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NPR 9330.1
Effective Date: August 01, 2017
Expiration Date: August 01, 2023
Printable Format (PDF)

Subject: External Reports-Budget

Responsible Office: Office of the Chief Financial Officer

| TOC | Preface | Chapter1 | Chapter2 | AppendixA | AppendixB | AppendixC | ALL |

Appendix C. Reference Documents

C.1. Agency strategic plans; 5 United States Code U.S.C. § 306. This law describes requirements for providing agency strategic plans.

C.2. Research and development; 15 U.S.C. § 638. This law sets forth the requirements for the SBIR and STTR programs. It establishes requirements for Federal agencies to participate and report to the SBA.

C.3. Money and Finance; 31 U.S.C., Chapters 9 and 11. This code provides statutory requirements concerning on Federal budget, performance, and reporting.

a. Authority and functions of agency Chief Financial Officers, 31 U.S.C. § 902. This section describes the role of an agency CFO to include overseeing budget, finance, and performance.

b. Preparation and submission of appropriations requests to the President, 31 U.S.C. § 1108. This section provides requirements for developing an annual appropriations request.

c. Federal Government and agency performance plans, 31 U.S.C. § 1115. This section requires agencies to establish and report on performance goals.

d. Agency performance reporting, 31 U.S.C. § 1116. This section requires agencies to make public performance data, including ratings and trends.

e. Federal Government and agency priority goals, 31 U.S.C. § 1120. This section requires agencies to develop goals that contribute to improving the performance of the Federal Government.

f. Transparency of programs, priority goals, and results, 31 U.S.C. § 1122. This section requires agencies to make accessible to the public via an OMB Web site, information on priority goals, progress, factors influencing achievement of these goals, and other relevant information.

g. Chief Operating Officers, 31 U.S.C. § 1123. This section establishes the role of an agency COO to strengthen the management and performance of that agency.

h. Performance Improvement Officers and the Performance Improvement Council, 31 U.S.C. § 1124. This section establishes a PIO at each agency and a cross-agency council to administer Federal performance goals.

C.4. National Science Foundation; 42 U.S.C. § 1861 et seq. This code establishes NSF as the Federal authority of science and technology. Among other information, Federal agencies provide information on R&D spending.

C.5. National Aeronautics and Space Act, 51 U.S.C. § 20101 et seq. This statute establishes authorities for the Agency.

C.6. Baselines and cost controls, 51. U.S.C. § 30104. This statute requires NASA to report, for its major programs, current cost estimates and growth from an established baseline. Congressional notifications and threshold reports are required when projects reach various levels of cost or schedule growth. NASA will also publish this information in the annual budget submission. This report is generally referred to as the Major Program Annual Report. This section was enacted to help NASA and Congress identify potential cost and schedule problems early in a major program's development.

C.7. OMB Circular No. A-11, Preparation, Submission, and Execution of the Budget. This Circular provides annual guidance on budget preparation, including specific guidance on schedules referenced in this NPR.

C.8. Treasury Financial Manual (TFM), Volume I, Part 2, Chapter 4700, Agency Reporting Requirements for the Financial Report of The United States Government. The TFM is the Department of the Treasury's official publication of policies, procedures, and instructions concerning financial management in the Federal Government. This reference describes Agency financial and budgetary reporting requirements.

C.9. NASA NPD 1000.0, Governance and Strategic Management Handbook. This handbook sets forth the principles by which NASA will strategically manage the Agency, describes the means for doing so, and identifies the specific requirements that drive NASA's strategic planning process.

C.10. NPD 1380.1, Managing Agency Communications. This NPD defines a structure for cross-Agency coordination of external communications.

C.11. NPD 9010.2, Financial Management. This NPD establishes that the Agency CFO directs, manages, and provides policy guidance and oversight of Agency financial management personnel, activities, and operations.

C.12. NPR 9010.1, Financial Management Requirements Overview. This NPR provides an overview and general policies related to the execution of Agency budget, accounting, and financial reporting.

C.13. NPR 9310.1, Financial Management Reports - Accounting. This NPR provides the financial management requirements necessary to support the timely production and submission of reliable, accurate, and complete financial reports submitted by the OCFO. It includes the purpose, authorities and references, major components, source of the requirement, and details report recipients and submittal dates for each report.

C.14. NPR 9420.1, Budget Formulation. This NPR describes the planning, programming, and budgeting phases, or budget formulation in the Planning, Programming, Budgeting, and Execution (PPBE) process. It outlines major responsibilities, deliverables, and cross-Agency coordination necessary for developing a budget that aligns with Agency and Administration priorities.

C.15. NPR. 9470.1, Budget Execution. This NPR describes the execution phase of the PPBE process of resource alignment and control. It outlines the requirements by which the Agency directs and controls financial resources so as to achieve the purposes and objectives for which the budget is approved.

C.16. U.S. National Space Policy, National Security Presidential Directive 49. This policy sets forth the U.S. role in space exploration; guidelines for the conduct of activities, international cooperation, and space commercialization; and a program of security and safety management.

C.17. MAX A-11 Users Guide. This manual, referenced in OMB Circular No. A-11, instructs OMB examiners and agency analysts in the use of the MAX data entry system as required for formulating the President's Budget Request.

| TOC | Preface | Chapter1 | Chapter2 | AppendixA | AppendixB | AppendixC | ALL |
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