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LEGISLATION

The Government Performance and Results Act (GPRA) of 1993 (the "Results Act") was enacted by Congress to provide for the establishment of strategic planning and performance measurement (made up of an annual performance plan and an annual performance report) in the Federal Government.

What is GPRA?

As stated in the Act, its purposes 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 decision making 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.

The Results Act is based on models already being used successfully in cities like Portland and Seattle.The Results Act gives a 'bottom line" to every program and brings a tested means to track performance and make program managers more accountable.

Elements of the Strategic Plan, as defined by GPRA are:

• Timeline not less than 5 years forward from the fiscal year in which it is submitted,
• Updated at least every 3 years, and
• Vision statement (optional).

It must clearly identify:

• Comprehensive Mission Statement.
• General Goals and Objectives.
• Core processes, activities, and resources that will be required to execute the Strategic Plan (Strategies).
• Relationship between general goals and objectives and the performance goals.
• External Factors that could affect performance.

Program evaluations to be used to gauge success as defined by section 3 of GPRA - a Strategic Plan should contain the following elements:

• A comprehensive mission statement.
• A description of general goals and objectives. "A general goal is an elaboration of the mission statement, developing with greater specificity how an agency will carry out its mission. The goal may be of a programmatic, policy, or management nature, and is expressed in a manner which allows a future assessment to be made of whether the goal was or is being achieved." "A general objective is often synonymous with a general goal. In a Strategic Plan, an objective(s) may complement a general goal whose achievement cannot be directly measured. The assessment is made on the objective rather than the general goal."
• A description of how the general goals and objectives will be achieved. These can include operational processes, skills and technologies, and human, capital, information and other resources. The description should also outline the process for communicating goals and objectives throughout the agency, and for assigning accountability to managers and staff for achievement of objectives.
• A description of the relationship between performance goals in the annual performance plan and general goals and objectives in the strategic plan.
• Identification of key factors (economic, demographic, social or environmental) that could affect achievement of the general goals and objectives; certain conditions (events) not happening; and actions of Congress, other Federal agencies, local governments.
• A description of program evaluations used, and a schedule for future evaluations.

How the Strategic Plan is written:

• Look at the statutes.
• Consult with Congress.
• Give stakeholders a chance for input.
• Involve managers at all levels.
• Assess internal and external environments.
• Identify core processes needed to implement strategies/objectives/goals of plan.
• Coordinate with other agencies engaged in similar activities.

In developing a Strategic Plan,

• an agency must conform with statutory requirements;
• consult with Congress, customers, and other stakeholders potentially affected by or interested in the plan;
• coordinate with other agencies with shared responsibilities or cross-agency programs; and
• involve managers at all levels.

Preparation and Submission of Strategic Plans

OMB Circular No. A-11 Part 6 provides instructions for preparing strategic plans and highlights the relationship between Strategic Plans and annual performance plans.

The Congressional Institute (http://www.conginst.org/resultsact/PLANS/index.html) maintains a listing of Strategic Plans by agency. The Congressional Scoresheet for Grading Strategic Plans can be viewed at http://www.conginst.org/resultsact/PLANS/eval.html

Annual Performance Plans

• OMB Circular A-11, Part 6, Section 220
• Performance Goals (Outputs and Outcomes): Tangible, Measurable Targets and Indicators for the fiscal year
• Operational details (resource needs and processes used)
• Clear Measures: means for comparing actual results with projected results
• Means for verification and validation of measured results

The Results Act does not have a definition for performance measurement but discusses the requirement for each agency to prepare (a) an annual performance plan covering each program activity set forth in the budget of such an agency and (b) an annual program performance report.

The annual performance 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;
• 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.

As stated in OMB Circular A-11 Part 6, 220.3,

"Annual plans should strike a balance between too few and too many measures. Skimping on performance goals can produce a narrowly-drawn or fragmented picture of performance. Conversely, a plan larded with measures blurs a reader's perspective over which goals are essential for understanding program results. The set of performance goals included in an annual plan should be periodically modified as necessary to reflect changes in programs, agency ability to collect and report information, the importance and usefulness of any goal, and other circumstances."

Annual Performance Reports OMB Circular A-11, Part 6, Section 231

• Actual performance achieved vs. goals (targets) set for the year -includes measurement data collected and analyzed
• Explanation of any goals that were not met
• Plan for achieving unmet goals
• Modification of current year's plan in light of previous year's performance
• Performance information and trend data for at least four fiscal years

The program performance 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--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.

Preparation and Initial Submission of Annual Performance Plans

OMB Circular No. A-11Part 6 covers the preparation and initial submission of annual performance plans. Two iterations of an agency's performance plan are prepared: an initial plan submitted to OMB and used during OMB's review of the agency budget request and a revised plan sent to Congress soon after transmittal of the President's budget, and made available to the public.

Review of Agency Annual Performance Plans Reviews of Agency Annual Performance Plans and Performance Reports, including USAID's, by the Government Accounting Office (GAO) can be found at http://www.gao.gov/new.items/gpra/gpra.htm. The Mercatus Center at George Mason University rates the Annual Performance Reports of federal agencies annually. USAID ranks third among agencies for the quality of its annual report. The 3rd Annual Performance Report Scorecard can be viewed at http://www.governmentaccountability.org/.