Past Government Shutdowns: Key Resources
Jared ConradC. Nagel
Information Research Specialist
Justin Murray
Information Research Specialist
April 8, 2011November 25, 2013
Congressional Research Service
7-5700
www.crs.gov
R41759
CRS Report for Congress
Prepared for Members and Committees of Congress
Past Government Shutdowns: Key Resources
Summary
When federal government agencies and programs lack budget authority after the expiration of
either full-year or interim appropriations, they experience a
“funding gap.” Under the
Antideficiency Act (31 U.S.C. § 1341 et seq.), they must cease
operations, except in certain circumstances
circumstances when continued activities are authorized by law. 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 funding gaps that led to government shutdowns, the longest of
which lasted 21 full 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This report provides an annotated list of historical documents and other resources related to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 16, 1995, to January 6, 1996. The most recent
shutdown occurred at the beginning of FY2014, starting on October 1, 2013, and lasted for a total
of 16 full days.
The relevant laws that govern shutdowns have remained relatively constant in recent decades.
However, agencies and officials may exercise some discretion in how they interpret the laws, and
circumstances that confront agencies and officials may differ over time. Consequently, it is
difficult to predict what might happen in the event of some future shutdown. Still, information
about past events may offer some insight into possible outcomes and help inform future
deliberations.
This report provides an annotated list of historical documents and other resources related to
several past government shutdowns. Sources for these documents and resources include the
Congressional Research Service (CRS), Government Accountability Office (GAO), House and
Senate Committees, Office of Management and Budget (OMB), Office of Personnel Management
(OPM), and Executive Office of the President. When possible, the report includes links to fulltext documents.
For more information about federal government shutdowns and funding gaps, see
•
CRS Report RL34680, Shutdown of the Federal Government: Causes, Processes,
and Effects, coordinated by Clinton T. Brass; and
•
CRS Report RS20348, Federal Funding Gaps: A Brief Overview, by Jessica
Tollestrup.
This report will be updated as additional resources are identified.
Congressional Research Service
Past Government Shutdowns: Key Resources
Contents
Introduction ...................................................................................................................................... 1
Congressional Research Service Reports .....................................................................................1
Government Accountability Officeand Memorandum .......................................................... 1
CRS Reports .............................................................................................................................. 1
CRS Memorandum .................................................................................................................... 2
Government Accountability Office .................................................................................................. 2
House and Senate Committee Prints and Hearings.......................................................................... 3
Committee Prints ....................................................................................................................... 3
Hearings....3
Hearings ...............................................................................................................................3.. 4
Office of Management and Budget ..............................................................................................4.... 6
Guidance Documents for Agencies ........................................................................................... 6
Agency Contingency Plans........................................................................................................ 8
Impacts and Costs of Shutdowns ............................................................................................... 8
FY1996 ................................................................................................................................ 8
FY2014 ................................................................................................................................ 8
Office of Personnel Management ................................................................................................6.... 8
Presidential Materials ...................................................................................................................6... 9
Presidential Statements Related to FY1996 Shutdowns ..........................................................7.. 9
The November 1995 Shutdown ...........................................................................................7 9
The December 1995–January 1996 Shutdown .................................................................. 10
Presidential Statements Related to FY2014 Shutdown7
White House Documents Related to the FY1996 Shutdowns: Elena Kagan, Associate
White House Counsel, Clinton Administration ...................................................................9 11
Contacts
Author Contact Information ...........................................................................................................9 13
Acknowledgments ......................................................................................................................9... 13
Congressional Research Service
Past Government Shutdowns: Key Resources
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.
Congressional Research Service Reports and
Memorandum
The following CRS reports and memorandum include information related to past government
shutdowns.
•
CRS Report R41723, Funding Gaps and Government Shutdowns: CRS Experts,
by Clinton T. Brass.
Brief Description: This report provides contact information for CRS subject matter
experts who may be able to help answer questions about what happened to specific
agencies or programs during past government shutdowns.
CRS Reports
•
CRS Report RL34680, Shutdown of the Federal Government: Causes, Processes,
and Effects, coordinated by Clinton T. Brass.
Brief Description: This report discusses the causes, processes, and effects of federal
government shutdowns, including potential issues for Congress.
•
CRS Report RS20348, Federal Funding Gaps: A Brief Overview, by Jessica
Tollestrup.
Brief Description: This report briefly covers funding gaps since FY1977, including
those related to the 1995 and 1996, 1996, and October 2013 government shutdowns.
•
CRS Report R41745, Government Shutdown: Operations of the Department of
Defense During a Lapse in Appropriations, by Stephen DaggettAmy Belasco and Pat Towell.
Brief Description: This report reviews the effects of a lapse in appropriations on the
Department of Defense. Activities that provide for national defense have been permitted
to continue during past government shutdowns.
Congressional Research Service
1
Past Government Shutdowns: Key Resources This report has been updated to reflect
some aspects of the October 2013 shutdown.
•
CRS Report R43292, The FY2014 Government Shutdown: Economic Effects, by
Marc Labonte.
Brief Description: This report discusses the effects of the FY2014 government shutdown
on the economy and financial markets. It also reviews third-party estimates of the effects
of the shutdown on the economy.
•
CRS Report R43250, In Brief: CRS Resources on the FY2014 Funding Gap,
Shutdown, and Status of Appropriations, by Justin Murray.
Congressional Research Service
1
Past Government Shutdowns: Key Resources
Brief Description: This brief report includes short annotations and links to CRS products
related to the October 2013 government shutdown.
CRS Memorandum
•
CRS Congressional Distribution Memorandum, The Historical Policy Context for the
FY1977-FY1996 Funding Gaps: Excerpts from Government and Media Sources, cocoordinated by Jessica Tollestrup and Jared Nagel, October 7, 2013.
Brief Description: This memorandum provides background on the historical policy
context for the 17 funding gaps that occurred between FY1977 and FY1996.This
memorandum is available on request from the authors, either Jessica Tollestrup at 7-0941
or via e-mail at jtollestrup@crs.loc.gov, or Jared Nagel at 7-2468 or via e-mail at
jnagel@crs.loc.gov.
Government Accountability Office
The U.S. Government Accountability Office (GAO)1 has published reports related to past and
potential shutdowns. The following documents investigate possible issues and provide historical
context surrounding government shutdowns.
•
U.S. General Accounting Office, Cost of the Recent Partial Shutdown of
Government Government
Offices, PAD-82-24, December 10, 1981, available at
http://www.gao.gov/products/
PAD-82-24.
Brief Description: According to GAO, this report was completed “in response to
congressional requests,” for which “GAO contacted 13 cabinet departments and 12
selected agencies and offices to obtain information about the costs of a 1981 partial
shutdown of government offices.” It includes costs estimates, background information
about the costs, and GAO recommendations to Congress concerning agency operations in
the event of a government shutdown.
•
U.S. General Accounting Office, Funding Gaps Jeopardize Federal Government
Operations, PAD-81-31, March 3, 1981, available at http://www.gao.gov/
products/
PAD-81-31.
Brief Description:2 According to GAO, as of March 1981, “interruptions in federal
agency funding at the beginning of the fiscal year (FY) and operations on continuing
resolutions have become the norm rather than the exception.” For years, many federal
agencies continued to operate during a funding gap, while “minimizing all nonessential
operations and obligations, believing that Congress did not intend that agencies close
down” while waiting for the enactment of annual appropriations acts or continuing
resolutions. During the FY1981 appropriations process, the President requested opinions
on the Antideficiency Act from the then-U.S. Attorney General, Benjamin Civiletti.3 In
two memoranda issued in 1980 and 1981, the Attorney General stated that the act
required agencies to terminate all operations when their current appropriations expired.
According to GAO, agencies were uncertain how to respond to the Attorney General’s
opinion and what activities they would be able to continue if appropriations expired. This
GAO report outlines some of the problems surrounding late appropriations and funding
gaps. It also includes Attorney General Civiletti’s opinions within Appendices IV and
VIII.4
1
1
Until 2004, GAO was called the General Accounting Office. For further information on the agency name change, see
CRS Report RL30349, GAO: Government Accountability Office and General Accounting Office, by Frederick M.
Kaiser.
2
Information about historical context in this section was provided by Clinton Brass. For more information on
government shutdowns, see, CRS Report RL34680, Shutdown of the Federal Government: Causes, Processes, and
Effects, coordinated by Clinton T. Brass.
Congressional Research Service
2
Past Government Shutdowns: Key Resources
resolutions. During the FY1981 appropriations process, the President requested opinions
on the Antideficiency Act from the then-U.S. Attorney General, Benjamin Civiletti.3 In
two memoranda issued in 1980 and 1981, the Attorney General stated that the act
required agencies to terminate all operations when their current appropriations expired.
According to GAO, agencies were uncertain how to respond to the Attorney General’s
opinion and what activities they would be able to continue if appropriations expired. This
GAO report outlines some of the problems surrounding late appropriations and funding
gaps. It also includes Attorney General Civiletti’s opinions within Appendices IV and
VIII.4
•
U.S. General Accounting Office, Government Shutdown: Funding Lapse Furlough
Information, GGD-96-52R, December 1, 1995, available at http://www.gao.gov/
by Clinton T. Brass.
3
Benjamin Civiletti was U.S. Attorney General from 1979 to 1981.
4
Some pages within the PDF are out of order; for example, p. 77 appears before p. 76. The opinions stated that, with
some exceptions, the head of an agency could avoid violating the Antideficiency Act only by suspending the agency’s
operations until the enactment of an appropriation. In the absence of appropriations, exceptions would be allowed only
when there is “some reasonable and articulable connection between the function to be performed and the safety of
human life or the protection of property.” For discussion of exemptions, see U.S. GAO, Principles of Federal
Appropriations Law, 3rd ed., vol., GAO-06-382SP, February 2006, ch. 6, pp. 6-146 - 6 -159.
Congressional Research Service
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Past Government Shutdowns: Key Resources
•
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 December–January.
•
U.S. General Accounting Office, Government Shutdown: Permanent Funding
Lapse 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
Weekendweekend. This report also includes estimates on the effects of a hypothetical three-day
shutdown during a nonholiday workweek.
House and Senate Committee Prints and Hearings
Committee Prints
The following committee print includes historical information on a past government shutdown.
•
U.S. Congress, House Committee on Post Office and Civil Service, Cost of
Shutting Shutting
Down Federal Government on November, 23, 1981, committee print,
97th Congress,
2nd session, March 25, 1982 (Washington: GPO, 1982).
, available at
http://hdl.handle.net/2027/pur1.32754077662413.
3
Benjamin Civiletti was U.S. Attorney General from 1979 to 1981.
The opinions stated that, with some exceptions, the head of an agency could avoid violating the Antideficiency Act
only by suspending the agency’s operations until the enactment of an appropriation. In the absence of appropriations,
exceptions would be allowed only when there is “some reasonable and articulable connection between the function to
be performed and the safety of human life or the protection of property.” For discussion of exemptions, see U.S. GAO,
Principles of Federal Appropriations Law, 3rd ed., vol., GAO-06-382SP, February 2006, ch. 6, pp. 6-146 - 6 -159.
4
Congressional Research Service
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Past Government Shutdowns: Key Resources
Brief Description: This committee print assessed the cost of the November 23, 1981,
shutdown of federal offices resulting from a presidential veto of a continuing resolution
for FY1982. The committee print includes individual federal departments’ and agencies’
shutdown impact assessments in a study conducted by GAO (pp. 73-212).5 It also
includes costs estimates, an OMB memorandum, and thea presidential veto statement.
Hearings
The following are congressional hearings whichthat 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
5
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.
Congressional Research Service
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Past Government Shutdowns: Key Resources
(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: What’s Essential?,
hearings, 104th Congress, 1st session, December 6, and 14, 1995 (Washington:
GPO GPO
1997), available at
http://www.gpo.gov/fdsys/pkg/CHRG-104hhrg23275/pdf/CHRG104hhrg23275CHRG-104hhrg23275.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.
Office of Management and Budget
OMB documents and guidance from previous funding gaps and shutdowns may provide insights
into current and future practices. The Office of Personnel Management (OPM) has stated on its
website that agencies may use OMB guidelines to determine “excepted” positions (i.e., those not
subject to furlough) and provided retyped copies of previous OMB bulletins and memoranda for
5
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.
6
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 the hearing print at pp. 77-85.
7
This hearing print includes inserted material from the Department of Veterans Affairs (VA) Shutdown Plan,
September 1995, pp. 80-90; VA, Agency Shutdown Guidance, August 14, 1995, pp. 119-131; VA, Lapse of
Appropriation Furlough Guidance, September 19, 1995, pp. 132-151; and VA, Updated Plans for Implementing a
Government Shutdown, December 14, 1995, pp. 354-374.
8
This hearing includes an OMB letter with information about the effects of the shutdowns and counts of employees
who were excepted and not excepted from furlough, pp. 266-270 and 272-274. (Pages 273 and 274 are out of order
within the hearing print.)
9
Includes the text of H.R. 2677 and H.R. 2706, 104th Congress.
Congressional Research Service
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Past Government Shutdowns: Key Resources
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.
•
U.S. Executive Office of the President, Office of Management and Budget,
Circular No. A-11: Preparation, Submission, and Execution of the Budget, July
Congressional Research Service
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Past Government Shutdowns: Key Resources
Brief Description: The hearing was held to consider legislation9 that would have
directed the Department of the Interior to accept donations from state governments’
employee services for assistance in operating national parks and wildlife refuges during
federal government shutdowns.
•
U.S. Congress, House Committee on Oversight and Government Reform, As Difficult
As Possible: The National Park Service’s Implementation of the Government
Shutdown, hearing, 113th Congress, 1st session, October 16, 2013. Document not
available from GPO at this time; select written testimony documents are available at
http://oversight.house.gov/hearing/difficult-possible-national-park-servicesimplementation-government-shutdown/.
Brief Description: The hearing was held during the October 2013 shutdown and looked
at the National Parks Service’s implementation of the government shutdown.
•
U.S. Congress, House Committee on Veterans’ Affairs. Effect of Government
Shutdown on VA Benefits and Services to Veteran, hearing, 113th Congress, 1st
session, October 9, 2013. Document not available from GPO at this time; select
written testimony documents are available at http://veterans.house.gov/hearing/effectof-government-shutdown-on-va-benefits-and-services-to-veterans.
Brief Description: The hearing was held during the October 2013 shutdown and focused
on the impact of the shutdown on benefits payments and services for veterans.
•
U.S. Congress, Senate Committee on Commerce, Science, and Transportation.
Impacts of the Government Shutdown on Our Economic Security, hearing, 113th
Congress, 1st session, October 11, 2013. Document not available from GPO at this
time; select written testimony documents are available at
http://www.commerce.senate.gov/public/index.cfm?p=Hearings&ContentRecord_id=
71810f14-e80e-4425-a7d6-592ac6f6b025.
Brief Description: The hearing was held during the October 2013 shutdown and focused
on the possible and emerging economic and other impacts related to the shutdown.
•
U.S. Congress, Senate Committee on Small Business and Entrepreneurship. Small
Businesses Speak: Surviving the Government Shutdown?, hearing, 113th Congress, 1st
session, October 15, 2013. Document not available from GPO at this time; video
footage is available at http://www.sbc.senate.gov/public/index.cfm?p=Hearings&
ContentRecord_id=12ad9c4d-d494-4713-9cc2-49d90e1ea1a6&ContentType_id=
14f995b9-dfa5-407a-9d35-56cc7152a7ed&Group_id=43eb5e02-e987-4077-b9a71e5a9cf28964.
Brief Description: The hearing was held during the October 2013 shutdown and it
examined the impacts the shutdown was having on small businesses.
•
9
U.S. Congress, House Committee on Armed Services, Subcommittee on Readiness.
The Interpretation of H.R. 3210: ‘Pay Our Military Act’, hearing, 113th Congress, 1st
session, October 10, 2013. Document not available from GPO at this time; select
written testimony documents are available at http://armedservices.house.gov/
Includes the text of H.R. 2677 and H.R. 2706, 104th Congress.
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Past Government Shutdowns: Key Resources
index.cfm/hearings-display?ContentRecord_id=698ed5dc-62e5-4aa3-90b07490eb3bccae.
Brief Description: The hearing was held during the October 2013 shutdown, and it
examined interpretations of H.R. 3210, the Pay Our Military Act, which ultimately was
enacted as P.L. 113-39.
•
U.S. Congress, Senate Joint Economic Committee. The Way Forward: Long-Term
Fiscal Responsibility and Economic Growth, hearing, 113th Congress, 1st session,
October 11, 2013. Document not available from GPO at this time.
Brief Description: The hearing was held during the October 2013 shutdown. The hearing
examined policy options for ending the shutdown and addressing the debt ceiling, and it
also reviewed potential solutions to promote fiscal sustainability and economic growth.
Office of Management and Budget
Guidance Documents for Agencies
OMB documents and guidance regarding potential or actual funding gaps and shutdowns may
provide insights into current and future practices. The Office of Personnel Management (OPM)
has provided links to copies of previous OMB bulletins and memoranda for reference.10 This
website, entitled Pay & Leave Furlough Guidance: Shutdown Furlough, is available at
http://www.opm.gov/policy-data-oversight/pay-leave/furlough-guidance/#url=ShutdownFurlough.
The OMB documents include the following.
•
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);
10
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: What’s 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.
Congressional Research Service
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Past Government Shutdowns: Key Resources
2010, Section
Congressional Research Service
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Past Government Shutdowns: Key Resources
•
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);
•
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); and
•
OMB Memorandum M-12-03, Planning for Agency Operations During a Lapse in
Government Funding, December 15, 2011 (citing Section 124 of Circular A-11 and
providing guidance and coordinating efforts to facilitate contingency planning in
accordance to the Antideficiency Act).
•
OMB Memorandum M-13-22, Planning for Agency Operations during a Potential
Lapse in Appropriations, September 17, 2013 (citing Section 124 of Circular A-11
and providing guidance and coordinating efforts to facilitate contingency planning in
accordance to the Antideficiency Act).
OMB also provides agencies with annual instructions in Circular No. A-11 on how to prepare for
and operate during a funding gap.
•
U.S. Executive Office of the President, Office of Management and Budget, Circular
No. A-11: Preparation, Submission, and Execution of the Budget, July 2013, 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 agency’s 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 at a minimum every four years, starting August 1, 2014, and
also when revised to reflect certain changes in circumstances. 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
Office of Personnel Management
OPM has some information publicly available on the Internet related to government shutdowns
and furloughs.
•
U.S. Office of Personnel Management, Guidance and Information on Furloughs,
available at http://www.opm.gov/furlough/.
Brief Description: OPM has a website entitled, Guidance and Information on
Furloughs. This website includes frequently asked questions (FAQs) covering many
issues related to furloughs, which OPM describes as “the placing of an employee in a
temporary nonduty, nonpay status because of lack of work or funds, or other
nondisciplinary reasons.” Some of the topics included within the OPM website are: Types
of Furloughs, Pay and Deductions from Pay, Retirement and Insurance, and Requests for
Leave. The website also provides access to historical documents from OMB.
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 1995–January 1996
government shutdowns; these documents are arranged by date.
14
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
opinion,
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.
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and the circular to “decide what agency activities are excepted or otherwise legally
authorized to continue during an appropriations hiatus.”14
Agency Contingency Plans
OMB has a website with links to agency shutdown contingency plans arranged by agency. This
website entitled, Agency Contingency Plans is available at http://www.whitehouse.gov/omb/
contingency-plans.
Impacts and Costs of Shutdowns
FY1996
The hearing entitled Government Shutdown I: What’s Essential? includes some estimates related
to the December 1995–January 1996 shutdowns. The hearing includes an OMB letter with
information about the effects of the shutdowns and counts of employees who were excepted and
not excepted from furlough, pp. 266-270 and 272-274. This hearing is available at
http://www.gpo.gov/fdsys/pkg/CHRG-104hhrg23275/pdf/CHRG-104hhrg23275.pdf.
FY2014
OMB released a report on November 7, 2013, with some estimates on the cost of the October
2013 shutdown. The report includes information on federal employee furloughs, economic effects
of the shutdown, and some impact estimates related to select programs.15 This report is available
at http://www.whitehouse.gov/sites/default/files/omb/reports/impacts-and-costs-of-october-2013federal-government-shutdown-report.pdf.
Office of Personnel Management
OPM has some information publicly available on the Internet related to government shutdowns
and furloughs.
•
U.S. Office of Personnel Management, Pay & Leave Furlough Guidance, available at
http://www.opm.gov/policy-data-oversight/pay-leave/furlough-guidance/.
Brief Description: This website includes links to guidance related to administrative and
shutdown furloughs. The shutdown portion of this website includes the following
additional guidance:
14
U.S. Executive Office of the President, Office of Management and Budget (OMB), Circular No. A-11, Section 124.1,
July 2013, 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, coordinated by Clinton T. Brass.
15
An accompanying OMB blog post entitled Impacts and Costs of the Government Shutdown is available at
http://www.whitehouse.gov/blog/2013/11/07/impacts-and-costs-government-shutdown.
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•
U.S. Office of Personnel Management, Guidance for Shutdown
Furloughs, October 11, 2013;
•
U.S. Office of Personnel Management, Memorandum to Agencies on
Retroactive Pay and Other Matters, October 17, 2013; and
•
U.S. Office of Personnel Management, Information on Paychecks for
September 22 through October 5, 2013 Pay Period.
Presidential Materials
The following documents are from the National Archives and Records Administration (NARA)
Clinton Presidential Materials Project.16 These documents cover statements made by President
William J. Clinton leading up to and during the November 1995 and December 1995–January
1996 government shutdowns; these documents are arranged by date.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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Presidential Statements Related to FY1996 Shutdowns
The November 1995 Shutdown
Brief Historical Context:1617 The November 1995 shutdown began on November 14, 1995, and
ended on November 19, 1995. An estimated 800,000 federal employees were furloughed during
the five full days of the shutdown.1718 The furlough action was due to the expiration of a continuing
resolution (P.L. 104-31), which funded the government through November 13, 1995. On
November 13, President William Clinton vetoed a second continuing resolution (H.J.Res. 115)
and a debt limit extension bill (H.R. 2586) and instructed agencies to begin shutdown operations.
The following presidential statements occurred during this time period.
•
U.S. President (Clinton), November 13, 1995, President’s Message to Congress
on on
Continuing Resolution Veto, available at
http://clinton6.nara.gov/1995/11/1995-11-13-president-message-to-congress-oncontinuing-res-veto.html.
•
U.S. President (Clinton), November 14, 1995, Statement by the President on
Government Shutdown, available at
http://clinton6.nara.gov/1995/11/1995-11-14-for-the-record-president-ongovernment-shutdown.html.
•
U.S. President (Clinton), November 17, 1995, Transmittal to Congress of
Presidential C.R., available at
http://clinton6.nara.gov/1995/11/1995-11-17-transmittal-to-congress-ofpresidential-cr.html.
•
U.S. President (Clinton), November 18, 1995, Radio Address by the President to
the Nation, available at
http://clinton6.nara.gov/1995/11/1995-11-18-radio-address-by-the-president-tothe-nation.html.
•
U.S. President (Clinton), November 19, 1995, Statement by the President on
Budget Agreement, available at
http://clinton6.nara.gov/1995/11/1995-11-19-statement-by-the-president-onbudget-agreement.html.
The December 1995–January 1996 Shutdown
Brief Historical Context:18
16
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.
17
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.
18
See U.S. Congress, House Committee on Government Reform and Oversight, Subcommittee on Civil Service,
Government Shutdown I: What’s Essential?, hearings, 104th Cong., 1st sess., December 6, and 14, 1995, p 4.
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http://clinton6.nara.gov/1995/11/1995-11-17-transmittal-to-congress-of-presidentialcr.html.
•
U.S. President (Clinton), November 18, 1995, Radio Address by the President to the
Nation, available at
http://clinton6.nara.gov/1995/11/1995-11-18-radio-address-by-the-president-to-thenation.html.
•
U.S. President (Clinton), November 19, 1995, Statement by the President on Budget
Agreement, available at
http://clinton6.nara.gov/1995/11/1995-11-19-statement-by-the-president-on-budgetagreement.html.
The December 1995–January 1996 Shutdown
Brief Historical Context:19 The December 1995–January 1996 shutdown began on December
16, 1995, and ended on January 6, 1996. The shutdown was triggered by the expiration of a
continuing funding resolution enacted on November 20, 1995 (P.L. 104-56), which funded the
government through December 15, 1995. This shutdown officially ended on January 6, with the
16
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: What’s 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.
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passage of three CRspassage of three continuing resolutions (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 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 the
Nation, available at
http://clinton6.nara.gov/1995/12/1995-12-16-radio-address-by-the-president-tothe-nationto-thenation.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 Signing
House Joint Res. 136, available at
http://clinton6.nara.gov/1995/12/1995-12-22-president-statement-on-signinghouse-jointsigning-housejoint-res.html.
•
U.S. President (Clinton), December 23, 1995, Radio Address by the President to
the the
Nation, available at
19
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.
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http://clinton6.nara.gov/1995/12/1995-12-23-radio-address-by-the-president-tothe-nation.html.
to-thenation.html.
•
U.S. President (Clinton), January 4, 1996, Statement by the President on House
Joint 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 Balanced
Budget Proposal, available at
http://clinton6.nara.gov/1996/01/1996-01-06-president-remarks-on-balancedbudget-proposalbalanced-budgetproposal.html.
•
U.S. President (Clinton), January 6, 1996, Statement by the President in Signing
HR H.R.
1358, available at
http://clinton6.nara.gov/1996/01/1996-01-06-president-statement-in-signinghrsigning-hr.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
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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 Kagan’s 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.
Author Contact Information
Jared Conradto-thenation.html.
Presidential Statements Related to FY2014 Shutdown
Brief Historical Context:20 The most recent shutdown occurred at the beginning of FY2014, on
October 1, 2013, and lasted for a total of 16 days. At the beginning of the fiscal year, none of the
12 regular appropriations bills for FY2014 were enacted. In addition, a continuing resolution to
provide temporary funding for the previous year’s projects and activities had also not been
enacted. On September 30, however, an automatic continuing resolution was enacted that covered
FY2014 pay and allowances for (1) certain members of the Armed Forces, (2) certain Department
of Defense (DOD) civilian personnel, and (3) other specified DOD and Department of Homeland
Security contractors (P.L. 113-39).21
A continuing resolution was signed into law (P.L. 113-46) on October 17, 2013, which ended the
shutdown and allowed government departments and agencies to reopen. The following
presidential statements occurred during the time period of September 30, 2013, through October
19, 2013, and included discussion of the shutdown.
•
U.S. President (Obama), September 30, 2013, Statement by the President, available at
http://www.whitehouse.gov/the-press-office/2013/09/30/statement-president.
20
Information about the historical context in this section was provided with the assistance of Jessica Tollestrup. For
more information on funding gaps, see CRS Report RS20348, Federal Funding Gaps: A Brief Overview, by Jessica
Tollestrup.
21
For more information on automatic continuing resolutions see CRS Report R41948, Automatic Continuing
Resolutions: Background and Overview of Recent Proposals, by Jessica Tollestrup
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•
U.S. President (Obama), September 30, 2013, Weekly Address: Averting a
Government Shutdown and Expanding Access to Affordable Healthcare, available at
http://www.whitehouse.gov/blog/2013/09/27/weekly-address-averting-governmentshutdown-and-expanding-access-affordable-healthca.
•
U.S. President (Obama), October 1, 2013, Remarks by the President on the
Affordable Care Act and the Government Shutdown, available at
http://www.whitehouse.gov/the-press-office/2013/10/01/remarks-presidentaffordable-care-act-and-government-shutdown.
•
U.S. President (Obama), October 3, 2013, Remarks by the President on the
Government Shutdown, available at http://www.whitehouse.gov/the-press-office/
2013/10/03/remarks-president-government-shutdown.
•
U.S. President (Obama), October 5, 2013, Weekly Address: End This Government
Shutdown, available at http://www.whitehouse.gov/blog/2013/10/04/your-weeklyaddress-end-government-shutdown.
•
U.S. President (Obama), October 7, 2013, Remarks by the President at FEMA
Headquarters, available at http://www.whitehouse.gov/the-press-office/2013/10/07/
remarks-president-fema-headquarters.
•
U.S. President (Obama), October 12, 2013, Weekly Address: Let’s Get Back to the
Work of the American People, available at http://www.whitehouse.gov/blog/2013/10/
11/weekly-address-let-s-get-back-work-american-people.
•
U.S. President (Obama), October 16, 2013, Statement by the President of the United
States, available at http://www.whitehouse.gov/the-press-office/2013/10/16/
statement-president-united-states.
•
U.S. President (Obama), October 17, 2013, Remarks by the President on the
Reopening of the Government, available at http://www.whitehouse.gov/the-pressoffice/2013/10/17/remarks-president-reopening-government.
•
U.S. President (Obama), October 19, 2013, Weekly Address: Working Together on
Behalf of the American People, available at http://www.whitehouse.gov/blog/2013/
10/18/weekly-address-coming-soon.
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Author Contact Information
Jared C. Nagel
Information Research Specialist
jnagel@crs.loc.gov, 7-2468
Justin Murray
Information Research Specialist
jmurray@crs.loc.gov, 7-4092
Acknowledgments
Some of the descriptions within this report draw from CRS Report RL34680, Shutdown of the Federal
Government: Causes, Processes, and Effects, coordinated by Clinton T. Brass. Jessica Tollestrup assisted
by providing
details within the brief historical context sections on the November 1995 and December 1995–January
1996 shutdowns.
19
Current U.S. Supreme Court Justice Elena Kagan served as Associate Counsel to President Clinton from 1995 to
1996, December 1995January 1996, and October 2013 shutdowns.
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