Department of the Treasury 

Office of Financial Research 

Congressional Budget 

Justification and Annual 

Performance Report and Plan 

FY 2021 
OFR - 2 

Table of Contents 

Section I - Budget Request ........................................................................................................... 3

A – Mission and Vision Statement ............................................................................................. 3

B – Summary of the Request ...................................................................................................... 3

1.1 – Resource Detail Table ........................................................................................................ 3

1.2 – Budget Adjustments Table ................................................................................................. 4

1.3 – Object Classification (Schedule O) Obligations ................................................................ 5

D – Appropriations Language and Explanation of Changes ...................................................... 5

E – Legislative Proposals ............................................................................................................ 5

Section II – Annual Performance Plan and Report ................................................................... 6

A – Strategic Alignment ............................................................................................................. 6

B – Budget and Performance by Budget Activity ...................................................................... 7

2.1.1 – Data Center Resources and Measures ............................................................................. 7

Data Center ................................................................................................................................. 7

2.1.2 – Technology Center Resources and Measures ................................................................. 9

Technology Center ...................................................................................................................... 9

2.1.3 – Research and Analysis Center Resources and Measures .............................................. 10

Research and Analysis Center .................................................................................................. 10

2.1.4 – Operations and Support Services Resources and Measures ......................................... 11

Operations and Support Services .............................................................................................. 11

C – Changes in Performance Measures .................................................................................... 12

D – Evidence-Building Activity ............................................................................................... 12

Section III – Additional Information ........................................................................................ 13

A – Summary of Capital Investments ....................................................................................... 13

 
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Section I - Budget Request 

A – Mission and Vision Statement 

Mission: Promote financial stability by delivering high-quality financial data, standards, and 

analysis for the Financial Stability Oversight Council (FSOC or Council) and public.

Vision: A transparent, accountable, and resilient financial system. 

B – Summary of the Request 

The Office of Financial Research (OFR or Office) is estimating a fiscal year (FY) 2021 funding 

level of $75.271 million, which is flat with its FY 2020 estimated funding level. The request 

supports OFR priorities without the need for increased funding. The FY 2021 Budget shifts from 

Operations and Support to Technology Center, Data Center, and Research and Analysis Center 

(RAC) will allow the OFR to focus on its legislative mandate under the Dodd-Frank Act. The 

budget reflects an FTE level of 145, which aligns with the workforce plan that formed the basis 

for OFR’s recent Reduction in Force (RIF) and seeks to ensure appropriate structure for 

maximum efficiency. The FY 2021 Budget also proposes to impose appropriate Congressional 

oversight of OFR functions by subjecting its activities to the annual appropriations process 

beginning in FY 2022. 

1.1 – Resource Detail Table 

Dollars in Thousands 

 FY 2019 FY 2020 FY 2021 FY 2020 to FY 2021 

Budgetary Resources Actual Estimate Estimate % Change 

 FTE AMOUNT FTE AMOUNT FTE AMOUNT FTE AMOUNT 

Revenue/Offsetting Collections 

Assessments 0 $55,020 0 $62,386 0 $65,215 NA 4.5% 

Interest 0 $1,453 0 $1,254 0 $1,254 NA 0.0% 

Recoveries 0 $5,549 0 $5,047 0 $5,047 NA 0.0% 

Restoration of Sequestration Rescission 0 $3,262 0 $3,482 0 $3,755 NA 7.8% 

Unobligated Balances from Prior Years 0 $47,774 0 $49,715 0 $42,858 NA -13.8% 

Total Revenue/Offsetting Collections 0 $113,058 0 $121,884 0 $118,129 NA -3.1% 

Expenses/Obligations 

Data Center 9 $5,849 11 $3,499 12 $3,575 9.1% 2.2% 

Technology Center 47 $28,278 57 $34,450 63 $35,986 10.5% 4.5% 

Research and Analysis Center 24 $8,238 31 $14,111 36 $14,290 16.1% 1.3% 

Operations and Support Services 25 $17,496 29 $23,211 34 $21,420 17.2% -7.7% 

Total Expenses/Obligations 105 $59,861 128 $75,271 145 $75,271 13.3% 0.0% 

Sequestration Reduction ($3,482) ($3,755) $0 

Net Results 105 $49,715 128 $42,858 145 $42,858 13.3% 0.0% 

1) The OFR is financed through assessments on certain bank holding companies and nonbank financial companies. See Treasury’s final rule and 

interim final rule governing the Assessments process: https://www.financialresearch.gov/strategy-budget/files/final_rule_interim_final_rule.pdf

2) The funding for the first six months of operating expenses and 12 months of capital expenses are reflected in Unobligated Balances from Prior 

Years. This is because the first assessment covering the fiscal year beginning October 1 is collected on September 15 of the prior fiscal year. 
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1.2 – Budget Adjustments Table 

Dollars in Thousands 

 FTE Amount 

FY 2020 Estimated 128 $75,271 

Changes to Base: 

Program Increases: 17 $2,155 

Increased Staffing 17 $2,155 

Non-Recurring Costs 0 ($2,155) 

Subtotal Changes to Base 17 $0 

FY 2021 Current Services 145 $75,271 

Program Changes: 

Subtotal Changes to Base 0 $0 

FY 2021 Estimate 145 $75,271 

C – Budget Increases and Decreases Description 

Program Increases ....................................................................................+$2,155,000 / +17 FTE 

Increased Staffing $+2,155,000 / +17 FTE 

In the wake of higher than anticipated attrition rates after the RIF conducted in FY 2019, 17 

FTEs are returned in the FY 2021 request relative to FY 2020. OFR will continue to fill positions 

that OFR identified pre-RIF as critical to the OFR’s future state and will fill critical vacancies 

created by attrition. 

Non-Recurring Costs ................................................................................... -$2,155,000 / +0 FTE 

Non-Recurring Costs -$2,155,000 / +0 FTE 

One-time costs related to post-RIF contractor staffing and space reconfiguration, as well as 

certain technology support costs, will non-recur. 
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1.3 – Object Classification (Schedule O) Obligations

1) Personnel compensation and benefits include direct OFR staff members only. Object Classification 25.3, “Other goods and services from 

Federal sources,” and expenditures of “Operations and Support Services” include reimbursable support received from Treasury’s Departmental 

Offices; personnel benefits services from the Office of the Comptroller of the Currency; and services from Treasury’s Bureau of the Fiscal 

Service Administrative Resource Center, including human resource, procurement, travel, and financial management services. 

D – Appropriations Language and Explanation of Changes

The OFR receives no appropriations from Congress. 

E – Legislative Proposals 

The Budget proposes to impose appropriate Congressional oversight of OFR functions by 

subjecting its activities to the annual appropriations process beginning in FY 2022. 

Dollars in Thousands

FY 2019 FY 2020 FY 2021

O bject Classification

Actual 

O bligations

Estimated 

O bligations

Estimated

O bligations

11.1 - Full-time permanent 17,870 21,872 23,381

11.3 - Other than full-time permanent 5 0 0

11.5 - Other personnel compensation 374 0 0

11.9 - Personnel Compensation (Total) 18,249 21,872 23,381

12.0 - Personnel benefits 6,929 9,374 10,020

13.0 - Benefits for former personnel 820 0 0

Total Personnel and Compensation Benefits $25,998 $31,246 $33,401

21.0 - Travel and transportation of persons 164 386 415

22.0 - Transportation of things 1 0 0

23.3 - Communication, utilities, and misc charges 69 140 80

24.0 - Printing and reproduction 13 0 0

25.1 - Advisory and assistance services 15,810 6,284 6,515

25.2 - Other services 20 9,321 6,918

25.3 - Other purchases of goods & serv frm Govt accounts 6,655 14,686 14,687

25.4 - Operation and maintenance of facilities 0 89 89

25.7 - Operation and maintenance of equip 4,445 1,967 2,007

26.0 - Supplies and materials 6,187 7,704 7,612

31.0 - Equipment 329 3,448 3,547

32.0 - Land and structures 170 0 0

Total Non-Personnel 33,863 44,025 41,870

Total Budgetary Resources $59,861 $75,271 $75,271

Full-time Equivalents (FTE) 105 128 145
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Section II – Annual Performance Plan and Report 

A – Strategic Alignment 

The OFR was established by the Dodd-Frank Wall Street Reform and Consumer Protection Act 

of 2010 to assist the Financial Stability Oversight Council (FSOC) and Congress though 

research, analytic tools, and data-related support on issues related to financial stability. The 

OFR’s efforts, focused through consultation with the FSOC, the Department of the Treasury, and 

other important stakeholders, will help drive toward the vision of a stable, transparent, and 

efficient financial system. 

The OFR’s mandated work is in direct alignment with Treasury’s Strategic Plan for FY 2018-

2022 under the following goals: 

 Goal 2 - Promote Financial Stability 

 Goal 5 - Achieve Operational Excellence 

OFR priorities for FY 2020 and FY 2021 that support these strategic goals include: 

1. Conducting relevant research and providing timely financial stability analysis and data 

products to FSOC, Congress, and the Public. 

2. Administering highly secure and efficient service-oriented technology, data collection, data 

management, and data mandate-oriented programs; continuing engagement as an essential 

source of standards expertise and becoming a source of standardized data necessary for 

financial stability risk measurement and monitoring. 

3. Strengthening management accountability and employee engagement to continuously 

improve support for the Financial Stability Oversight Council (FSOC) and its member 

agencies. 

OFR’s first two priorities for fiscal years 2020 and 2021 contribute to Treasury’s Goal 2: 

Promote Financial Stability. The focus will be in monitoring risks to financial stability and in 

enhancing and expanding tools for the OFR, FSOC members, and the public to use in monitoring 

those risks. Another key area of focus for the OFR will be to provide research and policy 

analysis that informs decision-makers and balances the need for stability with the need for 

efficient and effective regulation. The OFR will also continue its work to identify and fill 

financial data gaps; and to develop and implement financial data standards. Data standards 

underpin the quality and comparability of financial data needed for regulatory oversight work. 

Specific examples of this work include the OFR’s ongoing data collection of centrally-cleared 

repo agreements as well as support for the Secured Overnight Financing Rate planned as an 

alternative to The London Inter-bank Offered Rate. The OFR will also continue to publish its 

statutorily-mandated Annual Report that assesses the state of the U.S. financial system and 

presents key findings from the OFR’s research in addition to assisting the FSOC Secretariat with 

data, analysis, and other resources needed for its annual report to Congress. Across all of the 

OFR’s work, high quality data and strong research expertise, supported by strong information 

technology (IT), are essential. 

The OFR’s third priority aligns with Treasury’s Goal 5: Achieve Operational Excellence. As a 

result of an organization-wide reexamination conducted in FY 2018, the OFR completed a 
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workforce reshaping in FY 2019. At the end of FY 2019, a new Director was appointed to lead 

the Office. The Director implemented a broad human capital strategy to strengthen management 

accountability and employee engagement. In recognition that organizational excellence is 

necessary for the OFR to achieve its mission, work slated for FY 2020 and FY 2021 include 

initiatives related to the Employee Viewpoint Survey, internal communications, process 

improvements, and performance management, among others. 

The OFR is in the process of finalizing its FY 2020-2024 Strategic Plan and has made additions 

to its performance measures to better capture progress in some of the areas described above. 

With the upcoming publication of its strategic plan, the OFR may add or refine performance 

measures and indicators to the FY 2022 Budget. 

B – Budget and Performance by Budget Activity 

2.1.1 – Data Center Resources and Measures 

Dollars in Thousands 

 FY 2015 FY 2016 FY 2017 FY 2018 FY 2019 FY 2020 FY 2021 

 Resource Level Actual Actual Actual Actual Actual Estimate Estimate 

Expenses/Obligations $17,240 $16,477 $17,833 $15,967 $5,849 $3,499 $3,575 

Budget Activity Total $17,240 $16,477 $17,833 $15,967 $5,849 $3,499 $3,575 

Full-time Equivalents (FTE) 51 37 44 42 9 11 12 

Note: In FY 2015 and prior, the Data and Technology Centers jointly referred to as the Data Center.

 FY 2015 FY 2016 FY 2017 FY 2018 FY 2019 FY 2019 FY 2020 FY 2021 

Measure Actual Actual Actual Actual Actual Target Target Target 

Number of LEIs Issued 

Cumulatively in the United 

States and Internationally 

 

395,861 

 

464,412 

 

587,941 

 

1,300,832 

 

1,487,695 I I I 

Number of Times That 

Financial Data Standards are 

Incorporated in Rules and 

Regulations 

2 9 4 1 1 I I I 

Key: I – Indicator 

Data Center 

($3,575,000 from Assessments):

The Data Center seeks new ways to promote and share the OFR’s data and data analytic products 

with external stakeholders and promotes the development and use of data standards to improve 

the quality and sharing of data across the regulatory system. As a result of recent restructuring, 

the Data Center’s data operations functions transitioned to the Technology Center, which is now 

responsible for collecting, validating, safeguarding, and disseminating financial data necessary to 

achieve OFR’s mandate. The Data Center’s efforts are divided into two major focus areas, Data 

Products and Data Standards. 

Data Products 

The Data Products Team, created during the restructuring, develops new and innovative financial 

stability monitoring tools. The team also identifies enhancements to existing tools that meet the 

needs of OFR’s stakeholders. 

Product managers will oversee a portfolio of data products designed to monitor stability in the 

financial markets. Stakeholder liaisons will continue the OFR’s engagement with the FSOC 
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Secretariat, FSOC member agencies, the financial services industry, and others to ensure OFR’s 

data products meet stakeholders’ needs as well as get a better understanding of unmet or 

underserved data needs. 

The OFR envisions its data products as high-quality monitoring tools to be used by key 

stakeholders, such as the FSOC and its members, members of Congress, financial industry 

participants, academics, the news media, and the public. Current tools include four online 

monitors, described in more detail below in Section D on Evidence-Building Activity. In 

FY 2020 and FY 2021, the OFR will continue to enhance existing products. 

Data Standards 

The Data Center leads work on the OFR’s priority to continue engagement as an essential source 

of standards expertise necessary for financial stability risk measurement and monitoring. 

Standards for financial data will benefit regulators and financial market participants by making 

data aggregation easier, improving analysis, and reducing data collection costs. The OFR 

monitors progress through the following key performance indicators. Note that these are not 

measures but indicators because the OFR, through mechanisms such as its leadership in 

standards and regulatory oversight bodies and providing technical guidance to other regulators, 

can influence these metrics but cannot directly control them. 

Data Center Description of Performance:

 Number of Legal Entity Identifiers (LEIs) Issued Cumulatively in the United States and 

Internationally – This indicator tracks the progress over time of industry’s use of the LEI. 

The Data Center monitors this indicator with the expectation that it will continue to rise over 

time. If that trend were to reverse, it would revisit its strategies for promoting the adoption 

of this important identifier. 

 Number of Times that Financial Data Standards are Incorporated in Rules and Regulations – 

This data point serves as an indicator of regulators’ awareness of the importance of data 

standards and the extent to which data standards are being adopted in rules and regulations. 

Similar to the indicator above, the Data Center monitors activity in this area to determine 

whether relevant pending rules and regulations incorporate financial data standards as 

appropriate. 

During FY 2019, the number of LEIs issued continued its upward trend, increasing by 

approximately 14 percent from the prior year. The Data Center will continue its strategy of 

engagement with financial data standards-setting organizations. 

For FY 2019, the OFR was directly responsible for having a financial data standard incorporated 

into a rule or regulation: the OFR passed a final rule to collect repurchase agreements (repo) data 

that includes the reporting of LEIs. 
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2.1.2 – Technology Center Resources and Measures 

Dollars in Thousands 

 FY 2015 FY 2016 FY 2017 FY 2018 FY 2019 FY 2020 FY 2021 

 Resource Level Actual Actual Actual Actual Actual Estimate Estimate 

Expenses/Obligations $30,970 $32,132 $29,235 $23,530 $28,278 $34,450 $35,986 

Budget Activity Total $30,970 $32,132 $29,235 $23,530 $28,278 $34,450 $35,986 

Full-time Equivalents (FTE) 51 61 63 52 47 57 63 

Note: In FY 2015 and prior the Data and Technology Centers jointly referred to as the Data Center. 

Technology Center 

($35,986,000 from Assessments):

The OFR Technology Center provides mission-critical analytic services that support complex 

and sensitive financial data research for the FSOC and OFR. As a result of a recent 

restructuring, the Technology Center is currently responsible for collecting, validating, 

safeguarding and disseminating financial data necessary to achieve the OFR mission. The 

Center also acquires and maintains analytic platforms, software, telecommunications, client 

applications, and office automation solutions as required to meet the Office mission. 

 

U.S. Centrally-Cleared Repurchase Agreement Data Collection 

The OFR has begun a phased-in collection of data pursuant to a final rule regarding U.S. 

centrally-cleared repurchase agreements (repos), which represents the OFR’s first daily data 

collection. The Technology Center will continue to operationalize the daily collection 

processes that include validation and transformation of the collected data to support business 

uses. This budget request provides for the needed capacity and capabilities to support this 

critical daily collection. The OFR intends to develop performance measures related to the data 

collection and series publication after establishing baseline experience during the coming year. 

Cloud Transition 

OFR’s mission requires the use of vast amounts of data to identify financial risks while 

reducing the burden of regulation and direct costs to the public. During the most recent 

technology refresh cycle, the OFR took the opportunity to reevaluate its Information 

Technology systems and services, taking into account risk management and compliance 

practices to ensure proper protection of all managed data assets. As a result of this evaluation, 

an $800,000 per year cost savings was realized by moving a large quantity of IT equipment 

and services to a cloud based platform. This funding has been reinvested in other OFR 

priorities. Future years of services are expected to result in as much as $12 million in cost 

savings every four to five years compared to previous information technology refreshes upon 

migration to the cloud. The OFR has internal performance measures for this activity, however 

they are not public because the measures contain sensitive information. 

 
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2.1.3 – Research and Analysis Center Resources and Measures 

Dollars in Thousands 

 FY 2015 FY 2016 FY 2017 FY 2018 FY 2019 FY 2020 FY 2021 

 Resource Level Actual Actual Actual Actual Actual Estimate Estimate 

Expenses/Obligations $10,396 $14,239 $15,605 $12,302 $8,238 $14,111 $14,290 

Budget Activity Total $10,396 $14,239 $15,605 $12,302 $8,238 $14,111 $14,290 

Full-time Equivalents (FTE) 43 54 53 42 24 31 36 

 FY 2015 FY 2016 FY 2017 FY 2018 FY 2019 FY 2019 FY 2020 FY 2021 

Measure Actual Actual Actual Actual Actual Target Target Target 

Percent of Monitors 

Updated or Expanded 

During the Reporting 

Period (%) 

N/A N/A N/A N/A N/A N/A 90 95 

Timeliness of Responses 

to FSOC Research and 

Analysis Requests (%) 

N/A N/A N/A N/A N/A N/A 90 95 

Research and Analysis Center 

($14,290,000 from Assessments): 

The Research and Analysis Center conducts research and analysis on systemic risk, 

macroprudential policy, and financial stability. Working closely with the FSOC, the Treasury, 

the Financial Research Advisory Council, and other key stakeholders, the OFR collaboratively 

identifies important issues that need to be addressed and focuses its resources on delivering 

impactful results. 

Supporting the FSOC and Congress with Timely and Relevant Research, Analysis, and Risk 

monitoring tools. 

The Research and Analysis Center contributes to nearly all of the OFR’s priorities. In particular, 

the Center is focused on engaging with FSOC and others to drive its research agenda and to help 

identify the tools needed for risk monitoring. The Research and Analysis Center will also work 

on enhancing its existing monitoring tools. Throughout FY 2020 and FY 2021, the Research and 

Analysis Center will continue its direct work for the FSOC Secretariat, providing support for its 

annual report to Congress in the form of research, analysis, and other resources. The Center will 

contribute to the FSOC’s transition to an activities-based approach for the non-bank designation 

process and will continue to respond to specific requests for research and analysis as needed. 

The OFR has introduced two new measures which reflect its focus on meeting FSOC’s research 

and analysis needs; and its priority around risk monitoring tools. As noted above, once the OFR 

has finalized its FY 2020-2024 Strategic Plan, it may identify additional metrics to help track 

progress toward its strategic goals and objectives. 

Research and Analysis Center Description of Performance:

 Percent of Monitors Updated or Expanded during the Reporting Period (new): Percentage is 

defined as the number of monitors updated or expanded divided by the total number of 

monitors during the reporting period. This will be reported both quarterly and annually. 

This measure tracks performance on OFR’s priority area related to risk monitoring tools and 
OFR - 11 

also serves as an indicator that update processes are operating without issues. The data will 

come from internal logs. 

 Timeliness of Responses to FSOC Research and Analysis Requests (new): Percentage is 

defined as the number of timely responses divided by the total number of requests, where 

timely is defined as by the agreed-upon date of delivery. This measure helps track 

performance on OFR’s priority to provide timely service delivery to FSOC as OFR’s primary 

stakeholder. The data is recorded in an excel spreadsheet recording request dates, due dates, 

and actual delivery dates. 

2.1.4 – Operations and Support Services Resources and Measures 

Dollars in Thousands 

 FY 2015 FY 2016 FY 2017 FY 2018 FY 2019 FY 2020 FY 2021 

 Resource Level Actual Actual Actual Actual Actual Estimate Estimate 

Expenses/Obligations $26,110 $32,026 $26,533 $24,226 $17,496 $23,211 $21,420 

Budget Activity Total $26,110 $32,026 $26,533 $24,226 $17,496 $23,211 $21,420 

Full-time Equivalents (FTE) 49 56 59 49 25 29 34 

Operations and Support Services 

($21,420,000 from Assessments):

The category “Operations and Support Services” contains the activities of the Director’s Office, 

Operations, and Chief Counsel. The category includes support provided through a shared 

services model and reimbursable arrangements with Treasury’s Departmental Offices; personnel 

benefits services from the Office of the Comptroller of the Currency; and services from 

Treasury’s Bureau of the Fiscal Service Administrative Resource Center, including services 

related to human resources, procurement, travel, and financial management. 

Following the significant restructuring of its organization, the OFR has made organizational 

excellence a critical priority. Initiatives related to the Employee Viewpoint Survey, internal 

communications, process improvements, and performance management will be led by 

Operations and guided by the Director’s Office and Chief Counsel. As these initiatives are 

planned and implemented, Operations will identify measures to track progress in these areas. As 

appropriate, these measures may be included in the FY 2022 request. 

 
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C – Changes in Performance Measures 

Performance Measure or Indicator Proposed Change and Justification 

1. Percent of Monitors Updated or 

Expanded during the Reporting 

Period (new)

Percentage is defined as the number of monitors 

updated or expanded divided by the total number of 

monitors during the reporting period. This will be 

reported both quarterly and annually. This measure 

tracks performance on OFR’s priority area related to 

risk monitoring tools and also serves as an indicator 

that update processes are operating without issues. 

The data will come from internal logs.

2. Timeliness of Responses to FSOC 

Research and Analysis Requests 

(new)

Percentage is defined as the number of timely 

responses divided by the total number of requests, 

where timely is defined as by the agreed-upon date of 

delivery. 

This measure helps track performance on OFR’s 

priority to provide timely service delivery to FSOC as 

OFR’s primary stakeholder. The data is recorded in 

an excel spreadsheet recording request dates, due 

dates, and actual delivery dates.

D – Evidence-Building Activity 

The OFR’s overall function and purpose—on behalf of the FSOC—is to provide high-quality 

financial data and data-driven research and analysis to inform policymakers, regulators, financial 

market participants, and the American public about threats to the financial stability of the U.S. 

In FY 2019, the OFR conducted data-driven research and analysis to deliver a report to Congress 

covering the following risk areas: macroeconomic, market, credit, solvency and leverage, 

funding and liquidity, and contagion. Similar work assessing the state of the U.S. financial 

system will continue during FY 2020 and beyond. 

The OFR has also worked to fulfill its data-related mandates through an array of initiatives, 

including issuing a final rule to collect data on transactions in the $4 trillion market for 

repurchase agreements (repos), which provides funding to securities dealers and others. This 

collection will improve transparency and risk monitoring on the market. Implementation began 

in FY 2019 and will continue into the next fiscal year. 

The OFR has also continued its work to provide data-driven tools for risk measurement and 

monitoring and make them available to the public. 
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Current offerings include: 

 Financial Stress Index: 

The daily index supports the monitoring of stress in the financial system. It is constructed 

from 33 financial market indicators, such as yield spreads, valuation measures, and interest 

rates. 

 Financial System Vulnerabilities Monitor: 

The quarterly monitor is a heat map of 58 indicators of vulnerabilities in the financial system. 

It is a starting point for monitoring U.S. financial stability. It is designed to provide early 

warning signals of potential vulnerabilities that merit further investigation. 

 G-SIB Interactive Chart: 

The interactive online tool shows systemic importance scores and score components for 

global systemically important banks. 

 U.S. Money Market Fund Monitor: The monthly monitor converts data from a Security 

and Exchange Commission reporting form into a user-friendly format. Users can examine 

individual funds and the industry as a whole.

In FY 2020 and FY 2021, the OFR will continue to produce the monitoring tools described 

above, and will explore the addition of new ones as appropriate. 

Section III – Additional Information 

A – Summary of Capital Investments 

The OFR has no capital investments. Capital investments that support OFR are included in the 

Departmental Offices plan. A summary of capital investment resources, including major IT and 

non-IT investments can be found at: 

https://home.treasury.gov/about/budget-financial-reporting-planning-and-performance/budgetrequestannual-performance-plan-and-reports. This website contains a digital copy of this 

document.