.r. 826 comm. on',
229:'government operations. senate reports: no. 10358 comm. on governmental affairs. congressional record, vol. 139 1993: may 25, h.r. 826 considered',
230:'and passed house. june 23, s. 20 considered and passed senate. july 15, considered and passed house. weekly compilation of',
231:'presidential documents, vol. 29 1993: aug. 3, presidential remarks.',