Professional Documents
Culture Documents
Jared Conrad Nagel Information Research Specialist Justin Murray Information Research Specialist April 8, 2011
Summary
When federal government agencies and programs lack budget authority, they experience a funding gap. Under the Antideficiency Act (31 U.S.C. 1341 et seq.), they must cease operations, except in certain circumstances. When there is a funding gap that affects many federal entities, the situation is often referred to as a government shutdown. In the past, there have occasionally been government shutdowns, the longest of which lasted 21 days, from December 16, 1995, to January 6, 1996. This report provides an annotated list of historical documents and other resources related to several past government shutdowns. The report also includes links to full-text documents when available. There is limited information and guidance related to shutdowns, and it is difficult to predict what might happen in the event of one, but information about past events may help inform future deliberations. For more information about federal government shutdowns and funding gaps, see CRS Report R41723, Funding Gaps and Government Shutdowns: CRS Experts, by Clinton T. Brass; CRS Report RL34680, Shutdown of the Federal Government: Causes, Processes, and Effects, by Clinton T. Brass; CRS Report RS20348, Federal Funding Gaps: A Brief Overview, by Jessica Tollestrup; and CRS Report R41745, Government Shutdown: Operations of the Department of Defense During a Lapse in Appropriations, by Stephen Daggett.
Contents
Introduction ................................................................................................................................1 Congressional Research Service Reports .....................................................................................1 Government Accountability Office..............................................................................................2 House and Senate Committee Prints and Hearings.......................................................................3 Committee Prints ..................................................................................................................3 Hearings ...............................................................................................................................3 Office of Management and Budget ..............................................................................................4 Office of Personnel Management ................................................................................................6 Presidential Materials..................................................................................................................6 Presidential Statements Related to FY1996 Shutdowns..........................................................7 The November 1995 Shutdown .......................................................................................7 The December 1995January 1996 Shutdown .................................................................7 White House Documents Related to the FY1996 Shutdowns: Elena Kagan, Associate White House Counsel, Clinton Administration ...................................................................9
Contacts
Author Contact Information ........................................................................................................9 Acknowledgments ......................................................................................................................9
Introduction
This report provides historical documents and other resources related to past government shutdowns, along with brief annotations that describe the contents of the documents. The report includes links to full-text documents when available. There is limited information and guidance related to shutdowns, and it is difficult to predict what might happen in the event of one, but information about past events may help inform future deliberations. The following annotated resources are meant to guide readers to relevant materials from governmental and selected nongovernmental sources.
U.S. General Accounting Office, Government Shutdown: Funding Lapse Furlough Information, GGD-96-52R, December 1, 1995, available at http://www.gao.gov/products/GGD-96-52R. Brief Description: GAO was asked to provide available information on the numbers of federal employees who might have been subject to furlough in the event of a second shutdown in 1995. GAO provided numbers that were based on plans provided by the Office of Management and Budget (OMB) to GAO in October 1995. The numbers included within this document do not represent actual furloughs. The numbers represent planned furloughs in advance of the two shutdowns, which occurred later in November and DecemberJanuary.
U.S. General Accounting Office, Government Shutdown: Permanent Funding Lapse Legislation Needed, GGD-91-76, June 6, 1991, available at http://www.gao.gov/products/GGD-91-76. Brief Description: In 1990, GAO issued a questionnaire to government agencies in an attempt to measure the effects of a partial shutdown which occurred on Columbus Day Weekend. This report also includes estimates on the effects of a hypothetical three-day shutdown during a nonholiday workweek.
Hearings
The following are congressional hearings which include historical information on past shutdowns. Some of these hearings include items for the record such as OMB memoranda. U.S. Congress, House and Senate Committees on the Budget, Effects of Potential Government Shutdown, hearing, 104th Congress, 1st session, September 19, 1995
U.S. General Accounting Office, Cost of the Recent Partial Shutdown of Government Offices, PAD-82-24, December 10, 1981, available at http://www.gao.gov/products/PAD-82-24.
(Washington: GPO, 1995), available at http://www.archive.org/stream/effectsofpotenti00unit. Brief Description: This hearing took place before the November 1995 shutdown, and it examined potential scenarios if a shutdown were to occur. The hearing includes testimony from Walter Dellinger, Assistant Attorney General, U.S. Department of Justice, and Alice M. Rivlin, Director, OMB. The hearing includes additional materials such as articles, letters from the Federal Reserve System, and a memo6 from Walter Dellinger to Alice Rivlin. U.S. Congress, House Committee on Government Reform and Oversight, Subcommittee on Civil Service, Government Shutdown I: Whats Essential?, hearings, 104th Congress, 1st session, December 6, and 14, 1995 (Washington: GPO 1997), available at http://www.gpo.gov/fdsys/pkg/CHRG-104hhrg23275/pdf/CHRG104hhrg23275.pdf. Brief Description: These hearings were held in December 1995 and generally covered the November 1995 shutdown.7 Because the hearings were not published until 1997, some additional information related to the December 1995-January 1996 government shutdown is included. 8 U.S. Congress, House Committee on Resources, State Service Donations in Budgetary Shutdowns, hearing, 104th Congress, 1st session, December 5, 1995 (Washington: GPO 1996), available at http://www.archive.org/stream/stateservicedona00unit. Brief Description: The hearing was held to consider legislation9 that would have directed the Department of Interior to accept donations from state governments employee services for assistance in operating national parks and wildlife refuges during federal government shutdowns.
reference. 10 This website, entitled Guidance and Information on Furloughs, is available at http://www.opm.gov/furlough/OMBGuidance/index.asp. The OMB documents include OMB Bulletin No. 80-14, Shutdown of Agency Operations Upon Failure by the Congress to Enact Appropriations, August 28, 1980 (citing the 1980 Civiletti opinion11 and requiring agencies to develop shutdown plans); OMB Memorandum, Agency Operations in the Absence of Appropriations, November 17, 1981 (referencing OMB Bulletin No. 80-14; stating the 1981 Civiletti opinion12 remains in effect; and providing examples of excepted activities that may be continued under a funding gap); OMB Bulletin No. 80-14, Supplement No. 1, Agency Operations in the Absence of Appropriations, August 20, 1982 (updating OMB Bulletin No. 80-14 and newly requiring agencies to submit contingency plans for review by OMB); OMB Memorandum M-91-02, Agency Operations in the Absence of Appropriations, October 5, 1990 (referencing OMB Bulletin No. 80-14; stating that OMB Bulletin No. 80-14 was amended by the OMB Memorandum of November 17, 1981; stating the 1981 Civiletti opinion remains in effect; and directing agencies on a Friday how to handle a funding gap that begins during the weekend); and OMB Memorandum M-95-18, Agency Plans for Operations During Funding Hiatus, August 22, 1995 (referencing OMB Bulletin No. 80-14, as amended; citing the 1981 Civiletti opinion; transmitting to agencies a 1995 Office of Legal Counsel opinion as an update to the 1981 Civiletti opinion;13 and directing agencies to send updated contingency plans to OMB).
OMB also provides agencies with annual instructions in Circular No. A-11 on how to prepare for and operate during a funding gap.
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U.S. Executive Office of the President, Office of Management and Budget, Circular No. A-11: Preparation, Submission, and Execution of the Budget, July
Some of these documents have been reproduced within legislative branch documents mentioned within this report. See U.S. Congress, House and Senate Committees on the Budget, Effects of Potential Government Shutdown, hearing 104th Cong., 1st sess., September 19, 1995, pp. 77-85; U.S. General Accounting Office, Funding Gaps Jeopardize Federal Government Operations, Appendices V, VI, and VII; and U.S. Congress, House Committee on Government Reform and Oversight, Subcommittee on Civil Service, Government Shutdown I: Whats Essential?, hearings, 104th Cong., 1st sess., December 6, and 14, 1995, pp. 99-112, 121-131, and 428-430. 11 For the 1980 Civiletti opinion, see U.S. General Accounting Office, Funding Gaps Jeopardize Federal Government Operations, PAD-81-31, March 3, 1981, pp. 63-69, available at http://www.gao.gov/products/PAD-81-31. The pages within the PDF are out of order within Appendix IV; for example, p. 64 should appear before p. 63. 12 For the 1981 Civiletti opinion, see U.S. General Accounting Office, Funding Gaps Jeopardize Federal Government Operations, PAD-81-31, March 3, 1981, pp. 77-92, available at http://www.gao.gov/products/PAD-81-31. The pages within the PDF are out of order within Appendix VIII; for example, p. 77 appears before p. 76. 13 U.S. Department of Justice, Office of Legal Counsel, Government Operation in the Event of a Lapse in Appropriations, memorandum from Walter Dellinger, Assistant Attorney General, for Alice Rivlin, Director, Office of Management and Budget, August 16, 1995, reprinted in U.S. Congress, House and Senate Committees on the Budget, Effects of Potential Government Shutdown, hearing, 104th Cong., 1st sess., September 19, 1995 (Washington: GPO, 1995), pp. 77-85, available at http://www.archive.org/details/effectsofpotenti00unit.
2010, Section 124, available at http://www.whitehouse.gov/omb/circulars_a11_current_year_a11_toc. Brief Description: The circular establishes two policies regarding the absence of appropriations: (1) a prohibition on incurring obligations unless the obligations are otherwise authorized by law and (2) permission to incur obligations as necessary for orderly termination of an agencys functions, but prohibition of any disbursement (i.e., payment). The circular also directs agency heads to develop and maintain shutdown plans, which are to be submitted to OMB when initially prepared and also when revised. Agency heads are to use the Civiletti opinions, a 1995 Department of Justice, Office of Legal Counsel opinion, and the circular to decide what activities are essential to operate their agencies during an appropriations hiatus.14
Presidential Materials
The following documents are from the National Archives and Records Administration (NARA) Clinton Presidential Materials Project.15 These documents cover statements made by President William Clinton leading up to and during the November 1995 and December 1995January 1996 government shutdowns; these documents are arranged by date.
For the Department of Justice, Office of Legal Counsel document, see U.S. Congress, House and Senate Committees on the Budget, Effects of Potential Government Shutdown, hearing, 104th Cong., 1st sess., September 19, 1995 (Washington: GPO, 1995), pp. 77-85, available at http://www.archive.org/details/effectsofpotenti00unit. For more information on federal government shutdown causes, processes, and effects, see CRS Report RL34680, Shutdown of the Federal Government: Causes, Processes, and Effects, by Clinton T. Brass. 15 The website notes that this has become part of the William J. Clinton Presidential Library and Museum. See http://clinton.archives.gov/project_overview/project_overview.html. In 2000-2001, NARA created snapshots of the Clinton White House website including press releases, speeches, and publications. Some further information on the project can be found at http://www.archives.gov/press/press-releases/2001/nr01-34.html.
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Information about the historical context in this section was provided by Jessica Tollestrup. For more information on funding gaps, see CRS Report RS20348, Federal Funding Gaps: A Brief Overview, by Jessica Tollestrup. 17 See U.S. Congress, House Committee on Government Reform and Oversight, Subcommittee on Civil Service, Government Shutdown I: Whats Essential?, hearings, 104th Cong., 1st sess., December 6, and 14, 1995, p 4. 18 Information about the historical context in this section was provided by Jessica Tollestrup. For more information on funding gaps, see CRS Report RS20348, Federal Funding Gaps: A Brief Overview, by Jessica Tollestrup.
passage of three CRs (P.L. 104-91, P.L. 104-92, and P.L. 104-94). There were five additional short-term continuing resolutions needed to prevent further funding gaps from occurring through April 26, 1996, when the Omnibus Consolidated Rescissions and Appropriations Act of 1996 (P.L. 104-134) was enacted to fund any agencies or programs not yet funded through FY1996. The following presidential statements occurred during the time period of December 15, 1995, through January 6, 1996. U.S. President (Clinton), December 15, 1995, Statement by the President on Budget Negotiations, available at http://clinton6.nara.gov/1995/12/1995-12-15-president-statement-on-budgetnegotiations.html. U.S. President (Clinton), December 16, 1995, Radio Address by the President to the Nation, available at http://clinton6.nara.gov/1995/12/1995-12-16-radio-address-by-the-president-tothe-nation.html. U.S. President (Clinton), December 18, 1995, Statement by the President on the Budget, available at http://clinton6.nara.gov/1995/12/1995-12-18-statement-by-the-president-on-thebudget.html. U.S. President (Clinton), December 22, 1995, Statement by the President on Signing House Joint Res. 136, available at http://clinton6.nara.gov/1995/12/1995-12-22-president-statement-on-signinghouse-joint-res.html. U.S. President (Clinton), December 23, 1995, Radio Address by the President to the Nation, available at http://clinton6.nara.gov/1995/12/1995-12-23-radio-address-by-the-president-tothe-nation.html. U.S. President (Clinton), January 4, 1996, Statement by the President on House Joint Resolution 153, available at http://clinton6.nara.gov/1996/01/1996-01-04-president-statement-on-house-jointresolution.html. U.S. President (Clinton), January 6, 1996, Statement by the President on Balanced Budget Proposal, available at http://clinton6.nara.gov/1996/01/1996-01-06-president-remarks-on-balancedbudget-proposal.html. U.S. President (Clinton), January 6, 1996, Statement by the President in Signing HR 1358, available at http://clinton6.nara.gov/1996/01/1996-01-06-president-statement-in-signinghr.html. U.S. President (Clinton), January 6, 1996, Statement by the President in Signing H.R. 1643, available at http://clinton6.nara.gov/1996/01/1996-01-06-president-statement-in-signing-hra.html. U.S. President (Clinton), January 6, 1996, Radio Address by the President to the Nation, available at
http://clinton6.nara.gov/1996/01/1996-01-06-radio-address-by-the-president-tothe-nation.html.
White House Documents Related to the FY1996 Shutdowns: Elena Kagan,19 Associate White House Counsel, Clinton Administration
Brief Historical Context: Elena Kagan is currently serving as U.S. Supreme Court Justice. In 1995-1996, she served as Associate White House Counsel under President Clinton. Access to records from Elena Kagans time in the Office of White House Counsel is provided at the Clinton Library website. A series of PDF documents labeled shutdown appears in Box 7 at the website. Many of these materials are working documents, handwritten notes, and emails, and so were not official statements released during 1995-1996 about the shutdowns by the Clinton Administration. William J. Clinton Presidential Library and Museum, Textual Research, Elena Kagan, Office of White House Counsel, at http://www.clintonlibrary.gov/_previous/textual-KAGANCounsel.htm.
Acknowledgments
Some of the descriptions within this report draw from CRS Report RL34680, Shutdown of the Federal Government: Causes, Processes, and Effects, by Clinton T. Brass. Jessica Tollestrup assisted by providing details within the brief historical context sections on the November 1995 and December 1995January 1996 shutdowns.
Current U.S. Supreme Court Justice Elena Kagan served as Associate Counsel to President Clinton from 1995 to 1996.
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