WPC^ *`_EP_*k,mԧ%@I\] 2]&CKo m|xdر62DU#ȽGY:wre҂|jr+tajƱ94XeYiH-p!0l.AFunO>]vps_G5C"\a bYtC4+Ro_ %dE`_$_f)|{+Ub =۝ry[͖`^&[/b%W'?D55Q8vVCE`#M@3'#޳ R["Fux驇ɭ4rr|s<2,O~bM}Hך=."HwrT" UқA7u׫&3 QtaQ kn3CJ0G`#!@?UUNa@ %@ 0(@^ @w@@4)A=ALA mNANeANgA 1uiA 1A 0weBB 0CUN,D 0zDUNE 0DhE 0E 0`F 0'G 0lH 0DnH 0H 1IN*JM,J 0<0J BmlJ 0J 0eaKMLML 1L 0 NUMNMfMaMfM 0DMNO B'O B OM@OaDONXOZOOfPaPU>PUVZPLPfP C(PaQf,Qa.QU>BQfQaQU JQNQ 72Q 1R 72R 1R 72RSU0SRST. TfNTaPTdTdT 0cOUOUOUOUOUOUOU CUUUU 0LUUUUUUUU D+VVVVVVVVVVVV D5CVCVCV AxV 0KWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWW C `W`W`W`W`W`W`W`W`W`W`W`W`W`W`W`W`W`W`W`W CzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWzWfWaWWWWfWaWfWaWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWW2WWfYYa Y YYY8Y8Y[[5[a7[K[f.]a0]0]0]0]0]fD]aF]fZ]Z]a\]\]fp]p]p]f]a]f]a]HP LaserJet 5Si,,,,,,0(hH  Z6Times New Roman RegularX($Tz,c D U E  U EEU%r6)xs3|xU3#37=CIQYag1.a.i.(1)(a)(i)1)a)04GIOU[cksy???????????1.a.i.(1)(a)(i)1)a)(O;$0  2#  a  .3  0` (#(#Level 1Level 2Level 3Level 4Level 5(b$0  0` (#(#2#   .3  0 ` (#` (#(uH Z 6Times New Roman Regular(xir$0  0` (#(#0 ` (#` (#2#(  0  )3  0 (# (#(hH  Z6Times New Roman Regular(3$ !  ($0  0` (#(#0 ` (#` (#0 (# (#2#(  a  )3  0h(#(#(F$0  0` (#(#0 ` (#` (#0 (# (#0h(#(#2#(   )3  0h(#h(#($0  0` (#(#0 ` (#` (#0 (# (#0h(#(#0h(#h(#2#  0  )3  0(#(#((3$ !      0  (#$  0  ({$0  0` (#(#0 ` (#` (#0 (# (#0h(#(#0h(#h(#0(#(#2#  a  )3  0p(#(#PxAGaeimquy}Bullet ListBullets List<:Default Para d<$w:Body Text In  &&&XXX  &z$3   >4 /7? !s$>  &&&  5+ 4 <DL!5  XXX  PhsCEIMQUY]aAutoList1""""""""i)1)a)(O$4TABLE D@5(F$0  0` (#(#0 ` (#` (#0 (# (#0h(#(#0h(#h(#0(#(#0p(#(#2#     )3  0p(#p(#  ddTABLE A        h \R3' Letter\ k HTABLE A<l9Z+&Courier Regular)c >Times New Roman Bold Italicwww.ogam2000.com/acquisition/pbc.htm;dTable_AXTABLE B\  `&Times New RomanTable_AkIA`2WP TypographicSymbols i)0iACIOU]emsNewStyle1.a.i.(1)(a)(i)1)a)+Px"Icgkosw{Large BulletLarge BulletF+2 `CG Times(http://wonder.cdc.gov/data2010/obj.htm) _[http://rcr.ucsd.edu].Table_D ש$USUS.,    5    _ԀXXActualperformancenumbersrepresentcontractsobligated.#XXf#(;3$2#  0  .3  0   d>c$"Small Circle"0 'dxd----)!dxdxsc I&mage <=8C HKKKK( $ Figure  1  ddddTABLE A4TABLE D4TABLE D ( $    1    _Ԁ XXVerificationandvalidationmethodsandproceduresforthesenationaldataareavailableinHHS 9 PublicationNo.(PHS)981256.#XX T#Table_A _  ש$USUS.,    3    _ԀXXForthepurposesofthisperformancereport,OPHShasretainedtargetsforFY2000thatareconsistent  withHealthyPeople2000,eveninareaslikethiswhereachievementisunlikely.Targetsfor2001havebeen  recalibratedbasedonHealthyPeople2010objectives.#XXf# _Table_B  ש$USUS.,    4    _ԀXXForthepurposesofthisperformancereport,OPHShasretainedtargetsforFY2000thatareconsistent  withHealthyPeople2000,eveninareaslikethiswhereachievementisunlikely.Targetsfor2001havebeen  recalibratedbasedonHealthyPeople2010objectives.#XXf#Table_CTable_ATable_Fhttp://www.aspe.os.dhhs.gov/datacncl/datadirectoryTable_GTable_H !  _@ DEPARTMENTOFHEALTHANDHUMANSERVICES@GPRAPERFORMANCEPLANS@  FORDEPARTMENTALMANAGEMENTAssistantSecretaryforPlanningandEvaluationFY2003PerformancePlanDepartmentalAppealsBoardFY2003PerformancePlansAssistantSecretaryforBudget,TechnologyandFinanceFY2003PerformancePlan AssistantSecretaryforAdministrationandManagementFY2003  F   PerformancePlanOfficeofPublicHealthandScienceFY2003PerformancePlan      @XXASSISTANTSECRETARYFORPLANNINGANDEVALUATION#XX#Ԉ P @ppFY2003PERFORMANCEPLANTheOfficeoftheAssistantSecretaryforPlanningandEvaluation(OASPE)advisestheSecretaryonpolicydevelopmentinhealth,disability,humanservices,andscienceandprovidesadviceandanalysisoneconomicpolicy.OASPEleadsspecialinitiativesonbehalfoftheSecretary;coordinatestheDepartmentsevaluation,researchanddemonstrationactivities;andmanagescrossDepartmentplanningactivitiessuchasstrategicplanning,developmentoftheDepartmentslegislativeprogramandreviewofregulations.Integraltothisrole,OASPEconductsresearchandevaluationstudies,developspolicyanalysesandestimatesthecostandbenefitsofpoliciesandprogramsunderconsiderationbytheDepartmentortheCongress.Reflectingtheroleofpolicyadvisor,mostoftheperformancemeasuresarenecessarilyqualitative.  &!$ *i jddd Xdd Xdd X(#(#, dd ,4dd ,dd ,dd +  /  /&t%XXPerformanceGoals A,!d" AFYTargets A,!d" AActualPerformance A,!d" A Reference* >4&d"   >1.Provideanalyticalknowledge(policyresearchandevaluationstudies)andleadershipthatcontributestothedevelopmentofsoundDepartmentandpublicpolicy 9/!   9FY03:SameasFY02FY02:SameasFY01FY01:Demonstrateimpactofpolicyanalysisandleadershiponformulationofpublic policy. FY00:NewinFY01 9/!-(5 9FY03:FY02:FY01:ObjectivemetFY00:NewinFY01 9/!-(= 9 9/!|'"> 92.Maintainhumanand technologicalcapacityto respondtoplanningandanalyticalneedsofthe Secretary. 9/!l!1 9FY03:SameasFY02FY02:SameasFY01 L3 FY01:SameasFY00 (4 FY00:ASPEanalytic 5 supportfunctionswillmakeacontributiontothedevelopmentofanalysesfortheSecretary.Staffing(hires)andstaffskills(training)willbeenhanced. 9/!&!= 9FY03:FY02:FY01:ObjectivemetFY00:Objectivemet 9/! B 91'% pC   1PreliminaryPerformanceSummary '"C EstablishingPerformanceTargets:TheOfficeoftheAssistantSecretaryforPlanningandEvaluation X)$E (ASPE)continuestoemploydescriptiveperformancegoalstoimprovetheperformanceoftheofficeovertime.PerformanceProgress:ASPEreportssignificantachievementsintheactivitiessupportingallofthe ,(I goalsforFY2001.ThefollowingachievementsdescribetheASPEsuccessinmeetingtheperformance -(J goalsstatedabove.1.AnalyticKnowledge:Asaresultofitsstronganalyticcapacity,_OASPE_Ԁcontinuestoplayamajorrole D inpolicyformulation.Forexample,policyresearchstudiesintheareaofaccesstohealthcareandtheextentofinsurancecoverageandserviceavailability,particularlyinunderservedareasandamongvulnerablepopulations.CentralandongoingprojectsassesstheimplementationandeffectivenessofboththeStateChildrensHealthInsuranceProgram(_SCHIP_)andHealthInsurancePortabilityandAccountabilityAct(_HIPPA_)inenhancinginsurancecoverageandimprovinghealthqualityandoutcomesforvariouspopulations._OASPE_ԀengagesinresearchstudiestotracktheconditionsofvulnerablepopulationsandcompilesdatamonitoringtheconditionsofAmericanchildren.Analysiswillprovideinformationontheimpactthesechangeswillhaveonemployment,poverty,familycompositionandchildwellbeing.Anotherareaofemphasishasbeendevelopingmodelsandpracticesthatimprovethequalityandresponsivenessofmanagedcareforchildrenandadultswithchronicdisability;developingnewriskadjustmentapproachesthatpredictthehealthcarecostsofpersonswithdisabilityandchronicillnessandidentifyingperformanceindicatorsformeasuringthequalityofhealthcarereceivedbysuchindividuals.2.HumanandTechnologicalCapacity:InFY2001_OASPE_Ԁcontinuedtobuildastronganalytical (x capacity.PolicySupportServiceswillprovidesimulationmodeling,statisticalanalysis,andothertechnicalandanalyticservicesneededinordertocarryoutpolicyresearch.Thegoalistoensureefficient,reliable,andtimelyanalyticsupport,whileoffsettingincreasesincoststhroughtheintroductionofcostsavingtechnologies.TheseservicessupportDepartmentwidedatapolicyandcollaborationeffortsindatapolicy,includingdatastandardsandprivacy,between_HHS_Ԁandthehealthindustry._OASPE_Ԁcontinuestosupportacademicresearchonpovertyandpromotesecondaryanalysisofunderutilizedbutrichdatasets.  4 q%&}{@w w DEPARTMENTALAPPEALSBOARD#&}{%q9#XX%&}{Ԉ h @ PERFORMANCEPLANFORFY2003TheDepartmentalAppealsBoard(DAB)isanindependentofficeestablishedtoprovideconflictresolutionservices.Theseservicesarebasicallyoftwotypes:1)adjudicatoryhearings,appellatereviewofdecisionsofAdministrativeLawJudges(_ALJs_),andsimilarlystructuredformalandinformalreviewsofcontesteddecisions;and2)alternativedisputeresolution(_ADR_),includingmediationandotherconsensualprocessesandtrainingrelatedto_ADR_.Organizationally,DABhasfourDivisions: P)a   P)ab2#  1  .3  0    TheAppellateDivisionsupportstheBoardMembers,issuingdecisionsonbehalfofthe   SecretaryofHHSinawidevarietyofcases.Insomecases,theBoardprovidesahearingifoneisneeded;inothers,theBoardprovidesanappellatetypereview.P)ab݌ (#(# Ќ   P)a   P)a72#  2  .3  0    TheCivilRemediesDivisionsupports_ALJs_Ԁwhoconducthearingsandissueinitial  decisionsinhealthcarefraudandabusecases,providersanctioncases,andothercivilenforcementcases.P)a7b݌ (#(# Ќ   P)a   P)a2#  3  .3  0    TheMedicareOperationsDivisionsupportsAdministrativeAppealsJudges(_AAJs_)who P actastheMedicareAppealsCouncilforreviewofdecisionsbySSA_ALJs_ԀinMedicareentitlementandcoveragecases(i.e.,MedicareAppeals).P)a݌ (#(# Ќ  NOTE:TheBoardMembersandotherjudgesarepartoftheImmediateOfficeoftheChairoftheBoard(togetherwithadministrativesupportstaff),butareconsideredpartoftheDivisionsforpurposesofGPRA,sincetheircaseloadsareidentifiedtotheDivisions. P)a   P)a!2#  4  .3  0    TheAlternativeDisputeResolution(_ADR_)DivisionsupportstheChairoftheBoardinher   functionasDisputeResolutionSpecialistfortheDepartment,providingoverallleadershipfor_ADR_ԀatHHS.TheDivisionalsoprovidessomedirect_ADR_Ԁservices,suchasmediationinBoardcasesandotherDepartmentdisputesandproviding_ADR_Ԁtraining.P)a!"݌ (#(# Ќ  TheDABhasnocontroloveritscaseload.Sincethemid1990's,caseloadsizeshavegrownveryrapidly,particularlyfortheCivilRemediesandMedicareOperationsDivisions.Caseloadprojectionssignalcontinuedgrowth.Inaddition,casesareincreasingincomplexity,therebyrequiringmoretimeforanalysisanddecisionmaking.Finally,theuseof_ADR_Ԁisexpanding!requestsformediationserviceshavemorethandoubledoverthepastthreeyears.ThePerformanceGoalssupportandrespondtootherefforts(e.g.,workredesign,improveddatacollection,increasedstaffing)toeffectivelycarryoutDABsresponsibilitiesandfunctions.  ,`'* #&}{%XX#&6%XX*( )dd dd 4dd 4dd dd i j(#(#," dd ,dd ,dd ,dd +  /:  /PerformanceGoals A:,!@": AFYTargets A:,!@": AActualPerformance A:,!@": AReference* =W(&@"  : =Goal1.MaintainAppellateDivisioncaseprocessingrates.Measure:Percentageofdecisionswithnetcaseageofsixmonthsorless. $ W $FY03:70%FY02:70%FY01:70%FY00:60%FY99:80%    FY02:FY01:75%FY00:81%FY99:53%     )W`" )Goal2.MaintainAppellateDivisionreversalandremandrateofBoarddecisionsappealedtofederalcourts.Measure:numberofdecisionsreversedorremandedonappealtofederalcourtasapercentageofallBoarddecisionsissued. $(W $FY03:2%FY02:2%FY01:2%FY00:2%FY99:2%  2 FY02:FY01:2%FY00:2%FY99:2%  <  )W H =" )Goal3.MaintainannualoutputofCivilRemediesDivisiondecisionsperALJyear.Measure:numberofdecisionsannuallyperALJyear(revised)Goal3(new)IncreaseCivilRemediescaseprocessingratesforInspectorGeneralcases.Measure:percentageofdecisionsissuedwithin60daysofthecloseoftherecord. $$XMW $FY03:N/AFY02:N/AFY01:N/AFY00:10perALJyear.FY99:55FY03:80%FY02:80%FY01:(newgoal)  ,#|\ FY01:N/AFY00:13FY99:69*(seenarrative)FY01:78%(baseline)  ,#|k  )W$tl" )Goal4.ReduceaveragenetcaseageforCivilRemediesDivisiondecisions.Measure:averagenetdaysforcasesfromreceipttodecisionintargetyearcomparedtoFY99. $|+&tW $FY03:15%FY02:15%FY01:15%FY00:10%reductionFY99:N/A  |+&| FY02:FY01:559days(37%increase)FY00:406days(22%increase)FY99:332days(baseline)  X,'  )Wx% " )Goal5. IncreaseuseofADR(i.e.,mediation)inappealedcases.Measure:numberofcasesmediatedinFY2003comparedwithnumberofcasesmediatedinFY2002. $d hW $FY03:10%increaseoverFY2002FY02:10%increaseoverFY2001FY01:10%increaseoverFY2000FY00:25%increaseoverFY99FY99:25%increase    FY02:FY01:34(14%increase)FY00:29fora26%increase.FY99:62(23usedformeasurementpurposesfora28%increase)FY98:18cases(baseline)     )W`d!" )Goal6.ExpandADRtrainingopportunities.Measure1:numberofsessionsoffered.Measure2:numberofHHSstafftrained. $,W $FY03:12FY02:12FY01:12FY00:9sessionsFY99:6sessionsFY03:400FY02:400FY01:400FY00:400FY99:200  LP9 ЀFY02:FY01:14FY00:15FY99:12FY02:FY01:409FY00:435FY99:400FY98:150(baseline)  LPF  )W G" )Goal7:EncourageuseofADRinallOPDIVs,includingOS.Measure1:numberofmeetingsand/orpresentationswithmanagementandothers,includingfederalinteragencyefforts,tofosterapplicationofADRtechniques.Measure2:numberofHHScasesmediatedthroughSharingNeutrals. $ *#TW $FY03:15FY02:15FY01:15FY00:15FY99:N/AFY03:36FY02:34FY01:30  0)4"` FY02:FY01:18FY00:15FY99:12(baseline)FY02:FY01:30FY00:28(baseline)   *#m  )Wn" )Goal8:ReduceaveragetimetocompleteactiononMedicareAppealsbefore theMedicareAppealsCouncil.Measure:averagetimetocompleteactiononMedicareAppealscases.Goal8(Revised)ConstraingrowthinaveragetimetocompleteactiononMedicareAppealscases.(Seerationalebelow)Measure:averagetimetocompleteactiononMedicareAppealscases. $DH W $FY01:N/AFY00:12monthsFY99:6monthsFY03:18monthsFY02:16monthsFY01:21months    FY01:N/AFY00:15monthsFY99:20monthsFY02:FY01:14.2monthsFY00:15monthsFY99:20months(baseline)  DH -  )W`d." )Goal9:ReducepercentageofMedicareAppealscasesthatexceedtheactiontarget.Measure:percentageofcasesinpendingworkloadthatexceedthetargetGoal9(Revised)IncreasenumberofdispositionsofMedicareAppealscases.(Seerationalebelow).Measure:Numberofdispositions. $!=W $FY01:N/AFY00:50%FY99:N/AFY03:5,500FY02:5,250casesFY01:5,000cases  !L FY01:FY00:52%FY99:72%(baseline)FY02:FY01:7,955FY00:4,435(baseline)  ![  )W\" )Goal10:(DroppedasDABgoal)DevelopprogramspecificregulationsgoverningreviewofALJdecisionsconcerningMedicareclaims.ThisisnolongerarelevantgoalforDABasthisisaHCFAinitiative. $0)4"dW $FY01:N/AFY00:N/AFY99:Developregulation  x'| j FY99:HCFAestablishesworkgroup̀  T(X!q  )W,#0r" )Goal11:IncreaseMedicareOperationsstaffeffectivenessthroughtraining. Measure:percentageofstafftrained. $ W $FY03:100%FY02:100%FY01:100%FY00:100%FY99:N/A    FY01:100%FY00:100%FY99:80%(baseline)    "`d" "XX%&}{Goal1:MaintainAppellateDivisioncaseprocessingrates tx Measure:percentageofdecisionswithanetcaseageofsixmonthsorless.EstablishingPerformanceTargets:TheAppellateDivisionreviews1)determinationsappealed 48  directlytotheBoardinawiderangeofcases,including_disallowances_Ԁunderdiscretionaryandmandatorygrantprograms,disapprovalsofcostallocationplans,unilateraldeterminationsofindirectcostrates,terminationsofHeadStartandotherdiscretionarygrants,sanctionsinresearchmisconductcases,anddeterminationsofineligibilityforANAgrants;and2)appealsbyeitherpartyof_ALJ_ԀdecisionsincasesheardbytheCivilRemediesDivision,decisionsbyFDAALJs,anddecisionsbyALJsintheDepartmentoftheInteriorincasesinvolvingtheIndianHealthServicesdeclinationofproposedIndianSelfDeterminationActcontracts.Thisgoaladdressesthetimelinessofcasereviewanddecisionsissued.ThePerformanceTargetforFY2001was70%.AlthoughtheAppellateDivisionexceededthisgoal,theDivisionisunlikelytomaintainthehigherlevelofcaseprocessingrates,duetoaprojectedgrowthinthecaseload.Asaresult,theperformancetargetsaremaintainedat70%forFY2002andFY2003.PerformanceProgress:N/A T X* Goal2:MaintaintheAppellateDivisionsreversalandremandrateonBoarddecisionsappealed 4"8, toFederalcourts. $#(- Measure:NumberofdecisionsreversedorremandedonappealtoFederalcourt,asapercentageofallBoarddecisionsissued(1,789decisionsbytheendofFY2001).EstablishingPerformanceTargets:ThisgoaladdressesthequalityofBoarddecisions.Historically,2%orlessofallBoarddecisionshavebeenreversedorremandedonappealtoFederalcourt.Aperformancetargetof2%wasestablishedforFY2001,andcontinuesforFY2002andFY2003.PerformanceProgress:TheperformancetargetforFY2001wasmet. ,%7  t-x&8 Goal3:Maintainannualoutputof_ALJ_Ԁdecisions.(replacedbyrevisedGoal3below)  Measure:TotalnumberofdecisionsinFY1999.RevisedMeasure:NumberofdecisionsannuallyperALJyear.EstablishingPerformanceTargets:Theoriginaltargetwasbasedonanannualnumberof `  decisionsovertimeinafairlystableenvironment.Themeasurewaschangedtoreflectthelargeincreaseincaseload,growingbacklogs,andtheadditionofALJs.Casesthatgotodecisionaregenerallycomplex,involvealargerecordandaninpersonhearingthatcanlastuptoaweek,andrequireconsiderabletimetodecide.Inaddition,althoughthemajorityofcasesbeforethe_ALJs_Ԁaresettled,withdrawn,orotherwisedismissed,theystillrequirejudicialtimeatthepredecisionalphase.Withthesefactorsinmind,themeasureidentifiedatargetnumberofdecisions P  per_ALJ_Ԁyear,ratherthanatotalnumber.(Note:resultsforFY1999reportedthetotalnumberof @  decisions).ThetargetforFY2000was10decisionsforeachALJyear.DABreplacedthisgoalforFY2001.Thegoalisinappropriate,asoutputquotascannot,bylaw,beestablishedforALJs.PerformanceProgress:N/A  Goal3(newforFY2002):IncreaseCivilRemediesDivisioncaseprocessingratesforInspector p General(IG)cases. ` Measure:Percentageofdecisionswithin60daysofthecloseoftherecord.EstablishingPerformanceTargets:Accordingtoregulations,decisionsonIGcasesaretobe  p madewithin60daysofthecloseoftherecord.Inactuality,thatdeadlineissometimesexceeded.Thisgoalfocusesontrackingandincreasingthepercentageofcasesdecidedwithin60days.ThetargetforFY2002is80%ofdecisionsmadewithin60daysofthecloseofthe @ record.ThistargetcontinuesforFY2003.Goal4:ReduceaveragenetcaseageofCivilRemediesDivisiondecisions. ! Measure:Averagenetcaseageforcasestomovefromreceipttodecision. #! EstablishingPerformanceTargets:Thisgoaladdressestimeliness.ThetargetforFY2000,the % # firstyearforthisgoal,wasa10%reductionintheaveragenetcaseageforcasesrequiringawrittendecision.Atargetof15%wassetforFY2001,andcontinuesforFY2002andFY2003.PerformanceProgress:TheCivilRemediesDivisiondidnotmeetitsgoalofreducingthe 0*%( averagecaseageby15%inFY2001,becausetheDivisionlostthreeexperienced_ALJs_ԀinJanuaryandFebruaryof2001.AlthoughtheDivisionreplacedone_ALJ_ԀinMay,thereisaninitiallearningcurvewhichdepressesproductivity.Inaddition,theDivisionlostseveralsupportstaffwhowouldhavebeenavailabletowritedecisionsandassistinmonitoringcases. -@), ЇGoal5:IncreasetheuseofAlternativeDisputeResolution(ADR)inappealedcases.  EstablishingPerformanceTargets:ThisgoalisdirectedatexpandingtheuseofADR(i.e.,  mediation)incasesappealedtotheDAB.Mediation,whensuccessful,canresolveappealsfasterandlessexpensivelythantheformalappealprocess.Greateruseofmediationalsohasthepotentialforreducingcasebacklogs.ThetargetforFY1999wasa25%increaseinthenumberofappealedcasesmediatedcomparedtoFY1998.InFY1999,63casesweremediated;however,40ofthesecasesrepresentaonetimeappealofablockofcasesinvolvingauniquecostallocationissue.Forperformancemeasurementpurposesovertime,DABproposestofactoroutthisblock,leavingatotalof23casesmediated.Anadditionalincreaseof25%wastargetedforFY2000;thetargetforFY2001wasa10%increaseoverFY2000.ThissamerateofincreaseistargetedforFY2002andFY2003.PerformanceProgress:ThirtycasesweremediatedinFY2001,fora14%increaseover   FY2000,thusexceedingthegoal.Goal6:ExpandADRtrainingopportunities.  Measure1:Numberoftrainingsessionsoffered.Measure2:NumberofHHSstafftrained.EstablishingPerformanceTargets:IncreaseduseofADRistheresultofseveralfactors: P increasingtheawarenessofalternativestothetypicalwaysofdealingwithconflict;understanding_ADR_Ԁprocessesandtheirpotentialuse;andexpandingtheavailabilityoftrainedneutrals.Identifiedmeasuresaddressboththeavailabilityoftrainingandthenumberofstafftrained.ThetargetforMeasure1,numberofsessionsconducted,was12forFY2001.ThistargetcontinuesforFY2002andFY2003.TheMeasure2targetforFY2001was400stafftrained;itcontinuesforFY2002andFY2003.PerformanceProgress: "  Measure1:14sessionswereheldinFY2001,exceedingthetargetof12.Measure2:409staffweretrainedinFY2001,exceedingthetargetof400.Goal7:EncouragetheuseofADRinallOperatingDivisions. `'"% Measure1:Numberofmeetingsand/orpresentationswithmanagementandothers,includingFederalinteragencyefforts,tofostertheapplicationofADRtechniques.Measure2:NumberofHHScasesmediatedthroughSharingNeutrals.EstablishingPerformanceTargets:ThisgoalsupportsthefunctionsoftheDepartmentsDispute -@), ResolutionSpecialist;theChairofDABisdesignatedassuchbytheSecretary.Measure1:PerformancetargetforFY2001was15sessions;thistargetcontinuesforFY2002andFY2003.Measure2:Thismeasure,newinFY2001,reflectstheincreasingdemandforlowcost,qualifiedmediatorsandtheroleofSharingNeutralsinmeetingthisdemand.SharingNeutralsisadministeredbytheADRdivision.FY2000servesasthebaseline;inthatyear,28disputes(infiveOPDIVsandOS)weremediatedthroughSharingNeutrals.TheFY2001targetwas30casesmediated;34casesisthetargetforFY2002,increasingto36casesmediatedforFY2003.PerformanceProgress: P  Measure1:TheFY2001targetwasexceeded,inlargepartbecauseoftheADRDivisionsleadershiproleininitiativessponsoredby_DOJ_ԀandABAtoclarifyconfidentialityprotectionsunderthe_ADR_ԀActandbestpracticesintheFederalsectors_ADR_Ԁproceedings.Measure2:TheFY2001targetwasmet.Goal8(Revised):ConstraingrowthintheaveragetimetocompleteactiononMedicareAppeals  beforetheMedicareAppealsCouncil.Measure:AveragetimetocompleteactiononMedicareAppealscases ` EstablishingPerformanceTargets:Theoriginalgoal(toreducetheaveragetimetocomplete @ actiononrequestsforreviewbeforetheMedicareAppealsCouncil)wasbasedontheassumptionthattheMedicareOperationsDivision(MOD)wouldbefullystaffed,andthatthenumberofincomingcaseswouldremainrelativelystable.Forthefollowingreasons,thisbecameanunrealistictarget:astaticordecreasingnumberofstaff;anincreaseinthenumberofcasesreceived(from2,262inFY1998to7,237inFY2000,7,931inFY2001,andaprojected9,015inFY2002);increasedcomplexityofcases;andanincreaseinthenumberofcivilactionsfiled.Asaresult,thetargetgoalwasrevisedto constrainthegrowthintheaveragetime.Thetargetwas21monthsforFY2001and24monthsforFY2002andFY2003.ThetargetsforFY2002andFY2003havenowbeenreviseddownwardto16monthsforFY2002and18monthsforFY2003,toreflectnewinformation.ThetargetsnowassumethatimplementationoftheBenefitsImprovementProtectionAct(BIPA)willbedelayed;therefore,MODwillnothavetogiveprioritytoBIPAdeadlinecasesordevoteresourcestoprocessingcasesforcourt,andthebacklogwillnotageasrapidlyaspreviouslythought.Nevertheless,theaveragetimetocompleteactiononacasewillincreaseeachyearthatMODdoesnothavesufficientresourcestoclosecasesonacurrentbasis,asisreflectedintheincreasefromFY2002toFY2003.IfimplementationofBIPAisnotdelayed,MODmaynotbeabletomeettheFY2002and 0*%( FY2003goals.PerformanceProgress:InFY2001,theaveragenumberofmonthstocompleteactionon -P(+ MedicareAppealsdecreasedto14.2months,exceedingthegoalby6.8months.Thiswasdueto -@), continuedprogresstowardfullimplementationofMODredesign,andlowerthanprojectedintakeofcases.Goal9(Revised):IncreaseNumberofDispositions.  Measure:NumberofdispositionsEstablishingPerformanceTargets:AswithGoal8,theoriginalGoal9toreducetheageof @  MedicareAppealscasesbymeasuringthepercentageofappealsexceedingtheactiontargetwasbasedontheassumptionsthattheMedicareOperationsDivision(MOD)wouldbefullystaffed,andthatthenumberofincomingcaseswouldremainrelativelystable.However,duetoadramaticallyincreasednumberofnewlyfiledappeals,thegoaltoreducethepercentageofpendingcasesexceedingprocessingtimetargetsdiminishedinvalueasaworkloadmeasure.ThenumberofcasesfiledinFY2000increasedby80%to7,237,withayearendpendingcaseloadof11,500.Basedonthisanalysis,thetargetgoalwasrevisedtoincreasethenumberofdispositionsforFY2001(5,000dispositions)andFY2002(5,250).Byincreasingthenumberofdispositions,thegrowthintheaveragecaseagemayalsobeconstrained.MODcaseprocessinghasbeenevaluated,andrecommendationsarenowbeingimplemented.Moreover,MODwasfinallyabletofillvacantclericalpositionsinFY2001,andtwonew_FTE_aretobeaddedinthelasthalfofFY2002.Asaresult,DABisprojectinganincreaseto5,250dispositionsinFY2002and5,500inFY2003,whenthetwonewpositionsbecomefullyproductive.MeasuringPerformance:FY2000servesasthebaseline. 0 PerformanceProgress:PerformanceProgress:TheactualnumberofdispositionsinFY2001 ` (7,955)exceededprojections(5,000).ThiswasduetocontinuedimplementationofMODsreinventedcaseprocessingprocedures,plusanunusuallylargenumberofremands(roughly2,000)resultingfromtheunavailabilityofhearingrecordsand/orclaimfilesfromSSA_ALJs_.Goal10:DevelopprogramspecificregulationsgoverningreviewofALJdecisionsconcerning ! Medicareclaims.(Thisgoalhasbeendropped). "  DABhasdroppedthisgoalforperformancemeasurementpurposes,althoughDABcontinuestobelievethatthehearingsandappealsprocessneedsimprovement.DABhasparticipatedonaCMSworkgroupestablishedtoaddressthisandrelatedissues.Goal11:IncreasetheeffectivenessofMODstaffthroughtraining. P(#& Measure:Percentageofstafftrainedinatleasttwosubstantiveareas.Thisisarevisedmeasure, 0*%( usingpercentagesratherthannumbers.Sincethenumberofstaffhasfluctuated,DABbelievespercentageswillbeamoreeffectivemeasure.EstablishingPerformanceTargets:FY1999servedasthebaseline.DABdeterminedthe -@), numberofstaffwhoattendedtrainingsessions(12)asapercentageoftotalstaff(15),or80%.Becauseofarevampedtrackingsystemandotherorganizationalchanges,atargetof100%wassetforFY2000andFY2001.ThistargetcontinuesforFY2002andFY2003.PerformanceProgress:100%ofstaffreceivedtraininginFY2001. p DataVerificationandValidity P  Casedataareenteredincontrolledaccessdatabases,withcasespecificidentification.Otherprogramdata(e.g.,numberoftrainingsessions,numberofcasesreversedorremanded)arealsorecordedandtracked.Datausedinperformancemeasuresarevalidatedbygeneratingperiodicreports.Attheendofthefiscalyear,thereporttotalswillbecrosscheckedwithannualtotalsforeachmeasure.  @  #&}{%XX@#    _L PAx3 L q%&}{  ASSISTANTSECRETARYFORBUDGET,TECHNOLOGYAND  FINANCE#&}{%q|#XX%&}{(FormerlytheAssistantSecretaryforManagementandBudget) 0 |  @@ppFY2003PERFORMANCEPLAN   }Atthebeginning_of___Ԁ___Fiscal_ԀYear(FY)2002theOfficeoftheAssistantSecretaryforManagementBudget(ASMB)was_retitled_ԀtheOfficeoftheAssistantSecretaryforBudget,TechnologyandFinance(ASBTF).ASBTFretainedfunctionalresponsibilityforbudgetandfinancialmanagementaswellasinformationresourcesmanagementincludingtheinvestmentstheDepartmentismakinginegovernmentandtechnology.Theofficeconsistsofthefollowingcomponents: P)a   P)a2A3  0    ImmediateOfficeoftheASBTFP)a݌ p (#(# Ќ   P)a   P)a2A3  0    OfficeofBudgetP)a݌`(#(# Ќ   P)a   P)aL2A3  0    OfficeofFinanceP)aLw݌P(#(# Ќ   P)a   P)a2A3  0    OfficeofInformationResourcesManagementP)a<݌@(#(# Ќ  TheASBTFperformanceplanforFY2003andrevisedfinalperformanceplanforFY2002isstructuredtoreflectthecategoriesabove.Thisplancontains_23_ԀperformancemeasuresforFY2003andincludesnewmeasureswhichdemonstrateboththeDepartmentscommitmenttoandASBTFsroleintheimplementationofthePresidentsGovernmentwideManagementReformsandtheSecretarysadditionalManagementPriorities.FY2003GovernmentwideManagementReforms p   P)a     P)a 2A3  0 `   ImproveFinancialPerformance 󀄀TheFY2003ASBTFperformanceplan P includesperformancemeasuresaddressingthetimelinessandreliabilityoffinancialinformation(seeFinanceGoal1,Goal2andGoal3).P)a A݌ ` (#` (# Ќ   P)a     P)a2A3  0 `   ExpandingElectronicGovernment 󀄀TheFY2003ASBTFperformanceplan "` includesaperformancemeasuretoimprovetheDepartmentsegovinfrastructure(seeInformationResourcesManagementmeasures1.71.10).P)a݌ ` (#` (# Ќ  OtherManagementPriorities % !#   P)a   0  P)a2A3  0` (#(#  UnifiedFinancialManagementSystems TheSecretaryhasestablishedthisas '#% aDepartmentwidemanagementpriority.TheFY2003ASBTFperformanceplanincludesaperformancemeasuretoassessprogresstowardtheachievementofthisgoal(seeFinanceGoal4).P)aÉ݌ ` (#` (# Ќ   P-(+  P)a   0  P)a2A3  0` (#(#  Consolidationof_HHS_ԀInformationTechnology(IT)Architectureand  EnhancedITSecurity 󀄀TheSecretaryhasestablishedthisasaDepartmentwide  managementpriority.TheFY2003_ASBTF_Ԁperformanceplanincludesperformancemeasurestoassessprogresstowardtheachievementofthisgoal(seeInformationResourcesManagementmeasures1.11.8).P)a݌ ` (#` (# Ќ  _Budget#&}{%XXh}#&%XX _ @  *n od d" dd " dd dd dd  (#(#," dd ,dd ,dd ,edd +  /: 0  /PerformanceGoals A:,!p  ": AFYTargets A:,!p  ": AActual    Performance A:,!p ": AReference* FW1&p "  : $F_XX%&}{#&}{%XXI# %&}{_Goal1a.Forsignificant_HHS_Ԁbudgetandmanagementprocessesandissues,providetimely,reliableandinnovativeanalysisthatisusefulandaddsvaluetothepolicyandresourcedecisionsofthe_ASBTF_ԀandtheSecretary.1b.Meetthestandardsofqualityandtimelinessestablishedbythe_ASBTF_,OMB,CongressandoversightagenciesfortheannualBudgetsubmission.Prepareclear,conciseassessmentsthatarticulate_HHS__OPDIV_ԀprioritiesandmeetDepartmentrequirementsinpreparationoftheDepartmentsbudget. $@!W $FY02:DroppedFY01:FY00:SetFY99:Set11/98FY03:DevelopFY05BudgetFY02:DevelopFY04BudgetFY01:NewinFY02  , FY02:FY01:ObjectivemetFY00:ObjectivemetFY99:Objectivemet   6  4W4 9" $0  4Goal2.ProvidetimelyandusefulassistanceandguidancetoOMBandcommitteestaffsandmonitoreffectiveimplementationofauthorizingandotherlegislationandregulationsforFederalbudgetandmanagementfunctions;identifyandcoordinatetheresolutionofseriousissues. $$"tAW $FY03:OverseeFY03BudgetFY02:OverseeFY02BudgetFY01:FY00:SetFY99:Set11/98  Z!H FY02:FY01:ObjectivemetFY00:ObjectivemetFY99:Objectivemet  M  )WN" )Goal3a.Developandimplementstrategiesforthetimelyandeffectivepresentationanddefenseofthe_HHS_budget,andpreparetimely,reliableandrelevantreportstoOMB,Congressandothers.3b.Professionalmanagementoftheappropriationprocess.ProvidehighqualitybudgetjustificationstotheAppropriationsCommitteesintimeforhearings. $,J([W $FY02:FY01:FY00:SetFY99:Set11/98FY03:SubmitFY04BudgetFY02:SubmitFY03BudgetFY01:NewforFY02  *%e FY02:FY01:ObjectivemetFY00:ObjectivemetFY99:Objectivemet  %0!i _#&}{% #XX%&}{#&}{%XX# %&}{_ )W#j" )Goal4.TheOSEEOOfficewill provideuseful,timelyandreliableEEOservicestothe_STAFFDIVs_,ensuringequalityofopportunitythroughcompliancewithEEOregulationsand_proactive_Ԁoutreachprograms.Measure1.IncreaseEEOoutreachtocustomers,through:̄training/briefings̄printed/electronicinformationMeasure2.ReducetheratioofformalEEOcomplaintstototalEEOcomplaints. $PTW $FY02:Transferredto_ASAM_FY01:62FY00:53FY99:43FY02:Transferredto_ASAM_FY01:44FY00:39FY99:25FY02:Transferredto_ASAM_FY01:50%FY00:52%FY99:56%  3 FY02:FY01:3/02FY00:67FY99:47FY98:Baseline38FY02:FY01:3/02FY00:43FY99:34FY98:Baseline19FY02:FY01:3/02FY00:55%FY98:Baseline60%  M  2W`dN" $2Goal5.ProvidesupporttotheSecretarybyprovidingqualityandtimelyanalysesandreportingofmajorbudgetevents(includingtheDepartmentsBudgetPreparation,OMB_Passback_,OMBMidSessionReview,theBudgetResolution,andAppropriationsStatus). $!VW $FY03:Provideaccurate,timelyanalysesandreportstotheSecretarywithoutanyjustifiablecomplaint.FY02:SameasFY03FY01:NewforFY02  !^ FY03:8/03FY02:8/02FY01:Objectivemet  !f -#!8<g" $0   -#&}{% 6#XX%&}{ PerformanceSummary  #h    `    ShortlyaftersubmittingtheFY2002budget,the_ASBTF_ԀBudgetOfficereviewedits b%fj performancegoalstodetermineopportunitiesforimprovement.WeconcludedthatwecouldtakeamorefocusedapproachtoBudgetOfficeoperationsandconcentrateoncorefunctions.Asaresult,somegoalswerechangedandonegoalwasaddedtoplacegreateremphasisonwhattheofficeisactuallyaccomplishing.Therevisedandnewgoals,whilestilldescriptive,canbeobjectivelymeasured.Weareconvincedthattheofficeisonthewaytoquantitativemeasures. -&s Goal1(revised):Meetthestandardsofqualityandtimelinessestablishedbythe_ASBTF_,OMB,  Congressandoversightagenciesforannualbudgetsubmission.Prepareclear,conciseassessmentsthatarticulate_HHS_ԀOperatingAgencyprioritiesandmeetDepartmentrequirementsinpreparationoftheDepartmentsbudget.PerformanceObjective:Previously,thisgoalread:Forsignificant_HHS_Ԁbudgetand `  managementprocessesandissues,providetimely,reliableandinnovativeanalysisthatisusefulandaddsvaluetothepolicyandresourcedecisionsofthe_ASMB_ԀandtheSecretary.ThechangeaddsmoreprevisiontowhattheBudgetOfficeactuallydoes,andrecognizestheneedtobalanceOperatingAgencyprioritiesandDepartmentalrequirementsasthebudgetisdeveloped.ItplacesthemeasurementofsuccessoutsideoftheBudgetOfficeandsquarelywiththe_ASBTF_. `  PerformanceReport:DuringFY2001,theBudgetOfficeconsistentlyprovidedtimely,accurate, @  andinnovativeanalysisandinformationinanenvironmentcharacterizedbycompetingprioritiesandnonnegotiabledeadlines.Briefingmaterialsweresuccinct,andquestionsfromtheSecretaryandhisstaffwereansweredquicklyandaccurately.PerformanceTarget:MetinFY2001.  Goal2:ProvidetimelyandusefulassistanceandguidancetoOMBandcommitteestaffsand  monitoreffectiveimplementationofauthorizingandotherlegislationandregulationsforFederalbudgetandmanagementfunctions;identifyandcoordinatetheresolutionofseriousissues. ` ̀PerformanceObjective:BoththeHouseandSenatemustpassappropriationsbills,whichare @ reconciledinconference.TheBudgetOfficecanprovidetimelyinformationtotheSecretaryandhisstaff,buttheirprimaryjobistoprovidecompellingjustificationstocommitteestaffsintimefortheirhearings.PerformanceReport:ForFY2001,anumberoffactorsoutsidethecontroloftheExecutive @ BranchconspiredtodelaythesigningoftheLabor/_HHS_ԀbilluntilJanuary2002.BudgetOfficestaffremainedengagedwithcongressionalstaff,providingbothstaffand_HHS_Ԁleadershipwithinformationasneeded.PerformanceTarget:MetinFY2001. #! Goal3(revised):Professionalmanagementoftheappropriationprocess.Providehighquality % # budgetjustificationstotheAppropriationsCommitteesintimeforhearings. p&!$ PerformanceObjective:Previouslythisgoalread:Developandimplementstrategiesforthe P(#& timelyandeffectivepresentationanddefenseofthe_HHS_Ԁbudget,andpreparetimely,reliableandrelevantreportstoOMB,Congressandothers.Therevisionfocusesmorespecificallyonthe 0*%( criticalappropriationprocessandtheendresult,ratherthantheprocessesthatleaduptoit.Italsoexpandsresponsibilitytotheentirearrayofproductsthatsupporthearings.PerformanceTarget:NewforFY2002. -@), ЇGoal4:TheOSEEOOfficewillprovideuseful,timelyandreliableEEOservicestothe  _STAFFDIVs_,ensuringequalityofopportunitythroughcompliancewithEEOregulationsand_proactive_Ԁoutreachprograms.PerformanceObjective:ThisfunctionhasbeentransferredtotheOfficeoftheAssistant p SecretaryforAdministrationandManagement(_ASAM_).Futureperformancereportswillbeincorporatedinthe_ASAM_Ԁplan.PerformanceReport:TheOSEEOofficecontinuedtoincreaseoutreacheffortsunderMeasure 0  1,withtraining/briefingsontopicssuchassexualharassmentpreventionandassistingemployeesreturningtoworkafterexperiencingatrauma.Printed/electronicinformationincludedguidanceonprovidingreasonableaccommodationandEEOpostersforregionaloffices.UnderMeasure2,thepercentageofinformationEEOcomplaintsgoingformalincreasedforthefirsttimeduringthefirsttwoquartersofFY2001to62%,slightlyhigherthanthebaselineof60%duringFY1998.Amajorfactorinthisincreasewasthetypeofactionscomplainedabout.Sevenofthetenformalcomplaintsinvolvedissuesthatweredifficulttoresolve(nonselection,termination,reassignment).Goal5(new).ProvidesupporttotheSecretarybyprovidingqualityandtimelyanalysesand  reportingofmajorbudgetevents(includingtheDepartmentsBudgetPreparation,OMB_Passback_,OMBMidSessionreview,theBudgetResolution,andAppropriationsStatus). p PerformanceTarget:NewforFY2002. P  Finance   p *p qdd" dd " dd dd edd en o(#(#," dd ,<< ,dd ,edd +  /: ` /_#&}{%XX>#&%XXPerformance_Ԁ_GoalsXX%&}{#&}{%XX# %&}{_ A:,!d": A_#&}{% z#XX%&}{#&}{%XXT#&%XXFY_Ԁ_TargetsXX%&}{#&}{%XX# %&}{_ A:,!>": A#&}{% '#XX%&}{Actual t Performance#&}{%XX# %&}{ A:,!d ": A_#&}{% "#XX%&}{#&}{%XX#&%XXReference*XX%&}{#&}{%XXG# %&}{_ FW1&>""  : $FGoal1.(Revised)_HHS_Ԁcompletesitsauditedfinancialstatementsontime.Measure:Complete_HHS_Ԁauditedfinancialstatementsbyduedate.Goal1._HHS_Ԁandall_HHS_Ԁcomponentssubmitauditedfinancialstatementsontimeinaccordancewithmutuallyagreeduponduedates.Measure:NumberofAuditedFinancialStatementssubmittedbyduedate. $):%0W $FY03:02/01/04FY02:02/01/03FY01:10of10+_HHS_ԀFY00:9of9+_HHS_FY99:9of9_HHS_components+_HHS_  -b(B FY03:FY02:FY01:05/02FY00:5of9+_HHS_(Interim)FY99:8of9+_HHS_ԀFY98:8of8+_HHS_ԀFY97:Baseline0  -b(T  4Wr V" $0  4Goal2.(Revised)HHSfinancial statementsearnanunqualified(clean)auditopinion.Measure:HHSfinancialstatementsreceivenoauditqualifications.Goal2.HHScomponentsandHHSauditopinionsareunqualified(clean).Measure:NumberofAuditedFinancialStatementswithnoqualifications. $6 W $FY03:UnqualifiedopinionFY02:UnqualifiedopinionFY01:9of10+HHSFY00:9of9+HHS̀FY99:8of9auditedHHScomponents+HHS  p  FY03:FY02:FY01:5/02FY00:8of9+HHS(Interim)FY99:8of9+HHSFY98:2of8auditedHHScomponents+HHSreceivedunqualifiedopinions.FY97:Baseline0unqualified.  1  )Wd2" )Goal3.HHSsubmitsatimelyAccountabilityReportMeasure:SubmittheHHSAccountabilityReporttoOMBbytheduedate. $jF8W $FY03:02/01/04FY02:02/01/03FY01:02/27/02FY00:03/01/01FY99:03/01/00  A FY03:FY02:FY01:02/02FY00:02/28/01FY99:03/01/00FY98:03/01/99FY97:Baselinè04/29/98forFY97̀report  &"M  2WxTN" $2Goal4.(New)ImproveHHSfinancialmanagementsystemstobetterprovideuniform,integratedfinancialinformationforallofHHS.Measure:Establishaunifiedfinancialmanagementsystem. $( UW $FY03:MeetFY03milestonesidentifiedinProjectPlan.FY02:MeetFY02milestonesidentifiedinProjectPlan.FY01:DevelopaProjectPlantoimplementaunifieddepartmentwidefinancialmanagementsystem.  ,%b FY03:FY02:FY01:AhighlevelProjectPlandeveloped;milestonesestablishedforFY02and03  -b&p  =W(D# q" $0  $=Goal5.Maximizetheuseofelectronic payments.Measure:Percentageofpaymentstransferredelectronically(ElectronicFundsTransfer). $W $FY03:Vendorpayments95%Travelpayments100%FY02:(Revised)Vendorpayments95%Travelpayments100%FY01:Grantpayments100%Salarypayments100%Vendorpayments90%Travelpayments100%FY00:Grantpayments100%Salarypayments100%Vendorpayments75%Travelpayments75%FY99:Grantpayments100%Salarypayments100%Vendorpayments69%Travelpayments69%  `<2 FY03:12/03FY02:12/02FY01:Grantpayments100%Salarypayments99%Vendorpayments90%Travelpayments96%FY00:Grantpayments100%Salarypayments99%Vendorpayments86%Travelpayments95%FY99:Grantpayments100%Salarypayments99%Vendorpayments85%Travelpayments93%FY98:BaselineGrantpayments100%Salarypayments98%Vendorpayments42%Travelpayments43%  R!.T  9W$H$U" $0  9Goal6.Timelyvendorpayments.Measure:Percentageofvendorpaymentsmadeontime. $%ZW $FY03:95%FY02:95%FY01:95%FY00:95%FY99:95%  &~` FY03:FY02:FY01:97.7%FY00:96.6%FY99:96.4%FY98:Baseline91%  &~f  .W"g  .Goal7.Collectdebtowedto_HHS_.Measure:Percentincreaseintotalcollectionsoverprioryear. $z VW $FY03:10%aboveFY02FY02:10%aboveFY01FY01:10%aboveFY00̀($16.8billion)FY00:10%aboveFY99̀($15.7billion) FY99:10%aboveFY98̀($14.6billion)  6  FY03:FY02:FY01:$14.4billionFY00:$15.3billionFY99:$14.27billionFY98:Baseline$13.3B     )Wd " )Goal8.ImprovetheAverageTimeforResolvingAudits* $( "W $FY03:3%FY02:3%FY01:3%decreasefromFY00(137.4days)FY00:3%decreasefromFY99(141.9days)FY99:3%decreasefrombaseline(146.5days)  * FY03:FY02:10/10/02FY01:140.5daysFY00:120.1daysFY99:112.9daysFY98:Baseline151days  xT4 "^: 5"  "#&}{% #XX%&}{NOTE:Thetargetsfortheauditedfinancialstatementgoalsmatchestheyearcoveredbythe <6 financialstatement.*#&}{%XXV# %&}{InFY2002theOfficeofAuditResolutionsandCostPolicywastransferredfromtheOfficeofGrantsand  9 AcquisitionManagementtotheOfficeofFinance.ThisFY2003_GPRA_Ԁplanincludesthegoals,etc.forauditresolution.#&}{% #XX%&}{ ; TheOfficeofFinance(OF)providesleadershipandguidanceon_HHS_Ԁfinancialmanagementtomaintaintheconfidenceofthepublicthatallresourcesaremanagedeffectively.OFachievesthisoutcomebyensuringthetimelyandaccuratedisbursementsandcollectionsandrecordingoffundsandbyinformingitscustomers,i.e.decisionmakersandthetaxpayerswithusefulfinancialinformation.TheOFiscommittedtoachievingtwo_HHS_Ԁfinancialmanagementstrategicgoals:#&}{%XXw# %&}{  'C #&}{% #XX%&}{  1.Decisionmakershavetimely,accurateandusefulprogramandfinancialinformation. (!E   2:All_HHS_Ԁresourcesareusedappropriatelyandeffectively._ASBTF_ԀFinancewillaccomplishthesegoalsinpartnershipwiththeHHScomponents,withthegovernmentwideChiefFinancialOfficersCouncilthroughitsvariouscommitteesandworkgroupsandwiththecentralagenciesincludingOMB,Treasury,etc.TheOfficeofFinancewillutilizethesekeyresultstoachieveitslongrangeperformancegoalswhichincludedevelopment z.V'K ofanintegratedprocesswhichcapturesfinancial,budgetandprogramperformanceinformationandwhichmakesfinancialinformationmoreusefulforprogrammanagers.&   PerformanceSummary    'PerformanceGoal1.TimelyAuditOpinion. `  EstablishingPerformanceTargets:Theduedatesforcompletionofauditedfinancialstatements @  areestablishedbylaw._HHS_,astheequivalentofacorporateentity,isobligatedtomeetthoseduedates.The_HHS_Ԁfinancialstatementsandtheauditorsopiniononthosestatements,rollupfromandrelyuponthestatementsandauditopinionsof_HHS_Ԁcomponents.Ofthe13componentsof_HHS_,9componentspreparedauditedfinancialstatementsfortheFY1999andFY2000cycle.Theyare:_ACF_,CDC/_ATSDR_,CMS,FDA,_HRSA_,_IHS_,NIH,_PSC_,and_SAMHSA_ . (Since__ATSDR_ԀisincludedintheCDCstatements,CDC/_ATSDR_Ԁarecountedasone 0  _HHS_Ԁcomponent). _AoA_ԀwillhaveitsfirstfullauditfortheFY2001statements._AHRQ_ԀandOS   havefinancialstatements,buttheyarenotauditedindividually.   #&}{%XXD# %&}{#&}{% #XX%&}{Thetargetyearappliestotheperiodcoveredbythestatementsalthoughtheauditofthe z statementsisperformedinasubsequentyear.DiscussionofFY2002andFY2003targets:OMBhasissuedguidancewhichproposesto J acceleratethescheduletorequirethatthestatementsandreportbeavailableatthetimeofthePresidentsbudgetsubmission).TheFebruary1,2003andFebruary1,2004targetduedatesreflectthatguidance.Theywillbeadjustediftheguidancechanges.Giventhefactthatnew,updatedfinancialsystemswillnotbefullyimplementedandtheinherentlagin_GPRA_Ԁprogramperformancedatafortheoverviews,thiswillbeaverydifficultchallengeandwilltaxavailableresources.ThemilestoneswillapplytoCMS,NIH,_ACF_,CDC,andFDA * aswellas_HHS_Ԁsincethese_HHS_Ԁcomponentauditedstatementsarematerialtothe_HHS_statement.Theother_HHS_ԀcomponentauditedstatementswillalsohaveestablishedmilestonedatesthatwillenabletheDepartmenttomeettherevisedOMBdeadlines.DataSourceforPerformance:DatesofInspectorGeneralsReportfor_HHS_ԄwideAuditand "  IndependentAuditorsReportfor_HHS_ԀcomponentsAudits.DataVerificationandValidation:CopiesofthesereportsareprovidedbytheInspectorGeneral j$" andarekeptonrecord. PerformanceProgress:_HHS_,CMS,andFDAauditsweretimelyand_ACF_,NIH,and_HRSA_ :'"% weresubstantiallycompletedontime.The_SAMHSA_Ԁauditwasdelayedduetoimplementationissueswiththenewgrantpaymentsystem.CDCsauditwasdelayedbythesesameissuesandalsobyissuesrelatedtoreimbursableactivities.The_PSC_Ԁauditwasdelayedasaresultofthegrantpaymentmanagementsystemdelayinother_OPDIV_Ԁaudits.The_IHS_Ԁfinancialstatementauditfor_IHS_Ԁwasalsodelayed,butwascompleted.Noneofthesedelaysaffectedthe_HHS_opinion,howevertheydoreflectthedifficultyinmaintainingtimely,cleanopinions.InpreparationforitsfirstfullauditinFY2001,_AoA_ԀhadanauditreviewcompletedonitsBalanceSheet.#&}{%XX # %&}{ . *- Ї  #&}{% .#XX%&}{ChangesoverPreviousYear:Thegoalandmeasurewasrevisedfor_FYs_Ԁ2002and2003to  emphasizethefactthat_HHS_Ԁisasingleorganization.ThisisconsistentwiththeSecretarysdirection._HHS_Ԁwillcontinuetotracktheperformanceofeachindividualcomponentinternally.PerformanceGoal2.CleanAuditOpinion.  p  EstablishingPerformanceTargets:Theindependentauditorsopiniondetermineswhetherthe P  statementsfairlypresentthefinancialconditionofanentitywhilecomplyingwithgenerallyacceptedaccountingprinciples.Iftheydo,anunqualifiedor cleanopinionisrendered.Ifnot,eitheraqualifiedopinion(oneormoreseriousfindingsofdeviationsfromaccountingprinciples)oradisclaimer(not_auditable_)isgiven.#&}{%XX# %&}{#&}{% #XX%&}{ThesamebasisforquantifyingthePerformanceGoal1above,appliestoGoal2.   DiscussionofFY2002andFY2003Targets:Duetotheacceleratedscheduleandrelated   challengesdiscussedunderGoal1above,the_HHS_Ԁcleanopinionwillbedifficulttomaintain.Itisdependentonhumanresourceskillsandfinancialsystems.DataSource:FinancialStatementAuditorsOpinionandDateoftheOpinion. j DataVerificationandValidation:CopiesofthesereportsareprovidedbytheInspectorGeneral Z andarekeptonrecord.̀PerformanceProgress:  _HHS_Ԁhascontinuedtoimprovethereliabilityofthefinancialstatements. *z NoneofthestatementspreparedfortheFY1997periodwereunqualified,buttwo_HHS_componentsreceivedunqualifiedopinionsforFY1998and_HHS_ԀreceiveditsfirstcleanopinionforFY1999.AsecondcleanopinionwasearnedforFY2000.Eightofthe9_HHS_Ԁcomponentsstatementsthatsupportthisgoal,alsoreceivedacleanopinion.Theninthcomponent(_IHS_)didnotreceiveacleanopinion.ChangesoverPreviousYear:Thegoalandmeasurewererevisedfor_FYs_Ԁ2002and2003to   emphasizethefactthat_HHS_Ԁisasingleorganization.ThisisconsistentwiththeSecretarysdirection._HHS_Ԁwillcontinuetotracktheperformanceofeachindividualcomponentinternally.   `  PerformanceGoal3.AccountabilityReport  z#!  EstablishingPerformanceTargets:  WiththepassageoftheReportsConsolidationActof2000, Z% # theauthorizationforAccountabilityReportsisnowpermanentwiththereportsdue180daysaftertheendofthefiscalyears2000and2001anddue150daysaftertheendofthefiscalyear, :'"% thereafter.OMBhasacceleratedthisschedulefurther,asdiscussedinGoals1and2.Thereportstreamlinesvariousindividualreportsthatarerequiredunderotherlegislationandpresentsthefinance,program,andbudgetinformationinawaythatismoreusefultothepublicandtodecisionmakers.#&}{%XX# %&}{ *J&) #&}{% #XX%&}{DiscussionofFY2002andFY2003Targets:Therisksassociatedwiththeacceleratedschedule ,(+ forthesefiscalyearswillcascadeandhaveasignificantimpactonthecontentandproductionoftheAccountabilityReport.Tradeoffswillhavetobemadeintheprogramperformanceand .)- analysisdiscussioninordertomeettheaccelerateddates.Eventhen,ifthereareanyproblemswiththeaudits,theywillaffectHHSabilitytoaccomplishthesetargets.DataSource:TransmittalmemoandreportfromHHStoOMB.  DataVerificationandValidation:TheOMBverificationoftimelyreceiptofHHSsubmission. p  PerformanceProgress:HHSmetthetargetinFY1999andexceededtheFY2000targetbyone P  day.TheFY1999reportwasjudgedtobe excellentandwascitedforbestpracticesinaCertificateforExcellenceinAccountabilityReportingreview.TheFY2000reviewhasnotbeencompletedyet.  PerformanceGoal4.UnifiedFinancialManagementSystems  P   AsHHSmovesforwardinElectronicGovernment(egov),weareassessingourcurrentebusinesscapabilitiesandstatus.PartoftheDepartmentseffortistoaddressthepublicsdemandforonlinegovernmentinteractionandsimplified,standardizedwaystoaccessgovernmentinformationandservices.OneoftheDepartmentsobjectivesistohaveaunifiedautomatedfinancialmanagementsystemthatprovidescomplete,reliable,andtimelyfinancialinformationandthatsupportspreparationofHHSfinancialstatements.CurrentlyHHShasfiveaccountingsystemsrunningonvaryingplatformsatvariouslocations.HHSisnowworkingtoachievegreatereconomiesofscale,eliminateduplication,andprovidebetterservicedeliverybyconsolidatingtheexistingsystemsintoaunifiedsystemthatwillprovideuniform,integratedfinancialinformationforHHSmanagementanddecisionmakers.Also,theDepartmentisconsolidatingaccountingservicesandstreamliningitsfinancialinfrastructure.DiscussionofFY2002andFY2003targets:ConsistentwiththePresidentsManagement  p Agendaundertheimprovingfinancialperformanceinitiative,HHShasannounceda OneDepartmentapproachtoinformationtechnologywhichemphasizesmanagementofresourcesonanenterprisebasiswithacommoninfrastructure.InFY2001,HHSinitiatedasixyearprojecttoimplementaUnifiedFinancialManagementSystem(_UFMS_)toreplacefivelegacysystemsandintegratetwomajorsubsystems.Specifically,HHSwillhaveonefinancialmanagementsystemcomprisedoftwomajorsubcomponents.OnesubcomponentwillbeforCMSandtheMedicareContractorscalledtheHealthcareIntegratedGeneralLedgerandAccountingSystem(_HIGLAS_),andanothersubcomponentfortherestofHHSwillbothbeintegratedintoaDepartmentreportingsystem.Thisunifiedsystemwillbedesignedtoautomateallinternalandexternalfinancialreportingneeds. DataVerificationandValidation:  DataVerificationandValidationwillbedeterminedbythe `'"% developmentandexecutionofthemilestones,whichwillbeverifiedandvalidatedintheauditorsopinion.Theexistenceoftwosystemsratherthanfivewillalsoserveasvalidation.  @)$'  PerformanceProgress:NewMeasure   +p&)  .0*-  PerformanceGoal5.ElectronicFundsTransfer(EFT)    EstablishingPerformanceTargets:  E1 m u%}- (#XEӀTreasuryguidelinesissuedinJanuary,1999established  conversiontargetsof69%forFY1999and75%forFY2000forEFTpaymentsforallFederalAgencies.TreasuryhasnotdeterminedthetargetsforFY2001andbeyond;thosetargetswillbeincludedinourplanwhenandiftheyareidentified.ThepercentachievedisbasedontheuniverseofpaymentseligibleforEFT.DiscussionofFY2002andFY2003Targets:TheHHStargetfortravelpaymentswillremainat 0  100%andwillincreasefrom90%to95%forvendorpayments.Newaccountingsystemswillimpactperformanceunderthesetargets.#&}{%XXJ# %&}{ `  #&}{%  #XX%&}{ChangesoverPreviousYear:Thetargetsforgrantsandsalarypaymentsweredeletedsince   thereisathreeyeartrendofsubstantialachievementofthisgoalandtargetsforthem.Theserateswillcontinuetobemonitoredinternally.Shouldtherebeachange,theywillonceagainbecomethefocusof_GPRA_Ԁtargets.N1 m u%}- "(#X XNDataSource:QuarterlyEFTReportsandTreasuryGuidelinesofJanuary1999 j DataVerificationandValidation:EachOPDIVhasanautomatedprocessfortabulatingthe Z numberandtypesofpaymentsmade;thisinformationisusedtocompilethequarterlystatistics.ThedataisvalidatedandverifiedviaTreasurywhotabulatesthenumberandtypesofpaymentsmadebasedontheAgencyLocationCode(s)ofanagency.#&}{%XX{# %&}{ *z   #&}{% R#XX%&}{PerformanceProgress:HHSmetorsubstantiallymetallofitstargetsexcepttravelpayments. 4 However,actualperformancefortravelshowedimprovementaboveFY2000levelsandachieved96%,whichwasveryclosetothe100%target.  PerformanceGoal6.TimelyVendorPayments    EstablishingPerformanceTargets:TimelypaymentbyHHSofbillsowedtovendorswillavoid   latefeesandinterestpenaltiesmandatedunderthePromptPayAct.  Theyalsoindicatesound t! businesspractices.DiscussionofFY2002andFY2003Targets: HHSwillworktomeetandmaintainthe95%on D$" timetargetsthatwereestablishedbyOMB.Sincenewfinancialsystemswillbeimplemented,theymayhaveanimpactonthesetargetsandaccomplishments,butitcannotbefullyprojectednow,sothetargetwillnotbeincreasedatthistime.DataSource: QuarterlyHHSComponentPromptPayreports (D$'  PerformanceProgress:  SinceFY1996,HHShasshownincreasingratesofontimepayments. *$&) InFY2001,HHSachievedadepartmentwiderecordbymakingover97%ofitspaymentsontime. .)- PerformanceGoal7.CollectionofDebts    EstablishingPerformanceTargets:The10%targetistheincreaseindollarscollectedoverthe  priorfiscalyearfordebtsowedtotheHHS.   PerformanceProgress:  InFY2001the$14.4billionincollectionsrepresentsa5.8%decrease `  fromFY2000.However,atthesametimecollectionsdecreased,totalreceivablesdecreasedby$1.2billion.Asapercentoftotalreceivables,collectionsinFY2001were51.6%whichisapproximatetothe52.6collectionrateforFY2000.DiscussionofFY2002and2003Targets:Thedollaramountofthesetargetswillcontinuetobe `  10%abovethedollarscollectedfortheprioryear.ThemeasurewasclarifiedfromthatintheFY2001plantobeclearerandconsistentwiththeAccountabilityReport.DataSource:TreasuryReportonReceivables(formerlySchedule9s).   DataVerificationandValidation:TheHHSChiefFinancialOfficerorDeputyChiefFinancial  OfficercertifiesannuallyinDecember,thattheamountsreportedonthereceivablesreportarecorrectandwillbeusedtomonitorcompliancewiththeDebtCollectionImprovementAct.TheChiefFinancialOfficeralsoverifiesthatthereporthasbeenreconciledtotheHHSauditedfinancialstatements.ThisverificationissubmittedbyMarch31stofeachyear.  PerformanceGoal8.ImprovetheAverageTimeforResolvingAudits ` EstablishingPerformanceTargets:Areductionof3%intheaveragetimeindaysrequiredto @ resolveanaudit.TheOfficeofAuditResolutionandCostPolicyresolvesauditfindingsofacrossprogramnature.ThecrossprogramfindingsthatareresolvedatthisleveloftheDepartment,generallyarenotrelateddirectlytoprogrameffectiveness,butratherarerelatedtoestablishingaccuratemeasuresofthecostsofprogramoperationsandtoassuregranteecompliancewiththeirfinancialresponsibilitiesconsistentwithgenerallyacceptedaccountingprinciples.TheSingleAuditActrequiresthatFederalawardingagenciesresolveauditfindingswithin6monthsafterthereceiptofanauditreport.Thisperformancegoalistoreducethetimerequiredtoresolveaudits.Generally,timelyresolutionoftheseissuesisintheinterestofthegranteeandthetaxpayers.However,theOfficehaslimitedcontroloverthequalityandcomplexityofauditfindings.DateSource:DARManagementInformationSystem `'"% DataVerificationandValidation:OfficeDirectorreviewsandapprovesthesystemsinputand P(#& analysisbytheseniorauditresolutionstaff.PerformanceProgress:TheperformancetargetforFY2001is137.4days.Theaveragetimeto  +p&) resolveanauditinFY2001was140.5days.FY2001andprioryearperformancesofthisfunctionwasundertheOfficeofGrantsandAcquisitionManagement.ResponsibilitywastransferredtotheOfficeofFinanceinOctober2001. .0*- Themostsignificantandrelevantfactorfortheimprovedperformanceisthatthebusinessprocessesof_OARCP_Ԁhavebeenredesignedtotriageauditfindingssothatthemosttimeisavailableforthemostcomplexissues.Individualperformanceplanswereinturnredesignedtostresstheimportanceofimprovingtheprocessingofauditfindings.Anauditresolutiontrackingsystemwasrefinedtoincorporateindividualandgroupstatisticsontimeliness,andregularreportsarebeingissued.Otherfactorsalsoarerelatedtotheimprovementsinthisperformancemeasure._OARCP_ԀassumedtheresponsibilityoftheDepartmentsComplianceSupplementOfficer.ThisrequiresthecoordinationofallprogrammaticsupplementstoOMBCircularA133._OARCP_ԀalsodevelopsandcoordinatestheimplementationofanewDepartmentwidesystemforensuringthereceiptofallauditsrequiredbytheSingleAuditAct.FinallyincoordinationwiththeInspectorGeneral,_OARCP_ԀtookonnewresponsibilitiesforreportingoutstandingmonetaryauditfindingsandthestatusofcollectionstoCongressionalappropriationscommittees.Theseadditionalactivitiescontinuetoprovideconditionsthatalsorequiretheaccelerationofauditresolutionactivitieswithin_OARCP_.ChangesoverPreviousYear:Theaveragetimerequiredforresolvingauditswasnotasgoodas  eithertheperformancetargetorprioryearperformance.TheofficelostonethirdofitsstaffunexpectedlyinFY2000,andthisshortagecontinuedformostofFY2001.Thevacanciesnowhavebeenfilled._XXXX Information_ԀResourcesManagement  ` #&}{%XX# %&}{** 0d d" dd " << dd edd ep q(#(#,N dd , dd ,dd ,dd +  /: P /_#&}{% 50#XX%&}{#&}{%XX0#&%X!XPerformance_Ԁ_GoalsXX%&}{#&}{%XXs1# %&}{_ A:,!~": A_#&}{% 2#XX%&}{#&}{%XX92#&%X!XFY_Ԁ_TargetsXX%&}{#&}{%XX2# %&}{_ A:,!~": A_#&}{% 4#XX%&}{#&}{%XX3#&%X!XActual_  _PerformanceXX%&}{#&}{%XXl4# %&}{_ A:,!": A_#&}{% P6#XX%&}{#&}{%XX25#&%X!XReferenceXX%&}{#&}{%XX5# %&}{_ FW1&~"  : $FGoal1.Majorsystemsdevelopment/majormodificationeffortsdemonstrateahighprobabilityofsuccess.ImplementtheDepartmentalInformationTechnologyReviewBoardprocesstoassuresoundnessofITcapitalinvestmentsandtoinitiateappropriatecorrectiveactionsonmajoreffortsasneeded.1.1.100%ofITinvestmentsapprovedbythe_ITIRB_Ԁmeetreviewcriteria(i.e.,OMBMemorandumM9702).0    1.2.100%ofITinvestmentsconsideredbutnotapprovedbythe_ITIRB_Ԁaresubjecttoappropriatecorrectiveactionsandfundingrestrictionsorterminations.EstablishOperatingAgencyLevelInformationTechnologyArchitectures(ITA)withinaDepartmentalITAforuseinevaluatingITinvestments. .*7 Ї1.3.100%ofITinvestmentsapprovedby_ITIRB_Ԁmeetreviewcriteria(i.e.,OMBMemorandumM9702).InitiateEnterpriseInfrastructureManagementtoprovidesoftwaredistribution;asset,problem,andfacilitiesmanagement.1.4.100%ofallCOTSsoftware(_Tivoli_)neededtodistributesoftwareispurchasedanddistributed,phasedinoverthreeyears.1.5.100%ofallCOTSsoftware(Peregrine)neededtoprovideasset,problemandfacilitiesmanagementispurchasedanddistributed,phasedinoverthreeyears.InitiateEnterpriseSoftwareLicensestoconsolidate_duplicative_Ԁefforts.1.6.100%ofallSASsoftwareproductsarepurchasedfromtheEnterpriseLicensetoachievea20%purchasesavings.ConsolidateandProtectDepartmentsITInfrastructure.1.7.EstablishandImplementaconsolidatedITStrategic5YearPlanthatsupports OneDepartment1.8.InventoryITAssets .'3 1.9.EnhancethesecurityofHHSinternalnetwork.1.10.MaintainthereliabilityofHHSITsystems. $ W $FY03:100%FY02:100%FY01:100%FY00:100%FY03:100%FY02:100%FY01:100%FY00:100% .*! ЇFY03:100%FY02:100%FY01:100%FY00:100%FY03:N/AFY02:N/AFY01:50%FY03:N/AFY02:N/AFY01:70%FY03:100%FY02:100%FY01:70%FY03:ReducenumberofserversthroughoutHHSby25%;andcompleteconsolidationofcircuitsthroughout10regionaloffices.FY02:ReducenumberofserversthroughoutHHSby10%andconsolidatecircuitsamong5regionaloffices.FY01:Establish5yearplan.FY03:CompleteinventoryDepartmentwideFY02:InitiateinventoryofITassetsandcomplete35%. .'3 FY03:Reducesuccessfulintrusionsbyanadditional25%.FY02:Reducesuccessfulintrusionsby25%.FY03:99.7%FY02:99.7%    FY03:FY02:FY01:100%FY00:100%FY03:FY02:FY01:100%FY00:100% .*! ЇFY03:FY02:FY01:100%FY00:100%FY03:FY02:FY01:20%FY00:10%FY03:FY02:FY01:80%FY00:60%FY03:FY02:FY01:80%FY03:FY02:FY01:FY03:FY02:100%(hardware) .'3 FY03:FY02:FY03:FY02    _#&}{% 7#XX%&}{#&}{%XX[C# %&}{_ T    $  =W( $" $0  $=Goal2.DepartmentalcollectionsofinformationmeettherequirementsofthePaperworkReductionActof1995.Eliminateillegal/bootlegcollectionsofinformation.2.1.99%ofDepartmentalinformationcollectionshavecurrentOMBapprovalinFY2000._#&}{% }E#XX%&}{#&}{%XXDE# %&}{  #  (E#:Y:Y_Reduce,minimizeandcontrolburdenplaceonthepublicbyDepartmentalinformationcollections.2.2.Achievea35%reductioninburdenhoursimposedonthepublicbyHHSinformationcollectioninventoryinFY2000(comparedwiththeFY1995baseline, VZ tobephasedinby10%forFY1996,10%forFY1997,5%forFY1998,5%forFY1999,and5%forFY_2000).#&}{% G#XX%&}{#&}{%XXH# %&}{  #  (iH#:Y:Y_   2.3.Achievea5%reductioninburdenhoursfromtheprevious_year.  #  (I#:Y:Y#&}{% hJ#XX%&}{#&}{%XX1J# %&}{_ # MonitorDepartmentsimplementationof_GPEA_.2.4.InformationcollectionsreviewedbytheDepartmentareincompliancewiththerequirementsof_GPEA.#&}{% L#XX%&}{#&}{%XXK# %&}{  #  (3L#:Y:Y_ b)f"%  $,*0#&W $FY03:99%FY02:99%FY01:99%FY00:98%FT99:97%FY98:_90%#&}{% N#XX%&}{#&}{%XXzM# %&}{  #  (M#:Y:Y_ <@3 FY02:N/AFY01:N/AFY00:5%FY99:5%FY98:5%FY97:10%FY96:_Ԅ10%#&}{% O#XX%&}{#&}{%XX3O# %&}{  #  (O#:Y:Y_  ? FY03:5%ofFY02FY02:5%ofFY01FY01:5%of_FY00  #  (P#:Y:Y#&}{% Q#XX%&}{#&}{%XX]Q# %&}{_ #C _#&}{% S#XX%&}{#&}{%XX$R# %&}{  #  (R#:Y:Y_FY03:100%FY02:_90%#&}{% T#XX%&}{#&}{%XX}S# %&}{  #  (S#:Y:Y_  (!I FY02:FY01:11/1/01FY00:99%FY99:99%FY98:90%_#&}{% U#XX%&}{#&}{%XXU# %&}{  #  (wU#:Y:Y_FY00:+7.1%FY99:+7.7%FY98:8.7%FY97:10.0%FY96:_9.9%  #  (V#:Y:Y#&}{% vW#XX%&}{#&}{%XX9W# %&}{_  b _#&}{% Y#XX%&}{#&}{%XXX# %&}{  #  (aX#:Y:Y_FY02:FY01:_11/1/01#&}{% `Z#XX%&}{#&}{%XXVY# %&}{  #  (Y#:Y:Y_ #f _#&}{% [#XX%&}{#&}{%XXZ# %&}{  #  ( [#:Y:Y_FY03:_FY02:#&}{%  ]#XX%&}{#&}{%XX[# %&}{  #  (]\#:Y:Y_  (!l _#&}{% \^#XX%&}{&}{%%&}{#&}{%X(X[]# %(&}{#  (_#:Y:Y_-#! m" $0   - N.R'q #&}{% _#XX%&}{Goal1.Majorsystemsdevelopment/majormodificationeffortsdemonstrateahighprobability  ofsuccess.  PerformanceObjective:ImplementtheDepartmentalInformationTechnologyReviewBoard  processtoassuresoundnessofITcapitalinvestmentsandtoinitiateappropriatecorrectiveactionsonmajoreffortsasneeded.Measure1.1:0  100%ofITinvestmentsapprovedbythe_ITIRB_Ԁmeetreviewcriteria(i.e.,OMB @  MemorandumM9702).  (# (# Measure1.2:0  100%ofITinvestmentsconsideredbutnotapprovedbythe_ITIRB_Ԁaresubjectto`  (# (#     appropriatecorrectiveactionsandfundingrestrictionsorterminations.EstablishingPerformanceTargets:ThreemeetingswereheldinFY2001thatreviewedthree 0  systems:_EIM_ԀBusinessCaseapprovedDecember2000._CITs_ԀProcurementContractVehiclefromCDCapprovedMay2001tocontinueanddirectedtobeexpandedfromDepartmentwideuse;CMSsintegratedGeneralLedgerAccountingSystem(_HIGLAS_ԄCMShasbeenworking  withtheDepartmentsinceJanuary2001toimprovetheirdocumentationinpreparationforan_ITIRB_ԀplannedinAugust2001).TheDepartmenthasheldseveralbusinesscasereviews(January,March,April)ofthe_HIGLAS_Ԁ_ITIRB_Ԁdocumentationstillunderdevelopmenttoassistandguidethe_HIGLAS_Ԁprogramtoasuccessful_ITIRB_Ԁreview.TheBoardhasexpandeditspurviewintoanyandallcrosscuttingITinitiatives,includingprocurementvehiclesthatcanhaveDepartmentwideuse.Note:_OIRM_Ԁisintheprocessofevaluatingtheefficacyofthestructureofthecurrenttargets.AnoversightroleinvolvingreviewsofOPDIVLEVELperformancemayprovidemoreinsightinto_ITIRB_Ԁprocessesandresultsthanthecurrentmeetingorientedmeasure.PerformanceObjective:EstablishOPDIVLEVELInformationTechnologyArchitectures(ITA) @ withinaDepartmentalITAforuseinevaluatingITinvestments.Measure1.3:0  100%ofITinvestmentsapprovedbythe_ITIRB_Ԁmeetreviewcriteria(i.e.,OMB! (# (#     MemorandumM9702).EstablishingPerformanceTargets:In1998,ASMBdeterminedthatHHSandthe_OPDIVs_ $" neededinformationtechnologyarchitectures(ITA).In1999anASMB/FDAledtaskforcebeganworkondeveloping_ITAs_ԀfortheDepartmentandeachofthe_OPDIVs_.ThefirsttwophasesofthisworkhavebeencompletedandareusedtogaugetheinvestmentsbroughtbeforetheBoard.PerformanceReport:AlloftheinvestmentseithermettherequirementsoftheITAorwere  +p&) broughtintoalignmentthroughBoardactions.PerformanceObjective:InitiateEnterpriseInfrastructureManagementtoprovidesoftware -@), distribution;asset,problem,andfacilitiesmanagement. .0*- ЇMeasure1.4:0 m 100%ofallCOTSsoftware(_Tivoli_)neededtodistributesoftwareis  purchased m (#m (#     anddistributed,phasedinoverthreeyears.EstablishingPerformanceTargets:In1999,ASMBdeterminedthatHHSandthe_OPDIVs_ p neededanEnterpriseInformationManagementtoestablishandconformtothe_Clinger_ԄCohenActthatestablishesnotonlyanITreviewboardfortechnologyexpenditureassessmentsagainsttheStrategicPlan,butalsoestablishedconformancetoamandatedarchitecture.Aspartofthatarchitecturestrategy,theEnterpriseInfrastructureManagement(_EIM_)programrequiresstandardizedproducts,distributionandmonitoringtoassessandcontrolexpenditure,dataexchangeandprovidesDepartmentwidestandards._Tivoli_Ԁisoneoftheproductschosen,viatheresultsoftheIMBusinessCaseanalysisandInformationTechnologyInvestmentReviewBoard(_ITIRB_),thatmeetstheDepartmentsconformitymandates.Wearereexaminingtheutilityandnecessityofthe_Tivoli_ԀproductduetoPeregrinesadvances,therefore,wearenotincludingperformancetargetsforFY02andFY03.PerformanceReport:Alloftheinvestmentsmettherequirementsof_EIM_.  Measure1.5:  100%ofallCOTSsoftware(Peregrine)neededtoprovideasset,problemand      facilitiesmanagementispurchasedanddistributed,phasedinoverthreeyears.EstablishingPerformanceTargets:In1999,ASMBdeterminedthatHHSandthe_OPDIVs_ ` neededan_EIM_Ԁtoestablishandconformtothe_Clinger_ԄCohenActthatestablishesnotonlyanITreviewboardfortechnologyexpenditureassessmentsagainsttheStrategicPlan,butalsoestablishedconformancetoamandatedarchitecture.Aspartofthatarchitecturestrategy,the_EIM_Ԁprogramrequiresstandardizedproducts,distributionandmonitoringtoassessandcontrolexpenditure,dataexchangeandprovidesDepartmentwidestandards.Peregrineisoneoftheproductschosen,viatheresultsofthe_EIM_ԀBusinessCaseanalysisand_ITIRB_,thatmeetstheDepartmentsconformitymandates.Wearereexaminingtheutilityandnecessityofthe_Tivoli_productduetoPeregrineadvances,therefore,wearenotincludingperformancetargetsforeitherproductatthistime.PerformanceReport:Alloftheinvestmentsmettherequirementsof_EIM_. "  PerformanceObjective:InitiateEnterpriseSoftwareLicensestoconsolidate_duplicative_Ԁefforts. $" #&}{%XX`# %&}{#&}{% {#XX%&}{Measure1.6:0  100%ofallSASsoftwareproductsarepurchasedfromtheEnterpriseLicensetoJ&!$ (# (#     achievea20%purchasesavings.EstablishingPerformanceTargets:In1999,ASMBdeterminedthatHHSandthe_OPDIVs_ )j$' neededanEnterpriseSoftwareLicensingeffortaspartoftheDepartmentsconformancetothe_Clinger_ԄCohenAct.Eliminating_duplicative_Ԁcontractadministrativeeffortsandachievingcorporatepurchasingpower,consolidatedeffortsandprovidesbenefitstheDepartmentcostsavingsandunlimitedseatlicensingforallOPDIVs.ThiseffortalsocontributestotherequirementtomanagetechnologyexpenditurespertheStrategicPlan.Aspartofthe . *- Їarchitecturestrategy,the_EIM_Ԁprogramrequiresstandardizedproducts,distributionandmonitoringtoassessandcontrolexpenditures,dataexchangeandprovidesDepartmentwidestandards.PerformanceReport:Alloftheinvestmentsmettherequirementsof_EIM_. p PerformanceObjective:ConsolidateandprotectDepartmentsInformationTechnology P  Infrastructure.Measure1.7:0  EstablishandimplementaconsolidatedIT5yearStrategicPlanthatsupports p  (# (#     oneDepartment.FY01Target:EstablishandimplementanIT5yearstrategicplan. @  EstablishingPerformanceTargets:TheDepartmentestablishedthetargetofanInformation   Technology(IT)FiveYearStrategicPlanbasedonthe_Clinger_ԄCohenrequirementstoestablishanenterprisewidearchitecture.Inordertoaccomplishthis,andtoachievetheSecretarysgoalof OneDepartment,theITFiveYearStrategicPlanfocusestheresourcerequirementsaswellasexpendituresontheprioritizedobjectivesandprojectsoftheDepartment.  PerformanceReport:Thestrategicplanwillbemonitoredandupdatedasneeded. p FY02Target:ReducenumberofserversthroughoutHHSby10%;andconsolidatecircuits P among5regionaloffices.EstablishingPerformanceTargets:ReducingthenumberofserversthroughouttheDepartment  p by10%andconsolidatingcircuitsamong5regionalofficesinFY02beginstocentralizethephysicalITinfrastructureintooneDepartmentthroughconsolidation.PerformanceReport:AssetCenter,aPeregrineapplication,willprovideITassetinventory 0 reportsthatcanbemonitoredfortheprogressofconsolidation.FY03Target:ReducethenumberofserversthroughoutHHSby25%andcomplete "  consolidationofcircuitsthroughout10regionaloffices.EstablishingPerformanceTargets:ReducingthenumberofserversthroughouttheDepartment % # by25%andconsolidatingcircuitsamong10regionalofficesinFY03continuestocentralizethephysicalITinfrastructureintooneDepartmentthroughconsolidation.PerformanceReport:AssetCenter,aPeregrineapplication,willprovideITassetinventory @)$' reportsthatcanbemonitoredfortheprogressofconsolidation.Measure1.8:0 m InventoryITAssets.,`'*m (#m (# FY02Target:InitiateinventoryofITassetsviatheinstallationandimplementationof -@), PeregrinesAssetCenterapplicationandcomplete35%oftheinventoryforFY02. .0*- ЇEstablishingPerformanceTargets:TheDepartmentestablisheda35%completionforFY02  sincefundsarenotavailabletocontinuedistributionandinstallationofthePeregrineAssetCenterapplication.PerformanceReport:AsofDecember5,2001wehavecompletedtheautomatedIThardware p assetinventory.FY03Target:CompleteinventoryDepartmentwide. @  EstablishingPerformanceTargets:TheDepartmentwillcompletetheinventoryofITassetsin  p  FY03,providingfundsareavailabletocontinuedistributionandinstallation.PerformanceReport:AssetCenter,aPeregrineapplication,willprovideITassetinventory @  reportsthatcanbemonitoredfortheprogressofconsolidation.Measure1.9:0  EnhancethesecurityoftheHHSinternalnetwork. (# (# FY02Target:Reducethesuccessfulintrusionsby25%.  EstablishingPerformanceTargets:TheDepartmenthasestablishedthetargetofareductionby  25%ofsuccessfulintrusionsforFY02.Thiswillbeaccomplishedbydistributionandimplementationof_Tivoli_sPolicyDirector,RiskManager,andIntrusionDetectionapplications.PerformanceReport:Thesethree_Tivoli_Ԁapplicationscumulativelywillproducesecurityreports @ thatdelineateintrusionattemptstorouters,_firewalls_Ԁand_webservers_ԀwhileprovidingtheidentityoftheIPaddress,thephysical,geographiclocationoftheintruderandrestrictsaccesstocertainnetworkresources.FY03Target:Reducethesuccessfulintrusionsbyanadditional25%. @ EstablishingPerformanceTargets:Wewillcontinuetoreducesuccessfulintrusionsbyan   additional25%inFY03as_Tivoli_sPolicyDirector,RiskManager,andIntrusionDetectionapplicationsarerolledouttotheremainingAgencies.PerformanceReport:Thesethree_Tivoli_Ԁapplicationscumulativelywillproducesecurityreports $" thatdelineateintrusionattemptstorouters,_firewalls_Ԁand_webservers_ԀwhileprovidingtheidentifyoftheIPaddress,thephysical,geographiclocationoftheintruderandrestrictsaccesstocertainnetworkresources.Measure1.10:MaintainthereliabilityofHHSITsystems.FY02Target:TheDepartmentestablishedatargetsuccessrateof99.7%forFY02because  +p&) anythinglesswouldbeunacceptable. .0*- EstablishingPerformanceTargets:DuringFY02,theUninterruptedPowerSource(UPS)system  willbeinstalledtoensureuninterruptedpowerduringemergencyandnaturaldisasters.BackupanddisasterrecoveryprocedureswillbeimplementedacrosstheDepartment.PerformanceReport:Poweravailabilitycanbemeasuredviamachineutilizationreportsand p reportinginstructionviathebackupandrecoveryprocedures.FY03Target:TheDepartmentestablishedatargetsuccessrateof99.7%forFY03because @  anythinglesswouldbeunacceptable.EstablishingPerformanceTargets:DuringFY03,theUPSsystemwillbemaintainedtoensure `  uninterruptedpowerduringemergencyandnaturaldisasters.BackupanddisasterrecoverprocedureswillbemonitoredacrosstheDepartment.PerformanceReport:Poweravailabilitycanbemeasuredviamachineutilizationreports,server   uptimeandreportinginstructionviathebackupandrecoveryprocedures.#&}{%XX{# %&}{  #&}{% D#XX%&}{Goal2.DepartmentalcollectionsofinformationmeettherequirementsofthePaperwork z ReductionActof1995PerformanceObjective:Eliminateillegal/bootlegcollectionsofinformation. J Measure2.1:0  99%ofDepartmentalinformationcollectionshavecurrentOMBapproval*z (# (#     inFY2000.EstablishingPerformanceTargets:ThePaperworkReductionActrequiresthatcollectionsof J informationfromthepublicreceivepriorapprovalfromOMB.AccordinglyinFY1997,theDepartmentsetagoalofhavingatleast99%ofinformationcollectionsincompliancebyFY2000andmaintainingthislevelintheoutyears.Agoalof100%wouldnotberealisticbecausenewandrevisedcollectionsarealwaysunderdevelopment.PerformanceReport:AsoftheendofFY1999,99%ofDepartmentalcollectionshadcurrent ! OMBapprovalnumber.PerformanceObjective:Reduce,minimizeandcontrol