Budget and Planning Cycle

1
NSF Budget Process
MPS Advisory Committee April 4, 2003
2
Budget Mission
To provide the process by which quality analysis
results in (1) budget justifications that
represent and communicate the mission and goals
of the Foundation (2) budget implementation
that reflects the intent of the Foundation, the
Administration, and Congress
National Science Foundation
3
Budget Responsibilities

• PROGRAM ANALYSIS
• Budget Formulation for Science Directorates
• Special Analyses Charts
• Congressional Testimony, Briefing Materials,
  QsAs
• Clearance of Program Announcements other
  documents
• GPRA

• BUDGET OPERATIONS AND SYSTEMS
• Budget Formulation for Administrative Offices
• Budget Tracking Execution
• Special Analyses Charts
• Enterprise Information System/Budget Internet
  Information System
• Technical Budget Materials OMB Data Entry

National Science Foundation
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Spending Americas Income Broad revenue and
spending categories in President Bushs fiscal
2004 budget
Where it comes from (receipts) 1.9 trillion
How it would be spent (outlays) 2.2 trillion
390 billion National defense (discretionary)
Individual income tax 850 billion
429 billion Discretionary
(non-defense)
Corporate income tax 169 billion
2.2 trillion
493 billion Social Security
Payroll tax 765 billion
255 billion Medicare
176 billion Interest on debt
Excise tax 71 billion
185 billion Medicaid
Estate and gift tax 23 billion
Customs duties 21 billion
Other 39 billion
301 billion Other
Deficit 307-322 billion (with adjustment for
revenue uncertainty)
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(No Transcript)
6
The Long Path to a Federal Budget
February
June through September
March
April
May
House authorizing committees report changes in
law to comply with budget resolution.
House authorizing committees recommendations
submitted to Budget Committee.
House votes on reconciliation.
House Budget Committee formulates budget
resolution
House floor votes
House floor votes
House votes on reconciliation.
House votes on conference report.
House Appropriations Committees reports spending
measures to comply with budget resolution.
House votes on 13 separate appropriations bills.
Budget conference committee reports out the
concurrent resolution of the budget.
President submits his budget proposal to Congress.
President signs or vetoes appropriations bills.
President signs or vetoes appropriations bills.
13 conference committees
Concurrent budget resolution reached.
Budget reconciliation conference committees.
Senate Appropriations Committees reports spending
measures to comply with budget resolution.
Senate votes on 13 separate appropriations bills.
Senate Budget Committee formulates budget
resolution
Senate votes on conference report.
Senate floor votes
Senate floor votes
Senate authorizing committees report changes in
law to comply with budget resolution.
Senate authorizing committees recommendations
submitted to Budget Committee.
Senate votes on reconciliation.
Senate votes on reconciliation.
The presidents budget is not binding and is
considered the administrations proposal and
request. With it comes volumes of information,
including budget justifications from each agency
that help Congress complete its own budget. The
presidents budget generally is submitted by the
first Monday in February.
The House and Senate budget committees develop
their own versions of a budget resolution. If
the traditional schedule holds, both are
developed by early April, and the leading budget
committee members from both chambers develop a
consensus agreement called a conference report
that is typically adopted in April/May.
The two chambers arrive at a concurrent budget
resolution, which is not formally a law and does
not require the presidents signature. However,
the House and Senate have enforcement procedures
to ensure directives are met. The budget
resolution sets in motion legislation that, when
enacted, has the force of law.
Appropriations bills cover the discretionary
portion of the budget and dont affect mandated
benefit programs such as Social Security and
Medicare. Two or more of the appropriations
measures can be lumped into a single omnibus
appropriations bill. All of the bills must be
signed by the president to become law.
Another portion of the funds goes to authorizing
committees for entitlements and other mandatory
spending. To change these amounts, laws must be
rewritten and voted on in reconciliation
legislation, which requires presidential
signature to become law.
If all 13 appropriations bills arent signed by
Oct. 1, the start of the new fiscal year,
Congress may pass a continuing resolution to fill
the gap. If Congress fails to pass the
resolution or the president vetoes it,
nonessential activities in government are shut
down until appropriations for them are enacted.
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Development of the Federal RD Budget
Showing Fields of Science and Executive and
Legislative Decision Units
Connecting lines indicate location of agency
budget decisions, but not decision sequences.
National Science and Technology Council Research
Committees
Budget Review Offices (OMB)
House and Senate Appropriations Subcommittees
House Senate Budget Committees (Budget
Functions)
Senate Authorization Committees
House Authorization Committees
Departments Agencies
Fields of Science
(With significant RD )
National
National Security International Affairs

• Defense

Defense
Engineering
Agency for International Development

Defense
Armed Services
National Security

International
Environment and Natural Resources
Affairs
Energy
General Science, Space Technology
Foreign Operations
Foreign Relations
International Relations
Interior
Natural Resources, Energy, and Science
Energy and Water Development
Commerce
Math Computer Science
Energy
International Science, Engineering and Technology
Agriculture
Resources
Natural Resources Environment
NASA
Interior
Transportation Infrastructure
NSF
Commerce, Justice, State, Judiciary
Agriculture
NRC
Science
EPA
National Security
Commerce Housing Credit
Agriculture Related Agencies
Agriculture
Commerce
Economics Government
Transportation
VA-HUD-Inde- pendent Agencies
Transportation
Banking, Housing
Banking Financial Affairs
Urban Affairs
Science
Psychology
Housing Urban Development
Community Regional Development
Labor and Human
Economic Educational Opportunities
Transportation Related Agencies
Resources
Education, Training, Employment, Social Services
Education
Labor, Health Human Services, Education
Veterans Affairs
Veterans Affairs
Technology
Health Human Services
Health
Human Resources, Veterans, and Labor
Judiciary
Judiciary
Labor
Veterans Benefits Services
Justice

Administration of Justice
Veterans Affairs
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NSF BUDGET YEAR
February 2003 Budget to Congress (04)
March/April - Hearings (04) March - June
Planning (05) (OMB/OSTP Guidance) May
NSB Budget Discussion (05) May
July Budget Calls / AD Retreat / PARTs (05)
June AC/GPA (03) August
NSB OMB Budget Approved (05)
September - OMB Submission (05) / Close
Out (03) October - Current
Plan (04) / OMB Hearings (05)
Thanksgiving OMB Passback (05)
December - Appeal/Finalize (05)
February 2004 Budget to Congress (05)
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NSF Budget and Planning Cycle
Scenario Planning for FY 2005
Directors Policy Group Retreat Major Research
Equipment Review Examining Priorities
NSF Activities
Submit FY 2005 Budget to OMB
Complete FY 2004 Budget
Develop FY 2005 Budget
Approve FY 2005 Budget
Principles Governing FY 2005 Budget
NSB Activities
Issues Analysis Guidance on Establishing
Priorities
Planning Environment
NSB Attention to FY 2005 Budget
Oct, 02
Nov
Dec
Jan, 03
Feb
Mar
Apr
May
June
July
Aug
Sep
Oct, 03
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Budget and Planning Cycle
Establish Operating Plans
Operating Plans
Implement Programs
OMB Review
Prepare Budget
Congressional Hearings / Budget Resolution / Bill
Prepare OMB Request
OMB
Long Range Planning
Establish Operating Plans
Review
Prepare Budget
Congressional Hearings / Resolution / Bill
OP Plan
FY 2004
FY 2005
FY 2003
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Key Budget Planning Tasks
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Input to Planning Process
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Assessment/Accountability

• GPRA 1993 Congress (law)
• PMC/PMA 2000 President/OMB
• PART 2001 OMB Numerical Measurement
• RD Criteria 2002 NAS/OSTP/OMB