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The mission of the Office of Management and Budget (OMB) is to help the President in carrying out his constitutional and statutory duties. OMB fulfills this mission primarily by assisting the President: (1) To create policy relating to expenditures and receipts, regulations, information and legislation; (2) To manage the Executive Branch of the government in the faithful execution of laws, policies and programs; (3) By providing the highest quality of analysis and advice on a broad range of topics. In assisting the President in managing the Executive Branch, OMB carries out numerous, OMB-specific, statutory responsibilities, and exercises various delegated authorities. Four general goals related to OMB's major management and policy responsibilities are presented in this Strategic Plan. Goal 1: Recommend to the President spending, regulatory, tax, and other policies that fulfill the President's policy goals and promote sustainable economic growth. Goal 2: Provide management leadership to ensure the faithful execution of the enacted budget, programs, regulations and policies. Goal 3: Assist the President by providing analysis and advice on critical longer-range demographic, fiscal and economic trends, and on other significant issues. Goal 4: Improve OMB's means for accomplishing work, including development and use of its human resources and information systems. The Office of Management and Budget has served the Presidency since 1921, when it was established as the Bureau of the Budget. The career staff of OMB works with policy officials to provide an institutional memory for the President and competent, objective staff support to help develop and carry out Presidential policies and programs and implement Executive Branch responsibilities. A. OMB's Functions OMB advocates the appropriate allocation and effective utilization of government resources. OMB assists the President in the preparation of the Federal budget and in managing its execution in the departments and agencies. In helping formulate the President's spending plans, OMB examines the effectiveness of agency programs, policies, and procedures; assesses competing funding demands among agencies; recommends funding priorities; and provides policy options. OMB works to assure that proposed legislation, and agency testimony, reports, and policies are consistent with Administration policies, including the President's Budget. Particular emphasis is placed on managing the coordination and integration of policies for cross-cutting interagency programs. On behalf of the President, OMB often leads in presenting and justifying major policies and initiatives related to the budget and government management before Congress. OMB has a central role in providing leadership in the development, oversight and coordination of the Federal government's procurement, financial management, information, and regulatory policies as well as in their implementation. OMB helps to promote better program management, strengthen administrative management, develop better performance measures, and improve coordination of Executive Branch operations. OMB carries out responsibilities under more than 200 statutory provisions, including the Budget and Accounting Act, the Budget Enforcement Act, the Antideficiency Act, the Balanced Budget Act of 1997, the Impoundment Control Act, the Line-Item Veto Act, the Government Performance and Results Act (GPRA), the Chief Financial Officers Act (CFOs Act), the Government Management Reform Act, the Federal Acquisition Streamlining Act, the Office of Federal Procurement Policy Act, the Paperwork Reduction Act, the Clinger-Cohen Act, and the Federal Credit Reform Act. B. Relation of Annual Performance Goals to General Goals and Objectives Selective descriptions of the performance goals and indicators that OMB expects to include in its annual performance plan are displayed for each of the four general goals in Part II of this strategic plan. Annual performance goals will be used in assessing the achievement of the general goals and objectives. Frequently, policy issues that OMB addresses cannot be forecast in advance. Nevertheless, judgments can be made about the performance of some of OMB's work using measures such as the timeliness of its products, the degree to which specific goals are achieved, and its role in the formulation and discussion of major Administration policies and issues. Several annual performance measures will require OMB to develop baseline information. While OMB does record certain workload data, the amount and type of information collected will need to be expanded. C. Means and Strategies Used in Achieving Goals and Objectives Means and strategies specific to each general goal are described in Part II of this plan. Over the next five years, OMB has assumed essentially stable funding, as contained in the President's fiscal year 1998 Budget. Most of OMB's funding is used to pay staff salaries and benefits, and the goals and objectives are premised on future OMB staffing that corresponds to present levels. The expertise and experience of OMB's staff is crucial to dealing with the broad array of major issues that have to be addressed, many on very short time lines, and to providing leadership for the development of policy and the improvement of management across the Executive Branch. OMB's resources are also used for information technology, which not only assists OMB staff to do its work in support of the President's Budget and many other endeavors, but also helps to provide the Congress with timely, accurate, coordinated information. OMB uses many strategies to achieve its goals and objectives. The entire budget process, with its instructions, hearings, reviews, budget drafting, and justifications drives the development and coordination of policy; examines efficiency and effectiveness in order to improve programs; allocates resources in accord with Presidential priorities; and presents the President's program. The legislative and regulatory review processes likewise helps to sharpen and coordinate policies. OMB has many authorities to require and define the budgetary, performance, accounting, and other information that agencies must develop, the systems they use to keep and share it, and the analyses they should undertake. OMB has other authorities to improve, by providing guidance and other means, the financial, procurement, grant, and other management functions of the Executive Branch. OMB staff is expected to provide leadership for and to be catalysts within interagency groups, including the President's Management Council, the Chief Financial Officers Council, the Budget Officers Advisory Council, the Chief Information Officers (CIO) Council, and other professional and programmatic groups. (See illustrative list at Appendix 2.) OMB works cooperatively with the Congress and with congressional agencies such as the Congressional Budget Office and the General Accounting Office (GAO). OMB also works continuously with the agencies on a wide variety of policy development, budget, coordination and management issues. This contact occurs through formal Councils, informal working groups and individual meetings and conversations. OMB does not operate programs, make grants or transfers, extend credit or insurance, collect revenues, or benefit from tax expenditures. OMB issues very few regulations. The OMB annual performance plan will provide more information linking annual performance goals to OMB's overall goals and objectives. This plan will be consistent with OMB's internal planning process and will reflect the information and analyses used in preparing the fiscal year 1999 Budget, including program, policy, and management initiatives that may emanate from agency strategic and performance plans. D. External Factors A number of external factors, several of which are similar to those identified by other Federal agencies, can affect OMB's ability to achieve its goals and objectives. These include: a significant change in future OMB funding amounts from the assumed levels; enacted legislation that changes the statutorily-prescribed scope of several of OMB's functions; or changes in the respective policy or analytic responsibilities of various offices within the Executive Office of the President (EXOP). Particular external factors that could affect specific OMB goals and objectives are described in Part II of this plan. E. Program Evaluation In the course of drafting the plan, OMB reviewed and considered several analyses or studies of OMB's organization, work environment and processes, and implementation of several statutes. These analyses or studies were prepared both by OMB and by other parties, such as GAO. OMB does not operate programs and a future determination of whether the general goals and objectives in this strategic plan were achieved will not require a program evaluation as such, and no program evaluations are scheduled. However, OMB will continue to prepare specific analyses or studies of its operational processes, organizational structure, and workforce utilization and effectiveness. OMB expects that these studies will be complemented by reviews of particular facets of OMB operations by outside parties, such as GAO. II. General Goals and Objectives Four general goals and 16 objectives related to OMB's major management and policy responsibilities are presented in this part of the plan. The first goal focuses on OMB's assistance to the President in developing policies that will contribute to the fiscal strength of the Federal Government and the economic health of the Nation. This is reflected every year in the annual budget process which promotes analysis of options, policy and program recommendations, and resource allocation decisions. All OMB staff are involved in assuring effective: management of programs, execution of statutory responsibilities, and implementation of policies and regulations in Federal agencies. OMB provides leadership, guidance and coordination to agencies in developing and administering systems and processes that promote greater efficiency and enhance managerial performance. These activities are the subject of goal two. OMB provides analyses, estimates, projections and advice on a wide array of longer- range demographic, fiscal, and economic trends, and on other significant issues that affect the entire government. Goal three describes these functions. Finally, to carry out these goals, OMB must attract and retain a high quality, diverse staff and wisely use its human, financial, and technological resources. Goal four indicates what actions OMB proposes to take to provide an attractive and effective workplace environment. Goal 1. Recommend to the President spending, regulatory, tax, and other policies that fulfill the President's policy goals and promote sustainable economic growth. The annual budget process provides a structure for the analysis and prioritization of spending, tax and other policies. Much of the work done by OMB is longer range (see Goal 3) but the results of that work are continuously reflected in the President's Budget. Objectives A. Implement the five-year budget agreement to reach balance by 2002. Follow up in each succeeding year to obtain enactment of tax, appropriations, and mandatory spending program policies consistent with the balanced budget agreement. Relationship to Annual Performance Goals The ultimate achievement of a balanced budget is not controlled by OMB. However, OMB's contributions in developing policy to affect this outcome can be measured. In particular, OMB's role in achieving enactment of a budget that conforms to the agreement can be assessed. In addition, the President's Budget contains recommendations for reforming or, where necessary, eliminating less effective or lower priority programs; and for shifts in resource allocations or policy changes to meet Presidential priorities more effectively within a balanced budget framework. Goals based on these recommendations will be included in the OMB annual performance plan. Means and Strategies OMB will work with the Congress to follow up on the Balanced Budget Act and seek to assure that balance is achieved in 2002 and sustained thereafter. In particular, OMB will follow up to ensure that: (1) the discretionary caps and PAYGO limits are not breached; and (2) within those limits, the President's priorities and policies are protected to the maximum extent possible. OMB's work will include analyses of the effects of particular tax, appropriation, and mandatory spending policies, continued enforcement of sound budget concepts, and cross-cutting efforts to enhance fiscal discipline. External Factors Achievement of a balanced budget by 2002 is premised on spending and revenue projections that are based on economic assumptions for the next five years. A significant change in economic conditions could affect the ability to achieve this objective. In addition, Congressional cooperation, through the enactment of revenue and spending measures that achieve balance by 2002, is essential. B. Ensure that the budget documents are timely, accurate and of high quality. Provide prompt and accurate scoring for legislation that affects the budget. Relationship to Annual Performance Goals This objective lends itself to clear, quantifiable measures of performance, such as the timeliness and accuracy of budgetary documents and of the scoring of legislation. OMB currently asks users to comment on the quality of the budget document. Means and Strategies Offices in OMB will continue their well-defined roles in reviewing and critiquing agency plans and budget requests, making resource allocation recommendations, producing the budget documents, supporting the budget during the Congressional budget process, and working to sustain budget concepts. OMB will propose policy options that meet overall budgetary objectives and shift resources away from programs which are less effective or important in order to fund programs which support economic growth or advance Presidential priorities. OMB will make recommendations to the President for budget requests to Congress based on critical review of agency planning and budget submissions. In this context, for example, a significant effort is underway to improve agency planning for capital projects. External Factors While OMB has overall control over the development of the annual budget documents, and over legislative scoring, its ability to develop the budget accurately and on time depends to a large extent on the accuracy and timeliness of agency submissions of technical budget information and the timeliness of Congressional action on yearly appropriation bills. While OMB should be expected to detect and correct serious errors in agency submissions, it would be impossible to prepare an accurate and timely budget if agency submissions were significantly delayed or of poor quality. C. Ensure that policies developed and reviewed by OMB are consistent with the President's fiscal, economic and other policy priorities as reflected in the budget. Relationship to Annual Performance Goals Each annual budget contains a series of new initiatives as well as descriptions of ongoing programs designed to achieve policy objectives. The extent to which these initiatives and objectives are achieved and lead to improved results can be described in both quantitative and qualitative terms. It will be important to properly characterize OMB's role in the results achieved. Means and Strategies OMB provides fiscal, economic, and other advice to the President on ways to shape his policy goals and on methods to achieve those goals, with emphasis on such issues as increasing economic growth by improving fiscal discipline, assessing whether the benefits of current and proposed government programs outweigh costs, and increasing the efficiency of government operations. OMB also reviews current and proposed policies, including regulatory policies, to ensure that they are consistent with statutory principles and the fiscal, economic, regulatory and information policy priorities of the President. As appropriate, OMB staff will include the impact of policy decisions on growth in their budget, legislative, and regulatory review issue papers. External Factors OMB's ability to achieve this objective will depend to at least some extent on the other offices in the Executive Office of the President and other agencies that may have important roles in such policy development. Goal 2: Provide management leadership to ensure the faithful execution of the enacted budget, programs, regulations and policies. Management of the Federal government is a complex process that requires OMB to provide policy guidance, coordinate activities and assist with implementation within and across agencies. All organizational units within OMB are actively involved in the tasks of management: planning, analysis, organization and direction. To leverage its own staff capacities, OMB provides leadership to groups of agency managers who share the work of policy development and identifying and implementing the means to better manage Federal resources. (For an illustrative list of these groups see Appendix 2.) Linking budgetary resource decisions to the management of agency programs is critical. For example, implementation of new information technology initiatives requires both thoughtful guidance and proper allocation of budget resources over the expected development period. To more effectively link resource allocations and program management, OMB undertook a major reorganization in 1994. This reorganization, called OMB2000, placed the responsibility for oversight of program management in OMB's Resource Management Offices. In their role, the Resource Management Offices receive support from OMB staff offices; and technical assistance from the three statutory offices (the Office of Federal Financial Management, the Office of Federal Procurement Policy, and the Office of Information and Regulatory Affairs). The statutory offices retain the responsibility for developing and issuing policy. Objectives A. Work within and across agencies to identify solutions to mission critical problems. Relationship to Annual Performance Goals OMB works continuously with the agencies on a range of management initiatives including identifying major management problems and, in cooperation with the agency or agencies affected, attempting to find ways of reducing or eliminating the problems. In each year's budget, major cross-cutting and agency specific management initiatives will be presented along with approaches to solving them. OMB's role will be clearly highlighted. These presentations will serve as one source of information for the OMB annual performance plan. Means and Strategies For cross-cutting issues such as credit policy, financial systems standards, the year 2000 and others, OMB will work closely with agency representatives, the Congress, the GAO, the National Performance Review and others inside and outside government to find the best resolution to these issues. For individual agency problems, general guidance is supplemented with the sharing of good practices and hands-on assistance in resolving specific problems. External Factors Responsibility for accomplishing this objective largely rests with agency managers, who must actively and effectively carry out both agency-specific and cross-cutting management initiatives. B. In carrying out the Government Performance and Results Act: ensure that agency performance plans are fully integrated into the budget process; prepare a government-wide performance plan that presents performance goals on a functional basis and includes performance information for program and policy initiatives in the budget; complete the performance budgeting pilot projects; and, ensure that agency program performance reports are coordinated with the agency accountability reports prepared under the Government Management Reform Act. Relationship to Annual Performance Goals Prospective measures include: the extent that performance information was available to be used in making budget decisions; the extent that the government-wide performance plan presentation is consistent with the format and content specification in the objective; the meeting of milestone dates for designating performance budget pilot projects, preparing the required alternative presentation in the President's budget, and transmittal of the OMB report to Congress; and the issuance of guidance covering preparation and submission of an integrated program performance and accountability report. Means and Strategies OMB will use its processes for budget formulation to promote integration of the performance plans with the budget process. A function-based presentation of performance goals will provide a context for cross-cutting analyses and presentations. OMB must consult with potential pilot project agencies to identify candidate pilots, and develop adequate selection criteria that will allow pilots to be designated and proceed. The evolving relationship of the program performance and accountability reports will be discussed with the agencies and Congress. External Factors None identified. C. Achieve savings, improve quality and increase customer satisfaction in agency procurements. Relationship to Annual Performance Goals OMB's long term goal is a Federal procurement system comparable to those of high performing commercial enterprises. OMB will identify annual goals that gauge OMB's success in promoting establishment of a high performing procurement system in which agencies pay less for products and services, increase the value received for the dollars spent, and ultimately improve the support acquisition provides to government programs. Means and Strategies To achieve this goal, OMB will work with agencies to facilitate and promote agency use of commercial buying strategies and practices. In doing so, OMB will work with the National Performance Review in maximizing the use of discretion and business judgment by contracting officials and minimizing rule-based procedures to permit negotiation of the most advantageous agreements. OMB will also collaborate with the Federal Acquisition Regulation (FAR) Council, the Federal Procurement Council, and front-line contracting professionals to accomplish these goals. Specifically, to increase agency use of commercial buying strategies and processes, OMB will work with these groups to secure the discretion under applicable laws and regulations necessary to employ commercial buying practices and will issue appropriate policy guidance. For example, in seeking to make consideration of past performance the norm in source selection, OMB will work with the FAR Council to complete necessary regulatory revisions and will publish a revised best practices document. In addition, OMB will encourage and monitor agency progress in adopting reforms with high potential for improving acquisition. For example, OMB will obtain, review, and conduct follow-up on agency plans to convert services contracts to performance-based ones. And to facilitate conversion, OMB will work with agencies to draft model contract documents. External Factors These efforts cannot succeed without the assistance of the agencies. In particular, the Department of Defense, the General Services Administration, and the National Aeronautics and Space Administration, as members of the FAR Council and the largest buying and procurement training entities, as well as other major procuring agencies, have a critical role in institutionalizing these reforms. D. Partner with agencies to achieve the goals set forth in each year's Federal Financial Management Status Report and Five Year Plan, emphasizing particularly the priority goals relating to financial systems, audited financial statements and GPRA implementation. Relationship to Annual Performance Goals OMB will assist agencies in their efforts to obtain clean audit opinions on their financial statements (for the 24 agencies subject to the CFOs Act) and on the government-wide financial statement. As part of the fiscal year 1997 financial statement audits, OMB and the Congress will receive information on the extent to which agency financial systems comply with the Federal Financial Management Improvement Act of 1996. As part of the overall effort to integrate agency systems, OMB will work with the agencies to increase the use of the multi-purpose application card to make payments for travel, small purchase transactions and fleet management. Means and Strategies To accomplish this objective, OMB will issue policy and guidance to agencies; offer expert advice to solve problems; help agencies address cross-cutting issues; and help remove obstacles. External Factors Continued progress in systems development for both core and feeder financial systems in the agencies is essential to meet the objective. This progress will depend on timely joint development of new systems specifications and a new approach for procuring these systems. The number of clean audit opinions is contingent, in part, on OMB, GAO, Treasury, and the agencies resolving several crosscutting issues in audit policies and procedures both on an agency-specific and government-wide basis. E. Maximize social benefits of regulation while minimizing the costs and burdens of regulation. Relationship to Annual Performance Goals OMB conducts comprehensive, timely and objective reviews of regulations, in particular to assess their benefits and costs, to assure that they accurately reflect Administration policy, and to assure that they appropriately carry out statutory requirements. Means and Strategies OMB will work to ensure that the quality of data and analyses used by agencies to make regulatory decisions improves. This will require more focussed use of agency resources and better planning to ensure adequate time and support for such data gathering and analysis. OMB will work with agencies to support further research to develop and improve techniques to measure benefits and costs. Using its role as central regulatory reviewer, OMB will support more uniform application of standardized assumptions and methodologies across regulatory programs and agencies. Similarly, OMB will work with agencies to develop data and methodologies to determine whether existing regulations need to be reformed and, if so, how resources should be devoted to such reform. OMB will develop a pilot baseline measure of net benefits for Federal regulations, and will work with agencies to increase quantitative measures of net benefits. OMB will work with agencies in seeking to maximize net benefits for all regulations reviewed by OMB. External Factors Performance depends to a great extent on agency capability, which in turn is affected by current program demands; by the need in some agencies to respond quickly to emergencies, such as health, safety or environmental crises; and Administration and legislative priorities. Also, potential regulatory reform legislation or oversight activities may affect OMB's ability to achieve this goal. F. Improve the performance of Federal programs and the quality of public access to information and services by promoting sound Federal and national information, information technology, and statistical policies and practices. Relationship to Annual Performance Goals Although OMB does not control how agencies use information and technology, OMB can help agencies decrease the number of troubled IT systems, solve the year 2000 problem, eliminate unnecessary duplication, increase electronic dissemination of information, improve the Federal statistical system, and improve information security and privacy. Means and Strategies To achieve this objective, OMB creates policy and oversees its implementation by the agencies. OMB leverages the efforts of interagency groups such as the Chief Information Officers Council to improve the quality of policy, increase its adoption, share best practices, and reduce duplication of effort. For example, OMB developed reporting requirements to measure agency year 2000 progress in consultation with the CIO Council and the Congress. These reports are being used as a management tool by the agencies, OMB and the Congress to assure that all mission-critical Federal systems are year 2000 compliant by December 31, 1999. External Factors Performance depends to a great extent on agency capability. Policy changes in turn are subject to the astonishing speed with which technology is advancing in the information technology area. G. Conduct an effective interagency legislative and executive order coordination and clearance process. Relationship to Annual Performance Goals Two traditional and long-standing OMB functions are to coordinate the interagency review and clearance for submission to Congress of agencies' legislative proposals, testimony, and views letters on legislation, and to coordinate the interagency review and clearance of draft executive orders for submission to the President. Means and Strategies OMB strives to ensure that the views of all concerned agencies are taken into account and addressed in communications to Congress on legislation and that these communications reflect Administration policies accurately. OMB also strives to ensure that the views of all concerned agencies are taken into account and addressed in draft executive orders that are submitted to the President for consideration. OMB will continue to work cooperatively with Executive branch agencies to manage effectively functioning interagency legislative and executive order coordination and clearance processes. External Factors The primary external factor is the cooperation of agencies in the interagency legislative and executive order coordination and clearance processes and allocation of appropriate resources by the agencies to these activities. Goal 3: Assist the President by providing analysis and advice on critical longer-range demographic, fiscal and economic trends, and on other significant issues. OMB provides the President with analysis and advice on long range demographic, fiscal and economic trends and other issues. OMB maintains expertise across a broad range of programs, policies and economic issues and uses a variety of analytical tools, including macroeconomic analysis and cost-benefit analysis. Objectives A. Provide accurate and timely assessments of the financial condition of the Federal Government. Relationship to Annual Performance Goals OMB will continue to publish with the President's Budget annual analyses of how the Government's and the Nation's financial condition have changed and may change in the future as a result of the Government's operations. These analyses may be judged by the comprehensiveness of the conceptual framework, the quality of the data, the clarity of the assumptions on which the projections depend, and the usefulness to decision-makers of the results. Means and Strategies Providing assessments of the financial condition of the Federal Government has both management and analytic components. In addition to its work on agency and government-wide financial statements, OMB also provides analyses of aspects of the financial condition of the Government, and prepares and publishes long-range estimates that present the effects of various demographic, economic, and other assumptions on the Federal budget. External Factors Assessments of the financial condition of the Federal Government will depend greatly on data supplied by individual Federal agencies, and generally the assessment can only be as accurate as the data supplied. In addition, OMB depends on other outside information, and the accuracy of this information can influence the accuracy of the OMB assessment. B. Develop and present accurate long-range demographic, fiscal and economic trends each year in coordination with the Treasury and the Council of Economic Advisors (CEA). Relationship to Annual Performance Goals The accuracy of economic and technical assumptions is measurable through comparison to actual economic data. A difficulty with such measurement is the time lag that occurs between the development of the assumption and the availability of data with which to measure its accuracy. For example, it may be a number of years before the accuracy of default rate assumptions for longer-term loans can be measured. Means and Strategies The "Troika" consultation with Treasury and CEA, which develops the major economic assumptions for the President's Budget, is based on analysis of the historical trends and relationships among economic indicators, assisted by a macroeconomic model. However, considerable judgement is required to assess incomplete data, and to identify changes and discontinuities in economic relationships. Technical assumptions for the programs are made by the responsible agencies, with OMB exercising some quality control. Because of the nature of government programs, many of these assumptions are extremely difficult to estimate; in these cases, the strategy is experimentation with alternative methods and specifications with a goal of improving the estimates over time. External Factors The economic and technical assumptions on which the Budget is based represent the Administration's estimates of what is most likely to occur if the President's policies are enacted and implemented. Thus, they may not match the "actual" data if some of the President's policies are not enacted and implemented, if understanding of the effects of policies or the underlying relationships is less than perfect, or if unexpected events occur. Economic assumptions are affected by the quality of economic statistics, such as the measurement of productivity and prices. Technical assumptions are affected by the quality of agencies' program data, their accessibility, and the quality of analysis of the factors that influence them. C. Complete objective and high-quality analyses on priority policy issues, and disseminate the results to the President and/or other appropriate policy officials in the Executive Office of the President. Relationship to Annual Performance Goals Neutral, dispassionate analysis of programs is among the most fundamental functions of OMB. Perhaps more than any other function, this is, and has been, the way OMB can best serve the President. While final recommendations will and must consider other factors as well, OMB has historically performed this type of analysis. Analysis can be essentially of two types: (1) analysis of programs in preparation for events (appropriating or authorizing legislation) that can be readily identified well in advance, or (2) analysis of fast breaking issues or problems (such as the desired response to a natural disaster). Providing judgments informed by analysis unfettered by biases others may bring to the matter is a goal to be sought consistently by OMB. Means and Strategies During annual planning processes and throughout each year, OMB identifies policy issues appropriate for analysis. Some of those issues will be for purely internal OMB consumption; some of those issues will be for consumption outside OMB, up to and including the President. Some of the those issues will be prepared by individual OMB staff, and some will be prepared by OMB teams, possibly in combination with other agency staff or in consultation with other EXOP agencies. OMB involvement in policy analysis and advice may include participation in interagency meetings on Administration policy development, both short- and long-range, or other discussions among policy officials. In most cases, OMB analysis of issues will include discussions of the advantages and disadvantages of a variety of policy choices, and the implications and tradeoffs among policy choices. External Factors External factors that could affect achievement of this objective, in part, include: the need for cooperation of other participating agencies; and the extent to which other key actors can provide the primary data and analyses necessary as inputs to OMB analyses. Also, longer range analysis of programs can be interrupted by shorter range, more immediate fiscal crises and/or "firefighting" assignments. Goal 4: Improve OMB's means for accomplishing work, including development and use of its human resources and information systems. Objectives A. Recruit, develop, and retain a high quality and diverse staff. Relationship to Annual Performance Goals The following performance measures may be used for this objective: differences between current staff and recruited staff with respect to gender, ethnicity, and disability (reporting will be against a baseline, no quantitative goals will be set); turnover rate among entry level staff compared with their government cohort; and increase in opportunities for staff access to mentors. Means and Strategies To accomplish this objective, OMB will: develop and carry out a plan for improving the effectiveness of on-campus and mid level recruiting; explore options for creating a work place environment that recognizes individual needs within workload and resource constraints; and continue and enhance mentorship programs, encouraging highly qualified senior staff members to serve as mentors. External Factors The training and experience of OMB staff make them highly attractive in the job market. Despite the importance of the work done at OMB and the high value placed on it, a substantial upward change in the current private-public sector pay differential for OMB staff with highly valued analytic and knowledge-based skills in certain high-demand business areas, e.g., health care economics, could offset OMB's initiatives to improve retention. B. Increase the opportunities for all staff to enhance their skills and capability. Relationship to Annual Performance Goals Among the performance goals OMB may use to record achievement of this objective are: the percentage of OMB staff during the fiscal year in rotational assignments (internal and external), or on temporary assignment or detail elsewhere; each division develops and carries out a staff training and development plan; training and development opportunities are available to all staff; and the performance appraisal and awards process for all staff is strengthened and enhanced. Means and Strategies To accomplish this objective, OMB will: increase the number of staff participating in both internal and external rotational opportunities; continue to assign an "on the job" coach for the initial year of each new employee; encourage managers and staff to develop and fulfill individual development plans, especially for new hires. External Factors None identified. C. Leverage information technology resources to aid OMB staff in fulfilling their mission requirements. Relationship to Annual Performance Goals Among the performance goals OMB may use to record achievement of this objective are: an increase in the number and types of information resources available to the OMB staff; improved methods of accessing information and information processes to make information more readily available; ensure that the computer systems used in support of OMB's responsibilities for budget decision making, preparation and execution keep pace with technological change and evolving budgeting requirements; and improved methods for communicating information internally and between OMB and other agencies. Means and Strategies Examples of activities that have been or will be undertaken to achieve this objective include: placing official statements of policy on the external Homepage; broadening the content and facilitating the use of OMB's internal Homepage; improving the tracking of controlled correspondence; automating routinely used forms; making legislation-related information and statistics and status reports on paperwork reviews and regulatory reviews available electronically to OMB staff; using electronic means to deliver to OMB staff current economic data, economic and technical assumptions, analytical databases and models, staff analyses of short-and-long term economic and fiscal conditions, and other cross-cutting analyses; moving budget systems over the next few years from an outdated mainframe computer to distributed technology; improving electronic communications between OMB and the agencies; and facilitating "Work from Home" via personal computers. External Factors Implementation of each of the above depends heavily on the availability of resources, not only in OMB but also in the Office of Administration (OA) in the Executive Office of the President. Progress is dependent not only on assistance from OA, but also on further refinements in the products which are available from vendors. Agency cooperation is needed to make progress in moving to the electronic transfer of information. Plan Development This section provides a brief description of the process used by OMB to develop its strategic plan. Steering Group: In the early summer of 1995, a "Steering Group" (SG) was established within OMB to oversee the process of preparing an OMB strategic plan. Chaired by OMB's Deputy Director for Management (DDM), the SG was composed of about a dozen staff from various units in OMB, and assured that all OMB staff had an opportunity to participate in the evolution of the plan. First Phase: The first phase of the development of OMB's plan lasted about a year -- from early in the summer of 1995 to the end of the summer in 1996. Initially the SG reviewed a broad range of information about the development of GPRA, strategic planning techniques, the historical context of OMB, and experiences with strategic planning in other countries and agencies. After reviewing the information and holding a number of discussions, the SG concluded that a wide-ranging dialogue about OMB's mission, organization, functions and priorities among senior OMB staff was required in order to establish the foundation for an effective OMB strategic plan. It was decided that a two-day, off-site meeting in August 1996 was the best forum for such a dialogue. The SG developed the agenda and put together the background materials for the meeting. A series of four "brown bag" meetings, to which all OMB staff were invited, was held in July 1996 on "the strategic issues likely to confront OMB in the next decade" as part of the preparation for the August session. A summary of these discussions was included in the materials provided to those attending the off-site meeting. The OMB Strategic Plan Working Session was held on August 15-16. The participants included almost all OMB policy officials and senior career staff but there were also a number of other career staff present including branch chiefs, support staff and examiners/analysts. Second Phase: This phase lasted from August 1996 until July 1997. The objective was to produce a draft OMB strategic plan that could serve as the basis for Congressional consultations and review and comment by other stakeholders. Several activities were the focus of this stage of the process:
The various reviews and multiple discussions described above culminated in a draft plan (dated July 23, 1997) that was used as the basis for Congressional consultation and stakeholder review. Copies of the draft strategic plan were provided to the House and Senate Appropriations Committees, the House Government Reform and Oversight Committee, and the Senate Governmental Affairs Committee. Copies of the draft plan were also made available to GAO and the Congressional Research Service (CRS) in the Library of Congress. Several Congressional consultation meetings were held on the plan. Copies of the draft plan were also provided to all Cabinet departments, many independent agencies, and other offices within the Executive Office of the President. A specific distribution was made to all agency Chief Financial Officers, Inspectors General, Chief Information Officers and members of the President's Management Council. In addition, the draft plan was posted on OMB's website so that the general public could have access to it. The draft strategic plan was revised significantly as a result of views expressed during the Congressional consultation meetings, written assessments prepared by GAO and CRS, and comments from several agencies and public individuals. The final plan reflects the salient comments received during the consultation process and a final internal review within OMB. Third Phase: The operating plans referred to above are currently being reviewed in the context of the strategic plan to elicit from them key performance measures which will be used in the development of the OMB performance plan. Illustrative List: Interagency Working Groups
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