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($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 $    5    _ԀzFXXActualperformancenumbersrepresentcontractsobligated.#XXzFT#(;3$2#  0  .3  0   d>c$"Small Circle"0 'dxd----)!dxdxsc I&mage <=8C HKKKK( $ Figure  1  ddddTABLE A4TABLE D4TABLE D ( $    1    _ԀzFXXVerificationandvalidationmethodsandproceduresforthesenationaldataareavailableinHHS 9 PublicationNo.(PHS)981256.#XXzFT#Table_A _  $    3    _ԀzFXXForthepurposesofthisperformancereport,OPHShasretainedtargetsforFY2000thatareconsistent 9 withHealthyPeople2000,eveninareaslikethiswhereachievementisunlikely.Targetsfor2001havebeenrecalibratedbasedonHealthyPeople2010objectives.#XXzFT# _Table_B  $    4    _ԀzFXXForthepurposesofthisperformancereport,OPHShasretainedtargetsforFY2000thatareconsistent 9 withHealthyPeople2000,eveninareaslikethiswhereachievementisunlikely.Targetsfor2001havebeenrecalibratedbasedonHealthyPeople2010objectives.#XXzFT#Table_CTable_ATable_Fhttp://www.aspe.os.dhhs.gov/datacncl/datadirectoryTable_GTable_H !  _@ DEPARTMENTOFHEALTHANDHUMANSERVICES@GPRAPERFORMANCEPLANS@  FORDEPARTMENTALMANAGEMENTAssistantSecretaryforPlanningandEvaluationFY2003PerformancePlanDepartmentalAppealsBoardFY2003PerformancePlanAssistantSecretaryforBudget,TechnologyandFinanceFY2003PerformancePlan AssistantSecretaryforAdministrationandManagementFY2003  PerformancePlanOfficeofPublicHealthandScienceFY2003PerformancePlan   `   @(XXASSISTANTSECRETARYFORPLANNINGANDEVALUATION#XX(,#Ԉ  @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%XX  PerformanceGoals A,!<" AFYTargets A,!<" AActualPerformance A,!<" A Reference* >4&<"   >1.Provideanalyticalknowledge(policyresearchandevaluationstudies)andleadershipthatcontributestothedevelopmentofsoundDepartmentandpublicpolicy 9/!H 9FY03:SameasFY02FY02:SameasFY01FY01:Demonstrateimpactofpolicyanalysisandleadershiponformulationofpublicpolicy.FY00:NewinFY01 9/!" 9FY03:FY02:FY01:ObjectivemetFY00:NewinFY01 9/!* 9 9/!+ 92.MaintainhumanandtechnologicalcapacitytorespondtoplanningandanalyticalneedsoftheSecretary. 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,OASPEcontinuestoplayamajorrole D inpolicyformulation.Forexample,policyresearchstudiesintheareaofaccesstohealthcareandtheextentofinsurancecoverageandserviceavailability,particularlyinunderservedareasandamongvulnerablepopulations.CentralandongoingprojectsassesstheimplementationandeffectivenessofboththeStateChildrensHealthInsuranceProgram(SCHIP)andHealthInsurancePortabilityandAccountabilityAct(HIPPA)inenhancinginsurancecoverageandimprovinghealthqualityandoutcomesforvariouspopulations.OASPEengagesinresearchstudiestotracktheconditionsofvulnerablepopulationsandcompilesdatamonitoringtheconditionsofAmericanchildren.Analysiswillprovideinformationontheimpactthesechangeswillhaveonemployment,poverty,familycompositionandchildwellbeing.Anotherareaofemphasishasbeendevelopingmodelsandpracticesthatimprovethequalityandresponsivenessofmanagedcareforchildrenandadultswithchronicdisability;developingnewriskadjustmentapproachesthatpredictthehealthcarecostsofpersonswithdisabilityandchronicillnessandidentifyingperformanceindicatorsformeasuringthequalityofhealthcarereceivedbysuchindividuals.2.HumanandTechnologicalCapacity:InFY2001OASPEcontinuedtobuildastronganalytical (x capacity.PolicySupportServiceswillprovidesimulationmodeling,statisticalanalysis,andothertechnicalandanalyticservicesneededinordertocarryoutpolicyresearch.Thegoalistoensureefficient,reliable,andtimelyanalyticsupport,whileoffsettingincreasesincoststhroughtheintroductionofcostsavingtechnologies.TheseservicessupportDepartmentwidedatapolicyandcollaborationeffortsindatapolicy,includingdatastandardsandprivacy,betweenHHSandthehealthindustry.OASPEcontinuestosupportacademicresearchonpovertyandpromotesecondaryanalysisofunderutilizedbutrichdatasets.      #XX%&T#  hXX@w w DEPARTMENTALAPPEALSBOARD#XXh#  &%XX#XX%&#   h @ PERFORMANCEPLANFORFY2003TheDepartmentalAppealsBoard(DAB)isanindependentofficeestablishedtoprovideconflictresolutionservices.Theseservicesarebasicallyoftwotypes:1)adjudicatoryhearings,appellatereviewofdecisionsofAdministrativeLawJudges(ALJs),andsimilarlystructuredformalandinformalreviewsofcontesteddecisions;and2)alternativedisputeresolution(ADR),includingmediationandotherconsensualprocessesandtrainingrelatedtoADR.Organizationally,DABhasfourDivisions: P3   P32#  1  .3  0    TheAppellateDivisionsupportstheBoardMembers,issuingdecisionsonbehalfofthe   SecretaryofHHSinawidevarietyofcases.Insomecases,theBoardprovidesahearingifoneisneeded;inothers,theBoardprovidesanappellatetypereview.P3݌ (#(# Ќ   P3   P3`2#  2  .3  0    TheCivilRemediesDivisionsupportsALJswhoconducthearingsandissueinitial  decisionsinhealthcarefraudandabusecases,providersanctioncases,andothercivilenforcementcases.P3`݌ (#(# Ќ   P3   P32#  3  .3  0    TheMedicareOperationsDivisionsupportsAdministrativeAppealsJudges(AAJs)who P actastheMedicareAppealsCouncilforreviewofdecisionsbySSAALJsinMedicareentitlementandcoveragecases(i.e.,MedicareAppeals).P3# ݌ (#(# Ќ  NOTE:TheBoardMembersandotherjudgesarepartoftheImmediateOfficeoftheChairoftheBoard(togetherwithadministrativesupportstaff),butareconsideredpartoftheDivisionsforpurposesofGPRA,sincetheircaseloadsareidentifiedtotheDivisions. P3   P3"2#  4  .3  0    TheAlternativeDisputeResolution(ADR)DivisionsupportstheChairoftheBoardinher   functionasDisputeResolutionSpecialistfortheDepartment,providingoverallleadershipforADRatHHS.TheDivisionalsoprovidessomedirectADRservices,suchasmediationinBoardcasesandotherDepartmentdisputesandprovidingADRtraining.P3""݌ (#(# Ќ  TheDABhasnocontroloveritscaseload.Sincethemid1990's,caseloadsizeshavegrownveryrapidly,particularlyfortheCivilRemediesandMedicareOperationsDivisions.Caseloadprojectionssignalcontinuedgrowth.Inaddition,casesareincreasingincomplexity,therebyrequiringmoretimeforanalysisanddecisionmaking.Finally,theuseofADRisexpanding!requestsformediationserviceshavemorethandoubledoverthepastthreeyears.ThePerformanceGoalssupportandrespondtootherefforts(e.g.,workredesign,improveddatacollection,increasedstaffing)toeffectivelycarryoutDABsresponsibilitiesandfunctions.  ,`'* &%XX*( )ddd Xdd Xdd X(#(#," 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:ReduceaveragetimetocompleteactiononMedicareAppealsbeforetheMedicareAppealsCouncil.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,includingdisallowancesunderdiscretionaryandmandatorygrantprograms,disapprovalsofcostallocationplans,unilateraldeterminationsofindirectcostrates,terminationsofHeadStartandotherdiscretionarygrants,sanctionsinresearchmisconductcases,anddeterminationsofineligibilityforANAgrants;and2)appealsbyeitherpartyofALJdecisionsincasesheardbytheCivilRemediesDivision,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:MaintainannualoutputofALJdecisions.(replacedbyrevisedGoal3below)  Measure:TotalnumberofdecisionsinFY1999.RevisedMeasure:NumberofdecisionsannuallyperALJyear.EstablishingPerformanceTargets:Theoriginaltargetwasbasedonanannualnumberof `  decisionsovertimeinafairlystableenvironment.Themeasurewaschangedtoreflectthelargeincreaseincaseload,growingbacklogs,andtheadditionofALJs.Casesthatgotodecisionaregenerallycomplex,involvealargerecordandaninpersonhearingthatcanlastuptoaweek,andrequireconsiderabletimetodecide.Inaddition,althoughthemajorityofcasesbeforetheALJsaresettled,withdrawn,orotherwisedismissed,theystillrequirejudicialtimeatthepredecisionalphase.Withthesefactorsinmind,themeasureidentifiedatargetnumberofdecisions P  perALJyear,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,becausetheDivisionlostthreeexperiencedALJsinJanuaryandFebruaryof2001.AlthoughtheDivisionreplacedoneALJinMay,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;understandingADRprocessesandtheirpotentialuse;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,inlargepartbecauseoftheADRDivisionsleadershiproleininitiativessponsoredbyDOJandABAtoclarifyconfidentialityprotectionsundertheADRActandbestpracticesintheFederalsectorsADRproceedings.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,andtwonewFTEaretobeaddedinthelasthalfofFY2002.Asaresult,DABisprojectinganincreaseto5,250dispositionsinFY2002and5,500inFY2003,whenthetwonewpositionsbecomefullyproductive.MeasuringPerformance:FY2000servesasthebaseline. 0 PerformanceProgress:PerformanceProgress:TheactualnumberofdispositionsinFY2001 ` (7,955)exceededprojections(5,000).ThiswasduetocontinuedimplementationofMODsreinventedcaseprocessingprocedures,plusanunusuallylargenumberofremands(roughly2,000)resultingfromtheunavailabilityofhearingrecordsand/orclaimfilesfromSSAALJs.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   #XX%&y#  hXX  ASSISTANTSECRETARYFORBUDGET,TECHNOLOGYAND  FINANCE#XXhz#  &%XX#XX%&!{#  (FormerlytheAssistantSecretaryforManagementandBudget) 0 z  @@ppFY2003PERFORMANCEPLAN   |AtthebeginningofFiscalYear(FY)2002theOfficeoftheAssistantSecretaryforManagementBudget(ASMB)wasretitledtheOfficeoftheAssistantSecretaryforBudget,TechnologyandFinance(ASBTF).ASBTFretainedfunctionalresponsibilityforbudgetandfinancialmanagementaswellasinformationresourcesmanagementincludingtheinvestmentstheDepartmentismakinginegovernmentandtechnology.Theofficeconsistsofthefollowingcomponents: P3   P3>~2A3  0    ImmediateOfficeoftheASBTFP3>~i~݌ p (#(# Ќ   P3   P32A3  0    OfficeofBudgetP3:݌`(#(# Ќ   P3   P32A3  0    OfficeofFinanceP3݌P(#(# Ќ   P3   P32A3  0    OfficeofInformationResourcesManagementP3À݌@(#(# Ќ  TheASBTFperformanceplanforFY2003andrevisedfinalperformanceplanforFY2002isstructuredtoreflectthecategoriesabove.Thisplancontains23performancemeasuresforFY2003andincludesnewmeasureswhichdemonstrateboththeDepartmentscommitmenttoandASBTFsroleintheimplementationofthePresidentsGovernmentwideManagementReformsandtheSecretarysadditionalManagementPriorities.FY2003GovernmentwideManagementReforms p   P3     P3q2A3  0 `   ImproveFinancialPerformance 󀄀TheFY2003ASBTFperformanceplan P includesperformancemeasuresaddressingthetimelinessandreliabilityoffinancialinformation(seeFinanceGoal1,Goal2andGoal3).P3q݌ ` (#` (# Ќ   P3     P32A3  0 `   ExpandingElectronicGovernment 󀄀TheFY2003ASBTFperformanceplan "` includesaperformancemeasuretoimprovetheDepartmentsegovinfrastructure(seeInformationResourcesManagementmeasures1.71.10).P3G݌ ` (#` (# Ќ  OtherManagementPriorities % !#   P3   0  P32A3  0` (#(#  UnifiedFinancialManagementSystems TheSecretaryhasestablishedthisas '#% aDepartmentwidemanagementpriority.TheFY2003ASBTFperformanceplanincludesaperformancemeasuretoassessprogresstowardtheachievementofthisgoal(seeFinanceGoal4).P3*݌ ` (#` (# Ќ   P-(+  P3   0  P32A3  0` (#(#  ConsolidationofHHSInformationTechnology(IT)Architectureand  EnhancedITSecurity 󀄀TheSecretaryhasestablishedthisasaDepartmentwide  managementpriority.TheFY2003ASBTFperformanceplanincludesperformancemeasurestoassessprogresstowardtheachievementofthisgoal(seeInformationResourcesManagementmeasures1.11.8).P3݌ ` (#` (# Ќ  Budget&%XX  @  *n oddd Xdd Xdd X(#(#," dd ,dd ,dd ,edd +  /: 0  /PerformanceGoals A:,!p  ": AFYTargets A:,!p  ": AActual    Performance A:,!p ": AReference* FW1&p "  : $F#XX%&>#zFXXGoal1a.ForsignificantHHSbudgetandmanagementprocessesandissues,providetimely,reliableandinnovativeanalysisthatisusefulandaddsvaluetothepolicyandresourcedecisionsoftheASBTFandtheSecretary.1b.MeetthestandardsofqualityandtimelinessestablishedbytheASBTF,OMB,CongressandoversightagenciesfortheannualBudgetsubmission.Prepareclear,conciseassessmentsthatarticulateHHSOPDIVprioritiesandmeetDepartmentrequirementsinpreparationoftheDepartmentsbudget. $@!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.DevelopandimplementstrategiesforthetimelyandeffectivepresentationanddefenseoftheHHSbudget,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 #XXzF#zFXX )W#j" )Goal4.TheOSEEOOfficewillprovideuseful,timelyandreliableEEOservicestotheSTAFFDIVs,ensuringequalityofopportunitythroughcompliancewithEEOregulationsandproactiveoutreachprograms.Measure1.IncreaseEEOoutreachtocustomers,through:̄training/briefings̄printed/electronicinformationMeasure2.ReducetheratioofformalEEOcomplaintstototalEEOcomplaints. $PTW $FY02:TransferredtoASAMFY01:62FY00:53FY99:43FY02:TransferredtoASAMFY01:44FY00:39FY99:25FY02:TransferredtoASAMFY01:50%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,OMBPassback,OMBMidSessionReview,theBudgetResolution,andAppropriationsStatus). $!VW $FY03:Provideaccurate,timelyanalysesandreportstotheSecretarywithoutanyjustifiablecomplaint.FY02:SameasFY03FY01:NewforFY02  !^ FY03:8/03FY02:8/02FY01:Objectivemet  !f -#!8<g" $0   -#XXzF\# PerformanceSummary  #h    `    ShortlyaftersubmittingtheFY2002budget,theASBTFBudgetOfficereviewedits b%fj performancegoalstodetermineopportunitiesforimprovement.WeconcludedthatwecouldtakeamorefocusedapproachtoBudgetOfficeoperationsandconcentrateoncorefunctions.Asaresult,somegoalswerechangedandonegoalwasaddedtoplacegreateremphasisonwhattheofficeisactuallyaccomplishing.Therevisedandnewgoals,whilestilldescriptive,canbeobjectivelymeasured.Weareconvincedthattheofficeisonthewaytoquantitativemeasures. -&s Goal1(revised):MeetthestandardsofqualityandtimelinessestablishedbytheASBTF,OMB,  Congressandoversightagenciesforannualbudgetsubmission.Prepareclear,conciseassessmentsthatarticulateHHSOperatingAgencyprioritiesandmeetDepartmentrequirementsinpreparationoftheDepartmentsbudget.PerformanceObjective:Previously,thisgoalread:ForsignificantHHSbudgetand `  managementprocessesandissues,providetimely,reliableandinnovativeanalysisthatisusefulandaddsvaluetothepolicyandresourcedecisionsoftheASMBandtheSecretary.ThechangeaddsmoreprevisiontowhattheBudgetOfficeactuallydoes,andrecognizestheneedtobalanceOperatingAgencyprioritiesandDepartmentalrequirementsasthebudgetisdeveloped.ItplacesthemeasurementofsuccessoutsideoftheBudgetOfficeandsquarelywiththeASBTF. `  PerformanceReport:DuringFY2001,theBudgetOfficeconsistentlyprovidedtimely,accurate, @  andinnovativeanalysisandinformationinanenvironmentcharacterizedbycompetingprioritiesandnonnegotiabledeadlines.Briefingmaterialsweresuccinct,andquestionsfromtheSecretaryandhisstaffwereansweredquicklyandaccurately.PerformanceTarget:MetinFY2001.  Goal2:ProvidetimelyandusefulassistanceandguidancetoOMBandcommitteestaffsand  monitoreffectiveimplementationofauthorizingandotherlegislationandregulationsforFederalbudgetandmanagementfunctions;identifyandcoordinatetheresolutionofseriousissues. ` ̀PerformanceObjective:BoththeHouseandSenatemustpassappropriationsbills,whichare @ reconciledinconference.TheBudgetOfficecanprovidetimelyinformationtotheSecretaryandhisstaff,buttheirprimaryjobistoprovidecompellingjustificationstocommitteestaffsintimefortheirhearings.PerformanceReport:ForFY2001,anumberoffactorsoutsidethecontroloftheExecutive @ BranchconspiredtodelaythesigningoftheLabor/HHSbilluntilJanuary2002.BudgetOfficestaffremainedengagedwithcongressionalstaff,providingbothstaffandHHSleadershipwithinformationasneeded.PerformanceTarget:MetinFY2001. #! Goal3(revised):Professionalmanagementoftheappropriationprocess.Providehighquality % # budgetjustificationstotheAppropriationsCommitteesintimeforhearings. p&!$ PerformanceObjective:Previouslythisgoalread:Developandimplementstrategiesforthe P(#& timelyandeffectivepresentationanddefenseoftheHHSbudget,andpreparetimely,reliableandrelevantreportstoOMB,Congressandothers.Therevisionfocusesmorespecificallyonthe 0*%( criticalappropriationprocessandtheendresult,ratherthantheprocessesthatleaduptoit.Italsoexpandsresponsibilitytotheentirearrayofproductsthatsupporthearings.PerformanceTarget:NewforFY2002. -@), ЇGoal4:TheOSEEOOfficewillprovideuseful,timelyandreliableEEOservicestothe  STAFFDIVs,ensuringequalityofopportunitythroughcompliancewithEEOregulationsandproactiveoutreachprograms.PerformanceObjective:ThisfunctionhasbeentransferredtotheOfficeoftheAssistant p SecretaryforAdministrationandManagement(ASAM).FutureperformancereportswillbeincorporatedintheASAMplan.PerformanceReport:TheOSEEOofficecontinuedtoincreaseoutreacheffortsunderMeasure 0  1,withtraining/briefingsontopicssuchassexualharassmentpreventionandassistingemployeesreturningtoworkafterexperiencingatrauma.Printed/electronicinformationincludedguidanceonprovidingreasonableaccommodationandEEOpostersforregionaloffices.UnderMeasure2,thepercentageofinformationEEOcomplaintsgoingformalincreasedforthefirsttimeduringthefirsttwoquartersofFY2001to62%,slightlyhigherthanthebaselineof60%duringFY1998.Amajorfactorinthisincreasewasthetypeofactionscomplainedabout.Sevenofthetenformalcomplaintsinvolvedissuesthatweredifficulttoresolve(nonselection,termination,reassignment).Goal5(new).ProvidesupporttotheSecretarybyprovidingqualityandtimelyanalysesand  reportingofmajorbudgetevents(includingtheDepartmentsBudgetPreparation,OMBPassback,OMBMidSessionreview,theBudgetResolution,andAppropriationsStatus). p PerformanceTarget:NewforFY2002. P  Finance   p *p qdd" dd " dd dd edd en o(#(#," dd ,<< ,dd ,edd +  /: ` /&%XXPerformanceGoals#XX%&#zFXX A:,!d": A#XXzFC#&%XXFYTargets#XX%&Ǵ#zFXX A:,!>": A#XXzF#Actual t PerformancezFXX A:,!d ": A#XXzF#&%XXReference*#XX%&@#zFXX FW1&>""  : $FGoal1.(Revised)HHScompletesitsauditedfinancialstatementsontime.Measure:CompleteHHSauditedfinancialstatementsbyduedate.Goal1.HHSandallHHScomponentssubmitauditedfinancialstatementsontimeinaccordancewithmutuallyagreeduponduedates.Measure:NumberofAuditedFinancialStatementssubmittedbyduedate. $):%0W $FY03:02/01/04FY02:02/01/03FY01:10of10+HHSFY00:9of9+HHSFY99:9of9HHScomponents+HHS  -b(B FY03:FY02:FY01:05/02FY00:5of9+HHS(Interim)FY99:8of9+HHSFY98:8of8+HHSFY97:Baseline0  -b(T  4Wr V" $0  4Goal2.(Revised)HHSfinancialstatementsearnanunqualified(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.Maximizetheuseofelectronicpayments.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.CollectdebtowedtoHHS.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"  "#XXzF#NOTE:Thetargetsfortheauditedfinancialstatementgoalsmatchestheyearcoveredbythe <6 financialstatement.*zFXXInFY2002theOfficeofAuditResolutionsandCostPolicywastransferredfromtheOfficeofGrantsand  9 AcquisitionManagementtotheOfficeofFinance.ThisFY2003GPRAplanincludesthegoals,etc.forauditresolution.#XXzF:# ; TheOfficeofFinance(OF)providesleadershipandguidanceonHHSfinancialmanagementtomaintaintheconfidenceofthepublicthatallresourcesaremanagedeffectively.OFachievesthisoutcomebyensuringthetimelyandaccuratedisbursementsandcollectionsandrecordingoffundsandbyinformingitscustomers,i.e.decisionmakersandthetaxpayerswithusefulfinancialinformation.TheOFiscommittedtoachievingtwoHHSfinancialmanagementstrategicgoals:zFXX  'C #XXzFe#  1.Decisionmakershavetimely,accurateandusefulprogramandfinancialinformation. (!E   2:AllHHSresourcesareusedappropriatelyandeffectively.ASBTFFinancewillaccomplishthesegoalsinpartnershipwiththeHHScomponents,withthegovernmentwideChiefFinancialOfficersCouncilthroughitsvariouscommitteesandworkgroupsandwiththecentralagenciesincludingOMB,Treasury,etc.TheOfficeofFinancewillutilizethesekeyresultstoachieveitslongrangeperformancegoalswhichincludedevelopment z.V'K ofanintegratedprocesswhichcapturesfinancial,budgetandprogramperformanceinformationandwhichmakesfinancialinformationmoreusefulforprogrammanagers.&   PerformanceSummary    'PerformanceGoal1.TimelyAuditOpinion. `  EstablishingPerformanceTargets:Theduedatesforcompletionofauditedfinancialstatements @  areestablishedbylaw.HHS,astheequivalentofacorporateentity,isobligatedtomeetthoseduedates.TheHHSfinancialstatementsandtheauditorsopiniononthosestatements,rollupfromandrelyuponthestatementsandauditopinionsofHHScomponents.Ofthe13componentsofHHS,9componentspreparedauditedfinancialstatementsfortheFY1999andFY2000cycle.Theyare:ACF,CDC/ATSDR,CMS,FDA,HRSA,IHS,NIH,PSC,andSAMHSA . (SinceATSDRisincludedintheCDCstatements,CDC/ATSDRarecountedasone 0  HHScomponent). AoAwillhaveitsfirstfullauditfortheFY2001statements.AHRQandOS   havefinancialstatements,buttheyarenotauditedindividually.   zFXX#XXzF#Thetargetyearappliestotheperiodcoveredbythestatementsalthoughtheauditofthe z statementsisperformedinasubsequentyear.DiscussionofFY2002andFY2003targets:OMBhasissuedguidancewhichproposesto J acceleratethescheduletorequirethatthestatementsandreportbeavailableatthetimeofthePresidentsbudgetsubmission).TheFebruary1,2003andFebruary1,2004targetduedatesreflectthatguidance.Theywillbeadjustediftheguidancechanges.Giventhefactthatnew,updatedfinancialsystemswillnotbefullyimplementedandtheinherentlaginGPRAprogramperformancedatafortheoverviews,thiswillbeaverydifficultchallengeandwilltaxavailableresources.ThemilestoneswillapplytoCMS,NIH,ACF,CDC,andFDA * aswellasHHSsincetheseHHScomponentauditedstatementsarematerialtotheHHSstatement.TheotherHHScomponentauditedstatementswillalsohaveestablishedmilestonedatesthatwillenabletheDepartmenttomeettherevisedOMBdeadlines.DataSourceforPerformance:DatesofInspectorGeneralsReportforHHSwideAuditand "  IndependentAuditorsReportforHHScomponentsAudits.DataVerificationandValidation:CopiesofthesereportsareprovidedbytheInspectorGeneral j$" andarekeptonrecord. PerformanceProgress:HHS,CMS,andFDAauditsweretimelyandACF,NIH,andHRSA :'"% weresubstantiallycompletedontime.TheSAMHSAauditwasdelayedduetoimplementationissueswiththenewgrantpaymentsystem.CDCsauditwasdelayedbythesesameissuesandalsobyissuesrelatedtoreimbursableactivities.ThePSCauditwasdelayedasaresultofthegrantpaymentmanagementsystemdelayinotherOPDIVaudits.TheIHSfinancialstatementauditforIHSwasalsodelayed,butwascompleted.NoneofthesedelaysaffectedtheHHSopinion,howevertheydoreflectthedifficultyinmaintainingtimely,cleanopinions.InpreparationforitsfirstfullauditinFY2001,AoAhadanauditreviewcompletedonitsBalanceSheet.zFXX . *- Ї  #XXzF#ChangesoverPreviousYear:ThegoalandmeasurewasrevisedforFYs2002and2003to  emphasizethefactthatHHSisasingleorganization.ThisisconsistentwiththeSecretarysdirection.HHSwillcontinuetotracktheperformanceofeachindividualcomponentinternally.PerformanceGoal2.CleanAuditOpinion.  p  EstablishingPerformanceTargets:Theindependentauditorsopiniondetermineswhetherthe P  statementsfairlypresentthefinancialconditionofanentitywhilecomplyingwithgenerallyacceptedaccountingprinciples.Iftheydo,anunqualifiedor cleanopinionisrendered.Ifnot,eitheraqualifiedopinion(oneormoreseriousfindingsofdeviationsfromaccountingprinciples)oradisclaimer(notauditable)isgiven.zFXX#XXzF^#ThesamebasisforquantifyingthePerformanceGoal1above,appliestoGoal2.   DiscussionofFY2002andFY2003Targets:Duetotheacceleratedscheduleandrelated   challengesdiscussedunderGoal1above,theHHScleanopinionwillbedifficulttomaintain.Itisdependentonhumanresourceskillsandfinancialsystems.DataSource:FinancialStatementAuditorsOpinionandDateoftheOpinion. j DataVerificationandValidation:CopiesofthesereportsareprovidedbytheInspectorGeneral Z andarekeptonrecord.̀PerformanceProgress:  HHShascontinuedtoimprovethereliabilityofthefinancialstatements. *z NoneofthestatementspreparedfortheFY1997periodwereunqualified,buttwoHHScomponentsreceivedunqualifiedopinionsforFY1998andHHSreceiveditsfirstcleanopinionforFY1999.AsecondcleanopinionwasearnedforFY2000.Eightofthe9HHScomponentsstatementsthatsupportthisgoal,alsoreceivedacleanopinion.Theninthcomponent(IHS)didnotreceiveacleanopinion.ChangesoverPreviousYear:ThegoalandmeasurewererevisedforFYs2002and2003to   emphasizethefactthatHHSisasingleorganization.ThisisconsistentwiththeSecretarysdirection.HHSwillcontinuetotracktheperformanceofeachindividualcomponentinternally.   `  PerformanceGoal3.AccountabilityReport  z#!  EstablishingPerformanceTargets:  WiththepassageoftheReportsConsolidationActof2000, Z% # theauthorizationforAccountabilityReportsisnowpermanentwiththereportsdue180daysaftertheendofthefiscalyears2000and2001anddue150daysaftertheendofthefiscalyear, :'"% thereafter.OMBhasacceleratedthisschedulefurther,asdiscussedinGoals1and2.Thereportstreamlinesvariousindividualreportsthatarerequiredunderotherlegislationandpresentsthefinance,program,andbudgetinformationinawaythatismoreusefultothepublicandtodecisionmakers.zFXX *J&) #XXzFS#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.  @)$'  PerformanceProgress:NewMeasure   +p&)  .0*-  PerformanceGoal5.ElectronicFundsTransfer(EFT)    EstablishingPerformanceTargets:  E1 m u%}- (#XEӀTreasuryguidelinesissuedinJanuary,1999established  conversiontargetsof69%forFY1999and75%forFY2000forEFTpaymentsforallFederalAgencies.TreasuryhasnotdeterminedthetargetsforFY2001andbeyond;thosetargetswillbeincludedinourplanwhenandiftheyareidentified.ThepercentachievedisbasedontheuniverseofpaymentseligibleforEFT.DiscussionofFY2002andFY2003Targets:TheHHStargetfortravelpaymentswillremainat 0  100%andwillincreasefrom90%to95%forvendorpayments.Newaccountingsystemswillimpactperformanceunderthesetargets.zFXX `  #XXzF#ChangesoverPreviousYear:Thetargetsforgrantsandsalarypaymentsweredeletedsince   thereisathreeyeartrendofsubstantialachievementofthisgoalandtargetsforthem.Theserateswillcontinuetobemonitoredinternally.Shouldtherebeachange,theywillonceagainbecomethefocusofGPRAtargets.N1 m u%}- "(#X XNDataSource:QuarterlyEFTReportsandTreasuryGuidelinesofJanuary1999 j DataVerificationandValidation:EachOPDIVhasanautomatedprocessfortabulatingthe Z numberandtypesofpaymentsmade;thisinformationisusedtocompilethequarterlystatistics.ThedataisvalidatedandverifiedviaTreasurywhotabulatesthenumberandtypesofpaymentsmadebasedontheAgencyLocationCode(s)ofanagency.zFXX *z   #XXzF#PerformanceProgress:HHSmetorsubstantiallymetallofitstargetsexcepttravelpayments. 4 However,actualperformancefortravelshowedimprovementaboveFY2000levelsandachieved96%,whichwasveryclosetothe100%target.  PerformanceGoal6.TimelyVendorPayments    EstablishingPerformanceTargets:TimelypaymentbyHHSofbillsowedtovendorswillavoid   latefeesandinterestpenaltiesmandatedunderthePromptPayAct.  Theyalsoindicatesound t! businesspractices.DiscussionofFY2002andFY2003Targets: HHSwillworktomeetandmaintainthe95%on D$" 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*- ThemostsignificantandrelevantfactorfortheimprovedperformanceisthatthebusinessprocessesofOARCPhavebeenredesignedtotriageauditfindingssothatthemosttimeisavailableforthemostcomplexissues.Individualperformanceplanswereinturnredesignedtostresstheimportanceofimprovingtheprocessingofauditfindings.Anauditresolutiontrackingsystemwasrefinedtoincorporateindividualandgroupstatisticsontimeliness,andregularreportsarebeingissued.Otherfactorsalsoarerelatedtotheimprovementsinthisperformancemeasure.OARCPassumedtheresponsibilityoftheDepartmentsComplianceSupplementOfficer.ThisrequiresthecoordinationofallprogrammaticsupplementstoOMBCircularA133.OARCPalsodevelopsandcoordinatestheimplementationofanewDepartmentwidesystemforensuringthereceiptofallauditsrequiredbytheSingleAuditAct.FinallyincoordinationwiththeInspectorGeneral,OARCPtookonnewresponsibilitiesforreportingoutstandingmonetaryauditfindingsandthestatusofcollectionstoCongressionalappropriationscommittees.TheseadditionalactivitiescontinuetoprovideconditionsthatalsorequiretheaccelerationofauditresolutionactivitieswithinOARCP.ChangesoverPreviousYear:Theaveragetimerequiredforresolvingauditswasnotasgoodas  eithertheperformancetargetorprioryearperformance.TheofficelostonethirdofitsstaffunexpectedlyinFY2000,andthisshortagecontinuedformostofFY2001.Thevacanciesnowhavebeenfilled. InformationResourcesManagement  ` zFXX** 0d d" dd " << dd edd ep q(#(#,N dd , dd ,dd ,dd +  /: P /#XXzFs#&%XXPerformanceGoals#XX%&#zFXX A:,!~": A#XXzFL#&%XXFYTargets#XX%&#zFXX A:,!~": A#XXzF#&%XXActual  Performance#XX%&#zFXX A:,!": A#XXzF#&%XXReference#XX%&#zFXX FW1&~"  : $FGoal1.Majorsystemsdevelopment/majormodificationeffortsdemonstrateahighprobabilityofsuccess.ImplementtheDepartmentalInformationTechnologyReviewBoardprocesstoassuresoundnessofITcapitalinvestmentsandtoinitiateappropriatecorrectiveactionsonmajoreffortsasneeded.1.1.100%ofITinvestmentsapprovedbytheITIRBmeetreviewcriteria(i.e.,OMBMemorandumM9702).0    1.2.100%ofITinvestmentsconsideredbutnotapprovedbytheITIRBaresubjecttoappropriatecorrectiveactionsandfundingrestrictionsorterminations.EstablishOperatingAgencyLevelInformationTechnologyArchitectures(ITA)withinaDepartmentalITAforuseinevaluatingITinvestments. .*7 Ї1.3.100%ofITinvestmentsapprovedbyITIRBmeetreviewcriteria(i.e.,OMBMemorandumM9702).InitiateEnterpriseInfrastructureManagementtoprovidesoftwaredistribution;asset,problem,andfacilitiesmanagement.1.4.100%ofallCOTSsoftware(Tivoli)neededtodistributesoftwareispurchasedanddistributed,phasedinoverthreeyears.1.5.100%ofallCOTSsoftware(Peregrine)neededtoprovideasset,problemandfacilitiesmanagementispurchasedanddistributed,phasedinoverthreeyears.InitiateEnterpriseSoftwareLicensestoconsolidateduplicativeefforts.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    #XXzF#zFXX T    $  =W( $" $0  $=Goal2.DepartmentalcollectionsofinformationmeettherequirementsofthePaperworkReductionActof1995.Eliminateillegal/bootlegcollectionsofinformation.2.1.99%ofDepartmentalinformationcollectionshavecurrentOMBapprovalinFY2000.#XXzFW+#zFXXReduce,minimizeandcontrolburdenplaceonthepublicbyDepartmentalinformationcollections.2.2.Achievea35%reductioninburdenhoursimposedonthepublicbyHHSinformationcollectioninventoryinFY2000(comparedwiththeFY1995baseline, VZ tobephasedinby10%forFY1996,10%forFY1997,5%forFY1998,5%forFY1999,and5%forFY2000).#XXzF,#zFXX   2.3.Achievea5%reductioninburdenhoursfromthepreviousyear.#XXzF.#zFXX # MonitorDepartmentsimplementationofGPEA.2.4.InformationcollectionsreviewedbytheDepartmentareincompliancewiththerequirementsofGPEA.#XXzF^/#zFXX b)f"%  $,*0#&W $FY03:99%FY02:99%FY01:99%FY00:98%FT99:97%FY98:90%#XXzFO0#zFXX <@3 FY02:N/AFY01:N/AFY00:5%FY99:5%FY98:5%FY97:10%FY96:10%#XXzF1#zFXX  ? FY03:5%ofFY02FY02:5%ofFY01FY01:5%ofFY00#XXzF1#zFXX #C #XXzFn2#zFXXFY03:100%FY02:90%#XXzF2#zFXX  (!I FY02:FY01:11/1/01FY00:99%FY99:99%FY98:90%#XXzF3#zFXXFY00:+7.1%FY99:+7.7%FY98:8.7%FY97:10.0%FY96:9.9%#XXzF3#zFXX  b #XXzFN4#zFXXFY02:FY01:11/1/01#XXzF4#zFXX #f #XXzF4#zFXXFY03:FY02:#XXzFS5#zFXX  (!l #XXzF5#zFXX  XXXX  -#! m" $0   - N.R'q #XXzF6#Goal1.Majorsystemsdevelopment/majormodificationeffortsdemonstrateahighprobability  ofsuccess.  PerformanceObjective:ImplementtheDepartmentalInformationTechnologyReviewBoard  processtoassuresoundnessofITcapitalinvestmentsandtoinitiateappropriatecorrectiveactionsonmajoreffortsasneeded.Measure1.1:0  100%ofITinvestmentsapprovedbytheITIRBmeetreviewcriteria(i.e.,OMB @  MemorandumM9702).  (# (# Measure1.2:0  100%ofITinvestmentsconsideredbutnotapprovedbytheITIRBaresubjectto`  (# (#     appropriatecorrectiveactionsandfundingrestrictionsorterminations.EstablishingPerformanceTargets:ThreemeetingswereheldinFY2001thatreviewedthree 0  systems:EIMBusinessCaseapprovedDecember2000.CITsProcurementContractVehiclefromCDCapprovedMay2001tocontinueanddirectedtobeexpandedfromDepartmentwideuse;CMSsintegratedGeneralLedgerAccountingSystem(HIGLASCMShasbeenworking  withtheDepartmentsinceJanuary2001toimprovetheirdocumentationinpreparationforanITIRBplannedinAugust2001).TheDepartmenthasheldseveralbusinesscasereviews(January,March,April)oftheHIGLASITIRBdocumentationstillunderdevelopmenttoassistandguidetheHIGLASprogramtoasuccessfulITIRBreview.TheBoardhasexpandeditspurviewintoanyandallcrosscuttingITinitiatives,includingprocurementvehiclesthatcanhaveDepartmentwideuse.Note:OIRMisintheprocessofevaluatingtheefficacyofthestructureofthecurrenttargets.AnoversightroleinvolvingreviewsofOPDIVLEVELperformancemayprovidemoreinsightintoITIRBprocessesandresultsthanthecurrentmeetingorientedmeasure.PerformanceObjective:EstablishOPDIVLEVELInformationTechnologyArchitectures(ITA) @ withinaDepartmentalITAforuseinevaluatingITinvestments.Measure1.3:0  100%ofITinvestmentsapprovedbytheITIRBmeetreviewcriteria(i.e.,OMB! (# (#     MemorandumM9702).EstablishingPerformanceTargets:In1998,ASMBdeterminedthatHHSandtheOPDIVs $" neededinformationtechnologyarchitectures(ITA).In1999anASMB/FDAledtaskforcebeganworkondevelopingITAsfortheDepartmentandeachoftheOPDIVs.ThefirsttwophasesofthisworkhavebeencompletedandareusedtogaugetheinvestmentsbroughtbeforetheBoard.PerformanceReport:AlloftheinvestmentseithermettherequirementsoftheITAorwere  +p&) broughtintoalignmentthroughBoardactions.PerformanceObjective:InitiateEnterpriseInfrastructureManagementtoprovidesoftware -@), distribution;asset,problem,andfacilitiesmanagement. .0*- ЇMeasure1.4:0  100%ofallCOTSsoftware(Tivoli)neededtodistributesoftwareispurchased (# (#     anddistributed,phasedinoverthreeyears.EstablishingPerformanceTargets:In1999,ASMBdeterminedthatHHSandtheOPDIVs  neededanEnterpriseInformationManagementtoestablishandconformtotheClingerCohenActthatestablishesnotonlyanITreviewboardfortechnologyexpenditureassessmentsagainsttheStrategicPlan,butalsoestablishedconformancetoamandatedarchitecture.Aspartofthatarchitecturestrategy,theEnterpriseInfrastructureManagement(EIM)programrequiresstandardizedproducts,distributionandmonitoringtoassessandcontrolexpenditure,dataexchangeandprovidesDepartmentwidestandards.Tivoliisoneoftheproductschosen,viatheresultsoftheIMBusinessCaseanalysisandInformationTechnologyInvestmentReviewBoard(ITIRB),thatmeetstheDepartmentsconformitymandates.WearereexaminingtheutilityandnecessityoftheTivoliproductduetoPeregrinesadvances,therefore,wearenotincludingperformancetargetsforFY02andFY03.PerformanceReport:AlloftheinvestmentsmettherequirementsofEIM.  Measure1.5:  100%ofallCOTSsoftware(Peregrine)neededtoprovideasset,problemand      facilitiesmanagementispurchasedanddistributed,phasedinoverthreeyears.EstablishingPerformanceTargets:In1999,ASMBdeterminedthatHHSandtheOPDIVs p neededanEIMtoestablishandconformtotheClingerCohenActthatestablishesnotonlyanITreviewboardfortechnologyexpenditureassessmentsagainsttheStrategicPlan,butalsoestablishedconformancetoamandatedarchitecture.Aspartofthatarchitecturestrategy,theEIMprogramrequiresstandardizedproducts,distributionandmonitoringtoassessandcontrolexpenditure,dataexchangeandprovidesDepartmentwidestandards.Peregrineisoneoftheproductschosen,viatheresultsoftheEIMBusinessCaseanalysisandITIRB,thatmeetstheDepartmentsconformitymandates.WearereexaminingtheutilityandnecessityoftheTivoliproductduetoPeregrineadvances,therefore,wearenotincludingperformancetargetsforeitherproductatthistime.PerformanceReport:AlloftheinvestmentsmettherequirementsofEIM. ! PerformanceObjective:InitiateEnterpriseSoftwareLicensestoconsolidateduplicativeefforts. #! zFXX#XXzFL#Measure1.6:0  100%ofallSASsoftwareproductsarepurchasedfromtheEnterpriseLicensetoZ% # (# (#     achievea20%purchasesavings.EstablishingPerformanceTargets:In1999,ASMBdeterminedthatHHSandtheOPDIVs *(z#& neededanEnterpriseSoftwareLicensingeffortaspartoftheDepartmentsconformancetotheClingerCohenAct.Eliminatingduplicativecontractadministrativeeffortsandachievingcorporatepurchasingpower,consolidatedeffortsandprovidesbenefitstheDepartmentcostsavingsandunlimitedseatlicensingforallOPDIVs.ThiseffortalsocontributestotherequirementtomanagetechnologyexpenditurespertheStrategicPlan.Aspartofthe . *- architecturestrategy,theEIMprogramrequiresstandardizedproducts,distributionandmonitoringtoassessandcontrolexpenditures,dataexchangeandprovidesDepartmentwidestandards.PerformanceReport:AlloftheinvestmentsmettherequirementsofEIM. p PerformanceObjective:ConsolidateandprotectDepartmentsInformationTechnology P  Infrastructure.Measure1.7:0  EstablishandimplementaconsolidatedIT5yearStrategicPlanthatsupports p  (# (#     oneDepartment.FY01Target:EstablishandimplementanIT5yearstrategicplan. @  EstablishingPerformanceTargets:TheDepartmentestablishedthetargetofanInformation   Technology(IT)FiveYearStrategicPlanbasedontheClingerCohenrequirementstoestablishanenterprisewidearchitecture.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  InventoryITAssets.,`'* (# (# 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.ThiswillbeaccomplishedbydistributionandimplementationofTivolisPolicyDirector,RiskManager,andIntrusionDetectionapplications.PerformanceReport:ThesethreeTivoliapplicationscumulativelywillproducesecurityreports @ thatdelineateintrusionattemptstorouters,firewallsandwebserverswhileprovidingtheidentityoftheIPaddress,thephysical,geographiclocationoftheintruderandrestrictsaccesstocertainnetworkresources.FY03Target:Reducethesuccessfulintrusionsbyanadditional25%. @ EstablishingPerformanceTargets:Wewillcontinuetoreducesuccessfulintrusionsbyan   additional25%inFY03asTivolisPolicyDirector,RiskManager,andIntrusionDetectionapplicationsarerolledouttotheremainingAgencies.PerformanceReport:ThesethreeTivoliapplicationscumulativelywillproducesecurityreports $" thatdelineateintrusionattemptstorouters,firewallsandwebserverswhileprovidingtheidentifyoftheIPaddress,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.zFXX  #XXzFi#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,minimizeandcontrolburdensplacedonthepublicby j$" Departmentalinformationcollections.zFXX Z% # #XXzF^n#Measure2.2:0  Achievea35%reductioninburdenhoursimposedonthepublicbytheHHS 'd"% informationcollectioninventoryinFY2000(comparedwiththeFY1995baseline, (T#& tobephasedinby10%forFY1997,5%forFY1998,5%forFY1999,and5%forFY2000).  (# (# EstablishingPerformanceTargets:ThePaperworkReductionActrequiredthatagenciesattempt +'* toreduceburdenonthepublicby10%inbothFY1996andFY1997.Inaddition,theAct .)- requiresthatagenciesfurtherreduceburdenbyanadditional5%inFY1998,FY1999andFY2000.Accordingly,theDepartmentestablishedatargetofreducingburdenonthepublicbyacumulativefigureof35%byFY2000.PerformanceReport:ByFY1998,theDepartmenthadachievedan8.79%burdenreduction. p However,thiswasturnedaroundinFY1999,wheretheDepartmentshoweda7.7%increaseinburdenduetothenewlegislativerequirementsinHCFAandFDA.zFXX#XXzFr#Measure2.3:0  Achievea5%reductioninburdenhoursfromthebaseofthepreviousyear,not  Z includinganynewrequirementsuntilthefollowingyear.  (# (# EstablishingPerformanceTargets:Theexistenceofnewlegislativerequirementsandthe *  potentialforadditionallegislativerequirementsinthefuturehascausedtheDepartmenttoalteritsstrategybyadoptingtargetsthatmeasureannualburdenreductionfromtheprioryearratherthancumulativereductionfromabaseyear.Newrequirementswillnotbeconsideredindescribingburdenchangesbutwillbeaddedtothebaseforcalculationsmadeinthefollowingyear.PerformanceObjective:MonitorDepartmentsImplementationofGPEA. j Measure2.4:0  InformationcollectionsreviewedbytheDepartmentareincompliancewiththe J requirementsofGPEA.  (# (# FY02Target:TheDepartmentestablishedatargetsuccessrateof90%forFY2002because j anythinglesswouldbeunacceptable.zFXX  Z #XXzFw#EstablishingPerformanceTargets:DuringFY2002theDepartmentexpectsthatsomeoutof : compliancewillstilloccurduetotheneedforPKItobeestablishedtoallowelectronicsignaturestoaccommodatethepublicneed.PerformanceReport:TheDepartmenthasacomprehensivereportthatshowsbyAgencycourse   ofactionthattheAgencyplanstogetthecollectionsintoconformance.TheDepartmentwillmonitorthatreportandupdateittotrackeachAgencysprogresstowardsaccomplishingtheircitedgoals.FY03Target:TheDepartmentestablishedatargetsuccessrateof100%forFY2003because Z% # anythinglesswouldbeunacceptable.     m     u EstablishingPerformanceTargets:DuringFY03theDepartmentexpectsthatPKIwillbe *(z#& establishedtoallowelectronicsignaturestoaccommodatethepublicneed.PerformanceReport:TheDepartmentcontinuestomonitoreachAgencysactionplantotrack *J&) eachAgencysprogresstowardsaccomplishingtheircitedgoals.    e #XXXX5#23P"US:! &XX    =,' 2 2   ehTRX3' LetterX3' Letter3' Letter3'T 2     AssistantSecretaryforAdministrationandManagement  #XX|#  (%XX l @  #XX(%#XX(ASAM)#XX#(%XX       XXXX#XX(%)#  |    FY2003GPRASUBMISSION  ,  #XXXX`#   hXXGrantsandAcquisitionManagementServices#XXh$#R4QXX     #XXQR4#*4 5ddd Xdd Xdd X(#(#, dd ,Q dd , dd +    6X;#XXX#XXX6X;##PerformanceGoals  N"   FYTargets h<    Actual̀Performance h<   Goal1.Increasethe  EffectivenessofHHSGrants,Procurement,andLogisticsPolicies    usingperiodiccustomer  feedback  p 7X XXXԀ  |P FY03FY02:FY01:3.9of5FY00:*FY99:**Effectivenessismeasuredeverythirdyear.FY01willbemeasuredinFY02  l@& FY03FY02:FY01:10/01/02FY00:*FY99:*FY98:Baseline3.4  p,  Goal2.Increasethe - EffectivenessofHHSGrants,Procurement,andLogisticsTraining , "!0 usingperiodiccustomerfeedback̀  %d$3 FY03FY02:FY01:3.9of5FY00:*FY99:**Effectivenessismeasuredeverythirdyear.FY01willbemeasuredinFY02  `(4'= FY03FY02:FY01:10/01/02FY00:*FY99:*FY98:Baseline3.4  $t#C 3P 3k  3  Goal3.Improvethe d AverageTimeforResolvingAudits  D *InFY2002,OfficeofAuditResolutionandCostPolicybecamepartofOfficeofFinance,ASBTF.InformationontargetsandperformanceforthisgoalhavebeenmovedtotheOfficeofFinancesubmissioninitsentirety.  O   PerformancetobetrackedbyOfficeofFinance,ASBTF.  D  Goal4.Achieve100%of d theSBANegotiatedgoalcategories4.1SmallBusiness4.28(A)Awards4.3.SDBAwards(SmallDisadvantagedBusinessAwards4.4WOSBAwards(Womenownedsmallbusiness)4.5.HUBZONEAwards4.6SDVOSBAwards(ServiceDisabledVeteransOwnedSmallBusiness '?+&* 'FY03(*)FY02(*)FY0132%($1.4B)FY0032%($1.4B)FY9932%$(1.4B)FY03(*)FY02(*)FY014.3%($200M)FY004.3%($225M)FY994.8%($223M)FY03(*)FY02(*)FY019.6%($440M)FY009.6%($440M)FY9910.4%($479M)FY03(*)FY02(*)FY0114%**($649M)FY0014%($164M)FY994.6%($210M)**ThisisanadministrativeerrorastheGovernmentwidegoalforWomenOwnedBusinessis5%.ThiswillbeadjustedinFY02FY03(*)FY02(*)FY012.0%($92M)FY001.5%($67M)FY03(*)FY02(*)FY011.5%($69M)(*)denotesthatthegoalsarenotidentifiedbecausethegoalsarenegotiatedforeachprecedingyearwiththeSmallBusinessAdministration.Fluctuatingfederalbudgetsarethebasisfornotnegotiating    ԍ    ԍgoalsbeyondtheupcomingyear.̎  (0t,Z (FY03FY02FY01FY0026.05%($1.1B)FY9927.3%($1.3B)̀FY03FY02FY01FY003.3%($145M)FY994.4%($221M)FY03FY02FY01FY007.2%($316M)FY999.0%($345M)FY03FY02FY01FY003.9%($170M)FY993.3%($166M)FY03FY02FY01FY00.14($6M)FY03FY02FY01*ChangeshavebeenmadeinPerformancenumberssince2002submissionbecausedatainputisacontinualprocess. '0t, ' Goal5.Improve d ContractOperations5.1CustomerSatisfaction5.2EmployeeSatisfaction5.3VendorSatisfaction '  'FY03:FY02:87.4%FY01:n/aFY00:n/aFY03:FY02:75.7%FY01:n/aFY00:n/aFY03:FY02:84.9%FY01:n/aFY00n/a 'd 'FY03:FY02:FY01:FY00:83.2%baseline*FY03:FY02:FY01:FY00:72.1%baseline*FY03:FY02:FY01:FY00:80.9%baseline**ThisFY00baselinehasbeenadjustedtoreflectmajorsystemchanges,andwillbethestartingpointforfuturetargets. o5  GOAL6.Increaseuseof 6 PerformanceBasedContracting  h8 FY03:30%FY02:20% 'h; 'FY03FY02 x=  Goal7.Maximizeuseof W> FedBizOpps  G? FY03100%FY02100% 'GA 'FY03FY02 GC  Goal8.Increase  `D competitionofDepartmentsFairActInventory  #0G FY03:10%FY02:5% '!PI 'FY03FY02 !PK  Goal9.EnsureHHS % L GrantAdministrativePoliciesareCurrent  &"N FY03:100%FY02:100%FY01:96%FY00:93%FY99:85% ')d%T 'FY03FY02:FY01:96%FY00:93%FY99:85%FY98:Baseline75% ',4(] 'Goal10.Implementthe d InitialPlanofPublicLaw106107,FederalFinancialAssistanceManagementImprovementAct(newinFY2003) o  #XX X7X#  XXXX#XXXX#  FY03Consolidateand d coordinateapplicationandreportingformsanddataelements,improvethequalityandusefulnessofgranteeaudits,andincreaseautomationinallaspectsofthegrantsprocessFY02Establishthebaselineofapplicationandreportingformsanddataelements,reviewfederalauditprocesses,andidentifyagencyautomationcapabilities.    FY03FY02   " Goal11.Increase s# LocationAccuracyofCapitalizedPersonalPropertyRecords C& FY03:96%FY02:96%FY01:96%FY00:94%FY99:92%  3+ FY03:FY02:FY01:97%FY00:97%FY99:97%FY98:Baseline90%  2 Goal12.Increase ,3 AccesstoHHSGrantsAdministrativePolicies w 5 FY02:100%*FY01:100%FY00:100%FY99:80%*100%achievedfor3consecutiveyears.GoalwillbedroppedafterFY02  '!= FY02:*FY01:100%FY00:100%FY99:100%FY98:Baseline70% GC e  Goal1: IncreasetheEffectivenessofHHSGrants,Procurement,andLogisticsPolicies  7#D  PerformanceGoal: TheOfficeofGrantsandAcquisitionManagementisresponsibleforissuing % F Departmentwidegrants,procurement,andlogisticspolicies.Policiesareissuedtoimprovestewardshipofgovernmentassetssuchasgrantandprocurementfundsandpersonalproperty,whilereducingadministrativeburdensonHHSoffices,granteesandcontractorsandwhileprotectingthegovernmentsassetsandmaximizingefficiencyandeffectiveness.Thisgoalmeasurestheeffectivenessofthepoliciesinmeetingtheseobjectives. PerformanceMeasurement: SummaryofAgencyratingsoftheeffectivenessofpoliciesona +<'M scaleof0to5. InFY98,tomeasuretheeffectivenessofitspolicies,OGAMdevelopedandimplementeda w. *P surveyinstrumentconsistingofmultiplequestionsindifferentareasresultinginacompositescore,toobtainopinionsfromtheHHSAgenciesontheeffectivenessofOGAMspolicy W0+R functions.(TheAgencieswillbesur