```

[Congressional Bills 103th Congress]
[From the U.S. Government Publishing Office]
[H.R. 826 Introduced in House (IH)]

103d CONGRESS
  1st Session
                                H. R. 826

To provide for the establishment, testing, and evaluation of strategic 
planning and performance measurement in the Federal Government, and for 
                            other purposes.

_______________________________________________________________________

                    IN THE HOUSE OF REPRESENTATIVES

                            February 4, 1993

 Mr. Conyers (for himself, Mr. Clinger, and Mr. McDade) introduced the 
    following bill; which was referred jointly to the Committees on 
                    Government Operations and Rules

_______________________________________________________________________

                                 A BILL

 
To provide for the establishment, testing, and evaluation of strategic 
planning and performance measurement in the Federal Government, and for 
                            other purposes.

    Be it enacted by the Senate and House of Representatives of the 
United States of America in Congress assembled,

SECTION 1. SHORT TITLE.

    This Act may be cited as the ``Government Performance and Results 
Act of 1993''.

SEC. 2. FINDINGS AND PURPOSES.

    (a) Findings.--The Congress finds that--
            (1) waste and inefficiency in Federal programs undermine 
        the confidence of the American people in the Government and 
        reduces the Federal Government's ability to address adequately 
        vital public needs;
            (2) Federal managers are seriously disadvantaged in their 
        efforts to improve program efficiency and effectiveness, 
        because of insufficient articulation of program goals and 
        inadequate information on program performance; and
            (3) congressional policymaking, spending decisions and 
        program oversight are seriously handicapped by insufficient 
        attention to program performance and results.
    (b) Purposes.--The purposes of this Act are to--
            (1) improve the confidence of the American people in the 
        capability of the Federal Government, by systematically holding 
        Federal agencies accountable for achieving program results;
            (2) initiate program performance reform with a series of 
        pilot projects in setting program goals, measuring program 
        performance against those goals, and reporting publicly on 
        their progress;
            (3) improve Federal program effectiveness and public 
        accountability by promoting a new focus on results, service 
        quality, and customer satisfaction;
            (4) help Federal managers improve service delivery, by 
        requiring that they plan for meeting program objectives and by 
        providing them with information about program results and 
        service quality;
            (5) improve congressional decisionmaking by providing more 
        objective information on achieving statutory objectives, and on 
        the relative effectiveness and efficiency of Federal programs 
        and spending; and
            (6) improve internal management of the Federal Government, 
        and the intent of this Act is not to create any right or 
        benefit, substantive or procedural, enforceable at law by any 
        party against the United States, or any agency or office of the 
        United States.

SEC. 3. STRATEGIC PLANNING.

    Chapter 3 of title 5, United States Code, is amended by adding 
after section 305 the following new section:
``Sec. 306. Strategic plans
    ``(a) No later than September 30, 1997, the head of each agency 
shall submit to the Director of the Office of Management and Budget a 
strategic plan for program activities. Such plan shall contain--
            ``(1) a comprehensive mission statement covering the major 
        functions and operations of the agency;
            ``(2) general goals and objectives, including outcome-
        related goals and objectives, for the major functions and 
        operations of the agency;
            ``(3) a description of how the goals and objectives are to 
        be achieved, including a description of the operational 
        processes, skills and technology, and the human, capital, 
        information, and other resources required to meet those goals 
        and objectives;
            ``(4) a description of how the performance goals included 
        in the plan required by section 1115(a) of title 31 shall be 
        related to the general goals and objectives in the strategic 
        plan;
            ``(5) an identification of those key factors external to 
        the agency and beyond its control that could significantly 
        affect the achievement of the general goals and objectives; and
            ``(6) a description of the program evaluations used in 
        establishing or revising general goals and objectives, with a 
        schedule for future program evaluations.
    ``(b) The strategic plan shall cover a period of not less than five 
years forward from the fiscal year in which it is submitted, and shall 
be updated and revised at least every three years.
    ``(c) The performance plan required by section 1115 of title 31 
shall be consistent with the agency's strategic plan. A performance 
plan may not be submitted for a fiscal year not covered by a current 
strategic plan under this section.
    ``(d) When developing a strategic plan, the agency shall consult 
with the Congress, and shall solicit and consider the views and 
suggestions of those entities potentially affected by or interested in 
such a plan.
    ``(e) For purposes of this section the term `agency' means an 
Executive agency defined under section 105, but does not include the 
Central Intelligence Agency, the General Accounting Office, the Panama 
Canal Commission, the United States Postal Service, and the Postal Rate 
Commission.''.

SEC. 4. ANNUAL PERFORMANCE PLANS AND REPORTS.

    (a) Budget Contents and Submission to Congress.--Section 1105(a) of 
title 31, United States Code, is amended by adding at the end thereof 
the following new paragraph:
            ``(29) beginning with fiscal year 1999, a Federal 
        Government performance plan for the overall budget as provided 
        for under section 1115.''.
    (b) Performance Plans and Reports.--Chapter 11 of title 31, United 
States Code, is amended by adding after section 1114 the following new 
sections:
``Sec. 1115. Performance plans
    ``(a) In carrying out the provisions of section 1105(a)(29), 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) establish performance goals to define the level of 
        performance to be achieved by a program activity;
            ``(2) express such goals in an objective, quantifiable, and 
        measurable form unless permitted an alternative form under 
        subsection (b);
            ``(3) describe the operational processes, skills and 
        technology, and the human, capital, information, and other 
        resources required to meet the performance goals;
            ``(4) establish performance indicators to be used in 
        measuring or assessing the relevant outputs, service levels, 
        and outcomes of each program activity;
            ``(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.
    ``(b) If an agency, in consultation with the Office of Management 
and Budget, determines that it is not feasible to express the 
performance goals for a particular program activity in an objective and 
quantifiable form, the Office of Management and Budget may authorize an 
alternative form. Such alternative form shall--
            ``(1) include separate descriptive statements of--
                    ``(A) a minimally effective program, and
                    ``(B) a successful program,
                with sufficient precision and in such terms that would 
                allow for an accurate, independent determination of 
                whether the program activity's performance meets the 
                criteria of either description; or
            ``(2) state why it is infeasible or impractical to express 
        a performance goal in any form for the program activity.
    ``(c) In preparing a comprehensive and informative plan under this 
section, an agency may aggregate, disaggregate, or consolidate program 
activities, provided that any aggregation or consolidation does not 
omit or minimize the significance of any program activity constituting 
a major function or operation for the agency.
    ``(d) An agency may prepare a classified or non-public annex to its 
plan covering program activities or parts of program activities 
relating to--
            ``(1) national security;
            ``(2) the conduct of foreign affairs; or
            ``(3) the avoidance of interference with criminal 
        prosecution or revenue collection.
    ``(e) For purposes of this section and sections 1116 through 1119, 
and section 9704 the term--
            ``(1) `agency' means an Executive agency defined under 
        section 105 of title 5, United States Code, but does not 
        include the Central Intelligence Agency, the General Accounting 
        Office, the Panama Canal Commission, the United States Postal 
        Service, and the Postal Rate Commission;
            ``(2) `outcome measure' refers to an assessment of the 
        results of a program activity compared to its intended purpose;
            ``(3) `output measure' refers to the tabulation, 
        calculation, or recording of activity or effort and can be 
        expressed in a quantitative or qualitative manner;
            ``(4) `performance goal' means a target level of 
        performance expressed as a tangible, measurable objective, 
        against which actual achievement shall be compared, including a 
        goal expressed as a quantitative standard, value, or rate;
            ``(5) `performance indicator' refers to a particular value 
        or characteristic used to measure output or outcome;
            ``(6) `program activity' means a specific activity or 
        project as listed in the program and financing schedules of the 
        annual budget of the United States Government; and
            ``(7) `program evaluation' means an assessment, through 
        objective measurement and systematic analysis, of the manner 
        and extent to which Federal programs achieve intended 
        objectives.
``Sec. 1116. Program performance reports
    ``(a) No later than March 31, 2000, and no later than March 31 of 
each year thereafter, the head of each agency shall prepare and submit 
to the President and the Congress, a report on program performance for 
the previous fiscal year.
    ``(b)(1) Each program performance report shall set forth the 
performance indicators established in the departmental or agency 
performance plan, along with the actual program performance achieved 
compared with the performance goals expressed in the plan for that 
fiscal year.
    ``(2) If performance goals are specified by descriptive statements 
of a minimally effective program activity and a successful program 
activity, the results of such program shall be described in 
relationship to those categories, including whether the performance 
failed to meet the criteria of either category.
    ``(c) The report for fiscal year 2000 shall include actual results 
for the preceding fiscal year, the report for fiscal year 2001 shall 
include actual results for the two preceding fiscal years, and the 
report for fiscal year 2002 and all subsequent reports shall include 
actual results for the three preceding fiscal years.
    ``(d) Each report shall--
            ``(1) review the success of achieving the performance goals 
        of the fiscal year;
            ``(2) evaluate the performance plan for the current fiscal 
        year relative to the performance achieved toward the 
        performance goals in the fiscal year covered by the report;
            ``(3) explain and describe, where a performance goal has 
        not been met, including when a program activity's performance 
        is determined not to have met the criteria of a successful 
        program activity under section 1115(b)(2)--
                    ``(A) why the goal was not met;
                    ``(B) those plans and schedules for achieving the 
                established performance goal; and
                    ``(C) if the performance goal is impractical or 
                infeasible, why that is the case and what action is 
                recommended;
            ``(4) describe the use and assess the effectiveness in 
        achieving performance goals of any waiver under section 9703 of 
        this title; and
            ``(5) include the summary findings of those program 
        evaluations completed during the fiscal year covered by the 
        report.
    ``(e) The agency head may include all program performance 
information required annually under this section in an annual financial 
statement required under section 3515 if any such statement is 
submitted to the Congress no later than March 31 of the applicable 
fiscal year.
``Sec. 1117. Exemption
    ``The Director of the Office of Management and Budget may exempt 
from the requirements of sections 1115 and 1116 and section 306 of 
title 5, any agency with annual outlays of $20,000,000 or less.''.

SEC. 5. MANAGERIAL ACCOUNTABILITY AND FLEXIBILITY.

    (a) Managerial Accountability and Flexibility.--Chapter 97 of title 
31, United States Code, is amended by adding after section 9702, the 
following new section:
``Sec. 9703. Managerial accountability and flexibility
    ``(a) Beginning with fiscal year 1999, the performance plans 
required under section 1115 may include proposals to waive 
administrative procedural requirements and controls, including 
specification of personnel staffing levels, limitations on compensation 
or remuneration, and prohibitions or restrictions on funding transfers 
among budget object classification 20 and subclassifications 11, 12, 
31, and 32 of each annual budget submitted under section 1105, in 
return for specific individual or organization accountability to 
achieve a performance goal. In preparing and submitting the performance 
plan under section 1105(a)(29), the Office of Management and Budget 
shall review and may approve any proposed waivers. A waiver shall take 
effect at the beginning of the fiscal year for which the waiver is 
approved.
    ``(b) Any such proposal under subsection (a) shall describe the 
anticipated effects on performance resulting from greater managerial or 
organizational flexibility, discretion, and authority, and shall 
quantify the expected improvements in performance resulting from any 
waiver. The expected improvements shall be compared to current actual 
performance, and to the projected level of performance that would be 
achieved independent of any waiver.
    ``(c) Any proposal waiving limitations on compensation or 
remuneration shall precisely express the monetary change in 
compensation or remuneration amounts, such as bonuses or awards, that 
shall result from meeting, exceeding, or failing to meet performance 
goals.
    ``(d) Any proposed waiver of procedural requirements or controls 
imposed by an agency (other than the proposing agency or the Office of 
Management and Budget) shall be endorsed by the agency that established 
the requirement, and the endorsement included in the proposing agency's 
performance plan.
    ``(e) A waiver shall be in effect for one or two years. A waiver 
may be renewed for a subsequent year. After a waiver has been in effect 
for three consecutive years, the performance plan prepared under 
section 1115 may propose that a waiver, other than a waiver of 
limitations on compensation or remuneration, be made permanent.''.

SEC. 6. PILOT PROJECTS.

    (a) Performance Plans and Reports.--Chapter 11 of title 31, United 
States Code, is amended by inserting after section 1117 (as added by 
section 4 of this Act) the following new section:
``Sec. 1118. Pilot projects for performance goals
    ``(a) The Director of the Office of Management and Budget, after 
consultation with the head of each agency, shall designate not less 
than ten agencies as pilot projects in performance measurement for 
fiscal years 1994, 1995, and 1996. The selected agencies shall reflect 
a representative range of Government functions and capabilities in 
measuring and reporting program performance.
    ``(b) Pilot projects in the designated agencies shall undertake the 
preparation of performance plans under section 1115, and program 
performance reports under section 1116, other than section 1116(c), for 
one or more of the major functions and operations of the agency. A 
strategic plan shall be used when preparing agency performance plans 
during one or more years of the pilot period.
    ``(c) No later than May 1, 1997, the Director of the Office of 
Management and Budget shall submit a report to the President and to the 
Congress which shall--
            ``(1) assess the benefits, costs, and usefulness of the 
        plans and reports prepared by the pilot agencies in meeting the 
        purposes of the Government Performance and Results Act of 1993;
            ``(2) identify any significant difficulties experienced by 
        the pilot agencies in preparing plans and reports; and
            ``(3) set forth any recommended changes in the requirements 
        of the provisions of Government Performance and Results Act of 
        1993, section 306 of title 5, sections 1105, 1115, 1116, 1117, 
        1119 and 9704 of this title, and this section.''.
    (b) Managerial Accountability and Flexibility.--Chapter 97 of title 
31, United States Code, is amended by inserting after section 9703 (as 
added by section 5 of this Act) the following new section:
``Sec. 9704. Pilot projects for managerial accountability and 
              flexibility
    ``(a) The Director of the Office of Management and Budget shall 
designate not less than five agencies as pilot projects in managerial 
accountability and flexibility for fiscal years 1995 and 1996. Such 
agencies shall be selected from those designated as pilot projects 
under section 1118 and shall reflect a representative range of 
Government functions and capabilities in measuring and reporting 
program performance.
    ``(b) Pilot projects in the designated agencies shall include 
proposed waivers in accordance with section 9703 for one or more of the 
major functions and operations of the agency.
    ``(c) The Director of the Office of Management and Budget shall 
include in the report to the President and to the Congress required 
under section 1118(b) the following--
            ``(1) an assessment of the benefits, costs, and usefulness 
        of increasing managerial and organizational flexibility, 
        discretion, and authority in exchange for improved performance 
        through a waiver; and
            ``(2) an identification of any significant difficulties 
        experienced by the pilot agencies in preparing proposed 
        waivers.
    ``(d) For purposes of this section the definitions under section 
1115(e) shall apply.''.
    (c) Performance Budgeting.--Chapter 11 of title 31, United States 
Code, is amended by inserting after section 1118 (as added by section 6 
of this Act) the following new section:
``Sec. 1119. Pilot projects for performance budgeting
    ``(a) The Director of the Office of Management and Budget, after 
consultation with the head of each agency shall designate not less than 
five agencies as pilot projects in performance budgeting for fiscal 
years 1998 and 1999. At least three of the agencies shall be selected 
from those designated as pilot projects under section 1118, and shall 
also reflect a representative range of Government functions and 
capabilities in measuring and reporting program performance.
    ``(b) Pilot projects in the designated agencies shall cover the 
preparation of performance budgets. Such budgets shall present, for one 
or more of the major functions and operations of the agency, the 
varying levels of performance, including outcome-related performance, 
that would result from different budgeted amounts.
    ``(c) The Director of the Office of Management and Budget shall 
include, as an alternative budget presentation in the budget submitted 
under section 1105 for fiscal year 1999, the performance budgets of the 
designated agencies for this fiscal year.
    ``(d) No later than March 31, 2001, the Director of the Office of 
Management and Budget shall transmit a report to the President and to 
the Congress on the performance budgeting pilots which shall--
            ``(1) assess the feasibility and advisability of including 
        a performance budget as part of the annual budget submitted 
        under section 1105;
            ``(2) describe any difficulties encountered by the pilot 
        agencies in preparing a performance budget;
            ``(3) recommend whether legislation requiring performance 
        budgets should be proposed and the general provisions of any 
        legislation; and
            ``(4) set forth any recommended changes in the other 
        requirements of the Government Performance and Results Act of 
        1993, section 306 of title 5, sections 1105, 1115, 1116, 1117, 
        1118, and 9704 of this title, and this section.
    ``(e) After receipt of the report required under subsection (d), 
the Congress may specify that a performance budget be submitted as part 
of the annual budget submitted under section 1105.''.

SEC. 7. CONGRESSIONAL OVERSIGHT AND LEGISLATION.

    (a) In General.--Nothing in this Act shall be construed as limiting 
the ability of Congress to establish, amend, suspend, or annul a 
performance goal. Any such action shall have the effect of superseding 
that goal in the plan submitted under section 1105(a)(29) of title 31, 
United States Code.
    (b) GAO Report.--No later than June 1, 1997, the Comptroller 
General of the United States shall report to Congress on the 
implementation of this Act, including the prospects for compliance by 
Federal agencies beyond those participating as pilot projects under 
sections 1118 and 9704 of title 31, United States Code.

SEC. 8. TRAINING.

    The Office of Personnel Management shall, in consultation with the 
Director of the Office of Management and Budget and the Comptroller 
General of the United States develop a strategic planning and 
performance measurement training component for its management training 
program and otherwise provide managers with an orientation on the 
development and use of strategic planning and program performance 
measurement.

SEC. 9. APPLICATION OF ACT.

    No person who is not an officer or employee of the United States 
acting in such capacity shall have standing to file any civil action in 
a court of the United States to enforce any provision or amendment made 
by this Act. No provision or amendment made by this Act may be 
construed as creating any right, privilege, benefit, or entitlement for 
any person who is not an officer or employee of the United States 
acting in such capacity.

SEC. 10. TECHNICAL AND CONFORMING AMENDMENT.

    (a) Amendment to Title 5, United States Code.--The table of 
sections for chapter 3 of title 5, United States Code, is amended by 
adding after the item relating to section 305 the following:

``306. Strategic plans.''.
    (b) Amendments to Title 31, United States Code.--
            (1) Amendment to chapter 11.--The table of sections for 
        chapter 11 of title 31, United States Code, is amended by 
        adding after the item relating to section 1114 the following:

``1115. Performance plans.
``1116. Program performance reports.
``1117. Exemptions.
``1118. Pilot projects for performance goals.
``1119. Pilot projects for performance budgeting.''.
            (2) Amendment to chapter 97.--The table of sections for 
        chapter 97 of title 31, United States Code, is amended by 
        adding after the item relating to section 9702 the following:

``9703. Managerial accountability and flexibility.
``9704. Pilot projects for managerial accountability and 
                            flexibility.''.
    (c) Amendment to Title 39, United States Code.--The table of 
chapters for part III of title 39, United States Code, is amended by 
adding at the end thereof the following new item:

``28. Strategic planning and performance management.........    2801''.

SEC. 11. EFFECTIVE DATES AND PROCEDURES.

    (a) In General.--The provisions of this Act and amendments made by 
this Act shall take effect on the date of the enactment of this Act, 
except sections 3, 4, 5, 6(c), and 7 of this Act, and the amendments 
made by such sections, shall take effect on the date of enactment of 
the resolution described in subsection (b).
    (b) Resolution Approving Performance Plans.--
            (1) Resolution described.--A resolution referred to in 
        subsection (a) is a joint resolution the matter after the 
        resolving clause of which is as follows: ``That Congress 
        approves the development of departmental and agency strategic 
        plans, performance plans and reports pursuant to section 306 of 
        title 5, United States Code, sections 1105(a)(29) and 9703 of 
        title 31, United States Code, sections 1115, 1116, 1117, and 
        1119 of title 31, United States Code, and chapter 28 of title 
        39, United States Code (as amended by sections 3, 4, 5, 6, and 
        7 of the Government Performance and Results Act of 1993).''.
            (2) Introduction of resolution.--No later than 30 days 
        after the transmittal by the Comptroller General of the United 
        States to the Congress of the report referred to in section 
        7(b), a resolution as described in paragraph (1) shall be 
        introduced in the Senate by the chairman of the Committee on 
        Governmental Affairs of the Senate, or by a Member or Members 
        of the Senate designated by such chairman, and shall be 
        introduced in the House by the chairman of the Committee on 
        Government Operations of the House of Representatives, or by a 
        Member or Members of the House designated by such chairman.
            (3) Referral.--A resolution described in paragraph (1), 
        shall be referred to the Committee on Governmental Affairs of 
        the Senate and the Committee on Government Operations of the 
        House of Representatives by the President of the Senate or the 
        Speaker of the House of Representatives, as the case may be. 
        The committee shall make its recommendations to the Senate or 
        the House of Representatives, respectively, within 30 calendar 
        days following the date of such resolution's introduction.
            (4) Discharge of committee.--If the committee to which is 
        referred a resolution introduced pursuant to paragraph (2) (or, 
        in the absence of such a resolution, the first resolution 
        introduced with respect to the same departmental or agency 
        plans and reports) has not reported such resolution or 
        identical resolution at the end of 30 calendar days after its 
        introduction, such committee shall be deemed to be discharged 
        from further consideration of such resolution and such 
        resolution shall be placed on the appropriate calendar of the 
        House involved.
            (5) Procedure after report or discharge of committee; vote 
        on final passage.--(A) When the committee has reported, or has 
        been deemed to be discharged (under paragraph (4)) from further 
        consideration of a resolution described in paragraph (1), it is 
        at any time thereafter in order (even though a previous motion 
        to the same effect has been disagreed to) for any Member of the 
        respective House to move to proceed to the consideration of the 
        resolution. The motion is highly privileged and is not 
        debatable. The motion shall not be subject to amendment, or to 
        a motion to postpone, or to a motion to proceed to the 
        consideration of other business. A motion to reconsider the 
        vote by which the motion is agreed to or disagreed to shall not 
        be in order. If a motion to proceed to the consideration of the 
        resolution is agreed to, the resolution shall remain the 
        unfinished business of the respective House until disposed of.
            (B) Debate on the resolution, and on all debatable motions 
        and appeals in connection therewith, shall be limited to not 
        more than 10 hours, which shall be divided equally between 
        individuals favoring and individuals opposing the resolution. A 
        motion further to limit debate is in order and not debatable. 
        An amendment to, or a motion to postpone, or a motion to 
        recommit the resolution is not in order. A motion to reconsider 
        the vote by which the resolution is passed or rejected shall 
        not be in order.
            (C) Immediately following the conclusion of the debate on 
        the resolution and a single quorum call at the conclusion of 
        the debate if requested in accordance with the rules of the 
        appropriate House, the vote on final passage of the resolution 
        shall occur.
            (D) Appeals from the decisions of the Chair relating to the 
        application of the rules of the Senate or the House of 
        Representatives, as the case may be, to the procedure relating 
        to a resolution described in paragraph (1), shall be decided 
        without debate.
            (E) If, prior to the passage by one House of a resolution 
        of that House, that House receives a resolution with respect to 
        departmental or agency strategic plans, performance plans and 
        reports from the other House, then--
                    (i) the procedure in that House shall be the same 
                as if no resolution had been received from the other 
                House; but
                    (ii) the vote on final passage shall be on the 
                resolution of the other House.
            (F) It shall not be in order in either the Senate or the 
        House of Representatives to consider a resolution described in 
        paragraph (1), or to consider any conference report on such a 
        resolution, unless the Comptroller General of the United States 
        transmits to the Congress a report under section 7(b).
            (6) Rulemaking power of congress.--The provisions of this 
        section are enacted by the Congress--
                    (A) as an exercise of the rulemaking power of the 
                Senate and the House of Representatives and as such 
                shall be considered as part of the rules of each House, 
                and shall supersede other rules only to the extent that 
                they are inconsistent therewith; and
                    (B) with full recognition of the constitutional 
                right of either House to change the rules (so far as 
                they relate to the procedures of that House) at any 
                time, in the same manner, and to the same extent as in 
                the case of any other rule of that House.

                                 <all>

HR 826 IH----2
```