5 U.S.C. § 306 — Agency strategic plans

Page 25 TITLE 5—GOVERNMENT ORGANIZATION AND EMPLOYEES § 306 HISTORICAL AND REVISION NOTES Derivation U.S. Code Revised Statutes and Statutes at Large (a) ............. 5 U.S.C. 1085. Oct. 28, 1949, ch. 782, § 205, 63 Stat. 957. (b), (c) ....... 5 U.S.C. 1151. Oct. 28, 1949, ch. 782, § 1001, 63 Stat. 971. Subsection (a) is based in part on former sections 1081 and 1082, which are carried into section 5102. In subsection (a)(1), the exception of ‘‘a Government controlled corporation’’ is added to preserve the appli- cation of this section to ‘‘corporations wholly owned by the United States’’. This is necessary as the defined term ‘‘Executive agency’’ includes the defined term ‘‘Government corporation’’ and the latter includes both Government owned and controlled corporations. Thus the exclusion of Government controlled corporations, which are distinct from wholly owned corporations, op- erates to preserve the application of this section to wholly owned corporations. The exception for the In- land Waterways Corporation in former section 1082(13) is omitted on authority of the Act of July 19, 1963, Pub. L. 88–67, 77 Stat. 81. The exceptions for Production Credit Corporations and Federal Intermediate Credit Banks in former section 1082(18) and (19) are omitted as they are no longer ‘‘corporations wholly owned by the United States’’. Under the Farm Credit Act of 1956, 70 Stat. 659, the Production Credit Corporations were merged in the Federal Intermediate Credit Banks, and pursuant to that Act the Federal Intermediate Credit Banks have ceased to be corporations wholly owned by the United States. In subsection (a)(7), the words ‘‘Panama Canal Com- pany’’ are substituted for ‘‘Panama Railroad Company’’ on authority of the Act of Sept. 26, 1950, ch. 1049, § 2(a)(2), 64 Stat. 1038. Standard changes are made to conform with the defi- nitions applicable and the style of this title as outlined in the preface to the report. Editorial Notes AMENDMENTS 1983—Subsec. (a)(3) to (8). Pub. L. 97–468 struck out par. (3), which excluded The Alaska Railroad, and re- designated pars. (4) to (8) as (3) to (7), respectively. 1979—Subsec. (a)(7). Pub. L. 96–70 substituted ‘‘Com- mission’’ for ‘‘Company’’. Subsec. (b). Pub. L. 96–54 substituted ‘‘President’’ for ‘‘Director of the Bureau of the Budget’’. Statutory Notes and Related Subsidiaries EFFECTIVE DATE OF 1983 AMENDMENT Amendment by Pub. L. 97–468 effective on date of transfer of Alaska Railroad to the State [Jan. 5, 1985], pursuant to section 1203 of Title 45, Railroads, see sec- tion 615(b) of Pub. L. 97–468. EFFECTIVE DATE OF 1979 AMENDMENTS Amendment by Pub. L. 96–70 effective Oct. 1, 1979, see section 3304 of Pub. L. 96–70, set out as an Effective Date note under section 3601 of Title 22, Foreign Rela- tions and Intercourse. Pub. L. 96–54, § 2(b), Aug. 14, 1979, 93 Stat. 385, pro- vided that: ‘‘Except as otherwise expressly provided in subsection (a), the amendments made by subsection (a) [amending sections 305, 1308, 2101, 2105, 2106, 2108, 3102, 3132, 3302, 3305, 3315, 3317, 3324, 3326, 3503, 4102, 4109, 4111, 4112, 4701, 5102, 5108, 5311 to 5316, 5333 to 5335, 5347, 5504, 5514, 5516, 5521, 5545, 5550a, 5562, 5581, 5584, 5596, 5702, 5903, 5943, 6104, 6304, 6305, 6323, 6325, 7325, 7327, 7701, 7702, 8331, 8332, 8339, 8347, 8701, 8901, and 8906 of this title], shall take effect July 12, 1979, or the date of the enactment of this Act [Aug. 14, 1979], whichever is earlier.’’ TRANSFER OF FUNCTIONS Atomic Energy Commission abolished and functions transferred by sections 5814 and 5841 of Title 42, The Public Health and Welfare. See also Transfer of Func- tions notes set out under those sections. DISSOLUTION OF VIRGIN ISLANDS CORPORATION Virgin Islands Corporation established to have suc- cession until June 30, 1969, unless sooner dissolved by Act of Congress, by act June 30, 1949, ch. 285, 63 Stat. 350, as amended (48 U.S.C. 1407 et seq.). Corporation ter- minated its program June 30, 1965, and dissolved July 1, 1966. Act June 30, 1949, was repealed by Pub. L. 97–357, title III, § 308(e), Oct. 19, 1982, 96 Stat. 1710. Executive Documents DELEGATION OF FUNCTIONS Functions of President under subsec. (b) of this sec- tion delegated to Director of Office of Management and Budget, see Ex. Ord. No. 12152, Aug. 14, 1979, 44 F.R. 48143, set out as a note under section 301 of Title 3, The President. § 306. Agency strategic plans (a) Not later than the first Monday in Feb- ruary of any year following the year in which the term of the President commences under sec- tion 101 of title 3, the head of each agency shall make available on the public website of the agency a strategic plan and notify the President and Congress of its availability. Such plan shall contain— (1) a comprehensive mission statement cov- ering the major functions and operations of the agency; (2) general goals and objectives, including outcome-oriented goals, for the major func- tions and operations of the agency; (3) a description of how any goals and objec- tives contribute to the Federal Government priority goals required by section 1120(a) of title 31; (4) a description of how the goals and objec- tives are to be achieved, including— (A) a description of the operational proc- esses, skills and technology, and the human, capital, information, and other resources re- quired to achieve those goals and objectives; and (B) a description of how the agency is working with other agencies to achieve its goals and objectives as well as relevant Fed- eral Government priority goals; (5) a description of how the goals and objec- tives incorporate views and suggestions ob- tained through congressional consultations re- quired under subsection (d); (6) a description of how the performance goals provided in the plan required by section 1115(a) of title 31, including the agency pri- ority goals required by section 1120(b) of title 31, if applicable, contribute to the general goals and objectives in the strategic plan; (7) an identification of those key factors ex- ternal to the agency and beyond its control that could significantly affect the achieve- ment of the general goals and objectives; (8) a description of the program evaluations used in establishing or revising general goals and objectives, with a schedule for future pro- gram evaluations to be conducted, and cita- tions to relevant provisions of the plans re- quired under section 312, as applicable; and (9) with respect to the head of an agency re- quired to develop a plan described in sub- Page 26 TITLE 5—GOVERNMENT ORGANIZATION AND EMPLOYEES § 306 section (a) or (b) of section 312, an assessment of the coverage, quality, methods, effective- ness, and independence of the statistics, eval- uation, research, and analysis efforts of the agency, including— (A) a list of the activities and operations of the agency that are currently being evalu- ated and analyzed; (B) the extent to which the evaluations, research, and analysis efforts and related ac- tivities of the agency support the needs of various divisions within the agency; (C) the extent to which the evaluation re- search and analysis efforts and related ac- tivities of the agency address an appropriate balance between needs related to organiza- tional learning, ongoing program manage- ment, performance management, strategic management, interagency and private sector coordination, internal and external over- sight, and accountability; (D) the extent to which the agency uses methods and combinations of methods that are appropriate to agency divisions and the corresponding research questions being ad- dressed, including an appropriate combina- tion of formative and summative evaluation research and analysis approaches; (E) the extent to which evaluation and re- search capacity is present within the agency to include personnel and agency processes for planning and implementing evaluation activities, disseminating best practices and findings, and incorporating employee views and feedback; and (F) the extent to which the agency has the capacity to assist agency staff and program offices to develop the capacity to use evalua- tion research and analysis approaches and data in the day-to-day operations. (b) The strategic plan shall cover a period of not less than 4 years following the fiscal year in which the plan is submitted. As needed, the head of the agency may make adjustments to the strategic plan to reflect significant changes in the environment in which the agency is oper- ating, with appropriate notification of Congress. (c) The performance plan required by section 1115(b) of title 31 shall be consistent with the agency’s strategic plan. A performance plan may not be submitted for a fiscal year not cov- ered by a current strategic plan under this sec- tion. (d) When developing or making adjustments to a strategic plan, the agency shall consult peri- odically with the Congress, including majority and minority views from the appropriate au- thorizing, appropriations, and oversight com- mittees, and shall solicit and consider the views and suggestions of those entities potentially af- fected by or interested in such a plan. The agen- cy shall consult with the appropriate commit- tees of Congress at least once every 2 years. (e) The functions and activities of this section shall be considered to be inherently govern- mental 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 Cen- tral Intelligence Agency, the Government Ac- countability Office, the United States Postal Service, and the Postal Regulatory Commission. (Added Pub. L. 111–352, § 2, Jan. 4, 2011, 124 Stat. 3866; amended Pub. L. 115–435, title I, § 101(c), Jan. 14, 2019, 132 Stat. 5533; Pub. L. 118–190, § 7(a), Dec. 23, 2024, 138 Stat. 2656.) Editorial Notes PRIOR PROVISIONS A prior section 306, added Pub. L. 103–62, § 3, Aug. 3, 1993, 107 Stat. 286; amended Pub. L. 106–65, div. A, title IX, § 902, Oct. 5, 1999, 113 Stat. 717; Pub. L. 108–271, § 8(b), July 7, 2004, 118 Stat. 814; Pub. L. 109–435, title VI, § 604(b), Dec. 20, 2006, 120 Stat. 3241, related to strategic plans, prior to repeal by Pub. L. 111–352, § 2, Jan. 4, 2011, 124 Stat. 3866. AMENDMENTS 2024—Subsec. (a)(8). Pub. L. 118–190, § 7(a)(1), inserted ‘‘, as applicable’’ after ‘‘section 312’’. Subsec. (a)(9). Pub. L. 118–190, § 7(a)(2), inserted ‘‘with respect to the head of an agency required to develop a plan described in subsection (a) or (b) of section 312,’’ before ‘‘an assessment’’ in introductory provisions. 2019—Subsec. (a)(7). Pub. L. 115–435, § 101(c)(1), sub- stituted semicolon for ‘‘; and’’ at end. Subsec. (a)(8). Pub. L. 115–435, § 101(c)(2), inserted ‘‘, and citations to relevant provisions of the plans re- quired under section 312; and’’ after ‘‘to be conducted’’ and struck out period at end. Subsec. (a)(9). Pub. L. 115–435, § 101(c)(3), added par. (9). Statutory Notes and Related Subsidiaries EFFECTIVE DATE OF 2019 AMENDMENT Pub. L. 115–435, title IV, § 403, Jan. 14, 2019, 132 Stat. 5557, provided that: ‘‘Except as otherwise provided, this Act [see Short Title of 2019 Amendment note set out under section 101 of this title], and the amendments made by this Act, shall take effect on the date that is 180 days after the date of the enactment of this Act [Jan. 14, 2019].’’ CONSTRUCTION OF 2019 AMENDMENT Pub. L. 115–435, title IV, § 401, Jan. 14, 2019, 132 Stat. 5556, provided that: ‘‘Nothing in this Act [see Short Title of 2019 Amendment note set out under section 101 of this title], or the amendments made by this Act, may be construed— ‘‘(1) to require the disclosure of information or records that are exempt from disclosure under sec- tion 552 of title 5, United States Code (commonly known as the ‘Freedom of Information Act’); ‘‘(2) to create or expand an exemption from disclo- sure under such section; ‘‘(3) to override, limit, or otherwise affect intellec- tual property rights, including rights under titles 17 and 35, United States Code; ‘‘(4) to affect the authority of a Federal agency re- garding the use, disclosure, or licensing of— ‘‘(A) confidential business information that could be withheld under section 552(b)(4) of title 5, United States Code; or ‘‘(B) data assets restricted from disclosure under a contract or other binding, written agreement; or ‘‘(5) to affect the independence, responsibilities, or work products of an Inspector General of any agen- cy.’’ [For definition of ‘‘agency’’ as used in section 401 of Pub. L. 115–435, set out above, see section 101(e)(4)(A) of Pub. L. 115–435, set out as a note under section 311 of this title.] GAO REPORT Pub. L. 115–435, title I, § 101(d), Jan. 14, 2019, 132 Stat. 5533, provided that: ‘‘Not later than 2 years after the Page 27 TITLE 5—GOVERNMENT ORGANIZATION AND EMPLOYEES § 312 date on which each strategic plan required under sec- tion 306(a) of title 5, United States Code, is published, the Comptroller General of the United States shall sub- mit to Congress a report that— ‘‘(1) summarizes agency findings and highlights trends in the assessment conducted pursuant to sub- section (a)(9) of section 306 of title 5, United States Code, as added by subsection (c); and ‘‘(2) if appropriate, recommends actions to further improve agency capacity to use evaluation tech- niques and data to support evaluation efforts.’’ [For definitions of ‘‘agency’’ and ‘‘evaluation’’ as used in section 101(d) of Pub. L. 115–435, set out above, see section 101(e)(4) of Pub. L. 115–435, set out as a note under section 311 of this title.] BIENNIAL OMB REPORT Pub. L. 115–435, title II, § 202(g)(2), Jan. 14, 2019, 132 Stat. 5544, provided that: ‘‘Not later than 1 year after [the] date of the enactment of this Act [Jan. 14, 2019], and biennially thereafter, the Director of the Office of Management and Budget shall electronically publish a report on agency performance and compliance with this Act [see Short Title of 2019 Amendment note set out under section 101 of this title] and the amendments made by this Act.’’ [For definition of ‘‘agency’’ as used in section 202(g)(2) of Pub. L. 115–435, set out above, see section 101(e)(4)(A) of Pub. L. 115–435, set out as a note under section 311 of this title.] USE OF EXISTING RESOURCES Pub. L. 115–435, title IV, § 402, Jan. 14, 2019, 132 Stat. 5557, provided that: ‘‘To the extent practicable, the head of each agency shall use existing procedures and systems to carry out agency requirements and shall se- lect existing employees for appointments under this Act [see Short Title of 2019 Amendment note set out under section 101 of this title] and the amendments made by this Act.’’ [For definition of ‘‘agency’’ as used in section 402 of Pub. L. 115–435, set out above, see section 101(e)(4)(A) of Pub. L. 115–435, set out as a note under section 311 of this title.] SUBCHAPTER II—FEDERAL EVIDENCE- BUILDING ACTIVITIES § 311. Definitions In this subchapter: (1) AGENCY.—The term ‘‘agency’’ means an agency referred to under section 901(b) of title 31. (2) DIRECTOR.—The term ‘‘Director’’ means the Director of the Office of Management and Budget. (3) EVALUATION.—The term ‘‘evaluation’’ means an assessment using systematic data collection and analysis of one or more pro- grams, policies, and organizations intended to assess their effectiveness and efficiency. (4) EVIDENCE.—The term ‘‘evidence’’ has the meaning given that term in section 3561 of title 44. (5) STATE.—The term ‘‘State’’ means each of the several States, the District of Columbia, each territory or possession of the United States, and each federally recognized gov- erning body of any Indian Tribe, band, nation, pueblo, or other organized group or commu- nity which is recognized as eligible for the spe- cial programs and services provided by the United States to Indians because of their sta- tus as Indians. (6) STATISTICAL ACTIVITIES; STATISTICAL AGENCY OR UNIT; STATISTICAL PURPOSE.—The terms ‘‘statistical activities’’, ‘‘statistical agency or unit’’, and ‘‘statistical purpose’’ have the meanings given those terms in sec- tion 3561 of title 44. (Added Pub. L. 115–435, title I, § 101(a)(2), Jan. 14, 2019, 132 Stat. 5530.) Statutory Notes and Related Subsidiaries EFFECTIVE DATE Section effective 180 days after Jan. 14, 2019, see sec- tion 403 of Pub. L. 115–435, set out as an Effective Date of 2019 Amendment note under section 306 of this title. EVALUATION AND PERSONNEL STANDARDS Pub. L. 115–435, title I, § 101(e), Jan. 14, 2019, 132 Stat. 5534, provided that: ‘‘(1) REQUIREMENT.—Not later than 1 year after the date of enactment of this Act [Jan. 14, 2019], the Direc- tor of the Office of Management and Budget, in con- sultation with any interagency council relating to evaluation, shall— ‘‘(A) issue guidance for program evaluation for agencies consistent with widely accepted standards for evaluation; and ‘‘(B) identify best practices for evaluation that would improve Federal program evaluation. ‘‘(2) GUIDANCE.—Not later than 90 days after the date on which the guidance under paragraph (1) is issued, the head of each agency shall oversee the implementa- tion of such guidance. ‘‘(3) OPM GUIDANCE.—Not later than 180 days after the date on which the guidance under paragraph (1) is issued, the Director of the Office of Personnel Manage- ment, in consultation with the Director of the Office of Management and Budget, shall— ‘‘(A) identify key skills and competencies needed for program evaluation in an agency; ‘‘(B) establish a new occupational series, or update and improve an existing occupational series, for pro- gram evaluation within an agency; and ‘‘(C) establish a new career path for program eval- uation within an agency. ‘‘(4) DEFINITIONS.—In this Act [see Short Title of 2019 Amendment note set out under section 101 of this title]: ‘‘(A) AGENCY.—Except as otherwise provided, the term ‘agency’ has the meaning given the term ‘Exec- utive agency’ under section 105 [probably means sec- tion 105 of title 5, United States Code]. ‘‘(B) EVALUATION.—The term ‘evaluation’ has the meaning given that term in section 311 of title 5, United States Code, as added by subsection (a).’’ § 312. Agency evidence-building plan (a) REQUIREMENT.—The head of each agency shall include in the strategic plan required under section 306 a systematic plan for identi- fying and addressing policy questions relevant to the programs, policies, and regulations of the agency. Such plan shall contain the following: (1) A list of policy-relevant questions for which the agency intends to develop evidence to support policymaking. (2) A list of data the agency intends to col- lect, use, or acquire to facilitate the use of evidence in policymaking. (3) A list of methods and analytical ap- proaches that may be used to develop evidence to support policymaking. (4) A list of any challenges to developing evi- dence to support policymaking, including any statutory or other restrictions to accessing relevant data. (5) A description of the steps the agency will take to accomplish paragraphs (1) and (2).