[United States Senate Manual, 107th Congress]
[S. Doc. 107-1]
[USCODETITLE]
[Pages 845-862]
[From the U.S. Government Printing Office, www.gpo.gov]
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TITLE 31.--MONEY AND FINANCE
Chapter 7.--GENERAL ACCOUNTING OFFICE
1070 Sec. 701. Definitions.
In this chapter--
(1) ``agency'' includes the District of
Columbia government but does not include the
legislative branch or the Supreme Court.
(2) ``appropriations'' means appropriated
amounts and includes, in appropriate context--
(A) funds;
(B) authority to make obligations by
contract before appropriations; and
(C) other authority making amounts
available for obligation or expenditure.
(Pub. L. 97-258, Sept. 13, 1982, 96 Stat.
887.)
1071 Sec. 712. Investigating the use of public money.
The Comptroller General shall--
(1) investigate all matters related to the
receipt, disbursement, and use of public money;
(2) estimate the cost to the United States
Government of complying with each restriction on
expenditures of a specific appropriation in a
general appropriation law and report each
estimate to Congress with recommendations the
Comptroller General considers desirable;
(3) analyze expenditures of each executive
agency the Comptroller General believes will
help Congress decide whether public money has
been used and expended economically and
efficiently;
(4) make an investigation and report ordered
by either House of Congress or a committee of
Congress having jurisdiction over revenue,
appropriations, or expenditures; and
(5) give a committee of Congress having
jurisdiction over revenue, appropriations, or
expenditures, the help and information the
committee requests. (Pub. L. 97-258, Sept. 13,
1982, 96 Stat. 889.)
1072 Sec. 717. Evaluating programs and activities of the United
States Government.
(a) In this section, ``agency'' means a department,
agency, or instrumentality of the United States Government
(except a mixed-ownership Government corporation) or the
District of Columbia government.
(b) The Comptroller General shall evaluate the results
of a program or activity the Government carries out under
existing law--
(1) on the initiative of the Comptroller
General;
(2) when either House of Congress orders an
evaluation; or
(3) when a committee of Congress with
jurisdiction over the program or activity
requests the evaluation.
(c) The Comptroller General shall develop and recommend
to Congress ways to evaluate a program or activity the
Government carries out under existing law.
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(d)(1) On request of a committee of Congress, the
Comptroller General shall help the committee to--
(A) develop a statement of legislative goals
and ways to assess and report program
performance related to the goals, including
recommended ways to assess performance,
information to be reported, responsibility for
reporting, frequency of reports, and feasibility
of pilot testing; and
(B) assess program evaluations prepared by
and for an agency.
(2) On request of a member of Congress, the Comptroller
General shall give the member a copy of the material the
Comptroller General compiles in carrying out this subsection
that has been released by the committee for which the
material was compiled. (Pub. L. 97-258, Sept. 13, 1982, 96
Stat. 893.)
1073 Sec. 718. Availability of draft reports.
(a) A draft report of an audit under section 714 of this
title shall be submitted to the Financial Institutions
Examination Council, the Federal Reserve Board, the Federal
Deposit Insurance Corporation, or the Office of the
Comptroller of the Currency for comment for 30 days.
(b)(1) The Comptroller General may submit a part of a
draft report to an agency for comment for more than 30 days
only if the Comptroller General decides, after a showing by
the agency, that a longer period is necessary and likely to
result in a more accurate report. The report may not be
delayed because the agency does not comment within the
comment period.
(2) When a draft report is submitted to an agency for
comment, the Comptroller General shall make the draft report
available on request to--
(A) either House of Congress, a committee of
Congress, or a member of Congress if the report
was begun because of a request of the House,
committee, or member; or
(B) the Committee on Governmental Affairs of
the Senate and the Committee on Government
Operations of the House of Representatives if
the report was not begun because of a request of
either House of Congress, a committee of
Congress, or a member of Congress.
(3) This subsection is subject to statutory and
executive order guidelines for handling and storing
classified information and material.
(c) A final report of the Comptroller General shall
include--
(1) a statement of significant changes of a
finding, conclusion, or recommendation in an
earlier draft report because of comments on the
draft by an agency;
(2) a statement of the reasons the changes
were made; and
(3) for a draft report submitted under
subsection (a) of this section, written comments
of the agency submitted during the comment
period. (Pub. L. 97-258, Sept. 13, 1982, 96
Stat. 894.)
1074 Sec. 719. Comptroller General reports.
(a) At the beginning of each regular session of
Congress, the Comptroller General shall report to Congress
(and to the President when requested by the President) on
the work of the Comptroller General. A report shall include
recommendations on--
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(1) legislation the Comptroller General
considers necessary to make easier the prompt
and accurate making and settlement of accounts;
and
(2) other matters related to the receipt,
disbursement, and use of public money the
Comptroller General considers advisable.
(b)(1) The Comptroller General shall include in the
report to Congress under subsection (a) of this section--
(A) a review of activities under sections
717 (b)-(d) and 731(e)(2) of this title,
including recommendations under section 717(c)
of this title;
(B) information on carrying out duties and
powers of the Comptroller General under clauses
(A) and (C) of this paragraph, subsections (g)
and (h) of this section, and sections 717,
731(e)(2), 734, 1112, and 1113 of this title;
and
(C) the name of each officer and employee of
the General Accounting Office assigned or
detailed to a committee of Congress, the
committee to which the officer or employee is
assigned or detailed, the length of the period
of assignment or detail, a statement on whether
the assignment or detail is finished or
continuing, and compensation paid out of
appropriations available to the Comptroller
General for the period of the assignment or
detail that has been completed.
(2) In a report under subsection (a) of this section or
in a special report to Congress when Congress is in session,
the Comptroller General shall include recommendations on
greater economy and efficiency in public expenditures.
(3) The report under subsection (a) shall also include a
statement of the staff hours and estimated cost of work
performed on audits, evaluations, investigations, and
related work during each of the three fiscal years preceding
the fiscal year in which the report is submitted, stated
separately for each division of the General Accounting
Office by category as follows:
(A) A category for work requested by the
chairman of a committee of Congress, the
chairman of a subcommittee of such a committee,
or any other Member of Congress.
(B) A category for work required by law to
be performed by the Comptroller General.
(C) A category for work initiated by the
Comptroller General in the performance of the
Comptroller General's general responsibilities.
(c) The Comptroller General shall report to Congress--
(1) specially on expenditures and contracts
an agency makes in violation of law;
(2) on the adequacy and effectiveness of--
(A) administrative audits of accounts
and claims in an agency; and
(B) inspections by an agency of offices
and accounts of fiscal officials; and
(3) as frequently as practicable on audits
carried out under sections 713 and 714 of this
title.
(d) The Comptroller General shall report on analyses
carried out under section 712(3) of this title to the
Committees on Governmental Affairs and Appropriations of the
Senate, the Committees on Government Oper
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ations and Appropriations of the House, and the committees
with jurisdiction over legislation related to the operation
of each executive agency.
(e) The Comptroller General shall give the President
information on expenditures and accounting the President
requests.
(f) When the Comptroller General submits a report to
Congress, the Comptroller General shall deliver copies of
the report to--
(1) the Committees on Governmental Affairs
and Appropriations of the Senate;
(2) the Committees on Government Operations
and Appropriations of the House;
(3) a committee of Congress that requested
information on any part of a program or activity
of a department, agency, or instrumentality of
the United States Government (except a mixed-
ownership Government corporation) or the
District of Columbia government that is the
subject of any part of a report; and
(4) any other committee of Congress
requesting a copy.
(g)(1) The Comptroller General shall prepare--
(A) each month a list of reports issued
during the prior month; and
(B) at least once each year a list of
reports issued during the prior 12 months.
(2) A copy of each list shall be sent to each committee
of Congress and each member of Congress. On request, the
Comptroller General promptly shall provide a copy of a
report to a committee or member.
(h) On request of a committee of Congress, the
Comptroller General shall explain to and discuss with the
committee or committee staff a report the Comptroller
General makes that would help the committee--
(1) evaluate a program or activity of an
agency within the jurisdiction of the committee;
or
(2) in its consideration of proposed
legislation.
[(i) Redesignated (h)]
(As amended Pub. L. 104-316, Title I, Sec. 115(b), Oct. 19,
1996, 110 Stat. 3834; Pub. L. 105-85, Div. A, Title X,
Sec. 1044, Nov. 18, 1997, 111 Stat. 1887.)
1075 Sec. 720. Agency reports.
(a) In this section, ``agency'' means a department,
agency, or instrumentality of the United States Government
(except a mixed-ownership Government corporation) or the
District of Columbia government.
(b) When the Comptroller General makes a report that
includes a recommendation to the head of an agency, the head
of the agency shall submit a written statement on action
taken on the recommendation by the head of the agency. The
statement shall be submitted to--
(1) The Committee on Governmental Affairs of
the Senate and the Committee on Government
Operations of the House of Representatives
before the 61st day after the date of the
report; and
(2) The Committees on Appropriations of both
Houses of Congress in the first request for
appropriations submitted more than 60 days after
the date of the report. (Pub. L. 97-258, Sept.
13, 1982, 96 Stat. 896.)
1076 Sec. 734. Assignments and details to Congress.
The Comptroller General may assign or detail an officer
or employee of the General Accounting Office to full-time
continuous duty with a
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committee of Congress for not more than one year. (Pub. L.
97-258, Sept. 13, 1982, 96 Stat. 899; Pub. L. 98-367, Title
I, Sec. 8, July 17, 1984, 98 Stat. 475.)
Chapter 11.--THE BUDGET AND FISCAL, BUDGET, AND PROGRAM
INFORMATION
1077 Sec. 1101. Definitions.
In this chapter--
(1) ``agency'' includes the District of
Columbia government but does not include the
legislative branch or the Supreme Court.
(2) ``appropriations'' means appropriated
amounts and includes, in appropriate context--
(A) funds;
(B) authority to make obligations by
contract before appropriations; and
(C) other authority making amounts
available for obligation or expenditure.
(Pub. L. 97-258, Sept. 13, 1982, 96 Stat.
907.)
1078 Sec. 1102. Fiscal year.
The fiscal year of the Treasury begins on October 1 of
each year and ends on September 30 of the following year.
Accounts of receipts and expenditures required under law to
be published each year shall be published for the fiscal
year. (Pub. L. 97-258, Sept. 13, 1982, 96 Stat. 908.)
1079 Sec. 1103. Budget ceiling.
Congress reaffirms its commitment that budget outlays of
the United States Government for a fiscal year may be not
more than the receipts of the Government for that year.
(Pub. L. 97-258, Sept. 13, 1982, 96 Stat. 908.)
1080 Sec. 1104. Budget and appropriations authority of the
President.
(a) The President shall prepare budgets of the United
States Government under section 1105 of this title and
proposed deficiency and supplemental appropriations under
section 1107 of this title. To the extent practicable, the
President shall use uniform terms in stating the purposes
and conditions of appropriations.
(b) Except as provided in this chapter, the President
shall prescribe the contents and order of statements in the
budget on expenditures and estimated expenditures and
statements on proposed appropriations and information
submitted with the budget and proposed appropriations. The
President shall include with the budget and proposed
appropriations information on personnel and other objects of
expenditure in the way that information was included in the
budget for fiscal year 1950. However, the requirement that
information be included in the budget in that way may be
waived or changed by joint action of the Committees on
Appropriations of both Houses of Congress. This subsection
does not limit the authority of a committee of Congress to
request information in a form it prescribes.
(c) When the President makes a basic change in the form
of the budget, the President shall submit with the budget
information showing where items in the budget for the prior
fiscal year are contained in the present budget. However,
the President may change the functional
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categories in the budget only in consultation with the
Committees on Appropriations and on the Budget of both
Houses of Congress. Committees of the House of
Representatives and Senate shall receive prompt notification
of all such changes.
(d) The President shall develop programs and prescribe
regulations to improve the compilation, analysis,
publication, and dissemination of statistical information by
executive agencies. The President shall carry out this
subsection through the Administrator for the Office of
Information and Regulatory Affairs in the Office of
Management and Budget.
(e) Under regulations prescribed by the President, each
agency shall provide information required by the President
in carrying out this chapter. The President has access to,
and may inspect, records of an agency to obtain information.
(Pub. L. 97-258, Sept. 13, 1982, 96 Stat. 908; Pub. L. 99-
177, Dec. 12, 1985, 99 Stat. 1060.)
1081 Sec. 1105. Budget contents and submission to Congress.
(a) On or after the first Monday in January but not
later than the first Monday in February of each year, the
President shall submit a budget of the United States
Government for the following fiscal year. Each budget shall
include a budget message and summary and supporting
information. The President shall include in each budget the
following:
(1) information on activities and functions
of the Government.
(2) when practicable, information on costs
and achievements of Government programs.
(3) other desirable classifications of
information.
(4) a reconciliation of the summary
information on expenditures with proposed
appropriations.
(5) except as provided in subsection (b) of
this section, estimated expenditures and
proposed appropriations the President decides
are necessary to support the Government in the
fiscal year for which the budget is submitted
and the 4 fiscal years after that year.
(6) estimated receipts of the Government in
the fiscal year for which the budget is
submitted and the 4 fiscal years after that year
under--
(A) laws in effect when the budget is
submitted; and
(B) proposals in the budget to increase
revenues.
(7) appropriations, expenditures, and
receipts of the Government in the prior fiscal
year.
(8) estimated expenditures and receipts, and
appropriations and proposed appropriations, of
the Government for the current fiscal year.
(9) balanced statements of the--
(A) condition of the Treasury at the end
of the prior fiscal year;
(B) estimated condition of the Treasury
at the end of the current fiscal year; and
(C) estimated condition of the Treasury
at the end of the fiscal year for which the
budget is submitted if financial proposals
in the budget are adopted.
(10) essential information about the debt of
the Government.
(11) other financial information the
President decides is desirable to explain in
practicable detail the financial condition of
the Government.
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(12) for each proposal in the budget for
legislation that would establish or expand a
Government activity or function, a table
showing--
(A) the amount proposed in the budget
for appropriation and for expenditure
because of the proposal in the fiscal year
for which the budget is submitted; and
(B) the estimated appropriation required
because of the proposal for each of the 4
fiscal years after that year that the
proposal will be in effect.
(13) an allowance for additional estimated
expenditures and proposed appropriations for the
fiscal year for which the budget is submitted.
(14) an allowance for unanticipated
uncontrollable expenditures for that year.
(15) a separate statement on each of the
items referred to in section 301(a) (1)-(5) of
the Congressional Budget Act of 1974 (2 U.S.C.
632(a) (1)-(5)).
(16) the level of tax expenditures under
existing law in the tax expenditures budget (as
defined in section 3(a)(3) of the Congressional
Budget Act of 1974 (2 U.S.C. 622(a)(3)) for the
fiscal year for which the budget is submitted,
considering projected economic factors and
changes in the existing levels based on
proposals in the budget.
(17) information on estimates of
appropriations for the fiscal year following the
fiscal year for which the budget is submitted
for grants, contracts, and other payments under
each program for which there is an authorization
of appropriations for that following fiscal year
when the appropriations are authorized to be
included in an appropriation law for the fiscal
year before the fiscal year in which the
appropriation is to be available for obligation.
(18) a comparison of the total amount of
budget outlays for the prior fiscal year,
estimated in the budget submitted for that year,
for each major program having relatively
uncontrollable outlays with the total amount of
outlays for that program in that year.
(19) a comparison of the total amount of
receipts for the prior fiscal year, estimated in
the budget submitted for that year, with
receipts received in that year, and for each
major source of receipts, a comparison of the
amount of receipts estimated in that budget with
the amount of receipts from that source in that
year.
(20) an analysis and explanation of the
differences between each amount compared under
clauses (18) and (19) of this subsection.
(21) a horizontal budget showing--
(A) the programs for meteorology and of
the National Climate Program established
under section 5 of the National Climate
Program Act (15 U.S.C. 2904);
(B) specific aspects of the program of,
and appropriations for, each agency; and
(C) estimated goals and financial
requirements.
(22) a statement of budget authority,
proposed budget authority, budget outlays, and
proposed budget outlays, and descriptive
information in terms of--
[[Page 852]]
(A) a detailed structure of national
needs that refers to the missions and
programs of agencies (as defined in section
101 of this title); and
(B) the missions and basic programs.
(23) separate appropriation accounts for
appropriations under the Occupational Safety and
Health Act of 1970 (29 U.S.C. 651 et seq.) and
the Federal Mine Safety and Health Act of 1977
(30 U.S.C. 801 et seq.).
(24) recommendations on the return of
Government capital to the Treasury by a mixed-
ownership corporation (as defined in section
9101(2) of this title) that the President
decides are desirable.
(25) a separate appropriation account for
appropriations for each Office of Inspector
General of an establishment defined under
section 11(2) of the Inspector General Act of
1978.
(26) a separate statement of the amount of
appropriations requested for the Office of
National Drug Control Policy and each program of
the National Drug Control Program.
(27) a separate statement of the amount of
appropriations requested for the Office of
Federal Financial Management.
(28) beginning with fiscal year 1999, a
Federal Government performance plan for the
overall budget as provided for under section
1115.
(29) information about the Violent Crime
Reduction Trust Fund, including a separate
statement of amounts in that Trust Fund.
(30) an analysis displaying, by agency,
proposed reductions in full-time equivalent
positions compared to the current year's level
in order to comply with section 5 of the Federal
Workforce Restructuring Act of 1994.
(31) a separate statement of the amount of
appropriations requested for the Chief Financial
Officer in the Executive Office of the
President.
(32) a statement of the levels of budget
authority and outlays for each program assumed
to be extended in the baseline as provided in
section 257(b)(2)(A) and for excise taxes
assumed to be extended under section
257(b)(2)(C) of the Balanced Budget and
Emergency Deficit Control Act of 1985.
(33) a separate appropriation account for
appropriations for the Inspectors General
Criminal Investigator Academy and the Inspectors
General Forensic Laboratory of the Department of
the Treasury.
(34) with respect to the amount of
appropriations requested for use by the Export-
Import Bank of the United States, a separate
statement of the amount requested for its
program budget, the amount requested for its
administrative expenses, and of the amount
requested for its administrative expenses, the
amount requested for technology expenses.
(b) Estimated expenditures and proposed appropriations
for the legislative branch and the judicial branch to be
included in each budget under subsection (a)(5) of this
section shall be submitted to the President before October
16 of each year and included in the budget by the President
without change.
(c) The President shall recommend in the budget
appropriate action to meet an estimated deficiency when the
estimated receipts for the fiscal year for which the budget
is submitted (under laws in effect when
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the budget is submitted) and the estimated amounts in the
Treasury at the end of the current fiscal year available for
expenditure in the fiscal year for which the budget is
submitted, are less than the estimated expenditures for that
year. The President shall make recommendations required by
the public interest when the estimated receipts and
estimated amounts in the Treasury are more than the
estimated expenditures.
(d) When the President submits a budget or supporting
information about a budget, the President shall include a
statement on all changes about the current fiscal year that
were made before the budget or information was submitted.
(e)(1) The President shall submit with materials related
to each budget transmitted under subsection (a) on or after
January 1, 1985, an analysis for the ensuing fiscal year
that shall identify requested appropriations or new
obligational authority and outlays for each major program
that may be classified as a public civilian capital
investment program and for each major program that may be
classified as a military capital investment program, and
shall contain summaries of the total amount of such
appropriations or new obligational authority and outlays for
public civilian capital investment programs and summaries of
the total amount of such appropriations or new obligational
authority and outlays for military capital investment
programs. In addition, the analysis under this paragraph
shall contain--
(A) an estimate of the current service
levels of public civilian capital investment and
of military capital investment and alternative
high and low levels of such investments over a
period of ten years in current dollars and over
a period of five years in constant dollars;
(B) the most recent assessment analysis and
summary, in a standard format, of public
civilian capital investment needs in each major
program area over a period of ten years;
(C) an identification and analysis of the
principal policy issues that affect estimated
public civilian capital investment needs for
each major program; and
(D) an identification and analysis of
factors that affect estimated public civilian
capital investment needs for each major program,
including but not limited to the following
factors:
(i) economic assumptions;
(ii) engineering standards;
(iii) estimates of spending for
operation and maintenance;
(iv) estimates of expenditures for
similar investments by State and local
governments; and
(v) estimates of demand for public
services derived from such capital
investments and estimates of the service
capacity of such investments.
To the extent that any analysis required by this paragraph
relates to any program for which Federal financial
assistance is distributed under a formula prescribed by law,
such analysis shall be organized by State and within each
State by major metropolitan area if data are available.
(2) For purposes of this subsection, any appropriation,
new obligational authority, or outlay shall be classified as
a public civilian capital investment to the extent that such
appropriation, authority, or outlay will be used for the
construction, acquisition, or rehabilitation of any physical
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asset that is capable of being used to produce services or
other benefits for a number of years and is not classified
as a military capital investment under paragraph (3). Such
assets shall include (but not be limited to)--
(A) roadways or bridges,
(B) airports or airway facilities,
(C) mass transportation systems,
(D) wastewater treatment or related
facilities,
(E) water resources projects,
(F) hospitals,
(G) resource recovery facilities,
(H) public buildings,
(I) space or communications facilities,
(J) railroads, and
(K) federally assisted housing.
(3) For purposes of this subsection, any appropriation,
new obligational authority, or outlay shall be classified as
a military capital investment to the extent that such
appropriation, authority, or outlay will be used for the
construction, acquisition, or rehabilitation of any physical
asset that is capable of being used to produce services or
other benefits for purposes of national defense and security
for a number of years. Such assets shall include military
bases, posts, installations, and facilities.
(4) Criteria and guidelines for use in the
identification of public civilian and military capital
investments, for distinguishing between public civilian and
military capital investments, and for distinguishing between
major and nonmajor capital investment programs shall be
issued by the Director of the Office of Management and
Budget after consultation with the Comptroller General and
the Congressional Budget Office. The analysis submitted
under the subsection shall be accompanied by an explanation
of such criteria and guidelines.
(5) For purposes of this subsection--
(A) the term ``construction'' includes the
design, planning, and erection of new structures
and facilities, the expansion of existing
structures and facilities, the reconstruction of
a project at an existing site or adjacent to an
existing site, and the installation of initial
and replacement equipment for such structures
and facilities;
(B) the term ``acquisition'' includes the
addition of land, sites, equipment, structures,
facilities, or rolling stock by purchase, lease-
purchase, trade, or donation; and
(C) the term ``rehabilitation'' includes the
alteration of or correction of deficiencies in
an existing structure or facility so as to
extend the useful life or improve the
effectiveness of the structure or facility, the
modernization or replacement of equipment at an
existing structure or facility, and the
modernization of, or replacement of parts for,
rolling stock.
(f) \1\ The budget transmitted pursuant to subsection
(a) for a fiscal year shall be prepared in a manner
consistent with the requirements of the Balanced Budget and
Emergency Deficit Control Act of 1985 that apply to that and
subsequent fiscal years.
\1\ Subsection (f) expired on September 30, 2002,
pursuant to section 275(b) of the Balanced Budget and
Emergency Deficit Control Act of 1985 (2 U.S.C. 900
note).
[[Page 855]]
(g)(1) The Director of the Office of Management and
Budget shall establish the funding for advisory and
assistance services for each department and agency as a
separate object class in each budget annually submitted to
the Congress under this section.
(2)(A) In paragraph (1), except as provided in
subparagraph (B), the term ``advisory and assistance
services'' means the following services when provided by
nongovernmental sources:
(i) Management and professional support
services.
(ii) Studies, analyses, and evaluations.
(iii) Engineering and technical services.
(B) In paragraph (1), the term ``advisory and assistance
services'' does not include the following services:
(i) Routine automated data processing and
telecommunications services unless such services
are an integral part of a contract for the
procurement of advisory and assistance services.
(ii) Architectural and engineering services,
as defined in section 1102 of Title 40.
(iii) Research on basic mathematics or
medical, biological, physical, social,
psychological, or other phenomena.
(As amended Pub. L. 98-501, Title II, Sec. 203, Oct. 19,
1984, 98 Stat. 2324; Pub. L. 99-177, Title II, Sec. 241,
Dec. 12, 1985, 99 Stat. 1063; Pub. L. 100-119, Title I,
Sec. 106(f), Sept. 29, 1987, 101 Stat. 781; Pub. L. 100-418,
Title V, Sec. 5301, Aug. 23, 1988, 102 Stat. 1462; Pub. L.
100-504, Title I, Sec. 108, Oct. 18, 1988, 102 Stat. 2529;
Pub. L. 100-690, Title I, Sec. Sec. 1006, 1009, Nov. 18,
1988, 102 Stat. 4187, 4188; Pub. L. 101-508, Title XIII,
Sec. 13112(c), Nov. 5, 1990, 104 Stat. 1388-608; Pub. L.
101-576, Title II, Sec. 203(b), Nov. 15, 1990, 104 Stat.
2841; Pub. L. 103-62, Sec. 4(a), Aug. 3, 1993, 107 Stat.
286; Pub. L. 103-272, Sec. 4(f)(1)(E), July 5, 1994, 108
Stat. 1362; Pub. L. 103-322, Title IX, Sec. 90208(a), Title
XXXI, Sec. 310001(e), Sept. 13, 1994, 108 Stat. 1995, 2103;
Pub. L. 103-355, Title II, Sec. 2454(a), Oct. 13, 1994, 108
Stat. 3326; Pub. L. 104-287, Sec. 4(l), Oct. 11, 1996, 110
Stat. 3388; Pub. L. 105-33, Title X, Sec. 10209(b), Aug. 5,
1997, 111 Stat. 711; Pub. L. 105-277, Div. C, Title VII,
Sec. 713(c), Oct. 21, 1998, 112 Stat. 2681-693; Pub. L. 106-
58, Title VI, Sec. 638(f), Sept. 29, 1999, 113 Stat. 475;
Pub. L. 106-422, Sec. 2(c), Nov. 1, 2000, 114 Stat. 1874;
Pub. L. 107-189, Sec. 4(a), June 14, 2002, 116 Stat. 699;
Pub. L. 107-217, Sec. 3(h)(3), Aug. 21, 2002, 116 Stat.
1299.)
1082 Sec. 1106. Supplemental budget estimates and changes.
(a) Before July 16 of each year, the President shall
submit to Congress a supplemental summary of the budget for
the fiscal year for which the budget is submitted under
section 1105(a) of this title. The summary shall include--
(1) for that fiscal year--
(A) substantial changes in or
reappraisals of estimates of expenditures
and receipts;
(B) substantial obligations imposed on
the budget after its submission;
(C) current information on matters
referred to in section 1105(a) (8) and (9)
(B) and (C) of this title; and
(D) additional information the President
decides is advisable to provide Congress
with complete and current information about
the budget and current estimates of the
functions, obliga
[[Page 856]]
tions, requirements, and financial condition
of the United States Government.
(2) for the 4 fiscal years following the
fiscal year for which the budget is submitted,
information on estimated expenditures for
programs authorized to continue in future years,
or that are considered mandatory, under law; and
(3) for future fiscal years, information on
estimated expenditures of balances carried over
from the fiscal year for which the budget is
submitted.
(b) Before July 16 of each year, the President shall
submit to Congress a statement of changes in budget
authority requested, estimated budget outlays, and estimated
receipts for the fiscal year for which the budget is
submitted (including prior changes proposed for the
executive branch of the Government) that the President
decides are necessary and appropriate based on current
information. The statement shall include the effect of those
changes on the information submitted under section
1105(a)(1)-(14) and (b) of this title and shall include
supporting information as practicable. The statement
submitted before July 16 may be included in the information
submitted under subsection (a)(1) of this section.
(c) \1\ Subsection (f) of section 1105 shall apply to
revisions and supplemental summaries submitted under this
section to the same extent that such subsection applies to
the budget submitted under section 1105(a) to which such
revisions and summaries relate. (Pub. L. 97-258, Sept. 13,
1982, 96 Stat. 911; Pub. L. 99-77 Title II, Sec. 242, Dec.
12, 1985, Stat. 1063.)
\1\ Subsection (c) expired on September 30, 2002,
pursuant to section 275(b) of the Balanced Budget and
Emergency Deficit Control Act of 1985 (2 U.S.C. 900
note).
1083 Sec. 1107. Deficiency and supplemental appropriations.
The President may submit to Congress proposed deficiency
and supplemental appropriations the President decides are
necessary because of laws enacted after the submission of
the budget or that are in the public interest. The President
shall include the reasons for the submission of the proposed
appropriations and the reasons the proposed appropriations
were not included in the budget. When the total proposed
appropriations would have required the President to make a
recommendation under section 1105(c) of this title if they
had been included in the budget, the President shall make a
recommendation under that section. (Pub. L. 97-258, Sept.
13, 1982, 96 Stat. 911.)
1084 Sec. 1108. Preparation and submission of appropriations
requests to the President.
(a) In this section (except subsections (b)(1) and (e)),
``agency'' means a department, agency, or instrumentality of
the United States Government.
(b)(1) The head of each agency shall prepare and submit
to the President each appropriation request for the agency.
The request shall be prepared and submitted in the form
prescribed by the President under this chapter and by the
date established by the President. When the head of an
agency does not submit a request by that date, the President
shall prepare the request for the agency to be included in
the budget or changes in the budget or as deficiency and
supplemental appropria-
[[Page 857]]
tions. The President may change agency appropriation
requests. Agency appropriation requests shall be developed
from cost-based budgets in the way and at times prescribed
by the President. The head of the agency shall use the cost-
based budget to administer the agency and to divide
appropriations or amounts.
(2) An officer or employee of an agency in the executive
branch may submit to the President or Congress a request for
legislation authorizing deficiency or supplemental
appropriations for the agency only with the approval of the
head of the agency.
(c) The head of an agency shall include with an
appropriation request submitted to the President a report
that the statement of obligations submitted with the request
contains obligations consistent with section 1501 of this
title. The head of the agency shall support the report with
a certification of the consistency and shall support the
certification with records showing that the amounts have
been obligated. The head of the agency shall designate
officials to make the certifications, and those officials
may not delegate the duty to make the certifications. The
certifications and records shall be kept in the agency--
(1) in a form that makes audits and
reconciliations easy; and
(2) for a period necessary to carry out
audits and reconciliations.
(d) To the extent practicable, the head of an agency
shall--
(1) provide information supporting the
agency's budget request for its missions by
function and subfunction (including the mission
of each organizational unit of the agency); and
(2) relate the agency's programs to its
missions.
(e) Except as provided in subsection (f) of this
section, an officer or employee of an agency (as defined in
section 1101 of this title) may submit to Congress or a
committee of Congress an appropriations estimate or request,
a request for an increase in that estimate or request, or a
recommendation on meeting the financial needs of the
Government only when requested by either House of Congress.
(f) The Interstate Commerce Commission shall submit to
Congress copies of budget estimates, requests, and
information (including personnel needs), legislative
recommendations, prepared testimony for congressional
hearings, and comments on legislation at the same time they
are sent to the President or the Office of Management and
Budget. An officer of an agency may not impose conditions on
or impair communication by the Commission with Congress, or
a committee or member of Congress, about the information.
(g) Amounts available under law are available for field
examinations of appropriation estimates. The use of the
amounts is subject only to regulations prescribed by the
appropriate standing committees of Congress. (Pub. L. 97-
258, Sept. 13, 1982, 96 Stat. 912.)
1085 Sec. 1109. Current programs and activities estimates.
(a) On or before the first Monday after January 3 of
each year (on or before February 5 in 1986), the President
shall submit to both Houses of Congress the estimated budget
outlays and proposed budget authority that would be included
in the budget for the following fiscal year if programs and
activities of the United States Government were carried on
during that year at the same level as the current fiscal
year without a change in policy. The President shall state
the estimated budget outlays and proposed budget authority
by function and subfunction under the classifications in the
budget summary table under the heading
[[Page 858]]
``Budget Authority and Outlays by Function and Agency'', by
major programs in each function, and by agency. The
President shall also include a statement of the economic and
program assumptions on which those budget outlays and budget
authority are based, including inflation, real economic
growth, and unemployment rates, program caseloads, and pay
increases.
(b) The Joint Economic Committee shall review the
estimated budget outlays and proposed budget authority and
submit an economic evaluation of the budget outlays and
budget authority to the Committees on the Budget of both
Houses before March 1 of each year. (Pub. L. 97-258, Sept.
13, 1982, 96 Stat. 913; Pub. L. 99-177, Title II, Sec. 222,
Dec. 12, 1985, 99 Stat. 1060.)
1086 Sec. 1110. Year-ahead requests for authorizing legislation.
A request to enact legislation authorizing new budget
authority to continue a program or activity for a fiscal
year shall be submitted to Congress before May 16 of the
year before the year in which the fiscal year begins. If a
new program or activity will continue for more than one
year, the request must be submitted for at least the first
and second fiscal years. (Pub. L. 97-258, Sept. 13, 1982, 96
Stat. 913.)
1087 Sec. 1111. Improving economy and efficiency.
To improve economy and efficiency in the United States
Government, the President shall--
(1) make a study of each agency to decide,
and may send Congress recommendations, on
changes that should be made in--
(A) the organization, activities, and
business methods of agencies;
(B) agency appropriations;
(C) the assignment of particular
activities to particular services; and
(D) regrouping of services; and
(2) evaluate and develop improved plans for
the organization, coordination, and management
of the executive branch of the Government. (Pub.
L. 97-258, Sept. 13, 1982, 96 Stat. 913.)
1088 Sec. 1112. Fiscal, budget, and program information.
(a) In this section, ``agency'' means a department,
agency, or instrumentality of the United States Government
except a mixed/ownership Government corporation.
(b) In cooperation with the Comptroller General, the
Secretary of the Treasury and the Director of the Office of
Management and Budget shall establish and maintain standard
data processing and information systems for fiscal, budget,
and program information for use by agencies to meet the
needs of the Government, and to the extent practicable, of
State and local governments.
(c) The Comptroller General--
(1) in cooperation with the Secretary, the
Director of the Office of Management and Budget,
and the Director of the Congressional Budget
Office, shall establish, maintain, and publish
standard terms and classifications for fiscal,
budget, and program information of the
Government, including information on fiscal
policy, receipts, expenditures, program,
projects, activities, and functions;
[[Page 859]]
(2) when advisable, shall report to Congress
on those terms and classifications, and
recommend legislation necessary to promote the
establishment, maintenance, and use of standard
terms and classifications by the executive
branch of the Government; and
(3) in carrying out this subsection, shall
give particular consideration to the needs of
the Committees on Appropriations and on the
Budget of both Houses of Congress, the Committee
on Ways and Means of the House, the Committee on
Finance of the Senate, and the Congressional
Budget Office.
(d) Agencies shall use the standard terms and
classifications published under subsection (c)(1) of this
section in providing fiscal, budget, and program information
to Congress.
(e) In consultation with the President, the head of each
executive agency shall take actions necessary to achieve to
the extent possible--
(1) consistency in budget and accounting
classifications;
(2) synchronization between those
classifications and organizational structure;
and
(3) information by organizational unit on
performance and program costs to support budget
justifications.
(f) In cooperation with the Director of the
Congressional Budget Office, the Comptroller General, and
appropriate representatives of State and local governments,
the Director of the Office of Management and Budget (to the
extent practicable) shall provide State and local
governments with fiscal, budget, and program information
necessary for accurate and timely determination by those
governments of the impact on their budget of assistance of
the United States Government. (Pub. L. 97-258, Sept. 13,
1982, 96 Stat. 913.)
1089 Sec. 1113. Congressional information.
(a)(1) When requested by a committee of Congress having
jurisdiction over receipts or appropriations, the President
shall provide the committee with assistance and information.
(2) When requested by a committee of Congress,
additional information related to the amount of an
appropriation originally requested by an Office of Inspector
General shall be submitted to the committee.
(b) When requested by a committee of Congress, by the
Comptroller General, or by the Director of the Congressional
Budget Office, the Secretary of the Treasury, the Director
of the Office of Management and Budget, and the head of each
executive agency shall--
(1) provide information on the location and
kind of available fiscal, budget, and program
information;
(2) to the extent practicable, prepare
summary tables of that fiscal, budget, and
program information and related information the
committee, the Comptroller General, or the
Director of the Congressional Budget Office
considers necessary; and
(3) provide a program evaluation carried out
or commissioned by an executive agency.
(c) In cooperation with the Director of the
Congressional Budget Office, the Secretary, and the Director
of the Office of Management and Budget, and Comptroller
General shall--
(1) establish and maintain a current
directory of sources of, and information systems
for, fiscal, budget, and program information and
a brief description of the contents of each
source and system;
[[Page 860]]
(2) when requested, provide assistance to
committees of Congress and members of Congress
in obtaining information from the sources in the
directory; and
(3) when requested, provide assistance to
committees and, to the extent practicable, to
members of Congress in evaluating the
information obtained from the sources in the
directory.
(d) To the extent they consider necessary, the
Comptroller General and the Director of the Congressional
Budget Office individually or jointly shall establish and
maintain a file of information to meet recurring needs of
Congress for fiscal, budget, and program information to
carry out this section and sections 717 and 1112 of this
title. The file shall include information on budget
requests, congressional authorizations to obligate and
expend, apportionment and reserve actions, and obligations
and expenditures. The Comptroller General and the Director
shall maintain the file and an index to the file so that it
is easier for the committees and agencies of Congress to use
the file and index through data processing and
communications techniques.
(e)(1) The Comptroller General shall--
(A) carry out a continuing program to
identify the needs of committees and members of
Congress for fiscal, budget, and program
information to carry out this section and
section 1112 of this title;
(B) assist committees of Congress in
developing their information needs;
(C) monitor recurring reporting requirements
of Congress and committees; and
(D) make recommendations to Congress and
committees for changes and improvements in those
reporting requirements to meet information needs
identified by the Comptroller General, to
improve their usefulness to congressional users,
and to eliminate unnecessary reporting.
(2) Before September 2 of each year, the Comptroller
General shall report to Congress on--
(A) the needs identified under paragraph
(1)(A) of this subsection;
(B) the relationship of those needs to
existing reporting requirements;
(C) the extent to which reporting by the
executive branch of the United States Government
currently meets the identified needs;
(D) the changes to standard classifications
necessary to meet congressional needs;
(E) activities, progress, and results of the
program of the Comptroller General under
paragraph (1) (B)-(D) of this subsection; and
(F) progress of the executive branch in the
prior year.
(3) Before March 2 of each year, the Director of the
Office of Management and Budget and the Secretary shall
report to Congress on plans for meeting the needs identified
under paragraph (1)(A) of this subsection, including--
(A) plans for carrying out changes to
classifications to meet information needs of
Congress;
(B) the status of information systems in the
prior year; and
(C) the use of standard classifications.
(Pub. L. 97-258, Sept. 13, 1982, 96 Stat. 914;
Pub. L. 97-452, Sec. 1(3), Jan. 12, 1983, 96
Stat. 2467.)
[[Page 861]]
1090 Sec. 1114. Repealed. (Oct. 13, 1994, Pub. L. 103-355,
Sec. 2454(c)(2), 108 Stat. 3326.)
Chapter 33.--DEPOSITING, KEEPING, AND PAYING MONEY
Subchapter II.--Payments
1091 Sec. 3332. Required direct deposit.
(a)(1) Notwithstanding any other provision of law, all
Federal wage, salary, and retirement payments shall be paid
to recipients of such payments by electronic funds transfer,
unless another method has been determined by the Secretary
of the Treasury to be appropriate.
(2) Each recipient of Federal wage, salary, or
retirement payments shall designate one or more financial
institutions or other authorized payment agents and provide
the payment certifying or authorizing agency information
necessary for the recipient to receive electronic funds
transfer payments through each institution so designated.
(b)(1) The head of each agency shall waive the
requirements of subsection (a) of this section for a
recipient of Federal wage, salary, or retirement payments
authorized or certified by the agency upon written request
by such recipient.
(2) Federal wage, salary, or retirement payments shall
be paid to any recipient granted a waiver under paragraph
(1) of this subsection by any method determined appropriate
by the Secretary of the Treasury.
(c)(1) The Secretary of the Treasury may waive the
requirements of subsection (a) of this section for any group
of recipients upon request by the head of an agency under
standards prescribed by the Secretary of the Treasury.
(2) Federal wage, salary, or retirement payments shall
be paid to any member of a group granted a waiver under
paragraph (1) of this subsection by any method determined
appropriate by the Secretary of the Treasury.
(d) This section shall apply only to recipients of
Federal wage or salary payments who begin to receive such
payments on or after January 1, 1995, and recipients of
Federal retirement payments who begin to receive such
payments on or after January 1, 1995.
(e)(1) Notwithstanding subsections (a) through (d) of
this section, sections 5120(a) and (d) of title 38, and any
other provision of law, all Federal payments to a recipient
who becomes eligible for that type of payment after 90 days
after the date of the enactment of the Debt Collection
Improvement Act of 1996 shall be made by electronic funds
transfer.
(2) The head of a Federal agency shall, with respect to
Federal payments made or authorized by the agency, waive the
application of paragraph (1) to a recipient of those
payments upon receipt of written certification from the
recipient that the recipient does not have an account with a
financial institution or an authorized payment agent.
(f)(1) Notwithstanding any other provision of law
(including subsections (a) through (e) of this section and
sections 5120(a) and (d) of title 38), except as provided in
paragraph (2) all Federal payments made after January 1,
1999, shall be made by electronic funds transfer.
(2)(A) The Secretary of the Treasury may waive
application of this subsection to payments--
[[Page 862]]
(i) for individuals or classes of
individuals for whom compliance imposes a
hardship;
(ii) for classifications or types of checks;
or
(iii) in other circumstances as may be
necessary.
(B) The Secretary of the Treasury shall make
determinations under subparagraph (A) based on standards
developed by the Secretary.
(g) Each recipient of Federal payments required to be
made by electronic funds transfer shall--
(1) designate 1 or more financial
institutions or other authorized agents to which
such payments shall be made; and
(2) provide to the Federal agency that makes
or authorizes the payments information necessary
for the recipient to receive electronic funds
transfer payments through each institution or
agent designated under paragraph (1).
(h) The crediting of the amount of a payment to the
appropriate account on the books of a financial institution
or other authorized payment agent designated by a payment
recipient under this section shall constitute a full
acquittance to the United States for the amount of the
payment.
(i)(1) The Secretary of the Treasury may prescribe
regulations that the Secretary considers necessary to carry
out this section.
(2) Regulations under this subsection shall ensure that
individuals required under subsection (g) to have an account
at a financial institution because of the application of
subsection (f)(1)--
(A) will have access to such an account at a
reasonable cost; and
(B) are given the same consumer protections
with respect to the account as other account
holders at the same financial institution.
(j) For purposes of this section--
(1) The term ``electronic funds transfer''
means any transfer of funds, other than a
transaction originated by cash, check, or
similar paper instrument, that is initiated
through an electronic terminal, telephone,
computer, or magnetic tape, for the purpose of
ordering, instructing, or authorizing a
financial institution to debit or credit an
account. The term includes Automated Clearing
House transfers, Fed Wire transfers, transfers
made at automatic teller machines, and point-of-
sale terminals.
(2) The term ``Federal agency'' means--
(A) an agency (as defined in section 101
of this title); and
(B) a Government corporation (as defined
in section 103 of title 5).
(3) The term ``Federal payments'' includes--
(A) Federal wage, salary, and retirement
payments;
(B) vendor and expense reimbursement
payments; and
(C) benefit payments.
Such term shall not include any payment
under the Internal Revenue Code of 1986.
(As amended Pub. L. 98-369, Title VIII,
Sec. 2814, July 18, 1984, 98 Stat. 1207; Pub. L.
103-356, Title IV, Sec. 402(a), Oct. 13, 1994,
108 Stat. 3412; Pub. L. 104-134, Title III,
Sec. 31001(x)(1), Apr. 26, 1996, 110 Stat. 1321-
376.)
39 u.s.c.--postal service
general and permanent laws relating to the senate