Appendix A CROSSWALK BETWEEN ANTIDEFICIENCY ACT AND TITLE 31--MONEY AND FINANCE ------------------------------------------------------------------------------ THE ANTIDEFICIENCY ACT TITLE 31--MONEY AND FINANCE The following contains the provisions The following provides the section in of the Antideficiency Act, formerly Title 31 that was enacted without section 3679 of the Revised Statutes, substantive change. Revisions to the and section 210 of the General 1982 law are italicized. Government Matters Appropriation Act, 1958. (Formerly 31 U.S.C. 665, 665a, and 669.) ------------------------------------------------------------------------------ 665 Appropriation (a) Expenditures or contract Section 1341(a)(1): obligations in excess of funds (a)(1) An officer or employee of the prohibited United States Government or the No officer or employee of the United District of Columbia government may States shall make or authorize any not-- expenditure from or create or (A) make or authorize an expenditure or authorize an obligation under any obligation exceeding an amount appropriation or fund in excess of available in an appropriation or fund the amount available therein: nor for the expenditure or obligation; or shall any such officer or employee (B) involve either government in a involve the Government in any contract or obligation for the payment contract or other obligation, or the of money before an appropriation is payment of money for any purpose, in made unless authorized by law. advance of appropriations made for (C) make or authorize an expenditure or such purpose, unless such contract or obligation of funds required to be obligation is authorized by law. sequestered under section 252 of the Balanced Budget and Emergency Deficit Control Act of 1985; or (D) involve either government in a contract or obligation for the payment of money required to be sequestered under section 252 of the Balanced Budget and Emergency Deficit Control Act of 1985. ------------------------------------------------------------------------------ (b) Voluntary service forbidden Section 1342 (in part): No officer or employee of the United An officer or employee of the United States shall accept voluntary service States Government or of the District for the United States or employ of Columbia government may not accept personal service in excess of that voluntary services for either authorized by law, except in cases of government or employ personal services emergency involving the safety of exceeding that authorized by law human life or the protection of except for emergencies involving the property. safety of human life or the protection of property. This section does not apply to a corporation getting amounts to make loans (except paid in capital amounts) without legal liability of the United States Government. As used in this section, the term "emergencies involving the safety of human life or the protection of property" does not include ongoing, regular functions of government the suspension of which would not imminently threaten the safety of human life or the protection of property. ------------------------------------------------------------------------------ (c) Apportionment of appropriations; Section 1512(a): reserves; distribution; review (1) Except as otherwise provided in (a) Except as provided in this this section, all appropriations or subchapter, an appropriation available funds available for obligation for a for obligation for a definite period definite period of time shall be so shall be apportioned to prevent apportioned as to prevent obligation obligation or expenditure at a rate or expenditure thereof in a manner that would indicate a necessity for a which would indicate a necessity for deficiency or supplemental deficiency or supplemental appropriation for the period. An appropriations for such period; and appropriation for an indefinite period all appropriations or funds not and authority to make obligations by limited to a definite period of time, contract before appropriations shall and all authorizations to create be apportioned to achieve the most obligations by contract in advance of effective and economical use. An appropriations, shall be so apportionment may be reapportioned apportioned as to achieve the most under this section. effective and economical use thereof. ------------------------------------------------------------------------------ Section 1511(a): As used hereafter in this section, the (a) In this subchapter, term "appropriation" means "appropriations" means-- appropriations, funds and (1) appropriated amounts; authorizations to create obligations (2) funds; and by contract in advance of (3) authority to make obligations by appropriations. contract before obligations. ------------------------------------------------------------------------------ Section 1512(c)(1): (2) In apportioning any appropriation, (c)(1) In apportioning or reserves may be established solely to reapportioning an appropriation, a provide for contingencies, or to reserve may be established only-- effect savings whenever savings are (A) to provide for contingencies; made possible by or through changes in (B) to achieve savings made possible by requirements or greater efficiency of or through changes in requirements or operations. greater efficiency of operations; or (C) as specifically provided by law. ------------------------------------------------------------------------------ Section 1512(c)(2): Whenever it is determined by an (c)(2) A reserve established under this officer designated in subsection (d) subsection may be changed as necessary of this section to make apportionments to carry out the scope and objectives and reapportionments that any amount of the appropriation concerned. When so reserved will not be required to an official designated in section 1513 carry out the full objectives and of this title to make apportionments scope of the appropriation concerned, decides that an amount reserved will he shall recommend the rescission of not be required to carry out the such amount in the manner provided in objectives and scope of the the Budget and Accounting Act, 1921 appropriation concerned, the official (31 U.S.C. 1 et seq.), for estimates shall recommend the rescission of the of appropriations. Except as amount in the way provided in chapter specifically provided by particular 11 of this title for appropriation appropriations acts or other laws, no requests. Reserves established under reserves shall be established other this section shall be reported to than as authorized by this subsection. Congress as provided in the Reserves established pursuant to this Impoundment Control Act of 1974 (2 subsection shall be reported to the U.S.C. 681 et seq.). Congress in accordance with the Impoundment Control Act of 1974 (31 U.S.C. 1400 et seq.). ------------------------------------------------------------------------------ Section 1512(b)(1) and (2): (3) Any appropriation subject to (b)(1) An appropriation subject to apportionment shall be distributed by apportionment is apportioned by-- months, calendar quarters, operating (A) months, calendar quarters, seasons, or other time periods, or by operating seasons, or other time activities, functions, projects, or periods; objects, or by a combination thereof, (B) activities, functions, projects, or as may be deemed appropriate by the objects; or officers designated in subsection (d) (C) a combination of the ways referred of this section to make apportionments to in clauses (A) and (B) of this and reapportionments. Except as paragraph. otherwise specified by the officer (2) The official designated in section making the apportionment, amounts so 1513 of this title to make apportioned shall remain available for apportionments shall apportion an obligation, in accordance with the appropriation under paragraph (1) of terms of the appropriation, on a this subsection as the official cumulative basis unless reapportioned. considers appropriate. Except as specified by the official, an amount apportioned is available for obligation under the terms of the appropriation on a cumulative basis unless reapportioned. ------------------------------------------------------------------------------ Section 1512(d): (4) Apportionments shall be reviewed (d) An apportionment or a at least four times each year by the reapportionment shall be reviewed at officers designated in subsection (d) least 4 times a year by the official of this section to make apportionments designated in section 1513 of this and reapportionments, and such title to make apportionments. reapportionments made or such reserves established, modified, or released as Section 1512(a) as the last sentence: may be necessary to further the (a) ... An apportionment may be effective use of the appropriation reapportioned under this section. concerned, in accordance with the purposes stated in paragraph (1) of this subsection. ------------------------------------------------------------------------------ (d) Officers controlling apportionment Section 1513(a): or reapportionment (1) Any appropriation available to the (a) The official having administrative legislative branch, the judiciary, the control of an appropriation available United States International Trade to the legislative branch, the Commission, or the District of judicial branch, the United States Columbia, which is required to be International Trade Commission, or the apportioned under subsection (c) of District of Columbia government that this section, shall be apportioned or is required to be apportioned under reapportioned in writing by the section 1512 of this title shall officer having administrative control apportion the appropriation in of such appropriation. Each such writing. An appropriation shall be appropriation shall be apportioned not apportioned not later than the later later than thirty days before the of the following: beginning of the fiscal year for which (1) 30 days before the beginning of the the appropriation is available, or not fiscal year for which the appropriation more than thirty days after approval is available; or of the Act by which the appropriation (2) 30 days after the date of enactment is made available, whichever is later. of the law by which the appropriation is made available. ------------------------------------------------------------------------------ Section 1513(b)(1): (2) Any appropriation available to an (b)(1) The President shall apportion in agency, which is required to be writing an appropriation available to apportioned under subsection (c) of an executive agency (except the this section, shall be apportioned or Commission) that is required to be reapportioned in writing by the apportioned under section 1512 of this Director of the Office of Management title. The head of each executive and Budget. The head of each agency to agency to which the appropriation is which any such appropriation is available shall submit to the available shall submit to the Office President information required for the of Management and Budget information, apportionment in the form and the way in such form and manner and at such and at the time specified by the time or times as the Director may President. The information shall be prescribe, as may be required for the submitted not later than the later of apportionment of such appropriation. the following: Such information shall be submitted (A) 40 days before the beginning of the not later than forty days before the fiscal year for which the appropriation beginning of any fiscal year for which is available; or the appropriation is available, or not (B) 15 days after the date of enactment more than fifteen days after approval of the law by which the appropriation of the Act by which such appropriation is made available. is made available, whichever is later. (2) The President shall notify the head The Director of the Office of of the executive agency of the action Management and Budget shall apportion taken in apportioning the appropriation each such appropriation and shall under paragraph (1) of this subsection notify the agency concerned of his not later than the later of the action not later than twenty days following: before the beginning of the fiscal (A) 20 days before the beginning of the year for which the appropriation is fiscal year for which the available or not more than thirty days appropriation is available; or after approval of the Act by which (B) 30 days after the date of enactment such appropriation is made available, of the law by which the appropriation whichever is later. is made available. ------------------------------------------------------------------------------ Section 101: When used in this section, the term In this title, "agency" means a "agency" means any executive department, agency, or instrumentality department, agency, commission, of the United States Government. authority, administration, board, or other independent establishment in the Also, section 102: executive branch of the Government, In this title, "executive agency" means including any corporation wholly or department, agency, or instrumentality partly owned by the United States in the executive branch of the United which is an instrumentality of the States Government. United States. ------------------------------------------------------------------------------ Section 1513(e): Nothing in this subsection shall be so (a) This section does not affect the construed as to interfere with the initiation and operation of initiation, operation, and agriculture price support programs. administration of agricultural price support programs and no funds (other Also, section 1511(b): than funds for administrative (b) This subchapter does not apply to-- expenses) available for price support, surplus removal, and available under (1) amounts (except amounts for section 612c of title 7, with respect administrative expenses) available-- to agricultural commodities shall be (A) for price support and surplus subject to apportionment pursuant to removal of agricultural commodities; this section. and (B) under section 32 of the Act of August 24, 1935 (7 U.S.C. 612c); ------------------------------------------------------------------------------ Section 1341(a)(2): The provisions of this section shall (a)(2) This subsection does not apply not apply to any corporation which to a corporation getting amounts to obtains funds for making loans, other make loans (except paid in capital than paid in capital funds, without amounts) without legal liability of legal liability on the part of the the United States Government. United States. Also, section 1342 (in part): ... This section does not apply to a corporation getting amounts to make loans (except paid in capital amounts) without legal liability of the United States Government. Also, section 1511(b)(2): (b) this subchapter does not apply to-- (2) a corporation getting amounts to make loans (except paid in capital amounts) without legal liability on the part of the United States Government; and ------------------------------------------------------------------------------ (e) Apportionment necessitating Section 1515(b)(1): deficiency or supplemental estimates (1) No apportionment or (b)(1) Except as provided in subsection reapportionment, or request therefor (a) of this section, an official may by the head of an agency, which, in make, and the head of an executive the judgment of the officer making or agency may request, an apportionment the agency head requesting such under section 1512 of this title that apportionment or reapportionment, would indicate a necessity for a would indicate a necessity for a deficiency or supplemental deficiency or supplemental estimate appropriation only when the official shall be made except upon a or agency head decides that the action determination by such officer or is required because of-- agency head, as the case may be, that (A) a law enacted after submission to such action is required because of (A) Congress of the estimates for an any laws enacted subsequent to the appropriation that requires an transmission to the Congress of the expenditure beyond administrative estimates for an appropriation which control; or require expenditures beyond (B) an emergency involving the safety administrative control; or (B) of human life, the protection of emergencies involving the safety of property, or the immediate welfare of human life, the protection of individuals when an appropriation that property, or the immediate welfare of would allow the United States individuals in cases where an Government to pay, or contribute to, appropriation has been made to enable amounts required to be paid to the United States to make payment of, individuals in specific amounts fixed or contributions toward, sums which by law or under formulas prescribed by are required to be paid to individuals law, is insufficient. either in specific amounts fixed by law or in accordance with formulae prescribed by law. ------------------------------------------------------------------------------ Section 1515(b)(2): (2) In each case of an appropriation (b)(2) If an official making an or a reapportionment which, in the apportionment decides that an judgment of the officer making such apportionment would indicate a apportionment or reapportionment, necessity for a deficiency or would indicate a necessity for a supplemental appropriation, the deficiency or supplemental estimate, official shall submit immediately a such officer shall immediately submit detailed report of the facts to a detailed report of the facts of the Congress. The report shall be referred case to the Congress. In transmitting to in submitting a proposed deficiency any deficiency or supplemental or supplemental appropriation. estimates required on account of any such apportionment or reapportionment, reference shall be made to such report. ------------------------------------------------------------------------------ (f) Exemption of trust funds and Section 1516: working funds expenditures from apportionment (1) The officers designated in An official designated in section 1513 subsection (d) of this section to make of this title to make apportionments apportionments and reapportionments may exempt from apportionment-- may exempt from apportionments trust funds and working funds expenditures (1) a trust fund or working fund if an from which have no significant effect expenditure from the fund has no on the financial operations of the significant effect on the financial Government, working capital and operations of the United States revolving funds established for Government; intragovernmental operations, receipts (2) a working capital fund or a from industrial and power operations revolving fund established for available under law and any intragovernmental operations; appropriation made specifically for-- (3) receipts from industrial and power (1) interest on, or retirement of, the operations available under law; and public debt; (4) appropriations made specifically (2) payment of claims, judgments, for-- refunds, and draw-backs; (A) interest on, or retirement of, (3) any item determined by the the public debt; President to be of a confidential (B) payment of claims, judgments, nature; refunds, and drawbacks; (4) payment under private relief acts (C) items the President decides are of or other laws requiring payments to a confidential nature; designated payees in the total amount (D) payment under a law requiring of such appropriation; payment of the total amount of the (5) grants to the States under title appropriation to a designated payee; I, IV, or X of the Social Security Act and /42 U.S.C. 301 et seq., 1201 et seq./, (E) grants to the States under the or under any other public assistance Social Security Act (41 U.S.C. 301 et title in such Act. seq.). ------------------------------------------------------------------------------ Section 1511(b)(3): (2) The provisions of subsection (c) (b) This subchapter does not apply to-- of this section shall not apply to appropriations to the Senate or House (3) the Senate, the House of of Representatives or to any Member, Representatives, a committee of committee, Office (including the Congress, a member, officer, employee, office of the Architect of the or office of the Architect of the Capitol), officer, or employee Capitol or an officer or employee of thereof. that Office. ------------------------------------------------------------------------------ (g) Administrative division of Section 1513(d): apportionment; simplification of system for subdividing funds Any appropriation which is apportioned (d) An appropriation apportioned under or reapportioned pursuant to this this subchapter may be divided and section may be divided and subdivided subdivided administratively within the administratively within the limits of limits of the apportionment. such apportionments or reapportionments. The officer having Section 1514: administrative control any such (a) The official having administrative appropriation available to the control of an appropriation available legislative branch, the judiciary, the to the legislative branch, the judicial United States International Trade branch, the United States International Commission, or the District of Trade Commission, or the District of Columbia, and the head of each agency, Columbia government, and, subject to subject to the approval of the the approval of the President, the head Director of the Office of Management of each executive agency (except the and Budget, shall prescribe, by Commission) shall prescribe by regulation, a system of administrative regulation a system of administrative control (not inconsistent with any control not inconsistent with accounting procedures prescribed by or accounting procedures prescribed under pursuant to law) which shall be law. The system shall be designed to-- designed to (A) restrict obligations (1) restrict obligations or or expenditures against each expenditures from each appropriation appropriation to the amount of to the amount of apportionments or apportionments or reapportionments reapportionments of the appropriation; made for each such appropriation, and and (B) enable such officer or agency head (2) enable the official or the head of to fix responsibility for the creation the executive agency to fix of any obligation or the making of any responsibility for an obligation or expenditure in excess of an expenditure exceeding an apportionment apportionment or reapportionment. or reapportionment. ------------------------------------------------------------------------------ In order to have a simplified system (b) To have a simplified system for for the administrative subdivision of administratively dividing appropriations or funds, each agency appropriations, the head of each shall work toward the objective or executive agency (except the financing each operating unit, at the Commission) shall work toward the highest practical level, from not more objective of financing each operating than one administrative subdivision unit, at the highest practical level, for each appropriation or fund from not more than one administrative affecting such unit. division for each appropriation affecting the unit. ------------------------------------------------------------------------------ (h) Expenditures in excess of Section 1517(a): apportionment; penalties No officer or employee of the United (a) An officer or employee of the States shall authorize or create any United States Government or of the obligation or make any expenditure (A) District of Columbia government may in excess of an apportionment or not make or authorize an expenditure reapportionment, or (B) in excess of or obligation exceeding-- the amount permitted by regulations (1) an apportionment, or prescribed pursuant to subsection (g) (2) the amount permitted by regulations of this section. prescribed under section 1514(a) of this title. ------------------------------------------------------------------------------ (i) Administrative discipline; reports Section 1349(a): on violation (1) In addition to any penalty of (a) An Officer or employee of the liability under other law, any officer United States Government or or the or employee of the United States who District of Columbia government shall violate subsections (a), (b), or violating section 1341(a) or 1342 of (h) of this section shall be subjected this title shall be subject to to appropriate administrative appropriate administrative discipline discipline, including, when including, when circumstances warrant, circumstances warrant, suspension from suspension from duty without pay or duty without pay or removal from removal from office. office; Also, section 1518: An officer or employee of the United States Government or of the District of Columbia government violating section 1517(a) of this title shall be subject to appropriate administrative discipline including, when circumstances warrant, suspension from duty without pay or removal from office. ------------------------------------------------------------------------------ Section 1350: and any officer or employee or the An officer or employee of the United United States who shall knowingly and States Government or of the District willfully violate subsections (a), of Columbia government knowingly and (b), or (h) of this section shall, willfully violating section1341(a) or upon conviction, be fined not more 1342 of this title shall be fined not than $5,000 or imprisoned for not more more than $5,000, imprisoned for not than two years, or both. more than two years, or both. Also, section 1519: An officer or employee of the United States Government or of the District of Columbia government knowingly and willfully violating section 1517(a) of this title shall be fined not more than $5,000, imprisoned for not more than 2 years, or both. ------------------------------------------------------------------------------ Section 1351: (2) In the case of a violation of If an officer or employee of an subsections (a), (b), or (h) of this executive agency or an officer or section by an officer or employee of employee of the District of Columbia an agency, or of the District of government violates section 1341(a) or Columbia, the head of the agency 1342 of this title, the head of the concerned or the Mayor of the District agency or the Mayor of the District of of Columbia, shall immediately report Columbia, as the case may be, shall to the President, through the Director report immediately to the President of the Office of Management and and Congress all relevant facts and a Budget, and to the Congress all statement of actions taken. pertinent facts together with a statement of the action thereon. Also, section 1517(b): (b) If an officer or employee of an executive agency or of the District of Columbia government violates subsection (a) of this section, the head of the executive agency or the Mayor of the District of Columbia, as the case may be, shall report immediately to the President and Congress all relevant facts and a statement of actions taken. ------------------------------------------------------------------------------ 31 U.S.C. 665a. Basis of Section1515(a): apportionment; need for funds for increased compensation for wage-board employees On and after June 5, 1957, any (a) An appropriation required to be appropriation required to be apportioned under section 1512 of this apportioned pursuant to section 665 of title may be apportioned on a basis this title, may be apportioned on a that indicates the need for a basis indicating the need for a deficiency or supplemental supplemental or deficiency estimate of appropriation to the extent necessary appropriation to the extent necessary to permit payment of such pay to permit payment of such pay increases as may be granted pursuant increases as may be granted those to law to civilian officers and employees (commonly known as employees (including prevailing rate wage-board employees) whose employees whose pay is fixed and compensation is fixed and adjusted adjusted under subchapter IV of from time to time in accordance with chapter 53 of title 5) and to retired prevailing rates (5 U.S.C. 5102(c)(7), and active military personnel. 5341 et seq.). ------------------------------------------------------------------------------ 31 U.S.C. 669. Apportionment of Section 1513(c): contigent fund of departments to offices and bureaus (words before semicolon) In addition to the apportionment (c) By the first day of each fiscal required by section 665 of this title, year, the head of each executive the head of each executive department department of the United States shall, on or before the beginning of Government shall apportion among the each fiscal year, apportion to each major organizational units of the office or bureau of his department the department the maximum amount to be maximum amount to be expended therefor expended by each unit during the during the fiscal year out of the fiscal year out of each contingent contingent fund or funds appropriated fund appropriated for the entire year for the entire year for the for the department. Each amount may be department, and the amounts so changed during the fiscal year only by apportioned shall not be increased or written direction of the head of the diminished during the year for which department. The direction shall state made except upon the written direction the reasons for the change. of the head of the department, in which there shall be fully expressed his reasons therefore. ------------------------------------------------------------------------------ 31 U.S.C. 669 (words after semicolon) Section 1341(b): and there shall not be purchased out An article to be used by an executive of any other fund any article for use department in the District of Columbia in any office or bureau of any that could be bought out or an executive department, in Washington, appropriation made to a regular District of Columbia, which could be contingent fund of the department may purchased out of appropriations made not be bought out of another amount for the regular contingent funds of available for obligation. such department or of its offices and bureaus. ------------------------------------------------------------------------------