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Past Government Shutdowns: Key Resources
Updated January 18, 2019
Congressional Research Service
https://crsreports.congress.gov
R41759
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 More recently, a
shutdown occurred at the beginning of FY2014. The shutdown began (October 1, 2013,) and lasted for a total of 16 full days.
days. Subsequently, two comparatively brief shutdowns occurred during FY2018, in January and
February 2018, respectively.
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This report provides an annotated list of historical documents and other resources related to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 full-text documents.
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 [author name scrubbed].
Clinton T. Brass. This report will be updated as additional resources are identified.
This report provides historical documents and other resources related to past government shutdowns, along with brief annotations that describe the contents of the documents.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
Congressional Research Service
Past Government Shutdowns: Key Resources
Contents
Introduction ..................................................................................................................................... 1
Congressional Research Service Reports and Memoranda ............................................................. 1
CRS Reports .............................................................................................................................. 1
Government Accountability Office ................................................................................................. 1
House and Senate Committee Prints and Hearings ......................................................................... 3
Committee Prints....................................................................................................................... 3
Hearings .................................................................................................................................... 3
Office of Management and Budget ................................................................................................. 5
Guidance Documents for Agencies ........................................................................................... 5
Agency Contingency Plans ....................................................................................................... 7
Impacts and Costs of Shutdowns .............................................................................................. 7
FY1996 ............................................................................................................................... 7
FY2014 ............................................................................................................................... 7
Office of Personnel Management .................................................................................................... 7
Presidential Materials ...................................................................................................................... 8
Presidential Statements Related to FY1996 Shutdowns ........................................................... 8
The November 1995 Shutdown .......................................................................................... 8
The December 1995-January 1996 Shutdown .................................................................... 9
Presidential Statements Related to FY2014 Shutdown ........................................................... 10
Contacts
Author Information......................................................................................................................... 11
Acknowledgments .......................................................................................................................... 11
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.
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.
and Memoranda
The following CRS reports and memoranda include information related to past government
shutdowns.
Brief Description: Clinton T. Brass.
This report discusses the causes, processes, and effects of federal government shutdowns,
including potential issues for Congress.
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.
Brief Description: , by
Marc Labonte.
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.
Brief Description: , by Justin Murray.
This brief report includes short annotations and links to CRS products related to the
October 2013 government shutdown.
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.
1
Until 2004, GAO was called the General Accounting Office.
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Past Government Shutdowns: Key Resources
U.S. General Accounting Office, Government Shutdown: Three Departments
Reporting Varying Degrees of Impacts on Operations, Grants, and Contracts,
GAO-15-86, November 14, 2014, available at https://www.gao.gov/products/
GAO-15-86.
GAO reviewed how the 2013 shutdown affected some operations and services at three
departments: Department of Energy, Health and Human Services (HHS), and
Transportation (DOT). GAO selected these three departments for review based on the
value of grants and contracts, the percentage of employees expected to be furloughed,
and the potential for longer-term effects.
GAO recommended that the Office of Management and Budget (OMB) instruct agencies
to document lessons learned in planning for and implementing a shutdown, as well as
resuming activities following a shutdown should a funding gap longer than five days
occur in the future. OMB staff did not state whether they agreed or disagreed with the
recommendation.
October 2013 government shutdown.
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 to congressional clients on request from [author name scrubbed].
Brief Description: This memorandum provides background on the historical policy context for the 18 funding gaps that occurred between FY1977 and FY2014. It is available on request to congressional clients from the authors, either [author name scrubbed] or Jared Nagel.
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.
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 cost estimates, background information about the costs, and GAO
recommendations to Congress concerning agency operations in the event of a
government shutdown.
Brief Description:2 .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.33 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
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.
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.
Committee Prints The following committee print includes historical information on a past government shutdown.
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).55 It also includes cost 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.
Brief Description:
effectsofpotenti00unit.
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 memo6memo6 from Walter Dellinger to Alice Rivlin.
Brief Description: .
These hearings were held in December 1995 and generally covered the November 1995
shutdown.77 Because the hearings were not published until 1997, some additional
information related to the December 1995-January 1996 government shutdown is
included.8
Brief Description:
stateservicedona00unit.
The hearing was held to consider legislation9legislation9 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.
Brief Description: CHRG113hhrg88621.pdf.
The hearing was held during the October 2013 shutdown and looked at the National Park Service'
Service’s implementation of the government shutdown.
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.
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.
Brief Description: .
The hearing was held during the October 2013 shutdown and it examined the impacts the
shutdown was having on small businesses.
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.
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.
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 10 This
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.
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Past Government Shutdowns: Key Resources
website, entitled Pay & Leave Furlough Guidance: Shutdown Furlough, is available at
http://www.opm.gov/policy-data-oversight/pay-leave/furlough-guidance/#url=Shutdown-Furlough.
ShutdownFurlough.
The OMB documents include the following.
OMB also provides agencies with annual instructions in Circular No. A-11 on how to prepare for
and operate during a funding gap.
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,"informationfor-agencies/circulars/.
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.
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Past Government Shutdowns: Key Resources
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).
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 fourtwo years, starting August 1, 20142015, 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
OMB has a website with links to agency shutdown contingency plans arranged by agency. This
website, entitled "“Agency Contingency Plans,"” is available at https://www.whitehouse.gov/omb/
information-for-agencies/Agency-Contingency-Plans.
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.1515 This report is available
at http://web.archive.org/web/20140701035515/http://www.whitehouse.gov/sites/default/files/
omb/reports/impacts-and-costs-of-october-2013-federal-government-shutdown-report.pdf.
OPM has some information publicly available on the Internet related to government shutdowns
and furloughs.
Brief Description: furloughguidance/.
This website includes links to guidance related to administrative and shutdown furloughs.
The shutdown portion of this website includes the following additional guidance:
The following documents are from the National Archives and Records Administration (NARA)
Clinton Presidential Materials Project.1616 These documents cover statements made by President
William J. Clinton leading up to and during the November 1995 and December 1995–January -January
1996 government shutdowns; these documents are arranged by date.
Brief Historical Context:17 .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.1818 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.
Brief Historical Context:19 .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.
Brief Historical Context:20 The most recent.20 A shutdown occurred at the beginning of FY2014, on (October 1, 2013, )
and lasted for a total of 16 full 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
).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.
Author Contact Information
Acknowledgments
Some of the descriptions within this report draw from CRS Report RL34680, Shutdown of the Federal
Government: Causes, Processes, and Effects, coordinated by [author name scrubbed]. [author name scrubbed] assisted Clinton T. Brass. Jessica Tollestrup assisted
by providing details within the brief historical context sections on the November 1995, December 1995-January1995January 1996, and October 2013 shutdowns.
Disclaimer
This document was prepared by the Congressional Research Service (CRS). CRS serves as nonpartisan
shared staff to congressional committees and Members of Congress. It operates solely at the behest of and
under the direction of Congress. Information in a CRS Report should not be relied upon for purposes other
than public understanding of information that has been provided by CRS to Members of Congress in
connection with CRS’s institutional role. CRS Reports, as a work of the United States Government, are not
subject to copyright protection in the United States. Any CRS Report may be reproduced and distributed in
its entirety without permission from CRS. However, as a CRS Report may include copyrighted images or
material from a third party, you may need to obtain the permission of the copyright holder if you wish to
copy or otherwise use copyrighted material.
Congressional Research Service
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1996, and October 2013 shutdowns.
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 [author name scrubbed]. |
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 [author name scrubbed]. |
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, available at http://www.gao.gov/products/GAO-06-382SP. |
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. |
9. |
Includes the text of H.R. 2677 and H.R. 2706, 104th Congress. |
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. |
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. |
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 [author name scrubbed]. |
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. |
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 [author name scrubbed]. |
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. |
19. |
Information about the historical context in this section was provided by [author name scrubbed]. |
20. |
Information about the historical context in this section was provided with the assistance of [author name scrubbed]. |
21. |
For more information on automatic continuing resolutions see CRS Report R41948, Automatic Continuing Resolutions: Background and Overview of Recent Proposals, by [author name scrubbed]. |