[Constitution, Jefferson's Manual, and the Rules of the House of Representatives, 105th Congress]
[105th Congress]
[House Document 104-272]
[Miscellaneous Provisions Of Congressional Budget Laws]
[Pages 895-966]
[From the U.S. Government Printing Office, www.gpo.gov]
[[Page 895]]
CONGRESSIONAL BUDGET ACT
excerpts relating to legislative procedure from the congressional budget
__________
act of 1974 (2 u.s.c. 601 et seq.)
declaration of purposes
Sec. 2. The Congress declares that it is essential--
(1) to assure effective congressional control over the
budgetary process;
(2) to provide for the congressional determination each year
of the appropriate level of Federal revenues and expenditures;
(3) to provide a system of impoundment control;
(4) to establish national budget priorities; and
(5) to provide for the furnishing of information by the
executive branch in a manner that will assist the Congress in
discharging its duties.
definitions
Sec. 3. In General.--For purposes of this Act--
(1) The terms ``budget outlays'' and ``outlays'' mean, with respect to
any fiscal year, expenditures and net lending of funds under budget
authority during such year.
(2) Budget authority and new budget authority.--
(A) In general.--The term ``budget authority'' means the
authority provided by Federal law to incur financial
obligations, as follows:
(i) provisions of law that make funds available for
obligation and expenditure (other than borrowing
authority), including the authority to obligate and
expend the proceeds of offsetting receipts and
collections;
(ii) borrowing authority, which means authority
granted to a Federal entity to borrow and obligate and
expend the borrowed funds, including through the
[[Page 896]]
issuance of promissory notes or other monetary credits;
(iii) contract authority, which means the making of
funds available for obligation but not for expenditure;
and
(iv) offsetting receipts and collections as negative
budget authority, and the reduction thereof as positive
budget authority.
(B) Limitations on budget authority.--With respect to the
Federal Hospital Insurance Trust Fund, the Supplementary Medical
Insurance Trust Fund, the Unemployment Trust Fund, and the
railroad retirement account, any amount that is precluded from
obligation in a fiscal year by a provision of law (such as a
limitation or a benefit formula) shall not be budget authority
in that year.
(C) New budget authority.--The term ``new budget authority''
means, with respect to a fiscal year--
(i) budget authority that first becomes available for
obligation in that year, including budget authority that
becomes available in that year as a result of a
reappropriation; or
(ii) a change in any account in the availability of
unobligated balances of budget authority carried over
from a prior year, resulting from a provision of law
first effective in that year;
and includes a change in the estimated level of new budget
authority provided in indefinite amounts by existing law.
(3) The term ``tax expenditures'' means those revenue losses
attributable to provisions of the Federal tax laws which allow a special
exclusion, exemption, or deduction from gross income or which provide a
special credit, a preferential rate of tax, or a deferral of tax
liability, and the term ``tax expenditures budget'' means an enumeration
of such tax expenditures.
(4) The term ``concurrent resolution on the budget'' means--
(A) a concurrent resolution setting forth the congressional
budget for the United States Government for a fiscal year as
provided in section 301; and
(B) any other concurrent resolution revising the congressional
budget for the United States Government for a fiscal year as
described in section 304.
[[Page 896]]
(5) The term ``appropriation Act'' means an Act referred to in section
105 of title 1, United States Code.
(6) The term ``deficit'' means, with respect to a fiscal year, the
amount by which outlays exceeds receipts during that year.
(7) The term ``surplus'' means, with respect to a fiscal year, the
amount by which receipts exceeds outlays during that year.
(8) The term ``government-sponsored enterprise'' means a corporate
entity created by a law of the United States that--
(A)(i) has a Federal charter authorized by law;
(ii) is privately owned, as evidenced by capital stock owned
by private entities or individuals;
(iii) is under the direction of a board of directors, a
majority of which is elected by private owners;
(iv) is a financial institution with power to--
(I) make loans or loan guarantees for limited purposes
such as to provide credit for specific borrowers or one
sector; and
(II) raise funds by borrowing (which does not carry
the full faith and credit of the Federal Government) or
to guarantee the debt of others in unlimited amounts;
and
(B)(i) does not exercise powers that are reserved to the
Government as sovereign (such as the power to tax or to regulate
interstate commerce);
(ii) does not have the power to commit the Government
financially (but it may be a recipient of a loan guarantee
commitment made by the Government); and
(iii) has employees whose salaries and expenses are paid by
the enterprise and are not Federal employees subject to title 5
of the United States Code.
(9) The term ``entitlement authority'' means--
(A) the authority to make payments (including loans and
grants), the budget authority for which is not provided for in
advance by appropriation Acts, to any person or government if,
under the provisions of the law containing that authority, the
United States is obligated to make such payments to persons or
governments who meet the requirements established by that law;
and
(B) the food stamp program.
[[Page 898]]
(10) The term ``credit authority'' means authority to incur direct
loan obligations or to incur primary loan guarantee commitments.
The Budget Enforcement Act of 1990 (tit. XIII, P.L. 101-508) modified
paragraphs (2) and (6) of this section and added new paragraphs (7) and
(8). Two separate sections of the 1990 Act amended paragraph (2).
Section 13201 added a new sentence at the end of the paragraph. Section
13211 rewrote paragraph entirely, effective for fiscal years after 1991.
The text depicted here attempts to harmonize the two; but see 2 U.S.C.
622(2). The Balanced Budget and Emergency Deficit Control Act of 1985
(tit. II of P.L. 99-177) added paragraphs (9) and (10). The Budget
Enforcement Act of 1997 (sec. 10101 of P.L. 105-33) amended the
definition of ``entitlement authority'' in paragraph (9) in conjunction
with amendments to section 401.
Amounts of liquidating cash provided in the Department of
Transportation Appropriations bill are not new budget authority within
the meaning of this section, but are merely funds to liquidate
contractual obligations previously incurred pursuant to new
discretionary contract authority previously reported from and scored
against allocations to the Committee on Public Works and Transportation
(now Transportation and Infrastructure) as the authority to enter into
obligations that will result in immediate or future outlays (July 30,
1986, p. 18154).
* * * * *
TITLE III--CONGRESSIONAL BUDGET PROCESS
timetable
Sec. 300. The timetable with respect to the congressional budget
process for any fiscal year is as follows:
On or before: Action to be completed:
First Monday in February...................... President submits his
budget.
February 15................................... Congressional Budget
Office submits report
to Budget Committees.
Not later than 6 weeks after President submits Committees submit views
budget. and estimates to Budget
Committees.
April 1....................................... Senate Budget Committee
reports concurrent
resolution on the
budget.
April 15...................................... Congress completes
action on concurrent
resolution on the
budget.
May 15........................................ Annual appropriation
bills may be considered
in the House.
June 10....................................... House Appropriations
Committee reports last
annual appropriation
[[Page 899]]
bill.
June 15....................................... Congress completes
On or before: Action to be completed:
action on
reconciliation
legislation.
June 30....................................... House completes action
on annual appropriation
bills.
October 1..................................... Fiscal year begins.
The date for committees' submissions of views and estimates was
amended by the Budget Enforcement Act of 1997 (sec. 10104, P.L. 105-33).
annual adoption of concurrent resolution on the budget
Sec. 301. (a) Content of Concurrent Resolution on the Budget.--On or
before April 15 of each year, the Congress shall complete action on a
concurrent resolution on the budget for the fiscal year beginning on
October 1 of such year. The concurrent resolution shall set forth
appropriate levels for the fiscal year beginning on October 1 of such
year and for at least each of the 4 ensuing fiscal years for the
following--
(1) totals of new budget authority and outlays;
(2) total Federal revenues and the amount, if any, by which
the aggregate level of Federal revenues should be increased or
decreased by bills and resolutions to be reported by the
appropriate committees;
(3) the surplus or deficit in the budget;
(4) new budget authority and outlays for each major functional
category, based on allocations of the total levels set forth
pursuant to paragraph (1);
(5) the public debt;
(6) for purposes of Senate enforcement under this title,
outlays of the old-age, survivors, and disability insurance
program established under title II of the Social Security Act
for the fiscal year of the resolution and for each of the 4
succeeding fiscal years; and
(7) for purposes of Senate enforcement under this title,
revenues of the old-age, survivors, and disability insurance
program established under title II of the Social Security Act
(and the related provisions of the Internal Revenue Code of
1986) for the fiscal year of the resolution and for each of the
[[Page 900]]
Security Act or the related provisions of the Internal Revenue Code of
1986 in the surplus or deficit totals required by this subsection or
in any other surplus or deficit totals required by this title.
4 succeeding fiscal years.
The concurrent resolution shall not include the outlays and revenue
totals of the old age, survivors, and disability insurance program
established under title II of the Social
(b) Additional Matters in Concurrent Resolution.--The concurrent
resolution on the budget may--
(1) set forth, if required by subsection (f), the calendar
year in which, in the opinion of the Congress, the goals for
reducing unemployment set forth in section 4(b) of the
Employment Act of 1946 should be achieved;
(2) include reconciliation directives described in section
310;
(3) require a procedure under which all or certain bills or
resolutions providing new budget authority or new entitlement
authority for such fiscal year shall not be enrolled until the
Congress has completed action on any reconciliation bill or
reconciliation resolution or both required by such concurrent
resolution to be reported in accordance with section 310(b);
(4) set forth such other matters, and require such other
procedures, relating to the budget, as may be appropriate to
carry out the purposes of this Act;
(5) include a heading entitled ``Debt Increase as Measure of
Deficit'' in which the concurrent resolution shall set forth the
amounts by which the debt subject to limit (in section 3101 of
title 31 of the United States Code) has increased or would
increase in each of the relevant fiscal years;
(6) include a heading entitled ``Display of Federal Retirement
Trust Fund Balances'' in which the concurrent resolution shall
set forth the balances of the Federal retirement trust funds;
(7) set forth procedures in the Senate whereby committee
allocations, aggregates, and other levels can be revised for
legislation if that legislation would not increase the deficit,
or would not increase the deficit when taken with other
legislation enacted after the adoption of the resolution, for
the first fiscal year or the total period of fiscal years
covered by the resolution;
(8) set forth procedures to effectuate pay-as-you-go in the
House of Representatives; and
(9) set forth direct loan obligation and primary loan
[[Page 901]]
guarantee commitment levels.
The Budget Enforcement Act of 1990 (tit. XIII, P.L. 101-508) added
paragraphs (6) and (7) and a new last sentence to subsection (a), added
paragraphs (5)-(8) to subsection (b), and added section 606, infra,
requiring that a concurrent resolution on the budget set forth
appropriate levels for five fiscal years for the matters described in
subsection (a). Title III had previously been comprehensively amended by
the Balanced Budget and Emergency Deficit Control Act of 1985 (tit. II,
P.L. 99-177). Sections 301(a) and 301(b) were amended by the Budget
Enforcement Act of 1997 (sec. 10105, P.L. 105-33) to extend the
requirement that the term of budget resolutions be at least five years
and to eliminate the requirement that budget resolutions contain direct
loan and loan guarantee levels.
[[Page 902]]
concerning its section 302(b) allocation (now section 302(c))
and a direction that if a second concurrent resolution on the budget for
fiscal 1983 was not finally adopted by October 1, then the aggregate
amounts in that first concurrent resolution would become the spending
ceilings and revenue floor for the purposes of section 311 (S. Con. Res.
92, June 22, 1982, p. 14542). The first concurrent resolution on the
budget for fiscal year 1984 likewise contained the latter provision, but
also provided that a point of order under section 311 of the Budget Act
would not apply if spending contained in a bill remained within the
reporting committee's discretionary allocation under section 302 of the
Budget Act (a similar exception is now section 311(b)). The 1984
resolution also contained a new provision reserving specific amounts of
budget authority and outlays for subsequent allocation to committees by
the Committee on the Budget (H. Con. Res. 91, June 23, 1983, p. 17065;
see also Mar. 6, 1984, p. 4621, for a statement by Speaker O'Neill
describing the operation and effect of the latter provision). The first
concurrent resolution on the budget for fiscal year 1985 included a
similar provision that it be treated as the second budget resolution for
that year on October 1, 1984, for the purposes of the section 311
spending ceilings and revenue levels, but that a point of order not
apply where the committee in question had not exceeded its section
302(a) allocations. The resolution also provided that legislation
providing budget authority, entitlement authority, or credit authority
not be considered until the reporting committee filed the requisite
report concerning its section 302(b) allocations (H. Con. Res. 280, Oct.
1, 1984, p. 26889).
The prescribed content of a concurrent resolution on the budget under
the prior version of section 301 evolved over time. Pursuant to the
authority to include other ``appropriate procedures'' under then section
301(b)(2) of the Budget Act, the first concurrent resolution on the
budget for fiscal year 1981 (which also contained the third concurrent
resolution on the budget for fiscal year 1980, budget targets for fiscal
years 1981 and 1983, and other related matters) contained new provisions
directing House and Senate committees to report to their respective
Budget Committees reconciliation legislation reducing spending for
fiscal year 1981 (H. Con. Res. 307, June 12, 1980, pp. 14505-19). The
final adoption of that concurrent resolution also had the effect of
triggering provisions of rule XLIX, adopted in the 96th Congress,
requiring the automatic engrossment of a joint resolution setting the
public debt limit (see Sec. 945, supra). The first concurrent resolution
on the budget for fiscal year 1982, in addition to other new
``appropriate procedures,'' included in its reconciliation instructions
directions to several House and Senate committees to report reductions
in both entitlement spending authority and discretionary authorization
programs sufficient to reduce budget authority and outlays separately
for each of three fiscal years, and included a ``deferred enrollment''
procedure relating to bills containing new budget authority and
entitlement spending authority in excess of allocations to committees
(H. Con. Res. 115, May 20, 1981, p. 10309). The first concurrent
resolution on the budget for fiscal year 1983, in addition to other new
``appropriate procedures,'' included a binding Federal credit budget for
two fiscal years, containing not only aggregate and functional category
targets for new direct loan obligations and new primary and secondary
loan guarantee commitments, but also (1) prohibiting consideration of
bills authorizing new loan obligations or new loan guarantee commitments
not subject to the appropriations process with certain exceptions (now
section 402(a)), and (2) establishing a ceiling on total new direct loan
obligations and new primary or secondary loan guarantee commitments for
the ensuing fiscal year upon adoption of the second concurrent
resolution on the budget for that year (similar to the section 311
ceiling for direct budget authority). Also included was a prohibition
against consideration in either House of measures providing new budget
or entitlement authority until the reporting committee filed a report in
the House
In 1986, the first concurrent resolution on the budget since the
enactment of the Balanced Budget and Emergency Deficit Control Act of
1985 (P.L. 99-177, Dec. 12, 1985), the recommended deficit level for the
ensuing fiscal year 1987 was below the maximum deficit amount as then
specified, thus permitting consideration of the conference reported
amendment in disagreement pursuant to then section 301(i) without a
waiver by three-fifths vote in either House (June 26, 1986, p. 15740).
That concurrent resolution also contained a ``contingency fund'' for
deficit reduction and unmet critical needs, additional general revenue
sharing funding beyond levels contained therein if deficits were not
increased and authorization enacted, and a provision authorizing a
report to be filed by the Chairman of the House Budget Committee by a
date certain to be printed and to constitute allocations of new budget
authority and outlays required by section 302(a) (where the conferees
did not have time to prepare allocations prior to filing of the
conference report).
[[Page 903]]
23, 1987, p. 16879). The concurrent resolutions on
the budget for fiscal years 1989-1991 and for fiscal years 1990-1992,
respectively, each contained a section stating that, for purposes of
allocations and points of order under section 302 of the Budget Act,
amounts realized from asset sales and prepayments of loans would not be
allocated or scored as affecting budget authority or outlays (H. Con.
Res. 268, May 26, 1988, p. 12531; H. Con. Res. 106, May 17, 1989, p.
9127). The concurrent resolution on the budget for fiscal year 1989-1991
also contained a section providing for a subsequent allocation of budget
authority and outlays for fiscal year 1989 upon the reporting by
appropriate committees of an anti-drug initiative (H. Con. Res. 268, May
26, 1988, p. 12531). The concurrent resolution on the budget for fiscal
years 1995-1999 included provisions (1) adjusting allocations of budget
authority, new entitlement authority, and outlays and adjusting total
levels of budget authority, outlays, and revenues for health care reform
in the House (within a maximum aggregate deficit for fiscal years 1995-
1999), and (2) adjusting committee allocations, budget aggregates, and
the maximum deficit amount contingent on certain IRS compliance
initiatives (H. Con. Res. 218, May 4, 1994, p. ----). The concurrent
resolution on the budget for fiscal years 1996-2002 established a budget
surplus allowance contemplating tax reductions only as part of a
legislative package producing a balanced budget by fiscal year 2002;
corrected a disparity that had arisen under the Federal Credit Reform
Act of 1990 for the scoring of student loans; and established a process
for certifying a balanced budget before the House could consider a
reconciliation bill reducing taxes (H. Con. Res. 67, June 29, 1995, p.
----).
The concurrent resolution on the budget for fiscal years 1988-1990
contained a provision permitting the first concurrent resolution to
``become'' a second binding concurrent resolution only at the beginning
of the fiscal year. It also contained a provision encouraging sales of
government assets to non-government buyers but providing that amounts
realized not be treated as revenues, receipts, or negative outlays for
purposes of specified budget enforcement and scorekeeping procedures (H.
Con. Res. 93, June
(c) Consideration of Procedures or Matters Which Have the Effect of
Changing any Rule of the House of Representatives.--If the Committee on
the Budget of the House of Representatives reports any concurrent
resolution on the budget which includes any procedure or matter which
has the effect of changing any rule of the House of Representatives,
such concurrent resolution shall then be referred to the Committee on
Rules with instructions to report it within five calendar days (not
counting any day on which the House is not in session). The Committee on
Rules shall have jurisdiction to report any concurrent resolution
referred to it under this paragraph with an amendment or amendments
changing or striking out any such procedure or matter.
[[Page 904]]
tee of the Senate having legislative
jurisdiction shall submit to the Committee on the Budget of the Senate
its views and estimates (as determined by the committee making such
submission) with respect to all matters set forth in subsections (a) and
(b) which relate to matters within the jurisdiction or functions of such
committee. The Joint Economic Committee shall submit to the Committees
on the Budget of both Houses its recommendations as to the fiscal policy
appropriate to the goals of the Employment Act of 1946. Any other
committee of the House of Representatives or the Senate may submit to
the Committee on the Budget of its House, and any joint committee of the
Congress may submit to the Committees on the Budget of both Houses, its
views and estimates with respect to all matters set forth in subsections
(a) and (b) which relate to matters within its jurisdiction or
functions. Any Committee of the House of Representatives or the Senate
that anticipates that the committee will consider any proposed
legislation establishing, amending, or reauthorizing any Federal program
likely to have a significant budgetary impact on any State, local, or
tribal government, or likely to have a significant financial impact on
the private sector, including any legislative proposal submitted by the
executive branch likely to have such a budgetary or financial impact,
shall include its views and estimates on that proposal to the Committee
on the Budget of the applicable House.
(d) Views and Estimates of Other Committees.--Within 6 weeks after the
President submits a budget under section 1105(a) of title 31, United
States Code, or at such time as may be requested by the Committee on the
Budget, each committee of the House of Representatives having
legislative jurisdiction shall submit to the Committee on the Budget of
the House and each commit-
Section 301(d) was amended by the Budget Enforcement Act of 1997 (sec.
10105, P.L. 105-33) to permit the chairmen of the Budget Committees to
set an alternate deadline for submission of committee views and
estimates.
(e) Hearings and Report.--
(1) In general.--In developing the concurrent resolution on
the budget referred to in subsection (a) for each fiscal year,
the Committee on the Budget of each House shall hold hearings
and shall receive testimony from Members of Congress and such
appropriate representatives of Federal departments and agencies,
the general public, and national organizations as the committee
deems desirable. Each of the recommendations as to short-term
and medium-term goals set forth in the report submitted by the
members of the Joint Economic Committee under subsection (d) may
be considered by the Committee on the Budget of each House as
[[Page 905]]
part of its consideration of such concurrent resolu-
tion, and its report may reflect its views thereon, including its
views on how the estimates of revenues and levels of budget
authority and outlays set forth in such concurrent resolution are
designed to achieve any goals it is recommending.
(2) Required contents of report.--The report accompanying the
resolution shall include--
(A) a comparison of the levels of total new budget
authority, total outlays, total revenues, and the
surplus or deficit for each fiscal year set forth in the
resolution with those requested in the budget submitted
by the President;
(B) with respect to each major functional category, an
estimate of total new budget authority and total
outlays, with the estimates divided between
discretionary and mandatory amounts;
(C) the economic assumptions that underlie each of the
matters set forth in the resolution and any alternative
economic assumptions and objectives the committee
considered;
(D) information, data, and comparisons indicating the
manner in which, and the basis on which, the committee
determined each of the matters set forth in the
[[Page 906]]
resolution;
(E) the estimated levels of tax expenditures (the tax
expenditures budget) by major items and functional
categories for the President's budget and in the
resolution; and
(F) allocations described in section 302(a).
(3) Additional contents of report.--The report accompanying
the resolution may include--
(A) a statement of any significant changes in the
proposed levels of Federal assistance to State and local
governments;
(B) an allocation of the level of Federal revenues
recommended in the resolution among the major sources of
such revenues;
(C) information, data, and comparisons on the share of
total Federal budget outlays and of gross domestic
product devoted to investment in the budget submitted by
the President and in the resolution;
(D) the assumed levels of budget authority and outlays
for public buildings, with a division between amounts
for construction and repair and for rental payments; and
(E) other matters, relating to the budget and to
fiscal policy, that the committee deems appropriate.
The contents required of a report accompanying a budget resolution
were modified by the Budget Enforcement Act of 1997 (sec. 10105, P.L.
105-33).
(f) Achievement of Goals for Reducing Unemployment.--
(1) If, pursuant to section 4(c) of the Employment Act of
1946, the President recommends in the Economic Report that the
goals for reducing unemployment set forth in section 4(b) of
such Act be achieved in a year after the close of the five-year
period prescribed by such subsection, the concurrent resolution
on the budget for the fiscal year beginning after the date on
which such Economic Report is received by the Congress may set
forth the year in which, in the opinion of the Congress, such
goals can be achieved.
(2) After the Congress has expressed its opinion pursuant to
paragraph (1) as to the year in which the goals for reducing
unemployment set forth in section 4(b) of the Employment Act of
1946 can be achieved, if, pursuant to section 4(e) of such Act,
the President recommends in the Economic Report that such goals
be achieved in a year which is different from the year in which
the Congress has expressed its opinion that such goals should be
achieved, either in its action pursuant to paragraph (1) or in
its most recent action pursuant to this paragraph, the
concurrent resolution on the budget for the fiscal year
beginning after the date on which such Economic Report is
received by the Congress may set forth the year in which, in the
opinion of the Congress, such goals can be achieved.
(3) It shall be in order to amend the provision of such
resolution setting forth such year only if the amendment thereto
also proposes to alter the estimates, amounts, and levels (as
described in subsection (a)) set forth in such resolution in
germane fashion in order to be consistent with the economic
goals (as described in sections 3(a)(2) and (4)(b) of the
Employment Act of 1946) which such amendment proposes can be
achieved by the year specified in such amendment.
[[Page 907]]
(g) Economic Assumptions.--
(1) It shall not be in order in the Senate to consider any
concurrent resolution on the budget for a fiscal year, or any
amendment thereto, or any conference report thereon, that sets
forth amounts and levels that are determined on the basis or
more than one set of economic and technical assumptions.
(2) The joint explanatory statement accompanying a conference
report on a concurrent resolution on the budget shall set forth
the common economic assumptions upon which such joint statement
and conference report are based, or upon which any amendment
contained in the joint explanatory statement to be proposed by
the conferees in the case of technical disagreement, is based.
(3) Subject to periodic reestimation based on changed economic
conditions or technical estimates, determinations under titles
III and IV of the Congressional Budget Act of 1974 shall be
based upon such common economic and technical assumptions.
(h) Budget Committee's Consultation With Committees.--The Committee on
the Budget of the House of Representatives shall consult with the
committees of its House having legislative jurisdiction during the
preparation, consideration, and enforcement of the concurrent resolution
on the budget with respect to all matters which relate to the
jurisdiction or functions of such committees.
(i) Social Security Point of Order.--It shall not be in order in the
Senate to consider any concurrent resolution on the budget (or
amendment, motion, or conference report on the resolution) that would
decrease the excess of social security revenues over social security
outlays in any of the fiscal years covered by the concurrent resolution.
No change in chapter 1 of the Internal Revenue Code of 1986 shall be
treated as affecting the amount of social security revenues unless such
provision changes the income tax treatment of social security benefits.
[[Page 908]]
section (i). The Omnibus Trade and Competitiveness Act of 1988 (P.L.
100-418) added paragraph (10) to subsection (e), effective only for
fiscal years 1989 through 1992. Previously, the Full Employment and
Balanced Growth Act of 1978 (P.L. 95-523) amended this section by:
(1) adding a new paragraph (6) to subsection (a) and redesignating the
succeeding paragraph (both of which were later repealed by P.L. 99-177);
(2) adding a new second sentence to subsection (c) (now contained in
subsection (d)); and (3) adding a new subsection (e) (now designated as
(f)), relating to the review of the Economic Report as part of the
Congressional budget process, and allowing the inclusion in the budget
resolution of a timetable for achieving unemployment goals under the
Employment Act of 1946. The last sentence of subsection (d) was added
by the Unfunded Mandates Reform Act of 1995 (sec. 102(2), P.L. 104-4;
109 Stat. 62). The Social Security point of order contained in paragraph
(i) was expanded by the Budget Enforcement Act of 1997 (sec. 10105,
P.L. 105-33).
The Balanced Budget and Emergency Deficit Control Act of 1985 (tit.
II, P.L. 99-177) modified this portion of section 301 by: (1) inserting
a new subsection on referral of budget resolutions to the Rules
Committee; (2) amending and redesignating existing subsections (c), (d),
and (e) as (d), (e), and (f), respectively; and (3) adding new
subsections (g), (h), and (i). Public Law 100-119 amended subsection (g)
and extended until September 30, 1993, a point of order under subsection
(i), precluding consideration of a concurrent resolution on the budget
exceeding the pertinent maximum deficit amount absent a three-fifths
vote. The Budget Enforcement Act of 1990 (tit. XIII, P.L. 101-508)
eliminated that point of order from sub-
The House and Senate completed final action on the first concurrent
resolution on the budget considered under the Congressional Budget Act
by adopting a conference report thereon on May 14, 1975 (p. 14329). That
concurrent resolution contained aggregate figures only for revenues,
budget authority, budget outlays, deficit and public debt, since the
Budget Committee had not implemented the functional categories
provisions of the Act for fiscal year 1976.
On May 13, 1976, the House and Senate completed final action on the
first concurrent resolution for fiscal year 1977, the first year of full
implementation of title III of the Congressional Budget Act (p. 13776).
committee allocations
Sec. 302. (a) Committee Spending Allocations.--
(1) Allocation among committees.--The joint explanatory
statement accompanying a conference report on a concurrent
resolution on the budget shall include an allocation, consistent
with the resolution recommended in the conference report, of the
levels for the first fiscal year of the resolution, for at least
each of the ensuing 4 fiscal years, and a total for that period
of fiscal years (except in the case of the Committee on
Appropriations only for the fiscal year of that resolution) of--
(A) total new budget authority; and
(B) total outlays;
among each committee of the House of Representatives or the
Senate that has jurisdiction over legislation providing or
creating such amounts.
(2) No double counting.--In the House of Representatives, any
item allocated to one committee may not be allocated to another
[[Page 909]]
committee.
(3) Further division of amounts.--
(A) In the senate.--In the Senate, the amount
allocated to the Committee on Appropriations shall be
further divided among the categories specified in
section 250(c)(4) of the Balanced Budget and Emergency
Deficit Control Act of 1985 and shall not exceed the
limits for each category set forth in section 251(c) of
that Act.
(B) In the house.--In the House of Representatives,
the amounts allocated to each committee for each fiscal
year, other than the Committee on Appropriations, shall
be further divided between amounts provided or required
by law on the date of filing of that conference report
and amounts not so provided or required. The amounts
allocated to the Committee on Appropriations shall be
further divided--
(i) between discretionary and mandatory amounts
or programs, as appropriate; and
(ii) consistent with the categories specified in
section 250(c)(4) of the Balanced Budget and
Emergency Deficit Control Act of 1985.
(4) Amounts not allocated.--In the House of Representatives or
the Senate, if a committee receives no allocation of new budget
authority or outlays, that committee shall be deemed to have
received an allocation equal to zero for new budget authority or
outlays.
(5) Adjusting allocation of discretionary spending in the
house of representatives.--(A) If a concurrent resolution on the
budget is not adopted by April 15, the chairman of the Committee
on the Budget of the House of Representatives shall submit to
the House, as soon as practicable, an allocation under paragraph
(1) to the Committee on Appropriations consistent with the
discretionary spending levels in the most recently agreed to
concurrent resolution on the budget for the appropriate fiscal
year covered by that resolution.
(B) As soon as practicable after an allocation under paragraph
(1) is submitted under this section, the Committee on
Appropriations shall make suballocations and report those
suballocations to the House of Representatives.
[[Page 910]]
each House (after consulting with the Committee on Appropriations of
the other House) shall suballocate each amount allocated to it for the
budget year under subsection (a) among its subcommittees. Each Committee
on Appropriations shall promptly report to its House suballocations made
or revised under this subsection. The Committee on Appropriations of the
House of Representatives shall further divide among its subcommittees
the divisions made under subsection (a)(3)(B) and promptly report those
divisions to the House.
(b) Suballocations by Appropriations Committees.--As soon as
practicable after a concurrent resolution on the budget is agreed to,
the Committee on Appropriations of
(c) Point of Order.--After the Committee on Appropriations has
received an allocation pursuant to subsection (a) for a fiscal year, it
shall not be in order in the House of Representatives or the Senate to
consider any bill, joint resolution, amendment, motion, or conference
report within the jurisdiction of that committee providing new budget
authority for that fiscal year, until that committee makes the
suballocations required by subsection (b).
(d) Subsequent Concurrent Resolutions.--In the case of a concurrent
resolution on the budget referred to in section 304, the allocations
under subsection (a) and the subdivisions under subsection (b) shall be
required only to the extent necessary to take into account revisions
made in the most recently agreed to concurrent resolution on the budget.
(e) Alteration of Allocations.--At any time after a committee reports
the allocations required to be made under subsection (b), such committee
may report to its House an alteration of such allocations. Any
alteration of such allocations must be consistent with any actions
already taken by its House on legislation within the committee's
jurisdiction.
(f) Legislation Subject to Point of Order.--
(1) In the house of representatives.--After the Congress has
completed action on a concurrent resolution on the budget for a
fiscal year, it shall not be in order in the House of
Representatives to consider any bill, joint resolution, or
amendment providing new budget authority for any fiscal year, or
any conference report on any such bill or joint resolution, if--
(A) the enactment of such bill or resolution as
reported;
[[Page 911]]
(B) the adoption and enactment of such amendment; or
(C) the enactment of such bill or resolution in the
form recommended in such conference report,
would cause the applicable allocation of new budget authority
made under subsection (a) or (b) for the first fiscal year or
the total of fiscal years to be exceeded.
(2) In the senate.--After a concurrent resolution on the
budget is agreed to, it shall not be in order in the Senate to
consider any bill, joint resolution, amendment, motion, or
conference report that would cause--
(A) in the case of any committee except the Committee
on Appropriations, the applicable allocation of new
budget authority or outlays under subsection (a) for the
first fiscal year or the total of fiscal years to be
exceeded; or
(B) in the case of the Committee on Appropriations,
the applicable suballocation of new budget authority or
outlays under subsection (b) to be exceeded.
(g) Pay-as-You-Go Exception in the House.--
(1) In general.--(A) Subsection (f)(1) and, after April 15,
section 303(a) shall not apply to any bill or joint resolution,
as reported, amendment thereto, or conference report thereon if,
for each fiscal year covered by the most recently agreed to
concurrent resolution on the budget--
(i) the enactment of that bill or resolution as
reported;
(ii) the adoption and enactment of that amendment; or
(iii) the enactment of that bill or resolution in the
form recommended in that conference report,
would not increase the deficit, and, if the sum of any revenue
increases provided in legislation already enacted during the
current session (when added to revenue increases, if any, in
excess of any outlay increase provided by the legislation
proposed for consideration) is at least as great as the sum of
the amount, if any, by which the aggregate level of Federal
revenues should be increased as set forth in that concurrent
resolution and the amount, if any, by which revenues are to be
increased pursuant to pay-as-you-go procedures under section
301(b)(8), if included in that concurrent resolution.
(B) Section 311(a), as that section applies to revenues, shall
[[Page 912]]
not apply to any bill, joint resolution,
amendment thereto, or conference report thereon if, for each fiscal
year covered by the most recently agreed to concurrent resolution on
the budget--
(i) the enactment of that bill or resolution as
reported;
(ii) the adoption and enactment of that amendment; or
(iii) the enactment of that bill or resolution in the
form recommended in that conference report,
would not increase the deficit, and, if the sum of any outlay
reductions provided in legislation already enacted during the
current session (when added to outlay reductions, if any, in
excess of any revenue reduction provided by the legislation
proposed for consideration) is at least as great as the sum of
the amount, if any, by which the aggregate level of Federal
outlays should be reduced as required by that concurrent
resolution and the amount, if any, by which outlays are to be
reduced pursuant to pay-as-you-go procedures under section
301(b)(8), if included in that concurrent resolution.
(2) Revised allocations.--(A) As soon as practicable after
Congress agrees to a bill or joint resolution that would have
been subject to a point of order under subsection (f)(1) but for
the exception provided in paragraph (1)(A) or would have been
subject to a point of order under section 311(a) but for the
exception provided in paragraph (1)(B), the chairman of the
Committee on the Budget of the House of Representatives shall
file with the House appropriately revised allocations under
section 302(a) and revised functional levels and budget
aggregates to reflect that bill.
(B) Such revised allocations, functional levels, and budget
aggregates shall be considered for the purposes of this Act as
allocations, functional levels, and budget aggregates contained
in the most recently agreed to concurrent resolution on the
budget.
[[Page 913]]
by deleting all references to
credit authority in subsections (a), (b), (c), and (f), effective for
fiscal years beginning after September 30, 1991. That law also amended
subsections (c) and (f) to standardize their application to bills, joint
resolutions, amendments, motions, or conference reports. Section 302 was
further amended by the Budget Enforcement Act of 1997 (sec. 10106, P.L.
105-33) to: (1) permanently extend the requirement that allocations to
the authorizing committees cover at least a five-year period and to
revert the temporary allocations under former section 602 into section
302; (2) permit a further allocation among defense, nondefense, and
violent crime reduction funding; (3) modify the Appropriation
Committee's default allocation; and (4) clarify the Appropriation
Committee's suballocations to its subcommittees.
Section 302 was amended by the Balanced Budget and Emergency Deficit
Control Act of 1985 (tit. II, P.L. 99-177) to: (1) add appropriate
levels of total entitlement authority and total credit authority to the
allocations required by subsection (a), with all levels further divided
into mandatory and discretionary amounts; (2) add new credit authority
to the subdivisions required of the Appropriations Committees by
subsection (b)(1); (3) redesignate subsection (c) as (d); and (4) add
new subsections (c), (e), (f), and (g). The Budget Enforcement Act of
1990 (tit. XIII, P.L. 101-508) removed credit authority from the purview
of points of order under this section
A point of order under section 302(f) operates with respect to a bill
or joint resolution in reported state and thus does not lie against
consideration of an unreported measure (Mar. 21, 1995, p. ----). Points
of order under section 302(c) apply separately to the consideration of
bills and amendments, and thus a waiver of points of order against
consideration of an appropriation bill prior to the filing of a report
from the Committee on Appropriations allocating new budget authority
among its subcommittees does not extend to an amendment providing new
budget authority in addition to the amounts contained in the bill (July
13, 1987, p. 19514).
An amendment that proposes offsetting increases and decreases in new
budget authority is not subject to a point of order under section 302(f)
(May 9, 1995, p. ----). Amendments to an appropriation bill making a
series of figure changes intended to offset one another and considered
en bloc, are subject to points of order under section 302(f) where the
intended reductions in new discretionary budget authority fail to offset
increases in such authority, so that the net effect of the amendments is
to cause the bill to exceed the appropriate allocation of new
discretionary budget authority made pursuant to section 302(b) for the
fiscal year (July 30, 1986, p. 18154). An amendment that provides no new
budget authority or outlays but instead results in outlay savings is not
subject to a point of order under section 302(f) (June 30, 1987, p.
18303).
[[Page 914]]
of the pertinent allocation of such authority to the Committee on Merchant
Marine and Fisheries (July 18, 1991, p. 18860). An amendment proposing to
strike from a general appropriation bill a proviso stating that a specified
increment of new discretionary budget authority ostensibly provided by the
bill would ``become available for obligation only upon the enactment of
future appropriations legislation'' was held to cause the bill to provide
additional new discretionary budget authority in that incremental
amount, in breach of the pertinent allocation under sections 302 and 602
of the Budget Act, and therefore in violation of section 302(f) of that
Act (June 26, 1996, p. ----).
Where a Senate amendment proposed to increase certain loan guarantees
that were estimated by the Budget Committee to breach the subcommittee
subdivision of new credit authority (as then required by this section),
the Chair sustained a point of order under section 302(f) against a
motion to concur therein (Oct. 20, 1990, p. ----). Where a limitation on
funds in a general appropriation bill was estimated under section 302(g)
to provide negative new budget authority in an amount sufficient to
avoid a breach of the pertinent allocation of such authority, an
amendment striking the limitation from the bill was held to provide new
budget authority causing such a breach, in violation of section 302(f)
(June 26, 1991, p. 16474). An amendment delaying the imposition of a
certain monetary penalty was held to violate section 302(f) on the basis
of estimates that, by foregoing offsetting receipts, it provided new
budget authority in excess
The 104th Congress authorized the chairman of the Committee on the
Budget to revise existing allocations under this section among
committees of the House to reflect changes in jurisdiction under clause
1 of rule X and to publish the revised allocations in the Congressional
Record, to the end that the revised allocations be effective in the
House as though made pursuant to sections 302(a) and 602(a) of the
Congressional Budget Act of 1974 (sec. 202(c), H. Res. 6, Jan. 4, 1995,
p. ----).
concurrent resolution on the budget must be adopted before budget-
related legislation is considered
Sec. 303. (a) In General.--Until the concurrent resolution on the
budget for a fiscal year has been agreed to, it shall not be in order in
the House of Representatives, with respect to the first fiscal year
covered by that resolution, or the Senate, with respect to any fiscal
year covered by that resolution, to consider any bill or joint
resolution, amendment or motion thereto, or conference report thereon
that--
(1) first provides new budget authority for that fiscal year;
(2) first provides an increase or decrease in revenues during
that fiscal year;
(3) provides an increase or decrease in the public debt limit
to become effective during that fiscal year;
(4) in the Senate only, first provides new entitlement
authority for that fiscal year; or
(5) in the Senate only, first provides for an increase or
decrease in outlays for that fiscal year.
(b) Exceptions in the House.--In the House of Representatives,
subsection (a) does not apply--
(1)(A) to any bill or joint resolution, as reported, providing
advance discretionary new budget authority that first becomes
available for the first or second fiscal year after the budget
year; or
(B) to any bill or joint resolution, as reported, first
[[Page 915]]
increasing or decreasing revenues in a fiscal year fol-
lowing the fiscal year to which the concurrent resolution applies;
(2) after May 15, to any general appropriation bill or
amendment thereto; or
(3) to any bill or joint resolution unless it is reported by a
committee.
(c) Application to Appropriation Measures in the Senate.--
(1) In general.--Until the concurrent resolution on the budget
for a fiscal year has been agreed to and an allocation has been
made to the Committee on Appropriations of the Senate under
section 302(a) for that year, it shall not be in order in the
Senate to consider any appropriation bill or joint resolution,
amendment or motion thereto, or conference report thereon for
that year or any subsequent year.
(2) Exception.--Paragraph (1) does not apply to appropriations
legislation making advance appropriations for the first or
second fiscal year after the year the allocation referred to in
that paragraph is made.
The Balanced Budget and Emergency Deficit Control Act of 1985 (tit.
II, P.L. 99-177) amended subsection 303(a) by: (1) adding the phrase
``as reported to the House or Senate''; (2) modifying paragraph (4) to
apply to new entitlement authority; and (3) adding a paragraph (5)
relating to new credit authority. The same law amended subsection (b) by
adding the May 15th exception for general appropriation bills. The
Budget Enforcement Act of 1990 (tit. XIII, P.L. 101-508) amended
subsection (a) to standardize its application to bills, joint
resolutions, amendments, motions, or conference reports, and by deleting
the reference in paragraph (5) to new credit authority. That law also
subdivided subsection (b) into paragraphs relating to exceptions in the
House and Senate. Section 303 was rewritten by the Budget Enforcement
Act of 1997 (sec. 10107, P.L. 105-33) to simplify the section, drop
obsolete provisions, make certain conforming changes, and to eliminate
references to ``new entitlement authority'' and ``new credit
authority.''
A point of order under section 303(a) operates with respect to a bill
or joint resolution in reported state and thus does not lie against
consideration of an unreported measure (Mar. 21, 1995, p. ----).
[[Page 916]]
a concurrent resolution had been adopted), and
since the section 303(b) exception, permitting certain advance budget
authority, does not apply in the case of new entitlement authority
(Speaker Albert, Sept. 30, 1976, pp. 34074-75). An amendment providing
new budget authority for a fiscal year before adoption of a budget
resolution for that year was held to violate section 303, where points
of order under that section had been waived against the pending bill but
not against amendments (Aug. 1, 1984, p. 21871; July 17, 1985, pp.
19435, 19463 (amendment contained in motion to recommit with
instructions)).
A conference report containing revenue-sharing provisions in the form
of new entitlement authority as described in section 401(c)(2)(C) of the
Budget Act to become effective in fiscal years 1978 through 1980 in
amounts greater than the amount in fiscal year 1977 was ruled out on a
point of order under section 303(a), since the first concurrent
resolution on the budget for those future fiscal years had not yet been
adopted and the increased entitlements could not be considered merely
continuations of entitlement authority that became effective in fiscal
year 1977 (for which
To a bill providing eligibility for certain entitlement benefits to
become effective in the fiscal year for which a budget resolution had
been adopted, an amendment allowing a deduction in computing household
income to determine eligibility effective in the next following fiscal
year, to reflect changes in shelter and utility costs, was ruled out as
providing new entitlement authority to become effective in a fiscal year
for which a concurrent resolution on the budget had not been adopted, in
violation of section 303(a)(4) (July 27, 1977, pp. 25222-23).
To a bill partially replacing an existing mandatory student loan
(entitlement) program with a new discretionary program, an amendment
reducing the discretionary program and commensurately restoring the
mandatory program was held to violate section 303(a) by providing new
entitlement authority for the ensuing fiscal year prior to the adoption
of a concurrent resolution on the budget for that fiscal year (Mar. 26,
1992, p. ----). Amendments enlarging the class of persons eligible for,
or increasing the amount of, a government subsidy (lower interest
payments on student loans) have been held to violate section 303(a) by
providing new entitlement authority for the ensuing fiscal year prior to
the adoption of a concurrent resolution on the budget for that fiscal
year (Mar. 26, 1992, pp. ----, ----, ----, ----, and ----).
An amendment repealing an agricultural marketing (entitlement) program
for peanuts over a five-year period was nevertheless held to provide new
budget authority for the ensuing fiscal year prior to the adoption of
the budget resolution for that year, in violation of section 303(a),
where the Chair was persuaded by estimates from the Congressional Budget
Office that economic conditions under that repeal would result in
decreased receipts and increased federal outlays during that first
fiscal year (July 25, 1990, p. 19155).
An amendment imposing fees on generated electric energy, to be
deposited in a trust fund, and effective in the ensuing fiscal year, was
held to violate section 303(a)(3) by increasing revenues effective in
the ensuing fiscal year, for which a budget resolution had yet to be
adopted (July 23, 1985, p. 20041).
[[Page 917]]
budget for that fiscal year had not yet been adopted
(Oct. 1, 1976, pp. 34554-57). Similarly, an amendment in the Senate to a
Defense authorization bill, providing a new entitlement program of
educational assistance to members and veterans of the armed forces, to
become effective in a future fiscal year, was held to provide new
entitlement authority before the adoption of the budget resolution for
that year, in violation of section 303(a) (July 13, 1983, p. 19018; see
also June 13, 1984, p. 16104).
In the Senate, the Chair indicated in response to a parliamentary
inquiry that an amendment providing new entitlement authority to become
effective in fiscal year 1978, in the form of supplemental security
income benefits, would violate section 303(a) since the concurrent
resolution on the
The Committee on the Budget of the House of Representatives
determined, as stated in its second report on the implementation of
congressional budget procedures for fiscal year 1976 (H. Rept. No. 94-
457, Oct. 8, 1975), that the section 303(b) exemption for certain
advance budget or revenue authority ceases to apply with the beginning
of the fiscal year in question. Therefore, on or after October 1, 1975,
the beginning of fiscal year 1976, budget authority or revenue measures
to become effective in fiscal year 1977, could no longer be considered
under the 303(b) exception but would have to await the final adoption in
May of the first concurrent resolution on the budget for fiscal year
1977. But the Senate in the 95th Congress overruled a decision of its
Presiding Officer holding that the section 303(b) exemption ceased to
apply after the beginning of the fiscal year preceding the fiscal year
for which revenue changes were proposed (Oct. 5, 1978, pp. 33945-50).
permissible revisions of concurrent resolutions on the budget
Sec. 304. At any time after the concurrent resolution on the budget
for a fiscal year has been agreed to pursuant to section 301, and before
the end of such fiscal year, the two Houses may adopt a concurrent
resolution on the budget which revises or reaffirms the concurrent
resolution on the budget for such fiscal year most recently agreed to.
provisions relating to the consideration of concurrent resolutions on
The Budget Enforcement Act of 1990 (tit. XIII, P.L. 101-508) deleted a
subsection (b), relating to maximum deficit amount requirements for
revised budget resolutions, that had been added by the Balanced Budget
and Emergency Deficit Control Act of 1985 (tit. II, P.L. 99-177), and
redesignated the subsection on economic assumptions, originally added by
Public Law 100-119, as (b). The latter subsection (b) was deleted by the
Budget Enforcement Act of 1997 (sec. 10108, P.L. 105-33).
the budget
Sec. 305. (a) Procedure in House of Representatives After Report of
Committee; Debate.--
(1) When a concurrent resolution on the budget has been
reported by the Committee on the Budget of the House of
[[Page 918]]
Representatives and has been referred to the
appropriate calendar of the House, it shall be in order on any day
thereafter, subject to clause 2(l)(6) of rule XI of the Rules of
the House of Representatives, to move to proceed to the
consideration of the concurrent resolution. The motion is highly
privileged and is not debatable. An amendment to the motion is
not in order and it is not in order to move to reconsider the
vote by which the motion is agreed to or disagreed to.
(2) General debate on any concurrent resolution on the budget
in the House of Representatives shall be limited to not more
than 10 hours, which shall be divided equally between the
majority and minority parties, plus such additional hours of
debate as are consumed pursuant to paragraph (3). A motion
further to limit debate is not debatable. A motion to recommit
the concurrent resolution is not in order, and it is not in
order to move to reconsider the vote by which the concurrent
resolution is agreed to or disagreed to.
(3) Following the presentation of opening statements on the
concurrent resolution on the budget for a fiscal year by the
chairman and ranking minority member of the Committee on the
Budget of the House, there shall be a period of up to four hours
for debate on economic goals and policies.
(4) Only if a concurrent resolution on the budget reported by
the Committee on the Budget of the House sets forth the economic
goals (as described in sections 3(a)(2) and (4)(b) of the Full
Employment Act of 1946) which the estimates, amounts, and levels
(as described in section 301(a)) set forth in such resolution
are designed to achieve, shall it be in order to offer to such
resolution an amendment relating to such goals, and such
amendment shall be in order only if it also proposes to alter
such estimates, amounts, and levels in germane fashion in order
to be consistent with the goals proposed in such amendment.
(5) Consideration of any concurrent resolution on the budget
by the House of Representatives shall be in the Committee of the
Whole, and the resolution shall be considered for amendment
under the five-minute rule in accordance with the applicable
provisions of rule XXIII of the Rules of the House of
Representatives. After the Committee rises and reports the
resolution back to the House, the previous question shall be
[[Page 919]]
considered as ordered on the resolution
and any amendments thereto to final passage without intervening
motion; except that it shall be in order at any time prior to final
passage (notwithstanding any other rule or provision of law) to
adopt an amendment (or a series of amendments) changing any figure
or figures in the resolution as so reported to the extent necessary
to achieve mathematical consistency.
(6) Debate in the House of Representatives on the conference
report on any concurrent resolution on the budget shall be
limited to not more than 5 hours, which shall be divided equally
between the majority and minority parties. A motion further to
limit debate is not debatable. A motion to recommit the
conference report is not in order, and it is not in order to
move to reconsider the vote by which the conference report is
agreed to or disagreed to.
(7) Appeals from decisions of the Chair relating to the
application of the Rules of the House of Representatives to the
procedure relating to any concurrent resolution on the budget
shall be decided without debate.
The Balanced Budget and Emergency Deficit Control Act of 1985 (tit.
II, P.L. 99-177) amended section 305 in several places, with the most
important changes being the reduction in the availability requirement
for the committee report on a budget resolution to five days (from ten)
and the addition of a one-day availability requirement for any report
thereon from the Committee on Rules. The Full Employment and Balanced
Growth Act of 1978 (P.L. 95-523) amended this subsection by adding
subparagraphs (3) and (4) and making conforming changes relating to
debate and amendments on economic goals and policies during
consideration of the first concurrent resolution on the budget in the
House. A similar addition was made in subparagraphs (3) and (4),
relating to Senate procedure. The Budget Enforcement Act of 1997 (sec.
10109, P.L. 105-33) amended section 305(a)(1) to provide a three-day
layover requirement for the concurrent resolution on the budget.
[[Page 920]]
contain all the matter set forth in subsections 301(a)(1) through (5). On
one occasion, the Chairman of the Committee on the Budget offered a
``mathematical consistency'' amendment in Committee of the Whole,
rather than in the House (Apr. 29, 1976, p. 11916).
General debate on economic goals and policies under subsection (a)(3)
must be confined to that subject (Apr. 23, 1980, p. 8815). Clause 8 of
rule XXIII, as added in the 95th Congress (H. Res. 5, Jan. 4, 1977, pp.
53-70) requires that any concurrent resolution on the budget (consisting
of both aggregate totals and functional categories) be considered as
read and open to amendment at any point, and unanimous consent is
required to read such a concurrent resolution by section in order to
allow amendments to aggregates to be considered before amendments to
functional categories (May 2, 1978, pp. 12074-75). Clause 8 of rule
XXIII was further amended in the 96th Congress (H. Res. 5, Jan. 4, 1979,
pp. 7-16) to require that amendments to budget resolutions achieve
mathematical consistency and
A concurrent resolution on the budget is subject to a demand for a
division of the question if, for example, the resolution grammatically
and substantively relates to different fiscal years (May 7, 1980, pp.
10185-87), or includes a separate, hortatory section having its own
grammatical and substantive meaning (Mar. 5, 1992, p. ----).
Where a perfecting amendment changing several figures in a concurrent
resolution on the budget was pending in Committee of the Whole, the
Chair indicated that adoption of that amendment would preclude a further
amendment merely changing those figures but would not preclude a more
comprehensive amendment changing other (unamended) portions of the
resolution (Apr. 28, 1976, p. 11599).
While under this paragraph there can be up to five hours of debate on
a conference report on a concurrent resolution on the budget, where the
conferees report in total disagreement, debate on the motion to dispose
of the amendment in disagreement is under the ``hour rule'' and is
equally divided and controlled between the majority and minority parties
under clause 2(b) of rule XXVIII (May 13, 1976, p. 13756; Sept. 16,
1976, p. 30182).
In the 96th Congress, for the first time, the Committee on Rules
reported and the House adopted a special order permitting only certain
designated amendments to be offered to a concurrent resolution on the
budget (H. Res. 642, Apr. 23, 1980, pp. 8789-90). The House has adopted
similar ``modified closed rules'' for the consideration of concurrent
resolutions on the budget in each subsequent Congress. In the 98th
Congress, a special order (H. Res. 144, Mar. 22, 1983, p. 6503) waiving
the existing 10-day layover requirement of section 305(a)(1) was
construed not to have waived the separate three-day layover requirement
of clause 2(l)(6) of rule XI (since amended in the 102d Congress (H.
Res. 5, Jan. 3, 1991, p. 39) to conform to the five-day layover
requirement of this section). The House has adopted resolutions
recommended by the Committee on Rules to ``deem'' House-passed budget
resolutions to be in place for temporary enforcement (July 24, 1985, p.
20181; June 19, 1990, p. 14612).
(b) Procedure in Senate After Report of Committee; Debate;
Amendments.--
(1) Debate in the Senate on any concurrent resolution on the
budget, and all amendments thereto and debatable motions and
appeals in connection therewith, shall be limited to not more
than 50 hours, except that with respect to any concurrent
resolution referred to in section 304(a) all such debate shall
be limited to not more than 15 hours. The time shall be equally
divided between, and controlled by, the majority leader and the
[[Page 921]]
minority leader or their designees.
(2) Debate in the Senate on any amendment to a concurrent
resolution on the budget shall be limited to 2 hours, to be
equally divided between, and controlled by, the mover and the
manager of the concurrent resolution, and debate on any
amendment to an amendment, debatable motion, or appeal shall be
limited to 1 hour, to be equally divided between, and controlled
by, the mover and the manager of the concurrent resolution,
except that in the event the manager of the concurrent
resolution is in favor of any such amendment, motion, or appeal,
the time in opposition thereto shall be controlled by the
minority leader or his designee. No amendment that is not
germane to the provisions of such concurrent resolution shall be
received. Such leaders, or either of them, may, from the time
under their control on the passage of the concurrent resolution,
allot additional time to any Senator during the consideration of
any amendment, debatable motion, or appeal.
(3) Following the presentation of opening statements on the
concurrent resolution on the budget for a fiscal year by the
chairman and ranking minority member of the Committee on the
Budget of the Senate, there shall be a period of up to four
hours for debate on economic goals and policies.
(4) Subject to the other limitations of this Act, only if a
concurrent resolution on the budget reported by the Committee on
the Budget of the Senate sets forth the economic goals (as
described in sections 3(a)(2) and 4(b) of the Employment Act of
1946) which the estimates, amounts, and levels (as described in
section 301(a)) set forth in such resolution are designed to
achieve, shall it be in order to offer to such resolution an
amendment relating to such goals, and such amendment shall be in
order only if it also proposes to alter such estimates, amounts,
and levels in germane fashion in order to be consistent with the
goals proposed in such amendment.
(5) A motion to further limit debate is not debatable. A
motion to recommit (except a motion to recommit with
instructions to report back within a specified number of days,
not to exceed 3, not counting any day on which the Senate is not
in session) is not in order. Debate on any such motion to
recommit shall be limited to 1 hour, to be equally divided
[[Page 922]]
between, and con-
trolled by, the mover and the manager of the concurrent resolution.
(6) Notwithstanding any other rule, an amendment or series of
amendments to a concurrent resolution on the budget proposed in
the Senate shall always be in order if such amendment or series
of amendments proposes to change any figure or figures then
contained in such concurrent resolution so as to make such
concurrent resolution mathematically consistent or so as to
maintain such consistency.
(c) Action on Conference Reports in the Senate.--
(1) A motion to proceed to the consideration of the conference
report on any concurrent resolution on the budget (or a
reconciliation bill or resolution) may be made even though a
previous motion to the same effect has been disagreed to.
(2) During the consideration in the Senate of the conference
report (or a message between Houses) on any concurrent
resolution on the budget, and all amendments in disagreement,
and all amendments thereto, and debatable motions and appeals in
connection therewith, debate shall be limited to 10 hours, to be
equally divided between, and controlled by, the majority leader
and minority leader or their designees. Debate on any debatable
motion or appeal related to the conference report (or a message
between Houses) shall be limited to 1 hour, to be equally
divided between, and controlled by, the mover and the manager of
the conference report (or a message between Houses).
(3) Should the conference report be defeated, debate on any
request for a new conference and the appointment of conferees
shall be limited to 1 hour, to be equally divided between, and
controlled by, the manager of the conference report and the
minority leader or his designee, and should any motion be made
to instruct the conferees before the conferees are named, debate
on such motion shall be limited to one-half hour, to be equally
divided between, and controlled by, the mover and the manager of
the conference report. Debate on any amendment to any such
instructions shall be limited to 20 minutes, to be equally
divided between and controlled by the mover and the manager of
the conference report. In all cases when the manager of the
conference report is in favor of any motion, appeal, or
[[Page 923]]
amendment, the time in opposition
shall be under the control of the minority leader or his designee.
(4) In any case in which there are amendments in disagreement,
time on each amendment shall be limited to 30 minutes, to be
equally divided between, and controlled by, the manager of the
conference report and the minority leader or his designee. No
amendment that is not germane to the provisions of such
amendments shall be received.
(d) Concurrent Resolution Must Be Consistent in the Senate.--It shall
not be in order in the Senate to vote on the question of agreeing to--
(1) a concurrent resolution on the budget unless the figures
then contained in such resolution are mathematically consistent;
or
(2) a conference report on a concurrent resolution on the
budget unless the figures contained in such resolution, as
recommended in such conference report, are mathematically
consistent.
legislation dealing with congressional budget must be handled by budget
The Budget Enforcement Act of 1990 (tit. XIII, P.L. 101-508) deleted a
subsection (d), which required action by budget conferees within seven
days, and redesignated the succeeding subsection.
committees
Sec. 306. No bill, resolution, amendment, motion, or conference
report, dealing with any matter which is within the jurisdiction of the
Committee on the Budget of either House shall be considered in that
House unless it is a bill or resolution which has been reported by the
Committee on the Budget of that House (or from the consideration of
which such committee has been discharged) or unless it is an amendment
to such a bill or resolution.
The Budget Enforcement Act of 1990 (tit. XIII, P.L. 101-508) amended
this section by standardizing its application to any bill, resolution,
amendment, motion, or conference report. The 104th Congress expanded the
legislative jurisdiction of the Committee on the Budget (sec. 202(a), H.
Res. 6, Jan. 4, 1995, p. ----). See clause 1(d) of rule X, supra.
[[Page 924]]
discharged consistent with, and not in violation of, this section (Mar.
13, 1986, p. 4638).
A special order of business adopted by the House providing for
consideration of an unreported concurrent resolution on the budget upon
the Speaker's declaration that the House be resolved into the Committee
of the Whole has the effect of discharging the Budget Committee when so
announced by the Speaker, and need not contain the term ``discharge'' or
waive points of order under this section, since the concurrent
resolution is effectively
In the Senate, to an omnibus revenue bill reported from the Senate
Committee on Finance containing certain tax credits, an amendment
expressing the sense of Congress that under the Congressional Budget Act
process the continuation of tax credits would be offset by reductions in
Federal spending was held to violate section 306 and was ruled out of
order (June 18, 1976, pp. 19089-97). In the Senate, to a bill making
comprehensive amendments to the Social Security Act, an amendment
removing social security trust funds from the ``unified budget'' and
establishing separate aggregate and functional categories in all
concurrent resolutions on the budget for social security trust funds was
held to be a matter within the jurisdiction of the Senate Budget
Committee and ruled out of order under section 306 (Mar. 22, 1983, p.
6590).
house committee action on all appropriation bills to be completed by
june 10
Sec. 307. On or before June 10 of each year, the Committee on
Appropriations of the House of Representatives shall report annual
appropriation bills providing new budget authority under the
jurisdiction of all of its subcommittees for the fiscal year which
begins on October 1 of that year.
This section was rewritten by the Balanced Budget and Emergency
Deficit Control Act of 1985 (tit. II, P.L. 99-177) to establish June
10th as the annual target date for completion of House committee action
on all regular appropriation bills.
reports, summaries, and projections of congressional budget actions
Sec. 308. (a) Reports on Legislation Providing New Budget Authority or
Providing an Increase or Decrease in Revenues or Tax Expenditures.--
(1) Whenever a committee of either House reports to its House
a bill or joint resolution, or committee amendment thereto,
providing new budget authority (other than continuing
appropriations) or providing an increase or decrease in revenues
or tax expenditures for a fiscal year (or fiscal years), the
report accompanying that bill or joint resolution shall contain
a statement, or the committee shall make available such a
statement in the case of an approved committee amendment which
is not reported to its House, prepared after consultation with
[[Page 925]]
the Director of the Congressional Budget Office--
(A) comparing the levels in such measure to the
appropriate allocations in the reports submitted under
section 302(b) for the most recently agreed to
concurrent resolution on the budget for such fiscal year
(or fiscal years);
(B) containing a projection by the Congressional
Budget Office of how such measure will affect the levels
of such budget authority, budget outlays, revenues, or
tax expenditures under existing law for such fiscal year
(or fiscal years) and each of the four ensuing fiscal
years, if timely submitted before such report is filed;
and
(C) containing an estimate by the Congressional Budget
Office of the level of new budget authority for
assistance to State and local governments provided by
such measure, if timely submitted before such report is
filed.
(2) Whenever a conference report is filed in either House and
such conference report or any amendment reported in disagreement
or any amendment contained in the joint statement of managers to
be proposed by the conferees in the case of technical
disagreement on such bill or joint resolution provides new
budget authority (other than continuing appropriations) or
provides an increase or decrease in revenues for a fiscal year
(or fiscal years), the statement of managers accompanying such
conference report shall contain the information described in
paragraph (1), if available on a timely basis. If such
information is not available when the conference report is
filed, the committee shall make such information available to
Members as soon as practicable prior to the consideration of
such conference report.
(b) Up-To-Date Tabulations of Congressional Budget Action.--
(1) The Director of the Congressional Budget Office shall
issue to the committees of the House of Representatives and the
Senate reports on at least a monthly basis detailing and
tabulating the progress of congressional action on bills and
joint resolutions providing new budget authority or providing an
increase or decrease in revenues or tax expenditures for each
fiscal year covered by a concurrent resolution on the budget.
Such reports shall include but are not limited to an up-to-date
tabulation comparing the appropriate aggregate and functional
[[Page 926]]
levels (including outlays) in-
cluded in the most recently adopted concurrent resolution on the
budget with the levels provided in bills and joint resolutions
reported by committees or adopted by either House or by the
Congress, and with the levels provided by law for the fiscal year
preceding the first fiscal year covered by the appropriate
concurrent resolution.
(2) The Committee on the Budget of each House shall make
available to Members of its House summary budget scorekeeping
reports. Such reports--
(A) shall be made available on at least a monthly
basis, but in any case frequently enough to provide
Members of each House an accurate representation of the
current status of congressional consideration of the
budget;
(B) shall include, but are not limited to summaries of
tabulations provided under subsection (b)(1); and
(C) shall be based on information provided under
subsection (b)(1) without substantive revision.
The chairman of the Committee on the Budget of the House of
Representatives shall submit such reports to the Speaker.
(c) Five-Year Projection of Congressional Budget Act.--As soon as
practicable after the beginning of each fiscal year, the Director of the
Congressional Budget Office shall issue a report projecting for the
period of 5 fiscal years beginning with such fiscal year--
(1) total new budget authority and total budget outlays for
each fiscal year in such period;
(2) revenues to be received and the major sources thereof, and
the surplus or deficit, if any, for each fiscal year in such
period;
(3) tax expenditures for each fiscal year in such period; and
(4) entitlement authority for each fiscal year in such period.
[[Page 927]]
tion, as well as subsections (b) and (c).
The Budget Enforcement Act of 1990 (tit. XIII, P.L. 101-508) made
conforming changes to subsections (a) and (b) to reflect the advent of
five-year budget resolutions (see section 606, infra). Certain technical
and conforming changes were made to this section by the Budget
Enforcement Act of 1997 (sec. 10110, P.L. 105-33).
The Balanced Budget and Emergency Deficit Control Act of 1985 (tit.
II, P.L. 99-177) expanded the scope of subsection (a) to apply not only
to reports on legislation providing budget authority and tax
expenditures but also to reports on legislation providing new spending
authority, new credit authority, and changes in revenues. That law also
added the requirement that the same information be available to Members
prior to consideration of conference reports or amendments in
disagreement on such legisla-
Section 308(a)(1) does not apply either to the consideration or to the
adoption of a special order reported from the Committee on Rules ``self-
executing'' the adoption in the House of an amendment providing new
budget authority, since the amendment is not separately before the House
during consideration of the special order (but only when the bill of
which it becomes a part is before the House), and since it is the
amendment itself, and not the special order resolution, that provides
the new budget authority (Feb. 24, 1993, p. ----). A committee cost
estimate identifying certain spending authority as recurring annually
and indefinitely was held necessarily to address the five-year period
required by this section (Nov. 20, 1993, p. ----).
house approval of regular appropriation bills
Sec. 309. It shall not be in order in the House of Representatives to
consider any resolution providing for an adjournment period of more than
three calendar days during the month of July until the House of
Representatives has approved annual appropriation bills providing new
budget authority under the jurisdiction of all the subcommittees of the
Committee on Appropriations for the fiscal year beginning on October 1
of such year. For purposes of this section, the chairman of the
Committee on Appropriations of the House of Representatives shall
periodically advise the Speaker as to changes in jurisdiction among its
various subcommittees.
The Balanced Budget and Emergency Deficit Control Act of 1985 (tit.
II, P.L. 99-177) amended this section to establish the point of order
against consideration of an adjournment resolution for more than three
days during July unless the House has passed all of the regular annual
appropriation bills. See also section 310(f), infra.
reconciliation
Sec. 310. (a) Inclusion of Reconciliation Directives in Concurrent
Resolutions on the Budget.--A concurrent resolution on the budget for
any fiscal year, to the extent necessary to effectuate the provisions
and requirements of such resolution, shall--
(1) specify the total amount by which--
[[Page 928]]
(A) new budget authority for such fiscal year;
(B) budget authority initially provided for prior
fiscal years;
(C) new entitlement authority which is to become
effective during such fiscal year; and
(D) credit authority for such fiscal year,
contained in laws, bills, and resolutions within the
jurisdiction of a committee is to be changed and direct that
committee to determine and recommend changes to accomplish a
change of such total amount;
(2) specify the total amount by which revenues are to be
changed and direct that the committees having jurisdiction to
determine and recommend changes in the revenue laws, bills, and
resolutions to accomplish a change of such total amount;
(3) specify the amounts by which the statutory limit on the
public debt is to be changed and direct the committee having
jurisdiction to recommend such change; or
(4) specify and direct any combination of the matters
described in paragraphs (1), (2), and (3) (including a direction
to achieve deficit reduction).
(b) Legislative Procedure.--If a concurrent resolution containing
directives to one or more committees to determine and recommend changes
in laws, bills, or resolutions is agreed to in accordance with
subsection (a), and--
(1) only one committee of the House or the Senate is directed
to determine and recommend changes, that committee shall
promptly make such determination and recommendations and report
to its House reconciliation legislation containing such
recommendations; or
(2) more than one committee of the House or the Senate is
directed to determine and recommend changes, each such committee
so directed shall promptly make such determination and
recommendations and submit such recommendations to the Committee
on the Budget of its House, which upon receiving all such
recommendations, shall report to its House reconciliation
legislation carrying out all such recommendations without any
[[Page 929]]
substantive revision.
For purposes of this subsection, a reconciliation resolution is a
concurrent resolution directing the Clerk of the House of
Representatives or the Secretary of the Senate, as the case may be, to
make specified changes in bills and resolutions which have not been
enrolled.
(c) Compliance With Reconciliation Directions.--(1) Any committee of
the House of Representatives or the Senate that is directed, pursuant to
a concurrent resolution on the budget, to determine and recommend
changes of the type described in paragraphs (1) and (2) of subsection
(a) with respect to laws within its jurisdiction, shall be deemed to
have complied with such directions--
(A) if--
(i) the amount of the changes of the type described in
paragraph (1) of such subsection recommended by such
committee do not exceed or fall below the amount of the
changes such committee was directed by such concurrent
resolution to recommend under that paragraph by more
than--
(I) in the Senate, 20 percent of the total of
the amounts of the changes such committee was
directed to make under paragraphs (1) and (2) of
such subsection; or
(II) in the House of Representatives, 20 percent
of the sum of the absolute value of the changes the
committee was directed to make under paragraph (1)
and the absolute value of the changes the committee
was directed to make under paragraph (2); and
(ii) the amount of the changes of the type described
in paragraph (2) of such subsection recommended by such
committee do not exceed or fall below the amount of the
changes such committee was directed by such concurrent
resolution to recommend under that paragraph by more
than--
(I) in the Senate, 20 percent of the total of
the amounts of the changes such committee was
directed to make under paragraphs (1) and (2) of
such subsection; or
(II) in the House of Representatives, 20 percent
of the sum of the absolute value of the changes the
committee was directed to make under paragraph (1)
and the absolute value of the changes the committee
was directed to make under paragraph (2); and
(B) if the total amount of the changes recommended by such
committee is not less than the total of the amounts of the
[[Page 930]]
changes such committee was directed
to make under paragraphs (1) and (2) of such subsection.
(2)(A) Upon the reporting to the Committee on the Budget of
the Senate of a recommendation that shall be deemed to have
complied with such directions solely by virtue of this
subsection, the chairman of that committee may file with the
Senate appropriately revised allocations under section 302(a)
and revised functional levels and aggregates to carry out this
subsection.
(B) Upon the submission to the Senate of a conference
report recommending a reconciliation bill or resolution in
which a committee shall be deemed to have complied with such
directions solely by virtue of this subsection, the chairman
of the Committee on the Budget of the Senate may file with
the Senate appropriately revised allocations under section
302(a) and revised functional levels and aggregates to carry
out this subsection.
(C) Allocations, functional levels, and aggregates revised
pursuant to this paragraph shall be considered to be
allocations, functional levels, and aggregates contained in
the concurrent resolution on the budget pursuant to section
301.
(D) Upon the filing of revised allocations pursuant to
this paragraph, the reporting committee shall report revised
allocations pursuant to section 302(b) to carry out this
subsection.
(d) Limitation on Amendments to Reconciliation Bills and
Resolutions.--
(1) It shall not be in order in the House of Representatives
to consider any amendment to a reconciliation bill or
reconciliation resolution if such amendment would have the
effect of increasing any specific budget outlays above the level
of such outlays provided in the bill or resolution (for the
fiscal years covered by the reconciliation instructions set
forth in the most recently agreed to concurrent resolution on
the budget), or would have the effect of reducing any specific
Federal revenues below the level of such revenues provided in
the bill or resolution (for such fiscal years), unless such
amendment makes at least an equivalent reduction in other
specific budget outlays, an equivalent increase in other
specific Federal revenues, or an equivalent combination thereof
(for such fiscal years), except that a motion to strike a
[[Page 931]]
provision
providing new budget authority or new entitlement authority may
be in order.
(2) It shall not be in order in the Senate to consider any
amendment to a reconciliation bill or reconciliation resolution
if such amendment would have the effect of decreasing any
specific budget outlay reductions below the level of such outlay
reductions provided (for the fiscal years covered) in the
reconciliation instructions which relate to such bill or
resolution set forth in a resolution providing for
reconciliation, or would have the effect of reducing Federal
revenue increases below the level of such revenue increases
provided (for such fiscal years) in such instructions relating
to such bill or resolution, unless such amendment makes a
reduction in other specific budget outlays, an increase in other
specific Federal revenues, or a combination thereof (for such
fiscal years) at least equivalent to any increase in outlays or
decrease in revenues provided by such amendment, except that a
motion to strike a provision shall always be in order.
(3) Paragraphs (1) and (2) shall not apply if a declaration of
war by the Congress is in effect.
(4) For purposes of this section, the levels of budget outlays
and Federal revenues for a fiscal year shall be determined on
the basis of estimates made by the Committee on the Budget of
the House of Representatives or of the Senate, as the case may
be.
(5) The Committee on Rules of the House of Representatives may
make in order amendments to achieve changes specified by
reconciliation directives contained in a concurrent resolution
on the budget if a committee or committees of the House fail to
submit recommended changes to its Committee on the Budget
pursuant to its instruction.
(e) Procedure in the Senate.--
(1) Except as provided in paragraph (2), the provisions of
section 305 for the consideration in the Senate of concurrent
resolutions on the budget and conference reports thereon shall
also apply to the consideration in the Senate of reconciliation
bills reported under subsection (b) and conference reports
thereon.
(2) Debate in the Senate on any reconciliation bill reported
under subsection (b), and all amendments thereto and debatable
[[Page 932]]
motions and appeals in connec-
tion therewith, shall be limited to not more than 20 hours.
(f) Completion of Reconciliation Process.--It shall not be in order in
the House of Representatives to consider any resolution providing for an
adjournment period of more than three calendar days during the month of
July until the House of Representatives has completed action on the
reconciliation legislation for the fiscal year beginning on October 1 of
the calendar year to which the adjournment resolution pertains, if
reconciliation legislation is required to be reported by the concurrent
resolution on the budget for such fiscal year.
(g) Limitation on Changes to the Social Security Act.--Notwithstanding
any other provision of law, it shall not be in order in the Senate or
the House of Representatives to consider any reconciliation bill or
reconciliation resolution reported pursuant to a concurrent resolution
on the budget agreed to under section 301 or 304, or a joint resolution
pursuant to section 258C of the Balanced Budget and Emergency Deficit
Control Act of 1985, or any amendment thereto or conference report
thereon, that contains recommendations with respect to the old-age,
survivors, and disability insurance program established under title II
of the Social Security Act.
[[Page 933]]
Until the enactment of the Balanced Budget and Emergency Deficit
Control Act of 1985 (tit. II, P.L. 99-177) this section required the
Congress to complete action on a concurrent resolution on the budget,
normally the second for that fiscal year, reaffirming or revising the
most recent previous agreed to concurrent resolution on the budget. It
also permitted the second budget resolution to implement the
reconciliation process (instructions to committees to make changes in
law necessary to achieve the changes in spending or revenues
contemplated by the budget resolution). The Balanced Budget and
Emergency Deficit Control Act of 1985 (tit. II, P.L. 99-177) amended
subsection (a) to eliminate the requirement for subsequent budget
resolutions and specified the reconciliation process in greater detail
by adding paragraph (1)(D) to subsection (a) along with new subsections
(b) through (g). The Budget Enforcement Act of 1990 (tit. XIII, P.L.
101-508) amended subsection (c), relating to adjustments to allocations
in the Senate, and deleted from subsection (f) a June 15 deadline for
Congressional action on reconciliation. The Budget Enforcement Act of
1997 (sec. 10111, P.L. 105-33) amended section 310(c)(1)(A) to clarify
that committees, in meeting their reconciliation targets, may
alternatively substitute revenue and spending changes by up to 20
percent of the sum of the absolute value of reconciled changes as long
as the result does not increase the deficit relative to the
reconciliation instructions.
budget-related legislation must be within appropriate levels
Sec. 311. (a) Enforcement of Budget Aggregates.--
(1) In the house of representatives.--Except as provided by
subsection (c), after the Congress has completed action on a
concurrent resolution on the budget for a fiscal year, it shall
not be in order in the House of Representatives to consider any
bill, joint resolution, amendment, motion, or conference report
providing new budget authority or reducing revenues, if--
(A) the enactment of that bill or resolution as
reported;
(B) the adoption and enactment of that amendment; or
(C) the enactment of that bill or resolution in the
form recommended in that conference report;
would cause the level of total new budget authority or total
outlays set forth in the applicable concurrent resolution on the
budget for the first fiscal year to be exceeded, or would cause
revenues to be less than the level of total revenues set forth
in that concurrent resolution for the first fiscal year or for
the total of that first fiscal year and the ensuing fiscal years
for which allocations are provided under section 302(a), except
when a declaration of war by the Congress is in effect.
(2) In the senate.--After a concurrent resolution on the
budget is agreed to, it shall not be in order in the Senate to
consider any bill, joint resolution, amendment, motion, or
conference report that--
(A) would cause the level of total new budget
authority or total outlays set forth for the first
fiscal year in the applicable resolution to be exceeded;
or
(B) would cause revenues to be less than the level of
total revenues set forth for that first fiscal year or
for the total of that first fiscal year and the ensuing
fiscal years in the applicable resolution for which
allocations are provided under section 302(a).
(3) Enforcement of social security levels in the senate.--
After a concurrent resolution on the budget is agreed to, it
shall not be in order in the Senate to consider any bill, joint
resolution, amendment, motion, or conference report that would
cause a decrease in social security surpluses or an increase in
[[Page 934]]
social security deficits relative to the levels set forth
in the applicable resolution for the first fiscal year or for the
total of that fiscal year and the ensuing fiscal years for which
allocations are provided under section 302(a).
(b) Social Security Levels.--
(1) In general.--For purposes of subsection (a)(3), social
security surpluses equal the excess of social security revenues
over social security outlays in a fiscal year or years with such
an excess and social security deficits equal the excess of
social security outlays over social security revenues in a
fiscal year or years with such an excess.
(2) Tax treatment.--For purposes of subsection (a)(3), no
provision of any legislation involving a change in chapter 1 of
the Internal Revenue Code of 1986 shall be treated as affecting
the amount of social security revenues or outlays unless that
provision changes the income tax treatment of social security
benefits.
(c) Exception in the House of Representatives.--Subsection (a)(1)
shall not apply in the House of Representatives to any bill, joint
resolution, or amendment that provides new budget authority for a fiscal
year or to any conference report on any such bill or resolution, if--
(1) the enactment of that bill or resolution as reported;
(2) the adoption and enactment of that amendment; or
(3) the enactment of that bill or resolution in the form
recommended in that conference report;
would not cause the appropriate allocation of new budget authority made
pursuant to section 302(a) for that fiscal year to be exceeded.
[[Page 935]]
The Budget Enforcement Act of 1990 (tit. XIII, P.L. 101-508) amended
subsection (a) by: (1) standardizing its application to any bill, joint
resolution, amendment, motion, or conference report; (2) adding the
exception for the case of a declaration of war; and (3) adding a new
paragraph (2) relating to Senate procedure. The Balanced Budget and
Emergency Deficit Control Act of 1985 (tit. II, P.L. 99-177) made
important changes in this section by codifying in subsection (b) the
exception for the House that previously had appeared in the budget
resolution, and by adding subsection (c). The Budget Enforcement Act of
1997 (sec. 10112, P.L. 105-33) further amended this section by: (1)
eliminating references to ``new entitlement authority''; (2) modifying
Senate procedure; and (3) enforcing the revenue level for the same
multiyear period covered by the allocations under section 302(a).
A point of order under section 311(a) operates with respect to a bill
or joint resolution in reported state and thus does not lie against
consideration of an unreported measure (Mar. 21, 1995, p. ----).
To an appropriation bill already containing new budget outlays in
excess of the total level permitted by the second concurrent resolution
on the budget for that fiscal year, where the bill was considered under
a waiver of section 311(a) of the Budget Act, an amendment striking out
a proposed rescission of existing budget authority which had the effect
of causing the net total of new budget authority in the bill to be
increased was ruled out in the House as in violation of section 311(a),
as further exceeding the total budget outlay ceiling in the second
concurrent resolution on the budget (May 12, 1981, pp. 9314-15). An
amendment that provides no new budget authority or outlays but instead
results in outlay savings is not subject to a point of order under
section 311(a) (June 30, 1987, p. 18308).
The Chair relied on estimates furnished by the Budget Committee to
hold that a motion to amend a Senate amendment providing new budget
authority for official mail costs to be available immediately violated
section 311(a) since the appropriate level of new budget authority
contained in the budget resolution had already been exceeded and since
the Appropriations Committee had exceeded its section 302(a) allocation
(thereby rendering the section 311(b) exception inapplicable) (Sept. 28,
1989, p. 22267).
[[Page 936]]
amendment to the Internal Revenue Code to delay interest and dividend
withholding during that fiscal year was held to constitute a further
revenue reduction and to violate section 311 (Vice President Bush, Mar.
22, 1983, p. 6573). An amendment in the Senate to a Defense Department
authorization bill, providing a new entitlement program of educational
assistance to members and veterans of the armed forces, to become
effective in a future fiscal year or at any earlier time if so
determined by the President, was held to allow new entitlement spending
for the current fiscal year and to breach the applicable budget total,
in violation of section 311 (July 13, 1983, p. 19018).
In the Senate, the Chair sustained a point of order (later withdrawn)
against an amendment that had the effect of reducing revenues for fiscal
year 1977 below the total level of revenues contained in the final
concurrent resolution on the budget for that year, in violation of
section 311(a) (Oct. 1, 1976, p. 34557). Similarly, a motion in the
Senate to recommit a bill with instructions to report it back with an
amendment to the Internal Revenue Code delaying the implementation of
withholding on interest and dividends was held (in response to a
parliamentary inquiry) to be subject to a point of order since the
amendment would cause revenues to be less than the appropriate level
provided in the budget resolution for that year (where S. Con. Res. 92
of the 97th Congress, the first budget resolution for fiscal year 1985,
provided that if a second budget resolution was not adopted by October
1, 1982, then section 311 would be enforced based on the aggregate
figures contained in that resolution) (Apr. 20, 1983, pp. 9131, 9151). A
point of order was sustained (and upheld on appeal) in the Senate
against consideration of an amendment reducing the amount of a
rescission of appropriated funds where the effect was to increase the
net amount of total budget outlays contained in the bill to a level
which, when taken together with other spending actions already completed
by Congress, exceeded the total amount of budget outlays provided for
the current fiscal year in the third budget resolution, in violation of
section 311 (June 27, 1980, pp. 17478-79). Also in the Senate, to a bill
making comprehensive changes in the Social Security Act being considered
at a time when the revenue floor established by the second concurrent
resolution on the budget for that fiscal year had already been breached, an
determinations and points of order
Sec. 312. (a) Budget Committee Determinations.--For purposes of this
title and title IV, the levels of new budget authority, outlays, direct
spending, new entitlement authority, and revenues for a fiscal year
shall be determined on the basis of estimates made by the Committee on
the Budget of the House of Representatives or the Senate, as applicable.
(b) Discretionary Spending Point of Order in the Senate.--
(1) In general.--Except as otherwise provided in this
subsection, it shall not be in order in the Senate to consider
any bill or resolution (or amendment, motion, or conference
report on that bill or resolution) that would exceed any of the
discretionary spending limits in section 251(c) of the Balanced
Budget and Emergency Deficit Control Act of 1985.
(2) Exceptions.--This subsection shall not apply if a
declaration of war by the Congress is in effect or if a joint
resolution pursuant to section 258 of the Balanced Budget and
Emergency Deficit Control Act of 1985 has been enacted.
(c) Maximum Deficit Amount Point of Order in the Senate--It shall not
be in order in the Senate to consider any concurrent resolution on the
budget for a fiscal year, or to consider any amendment to that
concurrent resolution, or to consider a conference report on that
concurrent resolution, if--
(1) the level of total outlays for the first fiscal year set
forth in that concurrent resolution or conference report
exceeds; or
(2) the adoption of that amendment would result in a level of
[[Page 937]]
the recommended level of Federal revenues for that fiscal year, by an
amount that is greater than the maximum deficit amount, if any,
specified in the Balanced Budget and Emergency Deficit Control Act of
1985 for that fiscal year.
total outlays for that fiscal year that exceeds;
(d) Timing of Points of Order in the Senate.--A point of order under
this Act may not be raised against a bill, resolution, amendment,
motion, or conference report while an amendment or motion, the adoption
of which would remedy the violation of this Act, is pending before the
Senate.
(e) Points of Order in the Senate Against Amendments Between the
Houses.--Each provision of this Act that establishes a point of order
against an amendment also establishes a point of order in the Senate
against an amendment between the Houses. If a point of order under this
Act is raised in the Senate against an amendment between the Houses and
the point of order is sustained, the effect shall be the same as if the
Senate had disagreed to the amendment.
(f) Effect of a Point of Order in the Senate.--In the Senate, if a
point of order under this Act against a bill or resolution is sustained,
the Presiding Officer shall then recommit the bill or resolution to the
committee of appropriate jurisdiction for further consideration.
Section 312 was added by the Budget Enforcement Act of 1990 (tit.
XIII, P.L. 101-508). The section was amended by the Budget Enforcement
Act of 1997 (sec. 10113, P.L. 105-33) to: (1) clarify the responsibility
of the Budget Committee to provide estimates to the Chair upon which
points of order under the Congressional Budget Act are evaluated; and
(2) modify Senate procedure.
extraneous matter in reconciliation legislation
[[Page 938]]
defined in subsection (b) shall be deemed stricken from the bill and may
not be offered as an amendment from the floor.
Sec. 313. (a) In General.--When the Senate is considering a
reconciliation bill or a reconciliation resolution pursuant to section
310 (whether that bill or resolution originated in the Senate or the
House) or section 258C of the Balanced Budget and Emergency Deficit
Control Act of 1985, upon a point of order being made by any Senator
against material extraneous to the instructions to a committee which is
contained in any title or provision of the bill or resolution or offered
as an amendment to the bill or resolution, and the point of order is
sustained by the Chair, any part of said title or provision that
contains material extraneous to the instructions to said Committee as
(b) Extraneous Provisions.--(1)(A) Except as provided in paragraph
(2), a provision of a reconciliation bill or reconciliation resolution
considered pursuant to section 310 shall be considered extraneous if
such provision does not produce a change in outlays or revenue,
including changes in outlays and revenues brought about by changes in
the terms and conditions under which outlays are made or revenues are
required to be collected (but a provision in which outlay decreases or
revenue increases exactly offset outlay increases or revenue decreases
shall not be considered extraneous by virtue of this subparagraph); (B)
any provision producing an increase in outlays or decrease in revenues
shall be considered extraneous if the net effect of provisions reported
by the Committee reporting the title containing the provision is that
the Committee fails to achieve its reconciliation instructions; (C) a
provision that is not in the jurisdiction of the Committee with
jurisdiction over said title or provision shall be considered
extraneous; (D) a provision shall be considered extraneous if it
produces changes in outlays or revenues which are merely incidental to
the non-budgetary components of the provision; (E) a provision shall be
considered to be extraneous if it increases, or would increase, net
outlays, or if it decreases, or would decrease, revenues during a fiscal
year after the fiscal years covered by such reconciliation bill or
reconciliation resolution, and such increases or decreases are greater
than outlay reductions or revenue increases resulting from other
provisions in such title in such year; and (F) a provision shall be
considered extraneous if it violates section 310(g).
[[Page 939]]
a result of the provision, in the event of new regulations authorized
by the provision or likely to be proposed, court rulings on pending
litigation, or relationships between economic indices and stipulated
statutory triggers pertaining to the provision, other than the
regulations, court rulings or relationships currently projected by the
Congressional Budget Office for scorekeeping purposes; or (D) such
provision will be likely to produce a significant reduction in
outlays or increase in revenues but, due to insufficient data, such
reduction or increase cannot be reliably estimated.
(2) A Senate-originated provision shall not be considered extraneous
under paragraph (1)(A) if the Chairman and Ranking Minority Member of
the Committee on the Budget and the Chairman and Ranking Minority Member
of the Committee which reported the provision certify that: (A) the
provision mitigates direct effects clearly attributable to a provision
changing outlays or revenue and both provisions together produce a net
reduction in the deficit; (B) the provision will result in a substantial
reduction in outlays or a substantial increase in revenues during fiscal
years after the fiscal years covered by the reconciliation bill or
reconciliation resolution; (C) a reduction of outlays or an increase in
revenues is likely to occur as
(3) A provision reported by a committee shall not be considered
extraneous under paragraph (1)(C) if (A) the provision is an integral
part of a provision or title, which if introduced as a bill or
resolution would be referred to such committee, and the provision sets
forth the procedure to carry out or implement the substantive provisions
that were reported and which fall within the jurisdiction of such
committee; or (B) the provision states an exception to, or a special
application of, the general provision or title of which it is a part and
such general provision or title if introduced as a bill or resolution
would be referred to such committee.
(c) Extraneous Materials.--Upon the reporting or discharge of a
reconciliation bill or resolution pursuant to section 310 in the Senate,
and again upon the submission of a conference report on such a
reconciliation bill or resolution, the Committee on the Budget of the
Senate shall submit for the record a list of material considered to be
extraneous under subsections (b)(1)(A), (b)(1)(B), and (b)(1)(E) of this
section to the instructions of a committee as provided in this section.
The inclusion or exclusion of a provision shall not constitute a
determination of extraneousness by the Presiding Officer of the Senate.
(d) Conference Reports.--When the Senate is considering a conference
report on, or an amendment between the Houses in relation to, a
reconciliation bill or reconciliation resolution pursuant to section
310, upon--
(1) a point of order being made by any Senator against
extraneous material meeting the definition of subsections
(b)(1)(A), (b)(1)(B), (b)(1)(D), (b)(1)(E), or (b)(1)(F), and
[[Page 940]]
shall proceed, without intervening action or motion, to consider the
question of whether the Senate shall recede from its amendment and concur
with a further amendment, or concur in the House amendment with a further
amendment, as the case may be, which further amendment shall consist of
only that portion of the conference report or House amendment, as the case
may be, not so stricken. Any such motion in the Senate shall be debatable
for two hours. In any case in which such point of order is sustained
against a conference report (or Senate amendment derived from such
conference report by operation of this subsection), no further amendment
shall be in order.
(2) such point of order being sustained,
such material contained in such conference report or amendment shall be
deemed stricken, and the Senate
(e) General Point of Order.--Notwithstanding any other law or rule of
the Senate, it shall be in order for a Senator to raise a single point
of order that several provisions of a bill, resolution, amendment,
motion, or conference report violate this section. The Presiding Officer
may sustain the point of order as to some or all of the provisions
against which the Senator raised the point of order. If the Presiding
Officer so sustains the point of order as to some of the provisions
(including provisions of an amendment, motion, or conference report)
against which the Senator raised the point of order, then only those
provisions (including provisions of an amendment, motion, or conference
report) against which the Presiding Officer sustains the point of order
shall be deemed stricken pursuant to this section. Before the Presiding
Officer rules on such a point of order, any Senator may move to waive
such a point of order as it applies to some or all of the provisions
against which the point of order was raised. Such a motion to waive is
amendable in accordance with the rules and precedents of the Senate.
After the Presiding Officer rules on such a point of order, any Senator
may appeal the ruling of the Presiding Officer on such a point of order
as it applies to some or all of the provisions on which the Presiding
Officer ruled.
[[Page 941]]
Section 313, popularly known as the ``Byrd Rule,'' was added by the
Budget Enforcement Act of 1990 (tit. XIII, P.L. 101-508). The Budget
Enforcement Act of 1997 effected a technical correction to this section
(sec. 10113, P.L. 105-33). Changes in outlays or revenues are not
rendered incidental under this section simply by their insusceptibility
to measurement (Aug. 6, 1993, p. ----).
adjustments
Sec. 314. (a) Adjustments.--
(1) In general.--After the reporting of a bill or joint
resolution, the offering of an amendment thereto, or the
submission of a conference report thereon, the chairman of the
Committee on the Budget of the House of Representatives or the
Senate shall make the adjustments set forth in paragraph (2) for
the amount of new budget authority in that measure (if that
measure meets the requirements set forth in subsection (b)) and
the outlays flowing from that budget authority.
(2) Matters to be adjusted.--The adjustments referred to in
paragraph (1) are to be made to--
(A) the discretionary spending limits, if any, set
forth in the appropriate concurrent resolution on the
budget;
(B) the allocations made pursuant to the appropriate
concurrent resolution on the budget pursuant to section
302(a); and
(C) the budgetary aggregates as set forth in the
appropriate concurrent resolution on the budget.
(b) Amounts of Adjustments.--The adjustment referred to in subsection
(a) shall be--
(1) an amount provided and designated as an emergency
requirement pursuant to section 251(b)(2)(A) or 252(e) of the
Balanced Budget and Emergency Deficit Control Act of 1985;
(2) an amount provided for continuing disability reviews
subject to the limitations in section 251(b)(2)(C) of that Act;
(3) for any fiscal year through 2002, an amount provided that
is the dollar equivalent of the Special Drawing Rights with
respect to--
(A) an increase in the United States quota as part of
the International Monetary Fund Eleventh General Review
of Quotas (United States Quota); or
(B) any increase in the maximum amount available to
the Secretary of the Treasury pursuant to section 17 of
the Bretton Woods Agreements Act, as amended from time
to time (New Arrangements to Borrow);
(4) an amount provided not to exceed $1,884,000,000 for the
period of fiscal years 1998 through 2000 for arrearages for
[[Page 942]]
international organi-
zations, international peacekeeping, and multilateral development
banks; or
(5) an amount provided for an earned income tax credit
compliance initiative but not to exceed--
(A) with respect to fiscal year 1998, $138,000,000 in
new budget authority;
(B) with respect to fiscal year 1999, $143,000,000 in
new budget authority;
(C) with respect to fiscal year 2000, $144,000,000 in
new budget authority;
(D) with respect to fiscal year 2001, $145,000,000 in
new budget authority; and
(E) with respect to fiscal year 2002, $146,000,000 in
new budget authority.
(c) Application of Adjustments.--The adjustments made pursuant to
subsection (a) for legislation shall--
(1) apply while that legislation is under consideration;
(2) take effect upon the enactment of that legislation; and
(3) be published in the Congressional Record as soon as
practicable.
(d) Reporting Revised Suballocations.--Following any adjustment made
under subsection (a), the Committees on Appropriations of the Senate and
the House of Representatives may report appropriately revised
suballocations under section 302(b) to carry out this section.
(e) Definitions for CDRs.--As used in subsection (b)(2)--
(1) the term ``continuing disability reviews'' shall have the
same meaning as provided in section 251(b)(2)(C)(ii) of the
Balanced Budget and Emergency Deficit Control Act of 1985; and
(2) the term ``new budget authority'' shall have the same
meaning as the term ``additional new budget authority'' and the
term ``outlays'' shall have the same meaning as ``additional
outlays'' in that section.
This section was added by the Budget Enforcement Act of 1997 (sec.
10114, P.L. 105-33).
effect of adoption of a special order of business in the house of
representatives
[[Page 943]]
this title or title IV shall be considered to refer to the text made
in order as an original bill or joint resolution for the purpose of
amendment or to the text on which the previous question is ordered
directly to passage, as the case may be.
Sec. 315. For purposes of a reported bill or joint resolution
considered in the House of Representatives pursuant to a special order
of business, the term ``as reported'' in
This section was added by the Budget Enforcement Act of 1997 (sec.
10115, P.L. 105-33).
TITLE IV--ADDITIONAL PROVISIONS TO IMPROVE FISCAL PROCEDURES
Part A--General Provisions
budget-related legislation not subject to appropriations
Sec. 401. (a) Controls on Certain Budget-related Legislation Not
Subject to Appropriations.--It shall not be in order in either the House
of Representatives or the Senate to consider any bill or joint
resolution (in the House of Representatives only, as reported),
amendment, motion, or conference report that provides--
(1) new authority to enter into contracts under which the
United States is obligated to make outlays;
(2) new authority to incur indebtedness (other than
indebtedness incurred under chapter 31 of title 31 of the United
States Code) for the repayment of which the United States is
liable; or
(3) new credit authority;
unless that bill, joint resolution, amendment, motion, or conference
report also provides that the new authority is to be effective for any
fiscal year only to the extent or in the amounts provided in advance in
appropriation Acts.
(b) Legislation Providing New Entitlement Authority.--
(1) Point of order.--It shall not be in order in either the
House of Representatives or the Senate to consider any bill or
joint resolution (in the House of Representatives only, as
reported), amendment, motion, or conference report that provides
new entitlement authority that is to become effective during the
current fiscal year.
(2) If any committee of the House of Representatives or the
Senate reports any bill or resolution which provides new
entitlement authority which is to become effective during a
fiscal year and the amount of new budget authority which will be
[[Page 944]]
required for
such fiscal year if such bill or resolution is
enacted as so reported exceeds the appropriate allocation of new
budget authority reported under section 302(b) in connection
with the most recently agreed to concurrent resolution on the
budget for such fiscal year, such bill or resolution shall then
be referred to the Committee on Appropriations of the Senate or
may then be referred to the Committee on Appropriations of the
House, as the case may be, with instructions to report it, with
the committee's recommendations, within 15 calendar days (not
counting any day on which that House is not in session)
beginning with the day following the day on which it is so
referred. If the Committee on Appropriations of either House
fails to report a bill or resolution referred to it under this
paragraph within such 15-day period, the committee shall
automatically be discharged from further consideration of such
bill or resolution and such bill or resolution shall be placed
on the appropriate calendar.
(3) The Committee on Appropriations of each House shall have
jurisdiction to report any bill or resolution referred to it
under paragraph (2) with an amendment which limits the total
amount of new spending authority provided in such bill or
resolution.
(c) Exceptions.--
(1) Subsections (a) and (b) shall not apply to new authority
described in those subsections if outlays from that new
authority [will]\1\ flow--
(A) from a trust fund established by the Social
Security Act (as in effect on the date of the enactment
of this Act); or
(B) from any other trust fund, 90 percent or more of
the receipts of which consist or will consist of amounts
(transferred from the general fund of the Treasury)
equivalent to amounts of taxes (related to the purposes
for which such outlays are or will be made) received in
the Treasury under specified provisions of the Internal
Revenue Code of 1954.
(2) Subsections (a) and (b) shall not apply to new authority
described in those subsections to the extent that--
---------------------------------------------------------------------------
[[Page 945]]
\1\ Paragraph (4)(A) of section 10116(a) of Public Law 105-33
amended this provision as shown above. However, the word ``will''
probably should have appeared in the matter proposed to be stricken by
that public law.
---------------------------------------------------------------------------
(A) the outlays resulting therefrom are made by an
organization which is (i) a mixed-ownership Government
corporation (as defined in section 201 of the Government
Corporation Control Act), or (ii) a wholly owned
Government corporation (as defined in section 101 of
such Act) which is specifically exempted by law from
compliance with any or all of the provisions of that
Act, as of the date of enactment of the Balanced Budget
and Emergency Deficit Control Act of 1985; or
(B) the outlays resulting therefrom consist
exclusively of the proceeds of gifts or bequests made to
the United States for a specific purpose.
The Balanced Budget and Emergency Deficit Control Act of 1985 (tit.
II, P.L. 99-177) amended subsection (a) by substituting the phrase
``spending authority'' for ``contract or borrowing authority'' and
extended the point of order to conference reports, consistent with House
precedent. The Balanced Budget and Emergency Deficit Control Act of 1985
(tit. II, P.L. 99-177) left the subsection entitled ``exceptions''
intact except to clarify the application of section 401 to government
corporations created after December 12, 1985. The Budget Enforcement Act
of 1990 (tit. XIII, P.L. 101-508) amended subsections (a) and (b)(1) to
standardize their application to any bill, joint resolution, amendment,
motion, or conference report. The Budget Enforcement Act of 1997 (sec.
10116, P.L. 105-33): (1) repealed section 402, collapsing the point of
order under that section into section 401; (2) repealed the definition
of ``new spending authority,'' while shifting the definition of new
entitlement authority to section 3; and (3) converted the mandatory
referral of measures providing new entitlement authority to the
Appropriations Committee to discretionary referral such measures.
[[Page 940]]
amounts specified in advance by appropriation acts, was ruled out of order
as violating section 401(a) (Speaker pro tempore McFall, Sept. 27, 1976,
pp. 32655-704).
Language in a bill authorizing receipts from loans under certain
legislation to be made available for designated purposes was held not to
be ``new spending authority'' which would prohibit the consideration of
the bill under section 401(a) of the Congressional Budget Act, where it
was shown from the term ``authorized'' and from the committee report on
the bill that the amounts of repaid loans must again be appropriated in
appropriation acts before the funds could be expended (Speaker Albert,
Sept. 10, 1975, p. 28270). A point of order under section 401(a)
operates with respect to a bill or joint resolution in reported state
and thus does not lie against consideration of an unreported measure
(Mar. 21, 1995, p. ----). Section 401(a) prohibits the consideration of
a bill or amendment, including a conference report, containing new
spending authority to incur indebtedness for the repayment of which the
United States is primarily liable, the budget authority for which is not
provided in advance by appropriation acts. Thus a conference report
authorizing the Secretary of HEW to borrow funds by issuing government
notes as a public debt transaction to make payments in connection with
defaults on loans by medical students, not subject to
A point of order under section 401(b) operates with respect to a bill
or joint resolution in reported state and thus does not lie against
consideration of an unreported measure (Mar. 21, 1995, p. ----). A
conference report (filed in 1976 to accompany a bill originally reported
in the House in calendar year 1975) requiring the Secretary of
Agriculture to pay a cost of transporting agricultural commodities to
major disaster areas upon the date of enactment was held to constitute
new spending ``entitlement'' authority which could become effective
prior to the fiscal year beginning during the calendar year in which the
bill had been reported from conference, in violation of section
401(b)(1), and the conference report was ruled out of order (Speaker
Albert, Sept. 23, 1976, pp. 3209-10). A Senate amendment providing new
spending ``entitlement'' authority for adjustment assistance under the
Trade Act of 1974, by requiring the Secretary of Labor to certify a new
group of workers as eligible beginning on the day prior to the start of
the ensuing fiscal year, was conceded to violate section 401(b)(1), and
a motion to concur was ruled out on that point of order (Speaker pro
tempore Wright, June 26, 1986, p. 15729). Where an amendment contained
new entitlement authority in the form of retirement benefits to certain
Federal employees, the Chair contemplated immediate enactment in his
determination that the new entitlement authority became effective before
the fiscal year beginning during the calendar year in which the pending
bill was reported (May 9, 1995, p. ----).
[[Page 947]]
commodity target prices of 1979 crops, thereby providing new entitlement
authority for fiscal year 1980 in excess of the amount allocated to that
committee under the first budget, and a bill reported from the Committee
on Ways and Means increasing eligibility and payments for child welfare
and social services under the Social Security Act, providing new
entitlement authority in excess of the net amount of such authority
allocated to that Committee under the first budget resolution, were
discharged from the Union Calendar by the Speaker and referred to the
Committee on Appropriations pursuant to section 401(b) (Speaker O'Neill,
June 5, 1979, p. 13385; June 6, 1979, p. 13665). The Speaker may exercise
his referral authority under section 401(b), whether or not the committee
has filed its report under section 302(b) of the Budget Act, where the
budget authority for the entitlement bill has been assumed in the budget
resolution and would be included in the committee's 302(b) report, but
where the budget authority for such bill exceeds the net amount of such
authority allocated to the reporting committee, because the budget
resolution assumes the reporting of other legislation, decreasing other
programs for the year in question, which has not yet been reported
(Speaker O'Neill, June 6, 1979, p. 13665).
Where a committee had not yet filed with the House a report
subdividing among its subcommittees or by programs new entitlement
authority allocated to that committee in the joint statement
accompanying a conference report on a concurrent resolution on the
budget, formerly required under section 302(a), the Speaker under
section 401(b) referred to the Committee on Appropriations for the 15-
day period a bill reported by that committee which exceeded the total
entitlement authority allocated to that committee in the joint
statement, and also referred any subsequent bill reported by that
committee which contained new entitlement authority (Speaker Albert, May
17, 1976, p. 14093; Aug. 25, 1976, p. 27775). During the efficacy of
title VI, section 401(b)(2) had no vitality since that section remained
linked to section 302 rather than the overriding section 602. Prior to
consideration of a bill in Committee of the Whole, the Speaker may
discharge from the Union Calendar and refer to the Committee on
Appropriations for fifteen days, pursuant to section 401(b), a bill
which has been reported providing new entitlement authority in excess of
the total amount allocated to the reporting committee (Speaker O'Neill,
Sept. 8, 1977, p. 28153; Sept. 8, 1978, p. 28543) even if the bill was
reported prior to final adoption of the first budget concurrent
resolution (Speaker O'Neill, July 19, 1978, pp. 21786-87; May 21, 1981,
p. 10622). A bill reported from the Committee on Agriculture amending
the Food and Agriculture Act to increase certain
Although the former definition of new spending authority in section
401(c)(2) did not include the authority to insure or guarantee the
repayment of indebtedness incurred by another person or government (as
where the authority to incur contractual obligations to insure or
guarantee another person's debt is a contingent liability of the United
States), the authority to make payments in connection with defaults
which have already occurred was conceded to constitute a primary
liability of the United States to incur indebtedness and to require
budget authority in advance in appropriation acts (Speaker pro tempore
McFall, Sept. 27, 1976, pp. 32655-704). A provision which requires
payments to individuals meeting certain qualifications, but which also
contains an authorization for appropriations to make such payments and a
provision that if sums appropriated pursuant thereto are insufficient to
make payments, then payments be ratably reduced to the amounts of
appropriations actually made, does not constitute new entitlement
authority (Sept. 13, 1983, p. 23884). An amendment establishing a new
executive position at compensation level II but subjecting its salary to
the appropriation process was held not to provide new entitlement
authority (Mar. 26, 1992, p. ----).
The former definition of new entitlement authority did not include
revenue-sharing spending authority in the form of entitlements, as the
exception from the definition of new spending authority for revenue-
sharing programs did not apply to new entitlement authority for future
fiscal years (Speaker Albert, Sept. 30, 1976, pp. 34074-100).
analysis by congressional budget office
[[Page 948]]
or resolution of a public character reported by any committee of the House
of Representatives or the Senate (except the Committee on Appropriations of
each House), and submit to such committee--
Sec. 402. The Director of the Congressional Budget Office shall, to
the extent practicable, prepare for each bill
(1) an estimate of the costs which would be incurred in
carrying out such bill or resolution in the fiscal year in which
it is to become effective and in each of the 4 fiscal years
following such fiscal year, together with the basis for each
such estimate;
(2) a comparison of the estimates of costs described in
paragraph (1), with any available estimates of costs made by
such committee or by any Federal agency; and
(3) a description of each method for establishing a Federal
financial commitment contained in such bill or resolution.
The estimates, comparison, and description so submitted shall be
included in the report accompanying such bill or resolution if timely
submitted to such committee before such report is filed.
* * * * *
The Balanced Budget and Emergency Deficit Control Act of 1985 (tit.
II, P.L. 99-177) amended this section by adding paragraph (4) to
subsection (a), along with a conforming change to the second sentence of
that subsection. Public Law 97-108 previously amended section 403 by
adding subsections (a)(2), (b), and (c). The Unfunded Mandates Reform
Act of 1995 deleted from this section a requirement that the Director
estimate costs incurred by State and local governments, in favor of a
more particularized requirement in section 424, infra (sec. 104, P.L.
104-4; 109 Stat. 62). The Budget Enforcement Act of 1997 (sec. 10116,
P.L. 105-33) redesignated this section, formerly section 403, as section
402. A committee cost estimate identifying certain spending authority as
recurring annually and indefinitely was held necessarily to address the
five-year period required by section 309 (Nov. 20, 1993, p. ----).
study by the general accounting office of forms of federal financial
commitment that are not reviewed annually by congress
[[Page 949]]
Sec. 404. The General Accounting Office shall study those provisions
of law which provide mandatory spending and report to the Congress its
recommendations for the appropriate form of financing for activities or
programs financed by such provisions not later than eighteen months
after the effective date of this section. Such report shall be revised
from time to time.
This section, formerly section 405, was redesignated by the Budget
Enforcement Act of 1997 (sec. 10116, P.L. 105-33).
off-budget agencies, programs, and activities
Sec. 405. (a) Notwithstanding any other provision of law, budget
authority, credit authority, and estimates of outlays and receipts for
activities of the Federal budget which are off-budget immediately prior
to the date of enactment of this section, not including activities of
the Federal Old-Age and Survivors Insurance and Federal Disability
Insurance Trust Funds, shall be included in a budget submitted pursuant
to section 1105 of title 31, United States Code, and in a concurrent
resolution on the budget reported pursuant to section 301 or section 304
of this Act and shall be considered, for purposes of this Act, budget
authority, outlays, and spending authority in accordance with
definitions set forth in this Act.
(b) All receipts and disbursements of the Federal Financing Bank with
respect to any obligations which are issued, sold, or guaranteed by a
Federal agency shall be treated as a means of financing such agency for
purposes of section 1105 of title 31, United States Code, and for
purposes of this Act.
This section, formerly section 406, was redesignated by the Budget
Enforcement Act of 1997 (sec. 10116, P.L. 105-33).
member user group
Sec. 406. The Speaker of the House of Representatives, after
consulting with the Minority Leader of the House, may appoint a Member
User Group for the purpose of reviewing budgetary scorekeeping rules and
practices of the House and advising the Speaker from time to time on the
effect and impact of such rules and practices.
The Balanced Budget and Emergency Deficit Control Act of 1985 (tit.
II, P.L. 99-177) added sections 405, 406, and 407 as new sections at the
end of title IV. This section, formerly section 407, was redesignated by
the Budget Enforcement Act of 1997 (sec. 10116, P.L. 105-33).
* * * * *
SEC. 421. DEFINITIONS.
Part B--Federal Mandates
[[Page 950]]
For purposes of this part:
(1) Agency.--The term ``agency'' has the same meaning as
defined in section 551(1) of title 5, United States Code, but
does not include independent regulatory agencies.
(2) Amount.--The term ``amount'', with respect to an
authorization of appropriations for Federal financial
assistance, means the amount of budget authority for any Federal
grant assistance program or any Federal program providing loan
guarantees or direct loans.
(3) Direct costs.--The term ``direct costs''--
(A)(i) in the case of a Federal intergovernmental
mandate, means the aggregate estimated amounts that all
State, local, and tribal governments would be required
to spend or would be prohibited from raising in revenues
in order to comply with the Federal intergovernmental
mandate; or
(ii) in the case of a provision referred to in
paragraph (5)(A)(ii), means the amount of Federal
financial assistance eliminated or reduced;
(B) in the case of a Federal private sector mandate,
means the aggregate estimated amounts that the private
sector will be required to spend in order to comply with
the Federal private sector mandate;
(C) shall be determined on the assumption that--
(i) State, local, and tribal governments, and
the private sector will take all reasonable steps
necessary to mitigate the costs resulting from the
Federal mandate, and will comply with applicable
standards of practice and conduct established by
recognized professional or trade associations; and
(ii) reasonable steps to mitigate the costs
shall not include increases in State, local, or
tribal taxes or fees; and
(D) shall not include--
(i) estimated amounts that the State, local, and
tribal governments (in the case of a Federal
intergovernmental mandate) or the private sector (in
the case of a Federal private sector mandate) would
spend--
[[Page 951]]
and regulations in effect at the time of the adoption of the Federal
mandate for the same activity as is affected by that Federal mandate; or
(I) to comply with or carry out all applicable Federal, State, local,
and tribal laws
(II) to comply with or carry out State, local, and tribal governmental
programs, or private-sector business or other activities in effect at the
time of the adoption of the Federal mandate for the same activity as is
affected by that mandate; or
(ii) expenditures to the extent that such
expenditures will be offset by any direct savings to
the State, local, and tribal governments, or by the
private sector, as a result of--
(I) compliance with the Federal mandate; or
(II) other changes in Federal law or regulation that are enacted or
adopted in the same bill or joint resolution or proposed or final Federal
regulation and that govern the same activity as is affected by the Federal
mandate.
(4) Direct savings.--The term ``direct savings'', when used
with respect to the result of compliance with the Federal
mandate--
(A) in the case of a Federal intergovernmental
mandate, means the aggregate estimated reduction in
costs to any State, local, or tribal government as a
result of compliance with the Federal intergovernmental
mandate; and
(B) in the case of a Federal private sector mandate,
means the aggregate estimated reduction in costs to the
private sector as a result of compliance with the
Federal private sector mandate.
(5) Federal intergovernmental mandate.--The term ``Federal
intergovernmental mandate'' means--
(A) any provision in legislation, statute, or
regulation that--
(i) would impose an enforceable duty upon State,
local, or tribal governments, except--
(I) a condition of Federal assistance; or
(II) a duty arising from participation in a voluntary Federal program,
except as provided in subparagraph (B); or
(ii) would reduce or eliminate the amount of
[[Page 952]]
authorization of appropriations for--
(I) Federal financial assistance that would be provided to State,
local, or tribal governments for the purpose of complying with any such
previously imposed duty unless such duty is reduced or eliminated by a
corresponding amount; or
(II) the control of borders by the Federal Government; or reimbursement
to State, local, or tribal governments for the net cost associated with
illegal, deportable, and excludable aliens, including court-mandated
expenses related to emergency health care, education or criminal justice;
when such a reduction or elimination would result in increased net costs to
State, local, or tribal governments in providing education or emergency
health care to, or incarceration of, illegal aliens; except that this
subclause shall not be in effect with respect to a State, local, or tribal
government, to the extent that such government has not fully cooperated in
the efforts of the Federal Government to locate, apprehend, and deport
illegal aliens;
(B) any provision in legislation, statute, or
regulation that relates to a then-existing Federal
program under which $500,000,000 or more is provided
annually to State, local, and tribal governments under
entitlement authority, if the provision--
(i)(I) would increase the stringency of
conditions of assistance to State, local, or tribal
governments under the program; or
(II) would place caps upon, or otherwise
decrease, the Federal Government's responsibility to
provide funding to State, local, or tribal
governments under the program; and
(ii) the State, local, or tribal governments
that participate in the Federal program lack
authority under that program to amend their
financial or programmatic responsibilities to
continue providing required services that are
affected by the legislation, statute, or regulation.
(6) Federal mandate.--The term ``Federal mandate'' means a
Federal intergovernmental mandate or a Federal private sector
[[Page 953]]
mandate, as defined in paragraphs (5) and (7).
(7) Federal private sector mandate.--The term ``Federal
private sector mandate'' means any provision in legislation,
statute, or regulation that--
(A) would impose an enforceable duty upon the private
sector except--
(i) a condition of Federal assistance; or
(ii) a duty arising from participation in a
voluntary Federal program; or
(B) would reduce or eliminate the amount of
authorization of appropriations for Federal financial
assistance that will be provided to the private sector
for the purposes of ensuring compliance with such duty.
(8) Local government.--The term ``local government'' has the
same meaning as defined in section 6501(6) of title 31, United
States Code.
(9) Private sector.--The term ``private sector'' means all
persons or entities in the United States, including individuals,
partnerships, associations, corporations, and educational and
nonprofit institutions, but shall not include State, local, or
tribal governments.
(10) Regulation; rule.--The term ``regulation'' or ``rule''
(except with respect to a rule of either House of the Congress)
has the meaning of ``rule'' as defined in section 601(2) of
title 5, United States Code.
(11) Small government.--The term ``small government'' means
any small governmental jurisdictions defined in section 601(5)
of title 5, United States Code, and any tribal government.
(12) State.--The term ``State'' has the same meaning as
defined in section 6501(9) of title 31, United States Code.
(13) Tribal government.--The term ``tribal government'' means
any Indian tribe, band, nation, or other organized group or
community, including any Alaska Native village or regional or
village corporation as defined in or established pursuant to the
Alaska Native Claims Settlement Act (85 Stat. 688; 43 U.S.C.
1601 et seq.) which is recognized as eligible for the special
programs and services provided by the United States to Indians
SEC. 422. EXCLUSIONS.
because of their special status as Indians.
[[Page 954]]
This part shall not apply to any provision in a bill, joint
resolution, amendment, motion, or conference report before Congress
that--
(1) enforces constitutional rights of individuals;
(2) establishes or enforces any statutory rights that prohibit
discrimination on the basis of race, color, religion, sex,
national origin, age, handicap, or disability;
(3) requires compliance with accounting and auditing
procedures with respect to grants or other money or property
provided by the Federal Government;
(4) provides for emergency assistance or relief at the request
of any State, local, or tribal government or any official of a
State, local, or tribal government;
(5) is necessary for the national security or the ratification
or implementation of international treaty obligations;
(6) the President designates as emergency legislation and that
the Congress so designates in statute; or
(7) relates to the old-age, survivors, and disability
insurance program under title II of the Social Security Act
(including taxes imposed by sections 3101(a) and 3111(a) of the
Internal Revenue Code of 1986 (relating to old-age, survivors,
SEC. 423. DUTIES OF CONGRESSIONAL COMMITTEES.
and disability insurance).
(a) In General.--When a committee of authorization of the Senate or
the House of Representatives reports a bill or joint resolution of
public character that includes any Federal mandate, the report of the
committee accompanying the bill or joint resolution shall contain the
information required by subsections (c) and (d).
(b) Submission of Bills to the Director.--When a committee of
authorization of the Senate or the House of Representatives orders
reported a bill or joint resolution of a public character, the committee
shall promptly provide the bill or joint resolution to the Director of
the Congressional Budget Office and shall identify to the Director any
Federal mandates contained in the bill or resolution.
(c) Reports on Federal Mandates.--Each report described under
subsection (a) shall contain--
(1) an identification and description of any Federal mandates
in the bill or joint resolution, including the direct costs to
State, local, and tribal governments, and to the private sector,
required to comply with the Federal mandates;
(2) a qualitative, and if practicable, a quantitative
assessment of costs and benefits anticipated from the Federal
mandates (including the effects on health and safety and the
[[Page 955]]
protection of the natural environment); and
(3) a statement of the degree to which a Federal mandate
affects both the public and private sectors and the extent to
which Federal payment of public sector costs or the modification
or termination of the Federal mandate as provided under section
425(a)(2) would affect the competitive balance between State,
local, or tribal governments and the private sector including a
description of the actions, if any, taken by the committee to
avoid any adverse impact on the private sector or the
competitive balance between the public sector and the private
sector.
(d) Intergovernmental Mandates.--If any of the Federal mandates in the
bill or joint resolution are Federal intergovernmental mandates, the
report required under subsection (a) shall also contain--
(1)(A) a statement of the amount, if any, of increase or
decrease in authorization of appropriations under existing
Federal financial assistance programs, or of authorization of
appropriations for new Federal financial assistance, provided by
the bill or joint resolution and usable for activities of State,
local, or tribal governments subject to the Federal
intergovernmental mandates;
(B) a statement of whether the committee intends that the
Federal intergovernmental mandates be partly or entirely
unfunded, and if so, the reasons for that intention; and
(C) if funded in whole or in part, a statement of whether and
how the committee has created a mechanism to allocate the
funding in a manner that is reasonably consistent with the
expected direct costs among and between the respective levels of
State, local, and tribal government; and
(2) any existing sources of Federal assistance in addition to
those identified in paragraph (1) that may assist State, local,
and tribal governments in meeting the direct costs of the
Federal intergovernmental mandates.
[[Page 956]]
any State, local, or tribal law, and, if so, an explanation of the effect
of such preemption.
(e) Preemption Clarification and Information.--When a committee of
authorization of the Senate or the House of Representatives reports a
bill or joint resolution of public character, the committee report
accompanying the bill or joint resolution shall contain, if relevant to
the bill or joint resolution, an explicit statement on the extent to
which the bill or joint resolution is intended to preempt
(f) Publication of Statement From the Director.--
(1) In general.--Upon receiving a statement from the Director
under section 424, a committee of the Senate or the House of
Representatives shall publish the statement in the committee
report accompanying the bill or joint resolution to which the
statement relates if the statement is available at the time the
report is printed.
(2) Other publication of statement of director.--If the
statement is not published in the report, or if the bill or
joint resolution to which the statement relates is expected to
be considered by the Senate or the House of Representatives
before the report is published, the committee shall cause the
statement, or a summary thereof, to be published in the
Congressional Record in advance of floor consideration of the
SEC. 424. DUTIES OF THE DIRECTOR; STATEMENTS ON BILLS AND JOINT
bill or joint resolution.
RESOLUTIONS OTHER THAN APPROPRIATIONS BILLS AND JOINT
RESOLUTIONS.
(a) Federal Intergovernmental Mandates in Reported Bills and
Resolutions.--For each bill or joint resolution of a public character
reported by any committee of authorization of the Senate or the House of
Representatives, the Director of the Congressional Budget Office shall
prepare and submit to the committee a statement as follows:
(1) Contents.--If the Director estimates that the direct cost
of all Federal intergovernmental mandates in the bill or joint
resolution will equal or exceed $50,000,000 (adjusted annually
for inflation) in the fiscal year in which any Federal
intergovernmental mandate in the bill or joint resolution (or in
any necessary implementing regulation) would first be effective
or in any of the 4 fiscal years following such fiscal year, the
Director shall so state, specify the estimate, and briefly
explain the basis of the estimate.
(2) Estimates.--Estimates required under paragraph (1) shall
include estimates (and brief explanations of the basis of the
estimates) of--
(A) the total amount of direct cost of complying with
the Federal intergovernmental mandates in the bill or
[[Page 957]]
joint resolution;
(B) if the bill or resolution contains an
authorization of appropriations under section
425(a)(2)(B), the amount of new budget authority for
each fiscal year for a period not to exceed 10 years
beyond the effective date necessary for the direct cost
of the intergovernmental mandate; and
(C) the amount, if any, of increase in authorization
of appropriations under existing Federal financial
assistance programs, or of authorization of
appropriations for new Federal financial assistance,
provided by the bill or joint resolution and usable by
State, local, or tribal governments for activities
subject to the Federal intergovernmental mandates.
(3) Estimate not feasible.--If the Director determines that it
is not feasible to make a reasonable estimate that would be
required under paragraphs (1) and (2), the Director shall not
make the estimate, but shall report in the statement that the
reasonable estimate cannot be made and shall include the reasons
for that determination in the statement. If such determination
is made by the Director, a point of order under this part shall
lie only under section 425(a)(1) and as if the requirement of
section 425(a)(1) had not been met.
(b) Federal Private Sector Mandates in Reported Bills and Joint
Resolutions.--For each bill or joint resolution of a public character
reported by any committee of authorization of the Senate or the House of
Representatives, the Director of the Congressional Budget Office shall
prepare and submit to the committee a statement as follows:
(1) Contents.--If the Director estimates that the direct cost
of all Federal private sector mandates in the bill or joint
resolution will equal or exceed $100,000,000 (adjusted annually
for inflation) in the fiscal year in which any Federal private
sector mandate in the bill or joint resolution (or in any
necessary implementing regulation) would first be effective or
in any of the 4 fiscal years following such fiscal year, the
Director shall so state, specify the estimate, and briefly
explain the basis of the estimate.
(2) Estimates.--Estimates required under paragraph (1) shall
include estimates (and a brief explanation of the basis of the
[[Page 958]]
estimates) of--
(A) the total amount of direct costs of complying with
the Federal private sector mandates in the bill or joint
resolution; and
(B) the amount, if any, of increase in authorization
of appropriations under existing Federal financial
assistance programs, or of authorization of
appropriations for new Federal financial assistance,
provided by the bill or joint resolution usable by the
private sector for the activities subject to the Federal
private sector mandates.
(3) Estimate not feasible.--If the Director determines that it
is not feasible to make a reasonable estimate that would be
required under paragraphs (1) and (2), the Director shall not
make the estimate, but shall report in the statement that the
reasonable estimate cannot be made and shall include the reasons
for that determination in the statement.
(c) Legislation Falling Below the Direct Costs Thresholds.--If the
Director estimates that the direct costs of a Federal mandate will not
equal or exceed the thresholds specified in subsections (a) and (b), the
Director shall so state and shall briefly explain the basis of the
estimate.
SEC. 425. LEGISLATION SUBJECT TO POINT OF ORDER.
(d) Amended Bills and Joint Resolutions; Conference Reports.--If a
bill or joint resolution is passed in an amended form (including if
passed by one House as an amendment in the nature of a substitute for
the text of a bill or joint resolution from the other House) or is
reported by a committee of conference in amended form, and the amended
form contains a Federal mandate not previously considered by either
House or which contains an increase in the direct cost of a previously
considered Federal mandate, then the committee of conference shall
ensure, to the greatest extent practicable, that the Director shall
prepare a statement as provided in this subsection or a supplemental
statement for the bill or joint resolution in that amended form.
(a) In General.--It shall not be in order in the Senate or the House
of Representatives to consider--
(1) any bill or joint resolution that is reported by a
committee unless the committee has published a statement of the
Director on the direct costs of Federal mandates in accordance
with section 423(f) before such consideration, except this
[[Page 959]]
paragraph shall not
apply to any supplemental statement prepared by the Director under
section 424(d); and
(2) any bill, joint resolution, amendment, motion, or
conference report that would increase the direct costs of
Federal intergovernmental mandates by an amount that causes the
thresholds specified in section 424(a)(1) to be exceeded,
unless--
(A) the bill, joint resolution, amendment, motion, or
conference report provides new budget authority or new
entitlement authority in the House of Representatives or
direct spending authority in the Senate for each fiscal
year for such mandates included in the bill, joint
resolution, amendment, motion, or conference report in
an amount equal to or exceeding the direct costs of such
mandate; or
(B) the bill, joint resolution, amendment, motion, or
conference report includes an authorization for
appropriations in an amount equal to or exceeding the
direct costs of such mandate, and--
(i) identifies a specific dollar amount of the
direct costs of such mandate for each year up to 10
years during which such mandate shall be in effect
under the bill, joint resolution, amendment, motion
or conference report, and such estimate is
consistent with the estimate determined under
subsection (e) for each fiscal year;
(ii) identifies any appropriation bill that is
expected to provide for Federal funding of the
direct cost referred to under clause (i); and
(iii)(I) provides that for any fiscal year the
responsible Federal agency shall determine whether
there are insufficient appropriations for that
fiscal year to provide for the direct costs under
clause (i) of such mandate, and shall (no later than
30 days after the beginning of the fiscal year)
notify the appropriate authorizing committees of
Congress of the determination and submit either--
[[Page 960]]
(aa) a statement that the agency has determined, based on a re-estimate
of the direct costs of such mandate, after consultation with State, local,
and tribal governments, that the amount appropriated is sufficient to pay
for the direct costs of such mandate; or
(bb) legislative recommendations for either implementing a less costly
mandate or making such mandate ineffective for the fiscal year;
(II) provides for expedited procedures for the
consideration of the statement or legislative
recommendations referred to in subclause (I) by
Congress no later than 30 days after the statement
or recommendations are submitted to Congress; and
(III) provides that such mandate shall--
(aa) in the case of a statement referred to in subclause (I)(aa), cease
to be effective 60 days after the statement is submitted unless Congress
has approved the agency's determination by joint resolution during the 60-
day period;
(bb) cease to be effective 60 days after the date the legislative
recommendations of the responsible Federal agency are submitted to Congress
under subclause (I)(bb) unless Congress provides otherwise by law; or
(cc) in the case that such mandate that has not yet taken effect,
continue not to be effective unless Congress provides otherwise by law.
(b) Rule of Construction.--The provisions of subsection (a)(2)(B)(iii)
shall not be construed to prohibit or otherwise restrict a State, local,
or tribal government from voluntarily electing to remain subject to the
original Federal intergovernmental mandate, complying with the
programmatic or financial responsibilities of the original Federal
intergovernmental mandate and providing the funding necessary consistent
with the costs of Federal agency assistance, monitoring, and
enforcement.
(c) Committee on Appropriations.--
(1) Application.--The provisions of subsection (a)--
(A) shall not apply to any bill or resolution reported
by the Committee on Appropriations of the Senate or the
House of Representatives; except
(B) shall apply to--
(i) any legislative provision increasing direct
costs of a Federal intergovernmental mandate
contained in any bill or resolution reported by the
Committee on Appropriations of the Senate or House
[[Page 961]]
of Representatives;
(ii) any legislative provision increasing direct
costs of a Federal intergovernmental mandate
contained in any amendment offered to a bill or
resolution reported by the Committee on
Appropriations of the Senate or House of
Representatives;
(iii) any legislative provision increasing
direct costs of a Federal intergovernmental mandate
in a conference report accompanying a bill or
resolution reported by the Committee on
Appropriations of the Senate or House of
Representatives; and
(iv) any legislative provision increasing direct
costs of a Federal intergovernmental mandate
contained in any amendments in disagreement between
the two Houses to any bill or resolution reported by
the Committee on Appropriations of the Senate or
House of Representatives.
(2) Certain provisions stricken in senate.--Upon a point of
order being made by any Senator against any provision listed in
paragraph (1)(B), and the point of order being sustained by the
Chair, such specific provision shall be deemed stricken from the
bill, resolution, amendment, amendment in disagreement, or
conference report and may not be offered as an amendment from
the floor.
(d) Determinations of Applicability to Pending Legislation.--For
purposes of this section, in the Senate, the presiding officer of the
Senate shall consult with the Committee on Governmental Affairs, to the
extent practicable, on questions concerning the applicability of this
part to a pending bill, joint resolution, amendment, motion, or
conference report.
SEC. 426. PROVISIONS RELATING TO THE HOUSE OF REPRESENTATIVES.
(e) Determinations of Federal Mandate Levels.--For purposes of this
section, in the Senate, the levels of Federal mandates for a fiscal year
shall be determined based on the estimates made by the Committee on the
Budget.
(a) Enforcement in the House of Representatives.--It shall not be in
order in the House of Representatives to consider a rule or order that
waives the application of section 425.
[[Page 962]]
(b) Disposition of Points of Order.--
(1) Application to the house of representatives.--This
subsection shall apply only to the House of Representatives.
(2) Threshold burden.--In order to be cognizable by the Chair,
a point of order under section 425 or subsection (a) of this
section must specify the precise language on which it is
premised.
(3) Question of consideration.--As disposition of points of
order under section 425 or subsection (a) of this section, the
Chair shall put the question of consideration with respect to
the proposition that is the subject of the points of order.
(4) Debate and intervening motions.--A question of
consideration under this section shall be debatable for 10
minutes by each Member initiating a point of order and for 10
minutes by an opponent on each point of order, but shall
otherwise be decided without intervening motion except one that
the House adjourn or that the Committee of the Whole rise, as
the case may be.
(5) Effect on amendment in order as original text.--The
disposition of the question of consideration under this
subsection with respect to a bill or joint resolution shall be
considered also to determine the question of consideration under
this subsection with respect to an amendment made in order as
SEC. 427. REQUESTS TO THE CONGRESSIONAL BUDGET OFFICE FROM SENATORS.
original text.
SEC. 428. CLARIFICATION OF APPLICATION.
At the written request of a Senator, the Director shall, to the extent
practicable, prepare an estimate of the direct costs of a Federal
intergovernmental mandate contained in an amendment of such Senator.
(a) In General.--This part applies to any bill, joint resolution,
amendment, motion, or conference report that reauthorizes
appropriations, or that amends existing authorizations of
appropriations, to carry out any statute, or that otherwise amends any
statute, only if enactment of the bill, joint resolution, amendment,
motion, or conference report--
(1) would result in a net reduction in or elimination of
authorization of appropriations for Federal financial assistance
that would be provided to State, local, or tribal governments
[[Page 963]]
for use for the purpose of com-
plying with any Federal intergovernmental mandate, or to the
private sector for use to comply with any Federal private sector
mandate, and would not eliminate or reduce duties established by
the Federal mandate by a corresponding amount; or
(2) would result in a net increase in the aggregate amount of
direct costs of Federal intergovernmental mandates or Federal
private sector mandates other than as described in paragraph
(1).
(b) Direct Costs.--
(1) In general.--For purposes of this part, the direct cost of
the Federal mandates in a bill, joint resolution, amendment,
motion, or conference report that reauthorizes appropriations,
or that amends existing authorizations of appropriations, to
carry out a statute, or that otherwise amends any statute, means
the net increase, resulting from enactment of the bill, joint
resolution, amendment, motion, or conference report, in the
amount described under paragraph (2)(A) over the amount
described under paragraph (2)(B).
(2) Amounts.--The amounts referred to under paragraph (1)
are--
(A) the aggregate amount of direct costs of Federal
mandates that would result under the statute if the
bill, joint resolution, amendment, motion, or conference
report is enacted; and
(B) the aggregate amount of direct costs of Federal
mandates that would result under the statute if the
bill, joint resolution, amendment, motion, or conference
report were not enacted.
(3) Extension of authorization of appropriations.--For
purposes of this section, in the case of legislation to extend
authorization of appropriations, the authorization level that
would be provided by the extension shall be compared to the
authorization level for the last year in which authorization of
appropriations is already provided.
Part B of title IV was added by the Unfunded Mandates Reform Act of
1995 (sec. 101(a), P.L. 104-4; 109 Stat. 50-60). That Act explicitly
declared that the new part was enacted as an exercise of Congressional
rulemaking powers (sec. 108; 109 Stat. 63-64).
[[Page 964]]
their time, and the Member initiating the point of order has the right
to close debate (Mar. 28, 1996, p. ----). A point of order under section
426 against consideration of a resolution providing a special order of
business that waives section 425 or self-executes the adoption of an
amendment must be made when the special order is called up and comes
too late after the resolution has been adopted (July 18, 1996, p. ----).
Pursuant to section 426, a Member raising a point of order under
section 425 must specify the precise language upon which the point of
order is based (May 23, 1996, p. ----). Debate on the point of order is
on the question of considering the underlying text that is the subject
of the point of order. The Members controlling debate on the point of
order may reserve
The Budget Enforcement Act of 1990 (tit. XIII, P.L. 101-508)
established a new title VI which placed temporary limits on
discretionary spending and provided mechanisms for enforcement which
included those found in title III of the Congressional Budget Act, which
was extended by the Omnibus Budget Reconciliation Act of 1993 (tit. XIV,
P.L. 103-66). Title VI was repealed by the Budget Enforcement Act of
1997 (sec. 10118, P.L. 105-33). For the text of title VI, see the House
Rules and Manual for the 104th Congress (H. Doc. 103-342).
* * * * *
TITLE VII--PROGRAM REVIEW AND EVALUATION
continuing study of additional budget reform proposals
Sec. 703. (a) The Committees on the Budget of the House of
Representatives and the Senate shall study on a continuing basis
proposals designed to improve and facilitate methods of congressional
budgetmaking. The proposals to be studied shall include, but are not
limited to, proposals for--
(1) improving the information base required for determining
the effectiveness of new programs by such means as pilot
testing, survey research, and other experimental and analytical
techniques;
(2) improving analytical and systematic evaluation of the
effectiveness of existing programs;
(3) establishing maximum and minimum time limitations for
program authorization; and
(4) developing techniques of human resource accounting and
other means of providing noneconomic as well as economic
evaluation measures.
(b) The Committee on the Budget of each House shall, from time to
time, report to its House the results of the study carried on by it
under subsection (a), together with its recommendations.
[[Page 965]]
House of Representatives or the Senate or any joint committee of the Congress.
* * * * *
(c) Nothing in this section shall preclude studies to improve the
budgetary process by any other committee of the
* * * * *
TITLE IX--MISCELLANEOUS PROVISIONS; EFFECTIVE DATES
exercise of rulemaking powers
Sec. 904. (a) The provisions of this title and of titles I, III, IV,
and V and the provisions of sections 701, 703, and 1017 are enacted by
the Congress--
(1) as an exercise of the rulemaking power of the House of
Representatives and the Senate, respectively, and as such they
shall be considered as part of the rules of each House,
respectively, or of that House to which they specifically apply,
and such rules shall supersede other rules only to the extent
that they are inconsistent therewith; and
(2) with full recognition of the constitutional right of
either House to change such rules (so far as relating to such
House) at any time, in the same manner, and to the same extent
as in the case of any other rule of such House.
(b) Any provision of title III or IV may be waived or suspended in the
Senate by a majority vote of the Members voting, a quorum being present,
or by the unanimous consent of the Senate.
(c) Waivers.--
(1) Permanent.--Sections 305(b)(2), 305(c)(4), 306, 310(d)(2),
313, 904(c), and 904(d) of this Act may be waived or suspended
in the Senate only by the affirmative vote of three-fifths of
the Members, duly chosen and sworn.
(2) Temporary.--Sections 301(i), 302(c), 302(f), 310(g),
311(a), 312(b), and 312(c) of this Act and sections
258(a)(4)(C), 258A(b)(3)(C)(I), 258B(f)(1), 258B(h)(1),
258(h)(3), 258C(a)(5), and 258C(b)(1) of the Balanced Budget and
Emergency Deficit Control Act of 1985 may be waived or suspended
in the Senate only by the affirmative vote of three-fifths of
the Members, duly chosen and sworn.
[[Page 966]]
(d) Appeals.--
(1) Procedure.--Appeals in the Senate from the decisions of
the Chair relating to any provision of title III or IV or
section 1017 shall, except as otherwise provided therein, be
limited to 1 hour, to be equally divided between, and controlled
by, the mover and the manager of the resolution, concurrent
resolution, reconciliation bill, or rescission bill, as the case
may be.
(2) Permanent.--An affirmative vote of three-fifths of the
Members, duly chosen and sworn, shall be required in the Senate
to sustain an appeal of the ruling of the Chair on a point of
order raised under sections 305(b)(2), 305(c)(4), 306,
310(d)(2), 313, 904(c), and 904(d) of this Act.
(3) Temporary.--An affirmative vote of three-fifths of the
Members, duly chosen and sworn, shall be required in the Senate
to sustain an appeal of the ruling of the Chair on a point of
order raised under sections 301(i), 302(c), 302(f), 310(g),
311(a), 312(b), and 312(c) of this Act and sections
258(a)(4)(C), 258A(b)(3)(C)(I), 258B(f)(1), 258B(h)(1),
258(h)(3), 258C(a)(5), and 258C(b)(1) of the Balanced Budget and
Emergency Deficit Control Act of 1985.
(e) Expiration of Certain Supermajority Voting Requirements.--
Subsections (c)(2) and (d)(3) shall expire on September 30, 2002.
Section 904 was amended by the Budget Enforcement Act of 1997 (sec.
10119, P.L. 105-33) to clarify points of order in the Senate that may be
waived by a supermajority vote. Pursuant to this section, and under its
authority contained in clause 4(b) of rule XI to report on rules and the
order of business, the Committee on Rules may report as privileged a
resolution recommending the temporary waiver of the provisions of
section 401 of the Congressional Budget Act during the consideration of
designated legislation in the House (Speaker Albert, Mar. 20, 1975, p.
7676). A point of order against consideration of a resolution reported
from the Committee on Rules providing for consideration of a concurrent
resolution on the budget does not lie based upon alleged violation of a
statute which merely reaffirms the Congressional commitment towards
achieving balanced Federal budgets (P.L. 96-389), since the statute does
not constitute a rule of the House and since section 904 of the Budget
Act acknowledges the Constitutional authority of either House to change
its rules at any time (June 10, 1982, pp. 13352-53). A unanimous-consent
agreement which only permits a (nonprivileged) bill to be considered in
the House prior to three-day availability of the report thereon, but
which does not specifically waive points of order against consideration,
does not preclude a point of order against consideration of the bill
when called up based upon an alleged violation of the Budget Act (Feb.
4, 1982, p. 845).