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US Department of Education Principal Office Functional Statements
Office of Planning, Evaluation and Policy Development

Functional Statements > Office of Planning, Evaluation and Policy Development

B. Budget Service

The Budget Service has lead responsibility for: (1) developing and implementing the Department's budget ; (2) formulating budget and related legislative policies for Department programs; (3) presenting the Department's budget and related policy proposals to the public and Congress; (4) establishing and maintaining a Department wide performance-based budget formulation, execution, and management system; and (5) reviewing and analyzing Department program operations , including budget and policy implementation.

The Budget Service is also responsible, in cooperation with the Office of the General Counsel (OGC), the Office of Legislation and Congressional Affairs (OLCA), and the Assistant Secretary’s office, for the direction of the Department's legislative development process.  It also plays a prominent role in reviewing regulations, analyzing policy, and overseeing the Department's management of its programs and administrative resources .

In carrying out its lead responsibilities, the Budget Service:

  • Develops the annual budget, including calendars and instructions for formulating, presenting, and executing the Department's budget.
  • Works with the Department's offices to assure that performance measurements ensure the effectiveness of the Department's programs, grants, loans, guarantees and other initiatives.
  • Directs the Department's legislative development process in cooperation with OGC and OLCA and the Assistant Secretary’s office.
  • Ensures the planning and allocation of resources through budget formulation; provides administrative budget support for ED's Principal Offices through budget execution; and assists the Assistant Secretary in planning, coordinating, and monitoring high-priority budget initiatives.
  • Implements the Secretary's decisions by formulating the final budget proposals to OMB, defending the proposals before OMB, and providing support to Principal Officers in presenting the budget to OMB, the Congress, and the public.
  • Prepares official cost estimates for all legislative and regulatory activity.
  • Develops all Department-level budget documents, including budget and legislative submissions to OMB, the budget submission to the Office of National Drug Control Policy (ONDCP), the President's Budget, the Secretary's press release on the budget, and congressional justifications.
  • Advises the Assistant Secretary, Under Secretary, Deputy Secretary and Secretary about the program, management, and budget consequences of actions and events within and outside the Department.
  • Maintains liaison with OMB; congressional appropriations, budget, authorizing, and select committees; the Congressional Budget Office; the Government Accountability Office; the Department of the Treasury; the Congressional Research Service; the ONDCP; and other organizations on the formulation, presentation, and execution of the Department's budget.
  • Develops and maintains major budgetary systems for the Department, such as apportionments and allotments for funds control and management to ensure conformity with the Anti Deficiency Act, and outlay estimates, procedures, and controls.
  • Receives all funds appropriated or transferred to the Department and approves apportionment and reapportionment requests to OMB, warrant requests to Treasury, interagency agreements for funds coming into the Department, and allotment of all funds to entities within the Department.
  • Analyzes legislative proposals developed outside the Department by identifying issues; preparing options; assessing costs; assuring consistency with previous policies; and projecting possible effects; and making recommendations about priorities and program directions and management.
  • Reviews and analyzes short- and long-term plans for program evaluations, management objectives, and statistical surveys; and recommends evaluations and studies that are necessary for effective budget, policy, and legislative development.

Functions of the Budget Service are carried out by the following organizations:

Budget Policy and Coordination Staff;
Budget Execution and Administrative Analysis Division;
Cost Estimation and Analysis Division;
Elementary, Secondary, and Vocational Analysis Division; and
Special Education, Rehabilitation, Research, and Postsecondary Analysis Division.
The Directors of these units report directly to the Director, Budget Service.

The Budget Policy and Coordination Staff and Budget Execution and Administrative Analysis Division are responsible for the technical aspects of the budget, including developing Department-wide budget systems and procedures; coordinating the presentation of the Department's budget to the public and Congress; and establishing and maintaining a Department-wide budget execution system.

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Budget Policy and Coordination Staff

The Budget Policy and Coordination Staff is responsible for developing budget policies and procedures and coordinating the budget process.

In carrying out its responsibilities, the Staff:

  • Develops a process for the annual planning and budget cycle, including a master calendar.
  • Develops instructions and fiscal guidance for all budget submissions, including Principal Officers' submissions to the Secretary, the Department's submission to OMB, justifications to Congress on the annual budget, supplementals, budget amendments, rescissions, deferrals, reprogramming requests, and congressional effect statements.
  • Serves as liaison with OMB, appropriations and budget committees, and other Federal agencies regarding requirements for budget submissions, hearings and presentations, and appropriations language .
  • Coordinates the Department's participation in the appropriations hearings process and the preparation relevant briefing materials.
  • With the Budget Execution and Administrative Analysis Division, prepares all outlay estimates for the Department, acting as liaison with OMB, CBO, Treasury, and other offices regarding outlay reporting and estimates.
  • Develops instructions for, and coordinates the preparation of, special reports to Congress and about Congressional action providing a variety of program and administrative budget data.
  • Analyzes appropriations language and congressional intent, and works with the program analysis divisions in the Budget Service to determine the need for legal opinions from the General Counsel.
  • Collects and verifies data on all ED programs and enforcement activities described in the Catalog of Federal Domestic Assistance (CFDA) and is lead contact with OMB on CFDA matters.
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Budget Execution and Administrative Analysis Division

The Budget Execution and Administrative Analysis Division is responsible for formulating, presenting, analyzing, and executing the Department's administrative budget, interpreting budget execution policies and procedures, establishing and maintaining a Department wide budget execution system for all Department program and administrative funds, analyzing and providing input on Department financial and accounting systems, analyzing Department financial and accounting data, and preparing and analyzing outlays and outlay estimates.

  • The Division comprises two branches—the Administrative Analysis Branch, and the Budget Execution Analysis Branch. Each Branch:
  • Works in concert with other Budget Service offices to ensure proper execution of funds appropriated or transferred to or collected by the Department by reviewing, approving, and processing apportionments to OMB, warrant, borrowing, and nonexpenditure requests to Treasury, cooperative and interagency agreements, and interdepartmental transfers of funds; issuing allotments of funds; and monitoring and analyzing the financial activity of all Department funds.
  • Works with OCFO and other Department offices in a wide variety of situations that affect the execution and management of the budget, e.g., continuing resolution funding levels, financial reporting and budgetary accounting, managing the use of object classes, and reviewing budget operating plans.
  • Monitors outlays, develops outlay estimates and projections, compares estimated to actual spending patterns, and ensures adherence to congressional and Presidential ceilings and reductions.
  • Works on activities related to reprogramming actions, supplementals, rescissions, and deferrals.

The Budget Execution Analysis Branch additionally is responsible for establishing and maintaining the Department's budget execution system--including funds control, data integrity rules, and account structure.  The Branch analyzes the Department's new and existing financial systems and in doing so works with OCFO on system requirements analysis, testing, and daily maintenance of the systems.  The Branch uses Congressional appropriations and authorizing legislation as well as OMB and Treasury written guidance to enter, approve, and post into the Department financial system funding transactions.  In addition, the Branch analyzes financial data, providing the results to high-level Department decision makers, OMB, Treasury, States, and members of Congress.  The Branch also provides regular analysis and support on technical budgetary accounting treatments to ensure Department compliance with OMB funds control requirements and the Treasury Standard General Ledger (USSGL).

The Administrative Analysis Branch additionally is responsible for budget formulation and execution activities for all of the Department's administrative accounts.  This includes preparing OMB and Congressional justification budget materials as well developing and communicating annually the Salaries and Expenses (S&E) allocations for each of the Department’s principal offices.  The Branch monitors and analyzes FTE usage and performs workload data analysis in working to best align FTE resources with areas of high Department priority.  In addition, the Branch analyzes the Department's Information Technology (IT) portfolio, so that informed budget decisions can be made.

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Elementary, Secondary, and Vocational Analysis Division
Special Education, Rehabilitation, Research, and Postsecondary Analysis Division

These two organizational divisions have identical functions. In carrying out the responsibilities for their assigned programs, each Division:

  • Directs and assists in the formulation of budget proposals involving the program and other Principal Officers, as appropriate.
  • Analyzes budget proposals from the program Principal Officers by identifying issues, preparing options, assessing costs and impacts, and making recommendations about priorities to help the Secretary allocate scarce resources among competing interests.
  • Establishes and maintains liaison with other Federal agencies to implement cooperative agreements, interagency agreements, transfers of funds, and legislation and regulations affecting Departmental funds control.
  • With the Cost Estimation and Analysis Division, assesses cost impact of budget, legislative, and regulatory proposals.
  • Monitors the execution of the budget appropriated by Congress by analyzing and approving operating plans.
  • With the Budget Execution and Administrative Analysis Branch, receives funds appropriated or transferred to the Department, approves, apportionment and reapportionment requests to OMB, warrants reports to Treasury, and interagency agreements for the Department, and allots program funds to organizational entities within the Department.
  • Monitors program outlays, comparing projected and actual spending patterns and developing revised outlays estimates and other information as necessary.
  • Develops requests for reprogramming actions, supplementals, rescissions, and deferrals.
  • Directs the formulation of legislative proposals, involving program and other Principal Officers .
  • Analyzes legislative proposals developed outside the Department by identifying issues; preparing options; assessing costs, and making recommendations about priorities and program direction.
  • Represents the Assistant Secretary and the Department in explaining and defending policies, programs, and budgets to Department officials, OMB, Congress, and the public, including continuing liaison with appropriations and budget committees, the Congressional Budget Office, and the Government Accountability Office regarding program and budget policies.
  • Reviews and comments on regulations and other policy documents that affect the operation of Department programs .
  • Prepares the annual drug budget submission to the ONDCP and provides support to ONDCP on drug prevention issues.
  • Reviews and analyzes short and long term plans for program evaluations, management objectives, and statistical surveys; and recommends evaluations and studies that are necessary for effective budget, policy, and legislative development .
  • Completes descriptive and analytical studies of the Department's programs through contracts with outside firms, in response to congressional directives or for program policy decisions.

The Divisions differ from one another because they are responsible for program, budget, and legislative review functions for different program areas. The distribution of program area responsibilities generally corresponds to the organizational structure of the Department's program Principal Offices. Thus, the officials and staff responsible for managing the Department's programs generally have a one to one relationship with one of the divisions.

The following is a list of appropriation accounts under which the Department's approximately 185 major programs are grouped, reflecting the responsible Division for each account.

Elementary, Secondary, and Vocational Analysis Division
Education for the Disadvantaged;
School Improvement Programs;
Impact Aid;
Innovation and Improvement;
Safe Schools and Citizenship Education;
Indian Education;
English Language Acquisition; and
Vocational and Adult Education.

Special Education, Rehabilitation, Research, and Postsecondary Analysis Division
Special Education;
Rehabilitative Services and Disability Research;
American Printing House for the Blind;
National Institute for the Deaf;
Higher Education Facilities Loans;
College Housing Loans;
College Housing and Academic Facilities Loans;
Higher Education;
Howard University;
HBCU Capital Financing Program;
Gallaudet University; and
Institute of Education Sciences.

Cost Estimation and Analysis Division
Student Financial Assistance;
Federal Family Education Loans; and
Federal Direct Student Loans (Program, Financing, and Liquidating Accounts).

Budget Execution and Administrative Analysis Division
Program Administration;
Student Aid Administration;
Federal Direct Student Loans Administration;
Office for Civil Rights; and
Office of Inspector General.

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Cost Estimation and Analysis Division

The Cost Estimation and Analysis Division is responsible for developing full-cost estimates for the Federal Pell Grant, Federal Family Education Loan (FFEL), and Ford Direct Student Loan (FDSL) programs, as well as aiding in administrative cost estimates for Federal student financial assistance programs as a whole.  Lastly, the Division serves as a resource for the rest of the Budget Service in developing cost estimates and other technical analyses for existing or proposed programs.

In carrying out its responsibilities, the Division:

  • Establishes and maintains liaison with other Federal agencies to implement cooperative agreements, interagency agreements, transfers of funds, and legislation and regulations affecting Departmental funds control.
  • Monitors program outlays, comparing projected and actual spending patterns and developing revised outlays estimates and other information as necessary.
  • Monitors the execution of the budget appropriated by Congress by analyzing and approving operating plans.
  • Cooperates with the Budget Policy and Coordination Staff in developing requests for reprogramming actions, supplementals, rescissions, and deferrals.
  • Creates cost models for activities related to the administration of student financial assistance programs.
  • Maintains a cost estimation computer model to estimate annual costs for the Pell Grant program based upon an existing large data base for information on students, families, enrollments, and economic trends, and modifies the model to accommodate proposed and potential variations in program policies. Coordinates methodology and data with Budget Service staff and Federal Student Aid executives and the Office of Postsecondary Education.
  • Analyzes several minor national systems for determining student need for Federal grant assistance.
  • Creates and maintains cost and program impact computer models for existing student loan and families financing programs as well as proposed and potential variations on such programs. Coordinates methodology and data with Budget Service staff , the office of Federal Student Aid, and the Office of Postsecondary Education.
  • Maintains a large compendium of information on the outstanding portfolio of student and facilities loans, the characteristics of previous and potential borrowers, and relevant economic and financial conditions (e.g., enrollments, borrowing, propensity to default, 91-day Treasury bill rates, condition of academic facilities, availability of long-term financing, and long-term bond rates).
  • Works with OCFO, Federal Student Aid, Office of Postsecondary Education, and outside auditors in developing liability estimates, allocation tables, and other materials related to the Department's financial statements.
  • Analyzes a wide range of Government-wide credit management and debt collection issues including preparation of an annual credit analysis required by OMB Circular A-70, and development of budget policies related to the Credit Reform Act.
  • Analyzes major emerging initiatives such as the implementation of the Credit Reform Act of 1990 and Treasury and OMB guidelines on the management of guaranteed loan programs, involving all loan programs of the Department and significant interaction with other Department offices, OMB, and the private financial community.
  • Analyzes implications for Departmental loan programs of Federal credit policies, national economic data and trends, private sector money and banking policies, as well as information about students and postsecondary institutions and demographic data about incomes and other population characteristics.
  • Works closely with the Office of Postsecondary Education, Federal Student Aid, and the Policy and Program Studies Service, and coordinates cross-Department teams to develop, review, and analyze data sources and assumptions for both the Pell Grant and student loan program cost estimation models.
  • Develops models and cost estimates for other loan and grant programs as requested.

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Last Modified: 02/13/2008