[House Report 117-169]
[From the U.S. Government Publishing Office]
117th Congress } { Rept. 117-169
HOUSE OF REPRESENTATIVES
1st Session } { Part 1
======================================================================
PERIODICALLY LISTING UPDATES TO MANAGEMENT ACT
_______
November 1, 2021.--Ordered to be printed
_______
Mrs. Carolyn B. Maloney of New York, from the Committee on Oversight
and Reform, submitted the following
R E P O R T
together with
MINORITY VIEWS
[To accompany H.R. 2043]
[Including cost estimate of the Congressional Budget Office]
The Committee on Oversight and Reform, to whom was referred
the bill (H.R. 2043) 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 an amendment and recommends that the bill as
amended do pass.
CONTENTS
Page
Summary and Purpose of Legislation............................... 5
Background and Need for Legislation.............................. 5
Section-by-Section Analysis...................................... 7
Legislative History.............................................. 9
Committee Consideration.......................................... 10
Roll Call Votes.................................................. 10
Explanation of Amendments........................................ 10
List of Related Committee Hearings............................... 10
Statement of Oversight Findings and Recommendations of the
Committee...................................................... 11
Statement of General Performance Goals and Objectives............ 11
Application of Law to the Legislative Branch..................... 11
Duplication of Federal Programs.................................. 11
Disclosure of Directed Rule Makings.............................. 11
Federal Advisory Committee Act Statement......................... 11
Unfunded Mandates Reform Act Statement........................... 12
Earmark Identification........................................... 12
Committee Cost Estimate.......................................... 12
New Budget Authority and Congressional Budget Office Cost
Estimate....................................................... 12
Changes in Existing Law Made by the Bill, as Reported............ 14
Correspondence................................................... 20
Minority Views................................................... 28
The amendment is as follows:
Strike all after the enacting clause and insert the
following:
SECTION 1. SHORT TITLE.
This Act may be cited as the ``Periodically Listing Updates to
Management Act'' or the ``PLUM Act''.
SEC. 2. ESTABLISHMENT OF PUBLIC WEBSITE ON GOVERNMENT POLICY AND
SUPPORTING POSITIONS.
(a) Establishment.--
(1) In general.--Subchapter I of chapter 33 of title 5,
United States Code, is amended by adding at the end the
following:
``Sec. 3330f. Government policy and supporting position data
``(a) Definitions.--In this section:
``(1) Agency.--The term `agency' means--
``(A) any Executive agency, 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 such 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, including the
White House Office of Presidential Personnel.
``(2) Covered website.--The term `covered website' means the
website established and maintained by the Director under
subsection (b).
``(3) Director.--The term `Director' means the Director of
the Office of Personnel Management.
``(4) Appointee.--The term `appointee'--
``(A) means an individual serving in a policy and
supporting position; and
``(B) includes an individual serving in such a
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).
``(5) Policy and supporting position.--The term `policy and
supporting position' means--
``(A) a position that requires appointment by the
President, by and with the advice and consent of the
Senate;
``(B) a position that requires or permits appointment
by the President or Vice President, without the advice
and consent of the Senate;
``(C) a position occupied by a limited term
appointee, limited emergency appointee, or noncareer
appointee in the Senior Executive Service, as defined
under paragraphs (5), (6), and (7), respectively, of
section 3132(a);
``(D) 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;
``(E) a position in the Senior Foreign Service;
``(F) any career position at an agency that, but for
this section and section 2(b)(3) of the PLUM Act, would
be included in the publication entitled `United States
Government Policy and Supporting Positions', commonly
referred to as the `Plum Book'; and
``(G) 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.--Not later than 1 year after the date
of enactment of the PLUM Act, the Director shall establish, and
thereafter maintain, a public website containing the following
information for the President then in office and for each subsequent
President:
``(1) Each policy and supporting position in the Federal
Government, including any such position that is vacant.
``(2) The name of each individual who--
``(A) is serving in a position described in paragraph
(1); or
``(B) previously served in a position described in
such paragraph under the applicable President.
``(3) Information on any Government-wide or agency-wide
limitation on the total number of positions in the Senior
Executive Service under section 3133 or 3132, and for the total
number of positions in Schedule C of subpart C of part 213 of
title 5, Code of Federal Regulations, and total number of
individuals occupying such positions.
``(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 such position (if
any);
``(4) the geographic location of the position, including the
city, State or province, and country;
``(5) the pay system under which the position is paid;
``(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 such appointee across positions;
``(10) whether the position is vacant, and in the case of a
vacancy, for positions for which appointment is required to be
made by the President by and with the advice and consent of the
Senate, the name of the acting official, and, for other
positions, the name of the official performing the duties of
the vacant position.
``(d) Current Data.--For each agency, the Director shall indicate the
date that the agency last updated the data.
``(e) 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.
``(f) Authority of Director.--
``(1) Information required.--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 pursuant to paragraph (4).
``(2) Requirements for agencies.--Not later than 1 year after
the date of enactment of the PLUM Act, 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) Not later than 90 days after the date 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 such
positions in the agency; and
``(iii) the former appointees who served in
the agency under the President then in office.
``(B) Information provided under subparagraph (A)
shall supplement, not supplant, previously provided
data under such subparagraph.
``(5) OPM help desk.--The Director shall establish a central
help desk, to be operated by not more than one full-time
employee, to assist any agency with implementing this section.
``(6) Coordination.--The Director may designate one or more
Federal agencies to participate in the development,
establishment, operation, and support of the covered website.
With respect to any such designation, the Director may specify
the scope of the responsibilities of the Federal agency so
designated.
``(7) Data standards and timing.--The Director shall make
available on the covered website information regarding on data
collection standards, quality assurance methods, and time
frames for reporting data to the Director.
``(8) Regulations.--The Director may prescribe regulations
necessary for the administration of this section.
``(g) Responsibility of Agencies.--
``(1) Provision of information.--Each agency shall comply
with the instructions and guidance issued by the Director to
carry out this Act, 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
(f)(2).
``(2) Ensuring completeness, accuracy, and reliability.--With
respect to any submission of information described in paragraph
(1), the head of an agency shall include an explanation of how
the agency ensured the information is complete, accurate, and
reliable, and a certification that such information is
complete, accurate, and reliable.
``(h) Information Verification.--
``(1) In general.--Not less frequently than semiannually, 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. On the date of any such confirmation, the Director shall
publish on the covered website a certification that such
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.
``(i) 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.
``(j) Reports.--
``(1) In general.--Not less frequently than one year after
the covered website is established and not less than annually
thereafter, the Director, in coordination with the White House
Office of Presidential Personnel, shall publish a report on the
covered website that contains summary level information on the
demographics of any appointee. Such report shall provide such
information in a structured data format that is searchable,
sortable, and downloadable, makes use of common identifiers
wherever possible, and contains current and historical data
regarding such information.
``(2) Contents.--
``(A) In general.--Each report published under
paragraph (1) shall include self-identified data on
race, ethnicity, tribal affiliation, gender,
disability, sexual orientation, veteran status, and
whether the appointee is over the age of 40 with
respect to each type of appointee. Such a report shall
allow for users of the covered website to view the type
of appointee by agency or component, along with these
self-identified data, alone and in combination, to the
greatest level detail possible without allowing the
identification of individual appointees.
``(B) Option to not specify.--When collecting each
category of data described in subparagraph (A), each
appointee shall be allowed an option to not specify
with respect to any such category.
``(C) Consultation.--The Director shall consult with
the Committee on Oversight and Reform of the House of
Representatives and the Committee on Homeland Security
and Governmental Affairs of the Senate regarding
reports published under this subsection and the
information in such reports to determine whether the
intent of this section is being fulfilled and if
additional information or other changes are needed for
such reports.
``(3) Exclusion of career positions.--For purposes of
applying the term `appointee' in this subsection, such term
does not include any individual appointed to a position
described in subsection (a)(5)(F).''.
(2) Clerical amendment.--The table of sections for subchapter
I of chapter 33 of title 5, United States Code, is amended by
adding at the end the following:
``3330f. Government policy and supporting position data.''.
(b) Other Matters.--
(1) Authorization of appropriations.--There is authorized to
be appropriated $7,000,000, to remain available until expended,
for--
(A) developing the website under section 3330f(b) of
title 5, United States Code, as added by subsection
(a)(1); and
(B) updating any data system operated by, or under
the authority of, the Office of Personnel Management
that will be used to carry out such section.
(2) GAO review and report.--Not later than 1 year after the
date such website is established, the Comptroller General shall
conduct a review, and issue a briefing or report, on the
implementation of this Act and the amendments made by this Act.
The review shall include--
(A) the quality of data required to be collected and
whether such data is complete, accurate, timely, and
reliable;
(B) any challenges experienced by agencies in
implementing this Act and the amendments made by this
Act; and
(C) any suggestions or modifications to enhance
compliance with this Act and the amendments made by
this Act, including best practices for agencies to
follow.
(3) Sunset of plum book.--Beginning on January 1, 2024, such
website shall serve as the public directory for policy and
supporting positions in the Government, and the publication
entitled ``United States Government Policy and Supporting
Positions'', commonly referred to as the ``Plum Book'', shall
no longer be issued or published.
Summary and Purpose of Legislation
The Periodically Listing Updates to Management Act (PLUM
Act) would 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 would improve transparency by
requiring the Office of Personnel Management (OPM) to establish
and maintain a current, publicly available directory of senior
government leaders online. The PLUM Act would also require OPM
to coordinate with the White House Office of Presidential
Personnel to make a summary of demographic information on
political appointees publicly available. The bill would save
taxpayers money by reducing unnecessary printing costs.
Background and Need for Legislation
Currently, a comprehensive list of positions appointed by
the president is made available only once every four years in a
publication referred to as the ``Plum Book.'' The Plum Book
lists over 7,000 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.\2\ The Plum Book's purpose at that time was to identify
positions in the executive branch that the new administration
could consider filling through political appointments. Since
1952, the Plum Book has been printed every four years and has
been available online since 1996.\3\ It is referred to as the
Plum Book because the cover of the book was plum to reflect
that it contained the ``plum'' political appointee jobs.\4\
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\1\Government Publishing Office, United States Government Policy
and Supporting Positions (Dec. 2020) (online at www.govinfo.gov/
content/pkg/GPO-PLUMBOOK-2020/pdf/GPO-PLUMBOOK-2020.pdf) (also known as
the ``Plum Book'').
\2\Government Publishing Office, Government Book Talk: A Plum Book
of Political Positions (online at https://govbooktalk.gpo.gov/2016/12/
05/a-plum-book-of-political-positions/) (accessed Aug. 20, 2021).
\3\Government Publishing Office, United States Government Policy
and Supporting Positions (Dec. 2020) (online at www.govinfo.gov/
content/pkg/GPO-PLUMBOOK-2020/pdf/GPO-PLUMBOOK-2020.pdf).
\4\Government Publishing Office, Government Book Talk: A Plum Book
of Political Positions (online at https://govbooktalk.gpo.gov/2016/12/
05/a-plum-book-of-political-positions/) (accessed Aug. 20, 2021).
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The Plum Book only provides a snapshot in time and does not
reflect changes that occur between publications. In addition,
there is no process for correcting errors once the Plum Book is
published. For example, the 2020 Plum Book did not include any
information on civil service leadership and support positions
in the Department of Agriculture Office of the Inspector
General, the John F. Kennedy Center, the Office of the Director
for National Intelligence, or the Privacy and Civil Liberties
Oversight Board.\5\
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\5\Id.
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The PLUM Act would modernize the Plum Book and provide
timely and transparent information about who is serving in
senior leadership positions. Specifically, it would require OPM
to develop and maintain a publicly accessible website with data
on senior leaders in government that meets modern data
standards, require all federal agencies to share data on senior
officials with OPM, and require OPM to coordinate with the
White House every six months to confirm that information is
complete, accurate, reliable, and up to date.
The PLUM Act would require OPM to report information on
senior leaders such as name, title, grade, salary, and duty
station. This information is already made available in response
to requests under the Freedom of Information Act (FOIA).
According to Department of Justice guidance to agencies on
FOIA:
Civilian federal employees who are not involved in
law enforcement or sensitive occupations generally have
no expectation of privacy regarding their names,
titles, grades, salaries, and duty stations as
employees or regarding the parts of their successful
employment applications that show their qualifications
for their positions.\6\
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\6\Department of Justice, Department of Justice Guide to the
Freedom of Information Act: Exception 6 (July 23, 2014) (online at
www.justice.gov/sites/default/files/oip/legacy/2014/07/23/
exemption6.pdf).
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The bill would also require OPM--in coordination with the
White House Office of Presidential Personnel--to report
summary-level information on the demographics of political
appointees on an annual basis.
In a November 2019 report, the Administrative Conference of
the United States wrote:
There is significant public interest in obtaining
information about the occupants of high-level positions
in federal agencies in the executive branch. Listing
and publishing this information about the occupants of
high-level positions in federal agencies is critical
for transparency and effective monitoring and
participation in the work of government.\7\
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\7\Administrative Conference of the United States, Report to the
Administrative Conference of the United States: Listing Agency
Officials (Nov. 13, 2019) (online at www.acus.gov/sites/default/files/
documents/final-report-listing-agency-officials-nov132019.pdf).
---------------------------------------------------------------------------
In a May 2019 report, the Government Accountability Office
(GAO) 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\ The PLUM Act would implement this
recommendation.
---------------------------------------------------------------------------
\8\Government Accountability Office, Federal Ethics Programs:
Government-wide Political Appointee Data and Some Ethics Oversight
Procedures at Interior and SBA Could Be Improved (Mar. 14, 2021) (GAO-
19-249) (online at www.gao.gov/assets/gao-19-249.pdf).
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Modernizing the Plum Book would enhance visibility into who
is serving in senior roles in the executive branch, identify
offices with vacancies, and increase awareness of potential job
opportunities to encourage a more diverse pool of candidates.
The bill would also reduce unnecessary printing costs by
eliminating the printing of the current list of those
positions.
Section-by-Section Analysis
Sec. 1. Short title
The short title is the ``Periodically Listing Updates to
Management Act or PLUM Act.''
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) 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) requires the establishment of a website not
later than one year after the PLUM Act is enacted and requires
reporting on 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) details the information required to be
included by the Director of OPM on the website.
Subsection (d) requires the Director of OPM to indicate the
date that the agency last updated data on the new website.
Subsection (e) 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 the
Open Government Data Act, codified in section 3502 of title 44,
United States Code.
Subsection (f) 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 bill is enacted with requirements for the provision or
uploading required information. The Director of OPM is required
to publicly identify any agency that has failed to provide
required information. The subsection requires the information
to be updated every month and not later than 90 days after the
new website is established. The subsection requires the
Director of OPM to establish a central help desk to assist
agencies with implementing the requirements. The subsection
allows the Director to coordinate with other federal agencies
to develop, establish, operate, or support the new website. The
subsection requires the Director to publish on the website
information regarding data collection standards, quality
assurance methods, and time frames for reporting data to the
Director. Finally, this subsection gives the Director the
authority to prescribe regulations as necessary to administer
this section.
Subsections (f) and (g) require each agency to comply with
the instructions issued by the Director of OPM to fulfill the
requirements of the bill and provide OPM with a certification
that the data is complete, accurate, and reliable. These
subsections require the Director of OPM to coordinate with the
White House Office of Presidential Personnel to certify that
the data is complete, accurate, and reliable following agency
certification. Subsection (g) allows the Director to request
additional information from agencies and use any additional
information provided by the White House Office of Presidential
Personnel for the purposes of verification. The subsection also
requires the Director to establish a process to obtain feedback
from members of the public on the accuracy of the information
on the new website.
Subsection (i) requires the Director of OPM, in
consultation with the Archivist of the United States, to
archive data included on the website.
Subsection (j) requires the Director of OPM, in
coordination with the White House Office of Presidential
Personnel, to publish a report no later than one year after the
website is established and annually thereafter that contains
summary-level information on the demographics of any appointee.
Each report is required to include data self-identified by
appointees on their race, ethnicity, tribal affiliation,
gender, disability, sexual orientation, veteran status, and
whether the appointee is over the age of 40, with each
appointee provided the option not to specify with respect to
any such category. The report is required to allow users of the
new website to view the type of appointee by agency or
component, along with self-identified data, alone and in
combination, to the greatest level of detail possible without
allowing the identification of individual appointees. Finally,
the Director is required to consult with the House Committee on
Oversight and Reform and the Senate Committee on Homeland
Security and Governmental Affairs to determine whether the
intent of this subsection is being fulfilled.
The bill also authorizes appropriations of $7 million for
the purposes of developing the new website and updating any
data system operated by or under the authority of OPM to
administer this section and requires GAO to conduct a review
not later than one year after the website is established.
Finally, the bill requires the website mandated by the bill to
serve as the public directory for policy and supporting
positions and requires that the issuance and publication of the
Plum Book be halted by January 1, 2024.
Legislative History
PERIODICALLY LISTING UPDATES TO MANAGEMENT ACT
During the 117th Congress, on March 18, 2021,
Representatives Carolyn B. Maloney (D-NY), Chairwoman of the
House Committee on Oversight and Reform; Gerald E. Connolly (D-
VA), Chairman of the Subcommittee on Government Operations; and
John P. Sarbanes (D-MD) introduced H.R. 2043, the Periodically
Listing Updates to Management Act. H.R. 2043 was referred to
the Committee on Oversight and Reform.
On May 3, 2021, the Committee held a hearing to consider
proposals in H.R. 2043. The Committee heard testimony from
James-Christian Blockwood, Executive Vice President,
Partnership for Public Service; Liz Hempowicz, Director of
Public Policy, Project on Government Oversight; Rudy Mehrbani,
Senior Advisor, Democracy Fund; and Zack Smith, Legal Fellow,
Heritage Foundation.
On June 25, 2021, the Committee considered H.R. 2043 at a
business meeting with a quorum present. The Committee ordered
the bill reported favorably, as amended, by a voice vote.
RELATED PROPOSALS FOR REFORMS
S. 857, the Periodically Listing Updates to Management Act
On March 18, 2021, Senator Thomas R. Carper (D-DE) and
Senator Jeff Merkley (D-OR) introduced S. 857, the Periodically
Listing Updates to Management Act. S. 857 was referred to the
Senate Committee on Homeland Security and Governmental Affairs.
H.R. 7107, the Periodically Listing Updates to Management Act of 2020
During the 116th Congress, on June 4, 2020, Representatives
Carolyn B. Maloney (D-NY), Chairwoman of the House Committee on
Oversight and Reform; Gerald E. Connolly (D-VA), Chairman of
the Subcommittee on Government Operations; and John P. Sarbanes
(D-MD) introduced H.R. 7107, the Periodically Listing Updates
to Management Act of 2020. H.R. 7107 was referred to the
Committee on Oversight and Reform.
On September 16, 2020, the Committee considered H.R. 7107
at a business meeting with a quorum present. The Committee
ordered the bill reported favorably, as amended, by a voice
vote.
Representative Jody Hice (R-GA) offered an amendment that
would have prevented the publication of biographical,
personally identifiable (excluding first and last name),
forensic, or contact information for each position. The
amendment was not adopted.
Representative Glenn Grothman (D-WI) offered an amendment
that would have exempted from publication on the covered
website any policy and supporting position determined by the
Director of OPM to be sensitive to the national security of the
United States. The amendment was not adopted.
S. 3896, the Periodically Listing Updates to Management Act of 2020
During the 116th Congress, on June 4, 2020, Senator Thomas
R. Carper (D-DE) introduced S. 3896, the Periodically Listing
Updates to Management Act of 2020. S. 3896 was referred to the
Senate Committee on Homeland Security and Governmental Affairs.
On July 22, 2020, the Committee considered S. 3896 at a
business meeting. 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.
Chairman 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 Ron
Johnson, Rob Portman, Rand Paul, James Lankford, Mitt Romney,
Tim Scott, Mike Enzi, Josh Hawley, Gary Peters, Tom Carper,
Maggie Hassan, Kamala Harris, and Jacky Rosen present.
Committee Consideration
On June 25, 2021, the House Committee on Oversight and
Reform considered H.R. 2043 at a business meeting. Chairwoman
Maloney offered an amendment in the nature of a substitute
(ANS).
The ANS was adopted by a voice vote, and the Committee
ordered the bill reported favorably, as amended, by a voice
vote.
Roll Call Votes
No roll call votes occurred during the Committee's
consideration of H.R. 2043.
Explanation of Amendments
During Committee consideration of the bill, Representative
Carolyn B. Maloney (D-NY), Chairwoman of the Committee, offered
an amendment in the nature of a substitute that modified the
bill to make technical changes to multiple subsections of the
bill, including the addition of language from the Political
Appointments Inclusion and Diversity Act, a bill introduced by
Representative Alexandria Ocasio-Cortez on June 28, 2021, that
requires OPM to coordinate with the White House Office of
Presidential Personnel to make a summary of demographic
information on political appointees publicly available. The
Committee adopted the Maloney amendment by a voice vote.
List of Related Committee Hearings
In accordance with section 103(i) of H. Res. 6, the
Committee held a hearing to consider the proposals set forth in
the Periodically Listing Updates to Management Act on May 3,
2021, along with other legislative proposals to improve
government accountability and transparency.
Statement of Oversight Findings and Recommendations of the Committee
In compliance with clause 3(c)(1) of rule XIII and clause
(2)(b)(1) of rule X of the Rules of the House of
Representatives, the Committee finds that modernizing the Plum
Book will enhance visibility into who is serving in the
executive branch, identify offices with vacancies, increase
awareness of potential job opportunities to encourage a more
diverse pool of candidates to consider federal service, and
reduce unnecessary printing costs by eliminating the printing
of the current list of those positions, such that the Committee
recommends the adoption of this bill (H.R. 2043) to require OPM
to establish and maintain a current, publicly available
directory of senior government leaders online.
Statement of General Performance Goals and Objectives
In accordance with clause 3(c)(4) of rule XIII of the Rules
of the House of Representatives, the Committee's performance
goal or objective of this bill is to improve transparency by
requiring OPM to establish and maintain a current, publicly
available directory of senior government leaders online.
Application of Law to the Legislative Branch
This bill requires OPM to establish and maintain a current,
publicly available directory of senior government leaders
online. The bill does not relate to terms and conditions of
employment or access to public services or accommodations.
Duplication of Federal Programs
In accordance with clause 3(c)(5) of rule XIII, no
provision of this bill establishes or reauthorizes a program of
the federal government known to be duplicative of another
federal program, a program that was included in any report from
GAO to Congress pursuant to section 21 of Public Law 111-139,
or a program related to a program identified in the most recent
Catalog of Federal Domestic Assistance.
Disclosure of Directed Rule Makings
This bill does not direct the completion of any specific
rule makings within the meaning of section 551 of title 5,
United States Code.
Federal Advisory Committee Act Statement
The legislation does not establish or authorize the
establishment of an advisory committee within the definition of
section 5(b) of the appendix to title 5, United States Code.
Unfunded Mandates Reform Act Statement
Pursuant to section 423 of the Congressional Budget Act of
1974, the Committee has included a letter received from the
Congressional Budget Office below.
Earmark Identification
This bill does not include any congressional earmarks,
limited tax benefits, or limited tariff benefits as defined in
clause 9 of rule XXI of the House of Representatives.
Committee Cost Estimate
Pursuant to clause 3(d)(2)(B) of rule XIII of the Rules of
the House of Representatives, the Committee includes below a
cost estimate of the bill prepared by the Director of the
Congressional Budget Office under section 402 of the
Congressional Budget Act of 1974.
New Budget Authority and Congressional Budget Office Cost Estimate
Pursuant to clause 3(c)(3) of rule XIII of the House of
Representatives, the cost estimate prepared by the
Congressional Budget Office and submitted pursuant to section
402 of the Congressional Budget Act of 1974 is as follows:
U.S. Congress,
Congressional Budget Office,
Washington, DC, July 28, 2021.
Hon. Carolyn B. Maloney,
Chairwoman, Committee on Oversight and Reform,
House of Representatives, Washington, DC.
Dear Madam Chairwoman: The Congressional Budget Office has
prepared the enclosed cost estimate for H.R. 2043, the PLUM
Act.
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]
H.R. 2043 would require the Office of Personnel Management
(OPM) 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. Federal agencies would be required to provide that
information for their own employees to OPM monthly. The bill
would authorize the appropriation of $7 million for OPM and
federal agencies to carry out those activities. 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 also would discontinue the print version of
the Plum Book in 2024. Finally, H.R. 2043 would direct OPM to
annually report on the demographic information of position
holders and would direct the Government Accountability Office
to report on the implementation of the bill.
Based on historical spending patterns, CBO estimates that
developing and updating the website required under H.R. 2043
would cost $7 million over the 2021-2026 period, assuming
appropriation of the authorized amount. In addition, and based
on the cost of similar activities, CBO estimates that the
required reports would cost about $1 million over the 2021-2026
period; that spending would be subject to the availability of
appropriated funds. We expect that discontinuing the print
version of the Plum Book would reduce costs by an insignificant
amount. In total, CBO estimates that implementing the bill
would cost $8 million over that period.
Enacting the bill could affect direct spending by some
agencies that are allowed to use fees, receipts from the sale
of goods, and other collections to cover operating costs. CBO
estimates that any net changes in direct spending by those
agencies would be negligible because most of them can adjust
amounts collected to reflect changes in operating costs.
The CBO staff contact for this estimate is Madeleine Fox.
The estimate was reviewed by H. Samuel Papenfuss, Deputy
Director of Budget Analysis.
Changes in Existing Law Made by the Bill, as Reported
In compliance with clause 3(e) of rule XIII of the Rules of
the House of Representatives, changes in existing law made by
the bill, as reported, are shown as follows (new matter is
printed in italics and existing law in which no change is
proposed is shown in roman):
TITLE 5, UNITED STATES CODE
* * * * * * *
PART III--EMPLOYEES
* * * * * * *
SUBPART B--EMPLOYMENT AND RETENTION
* * * * * * *
CHAPTER 33--EXAMINATION, SELECTION, AND PLACEMENT
SUBCHAPTER I--EXAMINATION, CERTIFICATION, AND APPOINTMENT
Sec.
3301. Civil service; generally.
* * * * * * *
3330f. Government policy and supporting position data.
* * * * * * *
SUBCHAPTER I--EXAMINATION, CERTIFICATION, AND APPOINTMENT
* * * * * * *
Sec. 3330f. Government policy and supporting position data
(a) Definitions.--In this section:
(1) Agency.--The term ``agency'' means--
(A) any Executive agency, 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 such 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,
including the White House Office of
Presidential Personnel.
(2) Covered website.--The term ``covered website''
means the website established and maintained by the
Director under subsection (b).
(3) Director.--The term ``Director'' means the
Director of the Office of Personnel Management.
(4) Appointee.--The term ``appointee''--
(A) means an individual serving in a policy
and supporting position; and
(B) includes an individual serving in such a
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).
(5) Policy and supporting position.--The term
``policy and supporting position'' means--
(A) a position that requires appointment by
the President, by and with the advice and
consent of the Senate;
(B) a position that requires or permits
appointment by the President or Vice President,
without the advice and consent of the Senate;
(C) a position occupied by a limited term
appointee, limited emergency appointee, or
noncareer appointee in the Senior Executive
Service, as defined under paragraphs (5), (6),
and (7), respectively, of section 3132(a);
(D) 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;
(E) a position in the Senior Foreign Service;
(F) any career position at an agency that,
but for this section and section 2(b)(3) of the
PLUM Act, would be included in the publication
entitled ``United States Government Policy and
Supporting Positions'', commonly referred to as
the ``Plum Book''; and
(G) 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.--Not later than 1 year after
the date of enactment of the PLUM Act, the Director shall
establish, and thereafter maintain, a public website containing
the following information for the President then in office and
for each subsequent President:
(1) Each policy and supporting position in the
Federal Government, including any such position that is
vacant.
(2) The name of each individual who--
(A) is serving in a position described in
paragraph (1); or
(B) previously served in a position described
in such paragraph under the applicable
President.
(3) Information on any Government-wide or agency-wide
limitation on the total number of positions in the
Senior Executive Service under section 3133 or 3132,
and for the total number of positions in Schedule C of
subpart C of part 213 of title 5, Code of Federal
Regulations, and total number of individuals occupying
such positions.
(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 such
position (if any);
(4) the geographic location of the position,
including the city, State or province, and country;
(5) the pay system under which the position is paid;
(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 such appointee across positions;
(10) whether the position is vacant, and in the case
of a vacancy, for positions for which appointment is
required to be made by the President by and with the
advice and consent of the Senate, the name of the
acting official, and, for other positions, the name of
the official performing the duties of the vacant
position.
(d) Current Data.--For each agency, the Director shall
indicate the date that the agency last updated the data.
(e) 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.
(f) Authority of Director.--
(1) Information required.--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
pursuant to paragraph (4).
(2) Requirements for agencies.--Not later than 1 year
after the date of enactment of the PLUM Act, 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) Not later than 90 days after the date 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 such
positions in the agency; and
(iii) the former appointees who
served in the agency under the
President then in office.
(B) Information provided under subparagraph
(A) shall supplement, not supplant, previously
provided data under such subparagraph.
(5) OPM help desk.--The Director shall establish a
central help desk, to be operated by not more than one
full-time employee, to assist any agency with
implementing this section.
(6) Coordination.--The Director may designate one or
more Federal agencies to participate in the
development, establishment, operation, and support of
the covered website. With respect to any such
designation, the Director may specify the scope of the
responsibilities of the Federal agency so designated.
(7) Data standards and timing.--The Director shall
make available on the covered website information
regarding on data collection standards, quality
assurance methods, and time frames for reporting data
to the Director.
(8) Regulations.--The Director may prescribe
regulations necessary for the administration of this
section.
(g) Responsibility of Agencies.--
(1) Provision of information.--Each agency shall
comply with the instructions and guidance issued by the
Director to carry out this Act, 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 (f)(2).
(2) Ensuring completeness, accuracy, and
reliability.--With respect to any submission of
information described in paragraph (1), the head of an
agency shall include an explanation of how the agency
ensured the information is complete, accurate, and
reliable, and a certification that such information is
complete, accurate, and reliable.
(h) Information Verification.--
(1) In general.--Not less frequently than
semiannually, 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. On the
date of any such confirmation, the Director shall
publish on the covered website a certification that
such 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.
(i) 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.
(j) Reports.--
(1) In general.--Not less frequently than one year
after the covered website is established and not less
than annually thereafter, the Director, in coordination
with the White House Office of Presidential Personnel,
shall publish a report on the covered website that
contains summary level information on the demographics
of any appointee. Such report shall provide such
information in a structured data format that is
searchable, sortable, and downloadable, makes use of
common identifiers wherever possible, and contains
current and historical data regarding such information.
(2) Contents.--
(A) In general.--Each report published under
paragraph (1) shall include self-identified
data on race, ethnicity, tribal affiliation,
gender, disability, sexual orientation, veteran
status, and whether the appointee is over the
age of 40 with respect to each type of
appointee. Such a report shall allow for users
of the covered website to view the type of
appointee by agency or component, along with
these self-identified data, alone and in
combination, to the greatest level detail
possible without allowing the identification of
individual appointees.
(B) Option to not specify.--When collecting
each category of data described in subparagraph
(A), each appointee shall be allowed an option
to not specify with respect to any such
category.
(C) Consultation.--The Director shall consult
with the Committee on Oversight and Reform of
the House of Representatives and the Committee
on Homeland Security and Governmental Affairs
of the Senate regarding reports published under
this subsection and the information in such
reports to determine whether the intent of this
section is being fulfilled and if additional
information or other changes are needed for
such reports.
(3) Exclusion of career positions.--For purposes of
applying the term ``appointee'' in this subsection,
such term does not include any individual appointed to
a position described in subsection (a)(5)(F).
* * * * * * *
[GRAPHIC(S) NOT AVAILABLE IN TIFF FORMAT]
MINORITY VIEWS
Committee Republicans oppose H.R. 2043. This legislation
seeks to go beyond the original intent of the Plum Book by
creating a continuously updated website listing thousands of
political appointees and senior government officials, which may
dissuade good people from serving in future Presidential
Administrations and risk abuse by enabling political targeting.
I. THE PLUM BOOK IS INTENDED TO BE A RESOURCE FOR AN INCOMING
PRESIDENT'S TRANSITION OPERATIONS
H.R. 2043 would replace the printed Plum Book with a
continuously updated website, while also tracking an appointee
as they move across the government. This legislation, if
passed, would alter the purpose of the Plum Book--to serve an
incoming President's transition.
The Plum Book, also known as the ``United States Government
Policy and Supporting Positions'' publication, is a compilation
of information, including the name, title, type of appointment,
salary, and location of employment,\1\ of all political
appointees and high-level career officials in the federal
government in positions that determine policy.\2\
---------------------------------------------------------------------------
\1\Gov't Accountability Off., GAO-19-249, Federal Ethics Programs:
Government-Wide Political Appointee Data and Some Ethics Oversight
Procedures at Interior and SBA Could Be Improved (The primary four
types of political appointees include: presidential appointees that
receive Senate confirmation, presidential appointees, noncareer Senior
Executive Service, and Schedule C employees).
\2\Gov. Pub. Off., United States Government Policy and Supporting
Positions (PLUM BOOK), (2020), https://www.govinfo.gov/collection/plum-
book.
---------------------------------------------------------------------------
The Plum Book has been published in hardcopy or as a
downloadable book by the Government Publishing Office (GPO)
after each presidential election since the Eisenhower
Administration. The Plum Book is traditionally alternatively
requested by the Senate Committee on Homeland Security and
Governmental Affairs and the House Committee on Oversight and
Government Reform. After requested, the Office of Personnel
Management (OPM) provides the information to GPO.\3\ The Plum
Book identifies available presidentially appointed positions
within the federal government. The GPO has made the Plum Book
available in print, online, and as of 2012, in a more
searchable and accessible mobile app.\4\ Given that the Plum
Book is already accessible online in two separate locations,
the Majority has failed to demonstrate why such reform is
necessary, nor have they justified the use of the bill's
authorized $7,000,000 in appropriated taxpayer dollars to build
this new online database. Further, a tool that is updated
monthly is not a transitional resource between administrations,
but rather becomes a database that can be readily exploited by
political activists to track and target politically appointed
leaders.
---------------------------------------------------------------------------
\3\Id.
\4\Press Release, U.S. Government Publishing Office, GPO Releases
Plum Book (Dec. 5, 2016), https://www.gpo.gov/who-we-are/news-media/
news-and-press-releases/gpo-releases-plum-book.
---------------------------------------------------------------------------
II. THIS LEGISLATION RISKS INCREASING THE POLITICAL TARGETING OF
GOVERNMENT OFFICIALS
Committee Republicans are concerned that--despite the
importance of legitimate government oversight and
transparency--this reform will weaponize the Plum Book. The
bill requires that OPM track an appointee as they move across
the government and include information on the immediate
predecessor in all positions, which will provide unprecedented
access to the Administration's ongoing staffing of senior
political positions. This heightened tracking system is
burdensome for federal agencies and may discourage well-
intentioned experts and civil servant reformers from serving in
the federal government. Committee Republicans expressed these
same reservations during the last Congress when similar
legislation was previously considered.\5\ Political appointees
are already accountable to the duly elected President which
they serve, and the President is accountable to the American
people every four years and to Congress each day of his or her
term.
---------------------------------------------------------------------------
\5\H. Comm. on Oversight & Gov't Reform, Business Meeting, (Nov.
16, 2020), available at, https://oversight.house.gov/legislation/
markups/the-committee-will-consider-the-following-1-hr-4774-internet-
of-things.
---------------------------------------------------------------------------
III. TRANSPARENCY AND ACCOUNTABILITY ARE ESSENTIAL TO OUR
CONSTITUTIONAL GOVERNMENT, BUT THIS BILL NEGLECTS THE NECESSARY
SAFEGUARDS TO PROTECT FEDERAL EMPLOYEES
This bill does not provide an exemption for national-
security sensitive positions, nor does it explicitly require
OPM to safeguard sensitive personal information like forensic
information, contact information and personally identifiable
information. It further fails to provide a complete lens into
senior executive career officials, whom have significant
policy-making roles within the federal government but face
minimal accountability to a duly elected President.
At the Committee's June 29, 2021, markup, the Majority
introduced substantial new language through an Amendment in the
Nature of a Substitute, which largely represents a recently
introduced bill, H.R. 4207, offered by Rep. Alexandria Ocasio-
Cortez (D-NY). This new legislative addition to the PLUM Act
requires the OPM Director, in conjunction with the White House
Office of Presidential Personnel, to publish a report
containing summary level information on any appointee's
demographics, including self-identified data on race,
ethnicity, tribal affiliation, gender, disability, sexual
orientation, veteran status, and whether the appointee is over
the age of 40. The Majority failed to openly discuss this
Amendment with Committee Republicans prior to the June 29,
2021, markup, and consequently, the Amendment has not been
vetted. Not only is it inappropriate to collect such personal
information, but it will also dissuade qualified candidates
from entering public service due to the extremely sensitive
personal information the bill now requires be collected on them
by a federal employer.
Further, a bill with such a substantial impact to the
entire future senior executive branch leadership of the entire
federal government deserves a dedicated Committee legislative
hearing to fully understand the bill's potential benefits,
risks, and technical feasibility.\6\ In fact, House Rule XIII
requires a legislative hearing before this bill can be reported
to the full House. We agree that public accountability is
essential to maintaining our Constitutional government and
Committee Republicans are committed to pursuing bipartisan
Congressional oversight and legislative work to achieve that
goal.
---------------------------------------------------------------------------
\6\House Rule XIII.
---------------------------------------------------------------------------
IV. CONCLUSION
Committee Republicans oppose H.R. 2043.
James Comer,
Ranking Member,
Committee on Oversight and Reform.
[all]