Federal Funding Gaps: A Brief Overview
Federal Funding Gaps: A Brief Overview
September 7, 2023
The Antideficiency Act (31 U.S.C. 1341-1342, 1511-1519) generally bars the obligation of funds
in the absence of appropriations. Exceptions are made under the act, including for activities
James V. Saturno
involving “the safety of human life or the protection of property.” The interval during the fiscal
Specialist on Congress and
year when appropriations for a particular project or activity are not enacted into law, either in the
the Legislative Process
form of a regular appropriations act or a continuing resolution (CR), is referred to as a funding
gap or funding lapse. Although funding gaps may occur at the start of the fiscal year, they may
also 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, federal agencies are generally required to begin a shutdown of the affected projects and
activities, which includes the prompt furlough of non-excepted personnel. The general practice of the federal government
after the shutdown has ended has been to retroactively pay furloughed employees for the time they missed, as well as
employees who were required to come to work.
Although a shutdown may be the result of a funding gap, the two events should be distinguished. This is because a funding
gap may result in a total shutdown of all affected projects or activities in some instances but not others. For example, when
funding gaps are of a short duration, agencies may not have enough time to complete a shutdown of affected projects and
activities before funding is restored. In addition, the Office of Management and Budget has previously indicated that a
shutdown of agency operations within the first day of the funding gap may be postponed if a resolution appears to be
imminent.
Since FY1977, 20 funding gaps occurred, ranging in duration from 1 day to 34 full days. These funding gaps are listed in
Table 1. About half of these funding gaps were brief (i.e., three days or less in duration). Notably, many of the funding gaps
do not appear to have resulted in a “shutdown.” Prior to the issuance of the opinions in 1980 and early 1981 by then-Attorney
General Benjamin Civiletti, while agencies tended to curtail some operations in response to a funding gap, they often
“continued to operate during periods of expired funding.” In addition, some of the funding gaps after the Civiletti opinions
did not result in a completion of shutdown operations due to both the funding gap’s short duration and an expectation that
appropriations would soon be enacted. Some of the funding gaps during this period, however, did have a broader impact on
affected government operations, even if only for a matter of hours.
Two funding gaps occurred in FY1996, amounting to 5 days and 21 days. The chronology of regular and continuing
appropriations enacted during FY1996 is illustrated in Figure 1.
At the beginning of FY2014 (October 1, 2013), none of the regular appropriations bills had been enacted, so a government-
wide funding gap occurred. It concluded on October 17, 2013, after lasting 16 full days.
During FY2018, there was a funding gap when a CR covering all of the regular appropriations bills expired on January 19,
2018. It concluded on January 22, 2018, after lasting two full days.
The most recent funding gap occurred during FY2019, when a CR covering federal agencies and activities funded in 7 of the
12 regular appropriations bills expired on December 21, 2018. It concluded on January 25, 2019, after lasting 34 full days.
For a general discussion of federal government shutdowns, see CRS Report RL34680, Shutdown of the Federal Government:
Causes, Processes, and Effects, coordinated by Clinton T. Brass.
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Contents
Background ..................................................................................................................................... 4
Funding Gaps Since FY1977........................................................................................................... 5
FY1996 ...................................................................................................................................... 8
FY2014 ..................................................................................................................................... 11
FY2018 ..................................................................................................................................... 11
FY2019 .................................................................................................................................... 12
Figures
Figure 1. Chronology of FY1996 Appropriations ......................................................................... 10
Tables
Table 1. Appropriations Funding Gaps Since FY1977 .................................................................... 6
Contacts
Author Information ........................................................................................................................ 12
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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, also sometimes referred to as a continuing resolution or CR, may be used to
provide interim budget authority.1
Since the federal fiscal year was shifted to October 1-September 30 beginning with FY1977, all
of the regular appropriations acts have been enacted by the beginning of the fiscal year in only
four instances (FY1977, FY1989, FY1995, and FY1997). Although CRs were not needed for the
purpose of providing interim funding for FY1977, CRs were enacted to fund certain unauthorized
programs whose funding had been excluded from the regular appropriations acts.2
The Antideficiency Act (31 U.S.C. 1341-1342, 1511-1519) generally bars the obligation or
expenditure of federal funds in the absence of appropriations.3 The interval during a fiscal year
when appropriations for a particular project or activity are not enacted into law, either in the form
of a regular appropriations act or a CR, is referred to as a funding gap or funding lapse.4 Although
funding gaps may occur at the start of the fiscal year, they may also occur if a CR expires and
another CR (or the relevant regular appropriations bill) has not been enacted. Multiple funding
gaps may occur within a fiscal year.
In 1980 and early 1981, then-Attorney General Benjamin Civiletti issued opinions in two letters
to the President that have been put into effect through guidance provided to federal agencies
under various Office of Management and Budget (OMB) circulars clarifying the limits of federal
government activities upon the occurrence of a funding gap.5
The Civiletti letters state that, in general, the Antideficiency Act requires that if Congress has
enacted no appropriation beyond a specified period, the agency may make no contracts and
obligate no further funds except as “authorized by law.” In addition, because no statute generally
permits federal agencies to incur obligations without appropriations for the pay of employees, the
Antideficiency Act does not, in general, authorize agencies to employ the services of their
employees upon a lapse in appropriations, but it does permit agencies to fulfill certain legal
obligations connected with the orderly termination of agency operations.
The second letter, from January 1981, discusses the more complex problem of interpretation
presented with respect to obligational authorities that are “authorized by law” but not manifested
in appropriations acts. In a few cases, Congress has expressly authorized agencies to incur
obligations without regard to available appropriations. More often, it is necessary to inquire under
what circumstances statutes that vest particular functions in government agencies imply authority
1 For a discussion of CRs generally, see CRS Report R46595, Continuing Resolutions: Overview of Components and
Practices, coordinated by James V. Saturno.
2 P.L. 94-473 made continuing appropriations through March 31, 1977. P.L. 95-16 extended the date of the budget
authority provided in P.L. 94-473 through April 30, 1977.
3 An overview of the Antidecifiency Act and additional resources concerning the requirements of the law are available
from the Governmental Accountability Office (GAO) at https://www.gao.gov/legal/appropriations-law-decisions/
resources.
4 In most cases, funding provided in regular appropriations acts is available to be obligated only during a single fiscal
year, so that in the event that no subsequent budget authority is enacted, agencies may not enter into further obligations.
In these instances, however, budget authority that had previously been enacted and available for obligation for longer
periods (e.g., multi-year or “no-year” appropriations) would generally remain available.
5 The text of the opinions is included in Appendices IV and VIII to the GAO report Funding Gaps Jeopardize Federal
Government Operations, PAD-81-31, March 3, 1981.
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to create obligations for the accomplishment of those functions despite a lack of current
appropriations. It is under this guidance that exceptions may be made for activities involving “the
safety of human life or the protection of property.”6
As a consequence of these guidelines, when a funding gap occurs, executive agencies begin a
shutdown of the affected projects and activities, including the furlough of non-excepted
personnel. The general practice of the federal government after the shutdown has ended has been
to retroactively pay furloughed employees for the time they missed, as well as employees who
were required to come to work.7
Under current practice, although a shutdown may be the result of a funding gap, the two events
should be distinguished. This is because a funding gap may result in a shutdown of all affected
projects or activities in some instances but not in others. For example, when a funding gap is of a
short duration, agencies may not have enough time to complete a shutdown of affected projects
and activities before funding is restored. In addition, the Office of Management and Budget has
previously indicated that a shutdown of agency operations within the first day of a funding gap
may be postponed if it appears that an additional CR or regular appropriations act is likely to be
enacted that same day.8
To avoid funding gaps, proposals have previously been offered to establish an “automatic
continuing resolution” (ACR) that would provide a fallback source of funding authority for
activities, at a specified formula or level, in the event that timely enactment of appropriations is
disrupted. Funding would become available automatically and remain available as long as needed
so that a funding gap would not occur. Although the House and Senate have considered ACR
proposals in the past, none has been enacted into law on a permanent basis.
Funding Gaps Since FY1977
As illustrated in Table 1, there have been 20 funding gaps since FY1977.9 The enactment of a CR
on the day after the budget authority in the previous CR expired, which has occurred in several
instances, is not counted in this report as involving a funding gap because there was no full day
for which there was no available budget authority. For example, between FY2000 and FY2023,
“next-day” CRs were enacted on 22 occasions.
A majority of the funding gaps occurred between FY1977 and FY1995. During this period of 19
fiscal years, 15 funding gaps occurred.
6 See 31 U.S.C. §1342. During a funding gap, personnel and related activities that are determined to be necessary for
the “the safety of human life or the protection of property,” or fall under other allowable exceptions, are referred to as
“excepted.” In the annually revised Circular No. A-11, OMB provides guidance to executive branch agencies on how to
prepare for and operate during a funding gap, including how to determine “excepted” purposes for which agencies may
incur obligations ahead of appropriations.
7 For a discussion of federal government shutdowns, see CRS Report RL34680, Shutdown of the Federal Government:
Causes, Processes, and Effects, coordinated by Clinton T. Brass. In addition, P.L. 116-1 codifies this practice by
providing that personnel “furloughed as a result of a covered lapse in appropriations shall be paid for the period of the
lapse in appropriations, and each excepted employee who is required to perform work during a covered lapse in
appropriations shall be paid for such work, at the employee’s standard rate of pay, at the earliest date possible after the
lapse in appropriations ends, regardless of scheduled pay dates.” For information on furlough of federal employees, see
CRS In Focus IF11703, Federal Employee Furloughs: Types and Implications, by Taylor N. Riccard.
8 See, for example, OMB, “Planning for Agency Operations During a Lapse in Government Funding,” M-11-13, April
7, 2011, p. 3; and OMB, “Anticipated Enactment of a Continuing Resolution,” M-11-14, April 8, 2011.
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.
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Multiple funding gaps have occurred during a single fiscal year 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.
Table 1. Appropriations Funding Gaps Since FY1977
Final Date of Budget
Fiscal Year
Authoritya
Full Day(s) of Gapb
Date Gap Terminatedc
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
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
1987
Thursday, 10/16/86
1
Saturday, 10/18/86
1988
Friday, 12/18/87
1
Sunday, 12/20/87
1991
Friday, 10/05/90
3
Tuesday, 10/09/90
1996
Monday, 11/13/95
5
Sunday, 11/19/95
Friday, 12/15/95
21
Saturday, 01/06/96
2014
Monday, 09/30/13
16
Thursday, 10/17/13
2018
Friday, 01/19/18
2
Monday, 1/22/18
2019
Friday, 12/21/18
34
Friday, 1/25/19
Source: Compiled by CRS.
Notes:
a. Budget authority expired at the end of the date indicated. For example, for the first FY1996 funding gap,
budget authority expired at the end of the day on Monday, November 13, 1995, and the funding gap of five
ful days commenced on Tuesday, November 14, 1995. The enactment of a CR on the day after the
previous CR expired, which has occurred on several occasions, is not counted as involving a funding gap
because there was no ful day for which there was no available budget authority.
b. Ful days are counted as the number of days for which no budget authority was available, beginning after the
final day on which budget authority was available and ending the day before new budget authority was
enacted. For example, for the first FY1996 funding gap, the ful days of the gap were from November 14,
1995, through November 18, 1995, for a total of five ful days.
c. Gap terminated by the enactment of a continuing resolution or one or more regular appropriations acts.
Seven of the funding gaps commenced with the beginning of the fiscal year on October 1. The
remaining 13 funding gaps occurred at least more than one day after the fiscal year had begun.
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Federal Funding Gaps: A Brief Overview
Ten of the funding gaps ended in October, four ended in November, three ended in December, and
three ended in January.
Funding gaps have ranged in duration from 1 to 34 full days. Six of the 8 lengthiest funding gaps,
lasting between 8 days and 17 days, occurred between FY1977 and FY1980—before the Civiletti
opinions were issued and for which there was no government shutdown. Between 1980 and 1990,
the duration of funding gaps was generally shorter, typically ranging from one day to three days.
In most cases these occurred over a weekend with only limited impact in the form of government
shutdown activities.
Notably, many of the funding gaps that have occurred since FY1977 do not appear to have
resulted in a “shutdown.” Prior to the issuance of the Civiletti opinions, the expectation was that
agencies would not shut down during a funding gap.10 Continuing resolutions typically included
language ratifying obligations incurred prior to the resolution’s enactment. For example, the first
CR for FY1980 provided
All obligations incurred in anticipation of the appropriations and authority provided in this
joint resolution are hereby ratified and confirmed if otherwise in accordance with the
provisions of the joint resolution.11
Thus, while agencies tended to curtail some operations in response to a funding gap, they often
“continued to operate during periods of expired funding.”12 In addition, some of the funding gaps
after the Civiletti opinions did not result in a completion of shutdown operations due to both a
funding gap’s short duration and an expectation that appropriations would soon be enacted. For
example, during the three-day FY1984 funding gap, “no disruption to government services”
reportedly occurred, due to both the three-day holiday weekend and the expectation that the
President would soon sign into law appropriations passed by the House and Senate during that
weekend.13
Some of the funding gaps during this period, however, did have a broader impact on affected
government operations, even if only for a matter of hours. For example, in response to the one-
day funding gap that occurred on October 4, 1984, a furlough of non-excepted personnel for part
of that day was reportedly implemented.14 It should be noted that when most of these funding
10 For example, Senator Warren Magnusen, chairman of the Senate Appropriations Committee, inserted into the
Congressional Record guidelines provided within GAO for FY1980, stating that they believed that it was “not the
intent of Congress that GAO close down until an appropriate measure has been passed” and that, as a consequence,
they should restrain FY1980 obligations to “only those essential to maintain day-to-day operations.” Congressional
Record, October 1, 1979, p. 26974.
11 P.L. 96-86, §117.
12 GAO, Funding Gaps Jeopardize Federal Government Operations, PAD-81-31, March 3, 1981, p. 2. GAO further
stated, “Short of telling employees not to show up for work, Federal officials have responded to gaps by cutting or
postponing all non-essential obligations—particular personnel actions, travel, and the award of new contracts—in an
attempt to continue the operations of programs for which they are responsible.” Media reports related to funding gaps
prior to FY1982 also suggest that little or no shutdown occurred. See, for example, Congressional Quarterly Almanac,
“Continued Funding, 1977,” vol. XXXII, pp. 789-790; Washington Post, “Payroll Crisis Is Staved Off and HEW,
Labor,” October 14, 1977; National Journal, “Congress Fails to Make Appropriations Deadline,” October 8, 1977;
Congressional Quarterly Weekly, “Abortion Agreement Ends Funding Deadlock,” December 10, 1977, p. 2547;
Washington Post, “Funding Lags as Fiscal Year Begins,” October 3, 1978; “and Congressional Quarterly Almanac,
“Pay, Abortion Issues Delay Hill Funding Bills,” vol. XXXV, pp. 270-277.
13 Congressional Quarterly Almanac, “Congress Clears 2nd Continuing Resolution,” vol. XXXIX, 1983, pp. 528-531.
14 For further information, see Congressional Quarterly Almanac, “Last-Minute Money Bill Was Largest Ever,” vol.
XXXX pp. 444-447; Robert Pear, “Senate Works Past Deadline on Catchall Government Spending Bill,” New York
Times, October 4, 1984, p. A29; and Monica Borkowski, “Looking Back; Previous Government Shutdowns,” New York
Times, November 11, 1995.
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gaps occurred, one or more regular appropriations measures had been enacted, so any effects
were not felt government-wide. For example, the three funding gaps in FY1978 were limited to
activities funded in the Departments of Labor and Health, Education, and Welfare Appropriations
Act. Similarly, 8 of 13 regular appropriations acts had been enacted prior to the three-day funding
gap in FY1984.
The most recent funding gaps—two in FY1996, one in FY2014, one in FY2018, and one in
FY2019—all resulted in widespread cessation of non-excepted activities and furlough of
associated personnel. The legislative history of these funding gaps is summarized below.
FY1996
The two FY1996 funding gaps occurred between November 13 and 19, 1995, and December 15,
1995, through January 6, 1996. The chronology of regular and continuing appropriations enacted
during that fiscal year is illustrated in Figure 1. In the lead-up to the first funding gap, only 3 out
of the 13 regular appropriations acts had been signed into law,15 and budget authority, which had
been provided by a CR16 since the start of the fiscal year, expired at the end of the day on
November 13. On this same day, President Clinton vetoed a CR17 that would have extended
budget authority through December 1, 1995, because of the Medicare premium increases
contained within the measure.18 The ensuing funding gap reportedly resulted in the furlough of an
estimated 800,000 federal workers.19 After five days, a deal was reached to end the shutdown and
extend funding through December 15.20 Agencies that had been zeroed out in pending
appropriations bills were funded at a rate of 75% of FY1995 budget authority. All other agencies
were funded at the lower of the House- or Senate-passed level of funding contained in the
FY1996 full-year appropriations bills. The CR also included an agreement between President
Clinton and Congress regarding future negotiations to lower the budget deficit within seven
years.21
15 The Military Construction Appropriations Act, H.R. 1817 (P.L. 104-32), was enacted on October 3, 1995. The
Agriculture, Rural Development, Food and Drug Administration, and Related Agencies Appropriations Act, (P.L. 104-
37), was enacted on October 21, 1995. The Energy and Water Development Appropriations Act, (P.L. 104-46), was
enacted on November 13, 1995. In addition, the Legislative Branch Appropriations Act, H.R. 1854 (104th Cong.), was
vetoed on October 12, 1995. As of the end of the day on November 13, 1995, the 10 regular appropriations bills that
had yet to be enacted were the (1) Department of Transportation and Related Agencies Appropriations Act; (2)
Treasury, Postal Service, and General Government Appropriations Act; (3) Legislative Branch Appropriations Act; (4)
Department of Defense Appropriations Act; (5) Department of Interior and Related Agencies Appropriations Act; (6)
Department of Veterans Affairs and Housing and Urban Development, and Independent Agencies Appropriations Act;
(7) Departments of Commerce, Justice, and State, the Judiciary, and Related Agencies Appropriations Act; (8) Foreign
Operations, Export Financing, and Related Programs Appropriations Act; (9) Departments of Labor, Health and
Human Services, and Education, and Related Agencies Appropriations Act; and (10) District of Columbia
Appropriations Act.
16 H.J.Res. 108 (P.L. 104-31).
17 H.J.Res. 115 (104th Cong.).
18 William J. Clinton, “Message to the House of Representatives Returning Without Approval Continuing Resolution
Legislation,” November 13, 1995, Public Papers of the Presidents of the United States, 1995, Book 2, July 1 to
December 31, 1995, p. 1755. See also CQ Today, “Clinton Vetoes Stopgap Bill to Keep Federal Government Open,”
November 14, 1995.
19 For example, see U.S. Congress, House Committee on Government Reform and Oversight, Subcommittee on Civil
Service, Government Shutdown I: What’s Essential? hearings, 104th Cong., 1st sess., December 6 and 14, 1995
(Washington: GPO, 1997), pp. 6 and 265.
20 As provided in 2 CRs: H.J.Res. 123 (P.L. 104-54) and H.J.Res. 122 (P.L. 104-56).
21 For a summary of the first FY1996 funding gap and government shutdown, see Congressional Quarterly Almanac,
(continued...)
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Federal Funding Gaps: A Brief Overview
During the first FY1996 funding gap and prior to the second one, an additional four regular
appropriations measures were enacted, and three others were vetoed.22 The negotiations on the six
remaining bills were unsuccessful before the budget authority provided in the CR expired at the
end of the day on December 15, 1995.23 Reportedly, about 280,000 executive branch employees
were furloughed during the funding gap between December 15, 1995, and January 6, 1996.24 A
CR to provide benefits for veterans and welfare recipients and to keep the District of Columbia
government operating was passed and signed into law on December 22, 1995.25 The shutdown
officially ended on January 6, 1996, when the first of a series of CRs to reopen affected agencies
and provide budget authority through January 26, 1996,26 was enacted.27
“Overview: Government Shuts Down Twice Due to Lack of Funding,” 104th Cong., 1st sess. (1995), vol. LI, pp. 11-3
through 11-6; CQ Weekly, “Special Report—Budget Showdown: Day by Day,” November 18, 1995.
22 The Department of Transportation and Related Agencies Appropriations Act, H.R. 2002 (P.L. 104-50), was enacted
on November 15, 1995. The Treasury, Postal Service, and General Government Appropriations Act, H.R. 2020 (P.L.
104-52), was enacted on November 19, 1995. The Legislative Branch Appropriations Act, H.R. 2492 (P.L. 104-53),
was enacted on November 19, 1995. The Department of Defense Appropriations Act, H.R. 2126 (P.L. 104-61), was
enacted on December 1, 1995. The Department of Interior and Related Agencies Appropriations Act, H.R. 1977 (104th
Cong.), was vetoed on December 18, 1995. The Department of Veterans Affairs and Housing and Urban Development,
and Independent Agencies Appropriations Act, H.R. 2099 (104th Cong.), was vetoed on December 18, 1995. The
Departments of Commerce, Justice, and State, the Judiciary, and Related Agencies Appropriations Act, H.R. 2076
(104th Cong.), was vetoed on December 19, 1995.
23 As of the end of the day on December 15, 1995, the six regular appropriations bills that had yet to be enacted were
the (1) Department of Interior and Related Agencies Appropriations Act; (2) Department of Veterans Affairs and
Housing and Urban Development, and Independent Agencies Appropriations Act; (3) Departments of Commerce,
Justice, State, the Judiciary, and Related Agencies Appropriations Act; (4) Foreign Operations, Export Financing, and
Related Programs Appropriations Act; (5) Departments of Labor, Health and Human Services, and Education, and
Related Agencies Appropriations Act; and (6) District of Columbia Appropriations Act.
24 For further information on the effects of the second FY1996 funding gap, see Dan Moran and Stephen Barr, “When
Shutdown Hit Home Ports, GOP Cutters Trimmed Their Sails,” Washington Post, January 8, 1996.
25 H.J.Res. 136 (P.L. 104-69).
26 H.J.Res. 134 (P.L. 104-94). H.R. 1358 (P.L. 104-91), and H.R. 1643 (P.L. 104-92) were also enacted on January 6.
These two CRs provided budget authority for some federal government activities until the end of FY1996.
27 For a summary of the second FY1996 funding gap and government shutdown, see Congressional Quarterly
Almanac, “Overview: Government Shuts Down Twice Due to Lack of Funding,” 104th Cong., 1st sess. (1995), vol. LI,
pp. 11-3 through 11-6; CQ Weekly, “Funding Expires Again in Budget Stalemate,” December 23, 1995; and CQ Today,
“Congress Clears Bills to Reopen Government,” January 8, 1996.
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Figure 1. Chronology of FY1996 Appropriations
Source: CRS Report R42647, Continuing Resolutions: Overview of Components and Practices, coordinated by Kate P. McClanahan, and CRS analysis of public laws available
through the Legislative Information System (LIS, lis.gov).
Notes: (1) In FY1996, the annual appropriations process anticipated the enactment of 13 “regular appropriations” bil s.
(2) Interim funding was provided through 13 continuing resolutions (CRs) of varying coverage and duration. For a list of these CRs and their enactment dates, see Table
4 in CRS Report R42647, Continuing Resolutions: Overview of Components and Practices, coordinated by Kate P. McClanahan.
(3) Ful -year funding was provided through eight regular appropriations acts (P.L. 104-32, P.L. 104-37, P.L. 104-46, P.L. 104-50, P.L. 104-52, P.L. 104-53, P.L. 104-61, and
P.L. 104-107), two ful -year CRs (P.L. 104-92 and P.L. 104-99), and an omnibus appropriations act (P.L. 104-134). For Foreign Operations and District of Columbia,
although ful -year funding was initially provided in CRs, final action on annual appropriations (P.L. 104-107 and P.L. 104-134) superseded that funding.
(4) The “coverage” of the funding gap refers to those regular appropriations bil s that had not been enacted during all or some of the days during which the funding gap
occurred. The “duration” of the funding gap is calculated here as the number of ful days affected by the lapse in funding. Ful days are counted as beginning after the final
day on which budget authority was available and ending the day before funding resumed.
(5) Interim funding was enacted late in the day on November 19, 1995 (P.L. 104-54). As a consequence, in many instances agency operations may not have restarted until
the fol owing day.
(6) Three interim funding measures included ful -year funding for certain activities (P.L. 104-69, P.L. 104-91, and P.L. 104-92). However, this provision of agency- or
program-specific, ful -year funding is not reflected in the figure, which focuses on the enactment of entire regular appropriations bil s.
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Federal Funding Gaps: A Brief Overview
FY2014
This funding gap commenced at the beginning of FY2014 on October 1, 2013. None of the 12
regular appropriations bills for FY2014 was enacted prior to the beginning of the funding gap.
Nor had a CR to provide budget authority for the projects and activities covered by those 12 bills
been enacted. On September 30, however, an ACR was enacted to cover FY2014 pay and
allowances for (1) certain members of the Armed Forces, (2) certain Department of Defense
(DOD) civilian personnel, and (3) other specified DOD and Department of Homeland Security
contractors (H.R. 3210; P.L. 113-39, 113th Congress).
At the beginning of this 16-day funding gap, more than 800,000 executive branch employees
were reportedly furloughed.28 This number was reduced during the course of the funding gap due
to the implementation of P.L. 113-39 and other redeterminations of whether certain employees
were excepted from furlough.29 Prior to the resolution of the funding gap, congressional action on
appropriations was generally limited to a number of narrow CRs to provide funding for certain
programs or classes of individuals.30 Of these, only the Department of Defense Survivor Benefits
Continuing Appropriations Resolution of 2014 (H.J.Res. 91; P.L. 113-44) was enacted into law.
On October 16, 2013, the Senate passed H.R. 2775, which had been previously passed by the
House on September 12, with an amendment. This amendment, in part, provided interim
continuing appropriations for the previous year’s programs and activities through January 15,
2014. Later that same day, the House agreed to the Senate amendment to H.R. 2775. The CR was
signed into law on October 17, 2013 (P.L. 113-46), thus ending the funding gap.
FY2018
At the beginning of FY2018, none of the 12 regular appropriations bills had been enacted, so the
federal government operated under a series of CRs. The first, P.L. 115-56, provided government-
wide funding through December 8, 2017. The second, P.L. 115-90, extended funding through
December 22, and the third, P.L. 115-96, extended it through January 19, 2018. In the absence of
agreement on legislation that would further extend the period of these CRs, however, a funding
gap began with the expiration of P.L. 115-96 at midnight on January 19. A furlough of federal
personnel began over the weekend and continued through Monday of the next week, ending with
enactment of a fourth CR, P.L. 115-120, on January 22.
28 See, for example, Wall Street Journal, “More Than 800,000 Federal Workers Are Furloughed,” October 1, 2013.
Estimates in this and other media reports were based upon the totals provided by agencies in their contingency plans,
which are available at http://www.whitehouse.gov/omb/contingency-plans. These totals do not include legislative or
judicial branch employees.
29 See, for example, Washington Post, “Pentagon Will Order Almost All Furloughed Civilian Employees Back to
Work,” October 5, 2013; and Washington Post, “Agencies Increasingly Calling Back Furloughed Workers,” October
10, 2013.
30 These CRs included H.J.Res. 70, H.J.Res. 71, H.J.Res. 72, H.J.Res. 73, H.J.Res. 75, H.J.Res. 76, H.J.Res. 77,
H.J.Res. 79, H.J.Res. 80, H.J.Res. 82, H.J.Res. 83, H.J.Res. 84, H.J.Res. 85, H.J.Res. 89, H.J.Res. 90, H.J.Res. 91, and
H.R. 3230.
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Federal Funding Gaps: A Brief Overview
FY2019
At the beginning of FY2019, 5 of the 12 regular appropriations bills had been enacted in two
consolidated appropriations bills.31 The remaining seven regular appropriations bills were funded
under two CRs.32 The first CR, P.L. 115-245, provided funding through December 7, 2018. The
second CR, P.L. 115-298, extended funding through December 21, 2018. When no agreement was
reached on legislation to further extend the period of these CRs, a funding gap began with the
expiration of P.L. 115-298 at midnight on December 21, 2018. Because of this funding gap,
federal agencies funded in these seven regular appropriations bills were required to shut down
their activities.33
The funding gap ended when a CR, P.L. 116-5, was signed into law on January 25, 2019, which
ended the partial government shutdown and allowed government departments and agencies to
reopen. The funding gap lasted 34 full days.
Author Information
James V. Saturno
Specialist on Congress and the Legislative Process
Acknowledgments
This report incorporates work published in prior CRS Reports by Robert Keith and Jessica Tollestrup.
31 P.L. 115-245 provided funding for FY2019 for the Department of Defense and the Departments of Labor, Health and
Human Services, and Education; P.L. 115-244 provided funding for Energy and Water Development, Legislative
Branch, and Military Constructions and Veterans Affairs.
32 Department of Agriculture and Related Agencies; Departments of Commerce and Justice, Science and Related
Agencies; Financial Service and General Government; Department of Homeland Security; Department of the Interior,
Environment, and Related Agencies; Department of State and Foreign Operations; and Departments of Transportation
and Housing and Urban Development.
33 For a review of the impact of this shutdown on federal agencies, see CBO, The Effects of the Partial Shutdown
Ending in January 2019.
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Disclaimer
This document was prepared by the Congressional Research Service (CRS). CRS serves as nonpartisan
shared staff to congressional committees and Members of Congress. It operates solely at the behest of and
under the direction of Congress. Information in a CRS Report should not be relied upon for purposes other
than public understanding of information that has been provided by CRS to Members of Congress in
connection with CRS’s institutional role. CRS Reports, as a work of the United States Government, are not
subject to copyright protection in the United States. Any CRS Report may be reproduced and distributed in
its entirety without permission from CRS. However, as a CRS Report may include copyrighted images or
material from a third party, you may need to obtain the permission of the copyright holder if you wish to
copy or otherwise use copyrighted material.
Congressional Research Service
RS20348 · VERSION 44 · UPDATED
13
September 7, 2023
The Antideficiency Act (31 U.S.C. 1341-1342, 1511-1519) generally bars the obligation of funds
in the absence of appropriations. Exceptions are made under the act, including for activities
James V. Saturno
involving “the safety of human life or the protection of property.” The interval during the fiscal
Specialist on Congress and
year when appropriations for a particular project or activity are not enacted into law, either in the
the Legislative Process
form of a regular appropriations act or a continuing resolution (CR), is referred to as a funding
gap or funding lapse. Although funding gaps may occur at the start of the fiscal year, they may
also 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, federal agencies are generally required to begin a shutdown of the affected projects and
activities, which includes the prompt furlough of non-excepted personnel. The general practice of the federal government
after the shutdown has ended has been to retroactively pay furloughed employees for the time they missed, as well as
employees who were required to come to work.
Although a shutdown may be the result of a funding gap, the two events should be distinguished. This is because a funding
gap may result in a total shutdown of all affected projects or activities in some instances but not others. For example, when
funding gaps are of a short duration, agencies may not have enough time to complete a shutdown of affected projects and
activities before funding is restored. In addition, the Office of Management and Budget has previously indicated that a
shutdown of agency operations within the first day of the funding gap may be postponed if a resolution appears to be
imminent.
Since FY1977, 20 funding gaps occurred, ranging in duration from 1 day to 34 full days. These funding gaps are listed in
Table 1. About half of these funding gaps were brief (i.e., three days or less in duration). Notably, many of the funding gaps
do not appear to have resulted in a “shutdown.” Prior to the issuance of the opinions in 1980 and early 1981 by then-Attorney
General Benjamin Civiletti, while agencies tended to curtail some operations in response to a funding gap, they often
“continued to operate during periods of expired funding.” In addition, some of the funding gaps after the Civiletti opinions
did not result in a completion of shutdown operations due to both the funding gap’s short duration and an expectation that
appropriations would soon be enacted. Some of the funding gaps during this period, however, did have a broader impact on
affected government operations, even if only for a matter of hours.
Two funding gaps occurred in FY1996, amounting to 5 days and 21 days. The chronology of regular and continuing
appropriations enacted during FY1996 is illustrated in Figure 1.
At the beginning of FY2014 (October 1, 2013), none of the regular appropriations bills had been enacted, so a government-
wide funding gap occurred. It concluded on October 17, 2013, after lasting 16 full days.
During FY2018, there was a funding gap when a CR covering all of the regular appropriations bills expired on January 19,
2018. It concluded on January 22, 2018, after lasting two full days.
The most recent funding gap occurred during FY2019, when a CR covering federal agencies and activities funded in 7 of the
12 regular appropriations bills expired on December 21, 2018. It concluded on January 25, 2019, after lasting 34 full days.
For a general discussion of federal government shutdowns, see CRS Report RL34680, Shutdown of the Federal Government:
Causes, Processes, and Effects, coordinated by Clinton T. Brass.
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Contents
Background ..................................................................................................................................... 4
Funding Gaps Since FY1977........................................................................................................... 5
FY1996 ...................................................................................................................................... 8
FY2014 ..................................................................................................................................... 11
FY2018 ..................................................................................................................................... 11
FY2019 .................................................................................................................................... 12
Figures
Figure 1. Chronology of FY1996 Appropriations ......................................................................... 10
Tables
Table 1. Appropriations Funding Gaps Since FY1977 .................................................................... 6
Contacts
Author Information ........................................................................................................................ 12
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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, also sometimes referred to as a continuing resolution or CR, may be used to
provide interim budget authority.1
Since the federal fiscal year was shifted to October 1-September 30 beginning with FY1977, all
of the regular appropriations acts have been enacted by the beginning of the fiscal year in only
four instances (FY1977, FY1989, FY1995, and FY1997). Although CRs were not needed for the
purpose of providing interim funding for FY1977, CRs were enacted to fund certain unauthorized
programs whose funding had been excluded from the regular appropriations acts.2
The Antideficiency Act (31 U.S.C. 1341-1342, 1511-1519) generally bars the obligation or
expenditure of federal funds in the absence of appropriations.3 The interval during a fiscal year
when appropriations for a particular project or activity are not enacted into law, either in the form
of a regular appropriations act or a CR, is referred to as a funding gap or funding lapse.4 Although
funding gaps may occur at the start of the fiscal year, they may also occur if a CR expires and
another CR (or the relevant regular appropriations bill) has not been enacted. Multiple funding
gaps may occur within a fiscal year.
In 1980 and early 1981, then-Attorney General Benjamin Civiletti issued opinions in two letters
to the President that have been put into effect through guidance provided to federal agencies
under various Office of Management and Budget (OMB) circulars clarifying the limits of federal
government activities upon the occurrence of a funding gap.5
The Civiletti letters state that, in general, the Antideficiency Act requires that if Congress has
enacted no appropriation beyond a specified period, the agency may make no contracts and
obligate no further funds except as “authorized by law.” In addition, because no statute generally
permits federal agencies to incur obligations without appropriations for the pay of employees, the
Antideficiency Act does not, in general, authorize agencies to employ the services of their
employees upon a lapse in appropriations, but it does permit agencies to fulfill certain legal
obligations connected with the orderly termination of agency operations.
The second letter, from January 1981, discusses the more complex problem of interpretation
presented with respect to obligational authorities that are “authorized by law” but not manifested
in appropriations acts. In a few cases, Congress has expressly authorized agencies to incur
obligations without regard to available appropriations. More often, it is necessary to inquire under
what circumstances statutes that vest particular functions in government agencies imply authority
1 For a discussion of CRs generally, see CRS Report R46595, Continuing Resolutions: Overview of Components and
Practices, coordinated by James V. Saturno.
2 P.L. 94-473 made continuing appropriations through March 31, 1977. P.L. 95-16 extended the date of the budget
authority provided in P.L. 94-473 through April 30, 1977.
3 An overview of the Antidecifiency Act and additional resources concerning the requirements of the law are available
from the Governmental Accountability Office (GAO) at https://www.gao.gov/legal/appropriations-law-decisions/
resources.
4 In most cases, funding provided in regular appropriations acts is available to be obligated only during a single fiscal
year, so that in the event that no subsequent budget authority is enacted, agencies may not enter into further obligations.
In these instances, however, budget authority that had previously been enacted and available for obligation for longer
periods (e.g., multi-year or “no-year” appropriations) would generally remain available.
5 The text of the opinions is included in Appendices IV and VIII to the GAO report Funding Gaps Jeopardize Federal
Government Operations, PAD-81-31, March 3, 1981.
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to create obligations for the accomplishment of those functions despite a lack of current
appropriations. It is under this guidance that exceptions may be made for activities involving “the
safety of human life or the protection of property.”6
As a consequence of these guidelines, when a funding gap occurs, executive agencies begin a
shutdown of the affected projects and activities, including the furlough of non-excepted
personnel. The general practice of the federal government after the shutdown has ended has been
to retroactively pay furloughed employees for the time they missed, as well as employees who
were required to come to work.7
Under current practice, although a shutdown may be the result of a funding gap, the two events
should be distinguished. This is because a funding gap may result in a shutdown of all affected
projects or activities in some instances but not in others. For example, when a funding gap is of a
short duration, agencies may not have enough time to complete a shutdown of affected projects
and activities before funding is restored. In addition, the Office of Management and Budget has
previously indicated that a shutdown of agency operations within the first day of a funding gap
may be postponed if it appears that an additional CR or regular appropriations act is likely to be
enacted that same day.8
To avoid funding gaps, proposals have previously been offered to establish an “automatic
continuing resolution” (ACR) that would provide a fallback source of funding authority for
activities, at a specified formula or level, in the event that timely enactment of appropriations is
disrupted. Funding would become available automatically and remain available as long as needed
so that a funding gap would not occur. Although the House and Senate have considered ACR
proposals in the past, none has been enacted into law on a permanent basis.
Funding Gaps Since FY1977
As illustrated in Table 1, there have been 20 funding gaps since FY1977.9 The enactment of a CR
on the day after the budget authority in the previous CR expired, which has occurred in several
instances, is not counted in this report as involving a funding gap because there was no full day
for which there was no available budget authority. For example, between FY2000 and FY2023,
“next-day” CRs were enacted on 22 occasions.
A majority of the funding gaps occurred between FY1977 and FY1995. During this period of 19
fiscal years, 15 funding gaps occurred.
6 See 31 U.S.C. §1342. During a funding gap, personnel and related activities that are determined to be necessary for
the “the safety of human life or the protection of property,” or fall under other allowable exceptions, are referred to as
“excepted.” In the annually revised Circular No. A-11, OMB provides guidance to executive branch agencies on how to
prepare for and operate during a funding gap, including how to determine “excepted” purposes for which agencies may
incur obligations ahead of appropriations.
7 For a discussion of federal government shutdowns, see CRS Report RL34680, Shutdown of the Federal Government:
Causes, Processes, and Effects, coordinated by Clinton T. Brass. In addition, P.L. 116-1 codifies this practice by
providing that personnel “furloughed as a result of a covered lapse in appropriations shall be paid for the period of the
lapse in appropriations, and each excepted employee who is required to perform work during a covered lapse in
appropriations shall be paid for such work, at the employee’s standard rate of pay, at the earliest date possible after the
lapse in appropriations ends, regardless of scheduled pay dates.” For information on furlough of federal employees, see
CRS In Focus IF11703, Federal Employee Furloughs: Types and Implications, by Taylor N. Riccard.
8 See, for example, OMB, “Planning for Agency Operations During a Lapse in Government Funding,” M-11-13, April
7, 2011, p. 3; and OMB, “Anticipated Enactment of a Continuing Resolution,” M-11-14, April 8, 2011.
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.
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Multiple funding gaps have occurred during a single fiscal year 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.
Table 1. Appropriations Funding Gaps Since FY1977
Final Date of Budget
Fiscal Year
Authoritya
Full Day(s) of Gapb
Date Gap Terminatedc
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
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
1987
Thursday, 10/16/86
1
Saturday, 10/18/86
1988
Friday, 12/18/87
1
Sunday, 12/20/87
1991
Friday, 10/05/90
3
Tuesday, 10/09/90
1996
Monday, 11/13/95
5
Sunday, 11/19/95
Friday, 12/15/95
21
Saturday, 01/06/96
2014
Monday, 09/30/13
16
Thursday, 10/17/13
2018
Friday, 01/19/18
2
Monday, 1/22/18
2019
Friday, 12/21/18
34
Friday, 1/25/19
Source: Compiled by CRS.
Notes:
a. Budget authority expired at the end of the date indicated. For example, for the first FY1996 funding gap,
budget authority expired at the end of the day on Monday, November 13, 1995, and the funding gap of five
ful days commenced on Tuesday, November 14, 1995. The enactment of a CR on the day after the
previous CR expired, which has occurred on several occasions, is not counted as involving a funding gap
because there was no ful day for which there was no available budget authority.
b. Ful days are counted as the number of days for which no budget authority was available, beginning after the
final day on which budget authority was available and ending the day before new budget authority was
enacted. For example, for the first FY1996 funding gap, the ful days of the gap were from November 14,
1995, through November 18, 1995, for a total of five ful days.
c. Gap terminated by the enactment of a continuing resolution or one or more regular appropriations acts.
Seven of the funding gaps commenced with the beginning of the fiscal year on October 1. The
remaining 13 funding gaps occurred at least more than one day after the fiscal year had begun.
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Federal Funding Gaps: A Brief Overview
Ten of the funding gaps ended in October, four ended in November, three ended in December, and
three ended in January.
Funding gaps have ranged in duration from 1 to 34 full days. Six of the 8 lengthiest funding gaps,
lasting between 8 days and 17 days, occurred between FY1977 and FY1980—before the Civiletti
opinions were issued and for which there was no government shutdown. Between 1980 and 1990,
the duration of funding gaps was generally shorter, typically ranging from one day to three days.
In most cases these occurred over a weekend with only limited impact in the form of government
shutdown activities.
Notably, many of the funding gaps that have occurred since FY1977 do not appear to have
resulted in a “shutdown.” Prior to the issuance of the Civiletti opinions, the expectation was that
agencies would not shut down during a funding gap.10 Continuing resolutions typically included
language ratifying obligations incurred prior to the resolution’s enactment. For example, the first
CR for FY1980 provided
All obligations incurred in anticipation of the appropriations and authority provided in this
joint resolution are hereby ratified and confirmed if otherwise in accordance with the
provisions of the joint resolution.11
Thus, while agencies tended to curtail some operations in response to a funding gap, they often
“continued to operate during periods of expired funding.”12 In addition, some of the funding gaps
after the Civiletti opinions did not result in a completion of shutdown operations due to both a
funding gap’s short duration and an expectation that appropriations would soon be enacted. For
example, during the three-day FY1984 funding gap, “no disruption to government services”
reportedly occurred, due to both the three-day holiday weekend and the expectation that the
President would soon sign into law appropriations passed by the House and Senate during that
weekend.13
Some of the funding gaps during this period, however, did have a broader impact on affected
government operations, even if only for a matter of hours. For example, in response to the one-
day funding gap that occurred on October 4, 1984, a furlough of non-excepted personnel for part
of that day was reportedly implemented.14 It should be noted that when most of these funding
10 For example, Senator Warren Magnusen, chairman of the Senate Appropriations Committee, inserted into the
Congressional Record guidelines provided within GAO for FY1980, stating that they believed that it was “not the
intent of Congress that GAO close down until an appropriate measure has been passed” and that, as a consequence,
they should restrain FY1980 obligations to “only those essential to maintain day-to-day operations.” Congressional
Record, October 1, 1979, p. 26974.
11 P.L. 96-86, §117.
12 GAO, Funding Gaps Jeopardize Federal Government Operations, PAD-81-31, March 3, 1981, p. 2. GAO further
stated, “Short of telling employees not to show up for work, Federal officials have responded to gaps by cutting or
postponing all non-essential obligations—particular personnel actions, travel, and the award of new contracts—in an
attempt to continue the operations of programs for which they are responsible.” Media reports related to funding gaps
prior to FY1982 also suggest that little or no shutdown occurred. See, for example, Congressional Quarterly Almanac,
“Continued Funding, 1977,” vol. XXXII, pp. 789-790; Washington Post, “Payroll Crisis Is Staved Off and HEW,
Labor,” October 14, 1977; National Journal, “Congress Fails to Make Appropriations Deadline,” October 8, 1977;
Congressional Quarterly Weekly, “Abortion Agreement Ends Funding Deadlock,” December 10, 1977, p. 2547;
Washington Post, “Funding Lags as Fiscal Year Begins,” October 3, 1978; “and Congressional Quarterly Almanac,
“Pay, Abortion Issues Delay Hill Funding Bills,” vol. XXXV, pp. 270-277.
13 Congressional Quarterly Almanac, “Congress Clears 2nd Continuing Resolution,” vol. XXXIX, 1983, pp. 528-531.
14 For further information, see Congressional Quarterly Almanac, “Last-Minute Money Bill Was Largest Ever,” vol.
XXXX pp. 444-447; Robert Pear, “Senate Works Past Deadline on Catchall Government Spending Bill,” New York
Times, October 4, 1984, p. A29; and Monica Borkowski, “Looking Back; Previous Government Shutdowns,” New York
Times, November 11, 1995.
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gaps occurred, one or more regular appropriations measures had been enacted, so any effects
were not felt government-wide. For example, the three funding gaps in FY1978 were limited to
activities funded in the Departments of Labor and Health, Education, and Welfare Appropriations
Act. Similarly, 8 of 13 regular appropriations acts had been enacted prior to the three-day funding
gap in FY1984.
The most recent funding gaps—two in FY1996, one in FY2014, one in FY2018, and one in
FY2019—all resulted in widespread cessation of non-excepted activities and furlough of
associated personnel. The legislative history of these funding gaps is summarized below.
FY1996
The two FY1996 funding gaps occurred between November 13 and 19, 1995, and December 15,
1995, through January 6, 1996. The chronology of regular and continuing appropriations enacted
during that fiscal year is illustrated in Figure 1. In the lead-up to the first funding gap, only 3 out
of the 13 regular appropriations acts had been signed into law,15 and budget authority, which had
been provided by a CR16 since the start of the fiscal year, expired at the end of the day on
November 13. On this same day, President Clinton vetoed a CR17 that would have extended
budget authority through December 1, 1995, because of the Medicare premium increases
contained within the measure.18 The ensuing funding gap reportedly resulted in the furlough of an
estimated 800,000 federal workers.19 After five days, a deal was reached to end the shutdown and
extend funding through December 15.20 Agencies that had been zeroed out in pending
appropriations bills were funded at a rate of 75% of FY1995 budget authority. All other agencies
were funded at the lower of the House- or Senate-passed level of funding contained in the
FY1996 full-year appropriations bills. The CR also included an agreement between President
Clinton and Congress regarding future negotiations to lower the budget deficit within seven
years.21
15 The Military Construction Appropriations Act, H.R. 1817 (P.L. 104-32), was enacted on October 3, 1995. The
Agriculture, Rural Development, Food and Drug Administration, and Related Agencies Appropriations Act, (P.L. 104-
37), was enacted on October 21, 1995. The Energy and Water Development Appropriations Act, (P.L. 104-46), was
enacted on November 13, 1995. In addition, the Legislative Branch Appropriations Act, H.R. 1854 (104th Cong.), was
vetoed on October 12, 1995. As of the end of the day on November 13, 1995, the 10 regular appropriations bills that
had yet to be enacted were the (1) Department of Transportation and Related Agencies Appropriations Act; (2)
Treasury, Postal Service, and General Government Appropriations Act; (3) Legislative Branch Appropriations Act; (4)
Department of Defense Appropriations Act; (5) Department of Interior and Related Agencies Appropriations Act; (6)
Department of Veterans Affairs and Housing and Urban Development, and Independent Agencies Appropriations Act;
(7) Departments of Commerce, Justice, and State, the Judiciary, and Related Agencies Appropriations Act; (8) Foreign
Operations, Export Financing, and Related Programs Appropriations Act; (9) Departments of Labor, Health and
Human Services, and Education, and Related Agencies Appropriations Act; and (10) District of Columbia
Appropriations Act.
16 H.J.Res. 108 (P.L. 104-31).
17 H.J.Res. 115 (104th Cong.).
18 William J. Clinton, “Message to the House of Representatives Returning Without Approval Continuing Resolution
Legislation,” November 13, 1995, Public Papers of the Presidents of the United States, 1995, Book 2, July 1 to
December 31, 1995, p. 1755. See also CQ Today, “Clinton Vetoes Stopgap Bill to Keep Federal Government Open,”
November 14, 1995.
19 For example, see U.S. Congress, House Committee on Government Reform and Oversight, Subcommittee on Civil
Service, Government Shutdown I: What’s Essential? hearings, 104th Cong., 1st sess., December 6 and 14, 1995
(Washington: GPO, 1997), pp. 6 and 265.
20 As provided in 2 CRs: H.J.Res. 123 (P.L. 104-54) and H.J.Res. 122 (P.L. 104-56).
21 For a summary of the first FY1996 funding gap and government shutdown, see Congressional Quarterly Almanac,
(continued...)
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During the first FY1996 funding gap and prior to the second one, an additional four regular
appropriations measures were enacted, and three others were vetoed.22 The negotiations on the six
remaining bills were unsuccessful before the budget authority provided in the CR expired at the
end of the day on December 15, 1995.23 Reportedly, about 280,000 executive branch employees
were furloughed during the funding gap between December 15, 1995, and January 6, 1996.24 A
CR to provide benefits for veterans and welfare recipients and to keep the District of Columbia
government operating was passed and signed into law on December 22, 1995.25 The shutdown
officially ended on January 6, 1996, when the first of a series of CRs to reopen affected agencies
and provide budget authority through January 26, 1996,26 was enacted.27
“Overview: Government Shuts Down Twice Due to Lack of Funding,” 104th Cong., 1st sess. (1995), vol. LI, pp. 11-3
through 11-6; CQ Weekly, “Special Report—Budget Showdown: Day by Day,” November 18, 1995.
22 The Department of Transportation and Related Agencies Appropriations Act, H.R. 2002 (P.L. 104-50), was enacted
on November 15, 1995. The Treasury, Postal Service, and General Government Appropriations Act, H.R. 2020 (P.L.
104-52), was enacted on November 19, 1995. The Legislative Branch Appropriations Act, H.R. 2492 (P.L. 104-53),
was enacted on November 19, 1995. The Department of Defense Appropriations Act, H.R. 2126 (P.L. 104-61), was
enacted on December 1, 1995. The Department of Interior and Related Agencies Appropriations Act, H.R. 1977 (104th
Cong.), was vetoed on December 18, 1995. The Department of Veterans Affairs and Housing and Urban Development,
and Independent Agencies Appropriations Act, H.R. 2099 (104th Cong.), was vetoed on December 18, 1995. The
Departments of Commerce, Justice, and State, the Judiciary, and Related Agencies Appropriations Act, H.R. 2076
(104th Cong.), was vetoed on December 19, 1995.
23 As of the end of the day on December 15, 1995, the six regular appropriations bills that had yet to be enacted were
the (1) Department of Interior and Related Agencies Appropriations Act; (2) Department of Veterans Affairs and
Housing and Urban Development, and Independent Agencies Appropriations Act; (3) Departments of Commerce,
Justice, State, the Judiciary, and Related Agencies Appropriations Act; (4) Foreign Operations, Export Financing, and
Related Programs Appropriations Act; (5) Departments of Labor, Health and Human Services, and Education, and
Related Agencies Appropriations Act; and (6) District of Columbia Appropriations Act.
24 For further information on the effects of the second FY1996 funding gap, see Dan Moran and Stephen Barr, “When
Shutdown Hit Home Ports, GOP Cutters Trimmed Their Sails,” Washington Post, January 8, 1996.
25 H.J.Res. 136 (P.L. 104-69).
26 H.J.Res. 134 (P.L. 104-94). H.R. 1358 (P.L. 104-91), and H.R. 1643 (P.L. 104-92) were also enacted on January 6.
These two CRs provided budget authority for some federal government activities until the end of FY1996.
27 For a summary of the second FY1996 funding gap and government shutdown, see Congressional Quarterly
Almanac, “Overview: Government Shuts Down Twice Due to Lack of Funding,” 104th Cong., 1st sess. (1995), vol. LI,
pp. 11-3 through 11-6; CQ Weekly, “Funding Expires Again in Budget Stalemate,” December 23, 1995; and CQ Today,
“Congress Clears Bills to Reopen Government,” January 8, 1996.
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Figure 1. Chronology of FY1996 Appropriations
Source: CRS Report R42647, Continuing Resolutions: Overview of Components and Practices, coordinated by Kate P. McClanahan, and CRS analysis of public laws available
through the Legislative Information System (LIS, lis.gov).
Notes: (1) In FY1996, the annual appropriations process anticipated the enactment of 13 “regular appropriations” bil s.
(2) Interim funding was provided through 13 continuing resolutions (CRs) of varying coverage and duration. For a list of these CRs and their enactment dates, see Table
4 in CRS Report R42647, Continuing Resolutions: Overview of Components and Practices, coordinated by Kate P. McClanahan.
(3) Ful -year funding was provided through eight regular appropriations acts (P.L. 104-32, P.L. 104-37, P.L. 104-46, P.L. 104-50, P.L. 104-52, P.L. 104-53, P.L. 104-61, and
P.L. 104-107), two ful -year CRs (P.L. 104-92 and P.L. 104-99), and an omnibus appropriations act (P.L. 104-134). For Foreign Operations and District of Columbia,
although ful -year funding was initially provided in CRs, final action on annual appropriations (P.L. 104-107 and P.L. 104-134) superseded that funding.
(4) The “coverage” of the funding gap refers to those regular appropriations bil s that had not been enacted during all or some of the days during which the funding gap
occurred. The “duration” of the funding gap is calculated here as the number of ful days affected by the lapse in funding. Ful days are counted as beginning after the final
day on which budget authority was available and ending the day before funding resumed.
(5) Interim funding was enacted late in the day on November 19, 1995 (P.L. 104-54). As a consequence, in many instances agency operations may not have restarted until
the fol owing day.
(6) Three interim funding measures included ful -year funding for certain activities (P.L. 104-69, P.L. 104-91, and P.L. 104-92). However, this provision of agency- or
program-specific, ful -year funding is not reflected in the figure, which focuses on the enactment of entire regular appropriations bil s.
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Federal Funding Gaps: A Brief Overview
FY2014
This funding gap commenced at the beginning of FY2014 on October 1, 2013. None of the 12
regular appropriations bills for FY2014 was enacted prior to the beginning of the funding gap.
Nor had a CR to provide budget authority for the projects and activities covered by those 12 bills
been enacted. On September 30, however, an ACR was enacted to cover FY2014 pay and
allowances for (1) certain members of the Armed Forces, (2) certain Department of Defense
(DOD) civilian personnel, and (3) other specified DOD and Department of Homeland Security
contractors (H.R. 3210; P.L. 113-39, 113th Congress).
At the beginning of this 16-day funding gap, more than 800,000 executive branch employees
were reportedly furloughed.28 This number was reduced during the course of the funding gap due
to the implementation of P.L. 113-39 and other redeterminations of whether certain employees
were excepted from furlough.29 Prior to the resolution of the funding gap, congressional action on
appropriations was generally limited to a number of narrow CRs to provide funding for certain
programs or classes of individuals.30 Of these, only the Department of Defense Survivor Benefits
Continuing Appropriations Resolution of 2014 (H.J.Res. 91; P.L. 113-44) was enacted into law.
On October 16, 2013, the Senate passed H.R. 2775, which had been previously passed by the
House on September 12, with an amendment. This amendment, in part, provided interim
continuing appropriations for the previous year’s programs and activities through January 15,
2014. Later that same day, the House agreed to the Senate amendment to H.R. 2775. The CR was
signed into law on October 17, 2013 (P.L. 113-46), thus ending the funding gap.
FY2018
At the beginning of FY2018, none of the 12 regular appropriations bills had been enacted, so the
federal government operated under a series of CRs. The first, P.L. 115-56, provided government-
wide funding through December 8, 2017. The second, P.L. 115-90, extended funding through
December 22, and the third, P.L. 115-96, extended it through January 19, 2018. In the absence of
agreement on legislation that would further extend the period of these CRs, however, a funding
gap began with the expiration of P.L. 115-96 at midnight on January 19. A furlough of federal
personnel began over the weekend and continued through Monday of the next week, ending with
enactment of a fourth CR, P.L. 115-120, on January 22.
28 See, for example, Wall Street Journal, “More Than 800,000 Federal Workers Are Furloughed,” October 1, 2013.
Estimates in this and other media reports were based upon the totals provided by agencies in their contingency plans,
which are available at http://www.whitehouse.gov/omb/contingency-plans. These totals do not include legislative or
judicial branch employees.
29 See, for example, Washington Post, “Pentagon Will Order Almost All Furloughed Civilian Employees Back to
Work,” October 5, 2013; and Washington Post, “Agencies Increasingly Calling Back Furloughed Workers,” October
10, 2013.
30 These CRs included H.J.Res. 70, H.J.Res. 71, H.J.Res. 72, H.J.Res. 73, H.J.Res. 75, H.J.Res. 76, H.J.Res. 77,
H.J.Res. 79, H.J.Res. 80, H.J.Res. 82, H.J.Res. 83, H.J.Res. 84, H.J.Res. 85, H.J.Res. 89, H.J.Res. 90, H.J.Res. 91, and
H.R. 3230.
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Federal Funding Gaps: A Brief Overview
FY2019
At the beginning of FY2019, 5 of the 12 regular appropriations bills had been enacted in two
consolidated appropriations bills.31 The remaining seven regular appropriations bills were funded
under two CRs.32 The first CR, P.L. 115-245, provided funding through December 7, 2018. The
second CR, P.L. 115-298, extended funding through December 21, 2018. When no agreement was
reached on legislation to further extend the period of these CRs, a funding gap began with the
expiration of P.L. 115-298 at midnight on December 21, 2018. Because of this funding gap,
federal agencies funded in these seven regular appropriations bills were required to shut down
their activities.33
The funding gap ended when a CR, P.L. 116-5, was signed into law on January 25, 2019, which
ended the partial government shutdown and allowed government departments and agencies to
reopen. The funding gap lasted 34 full days.
Author Information
James V. Saturno
Specialist on Congress and the Legislative Process
Acknowledgments
This report incorporates work published in prior CRS Reports by Robert Keith and Jessica Tollestrup.
31 P.L. 115-245 provided funding for FY2019 for the Department of Defense and the Departments of Labor, Health and
Human Services, and Education; P.L. 115-244 provided funding for Energy and Water Development, Legislative
Branch, and Military Constructions and Veterans Affairs.
32 Department of Agriculture and Related Agencies; Departments of Commerce and Justice, Science and Related
Agencies; Financial Service and General Government; Department of Homeland Security; Department of the Interior,
Environment, and Related Agencies; Department of State and Foreign Operations; and Departments of Transportation
and Housing and Urban Development.
33 For a review of the impact of this shutdown on federal agencies, see CBO, The Effects of the Partial Shutdown
Ending in January 2019.
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Federal Funding Gaps: A Brief Overview
Disclaimer
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under the direction of Congress. Information in a CRS Report should not be relied upon for purposes other
than public understanding of information that has been provided by CRS to Members of Congress in
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