Order Code RL30502
CRS Report for Congress
Received through the CRS Web
Appropriations for FY2001: Treasury, Postal
Service, Executive Office of the President, and
General Government
Updated September 21, 2000
Sharon S. Gressle, Coordinator
Government and Finance Division
Congressional Research Service ˜ The Library of Congress
Appropriations are one part of a complex federal budget process that includes budget
resolutions, appropriations (regular, supplemental, and continuing) bills, rescissions,
and budget reconciliation bills. The process begins with the President’s budget
request and is bounded by the rules of the House and Senate, the Congressional
Budget and Impoundment Control Act of 1974 (as amended), the Budget
Enforcement Act of 1990, and current program authorizations.
This report is a guide to one of the 13 regular appropriations bills that Congress
passes each year. It is designed to supplement the information provided by the House
and Senate Appropriations Subcommittees on Treasury, Postal Service, and General
Government. It summarizes the current legislative status of the bill, its scope, major
issues, funding levels, and related legislative activity. The report lists the key CRS
staff relevant to the issues covered and related CRS products.
This report is updated as soon as possible after major legislative developments,
especially following legislative action in the committees and on the floor of the House
and Senate.
NOTE: A Web version of this document with
active links is available to congressional staff at
[http://www.loc.gov/crs/products/apppage.html]
Appropriations for FY2001: Treasury, Postal Service,
Executive Office of the President, and General Government
Summary
As the House and Senate returned from the August recess, there were three
versions of the Treasury, Postal Service and General Government FY2001
appropriations pending action. The House had passed, on July 20, H.R. 4871. The
Senate had reported, on July 20, S. 2900 and, on July 26, had voted to invoke cloture
to proceed with debate on H.R. 4871. The third version, H.R. 4985, was introduced
on July 26 as a new bill and reported from the Legislative Branch (H.R. 4516)
appropriations conference committee as Division B of that conference. The
Legislative Branch conference version of the Treasury measure would fund the
accounts at a substantially higher rate than the funding in the House-passed or Senate-
reported bills. On July 27, the rule for House consideration of the conference version
was adopted, by a narrow margin. However, the measure was not considered by the
House before adjournment. The House agreed to the conference report on H.R. 4516
September 14. The Senate rejected the conference agreement on a 28-69 vote
September 20. The future disposition of a funding measure for these accounts is
uncertain.
The FY2001 budget, submitted to Congress on February 7, 2000, requests $31.2
billion to fund the accounts covered through the Treasury, Postal Service, Executive
Office of the President, and General Government appropriations. The FY2000
funding totals $28.257 billion, including mandatory funding (reflecting scorekeeping
by the Congressional Budget Office (CBO)). Incorporating the CBO scorekeeping
for FY2001, the budget would have mandatory accounts funded at $14.68 billion and
discretionary funding set at $16.5 billion. This is in comparison to the FY2000
funding at $14.5 billion and $13.7 billion, respectively.
The House and Senate Appropriations Committees approved allocations to the
various appropriations. For the covered accounts, the House has approved
discretionary budget authority at $14.402 billion with outlays at $14.751 billion. The
Senate allocated $14.3 billion for budget authority and $14.566 billion for outlays.
While the congressional allocations are in disagreement with one another, they are
consistently lower than the requested funding. The conference (H.R. 4516/H.R.
4985) measure would fund the discretionary accounts at $15.630 billion, significantly
beyond the allocations.
The House passed the Treasury/Postal Service bill on July 20, 2000. Under that
version, the total funding (using CBO scorekeeping tallies) would be $29.1 billion, of
which $14.4 billion would be for discretionary accounts. On July 20, the Senate
Appropriations Committee reported out a Treasury/Postal Service bill which would
total $29.2 billion, with $14.5 billion in discretionary funding.
Key Policy Staff
Area of Expertise
Name
CRS Division
Tel.
Bureau of Alcohol, Tobacco, and Firearms
William Krouse
G&F
7-2225
Council of Economic Advisers
Edward Knight
G&F
7-7785
Customs Service
William Krouse
G&F
7-2225
Debt Management
James Bickley
G&F
7-7794
Executive Office of the President
Rogelio Garcia
G&F
7-8687
Federal Child Care
Melinda Gish
DSP
7-4618
Federal Election Commission
Joseph Cantor
G&F
7-7876
Federal Employee Health Care Policy
Carolyn Merck
DSP
7-7320
Federal Employee Pension Policy
Patrick Purcell
DSP
7-7571
General Services Administration
Stephanie Smith
G&F
7-8674
Independent Agencies
Sharon Gressle
G&F
7-8677
Internal Revenue Service
Sylvia Morrison
G&F
7-7755
National Archives
Harold Relyea
G&F
7-8679
Office of Government Ethics
Mildred Amer
G&F
7-8304
Office of Personnel Management
Barbara Schwemle
G&F
7-8655
Postal Service
Bernevia McCalip
G&F
7-7781
Presidential Salary
Sharon Gressle
G&F
7-8677
Procurement Reform
Stephanie Smith
G&F
7-8674
Secret Service
Stephanie Smith
G&F
7-8674
Division abbreviations: G&F = Government and Finance; DSP = Domestic Social Policy; RSI=Resources,
Science, and Industry.
Contents
Most Recent Developments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
FY2000 Net Funding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Status and Legislative History . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
Legislative Branch Conference Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
Budget and Key Policy Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Department of the Treasury . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Bureau of Alcohol, Tobacco, and Firearms (ATF) . . . . . . . . . . . . . . . 9
Customs Service . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
Internal Revenue Service (IRS) . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Secret Service . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
U.S. Postal Service . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Executive Office of the President and Funds Appropriated to the
President . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
Compensation of the President . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
White House Office . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
Executive Residence (White House) . . . . . . . . . . . . . . . . . . . . . . . . . 16
Special Assistance to the President (Office of the Vice President) and
Official Residence of the Vice President . . . . . . . . . . . . . . . . . . 17
Council of Economic Advisers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
Office of Policy Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
National Security Council . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
Office of Administration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
Office of Management and Budget . . . . . . . . . . . . . . . . . . . . . . . . . . 18
Office of National Drug Control Policy . . . . . . . . . . . . . . . . . . . . . . 18
Federal Drug Control Programs . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
Unanticipated Needs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
Independent Agencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
Federal Election Commission (FEC) . . . . . . . . . . . . . . . . . . . . . . . . . 19
Federal Labor Relations Authority (FLRA) . . . . . . . . . . . . . . . . . . . 20
General Services Administration (GSA) . . . . . . . . . . . . . . . . . . . . . . 21
Merit Systems Protection Board (MSPB) . . . . . . . . . . . . . . . . . . . . . 22
National Archives and Records Administration (NARA) . . . . . . . . . . 23
Office of Government Ethics (OGE) . . . . . . . . . . . . . . . . . . . . . . . . . 24
Office of Personnel Management (OPM) . . . . . . . . . . . . . . . . . . . . . 24
Office of Special Counsel (OSC) . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
Federal Personnel Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
Pay . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
Federal Employees Health Benefits Program . . . . . . . . . . . . . . . . . . . . . . 28
Federal Retirement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
Repeal of Temporary Increase in Retirement Contributions . . . . . . . 28
Law Enforcement —Washington Area Airport Authority . . . . . . . . . 29
Federal Child Care . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
Major Funding Trends . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
Glossary of Budget Process Terms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
For Additional Reading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
CRS Issue Briefs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
CRS Info Packs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
CRS Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
Other Readings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42
Selected World Wide Web Sites . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42
List of Tables
Table 1. Status of FY2000 Appropriations for the Treasury, Postal Service,
Executive Office of the President, and General Government . . . . . . . . . . . . 7
Table 2. Appropriations for the Treasury, Postal Service, Executive Office of the
President, and General Government, FY1996 to FY2000 . . . . . . . . . . . . . 30
Table 3. Treasury, Postal Service, Executive Office of the President, and General
Government Appropriations, FY2000, by Title . . . . . . . . . . . . . . . . . . . . . 31
Table 4. Department of the Treasury, Postal Service, Executive Office of the
President, and General Government Appropriations . . . . . . . . . . . . . . . . 32
Appropriations for FY2001: Treasury, Postal
Service, Executive Office of the President, and
General Government
Most Recent Developments
On September 20, the Senate rejected the conference report on H.R. 4516,
which the House agreed to on September 14. On July 26, H.R. 4985 was introduced
as a new bill for the purpose of funding the Treasury, Postal Service, and General
Government appropriations accounts and it was appended to the conference report
on Legislative Branch funding (H.R. 4516), as Division, B, Section 1001. A rule for
consideration in the House was adopted by a narrow margin, July 27. The
conference report was not debated and was held over until after the August break.
On July 24, 2000, a cloture motion was filed against H.R. 4871, to limit debate
on the Treasury, Postal Service, and General Government appropriations bill. On
July 26, cloture was invoked by a vote of 97-0 and the Senate began debate.
On July 20, 2000, the House passed H.R. 4871, the Treasury, Postal Service,
and General Government appropriations bill. On that same date, the Senate
Committee on Appropriations ordered S. 2900 to be reported.
On May 4, 2000, the Senate Appropriations Committee approved funding
allocations which are expected to govern the funding decisions on the part of the
appropriators as they approach mark up on the appropriations proposals. The
House Appropriations Committee approved revised allocations July 19.
On February 7, 2000, President William J. Clinton submitted the Budget of the
United States Government for FY2000.
Introduction
The President, through the Office of Management and Budget (OMB) is required
to submit to Congress, annually, the Budget of the United States Government. On
February 7, 2000, the budget for FY2001 was submitted.1
1 U.S. Executive Office of the President, Office of Management and Budget, Budget of the
United States Government, Fiscal Year 2001 (Washington: GPO, 2000). Hereafter referred
to as Budget, with specific budget document cited.
CRS-2
Congress has established a procedure by which it passes a concurrent resolution
establishing the congressional budget for the government and setting forth budgetary
levels for several years in the future.2 The House and Senate Appropriations
Committees then allocate the discretionary funding levels (302(b)) allocations to each
of the subcommittees. See the section of this report entitled “Major Funding Trends”
for a discussion of the FY2001 allocations for Treasury and General Government
appropriations.
Appropriations for the Department of the Treasury, in addition to funding the
operations of the department, fund the work of a group of law enforcement
organizations, which include the Bureau of Alcohol, Tobacco, and Firearms; the
Customs Service; the Secret Service; the Financial Crimes Enforcement Network; and
the Federal Law Enforcement Training Center. Treasury appropriations also cover
the Internal Revenue Service, the Financial Management Service, and the Bureau of
the Public Debt.
For the most part, the U. S. Postal Service has become self-supporting. Federal
contributions are limited to payments to the Postal Service Fund to compensate for
revenues foregone (e.g., free postal service for the blind.)
Appropriations for the Executive Office of the President provide salaries and
expenses for the White House Office, operations of the residences of the President
and Vice President, and most other agencies within the Executive Office of the
President (EOP). Organizations such as the Council of Economic Advisers, the
National Security Council, the Office of Management and Budget, and the Office of
National Drug Control Policy (ONDCP) are funded through these provisions.
Specific funding for drug control initiatives is appropriated for distribution to other
entities by the ONDCP.
Among the independent agencies financed through this appropriation are the
Federal Election Commission, the General Services Administration, the National
Archives and Records Administration, the Office of Personnel Management, the
Office of Special Counsel, and the United States Tax Court.
The Treasury and General Government appropriation always has at least two
titles in addition to the four covering the funding for specific agencies. These general
titles apply restrictions or “rules of the road” governmentwide and, quite often,
contain authority for defined actions. For example, each year, there is standard
language which prohibits the use of any appropriated funds for the purpose of
employing individuals who are not U.S. citizens or citizens of nations either specified
in that section of the act or on the State Department list of nations covered by
treaties; which requires that all agencies, and contractors working with agencies,
maintain drug-free workplaces; and which authorizes the expenditure of funds
appropriated under any act to be used to pay the travel expenses of immediate family
members if a federal employee serving overseas has died or has a life-threatening
2 H. Con. Res.290, 106th Cong., 2nd sess. versions, which differed, agreed to by the House
March 24, 2000 and by the Senate Apr. 7, 2000. A conference report (H. Rept. 106-577) was
agreed to by both chambers Apr. 13, 2000.
CRS-3
illness. An example of language defining action is section 643 of P.L. 106-58
(FY2000 Treasury and General Government appropriations), which permits the use
of executive branch agency funds to provide child care services for low-income
federal employees.
FY2000 Net Funding
Subsequent to passage of FY2000 Treasury and General Government
appropriations,3 the FY2000 Consolidated Appropriations Act4 provided for a so-
called across-the-board rescission of 0.38%. As part of the FY2001 budget
submission, the Office of Management and Budget (OMB) reported specific
reductions in the accounts.5
OMB issued a fact sheet (2000-01-10 OMB Fact Sheet, January 10, 2000) in
which the administration stated that the law stipulated that 0.38% in savings was to
be realized by each and every department. However, within each department, it
provided latitude to protect high-priority programs as long as the dollar figure
amounting to 0.38% was achieved and certain other conditions were met. OMB
provided guidance regarding general principles the agencies should use to identify
cuts:
! The 0.38% cut must not be imposed across the board, but targeted
to reflect areas of higher and lower priority;
! Reductions should come from least critical funding;
! Reductions should be considered from funding that Congress enacted
above the President’s request; and
! Wherever possible, no personnel reductions should occur.
According to OMB, the law also imposed the condition that no reduction in any
single program could exceed 15% of its total. In other words, the law did not permit
an entire program to be eliminated in order to count toward the savings necessary for
a given department. At least 85% of the funding total for the program had to remain
intact. Among those accounts identified as being fully protected are ATF Youth Gun
Initiatives and Secret Service Salaries and Expenses.
The FY2001 Military Construction Appropriations Act is the vehicle for the
FY2000 Supplemental funding provisions.6 Some of the accounts covered by the
Treasury/Postal Service measure are affected by that language. For example, section
6 provides that the pay date for federal civilian personnel which had been pushed into
FY2001, will revert to the original scheduled date in FY2000. That will alter the
“enacted” funding level for FY2000.
3 P.L. 106-58; Sept. 29, 1999; 113 Stat. 430.
4 P.L. 106-113, section 1000(a)(5), section 301; Nov. 29, 1999. For a guide to that statute,
see CRS Report RS20403, FY2000 Consolidated Appropriations Act: Reference Guide, by
Robert Keith.
5 Budget, Analytical Perspectives, p. 393.
6 P.L. 106-246; July 13, 2000; H.R. 4425/S. 2521.
CRS-4
When the term “net,” is used in this report, it means the appropriated levels
reduced by the rescinded amount as reported by OMB and the supplemental. Table
4 is designed to provide summary information for FY2000 enacted funding, for House
and Senate reported or passed funding, and for FY2001 enacted, as appropriate.
Although not all accounts are represented, those with significant funding levels or
subject to critical discussion can be found in the table. The FY2000 enacted levels
reflect the application of the rescissions and the supplemental.
The funding levels in the tables in this report are provided by the House
Appropriations Committee. The funding levels in the text are, unless otherwise
noted, also provided by the House committee. The Senate documentation is
noted if there are differences between the two versions. Also, in some instances,
the account totals may differ between the budget, as submitted by the President,
and the requested funding levels calculated by the House and Senate
committees. Any significant differences will be discussed in the text. The
committee data are more current, and represent the amounts used by Members
in considering various funding alternatives.
The Budget documents provided by the Office of Management and Budget
and the appropriations bills do not necessarily follow the same organization of
accounts. For example, not all of the agencies which are organizationally within
the Executive Office of the President, as found in the budget, are funded
through the Treasury, Postal Service, and General Government appropriations
legislation. Also, the FY2001 and FY2000 individual account data in this report
do not reflect scorekeeping by the Congressional Budget Office.
See the glossary for definitions of discretionary and mandatory spending.
In some instances, the mandatory levels drive up the percent of increase
represented in the appropriation. The appropriators are bound by those
entitlements under permanent law and control only the discretionary spending
levels. The data in the tables and the funding levels provided in the text, unless
otherwise noted, reflect the mandatory and discretionary funding combined.
FTE, or full-time equivalent, is a budgetary term and does not represent
the number of personnel employed by, or the number of actual positions allowed
in, a department or agency. The FTE number is calculated by dividing the total
number of staff hours worked in a given 12-month period (usually the fiscal
year) by the total number of hours in a workyear (2087). The number of on-
board personnel at any given time and the total number of people working in the
organization during the course of the year are two entirely different statistical
results. Seasonal employment and part-time employment are two factors which
serve to make the FTE and actual employment figures differ.
CRS-5
Status and Legislative History
On September 14, 2000, the House agreed to the conference report for H.R.
4516 (FY2001 legislative branch funding), which has become this cycle’s vehicle for
funding the Treasury and General Government accounts.7 The House vote (Roll No.
476) was 212 yeas to 209 nays, with 13 not voting.8 On September 20, the Senate
rejected the conference report, by a vote of 28 to 69 (Vote No. 253).9 The
disposition of a funding measure covering the Treasury and General Government
accounts is uncertain.
When the House and Senate adjourned for the August recess, there were three
versions of the Treasury, Postal Service and General Government FY2001
appropriations pending action. The House had passed, on July 20, H.R. 4871. The
Senate had reported, on July 20, S. 2900 and, on July 26, had voted to invoke cloture
to proceed with debate on H.R. 4871. The third version, H.R. 4985, was introduced
on July 26 as a new bill and reported from the Legislative Branch (H.R. 4516)
appropriations conference committee as section 1001 of Division B of that
conference. On July 27, the rule for House consideration of the conference version
was adopted, by a narrow margin. However, the measure was not considered by the
House before recess. See below for a discussion of the funding levels in H.R. 4985.
The House Committee on Appropriations Subcommittee on Treasury, Postal
Service, and General Government held 10 days of hearings during March and April
2000. The Subcommittee markup was July 11, with the full Appropriations
Committee reporting H.R. 4871 on July 18, H. Rept. 106-756.10 The bill was
approved in committee through a voice vote.
7 Conference Report on H.R. 4516, Legislative Branch Appropriations Act, 2001,
Congressional Record, vol. 146, September 14, 2000, p. H7608-7626. Chart showing
Treasury and General Government accounts in detail appears on H7609-7611.
8 Note: The Daily Digest shows the vote as Roll No. 477, however the body of the
Congressional Record (p. H7626) shows it as Roll No. 476.
9 Legislative Branch Appropriations Act, 2001—Conference Report, Congressional Record,
vol. 146, September 20, 2000, p. S8788-8800. Note, the Record does not reflect the passage
of hours while there were quorum calls interspersed with floor comments, as negotiations
continued. Nor does it reflect the shifting of votes. The voting on this measure extended to
over one hour.
10 U.S. Congress, House Committee on Appropriations, Treasury, Postal Service, and
General Government Appropriations Bill, 2001, report to accompany H.R. 4871, 106th
Cong., 2nd sess., H.Rept. 106-756 (Washington: GPO, 2000), p. 75. (Hereafter referred to
as H.Rept. 106-756.)
CRS-6
The House passed H.R. 4871, amended, July 20, 2000, by a vote of 216-202.11
H.R. 4871 was considered under an open rule, H. Res. 560.12
The Senate Committee on Appropriations Subcommittee on Treasury, Postal
Service, and General Government held five days of hearings during February, March,
and April. The subcommittee sent the bill to the full Appropriations Committee on
July 19. The full committee ordered S. 2900 to be reported, without written report,
on July 20. On July 24, 2000, the Senate Majority Leader requested that a cloture
motion be filed against H.R. 4871, Treasury, Postal Service, and General Government
appropriations bill.13 On July 26, cloture was invoked by a vote of 97-0 (Rollcall
Vote No. 277) and the Senate began consideration of the measure.14 Debate on H.R.
4871 was pending at the time the Senate adjourned, July 27, for the August
recess/work period.
On July 26, 2000, Treasury Appropriations Subcommittee Chairman, Jim Kolbe,
introduced H.R. 4985, “Making appropriations for the Treasury Department, the
United States Postal Service, the Executive Office of the President, and certain
Independent Agencies, for the fiscal year ending September 30, 2001, and for other
purposes.”15 That same day, the conference report to accompany the Legislative
Branch FY2001 appropriations bill (H.R. 4516, H. Rept. 106-796) was filed.16 On
July 27, 2000, H. Rept. 797 was filed, to accompany H. Res. 565, waiving points of
order against the conference report to accompany H.R. 4516.17 The House agreed
to the rule, subsequent to debate, by a recorded vote of 214 ayes to 210 noes, with
11 Treasury and General Government Appropriations Act, 2001, Congressional Record, vol.
146, July 20, 2000, p. H6622-6710.
12 Providing for Consideration of H.R. 4871, Treasury and General Government
Appropriations Act, 2001, Congressional Record, vol. 146, July 20, 2000, p. H6618-6622.
See also: U.S. Congress, House Committee on Rules, Providing for the Consideration of
H.R. 4871, The Treasury and General Government Appropriations Act, 2001, report to
accompany H. Res. 560, 106th Cong., 2nd sess., H. Rept. 106-767 (Washington: GPO, 2000).
13 Treasury and General Government Appropriations Act, 2001—Motion to Proceed,
Congressional Record, vol. 146, July 24, 2000, p. S7468-69.
14 Treasury and General Government Appropriations Act, 2001—Motion to
Proceed—Resumed, Congressional Record, daily edition, vol. 146, July 26, 2000, p. S7590-
7619, S7624-29.
15 Congressional Record, daily edition, vol. 146, July 26, 2000, p. H7128.
16 Conference Report on H.R. 4516, Legislative Branch Appropriations Act, 2001,
Congressional Record, daily edition, vol. 146, July 26, 2000, pp. H7095-H7126. The
conference report (H. Rept. 106-796) is divided into two parts. Division A is the text of the
Legislative Branch bill, as reported out of conference, and the accompanying explanations
(pp. H7095-H7107). Division B, Section 1001 is the text of the Treasury bill, H.R. 4985, as
introduced, and the accompanying explanations (H7107-H7126). Section 1003 of Division
B is the repeal of the telephone excise tax.
17 Congressional Record, daily edition, vol. 146, July 27, 2000, p. H7131.
CRS-7
one voting “present” (Roll No. 448).18 Prior to adjourning, for the August
recess/work period, there was no further debate on the issue.
Table 1. Status of FY2000 Appropriations for the Treasury, Postal Service,
Executive Office of the President, and General Government
Subcommittee
Conference Report
Markup
Approval
House
House
Senate
Senate
Conf.
House
Senate
Report
Passage
Report
Passage
House
Senate
Public Law
July 26
July 20
July 19
H.R.
July 18
H.R.
S. 2900
4516/H.R. Adopted
H.R. 4871
4871
no
4985
Sept. 14 Rejected
H.Rept.
vote:
written
H.Rept.
vote:
Sept. 20
July 11
July 19
106-756
216-202
report
–
106-796
212-209
69-28
–
Legislative Branch Conference Report
Inclusion of the Treasury, Postal Service and General Government funding
provisions in the legislative branch appropriations19 caught many by surprise. There
are no minority signatures on the conference report. The text of the floor debate on
the rule would indicate that some knew about the strategy and others were caught
unaware.20 The debate on the rule, agreed to in the House July 27, seemed to focus
more on the protocol than on the substance of the provisions of H.R. 4985, as
introduced and as included in the conference report. The House had passed H.R.
4871 and the Senate had begun debate on that measure, as well as having reported
their own version, S. 2900. H.R. 4985 has received no stand-alone committee or
floor action by either chamber. The House, having already agreed to the rule,
proceeded to debate the conference report, and subsequently agreed to the report, on
September 14, 2000. The Senate rejected the conference report on September 20.
There remains a question as to what form a funding measure, covering the
Treasury and General Government accounts, will take. It could be that the Senate
will take up H.R. 4871 and deal with it as a stand alone measure. The Senate may
once again consider a combined conference report, possibly a redo of accounts which
would also have to gain House approval. The accounts may remain unfunded at the
September 30 close of the fiscal year, which would then place them in a continuing
resolution. They may ultimately become part of an omnibus funding bill.
18 Waiving Points of Order Against Conference Report on H.R. 4516, Legislative Branch
Appropriations Act, 2001, Congressional Record, daily edition, vol. 146, July 27, 2000, pp.
H7143-H7152.
19 For tracking of the legislative branch funding bill, see CRS Report RL30512:
Appropriations for FY2001: Legislative Branch, by Paul Dwyer.
20 Waiving Points of Order Against Conference Report on H.R. 4516, Legislative Branch
Appropriations Act, 2001, Congressional Record, daily edition, vol. 146, July 27, 2000, pp.
H7143-H7152.
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There has been a great deal of objection to the procedural protocol of bringing
into a conference report, provisions of a bill which had been introduced the legislative
day before it became part of the report and which contained spending levels
considerably in excess of the House-passed and Senate-reported versions. There
continues to be contention with regard to the adequacy of the funding levels for IRS
accounts and for courthouse construction. Although there was not a formal press
release nor a Statement of Administration Policy threatening a veto, the probability
of a veto was suggested by both administration representatives and Democratic
Members.
The funding levels in H.R. 4985, as introduced and as section 1001 of Division
B of the H.R. 4516 conference report, are markedly different than those in the House-
passed and Senate-reported versions. Table 4 provides the details by account. In
summary, the conference version would fund the accounts at $30, 309.5 million. The
FY2001 request was for $31,208.4 million. The House approved $29,081.6 million
and the Senate Appropriations Committee reported their bill at $29,180.6 million.
There are four accounts which would exceed the President’s request as well as both
the House and Senate versions (Federal Law Enforcement Training Center, Financial
Management Service and the Bureau of Alcohol, Tobacco and Firearms, and the U.S.
Secret Service, all in the Department of the Treasury). There are two accounts which
would exceed the President’s request and would be equal to, or lower than, either the
House or Senate versions (Financial Crimes Enforcement Network in the Department
of the Treasury and the National Historical Publications and Records Commission
Grants Program in the National Archives and Records Administration). There are 17
accounts in which the conference version would exceed both the House and Senate
versions, but would be equal to (two), or below the President’s request. There are
26 accounts in which the conference version would exceed the funding level proposed
by either the House or the Senate. In most of those instances, the funding level would
match the President’s request and whichever congressional version was higher. Other
than the mandatory accounts, there are eight accounts in which the conference
funding level is in agreement with the President’s request and both the House-passed
and Senate-reported versions.
The text below, as it discusses particular accounts, will refer to H.R. 4871 by
number or as “House-passed,” to S. 2900 by number or as “Senate-reported.” H.R.
4985 will be identified by number or referenced as conferees or as conference report
or version. Please note that, until a printed version of the conference report is
available, it is presumed that no further changes took place in the funding levels since
the July 27text was published in the Congressional Record.
The repeal of the telephone excise tax is Section 1003 of Division B, H.R. 4516.
For a discussion of that issue, see CRS Report RS20119, Telephone Excise Tax, by
Louis Alan Talley.
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Budget and Key Policy Issues
Department of the Treasury
The Department of the Treasury has both financial and law enforcement
functions. The financial functions are carried out by the Financial Management
Service; the Mint; and the Bureau of Public Debt. The law enforcement functions are
carried out by the Customs Service; the Secret Service; the Bureau of Alcohol,
Tobacco and Firearms (ATF); the Financial Crimes Enforcement Network; and the
Federal Law Enforcement Training Center. The Internal Revenue Service has both
a financial function—to determine and audit tax obligations—and a law enforcement
function—to enforce collection of tax revenue.
The single largest account within the Department of Treasury appropriation is
that for the Internal Revenue Service (IRS). The department’s FY2000 net funding
is $12.352 billion, with the IRS funded at $8.217 billion, or 66.7% of the total.
The FY2001 budget request is $14.520 for the department. The request would
more than double the account for department-wide systems and capital investments,
add funding for the Money Laundering Strategy; increase interagency crime and drug
enforcement by 40%; eliminate funding for the Violent Crime Reduction Program as
previously defined; and increase Secret Service, ATF, and Customs Service funding.
The increase for the IRS would be just under 10%.
Five FY2001 key priorities are identified in the department’s budget justification:
! Support continued IRS reform;
! Strengthen the department’s ability to fight drugs and crime;
! Enhance financial reporting and resource accountability;
! Invest in community development and economic growth; and
! Maintain support for management operations.
The House Appropriations committee reported H.R. 4871, providing $13.225
billion for the department. As passed by the House, H.R. 4871 would reduce the
Office of the Treasury Inspector General for Tax Administration by $950,000 in order
to fund a pilot project to check for radioactive materials in scrap metal imported into
the United States. It also would offset an additional $25 million for the Hight Intesity
Drug Trafficking Areas program by reducing the IRS Processing Assistance and
Management Account.
S. 2900, as reported by the Senate Committee on Appropriations, would provide
a total of $13.161 billion for the department.
H.R. 4985 would fund the Department at $13.598 billion. The IRS would be
funded at $8.639 billion, or 63% of the departmental total.
Bureau of Alcohol, Tobacco, and Firearms (ATF). The ATF is a law
enforcement agency that monitors compliance with federal laws related to the
manufacture, importation, and distribution of alcohol, tobacco, firearms, and
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explosives. While these laws prohibit certain illegal activities, they also regulate legal
activities related to these commodities. The ATF also enforces federal laws related
to arson. In enforcing federal law, ATF officers often work closely with other federal,
state, and local law enforcement officers. ATF’s mission is focused on three goals:
1) reducing crime, 2) collecting revenue, and 3) protecting the public.
For FY2001, the administration requests $760,051,000 for the ATF (this amount
includes $4,148,000 for counter-terrorism included in the Administration’s budget
amendment dated May 18, 2000). The Administration’s request is $155,478,000
more than the amount appropriated for ATF last year. P.L. 106-58 provided ATF
with $606,879,000 in total appropriated funding for FY2000. Of this amount,
$40,920,000 was appropriated for the Violent Crime Reduction Trust Fund. P.L.
106-58 also rescinded $2,306,000 from ATF’s appropriated funding due to the .38%
across the board budget cut, resulting in a final appropriation of $604,573,000 for
FY2000.
For FY2001, the Senate-reported measure would provide the ATF with
$724,937,000, and the House-passed measure would provide $731,325,000 – fully
funding the administration’s gun control initiatives. The conference report, however,
would provide $768,695,000 for ATF. This amount is $43,758,000 more than the
Senate-reported measure, $37,370,000 more than the House-passed bill, and
$8,644,000 more than the Administration’s request. In addition to fully funding the
administration’s gun control initiatives, the conference report would also provide
$13,000,000 for the Gang Resistance Education and Training program, an amount
that was included in the Senate-reported measure. On the other hand, the conference
report does not include the $5,521,000 for the tobacco compliance initiative. In
addition, the conferees dropped from the Department of the Treasury general
provisions language prohibiting preferential treatment of gun manufacturers who enter
into agreements similar to the Smith & Wesson agreement.
The administration’s FY2001 request includes $105,298,000 in program budget
increases to expand ongoing initiatives, such as the Integrated Violence Reduction
Strategy ($41,322,000), the Youth Crime Gun Interdiction Initiative ($19,078,000),
expanded gun tracing ($9,990,000), enhanced ballistic imaging ($23,361,000),
tobacco compliance ($5,521,000), and the national laboratory center transition
($6,026,000). In addition, the Administration also requests funding to relocate the
ATF headquarters ($7,290,000).
The House-passed measure would fully fund the administration’s requests for the
Integrated Violence Reduction Strategy, the Youth Crime Gun Interdiction Initiative,
and the expanded gun tracing initiative. The measure would also fully fund the
enhanced ballistic imaging initiative with $19,057,000 in funding from the Super
Surplus and $4,304,000 in a direct appropriation. On the other hand, the
recommendation would not fund the tobacco compliance initiative.
To expand the Integrated Violence Reduction Strategy (IVRS), the
administration is requesting $41,322,000 to fund 224 agents, 112 inspectors, and 59
support staff. With these additional resources, ATF would:
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! intensify local firearm initiatives, like Boston’s Ceasefire and
Richmond’s Project Exile;
! review all Federal Bureau of Investigation (FBI) referrals where
Brady law background checks indicate that a prohibited person
received firearms as result of a delayed denial;
! investigate cases where intelligence data indicate that prohibited
persons are engaging in multiple attempts to purchase firearms from
different federal firearm licensees;
! investigate cases where prohibited persons with a history of violent
crime are known to have acquired firearms through legitimate or
illegal markets; and
! review the records of federal firearm licensees to ensure that instant
checks are being performed on all firearm transfers and that the
required records are being maintained.
The House-passed measure would fully fund IVRS, bringing total funding for this
initiative to $62,200,000.
To expand the Youth Crime Gun Interdiction Initiative (YCGII) to 12 additional
cities, the administration is requesting $19,078,000 to hire 72 agents and 98
inspectors. The objective of the YCGII is to reduce youth firearm violence and
firearms trafficking among youth by making federal resources like ATF’s firearms
tracing and ballistics technology available to state and local law enforcement agencies,
and by providing coordination of these efforts. The House-passed measure would
fully fund the Administration’s YCGII request, bringing total funding for this program
to $76,400,000.
To continue the Comprehensive Crime Gun Tracing Initiative, the administration
is requesting $9,990,000 and 20 positions. This initiative provides nationwide,
comprehensive tracing capability for state and local law enforcement. The additional
resources will provide for faster trace results and indexing of gun identification
information from business records. The House-passed measure would fully fund the
Administration’s gun tracing initiative request, bringing total funding for this program
to $25,000,000.
For the Expanded Ballistics Identification Initiative, the administration is
requesting $23,361,000 and 20 positions. On December 2, 1999, the ATF and FBI
signed a memorandum of understanding that will provide for the further development
of the Integrated Ballistics Identification System (IBIS) as the federal system that will
compare images of ballistic evidence (projectiles and cartridge casings). From 1993
to 1997, the ATF and FBI operated two parallel, but incompatible, systems. Through
funding from the Super Surplus and a direct appropriation, the House-passed measure
would fully fund the Administration’s request for the Expanded Ballistics
Identification Initiative, bringing total funding for this initiative to $26,400,000.
For Tobacco Compliance/Diversion, the administration is requesting $5,521,000
and 88 positions. These resources, according to ATF, are needed to monitor new
permit and revenue requirements for importers of tobacco products that were enacted
as part of the Balanced Budget Act of 1997. The House-passed measure does not
include funding for this initiative, nor does it include funding for the relocation of the
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ATF headquarters. On the other hand, the House Appropriations Committee
recommends in report language that the Department of the Treasury allocate
$3,023,000 from the Super Surplus for the Laboratory/Fire Research Center
Maintenance, partially funding the administration’s request of $6,026,000 for this
purpose.
Among ATF’s activities, the regulation and enforcement of laws related to
firearms commerce and possession have been the most controversial. Both the
House-passed and the Senate-reported measures include language that would prohibit
the Department of the Treasury from giving preferences regarding the acquisition of
firearms to any manufacturer or vendor that enters into agreements with any federal
department or agency that set out codes of conduct, operating practices, product
design specifications, and other requirements related to the importation, manufacture,
or dealing in firearms that are greater than what is currently required under federal
statute. The Smith & Wesson Corporation entered into such and agreement with the
Department of Housing and Urban Development (HUD). Shortly thereafter, HUD
announced that 411 governments around the nation had joined the Communities for
Safer Guns Coalition, and had pledged to give preferences to manufacturers who
enter into agreements similar to the one with Smith & Wesson. This language,
however, was dropped from the conference version. For further information on gun
control-related legislation and issues, see CRS Issue Brief IB10014, Gun Control.
Customs Service. The U.S. Customs Service, the federal government’s oldest
regulatory/revenue collecting agency, is responsible for monitoring the movement of
persons, carriers, merchandise, and commodities between the United States and other
countries. In 1999, Customs collected $22,405,800,000 in trade-related duties, taxes,
and fees.
For FY2001, the administration requests $1,887,866,000 for the Customs
Service (this amount includes $28,934,000 for counter-terrorism requested by the
administration in a budget amendment dated May 18, 2000). For the same year, the
Senate-reported measure would provide $1,804,687,000 for the Customs Service,
while the House-passed measure would provide $1,822,365,000. For FY2001, the
conference report would provide the Customs Service with $1,863,725,000. This
amount is $59,038,000 more than the Senate-reported measure, $41,360,000 more
than the House-passed measure, and is $24,141,000 less than the Administration’s
FY2001 request.
For the air and marine interdiction account, for FY2001, the administration
requests $156,875,000. By contrast, the Senate Appropriations Committee
recommends $128,228,000, while the House-passed measure would provide
$125,778,000. The conference report would provide Customs with $133,228,000 for
this account.
For FY2000, P.L. 106-58 provided the Customs Service with $1,759,227,000
(this amount reflects a rescission of $7,137,000 and includes a transfer of $61,000,000
for the Violent Crime Reduction Trust Fund). For the air and marine interdiction
account, P.L. 106-58 provided $108,688,000. Furthermore, the FY2000
supplemental appropriations act (P.L. 106-246) provided an additional $68,000,000
CRS-13
to upgrade P-3 aircraft radar systems to enhance the agency’s drug interdiction
efforts.
The administration’s FY2001 budget request for Customs salaries and expenses
account includes $41,517,000 in program budget enhancements. These enhancements
include: (1) $25,000,000 for the drug investigations initiative, (2) $10,000,000 for the
narcotics illicit proceeds strategy initiative, (3) $5,000,000 for the forced child labor
initiative, and (4) $1,517,000 for Customs’ airborne support for the United States
Secret Service. The remaining $119,188,000 in increased funding for the salaries and
expenses account is requested for various budget adjustments that, according to the
administration, would allow Customs to maintain current levels of service associated
with various initiatives and budget increases in the agency’s FY1999 and FY2000
budgets.
Regarding these initiatives, the House-passed measure would provide
$9,500,000 for the drug investigations initiative and $2,000,000 for the forced child
labor initiative. It would not fund the illicit proceeds strategy (money laundering), nor
would it fund Customs airborne support for the Secret Service. By comparison, the
conference report would provide $13,700,000 for the Southwest border initiative,
$10,000,000 for security enhancement on the northern border,$11,000,000 for vehicle
replacement, $3,700,000 for money laundering, $9,500,000 for drug investigations,
and an additional $5,000,000 for the forced child labor initiative.
In addition, the administration’s FY2001 request includes a new Customs budget
account for automation modernization, for which the administration is requesting
$338,000,000. Of this amount, $123,000,000 is requested for the operations and
maintenance of the Automated Commercial Systems (ACS); $5,400,000 is requested
for the International Trade Data System (ITDS); and $210,000,000 is requested for
the development of the Automated Commercial Environment (ACE).
To offset the ACE developmental costs, the administration’s request includes a
user fee proposal. A similar fee proposal in the administration’s FY2000 budget
request was rejected last year by both the House and Senate. In recent years, ACS,
the system Customs uses to track, control, and process all commercial goods
imported into the United States, has proven inadequate and has suffered from
“brownouts” that inhibit international commerce. To upgrade the old system and
continue development of its replacement, Congress provided Customs with
$35,000,000 for FY2000. It has been estimated that it will cost $1,300,000,000 over
four years to develop the ACE system. In the FY2000 conference report, Congress
directed Customs to provide a revised blueprint, schedule, and budget for ACE. For
FY2001, the House and Senate Appropriations Committees, and the conferees
rejected the administration’s fee proposal. In lieu of a fee, however, the House-
passed measure would provide an appropriation of $223,400,000 for modernization
of Customs’ automated systems, the Senate-reported measure, $128,400,000, and the
conference report, $258,400,000.
Internal Revenue Service (IRS). The FY2001 request for IRS is
$8,986,084,000. The request represents a 9.36% increase over the net funding for
FY2000 of $8,216,489,000. The net funding takes into account the 0.38% rescission
in the IRS Processing, Assistance, and Management account required by Congress in
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the consolidated funding act. The request for that account is 12.78% higher than the
net funding for FY2000. The IRS budget increases focus on maintaining current
operations and modernization. IRS Commissioner Charles O. Rossotti has testified
that the maintenance of operations will require additional staffing for enforcement and
customer service. He has explained that refers particularly to the need for a state-of-
the-art computer system to replace 1960s era computers.
As passed by the House, H.R. 4871 would fund the IRS programs at $8.453
billion. This would represent a net increase of $236.5 million. There would be $140
million which would continue to be available for organizational modernization. Prior
to passage, amendments were adopted which would reduce funding for the IRS
Processing Assistance and Management account by $25 million (to offset $25 for the
High Intensity Drug Trafficking Areas (HIDTA) program) and funding for the Office
of Treasury Inspector General for Tax Administration by $950,000 ( to create a pilot
project to check for radioactive materials in scrap metal imported into the United
States.)
As reported by the Senate Appropriations Committee, IRS funding would total
$8.535 billion. With the exception of the Earned Income Tax Credit Compliance
Initiative account ($145 million in all versions), the Senate would fund the IRS
accounts at levels higher than passed by the House.
The conference version, with that same exception, would fund the IRS accounts
at levels higher than both the House or Senate versions, at a total of $8.639 million.
Processing, Assistance and Management would receive $3,567.0 million. Tax Law
Enforcement would be funded at $3,382.4 million and Information Systems at $1,545
million.
IRS is proposing the establishment of a Staffing Tax Administration for Balance
and Equity (STABLE) initiative. The STABLE initiative, which is a collective effort
within IRS to improve service to the taxpayers while carrying out statutory mandates,
would include staff increases throughout IRS. One of the most significant increases
requested is in the Tax Law Enforcement account, an increase of full-time equivalent
(FTE) staffing by 158 (41.6%) over the FY1999 actual level. IRS staff have
described the initiative as being an organizing plan to ensure that additional staff (new
hires) would be placed in IRS where they are most needed—in auditing, enforcement,
and customer relations. H.R. 4985 would provide no funding for the STABLE
initiative. However, the conferees agreed to fully fund the Tax Law Enforcement
account with respect to adjustments required to maintain current levels of service and
operational contract support. While higher than both the House and Senate versions,
the conference version is lower than the President’s request.
Secret Service. For FY2001, the President has requested $829.5 million for the
Secret Service. Of this total, $824.5 is for salaries and expenses related to protective
functions, research and development, and the purchase of vehicles; and $5 million for
acquisition and construction costs. FY2000 net funding for the Secret Service was
$691.5 million. The rescission was $738,000 from the acquisition and construction
account.
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H.R. 4871, as reported by the House Appropriations Committee and as passed
by the House, would fund the agency’s salaries and expenses account at $823.8
million. This total is $156.5 million above the amount appropriated in FY2000, and
$700,000. below the President’s budget request. Of this amount, $36,266,000 would
fund activities previously funded elsewhere. Included would be $1,767,000 for
support of the National Threat Assessment Center, that was not requested in the
President’s budget request. Also included in H.R. 4871, as passed, was $24.2 million
for additional protective requirements of the Secret Service during the Presidential
election and transition period. S. 2900, as reported, would fund the salaries and
expenses account at $778.3 million. The conferees would fund the account at the
same level as H.R. 4871, as passed. Both the President’s request and H.R. 4871
would fund the Acquisition, Construction, Improvements, and Related Expenses
account at $5 million. The Senate would fund it at $4.3 million. However, the
conferees would fund it at $8.9 million. The conference version would provide the
$5 million and would add $3.9 million for security enhancements at the Vice
President’s residence.
U.S. Postal Service
The U.S. Postal Service (USPS) generates most of the funding through the sale
of products and services. It also receives an appropriation from the federal
government to pay for revenue foregone on free and reduced rate mail (for the blind
and visually impaired and overseas voting). To fund payment to the Postal Service
Fund for revenue foregone during FY2001, the President is requesting $96.1 million,
of which $67.1 million would not be available until October 1, 2001. P. L. 106-58
provided funding for revenue foregone at $93.4 million for FY2000, with only $29
million to be available during FY2000. The FY2000 appropriation, however, was
subsequently reduced by .38% ($380,000) due to the across-the-board cut mandated
by the Consolidated Appropriations Act of FY2000. Accordingly, the appropriation
for the fiscal year was $93.1 million
H.R. 4871, as reported and passed, would be in accord with the request, holding
$67.1 million for FY2002. S. 2900, as reported, however, would fund the Postal
Service at a total of $67.1 million. The conferees agreed to provide $96.1 million, as
proposed by the House. Of this amount, $67.1 million would be held as an advance
appropriations for free and reduced-rate mail and $29 million would be for
reimbursement in FY2001 to the Postal Service for prior year losses.
All versions would continue the general provision requiring the Postal Service
to use appropriated funds to make available sufficient funds to cover the employment
of guards for all properties and areas owned, occupied, controlled, or in charge of by
the agency. The guards would be granted the same powers as those granted special
policemen by the Act of June 1, 1948, amended (62. Stat. 281; 20 U.S.C. 318a and
318b), attaching thereto penal consequences under that authority and within the limits
provided in the act.
CRS-16
Executive Office of the President and Funds Appropriated to the
President
The Treasury and General Government appropriations act funds all but three
offices in the Executive Office of the President (EOP). Of the three exceptions, the
Council on Environmental Quality (including Office of Environmental Quality) and
the Office of Science and Technology are funded under the Veterans Affairs, Housing
and Urban Development, and Independent Agencies appropriations act; and the Office
of the United States Trade Representative is funded under the Commerce, Justice,
State, and the Judiciary and Related Agencies appropriations act.
The President’s FY2001 budget proposes an appropriation of $702,245,000 for
the EOP, an 7.3% increase over the $654,422,000 appropriated in FY2000. Almost
70 % of these appropriations would be for accounts in the Office of National Drug
Control Policy, and for Federal Drug Control Programs, and unanticipated needs, and
would be transferred to agencies outside of the EOP, and to state and local entities.
The FY2001 appropriation request for these “transfer accounts” amounts to
$474,900,000 (67.6%); for FY2000 it amounted to $441,250,000 (68%).
The specific accounts are discussed below. In those cases in which there are no
differences between the FY2001 request, H.R. 4985, and S. 2900, only the request
is noted.
Compensation of the President. The FY2001 budget proposes an
appropriation of $390,000 for compensation of the President, including an expense
allowance of $50,000. This amount is a 56% increase over the $250,000
appropriated in FY2000. The increase is due to the raise in presidential salary from
$200,000 to $400,000 per year, effective January 20, 2001.
White House Office. The FY2001 budget proposes an appropriation of
$53,288,000 for salaries and expenses in the White House Office, an increase of 2%
over the $52,443,000 appropriated in FY2000, of which $201,000 was subsequently
rescinded. The H.R. 4871 would provide $52,135,000, which is $1,153,000 below
the President’s request. The House denied the requests to restore the $201,000
rescinded in FY 2000, $450,000 for anticipated severance payments, $500,000 for
costs associated with replacing equipment during the transition, and $2,000 in
unspecified increases for other services. The House also assumed a transfer of
$500,000 to the Office of Administration for costs associated with upgrading the web
page of the Executive Office of the President. S. 2900, as reported, and the conferees
would fund the White House Office at the requested level.
Executive Residence (White House). The FY2001 budget proposes an
appropriation of $10,900,000 for operating expenses, an 17.7% increase over the
$9,258,000 appropriated in FY2000, from which $33,000 was subsequently
rescinded, and also proposes an appropriation of $5,510,000 for repairs and
restoration, an 581.2% increase over the $808,000 appropriated in FY2000. H.R.
4985 would appropriate $10,286,470 for operating expenses, and would deny several
requests, including $300,050 for an additional 4 FTE; and $658,000 for repairs and
restoration. The House Appropriation Committee recommended denying $4,542,000
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for renovation and replacement of the concrete raceway containing communication
lines, while expressing concerning over the total estimated costs of the project. S.
2900, as reported, would fund the accounts at the requested level. The conferees
would fund the operating expenses account at the requested level, but would limit the
repairs and restoration account to $968,000, of which $458,000 would be for the
concrete raceway.
Maintenance and repair costs for the White House are also funded by the
National Park Service as part of that agency’s responsibility for national monuments.
Entertainment costs for state functions are funded by the Department of State.
Reimbursable political events in the Executive Residence are to be paid for in advance
by the sponsor, and all such advance payments are to be credited to a Reimbursable
Expenses account. The political party of the President is to deposit $25,000 to be
available for expenses relating to reimbursable political events during the fiscal year.
Special Assistance to the President (Office of the Vice President) and
Official Residence of the Vice President. The FY2001 budget proposes an
appropriation of $3,673,000 for salaries and expenses, an increase of 1.5% over the
$3,609,000 appropriated in FY2000, and also proposes an appropriation of $354,000
for the Official Residence of the Vice President, a 2.6% increase over the $345,000
appropriated in FY2000, from which $15,000 was rescinded. The House would
appropriate $3,664,000 for salaries and expenses, and $354,000 for operating
expenses. 2900, as reported, would fund the accounts at the requested level. The
conferees would fund the salaries and expenses and the operating expenses accounts
at the requested level.
Council of Economic Advisers. The FY2001 budget proposes an appropriation
of $4,110,000, an increase of 7% over the $3,840,000 appropriated in FY2000; of
which $15,000 was subsequently rescinded. The House approved an appropriation
of $3,997,000, denying the request of $106,000 for two additional FTE and $7,000
for increased travel expenses. Both S. 2900, as reported, and the conferees would
fund the account at the requested level.
Office of Policy Development. The FY2001 budget proposes an appropriation
of $4,032,000, the same as appropriated in FY2000; $15,000 was rescinded from the
FY2000 appropriation. The House approved an appropriation of $4,030,000, and
denying the request of $2,000 for increased travel expenses. Both S. 2900, as
reported, and the conferees would fund the account at the requested level.
National Security Council. The FY2001 budget proposes an appropriation of
$7,165,000, an increase of 2.4% over the $6,997,000 appropriated in FY2000, of
which $27,000 was rescinded. The House approved an appropriation of $7,148,000,
denying the request $17,000 to partially restore the $27,000 rescinded in FY2000.
Both S. 2900, as reported, and the conferees would fund the account at the requested
level.
Office of Administration. The FY2001 budget proposes an appropriation of
$43,737,000, an increase of 11.6% over the $39,198,000 appropriated in FY2000, of
which $148,000 was rescinded. The House approved an appropriation of
$41,185,000, denying several funding requests, including $406,000 and five FTE for
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additional information technology staff, $360,000 in new money for upgrading the
EOP web page, $660,000 and five FTE for implementation of the Chief Financial
Officers Act. The House also would delay the implementation of the Chief Financial
Officers Act from January 20, 2001 to May 1, 2001. Both S. 2900, as reported, and
the conferees would fund the account at the requested level.
Office of Management and Budget. The FY2001 budget proposes an
appropriation of $68,786,000, an increase of 8.3% over the $63,495,000 appropriated
in FY2000, of which $239,000 was rescinded. The House approved an appropriation
of $67,143,000, denying the request of $613,000 for an additional nine FTE as well
as the request of $1,030,000 for information technology enhancements. S. 2900, as
reported, would fund OMB at $67,935,000. The conferees would fund the account
at the requested level. Under Sec. 624 of the general provisions of Title VI, the
conferees agreed to continue and make permanent the provision directing OMB to
provide a yearly accounting statement and report on the costs and benefits of Federal
regulatory programs.
Office of National Drug Control Policy. For salaries and expenses, the
FY2001 budget proposes an appropriation of $25,400,000, a 10.7% increase over the
$22,951,000 appropriated in FY2000, of which $128,000 was rescinded. The House
approved an appropriation of $24,759,000, denying the request of $641,000 for
communications, equipment, and other services. S. 2900, as reported, would fund the
account at $24,312,000. The conferees would fund the account at $24,759,000.
For the Counterdrug Technology Assessment Center, the FY2001 budget
proposes $20,400,000, a 37.6% decrease from the $32,052,000 appropriated in
FY2000, of which $198,000 was rescinded. The House approved an appropriation
of $29,750,000. This would include $13,050,000 to maintain the current level of
funding for the counterdrug technology transfer program, $16,000,000 to support
CTAC’s core research programs, and $700,000 to continue support for the U.S.
Olympic Committee’s anti-doping program. S. 2900, as reported, would fund the
account at $29,052,000. The conferees would fund the account at $29,053,000, of
which $15,803,000 would be for the counterdrug research and development projects,
and $13,250,000 for the continued operation of the technology transfer program.
Federal Drug Control Programs. For the High Intensity Drug Trafficking
Areas Program, the FY2001 budget proposes $192,000,000, the same amount as
appropriated for FY2000, from which $730,000 was rescinded. No less than 51% of
the FY2001 appropriation would be required to be transferred to state and local
entities for drug control activities. Up to 49% could be transferred to federal agencies
and departments. The House Appropriations Committee stated that given F2001
resource constraints, it is best not to earmark the funds and expects that ONDCP will
make its designation and funding decisions based on performance measures of
effectiveness. The House appropriated $217,000,000,and the Senate, in reporting
S.2900, would fund the account at $196,000,000. The conferees would fund the
account at $206,500,000, of which 51% would be for transfer to state and local
entities and 49% for federal agencies and departments.
For the Special Forfeiture Fund, the FY2001 budget proposes $259,000,000, a
19.9% increase over the $216,000,000 appropriated for FY2000, of which $703,000
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was rescinded. The House approved an appropriation of $219,000,000. This would
include $185,000,000 for the National Youth Anti-Drug Media Campaign;
$30,000,000 to carry out the Drug Free Communities Act (DCFA); $1,000,000 for
the National Drug Court Institute; and $3,000,000 for the costs of space and
operations of the counter drug intelligence executive secretariat established as part of
the General Counterdrug Intelligence Plan. The House Appropriations Committee,
in reporting H.R. 4871, would deny $10,000,000 for increased funding for the Youth
Media Campaign, $5,000,000 for the DCFA, and $25,000,000 for additional funding
for a national criminal justice treatment demonstration project. S. 2900, as reported,
would fund the account at $144,300,000, of which $90,700,000 would be for the anti-
drug media campaign, and $40,000,000 would be for the DCFA. The conferees
would fund the account at $233,600,000, of which $185,000,000 would be for the
anti-drug media campaign, $40,000,000 to carry out the DCFA, $3,000,000 for the
counter drug intelligence executive secretariat, $3,300,000 for the U.S. Olympic
Committee’s anti-doping efforts, $1,300,000 for the Metro Intelligence Support and
Technical Investigative Center, and $1,000,000 for the National Drug Court Institute.
Unanticipated Needs. The FY2001 budget proposes $1,000,000, the same as
was appropriated for FY2000, of which $4,000 was rescinded, for expenses necessary
to enable the President to meet unanticipated needs, in furtherance of the national
interest, security, or defense, which might arise at home or abroad. The FY2001
budget also proposes $2,500,000 to be provided to the Elections Commission of the
Commonwealth of Puerto Rico as a transfer to be used for citizens’ education and a
choice by voters regarding the island’s future status. H.R. 4871, as passed by the
House provides no appropriation for Unanticipated Needs of the President. The
Appropriation Committee cites the December 13, 1998 political status plebiscite in
Puerto Rico, which yielded inconclusive results, and urges the people of Puerto Rico
to continue working to develop a consensus on what the island’s future status should
be. Both S. 2900, as reported, and the conferees provide no funding for this account.
Independent Agencies
Federal Election Commission (FEC). The FEC administers federal campaign
finance law; oversees disclosure requirements, limits on contributions and
expenditures, and the presidential election public funding system; and retains civil
enforcement authority.
The FY2000 appropriation of $38,152,000 for the FEC was subject to an
across-the-board .38% government rescission under the Consolidated Appropriations
Act, reducing the appropriation by $144,000, to $38,008,000.
For FY2001, the President’s budget requested an appropriation of $40,500,000,
allowing for 352 full-time equivalents (FTEs). This reflected a 6.6% increase, or
$2,492,000, above the FY2000 level. As a concurrent submission agency, the FEC
submitted its own request to Congress, calling for a funding level of $40,960,000 and
for 356 FTEs.
The House adopted its Appropriations Committee’s recommendation for an
appropriation of $40,240,000, a reduction of $260,000 from the Administration’s
request and $720,000 from the FEC’s request. Specifically, the committee refused
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the agency’s requests of $100,000 for legal document imaging, $100,000 for
completion of Voting Systems Standards, $60,000 for a national conference on the
standards, and $460,000 for an additional 4 FTEs within the Commissioners’ offices.
The committee stipulated that no less than $4,689,500 be used for internal automated
data processing systems and no more than $5,000 be used for reception and
representation expenses.
The House bill (H.R. 4871, section 637), as passed, included certain
clarifications of federal election law, largely based on FEC recommendations:
requiring election cycle-based reporting of certain expenditures; allowing 24-hour
notices of large contributions or independent expenditures in the last 20 days of an
election to be filed by FAX or electronic mail; allowing candidates to use lines of
credit for campaign funds if made under commercially reasonable terms by lenders in
the normal course of business; changing the deadline for submitting notices of large
contributions in the last 20 days of an election from 48 to 24 hours after receipt, and
requiring the receipt, rather than the filing, of late independent expenditure notices
within 24 hours of being made. Finally, the House bill included a committee
amendment requiring House and Senate candidates who use federal aircraft to travel
to a campaign event to report to the FEC the type of aircraft used, the number of
individuals who used the aircraft, and the amount the candidate paid to reimburse the
federal government for the aircraft’s use (together with the methodology used to
determine such amount). These provisions would take effect in 2001.
The Senate accepted its Appropriations Committee’s recommendation for an FEC
appropriation of $39,755,000 , $745,000, or 1.8%, less than the Administration
proposed and $485,000, or 1.2%, less than the House approved. The Senate bill
included the same stipulations as the House bill regarding internal automated data
processing systems and reception and representation expenses. No legislative provisions
concerning FEC operations were contained in the Senate measure.
The conference bill would appropriate $40,500,000 for the FEC, the same figure
as recommended by the Administration and more than in either the House or Senate bills.
The conference measure would include the stipulation that no less than $4,689,500 be
used for internal automated data processing systems and no more than $5,000 be used
for reception and representation expenses. No legislative provisions concerning FEC
operations or candidate use of government aircraft are contained in the conference
measure.
Federal Labor Relations Authority (FLRA). The conference report would
appropriate $25,058,000 for FLRA. This matches the amount recommended by the
House Appropriations Committee, passed by the House, recommended by the Senate
Appropriations Committee, and requested by the President in his FY 2001 budget. The
agency serves as a neutral party in the settlement of disputes that arise between unions,
employees, and agencies on matters outlined in the Federal Service Labor Management
Relations Statute; decides major policy issues; prescribes regulations; and disseminates
information appropriate to the needs of agencies, labor organizations, and the public.
The agency’s FY 2000 appropriation was $23,828,000. P.L. 106-113 mandated a
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0.38% or $91,000 recission in the FY 2000 funding.21 According to the FLRA, the cut
will be absorbed by postponing an office move and managing positions that are vacant
by filling them more slowly and at lower grade levels. After the reduction, the FY 2000
funding was $23,737,000. The conference recommendation is 5.6% above this amount.
General Services Administration (GSA). On July 20, 2000, the House passed
H.R. 4871, which largely reflects the July 18, 2000 recommendations of the
Appropriations Committee. H.R. 4871, as passed, would appropriate $152,471,000 to
the GSA accounts. The Senate-reported version (S. 2900) would total $167,557. The
conference version (H.R. 4985) would fund GSA at $632,211—the only version to
appropriate funds to the Federal Buildings Fund.
For policy and operations, the House would appropriate $115,434,000, which is a
decrease of $4,089,000 less than the amount appropriated in FY2000, and a decrease of
$21,546,000 less than the amount in the President’s budget request. S. 2900, as
reported, would provide $123,420,000. The conferees would provide the policy and
operations account with $123,920,000.
H.R. 4871, as passed, would provide $5,502,333,000 in new obligational authority
for the Federal Buildings Fund. S. 2900, as reported, would authorize $5,502,333,000.
The conferees would provide $5,971,509,000 in new obligational authority, and directly
appropriate $464,154,000 into the Fund to cover a portion of the Fund’s new
obligational needs.
An appropriation of $34,520,000 was passed in the House for the Office of
Inspector General, an increase of $1,203,000 above the enacted FY2000 amount, and
the same as the President’s budget request. S. 2900, as reported, and the conference
version would fund the account at the same level.
H.R. 4871, as passed, would appropriate $2,517,000 for allowances and office staff
for former Presidents, an increase of $276,000 above the FY2000 enacted level and the
same as the President’s budget request. S. 2900, as reported, and the conference version
would also fund that account at $2,517,000. In addition, while the House did not
provide funding for presidential transition, S. 2900 would provide $7,100,000, the
amount requested. The conferees would fund this account at the same level.
Under H.R. 4871, no funds would be appropriated to the Federal Buildings Fund
for FY2001. In addition, there would be no provision for the $477,484,000 in the
President’s budget request for advanced appropriations. The Committee specifically
stated that there would not be any appropriations for reimbursing the Federal Buildings
Fund for moving costs incurred by GSA associated with relocating the FCC to a new
location in Washington, D.C. The Committee stated that these expenses are the
responsibility of the agency being moved.22 S. 2900, as reported, would not provide
direct appropriations to the Fund but would provide $374,345,000 in advance
appropriations. The conference report is silent on the moving costs but would provide
$276,400,000 advance appropriations.
21 Budget, Analytical Perspectives, p. 395.
22 H. Rept. 106-756, p. 61.
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The House committee also recommended no new obligational authority for
construction and acquisition, which is a decrease of $54,197,000 from FY2000, and a
decrease of $779,788,000 from the President’s budget request. The committee stated
that it is essential for GSA to maintain, to the greatest extent possible, the inventory of
existing federal properties. The Senate version would allow an obligational authority of
$3,000,000 for construction and acquisition. The conferees determined that there would
be a obligational authority of $472,176,000 and stipulated that the authority was to be
directed to nine projects. GSA would be required to provide a written report to the
Appropriations Committees showing the proposed allocations. $3,500,000 would be
earmarked for the design and site acquisition of a combined law enforcement facility in
Saint Petersburg, Florida.
With regard to new courthouse construction, the House committee noted, with
disappointment, that it is not able to provide any funds for this effort. The Committee
expressed concerned about aspects of the President’s budget’s submission, since it so
greatly differs from the initial request of GSA and the Judicial Conference in both
funding amounts and new construction priorities.23 In addition, H.R. 4871, as passed,
has a provision requiring the judicial and executive branches to reach an agreement on
new courthouse construction before GSA formally submits its budget request. S. 2900,
as reported, would authorized $671,193,000 to be made available from the Federal
Buildings Fund for repairs and alterations (including three courthouse projects); and an
additional amount of $374,345,000 to be deposited into the Fund for construction of
additional projects (including four courthouse projects). The conferees would have
provided $472,176,000 for nine new construction projects (including four courthouse
projects); and $276,400,000 in advance funding for courthouse construction projects.
The House committee recommended a limitation of $490,592,000 for repairs and
alterations, a decrease of $108,082,000 below the enacted limitation level for FY2000
and a decrease of $230,601,000 below the President’s budget request. S. 2900, as
reported, and the conferees would authorize obligation authority for the repairs and
alternations account at $671,193,000. The House and Senate committees, as well as the
conferees, recommended a limitation of $2,944,905,000 for rental of space, which is an
increase of $162,719,000 above the enacted limitation level for FY2000, and the same
as the budget estimate. A limitation of $1,580,909,000 would be provided, under H.R.
4871, as passed the House, for FY2001 building operations, which is the same level as
provided for FY2000, and a decrease of $43,862,000 below the budget estimate. The
Senate version, as reported, and the conferees, would limit obligations to the same level
as the requested $1,624,771,000.
Merit Systems Protection Board (MSPB). The conference report would
appropriate $29,437 for the MSPB. In addition, $2,430,000 would be transferred from
the Civil Service Retirement and Disability trust fund to provide for administrative
expenses to adjudicate retirement appeals. This was the amount recommended by the
Senate Appropriations Committee and requested by the President in his FY 2001 budget
proposal and in a June 5, 2000 request for an additional $580,000. The House
Appropriations Committee recommended and the House passed an appropriation of
$28,857,000 for the MSPB, including the additional $2,430,000 for administrative
expenses. The MSPB assists federal agencies in running a merit-based civil service
23 Ibid., pp. 61-62.
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system. The agency’s FY 2000 appropriation, not including the trust fund transfer, was
$27,586,000. P.L. 106-113 mandated a 0.38% or $105,000 rescission in the FY 2000
funding.24 The reduction will be absorbed, said the MSPB, by reducing the funding
dedicated to its 5-year information technology improvement plan which includes
establishment of a system for filing cases electronically. After the reduction, the FY
2000 funding was $27,481,000. The conference version, not including the trust fund
transfer, is 7.1% above this amount. The House-passed funding, not including the trust
fund transfer, is 5% above this amount.
National Archives and Records Administration (NARA). The custodian of the
historically valuable records of the federal government since its establishment in 1934,
NARA also prescribes policy and provides both guidance and management assistance
concerning the entire life cycle of federal records. It also administers the presidential
libraries system; publishes the laws, regulations, and presidential and other documents;
and assists the Information Security Oversight Office (ISOO), which manages federal
security classification and declassification policy; and the National Historical Publications
and Records Commission (NHPRC), which makes grants nationwide to help nonprofit
organizations identify, preserve, and provide access to materials that document American
history.
The President’s FY2001 budget requested $209,393,000 for NARA operating
expenses, which was $28,995,000 greater than the $180,398,000 appropriated for
FY2000. (With the FY2000 rescission applied, the net funding for operating expenses
was $179,674,000.) H.R. 4871, as passed by the House, would have provided
$195,119,000. The Senate bill, as reported, and the conference version would provide
the requested amount. The conference report (H.R. 4516/H.R. 4985) stipulates that up
to $5 million may be used for the Implementation of the Nazi War Crimes Disclosure Act
(112 Stat. 1859; 5 U.S.C. 552 note), including preservation and restoration of
declassified records, public access and dissemination activities, and necessary support
services for the Nazi War Criminal Records Interagency Working Group.25
In addition, $99,560,000 was sought for repairs and restoration of NARA facilities,
an increase of $77,264,000 over the $22,418,000 appropriated for the current fiscal year.
(The FY2000 rescission in this account resulted in net funding of $22,296,000.) H.R.
4871, as passed by the House, would have appropriated $5,650,000, with the Senate bill
recommending $92,950,000, with $4,950,000 to be available in FY2001 and
$88,000,000 to be available in FY2002. The conference version would fund the account
at $95,150,000 in FY2001. The conference report stipulates that $4,950,000 would be
for the general repairs and restoration program and $88,000,000 “for the major repair
and restoration project at the main Archives building, $1,500,000 for the construction
of a new Southeast Regional Archives facility, and $700,000 for the design of a 10,000-
square-foot extension to the Gerald R. Ford museum.”26
24 Budget, Analytical Perspectives, p. 395.
25 Conference Report on H.R. 4516, Legislative Branch Appropriations Act, 2001,
Congressional Record, daily edition, vol. 146, July 27, 2000, p. H7124.
26 Ibid.
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The $6,000,000 requested for the National Historical Publications and Records
Commission (NHPRC) for FY2001 was $250,000 less than the amount appropriated
for FY2000. H.R. 4871, as passed the House, would appropriate $6,000,000. The
Senate bill and the conference version would appropriate $6,450,000.
No new funding was sought for the NARA Records Center Revolving Fund, which
was initially capitalized with a $22 million appropriation in FY2000.
Office of Government Ethics (OGE). The Office of Government Ethics, a small
agency within the executive branch, was established by the Ethics in Government Act of
1978. Originally part of the Office of Personnel Management, OGE became a separate
agency on October 1, 1989, as part of the Office of Government Ethics Reorganization
Act of 1988. The Office of Government Ethics exercises leadership in the executive
branch to prevent conflicts of interest on the part of government employees, and to
resolve those conflicts of interest that do occur. In partnership with executive branch
agencies and departments, OGE fosters high ethical standards for employees and
strengthens the public’s confidence that the Government’s business is conducted with
impartiality and integrity. For FY20001, the budget request is $9,684,00,0, a 6.25%
($570,000) increase from the $9,114,000 originally appropriated for FY2000. However,
the appropriation for FY2000 was subsequently reduced by .038% ($34,000), the across
the board cut mandated by the consolidated appropriations act of FY2000. Accordingly,
the FY2000 net funding for OGE was $9080,000, and the FY2001 request of
$9,684,000 is an actual increase of $604,000 (6.6%) over the FY2000 appropriations.
H.R. 4871, as passed the House, S. 2900, as reported, and the conference version would
all fund OGE at the requested level.
Office of Personnel Management (OPM).The budget for OPM is comprised of
budget authority for both permanent and current appropriations. This report discusses
the budget authority for current appropriations. The conference version would
appropriate $14,497,672,000 for the agency, which is responsible for administering
personnel management functions. This total includes discretionary funding of
$94,095,000 for salaries and expenses and $1,360,000 for the Office of Inspector
General (OIG). It also includes mandatory funding of $5,427,166,000 for the
government payment for annuitants of the employees health benefits program,
$35,000,000 for the government payment for annuitants of the employee life insurance
program, and $8,940,051,000 for payment to the civil service retirement and disability
fund. Not included in this total are proposed trust fund transfers of $101,986,000 for
salaries and expenses and $9,745,000 for OIG salaries and expenses. (In FY 2000,
$95,486,000 for salaries and expenses and $9,645,000 for OIG salaries and expenses
were transferred from trust funds.) The House Appropriations Committee recommended,
and the House passed, an appropriation of $14,497,048,000 for the agency. This total
includes discretionary funding of $93,471,000 for salaries and expenses and the amounts
stated above for the OIG, health benefits, life insurance, and retirement accounts. Not
included in this total are proposed trust fund transfers of $101,986,000 for salaries and
expenses and $9,745,000 for OIG salaries and expenses.
The House-passed amount is $7,087,000 below the $14,504,135,000 proposed by
the President in his FY2001 budget; the reduction applies to the salaries and expenses
account (the President proposed $100,558,000). The House Appropriations Committee
report states that “the Committee denies without prejudice the President’s request of
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$6,150,000 for the Federal Cyber-Service program; $300,000 to develop a workforce
planning model; $300,000 for improvements in setting compensation rates; and $100,000
to research best practices in compensation systems.”13 The President’s budget also
requested a one million dollar supplemental to “help agencies meet a critical need for
highly trained information security personnel.”14 The House Appropriations Committee
did not address this issue.
The Senate Appropriations Committee recommended an appropriation of
$14,497,668,000. This total includes discretionary funding of $94,095,000 for salaries
and expenses; $1,356,000 for the OIG; and the amounts stated above for health benefits,
life insurance, and retirement accounts. Not included in this total are proposed trust fund
transfers of $99,624,000 for salaries and expenses and $9,708,000 for OIG salaries and
expenses. The Senate recommendation is $6,467,000 below the $14,504,135,000
proposed by the President in his FY 2001 budget.
OPM’s FY2000 appropriation, not including the trust fund transfers, was
$14,354,105,000. P.L. 106-113 mandated a 0.38% or $756,000 rescission in the
FY2000 funding.15 OPM did not provide details as to how the cut would be absorbed.
After the reduction, the FY 2000 funding was $14,353,349,000. The conference
version, the House-passed funding and the Senate recommended funding, not including
the trust fund transfers, would be 1% above this amount.
As stated in the House Appropriations Committee report, the recommended
appropriation includes $237,000 for expanded oversight of non-Title 5 agency merit
systems; $400,000 for new qualification standards to simplify hiring and assessment;
$313,000 to maintain current levels; $800,000 for on-going information technology
support; $700,000 for agency wide information technology architecture; $181,000 for
NARA (National Archives and Records Administration) costs; and $1,900,000 for
administrative financial systems support to ensure an unqualified audit opinion.16
The House Appropriations Committee report “directs OPM to provide a report on
options for addressing federal employees’ elder care needs, including any legislative
recommendations that may be appropriate, to the Committee no later than March 1,
2001.”17
The conference report would direct OPM to conduct a study to develop one or
more alternative means for providing federal employees with at least six weeks of paid
parental leave in connection with the birth or adoption of a child (apart from any other
paid leave). OPM would report its findings and recommendations to Congress by
September 30, 2001. This was an amendment to H.R. 4871 (Section 650) which was
offered by Representative Carolyn Maloney and agreed to by the House by voice vote.
13 H. Rept. 106-756, p. 75.
14 Budget, Appendix, p. 1240.
15 Budget, Analytical Perspectives, p. 393.
16 H.Rept. 106-756, p. 75.
17 Ibid., p. 76.
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Section 516 conference report would provide that OPM may accept and utilize
funds made available to the agency pursuant to court approval to resolve litigation and
implement any settlement agreements for the nonforeign area cost-of-living allowance
program. This is section 513 of S. 2900, as reported.
President Clinton proposed a 3.7% pay adjustment for federal employees in his FY
2001 budget. This amount is the overall average increase, including locality pay
adjustments. The conference report, H.R. 4871, as passed by the House, and S. 2900,
as reported, are silent on this issue. However, the program funding in the legislation
assumes a 3.7% pay adjustment in January 2001 for federal employees.
Section 637 of the conference report includes “a new provision authorizing the
President’s Pay Agent to use appropriate data from sources other than the Bureau of
Labor Statistics in making new locality pay designations” and “directs the President’s
Pay Agent to report on the status of efforts to resolve the methodological concerns with
the NCS (National Compensation Survey) program and on the efficacy of utilizing non-
BLS (Bureau of Labor Statistics) data in making comparability payment
recommendations.”18 The report would be required to be submitted to the Senate and
House Committees on Appropriations, the Senate Committee on Governmental Affairs,
and the House Committee on Government Reform by May 1, 2001. This is section 639
of H.R. 4871, as passed by the House.
Section 645 of the conference report includes a provision which would make the
compensation of administrative appeals judges and administrative law judges
comparable. This was an amendment to H.R. 4871 (Section 647) offered by
Representative Constance Morella and agreed to by the House by voice vote. Section
641 of the conference report (Section 642, H.R. 4871, as passed) would provide that
overtime pay for a firefighter for hours in a regular tour of duty would be included in any
computation of pay under 5 U.S.C. 8114 related to compensation for work injuries.
Section 642 of the conference report (Section 643, H.R. 4871, as passed) would also
provide that the minimum charge for military leave (without loss in pay or time) for the
reserves and National Guardsmen under 5 U.S.C. 6323(a) would be one hour and
additional charges would be in multiples thereof.
Office of Special Counsel (OSC). The conference version would appropriate
$11,147,000 for the OSC. This was the amount requested by the President in his FY
2001 budget proposal. The House Appropriations Committee recommended, and the
House passed, an appropriation of $10,319,000 for the OSC. The Senate
Appropriations Committee recommended an appropriation of $10,733,000. The House
amount is $828,000 below, and the Senate amount is $414,000 below, the conference
recommendation and the President’s request. The agency investigates federal employee
allegations of prohibited personnel practices and, when appropriate, prosecutes before
the Merit Systems Protection Board; provides a channel for whistle blowing by federal
employees; and enforces the Hatch Act. The agency’s FY2000 appropriation was
$9,740,000. P.L. 106-113 mandated a 0.38% or $37,000 rescission in the FY2000
18 Ibid.
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funding.19 The OSC said that it will absorb the reduction by delaying the scope of the
planned reconstruction of office space which would have provided the agency’s lawyers
and investigators with private offices. After the reduction, the FY 2000 funding was
$9,703,000. The conference recommendation is 14.9% above this amount. The House-
passed funding is 6.3% above this amount. The Senate recommended funding is 10.6%
above this amount.
The President’s budget stated that, “The request will enable OSC to reduce its long-
standing case-processing backlogs, and will ensure that OSC’s customers receive prompt
and timely service in accordance with the time frames laid out in [law] ... (240 days to
process prohibited practice complaints) and ... (15 days to make initial determination on
whistleblower disclosure).”20 The House Appropriations Committee report states that
“the Committee denies without prejudice the President’s request of $772,000 for
additional personnel to reduce case backlog, and $56,000 for related equipment, travel,
and training.”.21
Federal Personnel Issues
Pay
Under the Federal Pay Comparability Act of 1990 (FEPCA), federal white collar
employees, paid under the General Schedule and related salary systems, are to receive
annual adjustments based on two separate mechanisms. The first is the adjustment to
base pay which is based on changes in private sector salaries as reflected in the
Employment Cost Index (ECI). The rate of pay adjustment is supposed to be the
percentage rate of change in that element of the ECI, minus .5. For January 2001, the
base pay adjustment should be 2.7%. At this time there are no legislative proposals to
change that rate. Since the President sent no alternative plan to Congress by the end of
August, the base pay adjustment will be 2.7%
Since the budget recommendation is for 3.7% and since the assumption in this
legislation is that the programs are funded to accommodate that rate, it follows that the
second tier of the adjustment would be 1%. Locality-based payments are calculated
based on the results of surveys of occupations in specific localities within the continental
United States. [See discussion under OPM above with regard to the designation of those
localities.] The surveys show that locality-based payments would have to average about
16% in order to meet the expectations of FEPCA. Since that rate of adjustment is not
likely, and since Congress has not specifically addressed the rates of adjustment, it will
be necessary for the President to send to Congress an alternative plan by the end of
November. It is expected that such a plan will be forthcoming and that the locality-based
payments will average 1%.
19 Budget, Analytical Perspectives, p. 396.
20 Budget, Appendix, p. 1192.
21 H.Rept. 106-756, p. 78.
CRS-28
Under the Ethics Reform Act of 1989, as amended, pay adjustments for federal
officials, including Members of Congress and judges, is also based on ECI calculations,
but for a different 12-month period. The ECI calculations would dictate a pay
adjustment in January 2001 of 3%. However, the statute limits those adjustments to the
rate of adjustment for base pay of the General Schedule. Therefore, if General Schedule
base pay is adjusted at the rate of 2.7%, that will be the maximum rate of adjustment in
salaries of federal officials.
Pursuant to the Treasury and General Government Appropriations Act, 2000 (P.L.
106-58), the incoming President will receive a salary of $400,000 per annum. Since
1969, Presidents have been paid a salary of $200,000.
Federal Employees Health Benefits Program
Section 631 of H.R. 4871, as passed the House, would require health insurance
plans participating in the Federal Employees Health Benefits Program (FEHBP) to
include coverage of prescription contraceptives under their prescription drug benefit.
It would exempt from this requirement 3 specific health maintenance organizations for
religious reasons as well as “any existing or future plan [participating in the FEHBP] if
the carrier for the plan objects to such coverage on the basis of religious beliefs.” It also
would prohibit discrimination against “any individual who refuses to prescribe or
otherwise provide for contraceptives because such activity would be contrary to the
individual’s religious beliefs or moral convictions.” A requirement that FEHBP plan
cover prescription contraceptives was first included in the FY1999 appropriations
legislation. The provision in the FY2001 bill is similar to that included in the FY2000
Treasury and General Government appropriations act. Section 630 of the conference
version contains the same provision.
As reported, S. 2900 contains a similar provision. It would exempt 2 additional
plans from the program.
Federal Retirement
Repeal of Temporary Increase in Retirement Contributions. The Balanced
Budget Act of 1997 (BBA, P.L. 105-33) mandated a temporary increase of 0.5% in
employee contributions under both Civil Service Retirement System (CSRS) and Federal
Employee Retirement System (FERS), which was to be phased in over 3 years.
Employee contributions increased by 0.25% on January 1, 1999; by a further 0.15% on
January 1, 2000; and are scheduled to rise by another 0.1% on January 1, 2001.
Employee contributions will revert to their previous levels on January 1, 2003. The
higher contributions will not increase the benefit accruals of federal employees under
either CSRS or FERS. The President’s proposed budget for FY2001 includes a
legislative initiative to repeal the increase in employee contributions required by the BBA
and two bills have been introduced in the 106th Congress for that purpose (H.R. 2631/S.
1472).
As reported from the House Appropriations Committee, and as passed by the
House, the repeal would be provided by H.R. 4871. Current provisions related to
contributions by Members of Congress would not be repealed under that bill. However,
CRS-29
the rate repeal would apply to Members under S. 2900, as reported and under the
conference version.
Law Enforcement —Washington Area Airport Authority. Section 638 of H.R.
4871, as passed the House, and section 636 of the H.R. 4516/H.R. 4985 conference
version, would designate qualified members of the Metropolitan Washington Airports
Authority as eligible to be treated as law enforcement officer under CSRS or FERS, as
applicable. Federal law enforcement officers are permitted under both CSRS and FERS
to receive an immediate, unreduced retirement annuity at age 50 with 20 years of service.
Under FERS, employees in these positions are authorized to receive a retirement annuity
at any age after 25 years of service. Law enforcement officers must retire upon reaching
age 57 or after completing 20 years of service, if later. Federal law enforcement officers
earn a larger retirement benefit for each year of service than regular federal employees.
Under both CSRS and FERS, law enforcement officers contribute an additional 0.5% of
pay over the amount contributed by regular federal employees.
Federal Child Care
The provisions in H.R. 4871 pertaining to federal child care resemble those
included in last year’s House version of the FY2000 Treasury, Postal, and General
Government appropriations bill (H.R. 2490), and ultimately in law (P.L. 106-58). H.R.
4871, as passed by the House on July 20, 2000, includes a provision (Sec. 634) that
would continue to permit executive branch agencies (not including the General
Accounting Office) to use agency funds (otherwise available for agency salaries and
expenses) to provide child care services, in a Federal or leased facility, or through
contract, for civilian employees of the agency. These funds would be used to improve
the affordability of child care for lower income federal employees using or seeking to use
the child care services offered by the agency facility or contractor. The bill stipulates
that amounts paid to licensed or regulated child care providers may be paid in advance
of child care services rendered, covering agreed upon periods as appropriate. The House
also agreed to an amendment (H.Amdt.1019) which would require that all current and
newly hired workers in all child care centers located in federally owned or leased
facilities undergo criminal background checks in compliance with the Crime Control Act
of 1990.
The Senate’s bill (S. 2900), as approved by the Senate Appropriations Committee
on July 20, 2000, includes language identical to H.R. 4871 with respect to the use of
funds for improving affordability of child care for lower income federal employees (Sec.
634), but does not include the H.R. 4871 provision regarding the timing of payments to
child care providers, nor the House amendment language requiring that current and
newly hired child care workers in federal child care centers undergo criminal background
checks.
The Legislative Branch Appropriations conference report included federal child care
provisions (H.R. 4985, Sec. 633 and 643) identical to those in H.R. 4871, as passed,
with respect to using funds to improve affordability of federal child care and requiring
criminal background checks of child care workers. However, unlike H.R. 4871, the
conference version (H.R. 4516/H.R. 4985) would not provide for advance payment of
salaries to providers.
CRS-30
Major Funding Trends
The House and Senate Appropriations Committees have approved the allocations
to the various appropriations. The House, on May 9, 2000, approved discretionary
budget authority at $14.088 billion, with outlays at $14.563 billion. On July 19, the
House Appropriations Committee reported a revised allocation (H.Rept. 106-761) of
$14.402 billion in budget authority and $14.751 in outlays. The Senate, on May 4, 2000,
allocated $14.3 billion for budget authority and $14.566 billion for outlays. While the
congressional numbers are in disagreement with one another, they are consistently lower
than the requested funding. The administration’s request for discretionary funding was
for $14.678 billion in budget authority (according to CBO calculations). The H.R.
4516/H.R. 4985 conference version would fund the accounts under the Treasury, Postal
Service, and General Government division at $30.31 billion. The mandatory accounts
would be funded at $14.68 billion and the discretionary accounts at $15.63 billion.
The sum of mandatory and discretionary funding requested, before CBO
scorekeeping, is $30.8 billion. CBO calculates that total at $31.2 billion.
Table 2. Appropriations for the Treasury, Postal Service, Executive
Office of the President, and General Government, FY1996 to FY2000
(in billions of current dollars) a
FY1996
FY1997
FY1998
FY1999
FY2000
23.164
24.102
25.585
27.122
28.257
Source for FY2000: U.S. Congress, House, Committee on Appropriations, as of July 26 2000.
a These figures, in current dollars, include CBO adjustments for permanent budget authorities,
rescissions, and supplementals, as well as other elements factored into the CBO scorekeeping process.
For a brief presentation on CBO scorekeeping see: U.S. Congressional Budget Office, Maintaining
Budgetary Discipline: Spending and Revenue Options (Washington: GPO, 1999). The appendix
beginning on p. 281 provides the “Scorekeeping Guidelines,” as found in the conference report to the
Balanced Budget Act of 1997. Also available at [http://www.cbo.gov/].
CRS-31
Table 3. Treasury, Postal Service, Executive Office of the President, and
General Government Appropriations, FY2000, by Title
(In millions, without CBO scorekeeping)
Conf.
Report
FY2000
FY2001
House
Senate
H.R. 4516/
Title
Enacted
Request
Passed
Reported
H.R. 4985
I. Treasury
12,317.5
14,520.7
13,200.9
13,161.4
13,597.7
II. USPS
93.1
96.1
96.1
67.1
96.1
III. EOP
654.4
702.2
681.5
594.8
691.3
IV. Agencies
14,969.1
16,437.8
15,123.7
15,610.3
15,986.4
Total
28,069.1
31,756.8
29,102.3
29,433.6
30,371.5
Source: Conference Report on H.R. 4516, Legislative Branch Appropriations Act, 2001,
Congressional Record, vol. 146, September 14, 2000, p. H7608-7626. Chart showing Treasury
and General Government accounts in detail appears on H7609-7611.
CRS-32
Table 4. Department of the Treasury, Postal Service, Executive Office of
the President, and General Government Appropriations
(in thousands of dollars)
Conf.
House
Senate
Report
FY2000
FY2001
Passed
Reported
H.R. 4516/
Bureau or Agency
Enacted a
Request
H.R. 4871
S. 2900
H.R. 4985
Title I: Department of the Treasury, Selected Accounts
Department Offices
134,034
161,006
149,437
150,112
156,315
Department-wide Systems
and capital Investments
Programs
*43,448
99,279
41,787
37,279
47,287
Treasury Building Repair
and Restoration
*22,700
31,000
31,000
22,700
31,000
Office of Inspector
General
*30,599
33,608
31,940
32,899
32,889
Inspector General for Tax
Administration
*111,781
118,427
115,477
118,427
118,247
Expanded Access to
Financial Services
–
30,000
2,000
400
2,000
Money Laundering Strategy
–-
15,000
–
–
–
Financial Crimes
Enforcement Network
27,818
34,694
34,694
37,596
37,576
Counterterrorism Fund
(emergency funding)
–-
55,000
–
55,000
55,000
Federal Law Enforcement
Training Center
*105,202
110,814
110,814
122,403
123,688
Interagency Crime and Drug
Enforcement
*60,502
103,476
103,476
90,976
103,476
Financial Management
Service
*200,555
202,851
198,736
202,851
206,851
Bureau of Alcohol,
Tobacco, and Firearms
*564,773
760,051
731,325
724,937
768,695
U.S. Customs Service
*1,809,915
2,386,141
2,184,543
2,064,315
2,258,393
Bureau of the Public Debt
*177,133
182,901
182,901
182,901
182,901
Internal Revenue Service,
Total
*8,216,489
8,943,674
8,452,998
8,535,069
8,639,493
Processing, Assistance,
and Management
*3,280,250
3,699,499
3,487,232
3,506,939
3,567,001
Earned Income Tax
Credit Compliance
Initiative
144,000
145,000
145,000
145,000
145,000
Tax Law Enforcement
3,336,838
3,443,859
3,332,676
3,378,040
3,382,402
CRS-33
Conf.
House
Senate
Report
FY2000
FY2001
Passed
Reported
H.R. 4516/
Bureau or Agency
Enacted a
Request
H.R. 4871
S. 2900
H.R. 4985
Information Systems
1,455,401
1,583,565
1,488,090
1,505,090
1,545,090
Information Technology
Investments
–-
71,751
–
–
–
U.S. Secret Service
*691,497
829,521
828,821
782,562
832,741
Violent Crime Reduction
Program (Crime Control
Trust Fund)
*130,081
–-
–
–
–
Bureau of Alcohol,
Tobacco and Firearms
27,920
–-
–
–
–
Financial Crimes
Enforcement Network
*1,750
–-
–
–
–
Interagency Crime and
Drug Enforcement
*14,761
–
–
–
U.S. Secret Service
*3,570
–-
–
–
–
ONDCP-HIDTA
–-
–-
–
–
–
Gang Resistance
Education and Training:
Grants
*11,880
–
–
–
U.S. Customs Service
61,000
–-
–
–
–
Federal Law Enforce-
ment Training Center
9,200
–-
–
–
–
Federal Drug Control
Programs: Special
Forfeiture Fund
–-
–-
–
–
–
Total, Treasury
12,352,437
14,520,692
13,225,949
13,161,407
13,597,742
Current Year, FY2001
12,352,437
14,098,443
13,200,949
13,161,407
13,597,742
(13,542,74
Appropriations
(12,317,537)
(14,043,443)
(13,200,949)
(13,105,905)
2)
Rescission
–
–-
–
–
–
Emergency Funding
(34,900)
(55,000)
–
(55,502)
(55,000)
Advance Approp., FY2002
–
422,249
–
–
–
Title II: U.S. Postal Service
Payments to Postal
Service Fund
*28,620
29,000
29,000
–
29,000
Advance Appropriation
64,436
67,093
67,093
67,093
67,093
Total, Postal Service
*93,056
96,093
96,093
67,093
96,093
CRS-34
Conf.
House
Senate
Report
FY2000
FY2001
Passed
Reported
H.R. 4516/
Bureau or Agency
Enacted a
Request
H.R. 4871
S. 2900
H.R. 4985
Title III: Executive Office of the President (EOP) m and Funds Appropriated to the President
Compensation of the
President
250
390
390
390
390
The White House Office
(salaries and expenses)
*52,243
53,288
52,135
53,288
53,288
Executive Residence at the
White House (operating
expenses)
*9,225
10,900
10,286
10,900
10,900
White House Repair and
Restoration
*808
5,510
658
5,510
968
Office of the Vice President
(salaries and expenses)
*3,609
3,673
3,664
3,673
3,673
Official Residence of the
Vice President (operating
expenses)
*330
354
354
354
354
Council of Economic
Advisers
*3,825
4,110
3,997
4,110
4,110
Office of Policy
Development
4,017
4,032
4,030
4,032
4,032
National Security Council
6,970
7,165
7,148
7,165
7,165
Office of Administration
39,050
43,737
41,185
43,737
43,737
Contingent Emergency
Supplemental
8,400
Office of Management
and Budget
63,256
68,786
67,143
67,935
68,786
Office of National Drug
Control Policy (ONDCP)
Salaries and Expenses
22,823
25,400
24,759
24,312
24,759
Title II, P.L. 106-113
3,000
ONDCP Counterdrug
Technology Assessment
Center
29,052
20,400
29,750
29,052
29,053
Federal Drug Control
Program, High Intensity
Drug Trafficking Areas
Program (HIDTA)
191,271
192,000
217,000
196,000
206,500
Federal Drug Control
Program, Special
Forfeiture Fund
215,297
259,000
219,000
144,300
233,600
Funds Appropriated to the
President - Unanticipated
Needs
996
1,000
–
–
–
Elections Commission -
Puerto Rico
–
2,500
–
–
–
CRS-35
Conf.
House
Senate
Report
FY2000
FY2001
Passed
Reported
H.R. 4516/
Bureau or Agency
Enacted a
Request
H.R. 4871
S. 2900
H.R. 4985
Total, EOP and Funds
Appropriated to the
President
654,422
702,245
681,499
594,758
691,315
Title IV: Independent Agencies
Committee for Purchase
from People Who Are Blind
or Severely Disabled
2,664
4,158
4,158
4,158
4,158
Federal Election
Commission
38,008
40,500
40,240
39,755
40,500
Federal Labor Relations
Authority
23,737
25,058
25,058
25,058
25,058
General Services
Administration
137,059
870,988
152,471
167,557
632,211
Federal Buildings Fund
(-20,022)
681,871
–
–
464,154
Policy and Operations
116,223
136,980
115,434
123,420
123,920
Office of Inspector
General
33,317
34,520
34,520
34,520
34,520
Allowances and Office
Staff for Former Presidents
2,241
2,517
2,517
2,517
2,517
Expenses, Presidential
Transition
–-
7,100
–
7,100
7,100
Merit Systems Protection
Board (salaries and
expenses)
27,481
29,437
28,857
29,437
29,437
Morris K. Udall Scholarship
and Excellence in National
Environmental Policy
Foundation
1,992
3,000
2,000
1,000
2,000
Environmental Dispute
Resolution Fund
1,245
1,250
1,250
500
1,250
National Archives and
Records Administration
222,622
309,355
201,171
220,793
305,395
Operating Expenses
179,674
209,393
195,119
209,393
209,393
Reduction of Debt
-5,598
-5,598
-5,598
-5,598
-5,598
Repairs and Restoration
22,296
99,560
5,650
4,950
95,150
National Historical
Publications and
Records Commission:
Grants Program
*4,250
6,000
6,000
6,450
6,450
Records Center Revolving
Fund
22,000
–-
–
–
–
CRS-36
Conf.
House
Senate
Report
FY2000
FY2001
Passed
Reported
H.R. 4516/
Bureau or Agency
Enacted a
Request
H.R. 4871
S. 2900
H.R. 4985
Office of Government
Ethics
9,080
9,684
9,684
9,684
9,684
Office of Personnel
Management
14,458,081
14,615,866
14,608,779
14,607,000
14,609,403
Salaries and Expenses
90,240
100,558
93,471
94,095
94,095
Office of Inspector
General
956
1,360
1,360
1,356
1,360
Government Payment for
Annuitants, Employees
Health Benefits
5,105,395
5,427,166
5,427,166
5,427,166
5,427,166
Government Payment for
Annuitants, Employees
Life Insurance
36,200
35,000
35,000
35,000
35,000
Payment to Civil Service
Retirement and
Disability Fund
9,120,558
8,940,051
8,940,051
8,940,051
8,940,051
Office of Special Counsel
9,703
11,147
10,319
10,733
11,147
United States Tax Court
35,045
37,439
37,305
35,474
37,305
Total, Independent
Agencies
14,969,147
16,437,796
15,123,722
15,610,326
15,986,378
Current Year, FY2001
14,969,147
15,960,312
15,123,722
15,610,326
15,709,978
(15,709,97
Appropriations
(14,967,847)
(15,960,312)
(15,123,722)
(15,147,981)
8)
Rescissions
(-2,000)
–-
–
–
-
Advanced Approp.,
FY2002-2004
–
477,484
–
462,345
276,400
Source: Conference Report on H.R. 4516, Legislative Branch Appropriations Act, 2001,
Congressional Record, vol. 146, September 14, 2000, p. H7608-7626. Chart showing Treasury
and General Government accounts in detail appears on H7609-7611.
Table 4 Notes:
a The totals provided include the funding reductions pursuant to the 0.38% rescission required by P.L.
106-113. Those individual accounts noted with “*” reflect the appropriated sum reduced by the
rescission. Not all of the rescissions are at the .38% rate, because agencies had discretion as to
how to apply the reductions.
CRS-37
Glossary of Budget Process Terms
The following definitions are selected from the “Glossary of Budgetary Terms,” as
found in Manual on the Federal Budget Process, a CRS report (98-720) by Robert
Keith in consultation with Alan Schick.
Account. A control and reporting unit for budgeting and accounting.
Appropriation. A provision of law providing budget authority that permits federal
agencies to incur obligations and to make payments, of the Treasury for specified
purposes. Annual appropriations are provided in appropriations acts; most permanent
appropriations are provided in substantive law.
Authorization. A provision in law that authorizes appropriations for a program or
agency.
Budget Authority. Authority provided by law to enter into obligations that normally
result in outlays. The main forms of budget authority are appropriations, borrowing
authority, and contract authority.
Budget Resolution. A concurrent resolution passed by both Houses of Congress, but not
requiring the signature of the President, setting forth the congressional budget for at least
the next five fiscal years. The budget resolution sets forth various budget totals and
functional allocations, and may include reconciliation instructions, to designated House
or Senate committees.
Continuing Resolution. An act (in the form of a joint resolution) that provides budget
authority to agencies or programs whose regular appropriation has not been enacted
after the new fiscal year has started. A continuing resolution usually is a temporary
measure that expires on a specified date or is superseded by enactment of the regular
appropriations act. Some continuing resolutions, however, are in effect for the
remainder of the fiscal year and are the means of enacting regular appropriations.
Direct Spending. Budget authority, and the resulting outlays, provided in laws other
than annual appropriations acts. Appropriated entitlements are classified as direct
spending. Direct spending is distinguished by the Budget Enforcement Act from
discretionary spending and is subject to the PAGO rules. It is also referred to as
“mandatory spending.”
Discretionary Spending. Budget authority, and the resulting outlays, provided in annual
appropriations acts, but not including appropriated entitlements.
Federal Funds. All monies collected and spent by the federal government other than
those designated as trust funds. Federal funds include general, special, public enterprise,
and intragovernmental funds.
Mandatory Spending. See “Direct Spending.”
CRS-38
Obligation. A binding agreement (such as through a contract or purchase order) that will
require payment.
Outlays. Payments made (generally through the issuance of checks or disbursement of
cash) to liquidate obligations. Outlays during a fiscal year may be for payment of
obligations incurred in prior years or in the same year.
PAGO (Pay-as-You-Go) Process. The procedure established by the Budget
Enforcement Act to ensure that revenue and direct spending legislation does not add to
the deficit or reduce the surplus. PAGO requires that any increase in the deficit or
reduction in the surplus due to legislation be offset by other legislation or sequestration.
PAGO is enforced by estimating the five-year budgetary effects of all new revenue and
direct spending laws.
Reconciliation Process. A process established in the Congressional Budget Act by which
Congress changes existing laws to conform tax and spending levels to the levels set in
a budget resolution. Changes recommended by committees pursuant to a reconciliation
instruction are incorporated into a reconciliation bill.
Revolving Fund. An account or fund in which all income derived from its operations is
available to finance the fund’s continuing operations without fiscal year limitation.
Scorekeeping. Procedures for tracking and reporting on the status of congressional
budgetary actions affecting budget authority, receipts, outlays, the surplus or deficit, and
the public debt limit.
Supplemental Appropriation. Budget authority provided in an appropriations act in
addition to regular or continuing appropriations already provided. Supplemental
appropriations acts sometimes include items not included in regular appropriations acts
for lack of timely authorization.
Trust Funds. Accounts designated by law as trust funds for receipts and expenditures
earmarked for specific purposes.
User Fees. Fees charged to users of goods or services provided by the federal
government. In levying or authorizing these fees, Congress determines whether the
revenue should go into the U.S. Treasury or should be available to the agency providing
the goods or services.
CRS-39
For Additional Reading
CRS Issue Briefs
CRS Issue Brief IB10024, Federal Employees and the FY2000 Budget, by Sharon S.
Gressle.
CRS Issue Brief IB10053, Federal Employees and the FY2001 Budget, by Sharon S.
Gressle.
CRS Issue Brief IB95035, Federal Regulatory Reform: An Overview, by Roger Garcia.
CRS Issue Brief IB10014, Gun Control, by William J. Krouse.
CRS Issue Brief IB89148, Item Veto and Expanded Impoundment Proposals, by
Virginia A. McMurtry.
CRS Issue Brief IB95083, Postal Service’s Mail Monopoly: Is It Time for Change?,
by Bernevia McCalip.
CRS Info Packs
CRS Info Pack 517G, Government Performance and Results Act: Implementing the
Results.
CRS Reports
CRS Report 98-648, Appropriations Bills: What Are “General Provisions?”, by Sandy
Streeter.
CRS Report 98-558, Appropriations Bills: What is report language? by Sandy Streeter.
CRS Report RL30202, Appropriations for FY2000: Treasury, Postal Service, Executive
Office of the President, and General Government, coordinated by Sharon S.
Gressle.
CRS Report RL30512, Appropriations for FY2001: Legislative Branch, by Paul Dwyer.
CRS Report 97-635, The Balanced Budget Act of 1997: Retirement and Health
Insurance Provisions for Postal and Federal Personnel, by Carolyn L. Merck.
CRS Report RL30458, The Budget Reconciliation Process: Timing of Legislative
Action, by Robert Keith.
CRS Report RL30353, Discretionary Spending Limits and Social Security Surplus, by
Robert Keith.
CRS Report RS20255, Civil Service Retirement Bills in the 106th Congress, by Patrick
J. Purcell.
CRS-40
CRS Report RL30023, Civil Service Retirement Programs: Financing and Budget
Status, by Patrick Purcell.
CRS Report 97-684, The Congressional Appropriations Process: An Introduction, by
Sandy Streeter.
CRS Report 97-892, Continuing Appropriations Acts: Brief Overview of Recent
Practices, by Sandy Streeter.
CRS Report 96-329, Federal Civilian Employment Reduction, by Barbara L. Schwemle.
CRS Report RL30336, The Federal Employees Health Benefits Program, by Carolyn
L. Merck.
CRS Report RS20482, Federal Employees’ Overtime Pay: 106th Congress Legislation,
by Barbara L. Schwemle.
CRS Report 98-956, Federal Pay: FY2000 Salary Adjustment, by Barbara L.
Schwemle.
CRS Report RL30359, Federal Pay: FY2001 Salary Adjustment, by Barbara L.
Schwemle.
CRS Report 98-558, Government Performance and Results Act and the Appropriations
Process, by Sandy Streeter.
CRS Report RS20257, Government Performance and Results Act: Brief History and
Implementation Activities During the First Session of the 106th Congress, by
Genevieve J. Knezo.
CRS Report 97-382, Government Performance and Results Act: Implications for
Congressional Oversight, by Frederick M. Kaiser and Virginia A. McMurtry.
CRS Report 98-4, Implementation of P.L. 105-206: Personnel Management Flexibility
for the Internal Revenue Service, by Barbara L. Schwemle.
CRS Report 98-721, Introduction to the Federal Budget Process, by Robert Keith.
CRS Report RL30536, IRS Restructuring and Tax Law Compliance, by Sylvia
Morrison.
CRS Report RS20278, Judicial Salaries: Current Situation, by Sharon S. Gressle.
CRS Report RS20153, Long-term Care Insurance for Federal Personnel, by Carolyn
L. Merck.
CRS Report RL30254, Long-term Care: The President’s FY2001 Budget Proposals and
Related Legislation, by Carol V. O’Shaughnessy, Bob Lyke, and Carolyn L.
Merck.
CRS Report 98-720, Manual on the Federal Budget Process, by Robert Keith.
CRS-41
CRS Report RL30194, Merit Systems Protection Board: Background, Strategic and
Performance Plans, and Congressional Oversight, by Barbara L. Schwemle.
CRS Report 98-773, Office of Personnel Management: Background, Strategic and
Performance Plans, and Congressional Oversight, by Barbara L. Schwemle.
CRS Report 94-971, Pay and Retirement Benefits for Federal Civil Service and
Military Personnel: Increases from 1969 to 2000, by Patrick Purcell.
CRS Report RS20212, Restructuring of the IRS: Where Does It Stand?, by Sylvia
Morrison.
CRS Report 98-53, Salaries of Federal Officials, by Sharon S. Gressle.
CRS Report RL30014, Salaries of Members of Congress: Current Procedures and
Recent Adjustments, by Paul E. Dwyer.
CRS Report 97-1011, Salaries of Members of Congress: Payable Rates and Effective
Dates, 1789-1999, by Paul E. Dwyer.
CRS Report RS20388, Salary Linkage: Members of Congress and Other Federal
Officials, by Sharon S. Gressle.
CRS Report RS20114, Salary of the President Compared with That of Other Federal
Officials, by Sharon S. Gressle.
CRS Report RS20115, Salary of the President: Process for Change, by Sharon S.
Gressle.
CRS Report RL30363, The Sequestration Process and Across-the-Board Spending Cuts
for FY2000, by Robert Keith.
CRS Report 98-844, Shutdown of the Federal Government: Causes, Effects, and
Process, by Sharon S. Gressle.
CRS Report RL30443, The 0.38 Percent Across-the-Board Cut in FY2000
Appropriations, by Robert Keith.
CRS Report RS20111, Travel Costs of the President, Vice President, and First Lady,
by Rogelio Garcia.
CRS Report 98-202, Treasury, Postal Service, Executive Office of the President, and
General Government: Appropriations for FY1999, by Sylvia Morrison and Sharon
S. Gressle.
CRS Report RL30450, United States Office of Special Counsel: Background, Strategic
and Performance Plans, and Congressional Oversight, by Barbara L. Schwemle.
CRS-42
Other Readings
Syracuse University, Maxwell School of Citizenship and Public Affairs, Government
Performance Project, Grading Government, (Syracuse, NY: Syracuse University,
February 1999).
U.S. Congress, Senate, Committee on Appropriations, Treasury and General
Government Appropriation Bill, 2000, report to accompany S. 1282, 106th Cong.,
1st sess., S.Rept. 106-5887 (Washington: GPO, 1999).
U.S. Congressional Budget Office, Maintaining Budgetary Discipline: Spending and
Revenue Options (Washington: GPO, 1999). [Available on CBO Web site.]
U.S. Department of the Treasury, U.S. Customs Service, U.S. Customs Service Strategic
Plan (FY97-02), by Commissioner of Customs George Weiss, (Washington: U.S.
Customs Service, August 1, 1997).
U.S. General Accounting Office, High Risk Series, IRS Management, GAO Report
HR 97-8 (Washington: February 1997).
——-, Customs Service: Comments on Strategic Plan and Resource Allocation Process,
GAO Report GGD-98-15, (Washington: October 16, 1998).
——-, Major Management Challenges and Program Risks: Department of the
Treasury, GAO report OCG-99-14, (Washington: October 21, 1998).
Selected World Wide Web Sites
Important information regarding current and past budgets (including budget
documents), the federal budget process, and duties and functions are available at the
following web sites.
Congressional Budget Office (CBO)
[http://www.cbo.gov]
General Accounting Office (GAO)
[http://www.gao.gov]
National Commission on Restructuring the Internal Revenue Service
[http://www.house.gov/natcommirs/main.htm]
Office of Government Ethics
[http://www.usoge.gov]
Office of Management and Budget (OMB)
[http://www.whitehouse.Gov/WH/EOP/OMB/html/ombhome.html]
Office of Management and Budget, Statements of Administration Policy (SAPS)
[http://www.whitehouse.Gov/WH/EOP/OMB/SAP]