2002 U.S. Code
Title 31 - MONEY AND FINANCE
SUBTITLE II - THE BUDGET PROCESS
CHAPTER 11 - THE BUDGET AND FISCAL, BUDGET, AND PROGRAM INFORMATION
Sec. 1115 - Performance plans

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§1115. Performance plans

(a) In carrying out the provisions of section 1105(a)(29),1 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) 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 authorized to be in an alternative form under subsection (b);

(3) provide a description of how the performance goals and objectives are to be achieved, including the operation processes, training, skills and technology, and the human, capital, information, and other resources and strategies required to meet those performance goals and objectives. 2

(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 Director of the Office of Management and Budget, determines that it is not feasible to express the performance goals for a particular program activity in an objective, quantifiable, and measurable form, the Director of the Office of Management and Budget may authorize an alternative form. Such alternative form shall—

(1) include separate descriptive statements of—

(A)(i) a minimally effective program, and

(ii) a successful program, or

(B) such alternative as authorized by the Director of the Office of Management and Budget,

with sufficient precision and in such terms that would allow for an accurate, independent determination of whether the program activity's performance meets the criteria of the description; or

(2) state why it is infeasible or impractical to express a performance goal in any form for the program activity.

(c) For the purpose of complying with this section, an agency may aggregate, disaggregate, or consolidate program activities, except that any aggregation or consolidation may not omit or minimize the significance of any program activity constituting a major function or operation for the agency.

(d) An agency may submit with its annual performance plan an appendix covering any portion of the plan that—

(1) is specifically authorized under criteria established by an Executive order to be kept secret in the interest of national defense or foreign policy; and

(2) is properly classified pursuant to such Executive order.

(e) The functions and activities of this section shall be considered to be inherently Governmental functions. The drafting of performance plans under this section shall be performed only by Federal employees.

(f) With respect to each agency with a Chief Human Capital Officer, the Chief Human Capital Officer shall prepare that portion of the annual performance plan described under subsection (a)(3).

(g) For purposes of this section and sections 1116 through 1119, and sections 9703 1 and 9704 the term—

(1) “agency” has the same meaning as such term is defined under section 306(f) of title 5;

(2) “outcome measure” means an assessment of the results of a program activity compared to its intended purpose;

(3) “output measure” means 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 can be compared, including a goal expressed as a quantitative standard, value, or rate;

(5) “performance indicator” means 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.

(Added Pub. L. 103–62, §4(b), Aug. 3, 1993, 107 Stat. 287; amended Pub. L. 107–296, title XIII, §1311(a), Nov. 25, 2002, 116 Stat. 2289.)

References in Text

Section 1105(a)(29), referred to in subsec. (a), was redesignated section 1105(a)(28) of this title by Pub. L. 104–287, §4(1), Oct. 11, 1996, 110 Stat. 3388.

Section 9703, referred to in subsec. (g), probably means the section 9703 added by section 5(a) of Pub. L. 103–62, Aug. 3, 1993, 107 Stat. 289.

Amendments

2002—Subsec. (a)(3). Pub. L. 107–296, §1311(a)(1), added par. (3) and struck out former par. (3) which read as follows: “briefly describe the operational processes, skills and technology, and the human, capital, information, or other resources required to meet the performance goals;”.

Subsecs. (f), (g). Pub. L. 107–296, §1311(a)(2), (3), added subsec. (f) and redesignated former subsec. (f) as (g).

Effective Date of 2002 Amendment

Amendment by Pub. L. 107–296 effective 60 days after Nov. 25, 2002, see section 4 of Pub. L. 107–296, set out as an Effective Date note under section 101 of Title 6, Domestic Security.

Construction

Section 10 of Pub. L. 103–62 provided that: “No provision or amendment made by this Act [see Short Title of 1993 Amendment note set out under section 1101 of this title] may be construed as—

“(1) 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, and 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; or

“(2) superseding any statutory requirement, including any requirement under section 553 of title 5, United States Code.”

Congressional Findings and Statement of Purposes

Section 2 of Pub. L. 103–62 provided that:

“(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 [see Short Title of 1993 Amendment note set out under section 1101 of this title] 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.”

Congressional Oversight

Section 8(a) of Pub. L. 103–62 provided that: “Nothing in this Act [see Short Title of 1993 Amendment note set out under section 1101 of this title] 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) [now 1105(a)(28)] of title 31, United States Code.”

General Accounting Office Report

Section 8(b) of Pub. L. 103–62 provided that:

“No later than June 1, 1997, the Comptroller General of the United States shall report to Congress on the implementation of this Act [see Short Title of 1993 Amendment note set out under section 1101 of this title], 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.”

Strategic Planning and Performance Measurement Training

Section 9 of Pub. L. 103–62 provided that: “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.”

Section Referred to in Other Sections

This section is referred to in sections 1105, 1116, 1117, 1118, 1119, 9703, 9704 of this title; title 5 section 306; title 15 sections 638, 7406; title 23 section 508; title 40 section 11315; title 44 sections 3534, 3544.

1 See References in Text note below.

2 So in original. The period probably should be a semicolon.