NIH supports one program—Research.  NIH reports on GPRA performance goals by presenting a story of scientific discovery, including the background, rationale for the goal, planned implementation strategies, baseline data, summary of performance, targets and target adjustment to enhance goal achievement, and other highlights.  Although decisions regarding the development and implementation of performance goals are made at the NIH level, the development of specific goals and their administration occurs at the IC level using a formal goal replacement strategy.  This strategy requires that each new performance goal be based on Research and Development Investment (R&D) criteria, be representative, measurable, trans-NIH, meaningful to researchers, public, and NIH stakeholders, and have an estimated date of completion.  Also, the goal should lend itself to annual reporting, allow linkage of budget with performance, be able to appear in managers’ performance plans, and tie to one of the objectives found in Health People 2010 (http://www.healthypeople.gov/), the FY 2004-2009 HHS Strategic Plan (http://aspe.hhs.gov/hhsplan/), and/or the President’s Management Agenda (http://www.whitehouse.gov/omb/budintegration/pma_index.html). 

The selection of performance goals and targets are guided by the following criteria:

·         Research and Development (R&D) Investment Criteria.  The NIH performance goals are consistent with the OMB R&D Investment Criteria.  These criteria – relevance, quality, and performance – are considered in the development of NIH performance goals and associated targets.

The first criterion—relevance—is addressed in several ways as it relates to research.  One way is in setting research priorities—by considering public health needs, as judged by the incidence, severity, and cost of specific disorders as a key factor in determining areas of research support.  Relevance is also ensured through seeking the views of the public on NIH’s research agenda(s).  This occurs through meetings of advisory councils or boards that include representatives of the public, by publishing research plans for public comment, and by meeting with representatives of patient groups and presenting NIH research plans and seeking feedback.  In addition, to help ensure that the results of research reach the hands of those who can put the information to practical use, relevance is also considered when developing and disseminating educational materials or implementing public education campaigns based on results from NIH-funded research.

Quality—the second criterion—is embodied by a commitment on the part of NIH to support work of the highest scientific caliber.  NIH ensures quality through the peer review process for grants, and the principles guiding this review for scientific merit are contained in the Public Health Service Scientific Peer Review regulations.  Peer review takes place in multiple steps.  The initial step of the peer review process takes place in Scientific Review Groups or study sections, and the second level of peer review is carried out by the National Advisory Councils.  A major effort has been underway at NIH to reorganize many of these review groups to keep pace with the ever-changing landscape of science, thus helping to ensure the quality of peer review. 

The third criterion—performance—is key to each and every R&D goal set by NIH.  Once priorities are set, peer review occurs, and funding decisions are made, performance on NIH grants and contracts is monitored on a regular basis.  For example, grantees must submit annual progress reports, and follow-up actions are taken when necessary.  In addition, there are other oversight mechanisms for reviewing progress, such as investigator site visits conducted by NIH staff.  NIH also conducts state-of-the-science reviews, workshops, and other scientific meetings where knowledge in a particular area of research is reviewed, and progress and performance are assessed. 

·         Balanced Portfolio of Goals (Risk and Time).  The continuum of scientific discovery affirms the need for a balanced portfolio of goals, ranging from low- to high-risk, and short- to long-term.  NIH presents its scientific research outcome goals in a matrix framework to show the nature and extent of its portfolio.

·         Goal Selection Criteria.  The breadth of the NIH portfolio presents a challenge in terms of articulation of quantitative scientific research outcome goals.  NIH has selected 36 specific, representative research goals as proxies for performance on the larger, research portfolio.  As noted above, the goals were selected based on the following criteria: