Government Performance Results Act of 1993
Contents
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One Hundred Third Congress
of the
United States of America
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".
SECTION 2. FINDINGS AND PURPOSES.
(a) Findings.-The Congress finds that-
(1) waste and inefficiency in Federal programs
undermine the confidence of the American people in the
Government and reduces the Federal Government's ability to
address adequately vital public needs;
(2) 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
(3) 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-
(1) improve the confidence of the American people in
the capability of the Federal Government, by systematically
holding Federal agencies accountable for achieving program
results;
(2) 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;
(3) improve Federal program effectiveness and public
accountability by promoting a new focus on results, service
quality, and customer satisfaction;
(4) 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;
(5) 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
(6) improve internal management of the Federal
Government.
SECTION 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
"(a) 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-
"(1) a comprehensive mission statement covering the
major functions and operations of the agency;
"(2) general goals and objectives, including outcome-
related goals and objectives, for the major functions and
operations of the agency;
"(3) 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;
"(4) 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;
"(5) 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
"(6) a description of the program evaluations used in
establishing or revising general goals and objectives, with
a schedule for future program evaluations.
"(b) 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.
"(c) The performance plan required by section 1115 of
title 31 shall be consistent with the agency's strategic
plan. A performance plan may not be submitted for a fiscal
year not covered by a current strategic plan under this
section.
"(d) 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.
"(e) 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.
"(f) 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.".
SECTION 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
"(a) 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-
"(1) establish performance goals to define the level
of performance to be achieved by a program activity;
"(2) express such goals in an objective, quantifiable,
and measurable form unless authorized to be in an
alternative form under subsection (b);
"(3) briefly describe the operational processes,
skills and technology, and the human, capital, information,
or other resources required to meet the performance goals;
"(4) establish performance indicators to be used in
measuring or assessing the relevant outputs, service levels,
and outcomes of each program activity;
"(5) provide a basis for comparing actual program
results with the established performance goals; and
"(6) describe the means to be used to verify and
validate measured values.
"(b) 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-
"(1) 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 activity's performance meets the criteria of the
description; or
"(2) state why it is infeasible or impractical to
express a performance goal in any form for the program
activity.
"(c) 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.
"(d) An agency may submit with its annual performance
plan an appendix covering any portion of the plan that-
"(1) is specifically authorized under criteria
established by an Executive order to be kept secret in the
interest of national defense or foreign policy; and
"(2) is properly classified pursuant to such Executive
order.
"(e) 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.
"(f) For purposes of this section and sections 1116
through 1119, and sections 9703 and 9704 the term-
"(1) 'agency' has the same meaning as such term is
defined under section 306(f) of title 5;
"(2) 'outcome measure' means an assessment of the
results of a program activity compared to its intended
purpose;
"(3) 'output measure' means the tabulation,
calculation, or recording of activity or effort and can be
expressed in a quantitative or qualitative manner;
"(4) '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;
"(5) 'performance indicator' means a particular value
or characteristic used to measure output or outcome;
"(6) '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
"(7) '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
"(a) 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.
"(b)(1) 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.
"(2) 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.
"(c) 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.
"(d) Each report shall-
"(1) review the success of achieving the performance
goals of the fiscal year;
"(2) 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;
"(3) explain and describe, where a performance goal
has not been met (including when a program activity's
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)-
"(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;
"(4) describe the use and assess the effectiveness in
achieving performance goals of any waiver under section 9703
of this title; and
"(5) include the summary findings of those program
evaluations completed during the fiscal year covered by the
report.
"(e) 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.
"(f) 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.".
SECTION 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
"(a) 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.
"(b) 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.
"(c) 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.
"(d) 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 agency's performance plan.
"(e) 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.
"(f) For purposes of this section, the definitions
under section 1115(f) shall apply.".
SECTION 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
"(a) 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.
"(b) 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.
"(c) 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-
"(1) 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;
"(2) identify any significant difficulties experienced
by the pilot agencies in preparing plans and reports; and
"(3) 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
"(a) 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.
"(b) 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.
"(c) 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)-
"(1) 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
"(2) an identification of any significant difficulties
experienced by the pilot agencies in preparing proposed
waivers.
"(d) 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
"(a) 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.
"(b) 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.
"(c) 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.
"(d) 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-
"(1) assess the feasibility and advisability of
including a performance budget as part of the annual budget
submitted under section 1105;
"(2) describe any difficulties encountered by the
pilot agencies in preparing a performance budget;
"(3) recommend whether legislation requiring
performance budgets should be proposed and the general
provisions of any legislation; and
"(4) 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.
"(e) 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.".
SECTION 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-
"(1) 'outcome measure' refers to an assessment of the
results of a program activity compared to its intended
purpose;
"(2) 'output measure' refers to the tabulation,
calculation, or recording of activity or effort and can be
expressed in a quantitative or qualitative manner;
"(3) '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;
"(4) 'performance indicator' refers to a particular
value or characteristic used to measure output or outcome;
"(5) 'program activity' means a specific activity
related to the mission of the Postal Service; and
"(6) '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
"(a) 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-
"(1) a comprehensive mission statement covering the
major functions and operations of the Postal Service;
"(2) general goals and objectives, including outcome-
related goals and objectives, for the major functions and
operations of the Postal Service;
"(3) 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;
"(4) 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;
"(5) 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
"(6) a description of the program evaluations used in
establishing or revising general goals and objectives, with
a schedule for future program evaluations.
"(b) 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.
"(c) The performance plan required under section 2803
shall be consistent with the Postal Service's strategic
plan. A performance plan may not be submitted for a fiscal
year not covered by a current strategic plan under this
section.
"(d) 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
"(a) 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-
"(1) establish performance goals to define the level
of performance to be achieved by a program activity;
"(2) express such goals in an objective, quantifiable,
and measurable form unless an alternative form is used under
subsection (b);
"(3) briefly describe the operational processes,
skills and technology, and the human, capital, information,
or other resources required to meet the performance goals;
"(4) establish performance indicators to be used in
measuring or assessing the relevant outputs, service levels,
and outcomes of each program activity;
"(5) provide a basis for comparing actual program
results with the established performance goals; and
"(6) describe the means to be used to verify and
validate measured values.
"(b) 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-
"(1) 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 activity's performance meets the criteria of
either description; or
"(2) state why it is infeasible or impractical to
express a performance goal in any form for the program
activity.
"(c) 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.
"(d) 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
"(a) 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.
"(b)(1) 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.
"(2) 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.
"(c) 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.
"(d) Each report shall-
"(1) review the success of achieving the performance
goals of the fiscal year;
"(2) 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;
"(3) explain and describe, where a performance goal
has not been met (including when a program activity's
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
"(4) 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.".
SECTION 8. CONGRESSIONAL OVERSIGHT AND LEGISLATION.
(a) 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.
(b) 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.
SECTION 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.
SECTION 10. APPLICATION OF ACT.
No provision or amendment made by this Act may be
construed as-
(1) 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
(2) superseding any statutory requirement, including
any requirement under section 553 of title 5, United States
Code.
SECTION 11. TECHNICAL AND CONFORMING AMENDMENTS.
(a) 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.".
(b) Amendments to Title 31, United States Code.-
(1) 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.".
(2) 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.".
(c) 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:
"28. Strategic planning and performance management
2801".
Speaker of the House of Representatives.
Vice President of the United States and President of
the Senate.
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