[Senate Report 116-302]
[From the U.S. Government Publishing Office]


 						       Calendar No. 597
116th Congress        }                           {             Report
                                 SENATE
 2d Session           }                           {            116-302
_______________________________________________________________________

                                     
 
        PERIODICALLY LISTING AND UPDATING MANAGEMENT ACT OF 2020

                               __________

                              R E P O R T

                                 of the

                   COMMITTEE ON HOMELAND SECURITY AND

                          GOVERNMENTAL AFFAIRS

                          UNITED STATES SENATE

                              to accompany

                                S. 3896

          TO AMEND TITLE 5, UNITED STATES CODE, TO REQUIRE THE
           DIRECTOR OF THE OFFICE OF PERSONNEL MANAGEMENT TO
            ESTABLISH AND MAINTAIN A PUBLIC DIRECTORY OF THE
 INDIVIDUALS OCCUPYING GOVERNMENT POLICY AND SUPPORTING POSITIONS, AND 
                           FOR OTHER PURPOSES

		[GRAPHIC(S) NOT AVAILABLE IN TIFF FORMAT]


               November 30, 2020.--Ordered to be printed
               
               
                             __________
               
               
               
        
        	U.S. GOVERNMENT PUBLISHING OFFICE

19-010        	         WASHINGTON : 2020
        
        
        
        
        
        
        COMMITTEE ON HOMELAND SECURITY AND GOVERNMENTAL AFFAIRS

                    RON JOHNSON, Wisconsin, Chairman
ROB PORTMAN, Ohio                    GARY C. PETERS, Michigan
RAND PAUL, Kentucky                  THOMAS R. CARPER, Delaware
JAMES LANKFORD, Oklahoma             MAGGIE HASSAN, New Hampshire
MITT ROMNEY, Utah                    KAMALA D. HARRIS, California
RICK SCOTT, Florida                  KYRSTEN SINEMA, Arizona
MICHAEL B. ENZI, Wyoming             JACKY ROSEN, Nevada
JOSH HAWLEY, Missouri

                Gabrielle D'Adamo Singer, Staff Director
                   Joseph C. Folio III, Chief Counsel
               Daniel J. Spino, Professional Staff Member
               David M. Weinberg, Minority Staff Director
               Zachary I. Schram, Minority Chief Counsel
         Yelena L. Tsilker, Minority Professional Staff Member
                     Laura W. Kilbride, Chief Clerk










                                                       Calendar No. 597
116th Congress                                                   Report
                                 SENATE
 2d Session                                                     116-302

======================================================================




        PERIODICALLY LISTING AND UPDATING MANAGEMENT ACT OF 2020

                                _______
                                

               November 30, 2020.--Ordered to be printed

                                _______
                                

 Mr. Johnson, from the Committee on Homeland Security and Governmental 
                    Affairs, submitted the following

                              R E P O R T

                         [To accompany S. 3896]

      [Including cost estimate of the Congressional Budget Office]

    The Committee on Homeland Security and Governmental 
Affairs, to which was referred the bill (S. 3896) to amend 
title 5, United States Code, to require the Director of the 
Office of Personnel Management to establish and maintain a 
public directory of the individuals occupying Government policy 
and supporting positions, and for other purposes, having 
considered the same, reports favorably thereon with amendments, 
and recommends that the bill, as amended, do pass.

                                CONTENTS

                                                                   Page
  I. Purpose and Summary..............................................1
 II. Background and Need for the Legislation..........................2
III. Legislative History..............................................3
 IV. Section-by-Section Analysis......................................3
  V. Evaluation of Regulatory Impact..................................4
 VI. Congressional Budget Office Cost Estimate........................4
VII. Changes in Existing Law Made by the Bill, as Reported............5

                         I. Purpose and Summary

    The purpose of S. 3896, the Periodically Listing Updates to 
Management Act of 2020, or PLUM Act of 2020, is to modernize 
the practice of publishing the United States Government Policy 
and Supporting Positions or ``Plum book'' that is published 
every four years following presidential elections. The bill is 
also intended to improve transparency by requiring more 
frequent updates on the information regarding individuals who 
hold high-level policy and supporting positions in the Federal 
Government. The bill will also reduce unnecessary printing 
costs by eliminating the printing of the current list of those 
positions.

              II. Background and the Need for Legislation

    The United States Government Policy and Supporting 
Positions book, commonly referred to as the Plum book, lists 
over nine thousand Federal civil service leadership and support 
positions in the Federal Government.\1\ The Plum book was first 
published in 1952, when the Eisenhower Administration came into 
office after twenty years of Democratic administrations.\2\ The 
Plum book's purpose at that time was to identify positions in 
the Federal Government for the new administration so that they 
had an understanding of the positions that they may consider 
filling via appointment.\3\ Since 1952, the Plum Book has been 
printed every four years, and available online since 1996.\4\ 
In 2012, the Government Printing Office introduced the Plum 
Book app, allowing users to view the Plum Book in a mobile and 
searchable format.\5\
---------------------------------------------------------------------------
    \1\U.S. Gen. Services Admin., Presidential Transition Directory, 
Plum Book, Dec. 2, 2019, available at https://www.gsa.gov/
governmentwide-initiatives/presidential-transition-directory/federal-
government-structure/plum-book.
    \2\Trudy Hawkins, Senior Marketing and Promotions Specialist, GPO, 
Government Book Talk, A Plum Book of Political Positions, 2016, 
available at https://govbooktalk.gpo.gov/2016/12/05/a-plum-book-of-
political-positions/.
    \3\U.S. Gov't Publishing Office, Govinfo, United States Gov't 
Policy and Supporting Positions (Plum Book), 2020 available at https://
www.govinfo.gov/collection/plum-book?path=/GPO/
United%20States%20Government%20Policy%20and%20Supporting%20Positions%20%
2528Plum %20Book%2529.
    \4\Id.
    \5\U.S. Gov't Publishing Office, News and Press Releases, GPO 
Releases Plum Book, 2020, available at https://www.gpo.gov/who-we-are/
news-media/news-and-press-releases/gpo-releases-plum-book.
---------------------------------------------------------------------------
    Although the Plum book serves as a helpful tool for an 
incoming administration, the information is often dated when it 
is published and can contain errors. For example, the 2012 and 
2016 Plum books listed appointees to the Federal Housing 
Finance Board, even though the agency has not existed since 
2008.\6\ Further, some have argued that it should take on an 
additional role to inform the public with more up-to-date 
information about the individuals who are serving in specific 
positions in the Federal Government.\7\ In a May 2019 report, 
the Government Accountability Office found that information on 
political appointees was not comprehensive, timely, or 
complete, and recommended that Congress ``consider legislation 
requiring comprehensive and timely information on political 
appointees serving in the executive branch to be collected and 
made publicly accessible.''\8\
---------------------------------------------------------------------------
    \6\U.S. House of Representatives Committee on Oversight and 
Government Reform, United States Government Policy and Supporting 
Positions 2012, available at https://www.govinfo.gov/content/pkg/GPO-
PLUMBOOK-2012/pdf/GPO-PLUMBOOK-2012.pdf; U.S. Senate Committee on 
Homeland Security and Governmental Affairs, United States Government 
Policy and Supporting Positions, 2016, available at https://
www.govinfo.gov/content/pkg/GPO-PLUMBOOK-2016/pdf/GPO-PLUMBOOK-
2016.pdf; Housing and Economic Recovery Act of 2008, P. Law 110-289.
    \7\Amanda Patarino, Not So Plum: The Shortcomings of the Plum Book 
and Tracking Political Appointments, Harvard Kennedy School Student 
Publication, Jan. 23, 2020, available at https://
ksr.hkspublications.org/2020/01/23/not-so-plum-the-shortcomings-of-the-
plum-book-and-tracking-political-appointments/.
    \8\U.S. Gov't Accountability Off., Government-Wide Political 
Appointee Data and Some Ethics Oversight Procedures at Interior and SBA 
Could Be Improved (Mar. 2019), available at https://www.gao.gov/assets/
700/697593.pdf.
---------------------------------------------------------------------------
    S. 3896 as introduced would have required agencies, through 
the Office of Personnel Management (OPM), to update the 
information previously provided in the Plum Book monthly (as 
opposed to the current four-year requirement). An amendment 
offered and accepted at markup changed the reporting 
requirement from monthly to twice every four years to reduce 
the burden on agencies and OPM. S. 3896 also eliminates the 
costly printing of the Plum book and requires the reporting to 
move to an Internet platform hosted by the Director of OPM by 
2024. The Committee intends the web site authorized by the 
legislation will cover the types of positions that have been 
covered in the traditional Plum Book in recent years.

                        III. Legislative History

    S. 3896 was introduced on June 4, 2020, by Senator Thomas 
Carper (D-DE). The bill was referred to the Committee on 
Homeland Security and Governmental Affairs. The Committee 
considered S. 3896 at a business meeting on July 22, 2020.
    During the business meeting, Senator James Lankford and 
Chairman Ron Johnson offered an amendment clarifying that the 
policy and supporting positions included in the published list 
required by S. 3896 are the same as currently included in the 
Plum book. The amendment also changed the update frequency 
required from monthly to biennially to reduce the burden on OPM 
and Federal agencies, and to keep the Plum book more focused on 
its original purpose to provide information to the president's 
administration.
    Senator Johnson also offered an amendment striking the 
bill's $10 million authorization of appropriations and replaced 
it with an authorization for only such sums as may be necessary 
to build the website. The amendment also added a sunset 
provision eliminating the printing of hard copies of the Plum 
book beginning in 2024 to save money on the cost of unnecessary 
printing.
    Both amendments and the legislation as modified by the 
amendments were passed by voice vote en bloc with Senators 
Johnson, Portman, Paul, Lankford, Romney, Scott, Enzi, Hawley, 
Peters, Carper, Hassan, Harris, and Rosen present.

        IV. Section-by-Section Analysis of the Bill, as Reported


Section 1. Short title; Purposes

    This section establishes the short title of the bill as the 
Periodically Listing Updates to Management Act of 2020 or the 
PLUM Act of 2020.
    It also provides that the purpose of the PLUM Act of 2020 
is to modernize the publishing of the Plum book and enhance 
government transparency and accessibility by reporting who is 
filling government policy and supporting positions.

Section 2. Establishment of public website on government policy and 
        supporting positions

    This section creates a new section in Chapter 33 of title 
5, United States Code, that establishes a public website to 
include the government policy and supporting positions 
previously reported in the Plum book.
    Subsection (a) of the new section defines which agencies 
and positions are subject to reporting under the PLUM Act and 
details the positions currently reported in the Plum book.
    Subsection (b) of the new section requires the 
establishment of a new website for the reporting of information 
regarding individuals who hold policy and supporting positions 
in the Federal government and the type of information about 
these individuals required to be included.
    Subsection (c) of the new section details the information 
required to be included by the Director on the website.
    Subsection (d) of the new section requires the website to 
be provided at no cost to the public in a searchable, sortable, 
readable format as required for an open Government data asset 
defined in section 3502 of title 44, United States Code.
    Subsection (e) of the new section requires agencies to 
provide the required information to the Director of OPM, and 
requires the Director of OPM to provide instructions to 
agencies within one year after the date of enactment of the 
bill with requirements for the provision or uploading of 
information required under the bill. The Director of OPM is 
required to publicly identify any agency that has failed to 
provide required information. Finally, this subsection requires 
the information to be updated once every two years.
    Subsections (f) and (g) of the new section requires each 
agency to comply with the instructions issued by the Director 
of OPM to fulfill the requirements of the bill, provide OPM 
with a certification that the data is complete, accurate and 
reliable and coordinate with the White House Office of 
Presidential Personnel to certify the same.
    Subsection (h) of the new section requires the Director of 
OPM, in consultation with the Archivist of the United States, 
to archive the data included on the website.
    The bill also authorizes appropriations for such sums as 
may be necessary to meet the website requirements and stops the 
printing of hard copies of the Plum book by January 2024.

                   V. Evaluation of Regulatory Impact

    Pursuant to the requirements of paragraph 11(b) of rule 
XXVI of the Standing Rules of the Senate, the Committee has 
considered the regulatory impact of this bill and determined 
that the bill will have no regulatory impact within the meaning 
of the rules. The Committee agrees with the Congressional 
Budget Office's statement that the bill contains no 
intergovernmental or private-sector mandates as defined in the 
Unfunded Mandates Reform Act (UMRA) and would impose no costs 
on state, local, or tribal governments.

             VI. Congressional Budget Office Cost Estimates

                                     U.S. Congress,
                               Congressional Budget Office,
                                 Washington, DC, November 17, 2020.
Hon. Ron Johnson,
Chairman, Committee on Homeland Security and Governmental Affairs, U.S. 
        Senate, Washington, DC.
    Dear Mr. Chairman: The Congressional Budget Office has 
prepared the enclosed cost estimate for S. 3896, the PLUM Act 
of 2020.
    If you wish further details on this estimate, we will be 
pleased to provide them. The CBO staff contact is Madeleine 
Fox.
            Sincerely,
                                         Phillip L. Swagel,
                                                          Director.
    Enclosure.

    	[GRAPHIC(S) NOT AVAILABLE IN TIFF FORMAT]
    

    S. 3896 would require the Office of Personnel Management to 
maintain a website for United States Government Policy and 
Supporting Positions, a directory of certain government 
positions and government policies often referred to as the Plum 
Book. The volume is now published every four years, alternately 
by the House Committee on Oversight and Reform and the Senate 
Committee on Homeland Security and Governmental Affairs. The 
Government Publishing Office currently maintains the online 
version of the Plum Book. The bill would also discontinue the 
print version of the Plum Book in 2024. Finally, the bill would 
require the volume to be updated every two years and would 
direct the Government Accountability Office to report on the 
accuracy of information on the website.
    CBO estimates that simply transferring management of the 
website to the Office of Personnel Management would not have a 
significant cost. Discontinuing the print version of the Plum 
Book would reduce costs by an insignificant amount. The cost of 
updating the Plum book every two years would be insignificant 
for any one agency, but CBO estimates that across the 
government those costs would cost about $2 million over the 
2021-2025 period. All spending would be subject to the 
availability of appropriated funds.
    The CBO staff contact for this estimate is Madeleine Fox. 
The estimate was reviewed by H. Samuel Papenfuss, Deputy 
Director of Budget Analysis.

       VII. Changes in Existing Law Made by the Bill, as Reported

    In compliance with paragraph 12 of rule XXVI of the 
Standing Rules of the Senate, changes in existing law made by 
the bill, as reported, are shown as follows: (existing law 
proposed to be omitted is enclosed in brackets, new matter is 
printed in italic, and existing law in which no change is 
proposed is shown in roman):

UNITED STATES CODE

           *       *       *       *       *       *       *


TITLE 5--GOVERNMENT ORGANIZATION AND EMPLOYEES

           *       *       *       *       *       *       *


PART III--EMPLOYEES

           *       *       *       *       *       *       *


SUBPART B--EMPLOYMENT AND RETENTION

           *       *       *       *       *       *       *


CHAPTER 33--EXAMINATION, CERTIFICATION, AND PLACEMENT

           *       *       *       *       *       *       *



       SUBCHAPTER I--EXAMINATION, CERTIFICATION, AND APPOINTMENT


                       SUBCHAPTER I--FRONT MATTER


SEC. 3301. * * *

           *       *       *       *       *       *       *


SEC. 3330F. GOVERNMENT POLICY AND SUPPORTING POSITION DATA.

    (a) Definitions.--In this section:
          (1) Agency.--The term ``agency'' means--
                  (A) any Executive agency, including the 
                United States Postal Service and the Postal 
                Regulatory Commission;
                  (B) the Architect of the Capitol, the 
                Government Accountability Office, the 
                Government Publishing Office, and the Library 
                of Congress; and
                  (C) the Executive Office of the President and 
                any component within that Office (including any 
                successor component), including--
                          (i) the Council of Economic Advisors;
                          (ii) the Council on Environmental 
                        Quality;
                          (iii) the National Security Council;
                          (iv) the Office of the Vice 
                        President;
                          (v) the Office of Policy Development;
                          (vi) the Office of Administration;
                          (vii) the Office of Management and 
                        Budget;
                          (viii) the Office of the United 
                        States Trade Representative;
                          (ix) the Office of Science and 
                        Technology Policy;
                          (x) the Office of National Drug 
                        Control Policy; and
                          (xi) the White House Office.
          (2) Appointee.--The term `appointee'--
                  (A) means an individual serving in a policy 
                and supporting position; and
                  (B) includes an individual serving in a 
                policy and supporting position temporarily in 
                an acting capacity in accordance with--
                          (i) sections 3345 through 3349d 
                        (commonly referred to as the ``Federal 
                        Vacancies Reform Act of 1998');
                          (ii) any other statutory provision 
                        described in section 3347(a)(1); or
                          (iii) a Presidential appointment 
                        described in section 3347(a)(2).
          (3) Covered website.--The term ``covered website'' 
        means the website established and maintained by the 
        Director under subsection (b).
          (4) Director.--The term ``Director'' means the 
        Director of the Office of Personnel Management.
          (5) Policy and supporting position.--The term 
        ``policy and supporting position''--
                  (A) means any position at an agency, as 
                determined by the Director, that, but for this 
                section and section 2(b)(4) of the PLUM Act of 
                2020, would be included in the publication 
                entitled `United States Government Policy and 
                Supporting Positions' (commonly referred to as 
                the `Plum Book'); and
                  (B) may include--
                          (i) a position on any level of the 
                        Executive Schedule under subchapter II 
                        of chapter 53, or another position with 
                        an equivalent rate of pay;
                          (ii) a general position (as defined 
                        in section 3132(a)(9)) in the Senior 
                        Executive Service;
                          (iii) a position in the Senior 
                        Foreign Service;
                          (iv) a position of a confidential or 
                        policy-determining character under 
                        schedule C of subpart C of part 213 of 
                        title 5, Code of Federal Regulations, 
                        or any successor regulation; and
                          (v) any other position classified at 
                        or above level GS-14 of the General 
                        Schedule (or equivalent) that is 
                        excepted from the competitive service 
                        by law because of the confidential or 
                        policy-determining nature of the 
                        position duties.
    (b) Establishment of Website.--The Director shall establish 
and maintain a public website containing the following 
information:
          (1) Each policy and supporting position in the 
        Federal Government, including any such position that is 
        vacant.
          (2) Each individual who--
                  (A) is serving in a position described in 
                paragraph (1); or
                  (B) previously served in a position described 
                in paragraph (1) under the President then in 
                office.
    (c) Contents.--With respect to any policy and supporting 
position listed on the covered website, the Director shall 
include--
          (1) the agency and agency component (including the 
        agency and bureau code used by the Office of Management 
        and Budget) in which the position is located;
          (2) the name of the position;
          (3) the name of the individual occupying the position 
        (if any);
          (4) the geographic location of the position, 
        including the city, State or province, and country;
          (5) the pay system for the position;
          (6) the level, grade, or rate of pay;
          (7) the term or duration of the appointment (if any);
          (8) the expiration date, in the case of a time-
        limited appointment;
          (9) a unique identifier for each appointee to enable 
        tracking the appointee across positions; and
          (10) whether the position is vacant.
    (d) Format.--The Director shall make the data on the 
covered website available to the public at no cost over the 
internet in a searchable, sortable, downloadable, and machine-
readable format so that the data qualifies as an open 
Government data asset, as defined in section 3502 of title 44.
    (e) Authority of Director.--
          (1) Information requested.--Each agency shall provide 
        to the Director any information that the Director 
        determines necessary to establish and maintain the 
        covered website, including the information uploaded 
        under paragraph (4).
          (2)Requirements for agencies.--Not later than 1 year 
        after the date of enactment of the PLUM Act of 2020, 
        the Director shall issue instructions to agencies with 
        specific requirements for the provision or uploading of 
        information required under paragraph (1), including--
                  (A) specific data standards that an agency 
                shall follow to ensure that the information is 
                complete, accurate, and reliable;
                  (B) data quality assurance methods; and
                  (C) the timeframe during which an agency 
                shall provide or upload the information, 
                including the timeframe described under 
                paragraph (4).
          (3) Public accountability.--The Director shall 
        identify on the covered website any agency that has 
        failed to provide--
                  (A) the information required by the Director;
                  (B) complete, accurate, and reliable 
                information; or
                  (C) the information during the timeframe 
                specified by the Director.
          (4) Monthly updates.--
                  (A) In general.--Not later than 90 days after 
                the date on which the covered website is 
                established, and not less than once during each 
                30-day period thereafter, the head of each 
                agency shall upload to the covered website 
                updated information (if any) on--
                          (i) the policy and supporting 
                        positions in the agency;
                          (ii) the appointees occupying those 
                        positions in the agency; and
                          (iii) the former appointees who 
                        served in policy and supporting 
                        positions in the agency under the 
                        President then in office.
                  (B) Supplement not supplant.--Information 
                provided under subparagraph (A) shall 
                supplement, not supplant, data previously 
                provided under that subparagraph.
          (5) OPM help desk.--The Director shall establish a 
        central help desk, to be operated by not more than 1 
        full-time employee, to assist any agency with 
        implementing this section.
          (6) Coordination.--
                  (A) 18F.--The Director shall consult with the 
                18F office (or any successor office) within the 
                General Services Administration for purposes of 
                the development, establishment, operation, and 
                support of the covered website.
                  (B) Designation of agencies.--The Director--
                          (i) may designate 1 or more agencies 
                        to participate in the development, 
                        establishment, operation, and support 
                        of the covered website; and
                          (ii) with respect to any such 
                        designation, may specify the scope of 
                        the responsibilities of the agency so 
                        designated.
    (f) Responsibility of Agencies.--
          (1) Provision of information.--Each agency shall 
        comply with the instructions and guidance issued by the 
        Director to carry out this section, and, upon request 
        of the Director, shall provide appropriate assistance 
        to the Director to ensure the successful operation of 
        the covered website in the manner and within the 
        timeframe specified by the Director under subsection 
        (e)(2).
          (2) Ensuring completeness, accuracy, and 
        reliability.--The head of an agency shall include with 
        any submission of information described in paragraph 
        (1)--
                  (A) an explanation of how the agency ensured 
                the information is complete, accurate and 
                reliable; and
                  (B) a certification that the information is 
                complete, accurate, and reliable.
    (g) Information Verification.--
          (1) Confirmation..--
                  (A) In general.--On the date that is 90 days 
                after the date on which the covered website is 
                established, the Director, in coordination with 
                the White House Office of Presidential 
                Personnel, shall confirm that the information 
                on the covered website is complete, accurate, 
                reliable, and up-to-date.
                  (B) Certification.--On the date on which the 
                Director makes a confirmation under 
                subparagraph (A), the Director shall publish on 
                the covered website a certification that the 
                confirmation has been made.
          (2) Authority of director.--In carrying out paragraph 
        (1), the Director may--
                  (A) request additional information from an 
                agency; and
                  (B) use any additional information provided 
                to the Director or the White House Office of 
                Presidential Personnel for the purposes of 
                verification.
          (3) Public comment.--The Director shall establish a 
        process under which members of the public may provide 
        feedback regarding the accuracy of the information on 
        the covered website.
    (h) Data Archiving.--
          (1) In general.--As soon as practicable after a 
        transitional inauguration day (as defined in section 
        3349a), the Director, in consultation with the 
        Archivist of the United States, shall archive the data 
        that was compiled on the covered website for the 
        preceding presidential administration.
          (2) Public availability.--The Director shall make the 
        data described in paragraph (1) publicly available over 
        the internet--
                  (A) on, or through a link on, the covered 
                website;
                  (B) at no cost; and
                  (C) in a searchable, sortable, downloadable, 
                and machine-readable format.

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