Supporting Statement - Training Ic

SUPPORTING STATEMENT
(PART A AND B)
RENEWAL OF INFORMATION COLLECTION REQUEST
For the
Morris K. Udall and Stewart L. Udall Foundation (Udall Foundation)
John S. McCain III National Center for Environmental Conflict Resolution
(National Center)
Training Services Participant Questionnaire
(Control Number 3320-0006, Expired 2015)

March 2024

Udall Foundation, National Center

1

Table of Contents
A. JUSTIFICATION ............................................................................................................................................................ 3
1. Circumstances that Make the Collection of Information Necessary. .............................................. 3
2. How, by Whom, and for What Purpose the Information is to Be Used. ........................................ 4
3. Collection Technology ...................................................................................................................................... 5
4. Duplication ............................................................................................................................................................ 5
5. Impact on Small Businesses or Other Small Entities.............................................................................. 5
6. Consequences of Not Conducting Collection.......................................................................................... 5
7. Special Circumstances of Information Collection ................................................................................... 6
8. Federal Register Notice .................................................................................................................................... 6
9. Payment/Gifts to Respondents ...................................................................................................................... 6
10. Confidentiality Protocols .................................................................................................................................. 7
11. Justification of Questions of a Sensitive Nature...................................................................................... 7
12. Hours Burden of the Collection of Information ...................................................................................... 7
13. Estimate of Total Annual Cost Burden ........................................................................................................ 7
14. Annualized Costs to the Federal Government ......................................................................................... 7
15. Reasons for Program Changes/Adjustments ........................................................................................... 8
16. Plans for Tabulation and Publication........................................................................................................... 8
17. Display of Expiration Date for OMB Approval ......................................................................................... 8
18. Explanations to "Certification for Paperwork Reduction Act Submissions".................................. 9
B. COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL METHODS ............................................ 9
1. Respondent Universe and Sample Size/Selection Methods............................................................... 9
2. Procedures for the Collection of Information .......................................................................................... 9
3. Methods to Maximize Response Rates ...................................................................................................... 9
4. Testing Procedures ............................................................................................................................................. 9
5. Contact Information........................................................................................................................................... 9
APPENDIX A: .................................................................................................................................................................. 11
APPENDIX B: GOVERNMENT PERFORMANCE AND REPORTING ACT..................................................... 23
APPENDIX C: Executive Order No. 13450 Improving Government Program Performance.............. 29

Udall Foundation, National Center

2

A. JUSTIFICATION
1. Circumstances that Make the Collection of Information Necessary.
The Morris K. Udall Foundation was established by the U.S. Congress in 1992 as an independent
executive branch agency to honor Morris K. Udall's lasting impact on this Nation’s environment,
public lands, and natural resources, and his support of the rights and self-governance of Native
Americans and Alaska Natives. In 2009, Congress enacted legislation to also honor Stewart L.
Udall for his half century of distinguished national leadership in environmental and Native
American policy. The agency is known today as the Morris K. Udall and Stewart L. Udall
Foundation (Udall Foundation) and is headquartered in Tucson, Arizona.
The 1998 Environmental Policy and Conflict Resolution Act (P.L. 105-156) established the U.S.
Institute for Environmental Conflict Resolution as a program of the Udall Foundation to assist
parties in resolving environmental, public lands, and natural resources conflicts nationwide that
involve Federal agencies or interests. In 2019, Congress enacted legislation to reauthorize the
Udall Foundation and to amend the enabling legislation by renaming the U.S. Institute for
Environmental Conflict Resolution as the John S. McCain III National Center for Environmental
Conflict Resolution (P.L. 116-94).
The Udall Foundation is authorized by Congress to:
•

•

•
•

•

•

Award Scholarships, Fellowships, and Internships for study in fields related to the
environment and to Native Americans and Alaska Natives in fields related to health care
and Tribal public policy.
Connect youth to the Nation’s public lands and natural resources to foster greater
understanding, appreciation, stewardship, and enjoyment of those lands and resources
through photography, positive outdoor experiences, and environmental education
through the Stewart L. Udall Parks in Focus® Program.
Provide funding to the Udall Center for Studies in Public Policy to conduct policy
research and outreach on the environment and related themes.
Provide funding to the Native Nations Institute for Leadership, Management, and Policy,
a program of the Udall Center, for research, education, and outreach on Native American
and Alaska Native health care issues and Tribal public policy issues.
Provide funding through the Udall Center to The University of Arizona Libraries, Special
Collections to serve as the repository for the papers of Morris K. Udall and Stewart L.
Udall and other such public papers as may be appropriate and assure such papers'
availability to the public.
Provide impartial collaboration, consensus-building, training, and conflict resolution
services on a wide range of environmental, natural and cultural resources, Tribal, and
public lands issues, conflicts, and disputes involving the Federal Government through the
John S. McCain III National Center for Environmental Conflict Resolution (National
Center).
Udall Foundation, National Center

3

The enabling legislation for the Udall Foundation establishes that it is the purpose of the Udall
Foundation, in part, to:
establish as part of the Foundation the John S. McCain III National Center for
Environmental Conflict Resolution to assist the Federal Government in implementing
section 4331 of title 42 by providing assessment, mediation, and other related
services to resolve environmental issues, conflicts, and disputes involving agencies
and instrumentalities of the United States.
The National Center’s evaluation program serves several purposes:
1. To assess the effectiveness and quality of its services and to generate ongoing
improvements in its levels of service.
2. To fulfill its statutory responsibilities.
3. To support the development of evaluation capabilities in environmental collaboration
and conflict resolution at other federal agencies.
4. To evaluate and report annually on its progress in meeting its strategic goals, strategic
objectives, and performance goals, as required by the Government Performance and
Results Modernization Act of 2010.
5. To contribute data on progress toward achieving its performance and financial goals, as
reported to Congress and the public in the Udall Foundation’s Annual Financial Report.
This collection is necessary to evaluate the performance of the training program established by
the Udall Foundation’s enabling legislation, referenced above, the Government Performance and
Results Act of 1993 (GPRA), the Government Performance and Results Modernization Act of
2010, and Executive Order No. 13450, Improving Government Program Performance.
2. How, by Whom, and for What Purpose the Information is to Be Used.
As part of the evaluation process for the National Center’s Training program area, one
questionnaire will be administered. The questionnaire will go to the participant at the
conclusion of the training. The responses to these questionnaires have historically been used to
measure and report on performance and to comply with Government Performance and Results
Modernization Act of 2010 requirements as data reported to OMB in the Udall Foundation’s
Annual Performance Report and Annual Financial Report.
Participants will be asked to complete a questionnaire after the training. Participants will be
asked to evaluate the trainer and the effectiveness of the training. Data and information from
this questionnaire will also be used to determine the practical usefulness of any improvements
in skills and knowledge that participants gained from the training sessions. A design overview is
contained in Attachment B.

Udall Foundation, National Center

4

These evaluations support the National Center’s program evaluation and have the practical
utility of supporting achievement of the National Center’s goals and continuous improvement of
service delivery. These goals are to assist parties in resolving federal environmental disputes in a
timely and constructive manner; to increase the appropriate use of ECCR, particularly within the
federal government; to improve the ability of federal agencies and other interested parties to
engage in ECCR effectively; and to promote collaborative problem solving and consensus
building during the design and implementation of federal environmental policies to help
prevent and reduce the incidence of future environmental disputes.
The National Center’s evaluation results have and will continue to be made available to program
administrators, users, practitioners, and researchers who are interested in learning what factors
most influence successful outcomes in specific situations.
3. Collection Technology
The questionnaires will be administered electronically (e.g., via SurveyMonkey) at the conclusion
of each session. The responses collected are incorporated into the performance data reported to
Congress annually in the Udall Foundation’s Performance and Accountability Report (PAR). The
PAR is made available to the public on the Udall Foundation’s website:
https://udall.gov/AboutUs/BudgetAndPerformance.aspx.
4. Duplication
No other source currently exists that can be used to obtain information on the quality of
National Center training services.
5. Impact on Small Businesses or Other Small Entities
Although some of the participants in the training sessions will be small entities, most will be
government employees and individuals. Moreover, the total number of expected respondents
per year is estimated to be relatively small (See Section 12). The questionnaires will be
administered electronically, which should modestly reduce respondent burden. Individuals will
not be requested to complete a questionnaire more than once, and therefore the number of
times an individual is requested to complete a questionnaire cannot be reduced.
6. Consequences of Not Conducting Collection
Evaluation of the training programs would not be possible without the information that can be
obtained only by administering questionnaires to all participants. Only descriptive information
about the training programs is available from other sources (e.g., the number of training courses
and number of participants). Such information cannot be used as a surrogate for
program/service quality and cannot substitute for information obtained through surveys of
users and participants.
Udall Foundation, National Center

5

With respect to the frequency of information collection, the information will be collected only
once for each event. The frequency cannot be further reduced without negatively impacting the
value of the data.
7. Special Circumstances of Information Collection
This ICR does not require respondents to:
•
•
•
•

report information to the Agency more often than quarterly,
prepare a written response to a collection of information in fewer than 30 days after
receipt of a request,
submit more than an original and two copies of any document, or
retain records for more than three years.

Nor will information be collected in a manner:
•
•
•

•

connected with a statistical survey, that is not designed to produce valid and reliable
results that can be generalized to the universe of study;
requiring use of a statistical data classification that has not been reviewed and
approved by OMB;
requiring a pledge of confidentiality that is not supported by authority established in
statute or regulation, that is not supported by disclosure and data security policies
that are consistent with the pledge, or which unnecessarily impedes sharing of data
with other agencies for compatible confidential use; or
requiring proprietary, trade secret or other confidential information unless the
Agency can demonstrate that it has procedures to protect the information's
confidentiality to the extent permitted by law.

8. Federal Register Notice
A comprehensive Federal Register Notice was published on September 15, 2023, at 88 FR 63630.
It opened a 60-day public comment period. The notice described in detail the need for and use
of the information. The notice also provided access to copies of the proposed questionnaires
via the Udall Foundation website (https://www.udall.gov/ICR). No comment(s) were received in
response to the 60-day public comment notice.
On March 28, 2024, a second Federal Register Notice was published to announce that the
National Center forwarded no information requests to OMB. The second notice opened a 30day public comment period.
9. Payment/Gifts to Respondents
The collection of information does not provide any payment or gift to respondents.

Udall Foundation, National Center

6

10. Confidentiality Protocols
No identifying information is collected from respondents on the evaluations and no identifying
information is maintained or associated with individual responses. Respondents are informed as
part of the evaluation process that the responses are confidential and no identifying information
is recorded.
11. Justification of Questions of a Sensitive Nature
This information collection request (ICR) does not involve collecting any information of a
sensitive nature or any information commonly considered private.
12. Hours Burden of the Collection of Information
The burden estimate assumes a professional and related labor rate of $63.45 per hour based on
March 2023 data from the Bureau of Labor Statistics. The estimate assumes one response per
respondent and an average of 5.5 minutes (or 0.18 hours) per survey.

Form Name
Training
Services
Participant
Questionnaire
Total

Form
Number
33200006

No. of
Respondents

No. of
Responses
per
Respondent

Average
Burden per
Response
(in hours)

600

1

0.18

600

1

0.18

Total
Annual
Burden
(in hours)

Average
Hourly
Wage
Rate

Total Annual
Respondent
Cost

55.01

$63.45

$3,490.38

55.01

$63.45

$3,490.38

13. Estimate of Total Annual Cost Burden
There are no capital or start-up costs.
14. Annualized Costs to the Federal Government
Costs are estimated using a $120/hour labor rate for the Udall Foundation employee who will be
conducting the activities. It is assumed that it will take three minutes per questionnaire to
administer the collections and five minutes per questionnaire to conduct data entry and
verification activities. Additional time is assumed for reporting, oversight, and supplies to
administer these assessment activities.

Udall Foundation, National Center

7

Evaluation of the Training Processes - Agency Cost (Annualized)
Questionnaire/Activity

Minutes per
Questionnaire

Number of
Questionnaires

Total
Hours

Labor
Rate per
Hour

Cost

Participants End of
Process

3

216

11

$120.00

$1,320.00

Participants End of
Process

5

216

18

$120.00

$2,160.00

Case-level Reporting
Program-level
Reporting

12

$120.00

$1,440.00

Project Manager

10

$120.00

$1,200.00

Administer Questionnaires

Data Entry and Verification

Analysis and Reporting
8

$120.00

$960.00

Oversight
Supplies
TOTAL

$50

$7,130.00

15. Reasons for Program Changes/Adjustments
There is a change to the estimated burden change due to a change in agency estimate and
updating to more current labor rates. The overall number of questions remains the same, the
estimated total number of respondents has been calibrated to targets in the Udall Foundation’s
Strategic Plan.
16. Plans for Tabulation and Publication
To comply with the Government Performance and Results Act, the agency is required to produce
an Annual Performance Plan (Performance Budget), linked directly to the goals and objectives
outlined in the agency’s five-year Strategic Plan. The agency is also required to produce an
Annual Performance and Accountability Report, evaluating progress toward achieving its
performance commitments. Results of evaluating training services will be included in the
agency’s Annual Performance and Accountability Report. Simple summaries and tabulations of
information will be used.
17. Display of Expiration Date for OMB Approval
The OMB approval number and expiration date will be displayed on each evaluation
questionnaire.

Udall Foundation, National Center

8

18. Explanations to "Certification for Paperwork Reduction Act Submissions"
This collection of information is in full compliance with the provisions of the "Certificate for
Paperwork Reduction Act Submissions".

B. COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL
METHODS
1. Respondent Universe and Sample Size/Selection Methods
There will be no sampling; all completed responses will be evaluated. There are expected to be
300 Federal Respondents; 100 State, Local, and Tribal Government Respondents; 100 Private
Sector Respondents; and 100 Individual or Household Respondents. An overall response rate
target above 87% is expected given that respondents will be asked to complete the evaluation
questionnaire in person at the conclusion of the training.
2. Procedures for the Collection of Information
There will be no sampling. All responses will be tabulated and included in the evaluation of the
scoring.
3. Methods to Maximize Response Rates
All participants in training events are asked to provide responses to the questionnaire before
leaving the classroom. This increases the response rate and accuracy because the responses are
close in time to the event(s) being evaluated.
4. Testing Procedures
No testing procedures or methods will be used.
5. Contact Information
Agency Contact:
Mitchell Chrismer
Project Manager
The Morris K. Udall & Stewart L. Udall Foundation
Telephone: 520-901-8544
chrismer@udall.gov
www.udall.gov

Udall Foundation, National Center

9

List of Appendices

Statutes and Regulations Authorizing the Collection of Information
Appendix A. Udall Foundation Enabling Legislation, 20 USC Ch. 66
Appendix B. Government Performance and Results Act of 1993 (GPRA) and
Government Performance and Results Modernization Act of 2010 (Relevant portions)
Appendix C. Ex. Ord. No. 13450. Improving Government Program Performance

Udall Foundation, National Center

10

APPENDIX A:

20 USC Ch. 66: MORRIS K. UDALL AND STEWART L. UDALL FOUNDATION
§5601. Findings
The Congress finds that—
(1) for three decades, Congressman Morris K. Udall has served his country with distinction
and honor;
(2) Congressman Morris K. Udall has had a lasting impact on this Nation's environment,
public lands, and natural resources, and has instilled in this Nation's youth a love of the air,
land, and water;
(3) Congressman Morris K. Udall has been a champion of the rights of Native Americans and
Alaska Natives and has used his leadership in the Congress to strengthen tribal selfgovernance;
(4) it is a fitting tribute to the leadership, courage, and vision Congressman Morris K. Udall
exemplifies to establish in his name programs to encourage the continued use, enjoyment,
education, and exploration of our Nation's rich and bountiful natural resources;
(5) the Foundation—
(A) since 1995, has operated exceptional scholarship, internship, and fellowship
programs for areas of study related to the environment and Native American tribal policy
and health care;
(B) since 1999, has provided valuable environmental conflict resolution services and
leadership through the National Center (previously known as the United States Institute
for Environmental Conflict Resolution); and
(C) is committed to continue making a substantial contribution toward public policy in
the future by—
(i) playing a significant role in developing the next generation of environmental and
Native American leaders; and
(ii) working with current leaders to improve decisionmaking on—
(I) challenging environmental, energy, and related economic problems; and
(II) tribal governance and economic issues;
(6) Stewart L. Udall, as a member of Congress, Secretary of the Interior, environmental
lawyer, and author, has provided distinguished national leadership in environmental and
Native American policy for more than 50 years;
(7) as Secretary of the Interior from 1961 to 1969, Stewart L. Udall oversaw the creation of 4
national parks, 6 national monuments, 8 national seashores and lakeshores, 9 recreation
areas, 20 historic sites, and 56 wildlife refuges; and
(8) it is fitting that the leadership and vision of Stewart L. Udall in the areas of environmental
and Native American policy be jointly honored with that of Morris K. Udall through the
foundation bearing the Udall name.
§5602. Definitions
For the purposes of this chapter—
(1) the term "Board" means the Board of Trustees of the Foundation established under
section 5603(b) of this title;
Udall Foundation, National Center

11

(2) the term "Center" means the Udall Center for Studies in Public Policy established in 1987
at the University of Arizona, and includes the Native Nations Institute;
(3) the term "collaboration" means to work in partnership with other entities for the purpose
of—
(A) resolving disputes;
(B) addressing issues that may cause or result in disputes; or
(C) streamlining and enhancing Federal, State, or tribal environmental and natural
resource decision-making processes or procedures that may result in a dispute or
conflict;
(4) the term "eligible individual" means a citizen or national of the United States or a
permanent resident alien of the United States;
(5) the term "environmental dispute" means a dispute or conflict relating to the
environment, public lands, or natural resources;
(6) the term "Foundation" means the Morris K. Udall and Stewart L. Udall Foundation
established under section 5603(a) of this title;
(7) the term "institution of higher education" has the same meaning given to such term by
section 1001(a) of this title;
(8) the term "National Center" means the John S. McCain III National Center for
Environmental Conflict Resolution established pursuant to section 5605(a)(1)(B) of this title;
(9) the term "Nation's parks and wilderness" means units of the National Park System and
components of the National Wilderness Preservation System;
(10) the term "Native Nations Institute" means the Native Nations Institute for Leadership,
Management, and Policy established at the University of Arizona in 2001;
(11) the term "State" means each of the several States, the District of Columbia, Guam, the
Virgin Islands, American Samoa, the Commonwealth of the Northern Mariana Islands, the
Republic of the Marshall Islands, the Federal States of Micronesia, and the Republic of Palau
(until the Compact of Free Association is ratified); and
(12) the term "Trust Fund" means the Morris K. Udall and Stewart L. Udall Trust Fund
established in section 5606 of this title.
§5603. Establishment of Morris K. Udall and Stewart L. Udall Foundation
(a) Establishment
There is established as an independent entity of the executive branch of the United States
Government, the Morris K. Udall and Stewart L. Udall Foundation.
(b) Board of Trustees
The Foundation shall be subject to the supervision and direction of the Board of Trustees.
The Board shall be comprised of thirteen trustees, eleven of whom shall be voting members
of the Board, as follows:
(1) Two Trustees, shall be appointed by the President, with the advice and consent of the
Senate, after considering the recommendation of the Speaker of the House of
Representatives, in consultation with
the Minority Leader of the House of Representatives.

Udall Foundation, National Center

12

(2) Two Trustees, shall be appointed by the President, with the advice and consent of the
Senate, after considering the recommendation of the President pro tempore of the
Senate, in consultation with the Majority and Minority Leaders of the Senate.
(3) Five Trustees, not more than three of whom shall be of the same political party, shall
be appointed by the President with the advice and consent of the Senate, who have
shown leadership and interest in —
(A) the continued use, enjoyment, education, and exploration of our Nation's rich and
bountiful natural resources, such as presidents of major foundations involved with
the environment; or
(B) in the improvement of the health status of Native Americans and Alaska Natives
and in strengthening tribal self-governance, such as tribal leaders involved in health
and public policy development affecting Native American and Alaska Native
communities.
(4) The Secretary of the Interior, or the Secretary's designee, who shall serve as a voting
ex officio member of the Board but shall not be eligible to serve as Chairperson.
(5) The Secretary of Education, or the Secretary's designee, who shall serve as a voting ex
officio member of the Board but shall not be eligible to serve as Chairperson.
(6) The President of the University of Arizona shall serve as a nonvoting, ex officio
member and shall not be eligible to serve as chairperson.
(7) The chairperson of the President's Council on Environmental Quality, who shall serve
as a nonvoting, ex officio member and shall not be eligible to serve as chairperson.
(c) Term of office
(1) In general.—The term of office of each member of the Board shall be six years, except
that—
(A) in the case of the Trustees first taking offices—
(i) as designated by the President, one Trustee appointed pursuant to subsection
(b)(2) and two trustees appointed pursuant to subsection (b)(3) shall each serve
two years; and
(ii) as designated by the President, one Trustee appointed pursuant to subsection
(b)(1) and two Trustees appointed pursuant to subsection (b)(3) shall each serve
four years; and
(iii) as designated by the President, one Trustee appointed pursuant to subsection
(b)(1), one Trustee appointed pursuant to subsection (b)(2), and one Trustee
appointed pursuant to subsection (b)(3) shall each serve six years;
(B) a Trustee appointed to fill a vacancy shall serve for the remainder of the term for
which the Trustee's predecessor was appointed and shall be appointed in the same
manner as the original appointment for that vacancy was made; and
(C) a Trustee may serve after the expiration of the Trustee's term until a successor has
been chosen.
(d) Travel and subsistence pay
Trustees shall serve without pay, but shall be entitled to reimbursement for travel,
subsistence, and other necessary expenses incurred in the performance of their duties as
members of the Board.
(e) Location of Foundation
Udall Foundation, National Center

13

The Foundation shall be located in Tucson, Arizona and the District of Columbia.
(f) Executive Director
(1) In general
There shall be an Executive Director of the Foundation who shall be appointed by the
Board. The Executive Director shall be the chief executive officer of the Foundation and
shall carry out the functions of the Foundation subject to the supervision and direction of
the Board. The Executive Director shall carry out such other functions consistent with the
provisions of this chapter as the Board shall prescribe.
(2) Compensation
The Executive Director of the Foundation shall be compensated at a rate determined by
the Board in accordance with section 5383 of title 5.
§5604. Purpose of Foundation
It is the purpose of the Foundation to—
(1) increase awareness of the importance of and promote the benefit and enjoyment of the
Nation's natural resources;
(2) foster among the American population greater recognition and understanding of the role
of the environment, public lands and resources in the development of the United States;
(3) identify critical environmental issues;
(4) establish a program for environmental policy research at the Center and a program for
environmental conflict resolution and training at the National Center;
(5) develop resources to properly train professionals in the environmental, natural resource,
conflict resolution, and related fields;
(6) provide educational outreach regarding environmental policy;
(7) develop resources at the Native Nations Institute to properly train Native American and
Alaska Native professionals in health care and public policy, by providing education to and
conducting management and leadership training of Native Americans, Alaska Natives, and
others involved in tribal leadership, providing assistance and resources for policy analysis,
and carrying out other appropriate activities.; 1
(8) establish as part of the Foundation the John S. McCain III National Center for
Environmental Conflict Resolution to assist the Federal Government in implementing section
4331 of title 42 by providing assessment, mediation, and other related services to resolve
environmental issues, conflicts, and disputes involving agencies and instrumentalities of the
United States; and
(9) complement the direction established by the President in Executive Order No. 12988 (61
Fed. Reg. 4729; relating to civil justice reform).
§5605. Authority of Foundation
(a) Authority of Foundation
(1) In general
(A) General programming authority
The Foundation is authorized to identify and conduct, directly or by contract, such
programs, activities, and services as the Foundation considers appropriate to carry
out the purposes described in section 5604 of this title, which may include—
Udall Foundation, National Center

14

(i) awarding scholarships, fellowships, internships, and grants, by national
competition, to eligible individuals, as determined by the Foundation and in
accordance with paragraphs (2), (3), and (4), for study in fields related to the
environment or Native American and Alaska Native health care and tribal policy;
(ii) funding the Center to carry out and manage other programs, activities, and
services; and
(iii) other education programs that the Board determines are consistent with the
purposes for which the Foundation is established.
(B) John S. McCain III National Center for Environmental Conflict Resolution
(i) In general
The Foundation shall—
(I) establish the John S. McCain III National Center for Environmental Conflict
Resolution as part of the Foundation; and
(II) identify and conduct such programs, activities, and services as the
Foundation determines appropriate to permit the Foundation to provide
assessment, mediation, collaboration, training, and other related services to
resolve—
(aa) environmental disputes; and
(bb) Federal, State, or tribal environmental or natural resource decisionmaking processes or procedures that may result in a dispute or conflict that
may cause or result in disputes.
(ii) Geographic proximity of conflict resolution provision
In providing assessment, mediation, collaboration, training, and other related
services under clause (i)(II) to resolve environmental disputes, the Foundation
shall consider, to the maximum extent practicable, conflict resolution providers
within the geographic proximity of the conflict.
(2) Scholarships
(A) Scholarships shall be awarded to outstanding undergraduate students who intend
to pursue careers related to the environment and to outstanding Native American
and Alaska Native undergraduate students who intend to pursue careers in health
care and tribal public policy.
(B) An eligible individual awarded a scholarship under this chapter may receive
payments under this chapter only during such periods as the Foundation finds that
the eligible individual is maintaining satisfactory proficiency and devoting full time to
study or research and is not engaging in gainful employment other than
employment approved by the Foundation pursuant to regulations of the Board.
(C) The Foundation may require reports containing such information, in such form,
and to be filed at such times as the Foundation determines to be necessary from any
eligible individual awarded a scholarship under this chapter. Such reports shall be
accompanied by a certificate from an appropriate official at the institution of higher
education, approved by the Foundation, stating that such individual is making
satisfactory progress in, and is devoting essentially full time to study or research,
except as otherwise provided in this subsection.
(3) Fellowships
Udall Foundation, National Center

15

Fellowships shall be awarded to—
(A) outstanding graduate students who intend to pursue advanced degrees in fields
related to the environment and to outstanding Native American and Alaska Native
graduate students who intend to pursue advanced degrees in health care and tribal
public policy, including law and medicine; and
(B) faculty from a variety of disciplines to bring the expertise of such faculty to the
Foundation.
(4) Internships
Internships shall be awarded to—
(A) deserving and qualified individuals to participate in internships in Federal, State
and local agencies or in offices of major environmental organizations pursuant to
section 5604 of this title; and
(B) deserving and qualified Native American and Alaska Native individuals to
participate in internships in Federal, State and local agencies or in offices of major
public health or public policy organizations pursuant to section 5604 of this title.
(5) Parks in focus
The Foundation shall—
(A) identify and invite the participation of youth throughout the United States to
enjoy the Nation's parks and wilderness and other outdoor areas, in an education
program intended to carry out the purpose of paragraphs (1) and (2) of section 5604
of this title; and
(B) provide training and education programs and activities to teach Federal
employees, natural resource professionals, elementary and secondary school
educators, and others to work with youth to promote the use and enjoyment of the
Nation's parks and wilderness and other outdoor areas.
(6) Specific programs
The Foundation shall assist in the development and implementation of programs at the
Center—
(A) to provide for an annual meeting of experts to discuss contemporary
environmental issues;
(B) to conduct environmental policy research; and
(C) to promote dialogue with visiting policymakers on environmental, natural
resource, and public lands issues.
(7) Repository
The Foundation shall provide direct or indirect assistance from the proceeds of the Trust
Fund to the Center to maintain the current site of the repository for the papers of Morris
K. Udall and Stewart L. Udall and other such public papers as may be appropriate and
assure such papers' availability to the public.
(8) Coordination
The Foundation shall assist in the development and implementation of a Program for
Environmental Policy Research and Environmental Conflict Resolution and Training to be
located at the Center.
(9) Native Nations Institute
Udall Foundation, National Center

16

The Foundation shall provide direct or indirect assistance to the Native Nations Institute
from the annual appropriations to the Trust Fund in such amounts as Congress may
direct to conduct research and provide education and training to Native American and
Alaska Native professionals and leaders on Native American and Alaska Native health
care issues and tribal public policy issues as provided in section 5604(7) of this title.
(b) Udall Scholars
Recipients of scholarships, fellowships, and internships under this chapter shall be known as
"Udall Scholars", "Udall Fellows", and "Udall Interns", respectively.
(c) Program priorities
(1) In general
The Foundation shall determine the priority of the programs to be carried out under this
chapter and the amount of funds to be allocated for such programs from the funds
earned annually from the interest derived from the investment of the Trust Fund, subject
to paragraph (2).
(2) Limitations
In determining the amount of funds to be allocated for programs carried out under this
chapter for a year—
(A) not less than 50 percent of such annual interest earnings shall be utilized for the
programs set forth in paragraphs (2), (3), (4), and (5) of subsection (a);
(B) not more than 17.5 percent of such annual interest earnings shall be allocated for
salaries and other administrative purposes; and
(C) not less than 20 percent of such annual interest earnings shall be appropriated to
the Center for activities under paragraphs (7) and (8) of subsection (a).
(d) Donations
Any funds received by the Foundation in the form of donations or grants, as well as any
unexpended earnings on interest from the Trust Fund that is carried forward from prior
years—
(1) shall not be included in the calculation of the funds available for allocations pursuant
to subsection (c); and
(2) shall be available to carry out the provisions of this chapter as the Board determines
to be necessary and appropriate.
§5606. Establishment of Morris K. Udall and Stewart L. Udall Trust Fund
(a) Establishment of Trust Fund
There is established in the Treasury of the United States a trust fund to be known as the
"Morris K. Udall and Stewart L. Udall Trust Fund" to be administered by a Foundation. The
Trust Fund shall consist of amounts appropriated to it pursuant to section 5609(a) of this
title and amounts credited to it under subsection (b).
(b) Investment of Trust Fund assets
(1) In general.—It shall be the duty of the Secretary of the Treasury to invest, at the
direction of the Foundation Board, in full the amounts appropriated to the Trust Fund.
Such investments shall be in public debt securities with maturities suitable to the needs
of the Trust Fund. Investments in public debt securities shall bear interest "at rates
determined by the Secretary of the Treasury taking into consideration the current
Udall Foundation, National Center

17

average market yield on outstanding marketable obligations of the United States" of
comparable maturity.
§5607. Expenditures and audit of Trust Fund
(a) In general
The Foundation shall pay from the interest and earnings of the Trust Fund such sums as the
Board determines are necessary and appropriate to enable the Foundation to carry out the
provisions of this chapter, including a reasonable amount for official reception and
representation expenses, as determined by the Board, not to exceed $5,000 for a fiscal year.
(b) Audit by Government Accountability Office
The activities of the Foundation and the Center under this chapter may be audited by the
Government Accountability Office under such rules and regulations as may be prescribed by
the Comptroller General of the United States. Representatives of the Government
Accountability Office shall have access to all books, accounts, records, reports filed and all
other papers, things, or property belonging to or in use by the Foundation and the Center,
pertaining to such federally assisted activities and necessary to facilitate the audit.
§5607a. Environmental Dispute Resolution Fund
(a) Establishment
There is established in the Treasury of the United States an Environmental Dispute
Resolution Fund to be administered by the Foundation. The Fund shall consist of amounts
appropriated to the Fund under section 5609(b) of this title and amounts paid into the Fund
under section 5607b of this title.
(b) Expenditures
The Foundation shall expend from the Fund such sums as the Board determines are
necessary to establish and operate the National Center, including such amounts as are
necessary for salaries, administration, the provision of mediation and other services, and
such other expenses as the Board determines are necessary, including not to exceed $1,000
annually for official reception and representation expenses.
(c) Distinction from Trust Fund
The Fund shall be maintained separately from the Trust Fund established under section 5606
of this title.
(d) Investment of amounts
(1) In general
The Secretary of the Treasury shall invest such portion of the Fund as is not, in the
judgment of the Secretary, required to meet current withdrawals.
(2) Interest-bearing obligations
Investments may be made only in interest-bearing obligations of the United States.
(3) Acquisition of obligations
For the purpose of investments under paragraph (1), obligations may be acquired—
(A) on original issue at the issue price; or
(B) by purchase of outstanding obligations at the market price.
(4) Sale of obligations
Udall Foundation, National Center

18

Any obligation acquired by the Fund may be sold by the Secretary of the Treasury at the
market price.
(5) Credits to Fund
The interest on, and the proceeds from the sale or redemption of, any obligations held in
the Fund shall be credited to and form a part of the Fund.
§5607b. Use of the National Center by Federal agency or other entity
(a) Authorization
A Federal agency may use the Foundation and the National Center to provide assessment,
mediation, collaboration, or other related services in connection with a dispute or conflict
related to the environment, public lands, or natural resources, or with a Federal, State, or
tribal process or procedure that may result in a dispute or conflict.
(b) Payment
(1) In general
A Federal agency may enter into a contract and expend funds to obtain the services of
the National Center.
(2) Payment into Environmental Dispute Resolution Fund
A payment from an executive agency on a contract entered into under paragraph (1)
shall be paid into the Environmental Dispute Resolution Fund established under section
5607a of this title.
(c) Notification and concurrence
(1) Notification
An agency or instrumentality of the Federal Government shall notify the chairperson of
the President's Council on Environmental Quality when using the Foundation or the
National Center to provide the services described in subsection (a).
(2) Notification descriptions
In a matter involving two or more agencies or instrumentalities of the Federal
Government, notification under paragraph (1) shall include a written description of—
(A) the issues and parties involved;
(B) prior efforts, if any, undertaken by the agency to resolve or address the issue or
issues;
(C) all Federal agencies or instrumentalities with a direct interest or involvement in
the matter and a statement that all Federal agencies or instrumentalities agree to
mediation, collaboration, and dispute resolution; and
(D) other relevant information.
(3) Concurrence
(A) In general
In a matter that involves two or more agencies or instrumentalities of the Federal
Government (including branches or divisions of a single agency or instrumentality),
the agencies or instrumentalities of the Federal Government shall obtain the
concurrence of the chairperson of the President's Council on Environmental Quality
before using the Foundation or National Center to provide the services described in
subsection (a).
(B) Indication of concurrence or nonconcurrence
Udall Foundation, National Center

19

The chairperson of the President's Council on Environmental Quality shall indicate
concurrence or nonconcurrence under subparagraph (A) not later than 20 days after
receiving notice under paragraph (2).
(d) Exceptions
(1) Legal issues and enforcement
(A) In general
A dispute or conflict involving agencies or instrumentalities of the Federal
Government (including branches or divisions of a single agency or instrumentality)
that concern purely legal issues or matters, interpretation or determination of law, or
enforcement of law by one agency against another agency shall not be submitted to
the Foundation or National Center.
(B) Applicability
Subparagraph (A) does not apply to a dispute or conflict concerning—
(i) agency implementation of a program or project;
(ii) a matter involving two or more agencies with parallel authority requiring
facilitation and coordination of the various Government agencies; or
(iii) a nonlegal policy or decisionmaking matter that involves two or more
agencies that are jointly operating a project.
(2) Other mandated mechanisms or avenues
A dispute or conflict involving agencies or instrumentalities of the Federal Government
(including branches or divisions of a single agency or instrumentality) for which Congress
by law has mandated another dispute resolution mechanism or avenue to address or
resolve shall not be submitted to the Foundation or National Center.
(e) Non-Federal entities
(1) Non-Federal entities, including state 1 and local governments, Native American tribal
governments, nongovernmental organizations and persons, as defined in section 1 of
title 1, may use the Foundation and the National Center to provide assessment,
mediation, or other related services in connection with a dispute or conflict involving the
Federal government 1 related to the environment, public lands, or natural resources.
(2) Payment into the environmental dispute resolution fund.—Entities utilizing services
pursuant to this subsection shall reimburse the National Center for the costs of services
provided. Such amounts shall be deposited into the Environmental Dispute Resolution
Fund established under section 5607a of this title.
(f) Agency management or control
Use of the Foundation or National Center to provide independent and impartial assessment,
mediation, or other dispute or conflict resolution under this section shall not be considered
to be the establishment or use of an advisory committee within the meaning of the Federal
Advisory Committee Act (5 U.S.C. App.).
§5608. Administrative provisions
(a) In general
In order to carry out the provisions of this chapter, the Foundation may—

Udall Foundation, National Center

20

(1)(A) appoint such personnel as may be necessary to carry out the provisions of this
chapter, without regard to the provisions of title 5 governing appointments in the
competitive service; and
(B) fix the compensation of the personnel appointed under subparagraph (A) at a
rate not to exceed the maximum rate for employees in grade GS–15 of the General
Schedule under section 5332 of title 5, except that up to 4 employees (in addition to
the Executive Director under section 5603(f)(2) of this title) may be paid at a rate
determined by the Board in accordance with section 5383 of title 5.
(2) procure or fund the Center to procure temporary and intermittent services of experts
and consultants as are necessary to the extent authorized by section 3109 of title 5, but
at rates not to exceed the rate specified at the time of such service for level IV of the
Executive Schedule under section 5315 of title 5;
(3) prescribe such regulations as the Foundation considers necessary governing the
manner in which its functions shall be carried out;
(4) accept, hold, solicit, administer, and utilize donations, grants, and gifts, both real and
personal, for the purpose of aiding or facilitating the work of the Foundation;
(5) accept and utilize the services of voluntary and noncompensated personnel and
reimburse such personnel for travel expenses, including per diem, as authorized by
section 5703 of title 5;
(6) enter into contracts, grants, or other arrangements or modifications thereof, to carry
out the provisions of this chapter, and such contracts or modifications thereof may, with
the concurrence of two thirds of the members of the Board of Trustees, be entered into
without performance or other bonds, and without regard to section 6101 of title 41;
(7) to rent office space in the District of Columbia and Tucson, Arizona, or their environs;
and
(8) make other necessary expenditures.
(b) The Institute
The authorities set forth above shall apply to the National Center established pursuant to
section 5607a of this title and to the activities of the Foundation under section 5604(7) of
this title.
§5609. Authorization of appropriations
(a) Trust Fund
There is authorized to be appropriated to the Trust Fund $2,000,000 for each of fiscal years
2020 through 2023 to carry out the provisions of this chapter.
(b) Environmental Dispute Resolution Fund
There is authorized to be appropriated to the Environmental Dispute Resolution Fund
established by section 5607a of this title $4,000,000 for each of fiscal years 2020 through
2023, of which—
(1) $3,000,000 shall be used to pay operations costs (including not more than $1,000 for
official reception and representation expenses); and
(2) $1,000,000 shall be used for grants or other appropriate arrangements to pay the
costs of services provided in a neutral manner relating to, and to support the
participation of non-Federal entities (such as State and local governments, tribal
Udall Foundation, National Center

21

governments, nongovernmental organizations, and individuals) in, environmental conflict
resolution proceedings involving Federal agencies.
(c) Training of professionals in health care and public policy
There is authorized to be appropriated to carry out section 5604(7) of this title $12,300,000
for the 5-fiscal year period beginning with the fiscal year in which this subsection is enacted.

Udall Foundation, National Center

22

APPENDIX B: GOVERNMENT PERFORMANCE AND REPORTING ACT
(Relevant Portions)
Title 31 United States Code, Chapter 11, as of: 12/23/2022
§1115. Federal Government and agency performance plans
(a) Federal Government Performance Plans.—In carrying out the provisions of section
1105(a)(28), the Director of the Office of Management and Budget shall coordinate with
agencies to develop the Federal Government performance plan. In addition to the submission of
such plan with each budget of the United States Government, the Director of the Office of
Management and Budget shall ensure that all information required by this subsection is
concurrently made available on a website described in section 1122 and updated periodically,
but no less than annually. The Federal Government performance plan shall—
(1) establish Federal Government performance goals to define the level of performance to
be achieved during the year in which the plan is submitted and the next fiscal year for each
of the Federal Government priority goals required under section 1120(a) of this title;
(2) identify the agencies, organizations, program activities, regulations, tax expenditures,
policies, and other activities contributing to each Federal Government performance goal
during the current fiscal year;
(3) for each Federal Government performance goal, identify a lead Government official who
shall be responsible for coordinating the efforts to achieve the goal;
(4) establish common Federal Government performance indicators with quarterly targets to
be used in measuring or assessing—
(A) overall progress toward each Federal Government performance goal; and
(B) the individual contribution of each agency, organization, program activity, regulation,
tax expenditure, policy, and other activity identified under paragraph (2);
(5) establish clearly defined quarterly milestones; and
(6) identify major management challenges that are Governmentwide or crosscutting in
nature and describe plans to address such challenges, including relevant performance goals,
performance indicators, and milestones.
(b) Agency Performance Plans.—Not later than the first Monday in February of each year, the
head of each agency shall make available on a public website of the agency, and notify the
President and the Congress of its availability, a performance plan covering each program activity
set forth in the budget of such agency. Such plan shall—
(1) establish performance goals to define the level of performance to be achieved during the
year in which the plan is submitted and the next fiscal year;
(2) express such goals in an objective, quantifiable, and measurable form unless authorized
to be in an alternative form under subsection (c);
(3) describe how the performance goals contribute to—
(A) the general goals and objectives established in the agency's strategic plan required
by section 306(a)(2) of title 5; and

Udall Foundation, National Center

23

(B) any of the Federal Government performance goals established in the Federal
Government performance plan required by subsection (a)(1);
(4) identify among the performance goals those which are designated as agency priority
goals as required by section 1120(b) of this title, if applicable;
(5) provide a description of how the performance goals are to be achieved, including—
(A) the human capital, training, data and evidence, information technology, and skill sets
required to meet the performance goals;
(B) the technology modernization investments, system upgrades, staff technology skills
and expertise, stakeholder input and feedback, and other resources and strategies
needed and required to meet the performance goals;
(C) clearly defined milestones;
(D) an identification of the organizations, program activities, regulations, policies,
operational processes, and other activities that contribute to each performance goal,
both within and external to the agency;
(E) a description of how the agency is working with other agencies and the organizations
identified in subparagraph (D) to measure and achieve its performance goals as well as
relevant Federal Government performance goals; and
(F) an identification of the agency officials responsible for the achievement of each
performance goal, who shall be known as goal leaders;
(6) establish a balanced set of performance indicators to be used in measuring or assessing
progress toward each performance goal, including, as appropriate, customer service,
efficiency, output, and outcome indicators;
(7) provide a basis for comparing actual program results with the established performance
goals;
(8) a description of how the agency will ensure the accuracy and reliability of the data used
to measure progress towards its performance goals, including an identification of—
(A) the means to be used to verify and validate measured values;
(B) the sources for the data;
(C) the level of accuracy required for the intended use of the data;
(D) any limitations to the data at the required level of accuracy; and
(E) how the agency will compensate for such limitations if needed to reach the required
level of accuracy;
(9) describe major management challenges the agency faces and identify—
(A) planned actions to address such challenges;
(B) performance goals, performance indicators, and milestones to measure progress
toward resolving such challenges; and
(C) the agency official responsible for resolving such challenges; and
(10) identify low-priority program activities based on an analysis of their contribution to the
mission and goals of the agency and include an evidence-based justification for designating
a program activity as low priority.
(c) Alternative Form.—If an agency, in consultation with the Director of the Office of
Management and Budget, determines that it is not feasible to express the performance goals for
a particular program activity in an objective, quantifiable, and measurable form, the Director of

Udall Foundation, National Center

24

the Office of Management and Budget may authorize an alternative form. Such alternative form
shall—
(1) include separate descriptive statements of—
(A)(i) a minimally effective program; and
(ii) a successful program; or
(B) such alternative as authorized by the Director of the Office of Management and
Budget, with sufficient precision and in such terms that would allow for an accurate,
independent determination of whether the program activity's performance meets the
criteria of the description; or
(2) state why it is infeasible or impractical to express a performance goal in any form for the
program activity.
(d) Treatment of Program Activities.—For the purpose of complying with this section, an agency
may aggregate, disaggregate, or consolidate program activities, except that any aggregation or
consolidation may not omit or minimize the significance of any program activity constituting a
major function or operation for the agency.
(e) Appendix.—An agency may submit with an annual performance plan an appendix covering
any portion of the plan that—
(1) is specifically authorized under criteria established by an Executive order to be kept secret
in the interest of national defense or foreign policy; and
(2) is properly classified pursuant to such Executive order.
(f) Inherently Governmental Functions.—The functions and activities of this section shall be
considered to be inherently governmental functions. The drafting of performance plans under
this section shall be performed only by Federal employees.
(g) Preparation of Performance Plan.—The Performance Improvement Officer of each agency (or
the functional equivalent) shall collaborate with the Chief Human Capital Officer (or the
functional equivalent), the Chief Information Officer (or the functional equivalent), the Chief Data
Officer (or the functional equivalent), and the Chief Financial Officer (or the functional
equivalent) of that agency to prepare that portion of the annual performance plan described
under subsection (b)(5) for that agency.
(h) Definitions.—For purposes of this section and sections 1116 through 1125, and sections 9703
and 9704, the term—
(1) "agency" has the same meaning as such term is defined under section 306(f) of title 5;
(2) "crosscutting" means across organizational (such as agency) boundaries;
(3) "customer service measure" means an assessment of service delivery to a customer,
client, citizen, or other recipient, which can include an assessment of quality, timeliness, and
satisfaction among other factors;
(4) "efficiency measure" means a ratio of a program activity's inputs (such as costs or hours
worked by employees) to its outputs (amount of products or services delivered) or outcomes
(the desired results of a program);
(5) "major management challenge" means programs or management functions, within or
across agencies, that have greater vulnerability to waste, fraud, abuse, and mismanagement
(such as issues identified by the Government Accountability Office as high risk or issues
identified by an Inspector General) where a failure to perform well could seriously affect the
ability of an agency or the Government to achieve its mission or goals;
Udall Foundation, National Center

25

(6) "milestone" means a scheduled event signifying the completion of a major deliverable or
a set of related deliverables or a phase of work;
(7) "outcome measure" means an assessment of the results of a program activity compared
to its intended purpose;
(8) "output measure" means the tabulation, calculation, or recording of activity or effort that
can be expressed in a quantitative or qualitative manner;
(9) "performance goal" means a target level of performance expressed as a tangible,
measurable objective, against which actual achievement can be compared, including a goal
expressed as a quantitative standard, value, or rate;
(10) "performance indicator" means a particular value or characteristic used to measure
output or outcome;
(11) "program activity" means a specific activity or project as listed in the program and
financing schedules of the annual budget of the United States Government; and
(12) "program evaluation" means an assessment, through objective measurement and
systematic analysis, of the manner and extent to which Federal programs achieve intended
objectives.
§1116. Agency performance reporting
(a) The head of each agency shall make available on a public website of the agency and to the
Office of Management and Budget an update on agency performance.
(b)(1) Each update shall compare actual performance achieved with the performance goals
established in the agency performance plan under section 1115(b) and shall occur no less than
150 days after the end of each fiscal year, with more frequent updates of actual performance on
indicators that provide data of significant value to the Government, Congress, or program
partners at a reasonable level of administrative burden.
(2) If performance goals are specified in an alternative form under section 1115(c), the results
shall be described in relation to such specifications, including whether the performance
failed to meet the criteria of a minimally effective or successful program.
(c) Each update shall—
(1) review the success of achieving the performance goals and include actual results for the 5
preceding fiscal years;
(2) evaluate the performance plan for the current fiscal year relative to the performance
achieved toward the performance goals during the period covered by the update;
(3) explain and describe where a performance goal has not been met (including when a
program activity's performance is determined not to have met the criteria of a successful
program activity under section 1115(c)(1)(A)(ii) or a corresponding level of achievement if
another alternative form is used)—
(A) why the goal was not met;
(B) those plans and schedules for achieving the established performance goal; and
(C) if the performance goal is impractical or infeasible, why that is the case and what
action is recommended;
(4) describe the use and assess the effectiveness in achieving performance goals of any
waiver under section 9703 of this title;

Udall Foundation, National Center

26

(5) include a review of the performance goals and evaluation of the performance plan
relative to the agency's strategic human capital management;
(6) describe how the agency ensures the accuracy and reliability of the data used to measure
progress towards its performance goals, including an identification of—
(A) the means used to verify and validate measured values;
(B) the sources for the data;
(C) the level of accuracy required for the intended use of the data;
(D) any limitations to the data at the required level of accuracy; and
(E) how the agency has compensated for such limitations if needed to reach the required
level of accuracy; and
(7) include the summary findings of those program evaluations completed during the period
covered by the update.
(d) If an agency performance update includes any program activity or information that is
specifically authorized under criteria established by an Executive Order to be kept secret in the
interest of national defense or foreign policy and is properly classified pursuant to such
Executive Order, the head of the agency shall make such information available in the classified
appendix provided under section 1115(e).
(e) The functions and activities of this section shall be considered to be inherently governmental
functions. The drafting of agency performance updates under this section shall be performed
only by Federal employees.
(f) Each fiscal year, the Office of Management and Budget shall determine whether the agency
programs or activities meet performance goals and objectives outlined in the agency
performance plans and submit a report on unmet goals to—
(1) the head of the agency;
(2) the Committee on Homeland Security and Governmental Affairs of the Senate;
(3) the Committee on Oversight and Governmental Reform of the House of Representatives;
and
(4) the Government Accountability Office.
(g) If an agency's programs or activities have not met performance goals as determined by the
Office of Management and Budget for 1 fiscal year, the head of the agency shall submit a
performance improvement plan to the Office of Management and Budget to increase program
effectiveness for each unmet goal with measurable milestones. The agency shall designate a
senior official who shall oversee the performance improvement strategies for each unmet goal.
(h)(1) If the Office of Management and Budget determines that agency programs or activities
have unmet performance goals for 2 consecutive fiscal years, the head of the agency shall—
(A) submit to Congress a description of the actions the Administration will take to
improve performance, including proposed statutory changes or planned executive
actions; and
(B) describe any additional funding the agency will obligate to achieve the goal, if such
an action is determined appropriate in consultation with the Director of the Office of
Management and Budget, for an amount determined appropriate by the Director.
(2) In providing additional funding described under paragraph (1)(B), the head of the agency
shall use any reprogramming or transfer authority available to the agency. If after exercising
such authority additional funding is necessary to achieve the level determined appropriate
Udall Foundation, National Center

27

by the Director of the Office of Management and Budget, the head of the agency shall
submit a request to Congress for additional reprogramming or transfer authority.
(i) If an agency's programs or activities have not met performance goals as determined by the
Office of Management and Budget for 3 consecutive fiscal years, the Director of the Office of
Management and Budget shall submit recommendations to Congress on actions to improve
performance not later than 60 days after that determination, including—
(1) reauthorization proposals for each program or activity that has not met performance
goals;
(2) proposed statutory changes necessary for the program activities to achieve the proposed
level of performance on each performance goal; and
(3) planned executive actions or identification of the program for termination or reduction in
the President's budget.

Udall Foundation, National Center

28

APPENDIX C: Executive Order No. 13450 Improving Government
Program Performance
Ex. Ord. No. 13450. Improving Government Program Performance (Nov. 13, 2007, 72 F.R. 64519):
By the authority vested in me as President by the Constitution and the laws of the United States of
America, including sections 305 and 306 of title 5, sections 1115, 1116, and 9703 of title 31, and chapter
28 of title 39, United States Code, and to improve the effectiveness and efficiency of the Federal
Government and promote greater accountability of that Government to the American people, it is
hereby ordered as follows:
Section 1. Policy. It is the policy of the Federal Government to spend taxpayer dollars effectively, and
more effectively each year. Agencies shall apply taxpayer resources efficiently in a manner that
maximizes the effectiveness of Government programs in serving the American people.
Sec. 2. Definitions. As used in this order:
(a) "agency" means:
(i) an executive agency as defined in section 105 of title 5, United States Code, other than the
Government Accountability Office; and
(ii) the United States Postal Service and the Postal Regulatory Commission;
(b) "agency Performance Improvement Officer" means an employee of an agency who is a member
of the Senior Executive Service or equivalent service, and who is designated by the head of the
agency to carry out the duties set forth in section 5 of this order.
Sec. 3. Duties of Heads of Agencies. To assist in implementing the policy set forth in section 1 of this
order, the head of each agency shall, with respect to each program administered in whole or in part by
the agency:
(a) approve for implementation:
(i) clear annual and long-term goals defined by objectively measurable outcomes; and
(ii) specific plans for achieving the goals, including:
(A) assignments to specified agency personnel of:
(1) the duties necessary to achieve the goals; and
(2) the authority and resources necessary to fulfill such duties;
(B) means to measure:
(1) progress toward achievement of the goals; and
(2) efficiency in use of resources in making that progress; and
(C) mechanisms for ensuring continuous accountability of the specified agency personnel to
the head of the agency for achievement of the goals and efficiency in use of resources in
achievement of the goals;
(b) assist the President, through the Director of the Office of Management and Budget (Director), in
making recommendations to the Congress, including budget and appropriations recommendations,
that are justified based on objective performance information and accurate estimates of the full

Udall Foundation, National Center

29

costs of achieving the annual and long-term goals approved under subsection (a)(i) of this section;
and
(c) ensure that agency Internet websites available to the public include regularly updated and
accurate information on the performance of the agency and its programs, in a readily useable and
searchable form, that sets forth the successes, shortfalls, and challenges of each program and
describes the agency's efforts to improve the performance of the program.
Sec. 4. Additional Duties of the Director of the Office of Management and Budget.
(a) To assist in implementing the policy set forth in section 1 of this order, the Director shall issue
instructions to the heads of agencies concerning:
(i) the contents, and schedule for approval, of the goals and plans required by section 3 of this
order; and
(ii) the availability to the public in readily accessible and comprehensible form on the agency's
Internet website (or in the Federal Register for any agency that does not have such a website), of
the information approved by the head of each agency under section 3 of this order and other
information relating to agency performance.
(b) Instructions issued under subsection (a) of this section shall facilitate compliance with applicable
law, presidential guidance, and Office of Management and Budget circulars and shall be designed to
minimize duplication of effort and to assist in maximizing the efficiency and effectiveness of
agencies and their programs.
Sec. 5. Duties of Agency Performance Improvement Officers. Subject to the direction of the head of the
agency, each agency Performance Improvement Officer shall:
(a) supervise the performance management activities of the agency, including:
(i) development of the goals, specific plans, and estimates for which section 3 of this order
provides; and
(ii) development of the agency's strategic plans, annual performance plans, and annual
performance reports as required by law;
(b) advise the head of the agency, with respect to a program administered in whole or in part by the
agency, whether:
(i) goals proposed for the approval of the head of the agency under section 3(a)(i) of this order
are:
(A) sufficiently aggressive toward full achievement of the purposes of the program; and
(B) realistic in light of authority and resources assigned to the specified agency personnel
referred to in section 3(a)(ii)(A) of this order with respect to that program; and
(ii) means for measurement of progress toward achievement of the goals are sufficiently
rigorous and accurate;
(c) convene the specified agency personnel referred to in section 3(a)(ii)(A) of this order, or
appropriate subgroups thereof, regularly throughout each year to:
(i) assess performance of each program administered in whole or in part by the agency; and
(ii) consider means to improve the performance and efficiency of such program;
(d) assist the head of the agency in the development and use within the agency of performance
measures in personnel performance appraisals, and, as appropriate, other agency personnel and
planning processes; and
Udall Foundation, National Center

30

(e) report to the head of the agency on the implementation within the agency of the policy set forth
in section 1 of this order.
Sec. 6. Establishment and Operation of Performance Improvement Council. (a) The Director shall
establish, within the Office of Management and Budget for administrative purposes only, a Performance
Improvement Council (Council), consistent with this order.
(b) The Council shall consist exclusively of:
(i) the Deputy Director for Management of the Office of Management and Budget, who shall
serve as Chair;
(ii) such agency Performance Improvement Officers, as determined by the Chair; and
(iii) such other full-time or permanent part-time employees of an agency, as determined by the
Chair with the concurrence of the head of the agency concerned.
(c) The Chair or the Chair's designee, in implementing subsection (d) of this section, shall convene
and preside at the meetings of the Council, determine its agenda, direct its work, and establish and
direct subgroups of the Council, as appropriate to deal with particular subject matters, that shall
consist exclusively of members of the Council.
(d) To assist in implementing the policy set forth in section 1 of this order, the Council shall:
(i) develop and submit to the Director, or when appropriate to the President through the
Director, at times and in such formats as the Chair may specify, recommendations concerning:
(A) performance management policies and requirements; and
(B) criteria for evaluation of program performance;
(ii) facilitate the exchange among agencies of information on performance management,
including strategic and annual planning and reporting, to accelerate improvements in program
performance;
(iii) coordinate and monitor a continuous review by heads of agencies of the performance and
management of all Federal programs that assesses the clarity of purpose, quality of strategic
and performance planning and goals, management excellence, and results achieved for each
agency's programs, with the results of these assessments and the evidence on which they are
based made available to the public on or through the Internet website referred to in subsection
(d)(iv);
(iv) to facilitate keeping the public informed, and with such assistance of heads of agencies as
the Director may require, develop an Internet website that provides the public with information
on how well each agency performs and that serves as a comprehensive source of information
on:
(A) current program performance; and
(B) the status of program performance plans and agency Performance and Accountability
Reports; and
(C) consistent with the direction of the head of the agency concerned after consultation with
the Director, any publicly available reports by the agency's Inspector General concerning
agency program performance;
(v) monitor implementation by agencies of the policy set forth in section 1 of this order and
report thereon from time to time as appropriate to the Director, or when appropriate to the
President through the Director, at such times and in such formats as the Chair may specify,

Udall Foundation, National Center

31

together with any recommendations of the Council for more effective implementation of such
policy;
(vi) at the request of the head of an agency, unless the Chair declines the request, promptly
review and provide advice on a proposed action by that agency to implement the policy set
forth in section 1 of this order; and
(vii) obtain information and advice, as appropriate, in a manner that seeks individual advice and
does not involve collective judgment or consensus advice or deliberation, from:
(A) State, local, territorial, and tribal officials; and
(B) representatives of entities or other individuals.
(e)(i) To the extent permitted by law, the Office of Management and Budget shall provide the
funding and administrative support the Council needs, as determined by the Director, to implement
this section; and
(ii) the heads of agencies shall provide, as appropriate and to the extent permitted by law, such
information and assistance as the Chair may request to implement this section.
Sec. 7. General Provisions. (a) Nothing in this order shall be construed to impair or otherwise affect:
(i) authority granted by law to an agency or the head thereof; or
(ii) functions of the Director relating to budget, administrative, or legislative proposals.
(b) This order shall be implemented consistent with applicable law (including laws and executive
orders relating to the protection of information from disclosure) and subject to the availability of
appropriations.
(c) In implementing this order, the Director of National Intelligence shall perform the functions
assigned to the Director of National Intelligence by the National Security Act of 1947, as amended
([former] 50 U.S.C. 401et seq.) [now50 U.S.C. 3001 et seq.], consistent with section 1018 of the
Intelligence Reform and Terrorism Prevention Act (Public Law 108–458), and other applicable laws.
(d) This order is not intended to, and does not, create any right or benefit, substantive or
procedural, enforceable at law or in equity, by any party against the United States, its agencies, or
entities, its officers, employees, or agents, or any other person.

Udall Foundation, National Center

32