II. Executive Summary
This document includes the Substance Abuse and Mental
Health Service Administration (SAMHSA) Final FY 2005 Annual Performance Plan,
Revised Final FY 2004 Plan and FY 2003 Performance Report including the most
recent performance data on FY 2003 and earlier performance goals. Resources for
achieving performance goals are shown for each program. In order to keep the
GPRA plan at a manageable length, SAMHSA generally does not include new
programs in the GPRA plan unless they exceed $10 million in funding, grants
have been awarded, and data collection is underway.
Key improvements in this year's GPRA plan, which
contribute to the integration of budget and performance, are outlined below:
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Aligning the GPRA and budget documents by Center and by the Program Priority
Matrix areas;
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Combining both documents into one volume for easier reference and use of
performance information to support appropriations requests, as directed in the
HHS guidance;
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Removing from the document small programs (<$10 million) and aggregating
reporting for those programs with other efforts where possible;
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Presenting a new, highly aggregated method for reporting CSAT's PRNS
activities;
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Reducing the number of performance measures from 86 to 47, a 45% reduction to a
more manageable and useful number,
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Increasing the proportion of measures focusing on outcomes to 83%;
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Ensuring that every program has at least one efficiency measure;
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Including long-term OMB PART measures for the programs reviewed; and,
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Including full cost data for all reported GPRA programs (a table explaining the
full cost methodology is included at the end of the overview section).
A. Agency Vision and Mission
SAMHSA's vision as an agency of the Federal Government is "A Life in the
Community for Everyone." SAMHSA's mission is to build resilience and facilitate
recovery for people with or at risk for substance abuse and mental illness.
SAMHSA was established in 1992 and reauthorized in 2000. SAMHSA administers a
combination of competitive, formula, and block grant programs and data
collection activities. Programs are carried out through the Center for Mental
Health Services (CMHS); the Center for Substance Abuse Prevention (CSAP); the
Center for Substance Abuse Treatment (CSAT); and the Office of Applied Studies
(OAS). Authorization for SAMHSA and these programs will be considered in the
next Congressional session. A package of legislative proposals has been
submitted under separate cover. SAMHSA provides services indirectly through
grants and contracts. SAMHSA's resources enable service capacity expansion and
the implementation of evidence-based practices. The agency seeks to engage all
communities in providing effective services by facilitating access to the
latest information on evidence-based practices and accountability standards.
The SAMHSA draft Strategic Plan identifies the agency goals as Accountability,
Capacity, and Effectiveness. A chart showing the vision, mission, goals and
objectives may be found in the overview of the budget section. The FY 2004 and
FY 2005 budget submissions align the budget request with the three goals. In FY
2005, SAMHSA has categorized performance measures according to the Capacity and
Effectiveness goals.
SAMHSA's matrix of program priorities and cross-cutting principles has guided
the agency's daily operations and overall program and management decisions for
the past two years. The program categories used in the FY 2004 and FY 2005
budget requests align the budget request with the matrix. The updated matrix is
included in the budget section.
SAMHSA's planning and budget decisions emphasize alignment with HHS goals. All
of SAMHSA's activities support HHS strategic objectives 1.4, 1.5, and all
managerial objectives.
SAMHSA's proposed FY 2005 budget emphasizes two Presidential priorities: the
fourth year of the President's Drug Treatment Initiative, and implementing the
recommendations for the President's New Freedom Commission on Mental Health.
The budget summary table may be found at the beginning of this document. SAMHSA
does not generally include programs in the GPRA plan until grants have been
awarded and data collection has been initiated. Once baseline data are
available and targets have been set, performance data guide appropriations.
B. Overview of the Plan and Performance Report
Summary of Measures, Results and Agreements with OMB
SAMHSA has 47 total measures for 18 reported programs in 2005, with a 45%
reduction in measures from the number reported in 2004. Data has been collected
for 13 of the remaining 2003 measures. For the results reported, specific
targets have been met or exceeded for 21 measure indicators, and not met for 2
indicators, for a 91% positive result on the data reported to date. Data on 29
measures remains unreported. Data will be reported against remaining 2003
targets in subsequent budget submissions as it is collected. SAMHSA has 17
efficiency measures for 2005. Long-term outcome efficiency measures have been
developed through the OMB PART process and integrated into the performance
tables. The OMB PART review focused on the block grant programs for FY 2003,
and was a significant factor in adding long-term measures for these programs.
SAMHSA is continuing efforts to improve its block grant measures and data
collection. In the past several years, Federal and State substance abuse and
mental health agencies have been working closely to design and begin to
implement Performance Partnerships. As a first step they have agreed on core
performance measures. Second, they have begun to discuss the specific ways in
which they can use those performance measures to help improve performance
measurement. The specific goals of such performance management, consistent with
the goals in SAMHSA's Strategic Plan, are to improve the accountability,
capacity and effectiveness of the substance abuse prevention and treatment
system and of the mental health service system. The ultimate goals are to
ensure that fewer individuals will suffer from substance abuse and serious
mental disorders and to ensure that those with substance abuse and serious
mental disorders will have a better chance of participating actively in their
communities. A report to Congress is under final review. This report on
Performance Partnership Grants contains proposed measures and strategies for
assisting the States to improve their data infrastructure for reporting
performance.
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Full Cost Accounting
Starting in the FY 2005 submission, each program is reporting full cost
information using the HHS standard methodology. Reporting full cost information
includes two types of information. First, the full cost for each program is
reported along with the requested budget amount. Second, SAMHSA has estimated
the percentage of full cost that is attributable to each measure. This
information is contained in a full cost table that follows each performance
table. A table describing the distribution of full costs to all performance
measures is also included in section H of the appendix. In regards to this
information, SAMHSA does not report GPRA data for programs smaller than $10
million dollars, so that full cost information is not reported for all of
SAMHSA's programs. However, full-cost information is provided for most of
SAMHSA appropriated dollars.
Narrative Description of Report
Improvements in the FY 2005 SAMHSA Performance Plan are described on Page 3 of
this section. Concurrently, the Plan is being reviewed, reorganized, and
revised, preparatory to full integration with the budget submission in FY 2006.
In FY 2005, the GPRA plan and report are provided as the final section of the
budget document. In this submission, SAMHSA is moving toward greater
aggregation in program reporting. An example is the reporting of CSAT's PRNS
programs. Small activities have, for the most part, been dropped from the plan.
These changes further implement performance based budgeting consistent with HHS
and OMB guidance. Because SAMHSA's budget line item structure aligns with
SAMHSA's three primary programmatic areas (mental health services, substance
abuse prevention, and substance abuse treatment), the budget narrative and GPRA
plan continue to be organized by those programmatic areas. Consistent with HHS
guidance, all of our reported programs include efficiency measures and show
full cost reporting.
SAMHSA is prepared to submit a fully integrated performance budget for FY 2006.
SAMHSA is in the process of incorporating performance planning and reporting
within its budget plan. Mental health services, substance abuse prevention, and
substance abuse treatment will remain SAMHSA's performance program areas. Each
performance program area will contain goals, measures, and indicators
consistent with SAMHSA's strategic goals: Accountability, Capacity, and
Effectiveness. For additional information, see page 4 of the Budget Overview
section of this submission.
SAMHSA programs continue to demonstrate effective performance. Performance
highlights are located throughout the budget narrative as well as in this
report. In general, programs are producing annual performance data and annual
performance targets have been met. Certain programs present performance
challenges either in collecting performance data or in reaching performance
targets. Where there is a pattern of missed targets, corrective action plans
have been included.
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