Appendix A
CROSSWALK BETWEEN ANTIDEFICIENCY ACT AND TITLE 31--MONEY AND FINANCE
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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.)
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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.
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(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.
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(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.
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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.
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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.
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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.).
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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.
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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.
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(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.
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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.
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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.
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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);
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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
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(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.
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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.
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(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.).
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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.
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(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.
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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.
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(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.
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(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.
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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.
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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.
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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.).
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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.
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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.
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