Government Performance and Results Act of 1993

Government Performance & Results Act of 1993Archive
FILE s20.enr --S.20-- S.20 One Hundred Third Congress of the United States of
America
AT THE FIRST SESSION
Begun and held at the City of Washington on Tuesday, the fifth day of January,
one thousand nine hundred and ninety-three
An Act To provide for the establishment of strategic planning and performance
measurement in the Federal Government, and for other purposes.
Be it enacted by the Senate and House of Representatives of the United States of
America in Congress assembled,
SECTION 1. SHORT TITLE
This Act may be cited as the Government Performance and Results Act of 1993.
SEC. 2. FINDINGS AND PURPOSES.
(a) FINDINGS- The Congress finds that--
waste and inefficiency in Federal programs undermine the confidence of the
American people in the Government and reduces the Federal Governments ability
to address adequately vital public needs;
Federal managers are seriously disadvantaged in their efforts to improve
program efficiency and effectiveness, because of insufficient articulation of
program goals and inadequate information on program performance; and
congressional policymaking, spending decisions and program oversight are
seriously handicapped by insufficient attention to program performance and
results.
(b) PURPOSES- The purposes of this Act are to--
improve the confidence of the American people in the capability of the Federal
Government, by systematically holding Federal agencies accountable for
achieving program results;
initiate program performance reform with a series of pilot projects in setting
program goals, measuring program performance against those goals, and
reporting publicly on their progress;
improve Federal program effectiveness and public accountability by promoting a
new focus on results, service quality, and customer satisfaction;
help Federal managers improve service delivery, by requiring that they plan
for meeting program objectives and by providing them with information about
program results and service quality;
improve congressional decisionmaking by providing more objective information
on achieving statutory objectives, and on the relative effectiveness and
efficiency of Federal programs and spending; and
improve internal management of the Federal Government.
SEC. 3. STRATEGIC PLANNING.
Chapter 3 of title 5, United States Code, is amended by adding after section 305
the following new section: Sec. 306. Strategic plans
No later than September 30, 1997, the head of each agency shall submit to the
Director of the Office of Management and Budget and to the Congress a
strategic plan for program activities. Such plan shall contain--
a comprehensive mission statement covering the major functions and
operations of the agency;
general goals and objectives, including outcome-related goals and
objectives, for the major functions and operations of the agency;
a description of how the goals and objectives are to be achieved, including
a description of the operational processes, skills and technology, and the
human, capital, information, and other resources required to meet those
goals and objectives;
a description of how the performance goals included in the plan required by
section 1115(a) of title 31 shall be related to the general goals and
objectives in the strategic plan;
an identification of those key factors external to the agency and beyond its
control that could significantly affect the achievement of the general goals
and objectives; and
a description of the program evaluations used in establishing or revising
general goals and objectives, with a schedule for future program
evaluations.
The strategic plan shall cover a period of not less than five years forward
from the fiscal year in which it is submitted, and shall be updated and
revised at least every three years.
The performance plan required by section 1115 of title 31 shall be consistent
with the agencys strategic plan. A performance plan may not be submitted for a
fiscal year not covered by a current strategic plan under this section.
When developing a strategic plan, the agency shall consult with the Congress,
and shall solicit and consider the views and suggestions of those entities
potentially affected by or interested in such a plan.
The functions and activities of this section shall be considered to be
inherently Governmental functions. The drafting of strategic plans under this
section shall be performed only by Federal employees.
For purposes of this section the term agency means an Executive agency defined
under section 105, but does not include the Central Intelligence Agency, the
General Accounting Office, the Panama Canal Commission, the United States
Postal Service, and the Postal Rate Commission..
SEC. 4. ANNUAL PERFORMANCE PLANS AND REPORTS.
(a) BUDGET CONTENTS AND SUBMISSION TO CONGRESS
- Section 1105(a) of title 31, United States Code, is amended by adding at the
end thereof the following new paragraph:
(29) beginning with fiscal year 1999, a Federal Government performance plan for
the overall budget as provided for under section 1115..
(b) PERFORMANCE PLANS AND REPORTS
- Chapter 11 of title 31, United States Code, is amended by adding after section
1114 the following new sections:
Sec. 1115. Performance plans
In carrying out the provisions of section 1105(a)(29), the Director of the
Office of Management and Budget shall require each agency to prepare an annual
performance plan covering each program activity set forth in the budget of
such agency. Such plan shall--
establish performance goals to define the level of performance to be
achieved by a program activity;
express such goals in an objective, quantifiable, and measurable form unless
authorized to be in an alternative form under subsection (b);
briefly describe the operational processes, skills and technology, and the
human, capital, information, or other resources required to meet the
performance goals;
establish performance indicators to be used in measuring or assessing the
relevant outputs, service levels, and outcomes of each program activity;
provide a basis for comparing actual program results with the established
performance goals; and
describe the means to be used to verify and validate measured values.
If an agency, in consultation with the Director of the Office of Management
and Budget, determines that it is not feasible to express the performance
goals for a particular program activity in an objective, quantifiable, and
measurable form, the Director of the Office of Management and Budget may
authorize an alternative form. Such alternative form shall--
include separate descriptive statements of--
(A)(i) a minimally effective program, and
(ii) a successful program, or
(B) such alternative as authorized by the Director of the Office of
Management and Budget, with sufficient precision and in such terms that
would allow for an accurate, independent determination of whether the
program activitys performance meets the criteria of the description; or
state why it is infeasible or impractical to express a performance goal in
any form for the program activity.
For the purpose of complying with this section, an agency may aggregate,
disaggregate, or consolidate program activities, except that any aggregation
or consolidation may not omit or minimize the significance of any program
activity constituting a major function or operation for the agency.
An agency may submit with its annual performance plan an appendix covering any
portion of the plan that--
is specifically authorized under criteria established by an Executive order
to be kept secret in the interest of national defense or foreign policy; and

is properly classified pursuant to such Executive order.
The functions and activities of this section shall be considered to be
inherently Governmental functions. The drafting of performance plans under
this section shall be performed only by Federal employees.
For purposes of this section and sections 1116 through 1119, and sections 9703
and 9704 the term--
agency has the same meaning as such term is defined under section 306(f) of
title 5;
outcome measure means an assessment of the results of a program activity
compared to its intended purpose;
output measure means the tabulation, calculation, or recording of activity
or effort and can be expressed in a quantitative or qualitative manner;
performance goal means a target level of performance expressed as a
tangible, measurable objective, against which actual achievement can be
compared, including a goal expressed as a quantitative standard, value, or
rate;
performance indicator means a particular value or characteristic used to
measure output or outcome;
program activity means a specific activity or project as listed in the
program and financing schedules of the annual budget of the United States
Government; and
program evaluation means an assessment, through objective measurement and
systematic analysis, of the manner and extent to which Federal programs
achieve intended objectives.
Sec. 1116. Program performance reports
No later than March 31, 2000, and no later than March 31 of each year
thereafter, the head of each agency shall prepare and submit to the President
and the Congress, a report on program performance for the previous fiscal
year.

Each program performance report shall set forth the performance indicators
established in the agency performance plan under section 1115, along with
the actual program performance achieved compared with the performance goals
expressed in the plan for that fiscal year.
If performance goals are specified in an alternative form under section
1115(b), the results of such program shall be described in relation to such
specifications, including whether the performance failed to meet the
criteria of a minimally effective or successful program.
The report for fiscal year 2000 shall include actual results for the preceding
fiscal year, the report for fiscal year 2001 shall include actual results for
the two preceding fiscal years, and the report for fiscal year 2002 and all
subsequent reports shall include actual results for the three preceding fiscal
years.
Each report shall--
review the success of achieving the performance goals of the fiscal year;
evaluate the performance plan for the current fiscal year relative to the
performance achieved toward the performance goals in the fiscal year covered
by the report;
explain and describe, where a performance goal has not been met (including
when a program activitys performance is determined not to have met the
criteria of a successful program activity under section 1115(b)(1)(A)(ii) or
a corresponding level of achievement if another alternative form is used)--
why the goal was not met;
those plans and schedules for achieving the established performance goal;
and
if the performance goal is impractical or infeasible, why that is the case
and what action is recommended;
describe the use and assess the effectiveness in achieving performance goals
of any waiver under section 9703 of this title; and
include the summary findings of those program evaluations completed during
the fiscal year covered by the report.
An agency head may include all program performance information required
annually under this section in an annual financial statement required under
section 3515 if any such statement is submitted to the Congress no later than
March 31 of the applicable fiscal year.
The functions and activities of this section shall be considered to be
inherently Governmental functions. The drafting of program performance reports
under this section shall be performed only by Federal employees.
Sec. 1117. Exemption
The Director of the Office of Management and Budget may exempt from the
requirements of sections 1115 and 1116 of this title and section 306 of title 5,
any agency with annual outlays of $20,000,000 or less..
SEC. 5. MANAGERIAL ACCOUNTABILITY AND FLEXIBILITY.
(a) MANAGERIAL ACCOUNTABILITY AND FLEXIBILITY
- Chapter 97 of title 31, United States Code, is amended by adding after section
9702, the following new section: Sec. 9703. Managerial accountability and
flexibility
Beginning with fiscal year 1999, the performance plans required under section
1115 may include proposals to waive administrative procedural requirements and
controls, including specification of personnel staffing levels, limitations on
compensation or remuneration, and prohibitions or restrictions on funding
transfers among budget object classification 20 and subclassifications 11, 12,
31, and 32 of each annual budget submitted under section 1105, in return for
specific individual or organization accountability to achieve a performance
goal. In preparing and submitting the performance plan under section
1105(a)(29), the Director of the Office of Management and Budget shall review
and may approve any proposed waivers. A waiver shall take effect at the
beginning of the fiscal year for which the waiver is approved.
Any such proposal under subsection (a) shall describe the anticipated effects
on performance resulting from greater managerial or organizational
flexibility, discretion, and authority, and shall quantify the expected
improvements in performance resulting from any waiver. The expected
improvements shall be compared to current actual performance, and to the
projected level of performance that would be achieved independent of any
waiver.
Any proposal waiving limitations on compensation or remuneration shall
precisely express the monetary change in compensation or remuneration amounts,
such as bonuses or awards, that shall result from meeting, exceeding, or
failing to meet performance goals.
Any proposed waiver of procedural requirements or controls imposed by an
agency (other than the proposing agency or the Office of Management and
Budget) may not be included in a performance plan unless it is endorsed by the
agency that established the requirement, and the endorsement included in the
proposing agencys performance plan.
A waiver shall be in effect for one or two years as specified by the Director
of the Office of Management and Budget in approving the waiver. A waiver may
be renewed for a subsequent year. After a waiver has been in effect for three
consecutive years, the performance plan prepared under section 1115 may
propose that a waiver, other than a waiver of limitations on compensation or
remuneration, be made permanent.
For purposes of this section, the definitions under section 1115(f) shall
apply..
SEC. 6. PILOT PROJECTS.
(a) PERFORMANCE PLANS AND REPORTS-
Chapter 11 of title 31, United States Code, is amended by inserting after
section 1117 (as added by section 4 of this Act) the following new section: Sec.
1118. Pilot projects for performance goals
The Director of the Office of Management and Budget, after consultation with
the head of each agency, shall designate not less than ten agencies as pilot
projects in performance measurement for fiscal years 1994, 1995, and 1996. The
selected agencies shall reflect a representative range of Government functions
and capabilities in measuring and reporting program performance.
Pilot projects in the designated agencies shall undertake the preparation of
performance plans under section 1115, and program performance reports under
section 1116, other than section 1116(c), for one or more of the major
functions and operations of the agency. A strategic plan shall be used when
preparing agency performance plans during one or more years of the pilot
period.
No later than May 1, 1997, the Director of the Office of Management and Budget
shall submit a report to the President and to the Congress which shall--
assess the benefits, costs, and usefulness of the plans and reports prepared
by the pilot agencies in meeting the purposes of the Government Performance
and Results Act of 1993;
identify any significant difficulties experienced by the pilot agencies in
preparing plans and reports; and
set forth any recommended changes in the requirements of the provisions of
Government Performance and Results Act of 1993, section 306 of title 5,
sections 1105, 1115, 1116, 1117, 1119 and 9703 of this title, and this
section..
(b) MANAGERIAL ACCOUNTABILITY AND FLEXIBILITY
- Chapter 97 of title 31, United States Code, is amended by inserting after
section 9703 (as added by section 5 of this Act) the following new section: Sec.
9704. Pilot projects for managerial accountability and flexibility
The Director of the Office of Management and Budget shall designate not less
than five agencies as pilot projects in managerial accountability and
flexibility for fiscal years 1995 and 1996. Such agencies shall be selected
from those designated as pilot projects under section 1118 and shall reflect a
representative range of Government functions and capabilities in measuring and
reporting program performance.
Pilot projects in the designated agencies shall include proposed waivers in
accordance with section 9703 for one or more of the major functions and
operations of the agency.
The Director of the Office of Management and Budget shall include in the
report to the President and to the Congress required under section 1118(c)--
an assessment of the benefits, costs, and usefulness of increasing
managerial and organizational flexibility, discretion, and authority in
exchange for improved performance through a waiver; and
an identification of any significant difficulties experienced by the pilot
agencies in preparing proposed waivers.
For purposes of this section the definitions under section 1115(f) shall
apply..
(c) PERFORMANCE BUDGETING
- Chapter 11 of title 31, United States Code, is amended by inserting after
section 1118 (as added by section 6 of this Act) the following new section: Sec.
1119. Pilot projects for performance budgeting
The Director of the Office of Management and Budget, after consultation with
the head of each agency shall designate not less than five agencies as pilot
projects in performance budgeting for fiscal years 1998 and 1999. At least
three of the agencies shall be selected from those designated as pilot
projects under section 1118, and shall also reflect a representative range of
Government functions and capabilities in measuring and reporting program
performance.
Pilot projects in the designated agencies shall cover the preparation of
performance budgets. Such budgets shall present, for one or more of the major
functions and operations of the agency, the varying levels of performance,
including outcome-related performance, that would result from different
budgeted amounts.
The Director of the Office of Management and Budget shall include, as an
alternative budget presentation in the budget submitted under section 1105 for
fiscal year 1999, the performance budgets of the designated agencies for this
fiscal year.
No later than March 31, 2001, the Director of the Office of Management and
Budget shall transmit a report to the President and to the Congress on the
performance budgeting pilot projects which shall--
assess the feasibility and advisability of including a performance budget as
part of the annual budget submitted under section 1105;
describe any difficulties encountered by the pilot agencies in preparing a
performance budget;
recommend whether legislation requiring performance budgets should be
proposed and the general provisions of any legislation; and
set forth any recommended changes in the other requirements of the
Government Performance and Results Act of 1993, section 306 of title 5,
sections 1105, 1115, 1116, 1117, and 9703 of this title, and this section.
After receipt of the report required under subsection (d), the Congress may
specify that a performance budget be submitted as part of the annual budget
submitted under section 1105..
SEC. 7. UNITED STATES POSTAL SERVICE.
Part III of title 39, United States Code, is amended by adding at the end
thereof the following new chapter:
CHAPTER 28--STRATEGIC PLANNING AND PERFORMANCE MANAGEMENT
Sec.
2801. Definitions.
2802. Strategic plans.
2803. Performance plans.
2804. Program performance reports.
2805. Inherently Governmental functions.
Sec. 2801. Definitions
For purposes of this chapter the term--
outcome measure refers to an assessment of the results of a program activity
compared to its intended purpose;
output measure refers to the tabulation, calculation, or recording of activity
or effort and can be expressed in a quantitative or qualitative manner;
performance goal means a target level of performance expressed as a tangible,
measurable objective, against which actual achievement shall be compared,
including a goal expressed as a quantitative standard, value, or rate;
performance indicator refers to a particular value or characteristic used to
measure output or outcome;
program activity means a specific activity related to the mission of the
Postal Service; and
program evaluation means an assessment, through objective measurement and
systematic analysis, of the manner and extent to which Postal Service programs
achieve intended objectives.
Sec. 2802. Strategic plans

No later than September 30, 1997, the Postal Service shall submit to the
President and the Congress a strategic plan for its program activities. Such
plan shall contain--
a comprehensive mission statement covering the major functions and
operations of the Postal Service;
general goals and objectives, including outcome-related goals and
objectives, for the major functions and operations of the Postal Service;
a description of how the goals and objectives are to be achieved, including
a description of the operational processes, skills and technology, and the
human, capital, information, and other resources required to meet those
goals and objectives;
a description of how the performance goals included in the plan required
under section 2803 shall be related to the general goals and objectives in
the strategic plan;
an identification of those key factors external to the Postal Service and
beyond its control that could significantly affect the achievement of the
general goals and objectives; and
a description of the program evaluations used in establishing or revising
general goals and objectives, with a schedule for future program
evaluations.
The strategic plan shall cover a period of not less than five years forward
from the fiscal year in which it is submitted, and shall be updated and
revised at least every three years.
The performance plan required under section 2803 shall be consistent with the
Postal Services strategic plan. A performance plan may not be submitted for a
fiscal year not covered by a current strategic plan under this section.
When developing a strategic plan, the Postal Service shall solicit and
consider the views and suggestions of those entities potentially affected by
or interested in such a plan, and shall advise the Congress of the contents of
the plan.
Sec. 2803. Performance plans

The Postal Service shall prepare an annual performance plan covering each
program activity set forth in the Postal Service budget, which shall be
included in the comprehensive statement presented under section 2401(g) of
this title. Such plan shall--
establish performance goals to define the level of performance to be
achieved by a program activity;
express such goals in an objective, quantifiable, and measurable form unless
an alternative form is used under subsection (b);
briefly describe the operational processes, skills and technology, and the
human, capital, information, or other resources required to meet the
performance goals;
establish performance indicators to be used in measuring or assessing the
relevant outputs, service levels, and outcomes of each program activity;
provide a basis for comparing actual program results with the established
performance goals; and
describe the means to be used to verify and validate measured values.
If the Postal Service determines that it is not feasible to express the
performance goals for a particular program activity in an objective,
quantifiable, and measurable form, the Postal Service may use an alternative
form. Such alternative form shall--
include separate descriptive statements of--
(A) a minimally effective program, and
(B) a successful program,
with sufficient precision and in such terms that would allow for an
accurate, independent determination of whether the program activitys
performance meets the criteria of either description; or
state why it is infeasible or impractical to express a performance goal in
any form for the program activity.
In preparing a comprehensive and informative plan under this section, the
Postal Service may aggregate, disaggregate, or consolidate program activities,
except that any aggregation or consolidation may not omit or minimize the
significance of any program activity constituting a major function or
operation.
The Postal Service may prepare a non-public annex to its plan covering program
activities or parts of program activities relating to--
(1) the avoidance of interference with criminal prosecution;
or
(2) matters otherwise exempt from public disclosure under section 410(c) of
this title.
Sec. 2804. Program performance reports

The Postal Service shall prepare a report on program performance for each
fiscal year, which shall be included in the annual comprehensive statement
presented under section 2401(g) of this title.

The program performance report shall set forth the performance indicators
established in the Postal Service performance plan, along with the actual
program performance achieved compared with the performance goals expressed
in the plan for that fiscal year.
If performance goals are specified by descriptive statements of a minimally
effective program activity and a successful program activity, the results of
such program shall be described in relationship to those categories,
including whether the performance failed to meet the criteria of either
category.
The report for fiscal year 2000 shall include actual results for the preceding
fiscal year, the report for fiscal year 2001 shall include actual results for
the two preceding fiscal years, and the report for fiscal year 2002 and all
subsequent reports shall include actual results for the three preceding fiscal
years.
Each report shall--
review the success of achieving the performance goals of the fiscal year;
evaluate the performance plan for the current fiscal year relative to the
performance achieved towards the performance goals in the fiscal year
covered by the report;
explain and describe, where a performance goal has not been met (including
when a program activitys performance is determined not to have met the
criteria of a successful program activity under section 2803(b)(2))--
(A) why the goal was not met;
(B) those plans and schedules for achieving the established performance
goal; and
(C) if the performance goal is impractical or infeasible, why that is the
case and what action is recommended; and

include the summary findings of those program evaluations completed during
the fiscal year covered by the report.
Sec. 2805. Inherently Governmental functions
The functions and activities of this chapter shall be considered to be
inherently Governmental functions. The drafting of strategic plans, performance
plans, and program performance reports under this section shall be performed
only by employees of the Postal Service..
SEC. 8. CONGRESSIONAL OVERSIGHT AND LEGISLATION.
IN GENERAL- Nothing in this Act shall be construed as limiting the ability of
Congress to establish, amend, suspend, or annul a performance goal. Any such
action shall have the effect of superseding that goal in the plan submitted
under section 1105(a)(29) of title 31, United States Code.
GAO REPORT- No later than June 1, 1997, the Comptroller General of the United
States shall report to Congress on the implementation of this Act, including
the prospects for compliance by Federal agencies beyond those participating as
pilot projects under sections 1118 and 9704 of title 31, United States Code.
SEC. 9. TRAINING.
The Office of Personnel Management shall, in consultation with the Director of
the Office of Management and Budget and the Comptroller General of the United
States, develop a strategic planning and performance measurement training
component for its management training program and otherwise provide managers
with an orientation on the development and use of strategic planning and program
performance measurement.
SEC. 10. APPLICATION OF ACT.
No provision or amendment made by this Act may be construed as--
creating any right, privilege, benefit, or entitlement for any person who is
not an officer or employee of the United States acting in such capacity, and
no person who is not an officer or employee of the United States acting in
such capacity shall have standing to file any civil action in a court of the
United States to enforce any provision or amendment made by this Act; or
superseding any statutory requirement, including any requirement under section
553 of title 5, United States Code.
SEC. 11. TECHNICAL AND CONFORMING AMENDMENTS.
AMENDMENT TO TITLE 5, UNITED STATES CODE- The table of sections for chapter 3
of title 5, United States Code, is amended by adding after the item relating
to section 305 the following: 306. Strategic plans..
AMENDMENTS TO TITLE 31, UNITED STATES CODE-
AMENDMENT TO CHAPTER 11- The table of sections for chapter 11 of title 31,
United States Code, is amended by adding after the item relating to section
1114 the following: 1115. Performance plans.
1116. Program performance reports.
1117. Exemptions.
1118. Pilot projects for performance goals.
1119. Pilot projects for performance budgeting..

AMENDMENT TO CHAPTER 97- The table of sections for chapter 97 of title 31,
United States Code, is amended by adding after the item relating to section
9702 the following: 9703. Managerial accountability and flexibility. 9704.
Pilot projects for managerial accountability and flexibility..
AMENDMENT TO TITLE 39, UNITED STATES CODE- The table of chapters for part III
of title 39, United States Code, is amended by adding at the end thereof the
following new item: 2801.
Speaker of the House of Representatives.
Vice President of the United States and
President of the Senate.