Federal Funding Gaps: A Brief Overview
Jessica Tollestrup
Analyst on Congress and the Legislative Process
December 22, 2010
Congressional Research Service
7-5700
www.crs.gov
RS20348
CRS Report for Congress
P
repared for Members and Committees of Congress
Federal Funding Gaps: A Brief Overview
Summary
The Antideficiency Act (31 U.S.C. 1341-1342, 1511-1519) generally bars agencies from
continued operation in the absence of appropriations. Exceptions are made under the act,
including for activities involving “the safety of human life or the protection of property.” The
interval during the fiscal year when agency appropriations are not enacted into law, either in the
form of a regular appropriations act or a continuing resolution (CR), is referred to as a funding
gap. Although funding gaps may occur at the start of the fiscal year, they also may occur any time
a CR expires and another CR (or the regular appropriations bill) is not enacted immediately
thereafter. Multiple funding gaps may occur within a fiscal year.
When a funding gap occurs, the federal government begins a shutdown of the affected agencies,
entailing the prompt furlough of non-emergency personnel and curtailment of agency activities.
The general practice of the federal government after the shutdown has ended has been to pay
furloughed employees for time missed, even when no work was performed.
During the 34-year period covering FY1977-FY2010, 17 funding gaps occurred, ranging in
duration from one day to 21 full days. About half of these funding gaps were brief (i.e., three days
or less in duration). Of these, most occurred over a weekend and the disruption in federal
operations was minimal.
Almost all of the funding gaps occurred during the first half of the 34-year period between
FY1977 and FY2010. During the 16-year period covering FY1977-FY1992, 15 funding gaps
occurred. However, only two funding gaps occurred during the remaining 18 years, covering
FY1993-FY2010.
The most controversial funding gaps since FY1977 occurred in late 1995 and early 1996, when
President Bill Clinton and the Republican-controlled Congress engaged in difficult and protracted
negotiations over budget policy, resulting in the veto of a continuing resolution and several
regular appropriations acts for FY1996. Two funding gaps, amounting to five days and 21 days,
ensued leading to the initial furlough of about 800,000 federal employees.
There have been no funding gaps since the two that occurred in FY1996 as of the end of the 2010
calendar year.
This report will be updated as events warrant.
Congressional Research Service
Federal Funding Gaps: A Brief Overview
Contents
Background ................................................................................................................................ 1
Funding Gaps: FY1977-FY2010 ................................................................................................. 2
Tables
Table 1. Appropriations Funding Gaps: FY1977-FY2010 ............................................................ 3
Contacts
Author Contact Information ........................................................................................................ 4
Acknowledgments ...................................................................................................................... 4
Congressional Research Service
Federal Funding Gaps: A Brief Overview
Background
The routine activities of most federal agencies are funded annually by one or more of the regular
appropriations acts. When action on the regular appropriations acts is delayed, a continuing
appropriations act is used to provide interim funding. Measures providing continuing
appropriations usually take the form of a joint resolution (rather than a bill) and are referred to as
continuing resolutions (or CRs).1
During the 59-year period covering FY1952-FY2010, all of the regular appropriations acts were
enacted on time in only four instances (FY1977, FY1989, FY1995, and FY1997). No continuing
resolutions were enacted for three of these fiscal years, but continuing resolutions were enacted
for FY1977 to fund certain unauthorized programs whose funding had been dropped from the
regular appropriations acts.2 Further, no continuing resolutions were enacted for FY1953, even
though all but one of the regular appropriations were enacted late.3
The Antideficiency Act (31 U.S.C. 1341-1342, 1511-1519) generally bars agencies from
continued operation in the absence of appropriations.4 Exceptions are made under the act,
including for activities involving “the safety of human life or the protection of property.”5 The
interval during the fiscal year when agency appropriations are not enacted into law, either in the
form of a regular appropriations act or a CR, is referred to as a funding gap. Although funding
gaps may occur at the start of the fiscal year, they also may occur any time a CR expires and
another CR (or the regular appropriations bill) is not enacted immediately thereafter. Multiple
funding gaps may occur within a fiscal year.
In 1980 and 1981, Attorney General Benjamin Civiletti issued opinions clarifying the need for
federal agencies to begin terminating regular activities immediately upon the occurrence of a
funding gap.6 Consequently, when a funding gap occurs, the federal government begins a
shutdown of the affected agencies. A shutdown entails the prompt furlough of non-emergency
personnel and curtailment of agency activities, including the provision of many services to the
public. The general practice of the federal government after the shutdown has ended has been to
pay furloughed employees for time missed, even when no work was performed. 7
1 For a discussion of continuing resolutions generally, see CRS Report RL30343, Continuing Resolutions: Latest
Action and Brief Overview of Recent Practices, by Sandy Streeter.
2 P.L. 94-473 made continuing appropriations through March 31, 1977. P.L. 95-16 extended the date of the budget
authority contained within P.L. 94-473 through April 30, 1977.
3 Section 1414 of P.L. 82-547 (66 Stat. 661) made regular appropriations enacted late available as of July 1, 1952 (the
first day of FY1953) and ratified any obligations incurred before their enactment.
4 The Antideficiency Act is discussed in CRS Report RL30795, General Management Laws: A Compendium, by
Clinton T. Brass et al. In addition, the Government Accountability Office provides information about the act online at
http://www.gao.gov/ada/antideficiency.htm.
5 See 31 U.S.C. §1342.
6 The text of the opinions is included in Appendix IV and Appendix VIII to then General Accounting Office (now
Government Accountability Office) report PAD-81-31, Funding Gaps Jeopardize Federal Government Operations,
March 3, 1981.
7 For a discussion of federal government shutdowns, see CRS Report RL34680, Shutdown of the Federal Government:
Causes, Processes, and Effects, by Clinton T. Brass.
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Federal Funding Gaps: A Brief Overview
To avoid funding gaps and their unwanted consequences, proposals have been offered from time
to time to establish an “automatic continuing resolution” (ACR) that would provide a fallback
source of funding for activities, at a restricted level, in the event the timely enactment of
appropriations is disrupted.8 The funding would become available automatically and remain
available as long as needed so that a funding gap would not occur and the furlough of federal
employees would be avoided (or at least severely limited). Although the House and Senate have
considered ACR proposals in the past, none have been enacted into law.
Funding Gaps: FY1977-FY2010
As Table 1 shows, there were 17 funding gaps during the 34-year period beginning with FY19779
and continuing through FY2010. The enactment of a CR on the day after the previous CR
expired, which has occurred often, is not counted as involving a funding gap. During the past 11
fiscal years (covering FY2000-FY2010), for example, “next-day” CRs were enacted 14 times.
Almost all of the funding gaps occurred during the first half of the 34-year period. During the 16-
year period covering FY1977-FY1992, 15 funding gaps occurred. However, only two funding
gaps occurred during the remaining 18 years, covering FY1993-FY2010.
Multiple funding gaps occurred in four instances: (1) three gaps covering a total of 28 days in
FY1978; (2) two gaps covering a total of four days in FY1983; (3) two gaps covering a total of
three days in FY1985; and (4) two gaps covering a total of 26 days in FY1996.
Six of the funding gaps commenced with the beginning of the fiscal year on October 1. The
remaining 11 funding gaps occurred at least several days after the fiscal year had begun. Nine of
the funding gaps ended in October, four ended in November, three ended in December, and one
ended in January.10
Funding gaps ranged in duration from one to 21 full days. Six of the seven lengthiest funding
gaps, lasting between 8 and 17 days, occurred between FY1977 and FY1980, before the Civiletti
opinions were issued. After the issuance of these opinions, the duration of funding gaps in general
shortened considerably, typically ranging from one to three days. Of these, most occurred over a
weekend and the disruption in federal operations was minimal.
An important exception to this trend occurred in late 1995 and early 1996, when President Bill
Clinton and the Republican-controlled Congress engaged in difficult and protracted negotiations
over budget policy, resulting in the veto of a continuing resolution and several regular
appropriations acts for FY1996. Two funding gaps, amounting to five days and 21 days ensued,
leading to the initial furlough of about 800,000 federal government employees.11
8 For more information on this topic, see CRS Report RL30339, Preventing Federal Government Shutdowns:
Proposals for an Automatic Continuing Resolution, by Robert Keith.
9 FY1977 marked the first full implementation of the congressional budget process established by the Congressional
Budget Act of 1974, which moved the beginning of the fiscal year to October 1.
10 The enactment of a series of continuing resolutions for a fiscal year is discussed CRS Report RL32614, Duration of
Continuing Resolutions in Recent Years, by Jessica Tollestrup.
11 For a more detailed account of these funding gaps, see the 1995 Congressional Quarterly Almanac, “Overview:
Government Shuts Down Twice Due to Lack of Funding,” pp. 11-3 through 11-6.
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Federal Funding Gaps: A Brief Overview
There have been no funding gaps since the two that occurred in FY1996 as of the end of the 2010
calendar year.
Table 1. Appropriations Funding Gaps: FY1977-FY2010
Full Day(s) of
Fiscal Year
Date Gap Commenceda
Gaps
Date Gap Terminatedb
1977 Thursday,
09-30-76
10 Monday,
10-11-76
1978 Friday,
09-30-77
12 Thursday,
10-13-77
Monday, 10-31-77
8
Wednesday, 11-09-77
Wednesday, 11-30-77
8
Friday, 12-09-77
1979
Saturday, 09-30-78
17
Wednesday, 10-18-78
1980
Sunday, 09-30-79
11
Friday, 10-12-79
1981 —
— —
1982
Friday, 11-20-81
2
Monday, 11-23-81
1983 Thursday,
09-30-82
1
Saturday,
10-02-82
Friday, 12-17-82
3
Tuesday, 12-21-82
1984 Thursday,
11-10-83
3
Monday,
11-14-83
1985
Sunday, 09-30-84
2
Wednesday, 10-03-84
Wednesday, 10-03-84
1
Friday, 10-05-84
1986 —
— —
1987 Thursday,
10-16-86
1
Saturday,
10-18-86
1988
Friday, 12-18-87
1
Sunday, 12-20-87
1989 —
— —
1990 —
— —
1991
Friday, 10-05-90
3
Tuesday, 10-09-90
1992 —
— —
1993 —
— —
1994 —
— —
1995 —
— —
1996
Monday, 11-13-95
5
Sunday, 11-19-95
Friday, 12-15-95
21
Saturday, 01-06-96
1997 —
— —
1998 —
— —
1999 —
— —
2000 —
— —
2001 —
— —
2002 —
— —
2003 —
— —
2004 —
— —
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Federal Funding Gaps: A Brief Overview
Full Day(s) of
Fiscal Year
Date Gap Commenceda
Gaps
Date Gap Terminatedb
2005 —
— —
2006 —
— —
2007 —
— —
2008 —
— —
2009 —
— —
2010 —
— —
Source: Prepared by the Congressional Research Service.
a. Gap commenced at midnight of the date indicated. The enactment of a CR on the day after the previous CR
expired, which has occurred often, is not counted as involving a funding gap.
b. Gap terminated due to the enactment of a continuing resolution or one or more regular appropriations
acts.
Author Contact Information
Jessica Tollestrup
Analyst on Congress and the Legislative Process
jtollestrup@crs.loc.gov, 7-0941
Acknowledgments
The original version of this report was written by Robert Keith, formerly a Specialist in American National
Government at CRS. The listed author has revised and updated this report and is available to respond to
inquiries on the subject.
Congressional Research Service
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