Signed
by
the
President
on
January
4,
2011,
as
Public
Law
No:
111-352.
Downloaded
from
Thomas
and converted to HTML with referenceable hyperlinks on January 9, 2011,
by Owen Ambur.
On
February 14, 2011, Owen began inserting references to StratML elements
in bold and [brackets]
in order to facilitate consideration of these requirements in the
specification of StratML Part 3.
H.R. 2142
One Hundred Eleventh Congress of the
United States of
America
An Act
To require quarterly performance assessments of
Government programs
for purposes of assessing
agency performance and improvement, and to establish agency performance
improvement
officers and the Performance Improvement Council.
Be it enacted by the Senate and House of Representatives
of the
United States of America in Congress assembled,
SECTION
1.
SHORT TITLE; TABLE OF CONTENTS.
(a) SHORT TITLE.--This Act may be cited as the ''GPRA
Modernization
Act
of
2010''.
(b) TABLE OF CONTENTS.--The table of contents for this
Act is as
follows:
Sec.
1.
Short
title; table of contents.
Sec.
2.
Strategic
planning amendments.
Sec.
3.
Performance
planning amendments.
Sec.
4.
Performance
reporting amendments.
Sec.
5.
Federal
Government and agency priority goals.
Sec.
6.
Quarterly
priority progress reviews and use of performance
information.
Sec.
7.
Transparency
of Federal Government programs, priority goals, and
results.
Sec.
8.
Agency
Chief Operating Officers.
Sec.
9.
Agency
Performance Improvement Officers and the Performance
Improvement Council.
Sec.
10.
Format
of performance plans and reports.
Sec.
11.
Reducing
duplicative and outdated agency reporting.
Sec.
12.
Performance
management skills and competencies.
Sec.
13.
Technical
and conforming amendments.
Sec.
14.
Implementation of this Act.
SEC.
2. STRATEGIC
PLANNING AMENDMENTS.
Chapter 3 of title 5, United States Code, is amended by
striking
section 306 and inserting the
following:
''§ 306. Agency strategic plans
''(a) Not later than the first Monday in February of any
year
following the year in which the term
of the President commences under section 101 of title 3, the head of
each agency shall make
available on the public website of the agency a strategic plan and
notify the President and
Congress of its availability. Such plan shall contain--
''(1) a
comprehensive mission statement covering the
major functions
and operations of the
agency;
[Mission is one of the core elments of the StratML
standard (ANSI/AIIM 21:2009) but it is not intended for use as a
comprehensive statement of functions and operations. It may be
more appropriate to specify separate elements for those concepts.
For an example of how this requirement might be met in StratML Part 3,
see this screen shot.]
[Note: The Performance.gov site includes a listing
of
"themes
and
budgetary
functions" and the Federal Enterprise
Architecture (FEA) Business Reference Model (BRM) lists "business
areas," "primary functions" and "sub functions". Presumably,
both of those listings are among the types of controlled vocabularies
that should be accommodated in the StratML schema.]
''(2)
general goals and objectives, including
outcome-oriented
goals, for the major functions and
operations of the agency;
[Goal and Objective are among the core elements of the StratML
standard. Whether they are input-, output-, process- or
outcome-oriented can be indicated in the PerformanceIndicator
type attribute of StratML Part 2.]
''(3) a
description of how any goals and objectives
contribute to
the Federal Government priority
goals required by section 1120(a) of title 31;
[The Description
child element of Goal and Objective could be used to explain how they
contribute to the realization of other, priority goals. However,
the Relationship
element of StratML Part 2 can be used to explicitly draw such linkages,
based upon the Identifiers
associated
with
each
objective,
as
well
as
to
name
and
describe
those
relationships
in
greater detail.]
''(4) a
description of how the goals and objectives are
to be
achieved, including--
[StratML Part 2, Performance
Plans and Reports, specifies the elements required to transform
strategic plans into performance plans by identifying the necessary
inputs and processes.]
''(A)
a description of the operational processes, skills
and
technology, and the human, capital,
information, and other resources required to achieve those goals and
objectives; and
[The processes and inputs required to
achieve objectives can be named and described using the PerformanceIndicator
element of StratML Part 2.]
''(B)
a description of how the
agency is working with
other agencies
to achieve its goals and
objectives as well as relevant Federal Government priority goals;
[In StratML Part 2, TargetResult
is a child of the PerformanceIndicator.
The
Description
element is a child of TargetResult and can be used to provide the
description required by this clause. In addition, the OtherInformation
element can be used to provide information that does not fit neatly
into other elements of the StratML schema. However, consideration
should be given to specifying a separate, more explicit element for
this requirement in StratML Part 3.]
''(5) a
description of how the goals and objectives
incorporate
views and suggestions obtained
through congressional consultations required under subsection (d);
[Stakeholder
is one of the core elements of the StratML standard.
Stakeholders, including Members and committees of Congress, can be
named and described, and the Description
element could be used to explain how each stakeholder has been
consulted and how their suggestions have been addressed. However, consideration should be given to
specifying a separate, more explicit element for this requirement in
StratML Part 3.]
''(6) a
description of how the performance goals
provided in the
plan required by section 1115(a)
of title 31, including the agency priority goals required by section
1120(b) of title 31, if
applicable, contribute to the general goals and objectives in the
strategic plan;
[The Description and OtherInformation child
elements of Goal and Objective elements can be used to meet the
requirments of this paragraph. However, consideration should be given to
specifying a separate, more explicit element for this requirement in
StratML Part 3.]
''(7)
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
[The concept of Critical Success Factors
(CSFs) has not yet been addressed in StratML Parts 1 or 2 but should be
considered in Part 3.
It
may
be
appropriate
to
name
the
element
SuccessFactor
and
provide
attributes
for
internal
versus external and key (or critical) versus
ancillary (or influencing). For an example of how this requirement
might be met in StratML Part 3, see this screen shot.]
''(8) a
description of the
program evaluations used in
establishing
or revising general goals and
objectives, with a schedule for future program evaluations to be
conducted.
[The methodology used to determine and
evaluate goals and objectives has not been addressed in StratML Parts 1
or 2. The assumption has been that the most important means of
facilitating evaluation is simply to make goal and objective statements
more readily available to stakeholders, while making it easier for them
to provide input and feedback. In that regard, section 10 of this
Act may be its most important provision, since it will enable
value-added intermediaries to call attention to objectives of interest
to and facilitate feedback from their stakeholders. However, in
StratML Part 3
consideration should be given to including elements enabling the
identification of evaulation methodologies like SWOT and PEST.
The existing StartDate
and EndDate
elements can be reused to identify the schedule for such evaluations.]
''(b) The
strategic plan shall
cover a period of not
less than 4
years following the fiscal year in
which the plan is submitted. As needed, the head of the agency may make
adjustments to the
strategic plan to reflect significant changes in the environment in
which the agency is operating,
with appropriate notification of Congress.
[Making it easier to update and maintain
strategic plans is among the purposes of the StratML standard. In
particular, the association of the Identifier
element with each goal and objective statement is intended to enable
them to be updated discretely without requiring re-clearance and
re-publishing of the entire plan. The StartDate
and EndDate elements are intended to be used to
indicate the period covered by each plan as well as each goal and
objective individually. However, in StratML Part 3 consideration should be given to pairing
the PublicationDate
element with the Identifier element to enable version control tracking
of changes to each goal and objective statement individually.]
[With respect to notification, it may also
be appropriate to associate point of contact information with each Stakeholder so that the process can be
automated when changes are made.]
''(c) The
performance plan
required by section 1115(b)
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.
[The process of making this determination
can be automated by comparing the EndDate contained in each strategic plan to the
current date. Moreover, the Relationship
element can be used to draw explicit, machine-readable linkages between
the objectives set forth in performance plans and the longer-term goals
established in strategic plans.]
''(d)
When developing or making
adjustments to a
strategic plan, the
agency shall consult
periodically with the Congress, including majority and minority views
from the appropriate
authorizing, appropriations, and oversight committees, and shall
solicit and consider the views
and suggestions of those entities potentially affected by or interested
in such a plan. The agency
shall consult with the appropriate committees of Congress at least once
every 2 years.
[In StratML Part 3 consideration should be
given to associating the StartDate and EndDate element with each
Stakeholder to indicate when they should next be formally consulted.]
''(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.
[This policy is outside the scope of the
StratML standard. However, regardless of who is responsible for
drafting each plan, rendering them in machine-readable formats, like
StratML, will make it easier for others to provide input and
feedback. Use of the Stakeholder element to identify the
individual with the lead responsbility for each goal and objective will
foster accountability.]
''(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
Government
Accountability Office, the United States Postal Service, and the Postal
Regulatory
Commission.''.
SEC.
3.
PERFORMANCE PLANNING AMENDMENTS.
Chapter 11 of title 31, United States Code, is amended
by striking
section 1115 and inserting the
following:
''§ 1115. Federal Government and agency performance
plans
''(a)
FEDERAL GOVERNMENT PERFORMANCE PLANS.--In carrying
out the
provisions of
section 1105(a)(28), the Director of the Office of Management and
Budget shall coordinate with
agencies to develop the Federal Government performance plan. In
addition to the submission of
such plan with each budget of the United States Government, the
Director of the Office of
Management and Budget shall ensure that all information required by
this subsection is
concurrently made available on the website provided under section 1122
and updated
periodically, but no less than annually.
The Federal Government performance plan shall--
''(1)
establish
Federal
Government
performance
goals to
define the
level of performance to be
achieved during the year in which the plan is submitted and the next
fiscal year for each of the
Federal Government priority goals required under section 1120(a) of
this title;
[The TargetResult
element of StratML Part 2 can be used to define "performance goals" for
as many years as desired.]
''(2)
identify the agencies,
organizations, program
activities,
regulations, tax expenditures,
policies, and other activities contributing to each Federal Government
performance goal during
the current fiscal year;
[In StratML Part 2 agencies and
organizations contributing to the achievement of objectives can be
identified as stakeholders of the performer type and their roles
can be named and described. Tax expenditures can be identified as PerformanceIndicators
of
the
input
type
and
"other
activities"
can
be
identified
as
processes
supporting
each objective.]
[None of the elements in StratML Parts 1 or
2 explicitly address the concepts of regulations or policies, but the
generic concept of Authority
has been identified as a candidate for inclusion in Part 3. In
addition to enabling each authority to be named and described, it may
also be appropriate to reuse the SequenceIndicator
element to enable the inclusion of legal or other citations and/or to
include a WebAddress
element in order to provide a URL pointing to the cited
authority. For an
example of how this requirement might be met in StratML Part 3, see this screen shot.]
''(3)
for
each
Federal
Government
performance goal,
identify a lead
Government official who
shall be responsible for coordinating the efforts to achieve the goal;
[In StratML Part 2 the Stakeholder
element can be used to name and describe the Roles
of officials responsible for each objective.]
''(4)
establish
common
Federal
Government
performance
indicators
with
quarterly targets to be
used in measuring or assessing--
[In StratML Part 2 an unlimited number of TargetResults
can
be
specified
for
each
PerformancIndicator
for each Objective,
and
StartDates
and
EndDates
can
be
associated
with
each
TargetResult.
To
the
degree
that
multiple
TargetResults
may
be specified within a single resource
allocation and performance assessment cycle, it may be appropriate to
call them milestones. An element called Milestone
has been identified as a candidate for inclusion in StratML Part 3.]
''(A)
overall
progress
toward
each Federal Government
performance
goal; and
[In StratML Part 2 progress can be reported
in the ActualResult
element and such results may be described
(in narrative) as well as documented in numbers, if the MeasurementInstance
is quantitative in nature.]
''(B)
the
individual
contribution
of each agency,
organization,
program activity, regulation, tax
expenditure, policy, and other activity identified under paragraph (2);
[See comment under paragraph
(2) above.]
''(5)
establish clearly
defined quarterly milestones;
and
[See comment under paragraph
(4) above.]
''(6)
identify major
management challenges that are
Governmentwide
or crosscutting in nature
and describe plans to address such challenges, including relevant
performance goals,
performance indicators, and milestones.
[The concept of "management challenges" is
not addressed in StratML Parts 1 or 2 and should be considered in Part
3. The relationship of such challenges to key
factors (internal and external SuccessFactors) should also be
considered. For an example of how this requirement might be met
in StratML Part 3, see this screen shot.]
''(b)
AGENCY PERFORMANCE PLANS.--Not later than the
first Monday in
February of each
year, the head of each agency shall make available on a public website
of the agency, and notify
the President and the Congress of its availability, a performance plan
covering each program
activity set forth in the budget of such agency. Such plan shall--
[In StratML Part 2 "activities" can be
named and described as PerformanceIndicators
of
the
process
type.
Neither
Parts
1
or
2
address
the
concept
of "program"
but
that
concept
is
a
candidate
for
consideration
in
Part
3
(along
with
the concept of "project").
For an example of
how this requirement might be met in StratML Part 3, see this screen shot.]
''(1)
establish
performance
goals
to
define the level of
performance
to be achieved during the
year in which the plan is submitted and the next fiscal year;
[The level of performance to be achieved
can be documented in the TargetResult
element of StratML Part 2, for as many years as desired. The StartDate
and EndDate
associated with each TargetResult can be used to specify the
performance period.]
''(2)
express
such
goals
in
an objective, quantifiable,
and
measurable form unless authorized to
be in an alternative form under subsection (c);
[In StratML Part 2 the PerformanceIndicators
associated
with
each
objective
can
be
expressed
quatitatively,
in
terms
of
a
MeasurementDimension
and NumberOfUnits,
and/or
they
may
be
expressed
qualitatively,
in
a
narrative
Description.]
''(3)
describe
how
the
performance
goals contribute to--
''(A)
the
general
goals
and objectives established in
the agency's
strategic plan required by
section 306(a)(2) of title 5; and
''(B)
any
of
the
Federal Government performance goals
established in
the Federal Government
performance plan required by subsection (a)(1);
[The Description
child element of Objective can be used to explain how they
contribute to the realization of other, broader goals. However,
the Relationship
element of StratML Part 2 can be used to explicitly draw such linkages,
based upon the Identifiers
associated
with
each
objective.
Those
relationships
can
also
be
named
and
describe
in
greater
detail, and the RelationshipType attribute can be used to
indicate that the objective is associated with a broader goal.]
''(4)
identify among the performance goals those which
are
designated as agency priority goals
as required by section 1120(b) of this title, if applicable;
[In StratML Parts 1 and 2, the priority
ascribed to goals and objectives might be inferred from their StartDates
and EndDates
as
well
as
the
volume
of
Inputs
allocated
to
them.
The
order
in
which
they
appear,
as
documented
by their SequenceIndicators,
might
also
be
taken
as
a
ranking
of
priorities.
However,
in
StratML Part 3 it might be appropriate to associate an attribute with
Goal and Objective in order to designate whether they are considered to
be a "priority" or not or perhaps to indicate degree of priority on a
multi-point (3, 5 or 7) scale. Doing so would enable automated
aggregation of the governmentwide plan comprised of the priority
objectives designated by each agency.]
''(5)
provide
a
description
of
how the performance goals
are to be
achieved, including--
''(A)
the
operation
processes,
training, skills and
technology, and
the human, capital,
information, and other resources and strategies required to meet those
performance goals;
[The processes and inputs required to
achieve objectives can be named and described using the PerformanceIndicator
element of StratML Part 2.]
''(B)
clearly
defined
milestones;
[In StratML Part 2 an unlimited number of TargetResults
can
be
specified
for
each
PerformancIndicator
for each Objective,
and
StartDates
and
EndDates
can
be
associated
with
each
TargetResult.
To
the
degree
that
multiple
TargetResults
may
be specified within a single resource
allocation and performance assessment cycle, it may be appropriate to
call them milestones. An element called Milestone
has been identified as a candidate for inclusion in StratML Part 3.]
''(C)
an
identification
of
the organizations, program
activities,
regulations, policies, and other
activities that contribute to each performance goal, both within and
external to the agency;
[In StratML Part 2 "activities" can be
named and described as PerformanceIndicators
of
the
process
type.
Other
organzations
contributing
to
each
objective
can
be
named
as Stakeholders
of
the
performer
type,
and
their
roles
can
be
named
and
described. Neither Parts 1 or 2 address the concept of "program"
but
that
concept
is
a
candidate
for
consideration
in
Part
3
(along
with
the concept of "project").
The
concept
of
Authority
(e.g., laws, regulations, and policies) has also be identified as a
candidate for inclusion in Part 3.]
''(D)
a
description
of
how the agency is working with
other agencies
to achieve its performance
goals as well as relevant Federal Government performance goals; and
[In StratML Part 2, the Relationship
element can be used to relate PerformanceIndicators
to
each
other,
within
and
across
the
plans
of
multiple
organizations.
Relationships can be named, described, and
designated as being of the following types: Narrower_Than, Peer_To, or
Broader_Than.]
''(E)
an identification of
the
agency officials
responsible for the
achievement of each
performance goal, who shall be known as goal leaders;
[In StratML Part 2, goal leaders can be
designated using the Stakeholder Role
element. They can be named and their roles can also be named and
described.]
''(6)
establish a balanced set of performance indicators
to be used
in measuring or assessing
progress toward each performance goal, including, as appropriate,
customer service, efficiency,
output, and outcome indicators;
[In StratML Part 2, an unlimited number of
PerformanceIndicators can be associated with each goal and
objective. However, inclusion of a complex element enabling the
categorization (CategorizationTypes)
of
PerformanceIndicators
has
been
identified
as
a
candidate
for
inclusion
in
Part 3.]
''(7)
provide
a
basis
for
comparing actual program
results with the
established performance
goals;
[In StratML Part 2, the TargetResult
and Actual
Result can be documented and compared.]
''(8)
a description of how the
agency will ensure the
accuracy and
reliability of the data used to
measure progress towards its performance goals, including an
identification of--
[In StratML Part 2, this information can be
provided in the OtherInformation
element under each PerformanceIndicator.
However,
consideration
should
be
given
to
including
more
explicit
elements
for
this information.]
''(A) the means to be used to verify and validate
measured values;
''(B) the sources for the data;
''(C) the level of accuracy required for the intended
use of the
data;
''(D) any limitations to the data at the required level
of accuracy;
and
''(E) how the agency will compensate for such
limitations if needed
to reach the required level of
accuracy;
''(9)
describe
major
management
challenges
the agency
faces and
identify--
[The concept of "management challenges" is
not addressed in StratML Parts 1 or 2 and should be considered in Part
3. The relationship of such challenges to key
factors (internal and external SuccessFactors) should also be
considered. Use of the word "major" suggests that it may be
appropriate to associate with the element an attribute to distinguing
major challenges from those that are lesser in scope.]
''(A)
planned
actions
to
address such challenges;
''(B)
performance
goals,
performance
indicators, and
milestones to
measure progress toward
resolving such challenges; and
[This wording suggests that management
challenges might simply be documented in terms of another set of Goals
and Objectives, with associated PerformanceIndicators. If so,
perhaps the distinction between such goals/objectives and others might
be addressed via a new inclusion
of
a
complex
element
enabling
the
categorization
(CategorizationTypes)
of
goals
and
objectives
in
StratML
Part
3.]
''(C)
the
agency
official
responsible for resolving such
challenges;
and
[In StratML Part 2, responsible officials
can be identified using the Strakeholder Role element.]
''(10)
identify low-priority program activities based on
an analysis
of their contribution to the
mission and goals of the agency and include an evidence-based
justification for designating a
program activity as low priority.
[In StratML Parts 1 and 2, the priority
ascribed to goals and objectives might be inferred from their StartDates
and EndDates
as
well
as
the
volume
of
Inputs
allocated
to
them.
The
order
in
which
they
appear,
as
documented
by their SequenceIndicators,
might
also
be
taken
as
a
ranking
of
priorities.
However,
in
StratML
Part 3 it might be appropriate to associate an attribute with Goal and
Objective in order to indicate degree of priority on a
multi-point (3, 5 or 7) scale. Doing so would enable automated
aggregation of the governmentwide plan comprised of the priority
objectives designated by each agency. The OtherInformation
element under each Goal and Objective can be used to document the
justification for the priority ascribed to it, but it may be
appropriate to include a more explicit set of elements for priority and
justification.]
''(c)
ALTERNATIVE FORM.--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--
[In StratML Part 2, PerformanceIndicators
can
be
designated
as
being
either
quantitative
or
qualitative,
and
the Description
element can be used to provide the following information.
However, in StratML Part 3 it may be appropriate to specify more
explicit elements for this information. For and example of how
this requirement might be met in StratML Part 3, see this
screen shot.]
''(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.
''(d)
TREATMENT OF PROGRAM ACTIVITIES.--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.
[The concept of Program
is a candidate for inclusion in StratML Part 3. Consideration
should be given as to how best to enable the aggregation and
disaggregation of program activities, as well as the identification of
functions and operations (and how they are distinguished from programs,
projects, and processes).]
''(e) APPENDIX.--An agency may submit with an annual
performance
plan an appendix
covering any portion of the plan that--
[In light of the sensitivity of this
information, it may not be appropriate for consideration in the StratML
standard.]
''(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.
''(f) INHERENTLY GOVERNMENTAL FUNCTIONS.--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.
[This policy is outside the scope of the
StratML standard.]
''(g) CHIEF HUMAN CAPITAL OFFICERS.--With respect to
each agency
with a Chief
Human Capital Officer, the Chief Human Capital Officer shall prepare
that portion of the annual
performance plan described under subsection (b)(5)(A).
''(h) DEFINITIONS.--For
purposes of this section and
sections 1116
through 1125, 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;
[In the StratML standard, the Organization
element can be used to name and describe organizations of all types,
including government agencies.]
''(2)
'crosscutting' means across organizational (such
as agency)
boundaries;
''(3)
'customer service measure' means an assessment of
service
delivery to a customer, client,
citizen, or other recipient, which can include an assessment of
quality, timeliness, and
satisfaction among other factors;
[In StratML Part 2, the PerformanceIndicator
element can be used to document customer service measures.
However, a CategorizationTypes
element has been identified as a candidate for inclusion in StratML
Part 3 in order to enable the identification not only of customer
service type measures but also other types of measures.]
''(4)
'efficiency measure'
means a ratio of a program
activity's
inputs (such as costs or hours
worked by employees) to its outputs (amount of products or services
delivered) or outcomes (the
desired results of a program);
[Efficiency measures can be calculated by
dividing the ActualResult
for each PerformanceIndicator
of the input
type by the ActualResult for its associated PerformanceIndicator of the
output or outcome type. Since efficiency measures are derived
from other elements, it may not be appropriate to include it as a
separate element in the StratML schema itself, although applications
and services supporting the standard should incorporate it as a devived
value.]
''(5)
'major management challenge' means programs or
management
functions, within or across
agencies, that have greater vulnerability to waste, fraud, abuse, and
mismanagement (such as
issues identified by the Government Accountability Office as high risk
or issues identified by an
Inspector General) where a failure to perform well could seriously
affect the ability of an agency
or the Government to achieve its mission or goals;
[Based upon this definition, it may be
appropriate to enable the identification of the source of identified
management challenges.]
''(6)
'milestone' means a scheduled event signifying the
completion
of a major deliverable or a
set of related deliverables or a phase of work;
[The concept of Milestones
is
a
candidate
for
inclusion
StratML
Part
3,
with
a
proposed
definition
that is somewhat different but compatible with this one.]
''(7)
'outcome measure' means an assessment of the
results of a
program activity compared to its
intended purpose;
[This definition is different but
compatible with the definition of Outcome
drafted for the StratML standard. The intended purpose can be
documented in the TargetResult
element for subsequent comparison to the result documented in the ActualResult
element. If the results are quantitative in nature, they can
automatically be compared by using the numbers documented in the NumberOfUnits
element.]
''(8)
'output measure' means the tabulation,
calculation, or
recording of activity or effort that can
be expressed in a quantitative or qualitative manner;
[This definition is different but
compatible with the definition of Output
drafted for the StratML standard. The PerformanceIndicator
element provides for both quantitative measures (MeasurementInstances)
as
well
as
qualitative
Descriptions
of
outputs.]
''(9)
'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;
[In the StratML standard "performance goal"
is a synonym for Objective.
The
targeted
level
of
performance
can
be
documented
in
the
TargetResult
element. Actual achievement can be documented in the ActualResult
element, and if the results are quantitive in nature, they can
automatically be compared by
using the numbers documented in the NumberOfUnits
element.
''(10)
'performance indicator' means a particular value
or
characteristic used to measure output
or outcome;
[PerformanceIndicator
is one of the key elements of StratML Part 2. In addition to Outputs
and
Outcomes,
other
types
of
performance
indicators
include:
Input,
Input_Processing,
and
Output_Processing.]
''(11)
'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
[Program
and Project
have been identified as candidate elements for potential inclusion in
StratML Part 3. The StratML Committee should explore how
programs, activities, and projects are identified in the Federal budget
and make sure the elements of the StratML standard are well-specified
to accommodate such methods of identifying those concepts.]
''(12)
'program evaluation' means an assessment, through
objective
measurement and systematic
analysis, of the manner and extent to which Federal programs achieve
intended objectives.''.
[This concept is not explicitly addressed
in StratML Parts 1 or 2. However, the ActualResult in for
each PerformanceIndicator can be compared to the TargetResult, and such
comparisons should serve as the basis for evaluation of the extent to
which objectives are being achieved.]
SEC.
4.
PERFORMANCE REPORTING AMENDMENTS.
Chapter 11 of title 31, United States Code, is amended
by striking
section 1116 and inserting the
following:
''§ 1116. Agency
performance reporting
''(a)
The head of each agency shall make available on a
public
website of the agency and to the
Office of Management and Budget an update on agency performance.
''(b)(1)
Each
update
shall
compare
actual performance
achieved with
the performance goals
established in the agency performance plan under section 1115(b) and
shall occur no less than
150 days after the end of each fiscal year, with more frequent updates
of actual performance on
indicators that provide data of significant value to the Government,
Congress, or program
partners at a reasonable level of administrative burden.
[In StratML Part 2, actual performance can
be compared to the TargetResult
in the Description
of the ActualResult.
The
EndDate
for description of the actual result can also be documented.]
''(2)
If
performance
goals
are
specified in an
alternative form
under section 1115(c), the results
shall be described in relation to such specifications, including
whether the performance failed to
meet the criteria of a minimally effective or successful program.
[In StratML Part 2 the PerformanceIndicators
associated
with
each
objective
can
be
expressed
may
be
expressed
qualitatively,
in
a narrative Description
(as well as quatitatively, in
terms
of a MeasurementDimension
and NumberOfUnits.]
''(c)
Each update shall--
''(1)
review
the
success
of
achieving the performance
goals and
include actual results for the 5
preceding fiscal years;
[In StratML Part 2, ActualResults
can
be
documented
for
as
many
years
as desired.]
''(2)
evaluate
the
performance
plan
for the current
fiscal year
relative to the performance
achieved toward the performance goals during the period covered by the
update;
[In StratML Part 2, ActualResults can be compared to TargetResults
either
quantitatively,
using
the
MeasurementInstance
element, or qualitatively, based upon the narrative in the Description
element.]
''(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(c)(1)(A)(ii) or a corresponding level of achievement
if another alternative
form is used)--
[In StratML Part 2, the Description element for ActualResult can be used to explain why an objective
was not achieved. However, the CIO Council chose to include
success stories in its plan, and in support of this requirement, it may
be appropriate to include an explicit element for failure stories as
well. Perhaps the element might be named Story with an attribute
indicating whether it documents a success or a failure.]
''(A) why the goal was not met;
''(B) those plans and schedules for achieving the
established
performance goal; and
[It is unclear how these "plans and
schedules" might differ from a set of Objectives
with
StartDates
and
EndDates
designed
to
achieve
the
goal.]
''(C) if the performance goal is impractical or
infeasible, why that
is the case and what action is
recommended;
[The Description
element under ActualResult and/or the OtherInformation
element under PerformanceIndicator
can be used to explain why the objective proved not to be
feasible. However, if a Story element is incorporated into
StratML Part 3, it may be appropriate to structure the element to
include children explicitly addressing practicality/feasibility and
perhaps recommendations. However, consideration should be given
to how "recommendations" might differ from objectives, i.e., whether
they should not be documented as Objectives.]
''(4)
describe
the
use
and
assess the effectiveness in
achieving
performance goals of any waiver
under section 9703 of this title;
''(5)
include
a
review
of
the performance goals and
evaluation of
the performance plan relative
to the agency's strategic human capital management;
[This review appears to be a discussion
(narrative) of ActualResults documented in the agency's human capital
management plan, whose objectives should be aligned with and supportive
of the goals in the agency's GPRA plan.]
''(6)
describe
how
the
agency
ensures the accuracy and
reliability
of the data used to measure
progress towards its performance goals, including an identification
of--
[In StratML Part 2, this information can be
provided in the OtherInformation
element under each PerformanceIndicator.
However,
in
Part
3
consideration
should
be
given
to
including
more explicit
elements for this information.]
''(A) the means used to verify and validate measured
values;
''(B) the sources for the data;
''(C) the level of accuracy required for the intended
use of the
data;
''(D) any limitations to the data at the required level
of accuracy;
and
''(E) how the agency has compensated for such
limitations if needed
to reach the required level
of accuracy; and
''(7) include the summary findings of those program
evaluations
completed during the period
covered by the update.
''(d) If an agency performance update includes any
program activity
or information that is
specifically authorized under criteria established by an Executive
Order to be kept secret in the
interest of national defense or foreign policy and is properly
classified pursuant to such Executive
Order, the head of the agency shall make such information available in
the classified appendix
provided under section 1115(e).
''(e) The functions and activities of this section shall
be
considered to be inherently
governmental functions. The drafting of agency performance updates
under this section shall be
performed only by Federal employees.
''(f) Each fiscal year, the Office of Management and
Budget shall
determine whether the agency
programs or activities meet performance goals and objectives outlined
in the agency performance
plans and submit a report on unmet goals to--
''(1) the head of the agency;
''(2) the Committee on Homeland Security and
Governmental Affairs of
the Senate;
''(3) the Committee on Oversight and Governmental Reform
of the
House of Representatives;
and ''(4) the Government Accountability Office.
''(g)
If an agency's programs or activities have not met
performance
goals as determined by the
Office of Management and Budget for 1 fiscal year, the head of the
agency shall submit a
performance improvement plan to the Office of Management and Budget to
increase program
effectiveness for each unmet goal with measurable milestones. The
agency shall designate a
senior official who shall oversee the performance improvement
strategies for each unmet goal.
[A performance improvement plan appears to
be no different than any other performance plan, except that it is
motivated by an ActualResult
deemed to be less than satisfactory. If that is not the case, the
distinction will need to be clarified so that the additionally required
elements can be specified.]
''(h)(1)
If
the
Office
of
Management and Budget
determines that
agency programs or activities
have unmet performance goals for 2 consecutive fiscal years, the head
of the agency shall--
''(A) submit to Congress a description of the actions
the
Administration will take to improve
performance, including proposed statutory changes or planned executive
actions; and
[If this description entails elements not
already included in StratML Part 2, Performance Plans and Reports, the
need for as well as the names and descriptions of those elements will
need to be determined.]
''(B) describe any additional funding the agency will
obligate to
achieve the goal, if such an
action is determined appropriate in consultation with the Director of
the Office of Management and Budget, for an amount determined
appropriate by the
Director.
[In StratML Part 2, funding requirements
can be identified as PerformanceIndicators
of the input type and both TargetResults
and
ActualResults
can
be
documented
for
as
many
StartDates
and
EndDates
as
desired.]
''(2) In providing additional funding described under
paragraph
(1)(B), the head of the agency
shall use any reprogramming or transfer authority available to the
agency. If after exercising such authority additional funding is
necessary to achieve the
level
determined appropriate by the
Director of the Office of Management and Budget, the head of the agency
shall submit a request
to Congress for additional reprogramming or transfer authority.
''(i)
If an agency's programs or activities have not met
performance
goals as determined by the
Office of Management and Budget for 3 consecutive fiscal years, the
Director of the Office of
Management and Budget shall submit recommendations to Congress on
actions to improve
performance not later than 60 days after that determination,
including--
[It appears that such recommendations can
and should be documented as a performance plan in accordance with
StratML Part 2. However, if the elements required to document
such recommendations differ from a normal performance plan, the
additionally required elements will need to be named and defined.]
''(1) reauthorization proposals for each program or
activity that
has not met performance goals;
''(2)
proposed
statutory changes necessary for the
program
activities to achieve the proposed
level of performance on each performance goal; and
[The concept of Authority
has been identified as a candidate for inclusion in StratML Part
3. Such an element could be used to name, describe, and link to
statutory provisions proposed to be changed.]
''(3) planned executive actions or identification of the
program for
termination or reduction in
the President's budget.''.
SEC.
5. FEDERAL GOVERNMENT AND AGENCY PRIORITY GOALS.
Chapter 11 of title 31, United States Code, is amended
by adding
after section 1119 the
following:
''§ 1120. Federal Government and agency priority
goals
''(a)
FEDERAL GOVERNMENT PRIORITY GOALS.--
''(1)
The
Director
of
the
Office of Management and
Budget shall
coordinate with agencies to
develop priority goals to improve the performance and management of the
Federal Government.
Such Federal Government priority goals shall include--
[In StratM Part 3, if an attribute is
associated with Objectives
allowing
the
designation
of
those
that
are
deemed to be of high
priority, the governmentwide plan could be automatically aggregated
from the individual agency plans on their own websites. For an
example of how this requirement might be met in StratML Part 3, see this screen shot.]
''(A)
outcome-oriented
goals covering a limited number
of
crosscutting policy areas; and
[In StratML Part 2, the PeformanceIndicators
associated
with
each
Objective
can be designated as being of the outcome type and the Relationship
element can be used to associate them with broader, cross-cutting
goals.]
''(B)
goals
for management improvements needed across
the Federal
Government, including--
''(i) financial management;
[The plan of the Financial Management Line
of Business (FM
LOB) is available in StratML format.]
''(ii) human capital management;
[The plan of the Human Resources Management
Line of Business (HR LOB) is
available in StratML format.]
''(iii) information technology management;
[The Federal CIO's 25-point plan
for IT management reform and his cloud strategy
are available in StratML format.]
''(iv) procurement and acquisition management; and
''(v) real property management;
''(2)
The
Federal
Government
priority
goals shall be
long-term in
nature. At a minimum, the
Federal Government priority goals shall be updated or revised every 4
years and made publicly
available concurrently with the submission of the budget of the United
States Government made
in the first full fiscal year following any year in which the term of
the President commences
under section 101 of title 3. As needed, the Director of the Office of
Management and Budget
may make adjustments to the Federal Government priority goals to
reflect significant changes in
the environment in which the Federal Government is operating, with
appropriate notification of
Congress.
''(3)
When
developing
or
making
adjustments to Federal
Government
priority goals, the Director
of the Office of Management and Budget shall consult periodically with
the Congress, including
obtaining majority and minority views from--
[In StratML Part 1, these committees can be
documented as Stakeholders, and in Part 2 their roles can be named and
described. However, in Part 3 consideration
should be given to enabling point of contact information to be
associated with each stakeholder.]
''(A) the Committees on Appropriations of the Senate and
the House
of Representatives;
''(B) the Committees on the Budget of the Senate and the
House of
Representatives;
''(C) the Committee on Homeland Security and
Governmental Affairs of
the Senate;
''(D) the Committee on Oversight and Government Reform
of the House
of Representatives;
''(E) the Committee on Finance of the Senate;
''(F) the Committee on Ways and Means of the House of
Representatives; and
''(G) any other committees as determined appropriate;
''(4) The Director of the Office of Management and
Budget shall
consult with the appropriate
committees of Congress at least once every 2 years.
''(5) The Director of the Office of Management and
Budget shall make
information about the
Federal Government priority goals available on the website described
under section 1122 of this
title.
''(6) The Federal Government performance plan required
under section
1115(a) of this title shall
be consistent with the Federal Government priority goals.
''(b)
AGENCY PRIORITY GOALS.--
''(1)
Every
2
years,
the
head of each agency listed in
section
901(b) of this title, or as otherwise
determined by the Director of the Office of Management and Budget,
shall identify agency
priority goals from among the performance goals of the agency. The
Director of the Office of
Management and Budget shall determine the total number of agency
priority goals across the
Government, and the number to be developed by each agency. The agency
priority goals shall--
[In StratM Part 3, if an attribute is
associated with Objectives
allowing
the
designation
of
those
that
are
deemed
to be of high
priority, the governmentwide plan could be automatically aggregated
from the individual agency plans on their own websites.]
''(A)
reflect
the
highest
priorities
of the agency, as
determined by
the head of the agency and
informed by the Federal Government priority goals provided under
subsection (a) and the
consultations with Congress and other interested parties required by
section 306(d) of title 5;
[In StratML Parts 1 & 2, Stakeholders
can
be
named
and
described.
In
Part
3, it may be appropriate to
enable inclusion of point of contact information.]
''(B) have ambitious targets that can be achieved within
a 2-year
period;
''(C)
have
a
clearly
identified
agency official, known
as a goal
leader, who is responsible for the
achievement of each agency priority goal;
[In StratML Part 2, goal leaders can be
designated using the Stakeholder Role
element. They can be named and their roles can also be named and
described.]
''(D)
have
interim
quarterly
targets
for performance
indicators if
more frequent updates of actual
performance provides data of significant value to the Government,
Congress, or program partners
at a reasonable level of administrative burden; and
[In StratML Part 2, as many TargetResults
as
desired
can
be
identified
and
StartDates
and
EndDates
can
be
associated
with
each
of
them.]
''(E)
have
clearly
defined
quarterly
milestones.
[In StratML Part 2, quarterly milestones
can be identified as TargetResults
with
EndDates
specified
every
three
months.
However,
the
concept
of Milestones
has
been
identified
as
a
concept
for
potentially more explicit
treatment in StratML Part 3.]
''(2) If an agency priority goal includes any program
activity or
information that is specifically
authorized under criteria established by an Executive order to be kept
secret in the interest of
national defense or foreign policy and is properly classified pursuant
to such Executive order, the
head of the agency shall make such information available in the
classified appendix provided
under section 1115(e).
''(c) The functions and activities of this section shall
be
considered to be inherently governmental
functions. The development of Federal Government and agency priority
goals shall be performed
only by Federal employees.''.
SEC.
6. QUARTERLY PRIORITY PROGRESS REVIEWS AND USE OF PERFORMANCE
INFORMATION.
Chapter 11 of title 31, United States Code, is amended
by adding
after section 1120 (as added by
section 5 of this Act) the following:
''§ 1121.
Quarterly
priority
progress reviews and
use of
performance information
''(a)
USE OF PERFORMANCE INFORMATION TO ACHIEVE FEDERAL
GOVERNMENT
PRIORITY GOALS.--Not less than quarterly, the Director of the Office of
Management and
Budget, with the support of the Performance Improvement Council,
shall--
''(1)
for
each
Federal Government priority goal required
by section
1120(a) of this title, review
with the appropriate lead Government official the progress achieved
during the most recent
quarter, overall trend data, and the likelihood of meeting the planned
level of performance;
''(2)
include
in
such reviews officials from the
agencies,
organizations, and program activities
that contribute to the accomplishment of each Federal Government
priority goal;
''(3)
assess
whether
agencies, organizations, program
activities,
regulations, tax expenditures,
policies, and other activities are contributing as planned to each
Federal Government priority
goal;
''(4)
categorize
the
Federal Government priority goals
by risk of
not achieving the planned level
of performance; and
[CategorizationTypes
is a candidate for inclusion in StratML Part 3. Failure risk
level is among the kinds of categorizations that might be documented in
that element. For an example of how this requirement might be met
in StratML Part 3, see this
screen shot.]
''(5)
for
the
Federal Government priority goals at
greatest risk of
not meeting the planned level
of performance, identify prospects and strategies for performance
improvement, including any
needed changes to agencies, organizations, program activities,
regulations, tax expenditures,
policies or other activities.
["Strategies for performance improvement"
appear to constitute a performance plan and "needed changes" seem to be
objectives to be accomplished in order to achieve the desired
improvement goals. However, in StratML Part 3, some thought
should be given to whether any additional elements may be required to
address this provision of the Act.]
''(b)
AGENCY USE OF PERFORMANCE INFORMATION TO ACHIEVE
AGENCY
PRIORITY GOALS.--Not less than quarterly, at each agency required to
develop agency priority
goals required by section 1120(b) of this title, the head of the agency
and Chief Operating
Officer, with the support of the agency Performance Improvement
Officer, shall--
''(1)
for
each
agency priority goal, review with the
appropriate
goal leader the progress achieved
during the most recent quarter, overall trend data, and the likelihood
of meeting the planned level
of performance;
''(2)
coordinate
with
relevant personnel within and
outside the
agency who contribute to the
accomplishment of each agency priority goal;
''(3)
assess
whether
relevant organizations, program
activities,
regulations, policies, and other
activities are contributing as planned to the agency priority goals;
''(4)
categorize
agency
priority goals by risk of not
achieving the
planned level of performance;
and
[CategorizationTypes
is a candidate for inclusion in StratML Part 2. Failure risk
level is
among the kinds of categorizations that might be documented in that
element.]
''(5)
for
agency
priority goals at greatest risk of not
meeting the
planned level of performance,
identify prospects and strategies for performance improvement,
including any needed changes to
agency program activities, regulations, policies, or other
activities.''.
["Strategies
for performance improvement" appear to constitute a performance plan
and "needed changes" seem to be objectives to be accomplished in order
to achieve the desired improvement goals. However, in StratML
Part 3,
some thought should be given to whether any additional elements may be
required to address this provision of the Act.]
SEC.
7.
TRANSPARENCY
OF FEDERAL GOVERNMENT PROGRAMS, PRIORITY
GOALS, AND RESULTS.
Chapter 11 of title 31, United States Code, is amended
by adding
after section 1121 (as added by
section 6 of this Act) the following:
''§ 1122. Transparency of programs, priority goals,
and results
''(a) TRANSPARENCY OF AGENCY PROGRAMS.--
''(1) IN GENERAL.--Not later than October 1, 2012, the
Office of Management and Budget shall--
''(A)
ensure
the effective operation of a single
website;
[Rendering plans and reports in open,
standard, machine-readable format, like StratML, will enable aggregated
reporting not only on the website to be established by OMB but also
myriad other sites serving various communities of interest.]
''(B)
at
a minimum, update the website on a quarterly
basis; and
[Rendering plans and reports in open,
standard, machine-readable format, like StratML (ANSI/AIIM 21:2009),
will enable updated reporting not only on a quarterly basis but in
near-real time, on an ongoing basis, as agencies update their
individual reports.]
''(C) include on the website information about each
program
identified by the agencies.
''(2) INFORMATION.--Information for each program
described under
paragraph (1) shall
include--
''(A)
an
identification of how the agency defines the
term
'program', consistent with guidance
provided by the Director of the Office of Management and Budget,
including the program
activities that are aggregated, disaggregated, or consolidated to be
considered a program by the
agency;
[The concept of Program
has been identified as a candidate for inclusion in StratML Part 3.]
''(B)
a
description of the purposes of the program and
the
contribution of the program to the
mission and goals of the agency; and
[The concept of the purposes appears to be
the same as Objectives, which can be named and described in StratML
Parts 1 and 2. In addition, OtherInformation can be provided
about each objective. However, in Part 3 consideration should be
given to whether additional, more explicit elements may be needed to
address the concept of program "contributions".]
''(C)
an
identification of funding for the current
fiscal year and
previous 2 fiscal years.
[In StratML Part 2, funding can be
documented as a PerformanceIndicator
of the input type for as many years as desired.]
''(b) TRANSPARENCY OF AGENCY PRIORITY GOALS AND
RESULTS.--The head
of
each agency required to develop agency priority goals shall make
information about each agency
priority goal available to the Office of Management and Budget for
publication on the website,
with the exception of any information covered by section 1120(b)(2) of
this title. In addition to
an identification of each agency priority goal, the website shall also
consolidate information
about each agency priority goal, including--
''(1)
a
description of how the agency incorporated any
views and
suggestions obtained through
congressional consultations about the agency priority goal;
[In StratML Parts 1 and 2, each Stakeholder
can be named and described, and in Part 2, the Role of each stakeholder
can also be named and described. In Part 3 it may be appropriate
to include a more explicit element addressing how stakeholder input has
been incorporated. However, another alternative would be to leave
it to applications and services, e.g., the website referenced in this
provision, to address such information, apart from the plans and
reports themselves.]
''(2)
an
identification of key factors external to the
agency and
beyond its control that could
significantly affect the achievement of the agency priority goal;
[The concept of key or Critical Success
Factors
(CSFs) has not yet been addressed in StratML Parts 1 or 2 but should be
considered in Part 3.
It
may
be
appropriate
to
name
the
element
SuccessFactor
and
provide
attributes
for
internal
versus external and key (or critical) versus
ancillary (or influencing).]
''(3)
a
description of how each agency priority goal
will be
achieved, including--
''(A)
the
strategies and resources required to meet the
priority
goal;
[In StratML Part 2, the resources (and
processes) required to achieve objectives can be documented in the
PerformanceIndicator element. The distinction between
"strategies" and objectives is unclear. Thus far, the assumption
in the StratML standard has been that the plan itself is the
strategy. It appears that in this context the meaning of
"strategies" might be methods to be used to achive the objective.
If so, methods are analogous to processes, and processes can also be
documented under the PerformanceIndicator element.]
''(B)
clearly
defined milestones;
[In StratML Part 2, milestones can be
documented as TargetResults
to
be
achieved
by
EndDates
within
a
single
resoure
allocation
and
performance
assessment
period. However, the concept of Milestones
has
been
identified
as
a
candidate
for
more explicit consideration in
StratML Part 3.]
''(C) the organizations, program activities,
regulations, policies,
and other activities that
contribute to each goal, both within and external to the agency;
''(D) how the agency is working with other agencies to
achieve the
goal; and
''(E) an identification of the agency official
responsible for
achieving the priority goal;
''(4) the performance indicators to be used in measuring
or
assessing progress;
''(5) a description of how the agency ensures the
accuracy and
reliability of the data used to
measure progress towards the priority goal, including an identification
of--
''(A) the means used to verify and validate measured
values;
''(B) the sources for the data;
''(C) the level of accuracy required for the intended
use of the
data;
''(D) any limitations to the data at the required level
of accuracy;
and
''(E) how the agency has compensated for such
limitations if needed
to reach the required level
of accuracy;
''(6) the results achieved during the most recent
quarter and
overall trend data compared to the
planned level of performance;
''(7) an assessment of whether relevant organizations,
program
activities, regulations, policies,
and other activities are contributing as planned;
''(8) an identification of the agency priority goals at
risk of not
achieving the planned level of
performance; and
''(9) any prospects or strategies for performance
improvement.
''(c) TRANSPARENCY OF FEDERAL GOVERNMENT PRIORITY GOALS
AND
RESULTS.--The Director of the Office of Management and Budget shall
also make available on
the website--
''(1) a brief description of each of the Federal
Government priority
goals required by section
1120(a) of this title;
''(2) a description of how the Federal Government
priority goals
incorporate views and
suggestions obtained through congressional consultations;
''(3) the Federal Government performance goals and
performance
indicators associated with each
Federal Government priority goal as required by section 1115(a) of this
title;
''(4) an identification of the lead Government official
for each
Federal Government performance
goal;
''(5) the results achieved during the most recent
quarter and
overall trend data compared to the
planned level of performance;
''(6) an identification of the agencies, organizations,
program
activities, regulations, tax
expenditures, policies, and other activities that contribute to each
Federal Government priority
goal;
''(7) an assessment of whether relevant agencies,
organizations,
program activities, regulations,
tax expenditures, policies, and other activities are contributing as
planned;
''(8) an identification of the Federal Government
priority goals at
risk of not achieving the
planned level of performance; and
''(9) any prospects or strategies for performance
improvement.
''(d) INFORMATION ON WEBSITE.--The information made
available on the
website under
this section shall be readily accessible and easily found on the
Internet by the public and
members and committees of Congress. Such information shall also be
presented in a searchable,
machine-readable format. The Director of the Office of Management and
Budget shall issue
guidance to ensure that such information is provided in a way that
presents a coherent picture of
all Federal programs, and the performance of the Federal Government as
well as individual
agencies.''.
SEC.
8. AGENCY
CHIEF OPERATING OFFICERS.
Chapter 11 of title 31, United States Code, is amended
by adding
after section 1122 (as added by
section 7 of this Act) the following:
''§ 1123. Chief Operating Officers
''(a) ESTABLISHMENT.--At each agency, the deputy head of
agency, or
equivalent, shall be
the Chief Operating Officer of the agency.
''(b)
FUNCTION.--Each Chief Operating Officer shall be
responsible
for improving the
management and performance of the agency, and shall--
[In StratML Part 2 the names and roles of
each Stakeholder can be named and described. Consistent with section 10, the performance plan and report of each
COO should be published in machine-readable format and should contain
these objectives.]
''(1) provide overall organization management to improve
agency
performance and achieve the
mission and goals of the agency through the use of strategic and
performance planning,
measurement, analysis, regular assessment of progress, and use of
performance information to
improve the results achieved;
''(2) advise and assist the head of agency in carrying
out the
requirements of sections 1115
through 1122 of this title and section 306 of title 5;
''(3) oversee agency-specific efforts to improve
management
functions within the agency and
across Government; and
''(4) coordinate and collaborate with relevant personnel
within and
external to the agency who
have a significant role in contributing to and achieving the mission
and goals of the agency, such
as the Chief Financial Officer, Chief Human Capital Officer, Chief
Acquisition Officer/Senior
Procurement Executive, Chief Information Officer, and other line of
business chiefs at the
agency.''.
SEC.
9. AGENCY PERFORMANCE IMPROVEMENT OFFICERS AND THE
PERFORMANCE IMPROVEMENT COUNCIL.
Chapter 11 of title 31, United States Code, is amended
by adding
after section 1123 (as added by
section 8 of this Act) the following:
''§ 1124. Performance Improvement Officers and the
Performance
Improvement Council
''(a) PERFORMANCE IMPROVEMENT OFFICERS.--
''(1) ESTABLISHMENT.--At each agency, the head of the
agency, in
consultation with the
agency Chief Operating Officer, shall designate a senior executive of
the agency as the agency
Performance Improvement Officer.
''(2) FUNCTION.--Each Performance Improvement Officer
shall report
directly to the Chief
Operating Officer. Subject to the direction of the Chief Operating
Officer, each Performance
Improvement Officer shall--
''(A) advise and assist the head of the agency and the
Chief
Operating Officer to ensure that the
mission and goals of the agency are achieved through strategic and
performance planning,
measurement, analysis, regular assessment of progress, and use of
performance information to
improve the results achieved;
''(B) advise the head of the agency and the Chief
Operating Officer
on the selection of agency
goals, including opportunities to collaborate with other agencies on
common goals;
''(C) assist the head of the agency and the Chief
Operating Officer
in overseeing the
implementation of the agency strategic planning, performance planning,
and reporting
requirements provided under sections 1115 through 1122 of this title
and sections 306 of title 5, including the contributions of the agency
to the Federal
Government
priority goals;
''(D) support the head of agency and the Chief Operating
Officer in
the conduct of regular
reviews of agency performance, including at least quarterly reviews of
progress achieved toward
agency priority goals, if applicable;
''(E) assist the head of the agency and the Chief
Operating Officer
in the development and use
within the agency of performance measures in personnel performance
appraisals, and, as
appropriate, other agency personnel and planning processes and
assessments; and
''(F) ensure that agency progress toward the achievement
of all
goals is communicated to leaders,
managers, and employees in the agency and Congress, and made available
on a public website of
the agency.
''(b) PERFORMANCE IMPROVEMENT COUNCIL.--
''(1) ESTABLISHMENT.--There is established a Performance
Improvement
Council,
consisting of--
''(A) the Deputy Director for Management of the Office
of Management
and Budget, who shall
act as chairperson of the Council;
''(B) the Performance Improvement Officer from each
agency defined
in section 901(b) of this
title;
''(C) other Performance Improvement Officers as
determined
appropriate by the chairperson; and
''(D) other individuals as determined appropriate by the
chairperson.
''(2) FUNCTION.--The Performance Improvement Council
shall--
''(A) be convened by the chairperson or the designee of
the
chairperson, who shall preside at the
meetings of the Performance Improvement Council, determine its agenda,
direct its work, and
establish and direct subgroups of the Performance Improvement Council,
as appropriate, to deal
with particular subject matters;
''(B) assist the Director of the Office of Management
and Budget to
improve the performance of
the Federal Government and achieve the Federal Government priority
goals;
''(C) assist the Director of the Office of Management
and Budget in
implementing the planning,
reporting, and use of performance information requirements related to
the Federal Government
priority goals provided under sections 1115, 1120, 1121, and 1122 of
this title;
''(D) work to resolve specific Governmentwide or
crosscutting
performance issues, as necessary;
''(E) facilitate the exchange among agencies of
practices that have
led to performance
improvements within specific programs, agencies, or across agencies;
''(F) coordinate with other interagency management
councils;
''(G) seek advice and information as appropriate from
nonmember
agencies, particularly smaller
agencies;
''(H) consider the performance improvement experiences
of
corporations, nonprofit
organizations, foreign, State, and local governments, Government
employees, public sector
unions, and customers of Government services;
''(I) receive such assistance, information and advice
from agencies
as the Council may request,
which agencies shall provide to the extent permitted by law; and
''(J) develop and submit to the Director of the Office
of Management
and Budget, or when
appropriate to the President through the Director of the Office of
Management and Budget, at
times and in such formats as the chair person may specify,
recommendations to streamline and
improve performance management policies and requirements.
''(3) SUPPORT.--
''(A) IN GENERAL.--The Administrator of General Services
shall
provide administrative and
other support for the Council to implement this section.
''(B) PERSONNEL.--The heads of agencies with Performance
Improvement
Officers serving on
the Council shall, as appropriate and to the extent permitted by law,
provide at the request of the
chairperson of the Performance Improvement Council up to 2 personnel
authorizations to serve at
the direction of the chairperson.''.
SEC.
10. FORMAT OF PERFORMANCE PLANS AND REPORTS.
(a)
SEARCHABLE, MACHINE-READABLE PLANS AND REPORTS.-- For fiscal year
2012
and each fiscal year thereafter, each agency required to produce
strategic plans, performance
plans, and performance updates in accordance with the amendments made
by this Act shall--
(1) not incur expenses for the printing of strategic
plans,
performance plans, and performance
reports for release external to the agency, except when providing such
documents to the
Congress;
[Rendering plans and reports on the Web in
open, standard format (like StratML) will make it easy for those who
care to do so to print them (or selected portions) on demand, anytime
and anywhere.]
(2) produce such plans and reports in searchable, machine-readable
formats; and
[The Strategy Markup Language (StratML)
standard (ANSI/AIIM 21:2009) is a machine-readable format. It can
also easily be transformed into other formats, e.g., PDF.
However, the reverse is not true.]
(3) make such plans and reports available on the website
described
under section 1122 of title 31,
United States Code.
[Rendering plans and reports on the Web in
open, standard, machine-readable format (like StratML) will make it
easy not only to incorporate the data and information they contain into
the website required by this Act but also myriad other sites for the
benefit of various communities of interest. For example, such
data and information should also be made available through the Data.gov
site.]
(b)
WEB-BASED PERFORMANCE PLANNING AND REPORTING.--
(1) IN GENERAL.--Not later than June 1, 2012, the
Director of the
Office of Management and
Budget shall issue guidance to agencies to provide concise and timely
performance information
for publication on the website described under section 1122 of title
31, United States Code,
including, at a minimum, all requirements of sections 1115 and 1116 of
title 31, United States
Code, except for section 1115(e).
(2) HIGH-PRIORITY GOALS.--For agencies required to
develop agency
priority goals under
section 1120(b) of title 31, United States Code, the performance
information required under this
section shall be merged with the existing information required under
section 1122 of title 31,
United States Code.
(3) CONSIDERATIONS.--In developing guidance under this
subsection,
the Director of the
Office of Management and Budget shall take into consideration the
experiences of agencies in
making consolidated performance planning and reporting information
available on the website as
required under section 1122 of title 31, United States Code.
SEC.
11. REDUCING
DUPLICATIVE AND OUTDATED AGENCY REPORTING.
(a) BUDGET CONTENTS.--Section 1105(a) of title 31,
United States
Code, is amended--
(1) by redesignating second paragraph (33) as paragraph
(35); and
(2) by adding at the end the following: ''(37) the list
of plans and
reports, as provided for under
section 1125, that agencies identified for elimination or consolidation
because the plans and
reports are determined outdated or duplicative of other required plans
and reports.''.
(b) ELIMINATION OF UNNECESSARY AGENCY REPORTING.--
Chapter 11 of title 31, United States Code, is further
amended by
adding after section 1124 (as
added by section 9 of this Act) the following:
''§
1125. Elimination of unnecessary agency
reporting
''(a) AGENCY IDENTIFICATION OF UNNECESSARY REPORTS.--
Annually, based on guidance provided by the Director of
the Office
of Management and Budget,
the Chief Operating Officer at each agency shall--
''(1)
compile
a list that identifies all plans and
reports the
agency produces for Congress, in
accordance with statutory requirements or as directed in congressional
reports;
[It would be good if this list were
compiled as a strategic plan, in machine-readable
format, identifying the objectives and stakeholders of each plan or
report. The concept of Authority
(e.g., statutory requirements and Congressional reports) has been
idenfitied as a candidate for inclusion in SratML Part 3. In
combination with such an element, rendering the list of plans and
reports in machine-readable StratML format would facilitate anaylsis,
consultation with Congress, and automated generation of the count
required by this subsection.]
''(2) analyze the list compiled under paragraph (1),
identify which
plans and reports are outdated
or duplicative of other required plans and reports, and refine the list
to include only the plans and
reports identified to be outdated or duplicative;
''(3) consult with the congressional committees that
receive the
plans and reports identified
under paragraph (2) to determine whether those plans and reports are no
longer useful to the
committees and could be eliminated or consolidated with other plans and
reports; and
''(4) provide a total count of plans and reports
compiled under
paragraph (1) and the list of
outdated and duplicative reports identified under paragraph (2) to the
Director of the Office of
Management and Budget.
''(b) PLANS AND REPORTS.--
''(1)
FIRST
YEAR.--During the first year of
implementation of this
section, the list of plans and
reports identified by each agency as outdated or duplicative shall be
not less than 10 percent of
all plans and reports identified under subsection (a)(1).
[This requirement should be documented as a
TargetResult
in a performance plan addressing the requirments of this section.]
''(2)
SUBSEQUENT
YEARS.--In each year following the
first year
described under paragraph
(1), the Director of the Office of Management and Budget shall
determine the minimum percent
of plans and reports to be identified as outdated or duplicative on
each list of plans and reports.
[This requirement should be documented as a
TargetResult
in a performance plan addressing the requirments of this section for each
subsequent year.]
''(c) REQUEST FOR ELIMINATION OF UNNECESSARY REPORTS.--
In addition to including the list of plans and reports
determined to
be outdated or duplicative by
each agency in the budget of the United States Government, as provided
by section 1105(a)(37),
the Director of the Office of Management and Budget may concurrently
submit to Congress
legislation to eliminate or consolidate such plans and reports.''.
SEC.
12. PERFORMANCE MANAGEMENT SKILLS AND COMPETENCIES.
(a) PERFORMANCE MANAGEMENT SKILLS AND COMPETENCIES.--
Not later than 1 year after the date of enactment of
this Act, the
Director of the Office of
Personnel Management, in consultation with the Performance Improvement
Council, shall
identify the key skills and competencies needed by Federal Government
personnel for developing
goals, evaluating programs, and analyzing and using performance
information for the purpose of
improving Government efficiency and effectiveness.
(b) POSITION CLASSIFICATIONS.--Not later than 2 years
after the date
of enactment of this
Act, based on the identifications under subsection (a), the Director of
the Office of Personnel
Management shall incorporate, as appropriate, such key skills and
competencies into relevant
position classifications.
(c)
INCORPORATION INTO EXISTING AGENCY TRAINING.--Not
later than 2
years after
the enactment of this Act, the Director of the Office of Personnel
Management shall work with
each agency, as defined under section 306(f) of title 5, United States
Code, to incorporate the key
skills identified under subsection (a) into training for relevant
employees at each agency.
[The requirements of this
section should be addressed in a strategic and annual performance
plans for human resources.]
SEC.
13.
TECHNICAL AND CONFORMING AMENDMENTS.
(a) The table of contents for chapter 3 of title 5,
United States
Code, is amended by striking the
item relating to section 306 and inserting the following:
''306. Agency strategic plans.''.
(b) The table of contents for chapter 11 of title 31,
United States
Code, is amended by striking
the items relating to section 1115 and 1116 and inserting the
following:
''1115. Federal Government and agency performance plans.
''1116. Agency performance reporting.''.
(c) The table of contents for chapter 11 of title 31,
United States
Code, is amended by adding at
the end the following:
''1120. Federal Government and agency priority goals.
''1121. Quarterly priority progress reviews and use of
performance
information.
''1122. Transparency of programs, priority goals, and
results.
''1123. Chief Operating Officers.
''1124. Performance Improvement Officers and the
Performance
Improvement Council.
''1125. Elimination of unnecessary agency reporting.''.
SEC. 14.
IMPLEMENTATION OF THIS ACT.
(a) INTERIM PLANNING AND REPORTING.--
(1) IN GENERAL.--The Director of the Office of
Management and Budget
shall coordinate
with agencies to develop interim Federal Government priority goals and
submit interim Federal
Government performance plans consistent with the requirements of this
Act beginning with the
submission of the fiscal year 2013 Budget of the United States
Government.
(2) REQUIREMENTS.--Each agency shall--
(A) not later than February 6, 2012, make adjustments to
its
strategic plan to make the plan
consistent with the requirements of this Act;
(B) prepare and submit performance plans consistent with
the
requirements of this Act, including
the identification of agency priority goals, beginning with the
performance plan for fiscal year
2013; and
(C) make performance reporting updates consistent with
the
requirements of this Act beginning
in fiscal year 2012.
(3) QUARTERLY REVIEWS.--The quarterly priority progress
reviews
required under this Act
shall begin--
(A) with the first full quarter beginning on or after
the date of
enactment of this Act for agencies
based on the agency priority goals contained in the Analytical
Perspectives volume of the Fiscal
Year 2011 Budget of the United States Government; and
(B) with the quarter ending June 30, 2012 for the
interim Federal
Government priority goals.
(b) GUIDANCE.--The Director of the Office of Management
and Budget
shall prepare guidance
for agencies in carrying out the interim planning and reporting
activities required under
subsection (a), in addition to other guidance as required for
implementation of this Act.
SEC. 15.
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 goal of the Federal Government or
an agency.
(b) GAO REVIEWS.--
(1) INTERIM PLANNING AND REPORTING EVALUATION.--Not
later than June
30, 2013,
the Comptroller General shall submit a report to Congress that
includes--
(A) an evaluation of the implementation of the interim
planning and
reporting activities
conducted under section 14 of this Act; and
(B) any recommendations for improving implementation of
this Act as
determined appropriate.
(2) IMPLEMENTATION EVALUATIONS.--
(A) IN GENERAL.--The Comptroller General shall evaluate
the
implementation of this Act
subsequent to the interim planning and reporting activities evaluated
in the report submitted to
Congress under paragraph (1).
(B) AGENCY IMPLEMENTATION.--
(i) EVALUATIONS.--The Comptroller General shall evaluate
how
implementation of this Act
is affecting performance management at the agencies described in
section 901(b) of title 31,
United States Code, including whether performance management is being
used by those agencies
to improve the efficiency and effectiveness of agency programs.
(ii) REPORTS.--The Comptroller General shall submit to
Congress--
(I) an initial report on the evaluation under clause
(i), not later
than September 30, 2015; and
(II) a subsequent report on the evaluation under clause
(i), not
later than September 30, 2017.
(C) FEDERAL GOVERNMENT PLANNING AND REPORTING
IMPLEMENTATION.--
(i) EVALUATIONS.--The Comptroller General shall evaluate
the
implementation of the
Federal Government priority goals, Federal Government performance plans
and related reporting
required by this Act.
(ii) REPORTS.--The Comptroller General shall submit to
Congress--
(I) an initial report on the evaluation under clause
(i), not later
than September 30, 2015; and
(II) subsequent reports on the evaluation under clause
(i), not
later than September 30, 2017 and
every 4 years thereafter.
(D) RECOMMENDATIONS.--The Comptroller General shall
include in the
reports required by
subparagraphs (B) and (C) any recommendations for improving
implementation of this Act and
for streamlining the planning and reporting requirements of the
Government Performance and
Results Act of 1993.
See also the links
cross-referenced
in the tabulation at http://xml.fido.gov/stratml/references/HR2142StratML.htm
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