May 18, 2001

This memo provides guidance on developing the Department’s FY 2003 legislative agenda. The process for preparation and review of legislative proposals is explained and a timetable provided. You should begin now to develop legislative proposals and submit them to my office by June 18 for Departmental review.

General

Legislation should support and complement Presidential goals and initiatives and the initiatives outlined in the Secretary’s May 11, 2001 budget planning memorandum. Development and completion of the legislative agenda will correspond to the summer budget process and budget submission to OMB in early-September. Proposals received late are unlikely to advance.

Legislative Priorities

Submit legislative proposals to: (1) support Presidential and Secretarial budget and policy initiatives; (2) extend existing authorities that have expired or will expire during the coming year; and (3) make essential management/administrative improvements or correct deficiencies to programs, particularly those being reauthorized. Only legislation for which there is a clear and pressing need is likely to garner sufficient Executive Branch and government-wide support to advance. Minor and non-essential proposals should be advanced only if they are included under substantive legislative proposals. Efforts should be focused on productivity rather than on quantity.

Format

Submit legislative proposals in one of three formats:

• as “A-19s” following OMB’s Circular A-19 format provided at the Department’s Legislative Web Site – http://aspe.hhs.gov/progsys/legi/legi.htm;
• in the form of bill specifications; or
• in the form of draft bill language.

Select the format that allows the proposal to be presented in the most complete and useful fashion and that will best facilitate the legislative review by members of the budget and legislative teams. Regardless of whether signed paper copies of proposals are submitted, the legislative proposals must be transmitted electronically (in either ”.doc” or “.wpd” format) in order to speed their distribution and review.

Cost Estimates

Close collaboration between your policy, budget, and management staff is essential. Every legislative item alluded to in your FY 2003 budget submission must be accompanied by submission of a legislative proposal in one of the above specified formats. Likewise, every legislative proposal that you submit requiring increased expenditures beyond current levels must be reflected in your FY 2003 budget.

As reflected in the Secretary’s guidance and in the technical guidance that will be issued by the Office of the Assistant Secretary for Management and Budget, legislative proposals that modify mandatory spending authorities must be accompanied by scoring and administrative cost estimates when submitted for review. Concurrently, legislative proposals impacting mandatory resources also must be included in your FY 2003 budget submission. Please refer to the ASMB instructions for providing the FY 2003 budget request to the Office of the Secretary for more information on specific requirements for preparing cost estimates for mandatory proposals.

Timetable

All legislative proposals must be submitted to the OASPE by June 18.

A tentative timetable for the review and approval process is attached. The summer process is your best opportunity to have a hearing by Senior staff and submission to OMB. Proposals that reflect clear and convincing policy may advance; other proposals not so constructed are unlikely to do so.

Legislative Team Process

Proposals submitted by the June deadline will be reviewed by legislative teams composed of senior level staff from your agency, other operating divisions, and the Office of the Secretary. Team reviews will take place during June prior to the summer budget review that the Secretary will conduct. The legislative teams will make recommendations about the feasibility and appropriateness of the proposed legislation and its consistency with guidance from the President and the Secretary. In order for proposals to advance, you will need to respond to questions and assist in resolving issues raised during the review process.

Departmental Budget Review Process

The proposals and recommendations of the legislative teams will be provided to senior staff responsible for conducting the budget review process this summer. Since the Secretary will be personally engaged in the summer budget review process, this may represent the final stage of review for legislative proposals. Regardless, where issues are raised, further work by the initiator of the proposal and the legislative team may be necessary.

OMB Review

Based on the Secretary’s decisions, approved proposals will be consolidated into a legislative package for transmittal to OMB on the same schedule as the FY 2003 budget. Meetings with OMB budget staff will be held, as necessary, to brief them on proposed legislation. ASPE and ASMB will coordinate these presentations with participation of specific OpDivs.

Submission to Congress

During or after approval by OMB, negotiations regarding how best to advance approved legislative proposals will take place between the agencies and the Office of the Secretary (ASL in particular).

Thank you for your cooperation. We look forward to working with you on the FY 2003 legislative agenda.

Attachment