Table of Contents:
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,
SEC. 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-
(b) PURPOSES- The purposes of this Act are to-
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
(a) No later than September 30,19971 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-
(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.'.
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:
(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 1 105(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--
(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-
(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-
(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--
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 submitto the President and the Congress, a report on program performance for the previous fiscal year.
(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--
(e) An agency head may include all program performance nformation 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.'.
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
(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 11 05(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 emuneration 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 )imitations on compensation or remuneration, be made permanent.
(f) 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
(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 11151 and program performance reports under section 11161 other than section 11 16(c)1 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 1119971 the Director of the Office of Management and Budget shall submit a report to the President and to the Congress which shall--
(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)--
(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-
(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.'.
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
For purposes of this chapter the term-
'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-
(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-'
(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--
(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-
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.
(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-
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.
(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 11 05(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.
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-
SEC. 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:
(b) AMENDMENTS TO TlTLE 31, UNITED STATES CODE-
(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 there of the following new item:
2801'.
Speaker of the House of Representatives.
Vice President of the United States and
President of the Senate.
END