United States General Accounting Office

GAO General Government Division

May 1997

Version 1

Agencies' Strategic

Plans Under GPRA:

Key Questions 

to Facilitate

Congressional

Review

GAO/GGD-10.1.16
Preface

Under the Government Performance and Results Act (GPRA) of 1993, every major

federal agency must now ask itself some basic questions: What is our mission? 

What are our goals and how will we achieve them? How can we measure our

performance? How will we use that information to make improvements? GPRA

forces a shift in the focus of federal agencies--away from such traditional concerns

as staffing and activity levels and toward a single overriding issue: results. The

act requires agencies to set goals, measure performance, and report on their

accomplishments. 

There is no more important element in results-oriented management than an

agency's strategic planning effort. This effort is the starting point and foundation

for defining what the agency seeks to accomplish, identifying the strategies it will

use to achieve desired results and then determining how well it succeeds in

reaching results-oriented goals and achieving objectives. Developing a strategic

plan can help clarify organizational priorities and unify the agency's staff in the

pursuit of shared goals. 

Leading results-oriented organizations focus on the process of strategic planning,

rather than on a strategic planning document. They believe strategic planning is

not a static or occasional event, but rather a dynamic and inclusive process. If

done well, strategic planning is continuous, provides the foundation for the most

important things the organization does each day, and fosters informed

communication between the organization and its stakeholders--that is, those parties

potentially affected by or interested in the organization's activities.

For strategic planning to be done well, we found that three practices appear to be

critical.1

 Organizations must (1) involve their stakeholders; (2) assess their internal

and external environments; and (3) align their activities, core processes, and

resources to support mission-related outcomes. Stakeholder involvement is

particularly important for federal agencies because they operate in a complex

political environment in which legislative mandates are often broadly stated and

some stakeholders may disagree strongly about the agency's mission and goals.

The act seeks to address such situations by requiring agencies, as they develop

their strategic plans, to consult with Congress and solicit the views of other key

stakeholders. According to the Office of Management and Budget (OMB) Circular

 

1

Executive Guide: Effectively Implementing the Government Performance and Results Act

(GAO/GGD-96-118, June 1996).

 GAO/GGD-10.1.16 Congressional Review of Agency Strategic Plans Page 1 
Preface

No. A-11, Part 2,2 a transmittal letter to Congress accompanying the strategic plan,

is to include information on the consultations that occurred and goals or strategies

suggested by stakeholders that are contrary to the agency's strategic plan. The

letter also is to describe the contribution (if significant) made by nonfederal

parties--e.g., consultants, customers, contractors, state governments--in the

preparation of the strategic plan.

Purpose and Use of This Guide

In March 1997, after interviewing both congressional staff and agency officials who

had participated in early consultations, we testified on some general approaches

that may contribute to the usefulness of GPRA consultations.3

 Congressional staff

and agency officials expressed a widespread appreciation for the essential role that

consultations can play in the development of a strategic plan that is useful to the

agency and appropriately takes into account the views of Congress. However, both

congressional staff and agency officials we interviewed believed that their

consultation experiences had been too limited to use in identifying specific best

practices for future consultations.

Recognizing that best practices had not yet evolved, the Chairmen of the

Government Reform and Oversight Committee, Committee on Appropriations, and

Committee on the Budget in the House of Representatives requested that we

develop an initial set of key questions to facilitate congressional consultations on

the plans and to help Congress determine how those plans can be improved to

better support congressional and agency decisionmaking. They saw a need for a

readily usable tool to provide a starting point for fruitful dialogue. This guide was

developed in response to that request. The guide should also be helpful to

agencies as they develop their strategic plans. We expect that as agencies and

Congress gain experience with the act, develop strategic plans and engage in the

required consultations, additional issues and key questions will emerge. We will

incorporate those issues and key questions into subsequent versions of this

document as appropriate.

This document consists of three sections. The first lists key questions on the

overall strategic plan that congressional staff may find useful in determining how

those plans can be improved to better support congressional and agency

decisionmaking. For each of the six critical components GPRA requires for

strategic plans, the second section describes the component's purpose, includes a 

definition, and suggests key questions for the consultation. The third section

 

2

Circular A-11, Part 2, Preparation and Submission of Strategic Plans (Sept. 1995).

3Managing For Results: Enhancing the Usefulness of GPRA Consultations Between the Executive

Branch and Congress (GAO/T-GGD-97-56, March 10, 1997).

Page 2 GAO/GGD-10.1.16 Congressional Review of Agency Strategic Plans
Preface 

consists of a set of tables that repeat the key questions on the overall plan and for

each component of the plan. The tables are intended to facilitate a "hands on"

review of draft plans by providing space to write comments on or answers to each

question.

One key lesson that emerged from our examinations of early consultation efforts

was that to be most useful, consultations must be tailored to the individual needs

and experiences of congressional committees and agencies. Thus, every question

contained in this guide may not be appropriate for every specific consultation. 

Congressional staff may want to focus on those questions that are most relevant to

their needs as they engage in a particular consultation.

We developed this guide based on GPRA requirements for agency strategic plans;

key steps and best practices described in our Executive Guide for effectively

implementing the act; and guidance contained in the OMB Circular No. A-11, Part

2. To help ensure its usefulness to congressional staff, the guide was reviewed by

selected House staff actively involved in consultations; their suggested

improvements were incorporated. We also obtained and incorporated comments

from OMB staff directly involved in overseeing agencies' efforts to implement the

act. 

Major contributors to this guide were Donna Byers, Victoria M. O'Dea, Hazel

Bailey, Alan Stapleton, and J. Christopher Mihm. An electronic version of this

guide is available from GAO's World-Wide Web server at the following Internet

address: http://www.gao.gov.

If you have any questions about this guide, please contact Michael Brostek,

Associate Director, or me on (202) 512-8676. 

L. Nye Stevens

Director, Federal Management and

 Workforce Issues

 GAO/GGD-10.1.16 Congressional Review of Agency Strategic Plans Page 3 
Agencies' Strategic Plans Under GPRA: Key Questions

Page 4 GAO/GGD-10.1.16 Congressional Review of Agency Strategic Plans
Agencies' Strategic Plans Under GPRA: 

Key Questions to Facilitate Congressional Review

Table of Contents

Preface 1

Purpose and Use of This Guide 2

Section 1 7

Key Questions on 

the Overall Strategic Plan 

for the Agency 

Section 2 9

Key Questions on 

Required Components 

of Agency Strategic Plans

Component 1: Mission Statement 10

Component 2: Goals and Objectives 12

Component 3: Approaches to Achieve Goals and Objectives 14

Component 4: Relationship Between Long-Term Goals/Objectives 16

 and Annual Performance Goals

Component 5: Key External Factors Beyond the Agency's Control 18

Component 6: How Program Evaluations Were Used to 20 

 Establish/Revise Strategic Goals

Section 3 22

Tables for Reviewing 

Agency Strategic Plans

 GAO/GGD-10.1.16 Congressional Review of Agency Strategic Plans Page 5 
Agencies' Strategic Plans Under GPRA: Key Questions

Page 6 GAO/GGD-10.1.16 Congressional Review of Agency Strategic Plans
Section 1

Key Questions on the Overall Strategic

Plan for the Agency

The following section provides key questions on the agency's overall plan that may

facilitate congressional consultations on the plan, including determining how the

plan relates to other management initiatives on information technology and

financial information. 

The Overall Strategic Plan: Key Questions

Is the plan consistent with legislative priorities and agendas? Are there areas

important to your Committee that have not been addressed in the strategic

plan?

Did the agency already consult with other congressional committees? What

were their views on the draft plan's mission, strategic goals, and strategies?

Does the plan reflect coordination with other executive agencies as

appropriate? Are other agencies' plans attempting to achieve similar strategic

goals, or do they have activities or functions similar to those discussed in the

plan under review? If so, how does the plan ensure that such related efforts

are complementary, appropriate in scope, and not unnecessarily duplicative?

What organizations and individuals were key stakeholders and why? Were their

views on the plan solicited and incorporated? Why or why not?

What agency staff were involved in developing the plan? Did they include line

managers? How, if at all, does the agency plan to communicate the goals,

priorities, and decisions reflected in the strategic plan to managers and staff

throughout the agency?

What contribution was made by nonfederal parties--e.g., consultants, customers,

contractors, state governments--in preparing the plan?

If the agency was involved in a GPRA performance measurement pilot project,

did any "lessons learned" from the pilot influence the draft strategic plan? 

How?

 GAO/GGD-10.1.16 Congressional Review of Agency Strategic Plans Page 7 
Section 1: Agency Overall Strategic Plans

How will information technology reforms required by the Paperwork Reduction

Act of 1995 and the Clinger-Cohen Act of 1996 better support the agency's

mission and improve its program performance? 

Is there an investment control process, consistent with the Clinger-Cohen Act,

to prioritize information technology projects in line with the agency's overall

goals and priorities?

Does the plan include a general description of the information resources needed

to meet the agency's strategic goals? Does this information include steps to

build the staff skills to develop and manage the information systems needed to

support the achievement of GPRA goals?

How does the agency plan to provide timely, reliable, useful, and consistent

financial information as required by the Chief Financial Officers Act, as

expanded and amended by the Government Management Reform Act?

Overall, is the plan logical, and do the various components fit together well? In

other words, can the plan, if implemented well, get the agency "from here to

there?"

The following section discusses key questions on each component of an agency

strategic plan that may be useful to congressional staff who are preparing for

consultations with agency officials.

Page 8 GAO/GGD-10.1.16 Congressional Review of Agency Strategic Plans
Section 2

Key Questions on Required Components

of Agency Strategic Plans

GPRA requires that each strategic plan include six components. This section

describes each component's purpose and includes a definition. It also provides key

questions that may be useful for the consultation.

Six Required Components

Agency strategic plans are to have six critical components:

(1) a comprehensive agency mission statement;

(2) agencywide long-term goals and objectives for all major functions and

operations;

(3) approaches (or strategies) to achieve the goals and objectives and the

various resources needed;

(4) a relationship between the long-term goals/objectives and the annual

performance goals; 

(5) an identification of key factors, external to the agency and beyond its

control, that could significantly affect achievement of the strategic goals; and

(6) a description of how program evaluations were used to establish or

revise strategic goals, and a schedule for future program evaluations.

 GAO/GGD-10.1.16 Congressional Review of Agency Strategic Plans Page 9 
Section 2: Components of Agency Strategic Plans

(1) Mission Statement

The mission statement brings the agency into focus. It explains why the agency

exists and tells what it does. Because programs ultimately must have a statutory

basis and because Congress is the source of legislation creating, modifying, and

funding programs, Congress' involvement is indispensable in defining each agency's

mission and establishing its goals. This involvement may entail identifying

legislative changes that are needed to clarify or modify Congress' intent and

expectations or addressing differing conditions and citizens' needs that have

occurred since the original statutory requirements were established. 

The federal government's adaptive responses over time to new needs and problems

have also contributed to fragmentation and overlap in a host of program areas,

such as food safety, employment training, early childhood development, and rural

development.4

 Overlapping and fragmented programs waste scarce funds, confuse

and frustrate program customers, and limit the overall effectiveness of the federal

effort.

The requirement for agencies to consult with Congress in developing their strategic

plans presents an important opportunity for congressional committees and the

executive branch to work together to address the problem of agencies whose (1)

missions are not well-defined or are not aligned with related efforts in other

agencies, (2) goals are unclear or nonexistent, and (3) programs are not properly

targeted. Such consultations should be helpful to Congress in modifying agencies'

missions; setting better priorities; and restructuring, creating, or terminating

programs. 

 

4

See, for example, Food Safety: A Unified, Risk-Based Food Safety System Needed (GAO/T-RCED94-223, May 1994) and Early Childhood Programs: Multiple Programs and Overlapping Target

Groups (GAO/HEHS-95-4FS, Oct. 31, 1994).

Page 10 GAO/GGD-10.1.16 Congressional Review of Agency Strategic Plans
 

Components of Agency Strategic Plans: Section 2 

Mission Statement: Key Questions 

Is the mission results-oriented, and does it fulfill a public need? If not, how

could the mission better focus on results? 

Is the mission based on statute, and if so, does it cover all relevant statutes?

Are parts of the agency's functions or activities not covered in the mission

statement? Why?

Are there developments (e.g., in technology or competition) that suggest the

mission and corresponding legislation need to be revised or updated?

Is the agency's mission similar to those of other agencies, and if so, has

coordination occurred? Does unwarranted duplication of missions exist?

How is the agency's mission differentiated from those of other agencies with

similar missions? Are there unique agency characteristics that give it an

advantage in fulfilling its mission, such as location of field offices or staff

expertise? 

 GAO/GGD-10.1.16 Congressional Review of Agency Strategic Plans Page 11 
Section 2: Components of Agency Strategic Plans

(2) General Goals and Objectives

General goals and objectives--or strategic goals--explain what results are expected

from the agency's major functions and when to expect those results. Thus, such

goals are an outgrowth of the mission and are very often results-oriented. The

general goals need not be in a quantitative or measurable form, but the Senate

Committee on Governmental Affairs' committee report (S. Rep. 103-58) on GPRA

says goals must be expressed in a manner that allows for future assessment of

whether they are being achieved.

Congress intended for GPRA to fundamentally shift the focus of federal

management and oversight from a focus on staffing and activity levels to a focus

on the results of federal programs. This will not be an easy transition, nor will it

be quick because agencies must move beyond what they control--their activities--to

focus on what they merely influence--their results. But the act has the potential for

adding greatly to government performance--a particularly vital goal at a time when

resources are limited and public demands are high.

Page 12 GAO/GGD-10.1.16 Congressional Review of Agency Strategic Plans
 

Components of Agency Strategic Plans: Section 2 

Goals and Objectives: Key Questions

Do the goals cover the major functions and operations of the agency? If not,

what functions and operations are missing? Are the goals logically related to

the mission?

Are the goals results-oriented, such as to reduce crime or have fewer

workplace accidents? Or, are they focused more on outputs, such as

inspecting more workplaces? If so, why?

If the goals are not expressed in a quantitative or measurable form, are they

expressed in a manner that will allow the agency and Congress to assess

whether the goals are achieved?

Are all of the agency's goals and priorities consistent with Congress' goals and

priorities? When differences exist, why do they exist, and can they be

resolved?

Do the agency's goals appear similar to the goals in plans of other agencies

that are performing related activities? If so, are these sets of goals

complementary or duplicative?

Are the goals targeted at results over which the agency has a reasonable

degree of influence (may not apply to all agencies)?

 GAO/GGD-10.1.16 Congressional Review of Agency Strategic Plans Page 13 
Section 2: Components of Agency Strategic Plans

(3) Approaches or Strategies to Achieve 

the General Goals and Objectives

Strategies help in aligning an agency's activities, core processes, and resources to

support achievement of the agency's strategic goals and mission. Under GPRA,

strategies are to briefly describe the operational processes, staff skills, and

technologies, as well as the human, capital, information, and other resources,

needed. According to OMB Circular No. A-11, Part 2, such strategies should also

outline how the agency will communicate strategic goals throughout the

organization, and hold managers and staff accountable for achieving these goals. 

We have found that some agencies need to do a better job of designing strategies

to improve efficiency and reduce costs.5

 In an era of fiscal constraint, agencies'

planning processes should support making intelligent resource allocation decisions

that minimize, to the extent possible, the effect of funding reductions on mission

accomplishment. Congress can use the consultation process to assure itself that

the agency has designed well-thought-out strategies to achieve results-oriented

goals and that the strategies are consistent with Congress' fiscal realities. 

 

5

For example, see State Department: Options for Addressing Possible Budget Reductions

(GAO/NSIAD-96-124, Aug. 29, 1996).

Page 14 GAO/GGD-10.1.16 Congressional Review of Agency Strategic Plans
 

Components of Agency Strategic Plans: Section 2 

Approaches or Strategies: Key Questions

How are the goals to be achieved? Are the strategies logically linked to the

goals and the day-to-day activities of the managers and staff? Are they

consistent with historical resource trends?

What steps will the agency take to align its activities, core processes,

workforce, and other resources to support its mission-related outcomes?

What are the required resources, such as human, capital, and information? 

Are new regulations, flexibilities, user fees, or legislation required?

What steps is the agency taking to ensure that managers have the authority

they need to achieve results? Are there strategies to hold managers

accountable for the results? Are there any strategies that focus on providing

incentives for managers and other staff to achieve the goals?

Do managers have the knowledge, skills, and abilities to implement GPRA? If

not, what strategies are needed to develop the necessary capacity? 

Are technological advances necessary to successfully execute the strategies? 

If so, how likely are those advances?

What, if any, alternative strategies were considered? 

Are there programs or activities that need to be eliminated, created, or

restructured to achieve the goals?

 GAO/GGD-10.1.16 Congressional Review of Agency Strategic Plans Page 15 
Section 2: Components of Agency Strategic Plans

(4) Relationship Between the Long-Term

Goals/Objectives and the Annual Performance Goals

Under GPRA, agencies' long-term strategic goals are to be linked to their annual

performance plans and the day-to-day activities of their managers and staff. 

Without this linkage, Congress may not be able to judge whether an agency is

making progress toward achieving its long-term goals. The first governmentwide

annual performance plan is to cover fiscal year 1999 and be submitted to Congress

about February 1998 with the President's budget. The individual agency plans are

to be submitted to Congress shortly thereafter. In anticipation of Congress

receiving these annual plans, many congressional staff are particularly interested in

how general goals will be translated into the future annual performance goals. We

include several related questions that congressional staff may want to ask agency

officials.

GPRA defines an annual performance goal as the target level of performance

expressed as a tangible, measurable objective against which actual achievement is

to be compared. An annual performance goal is to consist of two parts: (1) the

performance measure that represents the specific characteristic of the program

used to gauge performance and (2) the target level of performance to be achieved

during a given fiscal year for the measure. For example, a tangible goal may be to

increase the lead time for predicting tornadoes (characteristic) from 7 to 9 minutes

(target level).

In areas where meaningful objective measurement is not feasible, GPRA allows

agencies to use an alternative form of performance assessment, provided they

receive authorization from OMB. All forms of performance assessment must be in

terms that would permit an independent determination of whether the program's

eventual performance corresponded to the performance statement.

Page 16 GAO/GGD-10.1.16 Congressional Review of Agency Strategic Plans
 

Components of Agency Strategic Plans: Section 2 

Relationship Between Long-Term Goals and Annual

Performance Goals: Key Questions

Does the plan describe how annual performance goals will be related to longterm goals, e.g., how annual goals will be used to gauge progress? If not, why

not?

What additional descriptive information, if any, could be included in the

strategic plan to help clarify the link between the strategic goals and the

annual goals that will subsequently be proposed? For example, are key terms

and performance measures defined?

Does the strategic plan recognize the need for a clear linkage between the

annual goals and the program activity structure listed in the budget?

Is the agency considering whether any revisions will be needed to budget

account and program activity structures? If revisions will be needed, is the

agency consulting with the Committees on Appropriations and cognizant

authorizing committees?

Does the strategic plan indicate whether each long-term strategic goal will

have a corresponding outcome-oriented annual performance goal?

Will the agency's annual performance goals be tangible or measurable? If not,

does the agency plan to ask OMB for an alternative form of performance

assessment for its annual performance plan? If so, will the alternative provide

some basis for assessing whether the goals were met?

Has the agency established annual performance measures to determine how

well information technology is supporting strategic and program goals, as

required by the Clinger-Cohen Act?

Will the agency's performance goals include goals related to reducing any

unintended negative effects of agency programs, e.g., increases in loan default

rates or in the burden that agency programs may place on the private sector?

 GAO/GGD-10.1.16 Congressional Review of Agency Strategic Plans Page 17 
Section 2: Components of Agency Strategic Plans

(5) Key External Factors Beyond 

the Agency's Control

This component of the plan involves an identification and discussion of key factors

external to the agency and beyond its control that could occur during the period

covered by the strategic plan and could significantly affect achievement of strategic

goals. Such factors could include economic, demographic, social, technological, or

environmental factors. Without this assessment, Congress or the agencies may not

be able to judge the likelihood of achieving the strategic goals and actions needed

to better meet those goals.

External factors can at times invalidate assumptions that the agency initially used

to develop a goal. Consequently, information on these factors can be useful for

goal setting and also for explaining results in the agency's annual performance

reports, including, when applicable, the reasons annual performance goals were not

met.

Key external factors could also include conditions or events that would affect the

agency's ability to achieve its strategic goals if they do not occur. For example,

achievement of goals can depend on the actions of other federal entities, state

governments, local governments, and nonfederal entities. According to OMB

Circular No. A-11, Part 2, in its plan, the agency should briefly (1) describe each

key factor, (2) indicate its link with a particular strategic goal or goals, and (3)

describe how achievement of the goal(s) could be affected by the factor.

Beyond monitoring external factors, leading organizations monitor their internal

environments continuously and systematically. Internal factors could include the

culture of the agency, its management practices, and its business processes. By

doing this internal monitoring, these organizations are better able to anticipate

future challenges and make adjustments so that potential problems do not become

crises. For this reason, we include a question about internal factors that

congressional staff may want to ask, even though assessing internal factors is not

required either by the act or OMB.

Page 18 GAO/GGD-10.1.16 Congressional Review of Agency Strategic Plans
 

Components of Agency Strategic Plans: Section 2 

External Factors: Key Questions

Does the agency monitor external factors? If not, why not? If it does, is the

monitoring process likely to identify all the major factors? What have been the

findings of this monitoring?

Have any actions been identified that could reduce or ameliorate the potential

impact of external factors?

Are the agency's strategies for achieving its long-term goals properly reflective

of external factors? For example, if changes in information technology make

it possible to increase productivity, does the plan discuss how this change will

be translated either into more progress in achieving results or into savings

through downsizing the workforce?

Does the agency monitor internal factors? What internal factors within the

control of the agency could affect achievement of the strategic goals? Are

agency culture changes needed?

 GAO/GGD-10.1.16 Congressional Review of Agency Strategic Plans Page 19 
Section 2: Components of Agency Strategic Plans

(6) How Program Evaluations Were Used 

 to Establish or Revise Strategic Goals

GPRA was intended, in part, to improve congressional and agency decisionmaking

by providing comprehensive and reliable information on the extent to which federal

programs are fulfilling their statutory intent. Program evaluations can be a

potentially critical source of information for Congress and others in ensuring the

validity and reasonableness of goals and strategies, as well as for identifying

factors likely to affect performance. Such information can also be useful in

explaining results in the agency's annual performance reports, including, when

applicable, the reasons annual performance goals were not met, and identifying

appropriate strategies to meet unmet goals.

Program evaluations are defined in the act as objective and formal assessments of

the results, impact, or effects of a program or policy. Program evaluations include

assessments of the implementation and results of programs, operating policies, and

practices. According to OMB Circular No. A-11, Part 2, the program evaluation

schedule included in the strategic plan should outline the general scope and

methodology for the evaluations, key issues to be addressed, and when such

evaluations are to occur. Further, such schedules should cover the fiscal years

leading to the next revision of the strategic plan.

Page 20 GAO/GGD-10.1.16 Congressional Review of Agency Strategic Plans
 

Components of Agency Strategic Plans: Section 2 

How Program Evaluations Were Used: 

Key Questions

Were program evaluation findings used in developing the strategic goals or

other components of the plan? Were GAO or Inspector General report

findings used?

Are systems in place or planned to produce reliable performance and cost

data needed to set goals, evaluate results, and improve performance? For

example, does the agency have trend or baseline data that it can use to

confidently set goals?

Is there a schedule for future program evaluations? If not, why not? If yes,

does it outline the general scope and methodology for the evaluations, key

issues to be addressed, and when such evaluations are to occur? 

How will future program evaluation findings be used to improve

performance? How will the agency's program evaluations inform

congressional decisionmaking?

 GAO/GGD-10.1.16 Congressional Review of Agency Strategic Plans Page 21 
Section 3

Tables for Reviewing 

Agency Strategic Plans

This section lists the six critical components of strategic plans and then repeats the

section 1 and 2 key questions in a table format. This format is intended to

facilitate a "hands on" review of draft strategic plans by providing space for

congressional staff to write their answer (or the agency's answer) to each question

and any comments they might want to make.

One key lesson that emerged from our examinations of early consultation efforts

was that to be most useful, consultations must be tailored to the individual needs

and experiences of congressional committees and agencies. Thus, every question

contained in this guide may not be appropriate for every specific consultation. 

Congressional staff may want to focus on those questions that are most relevant to

their needs as they engage in a particular consultation. Depending on the context,

some questions cannot be answered "yes" or "no." However, we have included

such response boxes for use when appropriate.

Required Components

As discussed in section 2, GPRA requires that agency strategic plans have six

critical components:

(1) a comprehensive agency mission statement;

(2) agencywide long-term goals and objectives for all major functions and

operations;

(3) approaches (or strategies) to achieve the goals and objectives and the

various resources needed;

(4) a relationship between the long-term goals/objectives and the annual

performance goals; 

(5) an identification of key factors, external to the agency and beyond its

control, that could significantly affect achievement of the strategic goals; and

(6) a description of how program evaluations were used to establish or

revise strategic goals, and a schedule for future program evaluations.

Page 22 GAO/GGD-10.1.16 Congressional Review of Agency Strategic Plans
 Tables for Reviewing Plans: Section 3 

OVERALL STRATEGIC PLAN

Question Yes No Comment

Is the plan consistent with

legislative priorities and agendas?

Are there areas important to your

Committee that have not been

addressed in the strategic plan?

Did the agency already consult with

other congressional committees?

What were their views on the draft

plan's mission, strategic goals, and

strategies?

Does the plan reflect coordination

with other executive agencies as

appropriate? 

Are other agencies' plans

attempting to achieve similar

strategic goals, or do they contain

activities or functions similar to

those discussed in the plan under

review? 

If so, how does the plan ensure

that such related efforts are

complementary, appropriate in

scope, and not unnecessarily

duplicative?

What organizations and individuals

were key stakeholders, and why?

Were their views on the plan

solicited and incorporated? Why or

why not?

 GAO/GGD-10.1.16 Congressional Review of Agency Strategic Plans Page 23 
Section 3: Tables for Reviewing Plans 

OVERALL STRATEGIC PLAN

Question Yes No Comment

What agency staff were involved in

developing the plan? Did they

include line managers? 

How, if at all, does the agency plan

to communicate the goals,

priorities, and decisions reflected in

the strategic plan to managers and

staff throughout the agency? 

What contribution was made by

nonfederal parties--e.g.,

consultants, customers, contractors,

state governments--in preparing the

plan?

If the agency was involved in a

GPRA performance measurement

pilot project, did any "lessons

learned" from the pilot influence the

draft strategic plan? If so, how?

How will information technology

reforms required by the Paperwork

Reduction Act of 1995 and the

Clinger-Cohen Act of 1996 better

support agencies' missions and

improve its program performance? 

Is there an investment control

process, consistent with the

Clinger-Cohen Act, to prioritize

information technology projects in

line with the agency's overall goals

and priorities?

Page 24 GAO/GGD-10.1.16 Congressional Review of Agency Strategic Plans
 Tables for Reviewing Plans: Section 3 

OVERALL STRATEGIC PLAN

Question Yes No Comment

Does the plan include a general

description of the information

resources needed to meet the

agency's strategic goals?

Does this information include steps

to build the staff skills to develop

and manage the information

systems needed to support the

achievement of GPRA goals?

How does the agency plan to

provide timely, reliable, useful, and

consistent financial information as

required by the Chief Financial

Officers Act, as expanded and

amended by the Government

Management Reform Act?

Overall, is the plan logical, and do

the various components fit together

well? In other words, can the plan,

if implemented well, get the agency

"from here to there?"

Additional comments:

 GAO/GGD-10.1.16 Congressional Review of Agency Strategic Plans Page 25 
Section 3: Tables for Reviewing Plans 

(1) MISSION STATEMENT

Question Yes No Comment

Is the mission results-oriented, and

does it fulfill a public need? 

If not, how could the mission better

focus on results? 

Is the mission based on statute,

and if so, does it cover all relevant

statutes? 

Are parts of the agency's functions

or activities not covered in the

mission statement?

Why?

Are there developments (e.g., in

technology or competition) that

suggest the mission and

corresponding legislation need to

be revised or updated?

Is the agency's mission similar to

those of other agencies, and if so,

has coordination occurred? Does

unwarranted duplication of missions

exist?

Page 26 GAO/GGD-10.1.16 Congressional Review of Agency Strategic Plans
 Tables for Reviewing Plans: Section 3 

(1) MISSION STATEMENT

Question Yes No Comment

How is the agency's mission 

differentiated from those of other

agencies with similar missions? 

Are there unique agency

characteristics that give it an

advantage in fulfilling its mission,

such as location of field offices or

staff expertise? 

Additional comments:

 GAO/GGD-10.1.16 Congressional Review of Agency Strategic Plans Page 27 
Section 3: Tables for Reviewing Plans 

(2) LONG-TERM GOALS AND OBJECTIVES

Question Yes No Comment

Do the goals cover the major

functions and operations of the

agency? If not, what functions and

operations are missing?

Are the goals logically related to the

mission?

Are the goals results-oriented, such

as to reduce crime or have fewer

workplace accidents?

Or, are they focused more on

outputs, such as inspecting more

workplaces? If so, why?

If the goals are not expressed in a

quantitative or measurable form,

are they expressed in a manner

that will allow the agency and

Congress to assess whether the

goals are achieved?

Are all of the agency's goals and

priorities consistent with Congress'

goals and priorities? 

When differences exist, why do

they exist, and can they be

resolved?

Page 28 GAO/GGD-10.1.16 Congressional Review of Agency Strategic Plans
 Tables for Reviewing Plans: Section 3 

(2) LONG-TERM GOALS AND OBJECTIVES

Question Yes No Comment

Do the agency's goals appear

similar to the goals in plans of other

agencies that are performing

related activities?

If so, are these sets of goals

complementary or duplicative?

Are the goals targeted at results

over which the agency has a

reasonable degree of influence

(may not apply to all agencies)?

Additional comments:

 GAO/GGD-10.1.16 Congressional Review of Agency Strategic Plans Page 29 
Section 3: Tables for Reviewing Plans 

(3) APPROACHES OR STRATEGIES TO

ACHIEVE THE GOALS AND OBJECTIVES

Question Yes No Comment

How are the goals to be achieved? 

Are the strategies logically linked to

the goals and the day-to-day

activities of the managers and

staff?

Are they consistent with historical

resource trends?

What steps will the agency take to

align its activities, core processes,

workforce, and other resources to

support its mission-related

outcomes?

What are the required resources,

such as human, capital, and

information? 

Are new regulations, flexibilities,

user fees, or legislation required?

What steps is the agency taking to

ensure that managers have the

authority they need to achieve

results? 

Are there strategies to hold

managers accountable for the

results? 

Are there any strategies that focus

on providing incentives for

managers and other staff to

achieve the goals? 

Page 30 GAO/GGD-10.1.16 Congressional Review of Agency Strategic Plans
 Tables for Reviewing Plans: Section 3 

(3) APPROACHES OR STRATEGIES TO

ACHIEVE THE GOALS AND OBJECTIVES

Question Yes No Comment

Do managers have the knowledge,

skills, and abilities to implement

GPRA?

If not, what strategies are needed

to develop the necessary capacity? 

Are technological advances

necessary to successfully execute

the strategies? If so, how likely are

those advances?

What, if any, alternative strategies

were considered?

Are there programs or activities that

need to be eliminated, created, or

restructured to achieve the goals?

Additional comments:

 GAO/GGD-10.1.16 Congressional Review of Agency Strategic Plans Page 31 
Section 3: Tables for Reviewing Plans 

(4) RELATIONSHIP BETWEEN THE LONGTERM GOALS AND THE ANNUAL

PERFORMANCE GOALS

Question Yes No Comment

Does the plan describe how annual

performance goals will be related to

long-term goals, e.g., how annual

goals will be used to gauge

progress? 

If not, why not?

What additional descriptive

information, if any, could be

included in the strategic plan to

help clarify the link between the

strategic goals and the annual

goals that will subsequently be

proposed? 

For example, are key terms and

performance measures defined?

Does the strategic plan recognize

the need for a clear linkage

between annual goals and the

program activity structure listed in

the budget? 

Is the agency considering whether

any revisions will be needed to

budget account and program

activity structures?

If revisions will be needed, is the

agency consulting with the

Committees on Appropriations and

cognizant authorizing committees?

Page 32 GAO/GGD-10.1.16 Congressional Review of Agency Strategic Plans
 Tables for Reviewing Plans: Section 3 

(4) RELATIONSHIP BETWEEN THE LONGTERM GOALS AND THE ANNUAL

PERFORMANCE GOALS

Question Yes No Comment

Does the strategic plan indicate

whether each long-term strategic

goal will have a corresponding

outcome-oriented annual

performance goal?

Will the agency's annual

performance goals be tangible or

measurable? If not, does the

agency plan to ask OMB for an

alternative form of performance

assessment for its annual

performance plan?

If so, will the alternative provide

some basis for assessing whether

the goals were met? 

Has the agency established annual

performance measures to

determine how well information

technology is supporting strategic

and program goals, as required by

the Clinger-Cohen Act?

Will the agency's performance

goals include goals related to

reducing any unintended negative

effects of agency programs; e.g.,

increases in loan default rates or in

the burden that agency programs

may place on the private sector?

 GAO/GGD-10.1.16 Congressional Review of Agency Strategic Plans Page 33 
Section 3: Tables for Reviewing Plans 

(5) KEY EXTERNAL FACTORS THAT COULD

AFFECT GOALS

Question Yes No Comment

Does the agency monitor external

factors? If not, why not?

If it does, is the monitoring process

likely to identify all the major

factors? 

What have been the findings of this

monitoring?

Have any actions been identified

that could reduce or ameliorate the

potential impact of external factors?

Are the agency's strategies for

achieving its long-term goals

properly reflective of external

factors? 

For example, if changes in

information technology make it

possible to increase productivity,

does the plan discuss how this

change will be translated either into

more progress in achieving results

or into savings through downsizing

the workforce?

Does the agency monitor internal

factors? What internal factors

within the control of the agency

could affect achievement of

strategic goals? 

Are agency culture changes

needed? 

Page 34 GAO/GGD-10.1.16 Congressional Review of Agency Strategic Plans
 Tables for Reviewing Plans: Section 3 

(6) HOW PROGRAM EVALUATIONS WERE

USED TO ESTABLISH /REVISE 

STRATEGIC GOALS

Question Yes No Comment

Were program evaluation findings

used in developing the strategic

goals or other components of the

plan? 

Were GAO or Inspector General

report findings used?

Are systems in place or planned to

produce reliable performance and

cost data needed to set goals, 

evaluate results, and improve

performance? 

For example, does the agency have

trend or baseline data that it can

use to confidently set goals?

Is there a schedule for future

program evaluations? If not, why

not? 

If yes, does it outline the general

scope of the evaluations, key

issues to be addressed, and when

such evaluations are to occur?

How will future program evaluation

findings be used to improve

performance? 

How will the agency's program

evaluations inform congressional

decisionmaking?

 GAO/GGD-10.1.16 Congressional Review of Agency Strategic Plans Page 35 
Notes 

Page 36 GAO/GGD-10.1.16 Congressional Review of Agency Strategic Plans
Notes 

(410130)

 GAO/GGD-10.1.16 Congressional Review of Agency Strategic Plans Page 37