Past Government Shutdowns: Key Resources

Past Government Shutdowns: Key Resources Jared C. Nagel Information Research Specialist Justin Murray Information Research Specialist November 25, 201317, 2014 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 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. The most recent shutdown occurred at the beginning of FY2014, starting on. The shutdown began 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 This report provides an annotated list of historical documents and other resources related to several past government shutdowns.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 and Memorandum .......................................................... 1 CRS Reports .............................................................................................................................. 1 CRS Memorandum .................................................................................................................... 2 Government Accountability Office .................................................................................................. 2 House and Senate Committee Prints and Hearings.......................................................................... 34 Committee Prints ....................................................................................................................... 34 Hearings..................................................................................................................................... 4 Office of Management and Budget .................................................................................................. 6 Guidance Documents for Agencies ........................................................................................... 6 Agency Contingency Plans........................................................................................................ 8 Impacts and Costs of Shutdowns ............................................................................................... 8 FY1996 ................................................................................................................................ 8 FY2014 ................................................................................................................................ 8 Office of Personnel Management .................................................................................................... 89 Presidential Materials ...................................................................................................................... 9 Presidential Statements Related to FY1996 Shutdowns ............................................................ 9 The November 1995 Shutdown........................................................................................... 9 The December 1995–January 1996 Shutdown .................................................................. 10 Presidential Statements Related to FY2014 Shutdown ........................................................... 11 Contacts Author Contact Information........................................................................................................... 13 Acknowledgments ......................................................................................................................... 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 and Memorandum The following CRS reports and memorandum include information related to 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, 1996, and October 2013 government shutdowns. • CRS Report R41745, Government Shutdown: Operations of the Department of Defense During a Lapse in Appropriations, by Amy 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. 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, FY1977-FY2014 Funding Gaps: The Enactment of Regular Appropriations Acts and Continuing Resolutions, by Jessica Tollestrup, November 12, 2014. Brief Description: This memorandum lists the regular appropriations and continuing resolutions enacted before, during, and after each funding gap that occurred between FY1977 and FY2014. It is available on request from Jessica Tollestrup at 7-0941 or via email at jtollestrup@crs.loc.gov. • CRS Congressional Distribution Memorandum, The Historical Policy Context for the The Historical Policy Context for the FY1977-FY1996 Funding Gaps: Excerpts from Government and Media Sources, cocoordinatedco-coordinated 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 It is available on request from the authors, either Jessica Tollestrup at 7-0941 or via e-mail at email at jtollestrup@crs.loc.gov, or Jared Nagel at 7-2468 or via e-mail at email 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. 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. Congressional Research Service 2 Past Government Shutdowns: Key Resources 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 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 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 weekend. 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 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 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. 3 Benjamin Civiletti was U.S. Attorney General from 1979 to 1981. 4 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 3 Past Government Shutdowns: Key Resources 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 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. 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 a presidential veto statement. Hearings The following are congressional hearings that 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 (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/CHRG-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/stateservicedona00unitCHRG104hhrg23275.pdf. 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. Congressional Research Service 4 Past Government Shutdowns: Key Resources Congressional Research Service 4 Past Government Shutdowns: Key Resources 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 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 Difficult As Possible: The National Park Service’s Implementation of the Government 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/ Available at http://www.gpo.gov/fdsys/pkg/CHRG-113hhrg88621/pdf/CHRG113hhrg88621.pdf. 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 VeteranVeterans, 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 effect-of-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 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. 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. 9 Includes the text of H.R. 2677 and H.R. 2706, 104th Congress. Congressional Research Service 5 Past Government Shutdowns: Key Resources • U.S. Congress, Senate Committee on Small Business and Entrepreneurship. Small • 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-d494-4713-9cc2-49d90e1ea1a69cc249d90e1ea1a6&ContentType_id= 14f995b9-dfa5-407a-9d35-56cc7152a7ed& Group_id=43eb5e02-e987-4077-b9a71e5a9cf28964b9a7-1e5a9cf28964. 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 availableAvailable at http://armedservices.house.gov/ Includes the text of H.R. 2677 and H.R. 2706, 104th Congress. Congressional Research Service 5 Past Government Shutdowns: Key Resources index.cfm/hearings-display?ContentRecord_id=698ed5dc-62e5-4aa3-90b07490eb3bccaewww.gpo.gov/ fdsys/pkg/CHRG-113hhrg85325/pdf/CHRG-113hhrg85325.pdf. 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 LongTerm Fiscal Responsibility and Economic Growth, hearing, 113th Congress, 1st session, October 11, 2013. Document not available from GPO at this timeAvailable at http://www.gpo.gov/fdsys/pkg/CHRG113shrg85408/pdf/CHRG-113shrg85408.pdf. 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. 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. Congressional Research Service 6 Past Government Shutdowns: Key Resources Congressional Research Service 6 Past Government Shutdowns: Key Resources • 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 of Appropriations, August 20, 1982 (“updating” OMB Bulletin No. 80-14 and newly 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 in Government Funding, December 15, 2011 (citing Section 124 of Circular A-11 and 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 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 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 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, 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. 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. 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 7 Past Government Shutdowns: Key Resources 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 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 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. Congressional Research Service 8 Past Government Shutdowns: Key Resources 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/furloughguidance/. 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: • 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. Presidential Statements Related to FY1996 Shutdowns The November 1995 Shutdown Brief Historical Context:17 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.18 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 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 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. Congressional Research Service 9 Past Government Shutdowns: Key Resources 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 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. 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 the Nation, available at http://clinton6.nara.gov/1995/11/1995-11-18-radio-address-by-the-president-to-thenationtothe-nation.html. • U.S. President (Clinton), November 19, 1995, Statement by the President on Budget Budget Agreement, available at http://clinton6.nara.gov/1995/11/1995-11-19-statement-by-the-president-on-budgetagreementonbudget-agreement.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 passage 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 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. Congressional Research Service 10 Past Government Shutdowns: Key Resources http://clinton6.nara.gov/1995/12/1995-12-16-radio-address-by-the-president-to-thenation.html. 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 Signing House Joint Res. 136, available at http://clinton6.nara.gov/1995/12/1995-12-22-president-statement-on-signing-housejointsigninghouse-joint-res.html. • U.S. President (Clinton), December 23, 1995, Radio Address by the President to 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. Congressional Research Service 10 Past Government Shutdowns: Key Resources the Nation, available at http://clinton6.nara.gov/1995/12/1995-12-23-radio-address-by-the-president-to-thenation.html. tothe-nation.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-balanced-budgetproposalbalancedbudget-proposal.html. • U.S. President (Clinton), January 6, 1996, Statement by the President in Signing H.R. 1358, available at http://clinton6.nara.gov/1996/01/1996-01-06-president-statement-in-signing-hrsigninghr.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-to-thenationtothe-nation.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 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. Congressional Research Service 11 Past Government Shutdowns: Key Resources 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 Congressional Research Service 11 Past Government Shutdowns: Key Resources http://www.whitehouse.gov/the-press-office/2013/09/30/statementpresident. • U.S. President (Obama), September 30, 2013, Weekly Address: Averting a Government Shutdown and Expanding Access to Affordable Healthcare, available at at http://www.whitehouse.gov/blog/2013/09/27/weekly-address-averting-governmentshutdownavertinggovernment-shutdown-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-weeklyaddressyourweekly-address-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 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. 21 For more information on automatic continuing resolutions see CRS Report R41948, Automatic Continuing Resolutions: Background and Overview of Recent Proposals, by Jessica Tollestrup Congressional Research Service 12 Past Government Shutdowns: Key Resources • 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. Congressional Research Service 12 Past Government Shutdowns: Key Resources 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, December 1995January 1996, and October 2013 shutdowns. Congressional Research Service 13