SUBCHAPTER I—DIRECTOR OF OFFICE OF MANAGEMENT AND BUDGET
§11301. Responsibility of Director
In fulfilling the responsibility to administer the functions assigned under
(
| Revised Section | Source (U.S. Code) | Source (Statutes at Large) |
|---|---|---|
| 11301 | 40:1411. |
Statutory Notes and Related Subsidiaries
Advancing American Artificial Intelligence
"SEC. 7221. SHORT TITLE.
"This subtitle may be cited as the 'Advancing American AI Act'.
"SEC. 7222. PURPOSES.
"The purposes of this subtitle are to—
"(1) encourage agency artificial intelligence-related programs and initiatives that enhance the competitiveness of the United States and foster an approach to artificial intelligence that builds on the strengths of the United States in innovation and entrepreneurialism;
"(2) enhance the ability of the Federal Government to translate research advances into artificial intelligence applications to modernize systems and assist agency leaders in fulfilling their missions;
"(3) promote adoption of modernized business practices and advanced technologies across the Federal Government that align with the values of the United States, including the protection of privacy, civil rights, and civil liberties; and
"(4) test and harness applied artificial intelligence to enhance mission effectiveness, agency program integrity, and business practice efficiency.
"SEC. 7223. DEFINITIONS.
"In this subtitle:
"(1)
"(2)
"(A) the Committee on Homeland Security and Governmental Affairs of the Senate;
"(B) the Committee on Oversight and Reform [now Committee on Oversight and Accountability] of the House of Representatives; and
"(C) the Committee on Homeland Security of the House of Representatives.
"(3)
"(4)
"(A) means any data system, software, application, tool, or utility that operates in whole or in part using dynamic or static machine learning algorithms or other forms of artificial intelligence, whether—
"(i) the data system, software, application, tool, or utility is established primarily for the purpose of researching, developing, or implementing artificial intelligence technology; or
"(ii) artificial intelligence capability is integrated into another system or agency business process, operational activity, or technology system; and
"(B) does not include any common commercial product within which artificial intelligence is embedded, such as a word processor or map navigation system.
"(5)
"(6)
"SEC. 7224. PRINCIPLES AND POLICIES FOR USE OF ARTIFICIAL INTELLIGENCE IN GOVERNMENT.
"(a)
"(1) the considerations and recommended practices identified by the National Security Commission on Artificial Intelligence in the report entitled 'Key Considerations for the Responsible Development and Fielding of AI', as updated in April 2021;
"(2) the principles articulated in Executive Order 13960 (85 Fed. Reg. 78939 [
"(3) the input of—
"(A) the Administrator of General Services;
"(B) relevant interagency councils, such as the Federal Privacy Council, the Chief Financial Officers Council, the Chief Information Officers Council, and the Chief Data Officers Council;
"(C) other governmental and nongovernmental privacy, civil rights, and civil liberties experts;
"(D) academia;
"(E) industry technology and data science experts; and
"(F) any other individual or entity the Director determines to be appropriate.
"(b)
"(1) the Secretary of Homeland Security, with the participation of the Chief Procurement Officer, the Chief Information Officer, the Chief Privacy Officer, and the Officer for Civil Rights and Civil Liberties of the Department and any other person determined to be relevant by the Secretary of Homeland Security, shall issue policies and procedures for the Department related to—
"(A) the acquisition and use of artificial intelligence; and
"(B) considerations for the risks and impacts related to artificial intelligence-enabled systems, including associated data of machine learning systems, to ensure that full consideration is given to—
"(i) the privacy, civil rights, and civil liberties impacts of artificial intelligence-enabled systems; and
"(ii) security against misuse, degradation, or rending inoperable of artificial intelligence-enabled systems; and
"(2) the Chief Privacy Officer and the Officer for Civil Rights and Civil Liberties of the Department shall report to Congress on any additional staffing or funding resources that may be required to carry out the requirements of this subsection.
"(c)
"(1) artificial intelligence systems;
"(2) best practices for governance, oversight, and audits of the use of artificial intelligence systems; and
"(3) how the Office of the Inspector General is using artificial intelligence to enhance audit and investigative capabilities, including actions to—
"(A) ensure the integrity of audit and investigative results; and
"(B) guard against bias in the selection and conduct of audits and investigations.
"(d)
"(1)
"(A) ensure that contracts for the acquisition of an artificial intelligence system or service—
"(i) align with the guidance issued to the head of each agency under section 104(a) of the AI in Government Act of 2020 (title I of division U of
"(ii) address protection of privacy, civil rights, and civil liberties;
"(iii) address the ownership and security of data and other information created, used, processed, stored, maintained, disseminated, disclosed, or disposed of by a contractor or subcontractor on behalf of the Federal Government; and
"(iv) include considerations for securing the training data, algorithms, and other components of any artificial intelligence system against misuse, unauthorized alteration, degradation, or rendering inoperable; and
"(B) address any other issue or concern determined to be relevant by the Director to ensure appropriate use and protection of privacy and Government data and other information.
"(2)
"(3)
"(A) should continuously update the means developed under paragraph (1); and
"(B) not later than 2 years after the date of enactment of this Act and not less frequently than every 2 years thereafter, shall update the means developed under paragraph (1).
"(4)
"(A) not later than 90 days after the date of enactment of this Act and thereafter on a quarterly basis until the Director first implements the means developed under paragraph (1); and
"(B) annually thereafter on the implementation of this subsection.
"(5)
"SEC. 7225. AGENCY INVENTORIES AND ARTIFICIAL INTELLIGENCE USE CASES.
"(a)
"(1) prepare and maintain an inventory of the artificial intelligence use cases of the agency, including current and planned uses;
"(2) share agency inventories with other agencies, to the extent practicable and consistent with applicable law and policy, including those concerning protection of privacy and of sensitive law enforcement, national security, and other protected information; and
"(3) make agency inventories available to the public, in a manner determined by the Director, and to the extent practicable and in accordance with applicable law and policy, including those concerning the protection of privacy and of sensitive law enforcement, national security, and other protected information.
"(b)
"(1) make agency artificial intelligence use case information available to the public and those wishing to do business with the Federal Government; and
"(2) identify common use cases across agencies.
"(c)
"(d)
"SEC. 7226. RAPID PILOT, DEPLOYMENT AND SCALE OF APPLIED ARTIFICIAL INTELLIGENCE CAPABILITIES TO DEMONSTRATE MODERNIZATION ACTIVITIES RELATED TO USE CASES.
"(a)
"(b)
"(1)
"(A) to enable agencies to operate across organizational boundaries, coordinating between existing established programs and silos to improve delivery of the agency mission;
"(B) to demonstrate the circumstances under which artificial intelligence can be used to modernize or assist in modernizing legacy agency systems; and
"(C) to leverage commercially available artificial intelligence technologies that—
"(i) operate in secure cloud environments that can deploy rapidly without the need to replace existing systems; and
"(ii) do not require extensive staff or training to build.
"(2)
"(3)
"(A) evaluate risks in utilizing artificial intelligence systems; and
"(B) develop a risk mitigation plan to address those risks, including consideration of—
"(i) the artificial intelligence system not performing as expected or as designed;
"(ii) the quality and relevancy of the data resources used in the training of the algorithms used in an artificial intelligence system;
"(iii) the processes for training and testing, evaluating, validating, and modifying an artificial intelligence system; and
"(iv) the vulnerability of a utilized artificial intelligence system to unauthorized manipulation or misuse, including the use of data resources that substantially differ from the training data.
"(4)
"(A) would benefit from commercially available privacy-preserving techniques, such as use of differential privacy, federated learning, and secure multiparty computing; and
"(B) otherwise take into account considerations of civil rights and civil liberties.
"(5)
"(6)
"(A) Applied artificial intelligence to drive agency productivity efficiencies in predictive supply chain and logistics, such as—
"(i) predictive food demand and optimized supply;
"(ii) predictive medical supplies and equipment demand and optimized supply; or
"(iii) predictive logistics to accelerate disaster preparedness, response, and recovery.
"(B) Applied artificial intelligence to accelerate agency investment return and address mission-oriented challenges, such as—
"(i) applied artificial intelligence portfolio management for agencies;
"(ii) workforce development and upskilling;
"(iii) redundant and laborious analyses;
"(iv) determining compliance with Government requirements, such as with Federal financial management and grants management, including implementation of
"(v) addressing fraud, waste, and abuse in agency programs and mitigating improper payments; or
"(vi) outcomes measurement to measure economic and social benefits.
"(7)
"(A) solves data access and usability issues with automated technology and eliminates or minimizes the need for manual data cleansing and harmonization efforts;
"(B) continuously and automatically ingests data and updates domain models in near real-time to help identify new patterns and predict trends, to the extent possible, to help agency personnel to make better decisions and take faster actions;
"(C) organizes data for meaningful data visualization and analysis so the Government has predictive transparency for situational awareness to improve use case outcomes;
"(D) is rapidly configurable to support multiple applications and automatically adapts to dynamic conditions and evolving use case requirements, to the extent possible;
"(E) enables knowledge transfer and collaboration across agencies; and
"(F) preserves intellectual property rights to the data and output for benefit of the Federal Government and agencies and protects sensitive personally identifiable information.
"(c)
"(d)
"SEC. 7227. ENABLING ENTREPRENEURS AND AGENCY MISSIONS.
"(a)
"(b)
"(c)
"(1)
"(2)
"SEC. 7228. INTELLIGENCE COMMUNITY EXCEPTION.
"Nothing in this subtitle shall apply to any element of the intelligence community, as defined in section 3 of the National Security Act of 1947 (
AI in Government
"SEC. 101. SHORT TITLE.
"This title may be cited as the 'AI in Government Act of 2020'.
"SEC. 102. DEFINITIONS.
"In this Act [probably means "this title"]—
"(1) the term 'Administrator' means the Administrator of General Services;
"(2) the term 'agency' has the meaning given the term in
"(3) the term 'AI CoE' means the AI Center of Excellence described in section 103;
"(4) the term 'artificial intelligence' has the meaning given the term in section 238(g) of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 (
"(5) the term 'Director' means the Director of the Office of Management and Budget;
"(6) the term 'institution of higher education' has the meaning given the term in section 101 of the Higher Education Act of 1965 (
"(7) the term 'nonprofit organization' means an organization described in section 501(c)(3)of [sic] the Internal Revenue Code of 1986 [
"SEC. 103. AI CENTER OF EXCELLENCE.
"(a)
"(1) facilitate the adoption of artificial intelligence technologies in the Federal Government;
"(2) improve cohesion and competency in the adoption and use of artificial intelligence within the Federal Government; and
"(3) carry out paragraphs (1) and (2) for the purposes of benefitting the public and enhancing the productivity and efficiency of Federal Government operations.
"(b)
"(1) regularly convening individuals from agencies, industry, Federal laboratories, nonprofit organizations, institutions of higher education, and other entities to discuss recent developments in artificial intelligence, including the dissemination of information regarding programs, pilots, and other initiatives at agencies, as well as recent trends and relevant information on the understanding, adoption, and use of artificial intelligence;
"(2) collecting, aggregating, and publishing on a publicly available website information regarding programs, pilots, and other initiatives led by other agencies and any other information determined appropriate by the Administrator;
"(3) advising the Administrator, the Director, and agencies on the acquisition and use of artificial intelligence through technical insight and expertise, as needed;
"(4) assist agencies in applying Federal policies regarding the management and use of data in applications of artificial intelligence;
"(5) consulting with agencies, including the Department of Defense, the Department of Commerce, the Department of Energy, the Department of Homeland Security, the Office of Management and Budget, the Office of the Director of National Intelligence, and the National Science Foundation, that operate programs, create standards and guidelines, or otherwise fund internal projects or coordinate between the public and private sectors relating to artificial intelligence;
"(6) advising the Director on developing policy related to the use of artificial intelligence by agencies; and
"(7) advising the Director of the Office of Science and Technology Policy on developing policy related to research and national investment in artificial intelligence.
"(c)
"(1)
"(2)
"(3)
"(d)
"SEC. 104. GUIDANCE FOR AGENCY USE OF ARTIFICIAL INTELLIGENCE.
"(a)
"(1) inform the development of policies regarding Federal acquisition and use by agencies regarding technologies that are empowered or enabled by artificial intelligence, including an identification of the responsibilities of agency officials managing the use of such technology;
"(2) recommend approaches to remove barriers for use by agencies of artificial intelligence technologies in order to promote the innovative application of those technologies while protecting civil liberties, civil rights, and economic and national security;
"(3) identify best practices for identifying, assessing, and mitigating any discriminatory impact or bias on the basis of any classification protected under Federal nondiscrimination laws, or any unintended consequence of the use of artificial intelligence, including policies to identify data used to train artificial intelligence algorithms as well as the data analyzed by artificial intelligence used by the agencies; and
"(4) provide a template of the required contents of the agency plans described in subsection (c).
"(b)
"(c)
"(1) a plan to achieve consistency with the memorandum; or
"(2) a written determination that the agency does not use and does not anticipate using artificial intelligence.
"(d)
"SEC. 105. UPDATE OF OCCUPATIONAL SERIES FOR ARTIFICIAL INTELLIGENCE.
"(a)
"(1) identify key skills and competencies needed for positions related to artificial intelligence;
"(2) establish an occupational series, or update and improve an existing occupational job series, to include positions the primary duties of which relate to artificial intelligence;
"(3) to the extent appropriate, establish an estimate of the number of Federal employees in positions related to artificial intelligence, by each agency; and
"(4) using the estimate established in paragraph (3), prepare a 2-year and 5-year forecast of the number of Federal employees in positions related to artificial intelligence that each agency will need to employ.
"(b)
GSA Modernization Centers of Excellence Program
"(a)
"(1)
"(2)
"(3)
"(b)
"(c)
"(1) To encourage the modernization of information technology used by an executive agency and how a customer interacts with an executive agency.
"(2) To improve cooperation between commercial and executive agency information technology sectors.
"(3) To the extent practicable, encourage the adoption of commercial items in accordance with
"(4) Upon request by the executive agency, to assist executive agencies with planning and adoption of technology in focus areas designated by the Administrator, which may include the following:
"(A) A commercial cloud computing system that includes—
"(i) end-to-end migration planning and an assessment of progress towards modernization; and
"(ii) a cybersecurity and governance framework that promotes industry and government risk management best practice approaches, prioritizing efforts based on risk, impact, and consequences.
"(B) Tools to help an individual receive support from and communicate with an executive agency.
"(C) Contact centers and other related customer supports.
"(D) Efficient use of data management, analysis, and reporting.
"(E) The optimization of infrastructure, including for data centers, and the reduction of operating costs.
"(F) Artificial intelligence.
"(5) To share best practices and expertise with executive agencies.
"(6) Other responsibilities the Administrator may identify.
"(d)
"(e)
"(1) A description of the reimbursable agreements, statements of work, and associated project schedules and deliverables for the Program.
"(2) Details on the total amount of the reimbursable agreements.
"(3) Any additional information the Administrator determines necessary.
"(f)
"(g)
Modernizing Government Technology
"SEC. 1076. DEFINITIONS.
"In this subtitle:
"(1)
"(2)
"(3)
"(4)
"(5)
"(6)
"(7)
"(8)
"SEC. 1077. ESTABLISHMENT OF AGENCY INFORMATION TECHNOLOGY SYSTEMS MODERNIZATION AND WORKING CAPITAL FUNDS.
"(a)
"(b)
"(1)
"(2)
"(A) Reprogramming and transfer of funds made available in appropriations Acts enacted after the date of enactment of this Act [Dec. 12, 2017], including the transfer of any funds for the operation and maintenance of legacy information technology systems, in compliance with any applicable reprogramming law or guidelines of the Committees on Appropriations of the Senate and the House of Representatives or transfer authority specifically provided in appropriations law.
"(B) Amounts made available to the IT working capital fund through discretionary appropriations made available after the date of enactment of this Act.
"(3)
"(A) to improve, retire, or replace existing information technology systems in the covered agency to enhance cybersecurity and to improve efficiency and effectiveness across the life of a given workload, procured using full and open competition among all commercial items to the greatest extent practicable;
"(B) to transition legacy information technology systems at the covered agency to commercial cloud computing and other innovative commercial platforms and technologies, including those serving more than 1 covered agency with common requirements;
"(C) to assist and support covered agency efforts to provide adequate, risk-based, and cost-effective information technology capabilities that address evolving threats to information security;
"(D) to reimburse funds transferred to the covered agency from the Fund with the approval of the Chief Information Officer, in consultation with the Chief Financial Officer, of the covered agency; and
"(E) for a program, project, or activity or to increase funds for any program, project, or activity that has not been denied or restricted by Congress.
"(4)
"(5)
"(A) shall prioritize funds within the IT working capital fund of the covered agency to be used initially for cost savings activities approved by the Chief Information Officer of the covered agency; and
"(B) may reprogram and transfer any amounts saved as a direct result of the cost savings activities approved under clause (i) [probably should be "subparagraph (A)"] for deposit into the IT working capital fund of the covered agency, consistent with paragraph (2)(A).
"(6)
"(A)
"(B)
"(7)
"(c)
"(1)
"(A) a list of each information technology investment funded, including the estimated cost and completion date for each investment; and
"(B) a summary by fiscal year of obligations, expenditures, and unused balances.
"(2)
"SEC. 1078. ESTABLISHMENT OF TECHNOLOGY MODERNIZATION FUND AND BOARD.
"(a)
"(b)
"(1)
"(2)
"(3)
"(A) to transfer such amounts, to remain available until expended, to the head of an agency for the acquisition of products and services, or the development of such products and services when more efficient and cost effective, to improve, retire, or replace existing Federal information technology systems to enhance cybersecurity and privacy and improve long-term efficiency and effectiveness;
"(B) to transfer such amounts, to remain available until expended, to the head of an agency for the operation and procurement of information technology products and services, or the development of such products and services when more efficient and cost effective, and acquisition vehicles for use by agencies to improve Governmentwide efficiency and cybersecurity in accordance with the requirements of the agencies;
"(C) to provide services or work performed in support of—
"(i) the activities described in subparagraph (A) or (B); and
"(ii) the Board and the Director in carrying out the responsibilities described in subsection (c)(2); and
"(D) to fund only programs, projects, or activities or to fund increases for any programs, projects, or activities that have not been denied or restricted by Congress.
"(4)
"(A)
"(B)
"(C)
"(5)
"(A)
"(i)
"(ii)
"(iii)
"(B)
"(i)
"(ii)
"(C)
"(6)
"(A)
"(i) documenting the purpose for which the funds will be used and the terms of repayment, which may not exceed 5 years unless approved by the Director; and
"(ii) which shall be recorded as an obligation as provided in paragraph (5)(A).
"(B) Requirement for use of incremental funding, commercial products and services, and rapid, iterative development practices.—The Administrator shall ensure—
"(i) for any funds transferred to an agency under paragraph (3)(A), in the absence of compelling circumstances documented by the Administrator at the time of transfer, that such funds shall be transferred only on an incremental basis, tied to metric-based development milestones achieved by the agency through the use of rapid, iterative, development processes; and
"(ii) that the use of commercial products and services are incorporated to the greatest extent practicable in activities funded under subparagraphs (A) and (B) of paragraph (3), and that the written agreement required under paragraph (6) documents this preference.
"(7)
"(A)
"(i)
"(ii)
"(B)
"(i) the costs associated with establishing the Fund and maintaining the oversight structure associated with the Fund compared with the cost savings associated with the projects funded both annually and over the life of the acquired products and services by the Fund;
"(ii) the reliability of the cost savings estimated by agencies associated with projects funded by the Fund;
"(iii) whether agencies receiving transfers of funds from the Fund used full and open competition to acquire the custom development of information technology products or services; and
"(iv) the number of IT procurement, development, and modernization programs, offices, and entities in the Federal Government, including 18F and the United States Digital Services, the roles, responsibilities, and goals of those programs and entities, and the extent to which they duplicate work.
"(c)
"(1)
"(2)
"(A) to provide input to the Director for the development of processes for agencies to submit modernization proposals to the Board and to establish the criteria by which those proposals are evaluated, which shall include—
"(i) addressing the greatest security, privacy, and operational risks;
"(ii) having the greatest Governmentwide impact; and
"(iii) having a high probability of success based on factors including a strong business case, technical design, consideration of commercial off-the-shelf products and services, procurement strategy (including adequate use of rapid, agile iterative software development practices), and program management;
"(B) to make recommendations to the Administrator to assist agencies in the further development and refinement of select submitted modernization proposals, based on an initial evaluation performed with the assistance of the Administrator;
"(C) to review and prioritize, with the assistance of the Administrator and the Director, modernization proposals based on criteria established pursuant to subparagraph (A);
"(D) to identify, with the assistance of the Administrator, opportunities to improve or replace multiple information technology systems with a smaller number of information technology services common to multiple agencies;
"(E) to recommend the funding of modernization projects, in accordance with the uses described in subsection (b)(3), to the Administrator;
"(F) to monitor, in consultation with the Administrator, progress and performance in executing approved projects and, if necessary, recommend the suspension or termination of funding for projects based on factors including the failure to meet the terms of a written agreement described in subsection (b)(6); and
"(G) to monitor the operating costs of the Fund.
"(3)
"(4)
"(5)
"(A) the Administrator of the Office of Electronic Government; and
"(B) a senior official from the General Services Administration having technical expertise in information technology development, appointed by the Administrator, with the approval of the Director.
"(6)
"(A)
"(i) 1 employee of the National Protection and Programs Directorate [now Cybersecurity and Infrastructure Security Agency] of the Department of Homeland Security, appointed by the Secretary of Homeland Security; and
"(ii) 4 employees of the Federal Government primarily having technical expertise in information technology development, financial management, cybersecurity and privacy, and acquisition, appointed by the Director.
"(B)
"(7)
"(8)
"(d)
"(1)
"(2)
"(A) to provide direct technical support in the form of personnel services or otherwise to agencies transferred amounts under subsection (b)(3)(A) and for products, services, and acquisition vehicles funded under subsection (b)(3)(B);
"(B) to assist the Board with the evaluation, prioritization, and development of agency modernization proposals.
"(C) to perform regular project oversight and monitoring of approved agency modernization projects, in consultation with the Board and the Director, to increase the likelihood of successful implementation and reduce waste; and
"(D) to provide the Director with information necessary to meet the requirements of subsection (b)(7).
"(e)
"(f)
"(1)
"(2)
"(3)
Executive Documents
Ex. Ord. No. 13960. Promoting the Use of Trustworthy Artificial Intelligence in the Federal Government
Ex. Ord. No. 13960, Dec. 3, 2020, 85 F.R. 78939, provided:
By the authority vested in me as President by the Constitution and the laws of the United States of America, it is hereby ordered as follows:
Agencies are already leading the way in the use of AI by applying it to accelerate regulatory reform; review Federal solicitations for regulatory compliance; combat fraud, waste, and abuse committed against taxpayers; identify information security threats and assess trends in related illicit activities; enhance the security and interoperability of Federal Government information systems; facilitate review of large datasets; streamline processes for grant applications; model weather patterns; facilitate predictive maintenance; and much more.
Agencies are encouraged to continue to use AI, when appropriate, to benefit the American people. The ongoing adoption and acceptance of AI will depend significantly on public trust. Agencies must therefore design, develop, acquire, and use AI in a manner that fosters public trust and confidence while protecting privacy, civil rights, civil liberties, and American values, consistent with applicable law and the goals of Executive Order 13859.
Certain agencies have already adopted guidelines and principles for the use of AI for national security or defense purposes, such as the Department of Defense's Ethical Principles for Artificial Intelligence (February 24, 2020), and the Office of the Director of National Intelligence's Principles of Artificial Intelligence Ethics for the Intelligence Community (July 23, 2020) and its Artificial Intelligence Ethics Framework for the Intelligence Community (July 23, 2020). Such guidelines and principles ensure that the use of AI in those contexts will benefit the American people and be worthy of their trust.
Section 3 of this order establishes additional principles (Principles) for the use of AI in the Federal Government for purposes other than national security and defense, to similarly ensure that such uses are consistent with our Nation's values and are beneficial to the public. This order further establishes a process for implementing these Principles through common policy guidance across agencies.
(b) It is the policy of the United States that responsible agencies, as defined in section 8 of this order, shall, when considering the design, development, acquisition, and use of AI in Government, be guided by the common set of Principles set forth in section 3 of this order, which are designed to foster public trust and confidence in the use of AI, protect our Nation's values, and ensure that the use of AI remains consistent with all applicable laws, including those related to privacy, civil rights, and civil liberties.
(c) It is the policy of the United States that the Principles for the use of AI in Government shall be governed by common policy guidance issued by the Office of Management and Budget (OMB) as outlined in section 4 of this order, consistent with applicable law.
(a) Lawful and respectful of our Nation's values. Agencies shall design, develop, acquire, and use AI in a manner that exhibits due respect for our Nation's values and is consistent with the Constitution and all other applicable laws and policies, including those addressing privacy, civil rights, and civil liberties.
(b) Purposeful and performance-driven. Agencies shall seek opportunities for designing, developing, acquiring, and using AI, where the benefits of doing so significantly outweigh the risks, and the risks can be assessed and managed.
(c) Accurate, reliable, and effective. Agencies shall ensure that their application of AI is consistent with the use cases for which that AI was trained, and such use is accurate, reliable, and effective.
(d) Safe, secure, and resilient. Agencies shall ensure the safety, security, and resiliency of their AI applications, including resilience when confronted with systematic vulnerabilities, adversarial manipulation, and other malicious exploitation.
(e) Understandable. Agencies shall ensure that the operations and outcomes of their AI applications are sufficiently understandable by subject matter experts, users, and others, as appropriate.
(f) Responsible and traceable. Agencies shall ensure that human roles and responsibilities are clearly defined, understood, and appropriately assigned for the design, development, acquisition, and use of AI. Agencies shall ensure that AI is used in a manner consistent with these Principles and the purposes for which each use of AI is intended. The design, development, acquisition, and use of AI, as well as relevant inputs and outputs of particular AI applications, should be well documented and traceable, as appropriate and to the extent practicable.
(g) Regularly monitored. Agencies shall ensure that their AI applications are regularly tested against these Principles. Mechanisms should be maintained to supersede, disengage, or deactivate existing applications of AI that demonstrate performance or outcomes that are inconsistent with their intended use or this order.
(h) Transparent. Agencies shall be transparent in disclosing relevant information regarding their use of AI to appropriate stakeholders, including the Congress and the public, to the extent practicable and in accordance with applicable laws and policies, including with respect to the protection of privacy and of sensitive law enforcement, national security, and other protected information.
(i) Accountable. Agencies shall be accountable for implementing and enforcing appropriate safeguards for the proper use and functioning of their applications of AI, and shall monitor, audit, and document compliance with those safeguards. Agencies shall provide appropriate training to all agency personnel responsible for the design, development, acquisition, and use of AI.
(b) Within 180 days of the date of this order [Dec. 3, 2020], the Director of OMB (Director), in coordination with key stakeholders identified by the Director, shall publicly post a roadmap for the policy guidance that OMB intends to create or revise to better support the use of AI, consistent with this order. This roadmap shall include, where appropriate, a schedule for engaging with the public and timelines for finalizing relevant policy guidance. In addressing novel aspects of the use of AI in Government, OMB shall consider updates to the breadth of its policy guidance, including OMB Circulars and Management Memoranda.
(c) Agencies shall continue to use voluntary consensus standards developed with industry participation, where available, when such use would not be inconsistent with applicable law or otherwise impracticable. Such standards shall also be taken into consideration by OMB when revising or developing AI guidance.
(b) Within 180 days of the CIO Council's completion of the directive in section 5(a) of this order, and annually thereafter, each agency shall prepare an inventory of its non-classified and non-sensitive use cases of AI, within the scope defined by section 9 of this order, including current and planned uses, consistent with the agency's mission.
(c) As part of their respective inventories of AI use cases, agencies shall identify, review, and assess existing AI deployed and operating in support of agency missions for any inconsistencies with this order.
(i) Within 120 days of completing their respective inventories, agencies shall develop plans either to achieve consistency with this order for each AI application or to retire AI applications found to be developed or used in a manner that is not consistent with this order. These plans must be approved by the agency-designated responsible official(s), as described in section 8 of this order, within this same 120-day time period.
(ii) In coordination with the Agency Data Governance Body and relevant officials from agencies not represented within that body, agencies shall strive to implement the approved plans within 180 days of plan approval, subject to existing resource levels.
(d) Within 60 days of the completion of their respective inventories of use cases of AI, agencies shall share their inventories with other agencies, to the extent practicable and consistent with applicable law and policy, including those concerning protection of privacy and of sensitive law enforcement, national security, and other protected information. This sharing shall be coordinated through the CIO and Chief Data Officer Councils, as well as other interagency bodies, as appropriate, to improve interagency coordination and information sharing for common use cases.
(e) Within 120 days of the completion of their inventories, agencies shall make their inventories available to the public, to the extent practicable and in accordance with applicable law and policy, including those concerning the protection of privacy and of sensitive law enforcement, national security, and other protected information.
(b) Within 45 days of the date of this order, the Office of Personnel Management (OPM), in coordination with GSA and relevant agencies, shall create an inventory of Federal Government rotational programs and determine how these programs can be used to expand the number of employees with AI expertise at the agencies.
(c) Within 180 days of the creation of the inventory of Government rotational programs described in section 7(b) of this order, OPM shall issue a report with recommendations for how the programs in the inventory can be best used to expand the number of employees with AI expertise at the agencies. This report shall be shared with the interagency coordination bodies identified pursuant to section 6 of this order, enabling agencies to better use these programs for the use of AI, consistent with this order.
(b) This order applies to agencies that have use cases for AI that fall within the scope defined in section 9 of this order, and excludes the Department of Defense and those agencies and agency components with functions that lie wholly within the Intelligence Community. The term "Intelligence Community" has the meaning given the term in
(c) Within 30 days of the date of this order, each agency shall specify the responsible official(s) at that agency who will coordinate implementation of the Principles set forth in section 3 of this order with the Agency Data Governance Body and other relevant officials and will collaborate with the interagency coordination bodies identified pursuant to section 6 of this order.
(b) Except for the exclusions set forth in section 9(d) of this order, or provided for by applicable law, the Principles and implementation guidance in this order shall apply to AI designed, developed, acquired, or used specifically to advance the execution of agencies' missions, enhance decision making, or provide the public with a specified benefit.
(c) This order applies to both existing and new uses of AI; both stand-alone AI and AI embedded within other systems or applications; AI developed both by the agency or by third parties on behalf of agencies for the fulfilment of specific agency missions, including relevant data inputs used to train AI and outputs used in support of decision making; and agencies' procurement of AI applications.
(d) This order does not apply to:
(i) AI used in defense or national security systems (as defined in
(ii) AI embedded within common commercial products, such as word processors or map navigation systems, while noting that Government use of such products must nevertheless comply with applicable law and policy to assure the protection of safety, security, privacy, civil rights, civil liberties, and American values; and
(iii) AI research and development (R&D) activities, although the Principles and OMB implementation guidance should inform any R&D directed at potential future applications of AI in the Federal Government.
(i) the authority granted by law to an executive department or agency, or the head thereof; or
(ii) the functions of the Director relating to budgetary, administrative, or legislative proposals.
(b) This order shall be implemented consistent with applicable law and subject to the availability of appropriations.
(c) 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 departments, agencies, or entities, its officers, employees, or agents, or any other person.
Donald J. Trump.
§11302. Capital planning and investment control
(a)
(b)
(c)
(1)
(A) The term "covered agency" means an agency listed in
(B) The term "major information technology investment" means an investment within a covered agency information technology investment portfolio that is designated by the covered agency as major, in accordance with capital planning guidance issued by the Director.
(C) The term "national security system" has the meaning provided in
(2)
(3)
(A)
(B)
(i) The Director shall issue guidance to each covered agency for reporting of data required by subparagraph (A) that provides a standardized data template that can be incorporated into existing, required data reporting formats and processes. Such guidance shall integrate the reporting process into current budget reporting that each covered agency provides to the Office of Management and Budget, to minimize additional workload. Such guidance shall also clearly specify that the investment evaluation required under subparagraph (C) adequately reflect the investment's cost and schedule performance and employ incremental development approaches in appropriate cases.
(ii) The Chief Information Officer of each covered agency shall provide the Director with the information described in subparagraph (A) on at least a semi-annual basis for each major information technology investment, using existing data systems and processes.
(C)
(D)
(E)
(F)
(i) under the National Intelligence Program, defined by section 3(6) of the National Security Act of 1947 (
(ii) under the Military Intelligence Program or any successor program or programs; or
(iii) jointly under the National Intelligence Program and the Military Intelligence Program (or any successor program or programs).
(4)
(A) the Chief Information Officer of the covered agency and the program manager of the investment within the covered agency, in consultation with the Administrator of the Office of Electronic Government, shall conduct a review of the investment that shall identify—
(i) the root causes of the high level of risk of the investment;
(ii) the extent to which these causes can be addressed; and
(iii) the probability of future success;
(B) the Administrator of the Office of Electronic Government shall communicate the results of the review under subparagraph (A) to—
(i) the Committee on Homeland Security and Governmental Affairs and the Committee on Appropriations of the Senate;
(ii) the Committee on Oversight and Government Reform and the Committee on Appropriations of the House of Representatives; and
(iii) the committees of the Senate and the House of Representatives with primary jurisdiction over the agency;
(C) in the case of a major information technology investment of the Department of Defense, the assessment required by subparagraph (A) may be accomplished in accordance with section 2445c 1 of title 10, provided that the results of the review are provided to the Administrator of the Office of Electronic Government upon request and to the committees identified in subsection (B); and
(D) for a covered agency other than the Department of Defense, if on the date that is one year after the date of completion of the review required under subsection (A), the investment is rated as high risk under paragraph (3)(C), the Director shall deny any request for additional development, modernization, or enhancement funding for the investment until the date on which the Chief Information Officer of the covered agency determines that the root causes of the high level of risk of the investment have been addressed, and there is sufficient capability to deliver the remaining planned increments within the planned cost and schedule.
(5)
(d)
(e)
(f)
(g)
(h)
(i)
(j)
(k)
(
| Revised Section | Source (U.S. Code) | Source (Statutes at Large) |
|---|---|---|
| 11302 | 40:1412. |
Editorial Notes
References in Text
The text of
Amendments
2017—Subsec. (c)(5).
2014—Subsec. (c).
2004—Subsec. (b).
Subsec. (c)(1).
Statutory Notes and Related Subsidiaries
Change of Name
Committee on Oversight and Government Reform of House of Representatives changed to Committee on Oversight and Reform of House of Representatives by House Resolution No. 6, One Hundred Sixteenth Congress, Jan. 9, 2019. Committee on Oversight and Reform of House of Representatives changed to Committee on Oversight and Accountability of House of Representatives by House Resolution No. 5, One Hundred Eighteenth Congress, Jan. 9, 2023.
Management of Software Licenses
"SECTION 1. SHORT TITLE.
"This Act may be cited as the 'Making Electronic Government Accountable By Yielding Tangible Efficiencies Act of 2016' or the 'MEGABYTE Act of 2016'.
"SEC. 2. OMB DIRECTIVE ON MANAGEMENT OF SOFTWARE LICENSES.
"(a)
"(1) the term 'Director' means the Director of the Office of Management and Budget; and
"(2) the term 'executive agency' has the meaning given that term in
"(b)
"(1) identify clear roles, responsibilities, and central oversight authority within the executive agency for managing enterprise software license agreements and commercial software licenses; and
"(2) require the Chief Information Officer of each executive agency to—
"(A) establish a comprehensive inventory, including 80 percent of software license spending and enterprise licenses in the executive agency, by identifying and collecting information about software license agreements using automated discovery and inventory tools;
"(B) regularly track and maintain software licenses to assist the executive agency in implementing decisions throughout the software license management life cycle;
"(C) analyze software usage and other data to make cost-effective decisions;
"(D) provide training relevant to software license management;
"(E) establish goals and objectives of the software license management program of the executive agency; and
"(F) consider the software license management life cycle phases, including the requisition, reception, deployment and maintenance, retirement, and disposal phases, to implement effective decisionmaking and incorporate existing standards, processes, and metrics.
"(c)
"(1)
"(2)
Appropriate Use of Requirements Regarding Experience and Education of Contractor Personnel in the Procurement of Information Technology Services
"(a)
"(b)
"(1) the contracting officer first determines that the needs of the executive agency cannot be met without any such requirement; or
"(2) the needs of the executive agency require the use of a type of contract other than a performance-based contract.
"(c)
"(1) executive agency compliance with the regulations; and
"(2) conformance of the regulations with existing law, together with any recommendations that the Comptroller General considers appropriate.
"(d)
"(1) The term 'executive agency' has the meaning given that term in section 4(1) of the Office of Federal Procurement Policy Act (former
"(2) The term 'information technology' has the meaning given that term in section 5002(3) of the Clinger-Cohen Act of 1996 (
"(3) The term 'performance-based', with respect to a contract, means that the contract includes the use of performance work statements that set forth contract requirements in clear, specific, and objective terms with measurable outcomes."
1 See References in Text note below.
§11303. Performance-based and results-based management
(a)
(b)
(1)
(2)
(A) establish effective and efficient capital planning processes for selecting, managing, and evaluating the results of all of its major investments in information systems;
(B) determine, before making an investment in a new information system—
(i) whether the function to be supported by the system should be performed by the private sector and, if so, whether any component of the executive agency performing that function should be converted from a governmental organization to a private sector organization; or
(ii) whether the function should be performed by the executive agency and, if so, whether the function should be performed by a private sector source under contract or by executive agency personnel;
(C) analyze the missions of the executive agency and, based on the analysis, revise the executive agency's mission-related processes and administrative processes, as appropriate, before making significant investments in information technology to be used in support of those missions; and
(D) ensure that the information security policies, procedures, and practices are adequate.
(3)
(4)
(5)
(A)
(B)
(i) recommending a reduction or an increase in the amount for information resources that the head of the executive agency proposes for the budget submitted to Congress under
(ii) reducing or otherwise adjusting apportionments and reapportionments of appropriations for information resources;
(iii) using other administrative controls over appropriations to restrict the availability of amounts for information resources; and
(iv) designating for the executive agency an executive agent to contract with private sector sources for the performance of information resources management or the acquisition of information technology.
(
| Revised Section | Source (U.S. Code) | Source (Statutes at Large) |
|---|---|---|
| 11303 | 40:1413. |