FACES 2014_2018 Data Collection OMB_Appendix A Authorizing Statutes

APPENDIX A
AUTHORIZING STATUTES

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S. 20

One Hundred Third Congress
of the
United States of America
AT T H E F I R S T S E S S I O N
Begun and held at the City of Washington on Tuesday,
the fifth day of January, one thousand nine hundred and ninety-three

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

Be it enacted by the Senate and House of Representatives of
the United States of America in Congress assembled,
SECTION 1. SHORT TITLE.

This Act may be cited as the ‘‘Government Performance and
Results Act of 1993’’.
SEC. 2. FINDINGS AND PURPOSES.

(a) FINDINGS.—The Congress finds that—
(1) waste and inefficiency in Federal programs undermine
the confidence of the American people in the Government and
reduces the Federal Government’s ability to address adequately
vital public needs;
(2) Federal managers are seriously disadvantaged in their
efforts to improve program efficiency and effectiveness, because
of insufficient articulation of program goals and inadequate
information on program performance; and
(3) congressional policymaking, spending decisions and program oversight are seriously handicapped by insufficient attention to program performance and results.
(b) PURPOSES.—The purposes of this Act are to—
(1) improve the confidence of the American people in the
capability of the Federal Government, by systematically holding
Federal agencies accountable for achieving program results;
(2) initiate program performance reform with a series of
pilot projects in setting program goals, measuring program
performance against those goals, and reporting publicly on their
progress;
(3) improve Federal program effectiveness and public
accountability by promoting a new focus on results, service
quality, and customer satisfaction;
(4) help Federal managers improve service delivery, by
requiring that they plan for meeting program objectives and
by providing them with information about program results
and service quality;
(5) improve congressional decisionmaking by providing
more objective information on achieving statutory objectives,
and on the relative effectiveness and efficiency of Federal programs and spending; and
(6) improve internal management of the Federal Government.

S. 20—2
SEC. 3. STRATEGIC PLANNING.

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

(a) BUDGET CONTENTS AND SUBMISSION TO CONGRESS.—Section
1105(a) of title 31, United States Code, is amended by adding
at the end thereof the following new paragraph:
‘‘(29) beginning with fiscal year 1999, a Federal Government performance plan for the overall budget as provided for
under section 1115.’’.

S. 20—3
(b) PERFORMANCE PLANS AND REPORTS.—Chapter 11 of title
31, United States Code, is amended by adding after section 1114
the following new sections:
‘‘§ 1115. Performance plans
‘‘(a) In carrying out the provisions of section 1105(a)(29), the
Director of the Office of Management and Budget shall require
each agency to prepare an annual performance plan covering each
program activity set forth in the budget of such agency. Such
plan shall—
‘‘(1) establish performance goals to define the level of
performance to be achieved by a program activity;
‘‘(2) express such goals in an objective, quantifiable, and
measurable form unless authorized to be in an alternative
form under subsection (b);
‘‘(3) briefly describe the operational processes, skills and
technology, and the human, capital, information, or other
resources required to meet the performance goals;
‘‘(4) establish performance indicators to be used in measuring or assessing the relevant outputs, service levels, and outcomes of each program activity;
‘‘(5) provide a basis for comparing actual program results
with the established performance goals; and
‘‘(6) describe the means to be used to verify and validate
measured values.
‘‘(b) If an agency, in consultation with the Director of the
Office of Management and Budget, determines that it is not feasible
to express the performance goals for a particular program activity
in an objective, quantifiable, and measurable form, the Director
of the Office of Management and Budget may authorize an alternative form. Such alternative form shall—
‘‘(1) include separate descriptive statements of—
‘‘(A)(i) a minimally effective program, and
‘‘(ii) a successful program, or
‘‘(B) such alternative as authorized by the Director
of the Office of Management and Budget,
with sufficient precision and in such terms that would allow
for an accurate, independent determination of whether the program activity’s performance meets the criteria of the description; or
‘‘(2) state why it is infeasible or impractical to express
a performance goal in any form for the program activity.
‘‘(c) For the purpose of complying with this section, an agency
may aggregate, disaggregate, or consolidate program activities,
except that any aggregation or consolidation may not omit or minimize the significance of any program activity constituting a major
function or operation for the agency.
‘‘(d) An agency may submit with its annual performance plan
an appendix covering any portion of the plan that—
‘‘(1) is specifically authorized under criteria established
by an Executive order to be kept secret in the interest of
national defense or foreign policy; and
‘‘(2) is properly classified pursuant to such Executive order.
‘‘(e) The functions and activities of this section shall be considered to be inherently Governmental functions. The drafting of
performance plans under this section shall be performed only by
Federal employees.

S. 20—4
‘‘(f) For purposes of this section and sections 1116 through
1119, and sections 9703 and 9704 the term—
‘‘(1) ‘agency’ has the same meaning as such term is defined
under section 306(f) of title 5;
‘‘(2) ‘outcome measure’ means an assessment of the results
of a program activity compared to its intended purpose;
‘‘(3) ‘output measure’ means the tabulation, calculation,
or recording of activity or effort and can be expressed in a
quantitative or qualitative manner;
‘‘(4) ‘performance goal’ means a target level of performance
expressed as a tangible, measurable objective, against which
actual achievement can be compared, including a goal expressed
as a quantitative standard, value, or rate;
‘‘(5) ‘performance indicator’ means a particular value or
characteristic used to measure output or outcome;
‘‘(6) ‘program activity’ means a specific activity or project
as listed in the program and financing schedules of the annual
budget of the United States Government; and
‘‘(7) ‘program evaluation’ means an assessment, through
objective measurement and systematic analysis, of the manner
and extent to which Federal programs achieve intended objectives.
‘‘§ 1116. Program performance reports
‘‘(a) No later than March 31, 2000, and no later than March
31 of each year thereafter, the head of each agency shall prepare
and submit to the President and the Congress, a report on program
performance for the previous fiscal year.
‘‘(b)(1) Each program performance report shall set forth the
performance indicators established in the agency performance plan
under section 1115, along with the actual program performance
achieved compared with the performance goals expressed in the
plan for that fiscal year.
‘‘(2) If performance goals are specified in an alternative form
under section 1115(b), the results of such program shall be described
in relation to such specifications, including whether the performance
failed to meet the criteria of a minimally effective or successful
program.
‘‘(c) The report for fiscal year 2000 shall include actual results
for the preceding fiscal year, the report for fiscal year 2001 shall
include actual results for the two preceding fiscal years, and the
report for fiscal year 2002 and all subsequent reports shall include
actual results for the three preceding fiscal years.
‘‘(d) Each report shall—
‘‘(1) review the success of achieving the performance goals
of the fiscal year;
‘‘(2) evaluate the performance plan for the current fiscal
year relative to the performance achieved toward the performance goals in the fiscal year covered by the report;
‘‘(3) explain and describe, where a performance goal has
not been met (including when a program activity’s performance
is determined not to have met the criteria of a successful
program activity under section 1115(b)(1)(A)(ii) or a corresponding level of achievement if another alternative form is used)—
‘‘(A) why the goal was not met;
‘‘(B) those plans and schedules for achieving the established performance goal; and

S. 20—5
‘‘(C) if the performance goal is impractical or infeasible,
why that is the case and what action is recommended;
‘‘(4) describe the use and assess the effectiveness in achieving performance goals of any waiver under section 9703 of
this title; and
‘‘(5) include the summary findings of those program evaluations completed during the fiscal year covered by the report.
‘‘(e) An agency head may include all program performance
information required annually under this section in an annual
financial statement required under section 3515 if any such statement is submitted to the Congress no later than March 31 of
the applicable fiscal year.
‘‘(f) The functions and activities of this section shall be considered to be inherently Governmental functions. The drafting of program performance reports under this section shall be performed
only by Federal employees.
‘‘§ 1117. Exemption
‘‘The Director of the Office of Management and Budget may
exempt from the requirements of sections 1115 and 1116 of this
title and section 306 of title 5, any agency with annual outlays
of $20,000,000 or less.’’.
SEC. 5. MANAGERIAL ACCOUNTABILITY AND FLEXIBILITY.

(a) MANAGERIAL ACCOUNTABILITY AND FLEXIBILITY.—Chapter
97 of title 31, United States Code, is amended by adding after
section 9702, the following new section:
‘‘§ 9703. Managerial accountability and flexibility
‘‘(a) Beginning with fiscal year 1999, the performance plans
required under section 1115 may include proposals to waive
administrative procedural requirements and controls, including
specification of personnel staffing levels, limitations on compensation or remuneration, and prohibitions or restrictions on funding
transfers among budget object classification 20 and subclassifications 11, 12, 31, and 32 of each annual budget submitted
under section 1105, in return for specific individual or organization
accountability to achieve a performance goal. In preparing and
submitting the performance plan under section 1105(a)(29), the
Director of the Office of Management and Budget shall review
and may approve any proposed waivers. A waiver shall take effect
at the beginning of the fiscal year for which the waiver is approved.
‘‘(b) Any such proposal under subsection (a) shall describe the
anticipated effects on performance resulting from greater managerial or organizational flexibility, discretion, and authority, and shall
quantify the expected improvements in performance resulting from
any waiver. The expected improvements shall be compared to current actual performance, and to the projected level of performance
that would be achieved independent of any waiver.
‘‘(c) Any proposal waiving limitations on compensation or remuneration shall precisely express the monetary change in compensation or remuneration amounts, such as bonuses or awards, that
shall result from meeting, exceeding, or failing to meet performance
goals.
‘‘(d) Any proposed waiver of procedural requirements or controls
imposed by an agency (other than the proposing agency or the
Office of Management and Budget) may not be included in a

S. 20—6
performance plan unless it is endorsed by the agency that established the requirement, and the endorsement included in the proposing agency’s performance plan.
‘‘(e) A waiver shall be in effect for one or two years as specified
by the Director of the Office of Management and Budget in approving the waiver. A waiver may be renewed for a subsequent year.
After a waiver has been in effect for three consecutive years, the
performance plan prepared under section 1115 may propose that
a waiver, other than a waiver of limitations on compensation or
remuneration, be made permanent.
‘‘(f) For purposes of this section, the definitions under section
1115(f) shall apply.’’.
SEC. 6. PILOT PROJECTS.

(a) PERFORMANCE PLANS AND REPORTS.—Chapter 11 of title
31, United States Code, is amended by inserting after section 1117
(as added by section 4 of this Act) the following new section:
‘‘§ 1118. Pilot projects for performance goals
‘‘(a) The Director of the Office of Management and Budget,
after consultation with the head of each agency, shall designate
not less than ten agencies as pilot projects in performance measurement for fiscal years 1994, 1995, and 1996. The selected agencies
shall reflect a representative range of Government functions and
capabilities in measuring and reporting program performance.
‘‘(b) Pilot projects in the designated agencies shall undertake
the preparation of performance plans under section 1115, and program performance reports under section 1116, other than section
1116(c), for one or more of the major functions and operations
of the agency. A strategic plan shall be used when preparing agency
performance plans during one or more years of the pilot period.
‘‘(c) No later than May 1, 1997, the Director of the Office
of Management and Budget shall submit a report to the President
and to the Congress which shall—
‘‘(1) assess the benefits, costs, and usefulness of the plans
and reports prepared by the pilot agencies in meeting the
purposes of the Government Performance and Results Act of
1993;
‘‘(2) identify any significant difficulties experienced by the
pilot agencies in preparing plans and reports; and
‘‘(3) set forth any recommended changes in the requirements of the provisions of Government Performance and Results
Act of 1993, section 306 of title 5, sections 1105, 1115, 1116,
1117, 1119 and 9703 of this title, and this section.’’.
(b) MANAGERIAL ACCOUNTABILITY AND FLEXIBILITY.—Chapter
97 of title 31, United States Code, is amended by inserting after
section 9703 (as added by section 5 of this Act) the following
new section:
‘‘§ 9704. Pilot projects for managerial accountability and
flexibility
‘‘(a) The Director of the Office of Management and Budget
shall designate not less than five agencies as pilot projects in
managerial accountability and flexibility for fiscal years 1995 and
1996. Such agencies shall be selected from those designated as
pilot projects under section 1118 and shall reflect a representative

S. 20—7
range of Government functions and capabilities in measuring and
reporting program performance.
‘‘(b) Pilot projects in the designated agencies shall include proposed waivers in accordance with section 9703 for one or more
of the major functions and operations of the agency.
‘‘(c) The Director of the Office of Management and Budget
shall include in the report to the President and to the Congress
required under section 1118(c)—
‘‘(1) an assessment of the benefits, costs, and usefulness
of increasing managerial and organizational flexibility, discretion, and authority in exchange for improved performance
through a waiver; and
‘‘(2) an identification of any significant difficulties experienced by the pilot agencies in preparing proposed waivers.
‘‘(d) For purposes of this section the definitions under section
1115(f) shall apply.’’.
(c) PERFORMANCE BUDGETING.—Chapter 11 of title 31, United
States Code, is amended by inserting after section 1118 (as added
by section 6 of this Act) the following new section:
‘‘§ 1119. Pilot projects for performance budgeting
‘‘(a) The Director of the Office of Management and Budget,
after consultation with the head of each agency shall designate
not less than five agencies as pilot projects in performance budgeting for fiscal years 1998 and 1999. At least three of the agencies
shall be selected from those designated as pilot projects under
section 1118, and shall also reflect a representative range of Government functions and capabilities in measuring and reporting program
performance.
‘‘(b) Pilot projects in the designated agencies shall cover the
preparation of performance budgets. Such budgets shall present,
for one or more of the major functions and operations of the agency,
the varying levels of performance, including outcome-related
performance, that would result from different budgeted amounts.
‘‘(c) The Director of the Office of Management and Budget
shall include, as an alternative budget presentation in the budget
submitted under section 1105 for fiscal year 1999, the performance
budgets of the designated agencies for this fiscal year.
‘‘(d) No later than March 31, 2001, the Director of the Office
of Management and Budget shall transmit a report to the President
and to the Congress on the performance budgeting pilot projects
which shall—
‘‘(1) assess the feasibility and advisability of including a
performance budget as part of the annual budget submitted
under section 1105;
‘‘(2) describe any difficulties encountered by the pilot agencies in preparing a performance budget;
‘‘(3) recommend whether legislation requiring performance
budgets should be proposed and the general provisions of any
legislation; and
‘‘(4) set forth any recommended changes in the other
requirements of the Government Performance and Results Act
of 1993, section 306 of title 5, sections 1105, 1115, 1116, 1117,
and 9703 of this title, and this section.
‘‘(e) After receipt of the report required under subsection (d),
the Congress may specify that a performance budget be submitted
as part of the annual budget submitted under section 1105.’’.

S. 20—8
SEC. 7. UNITED STATES POSTAL SERVICE.

Part III of title 39, United States Code, is amended by adding
at the end thereof the following new chapter:
‘‘CHAPTER 28—STRATEGIC PLANNING AND
PERFORMANCE MANAGEMENT
‘‘Sec.
‘‘2801.
‘‘2802.
‘‘2803.
‘‘2804.
‘‘2805.

Definitions.
Strategic plans.
Performance plans.
Program performance reports.
Inherently Governmental functions.

‘‘§ 2801. Definitions
‘‘For purposes of this chapter the term—
‘‘(1) ‘outcome measure’ refers to an assessment of the
results of a program activity compared to its intended purpose;
‘‘(2) ‘output measure’ refers to the tabulation, calculation,
or recording of activity or effort and can be expressed in a
quantitative or qualitative manner;
‘‘(3) ‘performance goal’ means a target level of performance
expressed as a tangible, measurable objective, against which
actual achievement shall be compared, including a goal
expressed as a quantitative standard, value, or rate;
‘‘(4) ‘performance indicator’ refers to a particular value
or characteristic used to measure output or outcome;
‘‘(5) ‘program activity’ means a specific activity related
to the mission of the Postal Service; and
‘‘(6) ‘program evaluation’ means an assessment, through
objective measurement and systematic analysis, of the manner
and extent to which Postal Service programs achieve intended
objectives.
‘‘§ 2802. Strategic plans
‘‘(a) No later than September 30, 1997, the Postal Service
shall submit to the President and the Congress a strategic plan
for its program activities. Such plan shall contain—
‘‘(1) a comprehensive mission statement covering the major
functions and operations of the Postal Service;
‘‘(2) general goals and objectives, including outcome-related
goals and objectives, for the major functions and operations
of the Postal Service;
‘‘(3) a description of how the goals and objectives are to
be achieved, including a description of the operational processes,
skills and technology, and the human, capital, information,
and other resources required to meet those goals and objectives;
‘‘(4) a description of how the performance goals included
in the plan required under section 2803 shall be related to
the general goals and objectives in the strategic plan;
‘‘(5) an identification of those key factors external to the
Postal Service and beyond its control that could significantly
affect the achievement of the general goals and objectives;
and
‘‘(6) a description of the program evaluations used in
establishing or revising general goals and objectives, with a
schedule for future program evaluations.

S. 20—9
‘‘(b) The strategic plan shall cover a period of not less than
five years forward from the fiscal year in which it is submitted,
and shall be updated and revised at least every three years.
‘‘(c) The performance plan required under section 2803 shall
be consistent with the Postal Service’s strategic plan. A performance
plan may not be submitted for a fiscal year not covered by a
current strategic plan under this section.
‘‘(d) When developing a strategic plan, the Postal Service shall
solicit and consider the views and suggestions of those entities
potentially affected by or interested in such a plan, and shall
advise the Congress of the contents of the plan.
‘‘§ 2803. Performance plans
‘‘(a) The Postal Service shall prepare an annual performance
plan covering each program activity set forth in the Postal Service
budget, which shall be included in the comprehensive statement
presented under section 2401(g) of this title. Such plan shall—
‘‘(1) establish performance goals to define the level of
performance to be achieved by a program activity;
‘‘(2) express such goals in an objective, quantifiable, and
measurable form unless an alternative form is used under
subsection (b);
‘‘(3) briefly describe the operational processes, skills and
technology, and the human, capital, information, or other
resources required to meet the performance goals;
‘‘(4) establish performance indicators to be used in measuring or assessing the relevant outputs, service levels, and outcomes of each program activity;
‘‘(5) provide a basis for comparing actual program results
with the established performance goals; and
‘‘(6) describe the means to be used to verify and validate
measured values.
‘‘(b) If the Postal Service determines that it is not feasible
to express the performance goals for a particular program activity
in an objective, quantifiable, and measurable form, the Postal Service may use an alternative form. Such alternative form shall—
‘‘(1) include separate descriptive statements of—
‘‘(A) a minimally effective program, and
‘‘(B) a successful program,
with sufficient precision and in such terms that would allow
for an accurate, independent determination of whether the program activity’s performance meets the criteria of either description; or
‘‘(2) state why it is infeasible or impractical to express
a performance goal in any form for the program activity.
‘‘(c) In preparing a comprehensive and informative plan under
this section, the Postal Service may aggregate, disaggregate, or
consolidate program activities, except that any aggregation or
consolidation may not omit or minimize the significance of any
program activity constituting a major function or operation.
‘‘(d) The Postal Service may prepare a non-public annex to
its plan covering program activities or parts of program activities
relating to—
‘‘(1) the avoidance of interference with criminal prosecution;
or
‘‘(2) matters otherwise exempt from public disclosure under
section 410(c) of this title.

S. 20—10
‘‘§ 2804. Program performance reports
‘‘(a) The Postal Service shall prepare a report on program
performance for each fiscal year, which shall be included in the
annual comprehensive statement presented under section 2401(g)
of this title.
‘‘(b)(1) The program performance report shall set forth the
performance indicators established in the Postal Service performance plan, along with the actual program performance achieved
compared with the performance goals expressed in the plan for
that fiscal year.
‘‘(2) If performance goals are specified by descriptive statements
of a minimally effective program activity and a successful program
activity, the results of such program shall be described in relationship to those categories, including whether the performance failed
to meet the criteria of either category.
‘‘(c) The report for fiscal year 2000 shall include actual results
for the preceding fiscal year, the report for fiscal year 2001 shall
include actual results for the two preceding fiscal years, and the
report for fiscal year 2002 and all subsequent reports shall include
actual results for the three preceding fiscal years.
‘‘(d) Each report shall—
‘‘(1) review the success of achieving the performance goals
of the fiscal year;
‘‘(2) evaluate the performance plan for the current fiscal
year relative to the performance achieved towards the performance goals in the fiscal year covered by the report;
‘‘(3) explain and describe, where a performance goal has
not been met (including when a program activity’s performance
is determined not to have met the criteria of a successful
program activity under section 2803(b)(2))—
‘‘(A) why the goal was not met;
‘‘(B) those plans and schedules for achieving the established performance goal; and
‘‘(C) if the performance goal is impractical or infeasible,
why that is the case and what action is recommended;
and
‘‘(4) include the summary findings of those program evaluations completed during the fiscal year covered by the report.
‘‘§ 2805. Inherently Governmental functions
‘‘The functions and activities of this chapter shall be considered
to be inherently Governmental functions. The drafting of strategic
plans, performance plans, and program performance reports under
this section shall be performed only by employees of the Postal
Service.’’.
SEC. 8. CONGRESSIONAL OVERSIGHT AND LEGISLATION.

(a) IN GENERAL.—Nothing in this Act shall be construed as
limiting the ability of Congress to establish, amend, suspend, or
annul a performance goal. Any such action shall have the effect
of superseding that goal in the plan submitted under section
1105(a)(29) of title 31, United States Code.

S. 20—11
(b) GAO REPORT.—No later than June 1, 1997, the Comptroller
General of the United States shall report to Congress on the
implementation of this Act, including the prospects for compliance
by Federal agencies beyond those participating as pilot projects
under sections 1118 and 9704 of title 31, United States Code.
SEC. 9. TRAINING.

The Office of Personnel Management shall, in consultation
with the Director of the Office of Management and Budget and
the Comptroller General of the United States, develop a strategic
planning and performance measurement training component for
its management training program and otherwise provide managers
with an orientation on the development and use of strategic planning and program performance measurement.
SEC. 10. APPLICATION OF ACT.

No provision or amendment made by this Act may be construed
as—
(1) creating any right, privilege, benefit, or entitlement
for any person who is not an officer or employee of the United
States acting in such capacity, and no person who is not an
officer or employee of the United States acting in such capacity
shall have standing to file any civil action in a court of the
United States to enforce any provision or amendment made
by this Act; or
(2) superseding any statutory requirement, including any
requirement under section 553 of title 5, United States Code.
SEC. 11. TECHNICAL AND CONFORMING AMENDMENTS.

(a) AMENDMENT TO TITLE 5, UNITED STATES CODE.—The table
of sections for chapter 3 of title 5, United States Code, is amended
by adding after the item relating to section 305 the following:
‘‘306. Strategic plans.’’.

(b) AMENDMENTS TO TITLE 31, UNITED STATES CODE.—
(1) AMENDMENT TO CHAPTER 11.—The table of sections for
chapter 11 of title 31, United States Code, is amended by
adding after the item relating to section 1114 the following:
‘‘1115.
‘‘1116.
‘‘1117.
‘‘1118.
‘‘1119.

Performance plans.
Program performance reports.
Exemptions.
Pilot projects for performance goals.
Pilot projects for performance budgeting.’’.

(2) AMENDMENT TO CHAPTER 97.—The table of sections for
chapter 97 of title 31, United States Code, is amended by
adding after the item relating to section 9702 the following:
‘‘9703. Managerial accountability and flexibility.
‘‘9704. Pilot projects for managerial accountability and flexibility.’’.

S. 20—12
(c) AMENDMENT TO TITLE 39, UNITED STATES CODE.—The table
of chapters for part III of title 39, United States Code, is amended
by adding at the end thereof the following new item:
‘‘28. Strategic planning and performance management ........................... 2801’’.

Speaker of the House of Representatives.

Vice President of the United States and
President of the Senate.

110TH CONGRESS
" HOUSE OF REPRESENTATIVES
1st Session

!

REPORT
110–439

IMPROVING HEAD START ACT, 2007

NOVEMBER 9, 2007.—Ordered to be printed

Mr. KILDEE, from the committee of conference,
submitted the following

CONFERENCE REPORT
[To accompany H.R. 1429]

The committee of conference on the disagreeing votes of the
two Houses on the amendment of the Senate to the bill (H.R.
1429), to reauthorize the Head Start Act, to improve program quality, to expand access, and for other purposes, having met, after full
and free conference, have agreed to recommend and do recommend
to their respective Houses as follows:
That the House recede from its disagreement to the amendment of the Senate and agree to the same with an amendment as
follows:
In lieu of the matter proposed to be inserted by the Senate
amendment, insert the following:
SECTION 1. SHORT TITLE.
(a) SHORT TITLE.—This

CCOLEMAN on PROD1PC77 with HEARING

Act may be cited as the ‘‘Improving
Head Start for School Readiness Act of 2007’’.
(b) TABLE OF CONTENTS.—The table of contents of this Act is
as follows:
Sec.
Sec.
Sec.
Sec.
Sec.
Sec.
Sec.
Sec.
Sec.
Sec.
Sec.
Sec.
Sec.
Sec.
Sec.
Sec.
Sec.

1. Short title.
2. Statement of purpose.
3. Definitions.
4. Financial assistance for Head Start programs.
5. Authorization of appropriations.
6. Allotment of funds; limitations on assistance.
7. Designation of Head Start agencies.
8. Standards; monitoring of Head Start agencies and programs.
9. Powers and functions of Head Start agencies.
10. Head start transition and alignment with K–12 education.
11. Early childhood education, coordination, and improvement.
12. Submission of plans.
13. Administrative requirements and standards.
14. Participation in Head Start programs.
15. Early Head Start programs.
16. Appeals, notice, and hearing.
17. Records and audits.
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Sec.
Sec.
Sec.
Sec.
Sec.
Sec.
Sec.
Sec.
Sec.
Sec.
Sec.
Sec.

18.
19.
20.
21.
22.
23.
24.
25.
26.
27.
28.
29.

Technical assistance and training.
Staff qualifications and development.
Research, demonstrations, and evaluation.
Reports.
Comparability of wages.
Limitation with respect to certain unlawful activities.
Political activities.
Parental consent requirement for health services.
Centers of Excellence in Early Childhood.
General provisions.
Compliance with Improper Payments Information Act of 2002.
References in other Acts.

SEC. 2. STATEMENT OF PURPOSE.

Section 636 of the Head Start Act (42 U.S.C. 9831) is amended
to read as follows:
‘‘SEC. 636. STATEMENT OF PURPOSE.

‘‘It is the purpose of this subchapter to promote the school readiness of low-income children by enhancing their cognitive, social,
and emotional development—
‘‘(1) in a learning environment that supports children’s
growth in language, literacy, mathematics, science, social and
emotional functioning, creative arts, physical skills, and approaches to learning; and
‘‘(2) through the provision to low-income children and their
families of health, educational, nutritional, social, and other
services that are determined, based on family needs assessments, to be necessary.’’.

CCOLEMAN on PROD1PC77 with HEARING

SEC. 3. DEFINITIONS.
(a) IN GENERAL.—Section

637 of the Head Start Act (42 U.S.C.
9832) is amended—
(1) in paragraph (2), by inserting ‘‘(including a communitybased organization, as defined in section 9101 of the Elementary and Secondary Education Act of 1965 (20 U.S.C. 7801))’’
after ‘‘nonprofit’’;
(2) in paragraph (3)(C), by inserting ‘‘, and financial literacy.’’ after ‘‘self-sufficiency’’;
(3) in paragraph (12), by striking ‘‘migrant and seasonal
Head Start program’’ and inserting ‘‘migrant or seasonal Head
Start program’’;
(4) by striking paragraph (17) and inserting the following:
‘‘(17) The term ‘State’ means a State, the Commonwealth of
Puerto Rico, the District of Columbia, Guam, American Samoa,
the Virgin Islands of the United States, and the Commonwealth
of the Northern Mariana Islands. The term includes the Republic of Palau for fiscal years 2008 and 2009, and (if the legislation described in section 640(a)(2)(B)(v) has not been enacted by
September 30, 2009) for fiscal years 2010 through 2012.’’; and
(5) by adding at the end the following:
‘‘(18) The term ‘deficiency’ means—
‘‘(A) a systemic or substantial material failure of an
agency in an area of performance that the Secretary determines involves—
‘‘(i) a threat to the health, safety, or civil rights of
children or staff;

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House recedes/Senate recedes with an amendment to strike.
419. The House bill and the Senate amendment contain minimum degree requirement for teachers but have different dates of
enactment and different populations of teachers.
House recedes/Senate recedes with an amendment to strike.
424a. The House bill and the Senate amendment both contain
service requirements in exchange for financial assistance from
Head Start programs.
House recedes.
424b. Senate amendment includes Head Start centers in addition to Head Start agencies. The House bill does not include a similar provision.
House recedes.
425. The House bill includes provisions prohibiting funds being
used at diploma mills. The Senate amendment does not contain a
similar provision.
Senate recedes.
426. The House bill includes provisions for Teach for America
while the Senate amendment does not include a similar provision.
Senate recedes.
427. The House bill and the Senate amendment make changes
to current requirements for family service workers.
Senate recedes with an amendment to insert a new paragraph
(5) to read:
‘‘(5) promote the use of appropriate strategies to meet the
needs of special populations (including populations of limited
English proficient children);’’.
428. The House bill and the Senate amendment contain similar
provisions.
Senate recedes with an amendment to insert at the end: ‘‘The
agency and the employee shall implement the plan to the extent
feasible and practicable.’’
429. The House bill requires procedures prior to the hire of an
individual in Head Start programs. The Senate amendment does
not include a similar provision.
Senate recedes.
430. The House bill contains a loan forgiveness program for
Head Start teachers. The Senate amendment does not include a
similar provision.
House recedes.
Section 20. Research, demonstrations, and evaluation
431. The House bill and the Senate amendment contain similar
provisions. The House bill requires ideas to be based on scientifically-based research.
Senate recedes with an amendment to strike ‘‘based research’’
and insert ‘‘valid research’’.
432. The House bill and the Senate amendment make technical
conforming changes.
433. The Senate amendment includes provisions to promote
good oral health and vision. The House bill does not include similar
provisions.
House recedes.

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175
434. The Senate amendment makes this technical and conforming change, similar throughout the bill. The House bill does
not include similar provisions.
House recedes/Senate recedes with and amendment to use
‘‘early childhood education and development services or programs’’.
435. The Senate amendment makes a technical change to redesignate paragraphs. The House bill does not include a similar
provision.
436. The House bill strikes the use of SIPP, NLSY, and SPD
for gathering data and conducting analysis on Head Start. The
Senate amendment does not include similar provisions.
Senate recedes.
437. The House bill and the Senate amendment contain similar
provisions.
Senate recedes with amendment to strike and insert—
‘‘(10)(A) contribute to understanding the impact of Head
Start services delivered in classrooms which include both children with disabilities and children without disabilities on all of
the children; and
(B) disseminate promising practices for increasing the
availability and quality of such services and such classrooms.’’;
438. The Senate amendment makes technical changes to redesignate paragraphs. The House bill does not contain a similar provision.
439. The Senate amendment makes conforming changes, similar throughout the bill. The House bill does not contain a similar
provision.
House recedes/Senate recedes with an amendment to use
‘‘early childhood education and development services or programs’’.
440. The Senate amendment makes conforming changes, similar throughout the bill. The House bill does not contain a similar
provision.
Senate recedes.
441. The House bill and the Senate amendment contain identical provisions.
442. The Senate amendment makes conforming changes, similar throughout the bill. The House bill does not contain similar provisions.
House recedes/Senate recedes with an amendment to use term
‘‘early childhood education and development services and programs’’.
443. The House bill and the Senate amendment include similar
provisions.
Senate recedes.
444. The House bill and the Senate amendment contain similar
provisions. The House bill provides for the study not less than one
year after the date of enactment.
Senate recedes.
445. The House bill and the Senate amendment contain similar
provisions. The Senate amendment modifies the issue date for the
report, from 2008 to 2011.
House recedes with an amendment to strike ‘‘2011’’ and insert
‘‘2010’’.

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446. The House bill and the Senate amendment contain similar
provisions.
Senate recedes.
447. The House bill and the Senate amendment contain similar
provisions.
House recedes.
448. The House bill and the Senate amendment contain similar
provisions.
Senate recedes.
449. The House bill includes a provision to address home languages. The Senate amendment does not include a similar provision.
Senate recedes with an amendment to strike and insert—
‘‘the languages in which Head Start and Early Head Start
teachers are fluent, in relation to the population, and instructional
needs, of the children served’’
450. The House bill and the Senate amendment contain similar
provisions.
Senate recedes.
451. The House bill and the Senate amendment contain identical provisions.
452. The Senate amendment provides for a research study of
diverse populations in Head Start programs. The House bill does
not contain a similar amendment.
House recedes.
453. The Senate amendment requires the Secretary to base
any revisions or development of assessments on the NAS panel
study. The House bill does not contain similar provisions.
House recedes with an amendment to—
in (j)(1)(A) to strike ‘‘the’’ before ‘‘Head Start’’
in (j)(1)(B) to strike ‘‘develop as necessary’’ and to insert
‘‘, consistent with section 641(a)(2)(C)(ii)’’ after ‘‘described in
section 641A’’ in (j)(2) strike the header ‘‘DEVELOPMENT
AND REFINEMENT’’ and insert ‘‘INFORM AND REVISE’’
and strike ‘‘developing and revising’’ and insert ‘‘informing and
revising’’
454. The House bill includes provisions to address hurricanes
Katrina and Rita. The Senate amendment does not contain similar
provisions.
Senate recedes with amendment to strike and insert—
‘‘(m) PROGRAM EMERGENCY PREPAREDNESS.—
‘‘(1) PURPOSE.—The purpose of this subsection is to evaluate the emergency preparedness of the Head Start, including
Early Head Start programs and make recommendations for
how Head Start shall enhance its readiness to respond to an
emergency.
‘‘(2) STUDY.—The Secretary shall evaluate the preparedness of the Head Start, Early Head Start programs to respond
appropriately in the event of a large-scale emergency, such as
the hurricanes Katrina, Rita, and Wilma, the terrorist attacks
of September 11th, 2001 or other incidents where assistance
may be warranted under the Robert T. Stafford Disaster Relief
and Emergency Assistance Act (42 U.S.C. 5121 et seq.).

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‘‘(3) REPORT TO CONGRESS.—Not later than 18 months
after the date of the enactment of the Improving Head Start
for School Readiness Act of 2007, the Secretary shall prepare
and submit to Committee on Education and Labor of the House
of Representatives and the Committee on Health, Education,
Labor, and Pensions of the Senate a report containing the results of the evaluation required under paragraph (2), including—
‘‘(A) recommendations for improvements to Federal,
state, and local preparedness and response capabilities to
large-scale emergencies, including those that were developed in response to hurricanes Katrina, Rita, and Wilma,
as they relate to Head Start and Early Head Start programs, and the Secretary’s plans to implement such recommendations;
‘‘(B) an evaluation of Head Start procedures for informing families of children in Head Start about the program protocols for response to a large-scale emergency, including procedures for communicating with such families
in the event of a large-scale emergency;
‘‘(C) an evaluation of such procedures for staff training
on state and local evacuation and emergency protocols; and
‘‘(D) an evaluation of procedures for Head Start agencies and the Secretary to coordinate with appropriate Federal, state, and local emergency management agencies in
the event of a large scale emergency and recommendations
to improve such procedures.’’
Section 21. Reports
455. The House bill and the Senate amendment contain similar
provisions.
House recedes with an amendment to insert ‘‘, homeless children, children in foster care’’ after ‘‘proficient children’’.
456. The House bill and the Senate amendment contain similar
provisions.
Senate recedes.
457. The Senate amendment includes vision care. The House
bill does not contain a similar provision.
House recedes.
458. The Senate amendment makes conforming changes. The
House bill does not contain a similar provision.
House recedes with an amendment to strike modification to
(D)(ii).
459. The Senate amendment makes conforming changes. The
House bill does not include a similar provision.
460. The House bill includes a report on the expenditures of
HHS, under section 640(a)(2). The Senate amendment does not
contain a similar provision.
House recedes.
461. The House bill includes a report on fiscal protocol. The
Senate amendment does not contain a similar provision.
Senate recedes.
462. The House bill includes a report on the use of IEPs. The
Senate amendment does not contain similar provisions.

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