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REPROGRAMMING OF BUDGETARY AND PERSONNEL RESOURCES

DAO 203-13: REPROGRAMMING OF BUDGETARY AND PERSONNEL RESOURCES
Number: DAO 203-13
Effective Date: 1989-07-25

SECTION 1. PURPOSE.

This Order prescribes the procedures and responsibilities that apply when any organizational unit of the Department of Commerce must reprogram budgetary or personnel resources.

SECTION 2. DEFINITIONS.

.01 Organizational unit, as used in this Order, includes all Departmental offices and operating units of Commerce, as defined in DOO 1-1. (The Assistant Secretary for Administration will administer any requirements in this Order affecting Departmental offices.)

.02 Reprogramming is the shifting of resources within an appropriation account from one program, project, or activity to another, to use them for purposes other than those outlined in the budget justifications or expressed as Congressional intent in the enacted appropriations bill and Committee reports.

.03 A program, project, or activity, for the purposes of reprogramming, is the most specific budget item identified in the Congressional budget justifications; the enacted appropriation bill; and the House, Senate, and conference reports and explanatory statements associated with the appropriation bill.

.04 Detailed financial and staffing operating plans include planned obligations and staffing (in terms of full-time equivalent employment) by month within a fiscal year for each program, project, or activity, as defined for the purposes of reprogramming.

.05 Summary financial operating plans include planned obligations by month within a fiscal year for every subactivity within each appropriation account. A single summary staffing plan reflects all staffing (in terms of full-time equivalent employment) for an organizational unit.

.06 A reorganization, as covered in DAO 200-7, includes the establishment, consolidation, abolishment or other significant change affecting an organizational unit's status, configuration, or mission, or the authority and duties of its management and staff.

SECTION 3. FINANCIAL PLANS AND REPORTS.

.01 Organizational units shall develop and maintain:

a. Detailed financial and staffing operating plans for each program, project, or activity, as defined for the purposes of reprogramming; and

b. Summary financial and staffing operating plans.

.02 Initial financial and staffing operating plans will reflect the amounts and purposes outlined in the budget justifications or expressed as Congressional intent in the enacted appropriations bill and accompanying reports.

.03 Organizational units shall report monthly to the Director, Office of Budget ("O/Budget") the actual funding obligations and staffing levels in accordance with the categories established in the summary financial operating plans.

.04 Treatment of programs, projects, or activities included only in Committee reports or explanatory statements may be subject to guidance from the Office of Management and Budget (OMB). Organizational units will consult with the O/Budget before including such programs, projects, or activities in their financial and staffing operating plans.

.05 Chapter V, Section 8 of the Department's Budget and Program Analysis Handbook (the "Handbook") discusses further the preparation and submission schedules for financial and staffing operating plans and reports.

SECTION 4. NOTIFICATION REQUIREMENTS.

.01 Detailed and summary financial and staffing operating plans will reflect the amounts and purposes outlined in the budget justifications or expressed as Congressional intent in the enacted appropriations bill and accompanying reports, therefore, changes to those plans constitute reprogrammings. Accordingly, organizational units shall ensure that:

a. The O/Budget is informed in advance of all proposed changes to summary financial operating plans; and

b. The Office of Budget is informed in advance of all proposed changes to detailed or summary financial and operating plans which meet the criteria established by the Congressional Appropriations Committees ("Appropriations Committees") for advance notification to Congress of reprogrammings.

.02 The Appropriations Committees determine the criteria for reprogrammings requiring advance notification to the Congress. (The Appropriations Committees usually include these criteria in the annual appropriations act. In the past, the principal criterion for prior Congressional notification has been changes of $250,000 or 10 percent, whichever is less, of the funds available for any program, project, or activity. Other criteria have included any reorganization, new contracting out (A-76) activity, relocation of personnel, and the elimination, augmentation, or reduction of any program, project, or activity.) The current criteria are included as Exhibit V7A of the Handbook.

.03 Organizational units shall apply the current criteria for reprogrammings requiring advance notification to the Congress.

.04 Organizational units shall notify the Office of Budget of all changes to summary financial operating plans and any changes to detailed financial and staffing plans which may require prior notification to Congress. (This must be done in sufficient time to allow O/Budget to review the proposed reprogramming and, in particular, assess whether it requires advance notification to the Congress. Notification to the Office of Budget should occur at least 60 days before the intended implementation date for the reprogramming.)

SECTION 5. REPROGRAMMING REVIEW AND APPROVAL PROCEDURES.

.01 When advance notification to the Congress regarding a proposed reprogramming is required, organizational units shall prepare the materials described in Chapter V, Section 7B of the Handbook. The Office of Budget will obtain the approval of OMB, submit the notification to Congress, and notify the organizational unit of the status of the reprogramming.

.02 The Appropriations Committees establish a time period, usually 15 days, required for Congressional review of proposed reprogrammings. Organizational units shall not implement reprogrammings subject to advance Congressional notification before the expiration of this time period.

.03 If both Houses of Congress have given explicit approval, an organizational unit may implement a proposed reprogramming if all requirements under DAO 200-7 have also been met -- mainly cleared and signed DOOs. If both Houses of Congress have not given their explicit approval within the Congressional review period, the Office of Budget shall, within fifteen days of the end of the Congressional review period, provide the organizational unit with written guidance as to whether to proceed with implementation of the reprogramming.

SECTION 6. REPROGRAMMING RESULTING FROM A REORGANIZATION.

.01 DAO 200-7 prescribes the system to be used for the initiation, preparation, clearance, issuance, and control of Department Organization Orders (DOOs). The DOO is the official medium for obtaining Department-level approval of planned reorganizations, (regardless of the need for reprogramming). The Departmental Office of Management and Organization (OMO) manages the Department's directives system.

.02 The criteria for reprogrammings requiring advance notification to Congress have usually included any reorganization of an identified program, project, or activity, i.e., activities which are specifically mentioned in the budget document. Therefore, care must be taken because all reorganizations also constitute reprogrammings according to the criteria.

.03 If it is unclear whether a reprogramming proposal is also a reorganization falling under the scope of DAO 200-7, the organizational unit shall consult with the Director for Budget, Planning and Organization.

.04 Proposals for reprogrammings which are also reorganizations subject to the requirements of DAO 200-7 must include all materials described in that DAO and, in addition, the materials referred to in Section 5. of this Order and described in Chapter V, Section 7B of the Handbook.

SECTION 7. USE OF UNOBLIGATED BALANCES IN REPROGRAMMINGS.

.01 The criteria contained in the appropriation bill (or continuing resolution) enacted for the current year are always the prevailing criteria governing advance Congressional notification of reprogrammings. This also applies to no-year or multi-year funds which were appropriated in an earlier year, when different criteria applied.

.02 In cases where the proposed reprogramming involves unobligated balances carried forward from an earlier year, and is to be implemented sufficiently after the submission of budget justifications to the Congress (usually in January or early February) to allow the usual Congressional review period (usually 15 days), the justifications may also serve as advance notification to the Congress. In such cases, the budget justifications should highlight the change in planned use of prior year resources.

Signed by: Assistant Secretary for Administration

Office of Primary Interest: Office of Budget

Index Changes:

Add:

Reprogramming of Budgetary and Personnel Resources 203-13

Resources, Reprogramming of Budgetary and Personnel 203-13

Budgetary and Personnel Resources, Reprogramming of 203-13

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Page last updated:February 2, 2010