OMB BULLETIN 1983

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP06M00944R000200150001-9
• Release Decision: RIPPUB
• Original Classification: C
• Document Page Count: 182
• Document Creation Date: January 4, 2017
• Document Release Date: August 1, 2013
• Sequence Number: 1
• Publication Date: October 6, 1982
• Content Type: REPORT

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EXECUTIVEOFFICEOfTHE PRESIDENT
OFFICE OF MANAGEMENT AND BUDGET
WASHINGTON, D.C. 20503
October 6, 1982
Bulletin No. 83-3
TO THE HEADS OF EXECUTIVE DEPARTMENTS AND ESTABLISHMENTS
SUBJECT: Excess and Near Excess Foreign Currencies
1. Purpose. This Bulletin informs the departments and
agencies of the U.S. owned foreign currencies that have been
determined by the Secretary of the Treasury to be in excess
or near excess supply.
2. Rescission. This Bulletin supersedes and rescinds OMB
Bulletin No. 82-2 of October 9, 1981. The provisions con-
tained in this Bulletin remain in effect until September 30,
1984, unless superseded or rescinded at an earlier date. .
3. Policy. Specific guidance on the utilization of excesa
and near excess foreign currencies is contained in Office of
Management and Budget (OMB) Circular No. A-20, Revised. In
general, full utilization of excess and near excess foreign
currencies in lieu of U.S. dollars--consistent with inter-
national agreements and availability of the currencies--must
be an objective of every agency with transactions in the
respective countries. In that connection, agencies are
reminded that section 13.2(f) of OMB Circular No. A-11
provides instructions for the submission of appropriations
estimates for special foreign currency programs. Such
amounts do not affect overall budget totals; therefore,
requests need not be constrained to meet budget goals.
4. Excess currencies. Currencies of the following countries
are excess to the Government's normal requirements for fiscal
years 1983 and 1984.
Burma Pakistan
Guinea Poland
India
S. Near excess currencies. Supplies of currencies available
for U.S. programs for fiscal year 1982 'in the following
places are above immediate needs, but are not sufficient to
be declared excess.
Taiwan
Yugoslavia
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6. Effective date. This Bulletin is effective immediately.
7. Inquiries. Inquiries and requests for assistance should
be addressed to the Office of Management and Budget, Budget
Review Division, telephone [phone].
David A. Stockman
Director
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uplb bulletin NO. 65?L
5 October 1982
Dist: 1- OGC Library .
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-"? EXECUTIVE 01-1-1Lt Ur tilt. rnt.blut.N
OFFICE OF MANAGEMENT AND BUDGET
WASHINGTON, D.C. 20503
October 5, 1982
BULLETIN NO. 83-2
TO THE HEADS OF EXECUTIVE DEPARTMENTS AND ESTABLISHMENTS
SUBJECT: Apportionment Under The Continuing Appropriations for
1983
1. Purpose. This Bulletin provides guidance and instructions
for the preparation and submission of requests to apportion
amounts appropriated under the Resolution for Continuing
Appropriations for 1983, P.L. 97-276.
2. Authority and Coverage. This Bulletin is issued pursuant
to the Antideficiency Act, section 3679 of the Revised
Statutes, as amended, (subchapter II of chapter 15 of title 31,
United States Code) and applies to amounts provided in P.L.
97-276. The Act requires the Director of the Office of
Management and Budget (OMB) to apportion all appropriations
made available to Executive Branch agencies except those
exempted by law.
Except as amended by this Bulletin, instructions on budget
execution provided in OMB Circular No. A-34 will continue to
apply.
3. Background. The use of continuing resolutions to cover
more programs and for longer periods of time requires formal
procedures for the apportionment of amounts made available in
this manner.
a. Amounts appropriated by P.L: 97-276 are provided:
ma. mat
as specific amounts, e.g., (1) the lower of the amount
provided in the House or the Senate appropriations bill;
(2) an amount specified in the Continuing Resolution; or
(3) the amount provided in the Conference Report;
at the current rate, defined (in accordance with the
Comptroller General's decision of May 14, 1979) as
equivalent to the total funds that were available for
obligation for a program during the previous fiscal
year; or
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at the .rate to maintain current operating levels,
defined as ail amount necessary to cover the anticipated
full year cost of entitlement programs and the
anticipated participation rates of a few non-entitlement
programs that provide benefits to individuals, i.e., the
current services amount for entitlement programs or
programs with specified participation levels. All other
accounts in the appropriations pills to which the
"maintain current operating levels" rule applies will be
apportioned at the current rate.
b. Appropriations and funds under the Continuing
Resolution are available for different periods of time. Those
for Executive Branch departments and agencies that are subject
to the provisions of section 102 of P.L. 97-276 shall remain
available until:
enactment into law of an appropriation for any project
or activity provided for in the joint resolution;
enactment of the applicable appropriation act by both'
Houses without any provision for such project or
activity; or
December 17, 1982, whichever first occurs.
4. Policies on Apportionment Requirements and Warrant
Requests. Amounts provided urder the Continuing Resolution
will be apportioned whenever such amounts would be apportioned
under a regular appropriation. In many pases, the apportion-
ment will be automatic; in other cases, the agency will be
requieed to request formal apportionment.
a. Should the annual appropriation be enacted by the
Continuing Resolution or during the period covered by the
Continuing Resolution, the department or agency will request
apportionment or reapportionment in accordance with
instructions in OMB Circular No. A-34.
b. For appropriations or funds that are subject to section
102, a pro-rata share of 22% of the annualized level of
appropriations will be deemed to be realized and no formal
apportionment request is required, unless otherwise determined
by OMB, or when the following conditions apply..
(1) If in the view of the agency, the appropriations
estimated to be available would exceed 22% of the annualized
level specified by P.L. 97-276, the agency will request a
formal apportionment, i.e., will submit to OMB an Apportionment
and Reapportionment Schedule (S.F. 132).
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The formal apportionments submitted to OMB will include
a written justification for the higher amount. This justifica-
tion will identify the annual amount. Examples of such a
justification could be that ooligation rates are seasonal
and/or have occurred for comparable time periods of prior
years.
(2) Also, formal apportionments are required when
amounts are provided for at the current rate and end-of-year
operations differ from the annualized level provided during
that year. This applies specifically to cases where the
Congress has required a program to begin, expand, or reduce
operations during fiscal year 1982. An explanation of the
basis for such an apportionment request will accompany the S.F.
132.
c. Where appropriations are not subject to section 102,
agencies will determine the amount of appropriations realized
from the language of P.L. 97-276 and will submit a request for
apportionment for that amount whenever such amounts would be
apportioned under a regular appropriation, unless exempted by
OMB.
d. The agency requests for warrants from Treasury may not
exceed the amount apportioned by OMB. They will be shown on
(Di line 1A, Budget Authority:
Appropriations realized, of the
S.F. 132.
Unobligated balances of amounts warranted by
Treasury and apportioned under the Continuing Resolution will
be included on line 9.A., Unobligated balances available
(Apportioned, Category A) or line 9.3., Unobligated balances
available (Apportioned, Category B) of the Report on Budget
Execution (S.F. 133), and not on line 9.C., Unobligated
balances available (Other balances available).
5. Agency responsibilities. Agencies provided with
appropriations or funds made available and authority granted
pursuant to the Continuing Resolution will:
a. Estimate the appropriations And funds made available
and authority granted by the Resolution.
b. Submit in accordance with the provisions of this
Bulletin apportionment requests to OMB not later than October
15, 1982.
c. Provide a copy of each approved apportionment request
(S.F. 132) to the Department of the Treasury as soon as
possible after approval by ONE.
d. Seek appropriation warrants from the Treasury in
amounts that do not exceed the amounts apportioned by OMB.
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6. Obligation of Funds Prior to Approval of Formal Apportion-
ment by OMB. Agencies may obligate funds necessary to continue
normal operations prior to OMB approval of initial apportion-
ments made under the Continuing Resolution but only up to the
amount that would have been apportioned as per paragraph 4
above.
If an agency obligates in excess of the amount automatically
apportioned or in excess of the amount approved by OMB,
whichever applies, the head of the agency will furnish to the
President, through the Director of OMB, and to the Congress a
report on an Antideficiency Act violation in the form required
by section 71 of OMB Circular No. A-34.
7. Timing. For automatic apportionments specified under
paragraph 4b of this Bulletin, no further action is needed
unless specifically required by OMB. In all other cases,
agencies will furnish OMB with formal apportionment requests
not later than October 15, 1982.
8. Information contact. For further information, agencies
should contact their OMB examiner.
9. Sunset date. This Bulletin expires December 17, 1982.
David A. Stockman
Director
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OFFICE OF MANAGEMENT AND BUDGET
WASHINGTON, D.C. 20533
October 5, 1982
BULLETIN NO. 83-1
TO THE HEADS OF DEPARTMENTS AND ESTABLISHMENTS
SUBJECT: Initial Submission of Current Services Estimates
for the 1984 Budget
1. Purpose. This Bulletin contains instructions concerning
the initial submission of current services estimates for
fiscal years 1983 through 1988. The information is needed to
provide a reference baseline for the 1984 budget. Current
services data will need to be revised in late December to
reflect final budget economic assumptions and final
Congressional action.
2. Background. Section 605 of the Congressional Budget Act
of 1974 (P.L. 93-344) defines current services estimates as
the outlays and budget authority that wodld be required if
all programs and activities were carried Oh at the same level
as the fiscal year in progress and without policy changes.
The law requires that such estimates of outlays and budget
authority be submitted to the Congress for the budget year.
However, the experience of the past year suggests strongly
that the Administration needs to collect five-year current
services projections for use as a reference base in preparing
the 1984 budget. The Administration will also want to
publish such projections in the budget document. This
Bulletin is concerned with the projections needed now;
guidance on the projections to be submitted for inclusion in
the budget will be provided later.
Sections 27.1-27.3 of OMB Circular No. A-11 provide
instructions for the preparation and submission of current
services estimates that are normally published in the budget
document. These A-11 instructions should be referred to in
preparing the estimates required by this Bulletin, as well as
those to be prepared for the budget document.
3. Basis for the estimates.
a. Current services base estimates for fiscal year 1983.
For the current year, the current services base will reflect
revised economic assumptions and completed Congressional
action. In particular, the effects of the Omnibus
Reconciliation Act of 1982 (P.L. 97-253), the Tax Equity and
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Fiscal Responsibility Act of 1982 (P.L. 97-248), and enacted
appropriations are to be incorporated into the 1983 current
services base. In the absence of enacted appropriations, the
1983 current services base should be derived from the
annualized rates of budget authority and the outlay levels
implicit in the recently enacted Continuing Appropriations
for Fiscal Year 1983 (P.L. 97-276).
Amounts for the four percent October. 1, 1982, pay raise
should be reflected in the agency estimates through the use
of the appropriate pay supplemental line entries. However,
agency estimates should not reflect the amounts for future
pay raises. A separate Government-wide allowance will be
developed by OMB for this purpose.
Agency 1983 base totals should reflect the absorption of
50% of the October 1982 pay raise. Final guidance on pay
absorption rates related to the October 1, 1982, pay raise
will be provided by OMB at a later date.
b. Current services estimates for fiscal years 1984-
1988. In general, the current services estimates of budget
authority, outlays, and receipts for 1984 through 1988 should
reflect the anticipated costs--consistent with future price
levels contained in the economic assumptions provided by OMB
(for nonpay items)--of continuing ongoing Federal programs
and activities at the current year, current services base
levels without policy changes.
4. Materials required. OMB will provide the agencies with
new economic assumptions for 1983 through 1988 and copies of
current services computer listings for recording the current
services estimates. Agencies will complete these listings
and prepare the necessary supporting materials that are
required by section 27.3 of OMB Circular No. A-11, including
a summary table that shows a bridge between the current year,
current services base estimates and the budget year current
services estimates.
Agencies furnishing automated budget data to OMB via computer
terminals will use these terminals to enter the requested
information. All other agencies will mark up and return the
computer listings. The current services budget authority and
outlay data will be entered into Record Type "S/T" for 1983
through 1988. The current services receipts estimates will
be entered into Record Type "K" for 1983 and 1984 and into
Record Type "M" for 1985 through 1988.
5. Timing. Agencies will submit two (2) copies of the
required materials to OMB no later than October 18, 1982.
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6. Inquiries. Inquiries should be directed to the OMB
representative responsible for reviewing the agency's budget
estimates.
David A. Stockman
Director
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EXECUTIVE OFFICE OF THE PRESIDENT
OFFICE OF MANAGEMENT AND BUDGET
WASH I NGTON D.C. 20503
October 10, 1984
BULLETIN NO. 82-17, Supplement No. 2
TO THE HEADS OF EXECUTIVE DEPARTMENTS AND ESTABLISHMENTS
SUBJECT: Budget Execution Procedures for Federal Credit Programs
This Supplement extends OMB Bulletin No. 82-17, Budget Execution
Procedures for Federal Credit Programs, dated September 17, 1982,
to September 30, 1985.
David A. Stockman
Director
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EXECUTIVE OFFICE OF THE PRESIDENT
OFFICE OF MANAGEMENT AND BUDGET
WASHINGTON, D.C. MOS
October 11, 1983
BULLETIN NO. 82-17, Supplement No. 1
TO THE HEADS OF EXECUTIVE DEPARTMENTS AND ESTABLXSHMENTS
SUBJECT: Budget Execution Procedures for Federal Credit Programs
This Supplement extends OMB Bulletin No. 82-17, Budget Execution
Procedures for Federal Credit Programs, dated September 17, 1982,
containing instructions on budget execution for all Federal
credit programs that are subject to enacted annual limitations in
fiscal year 1983 to cover annual credit limitations for fiscal
year 1984.
au414.
David A. Stockman
Director
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EXECUTIVE OFFICE OF THE PRESIDENT
OFFICE OF MANAGEMENT AND BUDGET
WASHINGTON, D.C. 20933
October 5, 1983 CIRCULAR A- 126
TO THE HEADS OF. EXECUTIVE DEPARTMENTS AND ESTABLISHMENTS
SUBJECT: Improving the Management and Use of Government Aircraft
1. Purpose. This Circular prescribes policies to be followed by
executive agencies in acquiring, managing, using, accounting for
the costs of, and disposing of aircraft configured to carry
passengers or cargo. It is being issued to improve the management
of government aviation resources. It shall not restrict the use
of specially configured or equipped mission aircraft by those
responsible for their use for bona fide mission purposes.
2. Background. Reports by the General Accounting Office 'an0 by
several Inspectors General indicate the need to improve the
management of government-owned and leased aircraft. Specific
attention has been drawn to agencies acquiring aircraft which
exceed their mission requirements in both numbers and capabilities
and the use of these aircraft in situations where use of
commercial airlines or other commercially available services would
be more cost effective. The Office of Management and Budget has
concluded that clear government-wide policy guidance in this area
is necessary to address this problem effectively.
3. Scope and Coverage. This Circular applies to all government-
owned, eased, chartered and rental aircraft configured to carry
passengers and cargo and related services operated by. Federal
executive branch agencies, within the continental United States.
4. General Policies. The following general policies apply to the
acquisition, management and administrative use of agency owned or
operated aircraft:
a. Agencies are responsible for establishing clear
accountability for aircraft management at a senior
management level.
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b. The number of aircraft and their capacity to carry
passengers and cargo shall not exceed that required
for mission purposes.
c. Government aircraft shall be used only when such use
is more economical than commercial aircraft or airline
services in carrying out the government's mission, or
when commercial service is not available to effectively
meet the agency's transportation need.
d. The transportation of passengers on government aircraft
shall be limited in accordance with law and as
authorized by an official agency travel policy.
e. Agencies shall at least annually review the continuing
need for aircraft and the cost effectiveness of aircraft
operations. When not fully justified, agencies shall
release underutilized aircraft.
5. Specific Policies. The following policies apply to the
operation of agency owned, leased or chartered aircraft for
administrative support purposes:
a. Allowable administrative support purposes - Agency owned
or operated aircraft shall only be used to transport
agency employees, government authorized cargo, other
official government passengers, and others whose
transportation on these aircraft is permitted by statute
or an official agency directive or policy.
b. Types of aircraft used - Wherever possible, agencies
shall use their most cost effective aircraft to satisfy
administrative support requirements. Exceptions to this
usage shall be documented in writing.
c. Approval - Only an agency head or officials designated by
the agency head may approve the use of agency aircraft
for administrative support purposes.
d. Justification - Agencies may justify the use of aircraft
for administrative support purposes if any of the
following criteria are met:
(1) The aircraft was scheduled to perform a bona fide
mission or training activity, and the minimum
mission or training requirements have not been
exceeded.
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(2) Failure to use the aircraft for administrative
support purposes would result in the failure to
meet the minimum mission or training
requirements.
(3) No commercial aircraft or airline service was
reasonably available to effectively fulfill the
transportation requirement.
(4) The variable cost of using a government-operated
aircraft (as defined by the providing agency) is
not more than the cost of using commercial
aircraft or airline service. The cost of using
commercial aircraft or airline service includes
the costs of any additional travel and lost
employees' work time (computed at gross hourly
costs to the government). When the flight is
being made to meet mission or training
requirements, secondary use of the flight for
transportation would in effect be a cost savings
and cost comparisons would not be appropriate.
6. Responsibilities.
a. All executive branch officials with statutory authority to
procure aircraft will assure that their procurement
policies and procedures are consistent with the
requirements of OMB Circular A-76.
b. The Secretaries of Defense and State and the Administrator
of General Services will incorporate the applicable
policies in this Circular in the travel regulations which
they promulgate for uniformed service, foreign service,
and civilian employees, respectively. Travel on
government aircraft must be justified to and approved by
an agency official designated by the agency head. All
official travel on government aircraft must be properly
authorized.
c. Except for provisions of this Circular which specify their
own implementation dates, each agency head shall issue
internal agency directives to implement this Circular no
later than 120 days from the date of the Circular. These
internal agency directives must include all policies
contained in this Circular, but may also contain
additional policies unique to the agency. Responsibility
for these policies shall be assigned to a senior
management official who has the authority and resources to
implement them.
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7. Accounting for Aircraft Costs. Agencies must Maintain systems
for their aircraft operations which will permit them to: (1)
justify the use of government aircraft in lieu of commercially
available aircraft, or the use of one government aircraft in lieu
of another; (2) recover the costs of operating government aircraft
when appropriate; (3) determine the cost effectiveness of various
aspects of their aircraft programs; and (4) conduct the cost
comparisons required by OMB Circular A-76 to justify in-house
operation of government aircraft versus procurement of
commercially available aircraft services.
8. Effective Date. This Circular is effective on publication.
9. Information Contact. All questions or inquiries should be
addressed to the Management Reform Division, Office of Management
and Budget, telephone number 202/395-6903.
avu.p/ 4 .gtc-
David A. StoCkman
Director
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BUILFTIN NO. 82-17
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EXECUTIVE OFFICE OF THE PRESIDENT
OFFICE OF MANAGEMENT AND BUDGET
WASHINGTON. D.C. 20603
September 17, 1982
BULLETIN NO. 82-17
TO THE HEADS OF EXECUTIVE DEPARTMENTS AND ESTABLISHMENTS
SUBJECT: Budget Execution Procedures for Federal Credit
Programs
1. Purpose. This Bulletin .provides instructions on budget
execution for all Federal credit programs that are subject to
annual limitations. It provides instructions for apportionment,
reapportionment, budget execution, systems for administrative
control, and reports on violations of Section 3679 of the
Revised Statutes (31 U.S.C. 665) for the annual limitations.
Instructions for apportionment and budget execution of the
related appropriation or fund account are provided in OMB
Circular No. A-34, as revised.
2. Rescission. OMB Bulletin No. 80-12, dated July 30, 1980, is
hereby rescinded.
3. Background. Since fiscal year 1981, many Federal credit
programs have been controlled by separate annual limitations
enacted through the appropriations process. As prescribed by
section 31.5 of OMB Circular No. A-11, for each appropriation or
fund account that covers a direct loan or guaranteed loan
program, limitations on the amounts of those credit programs for
the budget year must be proposed for inclution in appropriation
language, unless specifically exempted by OMB.
OMB Bulletin No. 80-12 provided the initial instructions on
budget execution procedures for all credit programs that are
subject to annual limitations. The instructions reflected the
treatment of guaranteed loans at the time. Specifically, where
the principal amount of the loan was only partially guaranteed
by the Government, only the amount of the Government's con-
tingent liability was counted.
Beginning with fiscal year 1983, amounts for guaranteed loan
limitations will be stated in terms of the full principal amount
of loans guaranteed, whether guaranteed in fgll or in part.
This Bulletin provides revised instructions that reflect the
change in treatment of guaranteed loans.
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4. Coverage. All credit programs for which there are enacted
annual limitations on the amounts of direct loans or guaranteed
loans are covered by the instructions contained in this
Bulletin.
5. Definitions. For the purposes of this Bulletin, the follow-
ing definitions apply:
a. A direct loan is a disbursement of funds (not in
exchange for goods or services) that is contracted to be repaid
with or without interest, or either of the following trans-
actions:
-- direct Federal participation in loans privately made
or held; and
-- purchase of private loans through secondary market
operations.
A direct loan is counted against the annual limitation when the
principal amount is obligated. (See Section 6.b.)
b. Gross obligations for direct loans means the amount obli-
gated during a fiscal year, without reductions for such items as
repayments, prepayments, sale of loan assets, defaults, or for-
giveness.
c. A guaranteed loan is the principal amount of any loan for
which the Government pledges to pay part or all of the loan prin-
cipal and interest to a lender or holder of a security, in the
event of default by a third party borrower. For the purposes of
credit control, the term includes agreements in the form of loan
insurance; i.e., a program to pool risks, pledging the use of
insurance premiums, and, under some circumstances, other
resources to secure a lender against default by a borrower. The
term also includes direct Federal loans that the Government has
sold under guarantee or repurchase agreements.
A guaranteed loan is counted against the annual limitation when
a firm commitment is made, i.e., when the Government enters into
a guarantee agreement to become effective at such time as the
lender meets stipulated preconditions. A commitment must be
reported for every guaranteed loan, even though the commitment
and the actual guarantee may occur simultaneously. Where the
principal amount of a loan is partially guaranteed by the Govern-
ment, the full principal amount of the loan will be counted.
d. Gross commitments for guaranteed loans means the amount
committed during a fiscal year, without reductions for such items
as repayments, prepayments, sale of guaranteed loans, or
defaults.
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6. Apportionments and reapportionments.
a. Requirements and exemptions. All limitations on direct
loan and guaranteed loan activities that are specified in appro-
priations will be apportioned, unless specifically exempted by
OMB. This apportionment is in addition to the apportionment of
the related appropriation or fund account.
Initial apportionment requests for direct loan and guarantee4
loan limitations will be submitted to OMB within 10 calendar days
after the enactment of the appropriation containing the limita-
tion. They will be consistent with and will accompany the appor-
tionment or reapportionment request for the related appropriation
or fund account, except in those cases where the related appro-
priation or fund account is not apportioned.
b. Basis of apportionment. Apportionment action for direct
loan limitations will be based on obligations to be incurred.
For guaranteed loan, limitations, apportionment action will be
based on commitments to be made.
c. Types of apportionments. Direct loan and guaranteed loan
limitations will be apportioned for calendar quarters (category A
apportionments), or, when approved by OMB, for other time
periods; for activities, projects, objects; or for a combination
thereof (category B apportionments). Under no circumstances will
amounts be apportioned for periods longer than the current fiscal
year.
When the amount of the limitation that is apportioned is less
than the total amount of the limitation that is specified in the
appropriation language, the unapportioned amount cannot be used
unless the limitation is reapportioned. The lesser amount appor-
tioned may reflect a restrictive withholding in the related
appropriation or fund; it may reflect a lack of budgetary
resources in the related appropriation or fund; or, when the
limitation is related to a revolving fund, it may be part of the
unapportioned balance of the related revolving fund. In those
instances where the lesser amount apportioned for direct loans
reflects a restrictive withholding in the related appropriation
or fund account, the restrictive withholding will be reported on
the apportionment form of the related appropriation or fund as
"deferred" or "withheld pending rescission," as required by OMB
Circular No. A-34. In no instance, however, is a proposed
rescission or deferral report required for the credit apportion-
ment itself.
In any case, the apportionment for the limitation will show the
unapportioned amount as the "unapportioned balance of limita-
tion."
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d. Reapportionment. Requests for reapportionment will be
submitted to OMB as soon as a change in the previous apportion-
ment of the limitation becomes necessary due to changes in
amounts available, program requirements, or other factors, e.g.,
preconditions of guarantee commitments not met. Such requests
should be submitted to OMB for action in a timely manner because
apportionment action for, a specific time period may not be
changed after the end of the period.
e. Procedures. Requests for apportionment or reapportion-
ment of credit limitations will be prepared in accordance with
the instructions contained in Attachment A.
An original and one copy of any apportionment schedule for each
credit limitation will be submitted directly to OMB. The
original of the first sheet of the report will be signed by an
officer duly authorized by the ?head of the agency. If the
related appropriation or fund account is apportioned, the appor-
tionment request of the credit limitation should be attached to
the apportionment request of the related appropriation or fund
account.
7. Reports on budget execution for credit limitations. Unless
otherwise specified by OMB, separate budget execution reports
will be prepared in accordance with the instructions in Attach-
ment B for all limitations on direct loan and guaranteed loan
programs included in appropriations acts. The budget execution
reports for limitations on credit programs will have the same
coverage as the apportionment schedule for limitations on credit
programs. An original of the budget execution report for limita-
tions on credit programs will be attached to the budget execution
report of the related appropriation or fund. Both reports will
be submitted within 20 days after the close of each calendar
month, or such other period, as specified by OMB.
8. Administrative control of credit programs. Agency regula-
tions governing the administrative control of funds (OMB Circular
No. A-34, Part III) for any agency that has either a direct loan
or guaranteed loan limitation will be revised by the agency to
include credit control provisions, and submitted to OMB for
review and approval. The credit control provisions will be
designed to:
a. restrict obligations for direct loans to the amount of
the limitation apportioned or the amount of budgetary resources
?
available, whichever is smaller; and restrict commitments for
guaranteed loans to the amount of the limitation apportioned;
and
b. enable the agency head to fix responsibility for the
creation of or the making of any direct loan obligation or
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guaranteed loan commitment in excess of the apportioned or
reapportioned amounts.
9. Reports of violations. Section 3679 of the Revised Statutes
(31 U.S.C. 665) provides that the agency head will furnish to the
President, through the Director of OMB, and to the Congress,
information on violations. Reports are required wherever an
officer or employee of the United States has authorized or
created a direct loan obligation or guaranteed loan commitment in
excess of the amount permitted by the prescribed and approved
administrative control system. The reports on violations w411 be
in the form prescribed in Part VII of OMB Circular No. A-34.
10. Inquiries. Inquiries and requests for assistance with
respect to the requirements contained in this Bulletin should be
addressed to the agency's OMB budget examiner.
11. Effective date. This Bulletin is effective upon issuance
and applies to fiscal year 1983 credit limitations.
.Fiast;e4-4
David A. Stockman
Director
Attachments
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. Attachment A
Bulletin No.
Explanation of Apportionment and Reapportionment Schedules
for Limitations on Direct Loan and Guaranteed Loan Programs
Separate apportionment schedules for each annual limitation on a
direct loan or guaranteed loan program will be submitted in the format
of Exhibits 1 and 2, -respectivelY, within 10 calendar days -after the
enactment-of the appropriation containing the limitation
The apportionment and reapportionment schedule for limitations is
divided into two general sections: "Direct Loan Limitation" or
"Guaranteed Loan Limitation," and "Application of Limitation."
Entries will be made in the column "Agency Request" for each applica-
ble line item. The column "Amount on Latest Credit Apportionment
Schedule" will be left blank on initial apportionment requests. On
reapportionment requests, the amounts in the 'Action by OMB" column of
the most recently approved credit apportionment schedule will be shown
in this column. The detailed information.to be reported on each line
0 of the form is explained below. All footnotes will be shown on the
reverse side of the schedule or on an attachment.
Amounts for guaranteed loan limitations will be the full principal
amounts of loans guaranteed, whether guaranteed in full or part.
DIRECT LOAN OR GUARANTEED LOAN LIMITATIONS
Line Entry Explanation
Line 1. Limitation on direct loans
or guaranteed loans Enter on line 1 the amount of
the limitation on obligations
for new direct loans or commit-
ments for new guaranteed loans
specified in appropriation .
acts.
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Line Entry Explanation
APPLICATION OF LIMITATION
2
- Line 2. Apportionments.... Enter the amount requested to
be apportioned under category
A, category B, or a combina-
tion thereof. The amount
apportioned will not exceed
'flurjr.C77?C1 3" -?fl"13: thennUal,limitatiOn- enacted.
in the appropriations process
but may be less than the ?
f.JL'124.1 f150_: V)S1N''
' t.;o iA .
In those instances where the
. ,x)upe; lessey ,ameunt,apportizned-for.
" ''''''directloans reflects ?a ?
restrictive Withholding in--
fof-, ?the :related appropriation'tr
T11, 7!;2)9( )2 In.:31'.:n,
. , 7 b'funthaccount)-the restrictive
""clr:" 'Lc C4' n3IH withholding will-be 'reported :
Tr "on the apportionment form of
-Jn9iHJEci" ' the -re' ateth,approptiation or
fund as "deferred" or "with-
hel4 loendingirescisston.,"tzs-?
required by OMB-CircUlar- No.?'
A-34. In no instance, how-
ever, is a proposed rescis-
si?n report
required for the credit
apportionment itself.
On reapportionment:requests4
in the space provided under
- the-heading "Memorandum: -
Obligations Incur-red," enter
the amount of obligations
incurred on the. the latest
budget execution report.
Likewise, under the heading
"Memorandum: Commitments
made," enter the amount of
commitments made on the latest
budget execution report.
n6 7
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Line Entry Explanation
Where the balance available
includes both category A and
B amounts, this entry should
equal the sum of these
balances.
Line 4. Balance of limitation
not available:
A. Apportionment of limitation
for subsequent periods
For direct loan and guaran-
teed loan limitations, enter
the amount apportioned by
time periods (in both cat-
egories A and B) that will
not become available until
later in the fiscal year, as
approved on the most recent
apportionment or reapportion-
ment schedule for the limita-
tion.
B. Unapportioned balance
of limitation Enter the amount that is
reported on line 3 of the
most recently approved
apportionment schedule for
the limitation.
Line 5. Total direct loan or guaran-
teed loan limitation Enter the sum of the amounts
on lines 2 through 4. This
amount should be identical to
the amount on line 1.
When required by OMB, more detailed information will be provided on
any or all of the above items, e.g., showing a distribution of obliga-
tions or commitments between category A and category B apportionments
or the amount of the Government's contingent liability for new
guaranteed loan commitments.
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Exhibit 1
Bulletin No.
0
APPORTIONMENT AND REAPPORTIONMENT SCHEDULE
FOR CREDIT LIMITATIONS
Fiscal Year 83
Agency
Department of the Government
Appropriation or Fund Title and
Symbol
88X4437
Bureau
Bureau of Loans
Description
Amount
on Latest
Agency
Action
by
Credit
Apportion-
ment
Schedule
Request
OMB
DIRECT LOAN LIMITATION
1.
Limitation on direct loan
obligations
1,500,000
APPLICATION OF LIMITATION
Memorandum:
Obligations
incurred
2.
Apportionments:
Category A:
)
(1) First quarter..
275,000
(2) Second quarter.
275,000
(3) Third quarter..
275,000
(4) Fourth quarter.
275,000
Category B:
(1) Project XYZ....
200,000
(2)
(3)
(4)
3.
Unapportioned balance of
limitation
200,000
4.
Total, limitation on direct
loan obligations
1,500,000
Submitted N. Williams
10/9/82
(Authorized (Date)
Officer)
Apportioned
(Date)
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Exhibit 2
Bulletin No.
Fiscal Year 83-
APPORTIONMENT AND REAPPORTIONMENT SCHEDULE
FOR CREDIT LIMITATIONS
Agency
Department of Government
Appropriation or Fund Title and
Symbol
88X4439
'Bureau
Bureau of Guarantees
Description
Amount on Latest
Credit Apportion-
Latest Report
Agency
Request
Action by
OMB
GUARANTEED LOAN LIMITATION
100,000,000
1. Limitation on guaranteed
loan commitments
APPLICATION OF LIMITATION
24,000,000
24,000,000
24,000,000
24,000,000
2,000,000
2,000,000
Memorandum:
Commitments
made
2. Apportionments:
Category A:
(1) First quarter..
(2) Second quarter.
(3) Third quarter..
(4) Fourth quarter.
Category B:
(1) Project XYZ....
(2)
(3)
(4)
3. Unapportioned balance of
limitation
4. Total, limitation on guaranteed
loan commitments
100,000,000
Submitted N. Williams 10/9/82
(Authorized (Date)
Officer)
Apportioned
(Date)
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Attachment B
Bulletin No.
Explanation of Budget Execution Reports
for Direct Loan and Guaranteed Loan Limitations
Separate reports on Credit Budget Execution for each annual limitation
on direct loan or guaranteed loan programs will be submitted in the
; format of Exhibit 3 (for direct loan limitations) or Exhibit 4 (for
guaranteed loan limitations). Reports will be submitted within 20
days after the close, of each calendar month, or such other period
specified by OMB. Amounts reported will be rounded to the nearest
dollar and will be cumulative from the beginning of the fiscal year to
the end of the period covered by the report. An amount involving
exactly half a dollar will be rounded to the nearest even dollar.
The information to be entered on each line of the report is
explained below. All footnotes will be shown on the reverse side of
the report or on an attachment.
Amounts for guaranteed loan limitations will be the full principal
amounts of loans guaranteed, whether guaranteed in full or in part.
DIRECT LOAN OR GUARANTEED LOAN LIMITATION
Line Entry Explanation
Line I. Limitation on direct loans or
guaranteed loans Enter on line I the amount of
the limitation on obligations
for new direct loans or com-
mitments for new guaranteed
loans specified in appropria-
tion acts.
STATUS OF LIMITATION
Line 2. New loan obligations or new
guaranteed loan commitments...
Enter the amount of obliga-
tions incurred or commitments
made from the beginning of
the current fiscal year to
the end of the period covered
by the report.
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Line Entry
Line 3. Balance of limitation
available
Explanation
In the parentheses ( ), enter
,the amount of obligations
incurred or commitments made
since the last report.
For amounts apportioned under
category A, enter the differ-
ence between the cumulative
amount apportioned under
category A through the
current quarter and the
obligations incurred or.
commitments made under those
apportionments through the
end of the period covered by
the report.
F6r amounts 'apportioned unde
category B where apportion-
ments are base,d upon time
periods within the year,
enter, the difference between
the cumulative amount appor-
tioned through the current
period and the obligations
incurred or commitments made
under those apportionments
through the end of the
period covered by the
report.
For amounts apportioned under
category B where amounts are
apportioned for the year as a
whole, this entry will equal
the total amount thus appor-
tioned less the obligations
incurred or commitments made
under those apportionments
through the end of the
period covered by the report.
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0 Line Entry
Category A
Category B
3
Explanation
Enter the amount of obliga-
tions for direct loans or com-
mitments for guaranteed loans
to be apportioned for each
calendar quarter in the fiscal
year. Apportionments pre-
viously established are not
subject to change after the
close of the period for which
the apportionment is made.
Enter the amounts requested
to be apportioned on a basis,
other than calendar quarters,
such as other time periods,
activities, projects, or a
combination thereof. Enter
in the stub column a descrip-
tion of the type of appor-
tionments requested.
Where insufficient space Is
provided on the schedule to
list the categories by which
apportionments are to be made
or where apportionments are
to be made both by activities
(or projects) and by time
periods within the fiscal
year, the distribution of
requested apportionments will
be shown on the back of the
schedule or in an attach-
ment.
Line 3. Unapportioned balance of
limitation Enter the difference between
the total amount of the
limitation specified in the
appropriation and the amount
of the limitation that is
apportioned above.
For direct loans, this amount
may reflect a restrictive
withholding (proposed rescis-
sion or deferral) in the
related appropriation or
fund; it may reflect a lack
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4
Line Entry Explanation
of budgetary resources in the
related appropriation or
fund; or it may be part of
the unapportioned balance of
the related revolving fund.
Line 4. Total direct loan or guaranteed
loan limitation
Enter the sum of the amounts
on lines 2 and 3. This entry
should be the same as the
amount reported on line 1.
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0
REPORT ON. CREDIT BUDGET EXECUTION
Agency
Department of Government
Bureau
Bureau of Loans
Description
Exhibit 3
Bulletin No.
Period ended:
December 31, 1982
Appropriation or Fund----
Title and Symbol
88X4437
DIRECT LOAN LIMITATION
1. Limitation on direct loan obligations....
STATUS OF LIMITATION
2. New loan obligations ($83,000)
3. Balance of limitation available
4. Balance of limitation not
available:
(:) A. Apportionment of limitation
for subsequent periods
B. Unapportioned balance of limitation
5. Total, limitation on direct loan
obligations
1,500,000
250,000
225,000
825,000
200.000
1,500,000
N. Williams 1/10/83
(Authorized Officer) (Date)
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REPORT ON CREDIT BUDGET EXECUTION
Agency
Department of Government
Bureau
Bureau of Guarantees
Description
Exhibit 4
Bulletin No.
Period ended:
December 31, 1982
Appropriation or Fund
Title and Symbol
88X4439
GUARANTEED LOAN LIMITATION
1. Limitation on guaranteed
loan commitments
STATUS OF LIMITATION
2. New guaranteed loan commitments
($8,000,000)
3. Balance of limitation
available
4. Balance of limitation not available:
A. Apportioned for subsequent
periods
B. Unapportioned balance of limitation
5. Total, limitation on guaranteed loan
commitments
100,000,000
24,000,000
2,000,000
72,000,000
2,000,000
100,000,000
N. Williams 1/10/83
(Authorized Officer) (Date)
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EXECUTIVE OFFICE OF THE PRESIDENT
OFFICE OF MANAGEMENT AND BUDGET
WASHINGTON, D.C. 2503
July 22, 1982
BULLETIN NO. 82-16
TO THE HEADS OF EXECUTIVE DEPARTMENTS, ESTABLISHMENTS, AND
INDEPENDENT AGENCIES
SUBJECT: Unified Agenda of Federal Regulations
1. Purpose.
This Bulletin establishes guidelines and procedures for the
preparation and publication of Regulatory Agendas describing new
regulations under development and existing regulations under
review within each agency of the Federal government.
2. Background of Authority.
This Bulletin is issued under the authority of Section 6(b) of
E.O. 12291 (Federal Regulation) to implement the provisions of
Section 5 of the Executive Order concerning the issuance of
Regulatory Agendas. Section 5 authorizes the Director of the
Office of Management and Budget (OMB) to prescribe the nature,
content, and form of Regulatory Agendas. In addition, this
Bulletin furthers the purposes of the Regulatory Flexibility Act
(5 U.S.C. 605) and the Executive Order in coordinating prepara-
tion of Agendas, providing the public with more comprehensive
documentation of the Federal government's current regulatory
plans, and providing a systematic means of monitoring regulatory
activity' in each agency.
3. Coverage.
The requirements of this Bulletin apply to all Executive depart-
ments and establishments subject to Executive Order 12291.
Independent regulatory agencies are requested to adhere to the
provisions of this Bulletin on a voluntary basis in order to
further the purposes set forth above.
4. General Requirements.
This Bulletin establishes the mechanism by which agencies
will report information concerning regulatory actions under
development or review. Regulatory Agendas shall include
information on all regulatory activities being conducted or
reviewed during the succeeding 12 months by the agency, except
for those excluded by Section 1(a) of E.O. 12291 or by the
Director of OMB. Routine regulations and those that relate to
internal agency management need not be included.
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5. Information Required in the Agendas.
Each Agenda will contain, at a minimum, the following
information, and will use the following headings to identify
that information for each regulatory action listed:
a. Title.
'b. Agency Contact -- The name, title, address and phone
number of a person in the agency who is knowledgeable
about the regulation.
c. Effects on Small Businesses and Other Entities,-- An
indication of whether the rule is expected to have a
significant economic impact on a substantial number of
"small entities" as defined by the Regulatory Flexibility
Act (5 USC 601(6)).
d. CFR Citation -- The section(s) of the Code of Federal
Regulations which authorize(s) or will be affected by the
action.
e. Legal Authority -- At a minimum, a citation to the
section of the United States Code (USC) or Public Law
(PL) or to the Executive Order that authorizes the
regulatory adtion. Common name references may be used in
addition to USC or PL references.
f. Abstract -- A description of the problem the regulation
will address, the alternatives being considered for
addressing the problem, and the potential costs and
benefits of the action.
Timetable -- The dates and citations (if available) for
all past and, at least, the next future stage of
rulemaking.
g?
6. Structure of the Agenda.
Each Agenda will be structured as follows:
a. Agency -- Actions for each agency or subagency will be
grouped together.
b. Type of Action -- Within each agency grouping, entries
will be listed by type of action in the following order:
i. Current and projected rulemakings.
ii. Reviews of Existing .Regulations -- Existing
regulations being reviewed within the agency to
determine whether to propose modifications through
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rulemaking. Once an agency decides to go forward
with an ANPRM or NPRM, the action should be listed
under current and projected rulemakings.
Completed actions -- These are regulations
completed or withdrawn, and reviews completed since
the preceding Agenda. For such actions, the agency
need only provide title; agency contact name and
phone number; Federal Register citation (including
date) of final action, if available; and reason for
completion. Agencies may include a brief abstract
of the final action at their discretion.
c. Priority/Other -- Within each grouping by type of action,
priority regulations will be listed together first and
other regulations will be listed together second.
Priority regulations will include all regulations
designated for priority development or review by the
agency head, all regulations that are "major rules" under
Section 1(b) of Executive Order 12291, and all regulations
designated for review by the Presidential Task Force on
Regulatory Relief.
7. Publication of the Unified Agenda of Federal Regulations.
Agencies will submit one signed original and two certified copies
of their Agendas to OMB. Agendas will meet the normal
requirements for publication in the Federal Register. OMB will
compile the Agendas and forward them as a complete group to the
Office of the Federal Register, which will have the Government
Printing Office print them in a single day's issue of the Federal
Register. Agencies will be able to obtain reprint copies of
their individual Agendas.
8. Effective Date.
This Bulletin applies to Regulatory Agendas to be published in
October 1982. Agencies shall submit their agendas to OMB's
Office of Information and Regulatory Affairs, Regulatory Policy
Branch, Room 3228, New Executive Office Building, not later than
September 24, 1982.
9. Information Contact.
For further information on the requirements of this Bulletin,
contact the Regulatory Policy Branch, Office of Information and
Regulatory Affairs (OIRA), OMB, telephone [phone], or the
agency's desk officer in OIRA. For further information
concerning the information requirements, format, completion, and
submission of agency agendas, contact the Regulatory Information
Service Center, telephone [phone].
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10. Sunset Date.
OMB will review the requirements of this Bulletin after publica-
tion of the October 1982 Agenda. After making any changes needed
to ensure minimum agency burden and maximum availability of
regulatory information, OMB will issue a Circular providing for
the publication of a Unified Agenda twice annually, in April and
October of each succeeding year.
Akif
David A. Stockman
Director
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OMB BULLETIN No. 82-15
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CIA-RDP06M00944R000200150001-9
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EXECUTIVE OFFICE OF THg PRESIDENT
OFFICE OF MANAGEMENT AND BUDGET
WASHINGTON. D.C. 20503
BULLETIN NO. 82-15
July 19, 1982,
TO THE HEADS OF EXECUTIVE DEPARTMENTS AND ESTABLISHMENTS
SUBJECT: Consultation with State and Local Governments on
Federally Assisted Programs and Projects
1. Purpose. This Bulletin provides interim policy guidance
governing consultation with state and local governments prior
to adoption of new regulations implementing Executive Order No.
12372.
2. Authority. Executive Order No. 12372 and the Intergovern-
mental Cooperation Act.
3. Background. The President has issued an Executive Order
entitled "Intergovernmental Review of Federal Programs." The
Order institutes a new policy providing elected officials of
state and local governments the opportunity to establish their
own process for review of Federal financial assistance or '
direct Federal development activities undertaken by the
agencies. It also provides that all Federal agencies shall
continue to comply with the requirements of A-95 and their own
rules and regulations until new regulations are adopted.
4. Policy.
(a) Agencies are directed by Executive Order No. 12372 to
retain their existing A-95 implementing procedures and regula-
tions until new implementation rules and regulations are issued
not later than April 30, 1983.
(b) Until new regulations are issued, Federal agencies shall
continue to require applicants for Federal assistance to seek
reviews through existing state and local review mechanisms
established pursuant to Circular A-95, unless a state sets up
alternative interim intergovernmental review processes. OMB
will inform the agencies of instances where states have made
changes in the present A-95 clearinghouse system if such
changes occur before the new regulations are issued.
(c) Rules, regulations, procedures, and program guidances for
state and local review of direct Federal development projects
shall likewise remain in effect. This shall include any memo-
randums of agreement between agencies, states, and areawide
organizations established under Part II of OMB Circular A-95.
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2.
(d) Between now and April 30, 1983, the agencies will work
with OMB in developing rules and regulations implementing
Executive Order No. 12372.
5. Timing. Agencies shall submit proposed rules and
regulations for OMB review during the next several months.
6. Inquiries. For further information, contact James F.
Kelly, Deputy Associate Director for Intergovernmental Affairs
(202-395-3774).
7. Sunset Date. This Bulletin expires on April 30, 1983.
/9/1M1 A ?2413(C44assq
DAVID A. STOCKMAN
DIRECTOR
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Copies distributed to AO/DCI & OGC Library 6/29/82
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f
EXECUTIVE OFFICE OF THE PRESIDENT
OFFICE OF MANAGEMENT AND BUDGET
WASHINGTON. D.C. 93503
June 16, 1982
Bulletin No. 82-14
TO THE HEADS OF DEPARTMENTS AND ESTABLISHMENTS
SUBJECT: Information required for the Mid-Session Review of
the 1983 Budget
1. Purpose. This Bulletin provides instructions for the
preparation and submission of revised estimates of budget
authority, outlays, and receipts data for 1982 through 1987;
revised estimates of Federal credit activity for 1982 and
1983; and estimates of .the spendout during 1984-87 of
balances of budget authority of controllable programs avail-
able at the end of 1983. This information will be used to
prepare the Mid-Session Review of the 1983 Budget and to
update the multi-year budget planning base.
2. Background. The Mid-Session Review, required under
section 601 of the Congressional Budget Act of 1974, will
present the current status of the President's Budget, includ-
ing estimates for Government-owned entities outside the
budget totals. The information published in the Review,
together with supporting data, will provide the Congress with
data needed to evaluate the President's budget, as revised.
They will also assist the Congress with its budget scorekeep-
ing responsibilities. OMB plans to transmit the Mid-Session
Review to the Congress no later than July 15, 1982, as
required by statute.
3. Materials Required.
a. Revised estimates of budget authoritx, outlays,
receipts, and Federal credit data. OMB will provide agencies
with three (3) copies of each of the following computer
listings:
Supplementary Source Data. This computer
listing, by baaiir account, contains budget
authority and outlays for 1982-1987 and a
distribution of outlays for 1982 and 1983.
Receipt Account Data File Listing. This computer
listing contains receipt accountinformation for
1981 through 1987. Since the 1981 data are for
the last actual year, only the 1982 through 1987
data should be adjusted.
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Federal Credit Data. This computer listing
.contains data on direct loan Obligations,
guaranteed loan commitments, and Federal
Financing Bank trangaCtions, by budget account;
for 1982 and 1983.
The data in these computer listings are based oh the
estimates developed for the April 9 Revision of the 1983
Budget, as adjusted by OMB for supplemental pay requests
requiring direct appropriations. Agencies will' revise
estimates in accordance with the guidelines .indicated in
section 4 of this Bulletin. Agencies furnishing automated
budget data to OMB via computer terminals will use these
terminals to make the changes contained ih Attachment A.
(These agencies should notify OMB as soon as possible of new
accounts that need to be added to the Master Account and
Receipt Account Title Files.) All other agencies will mark
up and return the computer listings. (Changes will be made
by drawing a single line through an' amount to be changed and
entering the revised amount above it in red.) Agencies
should follow the guidelineS shown on Attachment A in
entering/processing revised data for the computer file.
b. Estitate0 soendout for 1984-1987 from balances 0f
budget authority estitated for controllable programs at the
end of 1983. OMB will provide three (3) copies of a computer
.IiitiTtg at the account level containing estimates of
unexpended balances of controllable programs, as reflected in
the 1983 February Budget, to agencies that have balances at
the end of 1983 in excess of $100 million. These agencies
will revise the amounts for 1983, estimate the spendout of
these balances in future years in accordande with the
instructions in Attachment B and submit thiS information in
the format of Exhibit 1.
c. Analysis of Chtange. Agencies will submit two (2)
copies of tables in the form of Exhibit 2 [one showing budget
authority (net) and the other showing outlays (net)] to
explain major changes to the estimates. Minor changes may be
combined in an "Other changes" category. A memorandum entry
will be included for changes in governmental receipts and for
changes in direct loan obligations or guaranteed loan
commitments. For purposes of reporting, a major change is
defined as being one in excess of $50 million in any one
year. These tables will provide a bridge from the April 9
Revision estimates to the current estimates for 1982-1987.
Tables provided may be released to Congressional staff .to
provide supporting explanations for changes identified in the
Mid-Session Review.
?????.-e.
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CI
4. Basis for the revised estimates. Amounts for 1982-1987
will be reified to reflect changes due to revised economic
assumptions, technical reestimates, publicly announced
Presidential decisions, completed Congressional action, and
Congressional inaction. General guidance on the development
of the multi-year planning estimates is provided in section
26.2 of OMB Circular No. A-11.
a. Changes due to revised economic assumptions. OMB
will provide, as soon as possible, the revised economic
assumptions for the Mid-Session Review. Programs sensitive
to these assumptions should be revised accordingly.
b. Technical reestimates. Agencies should adjust the
estimates to reflect changes such as spending trends,
demographic data, or other factors that may require technical
reestimates.
c. Publicly announced Presidential decisions or
initiatives. Estimates should be revised to reflect changes
since the April 9 Revision due to:
budget amendments and supplementals transmitted
to the Congress or approved and pending in OMB
(the final compilation of estimates will be
adjusted by OMB to include only those items that
have been approved by the President).
deferral or rescission proposals transmitted.
releases by the Executive Branch of amounts
previously reserved under the Impoundment Control
Act that were not anticipated in the April 9
Revisions.
legislative proposals transmitted, approved, Or
publicly supported by the President.
other initiatives approved by the President.
d. Congressional action or inaction. Estimates should
be revised to reflect the effects of:
enacted substantive legislation (i.e., entitle-
ment and other legislation that has a direct
impact on the planning base).
enacted appropriations.
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final action or inaction on deferrals or proposed
rescissions and deferrals initiated by the
Administration or the Congress.
delays in acting on Administration-sponsored
legislation (where earlier Congressional action
had been assumed in the April 9 Revision esti-
mates). In preparing revised estimates for
legislative proposals not yet enacted by the
Congress, agencies should assume an effective
date of October 1, 1982, where an earlier date
had been assumed previously, unless there is a
high probability of earlier enactment.
Only those changes that follow directly from Congressional
action or inaction should be included. Enactment of discre-
tionary authorizations without subsequent completed appropri-
ations action should not be reflected in the revised planning
base.
e. Congressional budget resolution. It is likely that
the estimates will be prepared during Congressional consider-
ation of the First Concurrent Resolution for 1983. The
Administration may wish to support or disagree with various
alternatives of the resolution. However, agency estimates
should not reflect the resolution process or the Administra-
tion's positions unless there are explicit instructions to do
so by OMB. The resolution is guidance that the Congress uses
for its own budget formulation process, and program assump-
tions used in its formulation are not binding. Therefore it
does not, in general, provide guidance for Presidential
policy.
5. Timing.. Agencies will submit two (2) copies of each of
the required materials to OMB no later than June 23, 1982.
6. Inquiries. Inquiries should be directed to the OMB
representative responsible for reviewing the agency's budget
estimates.
(404i0P/41. 57tra".9
David A. Stockman
Director
Attachments
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Attachment A
Bulletin No. 82-14
GUIDELINES FOR ENTERING/PROCESSING
CHANGES TO THE COMPUTER
DATA BASE
Agencies will follow these guidelines for entering/processing
revised data for computer files.
1. Amounts are to be reported in thousands of dollars.
2. Changes to the proposed legislation (PL) column for
receipt data and to the 11-digit identification code for
supplementary source data may be required as follows (see OMB
Circular No. A-11, sections 21.3 and 28.2):
All enacted supplementals should be merged with the
parent account. The supplemental account should then
be deleted.
The effect of completed Congressional action on
rescission proposals (transmittal code 5), should be
reflected in the parent account. Pending rescission
proposals should continue to be treated as separate
accounts.
Amendments transmitted since the April 9 Revision
will be reflected in the computer materials by
adjusting the 1983 budget authority request or
receipt estimate appropriately and adjusting the
outlays in the years affected, to reflect the effect
of the amendment.
To permit accurate reporting and summarizing of
legislative proposals, the transmittal status for
amounts in the budget that were proposed for later
transmittal under proposed legislation (transmittal
code 2 on the supplementary source data files and
code "L" (legislation) under the "PL" (proposed
legislation) column of the receipt data files) should
be reviewed. If the authorizing legislation has been
transmitted (but not the appropriation request), the
transmittal code 2 should be retained. If the
authorizing legislation has been enacted, the
affected account should be changed to a code 3 (pro-
posed for later transmittal under existing legisla-
tion). If the authorization has been enacted and the
appropriation request transmitted to the Congress,
the transmittal code should be changed to "Supple-
mental under existing legislation" (transmittal code
1) on the supplementary source data files. For the
receipt data files, if the authorizing legislation
has been enacted, the "L" code should be crossed out
and the amounts adjusted, if necessary, to reflect
Congressional action.
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2
3. Pay supplementals and their associated amounts, if
enacted, should be merged into the "Appropriation" and "Out-
lays" entries (lines 40.00 or 43.00 and 90.00 of the A
section of the Supplementary Source Data listing).
4. Section B of the Supplementary Source Data listing should
be revised when necessary to agree with section A.
5. For appropriation or fund accounts not currently
reflected on the computer listings, and for supplementals and
pending rescission proposals transmitted since the April 9
Revision of the 1983 Budget, and still pending before the
Congress, agencies will submit two (2) copies of a Supple-
mentary Source Data (section A/D) form (see section 25.2 and
Exhibit 25A of OMB Circular No. A-11). For new receipt
accounts, the new accounts and related data should be entered
directly onto the computer listings.
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Attachment
Bulletin No. 82- 14
INSTRUCTIONS FOR REPORTING
ESTIMATED SPENDOUT OF BALANCES OF CONTROLLABLE PROGRAMS
1. Purpose. This attachment provides instructions for
preparing the report on estimated spendout of 1983 balances
of controllable programs.
2. Coverage. An analysis sheet in the format of Exhibit 1
will be prepared by agencies that will have unexpended
balances (the sum of obligated and unobligated balances) at
the end of 1983 in excess of $100 million. A one line agency
total for such balances will be entered on the analysis
sheet, with additional detail required for:
a. bureaus with account balances at the end of 1983 of
more than $1 billion;
b. ? appropriation accounts with 1983 year-end balances of
more than $100 million; and
c. accounts with balances of stand-by and back-up
authority; i.e., authority that would not be used except to
meet conditions or circumstances that may not occur (e.g.,
for bank deposit insurance to protect depositors in the event
of a bank failure).
When the detail required by 2a-c does not add to the agency
total, an "all other" line will be provided for the
remainder.
3. Basis for the estimates. The report will relate to
"controllable" programs only (i.e., those shown in the
"Balances and Outlays from Balances" computer listing
provided by OMB). Programs classified as uncontrollable are
specifically excluded from this report and will not be
included in the computer listing to be provided by OMB.
For the purpose of this report, the term "spendout" means
gross disbursements; it is not synonymous with the term "out-
lays," which means checks issued, interest accrued on the
public debt, or other payments net of receipts and reimburse-
ments. It is essential that the spendout report disregard
receipts and reimbursements and record gross disbursements
against unexpended balances. This distinction is
particularly important for revolving funds or accounts
where reimbursements represent a major aspect of the
financial program.
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In estimating the amount of spendout of 1983 balances in each
of the fiscal years 1984-1987, the following assumptions
should be used:
a. Obligated balances carried forward at the end of 1983
generally will be spent out in 1984. Important exceptions
are accounts having a long time lag between obligation and
disbursement; e.g., construction and major procurement
programs.
b. Unobligated balances will be obligated before new
authority, and generally will be spent out within a year
after the obligation is incurred, except as noted in
paragraph 3a above. Estimates of the spendout of these
balances can usually be based on assumptions concerning
obligation levels in 1984 and each year thereafter.
4. Required information. Affected agencies will be
furnished information from computer listings based on data in
the 1983 Budget on estimates of unexpended balances (lines 24
and 74 on the program and financing schedule) and spendout of
balances (lines 3130, 3140, 3230, and 3240 on the Supple-
mentary Source Data, section B) for 1981, 1982, and 1983.
(See sections 25 and 32 of OMB Circular No. A-11.) Specific
instructions for completing the report in the format of
Exhibit I are set forth below:
Description (col. 1).--This column should include the
account title, as well as other applicable entries required
by paragraph 2, above. Additional entries may be used if
deemed desirable, for clarity.
February budget estimate (col. 2).--This column should
contain the applicable amount provided in the computer
listing.
Current estimate (col. 3).--The latest estimate of 1983
balances is equal to the February budget estimate modified to
reflect subsequent changes due to Congressional action (or
inaction), reestimates, and Presidential initiatives.
These amounts must be consistent with the effects of any 1982
or 1983 changes reported elsewhere for the Mid-Session
Review. Assuming no changes in estimates of expiring
authority and disregarding receipts and reimbursements,
changes in estimates of budget authority and outlays will
have a direct effect on the estimate of the unexpended
balance (i.e., an increase in budget authority without a
corresponding increase in outlays will result in an equal
increase in unexpended balances, while an increase in outlays
without a corresponding increase in budget authority will
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result in an equal decrease in unexpended balances). The
amount in this column must equal the sum of the amounts in
columns 4-9.
Spendout from 1983 balances in 1984-87 (cols. 4-7).--
Enter the amount of spendout of 1983 year-end balances,
estimated for each of the fiscal years 1984-1987.
1983 balances as of September 30, 1987 (col. 8).--The
amount of 1983 balances remiThing unexpended at the end of
1986 will include the balances of stand-by and back-up
authority that will not be used in the foreseeable future.
Expiring balances will be excluded. Footnotes will be
included to explain any balances in excess of $50 million.
All amounts of stand-by and back-up authority must be
footnoted as such.
1983 balances expiring in the 1984-1987 period (col.
9).--Enter any amounts of 1983 unobligated balances that are
expected to lapse unused in any of the fiscal years 1984-
1987. Footnotes will be included to explain any such
balances over $50 million.
C
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\_,
DEPARTMENT OF HUMAN SERVICES
ESTIMATED SPENDOUT OF BALANCES OF CONTROLLABLE PROGRAMS
FROM 1983 END-OF-YEAR UNEXPENDED BALANCES OF BUDGET AUTHORITY
1983 ending balances
(in millions of dollars)
1983 unobligated
February
Spendout from 1983
1983
balances lapsing
budget
Current
balances in:
balances as of
in the 1984-87
Description
estimate
estimate
1984 1985 1986 1987
9/30/87
period
(1)
(2)
(3)
(4) (5) (6) (7)
(8)
(9)
Construction,
general
700
1,200
821 156 93 40
90 1/
Revolving fund
151
151
151
Emergency fund
47
47
??? e
47 2/
All other
23
23
???? SC, MO
23
Total
921
1,421
995 156 93 40
137
1/ Balance remaining to be spent on fully funded FY 83 new construction starts.
2/ Stand-by authority.
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ANALYSIS OF CHANGES
BUDGET AUTHORITY 1/
April 9 Revision estimate
Changes resulting from:
(in millions of dollars)
Presidential initiatives
Waste water treatment plant supplemental
(transmitted 4/15/82)
Highway Safety Program: Revised vehicle
emission standards?publicly supported
legislative proposal
1982 1983 1984 1985 1986 1987
4,563 4,985 5,307 5,538 5,705 6,100
60
-85 -45 -45 -45 -45
Completed Congressional action or inaction
Solid waste planning grants?mandatory
authorization (P.L. 97-XXX) 150 125 100 75 50 25
Inaction on higher education grant
consolidation cost-saving legislation
-.(change in effective date) 70 60 50 40 30 30
Revised economic assumptions
Lower than expected inflation has
resulted in a lower Social Security
cost-of-living adjustment -300 -1,000 -1,000 -1,000 -1,000 -1,000
Technical reestimates w w
Increased number of social security le.,
beneficiaries 100 100 110 120 130 140 150 e v
o r
r o
o
Current estimate 4,643 4,195 4,532 4,738 4,880 5,260 t.)
z
o
w
w
;
1/ A separate exhibit will be prepared for outlays.
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QMB Bulletin No. 82-13
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nplAs iVO4
Distribution made on 17 May 1982:
1 - AO/DCI
1 - OGC Library
CIA not one of agencies covered.
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EXECUTIVE OFFICE OF THE PRESIDENT
OFFICE OF MANAGEMENT AND BUDGET
WASHINGTON, D.C. 20503 ?
BULLETIN NO. 82-13
April 30, 1982
TO THE HEADS OF EXECUTIVE DEPARTMENTS AND AGENCIES
SUBJECT: Fiscal Year 1983 Information Collection Budget Request
1. Purpose. This Bulletin provides instructions and materials
for the submission of FY 1983 Information Collection Budgets
(ICBs).
2. Background. Section 3504 of Public Law 96-511, "Paperwork
Reduction Act of 1980," stipulates that "The Director of the
Office of Management and Budget (OMB) shall develop and
implement Federal information policies, principles, standards and
guidelines and shall provide direction and oversee.. .the
reduction of the paperwork burden..."
Pursuant to P.L. 96-511, OMB has determined that covered agencies
shall prepare an annual information collection budget, i.e., an
estimate of the total number of hours required of the public to
comply with Federal government requests for information
(reporting or recordkeeping).
For the purposes of this budget, information collection means the
obtaining or soliciting of facts or opinions by an agency through
the use of written report forms, application forms, schedules,
questionnaires, reporting or recordkeeping requirements, or other
similar methods calling for either--
(A) answers to identical questions posed to, or identical
reporting or recordkeeping requirements imposed on, ten
or more persons, other than agencies, instrumentalities,
or employees of the United States; or
(B) answers to questions posed to agencies, instrumental-
ities, or employees of the United States which are to be
used for general statistical purposes.
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"Burden" means the total time and financial resources required to
respond to an information collection request, including that to
read or hear instructions; to develop, modify, construct, or
assemble any materials or equipment; to conduct tests,
inspections, polls, observations, or the like necessary to obtain
the information; to organize the information into the requested
format; and to maintain, disclose, or report the information.
3. Objectives. The ICB serves not only as a major tool to
implement the burden reduction goals in P.L. 96-511 and the
administration's paperwork reduction program, but also as a
planning and management tool to assist agencies in efficient
information resource management.
4. Coverage. The requirement for an FY 1983 Information
Collection Budget applies to the following Executive Branch
departments and agencies:
Department
Department
Department
Department
Department
Department
Department
Department
Department
Department
Department
Department
Department
of Agriculture
of Commerce
of Defense
of Education
of Energy (incl. FERC)
of Health and Human Services
of Housing and Urban Development
of the Interior
of Justice
of Labor (incl. Pension Benefit Guaranty Corp.)
of State
of Transportation
of the Treasury
Civil Aeronautics Board
Commodity Futures Trading Commission
Consumer Product Safety Commission
Environmental Protection Agency
Equal Employment Opportunity Commission
Federal Communications Commission
Federal Deposit Insurance Corporation
Federal Emergency Management Agency
Federal Home Loan Bank Board
Federal Reserve Board
Federal Trade Commission
General Services Administration
Interstate Commerce Commission
National Aeronautics and Space Administration
National Credit Union Administration
National Science Foundation
Nuclear Regulatory Commission
Office of Personnel Management
Railroad Retirement Board
Securities and Exchange Commission
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Small Business Administration
Veterans Administration
5. Goals for Reducing Paperwork Burdens. Section 3505 of
P.L. 96-511 requires that OMB establish a goal to reduce the
existing information collection burden 15 percent by the end of
FY 1982 and an additional 10 percent by the end of FY 1983. OMB
has formally adopted and fully intends to meet these goals.
Progress toward these goals will be measured against the
reporting burden known to OMB to have been in effect when
P.L. 96-511 was passed. This base figure is 1,349.7 million
hours, including 1,276.3 million for agencies covered by the 1961
ICB and 73.4 million for other agencies. This base will be
utilized through the end of FY 1983. Progress toward the goals
will be measured by adding net increases or decreases resulting
from program changes to information collections in the base.
Adjustments for change in use and corrections, including
information collections discovered ex post to have been in
existence in the base period, will be excluded from measurement
of progress toward reaching the goals.
6. Planning Levels for 1983. Agencies listed in Table 3 of the
FY 1982 ICB publication that have not achieved a 25 percent
reduction in paperwork from the 1980 base, will still be expected
to do so by the end of FY 1983. All agencies are expected to
reduce the paperwork burden from their FY 1982 adjusted base in
FY 1983 and should not request an allowance greater than their FY
1982 adjusted base.
7. Required Materials. This year OMB will provide a listing of
all information collections that were in OMB's inventory during
the last part of April 1982, plus information collections that
have expired or were discontinued after September 30, 1981.
Activities that have expired or were discontinued are marked with
an asterisk. This listing will serve as the basis for the FY
1983 ICB submission. Total burden hours for FY 1982, therefore,
should be the total of information collections included on the
listing plus new approvals anticipated prior to September 30,
1982.
Agencies will be required to submit four exhibits:
(1) Exhibit 1 is a narrative that addresses specific
questions regarding the agency's planning and management
of information resources;
(2) Exhibit 2 consists of the OMB provided listing modified
to reflect changes in burden during FY 1982 and 1983
(Exhibit 2A) and information on new data collection
activities anticipated in FY 1983 (Exhibit 28).
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(3) Exhibit 3 is a summary of total reporting burden hours
for the department or agency, its sub-components and,
when requested by the desk officer, major program areas,
for FY 1982 and estimated for FY 1983.
(4) Exhibit 4 is a listing of program increases and decreases
to the FY 1980 base that have already occurred or will
occur in FY 1983. This is to verify that the 25 percent
goal will be met by the end of FY 1983.
Attachment A provides instructions for preparing each exhibit.
In addition to the materials described above, the agency desk
officer, at any point during this process, may request additional
information necessary in analyzing the agency's request.
Agencies should consult their desk officers early in the
development of their submissions, to obtain agreement on the
subcomponents, functional units or program categories to be used
in Exhibits 2 and 3, additional supporting materials and data
requirements that may be necessary.
The head of each covered department or agency, or the senior
official appointed pursuant to 44 U.S.C. 3506(b), should transmit
the submission.
8. Periodic Data Collections. Agencies are encouraged to
substitute periodic data collections (e.g. biennial or triennial)
for more frequent collections whenever feasible. The reporting
burden for periodic collections will be reviewed separately from
the burden imposed by other agency reporting requirements. To
the extent that agencies adopt periodic collections as a burden
reduction strategy, OMB will take steps to ensure that the
allowance for each activity is carried over to each year in which
the data collection will occur.
9. Submission Dates. Please submit an original and two copies
of all the required materials addressed to the Director, Office
of Management and Budget, and mailed to Room 3201, New Executive
Office Building, no later than July 16, 1982.
10. OMB Actions on Submissions. The Office of Management and
Budget will hold hearings with agencies on their requests in
August. There will be hearings with all covered agencies, unless
OMB and an agency mutually agree a hearing is unnecessary.
Hearings will be scheduled by OIRA staff and will include
participation by other OmB staff. The senior official for the
agency or other policy spokesperson for the agency, must be
present at the hearing. Agency proposals and staff
recommendations will be reviewed by the Director, Office of
Management and Budget. Allowances will be given to agencies
immediately thereafter. Allowances will generally be made for
the agency as a whole, except where more specific guidance is
warranted.
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5
11. Inquiries. Inquiries regarding specific department or agency
concerns should be directed to appropriate OIRA desk officers.
General inquiries should be addressed to the Chief, Reports
Management Branch, Office of Information and Regulatory Affairs
[phone].
aati
David A. Stockman
Director
Attachments
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Attachment A
OMB Bulletin 82-13
EXHIBIT 1
Prepare a narrative answering the following questions (where
appropriate):
1. What is the agency's justification for the level of request?
2. What is the agency's strategy for reducing paperwork burden
on the public in FY 1983?
3. What are the agency's specific plans for attaining the goals
and planning levels described in paragraphs 5 and 6 of the
bulletin?
4. How does the ICB request relate to the agency's FY 1983
enacted (or, if applicable, President's proposed) budget?
5. How does the ICB request relate to the agency's regulatory
relief program?
Your answers will serve as the nucleus of the narrative
discussion in the FY 1983 ICB publication.
EXHIBIT 2
Exhibit 2A consists of a computer printout of your department's/
agency's information collections that were in OMB's inventory
during the last part of April plus information collections that
have expired or were discontinued after September 30, 1981.
Activities that have expired or were discontinued are marked with
an asterisk. Make changes or deletions to the items listed as
appropriate. At the end of the exhibit, add in items that are
missing from the inventory and were active during FY 1982, or
items that the agency expects to have in place prior to the close
of FY 1982.
In order to complete Exhibit 2A, please use the following guide:
Columns 1-3 Verify that these items are correct as currently
found in the OMB inventory.
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2
Column 4
Column 5
Enter the estimated number of burden hours
actually in use during FY 1982. Include all
adjustments and program changes. Be sure to
include any changes that may occur between the
date of the OMB listing and trip end of the
fiscal year.
Enter the appropriate letter code to indicate
the reason for any change in burden between
columns 3 and 4 according to the following
guide:
Adjustments
CE (correction-error) - change in burden from
that formerly recorded because of administrative
error. Include information collections now in
use without OMB approval.
CR (correction-reestimate) - change in burden
resulting from a reestimate based on actual
agency experience or additional investigation.
CU (change in use) - change in burden resulting
from factors outside control of the Department
or Agency, such as an increasing number of
applications, declining number of firms in an
industry, or changes in population.
Program Changes
I (increase) - is a change in burden resulting
from an action or directive of any branch of the
Federal government such as an increase in sample
size, amount of information, or frequency of
reporting, or expanded use of an existing form.
D (decrease) - is a change in burden resulting
from an expiration or discontinuance of
information collection; or change in burden of
an existing information collection resulting
from action, or directive of any branch of the
Federal government, such as use of sampling (or
smaller samples), reduction in the amount of
information requested (fewer questions), or
reduction in frequency of reporting.
If more than one of the types of adjustments or
changes occurred during the year, please
indicate each type of change and corresponding
burden hours in column 5. For example, an
agency may both reestimate the number of hours
it takes to complete a form and identify a
change in use in the number of applicants.
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41.
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3
Column 6
Column 7
Enter the number of burden hours requested for
FY 1983.
Enter the number of responses (e.g. 100
companies submit forms quarterly = 400
responses) associated with the FY 1983 burden.
Column 8 Enter the letter code that explains the
increase, decrease or change in use.
Corrections or reestimates may not be included
in this column to explain 82A-83 changes.
Note - This is a significant departure from
previous ICB's in that we are asking agencies to
project changes in use for FY 1983.
If both a program change and a change in use are
expected, please indicate both codes and their
corresponding burden hours.
Remember in columns 6 and 8, if one type of
change is involved, indicate one letter code
only. If more than one type of change is
involved, indicate all letter codes and
corresponding response burden.
Exhibit 2B should include a separate page for each new item
proposed to be introduced in FY 1983. In addition to the items
in the columnar headings, an abstract should be provided. The
abstract should be a statement of the need for and the uses to be
made of any information collected.
Periodic data collections (data collections conducted less
frequently than annually) should be identified by inserting the
letter "P" (for "periodic") and a number indicating the cycle in
years in the left margin of Exhibits 2A and 2B (e.g. "P2" =
periodic collections conducted biennially). '
EXHIBIT 3
Provide total reporting burden for all collections of information
for the department or agency and its subcomponents, functional
units, or major program categories for FY 1982 and requests for
FY 83. The subcomponents, functional units, or program
categories will be mutually agreed to by OMB and the agency.
These aggregates should be based upon figures presented in
Exhibits 2A and 2B. For explanation of changes, use multiple
codes as necessary, following instructions for Exhibit 2.
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4
EXHIBIT 4
List in Exhibit 4 the OMB number, title, and all program
increases and decreases that have occurred or will occur to items
included in the FY 1980 base.
FY 80 base figures for individual items must correspond to those
reported as FY 1980 adjusted figures in the FY 1981 ICB
submission.
Adjustments (i.e., changes in use, reestimates, etc.) cannot be
considered as burden reductions. In calculating program
increases or decreases to items for which adjustments have been
made since FY 1980, the proportionate program change should be
applied to the base figure. For example: In the agency's
FY 1981 ICB submission, a data collection activity was allocated
100 burden hours in the FY 1980 adjusted column. In FY 1982, the
burden for the activity was changed to 1,000 hours because of a
change-in-use. In FY 1983, a burden reduction of 100 hours will
occur through elimination of some data items. This 10 percent
burden reduction should be applied to the base of 100 hours for a
10 hour reduction. See this and other examples on Exhibit 4.
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LI
OMB Number
(1)
Title
(2)
Exhibit 2A
1983 Information Collection Budget - Supporting Exhibit: Department of Government
Assistant Secretary for Trade and Travel
Estimated Burden Hours
FY 1982 Explanation of
FY 1982 Adjusted Change (82-82A)
(3) (4) (5)
FY 1983
Estimate
(6)
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FY 1983
Responses
(7)
Explanation of
Change (82A-83)
(8)
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I
Exhibit 2B
1983 Information Collection Budget - Supporting Exhibit: New Information Collections
Agency Functional Unit or Program:
Agency Form No.
(1)
Abstract:
Title
(2)
FY 1983
Responses
(3)
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FY 1983 Esti-
mated Hours
(4)
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/
Exhibit 3
Summary of TOtal Burden for Department of Government
(in burden hours)
FY 82
(1)
Total Department of Government
Assistant Secretary for Trade and
Travel
Trade Program
Travel Program
Assistant Secretary for Management
FY 82
adjusted
(2)
Explanation
of Change
(82-82A)
(3)
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FY 83
estimate
(4)
Explanation
of Change
(82A-83)
(5)
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\ _I
Exhibit 4
FY 1980-83 Burden Changes for Department of Government
Net Change
FY 82 FY 83 (80-83)
OMB II Title FY 80 Base Burden Hours Burden Hours + or (-)
XXXI Survey of Activities 100 1,000 (CR) 900 (D) -10
XXX2 ,, n Projects 1,000 100 (CR) 90 (D) -100
XXX3 .. " Finances 1,000 1,000 900 (D) -100
XXX4 " " Problems 100 100 0 (D) -160
XXX5 " Needs 1,200 400 (D) 400 -800
Total 3,400 2,600 2,290 -1;110
Total 80-83 Burden Change for Dept. of Government is -1,110/3.400 = 32 percent
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OMB Bulletin No. 82-12
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? JU ttpl 1.1. CIL,
Distribution made to AO/DCI & OGC Library 5/19/82
CIA does not participate in this activity.
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EXECUTIVE OFFICE OF THE PRESIDENT
OFFICE OF MANAGEMENT AND BUDGET
WASHINGTON. D.C. 20503
BULLETIN NO. 82-12
April 30, 1982
TO THE HEADS OF EXECUTIVE DEPARTMENTS AND AGENCIES
SUBJECT: Information on Voluntary Contributions to
International Organizations
1. Purpose. This Bulletin provides instructions for the
preparation of information for a semiannual report to the
Congress listing all voluntary contributions to international
organizations by all agencies of the United States Government.
2. Background and Authority. Section 306(b)(1) of the Foreign
Assistance Act of 1961, as amended, (see Attachment A) requires
the President to transmit to the Congress semiannual reports
listing all voluntary contributions, cash and in kind, by the
United States Government to international organizations.
Section 306(b)(2) requires that agencies making such
contributions provide information on them to the Office of
Management and Budget.
3. Coverage. This Bulletin applies to all Federal agencies,
including those of the Legislative and Judicial Branches.
4. Definitions. For the purposes of this Bulletin, the
following definitions apply:
(a) Voluntary contribution means contribution of any kind
that is not assessed under a binding international agreement
including the furnishing of funds or other financial. support,
services of any kind (including the use of experts or other
personnel), or commodities, equipment, supplies, or other
material.
(b) International organization means any public
international organization that is composed principally of
governments.
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5. Required Materials. Agencies that make voluntary
contributions to any international organization will forward
to the Office of Management and Budget information on those
contributions in accordance with the attached instructions and
in the format of the attached exhibit. Separate information
will be prepared for each international organization receiving
voluntary contributions. Materials will be sent to the
International Affairs Division, Office of Management and
Budget, Room 8225, New Executive Office Building,
Washington, D.C. 20503.
6. Timing. Agencies will provide information separately on
contributions made in the first half of fiscal year 1981, in
the second half of fiscal year 1981, and in the first half of
the fiscal year 1982 no later than June 15, 1982. Information
on contributions made in the second half of fiscal year 1982
will be forwarded no later than November 15, 1982.
7. Information Contact. Inquiries concerning this Bulletin
may be addressed to Patricia Schlueter, International Affairs
Division, Office of Management and Budget (telephone
395-4580).
David A. Stockman
Director
Attachments
Exhibit
2
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Attachment A
Bulletin No. 82-12
FOREIGN ASSISTANCE ACT OF 1961, AS AMENDED (22 U.S.C. 2226)
"Section 306(b)(1) The President shall submit semiannual
reports to the Congress listing all voluntary contributions
by the United States Government to international
organizations. One of the semiannual reports shall be
submitted no later than July 1 and shall list all
contributions made during the first six months of the then
current fiscal year. The other semiannual report shall be
submitted no later than January 1 and shall list all
contributions made during the last six months of the
preceding fiscal year. Each such report shall specify the
Government agency making the voluntary contribution, the
international organization to which the contribution was
made, the amount and form of the contribution, and the
purpose of the contribution. Contributions shall be listed
on both an agency-by-agency basis and an organization-by-
organization basis.
(2) In order to facilitate the preparation of the reports
required by paragraph (1), the head of any Government agency
which makes a voluntary contribution to any international
organization shall promptly report that contribution to the
Director of the Office of Management and Budget.
(3) As used in this subsection, the term "contribution"
means any contribution of any kind, including the furnishing
of funds or other financial support, services of any kind
(including the use of experts or other personnel), or
commodities, equipment, supplies, or other material."
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Attachment B
Bulletin No. 82-12
INSTRUCTIONS ON PREPARING INFORMATION ON VOLUNTARY
CONTRIBUTIONS TO INTERNATIONAL ORGANIZATIONS
Information on voluntary contributions to international
organizations will be prepared on 8 1/2"x11" paper, as
described below.
Enter the name of the agency making the contribution,
the name of the international organization receiving
the contribution, and the six month period for which
contributions are being reported, as indicated in the
Exhibit. Information will be entered in each column
as indicated below.
Column (1). Enter the title of the appropriation or
fund account that financed the contribution.
Column (2). Enter the amount of each contribution.
Amounts for cash contributions will be outlays. The
value of in kind contributions (services; commodities,
equipment, supplies, or other material) will be the
cost to the agency of providing the services or goods.
The value of in kind contributions should be determined
by the contributing agency.
Column (3). Enter the form as received by the
international organization of each contribution made
during each reporting period. The form should be one
or more of the following:
a.
b.
c.
financial support
services
material
Column (4). Enter the primary purpose for which the
contribution was made. Make the explanation brief.
Do not provide attachments.
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_
VOLUNTARY CONTRIBUTIONS TO INTERNATIONAL ORGANIZATIONS
Period: October 1980 - March 1981
Agency: Department of Government
(1)
Account Title
A
Research
Bureau
Research
Bureau
and development,
of Health Sciences
and development,
of Health Sciences
Exhibit
Bulletin No. 82-12
International Organization: World Health Organization
(2)
Amounts
(Dollars in thousands)
250
(3)
Form
Financial support
500 Services, Material
-
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(4)
Purpose
Cholera research
Advice and testing
equipment on water
purification
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Supplememt No. 2
1 March 1983
Copies sent to AO/DCI and OGC Library
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EXECUTIVE OFFICE OF THE PRESIDENT
. OFFICE OF MANAGEMENT AND BUDGET
WASHINGTON D.C. 20033
March 1, 1983
BULLETIN No. 82-11, Supplement No. 2
TO THE HEADS OF EXECUTIVE DEPARTMENTS AND ESTABLISHMENTS
SUBJECT: Strengthening Travel Authorization Policies and
Procedures to Eliminate Wasteful Spending on Travel
This Supplement extends OMB Bulletin No. 82-11, Strengthening
Travel Authorization Policies and Procedures to Eliminate
Wasteful Spending on Travel, to December 31, 1983.
David A. Stockman
Director
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. . . :
OMB BULLETIN No. 82-11
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UURESVMCHI, AU.
22 June 1982
Copies sent to AO/DCI and ?CC Library.
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OFFICE OF MANAGEMENT AND BUDGET ?
WASHINGTON, O.C. 20503
? June 22, 1982
BULLETIN NO. 82-11, Supplement No. 1
TO THE HEADS OF EXECUTIVE DEPARTMENTS AND ESTABLISHMENTS
SUBJECT: Strengthening Travel Authorization Policies and
Procedures to Eliminate Wasteful Spending on Trairel
This Supplement extends the reporting requirement in ONE
Bulletin No. 82-11 from the period ending June 30, 1982, to
the period ending September 30, 1982. The report submission
date is extended to November 15, 1982.
The heading of Exhibit 2 is changed to read "Report on Agency.
Travel Authorization Policies and Procedures as of September 301.
1982."
A copy of a revised Table A of Exhibit 2 is attached.
David A. Stoc
Director
Attachment
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?k summary or Agency Tra?a Autnortzatton coverage
and Review Practices
Department/Agency:
, Authorisation Type
General travel authorization
(Covers entire organization and
groups of employees)
Unlimited open authorizations
(Permits an individual to travel
for any purpose without further
authorization)
Limited open authorizations
(Permits an individual to travel
without further authorization
under certain specified condi-
tions)
Trip-by-trip authorization(3)
(Permits an individual or
group of individuals to take
one or more specific trips
identified as to puipose,
itinerary and estimated
cost)
Other (define type of
authorizations used by the
agency that differ from the
types previously listed)
Total
Tab-?1,A
(Re )d)
Prepared By: Date:
1981(1) (2)
No. of
Employem
Covered-'3
Notes: (1) Use calendar year 1981 data or
fiscal year 1981 data, whichever
is most readily available.
(2) Please provide this data by
authorization type and indicate
the basis of these estimates
Management reports
Sample of trips made
Estimate by management
Other, please specify
1981
1982
Estimated
Percent of
Total Agency Trips
(check as appropriate)
.1????????
??????????..
4?11???
1982(2)
No. of Estimated
Employees Percent of How Frequently
Covered(2) Total Agency Trips Reviewed Reissued
?11151 Mlf
(3) Por trip by trip authorizations, please
indicate the number of such authorizations
issued over the reporting period.
(4) For 1981 and 1982, indicate the appropriate
number of persons covered by your travel
regulations.
Employees
()there
Total
1981 1982
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Not Not
Applicable Applicable
?
. OMB Bulletin No. 82-11
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(-Via SallL
0/Finance to prepare data and brief Keith Hall
sometime before 30 July 82
Copies sent to AO/DCI & OGC Library
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0
EXECUTIVE OFFICE OF THE PRESIDENT
OFFICE OF MANAGEMENT AND BUDGET
WASHINGTON, D.C. 20503
April 19, 1982
MEMORANDUM FOR THE HEADS OF EXECUTIVE DEPARTMENTS AND AGENCIES
SUBJECT: Curbing Excessive Federal Travel
Last July, the President directed several changes to travel
policies and practices including a tightening of travel
authorization policies. In several Cabinet meetings and in a
December, 1981 memorandum to agency heads, the President
reiterated his determination to curb excessive travel and asked
agencies to report the actions they had taken in that regard.
Most agency responses confirmed the importance of the travel
authorization process in eliminating unnecessary travel.
Accordingly, I am issuing the attached OMB Bulletin to provide
more vigorous standards for authorizing government travel.
The need to control wasteful Federal expenditures has never been
greater. I know I can count on your cooperation in assuring
that this guidance is observed throughout your department or
agency.
Attachment
ad/
David A. Stockman
Director
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EXECUTIVE OFFICE OF THE PRESIDENT
OFFICE OF MANAGEMENT AND BUDGET
WASHINGTON. D.C. 20503
BULLETIN NO. 82-11
April 19, 1982
TO THE HEADS OF EXECUTIVE DEPARTMENTS AND ESTABLISHMENTS
SUBJECT: Strengthening Travel Authorization Policies and
Procedures to Eliminate Wasteful Spending on
Travel
1. Purpose. This Bulletin provides guidance for eliminating
unnecessary Federal spending on travel by strengthening agency
controls over the authorization of travel at Government
expense.
2. Background. Recent studies by several agency Inspectors
General, the General Accounting Office and the Interagency
Travel Management Improvement Project have identified
weaknesses in agency travel authorization policies and
procedures and indicated a need for improved controls. On
July 30, 1981, the President directed the heads of Executive
departments and agencies to tighten travel authorization
policies, including reducing the use of general travel
authorizations. On December 16, 1981, the President directed
the heads of Executive departments and agencies to report to
him on steps taken to assure that excessive travel does not
occur. The agency reports confirm prior studies' findings
that excessive travel is prevented most effectively by
increasing management attention to the need for each trip.
3. Policy. Each Executive Branch agency shall authorize only
that travel necessary to accomplish the purposes of the
Government effectively and economically. Each agency head
shall promptly communicate this policy throughout all
operating and staff units of his/her agency and establish
internal controls to assure that only travel which is
essential to the purposes of the Government is authorized.
4. Coverage. The guidance applies to both foreign and
domestic travel of all Government personnel, military and
civilian, and to other persons whose travel expenses are
reflected in costs paid by the Government.
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2
5. General Guidelines. Travel policies and practices of each
Executive Branch agency shall reflect, but not be limited to,
the following guidelines:
a. The use of general travel authorizations for entire
agencies or groups of employees shall be discontinued.
To assure adequate managerial and supervisory attention
to the need for all travel, each employee's travel shall
be authorized separately under one of the following
types of travel authorization:
Unlimited open authorization - permits an individual
to travel for any purpose without further
authorization.
Limited open authorization - permits an individual to
travel without further authorization under certain
specified conditions, which may include: specific
purpose(s) of travel and geographic areas;
limitations on trip costs; effectiveness for a
certain period of time, then must be renewed.
Trip-by-trip authorization - permits an individual Or
group of individuals to take one or more specific
trips identified as to purpose(s), itinerary and
estimated cost.
b. To minimize administrative costs and provide for
necessary flexibility while maintaining essential
controls, use of open authorizations shall be as
follows:
Unlimited open authorizations for travel shall be
permitted only for department or agency heads,
their deputies, other principal assistants and
managers as approved by the agency head or deputy,
and managers of major subunits where no supervisor
is present.
Limited open authorizations may be provided for
employees whose work requires frequent repetitive
travel, but should be revalidated no less often
than quarterly and should specify realistic
limitations on purposes, geographic area, trip
duration and costs; travel not covered in an
open authorization shall be separately authorized
on a trip-by-trip basis.
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Both unlimited and limited open authorizations
shall include an estimate of the travel costs to
be incurred over the period covered by the
authorization. Agencies shall use those estimates
to obligate those funds necessary to carry out
that travel and thereby improve their travel
budgetary controls.
c. Because of the relatively high costs associated with
certain kinds of travel, such travel shall be authorized
on a trip by trip basis and reviewed at a level of
authority sufficient to provide policy approval. The
types of travel covered by this requirement are:
1. All conference attendance, training, entitlement,
and relocation travel. In the case of
conferences, the approving official shall assure
that the numbers of attendees from the agency are
necessary and justified. In addition, the need
for conferences and meetings for which total
travel and per diem estimates exceed $5000,
shall be certified by a level of authority
sufficient to provide policy approval as
designated by the head of the agency scheduling
the conference or meeting. Relocations may be
authorized on a move by move basis.
2. Overseas and foreign travel for all employees,
except those whose work requires repetitive
foreign travel or emergency foreign travel
without advance notification. In addition, U.S.
Government representatives and attendees at
international intergovernmental conferences must
be accredited by the State Department.
Authorization of other travel should be delegated to the
lowest management level which has responsibility for
both program accomplishment and obligation or commitment
of funds.
d. Each travel authorization and the associated travel
vouchers shall specify clearly the purpose of the
travel. To promote uniformity in the way that travel
purposes are specified, agencies should adopt travel
purpose categories that conform as much as possible with
the illustrative travel purpose categories listed in
Exhibit 1.
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4
e. Authorizing officials should be cognizant of travel
plans, including plans to take annual leave in
conjunction with travel, and should assure appropriate
consideration of the need for the travel, use of travel
substitutes (mail, teleconferencing etc.), and the most
cost-effective routing and means of accomplishing
travel.
f. A travel advance shall only be issued in conjunction
with a travel authorization and the amount of the
advance shall be kept to the minimum out of pocket
expenses that the employee is expected to incur prior to
reimbursement. This applies both to advances issued on
a trip by trip basis and to so-called permanent advances
issued in conjunction with open authorizations. The
need for a permanent advance and the amount of the
advance shall be reviewed and justified when the
corresponding open authorization is reviewed and
justified.
Agency heads should assure that the appropriate
personnel receive adequate training in travel management
techniques. Agencies may seek assistance for such
training from the Office of Personnel Management, the
General Services Administration and, in the case of the
uniformed services, the Department of Defense.
9
6. Reporting Requirements.
To assess its own improvements in travel authorization
policies and procedures and to provide the data necessary to
dewonstrate compliance with the President's directives, each
Department and agency will submit a Report on Agency Travel
Authorization Policies and Procedures as of June 30, 1982,
using the format set forth in the attached Exhibit 2; also a
brief summary narrative report of agency travel authorization
improvement actions taken between January 1, 1982, and
June 30, 1982. These reports will be submitted by August 13,
1982.
7. Information Contact. Inquiries concerning this guidance
or reporting requirements should be addressed to the
Management Improvement and Evaluation Division, Room 10208,
NEOB, Washington, D. C. 20503.
8. Sunset Date. This Bulletin will expire on January 31,
1983.
Attachments
4-1/1
David A. Stockman
Director
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Exhibit 1
Illustrative Travel Purpose Categories
Purpose Category Definition
Site visit
Information meeting
Training attendance
Speech or Presentation
Conference attendance
Relocation
Entitlement travel
Special mission travel
Visit to a particular site in order to personally
perform operational or managerial activities;
e.g., oversee programs, grant operations, or
management activities for internal control pur-
poses; carry out an audit, inspection, or repair
activity; conduct negotiations; provide instruc-
tions; provide technical assistance.
Attend a meeting to discuss general Agency opera-
tions, review status reports or discuss topics
of general interest. If a site visit was con-
ducted as part of the same trip, consider the
entire trip to be Site Visit.
To receive training.
To make a speech or a presentation, deliver a
paper, or otherwise take part in a formal pro-
gram other than a training course.
To attend a conference, convention, seminar or
symposium for purposes of observation or education
only with no formal role in the proceedings.
To move from one official duty station to
another (same as a Permanent Change of Station
or PCS move).
Travel to which an employee (or dependent) is
entitled as a result of an assignment; e.g.,
official vacation or home leave; medical,
emergency, and education travel.
To carry out a special Agency mission; e.g.,
non-combat military unit movements; provide
security to a person or a shipment (such as a
diplomatic pouch); move witnesses from residence
to other locations; cover travel by Federal
beneficiaries and other non-employees.
Other travel To travel for reasons (purposes) which are not
shown in one of the other eight (8) categories.
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Exhibit 2
Page 1 of 2
0
Report on Agency Travel Authorization Policies and
Procedures as of June 30, 1982
Department/Agency: Prepared By:
Date:
1. Does your Department/Agency publish regulations which specify
procedures under which travel must be authorized?
No.
Yes. Please cite regulation(s), date(s), the
originating office(s), and summarize content of
regulation(s) on a separate sheet of paper.
2. Please list the types of travel authorization your
Department/Agency utilizes and, for 1981 and 1982, show the
numbers of employees covered by each type and the percentage of
your agency's trips authorized under each type.(1) Also
indicate the frequency with which each type of authorization is
reviewed and reissued under current agency procedures. This
information should be provided on the Summary of Agency Travel
Authorization Coverage and Review Practices attached as Table
A.
3. For each type of travel authorization listed on Table A,
please list on a separate sheet of paper the criteria
considered prior to issuing an authorization of that type.
These criteria should include, but not be limited to the level
of employee to whom such an authorization would be given, the
nature of the travel covered, etc.
4. Please indicate below for the following purposes the number of
reviews required to authorize travel and the title or
responsibilities of employee conducting each review (use a
separate sheet of paper, if necessary):
Purpose
Domestic Travel:
- conference attendance
- training attendance
- entitlement
- relocation
- other
No. of Titles or Responsibilities
Reviews of Reviewers(2)
Notes: (1) For 1981, use calendar year 1981 data or fiscal year 1981
data, whichever is most readily available. For 1982,
use the period between the ending date of the period used
for 1981 and June 30, 1982.
(2) Be certain to indicate the highest level of review.
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Page 2 of 2
4. cont.
Purpose
Overseas and Foreign
Travel :(3)
- conference attendance
- training attendance
- entitlement
- relocation
- other
e
No. of Titles or ResponsibUities
Reviews of Reviewers (4)
5. Does your Department/Agency provide travel management training
to those officials empowered to authorize travel?
No.
Yes. Briefly describe type of training provided.
6. Does the travel authorization form require identification of
the specific purpose(s) of the travel?
Yes.
No. Please explain briefly departures from such
practice.
7. Does the travel voucher require identification of the specific
purpose(s) of the travel?
Yes.
No. Please explain briefly departures from such
practice.
8. If either the travel authorization form or the travel voucher
requires identification of trip purpose, please list the
purpose categories and definitions used and attach on a
separate sheet of paper.
Notes: (2) Be certain to indicate the highest level of review.
(3)
For purposes of this report, "overseas" includes
travel to Alaska, Hawaii and overseas U.S. territories
and possessions. If approvals for such travel are
different than for foreign travel, please so
indicate.
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Summary of Agency Travel Authorization Coverage
and Review Practices
Department/Agency:
Authorization Type
General travel authorization
(Covers entire organization and
groups of .employees)
Unlimited open authorizations
(Permits an individual to travel
for any purpose without further
authorization)
Limited open authorizations
(Permits an individual to travel
without further authorization
under certain specified condi-
tions)
Trip-by-trip authorization(2)
(Permits an individual or
group of individuals to take
one or more specific trips
identified as to purpose,
itinerary and estimated
cost)
Other (define type of
authorizations used by the
agency that differ from the
types previously listed)
Total
Prepared By:
1981(1) (2)
Date:
No. of
Employees
Covered (4)
Notes: (1) Use calendar year 1981 data or
fiscal year 1981 data, whichever
is most readily available.
(2) Please provide this data by
authorization type and indicate
the basis of these estimates
Management reports
Sample of trips made
(Whew_ nlanan ananif?.
Estimate by management
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1961
1982
Estimated
Percent of
Total Agency Trips
1982(2)
Table A
No. of Estimated
Employees Percent of How Frequently
Covered (4) Total Agency Trips Reviewed Reviewed
100%
For trip by trip authorizations, please
indicate the number of such authorizations
issued over the reporting period.
For 1981 and 1982, indicate the appropriate
number of persons covered by your travel
regulations.
Employees
?era
Total
1981 1982
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Date
ROUTING AND TRANSMITTAL SUP
27 July 1982
TO: (Name, office symbol, room number,
building, Agency/Post)
2. Comptroller
inftials
P41-
Date
1177
2.
tic
B.
Action
File
Note and Return
Approval
For Clearance
Per Conversation
As Requested
For Correction
Prepare Reply
Circulate
For Your Information
See Me
Comment
Investigate
Signature
Coordination
Justify
REMARKS
ID
: OMB BRIEFING ON ACENCY TRAVEL POLICIES & PRACTICES
OMB's 82-11, 19 April 1982, provided guidelines
to curb e%cessive federal travel and required a
report back on Agency travel policies and procedures
by itdd August. am agreed to an oral response from
CIA?this was presented by Ed Sherman to Keith Hall
qr .26 July. Ed Sherman's notes that were passed to
Ji are attached, along with a copy of Keith's
Aare that specified points to be covered.
The briefing went extremely well and Keith
seemed to be fully satisfied by Agency administration
and control of travel practices. He questioned haw we
would rate our approach to travel vis-a-vis State
and was told resoundingly that CIA is more conservative
DO NOT use this form as a RECORD of approvals, concurrences, disposals,
clearances, and similar actions
STAT
Yol, Agency/Post)
EC/AG
Room No.?Bldg.
Phone No.
5041-102 OPTIONAL FORM 41 (Rev. 7-76)
Preseribad by ifilAt
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and exercises considerably more oversight. Leaving the
subject slightly, Keith tried to elicit opinions about
the adequacy of Agency travel funds, suggesting an
excess of riches in this area. Ed Sherman stood pat
against being drawn into evaluating travel fund
adequacy except to note that we are better off now
than several years ago, but that programs are continuing
to grow and that travel must as well. Keith left the
point concluding that conference travel?which he
seemed to view as a measure of fat,?did not seem
STAT unreasonable for a member Agency.
You should be aware that as a result of Keith's
-crendation last year our 1983 request for travel
was palled back. From his probing, I would guess he
will take a hard look again this year.
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Question Number 1
Are current CIA policies and practices in conformance with
the general guidelines listed in paragraph 5 of the bulletin? If
not, what actions will CIA take to achieve conformance? (NOTE:
Please discuss each individual guideline and applicable CIA
policies.)
Para 5a. Guidelines
General travel authorizations for entire agencies or
groups of employees shall be discontinued. Each employee's
travel shall be authorized separately under one of the
following types of authorizations:
1. Unlimited Open authorization. May travel for any
purpose without further authorization.
2. Limited Open authorization. May travel without
further authorization under certain specified
conditions; specific purposes of travel and
geographic areas; limitation of trip costs;
effectiveness for a certain period of time; then
renewed.
3. Trip-by-trip authorization.
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RESPONSE
The three (3) above types of travel authorizations are
currently in use by CIA and have been in the past. The vast
majority (99M or more) of all our authorizations are on a trip-
by-trip basis. CIA has never issued general travel
authorizations for the entire Agency or groups of employees.
Para 5b. Guidelines
Use of open ("blanket") travel authorizations shall be
as follows:
Unlimited Open - Permitted only for department or
agency heads, their deputies, other principal
assistants and managers as approved by the agency head
or deputy, and managers of major subunits where no
supervisor is present.
Limited Open - Provided for employees whose work
requires frequent repetitive travel, but should be
revalidated no less often than quarterly and should
specify realistic limitations on purposes, geographic
area, trip duration and costs.
(Both unlimited and limited open authorizations shall
include an estimate of the travel costs to be incurred
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over the period covered by the authorization. Agencies
shall use these estimates to carry out that travel and
thereby improve their travel budgetary controls.)
RESPONSE
Unlimited Open travel orders are confined to very senior
officers. There exist a total of twenty-nine (29) such
authorizations as follows:
DCI Area 7
Operations 17
Intelligence 1
Science & Technology 1
Administration 3
These blanket travel orders are renewed each fiscal year and
are utlized as required by the mission and function of the
position. Trip advances are made upon the officer's request on
an individual trip basis. No travel revolving funds are held by
any CIA officer. The same number of authorizations existed for
1981 and 1982.
Limited Open travel orders are confined to more junior level
personnel and are outlined as follows:
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0
DDS&T 45 Couriers for the National Program Project
DDS&T 4 Supervisor/Couriers National Program Project
DDA 25 Commercial Contract Auditors
DDA 10 Security Investigators
DCI 4 Personnel Recruiters
DDO 3 Roving Secretaries
All of the above authorizations, except the three (3) roving
secretaries are limited to travel with CONUS. All are for specific
purposes which is evident from the titles.
The secretaries are
limited to travel within the Al area. These orders are renewed on a
fiscal year basis and advances are made on a trip-by-trip basis. The
same number of authorizations existed for 1981 and 1982.
Para Sc. Guidelines
Because of the relatively high costs associated with
certain kinds of travel, such travel shall be authorized on
a trip-by-trip basis and reviewed at a level of authority
sufficient to provide policy approval. The types of travel
covered by this requirement are:
1. All conference attendance, training, entitlement,
and relocation travel. In the case of conferences,
the approving official shall assure that the
numbers of attendees from the agency are necessary
and justified. In addition, the need for
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conferences and meetings for which total travel and
per diem estimates exceed $5000, shall be certified
by a level of authority sufficient to provide
policy approval as designated by the head of the
agency scheduling the conference or meeting.
Relocations may be authorized on a move-by-move
basis.
2. Overseas and foreign travel for all employees,
except those whose work require repetitive foreign
travel or emergency foreign travel without advance
notification. In addition, U.S. Government
representatives and attendees at international
intergovernmental conferences must be accredited by
the State Department.
REPONSE
All above travel is authorized on a trip-by-trip basis. All
international intergovernmental trips are accredited by the State
Department. Moreover, all agency foreign travel, either PCS or
TDY, is subject to the advance concurrence by the site to be
visited (Mission or Station). Approval levels for all travel are
held no lower than the Heads of Independent Offices or Chiefs of
Area Divisions by authorities delegated to Admin and Support
Officers. Agency officers do not initiate their own travel
requests. These are generally made by Branch/Desk Chief
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supervisors and authorized and approved by officers of support
elements. This effectively controls our travel and brings agency
policy to bear on all travel. We do not specifically isolate
conference in excess of 15000 for special approval given the
controls we already have.
Para 5d. Guidelines
Each travel authorization and the associated travel
vouchers shall specify clearly the purpose of the travel.
Agencies should adopt travel categories to conform with such
as these:
OMB Categories
Site Visit
Information Meeting
Training Attendance
Speech or Presentation
Conference Attendance
Relocation
Entitlement Travel
Special Mission Travel
Other Travel
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STAT
STAT
STAT
Q)
Basically, the Agency categorizes travel as either TDY, PCS,
or other travel. Following is a list of the travel subobject
classes currently used by the Agency:
1. TDY within U.S.
2. TDY outside U.S.
3.
4. PCS within CONUS
5. PCS outside CONUS
6.
7. TRAVEL OTHER
All Agency travel orders show the specific purpose of the
travel and exact planned itinerary. Mode and class of travel is
specified as well as duration of trip. Other authorizations such
as authority for rental cars, are also contained in the travel
order. While this information exists on the travel order itself,
all Agency travel expenses are charged to the seven (7) travel
subobject classes listed above. For instance, home leave in
connection with a PCS move to CONUS from a field station would be
authorized and reflected on a travel order prepared at
Headquarters and forwarded to the station. Following submission
of the travel voucher for the move and leave, the entire cost of
the trip is charged to the appropriate PCS subobject class with
no data concerning the home leave entitlement being recorded for
data storage.
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Para 5e. Guidelines
Authorizing officials should be cognizant of travel
plans, including plans to take A/L in connection with
travel, and should assure appropriate consideration of the
need for travel, use of travel substitutes (mail,
teleconferencing, etc.) and the most cost effective routing
and means of accomplishing travel.
RESPONSE
As stated before, it is the traveler's supervisor who
initiates the request for travel and he also has the ability to
approve or disapprove leave plans of the traveler. All leave
plans are known in advance. Use of travel substitutes is made
difficult by the nature of CIA in most instances. Travelers
process through CPB who ensure cost effective routing and travel
plans. All costs considered indirect travel or costs
attributable to taking A/L are costs born by the traveler with no
advances made for these purposes.
Para 5f. Guidelines
A travel advance shall only be issued in conjunction
with a travel authorization and the amount of the advance
shall be kept to the minimum out of pocket expenses that the
employee is expected to incur prior to reimbursement. This
applies both to advances issued on a trip-by-trip basis and
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to so-called permanent advances issued in conjunction with
oepn authorizations.
RESPONSE
All Agency travelers have always been held to minimum
advances. Great care is given to advance computations. As
stated before, no Agency personnel have permanent advances for
travel. Recruiters and investigators have revolving funds but
they are not dedicated to travel alone, but to all types of
expenses.
Para 5g. Guidelines
Agency heads should ensure that appropriate personnel
receive adequate training in travel management techniques.
Assistance can be had from OPM, GSA, and DOD.
RESPONSE
The various career services within the Agency provide in-
house training. In the travel discipline, the NY and MG Career
Services develop fully trained support and finance officers
knowledgeable in both federal and agency travel techniques.
Agency in frequent contact with GSA concerning all types of
travel related matters.
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STAT
0
Question Number 2
What actions has CIA taken since July 1, 1981, to curb
excessive travel and/or eliminate excessive travel? How are
these actions reflected in Agency regulations? Specifically,
what if any changes have been made to regulations governing
travel authorization policies?
dated 5 January 1982, was issued as a reminder to
employees and managers of the need to hold travel costs to a
minimum. No specific regulatory changes on authorizations have
been made. Agency regulations are continually updated to reflect
federal policy and are in general conformance with the PTA's for
domestic travel and the SR's for foreign travel. The uniqueness
of the Agency's mission and its necessary response to
uncontrolled world events largely preclude our addressing
specific travel limitations in any given area.
Question Number 3
Provide concrete examples of how Agency actions have reduced
travel costs to include comparable data before and after Agency
action was taken.
RESPONSE
Procedures for expanded use of GTR's developed in 1981 have
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0C
resulted in estimated savings of
March 1982.
Question Number 4
STAT
from October 1981 to
How many employees by major office are currently covered by
unlimited travel authorization?
How many were covered in 1981?
Under what circumstances are such authorizations approved?
RESPONSE
DCI Area 7
Operations 17
Intelligence 1
Science & Technology 1
Administration 3
Total 29
Number of travel authorizations was the same for 1981 and
1982. Such authorizations are given to senior officials based
upon the position and its function and approved at the
directorate level.
Question Number 4 (Continued)
Same as above but for limited open travel authorizations.
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RESPONSE
DCI Area 4
Operations 3
Intelligence 0
Science & Technology 50
Administration 35
Question Number 4 (Continued)
By directorate, how many employees were given travel
authorizations in 1981 and 1982 (to date) for conference
attendance? Provide examples of the types of conferences
attended and the employees authorized to attend.
RESPONSE
Directorate No. of Travel Authorizations
DCI Area
Operations
Intelligence
Science & Technology
Administration
60
0
662
113
294
TOTAL 1,129
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DCI Area - The sixty (60) people attending conferences,
conventions, and symposiums did so singly and thus sixty (60)
different conferences, etc., were attended. The types of
conferences attended were directly related to the mission of that
area. A sampling of the types follow:
Intelligence in Electronic Warfare
Speechwriting
NAACP Conventions
International Law Conference
Law of the Sea Conference
Harvard Seminar on Intelligence in Foreign Policy
Intelligence Area - Here were the largest number of
employees (662) attending conventions, symposiums, workshops,
meetings, seminars, and conferences. This is predictable by the
very nature of the work of DDI analysts. All conventions, etc.,
were directly connected with the specialty of the individual
involved and served to keep that analyst abreast of the "state of
the art". Approximately ZOO different types of affairs were
attended. Nine employees attended one conference with the
preponderant number being two (Z) to an affair. Following are
some representative types:
Council of Mining and Metal
National Convention for Slavic Studies
Machine Processing of Remotely Sensed Data
International Symposium on Undustrial Robots
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World and Latin American Econometric Projections
MIT Lincoln Labs, Workshop
USDA Rice Technology Working Group Meeting
MIT Strategic Defense and Offense Seminar
Impact of Money in the Arab World Seminar
The Church in Latin America Conference
CANUKUS Soviet Maritime Conference
Offshore Petroleum Conference
Science and Technology Area - The 113 people attending
conferences, etc., for this area did so at the rate of one (1)
per event. The types of events were largely highly technical
relating to computer, electro-chemical, electronics, and optics
research. Following are some representative types:
Government Activities and Photogrammetry
Integrated Circuits
Office Automation
Chemical Analysis
Administration Area - Here 294 people attended 294 separate
events directly related to their field of endeavor. Following
are some representative types.
Communications and Satellite Equipment Conference
ADP Data User/Security Conference
Printing Services and Graphics Conference
Disaster Planning/Medical
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re+,
Workshop on Audio/Visual Material
Innovative Teamwork Program
American Records Management Association
Question Number 4 (Continued)
At what level is first class travel approved? How many
first class air authorizations were issued in 1981 and 1982? (to
date) What guidelines are used for determining when to approve
first class accommodations?
RESPONSE
Figures given reflect FY 1981 through 31 March 1982. No
other figures available due to time constraint.
FY 81 - 154 first class authorizations
FY 82 - 92 first class authorizations
First class air may be approved by DD's, ADD's, and Heads of
Independent Offices. Is also approved when less than first class
air is not available.
GUIDELINES FOR APPROVAL
1. Space not available less than first class and mission of
travel cannot be accomplished.
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2. Physical handicap or impairment substantiated by the
Director of Medical Services.
3. Less than first class air on foreign airlines do not
provide adequate sanitation or health standards.
4. Travel by ADD's or higher level officials on
transoceanic or other international flight segments
where segment is larger than seven (7) hour duration.
5. When first class is required for security, operational,
or other exceptional circumstances essential to the
mission of the travel.
6. When first class air results in overall savings to the
Government. Avoidance of extra per diem, 0/T, or lost
productive time.
7. Strike or civil disturbance.
Question Number 4 (Continued)
What regulations exist governing the granting of A/L in
conjunction with TDY? At what level are authorizations for TDY
which include A/L approved?
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eTh
STAT
RESPONSE
These regulations deal generally with the taking of leave
while in a travel status and how it affects allowable costs and
when leave begins and ends. It does not address approval
levels. All Agency travel is mission oriented and in response to
a requirement not self generated by the traveler. The leave may
be approved or disapproved by either the supervisor requestor or
the authorizing official. The travel order spells out the
provision for taking the leave.
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Li
STAT
EXECUTIVE OFFICE OF THE PRESIDENT
OFFICE OF MANAGEMENT AND BUDGET
WASHINGTON, D.C. 20503
MEMORANDUM
June 9, 1982
TO: 0/Compt, CIA
FROM: Keith Hall, NSD/Intel, OMB 449444?J2C?.
SUBJECT: OMB Bulletin 82-11
OMB Bulletin 82-11 establishes general guidelines for government travel
policies and practices applicable to all agencies. In lieu of a formal
report as requested in the Bulletin, please provide a briefing from
appropriate CIA officials to discuss the following:
1. Are current CIA policies and practices in conformance with the
general guidelines listed in paragraph 5 of the bulletin? If not,
what actions will CIA take to achieve conformance? (NOTE: please
discuss each individual guideline and applicable CIA policies).
2. What actions has CIA taken since July 1, 1981 to curb
excessive travel and/or eliminate excessive travel? How are these
actions reflected in Agency regulations? Specifically, what if
any changes have made to regulations governing travel
authorization policies?
re")
3. Provide concrete examples of how Agency actions have reduced
travel costs to include comparative data before and after Agency
action was taken.
4. Answer the following specific questions:
- How many employees by major office are currently covered by
unlimited open travel authorizations? How many were
covered in 1981? Under what circumstances are such
authorizations approved?
- Same as above, but for limited open travel authorizations.
- By Directorate, how many employees were given travel
authorizations in 1981 and 1982 (to date) for conference
attendance? Provide examples of the types of conferences
attended and the employees authorized to attend.
- At what level is first class air travel approved? How many
first class travel authorizations were issued in 1981 and
1982 (to date)? What guidelines are used for determining
when to approve first class travel authorizations.?
- What regulations exist governing the granting of annual
leave in conjunction with TDY? At what level are
authorizations for TDY which include annual leave
approved?
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tali iiaLibagil ILL;
STAT
STAT
MEMORANDUM FOR: Deputy Director for Administration
FROM: Maurice Lipton
Comptroller
SUBJECT: OMB Request for Travel Information (U)
be06 Clic&7p,
1 0 MAY 1982
1. Attached is a recent OMB Bulletin relating to travel authorization
policy and procedures. The bulletin requests considerable information,
including summaries of internal Agency regulations, numbers of employees
covered by specific types of travel authorizations, and review mechanisms.
While I am somewhat inclined to ask for relief from the reporting requirement
from Keith Hall, I would appreciate the assessment of the Director of Finance
and/or the Travel Policy Committee as to the difficulty and manhours required
to respond to the request. As you know, Keith recommended the reduction of
travel funds in our 1983 request, and no doubt has a continuing interest in
the subject. We may not be able to obtain an exemption from the reporting
requirement. (U)
2. If you or your staff have any questions on this matter, please
contact of our Budget Management Group, (U)
Attachment:
As Stated
MaUrice Lipton
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STA
ROUTING AND RECORD SHEET
SUBJECT: (Optional)
FR?^4:1-l8rry E. Fitzwater
DDA
70-18 Hqs .
EXTENSION
NO.
DATE
2 5 MAY 1982
TO: (Officer designation, room number, and
building)
DATE
OFFICER'S
INITIALS
COMMENTS (Number each comment to show from whom
to whom. Draw a line across column after each comment.)
RECEIVED
FORWARDED
1.
Comptroller
4E-06 Hqs.
?
3.
.
.
6.
7.
.
.
10.
11.
12.
13.
14.
15.
FORM 61 0USE PREVIOUS
I-79 V EDITIONS
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COMM' - 2' 9/-5.
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?EirfFiffilffItch
MEMORANDUM FOR: Comptroller
FROM: Harry E. Fitzwater
Deputy Director for Administration
25X1 SUBJECT: OMB Request for Travel Information
REFERENCE: Memo to DDA from Comptroller, dtd 10 May 82
same Subject
25X1
DDA 82-1170/1
23 MAY 1982
2. Most of the requirements stemming from OMB regarding controls over
travel are not applicable to the Agency. Approximately 95 percent of all
Agency travel is approved on a trip-by-trip basis. The number of blanket travel
orders which we have is minimal. Even when blanket travel orders are utilized
each individual travel advance and accounting is approved at a higher level.
Further, our travel orders are probably reviewed and authorized by a higher
level of officers than other agencies, with the grades of Agency officials
generally at the SIS rank. Finally, the purpose of our travel is not only
contained in the standard travel order, but also must be included in me
25X1 to the Agency installations being visited, either domestic or foreign.
3. Within the past six months we have issued an Agencywide notice which
among other items, calls for reviewing all blanket travel authorizations,
minimizing participation in conferences and meetings requiring travel expenses,
and reducing the number of domestic and foreign TDY trips whenever possible.
In addition, we are examining the further use of commuted rate travel pro-
cedures, the installation of a computer-assisted airline reservation and
ticketing capability to take advantage of discount air fares, and we are
looking into the feasibility of using commercial travel agency services to
realize additional discounts.
25X1
/25X1m,
cm,
STAT
nflllFIENTLA1/INK\
tiamuthcztea LA LM Y
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? 'swan Inlie
26X1
25X1
?STAT
SUBJECT: OMB Request for Travel Information
4. In view of the above, we recommend that the Director of Finance
provide an oral briefing on the management of Agency travel to appropriate
OMB officers rather than provide incomplete data, with a host of caveats,
in response to the attachment to reference.
cc: D/OF
CONFIDENTIAL
art L. Frter
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EXECUTIVE OFFICE OF THE PRESIDENT
OFFICE OF MANAGEMENT AND BUDGET
WASHINGTON, D.C. 20503
April 19, 1982
MEMORANDUM FOR THE HEADS OF EXECUTIVE DEPARTMENTS AND AGENCIES
SUBJECT: Curbing Excessive Federal Travel
Last July, the President directed several changes to travel
policies and practices including a tightening of travel
authorization policies. In several Cabinet meetings and in a
December, 1981 memorandum to agency heads, the President
reiterated his determination to curb excessive travel and asked
agencies to report the actions they had taken in that regard.
Most agency responses confirmed the importance of the travel
authorization process in eliminating unnecessary travel.
Accordingly, I am issuing the attached OMB Bulletin to provide
more vigorous standards for authorizing government travel.
The need to control wasteful Federal expenditures has never been
greater. I know I can count on your cooperation in assuring
that this guidance is observed throughout your department or
agency.
Attachment
David A. Stockman
Director
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EXECUTIVE OFFICE OF THE PRESIDENT
OFFICE OF MANAGEMENT AND BUDGET
WASHINGTON, D.C. 20503
BULLETIN NO. 82-11
April 19, 1982
TO THE HEADS OF EXECUTIVE DEPARTMENTS AND ESTABLISHMENTS
SUBJECT: Strengthening Travel Authorization Policies and
Procedures to Eliminate Wasteful Spending on
Travel
1. Purpose. This Bulletin provides guidance for eliminating
unnecessary Federal spending on travel by strengthening agency
controls over the authorization of travel at Government
expense.
2. Background. Recent studies by several agency Inspectors
General, the General Accounting Office and the Interagency
Travel Management Improvement Project have identified
weaknesses in agency travel authorization policies and
procedures and indicated a need for improved controls. On
July 30, 1981, the President directed the heads of Executive
departments and agencies to tighten travel authorization
policies, including reducing the use of general travel
authorizations. On December 16, 1981, the President directed
the heads of Executive departments and agencies to report to
him on steps taken to assure that excessive travel does not
occur. The agency reports confirm prior studies' findings
that excessive travel is prevented most effectively by
increasing management attention to the need for each trip.
3. Policy. Each Executive Branch agency shall authorize only
that travel necessary to accomplish the purposes of the
Government effectively and economically. Each agency head
shall promptly communicate this policy throughout all
operating and staff units of his/her agency and establish
internal controls to assure that only travel which is
essential to the purposes of the Government is authorized.
4. Coverage. The guidance applies to both foreign and
domestic travel of all Government personnel, military and
civilian, and to other persons whose travel expenses are
reflected in costs paid by the Government.
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2
5. General Guidelines. Travel policies and practices of each
Executive Branch agency shall reflect, but not be limited to,
the following guidelines:
a. The use of general travel authorizations for entire
agencies or groups of employees shall be discontinued.
To assure adequate managerial and supervisory attention
to the need for all travel, each employee's travel shall
be authorized separately under one of the following
types of travel authorization:
Unlimited open authorization - permits an individual
to travel for any purpose without further
authorization.
Limited open authorization - permits an individual to
travel without further authorization under certain
specified conditions, which may include: specific
purpose(s) of travel and geographic areas;
limitations on trip costs; effectiveness for a
certain period of time, then must be renewed.
Trip-by-trip authorization - permits an individual or
group of individuals to take one or more specific
trips identified as to purpose(s), itinerary and
estimated cost.
b. To minimize administrative costs and provide for
necessary flexibility while maintaining essential
controls, use of open authorizations shall be as
follows:
- Unlimited open authorizations for travel shall be
permitted only for department or agency heads,
their deputies, other principal assistants and
managers as approved by the agency head or deputy,
and managers of major subunits where no supervisor
is present.
- Limited open authorizations may be provided for
employees whose work requires frequent repetitive
travel, but should be revalidated no less often
than quarterly and should specify realistic
limitations on purposes* geographic area, trip
duration and costs; travel not covered in an
open authorization shall be separately authorized
on a trip-by-trip basis.
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Both unlimited and limited open authorizations
shall include an estimate of the travel costs to
be incurred over the period covered by the
authorization. Agencies shall use those estimates
to obligate those funds necessary to carry out
that travel and thereby improve their travel
budgetary controls.
c. Because of the relatively high costs associated with
certain kinds of travel, such travel shall be authorized
on a trip by trip basis and reviewed at a level of
authority sufficient to provide policy approval. The
types of travel covered by this requirement are:
1. All conference attendance, training, entitlement,
and relocation travel. In the case of
conferences, the approving official shall assure
that the numbers of attendees from the agency are
necessary and justified. In addition, the need
for conferences and meetings for which total
travel and per diem estimates exceed $5000,
shall be certified by a level of authority
sufficient to provide policy approval as
designated by the head of the agency scheduling
the conference or meeting. Relocations may be
authorized on a move by move basis.
2. Overseas and foreign travel for all employees,
except those whose work requires repetitive
foreign travel or emergency foreign travel
without advance notification. In addition, U.S.
Government representatives and attendees at
international intergovernmental conferences must
be accredited by the State Department.
Authorization of other travel should be delegated to the
lowest management level which has responsibility for
both program accomplishment and obligation or commitment
of funds.
d. Each travel authorization and the associated travel
vouchers shall specify clearly the purpose of the
travel. To promote uniformity in the way that travel
purposes are specified, agencies should adopt travel
purpose categories that conform as much as possible with
the illustrative travel purpose categories listed in
Exhibit 1.
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4
e. Authorizing officials should be cognizant of travel
plans, including plans to take annual leave in
conjunction with travel, and should assure appropriate
consideration of the need for the travel, use of travel
substitutes (mail, teleconferencing etc.), and the most
cost-effective routing and means of accomplishing
travel.
f A travel advance shall only be issued in conjunction
with a travel authorization and the amount of the
advance shall be kept to the minimum out of pocket
expenses that the employee is expected to incur prior to
reimbursement. This applies both to advances issued on
a trip by trip basis and to so-called permanent advances
issued in conjunction with open authorizations. The
need for a permanent advance and the amount of the
advance shall be reviewed and justified when the
corresponding open authorization is reviewed and
justified,
g. Agency heads should assure that the appropriate
personnel receive adequate training in travel management
techniques. Agencies may seek assistance for such
training from the Office of Personnel Management, the
General Services Administration and, in the case of the
uniformed services, the Department of Defense.
6. Reporting Requirements.
To assess its own improvements in travel authorization
policies and procedures and to provide the data necessary to
demonstrate compliance with the President's directives, each
Department and agency will submit a Report on Agency Travel
Authocization Policies and Procedures as of June 30, 1982,
using the format set forth in the attached Exhibit 2; also a
brief summary narrative report of agency travel authorization
improvement actions taken between January 1, 1982, and
June 30, 1982. These reports will be submitted by August 13,
1982.
7. Information Contact. Inquiries concerning this guidance
or reporting requirements should be addressed to the
Management Improvement and Evaluation Division, Room 10208,
NEOB, Washington, D. C. 20503.
8, Sunset Date. This Bulletin will expire on January 31,
1983.
aneM litesoel
David A. Stockman
Director
Attachments
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Exhibit 1
Illustrative Travel Purpose Categories
Purpose Category Definition
Site visit
Information meeting
Training attendance
Speech or Presentation
Conference attendance
Relocation
Entitlement travel
Special mission travel
Visit to a particular site in order to personally
perform operational or managerial activities;
e.g., oversee programs, grant operations, or
management activities for internal control pur-
poses; carry out an audit, inspection, or repair
activity; conduct negotiations; provide instruc-
tions; provide technical assistance.
Attend a meeting to discuss general Agency opera-
tions, review status reports or discuss topics
of general interest. If a site visit was con-
ducted as part of the same trip, consider the
entire trip to be Site Visit.
To receive training.
To make a speech or a presentation, deliver a
paper, or otherwise take part in a formal pro-
gram other than a training course.
To attend a conference, convention, seminar or
symposium for purposes of observation or education
only with no formal role in the proceedings.
To move from one official duty station to
another (same as a Permanent Change of Station
or PCS move).
Travel to which an employee (or dependent) is
entitled as a result of an assignment; e.g.,
official vacation or home leave; medical,
emergency, and education travel.
To carry out a special Agency mission; e.g.,
non-combat military unit movements; provide
security to a person or a shipment (such as a
diplomatic pouch); move witnesses from residence
to other locations; cover travel by Federal
beneficiaries and other non-employees.
Other travel To travel for reasons (purposes) which are not
shown in one of the other eight (8) categories.
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Exhibit 2
Page .1 of 2
r's
Report on Agency Travel Authorization Policies and
Procedures as of June 30, 1982
Department/Agency: Prepared By:
Date:
1. Does your Department/Agency publish regulations which specify
procedures under which travel must be authorized?
No.
Yes. Please cite regulation(s), date(s), the
originating office(s), and summarize content of
regulation(s) on a separate sheet of paper.
2. ?cease list the types of tiavel authorization your 7
Department/Agency utilizes and, for 1981 and 1982, show the)
ntimbers of employees covered by each type and the percentage of,)
your agency's trips authorized under each type.(1) Also
indicate the frequency with which each type of authorization is
reviewed and reissued under current agency procedures. This
information should be provided on the Summary of Agency Travel
Authorization Coverage and Review Practices attached as Table
A.
3. For each type of travel authorization listed on Table A,
please list on a separate sheet of paper the criteria
considered prior to issuing an authorization of that type.
These criteria should include, but not be limited to the level
of employee to whom such an authorization would be given, the
nature of the travel covered, etc.
4. Please indicate below for the following purposes the number of
reviews required to authorize travel and the title or
responsibilities of employee conducting each review (use a
separate sheet of paper, if necessary):
Purpose
Domestic Travel:
- conference attendance
- training attendance
- entitlement
- relocation
- other
No. of Titles or Responsibilities
Reviews of Reviewers(2)
Notes: (1) For 1981, use calendar year 1981 data or fiscal year 1981
data, whichever is most readily available. For 1982,
use the period between the ending date of the period used
for 1981 and June 30, 1982.
(2) Be certain to indicate the highest level of review.
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Page 2 of 2
4. cont.
Purpose
Overseas and Foreign
Travel :(3)
- conference attendance
- training attendance
- entitlement
- relocation
- other
No. of Titles or Responsibilities
Reviews of Reviewers (4)
5. Does your Department/Agency provide travel management training
to those officials empowered to authorize travel?
No.
Yes. Briefly describe type of training provided.
6. Does the travel authorization form require identification of
the specific purpose(s) of the travel?
Yes.
No. Please explain briefly departures from such
practice.
7. Does the travel voucher require identification of the specific
purpose(s) of the travel?
Yes.
No. Please explain briefly departures from such
practice.
8. If either the travel authorization form or the travel voucher
requires identification of trip purpose, please list the
purpose categories and definitions used and attach on a
separate sheet of paper.
Notes: (2) Be certain to indicate the highest level of review.
(3) For purposes of this report, "overseas" includes
travel to Alaska, Hawaii and overseas U.S. territories
and possessions. If approvals for such travel are
different than for foreign travel, please so
indicate.
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%nor
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1
* Management reports Employees
Sample of trips made
Others
_
Estimate by management ( \Total
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Summary of Agency Travel Authorization Coverage
and Review Practices
Department/Agency:
Authorization Type
General travel authorization
(Covers entire organization and
groups of _employees)
Unlimited open authorizations
(Permits an individual to travel
for any purpose without further
authorization)
Limited open authorizations
(Permits an individual to travel
without further authorization
under certain specified condi-
tions)
Trip-by-trip authorization(2)
(Permits an individual or
group of individuals to take
one or more specific trips
identified as to purpose,
itinerary and estimated
cost)
Other (define type of
authorizations used by the
agency that differ from the
types previously listed)
Total
Prepared By:
1981(1) (2)
No. of
Employees
Covered(4)
Notes: (1) Use calendar year 1981 data or
fiscal year 1981 data, whichever
is most readily available.
(2) Please provide this data by
authorization type and indicate
the basis of these estimates
1981
1982
Estimated
Percent of
Total Agency Trips
(3)
(4)
1982(2)
Date:
Table A
No. of Estimated
Employees Percent of How Frequently
Covered (4) Total Agency Trips Reviewed Reviewed
100%
For trip by trip authorizations, please
indicate the number of such authorizations
issued over the reporting period.
For 1981 and 1982, indicate the appropriate
number of persons covered by your travel
regulations.
1981 1982
CMS BULLETIN No. 82-10
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Copies distributed to AO/DCI & OGC Library.
No action required.
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EXECUTIVE OFFICE OF THE PRESIDENT
OFFICE OF MANAGEMENT AND BUDGET
WASHINGTON. D.C. 20933
BULLETIN NO. 82-10
April 12, 1982
TO THE HEADS OF EXECUTIVE DEPARTMENTS AND ESTABLISHMENTS
SUBJECT: Apportionment of 1982 Funds Under the Further
Continuing Resolution
1. Purpose. This Bulletin provides instructions for the
preparation and submission of requests for apportionment of
amounts appropriated under the further continuing resolution
for fiscal year 1982, P.L. 97-161.
2. Background and Authority. This Bulletin is issued pur-
suant to the Antideficiency Act, section 3679 of the Revised
Statutes, as amended (31 U.S.C. 665).
P.L. 97-161 provides appropriations and funds for the
remainder of fiscal year 1982 for those projects and
activities that do not have enacted appropriations.
3. Policy.
a. Agencies will adhere to procedures in accordance with
OMB Circular No. A-34, as amended by this Bulletin.
b. Amounts provided under this further continuing
resolution will be formally apportioned whenever such amounts
would be apportioned under a regular appropriations act.
c. To avoid the back-to-back submission of reapportion-
ment requests, amounts for increased pay costs as approved by
the Office of Management and Budget will also be included in
the reapportionment request.
d. The following requirements supersede the instructions
in OMB Circular No. A-34.
???
Amounts requested for warranting through the
expiration of the continuing resolution will be
shown on line 1A, Budget authority: Appropria-
tion realized, of the S.F. 132; and
Unobligated balances of amounts warranted by
Treasury and apportioned under the continuing
resolution will be included on line 9.a.,
Unobligated balances available (Apportioned,
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_ . .
2
category A) or line 9.b., Unobligated balances
available (Apportioned, category B) of the
"Report on Budget Execution" (S.F. 133), and not
on line 9.c., Unobligated balances available
(Other balances available).
4. Timing. Agencies shall submit apportionment requests of
amounts made available under this resolution to OMB not later
than April 20, 1982.
5. Information Contact. For further information, agencies
should contact their OMB examiner.
6. Sunset Review Date. This Bulletin expires at the end of
fiscal year 1982.
SZtess
David A. Stockman
Director
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ONM Bulletin No. 82-9
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EXECUTIVE OFFICE OF THE PRESIDENT
OFFICE' OF MANAGEMENT AND BUDGET
WASHINGTON, D.C. 20503
Bulletin No. 82-9
March 24, 1982
TO THE HEADS OF EXECUTIVE DEPARTMENTS AND ESTABLISHMENTS I
SUBJECT: Federal Agency Reimbursement to Saint Elizabeths
Hospital in the District of Columbia
1. Purpose. This Bulletin provides instructions for the
reimbursement of and budgeting for costs incurred for care
provided Federal beneficiaries at Saint Elizabeths Hospital
in the District of Columbia starting October 1, 1982.
2. Authority. The statute establishing Saint Elizabeths
Hospital as a Federal entity, 24 U.S.C. 161 et. seq.,
requires reimbursement of costs incurred for Federal
beneficiaries.
3. Background. A number of Federal agencies are authorized
to send certain persons to Saint Elizabeths Hospital in the
District of Columbia for care. Federal beneficiaries are
defined as those individuals who, pursuant to statutory
authority, have been referred to the hospital by any Federal
agencies for care. These agencies are required to reimburse
the hospital for the cost of care provided.
4. Policy. Beginning October 1, 1982, Federal agencies will
be required to reimburse Saint Elizabeths Hospital for the
cost of care provided to beneficiaries referred to the
hospital, whether referral was prior or subsequent to
October 1, 1982. These reimbursements will be paid from
existing budget allowances. Payment will be made promptly
upon receipt of a bill from the Superintendent. Requests for
additional funds for this purpose will not be considered.
Federal agencies will be provided guidance by the Department
of Health and Human Services on the charges and reimbursement
procedures.
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5. Information contact. For information and amounts to be
paid, contact the Office of the Superintendent, Saint
Elizabeths Hospital, Department of Health and Human Services
(telephone: [phone]).
David
Director
A. Stockman
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nmB Bulletin No_ R2-R
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ti January iiot
STAINo action required per
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EXECUTIVE OFFICE OF THE PRESIDENT
OFFICE OF MANAGEMENT AND BUDGET
WASHINGTON. D.C. 20503
BULLETIN No. 82-8 January 29, 1982
TO THE HEADS OF EXECUTIVE DEPARTMENTS AND ESTABLISHMENTS
SUBJECT: Information on Periodicals, Pamphlets, and Audiovisual
Products
1. Purpose. This Bulletin provides instructions for the sub-
mission of information for a report to the Senate Appropriations
Committee on the level of funding for periodicals, pamphlets,
and audiovisual products for fiscal years 1981, 1982, and 1983.
2. Authority. Pages 11 and 12 of the Senate Committee report
on the Treasury, Postal Service, and General Government
Appropriation Bill, 1982 (excerpt attached), and the Budget and
Accounting Act of 1921, as amended.
3. Background. The Senate Appropriations Committee required
that the-Office of Management and Budget (OMB) transmit by March
15, 1982 reports on the level of funding for consulting and
related services, for periodicals, pamphlets, and audiovisual
products, and for debt collection activities.
The Committee also directed the head of each agency to provide
detailed tables and narratives for these categories as part of
the agency's budget justification submitted to Congress.
Previously, agencies provided the level of funding in the 1983
Budget for consulting and related services and for debt
collection activities. Now an update of the level of funding in
the 1983 Budget for periodicals, pamphlets, and audiovisual
products is needed.
4. Coverage. This Bulletin applies to all Executive Branch
agencies.
5. Required actions. Each agency will submit to OMB informa-
tion on the level ot funding in the 1983 Budget, with subtotals
for each, for periodicals, pamphlets, and audiovisual products
as defined in OMB Bulletin No. 81-16 for fiscal years 1981,
1982, and 1983 (Exhibit attached). The level of funding
reported to OMB must be consistent with the amounts included in
agency budget justifications presented to the Congress. The
information shall be submitted to OMB by February 15, 1982.
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Also, agendies are reminded that the amounts previously reported
to OMB for consulting and related 'services, and for debt collec-
tion activities for the 1983 Budget must also be consistent with 0
the amounts in agency bUdget justifications. Agencies should be
prepared to provide explanations of any differences between the
two.
6. InformatiOn contact. Further information may be obiaified
from the Management Improvement and -Evaluation Division
(395-3692) or the OMB examiner responsible for handling the
agency's budget.
7. Sunset ReVieW date. This Bulletin expires as soon as action
is completed.
David A. Stockman
Director
Attachment&
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OMB Bulletin No. 82-8
EXCERPT FROM PAGES 11 AND 12 OF THE
SENATE COMMITTEE REPORT ON THE TREASURY, POSTAL SERVICE,
AND GENERAL GOVERNMENT APPROPRIATION BILL, 1982
Therefore, the Committee directs the Director of the Office
of Management and Budget to do the following:
1. In reports to be transmitted by March 15, 1982, provide the
level of funding for the following categories of administrative
expenses for each department, agency, and instrumentality of the
executive branch of Government:
(a) Consultant services, management and professional
services, and special studies and analyses for fiscal
years 1981, 1982, and 1983;
(b) Periodicals, pamphlets, and audiovisual products for
fiscal years 1981 and 1982; and
(c) Debt collection activities for fiscal years 1981, 1982,
and 1983.
2. Provide the following information in annual reports on debt
collection activities for fiscal years 1981, 1982, and 1983:
(a) Outstanding debt owed each agency, department, or
instrumentality;
(b) Amount of debt collected by each agency, department, or
instrumentality; and
(c) Aggregate data on the overall Government effort in
collecting overpayments, delinquencies, and other
indebtedness.
Furthermore, the Committee directs the head of each agency,
department, and instrumentality of the Government to provide
tables and narratives in the individual agency budget justifi-
cations submitted to the Congress on these categories.
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Date:
Agency
Contact:
Exhibit
OMB Bulletin No. 82-8
(name and phone)
Department of Government
Periodicals, Pamphlets, and Audiovisuals in the 1983 Budget
(Dollars in thousands)
FY Ti FY
1981 1982 1983
Actual Estimate Estimate
Obliga-
tions
Obliga-
tions
Obliga-
tions
(A) Periodicals
$100
$ 80
$ 60
(B) Pamphlets
50
40
30
(C) Audiovisuals
800
600
400
Totals
$950
$720
$490
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am BULLETIN NO. 82-7
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?v 0.111-40.11
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EXECUTIVE OFFICE OF THE PRESIDENT
OFFICE OF MANAGEMENT AND BUDGET
WASHINGTON. D.C. 20503
JAN 2 0 1982
BULLETIN NO. 82-7
-
TO THE HEADS OF EXECUTIVE DEPARTMENTS AND ESTABLISHMENTS
SUBJECT: 1982 Limitations on Loan Guarantee Commitments
1. Purpose. This Bulletin provides instructions on
treatment of 1982 limitations on loan guarantee commitments
in the 1983 Budget, where the level of commitments is
estimated to be less than the enacted limitation.
2. Authority. The Budget and Accounting Act, 1921, as
amended.
3. Background. In the 1981 Budget, a system for controlling
Federal direct loans and loan guarantees through the enact-
ment of limitations in appropriations acts was established.
Under this system, annual ceilings are recommended to the
Congress on credit programs that in most cases are limited
otherwise only by provisions in authorizing statutes.
Authorizing statutes generally specify eligibility criteria
and in some cases the amount of direct loans or loan
guarantees that may be outstanding at any time. Limitations
in appropriations acts specify the maximum amount of Federal
credit that may be extended during the year. Other factors,
such as the absence of qualified applicants, may result in a
lesser amount of credit actually being extended.
On November 5, 1981, the President directed the heads of
certain agencies to prepare plans for achieving reductions in
1982 new commitments for Federal loan guarantees (see attach-
ment). One of the President's objectives was to promote
administrative practices to ensure that only qualified
applicants receive Federal loan guarantees. Consistent with
this objective, applicants should be required to meet those
criteria dictated by sound financial management principles
that can be applied within the bounds of the pertinent legal
authority. The criteria, among other things, should preclude
Federal guarantees when credit can be obtained without them
and establish equity, collateral, and coinsurance require-
ments. Because of the importance of achieving the reductions
quickly and because the appropriations process was already
far advanced, the President requested that administrative
action to achieve the reductions be taken whenever possible.
In the further continuing resolution for 1982 (P.L. 97-92,
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2
section 136), the Congress expressed its agreement with the
President's policy that guarantees or insurance should be
extended only to qualified applicants.
In furtherance of his policy, the President will request that
the Congress enact revised loan guarantee limitations for
1982. The amounts proposed will be lower, but will be
sufficient to fulfill the purpose of the guarantee programs
under rigorously applied criteria.
4. Coverage. This Bulletin applies to all loan guarantee
programs for: which limitations were enacted either specif-
ically in appropriations acts or in effect in the further
continuing resolution (P.L. 97-92).
A,
5. Definitions. The terms commitment and loan guarantee are
defined in OMB Circular No. A-11 (revised), section 33.2..
6. Policy. Supplemental appropriation language proposing a
lower limitation for 1982 guarantee programs will be trans-
mitted with the 1983 Budget where the amount of new commit-
ments in 1982 is estimated to be less than the amount of the
limitation described in paragraph 4 and' the lesser amount is
expected to result for reasons other than the absence of
qualified applicants. OMB approval is required for
exceptions.
7. Action required. For each affected budget account, the
responsible !agency will accomplish- the following actions
(references are to sections of OMB Circular No., A-11,
revised):
a. Submit proposed appropriations language (as
prescribed in section 31.5) to be printed in Part III of the
Appendix to the budget that includes the revised amount
(underscore language, to be printed in italics).
b. Ensure that the schedule on status of loan guarantees
appearing in Part I of the Appendix includes the amount of
the reduction on line 2190, Unused balance of limitation,
expiring, and that line 2110, Limitation on commitments, is
footnoted to read "A limitation in the amount of $xxx
thousand is proposed for FY l982; see Part III for additional
information." (The footnote, "See Part III for additional
details" should also follow the appropriation language in
Part I.)
8. Timing. The above actions must be completed concurrently
with the next submission of Budget Appendix galley proofs or
page proofs to be submitted to OMB subsequent to the date of
this Bulletin.
\
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9. Information contact. Agencies should contact their OMB
budget examiner.
10. Sunset review date. This Bulletin expires concurrently
with the transmittal to Congress of the 1983 Budget.
4 95gAseni
David A. Stockman
Director
Attachment
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Attachment
THE WHITE HOUSE
WASHINGTON
November 5, 1981
MEMORANDUM FOR: Secretary of Defense
Secretary of the Treasury
Secretary of Agriculture
Secretary of Commerce
Secretary of Health and Human Services
Secretary of Housing and Urban Development
Secretary of Transportation
Administrator, Small Business Administration
President, Export-Import Bank of the United States
SUBJECTS: Reductions in 1982 New Commitments
for Federal Loan Guarantees
Federal budget policies are having a serious adverse impact on
the nation's credit markets because of the virtual explosion in
recent years of Federal and federally-assisted borrowing.
For example, in the fiscal year just ended, the Federal govern-
ment borrowed $78.8 billion to finance its on and off-budget
deficits and stimulated an additional $48.0 billion in borrowing
for loan guarantees and $27.7 billion for government sponsored
enterprises. In sum, funds raised under Federal auspices in 1981
absorbed 43 percent of the capital raised in the nonfinancial
sector of the U.S. credit markets.
This direct government and government assisted borrowing has
contributed to record interest rates, disorder in financial
markets, and inadequate economic growth. The escalation of
interest rates in recent years has made it impossible for many
families to buy homes and has discouraged investment by business
and industry.
At my request, the Cabinet Council on Economic Affairs has
completed a thorough review of Federal loan guarantee programs
and has recommended that action be taken immediately to reduce
unnecessary credit demands. After reviewing the Council's
recommendations, I have concluded that reductions in new com-
mitments should be made in the programs and in the amounts listed
in the attachment to this memorandum.
Accordingly, I am asking each of you to prepare and submit to
the Director of the Office of Management and Budget within 15
days a specific plan for achieving the reductions identified
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for the programs listed for your department or agency. You should
consider all matters within your discretion for achieving the
reduction, including changes in credit standards and loan criteria.
To hasten the implementation of this policy, administrative action
would be preferred wherever possible. In the event you conclude
that the reductions cannot be achieved administratively, you
should submit draft legislation that you believe necessary to
achieve the reduction.
Res?-sas(1/2--#
Attachment
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REDUCTIONS IN 1982 NEW COMMITMENTS FOR LOAN GUARANTEES
(in billions of dollars)
Previously Reduction
Planned to be
1982 Level Achieved
Department or Agency and Program
Department of Agriculture
- Rural Electrification and Telephone
Revolving Fund
- Farmers Home Administration
Department of Commerce
- NOAA Fishing vessel financing
- Trade adjustment assistance
5.20
13.40
? .08
.04
1.00
.30
.02
.01
Department of Defense
- Defense Production Guarantees
.03
.03
Department of Housing and Urban Development
- GNMA Mortgage backed-securities
64.00
16.00
- Section 108 community development
.25
.25
Department of Health and Human Services
- Health Professions guaranteed student
loans
.10
.02
Department of Transportation
- Maritime Administration Federal Ship
Financing Fund
.90
.22
- Section 511 rail rehabilitation
.27
.14
FAA Aircraft Purchase loan guarantees
.10
405
Department of Treasury
- Biomass energy development
.05
.05
Small Business Administration
- Business Loan and Investment Fund, Surety
Guarantees and Pollution Control
Equipment Contract Revolving Fund
5.00
1.00
Export-Import Bank
- Guarantees and Insurance
8.20
1.20
620.29
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STATNo action required by CIA.
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EXECUTIVE OFFICE OF THE PRESIDENT
OFFICE OF MANAGEMENT AND BUDGET
WASHINGTON. D.C. 20503
Bulletin No. 82-6 December 23, 1981
TO THE HEADS OF EXECUTIVE DEPARTMENTS AND ESTABLISHMENTS
SUBJECT: Apportionment of 1982 Funds Under the Further
Continuing Resolution
1. Purpose. This Bulletin provides instructions for the
preparation and submission of requests for apportionment of
amounts appropriated under the further continuing resolution
for fiscal year 1982, P.L. 97-92.
2. Background and Authority. This Bulletin is issued pur-
suant to the Antideficiency Act, section 3679 of the Revised
Statutes, as amended (31 U.S.C. 665).
OMB Bulletin No. 82-1 provided instructions on apportionment
under the first continuing resolution for 1982, P.L. 97-51.
Subsequently, the Director of OMB, in a memorandum dated
December 3, 1981, provided supplementary guidance with
respect to the apportionment of funds under the extension of
that continuing resolution, P.L. 97-85.
3. Rescissions.
a. OMB Bulletin No. 82-1, Apportionment Under Continuing
Resolutions, dated October 7, 1981.
b. Memorandum to The Heads of Executive Departments and
Agencies, subject: Apportionment Under the Temporary
Continuing Resolution, dated December 3, 1981.
4. Policy.
a. Requirement for Apportionment.
Amounts provided under this further continuing
resolution will be formally apportioned whenever
such amounts would be apportioned under a regular
appropriations act. Agencies will request
apportionment or reapportionment in accordance
with OMB Circular No. A-34, as amended by this
Bulletin.
If regular appropriations bills are enacted or if
appropriations for any project or activity are
provided for the full year, the amounts
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should be apportioned under the procedures estab-
lished by OMB Circular No. A-34.
Reapportionment of actual amounts of unobligated
balances brought forward will be requested at the
same time that the request to apportion the amounts
appropriated under this continuing resolution is
made.
For the accounts for which appropriations have been
provided until March 31, 1982, requests for appor-
tionment that would indicate a need for supplemental
appropriations, such as a pay raise or any other
legally permitted deficiency apportionment, will
also be made at the same time as the request to
apportion the amounts appropriated under this con-
tinuing resolution.
b. Determination of appropriations realized under P.L.
97-92.
(1) The annualized level of appropriations provided will
be determined from the language in P.L. 97-92.
(2) Unless otherwise required by OMB, for appropriations
made available through March 31, 1982, a pro-rata
share of 51% of the annualized level of appropria-
tions will be deemed to be realized. When appor-
tionment is required, the amount of appropriations
realized will be shown on line 1A of the Apportion-
ment and Reapportionment Schedule (S.F. 132). If
it is determined that an amount in excess of 51% has
been realized, the agency will submit to OMB both an
S.F. 132 and a written justification in support of
the higher figure. This justification must
demonstrate that an amount in excess of the above
percentage is appropriate.
c. Withholdings pursuant to the Antideficiency Act and the
Impoundment Control Act.
All amounts provided under P.L. 97-51 and P.L. 97-85
have been superseded by regular enacted appropriations
bills or by the further continuing resolution, P.L.
97-92. Likewise, previous deferrals under the
continuing resolution and its extension are hereby
released.
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For accounts in which amounts have been enacted for the
full fiscal year (including those provided in regular
enacted appropriations bills), the previous deferrals
made to preserve the option of the Congress to achieve
the President's revised (September) request are no
longer in effect. As is usual, these accounts will be
reviewed in the normal apportionment process to
determine whether withholdings for other purposes should
be made and reported to the Congress in accordance with
the Impoundment Control Act.
Specifically, whenever it is determined that all or part
of any budget authority will not be needed to carry out
the full objectives or scope of programs for which
authority was provided, or whenever all or part of any
budget authority limited to a fiscal year is to be
reserved from obligation for the entire year, a proposed
rescission is required to be reported. Deferrals are
required to be reported whenever amounts are reserved
for contingency under the Antideficiency Act or
temporarily withheld for other purposes.
For accounts in which amounts have been provided only
through March 31, 1982, the levels provided by the
Congress in the further continuing resolution generally
preserve the option of the Congress to achieve the
President's revised request without the need for a new
deferral report. In any event, each account should be
reviewed on a case-by-case basis to determine whether
temporary withholdings are needed or desirable for the
new period of availability (December 16, 1981 through
March 31, 1982). Whenever it is determined that
withholdings during the new period of availability are
needed, new reports are required.
d. Variances with OMB Circular No. A-34. The following
requirements supersede the instructions in OMB Circular
No. A-34.
Amounts requested for warranting through the
expiration of the continuing resolution will be
shown on line 1A, Budget authority: Appropriation
realized, of the S.F. 132; and
Unobligated balances of amounts warranted by Trea-
sury and apportioned under the continuing resolution
will be included on line 9.a., Unobligated balances
available (Apportioned, category A) or line 9.b.,
Unobligated balances available (Apportioned,
category B) of the "Report on Budget Execution"
(S.F. 133), and not on line 9.c., Unobligated
balances available (Other balances available).
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5. Timing. Agencies shall submit apportionment requests of
amounts made available under this resolution to OKB not later
than December 31, 1981.
6. Information Contact. For further information, agencies
should contact optr Q1413 examiner.
7. Sunset Review Date.
Fiscal year1*82.
This Bulletin expires at the end of
David A. Stockman
Director
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STATesn't relate to CIA.
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EXECUTIVE OFFICS. OF ,THE PRESIDENT
OFFICE OF MANAGEMENT AND BUDGET
WASHINGTON. D.C. 20503
December 8, 1981
BULLETIN NO. 82-5
TO THE HEADS OF EXECUTIVE DEPARTMENTS AND ESTABLISHMENTS
SUBJECT: Report on Impact of Limitations on 1981 Fourth Quarter
Obligations in Certain Agencies
1. Purpose. This Bulletin provides instructions for the
submission of information on the impact of a statutory
limitation on 1981 fourth quarter obligations in certain
agencies.
2. Authority. Section 320 of the Department of Transportation
and Related Agencies Appropriation Act, 1981 (P.L. 96-400), and
section 414 of the Department of Housing and Urban Development -
Independent Agencies Appropriation Act, 1981 (P.L. 96-526).
3. Background. The agencies covered by these appropriations
were required to:
limit obligations in the fourth quarter of 1981 to no more
that 30 per centum of total budget authority available to
the agency; and
limit obligations for any month in the last quarter of 1981
to no more than 15 per centum of total budget authority
available to the agency.
The affected agencies were required to submit quarterly status
reports to the Committees on Appropriations and to the Director
of the Office of Management and Budget (OMB). In addition, the
Director of OMB was authorized to waive the limitations whenever
he determined in writing that a waiver was necessary to avoid a
serious disruption in carrying out programs or activities. OMB
Bulletin No. 81-12 provided instructions for preparing and
processing the quarterly reports and for requesting waivers.
Moreover, OMB is required to submit a report to the Committees
on Appropriations on the results and impact of the limitation
and actions taken, including the effects upon the procurement
and apportionment processes, together with any appropriate
recommendations.
4. Coverage. This Bulletin applies to the agencies listed in
the Attachment.
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5. Action requirements. Agencies will prepare a brief paper
summarizing the impact of compliance with the aforementioned
provisions. Specifically, the paper should address the effects
on the agency's procurement and apportionment processes, other
effects of the limitations, and any recommendations the agency
considers appropriate concerning such limitations that might be
proposed in the future. The summary should be limited to one or
two pages, if possible.
Agencies that have not yet submitted their fourth quarter reports
(due to ONE by November 15, 1981 pursuant to OMB Bulletin No.
81-12) are required to submit those reports with their
summaries.
6. Timing. The summaries will be submitted to OMM by c.o.b.
December 18, 1981.
7. Inquiries. Inquiries should be directed to the OMB
representative responsible for reviewing the agency's budget
estimates.
8. Sunset date. This Bulletin will expire as soon as action is
completed.
ara 5g1"---ct'sar
David A. Stockman
Director
Attachment
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Attachment
Bulletin No. 82-5
Agencies Included in the Department of Transportation and Related
Agencies Appropriation Act, 1981 (P.L. 96-400) and the Department
of Housing and Urban Development-Independent Agencies Appropriation
Act, 1981 (P.L. 96-526)
Department of Transportation
National Transportation Safety Board
Civil Aeronautics Board
Interstate Commerce Commission
Panama Canal Commission
Treasury:
Office of the Secretary Investment in Fund Anticipation Notes
U.S. Railway Association
Washington Metropolitan Area Transit Authority
Department of Housing and Urban Development
American Battle Monuments Commission
Consumer Product Safety Commission
Council on Environmental Quality and Office of Environmental
Quality
Disaster Relief
DOD-Civil: Cemeterial Expenses, Army
Environmental Protection Agency
Federal Emergency Management Agency:
Emergency Planning, Preparedness, and Mobilization
Hazard Mitigation and Disaster Assistance
National Flood Insurance Fund Administrative Provision
GSA: Consumer Information Center
HHS: Office of Consumer Affairs
National Aeronautics and Space Administration
National Commission on Air Quality
National Consumer Cooperative Bank
National Credit Union Administration
National Institute of Building Sciences
National Science Foundation
Neighborhood Reinvestment Corporation
Office of Science and Technology Policy
Selective Service System
Treasury:
Payments to State and Local Government Fiscal Assistance
Trust Fund
Office of Revenue Sharing Salaries and Expenses
New York City Loan Guarantee Program
Investment in National Consumer Cooperative Bank
Veterans Administration
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OMB Bulletin No. 82-4 Supplemental No. I
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octiatai y .L.JUL
Distribution made to AO/DCI & OGC Library 2/17/82
STAT action required - Copy routed thru
'BMG
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EXECUTIVE OFFICE OF THE PRESIDENT
OFFICE OF MANAGEMENT AND BUDGET
? WASHINGTON, D.C. 20503
BULLETIN NO. 82-4, Supplement No. 1 January 7, 1982
TO THE HEADS OF EXECUTIVE DEPARTMENTS AND ESTABLISHMENTS
SUBJECT: Increased Pay Costs for Fiscal Year 1982
1. Purpose. This Supplement
the submission of an analysis
year 1982. It also provides
of such costs, and on the pay
provides revised instructions for
of increased pay costs for fiscal
revised guidance on the absorption
supplementals required.
2. Background. OMB Bulletin No. 82-4 specified that supple-
mentals for 1982 pay increase costs requiring additional budget
authority would be transmitted with the 1983 Budget. It is now
necessary to change that policy and to postpone the transmittal
of pay supplementals until after the budget has been sent to the
Congress for the following reasons.
o First, congressional action on most 1982 appropriations was
not completed until mid-December 1981.
O Second, appropriations for many agencies are provided in a
continuing resolution that expires on March 31, 1982.
o Third, the continuing resolution and some of the recently
enacted appropriations bills have provisions that require
time to interpret and to administer.
Consequently, only after the 1983 Budget has been transmitted
will there be sufficient time to permit the kind of review that
is necessary to assure the most effective and economical use of
available resources to meet the cost of the pay raise.
3. Policy. The basic policy established in OMB Bulletin No.
82-4 is continued; agencies are expected to absorb a minimum of
50 percent of the total increased pay costs. Because the pay
supplemental will not be transmitted until the spring of 1982,
however, opportunities for greater absorption should be identi-
fied, using the guidance provided by Section 5.b(2) of OMB
Bulletin No. 82-4. Agencies should endeavor to identify
opportunities for full absorption where this would not reduce
available resources in an account to a level below the
President's September budget request.
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Among the ways suggested by Section 5.b(2) to achieve additional
absorption is to seek transfer authority between appropriations
accounts within the same agency. Because pay supplementals will
not be transmitted until the spring, requests for such authority
will not be made in the 1983 Budget for purposes of absorbing pay
costs. Similarly, the 1983 Budget will not contain proposals to
increase limitations or transfer from trust funds for the purpose
of absorbing pay costs.
Where there is uncertainty as to whether all the available
resources in an account can be used prudently for their intended
purpose, deferrals should be submitted with the 1983 Budget in
order to preserve for later the options of using those funds for
other purposes, including pay absorption, or proposing that they
be rescinded. In such cases, the deferral reports should
indicate clearly that deferral of any one-year funds are not
expected to be continued beyond the expiration of the continuing
resolution, its extension, or June 30, 1982, at the latest.
4. Revised action requirements.
a. Prior to the transmittal of the 1983 Budget, agencies
will review their needs and submit the following:
Revised budget schedules. Increased pay costs as a
result of the October 1981 pay raise will be reflected
for 1982 in the budget schedules only to the extent that
they are being absorbed without further congressional
action. Obligations in anticipation of proposing
supplementals for the October 1981 pay raise will not be
shown for 1982 in the program and financing schedules nor
in the amount for personnel compensation in the object
class schedules. Agencies will adjust their budget
schedules, as necessary.
Deferrals. Agencies will submit deferrals if funds that
may not be needed for the purpose for which they were
appropriated are being withheld to preserve for later the
options of transmitting proposed transfer authority to
use those funds for other purposes, including pay
absorption, or proposing rescission of the funds.
Apportionment/reapportionment requests. Agencies will
request apportionment or reapportionment in accordance
with OMB Circular No. A-34 for enacted regular appropria-
tions or OMB Bulletin No. 82-6 for continuing appropria-
tions made available by P.L. 97-92.
Since pay supplementals for fiscal year 1982 that require
additional budget authority will not be transmitted with
the 1983 Budget, deficiency apportionments for pay
generally will not be approved. However, deficiency
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apportionments for pay will be considered in those cases
where the agency head certifies necessity. Agencies are
reminded that section 43.2 of ONE Circular No. A-34 pro-
vides that action on the deficiency apportionment request
does not commit OMB to the amount of the supplemental
that will be recommended subsequently to the President or
transmitted to the Congress.
b. After transmittal of the 1983 Budget, each agency will
review all enacted appropriations with the goal of fully
absorbing 1982 increased pay costs. By March 1, 1982, each
agency will submit to OMB:
The analysis of increased pay costs. A revised analysis
will be prepared in accordance with the instructions in
OMB Bulletin No. 82-4. Column 8 of the Exhibit will
generally be blank.
Narrative of the analysis. A revised narrative
explanation of the methods used in computing and
absorbing the increased pay costs will be prepared and
submitted with the analysis of increased pay costs.
This should include a statement of the effects of the
absorption that is being proposed.
Transfer
proposing
authority
whenever
approved,
submitted
authority language proposals. Rather than
supplementals that require additional budget
, agencies will propose transfer authority
possible. Where new transfer authority is
language will be proposed as follows and
to OMB:
For an additional amount for "(name of account to be
transferred to)," $(dollar amount) to be derived by
transfer from "(name of account to be transferred
from)."
Deferrals and proposed rescissions. Agencies will submit
deferrals and proposed rescissions, as appropriate,
following the guidelines in paragraph 6.b(3) of OMB
Bulletin No. 82-4.
Pay supplemental proposals. Pay supplementals that
require additional bud-get authority will be proposed only
in rare instances. That is, exceptions may be considered
for sensitive activities; e.g., to maintain personnel
levels for Inspectors General and VA medical care.
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6. Effective and sunset date. This Supplement is effective
immediately and expires as soon as action is completed.
7. Information contact. For further information, agencies
should contact their OMB examiner.
emu A 31;c
David A. Stockman
Director
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ONIB Bulletin No. 82-4
?
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L iNUvelliLet _IVO"
Distribution made to AO/DCI & OGC Library 12/21/81
Keith Hall indicated no submission necessary - 16 Nov 81
STAT C/BNIG
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EXECUTIVE OFFICE OF THE PRESIDENT
OFFICE OF MANAGEMENT AND BUDGET
WASHINGTON. D.C. 20533
BULLETIN NO. 82-4
November 2, 1981
TO THE HEADS OF EXECUTIVE DEPARTMENTS AND ESTABLISHMENTS
SUBJECT: Increased Pay Costs for Fiscal Year 1982
1. Purpose. This Bulletin provides instructions for the
submission of an analysis of increased pay costs for fiscal year
1982. It also provides guidance on the absorption of such costs
and on the pay supplementals required.
2. Authority.
P.L. 91-656, cited as the Federal Pay Comparability Act
of 1970, authorizes the President to adjust the rates
for statutory pay systems for civilians (i.e., General
Schedule, Foreign Service, and Department of Medicine
and Surgery of Veterans Administration).
(:) P.L. 97-60, October 14, 1981, Uniformed Services Pay Act
of 1981.
P.L. 94-82, the Executive Salary Cost-of-Living
Adjustment Act, provides for adjustments in rates of pay
and salaries for employees under the Executive,
Legislative and Judicial schedules.
Section 1701 of the Omnibus Budget Reconciliation Act of
1981 (P.L. 97-35) provides for a 4.8 percent pay cap
on both general schedule and wage board pay increases as
follows:
(a) Notwithstanding any other provision of law, the
overall percentage of the adjustment of the rates of
pay under the General Schedule or any other
statutory pay system under section 5305 of title 5,
United States Code, which is to become effective
with the first applicable pay period commencing on
or after October 1, 1981, shall not exceed 4.8
percent.
(b)(1) Notwithstanding any other provision of law, in
the case of a prevailing rate employee described
in section 5342(a)(2) of title 5, United States
Code, or an employee covered by section 5348 of
that title--
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(A) any increase in the rate of pay payable to
such employee which would result from the
expiration of the limitation contained in
section 114(a)(2) of Public Law 96-369 shall
not take, effect, and
(B) any adjustment under subchapter IV of chapter
53 of such title to any wage schedule or rate
applicable to such employee which results from
a wage survey and which is to become effective
during the fiscal year beginning October 1,
1981, shall not exceed the amount which is 4.8
percent above the schedule or rate payable on
September 30, 1981 (determined with regard to
the limitation contained in section 114(a)(2)
of Public Law 96-369).
(2) Notwithstanding the provisions of section 9(b) of
Public Law 92-392 or section 704(b) of the Civil
Service Reform Act of 1978, the provisions of
paragraph (1) shall apply (in such manner as the
Office of Personnel Management shall prescribe)
to prevailing rate employees to whom such section
9(b) applies, except that the provisions of
paragraph (1) shall not apply to any increase in
a wage schedule or rate which is required by the
terms of a contract entered into before the date
of the enactment of this Act.
P.L. 97-51, Continuing Resolution, provides continuing
appropriations for activities of the Federal Government
through November 20, 1981.
Executive Order No. 12330 dated October 15, 1981, issued
pursuant to the above statutes.
3. Background. Office of Management and Budget (OMB) Circular
No. A-1f (sections 13.4(d) and 32.7(b)) instructed agencies to
include amounts for the October 1981 pay raise in their 1982 and
1983 budget estimates, if the new pay rates were known at the
time of submission. If the new pay rates were not known at the
time of submission, agencies should include in their budget
schedules the additional 1982 and 1983 amounts required for the
October 1981 pay raise when they are informed by OMB of their
1983 budget allowances.
The information submitted pursuant to this Bulletin will provide
the basis for requests to the Congress in the 1983 Budget for
the 1982 pay supplementals.
4. Coverage. These instructions apply to the fiscal year 1982
increased-pay costs of all agencies.
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5. Policy.
a. Calculation of Increased Pay Costs. Since the pay
increase is effective with the first pay period beginning on or
after October 1, 1981 and the pay periods vary from agency to
agency, computations shall be based on the actual number of
workdays in fiscal year 1982 that will be subject to the pay
raise. Agencies shall compute the amount of the 1982 pay
increase costs specified above on the basis of the latest
approved 1982 program levels. In the absence of enacted
appropriations, agencies will base their computations on the
fiscal year 1982 program levels as they will be reflected in the
1982 (current year) entry of the 1983 Budget.
Guidance will be provided later on the budget presentation for
unenacted appropriations. The methods used to make the
computations shall be provided in the narrative explanation of
the analysis.
b. Absorption of Increased Pay Costs.
(1)
Agencies are expected to absorb a minimum of 50
percent of total increased pay costs.
(2) Agencies are expected to absorb increased pay costs
in the following manner:
(a) Use all available resources within the account to
cover increased pay costs. This shall include
savings and revenues resulting from:
Lower than anticipated personnel levels;
Continuing efforts to minimize travel and
reductions in other operating costs, e.g., in
the use of consulting and related services or
in the production of periodicals, pamphlets
and audiovisual products (as required by OMB
Bulletin No. 81-16 and Supplement No. 1
thereto); and
Economies achieved through cost reduction,
position management, and other management
improvement programs as set forth in OMB
Circulars No. A-117 and A-64.
(b) Use existing transfer authority when resources
within an account are insufficient to meet
costs.
(c) Seek additional transfer authority between
appropriation accounts within the same agency.
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c. Application of Available Resources. Agencies shall apply
available resources in the following order of priority:
To program increases for uncontrollable items that
qualify for deficiency apportionment, when the total
amount of these program increases can be absorbed.
To the various types of increased pay costs (i.e.,
civilian statutory pay systems, military pay systems,
wage board, administrative action) in the following
order of priority:
(a) Any type of increased reimbursements to other
accounts due to increased pay costs (including
payments to revolving funds).
(b) Any type of increased pay cost that can be
absorbed in full.
(c) Any type of increased pay cost that cannot be
absorbed in full.
d. Proposal of Pay Supplementals.
be proposed only when the head ot the
full absorption is not possible.
6. Action Requirements.
Pay supplementals should
agency has determined that
a. By November 13, 1981, each agency shall submit to OMB the
following:
(1) Analysis of Increased Pay Costs. The analysis will
be prepared in accordance with the instructions in
Attachment A and submitted in the format of the
related Exhibit.
Narrative of the Analysis. A narrative explanation
of the methods used in computing the increased pay
costs will be prepared and submitted.
Proposed Appropriation Language. Guidelines to be
used in drafting proposed appropriation language are
presented in Attachment B. Proposed appropriation
language may include changes in limitations or, for
multiple and no-year accounts, extended availability
of funds that are to be transferred, consistent with
the corresponding accounts.
b. After approval of the supplemental for pay by OMB, submit
to OMB the following information:
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(1) Revised Budget Schedules.
their budget schedules,
Program supplementals will
accordance with sections
No. A-11.)
(2) Apportionment/Reapportionment Requests.
(a) Each agency that requests apportionment or
reapportionment to reflect increased pay costs
for fiscal year 1982 shall submit its request in
accordance with section 43.2 of OMB Circular
No. A-34. Upon enactment of appropriations,
agency heads shall submit reapportionment
requests to apportion any previously deferred
funds (line 10 of S.F. 132) or unapportioned
balances of revolving funds (line 11 of S.F. 132)
that may now be needed to meet increased pay
costs.
Agency heads shall adjust
as necessary. (Note:
be handled separately, in
39.1-39.6 of OMB Circular
Deficiency apportionments under a continuing
resolution are not required unless the account
involved would actually run short of funding
while the resolution is in effect.
(b) Agency heads that request "deficiency"
apportionments--those that anticipate a need for
pay supplementals--shall also submit three copies
of the agency head's statement of necessity, as
required by 31 U.S.C. 665(e)(1). The agency
head's statement shall be worded as follows:
"I hereby determine that it is necessary to
request apportionment (or reapportionment) of the
appropriation '(appropriation title)' on a basis
that indicates the necessity for a supplemental
estimate of appropriations for pay increases in
accordance with section 107 of P.L. 97-51."
(Note: When a group of such requests is
transmitted at one time, a single statement may
be used for all requests.)
All reapportionment requests for increased pay
costs and the statements of necessity shall be
submitted to OMB within 10 days of final OMB
approval of the supplemental appropriations to be
requested in the 1983 Budget.
(3) Deferral and Rescission Proposals. If an agency is
seeking a supplemental to be derived by transfer
between appropriation accounts that involves:
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(a) no withholding or delaying of the availability of
funds, no deferral report is required. (In these
cases, available resources should be apportioned
in the losing accounts so that the funds to be
transferred are available in the last half of the
fiscal year.)
(b) withholding or delaying the availability of funds
(in order to preserve the funds for transfer), a
deferral report (see OMB Bulletin No. 75-15) is
required and should be submitted, as appropriate,
with the supplemental request.
(c) funds that cannot be used in the losing account,
regardless of whether the Congress accepts the
transfer request, a rescission proposal is to be
submitted once a definite amount of excess funds
is known.
7. OMB Responsibilities. The Office of Management and
Budget is responsible tor reviewing information submitted by
the agency and for preparing the pay supplemental package
that the President transmits to the Congress.
8. Information Contact. For further information, contact
the OMB representative responsible for reviewing the agency's
budget estimates.
9. Sunset Date. This Bulletin will expire as soon as action
is completed.
441 t;iz
A. Stockman
Director
Attachments
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ATTACHMENT A
Bulletin No. 82-4
. Instructions for Preparing the
Analysis of Increased Pay Costs for
Fiscal Year 1982
Each agency shall submit by November 13, 1981, an analysis of
increased pay costs for fiscal year 1982 resulting from the pay
raises specified in this Bulletin. An original and two copies
of this analysis shall be prepared for fiscal year 1982 in the
format illustrated by the Exhibit.
General Instructions
Treatment of Multiple Types of Pay Increases.
Where more than one type of pay increase is involved (i.e.,
civilian statutory pay systems, military pay systems, wage
board, administrative action) the amounts applicable to each
will be reported separately in columns 2 through 4 of each
analysis. In columns 5 through 8, the amounts for each account
will be reported in total (i.e., without separately identifying
the amount associated with each type of pay increase or
allocation account).
Treatment of Advances and Reimbursements.
Advances or reimbursements between Government accounts should be
treated in the following way:
The agency that is performing the work shall include the
related increased pay costs in columns 2 and 3 of their
analysis -- since these costs relate to the employees of
this agency. These costs shall be included in column 5,
and treated as part of the performing agency's absorp-
tion. (See instructions for entries under column 5.)
The ordering agency shall consider these increased pay
costs as a part of ordinary expenses and shall not
include them in columns 2 and 3 of their analysis. The
ordering agency shall absorb, through administrative
actions, payments to other accounts or agencies for the
increased pay costs to the maximum extent possible. The
ordering agency shall report the portion of the payment
for increased pay costs that cannot be absorbed through
administrative action in column 4 of the analysis. (See
instructions for entries under column 4.)
Treatment of Allocation Accounts.
For purposes of this analysis, amounts for allocation accounts
(transfer appropriation accounts) shall be incorporated in the
amounts shown for the parent account, rather than in the amounts
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shown for the receiving agency. Each agency that receives an
allocation shall furnish to the agency responsible for the
parent account that data necessary to prepare the analysis
(including justifications) for submission to OMB by November 13,
1981, unless other arrangements have been made by the agencies
concerned. Allocation accounts shall be considered a source of
transfer only by the parent agency.
Format of the Analysis
The analysis will be prepared on 8 1/2" x 14" paper, as
described below:
Column 1. Organizational unit and account title. List
each bureau or organizational unit to which separate appropria-
tions or funds are available. List, under the organizational
unit, the title of each account (other than allocation accounts)
out of which any increased pay costs are directly paid. These
shall include revolving and management funds (excluding
consolidated working funds) and trust funds. Account titles
will be listed in the order in which they appear in the Budget.
At least one line should be left between account titles.
Increased pay costs under civilian statutory pay systems
will be entered without further identification. Other types of
pay increases (wage board, administrative action, and military
pay systems) will be identified in the stub column under each
account where appropriate.
Column 2. Increase in direct pay and other related costs
of this agency -- direct pay. Enter the direct cost of pay
raises for employees paid from the reporting account, whether or
not the costs are reimbursable. Agencies should be careful to
include any additional payments that are normally associated
with object class 11, such as overtime, Sunday premium pay, etc.
If the increased pay cost is disproportionately high in relation
to the base for any account, the reasons should be fully set
forth in the narrative explanation.
Do not report in this column advances or reimbursements to
other accounts for work or services. (To the extent they cannot
be absorbed through currently authorized agency administrative
action, they are to be reported in column 4.)
Column 3. Increase in direct pay and other related costs
of this agency -- related costs. For each listed account,
report the added costs that are indirectly related to the pay
raise, whether or not the costs are reimbursable. For this
purpose, the related costs include such items as Government
retirement contributions, employer FICA taxes, Government
contributions to employee life insurance premiums, and other
payments that are based on employees' salaries.
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Do not report in this column advances or reimbursements
paid to Other accounts for work or services. (To the extent
they cannot be absorbed through currently authorized agency
administrative action, they are to be reported in column 4.)
Column 4. Amounts to be paid to other accounts that are
not absorbed administratively. Enter the portion of the
increased pay costs to be paid- as advances and reimbursements to
other accounts that cannot be absorbed through administrative
action. In most cases this column should be blank, since
payments to other accounts will be considered for absorption
ahead of the increased pay cost of the reporting account.
Column 5. Net absorption -- possible by administrative
action. Report, in total for each account, the portion of the
increases shown in columns 2 and 3 that can be absorbed through
currently authorized agency administrative action. This will
include absorptions through existing transfer authority from
other accounts and amounts to be covered by reimbursements from
other accounts.
Column 6. Net absorption -- requiring Consressional
action. Report, in total for each account, the portion of the
TWETiised costs in columns 2, 3, and 4 that could be absorbed if
the Congress provides new transfer authority to transfer funds
O from one account to another or the authority to increase the
limitation on administrative expenses or personal services of an
account.
6.
Column 7. Net absorption -- total. Total of columns 5 and
Column 8. Additional appropriation required. This column
should equal the sum of columns 2, 3, and 4 minus column 7, and
will represent the additional appropriation considered necessary
for the account as a result of the pay raises reported.
The final entry in each table will be labeled "Total, all
pay increases" and will show the total amounts for the agency
for each of the columns 2 through 8.
If Congressional action is not completed, a footnote to the
name of the agency should be provided explaining the basis for
the request.
The Analysis shall be accompanied by the narrative
explanation and appropriation language as required in section 6
of this Bulletin.
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ATTACHMENT B
Bulletin No. 82-4
Guidelines for Drafting Proposed Appropriation Language
for Pay Supplementals for Fiscal Year 1982
Indentation, punctuation, and capitalization
the presentation used in Part III, Section II
Appendix (pp. 111-57 - 111-62).
Organization titles and breaks, including
account title will generally conform to the
appropriation bills as enacted.
All new items not included in the 1982 appropriation bills
(e.g., chapter, organizations, accounts, or appropriation
language phrases) will be underscored.
will conform with
of the 1982 Budget
the appropriation
fiscal year 1982
Sample formats illustrating the above guidelines follow:
DEPARTMENT OF GOVERNMENT
Office of the Secretary: "Salaries and expenses", $170,000;
Bureau of Economic Development:
"Salaries and expenses", $314,000;
"Inspection services", $213,000 to remain available until
March 30, 1983;
Development Trust Fund: "Limitation on general operating
expenses" (increase of $1,330,000 in the limitation on general
operating expenses);
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NOTES:k-.2 knounts are in dollars.
b. Actual size of this form
is 8-1/2 x 14 inches.
ANALYSIS OF 1982 INCREASED PAY COSTS
Department of Government 1/
EXHIBIT?
Bulletin No. 82-4
Organizational unit
and account title
Increase in direct
pay and other related
costs of this agency
Amounts to
paid to other
accounts that
are not absorbed
administratively
be
Net Absorption
Additional
aprcpria-
tion
required
Possible Requiring
by admin- Congressional
istrative Action
act ion Total
Direct Related
pay costs
(1)
(2)
(3)
(4)
(5)
(6)
(7)
(8)
Office of the Secretary:
Salaries and expenses.
197,420
18,700
79,700
2/
. . .
79,700
170,870
Wage board
31,500
2,950
Bureau of Economic Development.
Salaries and expenses
949,160
89,220
. . .)
723,500
. . .
723,500
314,880
Inspection Services
176,000
16,540
21,050
. . .
. . .
. . .
213,590
Development Trust Rind
1,240,000
111,600
21,600
1,330,000
1,351,600
? ? ?
Government Corporation:
ABC Revolving Fund (adm. action).
1,065,000
100,110
? ? ?
865,110
300,000
1,165,110
? ? ?
Total:
Civ. stat. pay systems
9,336,400
872,660
42,310)
Wage board
142,500
13,250
. . )
Adm. action
1,065,000
100,110
. . )
Total, all pay increases
10,543,900
986,020
42,310
5,246,660
1,701,600
6,948,260
4,623,970
1/ The 1982 appropriations have not been enacted. The basis for these estimates is
7/ Includes $15,000 to be transferred from "Salaries and Expenses, Bureau of Safety"
existing authority)
(specify]
under P.L.
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. (Cite
OMB BULLETIN No. 82-3
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Copies sent to AO/DCI and OGC Library 11/2/81
/12/ailfa
I . I. ?
xa/
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EXECUTIVE OFFICE OF THE PRESIDENT
OFFICE OF MANAGEMENT AND BUDGET
WASHINGTON, D.C. 205611
December 6, 1982
BULLETIN NO. 82-3, Supplement No. 1
TO THE HEADS OF EXECUTIVE DEPARTMENTS AND ESTABLISHMENTS
SUBJECT: Unvouchered Expenditures
1. Purpose. This Supplement revises and extends OMB Bulletin
No.82-3, Unvouchered Expenditures, dated October 15, 1981, to
cover preparation and submission of information on unvouchered
expenditures for fiscal year 1983. This information will be
used to prepare the annual report on accounts containing
unvouchered expenditures that. are potentially subject to audit
by the Comptroller General.
2. Revised Action Requirements.
a. Change the
(:) December 10, 1982.
b. Change
list shall be
"TO BE OPENED
THE PRESIDENT,
reporting date in section 7.c. to (read:
the first sentence of section 7.d. to read: The
transmitted to OMB in a sealed envelope marked:
ONLY BY THE SECURITY OFFICER, EXECUTIVE OFFICE OF
ROOM 477, OLD EXECUTIVE OFFICE BUILDING."
c. Replace .the Attachment and Exhibit to OMB Bulletin No.
82-3, dated October 15, 1981, with the attached.
?
Attachments
.15;toe?
av d A. Stockman
Director
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Attachment
Bulletin No. 82-3
Supplement No. 1
Instructions for Information on
Unvouchered Expenditures
Each agency will submit by December 10, 1982, a list of accounts
containing unvouchered expenditures that are potentially subject
to audit by the General Accounting Office (GAO) as required by
the Supplement 1 to OMB Bulletin No. 82-3. The list wil,1 be
prepared for fiscal year 1983 in the format of the Exhibit.
Unvouchered expenditures are any expenditures accounted for
solely on the approval, authorization, or certificate of the
President or an official of an executive agency. (NOTE: Where
1983 appropriations have not been enacted, provide information
that is based on the enacted 1982 appropriation.)
The information will be prepared on 8 1/2" X 11" paper, as
described below:
List of Accounts Potentially Subject to
Audit by GAO
Heading. Enter the date of submission and the name of the
department and/or agency. Enter the name and telephone number
of the person most knowledgeable about the list.
List'of accounts. Enter the title of the appropriation
account(s) in which unvouchered expenditures were permitted in
fiscal year 1983.
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Exhibit 1
Bulletin No. 82-3
Supplement No. 1
List of 1983 Accounts Containing Unvouchered Expenditures
that are Potentially Subject to Audit by GAO
Date: December 10, 1982
Agency: Department of Government
Information Contact:
John Brown Telephone: [phone]
Department of Government
Operations and Maintenance
Salaries and Expenses
Contingencies
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EXECUTIVE OFFICE OF THE PRESIDENT
OFFICE OF MANAGEMENT AND BUDGET
BULLETIN NO. 82-3
WASHINGTON. D.C. 20503
October 15, 1981
TO THE HEADS OF EXECUTIVE DEPARTMENTS AND ESTABLISHMENTS
SUBJECT: Unvouchered Expenditures
I. PurRose. This Bulletin provides instructions for the
preparation and submission of information on unvouchered
expenditures. The information will be used to prepare the
annual report on accounts containing unvouchered expenditures
which are potentially subject to audit by the Comptroller
General.
2. Definition. An "unvouchered expenditure" is any expendi-
ture accounted for solely on the approval, authorization, or
certificate of the President or an official of an executive
agency.
3. Authority. Section 117(f) of the Budget and Accounting
Procedures Act of 1950, as amended (31 U.S.C. 67(f)(4)).
4. Background. The GAO Act of 1980 provides that not later
than sixty days after the beginning of each fiscal year, the
Director of the Office of Management and Budget shall submit
a report listing every account containing unvouchered
expenditures which is potentially subject to audit by the
Comptroller General.
The President has the authority to exempt from audit
financial transactions that relate to certain sensitive
foreign intelligence or counterintelligence activities or
sensitive law enforcement investigations. Exemptions shall
be requested through the White House Counsel's office.
Exemptions for individual financial transactions or for a
class or category of financial transactions will be
considered if they relate to:
(I) Sensitive foreign intelligence or counterintelligence
activities.
(2) Sensitive law enforcement investigations in which an
audit proceeding would expose the identifying details
of an active investigation or endanger the safety of
investigative or domestic intelligence sources involved
in such law enforcement investigations.
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2
5. Policy. Each agency head will ensure the timeliness,
accuracy and completeness of information on unvouchered
expenditures required to be submitted by this Bulletin. In
addition, all executive departments and establishments
subject to this Bulletin will maintain records of their
unvouchered expenditures in a manner similar to those main-
tained for regular financial transactions and accounts in
order to insure proper accountability.
6. Coverage. These instructions apply to the accounts of
all executive agencies. Funds used under Section 8(b) of the
CIA Act of 1949 are exempt from this GAO audit and are not to
be covered in the report required by this Bulletin.
7. Action Requirements.
a. The head of each executive department and establish-
ment shall submit to the Office of Management and Budget a
list of all of the agency's accounts that contain unvouchered
expenditures.
b. The list shall be prepared in accordance with the
attached instructions.
c. The list shall be submitted to OMB by November 2,
1981.
d. The list shall be transmitted to OMB in a sealed
envelope marked: "TO BE OPENED ONLY BY THE OMB SECURITY
OFFICER, ROOM 425, OLD EXECUTIVE OFFICE BUILDING." The
envelope shall be placed inside an envelope that is sealed
and addressed to the Director of the Office of Management and
Budget.
8. OMB Responsibilities. The Director of OMB will prepare
and submit the report to certain congressional committees and
to the General Accounting Office no later than 60 days after
the beginning of each fiscal year.
9. Information Contact. Further information may be obtained
from the OMB examiner responsible for handling the agency's
budget.
10. Sunset Review Date. This Bulletin expires as soon as
action is completed.
ri 4 -WA;;---
, A 4
David A. Stockman
Director
Attachment
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Q
0
Attachment
Bulletin No. 82-3
Instructions for Information on
Unvouchered Expenditures
Each agency will submit by November 2, 1981, a list of accounts
containing unvouchered expenditures which are potentially
subject to audit by the General Accounting Office (GAO) as
required by OMB Bulletin No. 82- 3 . The list will be prepared
for fiscal year 1982 in the format of the Exhibit. Unvouchered
expenditures are any expenditures accounted for solely on the
approval, authorization, or certificate of the President or an
official of an executive agency. (NOTE: Where 1982
appropriations have not been enacted, provide information that
is based on the enacted 1981 appropriation.)
The information will be prepared on 8 1/2" X 11" paper, as
described below:
List of Accounts Potentially Subject to
Audit by GAO
Heading. Enter the date of submission and the name of the
department and/or agency. Enter the name and telephone number
of the person most knowledgeable about the list.
List of accounts. Enter the title of the appropriation
account(s) in which unvouchered expenditures were permitted in
fiscal year 1982.
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Exhibit 1
Bulletin No. 82-3
List of 1982 Accounts Containing Unvouchered Expenditures
which are Potentially Subject to Audit by GAO
Date: October 28, 1981
Agency: Department of Government
Information Contact: John Brown
Telephone: [phone]
Department of Government
Operations and Maintenance
Salaries and Expenses
Contingencies
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ONB BULLETIN No. 82-2
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AO/DCI
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EXECUTIVE OFFICE OF THE PRESIDENT
OFFICE OF MANAGEMENT AND BUDGET
WASHINGTON. D.C. 20503
October 9, 1981
Bulletin No. 82-2
TO THE HEADS OF EXECUTIVE DEPARTMENTS AND ESTABLISHMENTS
SUBJECT: Excess and Near Excess Foreign Currencies
1. Purpose. This Bulletin informs the departments and
agencies of the U.S. owned foreign currencies that have been
determined by the Secretary of the Treasury to be in excess
or near excess supply.
2. Rescission. This Bulletin supersedes and rescinds OMB
Bulletin No. 81-4 of December 19, 1980. The provisions con-
tained in this Bulletin remain in effect until September 30,
1983, unless superseded or rescinded at an earlier date.
3. Policy. Specific guidance on the utilization of excess
and near excess foreign currencies is contained in Office of
C.) Management and Budget (OMB) Circular No. A-20, Revised. In
general, full utilization of excess and near excess foreign
currencies in lieu of U.S. dollars--consistent with inter-
national agreements and availability of the currencies--must
be an objective of every agency with transactions in the
respective countries.
4. Excess currencies. Currencies of the following countries
are excess to the Government's normal requirements for fiscal
years 1982 and 1983.
Burma India
Guinea Pakistan
5. Near excess currencies. Supplies of currencies available
for U.S. programs for fiscal year 1982 in the following
places are above immediate needs, but are not sufficient to
be declared excess.
Egypt Taiwan
Morocco Tunisia
Poland Yugoslavia
6. Effective date. This Bulletin is effective immediately.
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2
7. Inquiries. Inquiries and requests for assistance should
be addressed to the Office of Management and Budget, Budget
Review Division, telephone [phone].
loomfa ipraiseaseet
David A. Stockman
Director
",?
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OMB BULLETIN No. 82-1
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STAT Copies distributed to: /BMG
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AO DCI
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?
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EXECUTIVEOFFICEOFTHE PRESIDENT
OFFICE OF MANAGEMENT AND BUDGET
WASHINGTON, D.C. 2D503
October 7, 1981
BULLETIN NO. 82-1
TO THE HEADS OF EXECUTIVE DEPARTMENTS AND ESTABLISHMENTS
SUBJECT: Apportionment Under Continuing Resolutions
1. Purpose. This Bulletin provides instructions for the
preparation and submission of requests for apportionments for
amounts appropriated under a continuing resolution or a series of
resolutions for fiscal year 1982. This Bulletin also provides
guidance for the withholding of amounts otherwise available under
the 1982 Continuing Resolution (P.L. 97-51) and the development
of associated deferrals under the Impoundment Control Act of
1974.
2. Authority and coverage. This Bulletin is issued pursuant to
the Antideficiency Act, section 3679 of the Revised Statutes, as
amended (31 U.S.C. 665) and applies to amounts provided in P.L.
97-51 and any extensions of continuing resolution authority
provided subsequently in 1982. Except as amended by this
Bulletin, instructions on budget execution provided in OMB
Circular No. A-34 will continue to apply.
3. Policy. The policy with respect to operations pursuant to
this or any other continuing resolution is to provide for the
continued operation of the government in a manner that does not
preclude Congressional options in formulating final
appropriations actions for the fiscal year. The Congress has
stated on many occasions that rates of operation under continuing
resolutions are to be interpreted as ceilings and not as
mandatory spending levels. The Congress and the President expect
departments and agencies to avoid the obligation of funds under
continuing resolutions at rates that would impinge on
discretionary decisions otherwise available to the Congress while
the Congress is considering its options, including the
President's budget request and its own spending targets
established in the first concurrent budget resolution for fiscal
year 1982.
This expectation by the Congress was reaffirmed explicitly in
Senate floor discussion and the House report on the 1982
Continuing Resolution.
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.
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4. Background. The use of continuing resolutions to cover more
programs and for longer periods of time requires formal
procedures for the apportionment of amounts made available in
this manner. The funding levels provided by P.L. 97-51 exceed
the level of the President's revised budget request in many
cases. In other than exceptional cases, where the levels allowed
are excessive, a deferral will be reported to the Congress and
the associated funds will be reserved under the Antideficiency
Act or the Impoundment Control Act. Supplemental guidance on
extensions of the 1982 continuing resolution will be issued
later, as necessary.
a. Amounts appropriated by a continuing resolution may be
provided:
as specified amounts, i.e., in the form of (1) a
regular appropriation amount, or (2) a specified
program level (e.g., as approved in the House or
Senate version of an appropriation bill); or
at rate for operations not exceeding the "current
rate." Generally, in accordance with the Comptroller
General's decision of May 14, 1979, the annual amount
provided has been defined as equivalent to the total
funds that were available for obligation for a program
during the previous fiscal year.
b. Appropriations and funds made available by this
continuing resolution are available for different periods of
time. Those for Executive Branch departments and agencies, which
are subject to the provisions of section 102 of the continuing
resolution, shall remain available until:
enactment into law of an appropriation for any project
or activity provided for in the joint resolution, or
enactment of the applicable appropriation act by both
Houses without any provision for such project or
activity, or
November 20, 1981, whichever first occurs.
5. Policies on apportionment requirements, withholdings pursuant
to the Antideficiency Act and the Impoundment Control Act, and
warrant requests.
a. Bases for apportionment. Under the following
circumstances, agencies will request a formal apportionment
(i.e., will submit to OMB an Apportionment and Reapportionment
Schedule (S.F. 132)) for appropriations or funds that are subject
to the provisions of section 102 whenever such amounts would be
apportioned under a regular appropriation:
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(1) when--in the agency's view--the appropriations
realized would exceed 14 percent of the annual amount
provided by P.L. 97-51 (see paragraph 5(b)(2));
(2) when an amount is to be deferred (see paragraph
5(c)); or
(3) when otherwise required by OMB.
In all other cases, the amounts made available by P.L. 97-51 will
be considered to be apportioned automatically.
b. Determination of appropriations realized under P.L.
97-51.
(1) Where appropriations are not subject to section 102,
the amount of appropriations realized will be
ascertained from the language of P.L. 97-51.
(2) Where appropriations are subject to section 102, the
appropriations realized will be determined by the
agency. Unless an agency can justify that the
appropriation realized exceeds 14 percent of the
annual amount provided by the resolution, that
percentage of the annual amount will be deemed to be
realized. When apportionment is required under the
conditions described above (paragraph 5(a)), the
amount of appropriations realized will be listed as
line lA of the Apportionment and Reapportionment
Schedule (S.F. 132). If an agency determines that an
amount in excess of 14 percent has been realized, the
agency will submit to OMB both an S.F. 132 and a
written justification in support of the higher
figure. This justification will demonstrate that an
amount in excess of the above percentage is
appropriate. Examples of such a justification could
be that obligation rates are seasonal and occurred in
like periods of prior years, that major
administrative or personnel problems would be caused,
or that serious disruption of an agency's mission
would result.
c. Withholdings pursuant to the Antideficiency Act and the
Impoundment Control Act. Obligation rates shall be maintained at
a level that will preserve the options of the Congress to achieve
the President's revised (September) request. Amounts requested
for apportionment on line 8 of the S.F. 132 will not exceed 14
percent of the President's revised budget request for 1982 unless
an agency justification for a higher amount accompanies the S.F.
132. Where line lA is greater than the corresponding figure
based on the President's revised request, the difference will be
listed on line 10 as deferred.
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Relief will be considered by OMB if strict application of this
rule would, in the opinion of the agency head, conflict with the
objective of providing for the operation of programs in a manner
that would reserve the options of the Congress during the period
of the continuing resolution and would require a significant
number of reductions in force. Relief will be considered only to
the extent that the difference between the rate established by
the continuing resolution and the President's revised request
cannot be absorbed through:
a freeze on hiring for the activities financed by the
account,
reallocation of funds from areas other than personnel
compensation and benefits (e.g., travel, consultants,
supplies and materials, equipment), and
other actions that do not require the initiation of
reductions in force during the period of the
continuing resolution.
Special consideration will be given to accounts in which
personnel compensation and benefits account for 70 percent or
more of total obligations.
Specifically, with respect to personnel actions:
Reductions in force should not be made below those
required to achieve the spending rates of the
continuing resolution.
Reductions in force necessary to achieve the following
objectives may be initiated:
program reductions implied by Congressional action
to &ate, and
efficiencies in program operations (e.g., reduction
of the production of audiovisual products).
Reductions in force may also be considered to achieve
the Administration's employment targets.
Should reductions in force be considered, the Office of Personnel
Management should be consulted prior to the initiation of any
agency action to insure compliance with pertinent regulations.
If a project or activity was zero-funded in the September budget
revision but was provided with funding via the continuing
resolution, the project or activity is to be maintained for the
duration of the resolution. However, the total funding for the
account that funds the project or activity is to be limited to
the level of the President's revised request. Zero-funded
accounts will be considered on an individual basis.
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d. Warrant requests. Agency requests for warrant from
Treasury should be consistent with the agency determinations of
appropriations realized, as.modified by OMB. The policy
reductions associated with deferrals are not to be considered in
the warranting process.
e. Should the regular appropriation be enacted during the
period covered by a continuing resolution, the department or
agency will request reapportionment in accordance with the
instructions in OMB Circular No. A-34.
6. Agency responsibilities. Agencies provided with
appropriations or funds made available and authority granted
pursuant to a continuing resolution will:
a. Make a determination of the appropriations and funds made
available and authority granted by the resolution.
b. Submit apportionment requests and associated deferral
reports required by this Bulletin to OMB not later than
Wednesday, October 14, 1981.
c. Provide a copy of each approved apportionment request
(S.F. 132) to the Department of the Treasury as soon as possible
after approval by OMB.
7. OMB Responsibilities. OMB will act on each apportionment
request submitted pursuant to the requirements of this Bulletin.
8. Obligation of funds prior to approval of formal apportionment
by OMB.
Agencies may obligate funds necessary to continue normal
operations prior to OMB approval of initial apportionments made
under a continuing resolution but only up to the amount that
would have been apportioned following the guidelines in paragraph
5 above.
If an agency obligates amounts in excess of the amount approved
by OMB, the head of the agency will furnish to the President,
through the Director of OMB, and to the Congress a report on the
Antideficiency Act violation in the form required by section 71
of OMB Circular No. A-34.
9. Instructions in OMB Circular No. A-34. The requirements
under section 5 of this Bulletin supersede the instructions in
OMB Circular No. A-34. Specifically:
-- the amounts requested for warranting pursuant to a
continuing resolution will be included on line lA of the
"Apportionment and Reapportionment Schedule" (S.F. 132);
and
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the unobligated balances of amounts warranted by Treasury
and apportioned under a continuing resolution will be
included on lines 9.a. or 9.b. of the "Report on Budget
Execution" (S.F. 133), and not on line 9.c.
10. Timing. Agencies will furnish OMB with the apportionment
requests and associated deferral reports not later than
Wednesday, October 14, 1981.
11. Information Contact. For further information, agencies
should contact their OMB examiner.
12. Sunset Date. This Bulletin expires November 20, 1981.
David A. Stockman
Director
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