[House Report 111-504]
[From the U.S. Government Publishing Office]
111th Congress Report
HOUSE OF REPRESENTATIVES
2d Session 111-504
======================================================================
GOVERNMENT EFFICIENCY, EFFECTIVENESS, AND PERFORMANCE IMPROVEMENT ACT
OF 2010
_______
June 14, 2010.--Committed to the Committee of the Whole House on the
State of the Union and ordered to be printed
_______
Mr. Towns, from the Committee on Oversight and Government Reform,
submitted the following
R E P O R T
together with
MINORITY VIEWS
[To accompany H.R. 2142]
[Including cost estimate of the Congressional Budget Office]
The Committee on Oversight and Government Reform, to whom was
referred the bill (H.R. 2142) to require the review of
Government programs at least once every 5 years for purposes of
assessing their performance and improving their operations, and
to establish the Performance Improvement Council, having
considered the same, report favorably thereon with amendments
and recommend that the bill as amended do pass.
CONTENTS
Page
Amendments....................................................... 2
Purpose and Summary.............................................. 10
Background and Need for Legislation.............................. 10
Legislative History.............................................. 11
Section-by-Section............................................... 11
Explanation of Amendments........................................ 16
Committee Consideration.......................................... 18
Roll Call Votes.................................................. 18
Application of Law to the Legislative Branch..................... 20
Statement of Oversight Findings and Recommendations of the
Committee...................................................... 20
Statement of General Performance Goals and Objectives............ 20
Constitutional Authority Statement............................... 20
Federal Advisory Committee Act................................... 20
Unfunded Mandate Statement....................................... 20
Earmark Identification........................................... 20
Committee Estimate............................................... 21
Budget Authority and Congressional Budget Office Cost Estimate... 21
Changes in Existing Law Made by the Bill, as Reported............ 22
Minority Views................................................... 32
Amendments
The amendments are as follows:
Strike all after the enacting clause and insert the
following:
SECTION 1. SHORT TITLE; TABLE OF CONTENTS.
(a) Short Title.--This Act may be cited as the ``Government
Efficiency, Effectiveness, and Performance Improvement 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. Findings and purposes.
Sec. 3. Agency defined.
Sec. 4. Sense of Congress regarding the need for increased consultation
between Congress and Federal agencies on performance management issues.
Sec. 5. Performance assessments.
Sec. 6. Strategic planning amendments.
Sec. 7. Improving Government performance.
Sec. 8. Assessments and reports.
Sec. 9. Additions to performance plan.
SEC. 2. FINDINGS AND PURPOSES.
(a) Findings.--Congress finds the following:
(1) Weaknesses in established management processes pertaining
to the use of information about the performance of Federal
agencies undermine the confidence of the American people in the
Government and reduce the Federal Government's ability to
adequately address public needs.
(2) To restore the confidence of the American people in its
Government and to increase the Federal Government's ability to
adequately address vital public needs, the Federal Government
must continually seek to improve the effectiveness, efficiency,
and accountability of Federal programs.
(3) With the passage of the Government Performance and
Results Act of 1993, Congress directed the executive branch to
seek improvements in the performance and accountability of
Federal programs by having agencies focus on strategic
objectives and annual results.
(4) The requirements of the Government Performance and
Results Act of 1993 have produced an infrastructure of outcome-
oriented strategic plans, performance measures, and
accountability reporting that serve as a solid foundation for
agencies working with Congress to achieve long-term strategic
goals and improve the performance of Federal programs; use of
those plans and reports to improve outcomes has, however, been
limited.
(5) Congressional policy making, spending decisions, and
program oversight have been handicapped by insufficient
attention to program performance and results.
(6) While improvements have been made in the development of
outcome-oriented strategic plans, performance measures, and
accountability reporting for individual programs, progress is
still needed to ensure that agency leaders, employees, and
delivery partners regularly use performance information to
improve the effectiveness and efficiency of government
operations and to communicate performance information
coherently and candidly to inform congressional decision-making
in conducting program authorization, appropriation, and
oversight.
(7) Regular performance assessments, complemented by periodic
assessments of Federal programs, provide critical information
on whether programs are achieving specific performance
objectives, help Congress and the executive branch identify the
most pressing policy and program issues, and determine if
specific legislative, operational, financial, or strategic
reforms are needed to increase program effectiveness and
efficiency.
(8) Programs performing similar or duplicative functions
within a single agency or across multiple agencies should be
identified and their performance and results shared among all
such programs to improve coordination or possible consolidation
and, ultimately, performance and results.
(9) The performance reporting requirements of the Government
Performance and Results Act of 1993, along with individual
performance and accountability reporting requirements contained
in legislation, are in some cases redundant, and steps should
be taken to eliminate duplicative performance policies and to
streamline outdated and unused reports.
(b) Purposes.--The purposes of this Act are as follows:
(1) To improve the Government Performance and Results Act of
1993 by implementing performance assessment processes that seek
to assess Federal programs on a periodic basis with a
particular focus on the following:
(A) Identification by agency leaders of clear
priorities and setting of outcome-focused, measurable,
ambitious targets for those priorities.
(B) Regular goal-focused, data driven performance
assessments to measure progress and adjust strategies.
(C) Accountability expectations that encourage
managers to innovate, informed by evidence and analysis
of experience.
(D) Transparent, coherent, and candid communication
of results.
(2) To use relevant performance and related information to
help agencies make informed management decisions, improve the
effectiveness of agency and program operations (particularly
for those programs, projects, and activities that are deemed
poorly performing), and submit funding requests based on
evidence and other relevant information.
(3) To provide congressional policy makers with information
needed to conduct more effective oversight and assist in the
improvement of agency operations, and to make performance-
informed and results-based authorization and appropriation
decisions that improve the effectiveness of program operations.
(4) To establish the Performance Improvement Council as a
body that will assist in the development of performance
measurement and management standards and assessment
methodologies, identify best practices in Federal performance
management, facilitate the exchange of information among
agencies on these practices, and collaborate on and strengthen
the effectiveness of agency performance improvement efforts.
(5) To establish agency performance improvement officers to
institutionalize and enhance the strategic and performance
management activities of Federal agencies.
SEC. 3. AGENCY DEFINED.
In this Act, the term ``agency'' means an executive agency as defined
in section 306 of title 5, United States Code.
SEC. 4. SENSE OF CONGRESS REGARDING THE NEED FOR INCREASED CONSULTATION
BETWEEN CONGRESS AND FEDERAL AGENCIES ON
PERFORMANCE MANAGEMENT ISSUES.
It is the sense of Congress that the head of each Federal agency
should make every effort to consult with the committees with
jurisdiction over the agency and other interested members of Congress
each fiscal year regarding the performance plan and priorities of the
agency (required by sections 1115 and 1120 of title 31, United States
Code).
SEC. 5. PERFORMANCE ASSESSMENTS.
(a) Requirement for Performance Assessments.--Chapter 11 of title 31,
United States Code, is amended by adding at the end the following new
section:
``Sec. 1120. Performance assessments
``(a) Identification of High-priority Performance Goals.--For the
purpose of improving agency performance, the head of each Federal
agency, in consultation with the Director of the Office of Management
and Budget, shall identify near-term and long-term high-priority goals
for purposes of this section. In identifying such goals, the head of
the agency shall--
``(1) rely on the agency's mission, strategic plan and
objectives, and statutory directives;
``(2) consult with Congress, including each appropriate
committee of Congress;
``(3) select goals that--
``(A) clearly identify agency priorities and have
performance outcomes that can be clearly and
objectively assessed and measured;
``(B) are ambitious targets that have high direct
value to the public;
``(C) involve indicators for which the agency can
collect reliable and timely data that may be used in
performance assessments to measure progress and adjust
strategies; and
``(D) involve multiple programs, including programs
within and across multiple agencies that are performing
similar functions, serve similar populations, have
similar purposes, or share common objectives, for
purposes of identifying common challenges, exemplary
goals and practices, common measures of performance,
and potential opportunities for more effective and
efficient means of achieving goals, including through
the integration and consolidation of Federal functions;
and
``(4) with respect to a subcomponent of the agency, ensure
the goals are consistent with the goals of the entire agency.
``(b) Performance Assessments.--The head of each Federal agency, in
consultation with the Director of the Office of Management and Budget,
shall, not less often than quarterly for high-priority goals identified
in subsection (a), and on a semi-annual basis for performance goals
established pursuant to section 1115(a)(1) of this title--
``(1) assess progress toward achieving the goals identified
under subsection (a) and toward achieving the annual
performance goals for each program activity established
pursuant to section 1115(a)(1) of this title;
``(2) assess whether relevant agency programs and initiatives
are contributing as expected toward the goals identified under
subsection (a) and the annual performance goals for each
program activity established pursuant to section 1115(a)(1) of
this title; and
``(3) identify prospects and strategies for performance
improvement, including any needed changes to agency programs or
initiatives.
``(c) Performance Assessment Requirements.--In conducting an
assessment of agency progress toward achieving the goals identified
under subsection (a) and toward achieving the annual performance goals
for each program activity established pursuant to section 1115(a)(1) of
this title, the head of a Federal agency, in consultation with the
Director of the Office of Management and Budget, shall--
``(1) coordinate with relevant personnel within and outside
the agency who contribute to the accomplishment of the goals;
and
``(2) encourage innovation and hold leaders and managers
accountable for effective and efficient implementation based on
evidence and continuing analysis of experience.
``(d) Transparency of Goals and Performance Assessments.--The
Director of the Office of Management and Budget shall--
``(1) make available, as part of the President's budget
submission and through the Office of Management and Budget
website and other relevant websites, and provide to the
congressional committees described in subsection (i)--
``(A) a list of goals identified under subsection (a)
and reviewed by the Director;
``(B) consistent with section 1115 of this title,
annual goals defined by objectively measurable outcomes
for each program administered in whole or in part by
the agency;
``(C) the methods that will be used to make progress
toward achieving the goals identified under
subparagraphs (A) and (B);
``(D) the expected contribution that different agency
programs and initiatives will make toward achieving the
goals identified under subparagraphs (A) and (B) and
the expected timeline for achieving those goals; and
``(E) the approach that will be used by agencies to
assess progress toward achieving the goals identified
under subparagraphs (A) and (B);
``(2) provide a mechanism for interested persons, including
the general public and members and committees of Congress, to
submit comments on the goals being assessed under subsection
(a) and the annual performance goals for each program activity
established pursuant to section 1115(a)(1) of this title and
the methods that will be used to make progress toward achieving
those goals;
``(3) provide a mechanism for agency delivery to and
consideration of comments provided under paragraph (2) by each
relevant agency and adjustment of goals under subsection (a)
and the annual performance goals for each program activity
established pursuant to section 1115(a)(1) of this title based
on the comments, with approval of the Director; and
``(4) make available through the Office of Management and
Budget website a summary of comments received under paragraph
(2), any adjustment of goals under paragraph (3), and any
changes to goals required by the Office of Management and
Budget.
``(e) Transparency of Performance Results.--(1) The head of an agency
shall ensure that all results of the assessments conducted under this
section by the agency during a fiscal year shall be readily accessible
to and easily found on the Internet by the public and members and
committees of Congress in a searchable, machine readable format, in
accordance with guidance provided by the Director of the Office of
Management and Budget that ensures such information is provided in a
way that presents a coherent picture of the performance of Federal
agencies. At a minimum, the results of the assessments conducted under
this section shall be available on the website of the Office of
Management and Budget and also may be made available on any other
website considered appropriate by the agency or the Director. The
Director shall also notify the appropriate committees of Congress when
quarterly assessments become available on the Internet.
``(2) The performance information related to the assessments of goals
in this section and section 1115 of this title shall--
``(A) include--
``(i) a brief summary of the problem or opportunity
being addressed and reasons for identifying these
agency goals as well as key findings of the
assessments;
``(ii) a list of each program and agency contributing
to achievement of the goal and the time frame for such
contributions;
``(iii) an assessment of the quality of the
performance measures, and the extent to which necessary
performance data are collected;
``(iv) a description of how leaders and managers are
held accountable for achieving program results, and the
extent to which strong financial management tools are
in place;
``(v) contextual indicators that provide a sense of
external factors that can influence performance trends
related to key outcomes;
``(vi) as appropriate, indicators that provide
information about the population being served and to
the extent possible, the impact on disadvantaged and
minority communities and individuals;
``(vii) factors affecting the performance of
programs, projects, and activities and how they are
impeding or contributing to failures or successes of
the programs, projects, and activities, and the reasons
for any substantial variation from the targeted level
of achievement of the goals;
``(viii) the process used by the agency to assess
progress made toward achieving the goals; and
``(ix) such other items and adjustments as may be
specified by the Director;
``(B) describe the extent to which any trends, developments,
or emerging conditions affect the need to change the mission of
programs being carried out to achieve the goal;
``(C) identify, as part of any performance assessment,
practices that resulted in positive outcomes, and the key
reasons why such practices resulted in positive outcomes; and
``(D) include recommendations for actions to improve results,
including opportunities that might exist for the coordination,
consolidation, or integration of programs to improve service or
generate cost savings.
``(3) The head of each agency shall--
``(A) use, as necessary and appropriate, a variety of
assessment methods to support performance assessments,
including methods contained in reports from evaluation centers,
in assessments by States, and in available Federal program
assessments;
``(B) maintain an archive of information required to be
disclosed under this section that is, to the maximum extent
practicable, readily available, accessible, and easily found by
the public; and
``(C) consider the relevant comments submitted under
subsection (d)(2).
``(f) Classified Information.--(1) With respect to performance
assessments conducted during a fiscal year that contain classified
information, the President shall submit--
``(A) each quarterly performance assessment (including the
classified information), to the appropriate committees of
Congress; and
``(B) an appendix containing a list of each affected goal and
the committees to which a copy of the performance assessment
was submitted under subparagraph (A), to the congressional
committees described in subsection (i).
``(2) Upon request from a congressional committee described in
subsection (i), the Director of the Office of Management and Budget
shall provide to the Committee a copy of--
``(A) any performance assessment described in subparagraph
(A) of paragraph (1) (including any assessment not listed in
any appendix submitted under subparagraph (B) of such
paragraph); and
``(B) any appendix described in subparagraph (B) of paragraph
(1).
``(3) In this subsection, the term `classified information' refers to
matters described in section 552(b)(1)(A) of title 5.
``(g) Inherently Governmental Functions.--The functions and
activities authorized or required by this section shall be considered
inherently governmental functions and shall be performed only by
Federal employees.
``(h) Report Streamlining.--To eliminate redundancy, the head of an
agency may determine each year, subject to the approval of the Director
of the Office of Management and Budget and provided that it meets the
requirements of this section and sections 1115, 1116, 1117, 1121, and
the first 9703 of this title, that the performance information provided
to the public on the Internet is sufficient to meet the planning and
reporting requirements of such sections.
``(i) Congressional Committees.--The congressional committees
described in this subsection are the following:
``(1) The Committee on Oversight and Government Reform of the
House of Representatives.
``(2) The Committee on Homeland Security and Governmental
Affairs of the Senate.
``(3) The Committees on Appropriations of the House of
Representatives and the Senate.
``(4) The Committees on the Budget of the House of
Representatives and the Senate.
``(j) Definitions.--In this section:
``(1) Agency performance improvement officer.--The term
`agency performance improvement officer' means a senior
executive of an agency who is designated by the head of the
agency, and reports to the head of the agency, the agency
Deputy Secretary, or such other agency official designated by
the head of the agency, to carry out the requirements of this
section.
``(2) Performance information.--The term `performance
information' means the results of assessments conducted under
this section.''.
(b) Performance Assessments To Be Considered in Evaluating Senior
Executives.--Section 4313 of title 5, United States Code, is amended
(in the matter before paragraph (1)) by striking ``organizational
performance,'' and inserting the following: ``organizational
performance (including such reviews of agency performance, conducted
under section 1120 of title 31, as are relevant),''.
(c) Clerical Amendment.--The table of sections at the beginning of
chapter 11 of title 31, United States Code, is amended by adding at the
end the following:
``1120. Performance assessments.''.
SEC. 6. STRATEGIC PLANNING AMENDMENTS.
(a) Change in Deadline for Strategic Plan.--Subsection (a) of section
306 of title 5, United States Code, is amended by striking ``No later
than September 30, 1997,'' and inserting ``Not later than September 30
of the second year following a year in which an election for President
occurs, beginning with September 30, 2010,''.
(b) Change in Period of Coverage of Strategic Plan.--Subsection (b)
of section 306 of title 5, United States Code, is amended to read as
follows:
``(b) Each strategic plan shall cover the four-year period beginning
on October 1 of the second year following a year in which an election
for President occurs.''.
SEC. 7. IMPROVING GOVERNMENT PERFORMANCE.
(a) Improving Government Performance.--Chapter 11 of title 31, United
States Code, as amended by section 5, is further amended by adding at
the end the following new section:
``Sec. 1121. Improving Government performance
``(a) Duties of Agency Performance Improvement Officers.--Subject to
the direction of the head of the agency, each agency performance
improvement officer shall--
``(1) advise and assist the head of the executive agency and
other agency officials to ensure that the mission of the
executive agency is achieved through performance planning,
measurement, analysis, and regular assessment of progress,
including the requirements of this section and sections 1115,
1116, 1117, 1120, and the first 9703 of this title and section
306 of title 5;
``(2) advise the head of the agency on the selection of
agency goals, including opportunities to collaborate with other
agencies on common goals, and on whether--
``(A) the performance targets required under section
1115 of this title and the strategic plans required
under section 306 of title 5 are--
``(i) sufficiently aggressive toward full
achievement of the purposes of the agency; and
``(ii) realistic in light of authority and
resources provided for operations; and
``(B) means for measurement of progress toward
achievement of the goals are sufficiently rigorous,
aligned to outcomes, useful, and accurate as
appropriate to the intended use of the measures;
``(3) support the head of the agency, agency Deputy
Secretary, or such other agency senior official designated by
the head of the agency in the conduct of at least quarterly
performance assessments, while strengthening the performance
management activities of the entire agency (including
subcomponents) through at least quarterly performance
assessments to--
``(A) assess progress toward achievement of the goals
administered in whole or in part by the agency, as well
as any goals common to that agency and other agencies;
``(B) identify factors affecting progress and
benchmarking comparisons;
``(C) consider actions to improve the performance and
efficiency of programs, projects, and activities; and
``(D) hold leaders and managers accountable for
effective and efficient implementation and for
adjusting agency actions based on evolving evidence;
``(4) assist the head of the agency 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;
``(5) assist the head of the agency in overseeing the
implementation required under section 1120 of this title;
``(6) ensure that agency progress toward achievement of all
goals is communicated to leaders, managers, and employees in
the agency and Congress, and made public on the Internet; and
``(7) provide training for agency managers, program
directors, supervisors, and employees on how to use performance
targets, measure key performance indicators, assess programs,
and analyze data to improve performance.
``(b) Establishment and Operation of Performance Improvement
Council.--
``(1) There is established in the executive branch a
Performance Improvement Council.
``(2) The Performance Improvement Council shall consist
exclusively of--
``(A) the Deputy Director for Management of the
Office of Management and Budget, who shall serve as
Chair;
``(B) such agency performance improvement officers as
determined appropriate by the Chair; and
``(C) such other permanent employees of an agency as
determined appropriate by the Chair in consultation
with the agency concerned.
``(3) The Chair or the Chair's designee shall convene and
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.
``(4) To assist in implementing the requirements of sections
1105, 1115, 1116, 1117, 1120, and the first 9703 of this title
and section 306 of title 5, the Performance Improvement Council
shall--
``(A) 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 may specify, recommendations concerning--
``(i) performance management policies and
requirements;
``(ii) criteria for assessment of program,
project, and activity performance; and
``(iii) how the goals required by section
1120(a) of this title can inform the Federal
Government performance plan required by section
1105(a)(28) of this title, and lead to improved
results from and interagency coordination of
programs that perform similar functions;
``(B) facilitate the exchange among agencies of
information on performance management, including
strategic and annual planning and reporting, to
accelerate improvements in performance;
``(C) monitor the performance assessment process
required under section 1120 of this title;
``(D) facilitate keeping members and committees of
Congress and the public informed, and with such
assistance of heads of agencies and agency performance
improvement officers as the Director of the Office of
Management and Budget may require, provide members and
committees of Congress and the public with information
on the Internet on how well each agency performs and
that serves as a comprehensive source of information
on--
``(i) agency strategic plans;
``(ii) annual performance plans and annual
performance reports;
``(iii) performance information required
under section 1120 (d) of this title;
``(iv) the status of the implementation of
performance assessments required under section
1120 of this title;
``(v) relevant impact and process
assessments; and
``(vi) consistent with the direction of the
head of the agency concerned after consultation
with the Director of the Office of Management
and Budget, any publicly available reports by
the agency's Inspector General concerning
agency program performance;
``(E) monitor implementation by agencies of the
policy set forth in sections 1115, 1116, 1117, 1120,
and the first 9703 of this title and section 306 of
title 5 and report thereon from time to time as
appropriate 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 such times and in such formats as the Chair
may specify, together with any recommendations of the
Council for more effective implementation of such
policy;
``(F) obtain information and advice, as appropriate,
in a manner that seeks individual advice and does not
involve collective judgment or consensus advice or
deliberation, from--
``(i) State, local, territorial, and tribal
officials;
``(ii) representatives of entities or other
individuals; and
``(iii) members and committees of Congress;
``(G) coordinate with other interagency management
councils; and
``(H) make recommendations to Congress on
duplicative, unused, or outdated performance policies
or reporting requirements.
``(5)(A) The Administrator of General Services shall provide
administrative and other support for the Council to implement
this section.
``(B) The heads of agencies shall provide, as appropriate and
to the extent permitted by law, such information and assistance
as the Chair may request to implement this section.
``(c) Additional Duties of the Council.--The Council--
``(1) shall develop a website for Federal agency performance
information;
``(2) shall link program performance information to program
spending information on the website www.USASpending.gov; and
``(3) shall submit a report to Congress on the feasibility of
creating a single web-based platform for all Government
spending information and all program performance
information.''.
(b) Guidance.--Not later than 6 months after the date of the
enactment of this Act, the Director of the Office of Management and
Budget shall prescribe guidance to implement the requirements of
section 1120 and 1121 of title 31, United States Code, as added by
subsection (a).
(c) Conforming and Clerical Amendments.--
(1) Section 1115(g) of title 31, United States Code, is
amended by striking ``1119'' and inserting ``1121''.
(2) The table of sections at the beginning of chapter 11 of
title 31, United States Code, is amended by adding at the end
the following:
``1121. Improving Government performance.''.
SEC. 8. ASSESSMENTS AND REPORTS.
(a) Assessments.--
(1) In general.--No less frequently than the first, third,
and fifth year after the date of the enactment of this Act, and
thereafter every three years and at such other times as may be
requested by Congress, the Comptroller General of the United
States shall assess the implementation of this Act by the
Director of the Office of Management and Budget and the
agencies decribed in section 901(b) of title 31, United States
Code, with emphasis on the matters specified in paragraph (2).
(2) Matters to be assessed.--The matters to be assessed under
paragraph (1) shall include, with respect to the fiscal year
covered by the assessment:
(A) Whether the selection of goals, identified
pursuant to section 1120(a) of title 31, United States
Code, as added by section 5, and established pursuant
to section 1115 of such title, is tied to performance
outcomes that can be objectively assessed and measured
and have a high direct value to the public.
(B) The use of agency performance goals and measures
and program assessments to improve performance and
ensure taxpayer dollars are spent in an efficient and
effective manner, including the need to streamline or
enhance Federal programs or initiatives to maximize the
likelihood of accomplishing such performance goals.
(C) The use of agency performance goals, identified
pursuant to section 1120(a) of title 31, United States
Code, as added by section 5, and established pursuant
to section 1115 of such title, and measures to clearly
communicate performance priorities and results to the
public.
(D) How any revision of goals, identified pursuant to
section 1120(a) of title 31, United States Code, as
added by section 5, and established pursuant to section
1115 of such title, has contributed to the
effectiveness of agency and program performance.
(E) The tracking of program performance toward
achieving identified goals and the contribution of such
tracking to agency performance improvement.
(F) The use of input from Congress and the public in
the assessment of programs and in the identification
and assessment of goals.
(G) The use of the archive of information referred to
in section 1120(e)(3)(B) of title 31, United States
Code, to create a coherent, longitudinal picture of the
performance of agencies and programs over time.
(H) Best practices of agencies.
(I) Whether the annual performance plan established
pursuant to section 1115 of title 31, United States
Code, conforms with the requirements for such plans
described in paragraphs (1) through (11) of section
1115(a) of such title.
(J) The progress each agency has made in achieving
the goals identified pursuant to section 1120(a) of
title 31, United States Code, as added by section 5,
and established pursuant to section 1115 of such title.
(b) Reports.--The Comptroller General shall consult with the
Inspectors General when evaluating program and agency performance and
shall submit to Congress a report on the results of each assessment
conducted under subsection (a). The report shall include a list of
recommendations on ways to improve the performance assessment and
communication process and the operations of agency performance
improvement officers and the Performance Improvement Council.
(c) Effectiveness Assessment.--With respect to the evaluation
conducted under subsection (a) in the third year after the date of the
enactment of this Act, the Comptroller General shall include in the
report relating to such evaluation submitted to Congress under this
section the following:
(1) an assessment of the effectiveness of this Act, and the
amendments made by this Act;
(2) the impact of this Act on sections 1115, 1116, 1117, and
the first 9703 of title 31, United States Code, and section 306
of title 5, United States Code; and
(3) any recommendations for improving the effectiveness of
sections 1115, 1116, 1117, and the first 9703 of title 31,
United States Code, and section 306 of title 5, United States
Code and reducing duplication.
SEC. 9. ADDITIONS TO PERFORMANCE PLAN.
Section 1115(a) of title 31, United States Code, is amended--
(1) in paragraph (5), by striking ``and'';
(2) in paragraph (6), by striking the period and inserting
``; and''; and
(3) by inserting after paragraph (6) the following new
paragraphs:
``(7) describe the existence and current scope of the problem
that the program is intended to address, defined as an outcome
that addresses the needs of the American people, not an input
(such as staffing or resources expended) or an intermediate
goal (such as teachers or police hired);
``(8) to the extent practicable, take into account the other
efforts (if any) being made in Federal, State or local
governments or the private sector to address the problem
described under paragraph (7) and the relative cost-
effectiveness of such efforts;
``(9) if the program is not new, describe the amount of funds
expended in the previous year and state the progress made in
the previous year toward solving the problem described under
paragraph (7), including evidence of whether the problem is
increasing, decreasing, or staying the same;
``(10) describe the specific level of improvement expected to
be made toward addressing the problem described under paragraph
(7); and
``(11) state the long-term goal for the program and when that
goal is expected to be achieved or the problem described under
paragraph (7) reduced to an acceptable level.''.
Amend the title so as to read:
A bill 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.
Purpose and Summary
H.R. 2142 was introduced on April 28, 2009, by Rep. Henry
Cuellar. H.R. 2142 improves the efficiency and accountability
of federal agencies by requiring each agency to identify
ambitious goals and assess progress toward achieving those
goals. The bill strengthens the Government Performance and
Results Act of 1993 (GPRA) and codifies elements of an
Executive Order on performance management.
Background and Need for Legislation
GPRA was enacted in 1993 to ``improve the confidence of the
American people in the capability of the Federal Government, by
systematically holding Federal agencies accountable for
achieving program results.''\1\ GPRA requires agencies to
develop long-term strategic plans every five years and to
annually develop and submit to Congress performance plans and
performance reports. Agencies must develop annual goals for
each program activity as part of their annual performance
plans.
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\1\P.L. 103-62.
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Since the enactment of GPRA, every administration has
undertaken initiatives to improve agency performance
management. In 2008, GAO made recommendations for the next
administration on using performance information to improve
results. GAO found that the administration should focus on
``(1) adopting a more strategic and crosscutting approach to
overseeing governmentwide performance; (2) improving the
relevance of performance information to Congress; and (3)
building agency confidence in assessments for use in decision
making.''\2\
---------------------------------------------------------------------------
\2\Government Accountability Office, Government Performance:
Lessions Learned for the Next Administration on Using Performance
Information to Improve Results (GAO-08-1026T).
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On June 11, 2009, OMB Director Peter Orszag issued a
memorandum to agency heads requiring agencies to identify high
priority performance goals. In the memo, Director Orszag wrote,
``[t]he American people deserve a government that works, where
the public interest is prioritized, where the impact of
government spending is transparent and held to high, objective
standards, and where results and good management matter.''\3\
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\3\Office of Management and Budget, Planning for the President's
Fiscal Year 2011 Budget and Performance Plans (June 11, 2009).
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H.R. 2142 enhances GPRA by requiring agencies to identify
high priority goals for the agency that cut across agency
programs. The bill also strengthens GPRA by requiring agencies
to perform frequent evaluations of progress toward achieving
those goals. The bill improves Congressional and public input
by requiring OMB and agencies to consider comments submitted by
Congress and the public on the goals selected by agencies and
the methods agencies plan to use to meet those goals. The
legislation makes agency performance management efforts more
transparent by requiring agencies to make performance
assessment results publicly available on the Internet.
H.R. 2142 changes the deadline for strategic plans under
GPRA to align with the 4-year presidential term rather than the
current 5-year scheme. The Government Accountability Office has
long recommended this adjustment to the timing of strategic
plans. GAO stated in a 2004 report:
A strategic plan should reflect the policy priorities of an
organization's leaders and the input of key stakeholders if it
is to be an effective management tool. However, GPRA specifies
timeframes for updating strategic plans that do not correspond
to presidential or congressional terms. As a result, an agency
may be required to update its strategic plan a year before a
presidential election and without input from a new Congress. If
a new president is elected, the updated plan is essentially
moot and agencies must spend additional time and effort
revising it to reflect new priorities. Our focus group
participants, including GPRA experts, strongly agreed that this
timing issue should be addressed by adjusting time frames to
correspond better with presidential and congressional terms.\4\
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\4\Government Accountability Office, Results-Oriented Government:
GPRA Has Established a solid Foundation for Achieving Greater Results,
8 (Mar. 2004) (GAO-04-38).
The bill also requires each agency to designate a
Performance Improvement Officer and creates a Performance
Improvement Council. These were both elements of Executive
Order 13450 issued by President Bush on November 13, 2007.
H.R. 2142 holds agencies accountable by requiring agencies
to make performance assessment information publicly available
and by requiring the Government Accountability Office to
perform frequent and detailed evaluations of agency
implementation of this legislation.
Legislative History
H.R. 2142 was introduced on April 28, 2009, and referred to
the Committee on Oversight and Government Reform. The
legislation was discussed during a hearing of the Subcommittee
on Government Management, Organization, and Procurement held on
April 13, 2010, titled ``Oversight of Federal Financial
Management.'' The Subcommittee considered H.R. 2142 on May 12,
2010, and forwarded the bill to the full Committee by voice
vote. The full Committee considered H.R. 2142 on May 20, 2010,
and ordered the bill reported favorably, as amended, by voice
vote.
Section-by-Section
Section 1. Short title; table of contents
This section provides that the short title of H.R. 2142 is
the ``Government Efficiency, Effectiveness, and Performance
Improvement Act of 2010.''
This section also lists the table of contents.
Section 2. Findings and purposes
This section provides findings including that regular
performance assessments, complemented by periodic assessments
of federal programs, provide critical information on whether
programs are achieving specific performance objectives.
This section also provides the purposes of the legislation
including providing congressional policy makers with
information needed to conduct more efficient oversight and
assist in the improvement of agency operations and to make
performance-informed and results-based authorization and
appropriation decisions that improve the effectiveness of
program operations.
Section 3. Agency defined
This section defines agency as it is defined in the
Government Performance and Results Act which is an Executive
agency under section 105 of title 5 but not including the
Central Intelligence Agency, the Government Accountability
Office, the Panama Canal Commission, the United States Postal
Service, and the Postal Regulatory Commission.
The Cuellar amendment adopted during consideration by the
Subcommittee made the definition of agency consistent with the
existing definition in GPRA.
Section 4. Sense of Congress regarding the need for increased
consultation between Congress and federal agencies on
performance management issues
This section provides a sense of the Congress that each
agency head should make every effort to consult with relevant
committees of Congress each fiscal year regarding the
performance plan and priorities of the agency required by GPRA.
Section 5. Performance assessments
Subsection (a) amends GPRA to add a new section 1120.
As introduced, this section would require each agency, to
the maximum extent practicable, to assess each of its programs
at least once every five years. Agencies would have to
collaborate with OMB in establishing assessment teams to
evaluate programs.
This section was amended during Committee consideration to
focus agency efforts on high priority goals that cut across
agency programs.
Subsection (a) of the new section 1120 would require the
head of each agency, in consultation with the Director of the
Office of Management and Budget (OMB), to identify near-term
and long-term high priority goals for the agency. This
subsection provides a number of criteria the head of the agency
must use in selecting goals. For example, the head of the
agency must select goals that have performance outcomes that
can be clearly and objectively assessed and measured. The
Committee intends for agencies to select ambitious goals that
push the agency to improve performance.
Subsection (b) requires the head of each agency, in
consultation with the Director of OMB, to assess progress
toward achieving the high priority goals required by subsection
(a) at least once a quarter. This subsection also requires
agencies to assess progress toward achieving the annual
performance goals required under GPRA at least twice a year.
The Issa amendment that was adopted during full committee
consideration added this increase in required assessments for
annual goals required by section 1115 of GPRA as well as other
requirements for annual goals found throughout this section.
Agencies also must assess whether relevant programs and
initiatives are contributing as expected toward those high
priority and annual goals and agencies must identity strategies
for improving performance.
Subsection (c) directs the head of each agency, in
consultation with the Director of OMB, to coordinate with
relevant personnel within and outside the agency who contribute
to the accomplishment of goals and to encourage innovation and
hold leaders accountable for implementing high priority and
annual program goals.
Subsection (d) requires the Director of OMB to make
available with the President's budget and on OMB's website, a
list of the high priority goals required under subsection (a)
and a list of annual goals for each agency program consistent
with section 1115 of GPRA. OMB must also provide the methods
that will be used by agencies to make progress toward achieving
those goals, the expected contribution of various agency
programs toward achieving goals, and the expected timeline for
achieving the goals. OMB is also required to provide the
approach agencies will use to assess progress toward achieving
their high priority and annual program goals. The intent of
this provision is for OMB to provide a clear and detailed
explanation of the method agencies will use to assess progress.
Under subsection (e), agencies must consider the comments
received under this subsection.
This subsection also requires OMB to provide a way for
members of the public and members of Congress to submit
comments on the high priority goals required under subsection
(a), the annual goals required by GPRA, and the methods each
agency will use to make progress toward achieving those goals.
OMB must provide a way for agencies to adjust their goals based
on those comments. As added by the Cuellar amendment adopted by
the full Committee, OMB must also disclose on its website a
summary of the comments received and any changes made to agency
goals including any changes made at the direction of OMB. These
requirements are intended to improve the transparency of the
process.
Subsection (e) requires the head of each agency to make the
results of the agency's assessments accessible on the Internet
in a searchable, machine readable format in accordance with OMB
guidance. At a minimum, assessment results must be made
available through OMB's website. The Director of OMB is
required to notify the appropriate committees of Congress when
the quarterly assessments of high priority goals become
available on the Internet.
This subsection requires that the performance information
for high priority and annual program goals include certain
information. For example, agencies must include a brief summary
of the problem or opportunity being addressed and the reasons
for identifying these agency goals. Agencies must include
indicators that provide information about the population being
served and, as added by the Chu amendment, to the extent
possible, the impact on disadvantaged and minority communities
and individuals. Among other factors, agencies must also
include the process used by the agency to assess progress made
toward achieving the goals.
Agencies must also include in their performance
information: a description of the extent to which any trends,
developments, or emerging conditions affect the need to change
the mission of programs being carried out to achieve the goal;
practices that resulted in positive outcomes and the key
reasons for those positive outcomes; and recommendations for
actions to improve results.
The head of each agency is required, under this subsection,
to use, as necessary and appropriate, a variety of assessment
methods and to maintain an archive of the information that is
required to be disclosed under this subsection. Agencies are
required to make previous performance results available to
allow performance information to be compared over a period of
time. Agencies are also required to consider the public
comments submitted under subsection (d).
Subsection (f) provides that for performance assessments
that contain classified information, the President must submit
each quarterly performance assessment to the appropriate
committees of Congress and an appendix with a list of each
affected goal and the committees which received the performance
assessments to the House Committee on Oversight and Government
Reform, the Senate Committee on Homeland Security and
Governmental Affairs, the House and Senate Appropriations
Committees, and the House and Senate Budget Committees. The
Director of OMB, upon request from one of those committees, is
required to provide a copy of any performance assessment and
appendix.
Subsection (g) clarifies that the functions and activities
authorized or required under this section are considered
inherently governmental functions and shall only be performed
by federal employees.
Subsection (h) authorizes agency heads, subject to OMB
approval, to determine each year that the reporting
requirements of this section also meet the annual reporting
requirements of GPRA. This subsection was added by the Cuellar
amendment during full Committee consideration to allow agencies
to avoid unnecessarily redundant efforts.
Subsection (j) includes the following definitions: ``agency
performance improvement officer'' means a senior executive of
an agency who is designated by the head of the agency, and
reports to the head of the agency, the agency Deputy Secretary,
or such other agency official designated by the head of the
agency, to carry out the requirements of this section; and
``performance information'' means the results of assessments
conducted under this section.
Section 5(b) was added by the Chaffetz amendment during
full committee consideration. This subsection provides that
relevant reviews of agency performance, conducted under section
1120 (as added by this section), may be a criteria included in
the performance appraisals for employees in the Senior
Executive Service (SES). SES performance appraisals already
must include considerations of organizational performance and
the intent of this subsection is to clarify that any such
consideration may include the relevant performance information
for the agency added by this Act.
Section 5(c) makes a clerical amendment to add the new
section 1120 to the table of contents at the beginning of
chapter 11 of title 31.
Section 6. Strategic planning amendments
Subsection (a) amends GPRA to require the strategic plans
required by GPRA to be filed two years after a presidential
election year starting with September 30, 2010.
Subsection (b) changes the deadline for strategic plans
under GPRA to align with the 4-year presidential term rather
than the current 5-year scheme.
Section 7. Improving Government performance
Subsection (a) amends GPRA to add a new section 1121.
Subsection (a) of the new section 1121 requires that each
agency designate an agency improvement officer and identifies
the duties of agency improvement officers. This subsection
codifies language from Executive Order 13450, issued by
President Bush.
The duties of agency improvement officers include advising
and assisting the head of the agency and other agency officials
to effectively use performance planning, measurement, analysis,
and regular progress assessments. The performance improvement
officer is also responsible for such duties as advising the
head of the agency on the selection of goals, the means for
measuring progress toward meeting goals, and helping conduct
quarterly performance assessments.
Subsection (b) codifies another element of EO 13450 which
is the establishment of a Performance Improvement Council.
Under this subsection, the Performance Improvement Council will
be chaired by OMB's Deputy Director for Management. Other
members will include agency performance improvement officers
and other agency employees determined appropriate by the Chair.
The Performance Improvement Council is required to provide
the Director of OMB recommendations on performance management
policies and requirements, criteria for performance
assessments, and how goals can improve coordination and results
for programs that perform similar functions. The Performance
Improvement Council is also required to perform a number of
other functions including facilitating the exchange of
information across agencies on performance management,
monitoring the performance assessment process required under
section 1120 and keeping members and committees of Congress and
the public informed.
Subsection (c) was added during full committee
consideration by the Issa amendment. It requires the
Performance Improvement Council to develop a website for
federal agency performance information. It also requires the
Council to link program performance information to program
spending information on the website www.USASpending.gov and to
report to Congress on the feasibility of creating a web-based
platform for all government spending information and all
program performance information.
Section 6(b) requires the Director of OMB to prescribe
guidance to implement the requirements of sections 1120 and
1121 as added by sections 5 and 6 of this legislation.
Section 6(c) makes conforming amendments to title 31 to add
the new section 1121 to the table of contents.
Section 8: Assessment and reports
Subsection (a) requires the Comptroller General to assess
implementation of the Act the first, third, and fifth year
after enactment and then every three years for OMB and the
agencies covered by the Chief Financial Officers Act. GAO is
required to include numerous specific matters in its evaluation
such as whether the selection of high priority goals and annual
program goals is tied to performance outcomes that can be
objectively assessed and measured and have a high direct value
to the public, the use of agency performance goals and measures
and program assessments to improve performance and ensure
taxpayer dollars are spent in an efficient and effective
manner, and the use of agency performance goals and measures to
clearly communicate performance priorities and results to the
public.
Subsection (b) requires the Comptroller General to consult
with the Inspectors General when evaluating program and agency
performance. This consultation requirement was added by the
Issa amendment. The Comptroller General must also report to
Congress on the results of each assessment conducted under
subsection (a) including recommendations on ways to improve the
performance assessment and communication process and the
operations of agency performance improvement officers and the
Performance Improvement Council.
Subsection (c) requires the Comptroller General to include
in the evaluation conducted three years after enactment an
assessment of the effectiveness of this Act and the amendments
made by this Act, the impact of the Act on GPRA, and any
recommendations for improving the effectiveness of GPRA.
Section 9: Additions to performance plan
This section was added by the Issa amendment. It requires
agencies to address additional elements in their annual
performance plans. Under this section, agencies must: (1)
describe the existence and current scope of the problem that
the program is intended to address, defined as an outcome that
addresses the needs of the American people (not an input or an
intermediate goal); (2) to the extent practicable, take into
account other government or private sector efforts to address
the problem and the cost-effectiveness of such efforts; (3) if
the program is not new, describe the funds expended in the
previous year and state the progress made during that time
toward solving the problem; (4) describe the specific level of
improvement expected to be made toward addressing the
identified problem; and (5) state the long-term goal for the
program and when it is expected to be achieved or the problem
reduced to an acceptable level.
Explanation of Amendments
Rep. Cuellar offered a substitute amendment when H.R. 2142
was considered by the Subcommittee on Government Management,
Organization, and Procurement that was adopted by a voice vote.
The Cuellar amendment made a number of changes to the bill.
These changes include requiring each agency, in consultation
with OMB, to identify high priority goals with performance
outcomes that can be clearly and objectively reviewed and
measured and that have high direct value to the public. The
Cuellar amendment requires agencies to review progress toward
meeting those goals at least once each quarter. The amendment
requires OMB to make available with the President's budget each
year a list of agency goals and the approach to be used by
agencies to review progress toward achieving those goals. OMB
must also provide a way for Congress and the public to comment
on the goals to be reviewed and methods each agency plans to
use. The amendment requires agencies to make the results of
performance reviews publicly available on the Internet. The
Cuellar amendment requires GAO, or, as appropriate, an agency's
Inspector General, to evaluate implementation of the bill at
least as often as the first, third, and fifth years after
enactment.
During the full Committee's consideration of the bill, Rep.
Cuellar offered another substitute amendment that was adopted
by a voice vote. This amendment made further changes to the
bill including requiring agencies to set annual goals with
objectively measurable outcomes for each agency program in
addition to the high priority goals required by the bill as
amended in Subcommittee. The amendment clarifies that agencies
must consider public comments received on the agency's high
priority and annual goals. Under the amendment, agencies are
required to assess whether relevant agency programs and
initiatives are contributing to the achievement of goals. The
amendment clarifies the impact of the bill on GPRA's reporting
requirements and requires GAO to evaluate the effectiveness of
the Act, its impact on GPRA, and any recommendations for
improving the effectiveness of GPRA and reducing duplication.
Additionally, the Cuellar amendment only requires GAO to
evaluate implementation of the bill by OMB and larger agencies.
Rep. Issa offered an amendment, adopted by a voice vote,
to: amend GPRA to require agencies to address additional
elements in their annual performance plans; require agencies to
perform semi-annual assessments of the annual goals required
under GPRA; require each agency to make performance assessment
information for annual goals available in the same manner as
for the high priority goals required by section 5(a) of the
bill; require the Performance Improvement Council to perform
additional duties including developing a website for federal
agency performance information, linking program performance
information to program spending information, and submitting a
report to Congress on the feasibility of creating a single web-
based platform for all government spending information and all
program performance information. The Issa amendment also
requires GAO to consult with the Inspectors General when
evaluating program and agency performance.
Rep. Chu offered an amendment, passed by a voice vote,
requiring agencies to provide, to the extent possible,
information on the impact of agency initiatives on
disadvantaged and minority communities and individuals.
Rep. Chaffetz offered an amendment, passed by a voice vote,
providing that relevant reviews of agency performance may be a
criterion included in the performance appraisals for employees
in the Senior Executive Service.
Rep. Schock offered an amendment to create a Federal
Program Sunset Commission. The Commission would create a
schedule for reviewing federal programs. Each federal program
would be abolished within one year after the Commission
completes its review unless the federal program is reauthorized
by Congress. The Schock amendment was rejected by a roll call
vote of 11-17.
Committee Consideration
On Thursday, May 20, 2010, the Committee met in open markup
session and ordered that H.R. 2142 be reported favorably to the
House, as amended, by a voice vote.
Roll Call Votes
Application of Law to the Legislative Branch
Section 102(b)(3) of Public Law 104-1 requires a
description of the application of this bill to the legislative
branch where the bill relates to terms and conditions of
employment or access to public services and accommodations.
H.R. 2142 requires executive branch agencies to perform
performance assessments and other actions to improve
performance management. The bill does not relate to the terms
and conditions of employment or access to public services and
accommodations.
Statement of Oversight Findings and Recommendations of the Committee
In compliance with clause 3(c)(1) of rule XIII and clause
(2)(b)(1) of rule X of the Rules of the House of
Representatives, the Committee's oversight findings and
recommendations are reflected in the descriptive portions of
this report including the need to improve agency performance
management efforts and the transparency of agency performance
assessments.
Statement of General Performance Goals and Objectives
In accordance with clause 3(c)(4) of rule XIII of the Rules
of the House of Representatives, the Committee's performance
goals and objectives are reflected in the descriptive portions
of this report, including improving the efficiency and
accountability of federal agencies and providing Congress and
the public information about agency performance.
Constitutional Authority Statement
Under clause 3(d)(1) of rule XIII of the Rules of the House
of Representatives, the Committee must include a statement
citing the specific powers granted to Congress to enact the law
proposed by H.R. 2142. Article I, Section 8, Clause 18 of the
Constitution of the United States grants the Congress the power
to enact this law.
Federal Advisory Committee Act
The Committee finds that the legislation does not establish
or authorize the establishment of an advisory committee within
the meaning of 5 U.S.C. App., Section 5(b).
Unfunded Mandate Statement
Section 423 of the Congressional Budget and Impoundment
Control Act (as amended by Section 101(a)(2) of the Unfunded
Mandates Reform Act, P.L. 104-4) requires a statement on
whether the provisions of the report include unfunded mandates.
In compliance with this requirement the Committee has received
a letter from the Congressional Budget Office included herein.
Earmark Identification
H.R. 2142 does not include any congressional earmarks,
limited tax benefits, or limited tariff benefits as defined in
clause 9(e), 9(f), or 9(g) of rule XXI.
Committee Estimate
Clause 3(d)(2) of rule XIII of the Rules of the House of
Representatives requires an estimate and a comparison by the
Committee of the costs that would be incurred in carrying out
H.R. 2142. However, clause 3(d)(3)(B) of that rule provides
that this requirement does not apply when the Committee has
included in its report a timely submitted cost estimate of the
bill prepared by the Director of the Congressional Budget
Office under section 402 of the Congressional Budget Act.
Budget Authority and Congressional Budget Office Cost Estimate
With respect to the requirements of clause 3(c)(2) of rule
XIII of the Rules of the House of Representatives and section
308(a) of the Congressional Budget Act of 1974 and with respect
to requirements of clause 3(c)(3) of rule XIII of the Rules of
the House of Representatives and section 402 of the
Congressional Budget Act of 1974, the Committee has received
the following cost estimate for H.R. 2142 from the Director of
the Congressional Budget Office:
June 7, 2010.
Hon. Edolphus Towns,
Chairman, Committee on Oversight and Government Reform,
House of Representatives, Washington, DC.
Dear Mr. Chairman: The Congressional Budget Office has
prepared the enclosed cost estimate for H.R. 2142, the
Government Efficiency, Effectiveness, and Performance
Improvement Act of 2010.
If you wish further details on this estimate, we will be
pleased to provide them. The CBO staff contact is Matthew
Pickford.
Sincerely,
Douglas W. Elmendorf.
Enclosure.
H.R. 2142--Government Efficiency, Effectiveness, and Performance
Improvement Act of 2010
H.R. 2142 would require federal agencies to expand their
efforts to evaluate the effectiveness of all federal programs
by adding to the requirements under the Government Performance
and Results Act of 1993 (GPRA), which requires federal agencies
to define their mission and evaluate their performance. CBO
estimates that implementing the new performance evaluation
requirements would cost about $150 million over the 2011-2015
period, subject to appropriation of the necessary funds.
Enacting H.R. 2142 would not affect direct spending or
revenues; therefore, pay-as-you-go procedures would not apply.
The bill would require federal agencies to: identify and
assess their goals; submit strategic plans; designate agency
improvement officers within each agency; establish a
performance improvement council; impose additional reporting
requirements for each agency's annual plan; and require several
reports to the Congress from the Government Accountability
Office regarding the evaluation of federal programs.
H.R. 2142 would expand the current performance requirements
for federal programs as established under GPRA and other
federal statutes, policies, and executive orders related to the
evaluation of such programs. For many agencies, making the
revisions to those practices that would be required by the bill
would have a small effect on their budgets. For agencies that
find deficiencies in their current practices, there could be
more significant costs to evaluate and review their
performance.
The President's budget for fiscal year 2011 requests $100
million for 17 agencies to conduct evaluations of their
performance similar to those that would be required under H.R.
2142. Additional costs under the bill would depend on how
extensively agencies have already embraced performance
evaluation and on the emphasis this effort would place on
specific agencies' programs. In total, CBO estimates that
completing the required program evaluation for all major
federal agencies (the 24 agencies and departments that employ a
chief financial officer) would cost about $150 million over the
next five years.
Finally, implementing H.R. 2142 could lead to more
effective management of government agencies at a lower cost.
Any such savings would depend on amounts provided in future
appropriation acts.
H.R. 2142 contains no intergovernmental or private-sector
mandates as defined in the Unfunded Mandates Reform Act and
would not affect the budgets of state, local, or tribal
governments.
The CBO staff contact for this estimate is Matthew
Pickford. This estimate was approved by Theresa Gullo, Deputy
Assistant Director for Budget Analysis.
Changes in Existing Law Made by the Bill, as Reported
In compliance with clause 3(e) of rule XIII of the Rules of
the House of Representatives, changes in existing law made by
the bill, as reported, are shown as follows (existing law
proposed to be omitted is enclosed in black brackets, new
matter is printed in italic, existing law in which no change is
proposed is shown in roman):
TITLE 31, UNITED STATES CODE
* * * * * * *
SUBTITLE II--THE BUDGET PROCESS
* * * * * * *
CHAPTER 11--THE BUDGET AND FISCAL, BUDGET, AND PROGRAM INFORMATION
Sec
1101. Definitions.
* * * * * * *
1120. Performance assessments.
1121. Improving Government performance.
* * * * * * *
Sec. 1115. Performance plans
(a) In carrying out the provisions of section 1105(a)(28),
the Director of the Office of Management and Budget shall
require each agency to prepare an annual performance plan
covering each program activity set forth in the budget of such
agency. Such plan shall--
(1) * * *
* * * * * * *
(5) provide a basis for comparing actual program
results with the established performance goals; [and]
(6) describe the means to be used to verify and
validate measured values[.]; and
(7) describe the existence and current scope of the
problem that the program is intended to address,
defined as an outcome that addresses the needs of the
American people, not an input (such as staffing or
resources expended) or an intermediate goal (such as
teachers or police hired);
(8) to the extent practicable, take into account the
other efforts (if any) being made in Federal, State or
local governments or the private sector to address the
problem described under paragraph (7) and the relative
cost-effectiveness of such efforts;
(9) if the program is not new, describe the amount of
funds expended in the previous year and state the
progress made in the previous year toward solving the
problem described under paragraph (7), including
evidence of whether the problem is increasing,
decreasing, or staying the same;
(10) describe the specific level of improvement
expected to be made toward addressing the problem
described under paragraph (7); and
(11) state the long-term goal for the program and
when that goal is expected to be achieved or the
problem described under paragraph (7) reduced to an
acceptable level.
* * * * * * *
(g) For purposes of this section and sections 1116 through
[1119] 1121, and sections 9703 and 9704 the term--
(1) * * *
* * * * * * *
Sec. 1120. Performance assessments
(a) Identification of High-Priority Performance Goals.--For
the purpose of improving agency performance, the head of each
Federal agency, in consultation with the Director of the Office
of Management and Budget, shall identify near-term and long-
term high-priority goals for purposes of this section. In
identifying such goals, the head of the agency shall--
(1) rely on the agency's mission, strategic plan and
objectives, and statutory directives;
(2) consult with Congress, including each appropriate
committee of Congress;
(3) select goals that--
(A) clearly identify agency priorities and
have performance outcomes that can be clearly
and objectively assessed and measured;
(B) are ambitious targets that have high
direct value to the public;
(C) involve indicators for which the agency
can collect reliable and timely data that may
be used in performance assessments to measure
progress and adjust strategies; and
(D) involve multiple programs, including
programs within and across multiple agencies
that are performing similar functions, serve
similar populations, have similar purposes, or
share common objectives, for purposes of
identifying common challenges, exemplary goals
and practices, common measures of performance,
and potential opportunities for more effective
and efficient means of achieving goals,
including through the integration and
consolidation of Federal functions; and
(4) with respect to a subcomponent of the agency,
ensure the goals are consistent with the goals of the
entire agency.
(b) Performance Assessments.--The head of each Federal
agency, in consultation with the Director of the Office of
Management and Budget, shall, not less often than quarterly for
high-priority goals identified in subsection (a), and on a
semi-annual basis for performance goals established pursuant to
section 1115(a)(1) of this title--
(1) assess progress toward achieving the goals
identified under subsection (a) and toward achieving
the annual performance goals for each program activity
established pursuant to section 1115(a)(1) of this
title;
(2) assess whether relevant agency programs and
initiatives are contributing as expected toward the
goals identified under subsection (a) and the annual
performance goals for each program activity established
pursuant to section 1115(a)(1) of this title; and
(3) identify prospects and strategies for performance
improvement, including any needed changes to agency
programs or initiatives.
(c) Performance Assessment Requirements.--In conducting an
assessment of agency progress toward achieving the goals
identified under subsection (a) and toward achieving the annual
performance goals for each program activity established
pursuant to section 1115(a)(1) of this title, the head of a
Federal agency, in consultation with the Director of the Office
of Management and Budget, shall--
(1) coordinate with relevant personnel within and
outside the agency who contribute to the accomplishment
of the goals; and
(2) encourage innovation and hold leaders and
managers accountable for effective and efficient
implementation based on evidence and continuing
analysis of experience.
(d) Transparency of Goals and Performance Assessments.--The
Director of the Office of Management and Budget shall--
(1) make available, as part of the President's budget
submission and through the Office of Management and
Budget website and other relevant websites, and provide
to the congressional committees described in subsection
(i)--
(A) a list of goals identified under
subsection (a) and reviewed by the Director;
(B) consistent with section 1115 of this
title, annual goals defined by objectively
measurable outcomes for each program
administered in whole or in part by the agency;
(C) the methods that will be used to make
progress toward achieving the goals identified
under subparagraphs (A) and (B);
(D) the expected contribution that different
agency programs and initiatives will make
toward achieving the goals identified under
subparagraphs (A) and (B) and the expected
timeline for achieving those goals; and
(E) the approach that will be used by
agencies to assess progress toward achieving
the goals identified under subparagraphs (A)
and (B);
(2) provide a mechanism for interested persons,
including the general public and members and committees
of Congress, to submit comments on the goals being
assessed under subsection (a) and the annual
performance goals for each program activity established
pursuant to section 1115(a)(1) of this title and the
methods that will be used to make progress toward
achieving those goals;
(3) provide a mechanism for agency delivery to and
consideration of comments provided under paragraph (2)
by each relevant agency and adjustment of goals under
subsection (a) and the annual performance goals for
each program activity established pursuant to section
1115(a)(1) of this title based on the comments, with
approval of the Director; and
(4) make available through the Office of Management
and Budget website a summary of comments received under
paragraph (2), any adjustment of goals under paragraph
(3), and any changes to goals required by the Office of
Management and Budget.
(e) Transparency of Performance Results.--(1) The head of an
agency shall ensure that all results of the assessments
conducted under this section by the agency during a fiscal year
shall be readily accessible to and easily found on the Internet
by the public and members and committees of Congress in a
searchable, machine readable format, in accordance with
guidance provided by the Director of the Office of Management
and Budget that ensures such information is provided in a way
that presents a coherent picture of the performance of Federal
agencies. At a minimum, the results of the assessments
conducted under this section shall be available on the website
of the Office of Management and Budget and also may be made
available on any other website considered appropriate by the
agency or the Director. The Director shall also notify the
appropriate committees of Congress when quarterly assessments
become available on the Internet.
(2) The performance information related to the assessments of
goals in this section and section 1115 of this title shall--
(A) include--
(i) a brief summary of the problem or
opportunity being addressed and reasons for
identifying these agency goals as well as key
findings of the assessments;
(ii) a list of each program and agency
contributing to achievement of the goal and the
time frame for such contributions;
(iii) an assessment of the quality of the
performance measures, and the extent to which
necessary performance data are collected;
(iv) a description of how leaders and
managers are held accountable for achieving
program results, and the extent to which strong
financial management tools are in place;
(v) contextual indicators that provide a
sense of external factors that can influence
performance trends related to key outcomes;
(vi) as appropriate, indicators that provide
information about the population being served
and to the extent possible, the impact on
disadvantaged and minority communities and
individuals;
(vii) factors affecting the performance of
programs, projects, and activities and how they
are impeding or contributing to failures or
successes of the programs, projects, and
activities, and the reasons for any substantial
variation from the targeted level of
achievement of the goals;
(viii) the process used by the agency to
assess progress made toward achieving the
goals; and
(ix) such other items and adjustments as may
be specified by the Director;
(B) describe the extent to which any trends,
developments, or emerging conditions affect the need to
change the mission of programs being carried out to
achieve the goal;
(C) identify, as part of any performance assessment,
practices that resulted in positive outcomes, and the
key reasons why such practices resulted in positive
outcomes; and
(D) include recommendations for actions to improve
results, including opportunities that might exist for
the coordination, consolidation, or integration of
programs to improve service or generate cost savings.
(3) The head of each agency shall--
(A) use, as necessary and appropriate, a variety of
assessment methods to support performance assessments,
including methods contained in reports from evaluation
centers, in assessments by States, and in available
Federal program assessments;
(B) maintain an archive of information required to be
disclosed under this section that is, to the maximum
extent practicable, readily available, accessible, and
easily found by the public; and
(C) consider the relevant comments submitted under
subsection (d)(2).
(f) Classified Information.--(1) With respect to performance
assessments conducted during a fiscal year that contain
classified information, the President shall submit--
(A) each quarterly performance assessment (including
the classified information), to the appropriate
committees of Congress; and
(B) an appendix containing a list of each affected
goal and the committees to which a copy of the
performance assessment was submitted under subparagraph
(A), to the congressional committees described in
subsection (i).
(2) Upon request from a congressional committee described in
subsection (i), the Director of the Office of Management and
Budget shall provide to the Committee a copy of--
(A) any performance assessment described in
subparagraph (A) of paragraph (1) (including any
assessment not listed in any appendix submitted under
subparagraph (B) of such paragraph); and
(B) any appendix described in subparagraph (B) of
paragraph (1).
(3) In this subsection, the term ``classified information''
refers to matters described in section 552(b)(1)(A) of title 5.
(g) Inherently Governmental Functions.--The functions and
activities authorized or required by this section shall be
considered inherently governmental functions and shall be
performed only by Federal employees.
(h) Report Streamlining.--To eliminate redundancy, the head
of an agency may determine each year, subject to the approval
of the Director of the Office of Management and Budget and
provided that it meets the requirements of this section and
sections 1115, 1116, 1117, 1121, and the first 9703 of this
title, that the performance information provided to the public
on the Internet is sufficient to meet the planning and
reporting requirements of such sections.
(i) Congressional Committees.--The congressional committees
described in this subsection are the following:
(1) The Committee on Oversight and Government Reform
of the House of Representatives.
(2) The Committee on Homeland Security and
Governmental Affairs of the Senate.
(3) The Committees on Appropriations of the House of
Representatives and the Senate.
(4) The Committees on the Budget of the House of
Representatives and the Senate.
(j) Definitions.--In this section:
(1) Agency performance improvement officer.--The term
``agency performance improvement officer'' means a
senior executive of an agency who is designated by the
head of the agency, and reports to the head of the
agency, the agency Deputy Secretary, or such other
agency official designated by the head of the agency,
to carry out the requirements of this section.
(2) Performance information.--The term ``performance
information'' means the results of assessments
conducted under this section.
Sec. 1121. Improving Government performance
(a) Duties of Agency Performance Improvement Officers.--
Subject to the direction of the head of the agency, each agency
performance improvement officer shall--
(1) advise and assist the head of the executive
agency and other agency officials to ensure that the
mission of the executive agency is achieved through
performance planning, measurement, analysis, and
regular assessment of progress, including the
requirements of this section and sections 1115, 1116,
1117, 1120, and the first 9703 of this title and
section 306 of title 5;
(2) advise the head of the agency on the selection of
agency goals, including opportunities to collaborate
with other agencies on common goals, and on whether--
(A) the performance targets required under
section 1115 of this title and the strategic
plans required under section 306 of title 5
are--
(i) sufficiently aggressive toward
full achievement of the purposes of the
agency; and
(ii) realistic in light of authority
and resources provided for operations;
and
(B) means for measurement of progress toward
achievement of the goals are sufficiently
rigorous, aligned to outcomes, useful, and
accurate as appropriate to the intended use of
the measures;
(3) support the head of the agency, agency Deputy
Secretary, or such other agency senior official
designated by the head of the agency in the conduct of
at least quarterly performance assessments, while
strengthening the performance management activities of
the entire agency (including subcomponents) through at
least quarterly performance assessments to--
(A) assess progress toward achievement of the
goals administered in whole or in part by the
agency, as well as any goals common to that
agency and other agencies;
(B) identify factors affecting progress and
benchmarking comparisons;
(C) consider actions to improve the
performance and efficiency of programs,
projects, and activities; and
(D) hold leaders and managers accountable for
effective and efficient implementation and for
adjusting agency actions based on evolving
evidence;
(4) assist the head of the agency 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;
(5) assist the head of the agency in overseeing the
implementation required under section 1120 of this
title;
(6) ensure that agency progress toward achievement of
all goals is communicated to leaders, managers, and
employees in the agency and Congress, and made public
on the Internet; and
(7) provide training for agency managers, program
directors, supervisors, and employees on how to use
performance targets, measure key performance
indicators, assess programs, and analyze data to
improve performance.
(b) Establishment and Operation of Performance Improvement
Council.--
(1) There is established in the executive branch a
Performance Improvement Council.
(2) The Performance Improvement Council shall consist
exclusively of--
(A) the Deputy Director for Management of the
Office of Management and Budget, who shall
serve as Chair;
(B) such agency performance improvement
officers as determined appropriate by the
Chair; and
(C) such other permanent employees of an
agency as determined appropriate by the Chair
in consultation with the agency concerned.
(3) The Chair or the Chair's designee shall convene
and 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.
(4) To assist in implementing the requirements of
sections 1105, 1115, 1116, 1117, 1120, and the first
9703 of this title and section 306 of title 5, the
Performance Improvement Council shall--
(A) 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 may specify, recommendations concerning--
(i) performance management policies
and requirements;
(ii) criteria for assessment of
program, project, and activity
performance; and
(iii) how the goals required by
section 1120(a) of this title can
inform the Federal Government
performance plan required by section
1105(a)(28) of this title, and lead to
improved results from and interagency
coordination of programs that perform
similar functions;
(B) facilitate the exchange among agencies of
information on performance management,
including strategic and annual planning and
reporting, to accelerate improvements in
performance;
(C) monitor the performance assessment
process required under section 1120 of this
title;
(D) facilitate keeping members and committees
of Congress and the public informed, and with
such assistance of heads of agencies and agency
performance improvement officers as the
Director of the Office of Management and Budget
may require, provide members and committees of
Congress and the public with information on the
Internet on how well each agency performs and
that serves as a comprehensive source of
information on--
(i) agency strategic plans;
(ii) annual performance plans and
annual performance reports;
(iii) performance information
required under section 1120 (d) of this
title;
(iv) the status of the implementation
of performance assessments required
under section 1120 of this title;
(v) relevant impact and process
assessments; and
(vi) consistent with the direction of
the head of the agency concerned after
consultation with the Director of the
Office of Management and Budget, any
publicly available reports by the
agency's Inspector General concerning
agency program performance;
(E) monitor implementation by agencies of the
policy set forth in sections 1115, 1116, 1117,
1120, and the first 9703 of this title and
section 306 of title 5 and report thereon from
time to time as appropriate 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 such times and in such formats as
the Chair may specify, together with any
recommendations of the Council for more
effective implementation of such policy;
(F) obtain information and advice, as
appropriate, in a manner that seeks individual
advice and does not involve collective judgment
or consensus advice or deliberation, from--
(i) State, local, territorial, and
tribal officials;
(ii) representatives of entities or
other individuals; and
(iii) members and committees of
Congress;
(G) coordinate with other interagency
management councils; and
(H) make recommendations to Congress on
duplicative, unused, or outdated performance
policies or reporting requirements.
(5)(A) The Administrator of General Services shall
provide administrative and other support for the
Council to implement this section.
(B) The heads of agencies shall provide, as
appropriate and to the extent permitted by law, such
information and assistance as the Chair may request to
implement this section.
(c) Additional Duties of the Council.--The Council--
(1) shall develop a website for Federal agency
performance information;
(2) shall link program performance information to
program spending information on the website
www.USASpending.gov; and
(3) shall submit a report to Congress on the
feasibility of creating a single web-based platform for
all Government spending information and all program
performance information.
* * * * * * *
----------
TITLE 5, UNITED STATES CODE
* * * * * * *
PART I--THE AGENCIES GENERALLY
* * * * * * *
CHAPTER 3--POWERS
* * * * * * *
Sec. 306. Strategic plans
(a) [No later than September 30, 1997,] Not later than
September 30 of the second year following a year in which an
election for President occurs, beginning with September 30,
2010, the head of each agency shall submit to the Director of
the Office of Management and Budget and to the Congress a
strategic plan for program activities. Such plan shall
contain--
(1) * * *
* * * * * * *
[(b) The strategic plan shall cover a period of not less than
five years forward from the fiscal year in which it is
submitted. The strategic plan shall be updated and revised at
least every three years, except that the strategic plan for the
Department of Defense shall be updated and revised at least
every four years.]
(b) Each strategic plan shall cover the four-year period
beginning on October 1 of the second year following a year in
which an election for President occurs.
* * * * * * *
PART III--EMPLOYEES
* * * * * * *
SUBPART C--EMPLOYEE PERFORMANCE
* * * * * * *
CHAPTER 43--PERFORMANCE APPRAISAL
* * * * * * *
SUBCHAPTER II--PERFORMANCE APPRAISAL IN THE SENIOR EXECUTIVE SERVICE
* * * * * * *
Sec. 4313. Criteria for performance appraisals
Appraisals of performance in the Senior Executive Service
shall be based on both individual and [organizational
performance,] organizational performance (including such
reviews of agency performance, conducted under section 1120 of
title 31, as are relevant), taking into account such factors
as--
(1) * * *
* * * * * * *
MINORITY VIEWS
H.R. 2142, as amended and reported by the Committee on
Oversight and Government Reform, would modify aspects of the
Government Performance and Results Act of 1993 (GPRA).
Currently, GPRA requires agencies to develop five-year
strategic plans, annual performance plans, and annual program
performance reports.
H.R. 2142 would establish a framework for quarterly
``performance reviews'' focused on pursuit of agency-wide
``high-priority performance goals'' set by agencies in
consultation with OMB. According to CRS, the Administration
envisions these reviews to be ``in-person meetings.'' The
results of the reviews would be posted on OMB's website. H.R.
2142 would also establish an OMB-controlled Performance
Improvement Council staffed by agency Performance Improvement
Officers.
During Committee markup, Ranking Member Issa offered an
amendment (accepted) which strengthens the bill by requiring
agencies and OMB to consider program-level performance instead
of just progress made toward meeting broad agency-wide goals.
The amendment requires agencies and OMB to review progress
toward meeting existing GPRA-mandated performance goals
semiannually; it also strengthens the existing GPRA statute by
including additional program performance metrics in the
planning process.
Unfortunately, although H.R. 2142 may sound like a good-
government bill, it falls short of the threshold for support on
a number of key points.
First, according to the Congressional Budget Office, it
increases discretionary spending by $150 million over the next
five years. At a time of record budget deficits, Congress ought
to pass legislation that reduces spending or at least holds it
steady.
Second, although H.R. 2142 spends millions of dollars
creating ``performance improvement officers'' at federal
agencies and establishing an interagency ``performance
improvement council,'' it does not establish a means by which
agencies must consolidate or eliminate failing programs. The
lack of real consequences for programs that do not meet their
goals is a serious weakness of H.R. 2142.
Third, in an amendment offered by Mr. Schock there would
have been a federal program sunset commission created to sunset
or drastically change underperforming federal programs. The
commission would review every federal program and make
recommendations to Congress on how to improve or consolidate
each program. Within one year of a sunset commission review, a
program would be automatically abolished unless reauthorized by
Congress. Mr. Schock's amendment failed in committee.
In a study recently released by the Mercatus Center at
George Mason University, economist Jerry Ellig examined the
impact of GPRA on the internal management of federal programs
and on congressional decision making. Professor Ellig found
that while GPRA was successful in improving the availability
and use of performance information in federal agencies, this
information was rarely, if ever, taken into account by Congress
in making budgetary decisions:
A content analysis of appropriations documents suggests
Congress had little interest in using performance information
at this time. Moynihan (2008) examined appropriations bills,
accompanying conference reports, and oversight and
appropriations hearings in search of performance discussions.
In 3,527 single-spaced pages of text, he found that
`performance' was mentioned just 57 times in reference to
expected or projected program performance . . . and 47 times in
reference to actual program achievement.
Ellig went on to argue that in order for performance
information to have a significant impact on budgetary
decisions, the incentives facing decision makers must change.
He suggested consideration of reforms like budget amendment
rules, supermajority requirements, and a commission to
terminate ineffective programs.
Darrell E. Issa.