Collapse to view only § 1115. Federal Government and agency performance plans
- § 1101. Definitions
- § 1102. Fiscal year
- § 1103. Budget ceiling
- § 1104. Budget and appropriations authority of the President
- § 1105. Budget contents and submission to Congress
- § 1106. Supplemental budget estimates and changes
- § 1107. Deficiency and supplemental appropriations
- § 1108. Preparation and submission of appropriations requests to the President
- § 1109. Current programs and activities estimates
- § 1110. Year-ahead requests for authorizing legislation
- § 1111. Improving economy and efficiency
- § 1112. Fiscal, budget, and program information
- § 1113. Congressional information
- [§ 1114. Repealed.
- § 1115. Federal Government and agency performance plans
- § 1116. Agency performance reporting
- § 1117. Exemption
- § 1118. Pilot projects for performance goals
- § 1119. Pilot projects for performance budgeting
- § 1120. Federal Government and agency priority goals
- § 1121. Quarterly priority progress reviews and use of performance information
- § 1122. Transparency of programs, priority goals, and results
- § 1123. Chief Operating Officers
- § 1124. Performance Improvement Officers and the Performance Improvement Council
- § 1125. Elimination of unnecessary agency reporting
- § 1126. Program Management Improvement Officers and Program Management Policy Council
§ 1101. DefinitionsIn this chapter—
(1) “agency” includes the District of Columbia government but does not include the legislative branch or the Supreme Court.
(2) “appropriations” means appropriated amounts and includes, in appropriate context—
(A) funds;
(B) authority to make obligations by contract before appropriations; and
(C) other authority making amounts available for obligation or expenditure.
(Pub. L. 97–258, Sept. 13, 1982, 96 Stat. 907.)
§ 1102. Fiscal year
The fiscal year of the Treasury begins on October 1 of each year and ends on September 30 of the following year. Accounts of receipts and expenditures required under law to be published each year shall be published for the fiscal year.
(Pub. L. 97–258, Sept. 13, 1982, 96 Stat. 908.)
§ 1103. Budget ceiling
Congress reaffirms its commitment that budget outlays of the United States Government for a fiscal year may be not more than the receipts of the Government for that year.
(Pub. L. 97–258, Sept. 13, 1982, 96 Stat. 908.)
§ 1104. Budget and appropriations authority of the President
(a) The President shall prepare budgets of the United States Government under section 1105 of this title and proposed deficiency and supplemental appropriations under section 1107 of this title. To the extent practicable, the President shall use uniform terms in stating the purposes and conditions of appropriations.
(b) Except as provided in this chapter, the President shall prescribe the contents and order of statements in the budget on expenditures and estimated expenditures and statements on proposed appropriations and information submitted with the budget and proposed appropriations. The President shall include with the budget and proposed appropriations information on personnel and other objects of expenditure in the way that information was included in the budget for fiscal year 1950. However, the requirement that information be included in the budget in that way may be waived or changed by joint action of the Committees on Appropriations of both Houses of Congress. This subsection does not limit the authority of a committee of Congress to request information in a form it prescribes.
(c) When the President makes a basic change in the form of the budget, the President shall submit with the budget information showing where items in the budget for the prior fiscal year are contained in the present budget. However, the President may change the functional categories in the budget only in consultation with the Committees on Appropriations and on the Budget of both Houses of Congress. Committees of the House of Representatives and Senate shall receive prompt notification of all such changes.
(d) The President shall develop programs and prescribe regulations to improve the compilation, analysis, publication, and dissemination of statistical information by executive agencies. The President shall carry out this subsection through the Administrator for the Office of Information and Regulatory Affairs in the Office of Management and Budget.
(e) Under regulations prescribed by the President, each agency shall provide information required by the President in carrying out this chapter. The President has access to, and may inspect, records of an agency to obtain information.
(Pub. L. 97–258, Sept. 13, 1982, 96 Stat. 908; Pub. L. 99–177, title II, § 224, Dec. 12, 1985, 99 Stat. 1060.)
§ 1105. Budget contents and submission to Congress
(a) On or after the first Monday in January but not later than the first Monday in February of each year, the President shall submit a budget of the United States Government for the following fiscal year. Each budget shall include a budget message and summary and supporting information. The President shall include in each budget the following:
(1) information on activities and functions of the Government.
(2) when practicable, information on costs and achievements of Government programs.
(3) other desirable classifications of information.
(4) a reconciliation of the summary information on expenditures with proposed appropriations.
(5) except as provided in subsection (b) of this section, estimated expenditures and proposed appropriations the President decides are necessary to support the Government in the fiscal year for which the budget is submitted and the 4 fiscal years after that year.
(6) estimated receipts of the Government in the fiscal year for which the budget is submitted and the 4 fiscal years after that year under—
(A) laws in effect when the budget is submitted; and
(B) proposals in the budget to increase revenues.
(7) appropriations, expenditures, and receipts of the Government in the prior fiscal year.
(8) estimated expenditures and receipts, and appropriations and proposed appropriations, of the Government for the current fiscal year.
(9) balanced statements of the—
(A) condition of the Treasury at the end of the prior fiscal year;
(B) estimated condition of the Treasury at the end of the current fiscal year; and
(C) estimated condition of the Treasury at the end of the fiscal year for which the budget is submitted if financial proposals in the budget are adopted.
(10) essential information about the debt of the Government.
(11) other financial information the President decides is desirable to explain in practicable detail the financial condition of the Government.
(12) for each proposal in the budget for legislation that would establish or expand a Government activity or function, a table showing—
(A) the amount proposed in the budget for appropriation and for expenditure because of the proposal in the fiscal year for which the budget is submitted; and
(B) the estimated appropriation required because of the proposal for each of the 4 fiscal years after that year that the proposal will be in effect.
(13) an allowance for additional estimated expenditures and proposed appropriations for the fiscal year for which the budget is submitted.
(14) an allowance for unanticipated uncontrollable expenditures for that year.
(15) a separate statement on each of the items referred to in section 301(a)(1)–(5) of the Congressional Budget Act of 1974 (2 U.S.C. 632(a)(1)–(5)).
(16) the level of tax expenditures under existing law in the tax expenditures budget (as defined in section 3(a)(3) of the Congressional Budget Act of 1974 (2 U.S.C. 622(a)(3)) for the fiscal year for which the budget is submitted, considering projected economic factors and changes in the existing levels based on proposals in the budget.
(17) information on estimates of appropriations for the fiscal year following the fiscal year for which the budget is submitted for grants, contracts, and other payments under each program for which there is an authorization of appropriations for that following fiscal year when the appropriations are authorized to be included in an appropriation law for the fiscal year before the fiscal year in which the appropriation is to be available for obligation.
(18) a comparison of the total amount of budget outlays for the prior fiscal year, estimated in the budget submitted for that year, for each major program having relatively uncontrollable outlays with the total amount of outlays for that program in that year.
(19) a comparison of the total amount of receipts for the prior fiscal year, estimated in the budget submitted for that year, with receipts received in that year, and for each major source of receipts, a comparison of the amount of receipts estimated in that budget with the amount of receipts from that source in that year.
(20) an analysis and explanation of the differences between each amount compared under clauses (18) and (19) of this subsection.
(21) a horizontal budget showing—
(A) the programs for meteorology and of the National Climate Program established under section 5 of the National Climate Program Act (15 U.S.C. 2904);
(B) specific aspects of the program of, and appropriations for, each agency; and
(C) estimated goals and financial requirements.
(22) a statement of budget authority, proposed budget authority, budget outlays, and proposed budget outlays, and descriptive information in terms of—
(A) a detailed structure of national needs that refers to the missions and programs of agencies (as defined in section 101 of this title); and
(B) the missions and basic programs.
(23) separate appropriation accounts for appropriations under the Occupational Safety and Health Act of 1970 (29 U.S.C. 651 et seq.) and the Federal Mine Safety and Health Act of 1977 (30 U.S.C. 801 et seq.).
(24) recommendations on the return of Government capital to the Treasury by a mixed-ownership corporation (as defined in section 9101(2) of this title) that the President decides are desirable.
(25) a separate appropriation account for appropriations for each Office of Inspector General of an establishment defined under section 401 of title 5.
(26) a separate statement of the amount of appropriations requested for the Office of National Drug Control Policy and each program of the National Drug Control Program.
(27) a separate statement of the amount of appropriations requested for the Office of Federal Financial Management.
(28) beginning with fiscal year 1999, a Federal Government performance plan for the overall budget as provided for under section 1115.
(29) information about the Violent Crime Reduction Trust Fund, including a separate statement of amounts in that Trust Fund.
(30) an analysis displaying, by agency, proposed reductions in full-time equivalent positions compared to the current year’s level in order to comply with section 5 of the Federal Workforce Restructuring Act of 1994.
(31) a separate statement of the amount of appropriations requested for the Chief Financial Officer in the Executive Office of the President.
(32) a statement of the levels of budget authority and outlays for each program assumed to be extended in the baseline as provided in section 257(b)(2)(A) and for excise taxes assumed to be extended under section 257(b)(2)(C) of the Balanced Budget and Emergency Deficit Control Act of 1985.
(33) a separate appropriation account for appropriations for the Council of the Inspectors General on Integrity and Efficiency, and, included in that account, a separate statement of the aggregate amount of appropriations requested for each academy maintained by the Council of the Inspectors General on Integrity and Efficiency.
(34) with respect to the amount of appropriations requested for use by the Export-Import Bank of the United States, a separate statement of the amount requested for its program budget, the amount requested for its administrative expenses, and of the amount requested for its administrative expenses, the amount requested for technology expenses.
(35)
(A)
(i) a detailed, separate analysis, by budget function, by agency, and by initiative area (as determined by the administration) for the prior fiscal year, the current fiscal year, the fiscal years for which the budget is submitted, and the ensuing fiscal year identifying the amounts of gross and net appropriations or obligational authority and outlays that contribute to cybersecurity, with separate displays for mandatory and discretionary amounts, including—(I) summaries of the total amount of such appropriations or new obligational authority and outlays requested for cybersecurity;(II) an estimate of the current service levels of cybersecurity spending;(III) the most recent risk assessment and summary of cybersecurity needs in each initiative area (as determined by the administration); and(IV) an estimate of user fees collected by the Federal Government on behalf of cybersecurity activities;
(ii) with respect to subclauses (I) through (IV) of clause (i), amounts shall be provided by account for each program, project and activity; and
(iii) an estimate of expenditures for cybersecurity activities by State and local governments and the private sector for the prior fiscal year and the current fiscal year.
(B) Prior to implementing this paragraph, including determining what Federal activities or accounts constitute cybersecurity for purposes of budgetary classification, the Office of Management and Budget shall consult with the Committees on Appropriations and the Committees on the Budget of the House of Representatives and the Senate, the Committee on Homeland Security of the House of Representatives, and the Committee on Homeland Security and Government Affairs of the Senate.
(36) as supplementary materials, a separate analysis of the budgetary effects for all prior fiscal years, the current fiscal year, the fiscal year for which the budget is submitted, and ensuing fiscal years of the actions the Secretary of the Treasury has taken or plans to take using any authority provided in the Emergency Economic Stabilization Act of 2008, including—
(A) an estimate of the current value of all assets purchased, sold, and guaranteed under the authority provided in the Emergency Economic Stabilization Act of 2008 using methodology required by the Federal Credit Reform Act of 1990 (2 U.S.C. 661 et seq.) and section 123 of the Emergency Economic Stabilization Act of 2008;
(B) an estimate of the deficit, the debt held by the public, and the gross Federal debt using methodology required by the Federal Credit Reform Act of 1990 and section 123 of the Emergency Economic Stabilization Act of 2008;
(C) an estimate of the current value of all assets purchased, sold, and guaranteed under the authority provided in the Emergency Economic Stabilization Act of 2008 calculated on a cash basis;
(D) a revised estimate of the deficit, the debt held by the public, and the gross Federal debt, substituting the cash-based estimates in subparagraph (C) for the estimates calculated under subparagraph (A) pursuant to the Federal Credit Reform Act of 1990 and section 123 of the Emergency Economic Stabilization Act of 2008; and
(E) the portion of the deficit which can be attributed to any action taken by the Secretary using authority provided by the Emergency Economic Stabilization Act of 2008 and the extent to which the change in the deficit since the most recent estimate is due to a reestimate using the methodology required by the Federal Credit Reform Act of 1990 and section 123 of the Emergency Economic Stabilization Act of 2008.
(37) information on estimates of appropriations for the fiscal year following the fiscal year for which the budget is submitted for the following accounts of the Department of Veterans Affairs:
(A) Veterans Benefits Administration, Compensation and Pensions.
(B) Veterans Benefits Administration, Readjustment Benefits.
(C) Veterans Benefits Administration, Veterans Insurance and Indemnities.
(D) Veterans Health Administration, Medical Services.
(E) Veterans Health Administration, Medical Support and Compliance.
(F) Veterans Health Administration, Medical Facilities.
(G) Veterans Health Administration, Medical Community Care.
(38) a separate statement for the Crow Settlement Fund established under section 411 of the Crow Tribe Water Rights Settlement Act of 2010, which shall include the estimated amount of deposits into the Fund, obligations, and outlays from the Fund.
(39) the list of plans and reports, as provided for under section 1125, that agencies identified for elimination or consolidation because the plans and reports are determined outdated or duplicative of other required plans and reports.
(b) Estimated expenditures and proposed appropriations for the legislative branch and the judicial branch to be included in each budget under subsection (a)(5) of this section shall be submitted to the President before October 16 of each year and included in the budget by the President without change.
(c) The President shall recommend in the budget appropriate action to meet an estimated deficiency when the estimated receipts for the fiscal year for which the budget is submitted (under laws in effect when the budget is submitted) and the estimated amounts in the Treasury at the end of the current fiscal year available for expenditure in the fiscal year for which the budget is submitted, are less than the estimated expenditures for that year. The President shall make recommendations required by the public interest when the estimated receipts and estimated amounts in the Treasury are more than the estimated expenditures.
(d) When the President submits a budget or supporting information about a budget, the President shall include a statement on all changes about the current fiscal year that were made before the budget or information was submitted.
(e)
(1) The President shall submit with materials related to each budget transmitted under subsection (a) on or after January 1, 1985, an analysis for the ensuing fiscal year that shall identify requested appropriations or new obligational authority and outlays for each major program that may be classified as a public civilian capital investment program and for each major program that may be classified as a military capital investment program, and shall contain summaries of the total amount of such appropriations or new obligational authority and outlays for public civilian capital investment programs and summaries of the total amount of such appropriations or new obligational authority and outlays for military capital investment programs. In addition, the analysis under this paragraph shall contain—
(A) an estimate of the current service levels of public civilian capital investment and of military capital investment and alternative high and low levels of such investments over a period of ten years in current dollars and over a period of five years in constant dollars;
(B) the most recent assessment analysis and summary, in a standard format, of public civilian capital investment needs in each major program area over a period of ten years;
(C) an identification and analysis of the principal policy issues that affect estimated public civilian capital investment needs for each major program; and
(D) an identification and analysis of factors that affect estimated public civilian capital investment needs for each major program, including but not limited to the following factors:
(i) economic assumptions;
(ii) engineering standards;
(iii) estimates of spending for operation and maintenance;
(iv) estimates of expenditures for similar investments by State and local governments; and
(v) estimates of demand for public services derived from such capital investments and estimates of the service capacity of such investments.
To the extent that any analysis required by this paragraph relates to any program for which Federal financial assistance is distributed under a formula prescribed by law, such analysis shall be organized by State and within each State by major metropolitan area if data are available.
(2) For purposes of this subsection, any appropriation, new obligational authority, or outlay shall be classified as a public civilian capital investment to the extent that such appropriation, authority, or outlay will be used for the construction, acquisition, or rehabilitation of any physical asset that is capable of being used to produce services or other benefits for a number of years and is not classified as a military capital investment under paragraph (3). Such assets shall include (but not be limited to)—
(A) roadways or bridges,
(B) airports or airway facilities,
(C) mass transportation systems,
(D) wastewater treatment or related facilities,
(E) water resources projects,
(F) hospitals,
(G) resource recovery facilities,
(H) public buildings,
(I) space or communications facilities,
(J) railroads, and
(K) federally assisted housing.
(3) For purposes of this subsection, any appropriation, new obligational authority, or outlay shall be classified as a military capital investment to the extent that such appropriation, authority, or outlay will be used for the construction, acquisition, or rehabilitation of any physical asset that is capable of being used to produce services or other benefits for purposes of national defense and security for a number of years. Such assets shall include military bases, posts, installations, and facilities.
(4) Criteria and guidelines for use in the identification of public civilian and military capital investments, for distinguishing between public civilian and military capital investments, and for distinguishing between major and nonmajor capital investment programs shall be issued by the Director of the Office of Management and Budget after consultation with the Comptroller General and the Congressional Budget Office. The analysis submitted under this subsection shall be accompanied by an explanation of such criteria and guidelines.
(5) For purposes of this subsection—
(A) the term “construction” includes the design, planning, and erection of new structures and facilities, the expansion of existing structures and facilities, the reconstruction of a project at an existing site or adjacent to an existing site, and the installation of initial and replacement equipment for such structures and facilities;
(B) the term “acquisition” includes the addition of land, sites, equipment, structures, facilities, or rolling stock by purchase, lease-purchase, trade, or donation; and
(C) the term “rehabilitation” includes the alteration of or correction of deficiencies in an existing structure or facility so as to extend the useful life or improve the effectiveness of the structure or facility, the modernization or replacement of equipment at an existing structure or facility, and the modernization of, or replacement of parts for, rolling stock.
(f) The budget transmitted pursuant to subsection (a) for a fiscal year shall be prepared in a manner consistent with the requirements of the Balanced Budget and Emergency Deficit Control Act of 1985 that apply to that and subsequent fiscal years.
(g)
(1) The Director of the Office of Management and Budget shall establish the funding for advisory and assistance services for each department and agency as a separate object class in each budget annually submitted to the Congress under this section.
(2)
(A) In paragraph (1), except as provided in subparagraph (B), the term “advisory and assistance services” means the following services when provided by nongovernmental sources:
(i) Management and professional support services.
(ii) Studies, analyses, and evaluations.
(iii) Engineering and technical services.
(B) In paragraph (1), the term “advisory and assistance services” does not include the following services:
(i) Routine automated data processing and telecommunications services unless such services are an integral part of a contract for the procurement of advisory and assistance services.
(ii) Architectural and engineering services, as defined in section 1102 of title 40.
(iii) Research on basic mathematics or medical, biological, physical, social, psychological, or other phenomena.
(h)
(1) If there is a medicare funding warning under section 801(a)(2) of the Medicare Prescription Drug, Improvement, and Modernization Act of 2003 made in a year, the President shall submit to Congress, within the 15-day period beginning on the date of the budget submission to Congress under subsection (a) for the succeeding year, proposed legislation to respond to such warning.
(2) Paragraph (1) does not apply if, during the year in which the warning is made, legislation is enacted which eliminates excess general revenue medicare funding (as defined in section 801(c) of the Medicare Prescription Drug, Improvement, and Modernization Act of 2003) for the 7-fiscal-year reporting period, as certified by the Board of Trustees of each medicare trust fund (as defined in section 801(c)(5) of such Act) not later than 30 days after the date of the enactment of such legislation.
(i)
(1) The Director of the Office of Management and Budget shall make publicly available on a website, and continuously update, a tabular list for each fiscal year of each agency that submits budget justification materials, which shall include—
(A) the name of the agency;
(B) a unique identifier that identifies the agency;
(C) to the extent practicable, the date on which the budget justification materials of the agency are first submitted to Congress;
(D) the date on which the budget justification materials of the agency are posted online under section 3 of the Federal Funding Accountability and Transparency Act of 2006 (31 U.S.C. 6101 note);
(E) the uniform resource locator where the budget justification materials are published on the website of the agency; and
(F) a single data set that contains the information described in subparagraphs (A) through (E) with respect to the agency for all fiscal years for which budget justifications of the agency are made available under section 3 of the Federal Funding Accountability and Transparency Act of 2006 (31 U.S.C. 6101 note) in a structured data format.
(2)
(A) Each agency that submits budget justification materials shall make the materials available on the website of the agency, in accordance with the policies established by the Director of the Office of Management and Budget under subparagraph (B).
(B) Not later than 1 year after the date of enactment of this subsection, the Director of the Office of Management and Budget, in consultation with the Secretary of the Treasury, shall establish policies and data standards for agencies relating to making available materials under subparagraph (A), which shall include guidelines for making budget justification materials available in a format aligned with the requirements of section 3(b)(2)(C) of the Federal Funding Accountability and Transparency Act of 2006 (31 U.S.C. 6101 note) and using a uniform resource locator that is in a consistent format across agencies and is descriptive, memorable, and pronounceable, such as the format of “agencyname.gov/budget”.
(C) If the Director of the Office of Management and Budget maintains a public website that contains the budget of the United States Government submitted under subsection (a) and any related materials, such website shall also contain a link to the tabular list required under paragraph (1).
(3) In this subsection, the term “budget justification materials” has the meaning given that term in section 3(b)(2) of the Federal Funding Accountability and Transparency Act of 2006 (31 U.S.C. 6101 note).
(Pub. L. 97–258, Sept. 13, 1982, 96 Stat. 908; Pub. L. 97–452, § 1(2), Jan. 12, 1983, 96 Stat. 2467; Pub. L. 98–501, title II, § 203, Oct. 19, 1984, 98 Stat. 2324; Pub. L. 99–177, title II, § 241, Dec. 12, 1985, 99 Stat. 1063; Pub. L. 100–119, title I, § 106(f), Sept. 29, 1987, 101 Stat. 781; Pub. L. 100–418, title V, § 5301, Aug. 23, 1988, 102 Stat. 1462; Pub. L. 100–504, title I, § 108, Oct. 18, 1988, 102 Stat. 2529; Pub. L. 100–690, title I, § 1006, Nov. 18, 1988, 102 Stat. 4187; Pub. L. 101–508, title XIII, § 13112(c), Nov. 5, 1990, 104 Stat. 1388–608; Pub. L. 101–576, title II, § 203(b), Nov. 15, 1990, 104 Stat. 2841; Pub. L. 103–62, § 4(a), Aug. 3, 1993, 107 Stat. 286; Pub. L. 103–272, § 4(f)(1)(E), July 5, 1994, 108 Stat. 1362; Pub. L. 103–322, title XXXI, § 310001(e), Sept. 13, 1994, 108 Stat. 2103; Pub. L. 103–355, title II, § 2454(a), Oct. 13, 1994, 108 Stat. 3326; Pub. L. 104–287, § 4(1), Oct. 11, 1996, 110 Stat. 3388; Pub. L. 105–33, title X, § 10209(b), Aug. 5, 1997, 111 Stat. 711; Pub. L. 105–277, div. C, title VII, § 713(c), Oct. 21, 1998, 112 Stat. 2681–693; Pub. L. 106–58, title VI, § 638(f), Sept. 29, 1999, 113 Stat. 475; Pub. L. 106–422, § 2(c), Nov. 1, 2000, 114 Stat. 1874; Pub. L. 107–189, § 4(a), June 14, 2002, 116 Stat. 699; Pub. L. 107–217, § 3(h)(3), Aug. 21, 2002, 116 Stat. 1299; Pub. L. 107–296, title VIII, § 889(a), Nov. 25, 2002, 116 Stat. 2250; Pub. L. 108–173, title VIII, § 802(a), Dec. 8, 2003, 117 Stat. 2360; Pub. L. 108–178, § 4(f)(1), Dec. 15, 2003, 117 Stat. 2641; Pub. L. 110–343, div. A, title II, § 203(a), Oct. 3, 2008, 122 Stat. 3801; Pub. L. 110–409, § 7(d)(2), Oct. 14, 2008, 122 Stat. 4313; Pub. L. 111–81, § 2, Oct. 22, 2009, 123 Stat. 2137; Pub. L. 111–291, title IV, §§ 411(h), 415, Dec. 8, 2010, 124 Stat. 3116, 3121; Pub. L. 111–352, § 11(a), Jan. 4, 2011, 124 Stat. 3881; Pub. L. 113–235, div. I, title II, § 244(d), Dec. 16, 2014, 128 Stat. 2569; Pub. L. 114–315, title VI, § 601(b), Dec. 16, 2016, 130 Stat. 1569; Pub. L. 115–31, div. E, title VI, § 630(a), May 5, 2017, 131 Stat. 375; Pub. L. 117–40, § 2(b), Sept. 24, 2021, 135 Stat. 338; Pub. L. 117–286, § 4(b)(50), Dec. 27, 2022, 136 Stat. 4348.)
§ 1106. Supplemental budget estimates and changes
(a) Before July 16 of each year, the President shall submit to Congress a supplemental summary of the budget for the fiscal year for which the budget is submitted under section 1105(a) of this title. The summary shall include—
(1) for that fiscal year—
(A) substantial changes in or reappraisals of estimates of expenditures and receipts;
(B) substantial obligations imposed on the budget after its submission;
(C) current information on matters referred to in section 1105(a)(8) and (9)(B) and (C) of this title; and
(D) additional information the President decides is advisable to provide Congress with complete and current information about the budget and current estimates of the functions, obligations, requirements, and financial condition of the United States Government;
(2) for the 4 fiscal years following the fiscal year for which the budget is submitted, information on estimated expenditures for programs authorized to continue in future years, or that are considered mandatory, under law; and
(3) for future fiscal years, information on estimated expenditures of balances carried over from the fiscal year for which the budget is submitted.
(b) Before July 16 of each year, the President shall submit to Congress a statement of changes in budget authority requested, estimated budget outlays, and estimated receipts for the fiscal year for which the budget is submitted (including prior changes proposed for the executive branch of the Government) that the President decides are necessary and appropriate based on current information. The statement shall include the effect of those changes on the information submitted under section 1105(a)(1)–(14) and (b) of this title and shall include supporting information as practicable. The statement submitted before July 16 may be included in the information submitted under subsection (a)(1) of this section.
(c) Subsection (f) of section 1105 shall apply to revisions and supplemental summaries submitted under this section to the same extent that such subsection applies to the budget submitted under section 1105(a) to which such revisions and summaries relate.
(Pub. L. 97–258, Sept. 13, 1982, 96 Stat. 911; Pub. L. 99–177, title II, § 242, Dec. 12, 1985, 99 Stat. 1063.)
§ 1107. Deficiency and supplemental appropriations
The President may submit to Congress proposed deficiency and supplemental appropriations the President decides are necessary because of laws enacted after the submission of the budget or that are in the public interest. The President shall include the reasons for the submission of the proposed appropriations and the reasons the proposed appropriations were not included in the budget. When the total proposed appropriations would have required the President to make a recommendation under section 1105(c) of this title if they had been included in the budget, the President shall make a recommendation under that section. The President shall transmit promptly to Congress without change, proposed deficiency and supplemental appropriations submitted to the President by the legislative branch and the judicial branch.
(Pub. L. 97–258, Sept. 13, 1982, 96 Stat. 911; Pub. L. 112–74, div. C, title VI, § 619, Dec. 23, 2011, 125 Stat. 926.)
§ 1108. Preparation and submission of appropriations requests to the President
(a) In this section (except subsections (b)(1) and (e)), “agency” means a department, agency, or instrumentality of the United States Government.
(b)
(1) The head of each agency shall prepare and submit to the President each appropriation request for the agency. The request shall be prepared and submitted in the form prescribed by the President under this chapter and by the date established by the President. When the head of an agency does not submit a request by that date, the President shall prepare the request for the agency to be included in the budget or changes in the budget or as deficiency and supplemental appropriations. The President may change agency appropriation requests. Agency appropriation requests shall be developed from cost-based budgets in the way and at times prescribed by the President. The head of the agency shall use the cost-based budget to administer the agency and to divide appropriations or amounts.
(2) An officer or employee of an agency in the executive branch may submit to the President or Congress a request for legislation authorizing deficiency or supplemental appropriations for the agency only with the approval of the head of the agency.
(c) The head of an agency shall include with an appropriation request submitted to the President a report that the statement of obligations submitted with the request contains obligations consistent with section 1501 of this title. The head of the agency shall support the report with a certification of the consistency and shall support the certification with records showing that the amounts have been obligated. The head of the agency shall designate officials to make the certifications, and those officials may not delegate the duty to make the certifications. The certifications and records shall be kept in the agency—
(1) in a form that makes audits and reconciliations easy; and
(2) for a period necessary to carry out audits and reconciliations.
(d) To the extent practicable, the head of an agency shall—
(1) provide information supporting the agency’s budget request for its missions by function and subfunction (including the mission of each organizational unit of the agency); and
(2) relate the agency’s programs to its missions.
(e) Except as provided in subsection (f) of this section, an officer or employee of an agency (as defined in section 1101 of this title) may submit to Congress or a committee of Congress an appropriations estimate or request, a request for an increase in that estimate or request, or a recommendation on meeting the financial needs of the Government only when requested by either House of Congress.
(f) The Interstate Commerce Commission shall submit to Congress copies of budget estimates, requests, and information (including personnel needs), legislative recommendations, prepared testimony for congressional hearings, and comments on legislation at the same time they are sent to the President or the Office of Management and Budget. An officer of an agency may not impose conditions on or impair communication by the Commission with Congress, or a committee or member of Congress, about the information.
(g) Amounts available under law are available for field examinations of appropriation estimates. The use of the amounts is subject only to regulations prescribed by the appropriate standing committees of Congress.
(Pub. L. 97–258, Sept. 13, 1982, 96 Stat. 912.)
§ 1109. Current programs and activities estimates
(a) On or before the first Monday after January 3 of each year (on or before February 5 in 1986), the President shall submit to both Houses of Congress the estimated budget outlays and proposed budget authority that would be included in the budget for the following fiscal year if programs and activities of the United States Government were carried on during that year at the same level as the current fiscal year without a change in policy. The President shall state the estimated budget outlays and proposed budget authority by function and subfunction under the classifications in the budget summary table under the span “Budget Authority and Outlays by Function and Agency”, by major programs in each function, and by agency. The President also shall include a statement of the economic and program assumptions on which those budget outlays and budget authority are based, including inflation, real economic growth, and unemployment rates, program caseloads, and pay increases.ng that year at the same level as the current fiscal year without a change in policy. The President shall state the estimated budget outlays and proposed budget authority by function and subfunction under the classifications in the budget summary table under the span “Budget Authority and Outlays by Function and Agency”, by major programs in each function, and by agency. The President also shall include a statement of the economic and program assumptions on which those budget outlays and budget authority are based, including inflation, real economic growth, and unemployment rates, program caseloads, and pay increases.
(b) The Joint Economic Committee shall review the estimated budget outlays and proposed budget authority and submit an economic evaluation of the budget outlays and budget authority to the Committees on the Budget of both Houses before March 1 of each year.
(Pub. L. 97–258, Sept. 13, 1982, 96 Stat. 913; Pub. L. 99–177, title II, § 222, Dec. 12, 1985, 99 Stat. 1060.)
§ 1110. Year-ahead requests for authorizing legislation
A request to enact legislation authorizing new budget authority to continue a program or activity for a fiscal year shall be submitted to Congress before May 16 of the year before the year in which the fiscal year begins. If a new program or activity will continue for more than one year, the request must be submitted for at least the first and 2d fiscal years.
(Pub. L. 97–258, Sept. 13, 1982, 96 Stat. 913.)
§ 1111. Improving economy and efficiencyTo improve economy and efficiency in the United States Government, the President shall—
(1) make a study of each agency to decide, and may send Congress recommendations, on changes that should be made in—
(A) the organization, activities, and business methods of agencies;
(B) agency appropriations;
(C) the assignment of particular activities to particular services; and
(D) regrouping of services; and
(2) evaluate and develop improved plans for the organization, coordination, and management of the executive branch of the Government.
(Pub. L. 97–258, Sept. 13, 1982, 96 Stat. 913.)
§ 1112. Fiscal, budget, and program information
(a) In this section, “agency” means a department, agency, or instrumentality of the United States Government except a mixed-ownership Government corporation.
(b) In cooperation with the Comptroller General, the Secretary of the Treasury and the Director of the Office of Management and Budget shall establish and maintain standard data processing and information systems for fiscal, budget, and program information for use by agencies to meet the needs of the Government, and to the extent practicable, of State and local governments.
(c) The Comptroller General—
(1) in cooperation with the Secretary, the Director of the Office of Management and Budget, and the Director of the Congressional Budget Office, shall establish, maintain, and publish standard terms and classifications for fiscal, budget, and program information of the Government, including information on fiscal policy, receipts, expenditures, programs, projects, activities, and functions;
(2) when advisable, shall report to Congress on those terms and classifications, and recommend legislation necessary to promote the establishment, maintenance, and use of standard terms and classifications by the executive branch of the Government; and
(3) in carrying out this subsection, shall give particular consideration to the needs of the Committees on Appropriations and on the Budget of both Houses of Congress, the Committee on Ways and Means of the House, the Committee on Finance of the Senate, and the Congressional Budget Office.
(d) Agencies shall use the standard terms and classifications published under subsection (c)(1) of this section in providing fiscal, budget, and program information to Congress.
(e) In consultation with the President, the head of each executive agency shall take actions necessary to achieve to the extent possible—
(1) consistency in budget and accounting classifications;
(2) synchronization between those classifications and organizational structure; and
(3) information by organizational unit on performance and program costs to support budget justifications.
(f) In cooperation with the Director of the Congressional Budget Office, the Comptroller General, and appropriate representatives of State and local governments, the Director of the Office of Management and Budget (to the extent practicable) shall provide State and local governments with fiscal, budget, and program information necessary for accurate and timely determination by those governments of the impact on their budgets of assistance of the United States Government.
(Pub. L. 97–258, Sept. 13, 1982, 96 Stat. 913.)
§ 1113. Congressional information
(a)
(1) When requested by a committee of Congress having jurisdiction over receipts or appropriations, the President shall provide the committee with assistance and information.
(2) When requested by a committee of Congress, additional information related to the amount of an appropriation originally requested by an Office of Inspector General shall be submitted to the committee.
(b) When requested by a committee of Congress, by the Comptroller General, or by the Director of the Congressional Budget Office, the Secretary of the Treasury, the Director of the Office of Management and Budget, and the head of each executive agency shall—
(1) provide information on the location and kind of available fiscal, budget, and program information;
(2) to the extent practicable, prepare summary tables of that fiscal, budget, and program information and related information the committee, the Comptroller General, or the Director of the Congressional Budget Office considers necessary; and
(3) provide a program evaluation carried out or commissioned by an executive agency.
(c) In cooperation with the Director of the Congressional Budget Office, the Secretary, and the Director of the Office of Management and Budget, the Comptroller General shall—
(1) establish and maintain a current directory of sources of, and information systems for, fiscal, budget, and program information and a brief description of the contents of each source and system;
(2) when requested, provide assistance to committees of Congress and members of Congress in obtaining information from the sources in the directory; and
(3) when requested, provide assistance to committees and, to the extent practicable, to members of Congress in evaluating the information obtained from the sources in the directory.
(d) To the extent they consider necessary, the Comptroller General and the Director of the Congressional Budget Office individually or jointly shall establish and maintain a file of information to meet recurring needs of Congress for fiscal, budget, and program information to carry out this section and sections 717 and 1112 of this title. The file shall include information on budget requests, congressional authorizations to obligate and expend, apportionment and reserve actions, and obligations and expenditures. The Comptroller General and the Director shall maintain the file and an index to the file so that it is easier for the committees and agencies of Congress to use the file and index through data processing and communications techniques.
(e)
(1) The Comptroller General shall—
(A) carry out a continuing program to identify the needs of committees and members of Congress for fiscal, budget, and program information to carry out this section and section 1112 of this title;
(B) assist committees of Congress in developing their information needs;
(C) monitor recurring reporting requirements of Congress and committees; and
(D) make recommendations to Congress and committees for changes and improvements in those reporting requirements to meet information needs identified by the Comptroller General, to improve their usefulness to congressional users, and to eliminate unnecessary reporting.
(2) Before September 2 of each year, the Comptroller General shall report to Congress on—
(A) the needs identified under paragraph (1)(A) of this subsection;
(B) the relationship of those needs to existing reporting requirements;
(C) the extent to which reporting by the executive branch of the United States Government currently meets the identified needs;
(D) the changes to standard classifications necessary to meet congressional needs;
(E) activities, progress, and results of the program of the Comptroller General under paragraph (1)(B)–(D) of this subsection; and
(F) progress of the executive branch in the prior year.
(3) Before March 2 of each year, the Director of the Office of Management and Budget and the Secretary shall report to Congress on plans for meeting the needs identified under paragraph (1)(A) of this subsection, including—
(A) plans for carrying out changes to classifications to meet information needs of Congress;
(B) the status of information systems in the prior year; and
(C) the use of standard classifications.
(Pub. L. 97–258, Sept. 13, 1982, 96 Stat. 914; Pub. L. 97–452, § 1(3), Jan. 12, 1983, 96 Stat. 2467.)
[§ 1114. Repealed. Pub. L. 103–355, title II, § 2454(c)(2), Oct. 13, 1994, 108 Stat. 3326]
§ 1115. Federal Government and agency performance plans
(a)Federal Government Performance Plans.—In carrying out the provisions of section 1105(a)(28), the Director of the Office of Management and Budget shall coordinate with agencies to develop the Federal Government performance plan. In addition to the submission of such plan with each budget of the United States Government, the Director of the Office of Management and Budget shall ensure that all information required by this subsection is concurrently made available on a website described in section 1122 and updated periodically, but no less than annually. The Federal Government performance plan shall—
(1) establish Federal Government performance goals to define the level of performance to be achieved during the year in which the plan is submitted and the next fiscal year for each of the Federal Government priority goals required under section 1120(a) of this title;
(2) identify the agencies, organizations, program activities, regulations, tax expenditures, policies, and other activities contributing to each Federal Government performance goal during the current fiscal year;
(3) for each Federal Government performance goal, identify a lead Government official who shall be responsible for coordinating the efforts to achieve the goal;
(4) establish common Federal Government performance indicators with quarterly targets to be used in measuring or assessing—
(A) overall progress toward each Federal Government performance goal; and
(B) the individual contribution of each agency, organization, program activity, regulation, tax expenditure, policy, and other activity identified under paragraph (2);
(5) establish clearly defined quarterly milestones; and
(6) identify major management challenges that are Governmentwide or crosscutting in nature and describe plans to address such challenges, including relevant performance goals, performance indicators, and milestones.
(b)Agency Performance Plans.—Not later than the first Monday in February of each year, the head of each agency shall make available on a public website of the agency, and notify the President and the Congress of its availability, a performance plan covering each program activity set forth in the budget of such agency. Such plan shall—
(1) establish performance goals to define the level of performance to be achieved during the year in which the plan is submitted and the next fiscal year;
(2) express such goals in an objective, quantifiable, and measurable form unless authorized to be in an alternative form under subsection (c);
(3) describe how the performance goals contribute to—
(A) the general goals and objectives established in the agency’s strategic plan required by section 306(a)(2) of title 5; and
(B) any of the Federal Government performance goals established in the Federal Government performance plan required by subsection (a)(1);
(4) identify among the performance goals those which are designated as agency priority goals as required by section 1120(b) of this title, if applicable;
(5) provide a description of how the performance goals are to be achieved, including—
(A) the human capital, training, data and evidence, information technology, and skill sets required to meet the performance goals;
(B) the technology modernization investments, system upgrades, staff technology skills and expertise, stakeholder input and feedback, and other resources and strategies needed and required to meet the performance goals;
(C) clearly defined milestones;
(D) an identification of the organizations, program activities, regulations, policies, operational processes, and other activities that contribute to each performance goal, both within and external to the agency;
(E) a description of how the agency is working with other agencies and the organizations identified in subparagraph (D) to measure and achieve its performance goals as well as relevant Federal Government performance goals; and
(F) an identification of the agency officials responsible for the achievement of each performance goal, who shall be known as goal leaders;
(6) establish a balanced set of performance indicators to be used in measuring or assessing progress toward each performance goal, including, as appropriate, customer service, efficiency, output, and outcome indicators;
(7) provide a basis for comparing actual program results with the established performance goals;
(8) a description of how the agency will ensure the accuracy and reliability of the data used to measure progress towards its performance goals, including an identification of—
(A) the means to be used to verify and validate measured values;
(B) the sources for the data;
(C) the level of accuracy required for the intended use of the data;
(D) any limitations to the data at the required level of accuracy; and
(E) how the agency will compensate for such limitations if needed to reach the required level of accuracy;
(9) describe major management challenges the agency faces and identify—
(A) planned actions to address such challenges;
(B) performance goals, performance indicators, and milestones to measure progress toward resolving such challenges; and
(C) the agency official responsible for resolving such challenges; and
(10) identify low-priority program activities based on an analysis of their contribution to the mission and goals of the agency and include an evidence-based justification for designating a program activity as low priority.
(c)Alternative Form.—If an agency, in consultation with the Director of the Office of Management and Budget, determines that it is not feasible to express the performance goals for a particular program activity in an objective, quantifiable, and measurable form, the Director of the Office of Management and Budget may authorize an alternative form. Such alternative form shall—
(1) include separate descriptive statements of—
(A)
(i) a minimally effective program; and
(ii) a successful program; or
(B) such alternative as authorized by the Director of the Office of Management and Budget, with sufficient precision and in such terms that would allow for an accurate, independent determination of whether the program activity’s performance meets the criteria of the description; or
(2) state why it is infeasible or impractical to express a performance goal in any form for the program activity.
(d)Treatment of Program Activities.—For the purpose of complying with this section, an agency may aggregate, disaggregate, or consolidate program activities, except that any aggregation or consolidation may not omit or minimize the significance of any program activity constituting a major function or operation for the agency.
(e)Appendix.—An agency may submit with an annual performance plan an appendix covering any portion of the plan that—
(1) is specifically authorized under criteria established by an Executive order to be kept secret in the interest of national defense or foreign policy; and
(2) is properly classified pursuant to such Executive order.
(f)Inherently Governmental Functions.—The functions and activities of this section shall be considered to be inherently governmental functions. The drafting of performance plans under this section shall be performed only by Federal employees.
(g)Preparation of Performance Plan.—The Performance Improvement Officer of each agency (or the functional equivalent) shall collaborate with the Chief Human Capital Officer (or the functional equivalent), the Chief Information Officer (or the functional equivalent), the Chief Data Officer (or the functional equivalent), and the Chief Financial Officer (or the functional equivalent) of that agency to prepare that portion of the annual performance plan described under subsection (b)(5) for that agency.
(h)Definitions.—For purposes of this section and sections 1116 through 1125, and sections 9703 and 9704, the term—
(1) “agency” has the same meaning as such term is defined under section 306(f) of title 5;
(2) “crosscutting” means across organizational (such as agency) boundaries;
(3) “customer service measure” means an assessment of service delivery to a customer, client, citizen, or other recipient, which can include an assessment of quality, timeliness, and satisfaction among other factors;
(4) “efficiency measure” means a ratio of a program activity’s inputs (such as costs or hours worked by employees) to its outputs (amount of products or services delivered) or outcomes (the desired results of a program);
(5) “major management challenge” means programs or management functions, within or across agencies, that have greater vulnerability to waste, fraud, abuse, and mismanagement (such as issues identified by the Government Accountability Office as high risk or issues identified by an Inspector General) where a failure to perform well could seriously affect the ability of an agency or the Government to achieve its mission or goals;
(6) “milestone” means a scheduled event signifying the completion of a major deliverable or a set of related deliverables or a phase of work;
(7) “outcome measure” means an assessment of the results of a program activity compared to its intended purpose;
(8) “output measure” means the tabulation, calculation, or recording of activity or effort that can be expressed in a quantitative or qualitative manner;
(9) “performance goal” means a target level of performance expressed as a tangible, measurable objective, against which actual achievement can be compared, including a goal expressed as a quantitative standard, value, or rate;
(10) “performance indicator” means a particular value or characteristic used to measure output or outcome;
(11) “program activity” means a specific activity or project as listed in the program and financing schedules of the annual budget of the United States Government; and
(12) “program evaluation” means an assessment, through objective measurement and systematic analysis, of the manner and extent to which Federal programs achieve intended objectives.
(Added Pub. L. 111–352, § 3, Jan. 4, 2011, 124 Stat. 3867; amended Pub. L. 116–283, div. H, title XCVI, § 9601(c)(2)(A), Jan. 1, 2021, 134 Stat. 4827; Pub. L. 117–263, div. E, title LIII, § 5303(b), Dec. 23, 2022, 136 Stat. 3250.)
§ 1116. Agency performance reporting
(a) The head of each agency shall make available on a public website of the agency and to the Office of Management and Budget an update on agency performance.
(b)
(1) Each update shall compare actual performance achieved with the performance goals established in the agency performance plan under section 1115(b) and shall occur no less than 150 days after the end of each fiscal year, with more frequent updates of actual performance on indicators that provide data of significant value to the Government, Congress, or program partners at a reasonable level of administrative burden.
(2) If performance goals are specified in an alternative form under section 1115(c), the results shall be described in relation to such specifications, including whether the performance failed to meet the criteria of a minimally effective or successful program.
(c) Each update shall—
(1) review the success of achieving the performance goals and include actual results for the 5 preceding fiscal years;
(2) evaluate the performance plan for the current fiscal year relative to the performance achieved toward the performance goals during the period covered by the update;
(3) explain and describe where a performance goal has not been met (including when a program activity’s performance is determined not to have met the criteria of a successful program activity under section 1115(c)(1)(A)(ii) or a corresponding level of achievement if another alternative form is used)—
(A) why the goal was not met;
(B) those plans and schedules for achieving the established performance goal; and
(C) if the performance goal is impractical or infeasible, why that is the case and what action is recommended;
(4) describe the use and assess the effectiveness in achieving performance goals of any waiver under section 9703 of this title;
(5) include a review of the performance goals and evaluation of the performance plan relative to the agency’s strategic human capital management;
(6) describe how the agency ensures the accuracy and reliability of the data used to measure progress towards its performance goals, including an identification of—
(A) the means used to verify and validate measured values;
(B) the sources for the data;
(C) the level of accuracy required for the intended use of the data;
(D) any limitations to the data at the required level of accuracy; and
(E) how the agency has compensated for such limitations if needed to reach the required level of accuracy; and
(7) include the summary findings of those program evaluations completed during the period covered by the update.
(d) If an agency performance update includes any program activity or information that is specifically authorized under criteria established by an Executive Order to be kept secret in the interest of national defense or foreign policy and is properly classified pursuant to such Executive Order, the head of the agency shall make such information available in the classified appendix provided under section 1115(e).
(e) The functions and activities of this section shall be considered to be inherently governmental functions. The drafting of agency performance updates under this section shall be performed only by Federal employees.
(f) Each fiscal year, the Office of Management and Budget shall determine whether the agency programs or activities meet performance goals and objectives outlined in the agency performance plans and submit a report on unmet goals to—
(1) the head of the agency;
(2) the Committee on Homeland Security and Governmental Affairs of the Senate;
(3) the Committee on Oversight and Governmental Reform of the House of Representatives; and
(4) the Government Accountability Office.
(g) If an agency’s programs or activities have not met performance goals as determined by the Office of Management and Budget for 1 fiscal year, the head of the agency shall submit a performance improvement plan to the Office of Management and Budget to increase program effectiveness for each unmet goal with measurable milestones. The agency shall designate a senior official who shall oversee the performance improvement strategies for each unmet goal.
(h)
(1) If the Office of Management and Budget determines that agency programs or activities have unmet performance goals for 2 consecutive fiscal years, the head of the agency shall—
(A) submit to Congress a description of the actions the Administration will take to improve performance, including proposed statutory changes or planned executive actions; and
(B) describe any additional funding the agency will obligate to achieve the goal, if such an action is determined appropriate in consultation with the Director of the Office of Management and Budget, for an amount determined appropriate by the Director.
(2) In providing additional funding described under paragraph (1)(B), the head of the agency shall use any reprogramming or transfer authority available to the agency. If after exercising such authority additional funding is necessary to achieve the level determined appropriate by the Director of the Office of Management and Budget, the head of the agency shall submit a request to Congress for additional reprogramming or transfer authority.
(i) If an agency’s programs or activities have not met performance goals as determined by the Office of Management and Budget for 3 consecutive fiscal years, the Director of the Office of Management and Budget shall submit recommendations to Congress on actions to improve performance not later than 60 days after that determination, including—
(1) reauthorization proposals for each program or activity that has not met performance goals;
(2) proposed statutory changes necessary for the program activities to achieve the proposed level of performance on each performance goal; and
(3) planned executive actions or identification of the program for termination or reduction in the President’s budget.
(Added Pub. L. 111–352, § 4, Jan. 4, 2011, 124 Stat. 3871.)
§ 1117. Exemption
The Director of the Office of Management and Budget may exempt from the requirements of sections 1115 and 1116 of this title and section 306 of title 5, any agency with annual outlays of $20,000,000 or less.
(Added Pub. L. 103–62, § 4(b), Aug. 3, 1993, 107 Stat. 289.)
§ 1118. Pilot projects for performance goals
(a) The Director of the Office of Management and Budget, after consultation with the head of each agency, shall designate not less than ten agencies as pilot projects in performance measurement for fiscal years 1994, 1995, and 1996. The selected agencies shall reflect a representative range of Government functions and capabilities in measuring and reporting program performance.
(b) Pilot projects in the designated agencies shall undertake the preparation of performance plans under section 1115, and program performance reports under section 1116, other than section 1116(c), for one or more of the major functions and operations of the agency. A strategic plan shall be used when preparing agency performance plans during one or more years of the pilot period.
(c) No later than May 1, 1997, the Director of the Office of Management and Budget shall submit a report to the President and to the Congress which shall—
(1) assess the benefits, costs, and usefulness of the plans and reports prepared by the pilot agencies in meeting the purposes of the Government Performance and Results Act of 1993;
(2) identify any significant difficulties experienced by the pilot agencies in preparing plans and reports; and
(3) set forth any recommended changes in the requirements of the provisions of Government Performance and Results Act of 1993, section 306 of title 5, sections 1105, 1115, 1116, 1117, 1119 and 9703 of this title, and this section.
(Added Pub. L. 103–62, § 6(a), Aug. 3, 1993, 107 Stat. 290.)
§ 1119. Pilot projects for performance budgeting
(a) The Director of the Office of Management and Budget, after consultation with the head of each agency shall designate not less than five agencies as pilot projects in performance budgeting for fiscal years 1998 and 1999. At least three of the agencies shall be selected from those designated as pilot projects under section 1118, and shall also reflect a representative range of Government functions and capabilities in measuring and reporting program performance.
(b) Pilot projects in the designated agencies shall cover the preparation of performance budgets. Such budgets shall present, for one or more of the major functions and operations of the agency, the varying levels of performance, including outcome-related performance, that would result from different budgeted amounts.
(c) The Director of the Office of Management and Budget shall include, as an alternative budget presentation in the budget submitted under section 1105 for fiscal year 1999, the performance budgets of the designated agencies for this fiscal year.
(d) No later than March 31, 2001, the Director of the Office of Management and Budget shall transmit a report to the President and to the Congress on the performance budgeting pilot projects which shall—
(1) assess the feasibility and advisability of including a performance budget as part of the annual budget submitted under section 1105;
(2) describe any difficulties encountered by the pilot agencies in preparing a performance budget;
(3) recommend whether legislation requiring performance budgets should be proposed and the general provisions of any legislation; and
(4) set forth any recommended changes in the other requirements of the Government Performance and Results Act of 1993, section 306 of title 5, sections 1105, 1115, 1116, 1117, and 9703 of this title, and this section.
(e) After receipt of the report required under subsection (d), the Congress may specify that a performance budget be submitted as part of the annual budget submitted under section 1105.
(Added Pub. L. 103–62, § 6(c), Aug. 3, 1993, 107 Stat. 291.)
§ 1120. Federal Government and agency priority goals
(a)Federal Government Priority Goals.—
(1) The Director of the Office of Management and Budget shall coordinate with agencies to develop priority goals to improve the performance and management of the Federal Government. Such Federal Government priority goals shall include—
(A) outcome-oriented goals covering a limited number of crosscutting policy areas; and
(B) goals for management improvements needed across the Federal Government, including—
(i) financial management;
(ii) human capital management;
(iii) information technology management;
(iv) procurement and acquisition management; and
(v) real property management;
(2) The Federal Government priority goals shall be long-term in nature. At a minimum, the Federal Government priority goals shall be updated or revised every 4 years and made publicly available concurrently with the submission of the budget of the United States Government made in the first full fiscal year following any year in which the term of the President commences under section 101 of title 3. As needed, the Director of the Office of Management and Budget may make adjustments to the Federal Government priority goals to reflect significant changes in the environment in which the Federal Government is operating, with appropriate notification of Congress.
(3) When developing or making adjustments to Federal Government priority goals, the Director of the Office of Management and Budget shall consult periodically with the Congress, including obtaining majority and minority views from—
(A) the Committees on Appropriations of the Senate and the House of Representatives;
(B) the Committees on the Budget of the Senate and the House of Representatives;
(C) the Committee on Homeland Security and Governmental Affairs of the Senate;
(D) the Committee on Oversight and Government Reform of the House of Representatives;
(E) the Committee on Finance of the Senate;
(F) the Committee on Ways and Means of the House of Representatives; and
(G) any other committees as determined appropriate;
(4) The Director of the Office of Management and Budget shall consult with the appropriate committees of Congress at least once every 2 years.
(5) The Director of the Office of Management and Budget shall make information about the Federal Government priority goals available on a website described in section 1122 of this title.
(6) The Federal Government performance plan required under section 1115(a) of this title shall be consistent with the Federal Government priority goals.
(b)Agency Priority Goals.—
(1) Every 2 years, the head of each agency listed in section 901(b) of this title, or as otherwise determined by the Director of the Office of Management and Budget, shall identify agency priority goals from among the performance goals of the agency. The Director of the Office of Management and Budget shall determine the total number of agency priority goals across the Government, and the number to be developed by each agency. The agency priority goals shall—
(A) reflect the highest priorities of the agency, as determined by the head of the agency and informed by the Federal Government priority goals provided under subsection (a) and the consultations with Congress and other interested parties required by section 306(d) of title 5;
(B) have ambitious targets that can be achieved within a 2-year period;
(C) have a clearly identified agency official, known as a goal leader, who is responsible for the achievement of each agency priority goal;
(D) have interim quarterly targets for performance indicators if more frequent updates of actual performance provides data of significant value to the Government, Congress, or program partners at a reasonable level of administrative burden; and
(E) have clearly defined quarterly milestones.
(2) If an agency priority goal includes any program activity or information that is specifically authorized under criteria established by an Executive order to be kept secret in the interest of national defense or foreign policy and is properly classified pursuant to such Executive order, the head of the agency shall make such information available in the classified appendix provided under section 1115(e).
(c) The functions and activities of this section shall be considered to be inherently governmental functions. The development of Federal Government and agency priority goals shall be performed only by Federal employees.
(Added Pub. L. 111–352, § 5, Jan. 4, 2011, 124 Stat. 3873; amended Pub. L. 116–283, div. H, title XCVI, § 9601(c)(2)(C), Jan. 1, 2021, 134 Stat. 4828.)
§ 1121. Quarterly priority progress reviews and use of performance information
(a)Use of Performance Information To Achieve Federal Government Priority Goals.—Not less than quarterly, the Director of the Office of Management and Budget, with the support of the Performance Improvement Council, shall—
(1) for each Federal Government priority goal required by section 1120(a) of this title, review with the appropriate lead Government official the progress achieved during the most recent quarter, overall trend data, and the likelihood of meeting the planned level of performance;
(2) include in such reviews officials from the agencies, organizations, and program activities that contribute to the accomplishment of each Federal Government priority goal;
(3) assess whether agencies, organizations, program activities, regulations, tax expenditures, policies, and other activities are contributing as planned to each Federal Government priority goal;
(4) categorize the Federal Government priority goals by risk of not achieving the planned level of performance; and
(5) for the Federal Government priority goals at greatest risk of not meeting the planned level of performance, identify prospects and strategies for performance improvement, including any needed changes to agencies, organizations, program activities, regulations, tax expenditures, policies or other activities.
(b)Agency Use of Performance Information To Achieve Agency Priority Goals.—Not less than quarterly, at each agency required to develop agency priority goals required by section 1120(b) of this title, the head of the agency and Chief Operating Officer, with the support of the agency Performance Improvement Officer, shall—
(1) for each agency priority goal, review with the appropriate goal leader the progress achieved during the most recent quarter, overall trend data, and the likelihood of meeting the planned level of performance;
(2) coordinate with relevant personnel within and outside the agency who contribute to the accomplishment of each agency priority goal;
(3) assess whether relevant organizations, program activities, regulations, policies, and other activities are contributing as planned to the agency priority goals;
(4) categorize agency priority goals by risk of not achieving the planned level of performance; and
(5) for agency priority goals at greatest risk of not meeting the planned level of performance, identify prospects and strategies for performance improvement, including any needed changes to agency program activities, regulations, policies, or other activities.
(Added Pub. L. 111–352, § 6, Jan. 4, 2011, 124 Stat. 3875.)
§ 1122. Transparency of programs, priority goals, and results
(a)Transparency of Agency Programs.—
(1)Definitions.—For purposes of this subsection—
(A) the term “Federal financial assistance” has the meaning given that term under section 7501;
(B) the term “open Government data asset” has the meaning given that term under section 3502 of title 44;
(C) the term “program” means a single program activity or an organized set of aggregated, disaggregated, or consolidated program activities by one or more agencies directed toward a common purpose or goal; and
(D) the term “program activity” has the meaning given that term in section 1115(h).
(2)Website and program inventory.—The Director of the Office of Management and Budget shall—
(A) ensure the effective operation of a single website that includes the information required under subsections (b) and (c);
(B) include on the website described in subparagraph (A), or another appropriate Federal Government website where related information is made available, as determined by the Director—
(i) a program inventory that shall identify each program; and
(ii) for each program identified in the program inventory, the information required under paragraph (3);
(C) make the information in the program inventory required under subparagraph (B) available as an open Government data asset; and
(D) at a minimum—
(i) update the information required to be included on the single website under subparagraph (A) on a quarterly basis; and
(ii) update the program inventory required under subparagraph (B) on an annual basis.
(3)Information.—Information for each program identified in the program inventory required under paragraph (2)(B) shall include—
(A) an identification of how the agency defines the term “program”, consistent with guidance provided by the Director of the Office of Management and Budget, including the program activities that are aggregated, disaggregated, or consolidated to be considered a program by the agency;
(B) a description of the purposes of the program and the contribution of the program to the mission and goals of the agency;
(C) an identification of funding for the current fiscal year and previous 2 fiscal years and,
(D) for each program activity that is part of a program—
(i) a description of the purposes of the program activity and the contribution of the program activity to the mission and goals of the agency;
(ii) a consolidated view for the current fiscal year and each of the 2 fiscal years before the current fiscal year of—(I) the amount appropriated;(II) the amount obligated; and(III) the amount outlayed;
(iii) to the extent practicable and permitted by law, links to any related evaluation, assessment, or program performance review by the agency, an inspector general, or the Government Accountability Office (including program performance reports required under section 1116), and other related evidence assembled in response to implementation of the Foundations for Evidence-Based Policymaking Act of 2018 (Public Law 115–435; 132 Stat. 5529);
(iv) an identification of the statutes that authorize the program activity or the authority under which the program activity was created or operates;
(v) an identification of any major regulations specific to the program activity;
(vi) any other information that the Director of the Office of Management and Budget determines relevant relating to program activity data in priority areas most relevant to Congress or the public to increase transparency and accountability; and
(vii) for each assistance listing under which Federal financial assistance is provided, for the current fiscal year and each of the 2 fiscal years before the current fiscal year and consistent with existing law relating to the protection of personally identifiable information—(I) a linkage to the relevant program activities that fund Federal financial assistance by assistance listing;(II) information on the population intended to be served by the assistance listing based on the language of the solicitation, as required under section 6102;(III) to the extent practicable and based on data reported to the agency providing the Federal financial assistance, the results of the Federal financial assistance awards provided by the assistance listing;(IV) to the extent practicable, the percentage of the amount appropriated for the assistance listing that is used for management and administration;(V) the identification of each award of Federal financial assistance and, to the extent practicable, the name of each direct or indirect recipient of the award; and(VI) any information relating to the award of Federal financial assistance that is required to be included on the website established under section 2(b) of the Federal Funding Accountability and Transparency Act of 2006 (31 U.S.C. 6101 note).
(4)Archiving.—The Director of the Office of Management and Budget shall—
(A) archive and preserve the information included in the program inventory required under paragraph (2)(B) after the end of the period during which such information is made available under paragraph (3); and
(B) make information archived in accordance with subparagraph (A) publicly available as an open Government data asset.
(b)Transparency of Agency Priority Goals and Results.—The head of each agency required to develop agency priority goals shall make information about each agency priority goal available to the Office of Management and Budget for publication on the website described in subsection (a)(2)(A), with the exception of any information covered by section 1120(b)(2) of this title. In addition to an identification of each agency priority goal, the website described in subsection (a)(2)(A) shall also consolidate information about each agency priority goal, including—
(1) a description of how the agency incorporated any views and suggestions obtained through congressional consultations about the agency priority goal;
(2) an identification of key factors external to the agency and beyond its control that could significantly affect the achievement of the agency priority goal;
(3) a description of how each agency priority goal will be achieved, including—
(A) the strategies and resources required to meet the priority goal;
(B) clearly defined milestones;
(C) the organizations, program activities, regulations, policies, and other activities that contribute to each goal, both within and external to the agency;
(D) how the agency is working with other agencies to achieve the goal; and
(E) an identification of the agency official responsible for achieving the priority goal;
(4) the performance indicators to be used in measuring or assessing progress;
(5) a description of how the agency ensures the accuracy and reliability of the data used to measure progress towards the priority goal, including an identification of—
(A) the means used to verify and validate measured values;
(B) the sources for the data;
(C) the level of accuracy required for the intended use of the data;
(D) any limitations to the data at the required level of accuracy; and
(E) how the agency has compensated for such limitations if needed to reach the required level of accuracy;
(6) the results achieved during the most recent quarter and overall trend data compared to the planned level of performance;
(7) an assessment of whether relevant organizations, program activities, regulations, policies, and other activities are contributing as planned;
(8) an identification of the agency priority goals at risk of not achieving the planned level of performance; and
(9) any prospects or strategies for performance improvement.
(c)Transparency of Federal Government Priority Goals and Results.—The Director of the Office of Management and Budget shall also make available on the website described in subsection (a)(2)(A)—
(1) a brief description of each of the Federal Government priority goals required by section 1120(a) of this title;
(2) a description of how the Federal Government priority goals incorporate views and suggestions obtained through congressional consultations;
(3) the Federal Government performance goals and performance indicators associated with each Federal Government priority goal as required by section 1115(a) of this title;
(4) an identification of the lead Government official for each Federal Government performance goal;
(5) the results achieved during the most recent quarter and overall trend data compared to the planned level of performance;
(6) an identification of the agencies, organizations, program activities, regulations, tax expenditures, policies, and other activities that contribute to each Federal Government priority goal;
(7) an assessment of whether relevant agencies, organizations, program activities, regulations, tax expenditures, policies, and other activities are contributing as planned;
(8) an identification of the Federal Government priority goals at risk of not achieving the planned level of performance; and
(9) any prospects or strategies for performance improvement.
(d)Information.—The information made available under this section shall be readily accessible and easily found on the Internet by the public and members and committees of Congress. Such information shall also be presented in a searchable, machine-readable format. The Director of the Office of Management and Budget shall issue guidance to ensure that such information is provided in a way that presents a coherent picture of all Federal programs, and the performance of the Federal Government as well as individual agencies.
(Added Pub. L. 111–352, § 7, Jan. 4, 2011, 124 Stat. 3876; amended Pub. L. 116–283, div. H, title XCVI, § 9601(a), (c)(1), Jan. 1, 2021, 134 Stat. 4823, 4827.)
§ 1123. Chief Operating Officers
(a)Establishment.—At each agency, the deputy head of agency, or equivalent, shall be the Chief Operating Officer of the agency.
(b)Function.—Each Chief Operating Officer shall be responsible for improving the management and performance of the agency, and shall—
(1) provide overall organization management to improve agency performance and achieve the mission and goals of the agency through the use of strategic and performance planning, measurement, analysis, regular assessment of progress, and use of performance information to improve the results achieved;
(2) advise and assist the head of agency in carrying out the requirements of sections 1115 through 1122 of this title and section 306 of title 5;
(3) oversee agency-specific efforts to improve management functions within the agency and across Government; and
(4) coordinate and collaborate with relevant personnel within and external to the agency who have a significant role in contributing to and achieving the mission and goals of the agency, such as the Chief Financial Officer, Chief Human Capital Officer, Chief Acquisition Officer/Senior Procurement Executive, Chief Information Officer, and other line of business chiefs at the agency.
(Added Pub. L. 111–352, § 8, Jan. 4, 2011, 124 Stat. 3878.)
§ 1124. Performance Improvement Officers and the Performance Improvement Council
(a)Performance Improvement Officers.—
(1)Establishment.—At each agency, the head of the agency, in consultation with the agency Chief Operating Officer, shall designate a senior executive of the agency as the agency Performance Improvement Officer.
(2)Function.—Each Performance Improvement Officer shall report directly to the Chief Operating Officer. Subject to the direction of the Chief Operating Officer, each Performance Improvement Officer shall—
(A) advise and assist the head of the agency and the Chief Operating Officer to ensure that the mission and goals of the agency are achieved through strategic and performance planning, measurement, analysis, regular assessment of progress, and use of performance information to improve the results achieved;
(B) advise the head of the agency and the Chief Operating Officer on the selection of agency goals, including opportunities to collaborate with other agencies on common goals;
(C) assist the head of the agency and the Chief Operating Officer in overseeing the implementation of the agency strategic planning, performance planning, and reporting requirements provided under sections 1115 through 1122 of this title and sections 306 of title 5, including the contributions of the agency to the Federal Government priority goals;
(D) support the head of agency and the Chief Operating Officer in the conduct of regular reviews of agency performance, including at least quarterly reviews of progress achieved toward agency priority goals, if applicable;
(E) assist the head of the agency and the Chief Operating Officer in the development and use within the agency of performance measures in personnel performance appraisals, and, as appropriate, other agency personnel and planning processes and assessments; and
(F) ensure that agency progress toward the achievement of all goals is communicated to leaders, managers, and employees in the agency and Congress, and made available on a public website of the agency.
(b)Performance Improvement Council.—
(1)Establishment.—There is established a Performance Improvement Council, consisting of—
(A) the Deputy Director for Management of the Office of Management and Budget, who shall act as chairperson of the Council;
(B) the Performance Improvement Officer from each agency defined in section 901(b) of this title;
(C) other Performance Improvement Officers as determined appropriate by the chairperson; and
(D) other individuals as determined appropriate by the chairperson.
(2)Function.—The Performance Improvement Council shall—
(A) be convened by the chairperson or the designee of the chairperson, who shall preside at the meetings of the Performance Improvement Council, determine its agenda, direct its work, and establish and direct subgroups of the Performance Improvement Council, as appropriate, to deal with particular subject matters;
(B) assist the Director of the Office of Management and Budget to improve the performance of the Federal Government and achieve the Federal Government priority goals;
(C) assist the Director of the Office of Management and Budget in implementing the planning, reporting, and use of performance information requirements related to the Federal Government priority goals provided under sections 1115, 1120, 1121, and 1122 of this title;
(D) work to resolve specific Governmentwide or crosscutting performance issues, as necessary;
(E) facilitate the exchange among agencies of practices that have led to performance improvements within specific programs, agencies, or across agencies;
(F) coordinate with other interagency management councils;
(G) seek advice and information as appropriate from nonmember agencies, particularly smaller agencies;
(H) consider the performance improvement experiences of corporations, nonprofit organizations, foreign, State, and local governments, Government employees, public sector unions, and customers of Government services;
(I) receive such assistance, information and advice from agencies as the Council may request, which agencies shall provide to the extent permitted by law; and
(J) develop and submit to the Director of the Office of Management and Budget, or when appropriate to the President through the Director of the Office of Management and Budget, at times and in such formats as the chairperson may specify, recommendations to streamline and improve performance management policies and requirements.
(3)Support.—
(A)In general.—The Administrator of General Services shall provide administrative and other support for the Council to implement this section.
(B)Personnel.—The heads of agencies with Performance Improvement Officers serving on the Council shall, as appropriate and to the extent permitted by law, provide at the request of the chairperson of the Performance Improvement Council up to 2 personnel authorizations to serve at the direction of the chairperson.
(Added Pub. L. 111–352, § 9, Jan. 4, 2011, 124 Stat. 3878.)
§ 1125. Elimination of unnecessary agency reporting
(a)Agency Identification of Unnecessary Reports.—Annually, based on guidance provided by the Director of the Office of Management and Budget, the Chief Operating Officer at each agency shall—
(1) compile a list that identifies all plans and reports the agency produces for Congress, in accordance with statutory requirements or as directed in congressional reports;
(2) analyze the list compiled under paragraph (1), identify which plans and reports are outdated or duplicative of other required plans and reports, and refine the list to include only the plans and reports identified to be outdated or duplicative;
(3) consult with the congressional committees that receive the plans and reports identified under paragraph (2) to determine whether those plans and reports are no longer useful to the committees and could be eliminated or consolidated with other plans and reports; and
(4) provide a total count of plans and reports compiled under paragraph (1) and the list of outdated and duplicative reports identified under paragraph (2) to the Director of the Office of Management and Budget.
(b)Plans and Reports.—
(1)First year.—During the first year of implementation of this section, the list of plans and reports identified by each agency as outdated or duplicative shall be not less than 10 percent of all plans and reports identified under subsection (a)(1).
(2)Subsequent years.—In each year following the first year described under paragraph (1), the Director of the Office of Management and Budget shall determine the minimum percent of plans and reports to be identified as outdated or duplicative on each list of plans and reports.
(c)Request for Elimination of Unnecessary Reports.—In addition to including the list of plans and reports determined to be outdated or duplicative by each agency in the budget of the United States Government, as provided by section 1105(a)(37),1
1 See References in Text note below.
the Director of the Office of Management and Budget may concurrently submit to Congress legislation to eliminate or consolidate such plans and reports.(Added Pub. L. 111–352, § 11(b), Jan. 4, 2011, 124 Stat. 3881.)
§ 1126. Program Management Improvement Officers and Program Management Policy Council
(a)Program Management Improvement Officers.—
(1)Designation.—The head of each agency described in section 901(b) shall designate a senior executive of the agency, who has significant program and project management oversight responsibilities, as the Program Management Improvement Officer of the agency.
(2)Functions.—The Program Management Improvement Officer of an agency designated under paragraph (1) shall—
(A) implement program management policies established by the agency under section 503(c); and
(B) develop a strategy for enhancing the role of program managers within the agency that includes the following:
(i) Enhanced training and educational opportunities for program managers that shall include—(I) training in the relevant competencies encompassed with program and project manager within the private sector for program managers; and(II) training that emphasizes cost containment for large projects and programs.
(ii) Mentoring of current and future program managers by experienced senior executives and program managers within the agency.
(iii) Improved career paths and career opportunities for program managers.
(iv) A plan to encourage the recruitment and retention of highly qualified individuals to serve as program managers.
(v) Improved means of collecting and disseminating best practices and lessons learned to enhance program management across the agency.
(vi) Common templates and tools to support improved data gathering and analysis for program management and oversight purposes.
(3)Application to department of defense.—This subsection shall not apply to the Department of Defense to the extent that the provisions of this subsection are substantially similar to or duplicative of the provisions of chapter 87 of title 10. For purposes of paragraph (1), the Under Secretary of Defense for Acquisition and Sustainment (or a designee of the Under Secretary) shall be considered the Program Management Improvement Officer.
(b)Program Management Policy Council.—
(1)Establishment.—There is established in the Office of Management and Budget a council to be known as the “Program Management Policy Council” (in this subsection referred to as the “Council”).
(2)Purpose and functions.—The Council shall act as the principal interagency forum for improving agency practices related to program and project management. The Council shall—
(A) advise and assist the Deputy Director for Management of the Office of Management and Budget;
(B) review programs identified as high risk by the Government Accountability Office and make recommendations for actions to be taken by the Deputy Director for Management of the Office of Management and Budget or a designee;
(C) discuss topics of importance to the workforce, including—
(i) career development and workforce development needs;
(ii) policy to support continuous improvement in program and project management; and
(iii) major challenges across agencies in managing programs;
(D) advise on the development and applicability of standards governmentwide for program management transparency; and
(E) review the information published on a website described in section 1122.
(3)Membership.—
(A)Composition.—The Council shall be composed of the following members:
(i) Five members from the Office of Management and Budget as follows:(I) The Deputy Director for Management.(II) The Administrator of the Office of Electronic Government.(III) The Administrator of Federal Procurement Policy.(IV) The Controller of the Office of Federal Financial Management.(V) The Director of the Office of Performance and Personnel Management.
(ii) The Program Management Improvement Officer from each agency described in section 901(b).
(iii) Any other full-time or permanent part-time officer or employee of the Federal Government or member of the Armed Forces designated by the Chairperson.
(B)Chairperson and vice chairperson.—
(i)In general.—The Deputy Director for Management of the Office of Management and Budget shall be the Chairperson of the Council. A Vice Chairperson shall be elected by the members and shall serve a term of not more than 1 year.
(ii)Duties.—The Chairperson shall preside at the meetings of the Council, determine the agenda of the Council, direct the work of the Council, and establish and direct subgroups of the Council as appropriate.
(4)Meetings.—The Council shall meet not less than four times per fiscal year and may meet at the call of the Chairperson or a majority of the members of the Council.
(5)Support.—The head of each agency with a Project Management Improvement Officer serving on the Council shall provide administrative support to the Council, as appropriate, at the request of the Chairperson.
(Added Pub. L. 114–264, § 2(b)(1), Dec. 14, 2016, 130 Stat. 1372; amended Pub. L. 116–92, div. A, title IX, § 902(86), Dec. 20, 2019, 133 Stat. 1554; Pub. L. 116–283, div. A, title VIII, § 884, div. H, title XCVI, § 9601(c)(2)(D), Jan. 1, 2021, 134 Stat. 3790, 4828.)