Strength Through Science Program Plans and Program Assessment Rating Tool (PART) Roadmaps Bill Valdez Director, Office of Planning and Analysis April 29, 2004

Elements of the Performance Management Framework Planning DOE and SC Strategic Plans Program Plans Annual Budget request and Performance Plan Budget Formulation Corporate Review Budget PART review OMB Budget Submission Congressional Budget Customers: Programs Field Employees Contractors Private Sector OMB Congress Public Program Evaluation Joule (quarterly) Accountability Report (annual) PART reviews (3 years) Personnel Performance Plans Lab Appraisals Budget Execution Lehman Reviews Program Reviews Committees of Visitors Reviews “Strategic planning is one of the integral steps in fulfilling DOE’s mission and this strategic plan is the fundamental basis for all planning within the Department.”

Performance Management Framework Seven general goals 3 for defense; 1 energy; 1 science; and 2 environment Strategies for achieving the goals External factors that could affect our ability to achieve the goals 65 key intermediate objectives Strategic Plan Goals and Objectives Fills the gap between the Strategic Plan and the performance budget Informs the budget and decision-making processes Serves as one of the primary supporting documents for management reviews (i.e., PART) and audits. Program Plan Objectives and Performance Targets Budget and Annual Performance Plan as one document Funding request substantiated by associated performance targets Performance Budget Goals and Performance Targets Performance targets in the budget appear in the performance plan of appropriate federal staff and management Contractor annual plans and award fee determinations reflect performance goal requirements Performance Standards Federal and Contractor

Program Plans Fill the gap between Strategic Plan and annual Performance Budget Articulate the defense/justification for long-term program to DOE management (e.g., CRB), OMB, Congress, stakeholders, & the public Reveal interdependencies between DOE programs’ objectives so that the program can be successful

Program Plan Contents Program Name Position Title of Program Manager DOE Strategic Plan General Goal Mission Statement and Program Goal Objectives and Performance Targets* Program Evaluation Key External Factors Five-Year Budget & Performance Integration Addendum Objectives Objectives from Strategic Plan Long-term performance goals/measures from PART Anticipated Critical Decisions for Major Systems Projects Performance Targets Key targets on the critical path to achieve the Objectives Program Evaluation Identification of “off-ramps” Documentation of change control process Information to substantiate PART Key External Factors Identification of any factors external to the program that could significantly affect the achievement of the Objectives or Program Goal Interdependencies with the Objectives of other programs should be identified Funding should not be shown as a constraint Five-Year Budget & Performance Integration Focuses on planning and priority setting over a five-year planning window Activities will be identified as Target Level or Program Planning Level (PPL) Will be updated on an annual basis prior to the review of the budget * Will include PART Roadmap requirements

Program Plans Populate the Budget Sample Budget Template Program Name Position Title of Program Manager DOE Strategic Plan General Goal Mission Statement and Program Goal Objectives and Performance Targets Program Evaluation Key External Factors Five-Year Budget & Performance Integration Addendum (budget year) Program Name Funding Profile Program Mission Program Assessment Rating Tool Means and Strategies (external factors, collaboration) General Goal(s) Program Goal Contribution to Program Goal Annual Performance Results and Targets Validation and Verification Funding by General and Program Goal Funding Schedule (only for programs that have subprograms) Subprogram Mission (only for programs that have subprograms) Detailed Program Justification Explanation of Funding Changes Capital Operating Expenses and Construction Summary Capital Operating Expenses Construction Projects Major Items of Equipment Project Data Sheets Program Direction

Program Plans linkages to PART Program Assessment Rating Tool Program Name Position Title of Program Manager DOE Strategic Plan General Goal Mission Statement and Program Goal Objectives and Performance Targets Program Evaluation Key External Factors Five-Year Budget & Performance Integration Addendum (budget year) Section 1 Program Purpose & Design Section 2 Strategic Planning Section 3 Program Management Section 4 Program Results & Accountability Section 1 of PART is supported by: Program Name DOE Strategic Plan General Goal Mission Statement and Program Goal Program Evaluation Section 2 of PART is supported by: Objectives and Performance Targets Section 3 and 4 of PART are supported by: Key External Factors Five-Year Budget & Performance Integration Addendum

PART Roadmaps For FY05 PART, SC developed new performance measures. To support these measures SC developed a website to help explain the measures. Progress toward the measures will be evaluated, possibly by BERAC, every 3 years. To inform that review, SC will develop roadmaps for each measure. The program plan requirements meet the needs of OMB for Roadmaps.

Content of a Program Plan Relevant to Roadmaps Objectives and Performance Targets Objective: From SC Strategic Plan Performance Target: a significant output between now and the Objective necessary to achieve the Objective. PART Long-term Measures DOE Strategic Plan Objectives Critical Path Analysis: in the multiple parallel and serial paths to achieve the Objective, identify the few intermediate results that “make or break” achieving the Objective.