National Institutes of Health

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National Institutes of Health

• Government Performance and Results Act (GPRA)
• GBRS Budget Module Training
• August, 2006
• Office of the Director

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Purpose of the Training

• Learn about the GPRA process
• Learn key GPRA terminology
• Learn how to use the GBRS Budget Module
  including
• How to access GBRS on the VPS System
• How to navigate around the system
• How to submit update targets and goal budget
  information
• How to use the reporting features

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Training Will NOT Address
How to develop specific GPRA Targets/Goals or
associated Budget Data
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GPRA Timeline for FY 08 OMB Submission

• July 31st
• Revisions to FY08 Strategic Targets
• Performance results for FY06 Strategic Targets
  that are met early
• August 10th
• Revisions to FY08 Performance Targets and Goal
  Narrative
• Performance results for FY06 Performance Targets
  that are met early
• August 15th
• Budget data due (tentative)
• Week of August 21st - OMB budget due to HHS
• September 11th - OMB Budget Due Date

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GPRA Overview

• The Government Performance and Results Act
  (GPRA) was passed in 1993 as a legislative
  solution with bipartisan support to make the
  Federal Government more accountable to the
  American people for the tax dollars it spends and
  the results it achieves.

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GPRA Reporting Submission

• Each GPRA report covers 3 years current fiscal
  year plus 2 out-years.
• GPRA is submitted with budget three times a year
  (performance-budget integration)
• May/June (planning) - DHHS
• Aug/Sept (planning) - OMB
• Nov/Dec (performance) - CJ

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Performance Reporting at NIH
GPRA information supports the following
Performance/Budget activities at NIH

• Congressional Justification (CJ)
• Program Assessment Rating Tool (PART)
• Performance Accountability Report (PAR)
• Presidents Management Agenda (PMA)
• Research Development (RD) Investment Criteria
• Dr. Elias Zerhounis Performance Plan
• HHS Top 20 Department-Wide Objectives
• Project/Program Evaluations
• Quarterly Scorecard

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GPRA Programs

• One Program
• Research

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GPRA Performance Goals

• Performance goals are long-term and have
  prospective annual or short-term measures.
• NIH GPRA performance goals are categorized into
  five functional areas
• Scientific Research Outcomes (SRO)
• Communication and Transfer of Results (CTR)
• Capacity Building and Research Resources (CBRR)
• Strategic Management of Human Capital (SMHC)
• Program Oversight and Improvement (POI)

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NIH mission to uncover new knowledge that will
lead to better health for everyone.
National Institutes of Health Balanced
Portfolio Government Performance and Results Act
(GPRA) Performance Driver Map
FUNCTIONAL AREAS
DRIVERS
PERFORMANCE
Scientific Research Outcomes
Generation of new scientific knowledge of new or
improved prevention, diagnosis, and treatment of
disease

• Short/Long term
• Low/High risk
• Intramural/Extramural

• Knowledge Dissemination
• Translation
• Field input
• Data / Repositories

Communication and Transfer of Results
Shared knowledge for public benefit
Capacity Building and Research Resources

• Training
• Technology
• Facilities
• Partnerships

Highly trained basic and clinical scientists
leadership in technology and facilities
Strategic Management of Human Capital
Availability of highly skilled and diverse
workforce enhanced work environment

• Performance-based approach
• Workplace Management
• Adequate Workforce

Program Oversight and Improvement
Enhanced program management and compliance
with relevant laws

• Results-oriented Management
• Resource Management
• Stewardship

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Roles and Responsibilities
Responsibilities of Leads IC or OD
Responsibilities of Contributors

• Coordinate with the lead IC in planning and
  reporting on the goal
• Provide evidence to the lead IC on contributions
  to the goal
• Provide required narrative and budget information
  to lead IC for the goal
• Include all relevant advances in reporting
  performance

• Communicate and coordinate with contributors on
  planning and reporting of goal
• Serve as point of contact with SAB/OB for
  planning and reporting of goal
• Establish parameters for inclusion/exclusion of
  contributions to goal based on the science
• If the goal is preclinical research, clinical
  trials should not be submitted as contributing to
  the goal
• Coordinate with contributors on evidence required
  to document contributions to the goal
• Provide the required narrative and budget
  information to OSP and OB for the goal
• Report performance, including all relevant
  advances.

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Core Criteria for Planning and Reporting
Performance Goals

• Trans-NIH Approach
• Representative Performance Goals
  (Disease/Disorders/Management)
• Annual Budget Performance Target-Based Approach
• Balanced Scientific Research Portfolio
  (Intramural/Extramural, Basic/Clinical)
• Scientific Risk (Low-Medium-High)
• Time (Short-Term, Mid-Range, Long-Term)

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GPRA Goal Development Criteria

• Criteria for all GPRA Goals
• be representative by fitting appropriately into
  the overall set of goals that together, signify
  the NIH mission
• be measurable by having quantifiable annual
  targets that mark against a baseline
• be trans-NIH in nature by having a lead IC and
  scientific and/or financial contributor(s) who
  work closely with other planning officers, budget
  officers, program staff to provide a balanced
  portfolio
• be meaningful to the research community, as well
  as the public and NIH stakeholders
• refer to a metric and/or date for completion, as
  appropriate
• reportable annually
• make obvious the budget/performance integration
• appear in managers performance plans
• link to the objectives found in Health People
  2010, the FY 2006-2008 HHS Strategic Plan, and
  the Presidents Management Agenda

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GPRA Goal Development Criteria(continued)

• In addition, Scientific Research Outcomes (SRO)
  goals should
• be specific to a definable problem or disease
  area with a focus on outcomes
• be recognized as an outcome that could be
  achieved in the future, but may not be reachable
  for any number of reasons
• be definable as an intramural and/or extramural
  goal
• be classified as a basic or clinical goal
• fit within the GPRA goal risk/time matrix to
  maintain a balanced portfolio
• address the OMB RD Investment Criteria of
  quality, relevance, and performance
  http//www.whitehouse.gov/omb/part/fy2006/2006_gui
  dance_final.pdf

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Performance Goal Reporting

• Each performance goal reports on the following
• Background
• Prevalence / Incidence (optional)
• Disease Burden (optional)
• Rationale
• Planned Implementation Strategies
• Annual Performance Target Table with Baseline
• Summary of Performance Results
• Implementation Strategy Advances or Other
  Highlights
• Data Verification/Validation

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NIH GPRA Annual Targets Performance vs.
Strategic Target
NIH GPRA Goal Targets are annual activities
undertaken to achieve a Goal. The annual Target
activities are milestones for the Goal.

• The two types of GPRA Targets are
• Strategic Target
• Strategic Targets are the annual Scientific
  and/or Financial contributions to a goal. While
  goal contributors must record annual Strategic
  Target in VPS, Strategic Targets are not included
  in the GPRA report. Strategic Target information
  is outlined in the Planned Implementation
  Strategies section of the GPRA report.
• Performance Target
• Performance Targets are reported each year with
  a baseline on the Performance Measures Table of
  the GPRA report.

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NIH GPRA Annual Targets Performance vs.
Strategic Target (Continued)

• Leads and contributors collaborate on planning
  strategies and performance reporting for
  long-term goals and annual Targets
• During the first submission each year, ICs
  contributing to/participating in a GPRA Goal
  develop Strategic Targets in support of the Goal
  one of the Strategic Targets is then selected and
  converted into a Performance Target for inclusion
  in the GPRA report.
• Scientific Research Outcome (SRO) Goals with
  leads and contributors have both Strategic and
  Performance Targets. Non-SRO Goals without
  contributors only have Performance Targets.
• All GPRA annual Targets must be outcome-oriented.

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GPRA Target Budget Reporting

• A budget value is assigned to each GPRA Target to
  define all planned costs, direct and indirect,
  required by a program for support in addition to
  estimating activity cost.
• The values are rolled up to aggregate levels for
  the purpose of assessing the budget and resource
  requirements at the goal level or any level of
  the strategic plan.

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A Checklist for Replacement of GPRA Goals
Determine the Functional Area of the Goal
Strategic Management of Human Capital
Program Oversight and Improvement
Capacity Building and Research Resources
Communication and Transfer of Results
Scientific Research Outcomes
Select a Driver
Determine the Lead IC or OD
Role of the Lead
Role of the Contributor

• Coordinate with the lead IC in planning and
  reporting on the goal
• Provide evidence to the lead IC on contributions
  to the goal
• Provide required narrative and budget
  information to lead IC for the goal
  
  
• Include all relevant advances in reporting
  performance

• Communicate and coordinate with contributors on
  planning and reporting of goal
  
• Serve as point of contact with SAB/OB for
  planning and reporting of goal
  
• Establish parameters for inclusion/exclusion of
  contributions to goal based on the science
  
• If the goal is preclinical research, clinical
  trials should not be submitted as contributing to
  the goal
• Coordinate with contributors on evidence
  required to document contributions to the goal
  
• Provide the required narrative and budget
  information to SAB and OB for the goal

Collect Products Needed in Addition to
Contributors (scientific and
financial)
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Program Performance Monitoring System (PPMS)
COLLECTS AND CONNECTS

• Systemic Assessments Branch (SAB) Webpage
• HTTP//NIHPERFORMANCE.NIH.GOV
• A convenient, centralized location for viewing
  GPRA and performance-related information
• Provides resources for developing and writing
  GPRA goals
• Provides access to current and archived
  performance information and reports
• Serves as an entry point into GPRA/PART on-line
  reporting system (VPS)

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SAB Webpage (Http//nihperformance.nih.gov)Main
Entry Page
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SAB Webpage (Http//nihperformance.nih.gov)Main
Page
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Program Performance Monitoring System
(PPMS)(Continued)
COLLECTS AND CONNECTS

• Visual Performance Suite (VPS)
• Centralized single point of access performance
  and budget collecting, monitoring reporting
• Enhances coordination communication among
  collaborators
• Provides access to current past
  budget/performance data reports
• Provides a venue for analyzing budget/performance-
  related information

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SAB Webpage (Http//nihperformance.nih.gov)GPRA
Goals Reporting Page
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SAB Webpage (Http//nihperformance.nih.gov)GPRA
Goals Performance Reporting Page
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SAB Webpage (Http//nihperformance.nih.gov)GPRA
Goals Reporting Page
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SAB Webpage (Http//nihperformance.nih.gov)GPRA
Goals Budget Reporting Page
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Types of GPRA Goals

• One Lead Multiple Contributors
• One Lead Contributor
• One Lead No Contributors

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One Lead Multiple Contributors Each With One
Reportable Target Activity (Different
Activities, Different Budget)

The Planned Implementation Strategies section of
SRO GPRA Goal report contains Strategic Target
performance information.
GPRA Goal (completion Date 2008)
Annual Targets Budget Integration
FY 2006
FY 2007
FY 2008
NIAID (Lead IC)
Strategic Target
Performance Target


Strategic Target
Strategic Target



NCI (Contributor)


Strategic Target
Strategic Target
One Strategic Target is converted into a
performance target each year and reported with a
baseline on the Performance Measures Table of the
GPRA Report.
Strategic Target



NIAAA (Contributor)
Performance Target

Strategic Target
Strategic Target

Strategic Target



NIDDK (Contributor)


Strategic Target
Strategic Target
Strategic Target
Performance Target
Goal Budget Total (Sum of all target budgets)



Enter the budget for each target.  The individual
target budgets will aggregate to the Goal
budget.  If the goal budget cannot be allocated
at the target level or if there is any portion of
the total Goal budget that cannot be allocated to
a specific target, enter the unallocated portion
of the Goal budget in the VPS budget module
system section labeled Other Implementation
Strategies Cost or Financial Contribution).  This
will enable budget reporting consistency.
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One Lead Contributor Multiple Target Activities
(Activities from One Budget and Activities from
Different Budget)
The Planned Implementation Strategies section of
non-SRO GPRA Goal report contains story that ties
the Targets together and adds strategies that
complement achieving Goal.

GPRA Goal (completion Date Ongoing
Annual Targets Budget Integration
FY 2006
FY 2007
FY 2008


Performance Target
Performance Target
Performance Target
OER/OD (Lead IC)




Performance Target
Performance Target
Performance Target

Performance Target(s) are reported on each year
with an annual baseline on the Performance
Measures Table of the GPRA Report.





Performance Target
Performance Target
Performance Target

OIR/OD (Contributor)
Performance Target
Goal Budget Total (Sum of all target budgets)



Enter the budget for each target.  The individual
target budgets will aggregate to the Goal
budget.  If the goal budget cannot be allocated
at the target level or if there is any portion of
the total Goal budget that cannot be allocated to
a specific target, enter the unallocated portion
of the Goal budget in the VPS budget module
system section labeled Other Implementation
Strategies Cost or Financial Contribution).  This
will enable budget reporting consistency.
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One Lead No Contributor (Multiple Target
Activities, One Budget)
The Planned Implementation Strategies section of
non-SRO GPRA Goal report contains story that ties
the Targets together and adds strategies that
complement achieving Goal.

GPRA Goal (completion Date 2008)
Annual Targets Budget Integration
FY 2006
FY 2007
FY 2008


Performance Target
Performance Target
Performance Target



OM/OD (Lead IC)

Performance Target
Performance Target
Performance Target

Performance Target(s) are reported on each year
with a baseline on the Performance Measures Table
of the GPRA Report.



Performance Target
Performance Target

Performance Target
Goal Budget Total (Sum of all target budgets)



Enter the budget for each target.  The individual
target budgets will aggregate to the Goal
budget.  If the goal budget cannot be allocated
at the target level or if there is any portion of
the total Goal budget that cannot be allocated to
a specific target, enter the unallocated portion
of the Goal budget in the VPS budget module
system section labeled Other Implementation
Strategies Cost or Financial Contribution).  This
will enable budget reporting consistency.
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Contacts

• GPRA Contact at the Office of Portfolio Analysis
  and Strategic Initiatives (OPASI)
• Deborah Duran, Ph.D.
• Durand_at_od.nih.gov
• GPRA Contact at the Office of Budget (OB)
• Michael Greenan
• Greenanm_at_od.nih.gov