Order Code 97-684
The Congressional Appropriations Process:
An Introduction
Updated December 8, 2006
Sandy Streeter
Analyst in American National Government
Government and Finance Division

The Congressional Appropriations Process:
An Introduction
Summary
Congress annually considers 11 or more appropriations measures, which provide
funding for numerous activities, for example, national defense, education, homeland
security, and crime. These measures also fund general government operations such
as the administration of federal agencies. Congress has developed certain rules and
practices for the consideration of appropriations measures, referred to as the
congressional appropriations process.
Appropriations measures are under the jurisdiction of the House and Senate
Appropriations Committees. These committees control only about 40% of total
federal spending provided for a fiscal year. The House and Senate legislative
committees control the rest.
There are three types of appropriations measures. Regular appropriations bills
provide most of the funding that is provided in all appropriations measures for a
fiscal year, and must be enacted by October 1 of each year. If regular bills are not
enacted by the deadline, Congress adopts continuing resolutions to continue funding
generally until regular bills are enacted. Supplemental bills are considered later and
provide additional appropriations.
Each year Congress considers a budget resolution that, in part, sets spending
ceilings for the upcoming fiscal year. Both the House and Senate have established
parliamentary rules that may be used to enforce certain spending ceilings associated
with the annual budget resolution during congressional consideration of
appropriations measures.
Congress has also established an authorization-appropriation process which
provides for two separate types of measures — authorization measures and
appropriation measures. These measures perform different functions and are to be
considered in sequence. First, the authorization measure is considered and then the
appropriation measure. Authorization measures are under the jurisdiction of the
legislative committees, most congressional committees are legislative committees,
such as the House Committee on Armed Services and the Senate Committee on the
Judiciary. This process is enforced, in part, by House and Senate parliamentary rules.

Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
Annual Appropriations Cycle . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
President Submits Budget . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Congress Adopts Budget Resolution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
Timetable for Consideration of Appropriations Measures . . . . . . . . . . . . . . 6
Work of the Appropriations Committees . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
House and Senate Floor Action . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
House . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Senate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
House and Senate Conference Action . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Presidential Action . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Types of Appropriations Measures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
Regular Appropriations Bills . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
Continuing Resolutions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
Supplementals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
Spending Ceilings for Appropriations Measures . . . . . . . . . . . . . . . . . . . . . . . . . 16
Allocations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
Enforcement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
House . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
Senate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
Emergency Spending . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
Relationship Between Authorization and
Appropriation Measures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
Rescissions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
For Additional Reading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
CRS Products . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
Congressional Documents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
Selected Websites . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
List of Tables
Table 1. Senate and House Appropriations Subcommittees . . . . . . . . . . . . . . . . 3
Table 2. Number of Regular Appropriations Bills Packaged in Omnibus
(or Minibus) Measure, FY1977-FY2006 . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Table 3. Regular Appropriations Bills Completed by Deadline and Number of
Continuing Resolutions, FY1977-FY2006 . . . . . . . . . . . . . . . . . . . . . . . . . 15
Table 4. House Committee on Appropriations’ 302(a) Allocations for
FY2006 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
Table 5. Initial House Appropriations Committee’s 302(b) Allocations for
FY2006 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

The Congressional Appropriations Process:
An Introduction
Introduction
Congress annually considers 11 or more appropriations measures, which provide
funding for numerous activities, for example, national defense, education, homeland
security, and crime. These measures also fund general government operations such
as the administration of federal agencies. Congress has developed certain rules and
practices for the consideration of appropriations measures, referred to as the
congressional appropriations process. This report discusses the following aspects
of this process:
! annual appropriations cycle;
! appropriations measures (types);
! spending ceilings for appropriations associated with the annual
budget resolution; and
! relationship between authorization and appropriation measures.
When considering appropriations measures, Congress is exercising the power
granted to it under the Constitution, which states, “No money shall be drawn from
the Treasury, but in Consequence of Appropriations made by Law.”1 The power to
appropriate is a legislative power. The executive branch may not spend more than
the amount appropriated,2 and it may use available funds only for the purposes
established by Congress.3
The President has an important role by virtue of his constitutional power to
approve or veto entire measures and his various duties imposed by statute, such as
submitting an annual budget to the Congress.
The House and Senate Committees on Appropriations have jurisdiction over the
annual appropriations measures. Each committee has, to a certain extent, organized
its subcommittees differently.
1 U.S. Constitution, Article I, Section 9.
2 The Antideficiency Act (31 U.S.C. 1341(a)(1)(A). This prohibition was derived from a
statute enacted in 1870 (16 Stat. 251). U.S. Government Accountability Office, Principles
of Federal Appropriations Law
, 3rd edition, vol. 2, GAO-06-382SP (Washington: GPO, Feb.
2006), pp. 6-34 through 6-35.
3 31 U.S.C. 1301(a). This requirement was originally enacted in 1809 (2 Stat. 535). U.S.
Government Accountability Office, Principles of Federal Appropriations Law, 3rd edition,
vol. 1, GAO-04-261SP (Washington: GPO, Jan. 2004), pp. 4-6.

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The House committee has established 10 appropriations subcommittees,
whereas its Senate counterpart has established 12 subcommittees. Each House and
Senate appropriations subcommittee has jurisdiction over a single regular
appropriations bill.4 In the House, an additional regular appropriations bill, the
Legislative Branch regular bill, is under the jurisdiction of the full committee. As a
result, the House considers 11 regular appropriations bills, whereas the Senate
initially considers 12 regular bills.5
The jurisdiction of each House appropriations subcommittee is paired with the
jurisdiction of a single Senate appropriations subcommittee (see Table 1). In the
House, the District of Columbia regular appropriations bill is under the jurisdiction
of the Subcommittee on Transportation, Treasury, Housing and Urban Development,
the Judiciary, and the District of Columbia. The House committee’s jurisdiction over
the Legislative Branch regular bill is paired with the Senate Subcommittee on the
Legislative Branch.
The jurisdictions of six Senate appropriations subcommittees are not parallel to
the jurisdictions of their House counterparts, whereas the jurisdictions of the
remaining six Senate subcommittees are parallel (see Table 1).
In the cases in which the jurisdictions are not parallel, there are similarities.
Both the House and Senate Subcommittees on Defense, for example, have identical
jurisdictions over certain Department of Defense (DOD) military activities, such as
military procurement and research and development, as well as the Central
Intelligence Agency and related activities. However, the House Subcommittee on
Defense does not have jurisdiction over a few DOD military activities,6 whereas the
corresponding Senate subcommittee has jurisdiction over these activities.
The jurisdictions of six Senate appropriations subcommittees are parallel to the
jurisdictions of their House counterparts (see Table 1). The House and Senate
agriculture appropriations subcommittees, for example, have jurisdiction over most
of the U.S. Department of Agriculture, the Food and Drug Administration
(Department of Health and Human Services), and a few related entities.
4 Of the three types of appropriations measures, regular appropriations bills have
traditionally provided agencies most of their budget authority (see “Types of Appropriations
Measures” section below).
5 During the annual appropriations process, the Senate adds the District of Columbia regular
appropriations bill to the Transportation, Treasury, Housing and Urban Development, and
the Judiciary regular bill. The Congress, therefore, completes 11 regular bills.
6 These activities are environmental restoration activities; basic housing allowances;
Defense Health Program; and military facilities, sustainment, restoration, and modernization
activities.

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Table 1. Senate and House Appropriations Subcommittees
House Subcommittee
Parallel/Not Parallel
Senate Subcommittee
(or Full Committee)
Jurisdiction
Agriculture
Agriculture
Parallel
Commerce, Justice, and
Science, State, Justice, and
Not Parallel
Science
Commerce
Defense
Defense
Not Parallel
District of Columbia
— No Subcommitteea —
Not Parallel
Energy and Water
Energy and Water
Parallel
Development
Homeland Security
Homeland Security
Parallel
Interior
Interior and Environment
Parallel
Labor, Health and Human
Labor, Health and Human
Parallel
Services, and Education
Services, and Education
— No Subcommittee —
Legislative Branch
Parallelb
Full Committee Jurisdiction
Military Construction and
Military Quality of Life and
Not Parallel
Veterans Affairs
Veterans Affairs
State and Foreign
Not Parallel
Operations
Foreign Operations
Transportation, Treasury,
Transportation, Treasury,
Housing and Urban
the Judiciary, Housing
Not Parallel
Development, the Judiciary,
and Urban Development
District of Columbia
a. In the House committee, the District of Columbia is under the jurisdiction of the Transportation,
Treasury, Housing and Urban Development, the Judiciary, and District of Columbia
Subcommittee.
b. There are two minor exceptions. Due to congressional comity, the House committee does not
recommend funding levels for Senate activities and the Senate subcommittee does not
recommend funding levels for House of Representative activities.

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Annual Appropriations Cycle
President Submits Budget
The President initiates the appropriations process by submitting his annual
budget for the upcoming fiscal year to Congress.7 The President is required to submit
his annual budget on or before the first Monday in February.8 Congress has provided
extensions of the deadline both statutorily and, sometimes, informally.9
The President recommends spending levels for the various programs and
agencies of the federal government in the form of budget authority (or BA) since
Congress provides budget authority instead of cash to agencies. Budget authority
represents the legal authority for federal agencies to make obligations requiring either
immediate or future expenditures (or outlays). These obligations (for example,
entering into a contract to build a submarine or purchase supplies) result in outlays,
which are payments from the Treasury, usually in the form of checks and electronic
funds transfers.
For example, a FY2006 appropriations act provided $2.4 billion in new budget
authority for FY2006 to the Department of the Navy to build a nuclear attack
submarine. That is, the act gave the Department of the Navy legal authority to sign
contracts to build the submarine. The department could not commit the government
to pay more than $2.4 billion. The outlays occur when the government payments are
made to the contractor.
An appropriation is a type of budget authority that not only provides the
authority to make obligations, but also gives the agency authority to make the
subsequent payments from the Treasury. Appropriations measures provide new
budget authority (as opposed to previously enacted budget authority). Appropriations
must be obligated in the fiscal year for which they are provided, unless an act
expressly provides otherwise.
Not all new budget authority provided for a fiscal year is expended that year.
For example, in the case of construction projects, the outlays may occur over several
years as various stages of the project are completed. In the example, the $2.4 billion
outlays may be spent over four fiscal years:
! FY2006, $0.2 billion;
! FY2007, $0.2 billion;
! FY2008, $1.0 billion; and
! FY2009, $1.0 billion.
7 Congress generally provides spending for fiscal years, in contrast to calendar years.
Federal government fiscal years begin on October 1 and end the following September 30.
Fiscal year 2006 began on October 1, 2005.
8 31 U.S.C. 1105(a).
9 For information on budget submissions in presidential transition years, see CRS Report
RS20752, Submission of the President’s Budget in Transition Years, by Robert Keith.

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In other cases, such as federal employee salaries, the outlays may occur in the same
year the appropriations are provided.
As Congress considers appropriations measures providing new budget authority
for a particular fiscal year, discussions on the resulting outlays only involve
estimates. Data on the actual outlays for a fiscal year are not available until the fiscal
year has ended.
When the President submits his budget to Congress, the agencies provide
detailed justification materials to the House and Senate appropriations
subcommittees, which have jurisdiction over funding for the particular agencies.

Congress Adopts Budget Resolution
The Congressional Budget and Impoundment Control Act of 1974, as amended,
(the Congressional Budget Act)10 requires Congress to adopt an annual budget
resolution.11 The budget resolution is Congress’s response to the President’s budget.
The budget resolution must cover at least five fiscal years: the upcoming fiscal year
plus the four subsequent fiscal years.
The budget resolution, in part, sets total new budget authority and outlay levels
for each fiscal year covered by the resolution. It also distributes federal spending
among 20 functional categories (such as national defense, agriculture, and
transportation) and sets similar levels for each function.
Total new budget authority and outlays are also distributed among both the
House and Senate committees with jurisdiction over spending, thereby setting
spending ceilings for each committee (see “Allocations” section below).12 Once the
House and Senate Committees on Appropriations receive their spending ceilings,
they separately distribute the funding among their respective subcommittees,
providing a spending ceiling for each subcommittee.13
The budget resolution is never sent to the President, nor does it become law. It
does not provide budget authority or raise or lower revenues, but is instead a guide
for the House and Senate as they consider various budget bills, including
appropriations and tax measures. Both the House and Senate have established
10 2 U.S.C. 601-656 (2005). The Congressional Budget Act (Titles I-IX of P.L. 93-344 (88
Stat. 297) has been amended several times. Significant amendments were provided in the
Balanced Budget and Emergency Deficit Control Act of 1985, P.L. 99-177 (99 Stat. 1037,
1038); Balanced Budget and Emergency Deficit Control Reaffirmation Act of 1987, P.L.
100-119 (101 Stat. 754); Budget Enforcement Act of 1990, P.L. 101-508 (104 Stat. 1388-
573 to 1388-630); Omnibus Budget Reconciliation Act of 1993, P.L. 103-66 (107 Stat. 312);
and Budget Enforcement Act of 1997, P.L. 105-33 (111 Stat. 251).
11 Budget resolutions are under the jurisdiction of the House and Senate Committees on the
Budget.
12 The committee ceilings are usually provided in the joint explanatory statement that
accompanies the conference report to the budget resolution.
13 The House Committee on Appropriations also allocates a portion of the spending to the
full committee for the legislative branch bill.

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parliamentary rules to enforce some of these spending ceilings when appropriations
measures are considered on the House or Senate floor (for more details, see
“Spending Ceilings for Appropriations Measures” below).
The Congressional Budget Act provides an April 15 deadline for final
congressional adoption of the budget resolution. However, during the 31 fiscal years
Congress has considered budget resolutions (FY1976-FY2006), Congress has
frequently not met this deadline. For three of those years (FY1999, FY2003, and
FY2005), Congress never completed a budget resolution.14
There is no penalty if the budget resolution is not completed or is tardy, but
there may be difficulties. For example, certain enforceable spending ceilings
associated with the budget resolution are not established until the budget resolution
is completed. In such instances, each chamber may adopt its own deeming resolution
to address these difficulties (see “Allocations” section below).
The Congressional Budget Act generally prohibits House or Senate floor
consideration of revenue or spending measures for a fiscal year until Congress adopts
the budget resolution.15 However, even if the budget resolution is not in place, the
House may begin considering the regular appropriations bills without violating the
act after May 15. No similar exception exists in the Senate, but the Senate can waive
this rule or appeal the presiding officer’s ruling by a majority vote until January 3,
2007.16 In both chambers, this rule is not self-enforcing. A Representative or
Senator must raise a point of order that a measure violates the rule.
Timetable for Consideration of Appropriations Measures
Traditionally, the House of Representatives has initiated consideration of
appropriations measures. In recent years, the Senate Committee on Appropriations
has reported regular appropriations bills and, sometimes, the full Senate has passed
such measures before the House Committee on Appropriations has acted. However,
the traditional practice was resumed for FY2006 and FY2007 regular appropriations
bills.
The House Committee on Appropriations reports the 11 regular appropriations
bills separately to the full House. The committee begins reporting the bills in May
or June, completing all or almost all of them by July or the annual August recess.
14 As of September 6, 2006, Congress had not completed the FY2007 budget resolution. For
more information on budget resolutions, see CRS Report RL30297, Congressional Budget
Resolutions: Selected Statistics and Information Guide
, by Bill Heniff, Jr., and Justin
Murray.
15 Section 303 of the Congressional Budget Act (for details, see 2 U.S.C. 634 (2005).
16 The FY2006 budget resolution (H.Con.Res. 95, sec. 403 (109th Cong.) established a
supermajority vote requirement to waive this rule or sustain an appeal of the presiding
officer’s ruling. A three-fifths vote of all Senators (60 Senators, if there is are no vacancies)
is required. Due to concern that a FY2007 budget resolution may not be completed, earlier
this year the Senate provided an exception, allowing a majority vote to waive or appeal the
rule until January 3, 2007 (P.L. 109-234, sec. 7035(d)(2).

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Generally, the full House begins consideration of the regular appropriations bills in
May or June as well, passing most by July or the recess.
The Senate appropriations committee, generally, begins reporting its 12 regular
appropriations bills to the full Senate in May or June. Measures are generally
reported before the August recess or in September. The Senate begins passing the
bills in June or July and continues in the fall.
Over the past 10 years (FY1997-FY2006), neither chamber has passed all the
regular appropriations bills each year. For four of the past 10 years, the House did
not pass all the bills and, for seven of the past 10 years, the Senate did not pass all of
them.17 For FY2006, both chambers passed all the bills.
During the fall, the appropriations committees are usually heavily involved in
conferences to resolve differences between the two chambers. Relatively little or no
time is left before the fiscal year begins to resolve what may be wide disparities
between the House and Senate, to say nothing of those between Congress and the
President. Congress is usually faced with the need to enact one or more temporary
continuing resolutions pending the final disposition of the regular appropriations
bills.18
Work of the Appropriations Committees
After the President submits his budget, the House and Senate appropriations
subcommittees hold hearings on the segments of the budget under their jurisdiction.
They focus on the details of the agencies’ justifications, primarily obtaining
testimony from agency officials.
After the hearings have been completed and the House and Senate
appropriations committees have received their spending ceilings, they may begin to
mark up19 the regular bills under their jurisdiction and report them to their respective
full committees. (Under the traditional practice, each Senate subcommittee waits
until it receives the House-passed bill and recommends a substitute amendment
replacing the text of the House-passed bill.20) Both appropriations committees
consider each of their subcommittee’s recommendations separately. The committees
17 From FY1997 through FY2005, both the House and Senate considered 13 regular
appropriations bills. The regular bills that the House or Senate did not pass were generally
funded in omnibus appropriations measures (see “Regular Appropriations Bills” section
below).
18 For a description of continuing resolutions, see “Continuing Resolutions” section below.
19 The chair usually proposes a draft bill (the chair’s mark). The chair and other
subcommittee members discuss amendments to the draft and may agree to include some
(referred to as marking up the bill). Regular appropriations bills are not introduced prior to
full committee markup. The bill is introduced when the House appropriations committee
reports the bill; a bill number is assigned at that time. The House rules allow the House
appropriations committee to originate a bill. In contrast, most House committees do not
have such authority.
20 Under the non-traditional approach, both House and Senate appropriations committees
and their subcommittees may be considering the regular bills simultaneously.

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may adopt amendments to a subcommittee’s recommendations and then report the
bill as amended to their respective floors for action.
House and Senate Floor Action
After the House or Senate appropriations committee reports an appropriations
bill to the House or Senate, respectively, the bill is brought to the floor. At this point,
Representatives or Senators are generally provided an opportunity to propose floor
amendments to the bill.
House. Prior to floor consideration of a regular appropriations bill, the House
generally considers a special rule reported by the House Committee on Rules setting
parameters for floor consideration of the bill.21 If the House adopts the special rule,
it usually considers the appropriations bill immediately.
The House considers the bill in the Committee of the Whole House on the State
of the Union (or Committee of the Whole) of which all Representatives are
members.22 A special rule on an appropriations bill usually provides for one hour of
general debate on the bill. The debate includes opening statements by the chair and
ranking minority member23 of the appropriations subcommittee with jurisdiction over
the regular bill, as well as other interested Representatives.
After the Committee of the Whole debates the bill, it considers amendments.24
Amendments must meet requirements of the
! House standing rules and precedents, for example, amendments must
be germane to the bill;
! congressional budget process (see “Spending Ceilings for
Appropriations Measures” section below);
! authorization-appropriation process, which enforces the relationship
between authorization and appropriations measures (see
21 Because the regular appropriations bills must be completed in a timely fashion, House
Rule XIII, clause 5, provides that these appropriations bills are privileged. This allows the
House Committee on Appropriations to bring appropriations bills directly to the floor in
contrast to asking the rules committee to report a special rule. The latter method is used for
most major measures.
In recent years, the House appropriations committee has usually used the special rule
procedure, however. These special rules typically include waivers of certain parliamentary
rules regarding the consideration of appropriations bills and certain provisions within them.
Special rules may also be used for other purposes, such as restricting floor amendments.
22 House Rule XVIII, clause 3, requires that appropriations measures be considered in the
Committee of the Whole before the House votes on passage of the measures (see CRS
Report 95-563, The Legislative Process on the House Floor: An Introduction, by Elizabeth
Rybicki and Stanley Bach).
23 A ranking minority member of a committee or subcommittee is the head of the minority
party members of the particular committee or subcommittee.
24 They generally consider amendments by going through the bill in order. The presiding
officer asks if there are any amendments to the paragraph (or title) under consideration.

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“Relationship Between the Authorization and Appropriations
Measures” section below); and
! special rule providing for consideration of the particular bill.
If an amendment violates any of these requirements, any Representative may raise
a point of order to that effect. If the presiding officer rules the amendment out of
order, it cannot be considered on the House floor. The special rule may waive any
of these requirements, thereby allowing the House to consider the amendment.
During consideration of individual regular appropriations bills, the House
sometimes sets additional parameters, either by adopting a special rule or by
unanimous consent. That is, the House agrees to the parameters only if no
Representative objects. For example, the House sometimes agrees to limit debate on
individual amendments by unanimous consent.
After the Committee of the Whole completes consideration of the measure, it
rises (dissolves) and reports the bill with any adopted amendments to the full House.
The House then votes on the adopted amendments and passage. After House
passage, the bill is sent to the Senate.
Senate. The full Senate considers the bill as reported by its appropriations
committee.25 The Senate does not utilize the device of a special rule to set
parameters for consideration of bills. Before taking up the bill, however, or during
its consideration, the Senate sometimes sets parameters by unanimous consent.
When the bill is brought up on the floor, the chair and ranking minority member
of the appropriations subcommittee make opening statements on the contents of the
bill as reported.
Committee and floor amendments to the reported bills must meet requirements
under the Senate standing rules and precedents, congressional budget process,
authorization-appropriation process, as well as requirements agreed to by unanimous
consent.26 The specifics of the Senate and House requirements differ. As in the
House, the Senate may sometimes waive some of these rules.27
House and Senate Conference Action
Generally, members of the House and Senate appropriations subcommittees
having jurisdiction over a particular regular appropriations bill, and the chair and
25 In cases in which the non-traditional practice is utilized, the Senate Committee on
Appropriations reports a Senate bill and after the full Senate has completed action on it, the
Senate waits for the House to send its bill to the Senate and amends the House-passed bill
with generally a substitute amendment that contains the text of the Senate bill as amended
on the Senate floor.
26 The Senate, in contrast to the House, does not consider floor amendments in the order of
the bill. Senators may propose amendments to any portion of the bill at any time unless the
Senate agrees to set limits.
27 It does so either by unanimous consent or, in some cases, by motion.

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ranking minority members of the full committees meet to negotiate over differences
between the House- and Senate-passed bills.28
Under House and Senate rules, the negotiators (or conferees or managers) are
generally required to remain within the scope of the differences between the positions
of the two chambers.29 Their agreement must be within the range established by the
House- and Senate-passed versions. For example, if the House-passed bill
appropriates $3 million for a program and a separate Senate amendment provides $5
million, the conferees must reach an agreement that is within the $3-$5 million range.
However, these rules are not always followed.30
The Senate typically passes a single substitute amendment to each House bill.
In such instances, the conferees must reach agreement on all points of difference
between the House and Senate versions before reporting the conference report in
agreement to both houses. When this occurs, the conferees propose a new conference
substitute for the bill as a whole. The conferees attach a joint explanatory statement
(or managers’ statement) explaining the new substitute.
Usually, the House considers conference reports on appropriations measures
first because it traditionally considers the measures first. The first house to consider
a conference report has the option of voting to recommit the report to the conference
for further consideration, rejecting the conference report, or adopting it. After the
first house adopts the conference report, the conference is automatically disbanded;
therefore, the second house has two options — adopt or reject the conference report.
Conference reports cannot be amended in either the House or Senate.
If the conference report is rejected, or is recommitted by the first house, the
conferees negotiate further over the matters in dispute between the two houses.31 The
measure cannot be sent to the President until both houses have agreed to the entire
text of the bill.
Presidential Action
After Congress sends the bill to the President, he has 10 days to sign or veto the
measure. If he takes no action, the bill automatically becomes law at the end of the
28 If the Senate and/or House does not pass a bill, informal negotiations typically take place
on the basis of the reported version of that chamber(s). For example, the provisions of the
House-passed bill and Senate committee-reported bill might be negotiated. Typically, the
compromise is included in a conference report on an omnibus appropriations measure (see
“Regular Appropriations Bill” section below).
29 House Rule XXII, clause 9, and Senate Rule XXVIII, paragraphs 2 and 3.
30 Generally, before the House considers a conference report on an appropriations measure,
it adopts a special rule waiving all points of order against the conference report and its
consideration, including points of order that the conference report goes beyond the scope
of the differences.
31 Technically, if either house rejects the conference report, the two houses normally agree
to further conference, usually appointing the same conferees.

CRS-11
10-day period. Conversely, if he takes no action when Congress has adjourned, he
may pocket veto the bill.
If the President vetoes the bill, he sends it back to Congress. Congress may
override the veto by a 2/3 vote in both houses. If Congress successfully overrides the
veto, the bill becomes law. If Congress is unsuccessful, the bill dies.
Types of Appropriations Measures
Regular Appropriations Bills
Each year, the House and Senate initially consider 11 and 12 regular
appropriations bills, respectively. As mentioned previously, the Senate combines
two regular bills32 during consideration of the appropriations bills; as a result,
Congress finally completes action on 11 regular bills.
In a regular (or supplemental) appropriations bill, funding for departments and
large agencies is distributed among several accounts. Each account is typically
provided in a single unnumbered paragraph of an appropriations bill and includes
funding for similar programs, projects, or items, such as a “procurement” account or
“salaries and expenses” account. For smaller agencies, a single account may fund all
of the agency’s activities. The appropriations bills generally provide a lump-sum
appropriation for each account.
In report language,33 the House and Senate Committees on Appropriations
provide more detailed directions to the department and agencies on the distribution
of funding among various activities funded within an account. Funding for most
local projects are included in report language, as opposed to the text of the
appropriations bill.34
Appropriations measures may also provide transfer authority.35 Transfers shift
budget authority from one account or fund to another. For example, if the
Department of the Navy moved budget authority from the “Aircraft Procurement,
Navy” account to the “Shipbuilding and Conversion, Navy” account, that would be
32 The Senate adds the District of Columbia regular appropriations bill to the Transportation,
Treasury, The Judiciary, Housing and Urban Development, and Independent Agencies
regular bill; the combination corresponds to the House Transportation, Treasury, Housing
and Urban Development, the Judiciary, District of Columbia, and Independent Agencies
regular bill.
33 Report language refers to statements in committee reports and joint explanatory
statements.
34 For more information, see CRS Report RL33397, Earmark Reform Proposals: Analysis
of Latest Versions of S. 2349 and H.R. 4975
, by Sandy Streeter.
35 Authorization measures may also provide transfer authority. For information on
authorization measures, see “Relationship Between the Authorization and Appropriations
Measures” section below.

CRS-12
a transfer. Agencies are prohibited from making such transfers without specific
statutory authority.
In contrast, agencies may generally shift budget authority from one activity to
another within an account without such statutory authority; this activity is referred
to as reprogramming.36 The appropriations subcommittees have established
notification and other oversight procedures for the various agencies to follow
regarding reprogramming actions. Generally, these procedures differ with each
subcommittee.
Congress has traditionally considered and enacted each regular appropriations
bill separately, but Congress has recently begun combining bills together. For 17 of
the past 30 years (FY1977-FY2006), Congress packaged two or more regular
appropriations bills together in one measure, or, in the case of FY2001, into two
measures.37 These packages are referred to as omnibus measures or mini-bus
measures.38
In these cases, Congress typically began consideration of each regular bill
separately, but generally in conference combined some of the bills together. During
conference on a single regular appropriations bill, the conferees typically included
in the conference report final agreements on other outstanding regular appropriations
bills, thereby creating an omnibus or minibus appropriations measure.
Packaging, as Table 2 shows, was used for nine consecutive fiscal years
beginning for FY1980. The first two of those years (FY1980-FY1981) occurred
while President Jimmy Carter was in the White House, and the remaining seven were
during Ronald Reagan’s presidency. Since that time, it has been used eight times —
five during President William Jefferson Clinton’s presidency (FY1996-FY1997 and
FY1999-FY2001) and three while President George W. Bush has been in the White
House (FY2003-FY2005).
In two of the years during Ronald Reagan’s presidency, all the bills were
enacted together (FY1987 and FY1988) and, in one year when President George W.
Bush was in the White House, all but two bills were enacted together (FY2003).
36 Transfer authority may be required, however, in cases in which the appropriations act
includes a set aside for a specified activity within an account.
37 The FY2001 Energy and Water Development bill was attached to the FY2001 Veterans
Affairs, Housing and Urban Development, and Independent Agencies bill. The FY2001
Legislative Branch bill and Treasury and General Government bill were attached to the
FY2001 Labor, Health and Human Services, Education, and Related Agencies bill.
38 There is no agreed upon definition of minibus or omnibus appropriations measures, but
a minibus appropriations measure generally refers to a measure including a few regular
appropriations bills and an omnibus appropriations measure refers to a measure containing
several regular bills.

CRS-13
(From FY1977 through FY2005, Congress annually considered 13 regular
appropriations bills.)39
Table 2. Number of Regular Appropriations Bills Packaged in
Omnibus (or Minibus) Measure, FY1977-FY2006
Fiscal
Presidential
Regular Bills in Omnibus
Year
Administration
or Minibus Measure
1977
Gerald Ford
0
1978
Jimmy Carter
0
1979
0
1980
2
1981
5
1982
Ronald Reagan
3
1983
6
1984
3
1985
8
1986
7
1987
13
1988
13
1989
0
1990
George H.W. Bush
0
1991
0
1992
0
1993
0
1994
William Clinton
0
1995
0
1996
5
1997
6
1998
0
1999
8
2000
5
2001
2,3a
2002
George W. Bush
0
2003
11
2004
7
2005
9
2006
0
Sources: U.S. Congress, Senate Committee on Appropriations, Appropriations, Budget Estimates,
Etc.
, committee prints, 94th Cong., 2nd sess.-103rd Cong., 2nd sess. (Washington: GPO, 1976-1994);
and U.S. Congress, House, Calendars of the U.S. House of Representatives and History of Legislation,
94th-108th Congresses
(Washington: GPO, 1976-2004).
a. The FY2001 Energy and Water Development bill was attached to the FY2001 Veterans Affairs,
Housing and Urban Development, and Independent Agencies bill. The FY2001 Legislative
Branch bill and Treasury and General Government bill were attached to the FY2001 Labor,
Health and Human Services, Education, and Related Agencies bill.
39 In early 2005, both the House and Senate Committees on Appropriations reorganized their
subcommittees and reduced the number of subcommittees from 13 to 10 and 12,
respectively. Due to the reorganization, the House has 11 regular bills and the Senate has
12 bills.

CRS-14
Packaging regular appropriations bills can be an efficient means of resolving
outstanding differences within Congress and between Congress and the President.
The negotiators can make more convenient trade-offs between issues among several
bills.
Continuing Resolutions
Regular appropriations bills expire at the end of the fiscal year. If action on one
or more regular appropriations measures has not been completed by the deadline, the
agencies funded by these bills must cease nonessential activities due to lack of budget
authority. Traditionally, continuing appropriations have been used to maintain
temporary funding to agencies and programs until the regular bills are enacted. Such
appropriations continuing funding are usually provided in a joint resolution, hence
the term continuing resolution (or CR).
In November and again in December 1995, FY1996 continuing resolutions
expired and some regular appropriations bills had not been enacted. As a result,
nonessential activities that would have been funded in those regular bills stopped and
federal workers hired to perform those services did not report for duty.
In 25 of the past 30 years (FY1977-FY2006), Congress and the President did not
complete action on a majority of the regular bills by the start of the fiscal year (see
Table 3). In eight years, they did not finish any of the bills by the deadline. They
completed action on all the bills on schedule only four times: FY1977, FY1989,
FY1995, and FY1997.
On or before the deadline, Congress and the President generally complete action
on an initial continuing resolution that temporarily funds the outstanding regular
appropriations bills. In contrast to funding practices in regular bills (i.e., providing
appropriations for each account), temporary continuing resolutions generally provide
funding by a rate and/or formula. Recently, the continuing resolutions have generally
provided a rate at the levels provided in the previous fiscal year. The initial CR
typically provides temporary funding until a specific date or until the enactment of
the applicable regular appropriations acts, if earlier. Once the initial CR becomes
law, additional interim continuing resolutions are frequently utilized to sequentially
extend the expiration date. These subsequent continuing resolutions sometimes
change the funding methods. Over the past 30 fiscal years, Congress has enacted, on
average, five continuing resolutions each year (see Table 3).

CRS-15
Table 3. Regular Appropriations Bills Completed by Deadline
and Number of Continuing Resolutions, FY1977-FY2006
Regular Appropriations
Continuing
Fiscal
Presidential
Bills Became Law by or
Resolutions
Year
Administration
on October 1st
Became Law
1977
Gerald Ford
13
(2a)
1978
Jimmy Carter
9
3
1979
5
1
1980
3
2
1981
1
2
1982
Ronald Reagan
0
4
1983
1
2
1984
4
2
1985
4
5
1986
0
5
1987
0
5
1988
0
5
1989
13
0
1990
George H.W. Bush
1
3
1991
0
5
1992
3
4
1993
1
1
1994
William J. Clinton
2
3
1995
13
0
1996
0
14b
1997
13c
0
1998
1
6
1999
1
6
2000
4
7
2001
2
21
2002
George W. Bush
0
8
2003
0
8
2004
3
5
2005
1
3
2006
2
3
Sources: U.S. Congress, Senate Committee on Appropriations, Appropriations, Budget Estimates,
Etc.
, 94th Cong., 2nd sess. - 104th Cong., 1st sess. (Washington: GPO, 1976-1995). U.S. Congress,
House, Calendars of the U.S. House of Representatives and History of Legislation, 104th Cong., 1st
sess. - 107th Cong., 1st sess. (Washington: GPO, 1995-2005).
a. The two CRs did not provide continuing funding for entire regular bills; instead, they provided
funding for selected activities.
b. All measures providing continuing funding are included. However, two of these bills were not
initially appropriations bills. Later, Congress added continuing funding to both.
c. Five regular bills were attached to the FY1997 defense regular act, which became law on September
30. As a result, the FY1997 appropriations process was completed by October 1.

CRS-16
Supplementals
During the fiscal year, Congress frequently considers one or more supplemental
appropriations measures that provide additional funds for specified activities.
Supplementals may provide funding for unforeseen needs (such as funds to recover
from a hurricane, earthquake or flood); or increase or provide funding for other
activities. Sometimes Congress includes supplemental appropriations in regular bills
and continuing resolutions.
During a calendar year, Congress typically considers, at least
! 11 regular appropriations bills for the fiscal year that begins on
October 1;
! several continuing resolutions for the same fiscal year; and
! one or more supplementals for the previous fiscal year.
Spending Ceilings for Appropriations Measures
Congress established the congressional budget process through which it
annually sets spending ceilings associated with the budget resolution and enforces
those ceilings with parliamentary rules, or points of order, during congressional
consideration of appropriations bills.40
Allocations
As mentioned previously, the budget resolution distributes the total new budget
authority and outlays among the House and Senate committees with jurisdiction over
spending, including the House and Senate Committees on Appropriations. Through
this allocation process, the budget resolution sets total spending ceilings for each
House and Senate committee (referred to as the 302(a) allocations).41 Table 4
provides 302(a) allocations to the House Committee on Appropriations for FY2006.
40 The congressional budget process was established by the Congressional Budget Act,
(Titles I-IX of P.L. 93-344, 88 Stat. 297, 2 U.S.C. 601-656 (2005). The act has been
amended several times. Significant amendments were provided in the Balanced Budget and
Emergency Deficit Control Act of 1985, P.L. 99-177 (99 Stat. 1037, 1038); Balanced
Budget and Emergency Deficit Control Reaffirmation Act of 1987, P.L. 100-119 (101 Stat.
754); Budget Enforcement Act of 1990, P.L. 101-508 (104 Stat. 1388-573 to 1388-630);
Omnibus Budget Reconciliation Act of 1993, P.L. 103-66 (107 Stat. 312); and Budget
Enforcement Act of 1997, P.L. 105-33 (111 Stat. 251).
41 This refers to section 302(a) of the Congressional Budget Act. Typically, these are
provided in the joint explanatory statement that accompany the conference report to the
budget resolution.

CRS-17
Table 4. House Committee on Appropriations’
302(a) Allocations for FY2006
(in billions of dollars)
Spending Category
Budget Authority
Outlays
Discretionary
843.020
916.836
Mandatory
528.504
510.843
Source: U.S. Congress, Conference Committees, 2005, Concurrent Resolution on the Budget for
Fiscal Year 2006
, conference report to accompany H.Con.Res. 95, H.Rept. 109-62, 109th Cong., 1st
sess. (Washington: GPO, 2006), p. 86.
Table 4 includes allocations for discretionary spending and mandatory
spending. Congress divides budget authority and the resulting outlays into two
categories: discretionary spending and mandatory spending (including net interest42).
Discretionary spending is controlled by the annual appropriations acts, which are
under the jurisdiction of the House and Senate Committees on Appropriations. In
contrast, mandatory spending is controlled by authorization acts under the
jurisdiction of the legislative committees (principally the House Committee on Ways
and Means and Senate Committee on Finance).43 Appropriations measures include
all the discretionary spending and some of the mandatory spending.
Discretionary spending provides funds for a wide variety of activities, such as
those described in the “Introduction” above, whereas mandatory spending funds
entitlement programs44 and other mandatory spending programs. Of total actual
outlays for FY2005, only 40% was discretionary spending; the remaining 60% was
mandatory spending (7% was net interest).
42 “In the federal budget, net interest comprises the government’s interest payments on debt
held by the public ... offset by interest income that the government receives on loans and
cash balances and by earnings of the National Railroad Retirement Investment Trust.” U.S.
Congressional Budget Office, The Budget and Economic Outlook: Fiscal Years 2007 to
2016
(Washington: GPO, 2006), p. 167.
43 Most standing committees are legislative committees, such as the House Committee on
Armed Services and the Senate Committee on the Judiciary. For more information, see
“Relationship Between Authorization and Appropriation Measures” below.
44 The Congressional Budget Office defines entitlement as:
A legal obligation of the federal government to make payments to a person,
group of people, business, unit of government, or similar entity that meets the
eligibility criteria set in law and for which the budget authority is not provided
in advance in an appropriation act. Spending for entitlement programs is
controlled through the eligibility criteria and benefit or payment rules.
Major entitlement programs include Social Security and Medicare. U.S. Congressional
Budget Office, pp. 162-163.

CRS-18
Regarding the distribution of discretionary spending outlays for FY2005, 51%
of the outlays was for defense activities, 45% for domestic activities, and 4% for
international activities.
The mandatory spending provided in appropriations measures is predominantly
for entitlement programs, referred to as appropriated entitlements. Appropriated
entitlements are funded through a two-step process. First, authorizing legislation is
enacted to set program parameters (through eligibility requirements and benefit
levels, for example); then the appropriations committees must provide the budget
authority needed to meet the commitment. The appropriations committees have little
control over the amount of budget authority provided, since the amount needed is the
result of previously enacted commitments in authorization law.45
Instead of directly controlling outlays, Congress controls discretionary spending
by setting levels of new budget authority for specific activities, programs, and
agencies in annual appropriations measures. Congress could have, for example,
provided $3.0 billion in new budget authority to build the nuclear attack submarine,
mentioned earlier, instead of $2.4 billion.
Congress also controls mandatory spending by controlling budget authority. It
does not, however, generally control this form of budget authority by setting specific
spending levels. It controls mandatory spending by establishing parameters for
government commitments in permanent law, such as Social Security benefit levels
and eligibility requirements.
After the House and Senate Committees on Appropriations receive their 302(a)
allocations, they separately divide their allocations among their subcommittees,
providing each subcommittee with a ceiling. The House committee also provides a
separate allocation for Legislative Branch activities to the full committee. These
subdivision are referred to as the 302(b) allocations.46 Table 5 provides the House
Committee on Appropriations’ initial 302(b) allocations of discretionary, mandatory,
and total spending for FY2006. Making 302(b) allocations is within the jurisdiction
of the House and Senate appropriations committees, and they typically make
revisions to reflect action on the appropriations bills.
The spending ceilings associated with the annual budget resolution that apply
to appropriations measures are generally for a single fiscal year (the upcoming fiscal
year) and typically must be established each year.47 If the budget resolution is
significantly delayed (or is never completed), there are no total spending ceilings,
302(a) allocations, or 302(b) allocations to enforce until the budget resolution is
completed. In such instances, the House and Senate have often adopted separate
45 Some mandatory spending is provided through a one-step process. The authorization act
may set the program parameters and provide the budget authority.
46 This refers to section 302(b) of the Congressional Budget Act.
47 In contrast, spending ceilings associated with the budget resolution that apply to
legislative measures are provided for several fiscal years.

CRS-19
Table 5. Initial House Appropriations Committee’s 302(b)
Allocations for FY2006
(in billions of dollars)
Subcommittee
Discretionary
Mandatory
Total
Agriculture
New Budget Authority
16.832
69.535
86.367
Outlays
18.691
50.456
69.147
Defense
New Budget Authority
363.440
0.245
363.685
Outlays
372.696
0.245
372.941
Energy and Water Development
New Budget Authority
29.746
29.746
Outlays
30.236
30.236
Foreign Operations
New Budget Authority
20.270
0.042
20.312
Outlays
25.380
0.042
25.422
Homeland Security
New Budget Authority
30.846
0.931
31.777
Outlays
33.233
0.924
34.157
Interior and Environment
New Budget Authority
26.107
0.054
26.161
Outlays
27.500
0.060
27.560
Labor, Health and Human Services, and Education
New Budget Authority
142.514
402.591
545.105
Outlays
143.802
404.083
547.885
(Legislative Branch)a
New Budget Authority
3.719
0.118
3.837
Outlays
3.734
0.117
3.851
Military Quality of Life and Veterans Affairs
New Budget Authority
85.158
35.640
120.798
Outlays
81.651
35.570
117.221
Science, State, Justice, and Commerce
New Budget Authority
57.453
0.361
57.814
Outlays
58.856
0.373
59.229
Transportation, Treasury, Housing and Urban
Development, the Judiciary, and District of Columbia
New Budget Authority
66.935
18.987
85.922
Outlays
120.908
18.973
139.881
Totalb
New Budget Authority
843.020
528.504
1,371.524
Outlays
916.836
510.843
1,427.679
Source: U.S. Congress, House Committee on Appropriations, Report on the Suballocation to Budget Allocations for
Fiscal Year 2006
, 109th Cong., 1st sess. (Washington: GPO, 2005), pp. 2-3.
a. The House committee provided a separate 302(b) allocation to the full committee for Legislative Branch activities.
b. The committee also set aside a small full committee allowance of $0.149 billion in discretionary outlays.

CRS-20
deeming resolutions, providing, at least, temporary 302(a) allocations, thereby
establishing enforceable spending ceilings.48
For FY2007, the House adopted a special rule that, in part, deemed the 302(a)
allocations associated with the House-adopted FY2007 budget resolution
(H.Con.Res. 376, 109th Congress) in effect for enforcement purposes.49 The Senate
included in a FY2006 supplemental appropriations act deeming language that, in part,
set 302(a) allocations for the Senate Committee on Appropriations.50
Enforcement
Certain spending ceilings associated with the budget resolution are enforced
through points of order raised on the House and Senate floor when the appropriations
measures are brought up for consideration. These points of order are not self-
enforcing. A Representative or Senator must raise a point of order that a measure,
amendment, or conference report violates a specific rule. Generally, if a Member
raises a Congressional Budget Act point of order and the presiding officer rules that
the measure, amendment, or conference report violates the parliamentary rule, it may
not be considered on the floor.
House. Two permanent House points of order enforcing spending ceilings that
affect appropriations measures are the 302(f) and 311(a).51 These points of order
apply to all appropriations measures reported by the committee as well as
amendments and conference reports to the measures, they do not apply to amended
appropriations measures.
The 302(f) point of order prohibits floor consideration of appropriations that
exceed the committee or subcommittee allocations of new budget authority (the
302(a) or 302(b) allocations, respectively). In effect, this point of order applies to
total discretionary spending (and any mandatory spending changes initiated on the
appropriations measures).52 For example, the reported FY2006 Agriculture regular
48 For more information, see CRS Report RL31443, The “Deeming Resolution:” A Budget
Enforcement Tool
, by Robert Keith.
49 H.Res. 818 (109th Cong.), section 2.
50 P.L. 109-234, section 7035(a).
51 These refer to sections 302(f) and 311(a), respectively, of the Congressional Budget Act.
52 It does not effect increased mandatory spending that the appropriators are required to
provide. For example, if the House Committee on Appropriations was required to increase
new budget authority for unemployment compensation due to a recession, such budget
authority would not be subject to the point of order.

CRS-21
appropriations bill could not have exceeded the Agriculture subcommittee’s total
discretionary spending allocation for FY2006 — $16.832 billion — provided in
Table 5.53
The House has temporarily extended enforcement of 302(b) allocations to
certain amended general appropriations bills.54 In 2005, the House established a
point of order in the Committee of the Whole against certain motions to rise and
report55 a general appropriations bill that, as amended, exceeded the 302(b)
allocation.56 Upon the chair sustaining the point of order, the House votes on a
question to rise and report the bill even though the bill exceeds the 302(b) allocation.
If the House rejects this motion, the House may consider and adopt a single
amendment, which would bring the bill into compliance. If adopted, the House
would then vote on another motion to rise and report. The point of order does not
apply to motions to rise and report proposed by the Majority Leader (or his designee).
This point of order is in effect for the 109th Congress (2005-2006).57
The permanent 311(a) point of order prohibits floor consideration of
appropriations that would exceed the total new budget authority or outlay ceilings in
the budget resolution. As various spending bills for a fiscal year are enacted, the
amount of total new budget authority enacted and the resulting outlays accumulate
and the budget resolution ceilings are eventually reached. An appropriations bill that
53 Although the 302(f) point of order in the House enforces new budget authority ceilings,
under House rules certain offset amendments must remain within the total new budget
authority and outlay levels provided in the bill. Due to the 302(f) point of order, Members
frequently must decrease budget authority in a bill for certain activities in order to finance
increases in funding for other activities in order to stay within the 302(a) or 302(b)
allocations (the decreases are referred to as offsets.) An amendment providing both the
increases and decreases is referred to as an offset amendment. Frequently, the increases and
offsets Members prefer are not located in the same place in the bill, and the affected
segments would normally be considered at different times on the House floor.
Offset amendments that amend the text of the bill in more than one place must remain
within the total new budget authority and outlay levels provided in the bill (House Rule
XXI, clause 2(f)). An offset amendment added at the end of a bill that indirectly effects
earlier provisions in the bill would not fall under the procedure provided in Rule XXI,
clause 2(f). However it would still be subject to requirements in section 302. That is, it may
not cause the bill to exceed new budget authority allocations made pursuant to 302(a) or (b).
(For more information, see CRS Report RL31055, House Offset Amendments to
Appropriations Bills: Procedural Considerations
, by Sandy Streeter.)
54 In the House, general appropriations bills refer to regular appropriations bills and
supplemental appropriations measures, which provide funds for more than one purpose or
agency. It does not apply to continuing resolutions.
55 For information on the Committee of the Whole, see “House and Senate Floor Action”
section above.
56 This point of order does not apply to a motion to rise and report proposed by the Majority
Leader, or his designee.
57 For more information see, House-adopted H.Res. 248 (109th Cong.), section 2, and U.S.
Congress, House Committee on Rules, Waiving Points of Order Against the Conference
Report to Accompany H.Con.Res. 95, the Concurrent Resolution on the Budget for Fiscal
Year 2006
, report to accompany H.Res. 248, 109th Cong., 1st sess., H.Rept. 109-63
(Washington: GPO, 2005), pp. 1-2.

CRS-22
would go over either ceiling is subject to the 311(a) point of order. If all the
spending bills stay within their committee spending ceilings, a bill will not exceed
the total ceilings established in the budget resolution. However, in the past, some
spending bills have exceeded their committee ceilings, thereby making bills subject
to the 311(a) point of order. This point of order typically affects the last funding
measures considered for a fiscal year (such as the supplementals). In the House, the
Fazio Exception exempts certain appropriations from the 311(a) point of order. If the
total for appropriations bills remains within the Appropriations Committee’s total
allocation, the appropriations are excepted from the 311(a) point of order.58
The House may waive or suspend these points of order by adopting, by majority
vote, a special rule waiving the particular point of order prior to floor consideration
of the appropriations bill.
Senate. Two permanent Senate points of order enforce spending ceilings that
affect appropriations measures are the 302(f) and 311(a).59 The Senate versions of
these rules vary from the House versions. These points of order apply to all
appropriations measures, both those reported by the committee and amended on the
floor. They also apply to amendments, motions, and conferences reports to these
measures.
In the Senate, the 302(f) point of order prohibits floor consideration of
appropriations that exceed the subcommittee allocations in total new budget authority
and total outlays. In contrast to the House, it does not enforce the 302(a) allocations.
As in the House, this point of order, in effect, applies to total discretionary spending
(and any mandatory spending changes initiated on the appropriations measures). The
311(a) point of order in the Senate is the same as in the House; however, it does not
include the Fazio Exception.
Senators may make motions to waive these points of order at the time the issue
is raised. Currently, a vote of three-fifths of all Senators (60 Senators, if there are no
vacancies) is required to approve a waiver motion for any of these points of order.60
These super-majority vote requirements expire on September 30, 2010.
Emergency Spending. Since 1990, both the House and Senate have
generally exempted budget authority (and resulting outlays) provided in
appropriations measures, amendments, and conference reports that are designated as
emergency spending from the points of order enforcing spending ceilings discussed
58 Section 311(c) of the Congressional Budget Act, as amended.
59 These refer to sections 302(f) and 311(a), respectively, of the Congressional Budget Act.
60 A vote to appeal the presiding officer’s ruling also requires three-fifths vote of all
Senators.

CRS-23
above.61 Emergency-designations were originally designed as a safety valve so that
spending for emergencies, such as disaster assistance, could be expeditiously enacted.
Congress typically includes its emergency-designation language after the
appropriation to be protected.
In practice, House emergency designations are generally included in the
committee-reported bills and conference reports, but not floor amendments. Under
House precedents, emergency designations are considered legislation on an
appropriations bill (or legislation), which are prohibited.62 The House, generally,
adopts a special rule waiving this point of order against emergency designations in
the reported bills and conference reports, but not such provisions in floor
amendments.
In contrast, under Senate precedents such designations are not considered
legislation. Emergency designations may be included in floor amendments as well
as committee amendments, reported bills, amended bills, and conference reports.
However, such designations for non-defense spending are subject to another point of
order (section 402(b) of H.Con.Res. 95 (109th Congress). If a point of order under
section 402(b) is raised and sustained, the emergency designation is stricken and the
legislation is subject to the points of order enforcing the spending ceilings. In order
to waive section 402(b), a three-fifths vote is required, thereby requiring super-
majority support.63
The current House procedures generally provide a $6.450 billion limit for
FY2007 emergency designated non-defense discretionary spending, but no limit on
emergency-designated defense spending.64 Under Senate procedures, there is a
FY2007 limit of $86.3 billion on all emergency-designated funding.65
61 For current House procedures, see H.Con.Res. 376 (109th Cong.), as adopted by the
House, sec. 402 and title V. For current Senate procedures, see U.S. Congress, Conference
Committees, 2005, Concurrent Resolution on the Budget for Fiscal Year 2006, conference
report to accompany H.Con.Res. 95, 109th Cong., 1st sess., H.Rept. 109-62 (Washington:
GPO, 2005), sec. 402; P.L. 109-234, sec. 7035; and S.Con.Res. 83 (109th Cong.), as adopted
by the Senate, sec. 402. For general information on rules regarding emergency designations,
see CRS Report RS21035, Emergency Spending: Statutory and Congressional Rules, by
James V. Saturno.
62 Specifically, special budgetary designations pursuant to the concurrent resolution on the
budget
are considered legislation. Special budgetary designations include provisions (1)
designating funds as “making appropriations for contingency operations directly related to
the global war on terrorism and other unanticipated defense-related operations” under sec.
402 of H.Con.Res 376 (109th Cong.); and (2) designating funds as “an emergency
requirement” under title v of the same resolution.
For more information on legislation, see “Relationship Between Authorization and
Appropriation Measures” section below.
63 A vote to appeal the presiding officer’s ruling also requires three-fifths vote of all
Senators.
64 H.Con.Res. 376 (109th Cong.), as adopted by the House, sec. 402 and title V.
65 P.L. 109-234, sec. 7035; and S.Con.Res. 83 (109th Cong.), as adopted by the Senate, sec.
402.

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Relationship Between Authorization and
Appropriation Measures
Congress has established an authorization-appropriation process that provides
for two separate types of measures — authorization measures and appropriation
measures. These measures perform different functions and are to be considered in
sequence. First, the authorization measure is considered and then the appropriation
measure.
Authorization acts establish, continue, or modify agencies or programs. For
example, an authorization act may change the structure or establish or modify
programs within the Department of the Navy. The authorization act also authorizes
subsequent appropriations for specific agencies and programs, frequently setting
spending ceilings for them. The authorization of appropriations provisions may be
permanent, annual, or multi-year authorizations. Annual and multi-year provisions
require re-authorizations when they expire. Congress is not required to provide
appropriations for an authorized discretionary spending program.
Authorization measures are under the jurisdiction of legislative committees such
as the House Committees on Agriculture and Homeland Security, or the Senate
Committees on Armed Services and the Judiciary. Most congressional committees
are legislative committees. Major non-legislative committees include the House and
Senate appropriations and budget committees.66 Appropriations measures provide
new budget authority for the program, activity, or agency previously authorized.
The authorization-appropriation process enforces separation of these functions
into separate measures with points of order prohibiting certain provisions in
appropriations measures.67 The House and Senate prohibit, in varying degrees,
language in appropriations bills providing unauthorized appropriations or legislation
on an appropriations bill
(or legislation).
Unauthorized appropriations are new budget authority in an appropriations
measure for agencies or programs whose authorization has expired or was never
authorized, or whose budget authority exceeds the ceiling authorized. Legislation
refers to language in appropriations measures that change existing law, such as
establishing new law, or amending or repealing current law.
House rules prohibit unauthorized appropriations and legislation in regular
appropriations bills and supplemental appropriations measures, which provide funds
for more than one purpose or agency (referred to in the House as general
appropriations bills
). However, House rules do not prohibit such language in
continuing resolutions. The House prohibition applies to bills reported by the House
66 The House Ways and Means Committee and the Senate Finance Committee have
jurisdiction over some authorization measures, all revenue measures, and some mandatory
spending measures.
67 House Rule XXI, clause 2; House Rule XXII, clause 5; and Senate Rule XVI. House rules
also prohibit appropriations in authorization measures, amendments, or conference reports
(Rule XXI, clause 4 and House Rule XXII, clause 5).

CRS-25
Appropriations Committee, amendments, and conference reports. The House may
adopt a special rule waiving this rule prior to floor consideration of the
appropriations bill or conference report.68 The point of order applies to the text of the
bills, amendments, and conference reports; not the committee report or the joint
explanatory statement.
In the Senate, unauthorized appropriations and legislation are treated differently.
The Senate rule regarding such language applies to regular bills, supplementals which
provide funds for more than one purpose or agency, and continuing resolutions
(referred to in the Senate as general appropriations bills).
This Senate rule applies only to amendments to general appropriations bills,
such as, those
! introduced on the Senate floor;
! reported by the Senate Appropriations Committee to the House-
passed measure; or
! proposed as a substitute for the House-passed text.
The rule does not apply to provisions in Senate bills or conference reports. For
example, this rule did not apply to provisions in S. 1005, the FY1998 Defense
appropriations bill, as reported by the Senate Appropriations Committee. But it did
apply to provisions in H.R. 2107, the FY1998 Interior bill, as reported by the Senate
Appropriations Committee, since this version of the bill consisted of amendments to
the House-passed bill.69 Recently, the Senate has adopted procedures, on a bill-by-
bill basis, that make these points of order applicable to the provisions of Senate bills.
The Senate rule is less restrictive than the House on unauthorized
appropriations. For example, the Senate Appropriations Committee may report
committee amendments containing unauthorized appropriations. An appropriation
is considered authorized if the Senate previously passes the authorization bill during
the same session of Congress. In contrast, in the House, the authorization bill must
be approved by both houses and signed by the President.
Although the Senate rule generally prohibits unauthorized appropriations in non-
committee amendments, Senators rarely raise this point of order because of
exceptions to the rule. As in the House, unauthorized funding is allowed in Senate
Appropriations Committee reports and joint explanatory statements.
68 The special rule may provide a waiver for specified provisions or all provisions in the bill
that are subject to the point of order. The special rule may also provide a waiver for specific
amendments. Special rules typically waive points of order against all provisions in all
conference reports on general appropriations measures.
69 The Senate rule reflects Senate practices at the time the rule was established. The Senate
Appropriations Committee traditionally reported numerous amendments to the House-
passed appropriations bill, instead of reporting an original Senate bill. Therefore, the rule’s
prohibition only applies to amendments, both committee and floor amendments. Recently,
the Senate Appropriations Committee been reporting regularly most or all of the bills as
original Senate bills.

CRS-26
The Senate rule prohibits legislation in both Senate Appropriations Committee
amendments and non-committee amendments.70 It also prohibits non-germane
amendments.
The division between an authorization and an appropriation is limited to
congressional consideration of appropriations measures. If unauthorized
appropriations or legislation remain in a measure as enacted, either because no one
raised a point of order or the House or Senate waived the rules, the provision will
have the force of law. Again, unauthorized appropriations are generally available for
obligation or expenditure.
Rescissions
Rescissions cancel previously enacted budget authority. To continue the earlier
example, after Congress enacted the $2.4 billion to construct the submarine, it could
enact legislation canceling the budget authority prior to its obligation. Rescissions
are an expression of changed or differing priorities. They may be used to offset
increases in budget authority for other activities.
The President may recommend rescissions to Congress, but it is up to Congress
to act on them. Under Title X of the Congressional Budget Act,71 Congress must
pass a bill approving the President’s rescissions within 45 days of continuous session
of congress
or the budget authority must be spent.
In practice, this usually means that funds proposed for rescission not approved
by Congress must be made available for obligation after about 60 calendar days,
although the period can extend to 75 days or longer.72
In response to the President’s recommendation, Congress may decide not to
approve the amount specified by the President, approve the total amount, or approve
a different amount. In 2005, the President requested a rescission of $106 million
from the Department of Defense (DOD), Operations and Maintenance, Defense-Wide
account and $48.6 million from DOD, Research, Development, Test, and Evaluation,
Army account. Congress provided a rescission of $80 million from the first account
in the Department of Defense, Emergency Supplemental Appropriations to Address
70 Under Senate precedents, an amendment containing legislation may be considered if it is
germane to language in the House-passed appropriations bill. That is, if the House opens
the door by including a legislative provision in an appropriations bill, the Senate has an
“inherent right” to amend it. However, if the Senate considers an original Senate bill, rather
than the House-passed bill with amendments, there is no House language to which the
legislative provision could be germane. Therefore, the defense of germaneness is not
available.
71 Title X is referred to as the Impoundment Control Act.
72 CRS Report RL33635, Item Veto and Expanded Impoundment Proposals: Legislative
History and Current Status
, by Virginia A. McMurtry.

CRS-27
Hurricanes in the Gulf of Mexico, and Pandemic Influenza Act, 2006.73 The act did
not provide a rescission from the second account.
Congress may also initiate rescissions. In the above act, Congress also initiated
a rescission of $10 million from the Department of State, Diplomatic and Consular
Programs account.
Rescissions can be included in either separate rescission measures or any of the
three types of appropriations measures.
For Additional Reading
CRS Products
CRS Report RL32153. Across-the-Board Spending Cuts in Omnibus Appropriations
Acts, by Robert Keith.
CRS Report RS20441. Advance Appropriations, Forward Funding, and Advance
Funding, by Sandy Streeter.
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 RS20095. The Congressional Budget Process: A Brief Overview, by
James V. Saturno.
CRS Report RL33122. Congressional Budget Resolutions: Revisions and
Adjustments, by Robert Keith.
CRS Report RL30297. Congressional Budget Resolutions: Selected Statistics and
Information Guide, by Bill Heniff, Jr., and Justin Murray.
CRS Report RL30343. Continuing Appropriations Acts: Brief Overview of Recent
Practices, by Sandy Streeter.
CRS Report RL31443. The “Deeming Resolution:” A Budget Enforcement Tool, by
Robert Keith.
CRS Report RL32614. Duration of Continuing Resolutions in Recent Years, by
Robert Keith.
CRS Report RL33397, Earmark Reform Proposals: Analysis of Latest Versions of
S. 2349 and H.R. 4975, by Sandy Streeter.
73 P.L. 109-148.

CRS-28
CRS Report RS21035. Emergency Spending: Statutory and Congressional Rules,
by James V. Saturno.
CRS Report RL30619. Examples of Legislative Provisions in Omnibus
Appropriations Acts, by Robert Keith.
CRS Report RS20348. Federal Funding Gaps: A Brief Overview, by Robert Keith.
CRS Report RL31055. House Offset Amendments to Appropriations Bills:
Procedural Considerations, by Sandy Streeter.
CRS Report 98-721. Introduction to the Federal Budget Process, by Robert Keith
and Allen Schick.
CRS Report 95-563. The Legislative Process on the House Floor: An Introduction,
by Elizabeth Rybicki and Stanley Bach.
CRS Report 96-548. The Legislative Process on the Senate Floor: An Introduction,
by Thomas P. Carr and Stanley Bach.
CRS Report RL32473. Omnibus Appropriations Acts: Overview of Recent
Practices, by Robert Keith.
CRS Report 97-865. Points of Order in the Congressional Budget Process, by
James V. Saturno.
CRS Report RS20752. Submission of the President’s Budget in Transition Years,
by Robert Keith.
Congressional Documents
U.S. Congress. House. Constitution, Jefferson’s Manual, and Rules of the House
of Representatives, 109th Congress (or House Manual), H.Doc. 108-241, 108th
Congress, 2nd sess. (Washington: GPO, 2005).
——. House Practice: A Guide to the Rules, Precedents and Procedures of the
House. 108th Congress, 1st sess. (Washington: GPO, 2003).
U.S. Congress. Senate. Riddick’s Senate Procedure: Precedents and Practices, S.
Doc. 101-28, 101st Congress, 2nd sess., prepared by Floyd M. Riddick and Alan
S. Frumin (Washington: GPO, 1992).
U.S. Congress. Senate. Standing Rules of the Senate, S. Doc. 106-15, 106th Cong.,
2nd sess. (Washington: GPO, 2000).
Selected Websites
Cannon’s Precedents (House)
[http://www.gpo.gov/congress/house/precedents/cannons/srchcan.html]

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Constitution, Jefferson’s Manual, and Rules of the House of Representatives, 109th
Congress (or House Manual)
[http://www.gpoaccess.gov/hrm/browse_109.html]
CRS Guides to Congressional Processes: Federal Budget Process
[http://www.crs.gov/products/guides/budget/index/BudgetIndex.shtml]
Deschler’s Precedents of the U.S. House of Representatives
[http://www.gpo.gov/congress/house/precedents/srchdeschler.html]
Hinds’ Precedents (House)
[http://www.gpo.gov/congress/house/precedents/hinds/hinds.html]
The House Practice: A Guide to the Rules, Precedents and Procedures of the House
[http://www.gpoaccess.gov/hpractice/browse.html]
Riddick’s Senate Procedure: Precedents and Practices
[http://www.access.gpo.gov/congress/senate/riddick/]
Standing Rules of the Senate
[http://rules.senate.gov/senaterules/standingrules.txt]