Detailed Content for Strategic Plans (SP), Annual Performance Plans (APP), Annual Performance Reports (APR), Quarterly Performance Updates (QPU)

Mapped to the Elements of StratML Part 3

Content of first column excerpted from Section 210 of OMB Circular A-11

October 13, 2012

Since the content specified by section 210 of Circular A-11 is largely narrative, only in the broadest sense does it meet the requirement of section 10 of the GPRA Modernization Act (GPRAMA), which requires agencies to publish their strategic and performance plans and reports in "machine-readable" format. More technically speaking, it does not meet the requirements for good data architecture, which calls for each discrete concept to be represented in a separate ("atomic") element.

The mappings proposed in the second column have been identified by Owen Ambur, chair of AIIM's StratML Committee. Each element name is hyperlinked to an image showing how it appears in an InfoPath form, which is one of the potential interfaces that might be used to draft and edit the data.

1.0 Agency and Mission Information	StratML Part 3 Mappings
1.1 Introduction. Agency performance plans and reports should begin with an executive summary of the document as appropriate for the publication. Content may include context of the major changes in the areas in which the agency works, such as notable nation-wide trends or a brief background and summary analysis of the strengths, weaknesses, opportunities, and threats the agency is facing.	<Description>

<OtherInformation>

<SWOT>
1.2 Mission Statement. The mission statement should be a brief, easy-to-understand narrative, usually no more than a sentence long. It defines the basic purpose of the agency and is consistent with the agency's core programs and activities expressed within the broad context of national problems, needs, or challenges. Mission statements enable the employees of an agency to see how their work contributes to the broader mission. Some agencies may also choose to include the mission statements of their major bureaus or components.	<Mission>
1.3 Vision and Values. Some agencies opt to include vision or values statements. The vision statement expresses what the organization wants to become or how it wants the world to be in the future. The values statement(s) articulate the beliefs that undergird the organization's culture or framework for decision-making.	<Vision>

<Value>
1.4 Organizational Structure. Include information about the structure of the agency such as an organization chart that shows the agency components, bureaus or offices and how they are related. Agencies may choose to discuss any intra-agency efforts to work across organizations or programs in this section as well.	<Stakeholder>

[Documenting organizational structures is outside the scope of the StratML standard, but the stakeholder element can be used to identify superior and subordinate organizations as well as to document their respective roles.]
1.5 Scope of Responsibilities. Summarize briefly the scope of agency responsibilities. Include data and narrative describing the number and kinds of people and businesses served, locations and characteristics of operation, and problems and opportunities addressed. References to statutes that established the agency may be useful.	<Stakeholder>

<Role>

<Authority>

<PlaceName>
2.0 Cross-Agency Priority Goals
2.1 Cross-Agency Priority Goals. Agencies that contribute to Cross-Agency Priority Goals must address this responsibility in the agency's plans and reports by directing the public to Performance.gov and including a list of Cross Agency Priority Goals to which the agency contributes. To do so, agencies should include the following language: "Per the GPRA Modernization Act requirement to address Cross-Agency Priority Goals in the agency strategic plan, the annual performance plan, and the annual performance report please refer to www.Performance.gov for the agency's contributions to those goals and progress, where applicable. The [Department or agency] currently contributes to the following CAP Goals: [add list here]." The Goal Leader, the PIC and OMB will coordinate quarterly updates to the website which will reflect the overall action plan and will describe how the agency's goals and objectives contribute to the Cross-Agency Priority Goal. (See also section 220 on Cross-Agency Priority Goals).	<Goal>

<Priority> (attribute of <Goal>)

<Relationship>

[By definition, cross-agency priority goals would be those designated as high priority which occur in the plans of multiple agencies.]

[Alternatively or additionally, the relationship element can be used to associate performance indicators in any plan or report to any goal in any other plan or report.]
3.0 Strategic Goals
3.1 Strategic Goals. Agencies must establish general, outcome-oriented, long-term goals for the major functions and operations of the agency. The strategic goal should address the broader impact that is desired by the organization.

SP—identify the strategic goals.

APP—include the strategic goals to frame the discussion of plans related to the strategic objectives, performance goals, APGs and other indicators.

APR—include the strategic goals to provide context for the prior year's progress made on strategic objectives, performance goals, APGs and other indicators.	<Goal>

<ValueChainStage>

[Each performance indicator can be identified as falling into one of the following five stages of the <ValueChain>: Input, Input_Processing, Output, Output_Processing, Outcome]
3.2 Strategic Goal Context. In identifying each strategic goal, the agency should briefly describe the following in a level of detail appropriate for a long-term plan:

The opportunity or problem being addressed by the strategic goal. This brief explanation could include demographic, geographic information, risks or other characteristics that inform priority setting and identification of causal factors (e.g., weather) that influence

outcomes.

Why the goals were selected including relevant background on the underlying reason for choosing each strategic goal, such as the problems necessitating the goal, opportunities being pursued, legislative mandates, and Presidential directives.	<OtherInformation> (under each <Goal>)

<SWOT>

<Authority>
3.3 Consultation with Congress and other Stakeholders on the Strategic Plan. All agencies must include a description of how the strategic plan's goals incorporate views and suggestions obtained through the agency's congressional consultations on the strategic plan. Agencies are also encouraged to describe consultation with non-Federal stakeholders as appropriate.	<OtherInformation> (under each <Goal>)

<Role> (under each <Stakeholder>)
4.0 Strategic Objectives
4.1 Strategic Objective. Strategic objectives will be identified to break broader strategic goals down to a level that reflects the outcome or impact the agency is trying to achieve as well as the specific results of an agency's contributing programs. Strategic objectives should contribute to the broader impact described in the strategic goal statement while also expressing how an aspect of the strategic goals will be achieved by the agency and delivery partners. Strategic objectives, in turn, cascade down to a set of performance goals and indicators established to help the agency monitor and understand progress. Strategic objectives will serve as the primary unit of analysis for agency and OMB assessment of how the agency is achieving its mission. Strategic objectives can support agencies in managing across goals contributing to common outcomes.	<Objective>

<PerformanceIndicator>

4.2 Strategic Objective Context. In discussing each strategic objective, the agency should briefly describe the following in a level of detail appropriate for the long-term plan:
The opportunity or problem being addressed by the strategic objective and characteristics of the problem or opportunity, such as size and location.

Why the objective was selected.	<SWOT>

<OtherInformation> (under each <Objective>)
4.3 Strategies for Strategic Objectives. Describe the agency strategies planned to continuously make progress on strategic objectives such as analysis of outliers, spreading promising practices, process improvement reforms. Strategies should include operational processes, human capital, training, skills, technology, information and other resources. Identify how the agency will track progress on the objective using performance and other indicators.	<Objective>

<PerformanceIndicator>

<Taxonomy>

[<Objective>s & <PerformanceIndicator>s can be categorized under any taxonomy that may be applicable.]
4.4 Contributing Programs for Strategic Objectives. Identify the organizations, program activities, regulations, policies, and other activities that contribute to each strategic objective, both within and external to the agency.	<Relationship>

<OtherInformation>

<Authority>

<Stakeholder><Role>s
4.5 External Factors for Strategic Objectives.	<SuccessFactor>
SP—Agencies will identify key external factors that could significantly affect the achievement of its strategic objectives, distinguishing those beyond its control and those it seeks to influence.

APR—identify external factors that may have influenced the agency's progress on strategic objectives in the past fiscal year. As new strategies are established in the annual performance plan, the agency should consider external factors. Agencies that do not combine the publication of the APP/APR may find it useful to address external factors in the Annual Performance Plan.
4.6 Progress Update for Strategic Objectives. Agencies may include a brief description of achievements during the last fiscal year on the strategic objective indicating where progress was made and where it was not, with an explanation of what worked and what did not. Challenges encountered during the last year should be described. An identification of the agency's progress as either noteworthy or facing significant challenges may be included in the narrative, with further explanation for the reasons for the characterization of progress. Agencies may summarize progress made on performance goals or other indicators, but need not discuss each of them. Agencies should also discuss trends, causal factors, promising practices, and findings from evaluations or independent assessments. To keep the progress update brief, the agency should use hyperlinks or citations to supporting evidence, instead of including all the detail within the progress update.	<ActualResult>

<OtherInformation> (under each <PerformanceIndictor>)
4.7 Next Steps & Future Actions for Strategic Objectives. Agencies will summarize plans to improve progress on strategic objectives, including prospects and strategies for performance improvement, and must include key milestones planned for the next year. If applicable, describe evaluations or other studies planned to make progress on the strategic objective. Where possible the agency may describe plans to continue or expand what is working; develop or experiment to find promising practices; test the most promising practices to see if they can be replicated and validated; find or develop increasingly effective and cost-effective approaches; identify causal factors the government can influence; and facilitate learning across de livery units.	<TargetResult>

<OtherInformation> (under each <PerformanceIndicator>)
4.8 Major Management Challenges. Agencies must identify major management challenges including those on the GAO High-Risk List, and the agency official (title and office) responsible.

APP—identify major management challenges, planned actions, performance goals, indicators and milestones used to measure progress toward resolving them.

APR—describe progress made on resolving major management challenges.	<ManagementChallenge>
4.9 Goal Leaders for Strategic Objectives. Identify the agency official's title and the organization responsible for the achievement of each strategic objective.	<Stakeholder>

<Role>
5.0 Agency Priority Goals (APG)
5.1 APG Statement. Agencies must identify which performance goals are Agency Priority Goals, if applicable.

SP—agencies with FY 2012-2013 APGs will develop new APGs for FY 2014-2015 concurrent with the FY 2015 Budget, which will be included in the new agency strategic plan to be published on Performance.gov in February 2014.

APP—include the statement as published on Performance.gov.

APR—include the statement as published on Performance.gov.	<Goal>

<Priority> (attribute of <Goal>)

<Category> (in taxonomies by which each objective may be categorized)
5.2 APG Overview. Includes the problem opportunity being addressed by the APG, relationship to agency strategic goals and objectives, key barriers and challenges, and stakeholder engagement, including Congressional consultation.	<SWOT>

<ManagementChallenge>

<Stakeholder><Role>

5.3 APG Strategies. Agencies will summarize the APG Action Plan's implementation strategy and key milestones. As new strategies are established, the agency should take into consideration external factors it can influence and those it cannot.	<TargetResult>
5.4 APG Indicators. Each APG is tracked through a suite of performance goals and other indicators, which should link to a strategic objective.	<PerformanceIndicator>
5.5 APG Progress Update. Agencies will include a brief explanation of achievements during the last quarter on Performance.gov (or, for the last quarter of the year, a summary of accomplishments over the last fiscal year), as well as an identification of significant challenges if any impeded progress on the APG. Because of their ambitious nature, all APGs face some risks with regard to the stretch targets set; therefore, agencies should include a description of significant risks of not achieving the planned level of performance, as appropriate.	<ActualResult>

<OtherInformation> (under each <TargetResult>)
5.6 APG Next Steps. Agencies will summarize how they plan to improve progress, including prospects and strategies for performance improvement, and will include key milestones planned for the next quarter.	<TargetResult>

<OtherInformation>
5.7 APG Future Actions. Agencies will summarize how they plan to improve progress, including prospects and strategies for performance improvement, and will include key milestones planned for the remainder of the goal period.	<TargetResult>

<OtherInformation>
5.8 APG Contributing Programs. Identify the organizations, program activities, regulations, tax expenditures, policies, and other activities that contribute to each Agency Priority Goal, both within and external to the agency.	<Stakeholder><Role>
5.9 APG External Factors. Agencies will identify key factors external to the agency that significantly affect the achievement of its Agency Priority Goal, including those beyond its control.	<SuccessFactor>
5.10 APG Goal Leaders. Identify the title, organization and name of the agency official who is responsible for the achievement of each APG.	<Stakeholder>

<Role>
5.11 APG Consultation with Congress. All agencies must include a description of how the Agency Priority Goals incorporate views and suggestions obtained through the agency's congressional consultations. During the year in which the agency establishes the two-year Agency Priority Goals, the agency should include a description of how the agency incorporated views obtained through congressional consultations.	<OtherInformation> (under each objective)

<Stakeholder><Role>

<OtherInformation> (under each <TargetResult>)
6.0 Performance Goals and Indicators
6.1 Performance Goal.

SP—For each strategic objective included in the strategic plan, the agency will identify a limited number of performance goals and explain how they contribute to the strategic objective. Details on performance goals need not be provided in the strategic plan, but instead should be included in the Annual Performance Plan and Annual Performance Report.

APP—Agencies must establish performance goals, that contain a performance indicator, target and timeframe to define the level of performance to be achieved during the year in which the performance plan is submitted and the next fiscal year.

APR—Agencies report on progress made on performance goals.	<Objective>

<PerformanceIndicator>

<ActualResult>
6.2 Actual Performance Indicator Results. For all performance goals, performance indicators should compare actual performance with target levels of performance at least for the prior year and clarify if the target was met or not. For performance goals specified in an alternative form, the results will be described in relation to such specifications.

APP—the agency displays actual data for every performance indicator for the past year and two additional past years where available. More historical trends may be included as needed.

APR—the agency displays actual results for performance indicators for at least the five preceding fiscal years, if available. Where useful, present trend data from its earliest point available even if the agency is publishing the performance indicator for the first time. It can, for example, be illuminating to show long-term trends, starting before a preventative government action was started, if the problem being addressed has since greatly diminished. Agencies do not need to present historic targets.	<ActualResult>
6.3 Performance Indicator Targets. For each performance indicator, the agency should establish targets for the current and upcoming fiscal year.	<TargetResult>
6.4 Performance Indicator Information Gaps. Identify where actual information is missing, incomplete, preliminary, or estimated. Indicate the date when the actual information will be available.	<OtherInformation> (under each <PerformanceIndicator>)
6.5 Performance Goal Progress Update. Agencies will briefly explain the causes of variance or change in trends for the performance indicators, as well as whether or not the target was met. Agencies may identify successful or promising practices relative to agency performance goals. Agencies may describe where mid-year budget changes or delayed appropriations affected the agency's targets or achievement of targets previously established for the full performance year.	<ActualResult>
6.6 Performance Goal Future Action. Where the agency is not making sufficient progress in meeting a performance goal, the agency will briefly address future improvement including why the performance goal was not met and plans for achieving it. If the performance goal is determined to be impractical or infeasible the agency should address in the explanation and plan why that is the case and what action is recommended.	<TargetResult>
6.7 Changed Performance Goals. Identify performance goals changed or dropped since publication of the Annual Performance Plan, if such changes were approved by OMB, and the reasons for the changes.	<OtherInformation> (under each <Objective>)
7.0 Other Indicators
7.1 Other Indicators. Other indicators that do not have targets may, and in some cases, must be established to help explain agency performance. The agency should identify the indicator and explain why it is being used.	<PerformanceIndicator> (of the qualitative type)
7.2 Other Indicator Actuals.

APP—the agency displays actual data for every indicator for the past year and two additional past years where available.

APR—the agency displays actual results for at least the five preceding fiscal years, if available.	<ActualResult>
7.3 Other Indicator Information Gaps. Identify where actual information is missing, incomplete, preliminary, or estimated. Indicate the date when the actual information will be available.	<OtherInformation> (under each <PerformanceIndicator>)
8.0 Other Information
8.1 Management Reviews. Briefly describe the frequent data-driven performance review processes the agency leadership has put into place to drive continual progress on Agency Priority Goals and other performance goals. Also, describe how the agency is aligning its personnel performance plans and reviews and other human capital efforts, to accelerate progress on organizational goals.	<OtherInformation> (under each <PerformanceIndicator>)
8.2 Cross-Agency Collaborations. As a part of the discussion of strategies, where applicable, describe how the agency is working with other agencies to achieve strategic objectives, APGs, and performance goals. Describe responsibilities of key agency programs and external agency partners (e.g., other Federal programs, grantees; state, local, tribal, and foreign governments; major long-term contractors, etc.) and the nature of their expected contribution to strategic objectives.	<Stakeholder><Role>
8.3 Evaluations and Research.

SP—Agencies should describe how information from research and program evaluation was used in developing the Strategic Plan, including how research and evaluation evidence was used to establish or revise the agency's strategic objectives and identify evidence-based strategies or approaches that will be used to reach the objectives. The SP also should describe efforts to further build the evidence base in the long-term, by supporting high-quality evaluations of strategies, approaches or programs, as well as agency efforts to build greater capacity for conducting and using evaluation and evidence findings. The agency should include a schedule of future studies and evaluations planned for the next four years or the timeline the SP covers. This schedule should go beyond simply listing evaluation topics. It should describe the objectives and how the evaluations or studies will improve agency decision-making.

APP—Agencies should describe how information from research and program evaluation was used in developing the performance plan, including how research and evaluation evidence was used to establish or revise the agency's performance goals; identify effective or evidence-based strategies or approaches that will be used to reach these goals; understand the agency's progress toward these goals; and inform budgetary allocations based upon information about cost-effectiveness of agency efforts. The performance plan should also describe the agency's efforts to build the evidence base in the coming year by supporting high-quality evaluations of strategies, approaches or programs, as well as agency efforts to use existing data, and build greater capacity for conducting and using evaluation findings. The agency should include a schedule of evaluations planned for the coming year that goes beyond simply listing evaluation topics for planned studies, describing the objectives of planned evaluations and how they will improve agency

decision-making. See M-12-14 for more information and 51.9 for agency budget submission.

APR—Agencies should describe findings from agency-funded evaluations or other research completed during the prior fiscal year, as well as evaluations and other research relevant to the agency's understanding of the performance of its programs, the problems the program is trying to tackle, and the identification of external factors that might influence agency performance. If no evaluations were completed, the performance report should note this. Agencies are expected to have a web page on the agency's evaluations or links to other evaluations relevant to the agency's work with summaries of the findings and specific citations.	<OtherInformation> (under <TargetResult> & <ActualResult>)

<Objective>

[The length of the guidance on this element suggests that perhaps it may warrant a plan of its own.]

[Moreover, it would be good if organizations conducting research relevant to .gov &/or .mil goals were encouraged, if not expected, to document their goals and objectives in StratML format and use the <Relationship> element to link their <PerformanceIndicator>s to the relevant .gov & .mil objectives.]
8.4 Hyperlinks. Link to other, more detailed plans, evaluations, or other studies to support the decisions and strategies described in the agency plan or report.	<WebAddress> (under <OtherInformation> under multiple elements)
8.5 Data Validation and Verification. Include an assessment by the agency head of the reliability and completeness of the performance data included in the plan and report. The description must include how the agency ensures the accuracy and reliability of the data used to measure progress towards its performance goals (including Agency Priority Goals), including an identification of—

the means to be used to verify and validate measured values;

the sources for the data;

the level of accuracy required for the intended use of the data;

any limitations to the data at the required level of accuracy; and

how the agency will compensate for such limitations if needed to reach the required level of accuracy.

Agencies should summarize how the agency uses data to promote improved outcomes, including assessing the use and effectiveness of alternative form performance goals. Section 260.9 addresses approaches the agency should use to meet the data validation and verification requirement for both agency annual plans and annual reports. Agencies should include an addendum that lists and briefly explains changes in performance indicators as compared to the prior year's performance report.	<OtherInformation> (under <PerformanceIndicator>)
8.6 Lower-Priority Program Activities. Agencies must reference the President's Budget volume where lower-priority program activities will be published by OMB. The Cuts, Consolidations and Savings volume of the President's Budget identifies the lower-priority program activities, where applicable, as required under the GPRA Modernization Act, 31 U.S.C. 1115(b)(10). The public can access the volume at: http://www.whitehouse.gov/omb/budget." (See sections 240.11-240.13 for more information on lower-priority program activities).	<Priority> (attribute for each <Goal>)