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Office of Management and Budget [2]
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2014-0342-F
[
]
Monday, April 27, 2015
FOIA Marker
This is not a textual record. This FOIA Marker indicates that material has been removed
during FOIA processing by George W. Bush Presidential Library staff.
Council of Economic Advisers
Hubbard, R. Glenn - Subject Files
Location or
NARA Number:
FRC ID:
OA Number:
Stack: Row: Sect.: Shelf: Pos.:
Hollinger ID:
W
30
13
5
1
5648
18583
1403
1551
Folder Title:
Office of Management and Budget [2]
Withdrawn/Redacted Material
The George W. Bush Library
DOCUMENT FORM
SUBJECT/TITLE
PAGES
DATE
RESTRICTION(S)
NO.
001
Memorandum
Memorandum - To: Andrew Card - From: Don Arbuckle
2
12/09/2002 P5;
002
Memorandum
Memorandum - To: Andrew Card - From: John D.
2
12/06/2002
P5;
Graham
003
Memorandum
Memorandum - To: Andrew Card - From: John D.
2
12/04/2002
P5;
Graham
004
Memorandum
Memorandum - To: Andrew Card - From: John D.
2
09/16/2002
P5;
Graham
005
Memorandum
Memorandum - To: Andrew Card - From: John D.
2
08/27/2002 P5;
Graham
006
Memorandum
Memorandum - To: Andrew Card - From: John D.
2
08/07/2002
P5;
Graham
COLLECTION TITLE:
Council of Economic Advisers
SERIES:
Hubbard, R. Glenn - Subject Files
FOLDER TITLE:
Office of Management and Budget [2]
FRC ID:
5648
RESTRICTION CODES
Presidential Records Act - [44 U.S.C. 2204(a)]
Freedom of Information Act - [5 U.S.C. 552(b)]
P1 National Security Classified Information [(a)(1) of the PRA]
b(1) National security classified information [(b)(1) of the FOIA]
P2 Relating to the appointment to Federal office [(a)(2) of the PRA]
b(2) Release would disclose internal personnel rules and practices of
P3 Release would violate a Federal statute [(a)(3) of the PRA]
an agency [(b)(2) of the FOIA]
P4 Release would disclose trade secrets or confidential commercial or
b(3) Release would violate a Federal statute [(b)(3) of the FOIA]
financial information [(a)(4) of the PRA]
b(4) Release would disclose trade secrets or confidential or financial
P5 Release would disclose confidential advise between the President
information [(b)(4) of the FOIA]
and his advisors, or between such advisors [a)(5) of the PRA]
b(6) Release would constitute a clearly unwarranted invasion of
P6 Release would constitute a clearly unwarranted invasion of
personal privacy [(b)(6) of the FOIA]
personal privacy [(a)(6) of the PRA]
b(7) Release would disclose information compiled for law enforcement
purposes [(b)(7) of the FOIA]
PRM. Personal record misfile defined in accordance with 44 U.S.C.
b(8) Release would disclose information concerning the regulation of
2201(3).
financial institutions [(b)(8) of the FOIA]
b(9) Release would disclose geological or geophysical information
Deed of Gift Restrictions
concerning wells [(b)(9) of the FOIA]
A. Closed by Executive Order 13526 governing access to national
Records Not Subject to FOIA
security information.
B. Closed by statute or by the agency which originated the document.
Court Sealed - The document is withheld under a court seal and is not subject to
C. Closed in accordance with restrictions contained in donor's deed
the Freedom of Information Act.
of gift.
2014-0342-F
Page 1 of 2
This document was prepared on Tuesday, April 28, 2015
Withdrawn/Redacted Material
The George W. Bush Library
DOCUMENT FORM
SUBJECT/TITLE
PAGES
DATE
RESTRICTION(S)
NO.
007
Memorandum
Memorandum - To: Andrew Card - From: John D.
2
07/16/2002
P5;
Graham
008
Memorandum
Memorandum - To: Department Heads and Agencies -
5
07/19/2002
P5;
From: Mitch Daniels
COLLECTION TITLE:
Council of Economic Advisers
SERIES:
Hubbard, R. Glenn - Subject Files
FOLDER TITLE:
Office of Management and Budget [2]
FRC ID:
5648
RESTRICTION CODES
Presidential Records Act - [44 U.S.C. 2204(a)]
Freedom of Information Act - 15 U.S.C. 552(b)]
P1 National Security Classified Information [(a)(1) of the PRA]
b(1) National security classified information [(b)(1) of the FOIA]
P2 Relating to the appointment to Federal office [(a)(2) of the PRA]
b(2) Release would disclose internal personnel rules and practices of
P3 Release would violate a Federal statute [(a)(3) of the PRA]
an agency [(b)(2) of the FOIA]
P4 Release would disclose trade secrets or confidential commercial or
b(3) Release would violate a Federal statute [(b)(3) of the FOIA]
financial information [(a)(4) of the PRA]
b(4) Release would disclose trade secrets or confidential or financial
P5 Release would disclose confidential advise between the President
information [(b)(4) of the FOIA]
and his advisors, or between such advisors [a)(5) of the PRA]
b(6) Release would constitute a clearly unwarranted invasion of
P6 Release would constitute a clearly unwarranted invasion of
personal privacy [(b)(6) of the FOIA]
personal privacy [(a)(6) of the PRA]
b(7) Release would disclose information compiled for law enforcement
purposes [(b)(7) of the FOIA]
PRM. Personal record misfile defined in accordance with 44 U.S.C.
b(8) Release would disclose information concerning the regulation of
2201(3).
financial institutions [(b)(8) of the FOIA]
b(9) Release would disclose geological or geophysical information
Deed of Gift Restrictions
concerning wells [(b)(9) of the FOIA]
A. Closed by Executive Order 13526 governing access to national
Records Not Subject to FOIA
security information.
B. Closed by statute or by the agency which originated the document.
Court Sealed - The document is withheld under a court seal and is not subject to
C. Closed in accordance with restrictions contained in donor's deed
the Freedom of Information Act.
of gift.
2014-0342-F
Page 2 of 2
This document was prepared on Tuesday, April 28, 2015
EXECUTIVE OFFICE OF THE PRESIDENT
AND
OFFICE OF MANAGEMENT AND BUDGET
STATE
WASHINGTON, D.C. 20503
THE DIRECTOR
M-03-06
January 14, 2003
MEMORANDUM FOR THE HEADS OF EXECUTIVE DEPARTMENTS AND AGENCIES
FROM:
Mitchell E. Daniels, Jr. MED.1
SUBJECT:
Program Assessment Rating Tool (PART) - Presentation in
Congressional Justifications
Program performance assessments developed using the program assessment rating tool
(PART) are an integral component of the President's budget. Agencies have dédicated
considerable time and effort to develop program effectiveness and accountability ratings using
the PART. This rating process generated a great deal of interesting and useful information.
OMB and Agencies conducted assessments on over 20 percent of Federal programs and in many
cases these assessments helped inform budget decisions. The FY 2004 Budget will include the
results of these ratings and the detailed ratings will be available to the public on the OMB
website.
To ensure the best available information is included in program justifications sent to the
Congress, summaries of completed PARTs and their relation to the Administration's proposals
should now be incorporated into the rationale for the budget request for all pertinent activities.
In particular, they should be incorporated into your agency's Congressional justification
materials. Performance information should enhance the Congressional Justifications without
overwhelming the reader. And, this addition to the Congressional Justification will also provide
agency performance data in a single document to the Congress.
We appreciate the work that has gone in to developing program ratings and the effort to
further incorporate performance information in the allocation of resources. Please contact your
OMB representative if you have any questions.
1/1
PAGE
CI
JAN-14-03 15 39 FROM OMB ADMIN
Withdrawal Marker
The George W. Bush Library
FORM
SUBJECT/TITLE
PAGES
DATE
RESTRICTION(S)
Memorandum
Memorandum - To: Andrew Card - From: Don Arbuckle
2
12/09/2002
P5;
This marker identifies the original location of the withdrawn item listed above.
For a complete list of items withdrawn from this folder, see the
Withdrawal/Redaction Sheet at the front of the folder.
COLLECTION:
Council of Economic Advisers
SERIES:
Hubbard, R. Glenn - Subject Files
FOLDER TITLE:
Office of Management and Budget [2]
FRC ID:
FOIA IDs and Segments:
5648
2014-0342-F
OA Num.:
1551
NARA Num.:
1403
RESTRICTION CODES
Presidential Records Act - [44 U.S.C. 2204(a)]
Freedom of Information Act - [5 U.S.C. 552(b)]
P1 National Security Classified Information [(a)(1) of the PRA]
b(1) National security classified information [(b)(1) of the FOIA]
P2 Relating to the appointment to Federal office [(a)(2) of the PRA]
b(2) Release would disclose internal personnel rules and practices of
P3 Release would violate a Federal statute [(a)(3) of the PRAJ
an agency [(b)(2) of the FOIA]
P4 Release would disclose trade secrets or confidential commercial or
b(3) Release would violate a Federal statute [(b)(3) of the FOIA]
financial information [(a)(4) of the PRA]
b(4) Release would disclose trade secrets or confidential or financial
P5 Release would disclose confidential advise between the President
information [(b)(4) of the FOIA]
and his advisors, or between such advisors [a)(5) of the PRA]
b(6) Release would constitute a clearly unwarranted invasion of
P6 Release would constitute a clearly unwarranted invasion of
personal privacy [(b)(6) of the FOIA]
personal privacy [(a)(6) of the PRA]
b(7) Release would disclose information compiled for law enforcement
purposes [(b)(7) of the FOIA]
PRM. Personal record misfile defined in accordance with 44 U.S.C.
b(8) Release would disclose information concerning the regulation of
2201(3).
financial institutions [(b)(8) of the FOIA]
b(9) Release would disclose geological or geophysical information
Deed of Gift Restrictions
concerning wells [(b)(9) of the FOIA]
A. Closed by Executive Order 13526 governing access to national
Records Not Subject to FOIA
security information.
B. Closed by statute or by the agency which originated the document.
Court Sealed - The document is withheld under a court seal and is not subject to
C. Closed in accordance with restrictions contained in donor's deed
the Freedom of Information Act.
of gift.
This Document was withdrawn on 4/15/2015 by WW
EXECUTIVE OFFICE OF THE PRESIDENT
OFFICE OF THE MANAGE PRESIDENT STATES AND UNITED
OFFICE OF MANAGEMENT AND BUDGET
WASHINGTON, D.C. 20503
D
December 9, 2002
MEMORANDUM FOR ANDREW CARD
THROUGH:
Mitchell E. Daniels, Jr. MSDA
FROM:
Don Arbackle
SUBJECT:
Heads Up on Regulatory Plan and Unified Agenda of
Regulatory Actions
Today the Administration is publishing its 2002 Regulatory Plan and Unified
Agenda of Federal Regulatory and Deregulatory Actions. The Regulatory Plan contains
descriptions of agencies' most important upcoming regulations for the next year. This
year's Regulatory Plan includes 168 entries from 27 agencies. The Unified Agenda is a
compendium of all regulations agencies expect to issue in the next year. This edition
contains 4,321 entries (the lowest number since 1992) from 61 agencies.
The Regulatory Plan serves as a statement of the Administration's regulatory and
deregulatory policies and priorities. Its purpose is to make the regulatory process more
accessible to the public and to ensure the planning and coordination necessary for a well-
functioning regulatory process. The Plan identifies regulatory priorities and contains
information about the most significant regulatory actions that agencies expect to take in
the coming year. We asked agencies to include regulatory actions that relate to five
national policy objectives: (1) strengthening economic performance, (2) reducing barriers
to the growth of small businesses, (3) improving public health and safety, (4) enhancing
environmental protection, and (5) ensuring homeland security.
Publication of the Plan and Agenda is likely to be of some interest to specific
interest or trade groups, but it seldom receives mainstream medium coverage.
Please let me know if you have any questions.
cc:
Dan Bartlett
Jay Lefkowitz
Josh Bolten
Lewis Libby
Carlos Bonilla
Larry Lindsey
Christine Burgeson
Stephanie Lundberg
Nick Calio
Ado Machida
Amy Call
Steve McMillin
Jim Capretta
Bob McNally
Alicia Peterson Clark
Ken Mehlman
Robin Cleveland
Dan Murphy
Cesar Conda
John Oxford
Jim Connaughton
Marcus Peacock
Suzy DeFrancis
Eric Pelletier
Nancy Dorn
Phil Perry
Liz Dougherty
Josephine Robinson
Trent Duffy
Beth Rossman
David Dunn
Richard Russell
Rob Fairweather
Diana Schacht
Ari Fleischer
Matt Schlapp
Diana Furchtgott-Roth
Kristen Silverberg
Alan Gilbert
Danielle Simonetta
Dylan Glenn
Elizabeth Stolpe
John Graham
Aquiles Suarez
Keith Hennessey
Sam Thernstrom
Glenn Hubbard
Tevi Troy
Ed Ingle
Helgi Walker
Daryl Joseffer
Kevin Warsh
Joel Kaplan
Bess Weaver
Karen Knutson
John Wood
Randy Kroszner
2
Diana Furchtgott-Ri -Rok
OFFICE OF THE PRESIDENT STATES UNITED THE
EXECUTIVE OFFICE OF THE PRESIDENT
OFFICE OF MANAGEMENT AND BUDGET
WASHINGTON, D.C. 20503
ADMINISTRATOR
OFFICE OF
INFORMATION AND
REGULATORY AFFAIRS
December 10, 2002
MEMORANDUM FOR ANDREW CARD
THROUGH:
Mitchell E. Daniels, Jr. mso.)
FROM:
John D. Graham JPD
SUBJECT:
Heads-Up on 2002 Report to Congress on the Costs and Benefits of
Federal Regulation
We are ready to release the Final 2002 Report to Congress on the Costs and Benefits of Federal
Regulation. This Final Report to Congress on regulatory policy was prepared in response to the
Regulatory Right-to-Know Act, the Unfunded Mandates Reform Act, and OMB's general
responsibility to inform Congress and the public about developments in regulatory policy.
The Report provides: (a) a summary of Federal regulatory actions taken due to the events of
September 11th and their aftermath; (b) an overview of the OIRA's centralized oversight of Federal
regulatory policy; (c) an accounting statement of the costs and benefits of Federal regulations,
including assessments of their impact on State, local and tribal governments, small businesses,
wages and economic growth; (d) a summary of regulatory reform activities in other developed
countries, with a particular focus on the European Union; and (e) a discussion of public
nominations for regulatory improvements.
This Final Report reflects revisions made to a Draft Report that was subjected to public.
comment, external peer review, and interagency review. The Draft Report solicited public
comments and nominations of regulations, guidance documents, and paperwork requirements
that should be expanded, modified, or rescinded. We received approximately 1,700 comments
nominating 316 regulations and guidance documents for reform. Unlike last year's report,
which included a ranking of the nominations, this year's report refers the nominations to the
agencies for evaluation.
The exact date of release has not been determined. Please let me know if you have any
questions.
cc:
Dan Bartlett
Randy Krozner
Josh Bolten
Jay Lefkowitz
Carlos Bonilla
Lewis Libby
Christine Burgeson
Larry Lindsey
Nick Calio
Stephanie Lundberg
Amy Call
Ado Machida
Jim Capretta
Steve McMillin
Alicia Peterson Clark
Bob McNally
Robin Cleveland
Dan Murphy
Cesar Conda
John Oxford
Jim Connaughton
Marcus Peacock
Suzy DeFrancis
Eric Pelletier
Nancy Dorn
Phil Perry
Liz Dougherty
Josephine Robinson
Trent Duffy
Beth Rossman
David Dunn
Richard Russell
Rob Fairweather
Diana Schacht
Ari Fleischer
Matt Schlapp
Diana Furchtgott-Roth
Kristen Silverberg
Alan Gilbert
Danielle Simonetta
Dylan Glenn
Elizabeth Stolpe
John Graham
Aquiles Suarez
Keith Hennessey
Sam Thernstrom
Glenn Hubbard
Tevi Troy
Ed Ingle
Helgi Walker
Daryl Joseffer
Kevin Warsh
Joel Kaplan
Bess Weaver
Karen Knutson
John Wood
2
Withdrawal Marker
The George W. Bush Library
FORM
SUBJECT/TITLE
PAGES
DATE
RESTRICTION(S)
Memorandum
Memorandum - To: Andrew Card - From: John D. Graham
2
12/06/2002
P5;
This marker identifies the original location of the withdrawn item listed above.
For a complete list of items withdrawn from this folder, see the
Withdrawal/Redaction Sheet at the front of the folder.
COLLECTION:
Council of Economic Advisers
SERIES:
Hubbard, R. Glenn - Subject Files
FOLDER TITLE:
Office of Management and Budget [2]
FRC ID:
FOIA IDs and Segments:
5648
2014-0342-F
OA Num.:
1551
NARA Num.:
1403
RESTRICTION CODES
Presidential Records Act - [44 U.S.C. 2204(a)]
Freedom of Information Act - [5 U.S.C. 552(b)]
P1 National Security Classified Information [(a)(1) of the PRA]
b(1) National security classified information [(b)(1) of the FOIA]
P2 Relating to the appointment to Federal office [(a)(2) of the PRA]
b(2) Release would disclose internal personnel rules and practices of
P3 Release would violate a Federal statute [(a)(3) of the PRA]
an agency [(b)(2) of the FOIA]
P4 Release would disclose trade secrets or confidential commercial or
b(3) Release would violate a Federal statute [(b)(3) of the FOIA]
financial information [(a)(4) of the PRA]
b(4) Release would disclose trade secrets or confidential or financial
P5 Release would disclose confidential advise between the President
information [(b)(4) of the FOIA]
and his advisors, or between such advisors [a)(5) of the PRA]
b(6) Release would constitute a clearly unwarranted invasion of
P6 Release would constitute a clearly unwarranted invasion of
personal privacy [(b)(6) of the FOIA]
personal privacy [(a)(6) of the PRA]
b(7) Release would disclose information compiled for law enforcement
purposes [(b)(7) of the FOIA]
PRM. Personal record misfile defined in accordance with 44 U.S.C.
b(8) Release would disclose information concerning the regulation of
2201(3):
financial institutions [(b)(8) of the FOIA]
b(9) Release would disclose geological or geophysical information
Deed of Gift Restrictions
concerning wells [(b)(9) of the FOIA]
A. Closed by Executive Order 13526 governing access to national
Records Not Subject to FOIA
security information.
B. Closed by statute or by the agency which originated the document.
Court Sealed - The document is withheld under a court seal and is not subject to
C. Closed in accordance with restrictions contained in donor's deed
the Freedom of Information Act.
of gift.
This Document was withdrawn on 4/15/2015 by WW
₹
PRESIDENT
EXECUTIVE OFFICE OF THE PRESIDENT
cc'd Cathy
THE OFFICE THE UNITED OFFICE OF STATES
OFFICE OF MANAGEMENT AND BUDGET
WASHINGTON, D.C. 20503
Fibich
November 13, 2002
OMB BULLETIN NO. 03-01
TO THE HEADS OF EXECUTIVE DEPARTMENTS AND AGENCIES
SUBJECT: Fiscal Year 2003 Information Collection Budget
1.
What is the purpose of this bulletin? This bulletin instructs your Chief Information
Officer (CIO) how to prepare and submit information to the OMB Office of Information
and Regulatory Affairs (OIRA) that will be the basis for the Fiscal Year 2003 Information
Collection Budget (ICB). This annual report describes the information collection burden
imposed by the Federal government on the public, progress of the agencies towards the
burden reduction goals set forth in the Paperwork Reduction Act of 1995 (PRA), and
agency activities to improve the public's access to Federal information resources.
2.
When are responses to the bulletin due? Submissions are due to OIRA no later than
Friday, January 10, 2003.
3.
Who must respond to this bulletin? The Chief Information Officers from the following
agencies must comply with the requirements of this bulletin:
Department of Agriculture
Department of Commerce
Department of Defense
Department of Education
Department of Energy
Department of Health and Human Services
Department of Housing and Urban Development
Department of the Interior
Department of Justice
Department of Labor
Department of State
Department of Transportation
Department of the Treasury
Department of Veterans Affairs
Environmental Protection Agency
Federal Acquisition Regulation (FAR Secretariat)
Federal Communications Commission
Federal Deposit Insurance Corporation
Federal Emergency Management Agency
Federal Energy Regulatory Commission
Federal Trade Commission
National Aeronautics and Space Administration
National Science Foundation
Nuclear Regulatory Commission
Securities and Exchange Commission
Small Business Administration
Social Security Administration
If your agency is not listed here, you do not need to comply with this bulletin.
4.
How does the ICB fit into OMB's 'zero tolerance' approach to violations of the
Paperwork Reduction Act? OMB has been working closely with agencies throughout
the year to address violations of the PRA in order to reach our goal of zero violations.
This bulletin requires you to take concrete steps to resolve all existing violations prior to
submission of your response, including the publication of 60-day Federal Register notices
by December 13, 2002. In the past, we have also required agencies to provide us with a
description of the system used to track current packages, initiate the clearance process,
and avoid PRA violations. We expect that each agency has modified its system in the
past year if necessary to address any systemic problems with PRA clearance procedures.
The bulletin is accompanied by a memo to all CIOs and GCs further detailing our
expectations for resolving current violations and avoiding violations in the future.
5.
How does the ICB fit into OMB's initiatives under the Federal Financial Assistance
Management Improvement Act of 1999 ("Grants Streamlining") and the
Government Paperwork Elimination Act (GPEA)? Two government-wide statutes,
grant streamlining and GPEA, have obvious implications for information collections
covered by the Paperwork Reduction Act. Though this Bulletin does not require agencies
to submit additional information about compliance with these statutes, agencies should be
cognizant of these statutes when preparing their ICB submission and work to coordinate
agency efforts under the PRA, GPEA, and grants streamlining requirements.
6.
What must my agency's submission include? Your CIO is required to submit the
following information:
a.
A detailed description of agency initiatives or a summary progress report on
initiatives identified in last year's ICB, in accordance with the instructions in
Appendix A;
b.
Your agency's comprehensive burden accounting, including aggregate burden
totals, program changes broken into several categories, and examples of
significant burden changes prepared in accordance with the instructions in
Appendix B; and
2
c.
Data regarding your agency's compliance with the information collection
provisions of the Paperwork Reduction Act, prepared in accordance with the
instructions in Appendix C.
All submissions should be consistent with OMB fiscal and policy guidance.
7.
In what format should the CIO provide this information to OMB? The information
required under this bulletin should be sent electronically to Nathan Knuffman
([email protected]). Please use the following file formats.
a.
Where this Bulletin instructs you to prepare a table, you should submit the table in
one of the following formats, in order of preference:
i.
Microsoft Excel;
ii.
Lotus 1-2-3; or
iii.
A dot-delimited ASCII file (a separates each cell in a row).
b.
Otherwise, you should submit the information requested in one of the following
formats, in order of preference:
i.
WordPerfect; or
ii.
Microsoft Word.
8.
What is the legal authority under which OMB is requiring this information? This
bulletin is issued pursuant to the Budget and Accounting Act of 1921, as amended; the
Budget and Accounting Procedures Act of 1950, as amended; and the Paperwork
Reduction Act of 1995, as amended.
9.
Will OMB conduct hearings on my agency's submission? OMB will schedule, as
needed, hearings with an agency on its progress toward burden reductions goals and
agency compliance with the Paperwork Reduction Act.
10.
Who should I contact for further information? Questions about specific agency
matters should be directed to your agency's Desk Officer within OMB's Office of
Information and Regulatory Affairs.
Questions about this Bulletin should be directed to Nathan Knuffman, tel. (202) 395-
6466, email: [email protected].
11.
When does this bulletin expire? This bulletin expires September 30, 2003.
12.
What changes has OMB made to this bulletin since last year?
a.
More agencies are included this year. Note that the agencies included are the
same as in the FY 1999, 2000, and 2001 bulletins. Please refer to question 3 to
check whether your agency is required to respond to this bulletin.
3
b.
When preparing descriptions of significant burden changes ("exhibits"), please do
not use Microsoft Access. Microsoft Word or WordPerfect are preferred.
c.
For each violation that remains unresolved, you must provide a Federal Register
citation and publication date for the public notice required under the PRA to
adequately respond to this bulletin. If Federal Register information is not
provided for all unresolved violations, your response to this bulletin will be
considered incomplete.
d.
Similar to previous years, we are asking each agency to report aggregate burden
totals and break out program changes into various categories.
Mitchell E. Daniels, Jr.
Director
Attachments
4
Bulletin No. 03-01
Appendix A
BURDEN REDUCTION INITIATIVE
1.
What is the purpose of this Appendix? In the FY 2002 Information Collection Budget
(ICB), we asked each agency to "identify at least two major initiatives to improve
program performance by enhancing the efficiency of information collections and to
reduce paperwork burden on the public." We also asked you to provide bi-monthly
progress reports on the steps taken to move forward with your agency's initiatives. This
year, we are asking that you provide a summary report on the progress made over the past
year on each of these initiatives that you identified. If your agency's initiatives are not yet
completed, progress reports are still required. However, instead of bi-monthly, these
reports should be submitted quarterly starting January 1, 2003. If you have identified new
initiatives, please provide additional information on each. While we encourage you to
identify additional paperwork burden reduction initiatives, it is not required. For agencies
not included in the FY 2002 ICB (last year's ICB), we are asking you to propose or
identify planned initiatives to improve program performance by enhancing the efficiency
of information collections and reducing burden on the public. This appendix also
requires a regular progress report on these initiatives. These reports should be submitted
quarterly, due on the first of the month starting January 1, 2003.
For Agencies that Participated in the FY 2002 ICB:
2. What information should be included in the summary progress reports? For each
initiative identified, we ask that your report include the following:
a.
title of the initiative;
b.
a brief description of the initiative, including the programs affected;
c.
a description of how the initiative improves program performance and reduces
burden;
d.
measurable objectives you have achieved or expect to achieve (i.e., burden
change); and
e.
a description of the current status of the initiative, including an updated timetable
and a discussion of any difficulties experienced in accomplishing the initiative.
A-1
3. How should I report this information? You should use either Microsoft Word or
WordPerfect and follow the format provided below.
Agency:
Initiative Title:
Abstract:
How Performance Improved:
Measurable Objective:
Current Status/Progress Made:
These descriptions should be more detailed than the significant burden changes discussed
in Part 4 of Appendix B. Each summary report should be about 1 page in length.
Quarterly progress reports on these initiatives are required.
For Agencies that did not Participate in the FY 2002 ICB:
4. What is an appropriate initiative in response to this bulletin? We ask you to identify
at least two major initiatives to improve program performance by enhancing the
efficiency of information collections and to reduce paperwork burden on the public. We
seek initiatives that:
a.
Improve program performance by enhancing the efficiency of agency information
collections (both within the agency and, in the case of related information
collection activities, among agency components or across agencies);
b.
Significantly reduce the burden per response on the public; or
c.
Lead to a comprehensive review of an entire program (both within the agency and,
in the case of related information collection activities, among agency components
or across agencies), including regulations and procedures.
5. What information about these initiatives must we submit? We ask that your initial
submission include the following:
a.
A complete description of the programs that you will be affecting, including
statutory and regulatory citations, a description of the affected public, and the
agency structure that implements the program (both within the agency and, in the
case of related information collection activities, among agency components or
across agencies).
b.
Measurable objectives you expect to achieve through this initiative.
C.
Proposed timeline for actions that you will take.
A-2
d.
Perceived difficulties in accomplishing this initiative, including statutory or policy
barriers.
6. What information must we include in the quarterly progress reports? We ask that
your quarterly progress report include a status report based on your initial timetable, any
new information that will affect your ability to complete the initiative, and, reflecting this
progress, an updated timetable.
Note: For both agencies that reported initiatives last year and those reporting initiatives this
year, once the goals for an initiative have been fully realized, and the agency is no longer
pursuing the initiative, agencies should submit a final summary report and may cease providing
progress reports for that initiative.
A-3
Bulletin No. 03-01
Appendix B
INFORMATION COLLECTION BUDGET (ICB)
1. What is the purpose of this Appendix? This appendix explains what information you
will need to gather from within your agency to develop your Information Collection
Budget (ICB) submission for FY 2003 and what you must submit to OMB.
a.
Part 1 discusses how you should begin working on your ICB submission and
offers general ideas we would like you to keep in mind.
b.
Part 2 describes how to prepare a chart which lists all of the transactions that
affected your burden totals for FY 2002 and a chart that lists all of the expected
transactions which you used to estimate your FY 2003 total burden.
C.
Part 3 describes how to prepare a chart showing the changes in your agency's total
burden from FY 2001 to FY 2003, broken down into different kinds of program
changes and adjustments.
d.
Part 4 instructs you to describe a limited number of significant examples of your
agency's paperwork reductions and increases for FY 2002 and planned reductions
and increases for FY 2003, grouped by how or why the change occurred.
B-1
Part 1: Preparation
2.
What do I need to know before I start working on the ICB submission?
a.
Burden Reduction Goals: While the PRA does not specify a statutory burden
reduction goal for FY 2002, you still need to make every effort to ensure that your
agency will achieve the "maximum practicable" reductions given your agency's
statutory and programmatic responsibilities.
b.
Categorizing Burden Changes: We are working to improve the quality of the
information you provide to us and we provide to Congress and the public. One
way is by breaking down changes from one year to the next. In parts 2 and 3, we
ask you to designate changes in burden for each collection as either adjustments
and or one of three different kinds of program changes. In part 4, we ask you to
break program changes down even further for the purpose of giving greater detail
on your agency's most significant burden changes.
c.
Dollar Costs: Many agencies now report paperwork burden in terms of dollar
costs, as well as burden hours. For example, the burden of a regulatory
recordkeeping requirement is more readily estimated in terms of the dollar cost
(e.g., for the space and equipment needed for storage) than time. Similarly, the
burden of a third-party disclosure (e.g., the table describing the nutritional content
of packaged foods on food containers) is also more readily estimated in terms of
cost. (These dollar costs are separate from hour burdens and are not hour burdens
that are converted into dollars.) Starting with the 1999 ICB, we reported both the
hour and financial burdens of information collections as you reported them in your
information collection requests. Thus, when discussing burden, you should
include, as appropriate, both burden hours and dollar costs.
3. What do I need to do before I start working on the ICB submission? The first thing
you should do, upon receipt of these instructions, is review the monthly inventory of
information collections that you receive from OMB. We intend to publish our database's
number for September 30, 2002, as the burden total for FY 2002. Therefore, you need to
make sure our database records are accurate and consistent with your records. If there are
discrepancies between your agency's records and our database, you will need to work
with your OIRA desk officer to determine the cause of the discrepancy and the
appropriate remedy. Please pay special attention to the cost estimates. (Remember the
83-I and our computer tracking system record costs in thousands of dollars, not
dollars.) Submit any corrections to our database to your OIRA desk officer on a Form
83-C with a complete explanation.
B-2
4. How do I begin working on the ICB? There are always two parts to the ICB, a review
of the previous fiscal year (FY 2002) and a look toward the next (FY 2003).
Work with the program officials in your agency to identify all potential changes in
information collection activities in FY 2003. Make sure you have, for each change, an
OMB number (if assigned), the expected program change and/or expected adjustment for
burden hours and costs. You will need this information to estimate your agency's FY
2003 total hour burden.
For the most important changes in burden, ask the program officials for the additional
information required in Part 4.
B-3
Part 2: A Comprehensive Accounting
5. How is this accounting different than in previous years? This year's instructions are
the same as those contained in the FY 2001 Bulletin.
In particular, you will need to break out for each transaction the following information:
a.
Net Program Change, which is the sum of:
i.
Change in burden due to new statutory requirements (see below);
ii.
Change in burden due to lapses in OMB approval (see below);
iii.
Change in burden due to other agency actions; and
b.
Adjustment (see below).
As before, if your agency conducts information collections on a regular basis with a
frequency of less than once a year, you should contact your OIRA desk officer to discuss
how you should account for these net program changes.
6. When can we attribute a program change to a new statutory requirement? You
should only attribute a program change to a new statutory requirement when the
information collection directly related to a statute enacted within the last five years (i.e.,
after January 1, 1998). This should not include increases in burden due to long-standing
statutory mandates or recurring statutory requirements. You may, however, include
changes if this is the first time your agency is implementing a statute that has been law for
many years. Please consult your OIRA desk officer if you are uncertain.
7. What changes in burden should be listed under lapses of OMB approval? You
should list under this category any change in burden that occurred when:
a.
your agency allowed an OMB approval for a collection to expire even though your
agency continued to conduct or sponsor the collection; or
b.
OMB approved a collection that your agency has been conducting or sponsoring
without prior OMB approval or under an expired OMB control number.
Do not include collections that your agency has discontinued and for which OMB
approval has expired. These changes should be listed as changes due to other agency
actions.
8.
What changes in burden should be listed as changes due to other agency actions?
Under this category, you should list any other program changes that do not result from
statutory obligation or a lapse in OMB approval. For example, these changes may include
intentional expirations, reinstatements, and other agency actions that affected burden.
B-4
FY 2002 CHANGES IN BURDEN HOURS
PROGRAM CHANGES
NET
Due to
Due to Lapse
Due to
OMB #
Date
PROGRAM
ADJUSTMENTS
EXHIBIT
Statutory
of OMB
Agency
CHANGES
Changes
Approval
Actions
0
1
2
3
4
5
6
0
7
8
0
0
0
TOTAL
0
0
0
0
0
Figure 1
9. What changes in burden should be counted as adjustments? Adjustments are
changes in burden hours due to factors over which your agency has no control, such as
population growth or economic expansion, or that do not affect what information your
agency collects or how.
Example: If burden increased because your agency took an action to collect information
from a new segment of the economy, that would be a program change. If, instead,
burden went up because more businesses entered a segment of the economy from which
your agency already collected information, that would be an adjustment.
Example: If you reported an increase in burden because your agency changed the way it
estimates burden, that would be an adjustment.
10. How do I report to OMB all transactions that affected burden during FY 2002?
You should report every transaction that affected hour or cost burden in two tables in
formats similar to Figure 1 (for changes to burden hours) and Figure 2 (for changes to
costs).
Example: If you received multiple Notices of Action from OMB affecting hour and cost
burden for a single OMB number, you should have one line in each table for each notice
of action.
Example: If a collection expired during FY 2002 and was later reinstated in FY 2002,
you will list the collection twice for FY 2002, one transaction for the expiration and one
transaction for the reinstatement.
11. What should go in each column? We will provide to you Microsoft Excel files
containing these two tables with columns 1, 2, 6, and 7 completed. (If you are unable to
B-5
FY 2002 CHANGES IN COST BURDEN ($,000)
PROGRAM CHANGES
NET
Due to
Due to Lapse
Due to
OMB #
Date
PROGRAM
ADJUSTMENTS
EXHIBIT
Statutory
of OMB
Agency
CHANGES
Changes
Approval
Actions
0
1
2
3
4
5
6
0
7
8
0
0
0
TOTAL
0
0
0
0
0
Figure 2
use Microsoft Excel files, please contact your OIRA desk officer for alternate
arrangements.) You will need to complete the rest of the table by dividing the burden
changes listed in column 6 (net program changes) into burden changes for column 3, 4,
and 5 and indicating for which changes you will prepare a exhibit under Part 4. For each
transaction, the following information goes in the following columns:
a.
Columns 1 and 2 present the OMB number and the date of the OMB Notice of
Action, respectively. OMB will provide this information.
b.
In column 3, the change in hour or cost burden due to changes in statutory
requirements for each transaction (see question 6);
C.
In column 4, the change in hour or cost burden due to lapses in OMB approval
(enter a negative number for expirations and a positive number for new
collections or reinstatements);
d.
In column 5, the change in hour or cost burden due to program changes by the
agency that were not attributed to statutory changes or lapses in OMB approval.
Columns 3, 4, and 5 should sum up to the burden total OMB provided in column 6.
Column 7 is total adjustments. This is provided by OMB. You should total columns 3
through 7 and enter the total at the bottom of each column.
In column 8, place an "X" for each transaction for which you have written a description in
Part 4 of this Appendix.
Note: Cost burden is reported in thousands of dollars, just as in the OMB computer
tracking system and on the OMB Form 83-1.
B-6
12. How do I report to OMB transactions that we expect will affect burden during
FY 2003? You should report every transaction that you expect will affect burden during
FY 2003 in two tables in formats similar to Figures 1 and 2, excluding column 2 (Date).
Please list expected transactions in order by OMB number. List new collections not yet
assigned an OMB number at the bottom of the list with the appropriate four digit prefix.
We will provide empty Excel charts to complete along with the information for FY 2002.
13. Do I need to provide an entry for every transaction we expect during FY 2003? No,
you only need to provide an entry for transactions that will affect your total burden for FY
2003.
B-7
Part 3: Aggregate Burden Totals
14. How do I report aggregate burden totals for FY 2002? Complete a table similar to
that shown in Figure 3, which we will provide as part of the Microsoft Excel spreadsheet
file that we provide to complete Part 2. The totals in the tables in Part 2 should be
transferred to the appropriate spreadsheet cells. (The numbers in Figure 3 correspond
to the appropriate cells in figures 1 and 2.)
Next, you will check to make sure your totals reflect the change between the FY 2001 and
FY 2002 totals. The "9" cells will have the published totals from the Information
Collection Budget of the United States, FY 2002. The "10" cells will have the totals
generated by our database at the end of FY 2002. If cells 9, 6, and 7 do not add up to cell
10, you will need to revisit your charts prepared for Part 2 to ensure that program changes
or adjustments listed there were not already included in the FY 2001 total. Otherwise,
please discuss any discrepancies with OIRA.
15. How do I report expected aggregate burden totals for FY 2003? Again, use the
information you collected for FY 2003 in Part 2 to complete the corresponding cells in
Figure 3. Add the aggregate burden total for FY 2002 to the expected net program
change for FY 2003 and the expected net adjustments for FY 2003 to get an expected
aggregate burden total for FY 2003.
B-8
Burden Hours
Cost Burden
SUMMARY TABLE OF BURDEN CHANGES
(millions)
($,000,000)
FY 2001 Total Burden
9
FY 2002 Program Changes Due to New Statutes
3
FY 2002 Program Changes Due to Lapses in OMB Approval
4
FY 2002 Program Changes Due to Agency Actions
5
SUBTOTAL: FY 2002 Total Program Changes
6
FY 2002 Adjustments
7
FY 2002 Total Burden
10
Expected FY 2003 Program Changes Due to New Statutes
Expected FY 2003 Program Changes Due to Lapses in OMB Approval
Expected FY 2003 Program Changes Due to Agency Actions
SUBTOTAL: Expected FY 2003 Total Program Changes
Expected FY 2003 Adjustments
Expected FY 2003 Total Burden
Figure 3
B-9
Part 4: Examples of Significant Burden Changes
16. What does "significant" mean? Significant burden reductions are those that
demonstrate the agency's adherence to the principles of the Paperwork Reduction Act and
have a meaningful impact on the burden imposed on the public. Significant burden
increases are generally those that have attracted attention and/or have a meaningful
impact on the public. Significant burden changes do not include adjustments, only
program changes. We request that you limit discussion to program changes of 10,000
hours and/or $10,000,000 or greater.
17. What kinds of burden reductions and increases should I describe? We are splitting
information on program changes into several categories. Please assign each change to
only one of the following categories. If two or more categories could apply to a single
change, select the category that is most appropriate.
a.
Burden reductions should be placed into one of the following six categories.
i.
Changing Regulations: reducing information collection burden by
revising existing regulations to eliminate unnecessary requirements or by
completely changing the way you regulate;
ii.
Cutting Redundancy: reducing information collection burden by raising
reporting thresholds to reduce the number of reports that need to be
submitted, cutting the frequency of periodic reporting requirements,
consolidating information collections, or working together with other
agencies to share information across programs;
iii.
Changing Forms: reducing burden by simplifying and streamlining
forms, making them easier to read and fill out and by making programs
easier to apply for;
iv.
Using Information Technology: reducing burden by putting in place
electronic systems that can speed the exchange of information between the
government and the public and allow respondents to use their own
information technology to ease reporting burdens;
V.
Statutory Reductions: reducing burden because of recently enacted
statutes; and
vi.
Other: reducing burden through other agency efforts.
b.
Burden increases should be placed into one of the following two categories:
i.
Statutory Increases: Increasing burden due to new statutory requirements
(see question 6 for more information; and
ii.
Other: Increasing burden due to other factors.
B-10
18. What information do I need to describe these changes? At a minimum you will need:
a.
title of the collection and/or title of the initiative;
b.
purpose of the collection (including from whom you collect the information, what
information you collect prior to the change, and, if the collection is not a
recordkeeping requirement or a third-party disclosure, how your agency uses the
information collected);
C.
what is/was changed, how it affected burden, and if part of a broader agency
initiative;
d.
the change in burden (hours and costs, program changes only); and
e.
for statutory increases and reductions, the full name of the statute and public law
number.
19. How should I report this information? Use the format provided below for FY 2002.
Repeat for FY 2003. Unlike last year, please do not use Microsoft Access to prepare
these exhibits. Microsoft Word or WordPerfect are the preferred formats. Each entry
should be no more than 100 words and should be in plain language understandable to a
member of the public not familiar with your programs. Avoid the use of acronyms or
"jargon."
Reductions:
Changing Regulations
OMB #:
Title:
Purpose of the
Collection:
How Reduction
Achieved:
Change in Burden:
Cutting Redundancy
OMB #:
Title:
Purpose of the
Collection:
/
How Reduction
Achieved:
Change in Burden:
B-11
Changing Forms
OMB #:
Title:
Purpose of the
Collection:
How Reduction
Achieved:
Change in Burden:
Using Information Technology
OMB #:
Title:
Purpose of the
Collection:
How Reduction
Achieved:
Change in Burden:
Statutory Reductions
OMB #:
Title:
Purpose of the
Collection:
How Reduction
Achieved:
Change in Burden:
Statute Title and
P.L. #:
Other
OMB #:
Title:
Purpose of the
Collection:
How Reduction
Achieved:
Change in Burden:
Increases:
Statutory Increases
OMB #:
Title:
Purpose of the
Collection:
Why Increase
Occurred:
B-12
Change in Burden:
Statute Title and
P.L. #:
Other
OMB #:
Title:
Purpose of the
Collection:
Why Increase
Occurred:
Change in Burden:
)
20. May I include more than one example for each category? Do I need to include one
example for each category? You may include more than one example under each
category, but you should try to have at least one example for your agency in each
category. Do not include any examples more than once. Please try to limit the total
number of examples to 15 per fiscal year.
21. How does this tie in to the charts in Part 2? For each example, identify the
corresponding transaction in the charts for Part 2 by placing an "X" in column 8.
B-13
Bulletin No. 03-01
Appendix C
Compliance with the Information Collection Provisions of the
Paperwork Reduction Act of 1995 and 5 C.F.R. 1320
In a November 14, 2001 "violations memo" to all agencies covered by the Paperwork
Reduction Act (PRA), we set a goal of zero PRA violations by the end of FY 2002. While
most agencies have made significant progress in reducing the number of violations, we have
not yet reached our goal of zero violations. We are still working hard toward our goal of
eliminating all PRA violations as quickly as possible, and avoiding any violations of the PRA
in the future.
On June 6, 2002, we asked agencies to identify progress on violations reported in the ICB for
FY 2001 and report any new violations. While most agencies have done a very good job of
resolving the existing violations, some agencies are still having significant problems in
clearing up these old violations. Agencies also reported a significant number of new
violations that had occurred in FY 2002. This situation is unacceptable and must be
remedied.
With the issuance of this bulletin, we are again asking agencies to immediately take
steps to resolve any existing violations and avoid any future PRA violations.
1. What does this Appendix require? This appendix explains what you must submit to
OMB to report violations of the information collection provisions of the Paperwork
Reduction Act (PRA) of 1995 and OMB's implementing regulations, 5 C.F.R. 1320, over
the last fiscal year and what actions you have been taking to resolve violations identified
in past years and this year. OMB is required to report PRA violations to Congress and
will report the information you submit in the Information Collection Budget of the United
States, Fiscal Year 2003. See Appendix B of the Information Collection Budget of the
United States, Fiscal Year 2002.
2. What information do I need to collect? Compile information on all of the violations of
the PRA committed by your agency, intentionally or unintentionally, during Fiscal Year
2002. This includes violations listed in previous Information Collection Budgets that had
been unresolved as of September 30, 2001. For those agencies not included in the FY
2002 ICB (last year's ICB), please include violations occurring during FY 2001 as well.
For this year, we are also asking agencies to review their records and make an extra effort
to identify collections that expired in previous fiscal years and remain in violation of the
PRA, as well as collections that have never obtained OMB clearance ("bootleg"
collections). We are asking all agencies to undertake an inventory of all forms in use,
C-1
including those posted on their internet website for public use, to determine if the
appropriate OMB approval has been obtained.
For each violation you should know:
a.
why the violation occurred;
b.
when the violation occurred;
C.
how the violation was discovered;
d.
what actions have been or will be taken to remedy the violation; and
e.
when the violation was or will be remedied.
For each unresolved violation, please send us the citation and date for the 60-day
Federal Register notice that was published. Failure to publish a Federal Register
notice for any unresolved violation will be considered an incomplete response to this ICB
bulletin. If there is some extenuating circumstance precluding a Federal Register notice
prior to submitting your ICB response, you must petition OMB by December 13th for an
exemption to this requirement. Please contact Lauren Wittenberg at 395-4718 or
[email protected] to discuss any such information collections.
3.
How do 1 report this information to OMB? Compile the information in question 2 into
two tables. The first table will list only those violations due to the accidental expiration
of a OMB approval while the collection was still being conducted. The second table will
list all other violations.
a.
Create the first table with a column for each of the following items in this order:
OMB number; title; date of expiration; date of reinstatement; date discontinued;
Federal Register notice citation; and Federal Register notice publication date. List
each collection in numerical order by OMB number. If the collection has been
reinstated, leave the last three columns blank. If the collection was discontinued
instead of reinstated, leave the "date of reinstatement" column blank and give the
date the collection was discontinued, leaving the final two columns blank. If the
violation is not yet resolved by reinstatement or discontinuation, please place the
Federal Register citation and date in the appropriate columns. Please refer to the
following table as a model. for your submission.
OMB
Date of
Date of
Date
FR Notice
FR Notice
Number
Title
Expiration
Reinstatement
Discontinued
Citation
Pub. Date
C-2
Please place full
1000-0001
title here.
1/31/98
2/2/02
N/A
N/A
N/A
Please place full
2000-0002
title here.
2/28/02
N/A
5/1/02
N/A
N/A
Please place full
3000-0003
title here.
3/3/00
N/A
N/A
30 FR 3000
7/1/02
b.
Create the second table with a column for each of the following items in order:
OMB number; title; description of the violation; and how discovered and
remedied. Again, list each collection in order of OMB number. Give the four
digit prefix under which the collection would have been listed if an OMB
number was never assigned. Under "description of the violation," give a brief
phrase which says what was done wrong. Under "how discovered and
remedied," briefly describe how the violation was discovered and what actions
are being or were taken to correct the violation. Also in this column, indicate
if an information collection request has been submitted to OMB or, if OMB
has already taken action, give the action date. If the violation has not yet been
submitted to OMB, include the Federal Register citation and date of the 60-
day notice. Note: if you do not use Microsoft Excel, please use a word
processor to create this table. Please refer to the following table as a model
for your submission.
OMB
Number
Title
Description of Violation
How Discovered and Remedied
Please indicate here the following:
Please describe type of
how the violation was discovered;
violation here (e.g.,
if the collection has been
unapproved collection,
submitted to OMB; the OMB
modification of an approved
action date, if any; and the FR
form without OMB approval,
citation and publication date for
expiration of ongoing
any unapproved collection not yet
1000-0001 Please place full title here.
collection, etc.)
approved by OMB.
2000-xxxx Please place full title here. See above.
See above.
4. What additional materials will we provide you? To assist you in reviewing your
agency's actions over FY 2002 for PRA violations, OMB will send at the end of FY 2002
a list generated from the official computer records. The list will detail collections that
expired during the last fiscal year and had not been reinstated as of September 30, 2002,
and collections that were reinstated during the fiscal year. For those agencies not
included in the FY 2002 ICB (last year's ICB), we will also provide a list of collections
the expired or were reinstated during FY 2001. These lists are for your information only.
C-3
They will include expirations that were intentional (i.e., the information is no longer
being collected). Do not report on collections that are not in violation.
C-4
EXECUTIVE OFFICE OF THE PRESIDENT
EXECUTIVE BUIKET UNITED OFFICE THE PRESIDENT
OFFICE OF MANAGEMENT AND BUDGET
WASHINGTON, D.C. 20503
October 15, 2002
THE DIRECTOR
faild to Cathy
BULLETIN NO. 02-06, Supplement No. 2
10-21
TO THE HEADS OF EXECUTIVE DEPARTMENTS AND ESTABLISHMENTS
SUBJECT: Apportionment of the Continuing Resolution(s) for Fiscal Year 2003
1. Purpose and Background. P.L. 107-229 (H. J. Res. 111) and P.L 107-235 (H. J. Res. 112)
together provided continuing appropriations for the period October 1 through October 11.
Bulletins No. 02-06 and Supplement No. 1 to that Bulletin provided instructions on calculating the
amount provided by that continuing resolution (CR) and the amount automatically apportioned.
H. J. Res. 122 extends the CR through midnight on Friday, October 18. The portion of the year
covered by the CR is now 4.93 percent. Through this Supplement (No. 2) I am providing an
automatic apportionment for amounts provided by this continuing resolution (CR), and any
extensions of this CR, as specified in section 2. This Bulletin supplements instructions for
apportionment of CRs in OMB Circular No. A-11.
2. Automatic Apportionments. Calculate the amount automatically apportioned through the
period ending October 18 (and any extensions of that period) by multiplying the rate (amount)
provided by the CR by the lower of:
the percentage of the year covered by the CR, or
the historical seasonal rate of obligations for the period of the year covered by the CR.
See the Attachments A, B, C and D to this Bulletin for more detailed instructions on calculating
the amount provided by the CR and the amount automatically apportioned. Under an automatic
apportionment, all of the footnotes and conditions placed on the prior year apportionment remain
in effect.
3. Written Apportionments. If a program requires an amount different from the total amount
automatically apportioned, you must request a written apportionment.
4. Changes from Bulletin No. 02-06 Supplement No. 1. This Supplement provides additional
guidance on OMB authority to grant exceptions to the automatic "Rate of operations not exceeding
the current rate"/written apportionments.
Mitchell E. Daniels, Jr.
Director
Attachments
Bulletin No. 02-06, Supp. 2
Attachment A
Calculating the Amount Made Available by the CR and the Automatic Apportionment
Calculate the amount automatically apportioned through the period ending October 18, 2002 (and
any extensions of that period) by multiplying the rate (amount) provided by the CR by the
lower of:
the percentage of the year covered by the CR (rounded to the nearest hundredth);
or
the historical seasonal rate of obligations for the period of the year covered by
the CR.
1) What is the rate (amount) provided by the CR? The rate (amount) provided by the CR
for all accounts is the rate of operations not exceeding the current rate, calculated as
follows:
take the net amount enacted in FY 2002, i.e., add any supplemental appropriations
and subtract any rescissions;
add the unobligated balance carried forward to FY 2002 (if any) -- do not include
any unobligated balance of funds appropriated in P.L. 107-38 other than funds
transferred by division B of Public Law 107-117;
subtract the unobligated balance at the end of FY 2002 (if any); and
subtract any other unobligated balances carried forward into FY 2002 or enacted
in FY 2002 that were available for one-time non-recurring purposes, as described
in section 3 below.
Note: Agencies are required to use current estimates of unobligated balances. Use the most
recent approved estimate for the unobligated balance at the end of FY 2002. Specifically,
use the unobligated balances carried forward and apportioned to FY 2003. If you have a
more recent estimate of actual unobligated balances carried forward, you must have the
amount apportioned before you can use it to calculate the rate provided by the CR.
2) Does the continuing resolution affect the availability of funds that would be available if
H. J. Res. 122 had not been enacted?
No. The availability of any part of the budgetary resources for an account that is not determined
by current action of the Congress (such as permanent appropriations, public enterprise and other
revolving funds, reimbursements and other income, and balances of prior year budget authority)
are not affected by H. J. Res. 122.
Most of these budgetary resources must be apportioned by OMB before obligation.
2
Bulletin No. 02-06, Supp. 2
Attachment A cont.
3) Funds available for FY 2002 one-time non-recurring purposes should not be included in
the calculated rate.
The intent of a CR is to fund on-going projects and activities in such a way as not to impinge on
final funding prerogatives. See Attachment B for principles for determining one-time
expenditures. See Attachment C for the list of one-time items that are required to be excluded
from the calculated rate in accordance with section 135 of H. J. Res. 122. Additional funding for
one-time recurring purposes that an agency determines should be excluded from the calculated
rate should be discussed with your OMB representative. [Note: One-time projects may involve
funds from P.L. 107-38 that are already excluded from the calculation of the rate, so, when
deducting the one-timers, agencies should be sure to exclude any P.L. 107-38 funds to avoid
deducting them from the rate twice.]
Specific questions on one-time expenditures should be addressed to your OMB representative.
3
Bulletin No. 02-06, Supp. 2
Attachment B
Principles for Determining What is a
One-Time, Non-Recurring Project/Activity
Continuing resolutions (CRs) are stop-gap measures that allow ongoing agency programs
to function, generally at a level comparable to that in the previous fiscal year. CRs attempt to
remain "policy neutral" by continuing the terms and conditions of the previous year's
appropriations into the period covered by the CR. Agencies are prohibited from beginning new
programs under the CR.
However, given the unprecedented investment in one-time recovery and emergency
preparedness activities since September 11th, the CR does not compel agencies to spend money
needlessly - i.e., to rebuild New York or the Pentagon twice or to stockpile small pox vaccines
yet again.
The principles for determining whether a project is one-time and non-recurring in nature are:
Specific projects/activities that are strictly limited in purpose and duration are one-time
activities;
Projects/activities that are an integral part of an ongoing activity are not one-time
projects/activities, consistent with GAO's description below (GAO, Principles of Federal
Appropriations Law, p. 8-19):
" in the previous fiscal year funds were available generally for construction of
buildings, including plans and specifications. However, a specific construction project
was not actually underway during the previous year. Nonetheless, it was decided that,
because funds were available generally for construction in the previous year, this specific
project was not a new project or activity and thus could be funded under the continuing
resolution."
Supplemental appropriations to fund ongoing activities, such as wildland firefighting
efforts, are also not one-time projects/activities.
4
Bulletin 02-06, Supp. 2
Attachment C
One-Time Items That Are To Be Excluded
(BA in millions)
Program/Account
Amount
Department of Defense
Pentagon Reconstruction
1,338
Funding provided to repair the damage to the Pentagon
resulting from 9-11, to cover associated costs (rental space,
relocation costs, replacing damaged equipment, etc.) and
the construction of military command centers in the
Pentagon.
Department of Agriculture
Office of the Secretary
81
Funding provided to support various Department of
Agriculture activities to improve overall security. Most
activities were related to purchasing equipment (x-ray
machines, cameras, etc.), improving telecommunications,
increasing cyber security, and performing risk reviews.
Department of Health and Human Services
Smallpox Vaccine Purchase
412
$412 million is available as non-recurring because $512
million was appropriated in FY 2002, but $100 million was
requested in the FY 2003 Budget to assist state efforts to
distribute if necessary, and to purchase VIG in order to treat
those who experience complications from the vaccine.
National Pharmaceutical Stockpile
345
$345 million is available as non-recurring because $645 was
appropriated in FY 2002 to increase to capacity of the
stockpile, but only $300 was requested in the FY 2003
Budget for improved state capacity to distribute stockpile
allotments, and for stockpile maintenance.
HHS Facilities Security
141
The CDC and NIH received a one-time appropriation of $141
million for security upgrades to their facilities.
Bulletin 02-06, Supp. 2
Attachment C
One-Time Items That Are To Be Excluded
(BA in millions)
Program/Account
Amount
Department of State
Embassy Construction (with emergency funds)
201
State was given emergency funds to build two embassies
(Kabul, Dushanbe), These one-time projects will not have to
be repeated in 2003, and consequently the funds will not be
needed in the CR.
Department of Justice
Crime Victims Fund
31
For victim counseling programs in New Jersey, Virginia,
Pennsylvania, and other states affected the terrorist attacks.
District of Columbia
Federal Payment for Emergency Planning and Security Costs
200
$200 million was provided to the District of Columbia, for the
purchase of first responder equipment and training,
improvements in emergency traffic management, and
increased security at District facilities and the metropolitan
subway and bus system.
Postal Service
Payment to the Postal Service
500
$500 million in one-time expenditures were provided for
irradiation equipment to sanitize the mail, protect personnel
(gloves, masks, etc.), site clean-up and medical goods and
services, and public education material.
Subtotal, One-Time Costs, Non-New York Funds
3,249
Subtotal, New York One-Time Costs
12,710
Total, One-Time Costs
15,959
Bulletin 02-06, Supp. 2
Attachment C
One-Time Items That Are To Be Excluded
New York Recovery
(BA in millions of dollars)
FEMA
From Fall FY 2002 Supplemental (HR 3338)
4,357
From Summer FY 2002 Supplemental (HR 4775)
2,651
Subtotal--FEMA
7,008
HUD and SBA
From Fall FY 2002 Supplemental (HR 3338)
SBA
75
CDBG
2,000
From Summer FY 2002 Supplemental (HR 4775)
783
Subtotal--HUD and SBA
2,858
DOT
From Fall FY 2002 Supplemental (HR 3338)
Improvements to NYC area transit systems
100
Repairs to highways and for enhancing ferry service
175
Repairs to Amtrak tunnels under the Hudson and East Rivers
100
From Summer FY 2002 Supplemental (HR 4775)
Transit upgrades
1,800
Federal Highways
167
Subtotal--DOT
2,342
Other Federal Agencies
From Fall FY 2002 Supplemental (HR 3338)
Labor
Worker compensation assistance
175
Labor
Job training and retraining
32
Labor
Unemployment Insurance admin
4
Labor
Facilities
2
Labor
OSHA safety/health monitoring
1
DOJ
Crisis Counseling
37
HHS
Reimbursements to hospitals
140
HHS
CDC
12
HHS
National Institute of Environmental Health Sciences
11
GSA
Relocating/Enhancing Federal Facilities
41
Commerce TV/Radio Tower
8
CFTC
Facilities
17
SEC
Facilities
21
EEOC
Facilities
1
Subtotal--Other Federal Agencies
502
Total
12,710
Bulletin No. 02-06, Supp. 2
Attachment D
General Guidance on OMB Authority to Grant Exceptions to the Automatic "Rate of
Operations Not Exceeding the Current Rate"/Written Apportionments
Under this bulletin agencies are automatically apportioned an amount equal to the
proportional "rate for operations not exceeding the current rate." (See Attachment A) Without
other specific authority granted in a CR, OMB has limited authority to grant a higher rate of
expenditure then the proportional rate.
Under general principles of appropriations law, the pattern of obligations in prior years
provides a framework for determining the pattern of obligations under a CR. For example, OMB
may grant a higher rate if the program's past pattern of obligations, for cyclical or seasonal
reasons, exceeds the proportional share and the higher rate is urgently required to meet existing
program goals. This past pattern must be evident from historical data for the program or activity.
If OMB concurs that the data justifies a higher rate, the program may be apportioned a higher
rate. However, the program must remain within the annual total provided in the CR, e.g., if a
program exceeds its proportional share in one period, the agency must be apportioned a rate
lower than the proportional share in a later period (assuming the CR is still in effect). OMB
cannot legally grant higher rates to allow for pressures created by ongoing programmatic factors.
For example, OMB cannot grant a higher rate for exceptions for fiscal pressures, such as growth
in discretionary program costs or an increase in the cost of salaries and expenses.
For more information about apportionments under a CR, please consult the GAO Red
Book, Principles of Federal Appropriations Law, and your OMB representative.
5
EXECUTIVE OFFICE OF THE PRESIDENT
STATE STATE UNITED 01 OFFICE and PRESIUEST
OFFICE OF MANAGEMENT AND BUDGET
WASHINGTON, D.C. 20503
THE DIRECTOR
M-03-02
October , 2002
MEMORANDUM FOR THE HEADS OF DEPARTMENTS AND AGENCIES
FROM:
Mitchell E. Daniels, Jr. mod.A
Director
SUBJECT:
Increased Oversight for Government Purchase and Travel Cards
Nearly six months ago, Office of Management and Budget (OMB) Memorandum
02-05 requested agencies to effectively combat the increasing fraud and abuse related to
the use of government-issued purchase and travel cards. Since then, agency plans to
provide increased oversight have been submitted and revised. Although there is a long
way to go, a few agencies have made some progress. Specifically:
Cards have been canceled. By the end of this month, the Department of Defense
(DoD) will have canceled approximately 400,000 travel cards, or nearly 20
percent of the total issued by the government. The Department of Energy has
canceled 8 percent of purchase cards and over 5 percent of travel cards.
Wages have been garnished from employees with long overdue bills at DoD and
the Department of Interior.
Delinquent accounts are down, in some cases, significantly. For example, the
number of delinquent bills charged by Department of Housing and Urban
Development employees dropped 96 percent in the past year. Government-wide
delinquency rates have fallen from double-digit figures to 7 percent, according to
the latest data.
Despite these gains, progress is uneven and isolated. All agencies should be
implementing these types of remedial actions.
Under OMB leadership, an interagency task force has been working to ensure that
charge card abuses are effectively addressed. Among the best practices found, thus far,
are:
Blocking of merchant category codes. The Department of Education, for instance,
has pre-emptively blocked transactions with roughly 300 types of businesses to
1/2
PAGE
ai
OCT-15-02 11:40 FROM OMB ADMIN CU
prevent the use of government-issued cards for casino visits, limousine rentals,
veterinary services, and other questionable goods and services.
Automated data mining. Computer-driven techniques to identify suspect
transactions are being applied at DoD and the Department of Education.
Periodic reviews of accounts for cancellation. DoD, for example, will be
reviewing cards twice a year tolensure that inactive card accounts are canceled on
an ongoing basis.
The task force will make recommendations and ensure the implementation of best
practices to prevent fraud and abuse. In the meantime, agencies need to move forward
expeditiously to implement their own remedial action plans. Agencies should continue to
take disciplinary actions and make appropriate civil and criminal referrals for employees
who violate the public trust. We will monitor agencies' progress as the 2004 Budget is
constructed.
You are requested to provide a quarterly report addressing your agency's
purchase and travel card programs to Mr. Robert Burton, Office of Federal Procurement
Policy (OFPP). The reports may be submitted by electronic mail
([email protected]) or by facsimile (202-395-5105). The first quarterly report
should be submitted to OFPP no later than January 15, 2003, and cover agency activities
occurring between October 1, 2002 and December 31, 2002.
2/2
PAGE
: a I
OCT-15-02 11:40 FROM:OMB ADMIN CU
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OFFICE THE the PRESIDENT THE UNITED
EXECUTIVE OFFICE OF THE PRESIDENT
CC Cathy
OFFICE OF MANAGEMENT AND BUDGET
WASHINGTON, D.C. 20503
THE DIRECTOR
August 15, 2002
M-02-15
MEMORANDUM FOR HEADS OF EXECUTIVE DEPARTMENTS AND AGENCIES
FROM:
Mitchell E. Daniels, Jr. ms0.7
Director
SUBJECT:
Revision of OMB Circular A-16
This memorandum announces the latest revision of OMB Circular A-16: Coordination of
Geographic Information and Related Spatial Data Activities.
What is OMB Circular A-16?
Circular A-16 provides a government-wide approach to electronic development and
management of spatial data, technology, standards, resources, and policies under the
National Spatial Data Infrastructure (NSDI). The Circular applies to your agency if it
collects, produces, acquires, maintains, distributes, uses, or archives analog or digital
spatial data.
What are the benefits of the Circular?
Implementing this Circular will improve the availability and quality of spatial data, help
federal agencies avoid redundant expenditures, and leverage partnerships with other
levels of government and sectors of society. These factors are crucial for developing E-
Government - one of five elements of the President's Management Agenda. Due to the
importance of spatial data activities, OMB assumes a leadership role under the Circular
as Vice Chair of the Federal Geographic Data Committee.
What are the significant changes to the Circular?
Describes agency roles and responsibilities for developing the NSDI.
Links the management of geographic assets to budget and performance.
Assigns lead agencies for specific data layers of the NSDI (see Appendix E).
What does the Circular require of your agency?
The Circular updates federal responsibilities in the management of geographic
information and spatial data assets. Specifically, your agency or department is required
to:
Implement Federal Geographic Data Committee approved data standards.
Document existing spatial data holdings through an online data clearinghouse.
Demonstrate agency performance for maintaining spatial data assets.
Support interoperable software applications.
Search for data or coordinate with partners before acquiring data.
Please ensure that your agency or department understands and follows the guidance in the
Circular. You may direct any questions about this Circular to your OMB Resource
Management Office.
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acd
OFFICE OF THE OFFICE PRESIDENT STATES UNITED
EXECUTIVE OFFICE OF THE PRESIDENT
OFFICE OF MANAGEMENT AND BUDGET
WASHINGTON, D.C. 20503
Cathy
THE DIRECTOR
July 29, 2002
BULLETIN NO. 02 05
TO THE HEADS OF EXECUTIVE DEPARTMENTS AND AGENCIES
SUBJECT: Rescissions of Funds in Administrative and Travel Accounts
Purpose. This bulletin provides guidance on the rescission of amounts from administrative and
travel accounts required by section 1403 of the 2002 Supplemental Appropriations Act for
Further Recovery From and Response to Terrorist Attacks on the United States (H.R. 4775). It is
being issued in anticipation of enactment to permit orderly planning by agencies.
Background and coverage. Section 1403 of H.R. 4775 (Attachment A) rescinds $350 million of
the funds available from prior Appropriations Acts from administrative and travel accounts. It
applies on a pro rata basis to funds available to every Federal agency, department, and office in
the executive branch, including the Office of the President.
The bill also requires that, "Within 30 days after the date of enactment of this Act, the Director
of the Office of Management and Budget shall submit to the Committees on Appropriations of
the House of Representatives and the Senate a listing of the amounts by account of the reductions
Required actions. Agencies will be separately provided with their pro rated rescission amounts
in the format of Attachment B by their OMB representative. Agencies have the discretion to
determine the allocation of their rescission amount by budget account and within accounts,
provided that the rescissions are applied to expenses that that can be legitimately defined as
administrative or travel expenses. OMB will review the agency allocations to ensure consistent
application of this guidance. For computing each agency's share of the rescission, OMB used
object classes 11.1 12.2 (salaries and benefits) and 21.0- 26.0 (travel and other administrative
expenses).
Agencies are required to submit their proposed allocation of the rescission by accounts and
the amounts of the rescission in the same format as Attachment B, and any additional
supporting information requested by their Resource Management Offices, to their OMB
representative by Friday, August 9.
Agencies should reflect the proposed allocations in their FY 2002 reapportionments, which are
due to OMB within three days of when the proposed allocations are submitted or by Wednesday,
August 14, whichever is sooner.
Contact. Questions regarding this bulletin should be directed to the agency's OMB
representatives.
Mitchell E. Daniels, Jr.
Director
Attachments
Attachment A
FEDERAL ADMINISTRATIVE AND TRAVEL EXPENSES
(RESCISSIONS)
Sec. 1403. (a) Of the funds available to the agencies of the Federal Government from prior
Appropriations Acts, $350,000,000 are hereby rescinded: Provided, That rescissions pursuant to
this subsection shall be taken only from administrative and travel accounts: Provided further,
That rescissions shall be taken on a pro rata basis from funds available to every Federal agency,
department, and office in the executive branch, including the Office of the President.
(b) Within 30 days after the date of the enactment of this Act, the Director of the Office
of Management and Budget shall submit to the Committees on Appropriations of the House of
Representatives and the Senate a listing of the amounts by account of the reductions made
pursuant to the provisions of subsection (a) of this section: Provided, That the Office of
Management and Budget shall also include with such listing an explanation of the methodology
used to identify the offices, accounts, and amounts to be reduced.
Attachment B
H.R. 4775 Administrative and Travel Expense Rescissions
[Agency Name]
Total rescission amount, FY 2002 budgetary resources (dollars in thousands): $xxxx
ALLOCATION BY ACCOUNT:
Account Identification Code
(Treasury agency and account symbol) Account Title
Amount Rescinded
OFFICE OF MANAGEMENT AND BUDGET
FY 2002 ADMINISTRATIVE EXPENSE $350M RESCISSION
Base Is Direct Oligations in Object Classes 11.1-12.2, 21.0-26.0
Dollars In Thousands
Agency
Base Amount
Rescission
Department of Agriculture
17,127,000
-12,857
Department of Commerce
4,153,000
-3,118
Department of Defense--Military
272,800,000
-204,782
Department of Education
1,705,000
-1,280
Department of Energy
18,337,000
-13,765
Department of Health and Human Services
17,322,000
-13,003
Department of Housing and Urban Development
1,690,000
-1,269
Department of the Interior
8,500,000
-6,381
Department of Justice
21,199,000
-15,913
Department of Labor
2,874,000
-2,157
Department of State
5,340,000
-4,009
Department of Transportation
16,495,000
-12,382
Department of the Treasury
16,160,000
-12,131
Department of Veterans Affairs
23,399,000
-17,565
Corps of Engineers-Civil Works
3,675,000
-2,759
Other Defense Civil Programs
366,000
-275
Environmental Protection Agency
4,780,000
-3,588
Executive Office of the President
264,000
-198
Federal Emergency Management Agency
1,110,000
-833
General Services Administration
211,000
-158
International Assistance Programs
1,777,000
-1,334
National Aeronautics and Space Administration
13,339,000
-10,013
National Science Foundation
418,000
-314
Office of Personnel Management
411,000
-309
Small Business Administration
646,000
-485
Social Security Administration
6,760,000
-5,075
OFFICE OF MANAGEMENT AND BUDGET
FY 2002 ADMINISTRATIVE EXPENSE $350M RESCISSION
Base Is Direct Oligations in Object Classes 11.1-12.2, 21.0-26.0
Dollars In Thousands
Agency
Base Amount
Rescission
Advisory Council on Historic Preservation
2,000
-2
Appalachian Regional Commission
11,000
-8
Architectural and Transportation Barriers Compliance Board
3,000
-2
Broadcasting Board of Governors
385,000
-289
Central Intelligence Agency
79,000
-59
Chemical Safety and Hazard Investigation Board
8,000
-6
Commission on Civil Rights
9,000
-7
Commission on Ocean Policy
4,000
-3
Committee for Purchase from People who are Blind or Severely Disabled
2,000
-2
Commodity Futures Trading Commission
84,000
-63
Consumer Product Safety Commission
53,000
-40
Corporation for National and Community Service
223,000
-167
Court of Appeals for Veterans Claims
11,000
-8
Court Services and Offender Supervision Agency for the District
126,000
-95
Defense Nuclear Facilities Safety Board
19,000
-14
Delta Regional Authority
1,000
-1
District of Columbia
34,000
-26
Equal Employment Opportunity Commission
278,000
-209
Export-Import Bank of the United States
61,000
-46
Federal Communications Commission
38,000
-29
Federal Deposit Insurance Corporation
779,000
-585
Federal Drug Control Programs
236,000
-177
Federal Election Commission
43,000
-32
Federal Financial Institutions Examination Council Appraisal Sub.
1,000
-1
Federal Labor Relations Authority
27,000
-20
Federal Maritime Commission
15,000
-11
Federal Mediation and Conciliation Service
37,000
-28
OFFICE OF MANAGEMENT AND BUDGET
FY 2002 ADMINISTRATIVE EXPENSE $350M RESCISSION
Base Is Direct Oligations in Object Classes 11.1-12.2, 21.0-26.0
Dollars In Thousands
Agency
Base Amount
Rescission
Federal Mine Safety and Health Review Commission
7,000
-5
Federal Retirement Thrift Investment Board
89,000
-67
Institute of Museum and Library Services
6,000
-5
Intelligence Community Management Account
109,000
-82
International Trade Commission
52,000
-39
Marine Mammal Commission
1,000
-1
Merit Systems Protection Board
29,000
-22
Morris K. Udall Scholarship and Excellence in National Environment
2,000
-2
National Archives and Records Administration
239,000
-179
National Capital Planning Commission
8,000
-6
National Commission on Libraries and Information Science
1,000
-1
National Council on Disability
1,000
-1
National Credit Union Administration
99,000
-74
National Endowment for the Arts
19,000
-14
National Endowment for the Humanities
17,000
-13
National Labor Relations Board
224,000
-168
National Mediation Board
10,000
-8
National Transportation Safety Board
68,000
-51
National Veterans Business Development Corporation
4,000
-3
Nuclear Regulatory Commission
573,000
-430
Nuclear Waste Technical Review Board
2,000
-2
Occupational Safety and Health Review Commission
8,000
-6
Office of Government Ethics
9,000
-7
Office of Navajo and Hopi Indian Relocation
5,000
-4
Office of Special Counsel
11,000
-8
Pacific Charter Commission
2,000
-2
Railroad Retirement Board
102,000
-77
OFFICE OF MANAGEMENT AND BUDGET
,
FY 2002 ADMINISTRATIVE EXPENSE $350M RESCISSION
Base Is Direct Oligations in Object Classes 11.1-12.2, 21.0-26.0
Dollars In Thousands
Agency
Base Amount
Rescission
Securities and Exchange Commission
448,000
-336
Smithsonian Institution
634,000
-476
United States Holocaust Memorial Museum
35,000
-26
United States Institute of Peace
10,000
-8
Vietnam Education Foundation
1,000
-1
GOVERNMENT TOTAL
466,252,000
-350,007
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P3 Release would violate a Federal statute [(a)(3) of the PRA]
an agency [(b)(2) of the FOIA]
P4 Release would disclose trade secrets or confidential commercial or
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financial information [(a)(4) of the PRA]
b(4) Release would disclose trade secrets or confidential or financial
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personal privacy [(a)(6) of the PRA]
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CC:CF
EXECUTIVE OFFICE OF THE PRESIDENT
PS
OFFICE OF MANAGEMENT AND BUDGET
Admin
WASHINGTON. D.C. 20503
File
July 16, 2002
M-02-10
MEMORANDUM FOR HEADS OF EXECUTIVE DEPARTMENTS AND AGENCIES
FROM:
Director Mitchell E. Daniels, Jr. mroy
SUBJECT:
Program Performance Assessments for the FY 2004 Budget
Improving programs by focusing on results is an integral component of the President's
budget and performance integration initiative. OMB's April 24, 2002 FY 2004 Budget
planning memorandum emphasized the importance of program effectiveness ratings in
formulating the FY 2004 Budget. It informed you that formal effectiveness ratings would
be conducted for approximately 20 percent of Federal program and that the results of
these ratings would be published in the FY 2004 Budget. Since then, and with valuable
assistance from agency staff, we have progressed in this effort.
For instance, OMB and agencies have identified the programs that will be rated for FY
2004 (see Attachment). Programs listed total approximately $480 billion, or over 24
percent of Federal spending, and reflect a diverse mix of discretionary and mandatory
programs. Thank you for your serious commitment to this effort and for helping develop
this list.
A critical goal for the FY 2004 Budget is to improve the program rating process by
making ratings more consistent, objective, credible and transparent than they were for FY
2003. To this end, OMB, with advice from the President's Management Council's
(PMC) subgroup on Budget and Performance Integration, developed the draft program
assessment rating tool (PART). On May 17, 2002, the draft PART and instructions were
officially provided to agencies through the PMC.
The PART was thoroughly tested by OMB and agency staff during OMB's Spring
Review process. We also received excellent feedback from agencies, informal comments
from Congressional and General Accounting Office staff, and advice from outside
experts, including OMB's Performance Measurement Advisory Council of experts from
outside the government. As a result, we have concluded that the PART is a useful and
informative instrument that will help us achieve our objective for FY 2004.
The comments we received also identified improvements that could be made to the
PART. In response to these comments we have revised the PART. PARTs for all
program types, and revised guidance, can be found at
http://www.whitehouse.gov/omb/budintegration.
The revised PART will be used by OMB, working closely with agency staff, to complete
program effectiveness assessments for the FY 2004 Budget by September 30, 2002. I
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JUL-17-02 17:13 FROM OMB ADMIN CU
have asked my staff to complete the PARTs by September 9, 2002, so that any issues
regarding completed PARTs can be addressed by September 30.
Major Changes in Final PART
The revised PART includes the following major changes from the draft PART:
Four point scale in Section IV, Results - We received many comments on the
"Yes/No" format for responses. Many parties liked the certainty and forced choice of
"Yes/No." Others felt the format did not reveal adequate distinction between the
performance of various programs, especially in the results section. In response, the
PART has been revised to include four choices of responses in the results section
(Section IV) only. Now, a program that achieves some of its goals, or that shows
reasonable, but not complete progress toward goals, will receive partial credit in the
results section, the most heavily weighted section. For Sections I- III, which focus
more on processes than results, the "Yes/No" format is retained.
Questions Added in Sections II and III for corrective actions - Many parties
commented that the draft PART does not distinguish between programs that were
taking action to address planning and management deficiencies, and those that were
not. While the PART is primarily a snapshot of the current status of programs, it is
important to recognize when significant efforts are underway to address deficiencies
in a program. The revised PART contains new questions in sections II and III to
address this issue. These new questions, combined with the new format for section
IV described above, will result in more refined and meaningful distinctions between
programs.
Better focus on performance and performance measures - The PART format for
Section IV has also been revised to explicitly require display of performance targets
and actual performance on the key measures identified by the agencies and OMB.
Guidance has also been revised to require that at least one of the key measures
identified for the program be an efficiency measure.
Critical Federal Role question to be examined separately from the PART- We
received comments that question 3 in the Section I of the draft PART ("Is the Federal
role critical?") was too subjective and could vary depending on philosophical or
political viewpoints. We also received many comments that this question is SO
important that it should not only be retained, but be elevated in importance in the
overall score.
To keep the PART as objective as possible, this question has been eliminated, and the
remaining questions in Section I have been adjusted to focus on objective,
evidence-based criteria about program purpose and program design. The
appropriateness of the Federal Role in addressing national interests, problems or
needs will be specifically examined during OMB's Fall Budget Reviews, but will not
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be included in the PART.
The new PART includes additional revisions to specific questions in response to
comments we received. In general, we have tried to reduce the number of questions,
especially in Section III, without losing important information.
Subjectivity of PART Responses
During the PART testing and comment period, the issue of the subjectivity of PART
responses, either on the part of OMB or agency staff, was raised repeatedly. While
subjectivity can be minimized, it can never be completely eliminated regardless of the
method or tool. In providing advice to OMB Directors, OMB staff have always
exercised professional judgment with some degree of subjectivity. That will not change.
As one of our Advisory Council members stated, the PART makes public and transparent
the questions OMB asks in advance of making judgments, and opens up yesubjectivity
in that process for discussion and debate. The PART is a necessary step forward in
systematizing and revealing OMB's deliberations.
Nonetheless, we are taking several steps to minimize subjectivity:
Clarified Guidance - We have strengthened and clarified the PART instructions
including the evidence required to support a "Yes" or "No" answer, with the specific
goal of reducing the subjectivity of responses. Revised guidance can be found at
http://www.whitehouse.gov/omb/budintegration
Training - OMB's Performance Evaluation Team (PET) will conduct training over
the next several weeks for OMB examiners and agency staff aimed at achieving
consistency of approaches and standards applied in answering questions. Additional
information is available through your OMB RMO contact.
Review of Completed PARTs for Consistency - OMB will initiate a process to
selectively review questions on completed PARTs for consistency in application of
instructions and standards. We will provide additional information on this process at
a later time.
Potential Involvement of IGs, GAO or other third parties in the assessment - We
have met with the Inspector General community, the General Accounting Office, and
other groups with expertise in program evaluation. All of these groups expressed
interest not only in the process, but also in assisting OMB and agencies in completing
the assessments. Knowledgeable third parties can help identify relevant information
for consideration in the assessments. In addition, third parties can provide an
objective viewpoint if disputes arise in considering PART questions. We will
continue to discuss with these groups how they can most effectively participate in this
process, including providing some level of independent review. I encourage all
agencies to make the PART assessment process as open and inclusive as feasible.
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Finalizing PARTs
As with many other aspects of the budget development process, disagreements between
OMB and agency staff may remain after staff work on the PART is complete, and after a
technical review for consistency. In these cases, agencies and OMB should resolve
disagreements in the traditional manner, i.e., first through OMB branch chief and division
director, and then through the OMB Program Associate Director. As noted above, all
issues, questions and disagreements must be resolved and finalized by September 30.
Presentation of PART Results in the FY 2004 Budget
Final decisions have not yet been made regarding presentation of PART results in the FY
2004 Budget. We received good advice from the Performance Measurement Advisory
Council (PMAC) on making sure the presentation highlights separately the results score
and key measures We also believe sections I - III scores should be displayed in some
fashion, and an overall assessment (e.g., "effective" or "ineffective") will be shown One
outstanding question is if or how to show the overall weighted numeric PART score for
the program. Since this score will determine the overall assessment, we will almost
certainly make the score and the basis for it (i.e., the completed PART) available to the
public. The PMAC will discuss presentation options further at their September meeting.
Relationship to GPRA
Agencies expend considerable time and effort developing and updating their Government
Performance and Results Act (GPRA) plans and reports on an annual basis. The program
assessment effort presents an opportunity to inform and improve agency GPRA plans and
reports, and establish a meaningful, systematic link between GPRA and the budget
process. This effort will also help identify specific performance measures that could
support budget and management recommendations and efforts. Through this process,
OMB will work with agencies to maintain measures in GPRA materials that are useful
and eliminate reporting burdens that have no utility.
How Ratings Will Be Used
Finally, many agencies expressed concern over how the ratings would be used during the
Fall Budget Review, and specifically that a low PART score would automatically result
in a funding reduction. OMB does not view the PART as an automated approach to
making budget decisions. A low PART score does not, in itself, signify whether a
program needs more or less funding. The PART provides a tool for diagnosing how
programs can be improved and it is from such diagnosis, as well as other information
regarding the program, that budget and management decisions will be made. FY 2004
decisions will be fundamentally grounded in program performance, but will also continue
to be based on a variety of other factors, including policy objectives and priorities of the
Administration, and economic and programmatic trends.
Attachment
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Attachment
Programs to be Assessed for FY 2004*
CABINET AGENCIES:
Department of Education, continued
Department of Agriculture
Safe and Drug Free Schools State Grants
Multifamily Housing Direct Loans and Rental Assistance Grants
Vocational Rehabilitation State Grants
Rural Utilities Service Electric Loan Program (Not including
TRIO Student Support Services
Hardship loans)
TRIO Upward Bound
Wildland Fire Management
Selected ESEA Programs
Food Aid Programs (including P.L. 480 Title)
All IDEA Programs
Marketing Loans and Loan Deficiency Payments
All Vocational and Adult Education Programs
Farmland Protection Program
Projects with Industry (PWI)
Wildlife Habitat Improvement Program
Student Loan Programs
USDA Service Centers (FSA, NRCS, and RD, also includes CCE)
Pell Grants
Food Safety and Inspection Service (FSIS)
Student Aid Administration
APHIS: Agic. Quarantine and Inspection
GEAR UP
APHIS: Animal Welfare
Leveraging Education Assistance Parmerships (LEAP)
Water and Wastewater Grants
Assessment & Statistics
Forest Service Operating Program
National School Lunch Program
Department of Energy
Environmental Management (EM)
Department of Commerce
Weatherization Assistance Program
U.S. Patent Trademark Office-Patents
Office of Science
EDA-Patents
All applied R&D:
National Weather Service
-Fossil Energy
U.S. Patent Trademark Office-Trademarks
-Energy Efficiency
NIST-In-house Labs
-Nuclear Energy
Bureau of Economic Analysis
-EM
Pacific Coastal Salmon Recovery Grants
National Nuclear Security Administration (NNSA):
National Marine Fisheries Service
Safeguards and Security
Minority Business Development Agency
Facilities and Infrastructure
ASCI
Department of Defense
MPC&A
NOTE: This is the original program list. It will be modified pending
Power Marketing Administrations:
discussions between OMB and DoD
-Bonneville Power Administration
Defense Environmental Restoration Program (DERP)
-Southeastern Power Administration
Defense Health Programs (DHP) including Milpers and Construction
-Southwestern Power Administration
C-17 Strategic Airlift Aircraft
-Western Area Power Administration
Navy Marine Corps Intranet (NMCI)
-Falcon and Amistad Operating and Maintenance Fund
Recruiting
Introductory Pilot Training
Department of Health and Human Services
Facilities Sustainment, Restoration, Modernization & Demolition
FDA Center for Biologics Evaluation and Research
- (O&M)
FDA Center for Food Safety and Applied Nutrition
Depot Level Maintenance
FDA Center for Drug Evaluation and Research
Energy Conservation Improvement Program (ECIP)
FDA Center for Devices and Radiological Health
F-22 Fighter Aircraft
FDA Center for Veterinary Medicine
Unmanned Combat Aerial Vehicles
HRSA Health Centers
DDG-51 Destroyer
HRSA Ryan White
F/A-18 E/F Navy Fighter/Auack Aircraft
HRSA Health Professions
LPD-17 Amphibious Ship
HRSA National Health Services Corps
Joint Strike Fighter (JSF)
HRSA Nursing Loan Repayment
Space-Based Infra-Red (SBIRS) High Missile Warning Satellite
HRSA Maternal Child Health (MCH) Block Grant
Ballistic Missile Defense System - Midcourse
IHS Federally-Administered Activities
Chemical Demilitarization
IHS Sanitation Facilities
Future Combat System
CDC Immunizations
Interim Armored Vehicle (IAV)
CDC Domestic HIV/AIDS Prevention
V-22 Tilt Rotor Aircraft
CDC Chronic Disease Breast and Cervical Cancer
Basic Research
CDC Chronic Disease - Diabetes
Housing Privatization
NIH Overall
Cooperative Threat Reduction (CTR)
SAMHSA Grants to States for the Homeless
SAMHSA Children's Mental Health Services
Department of Education
SAMHSA Substance Abuse Treatment Programs of Regional
Even Start
and National Significance
*This is a ncar-final list of programs_ to be assessed for FY 2004. Some programs may change as OMB and agencies continue discussions.
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Department of Health and Human Services, continued
Department of State and other related agencies. continued
AHRQ Surveys (Medical Expenditure Panel Surveys, Healthcare
Security Assistance to Sub-Saharan Africa
Cost and Utilization Program, Consumer Assessment of Health
Remainder of PKO (includes OSCE Peacekeeping)
Plans)
Antiterrorism Assistance
AHRQ Translating Research into Practice
Security Construction
CMS State Children's Health Insurance Program (SCHIP)
New NATO and NATO Aspirants
ACF Head Start
Refugees-Resetlement and Placement in U.S. and Israel
ACF Foster Care
Public Diplomacy to South Asia and Near East Asia
ACF Refugee and Entrant Assistance
Border Security
AoA Congregate Meals Program
Health Care Fraud and Abuse Control (HCFAC) Program
International Assistance Programs
BioT: Health Alen Network (to all States) (and related activities in
Treasury Technical Assistance
FY03)
International Development Association
BioT: Metropolitan Medical Response System (contracts to
USAID Development Assistance - Environment
statutorily selected cities)
USAID Development Assistance - Population Programs
Export Import Bank- Long-Term Guarantees
Department of Housing and Urban Development
Overseas Private Investment Corporation - Finance Programs
Housing Vouchers (Section 8 Tenant-Based Rental Assistance)
P.L. 480 Title il Food Aid
Section 8 Project-Based Rental Assistance
Elderly Housing Grants
Department of Transportation
Disabled Housing Grants
FAA Airport Improvement Program
HOME
FHWA Highway Infrastructure
Native American Housing Grant
USCG Search and Rescue
USCG Drug Interdiction
Department of the Interior
USCG Aids to Navigation
DOI Wildland Firefighting
NHTSA Highway Safety Programs
BIA School Construction
FMCSA Highway Safety
BIA School Operations
BLM restoration activities
Department of the Treasury
BOR Hydropower Program
IRS Collection
BOR Rural Water Supply Projects
Federal Law Enforcement Training Center
BOR Title XVI Water Reuse and Recycling
Earned Income Tax Credit (EITC) Compliance
FWS Hatcheries
Office of Foreign Assets Control (OFAC)
FWS Partners Program
ATF Consumer Product Safety Activities (Inspection and licensing
MMS Environmental Studies Program
processing)
NPS deferred maintenance backlog
Coin Production (Mint)
NPS Natural Resource Challenge
Bank Enterprise Award (BEA)
OSM Abandoned Minc Land Program
Office of the Comptroller of the Currency (OCC)- Bank Supervision
OST Tribal land consolidation
Office of Thrift Supervision - Thrift Supervision
USGS National Mapping Program
Department of Veterans Affairs
Department of Justice
Burial
Bureau of Prisons (S&E)
Medical Care
Drug Enforcement Administration (S&E)
Compensation
OJP Residential Substance Abuse Treatment
FEI Cybercrime
INDEPENDENT AND OTHER AGENCIES:
FBI White Collar Crime
INS Immigration Services
Corps of Engineers (Civil Works)
OJP Weed and Seed
Inland Waterways Navigation
OJP Drug Courts
Hydropower
Office of Juvenile Justice and Delinquency Prevention
Flood Damage Reduction
Juvenile Accountability Block Grants
Wetlands (non-regulatory)
Emergency Management
Department of Labor
Trade Adjustment Assistance (TAA)
Corporation for National and Community Service
Occupational Safety and Health Administration (OSHA)
AmeriCorps
Bureau of Labor Statistics (BLS)
Office of Federal Contract Compliance Programs (OFCCP)
Consumer Product Safety Commission
Dislocated Worker Assistance: State Formula Grants
Consumer Product Safety Commission
Youth Activities
Federal Employees' Compensation Act (FECA)
Environmental Protection Agency
Pension and Welfare Benefits Administration (PWBA)
Leaking Underground Storage Tanks Program
ILAB Technical Assistance Grants (Child Labor and Core Labor
Air Toxics Program
Standards grants)
Nonpoint Source Program
Superfund Removal Program
Department of State and other related agencies
Drinking Water State Revolving Fund
State Dept. - Refugee Admissions to the U.S.
Pesticides
Freedom Support Act Assistance to Russia
Chemical Programs
*This is a near-final list of programs to be assessed for FY 2004. Some programs may change as OMB and agencies continue discussions.
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Environmental Protection Agency, continued
Tribal General Assistance
Civil Enforcement
Pollution Prevention Research
Federal Emergency Management Agency
Hazard Mitigation Grant Program
Disaster Relief Fund - Public Assistance Program
National Flood Insurance Program
General Services Administration
Asset Management of Federally-owned Real Property
Vehicle Acquisition & Leasing
Supply Depots & Special Order Program
Multiple Award Schedules Program
National Aeronautics and Space Administration
Space Station
Mars Exploration Program
Space Shuttle
Space Launch Initiative
Earth Science Technology
National Science Foundation
Corc Research
Nanoscale Science and Engineering
PreK-12 Education
Information Technology Research
Major Research Equipment and Facility Construction
Major Facility Operations
Polar Programs
Office of the Comptroller of the Currency
Bank Supervision
Office of National Drug Control Policy
High Intensity Drug Trafficking Area (HIDTA) program
Youth Anti-Drug Media Campaign
Office of Personnel Management
Federal Employees' Group Life insurance (FEGLI)
Retirement
Office of Thrift Supervision
Thrift Supervision
Small Business Administration
Business Information Centers (BICs)
Service Corps of Retired Executives (SCORE)
Small Business Development Centers (SBDCs)
Section 504 Certified Development Corporation Guaranteed Loan
Program
Social Security Administration
Supplemental Security Income for the Aged
Disability Insurance
Tennessee Valley Authority
TVA Power Program
TVA Non-power Program
*This is a near-final list of programs to be assessed for FY 2004. Some programs may change as OMB and agencies continue discussions.
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