Program Performance During FY1999
This discussion of the Foundation’s FY 1999 program performance provides
an overview of NSF’s Annual Performance Report, which is being prepared
in compliance with the Government Performance and Results Act of 1993
(GPRA).
Although FY 1999 was NSF’s first year of GPRA implementation, NSF
staff have been involved with GPRA activities since 1997, when the
Foundation’s first GPRA Strategic Plan was developed. The GPRA Strategic
Plan was used as the guiding framework for the Foundation’s FY 1999
Annual Performance Plan, which was developed in conjunction with the
development of NSF’s FY 1999 budget. The concurrent development of
the performance plan and the budget creates a direct link between
programmatic activities and the achievement of NSF’s strategic goals.
NSF’s FY1999 Annual Performance Report will be available Spring 2000,
and will provide a more complete and comprehensive discussion of NSF’s
performance results and data verification and validation.
GPRA implementation has been a challenge for NSF and other agencies
whose mission involves research activities. Implementation is a challenge
for two reasons: (1) it is difficult to link research outcomes to
annual investments and the agency’s annual budget; and (2) the results
of the research outcome goals do not lend themselves to quantitative
reporting. NSF developed an alternative format, approved by OMB, using
external expert review panels to assess research results and reporting
research outcome goals utilizing a qualitative scale.
GPRA Performance Goals
NSF’s FY 1999 Annual Performance Plan includes three sets of goals.
- Outcome Goals focus on the
results of NSF’s grants for research and education in science and
engineering and relate directly to the mission of the agency. These
Outcome Goals are also NSF’s long-term strategic goals from NSF’s
Strategtic Plan, FY 1997-2003.
- Investment Process Goals focus
on the means and strategies NSF uses to achieve its outcome goals
and sets performance targets for the investment processes by which
NSF shapes its portfolio of awards.
- Management Goals address the
efficiency and effectiveness of administrative activities in support
of the NSF mission.
These three sets of goals are mutually supportive. The longer term
desired results of NSF awards are reflected in the Outcome Goals.
Achieving the desired Outcome Goals depends in part on the quality
of the investment process, which is related to the efficiency and
effectiveness of the agency’s administration and management. The Investment
Process Goals and Management Goals are necessary to ensure that the
longer term Outcome Goals will be achieved.
NSF’s key strategy for success is through use of a rigorous merit
review process in making awards for activities that will influence
research and education in math, science, and engineering, both directly
and indirectly. A more detailed discussion of merit review is included
in the Agency Profile section.
Performance Goals in the Broader Context:
The Integration of Goals, Programmatic Activities, and the Budget
The linkages among NSF’s two primary programmatic activities—Research
and Education, the GPRA goals, and NSF’s budgetary resources are shown
in the following table.
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NSF’s
Primary Activities 1 |
GPRA
Performance Goals |
Research |
Education |
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I.
Outcome Goals (from NSF’s GPRA Strategic Plan) |
|
|
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1. Discoveries at
and across the frontier of science and engineering. |
![](../art/yellowdot.gif) |
|
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2. Connections between
discoveries and their use in service to society. |
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|
![](../art/graypix.gif) |
3. Diverse, globally-oriented
science and engineering workforce. |
|
![](../art/yellowdot.gif) |
![](../art/graypix.gif) |
4. Improved achievement
in mathematics and science skills needed by all Americans. |
|
![](../art/yellowdot.gif) |
![](../art/graypix.gif) |
5. Timely and relevant
information on the national and international science and engineering
enterprise. |
![](../art/yellowdot.gif) |
![](../art/yellowdot.gif) |
![](../art/rustpix.gif) |
II.
Investment Process Goals |
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![](../art/rustdot.gif) |
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III.
Management Goals
|
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NSF’s
FY 1999 Congressional Appropriations ($3.7 billion) |
|
|
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1. Research and Related
Activities |
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|
![](../art/graypix.gif) |
2. Major Research
Equipment |
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|
![](../art/graypix.gif) |
3. Education and Human
Resources |
|
![](../art/orangedot.gif) |
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4. Salaries and Expenses
|
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5. Office of Inspector
General |
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1 Given the integrative nature of research and education,
research activities are expected to include an education component.
- The effectiveness of NSF-supported research activities is addressed
in Outcome Goals 1 and 2.
- The effectiveness of NSF-supported education activities is addressed
in Outcome Goals 3 and 4.
- Outcome Goal 5 and the Investment Process and Management Goals
address both Research and Education activities.
- The Research and Related Activities appropriation and Major Research
Equipment appropriation primarily support research activities and
therefore tie to the goals that focus on Discoveries (Outcome Goal
1) and Connections (Outcome Goal 2).
- The Education and Human Resources appropriation primarily supports
education activities and therefore ties to the goals that focus
on a Diverse Workforce (Outcome Goal 3) and Improving Math and Science
skills (Outcome Goal 4). Outcome Goal 5 is also supported by this
appropriation.
- The Salaries and Expenses appropriation and the appropriation
for the Office of Inspector General enable the Management and Investment
Process Goals, which support both Research and Education Activities.
A more detailed discussion of NSF support of research and education
activities is provided in the Agency Profile section. Additional information
about NSF’s budget is provided in the Discussion and Analysis of the
Financial Statements section, "Budgetary Integrity: NSF Resources
and How They Are Used." Finally, the Statement of Net Cost links programmatic
activities—Research and Education—to program costs.
Confidence in the Data: NSF’s Verification
and Validation Process
In FY 1999, data sources for each
goal and the limitations of the data were identified. For many of
the performance goals, the data sources are existing central systems
while other goals have required creation of new data/information systems
to track progress.
- NSF established new reporting systems and procedures, reporting
guidelines, and templates to enable the collection, analysis and
evaluation of the information and data necessary for reporting performance
achievement. It is important to note that NSF makes use of qualitative
information as well as quantitative data in determining progress
toward achieving its goals.
- NSF put in place methods to ascertain data quality problems and
to develop qualitative methods for correction of the causes of data
quality problems. A Data Quality Project for the quantitative Investment
and Management Goals was implemented to evaluate the quality of
the data in the central databases. Steps to address the limitations
of the data were also identified.
NSF is currently updating its data systems to include the new data
that NSF will be reporting in its FY 2000 Performance Report. Of course,
the Foundation will continue striving to improve its data quality
and accuracy by improving processes, systems and data input.