BPLA (Contents)

Budget Process Law Annotated (1993)

Congressional Budget and Impoundment Control Act of  1974

[PAGES 50-87]

TITLE III—CONGRESSIONAL BUDGET PROCESS

annual adoption of concurrent resolution on the budget

Sec.301.129 (a) In General.—On or before April 15130 of each year, the Congress shall complete action on a concurrent resolution on the budget for the fiscal year beginning on [p. 51] October 1 of such year.131 The concurrent resolution shall set forth appropriate levels for the fiscal year beginning on October 1 of such year, and planning levels for each of the two [p. 52] ensuing fiscal years,132 for the following133

(1) totals of new budget authority,134 budget outlays,135 direct loan obligations, and primary loan guarantee commitments;

(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; [p. 53]

(3) the surplus136 or deficit137 in the budget;

(4) new budget authority,138 budget outlays,139 direct loan obligations, and primary loan guarantee commitments for each major functional category,140 based on allocations of the total levels set forth pursuant to paragraph (1);

(5) the public debt;141 

[page 54 (Note #141)] [1]
[p. 55] 

(6)142 For purposes of Senate enforcement under this title, outlays143 of the old-age, survivors, and disability insurance program established under title II144 of the Social Security Act for the fiscal year of the resolution and [p. 56] for each of the 4 succeeding fiscal years; and

(7)145 For purposes of Senate enforcement under this title, revenues146  of the old-age, survivors, and disability Insurance program established under title II147 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 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 Security Act or the related provisions of the Internal Revenue Code of 1986 in the surplus148 or deficit149 totals required by this subsection or in any other surplus or deficit totals required by this title.150


[Notes to Subsection (a)]

129. Section 301 is codified as amended at 2 U.S.C. § 632 (1988 and Supp. IV 1992). Section 201(b) of the Balanced Budget and Emergency Deficit Control Act of 1985 revised section 301. See infra p. 413.

130. The failure to complete the budget resolution by this deadline has no effect on points of order under the Congressional Budget Act of 1974. See 132 Cong. Rec. S10,694 (daily ed. Aug. 7, 1986).

Historically, Congress has completed budget resolutions on the dates in the following table. Until the enactment of the Balanced Budget and Emergency Deficit Control Act of 1985, section 301 set forth a May 15 deadline for Congress to act. See supra note 116. Thus, Congress has met the deadline only in the first two years of the budget process, fiscal years 1976 and 1977, and with the most recent budget resolution, fiscal year 1994.

Adoption Dates of Budget Resolutions[2]
 
   
Fiscal Year Budget resolution adopted
   
1976 May 14, 1975 (H. Con. Res. 218)
1977 May 13, 1976 (S. Con. Res. 109)
1978 May 17, 1977 (S. Con. Res. 19)
1979 May 17, 1978 (S. Con. Res. 80)
1980 May 24, 1979 (H. Con. Res. 107)
1981 June 12, 1980 (H. Con. Res. 307)
1982 May 21, 1981 (H. Con. Res. 115)
1983 June 23, 1982 (S. Con. Res. 92)
1984 June 23, 1983 (H. Con. Res. 91)
1985 October 1, 1984 (H. Con. Res. 280)
1986 August 1, 1985 (S. Con. Res. 32)
1987 May 15, 1986 (H. Con. Res. 337)
1988 June 25, 1987 (H. Con. Res. 93)
1989 June 6, 1988 (H. Con. Res. 268)
1990 May 18, 1989 (H. Con. Res. 106)
1991 October 9, 1990 (H. Con. Res. 310)
1992 May 22, 1991 (H. Con. Res. 121)
1993 May 21, 1992 (H. Con. Res. 287)
1994 April 1, 1993 (H. Con. Res. 64)
1995 May 5, 1994 (H. Con. Res. 218)
1996 June 29, 1995 (H. Con. Res. 67)
1997 June 12, 1996 (H. Con. Res. 178)
1998 June 5, 1997 (H. Con. Res. 84)
1999 None
2000 April 15, 1999 (H. Con. Res. 68)
2001 April 13, 2000 (H. Con. Res. 290)
2002 May 10, 2001 (H. Con. Res. 83)
2003 None
2004 April 11, 2003 (H. Con. Res. 95)
2005 None
2006 April 28, 2005 (H. Con. Res. 95)
2007 None
2008 May 17, 2007 (S. Con. Res. 21)
2009 June 5, 2008 (S. Con. Res. 70)
2010 April 29, 2009 (S. Con. Res. 13)
2011 None
2012 None
2013 None
2014 None
2015 None
2016 May 6, 2015 (S. Con. Res. 11)
2017 None

131. See, e.g., Concurrent Resolution Setting Forth the Congressional Budget for the United States Government for the Fiscal Years 1994, 1995, 1996, 1997, and 1998:

  • H. Con. Res. 64, 103d Cong., 1st Sess., 139 Cong. Rec. H1747 (daily ed. Mar. 31, 1993) (adopted); Concurrent Resolution on the Budget – Fiscal Year 1993,

  • H. Con. Res. 287, 102d Cong., 2d Sess. 138 Cong. Rec. H3602 (daily ed. May 20, 1992) (adopted); Concurrent Resolution on the Budget – Fiscal Year 1992;

  • H. Con. Res. 121, 102d Cong., 1st Sess., 105 Stat. 2414 (1991); Concurrent Resolution on the Budget – Fiscal Year 1991;

  • H. Con. Res. 310, 101st Cong., 2d Sess., 104 Stat. 5163 (1990); Concurrent Resolution on the Budget – Fiscal Year 1990,

  • H. Con. Res. 106, 101st Cong., 1st Sess., 103 Stat. 2540 (1989); Concurrent Resolution on the Budget – Fiscal Year 1989,

  • H. Con. Res. 268, 100th Cong., 2d Sess., 102 Stat. 4875 (1988); Concurrent Resolution on the Budget – Fiscal Year 1988,

  • H. Con. Res. 93, 100th Cong., 1st Sess., 101 Stat. 1986 (1987); Concurrent Resolution on the Budget – Fiscal Year 1987,

  • S. Con. Res. 120, 99th Cong., 2d Sess., 100 Stat. 4354 (1986); First Concurrent Resolution on the Budget – Fiscal Year 1986,

  • S. Con. Res. 32, 99th Cong., 1st Sess., 99 Stat. 1941 (1985); First Concurrent Resolution on the Budget – Fiscal Year 1985,

  • H. Con. Res. 280, 98th Cong., 2d Sess., 98 Stat. 3484 (1984); First Concurrent Resolution on the Budget – Fiscal Year 1984,

  • H. Con. Res. 91, 98th Cong., 1st Sess., 97 Stat. 1501 (1983); First Concurrent Resolution on the Budget – Fiscal Year 1983,

  • S. Con. Res. 92, 97th Cong., 2d Sess., 96 Stat. 2647 (1982); Second Concurrent Resolution on the Budget, 1982,

  • S. Con. Res. 50, 97th Cong., 1st Sess., 95 Stat. 1778 (1981); First Concurrent Resolution on the Budget – Fiscal Year 1982,

  • H. Con. Res. 115, 97th Cong., 1st Sess., 95 Stat. 1743 (1981); Second Concurrent Resolution on the Budget – Fiscal Year 1981,

  • H. Con. Res. 448, 96th Cong., 2d Sess., 94 Stat. 3680 (1980); First Concurrent Resolution on the Budget – Fiscal Year 1981;

  • H. Con. Res. 307, 96th Cong., 2d Sess., 94 Stat. 3655 (1980); Third Concurrent Resolution on the Budget, Fiscal Year 1980;

  • S. Con. Res. 53, 96th Cong., 1st Sess., 93 Stat. 1428 (1979); Second Concurrent Resolution on the Budget – Fiscal Year 1980;

  • S. Con. Res. 36, 96th Cong., 1st Sess., 125 Cong. Rec. 30,796 (1979) (adopted); First Concurrent Resolution on the Budget – Fiscal Year 1980;

  • H. Con. Res. 107, 96th Cong., 1st Sess., 93 Stat. 1413(1979); Second Concurrent Resolution on the Budget – Fiscal Year 1979;

  • H. Con. Res. 683, 95th Cong., 2d Sess., 92 Stat. 3878 (1978); First Concurrent Resolution on the Budget, Fiscal Year 1979;

  • S. Con. Res. 80, 95th Cong., 2d Sess., 92 Stat. 3870 (1978); Second Concurrent Resolution on the Budget – Fiscal Year 1978;

  • H. Con. Res. 341, 95th Cong., 1st Sess., 91 Stat. 1683 (1977); First Concurrent Resolution on the Budget: Fiscal Year 1978;

  • S. Con. Res. 19, 95th Cong., 1st Sess., 91 Stat. 1670 (1977); Third Concurrent Resolution on the Budget – Fiscal Year 1977;

  • S. Con. Res. 10, 95th Cong., 1st Sess., 91 Stat. 1666 (1977); Second Concurrent Resolution on the Budget – Fiscal Year 1977;

  • S. Con. Res. 139, 94th Cong., 2d Sess., 90 Stat. 3044 (1976); First Concurrent Resolution on the Budget – Fiscal Year 1977;

  • S. Con. Res. 109, 94th Cong., 2d Sess., 90 Stat. 3029 (1976); Second Concurrent Resolution on the Budget – Fiscal Year 1976;

  • H. Con. Res. 466, 94th Cong., 1st Sess., 89 Stat. 1209 (1975); First Concurrent Resolution on the Budget – Fiscal Year 1976;

  • H. Con. Res. 218, 94th Cong., 1st Sess., 89 Stat. 1197 (1975).

132. At least for fiscal years through 1998, section 606 provides that the resolution shall set forth appropriate levels for the fiscal year beginning on October 1 of the calendar year in which it is reported and for each of the 4 succeeding fiscal years for the matters described in section 301(a). See infra p. 333.

133. The Chair will not look to the effect of language contained in a concurrent resolution on the budget reported by the Budget Committee, but will look to its form. 127 Cong. Rec. S2754 (1981); Senate Precedent PRL19810326-001 (Mar. 26, 1981) (Legis, Rules database). On March 26, 1981, during consideration of S. Con. Res. 9, the Third Concurrent Resolution on the Budget for Fiscal Year 1981, Senator Hatfield posed the following parliamentary inquiry of the Chair (Senator Humphrey of New Hampshire):

Mr. Hatfield … First, before that, would the Chair also comment or observe that the changing of those three words in no way changes the results of the resolution?

The Presiding Officer. The Chair cannot look to the results of the resolution, only to the language.

Mr. Hatfield. Will the chair speak louder?

The Presiding Officer. The Chair could not look to the results of the resolution only to the language. When the language conforms to the Budget Act then no point of order lies as to the language.

Mr. Hatfield. The Chair, in effect, then was commenting on form rather than substance, is that correct?

The Presiding Officer. That is the function of the Chair.

127 Cong. Rec. S2754 (daily ed. Mar. 26, 1981).

134. Section 3(2) defines budget authority. See supra pp. 11-13.

135. Section 3(1) defines budget outlays. See supra p. 11.

136. Section 3(7) defines surplus. See supra p. 17.

137. Section 3(6) defines deficit. See supra p. 16.

138. Section 3(2) defines budget authority. See supra pp. 11-13.

139. Section 3(1) defines budget outlays. See suprap. 11.

140. Section 911(b) of title 42 of the United States Code provides for a separate major functional category for Medicare. Note that the content of that functional category changed in fiscal year 1993. See infra note 1651.

Section 802, as originally enacted, while not addressing the congressional budget, did address the alteration of functional categories in the Presidents budget. See infra note 939. The substance of section 802 is codified at section 1104(c) of title 31 of the United States Code, which now states:

(c) When the President makes a basic change in the form of the budget, the President shall submit with the budget information showing where items in the budget for the prior fiscal year are contained in the present budget. However, the President may change the functional categories in the budget only in consultation with the Committees on Appropriations and on the Budget of both Houses of Congress. Committees of the House of Representatives and Senate shall receive prompt notification of all such changes.

31 U.S.C. § 1104(c) (1988).

141. The public debt limit is set at 31 U.S.C. § 3101 (Supp. III 1991), amended by the Omnibus Budget Reconciliation Act of 1993, Pub. L. 103-66, § 13411, 107 Stat. 312 (1993). The Omnibus Budget Reconciliation Act of 1993 raised the limit to $4.9 trillion. id.

Rule XLIX of the Rules of the House of Representatives[3] provides that the House automatically passes a joint resolution increasing the statutory limit on the public debt whenever it adopts a budget resolution that includes an increase in the limit. Rule XLIX provides:

Rule XLIX. Establishment of Statutory Limit on the Public Debt

1. Upon the adoption by Congress (under section 301 or 304 of the Congressional Budget Act of 1974) of any concurrent resolution on the budget setting forth as the appropriate level of the public debt for the period to which such concurrent resolution relates an amount which is different from the amount of the statutory limit on the public debt that would otherwise be-in effect for such period, the enrolling clerk of the House of Representatives shall prepare an engrossment of a joint resolution, in the form prescribed in clause 2, increasing or decreasing the statutory limit on the public debt. The vote by which the conference report on the concurrent resolution on the budget was agreed to in the House (or by which the concurrent resolution itself was adopted in the House, if there is no conference report) shall be deemed to have been a vote in favor of such joint resolution upon final passage in the House of Representatives. Upon the engrossment of such joint resolution it shall be deemed to have passed the House of Representatives and been duly certified and examined; the engrossed copy shall be signed by the Clerk and transmitted to the Senate for further legislative action; and (upon final passage by both Houses) the joint resolution shall be signed by the presiding officers of both Houses and presented to the President for his signature (and otherwise treated for all purposes) in the manner provided for bills and joint resolutions generally.

2. The matter after the resolving clause in any joint resolution described in clause 1 shall be as follows: That subsection (b) of section 3101 of title 31, United States Code, is amended by striking out the dollar limitation contained in such subsection and inserting in lieu thereof s .0, with the blank being filled in with a limitation equal to the appropriate level of the public debt as set forth, pursuant to section 301(a)(5) of the Congressional Budget Act of 1974, in the concurrent resolution on the budget (whether such resolution was adopted under section 301, 304, or 310 of such Act). Only one joint resolution shall be prepared under clause I upon the adoption of any concurrent resolution on the budget; and, if the concurrent resolution set forth a different appropriate level of the public debt (pursuant to such section 301(a)(5)) for each of two separate periods, the blank referred to in the preceding sentence shall be filled in with both the limitation which is to apply for the later of the two periods (specifying the date on which that limitation is to take effect) and the limitation which is to apply for the earlier of such periods.

3. The report of the Committee on the Budget of the House of Representatives accompanying any concurrent resolution on the budget under section 301(d) of the Congressional Budget Act of 1974, as well as the joint explanatory statement accompanying the conference report on any concurrent resolution on the budget, shall contain a clear statement of the effect under this rule that the adoption by both the House and the Senate of such concurrent resolution in the form in which it is being reported (and the adoption of the joint resolution thereupon prepared and enrolled under clause 1) would have upon the statutory limit on the public debt. It shall not be in order in the House of Representatives at any time to consider or adopt any concurrent resolution on the budget (or agree to any conference report thereon) if at that time the report accompanying such concurrent resolution (or the joint statement accompanying such conference report) does not comply with the requirements of this clause.

4. Nothing in this rule shall be construed as limiting or otherwise affecting the power of the House of Representatives or the Senate to consider and pass a bill which (without regard to the procedures under clause 1) changes the statutory limit on the public debt most recently established under this rule or otherwise; and the rights of Members and committees of the House with respect to the introduction, consideration, and reporting of any such bill shall be determined as though this rule had not been adopted.

5. As used in this rule, the term statutory limit on the public debt means the maximum face amount of obligations issued under authority of chapter 31 of title 31, United States Code and obligations guaranteed as to principal and interest by the United States (except such guaranteed obligations as may be held by the Secretary of the Treasury), determined under section 3101(b) of title 31 after the application of section 3101(a), title 31 which may be outstanding at any one time.

Rules of the House of Representatives Rule XLIX (1993).

142. Section 13303(a) of the Budget Enforcement Act of 1990 added this paragraph. See infra p. 756.

143. This paragraph implicitly defines the term social security outlays as outlays of the old-age, survivors, and disability insurance program established under title II of the Social Security Act.

144. Title II of the Social Security Act is codified as amended at 42 U.S.C. §§ 401-433 (1988 and Supp. III 1991).

145. Section 13303(a) of the Budget Enforcement Act of 1990 added this paragraph. See infra p. 756.

146. This paragraph implicitly defines the term social security revenues as 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).

147. Title II of the Social Security Act is codified as amended at 42 U.S.C. §§ 401-433 (1988 & Supp. 111 1991).

148. Section 3(7) defines surplus. See supra p. 17.

149. Section 3(6) defines deficit. See supra p. 16.

150. Section 13301(b) of the Budget Enforcement Act of 1990 added this last sentence. See infra p. 745.

Line_Separator

 

[Subsection (b)]

(b) Additional Matters In Concurrent Resolution.—

(1) set forth, if required by subsection (f),151 the calendar year In which, In the opinion of the Congress, the [p. 57] goals for reducing unemployment set forth In section 4(b)152 of the Employment Act of 1946 should be achieved; [p. 58]

(2) include reconciliation directives described in section 310;153 [p. 59]

(3) require a procedure154 under which all or certain bills or resolutions providing new budget authority155 [p. 60] or new entitlement authority156 for such fiscal year shall not be enrolled until the Congress has completed action on any reconciliation bill or reconciliation resolution157 or both required by such concurrent resolution to be reported in accordance with section 310(b);158

[Pages 60 through 66 (Note #159)]

(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;159 [p. 66]

(5)160 include a heading entitled Debt Increase as Measure of Deficit161 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 Code162) has increased or would increase in each of the [p. 67] relevant fiscal years;

(6)163 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)164 set forth pay-as-you-go procedures for the Senate whereby—

(A) budget authority165 and outlays166 may be allocated to a committee for legislation that increases funding for entitlement and mandatory spending programs within its jurisdiction If that committee or the committee of conference on such legislation reports such legislation, if, to the extent that the costs of such legislation are not included in the concurrent resolution on the budget, the enactment of such legislation will not increase the deficit167 (by virtue of either deficit reduction in the bill or previously passed deficit reduction) in the resolution for the first fiscal year covered by the concurrent [p. 68] rent resolution on the budget, and will not increase the total deficit for the period of fiscal years covered by the concurrent resolution on the budget;

(B) upon the reporting of legislation pursuant to subparagraph (A), and again upon the submission of a conference report on such legislation (if a conference report is submitted), 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 paragraph;

(C) such revised allocations, functional levels, and aggregates shall be considered for the purposes of this Act as allocations, functional levels, and aggregates contained in the concurrent resolution on the budget; and

(D) the appropriate committee shall report appropriately revised allocations pursuant to section 302(b) to carry out this paragraph;168 and [p. 69]

(8)169 set forth procedures to effectuate pay-as-you-go in the House of Representatives.


[Notes to Subsection (b)]

151. See infra pp. 77-81.

152. Section 4(b) of the Employment Act of 1946 provides (as amended):

(b) Interim numerical goals for initial Economic Reports

The medium-term goals in the first three Economic Reports and, subject to the provisions of subsection (d) of this section, in each Economic Report thereafter shall include (as part of the five-year goals in each Economic Report) interim numerical goals for 

(1) reducing the rate of unemployment, as set forth pursuant to section 3(d) of this Act, to not more than 3 per centum among individuals aged twenty and over and 4 per centum among individuals aged sixteen and over within a period not extending beyond the fifth calendar year after the first such Economic Report;

(2) reducing the rate of inflation, as set forth pursuant to section 1022(e) of this title, to not more than 3 per centum within a period not extending beyond the fifth calendar year after the first such Economic Report: Provided, That policies and programs for reducing the rate of inflation shall be designed so as not to impede achievement of the goals and timetables specified in clause (1) of this subsection for the reduction of unemployment; and

(3) reducing the share of the Nations gross national product accounted for by Federal outlays to 21 per centum or less by 1981, and to 20 per centum or less by 1983 and thereafter, or the lowest level consistent with national needs and priorities: Provided, That policies and programs for achieving the goal specified in this clause shall be designed so as not to impede achievement of the goals and timetables specified in clause (1) of this subsection for the reduction of unemployment.

For purposes of this subsection, the first Economic Report shall be the Report issued in the first calendar year after October 27, 1978.

15 U.S.C. § 1022a(b) (1988).

Section 4(d) of the Employment Act of 1946 (to which section 4(b) refers) states:

(d) Review by President; report to Congress; modification of timetables.

In the second Economic Report after October 27, 1978, the President shall review the numerical goals and timetables for the reduction of unemployment, inflation, and Federal outlays as a proportion of gross national product, and the goal of balancing the Federal budget; report to the Congress on the degree of progress being made, the programs and policies being used, and any obstacles to achieving such goals and timetables; and, if necessary, propose corrective economic measures toward achievement of such goals and time- tables: i ode4 That beginning with the second Report and in any subsequent Reports, if the President finds it necessary, the President may recommend codification of the timetable or timetables for the achievement of the goals provided for in subsection (b) and the annual numerical goals to make them consistent with the modified timetable or timetables, and the Congress may take such action as it deems appropriate consistent with title III of the Full Employment and Balanced Growth Act of 1978 [15 U.S.C. §53131 et seq.].

15 U.S.C. § 1022a(d) (1988).

Section 3(d) of the Employment Act of 1946 (to which section 4(b)(1) of that Act refers) states:

(d) Rate of Unemployment.

For the purposes of the Full Employment and Balanced Growth Act of 1978 [15 U.S.C. 83101 et seq.], the percentage rate of unemployment [ils a percentage of the civilian labor force as set forth by the Bureau of Labor Statistics in the Department of Labor as computed under the procedures in effect as of the date of enactment of this Act.

15 U.S.C. § 1022(d) (1988). The enactment date to which section 3(d) refers is October 27, 1978.

153. See infra pp 158-177. Section 310 sets forth the reconciliation process in the context of Congresss annual cycle of concurrent resolutions on the budget. See supra pp. 158-177. For other budget process legislation dealing with reconciliation, see section 300, supra p. 47 (budget timetable, including that for reconciliation); section 301(b)(3), infra p. 59 (empowering budget resolutions to include a provision providing for delayed enrollment of legislation pending completion of reconciliation); section 305, infra pp. 120-142 (procedures for budget resolutions and reconciliation bill,); section 313, infra pp. 198-228 (the Byrd Rule prohibiting extraneous matter in reconciliation); section 604, infra pp. 325- 327 (providing an optional reconciliation process in the House of Representatives to make up the net losses created by tax-cutting legislation); section 904(c) and (d), infra pp. 361-368 (supermajority requirements for points of order and appeal.% including those for reconciliation); Balanced Budget and Emergency Deficit Control Act of 1985 (BBEDCA) section 258C, infra pp. 658-662 (providing a special BBEDCA reconciliation process to achieve savings in lieu of an impending sequester); section 5 of Executive Order 12857, infra pp.826-827 (reconciliation recommendations In special direct spending message); and section 16005 of H.R. 2264, 103d Cong., 1st Sea., 139 Cong. Rec. H3029, H3199-201 (daily ed. May 27, 1993) (as passed by the House of Representative) as applied to the House by H. Res. 235, 103d Cong., 1st Seas., 139 Cong. Rec. H6122 (daily ed. Aug. 3, 1993)), Infra pp. 844-848 (reconciliation procedures in response to special direct spending message).

Budget resolutions for fiscal years 1981, 1982, 1983, 1984, 1986, 1987, 1988, 1990, 1991, and 1994 have included reconciliation instructions. See Concurrent Resolution Setting Forth the Congressional Budget for the United States Government for the Fiscal Years 1994, 1995, 1996, 1997, and 1998:

  • H. Con. Res. 64, 103d Cong., 1st Sess. § 7, 139 Cong. Rec. H1747, H1750-51 (daily ed. Mar. 31, 1993) (adopted); Concurrent Resolution on the Budget – Fiscal Year 1991;

  • H. Con. Res. 310, 101st Cong., 2d Sess. § 4, 104 Stat. 5163, 5176-80 (1990); Concurrent Resolution on the Budget – Fiscal Year 1990;

  • H. Con. Res. 106, 101st Cong., 1st Sess. § 5, 103 Stat. 2540, 2549-52 (1989); Concurrent Resolution on the Budget – Fiscal Year 1988,

  • H. Con. Res. 93, 100th Cong., 1st Sess. § 4, 101 Stat. 1986, 1995-99 (1987); Concurrent Resolution on the Budget – Fiscal Year 1987;

  • S. Con. Res. 120, 99th Cong., 2d Sess. § 2, 100 Stat. 4354, 4362-66 (1986); First Concurrent Resolution on the Budget – Fiscal Year 1986;

  • S. Con. Res. 32, 99th Cong., 1st Sess. §92, 99 Stat. 1941 (1985); First Concurrent Resolution on the Budget – Fiscal Year 1984;

  • H. Con. Res. 91, 98th Cong., 1st Sess. § 3, 97 Stat. 1501 (1983); First Concurrent Resolution on the Budget – Fiscal Year 1983;

  • S. Con. Res. 92,97th Cong., 2d Sess. §92, 96 Stat. 2647, 2656-59 (1982); First Concurrent Resolution on the Budget – Fiscal Year 1982;

  • H. Con. Res. 115, 97th Cong., 1st Sess. §1301-304,95 Stat. 1743, 1751-58 (1981); First Concurrent Resolution on the Budget – Fiscal Year 1981;

  • H. Con. Res. 307, 96th Cong., 2d Sess. §3, 94 Stat. 3655, 3657-59 (1980).

154. For example:

Sec. 7. No bill or resolution providing new budget authority for fiscal year 1983 or providing new spending authority described in section 401(c)(2)(C) of the Congressional Budget Act of 1974 in excess of the allocation to or report by a committee or subcommittee pursuant to section 302 of the Budget Act shall be enrolled until Congress has completed action on the Second Budget Resolution for that year as required to be reported under section 310(a) of the Budget Act.

S. Con. Res. 92, 97th Cong., 2d Sess. § 7, 96 Stat. 2647, 2660 (1982).

Budget resolutions for 1981, 1982, 1983, and 1984 contained delayed enrollment provisions. The first 1983 budget resolution exempted legislation dealing with certain trust funds from its delayed enrollment provision.

155. Section 3(2) defines budget authority. See supra pp. 11-13.

156. Section 3(9) (see supra p. 18) defines entitlement authority to mean that authority described in section 401(c)(2)(C) (see infra p. 252). For a discussion of language that ensures that authority will not constitute entitlement authority, see infra note 652.

157. Section 310(b) defines reconciliation resolution. See infra pp. 163-166.

158. See infra pp. 163-166. Sections 310(b) and 301(b)(3) empower reconciliation provisions in a budget resolution to direct the development of a reconciliation resolution. Such a reconciliation resolution could direct the Clerk of the House or the Secretary of the Senate to revise certain billion which enrollment has been delayed pursuant to section 301(b)(3). Congress has not included this reconciliation resolution procedure in any budget resolution.

159. Some refer to this paragraph as the elastic clause. Section 2 sets forth the purposes of this Act as:

(1) to assure effective congressional control over the budgetary process;

(2) to-provide for 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.

See supra p. 10.

Process Changes in Budget Resolutions

The Constitution preserves to each House of Congress the power to change the rules governing its procedure. Article I, which sets forth the powers of the legislative branch, provides that each ah House may determine the Rules of its Proceedings …. U.S. CONST. ar,-4§,5, d. 2. Pursuant to this power, Congress may by concurrent resolution supersede rule-making statutes, such as the Congressional Budget Act of 1974, insofar as they establish congressional procedures. Section 904(a), see infra pp. 357-358, restates this constitutional power of Congress (and each of its Houses) to change the Budget Acts provisions. Section 301(b)(4) provides an affirmative statement of the same reservation of powers.

The legislative history of section 301(b)(4) makes clear that the drafters of the Budget Act intended that the section would grant later Congresses broad authority to revise the budget rules in budget resolutions. As passed by the House of Representatives, the Act provided a general grant of authority to include miscellaneous budgetary matters:

(b) Matters Required To Be Set Forth in concurrent Resolution. The concurrent resolution referred to in subsection (c) shall set forth, for the fiscal year concerned

(5) such other matters relating to the budget as may be appropriate to carry out the purposes of this Act.

H.R. 7130, 93d Cong., 2d Sess. § 121(b) (1974) (as passed by the House). As passed by the House, the Act had no explicit statement of its purposes.

As amended in the Senate, the Act provided two general provisions:

Sec. 301. (a) Action To Be Completed By June 1.—On or before June 1 of each year, the Congress shall complete action on the first concurrent resolution on the budget …. The concurrent resolution shall set forth—

(7) Other matters.Such other matters relating to the budget as may be appropriate to carry out the purposes of this Act.

(b) Additional Matter in Concurrent Resolution.—The first concurrent resolution on the budget may also include provisions relating to one of the following procedures:

(4) any other procedure which is considered appropriate to carry out the purposes of this Act.

H.R. 7130, 93d Cong., 2d Sess. § 301 (1974) (as amended by the Senate). The other procedures explicitly listed included a procedure to make all spending contingent on the passage of a wrap-up funding bill, a procedure providing for delayed enrollment of spending bills until after Congress completed reconciliation, and a procedure for including all appropriations measures in one omnibus bill. See id.

The most authoritative legislative history for the Act, the joint statement of managers in the conference report accompanying the Act, includes a detailed discussion of section 301(b)(4), plainly indicating the drafterss intent that future Congresses have broad authority to make temporary changes in the process governing spending legislation during the period covered by the budget resolution:

Section 301(a) and (b). Adoption and Content of First Concurrent Resolution

The House bill provided for adoption of the first concurrent resolution …. The budget resolution also could contain other matters relating to the budget. The Senate amendment provided for adoption of the first resolution …. The Senate amendment also provided that the budget resolution would contain … and other matters deemed appropriate for the congressional budget. The Senate amendment further provided that the budget resolution could mandate additional procedures relating to the consideration of spending measures.

The conference substitute provides for adoption of the first concurrent resolution …. This resolution shall set forth: … and other matters deemed appropriate to the congressional budget …

The managers conceive of the first budget resolution as a major annual opportunity for considering budget policies and priorities. The budget process must combine an optimum amount of information in committee reports and other sources with attention to the key aggregates and priorities in the budget resolution…

The managers recognize that as it acquires experience with its new budget process, Congress may desire to establish additional procedures to facilitate the coordination of its separate budget and appropriation decisions. Section 301(b) authorizes Congress to require in the first budget resolution that appropriation and entitlement legislation not be enrolled until the reconciliation stage of the budget process is completed. Congress may devise any other procedure relating to the budget process and prescribe its implementation for the ensuing fiscal year. It is intended that the authority to prescribe any other procedure which is considered appropriate to carry out the purposes of this Act applies only to the specific procedures for the enactment of budget authority and spending authority legislation for the coming fiscal year and not to the jurisdiction of committees, the authorization of budget authority, or to permanent changes in congressional procedure. The Budget Committees are directed to report to Congress on the implementation of such procedures no later than the end of the 95th Congress.

S. Rep. 924 (Conference Report, pp. 57-58), 93d Cong., 2d Sess. (1974), reprinted in 1974 U.S.C.C.A.N. 3591, 3599-600.

Budget resolutions have included numerous provisions making changes in the budget process. Those provisions have included:

Maximum Deficit Amounts: One budget resolution included an explicit exception for appropriations measures to the maximum deficit amount point of order under sections 311(a) and 605 of the Congressional Budget Act of 1974. See Concurrent Resolution on the Budget – Fiscal Year 1993, H. Con. Res. 287, 102d Cong., 2d Sess. §010 (1992) (adopted).

Social Security “Fire Wall”: One budget resolution included a provision extending the reach of a 60-vote point of order against budget resolutions that would worsen the Social Security Trust Fund balances. This section implicitly amended section 301(i) of the Congressional Budget Act of 1974. See Concurrent Resolution on the Budget — Fiscal Year 1993, H. Con. Res. 287, 102d Cong., 2d Sess. § 12(b) (1992) (adopted). See also the related provisions of i. § 12(a); Concurrent Resolution on the Budget — Fiscal Year 1992, H. Con. Res. 121, 102d Cong., 1st Sess. § 8, 105 Stat. 2414 (1991) (adopted) (requiring use of baseline levels for Social Security for purposes of sections 302 and 311 of the Congressional Budget Act of 1974).

Reserve Funds. Several budget resolutions have included what are called reserve funds that allow deficit-neutral legislation on specified subjects to proceed in excess of aggregates and committee allocations. These provisions implicitly waive sections 302(o), 311(a), and 602(c) of the Congressional Budget Act of 1974 for the purposes of considering specific initiative areas. While section 301(b)(7) of the Budget Act codified this practice in 1990, earlier budget resolutions since 1983 had included this type of language. See Concurrent Resolution on the Budget – Fiscal Year 1993, H. Con. Res. 287, 102d Cong., 2d Sess. § 9 (1992) (adopted) (initiatives to improve the health and nutrition of children and to provide for services to protect children and strengthen families; economic growth initiatives (including for unemployment compensation or other, related programs); continuing improvements in ongoing health care programs and phasing-in of health insurance coverage for all Americans; initiatives to improve educational opportunities for individuals at the early childhood, elementary, secondary, or higher education levels, or to invest in Americas children); Concurrent Resolution on the Budget — Fiscal Year 1992, H. Con. Res. 121, 102d Cong., 1st Sess. §9, 105 Stat. 2414 (daily ed. May 21, 1991) (adopted) (initiatives to improve the health and nutrition of children and to provide for services to protect children and strengthen families, economic recovery initiatives, continuing improvements in ongoing health care programs and phasing-in of health insurance coverage for all Americans, to expand access to early childhood development services for low-income pre-schoolers, and to fund surface transportation); Concurrent Resolution on the Budget — Fiscal Year 1991, H. Con. Res. 310, 101st Cong., 2d Sess. §96, 104 Stat. 5163 (1990) (children, including funding through tax credits); Concurrent Resolution on the Budget – Fiscal Year 1990, H. Con. Res. 106, 101st Cong., 1st Sess. §97 & 8, 103 Stat. 2540 (1989) (children, including funding through tax credits; and medicaid); Concurrent Resolution on the Budget – Fiscal Year 1989, H. Con. Res. 268, 100th Cong., 2d Sess. §9 5 & 6, 102 Stat. 4875 (1988) (the welfare reform initiative, the medicare catastrophic health insurance initiative, and the anti- drug initiative); Concurrent Resolution on the Budget – Fiscal Year 1988, H. Con. Res. 93, 100th Cong., 1st Sess. §99, 101 Stat. 1986 (1987) (the welfare reform initiative and the medi- care catastrophic health insurance initiative); Concurrent Resolution on the Budget -. Fiscal Year 1987, S. Con. Res. 120, 99th Cong., 2d Sess. §9 3 & 4, 100 Stat. 4354 (1986) (unmet critical needs requested by the President and a general revenue sharing extension); First Concurrent Resolution on the Budget – Fiscal Year 1984, H. Con. Res. 91, 98th Cong., 1st Sess. 92, 97 Stat. 1501 (1983) (loan foreclosure relief to farmers; direct loans for farm ownership, operating, or economic emergency programs; and for other purposes); see also the related provisions of Concurrent Resolution on the Budget – Fiscal Year 1988, H. Con. Res. 93, 100th Cong., 1st Sess. § 5, 101 Stat. 1986 (1987) (funding for defense).

Asset Sales: Budget resolutions have prohibited the counting of the proceeds from asset sales and loan prepayments. These provisions altered the functioning of points of order under sections 302, 310, 311, 601(b), 602, 604, and 605 of the Congressional Budget Act of 1974. See Concurrent Resolution on the Budget – Fiscal Year 1993, H. Con. Res. 287, 102d Cong., 2d Sess. §98 (1992) (adopted); Concurrent Resolution on the Budget – Fiscal Year 1992, H. Con. Res. 121, 102d Cong., 1st Sess. § 7, 105 Stat. 2414 (1991) (adopted); Concurrent Resolution on the Budget – Fiscal Year 1991, H. Con. Res. 310, 101st Cong., 2d Sess. § 5, 104 Stat. 5163 (1990); Concurrent Resolution on the Budget – Fiscal Year 1990, H. Con. Res. 106, 101st Cong., 1st Sess. § 6, 103 Stat. 2540 (1989); Concurrent Resolution on the Budget – Fiscal Year 1989, H. Con. Res. 268, 100th Cong., 2d Sess. § 4, 102 Stat. 4875 (1988); Concurrent Resolution on the Budget – Fiscal Year 1988, H. Con. Res. 93, 100th Cong., 1st Sess., §§ 7 and 8, 101 Stat. 1986 (1987).

House Exception to Aggregate Point of Order: One recent budget resolution also clarified the application of the exception that applies in the House to the point of order under section 311 of the Congressional Budget Act of 1974 (2 U.S.C. § 642(b) (1988)) implicitly amending that section. See Concurrent Resolution on the Budget – Fiscal Year 1993, H. Con. Res. 287, 102d Cong., 2d Sess. § 11 (1992) (adopted).

Automatic Second Budget Resolution: When the Congressional Budget Act of 1974 still provided for first and second resolutions on the budget, budget resolutions have provided that the first resolution be considered to be the second resolution if the Congress had not adopted the second one by a date certain. Those provisions also provided an exception in the House to the aggregate point of order under section 311 of the Congressional Budget Act of 1974. See First Concurrent Resolution on the Budget – Fiscal Year 1986, S. Con. Res. 32, 99th Cong., 1st Sess. §93, 99 Stat. 1941 (1985); First Concurrent Resolution on the Budget – Fiscal Year 1985, H. Con. Res. 280, 98th Cong., 2d Sess. §94, 98 Stat. 3484 (1984); First Concurrent Resolution on the Budget – Fiscal Year 1984, H. Con. Res. 91, 98th Cong., 1st Sess. § 5, 97 Stat. 1501 (1983).

Point of Order Where Committees Fail To Suballocate: One resolution created a new point of order in the House against the consideration of legislation before the committee of jurisdiction had completed its suballocation of spending. See First Concurrent Resolution on the Budget – Fiscal Year 1985, H. Con. Res. 280,98th Cong., 2d Sess.65, 98 Stat. 3484 (1984).

Revised Aggregates and Allocations in the House. One budget resolution has empowered the Chairman of the House Budget Committee to revise aggregates and allocations under the budget resolution, affecting the enforcement of sections 302,311, and 602 of the Congressional Budget Act of 1974. See Concurrent Resolution on the Budget – Fiscal Year 1992, H. Con. Res. 121, 102d Cong., 1st Sess. § 12, 105 Stat. 2414 (1991) (adopted). See also Concurrent Resolution on the Budget – Fiscal Year 1988, H. Con. Res. 93, 100th Cong., 1st Sess. § 13, 101 Stat. 1986 (1987) (empowering the House Budget Committee Chairman to file original allocations at a later date); Concurrent Resolution on the Budget – Fiscal Year 1987, S. Con. Res. 120, 99th Cong., 2d Sess. § 13, 100 Stat. 4354 (1986) (same).

In summary, under the Constitution, each House of Congress has the power to alter its procedure, including rule-making statutes such as the Congressional Budget Act of 1974. Section 904(a) of that Act explicitly restates this power, while section 301(b)(4) of the Act makes an affirmative statement of the principle, providing for inclusion in budget resolutions of such other matters, and … such other procedures, relating to the budget, as may be appropriate to carry out the purposes of this Act. The legislative history of the law makes clear that the drafters of the Act intended that the section would grant later Congresses broad authority to revise the budget process. In practice, Congress has included a variety of budget process provisions in budget resolutions, and many of these have (explicitly and implicitly) altered the application of points of order under the Congressional Budget Act of 1974.

Sense of the Congress Provisions

In addition, the concurrent resolution on the budget, like any concurrent resolution, may include sense of the Congress* and sense of the Senate provisions. These provisions state the opinion of the Congress or the Senate and have no binding effect. They must be within the jurisdiction of the Budget Committee in order for the Committee to report the language. Thus, the budget resolution may include any sense of the Congress” or sense of the Senate” provision dealing with budgetary policy.

Many sense of the Congress” and “sense of the Senate” provisions have been included in budget resolutions, including provisions on:

  • tax reform;
  • tax law enforcement;
  • monetary policy;
  • Federal employment policy;
  • Congressional Budget Office scorekeeping; farm loss deductions;
  • limitations on benefits to aliens; military retirement programs;
  • limiting the level of credit activities through the appropriations process; coverage of off-budget and credit activities in budget resolutions; Federal Financing Bank activities;
  • international monetary conference;
  • the Grace Commission;
  • the National Commission on Social Security Reform;
  • early action by Senate committees to meet reconciliation instructions; and inflationary effects of Federal regulations.

160. Section 13203 of the Budget Enforcement Act of 1990 added this paragraph. See infra p. 717. The statement of managers accompanying the conference report on the Budget Enforcement Act of 1990 explains the change briefly: Following the Senate bill, the conference agreement allows for display of the increase in the debt as a measure of the deficit …. H. Rep. 101-964 (Conference Report, p. 1170); 101st Cong., 2d Sess. (1990), repented in 1990 U.S.C.C.A.N. 2374, 2875.

161. Section 3(6) defines deficit. See supra p. 16.

162. The public debt limit is set at 31 U.S.C. § 3101 (Supp. III 1991), amended by the Omnibus Budget Reconciliation Act of 1993, Pub. L. 103-66, § 13411, 107 Stat. 312 (1993).

163. Section 13203 of the Budget Enforcement Act of 1990 added this paragraph. See infra p. 717. The statement of managers accompanying the conference report on the Budget Enforcement Act of 1990 explains the change briefly: “Following the Senate bill, the conference agreement allows for… display of Federal retirement trust fund balances ….” H. Rep 101-964 (Conference Report, p. 1170), 101st Cong., 2d Sess. 1170 (1990), reprinted in 1990 U.S.C.C.A.N. 2374,2875.

164. Section 13204 of the Budget Enforcement Act of 1990 added this paragraph. See infra p. 718. The statement of managers accompanying the conference report on the Budget Enforcement Act of 1990 explains the change briefly: Following the Senate bill, the conference agreement allows for …, the creation in budget resolutions of pay-as-you-go provisions similar to reserve funds established in budget resolutions since 1987. H. Rep 101-964 (Conference Report, p. 1170), 101st Cong., 2d Sess. 1170 (1990), reprinted in 1990 U.S.C.C.A.N. 2374,2875.

165. Section 3(2) defines budget authority. See supra pp. 11-13.

166. Section 3(1) defines budget outlays. See supra p. 11.

167. Section 3(6) defines deficit. See supra p. 16.

168. For the text of reserve funds created pursuant to this paragraph, see Concurrent Resolution Setting Forth the Congressional Budget for the United States Government for the Fiscal Years 1994, 1995, 1996, 1997, and 1998, H. Con. Res. 64, 103d Cong., 1st Sess. § 9, 139 Cong. Rec. H1747, H1751-53 (daily ed. Mar. 31, 1993) (adopted) (initiatives to improve the health and nutrition of children and to provide for services to support and protect children, and to improve the well-being of families; economic growth initiatives; continuing improvements in ongoing health care programs and comprehensive health care reform; initiatives to improve educational opportunities for individuals at the early childhood, elementary, secondary, or higher education levels, or to invest in the health or education of Americas children; initiatives to preserve and rebuild the United States maritime industry; initiatives to reform the financing of federal elections; trade-related legislation); Concurrent Resolution on the Budget – Fiscal Year 1993, H. Con. Res. 287, 102d Cong., 2d Sess. § 9, 138 Cong. Rec. H3602, H3608 (daily ed. May 20, 1992) (adopted) (initiatives to improve the health and nutrition of children and to provide for services to protect children and strengthen families; economic growth initiatives (including for unemployment compensation or other, related programs); continuing improvements in ongoing health care programs and phasing-in of health insurance coverage for all Americans; initiatives to improve educational opportunities for individuals at the early childhood, elementary, secondary, or higher education levels, or to invest in Americas children); Concurrent Resolution on the Budget – Fiscal Year 1992, H. Con. Res. 121, 102d Cong., 1st Sess. 59, 105 Stat. 2414, 2430-32 (1991) (adopted) (initiatives to improve the health and nutrition of children and to provide for services to protect children and strengthen families, economic recovery initiatives, continuing improvements in ongoing health care programs and phasing-in of health insurance coverage for all Americans, to expand access to early childhood development services for low-income pre-schoolers, and to fund surface transportation). For similar reserve fund language before enactment of this section, see Concurrent Resolution on the Budget – Fiscal Year 1991, H. Con. Res. 310, 101st Cong., 2d Sess. §56, 104 Stat. 5163 (1990) (children, including funding through tax credits); Concurrent Resolution on the Budget – Fiscal Year 1990, H. Con. Res. 106, 101st Cong., 1st Sess. §§ 7 & 8, 103 Stat. 2540 (1989) (children, including funding through tax credits; and medicaid); Concurrent Resolution on the Budget – Fiscal Year 1989, H. Con. Res. 268, 100th Cong., 2d Sess. § 5 & 6, 102 Stat. 4875 (1988) (the welfare reform initiative, the medicare catastrophic health insurance initiative, and the anti-drug initiative);

Concurrent Resolution on the Budget – Fiscal Year 1988, H. Con. Res. 93, 100th Cong., 1st Sess. § 9, 101 Stat. 1986 (1987) (the welfare reform initiative and the medicare catastrophic health insurance initiative); Concurrent Resolution on the Budget – Fiscal Year 1987, S. Con. Res. 120, 99th Cong., 2d Sess. §§ 3 & 4, 100 Stat. 4354 (1986) (unmet critical needs requested by the President and a general revenue sharing extension); First Concurrent Resolution on the Budget – Fiscal Year 1984, H. Con. Res. 91, 98th Cong., 1st Sess. §52, 97 Stat. 1501 (1983) (loan foreclosure relief to farmers; direct loans for farm ownership, operating, or economic emergency programs; and for other purposes). See also the related provisions of Concurrent Resolution on the Budget– Fiscal Year 1988, H.Con. Res. 93, 100th Cong., 1st Scas. 545, 101 Stat. 1986 (1987) (funding for defense).

For instances on which the Chairman of the Budget Committee has invoked reserve funds created pursuant to this paragraph, see 137 Cong. Rec. S18,663 (daily ed. Nov. 27, 1991) (statement of Sen. Sasser on transportation bill); id at S7511-12 (daily ed. June 11, 1991) (same); 138 CONG. REC. S2951 (Mar. 10, 1992) (statement of Sen. Sasser on S. 2325); Id at S4055 (Mar. 20, 1992) (statement of Sen. Sasser on the conference report on the Economic Growth and Tax Relief bill, H.R. 4210); id at S10,742-44 (daily ed. July 29, 1992) (statement of Sen. Sasser on the Comprehensive National Energy Policy Act, H.R. 776); id. at S11,222 (daily ed. Aug. 3, 1992) (same); id at S12,247-49 (daily ed. Aug. 11, 1992) (statement of Sen. Sasser on the Revenue Act of 1992, H.R. 11); Id at S12,781-83 (daily ed. Sept. 8, 1992) (same, as modified).

169. Section 13204 of the Budget Enforcement Act of 1990 added this paragraph. See infra p. 718.

 

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[Subsection (c)]

(c) Consideration of Procedures or Matters Which Have the Effect of Changing Any Rule of the House of Representatives.—If the Committee on the [p. 70] 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.


[Notes to Subsection (c)]

[The BPLA did not include notes for subsection (c)]

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[Subsection (d)]

(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,170 each committee of the House of Representatives having legislative jurisdiction shall submit to the Committee on the Budget of the House and each committee 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)171 and (b)172 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 [p. 72] 1946.173 Any other committee of the House of Representatives [p. 73] 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 [p. 74] (a)174 and (b)175 which relate to matters-within its jurisdiction or functions.


[Notes to Subsection (d)]

170. Section 13112(a)(5) of the Budget Enforcement Act of 1990 (see infra p. 708) changed this deadline from On or before February 25 of each year to Within 6 weeks after the President submits a budget under section 1105(a) of title 31, United States Code, as section 13112(c)(1) of the Budget Enforcement Act of 1990 (see infra p. 710) changed the deadline for the Presidents budget submission in section 1105(a) of title 31 of the United States Code from [o]n or before the first Monday after January 3 of each year to [o]n or after the first Monday in January but not later than the first Monday in February of each year.

171. See supra pp. 50-56.

172. See supra pp. 56-60.

173. In this connection, section 1021 of title 15 of the United States Code sets forth several Congressional statements of purposes:

§ 1021. Congressional declarations

(a) Generally.

The Congress hereby declares that it is the continuing policy and responsibility of the Federal Government to use all practicable means, consistent with its needs and obligations and other essential national policies and with the assistance and cooperation of both small and larger businesses, agriculture, labor, and State and local governments, to coordinate and utilize all its plans, functions, and resources for the purpose of creating and maintaining, in a manner calculated to foster-and-promote free competitive enterprise and the general welfare, conditions which promote useful employment opportunities, including self-employment, for those able, willing, and seeking to work, and promote full employment and production, increased real income, balanced growth, a balanced Federal budget, adequate productivity growth, proper attention to national priorities, achievement of an improved trade balance through increased exports and improvement in the international competitiveness of agriculture, business, and industry, and reasonable price stability as provided in section 1022(b) of this title.

(b) Full opportunities for employment.

The Congress further declares and establishes as a national goal the fulfillment of the right to full opportunities for useful paid employment at fair rates of compensation of all individuals able, willing, and seeking to work.

(c) Inflation.

The Congress further declares that inflation is a major national problem requiring improved government policies relating to food, energy, improved and coordinated fiscal and monetary management, the reform of outmoded rules and regulations of the Federal Government, the correction of structural defects in the economy that prevent or seriously impede competition in private markets, and other measures to reduce the rate of inflation.

(d) Coordination of Federal policies and programs.

The Congress further declares that it is the purpose of the Full Employment and Balanced Growth Act of 1978 [15 U.S.C. § 3101 et seq.] to improve the coordination and integration of the policies and programs of the Federal Government toward achievement of the objectives of such Act through better management, increased efficiency, and attention to long-range as well as short-range problems and to balancing the Federal budget.

(e) Federal controls.

The Congress further declares that, although it is the purpose under the Full Employment and Balanced Growth Act of 1978 [15 U.S.C. 0 3101 et seq.] to seek diligently and to encourage the voluntary cooperation of the private sector in helping to achieve the objectives of such Act, no provisions of such Act or this Act shall be used, with respect to any portion of the private sector of the economy, to provide for Federal Government control of production, employment, allocation of resources, or wages and prices, except to the extent authorized under other Federal laws.

(f) Expansion of private employment.

The Congress further declares that it is the purpose of the Full Employment and Balanced Growth Act of 1978 [15 U.S.C. § 3101 et seq.] to maximize and place primary emphasis upon the expansion of private employment, and all programs and policies under such Act shall be in accord with such purpose. Toward this end, the effort to expand jobs to the full employment level shall be in this order of priority to the extent consistent with balanced growth –

(1) expansion of conventional private jobs through improved use of general economic and structural policies, including measures to encourage private sector investment and capital formation;

(2) expansion of private employment through Federal assistance in connection with the priority programs in such Act;

(3) expansion of public employment other than through the provisions of section 206 of such Act [15 U.S.C. § 3116]; and

(4) when recommended by the President under section 206 of such Act [15 U.S.C. § 3116] and subject to the limitations in such section, the creation of employment through the methods set forth in such section.

(g) Trade deficits.

The Congress further declares that trade deficits are a major national problem requiring a strong national export policy including improved Government policies relating to the promotion, facilitation, and financing of commercial and agricultural exports, Government policies designed to reduce foreign barriers to exports through international negotiation and agreement, Federal support for research, development, and diffusion of new technologies to promote innovation in agriculture, business, and industry, the elimination or modification of Government rules or regulations that burden or disadvantage exports and the national and international competitiveness of agriculture, business, and industry, the reexamination of antitrust laws and policies when necessary to enable agriculture, business, and industry to meet foreign competition in the United States and abroad, and the achievement of a free and fair international trading system and a sound and stable international monetary order.

(h) Balanced Federal budget.

The Congress further declares that it is the purpose of the Full Employment and Balanced Growth Act of 1978 to achieve a balanced Federal budget consistent with the achievement of the medium-term goals specified in section 1022a of this title.

(i) Investment needs of private enterprise.

The Congress further declares that it is the continuing policy and responsibility of the Federal Government, in cooperation with State and local governments, to use all practical means consistent with other essential considerations of national policy to provide sufficient incentives to assure meeting the investment needs of private enterprise, including the needs of small and medium sized businesses, in order to increase the production of goods, the provision of services, employment, the opportunity for profit, the payment of taxes, and to reduce and control inflation. To the extent it is reasonably possible to do so, private enterprise investments in depressed urban and rural areas should be promoted to reduce the high levels of unemployment that exist there.

(j) Reliance on private sector.

The Congress further declares that it is the purpose of the Full Employment and Balanced Growth Act of 1978 [15 U.S.C. § 3101 et seq.] to rely principally on the private sector or expansion of economic activity and creation of new jobs for a growing labor force. Toward this end, it is the purpose of this Act to encourage the adoption of fiscal policies that would establish the share of the gross national product accounted for by Federal outlays at the lowest level consistent with national needs and priorities.

15 U.S.C. § 1021 (1988).

174. See supra pp. 50-56.

175. See supra pp. 56-60.

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[Subsection (e)]

(e) Hearings and Report.—In developing the concurrent resolution on the budget referred to in subsection (a)176 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)177 may be considered by the Committee on the Budget of each House as part of its consideration of such concurrent resolution, and its report may reflect its views thereon, including its views on how the estimates of revenues and levels of budget authority and outlays178 set forth in such concurrent resolution are designed to achieve any goals it is recommending. The report accompanying such concurrent resolution shall include, but not be limited to—

(1) a comparison of revenues estimated by the committee with those estimated in the budget submitted by the President;

(2) a comparison of the appropriate levels of total [p. 75] budget outlays180 and total new budget authoritys181 total direct loan obligations, total primary loan guarantee commitments, as set forth In such concurrent resolution, with those estimated or requested in the budget submitted by the President;

(3) with respect to each major functional category, an estimate of budget outlays182 and an appropriate level of new budget authority183 for all proposed programs and for all existing programs (including renewals thereof), with the estimate and level for existing programs being divided between permanent authority and funds provided in appropriation Acts,184 and with each such division being subdivided between controllable amounts and all other amounts;

(4) an allocation of the level of Federal revenues recommended in the concurrent resolution among the major sources of such revenues;

(5) the economic assumptions and objectives which underlie each of the matters set forth in such concurrent resolution and any alternative economic assumptions and objectives which the committee considered;

(6) projections (not limited to the following), for the period of five fiscal years beginning with such fiscal year, [p.76] of the estimated levels of total budget outlays185 and total new budget authority,186 the estimated revenues to be received, and the estimated surplus187 or deficit,188 if any, for each fiscal year in such period, and the estimated levels of tax expenditures189 (the tax expenditures budget) by major functional categories;

(7) a statement of any significant changes in the proposed levels of Federal assistance to State and local governments;

(8) 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 concurrent resolution; and

(9) allocations described in section 302(a).190


[Notes to Subsection (e)]

176. See supra pp. 50-56.

177. See supra pp. 70-74.

178. Section 3(2) defines budget authority.  See supra pp. 11-13.

179. Section 3(1) defines outlays. See supra p. 11.

180. Section 3(1) defines budget outlays. See supra p. 11.

181. Section 3(2) defines budget authority. See supra pp. 11-13.

182. Section 3(1) defines budget outlays. See supra p. 11.

183. Section 3(2) defines budget authority. See supra pp. 11-13.

184. Section 3(5) defines appropriation Act by reference to 1 U.S.C. § 105. See supra p. 16. For the text of 1 U.S.C. § 105 (1988), see supra note 36.

185. Section 3(1) defines outlays. See supra p. 11.

186. Section 3(2) defines budget authority. See supra pp. 11-13.

187. Section 3(7) defines surplus. See supra pp. 17.

188. Section 3(7) defines deficit. See supra pp. 16.

189. Section 3(3) defines tax expenditures. See supra p. 13.

190. Section 3(7) defines surplus. , Section 3(6) defines deficit.

189. Section 3(3) defines tax expenditures. See supra p. 13.

190. See infra pp. 88-90.

Section 5302 of the Omnibus Trade and Competitiveness Act of 1988 (Pub. L 100-418, §5302, 102 Stat. 1462-63 (Aug. 23, 1988)) added a paragraph (10) which section 5303 of that Act provided shall be effective for fiscal years 1989, 1990, 1991, and 1992. Pub. L 100-418, § 5303, 102 Stat. 1463 (Aug. 23, 1988). Compare the parallel temporary requirements for the Presidents budget submission set forth at 31 U.S.C. § 1105(a)(26) (1988). See infra note 1850. For fiscal years 1989 through 1992, section 301(e)(10) required:

(10) an analysis, prepared after consultation with the Director of the Congressional Budget Office, of the concurrent resolutions impact on the international competitiveness of United States business and the United States balance of payments position and shall include the following projections, based upon the best information available at the time, for the fiscal year covered by the concurrent resolution—

(A) the amount of borrowing by the Government in private credit markets;

(B) net domestic savings (defined as personal savings, corporate savings, and the fiscal surplus of State and local governments);

(C) net private domestic investment;

(D) the merchandise trade and current accounts;

(E) the net increase or decrease in foreign indebtedness (defined as net foreign investment); and

(F) the estimated direction and extent of the influence of the Governments borrowing in private credit markets on United States dollar interest rates and on the real effective exchange rate of the United States dollar.

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[page 77]

[Subsection (f)]

(f) Achievement of Goals for Reducing Unemployment.—

(1) If, pursuant to section 4(c)191 of the [p. 78] Employment Act of 1946, the President recommends in the Economic Report that the goals for reducing unemployment set forth in section 4(b)192 of such Act be achieved In a year after the close of the five-year period prescribed by such subsection, the concurrent resolution of 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)193 as to the year in which the goals for reducing unemployment set forth in section 4(b)194 of the Employment Act of 1946 can be achieved, if, pursuant to section 4(e)195 of such Act, the President [p. 79] 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)196 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 amend197 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)198 set forth in [p. 80] such resolution in germane199 fashion in order to be consistent with the economic goals (as described in section 3(a)(2)200 and 4(b)201 of the Employment Act of 1946) [p. 81] which such amendment proposes can be achieved by the year specified in such amendment.


[Notes to Subsection (f)]

191. Section 4(c) of the Employment Act of 1946 states:

(c) Achievement of full employment, balanced budget, zero inflation rate, and 20 per centum level of Federal outlays as a proportion of gross national product for succeeding Economic Reports.

(1) Upon achievement of the 3 and 4 per centum goals specified in subsection (b)(1) of this section, each succeeding Economic Report shall have the goal of achieving as soon as practicable and maintaining thereafter full employment and a balanced budget.

(2) Upon achievement of the 3 per centum goal specified in subsection (b)(2) of this section, each succeeding Economic Report shall have the goal of achieving by 1988 a rate of inflation of zero per centum: Provided That policies and programs for reducing the rate of inflation shall be designed so as not to impede achievement of the goals and timetables specified in clause (1) of this subsection for the reduction of unemployment.

(3) Upon achievement of the 20 per centum goal specified in subsection (b)(3), each succeeding Economic Report shall have the goal of establishing the share of an expanding gross national product accounted for by Federal outlays at a level of 20 per centum or less, or the lowest level consistent with national needs and priorities: Provided, That policies and programs for achieving the goal specified in this clause shall be designed so as not to impede achievement of the goals and timetables specified in subsection (b)(1) of this section for the reduction of unemployment.

15 U.S.C. § 1022a(c) (1988). The references to subsection (b) refer to section 4(b), set forth supra note 57.

192. See supra note 152.

193. See supra pp. 77-78.

194. See supra note 152.

195. Section 4(e) of the Employment Act of 1946 states:

(e) Interim numerical goals for succeeding Economic Reports.

If, after achievement of the 3 and 4 per centum goals specified in subsection (b) of this section, the unemployment rate for a year as set forth pursuant to section 1022(d) of this title is more than 3 per centum among individuals aged twenty and over or more than 4 per centum among individuals aged sixteen and over, the next Economic Report after such rate is set forth and each succeeding Economic Report shall include (as part of the five-year goals in each Economic Report) the interim numerical goal of reducing unemployment to not more than the levels specified in subsection (b)(1) of this section as soon as practicable but not later-than the fifth calendar year after the first such Economic Report, counting as the first calendar year the year in which such Economic Report is issued: Provided, That, if the President finds it necessary, the President may, under the authority provided in subsection (d), recommend modification of the timetable provided for in this subsection for the reduction of unemployment, and for the purposes of section 304 of the Full Employment and Balanced Growth Act of 1978, such recommendation by the President shall be treated as a recommendation made under subsection (d) of this section.

15 U.S.C. § 1022a(e) (1988). Of the sections to which section 4(e) refers, subsections (b) and (d) and section 1022(d) appear supra note 152, while section 304 of the Full Employment and Balanced Growth Act of 1978 added relevant sections of the Congressional Budget Act of 1974.

196. See supra pp. 77-78.

197. An amendment is subject to points of order under the Congressional Budget Act of 1974 even if the Senate has specified by unanimous consent that the amendment is one of the amendments in order and the yeas and nays have been ordered. Cf. infra note 295 (regarding section 303(a)).

198. See supra pp. 50-56.

199. For a discussion of germaneness, see infra note 352.

200. Section 3(a)(2) of the Employment Act of 1946 states:

Sec. 1022. Economic Report of President; coverage; supplementary reports; reference to congressional Joint committee; percentage rate of unemployment; definitions

(a) Time of submission; contents.

The President shall annually transmit to the Congress not later than 10 days after the submission of the budget under section 1105(a) of title 31, with copies transmitted to the Governor of each State and to other appropriate State and local officials, an economic report (hereinafter in this Act referred to as the Economic Report together with the annual report of the Council of Economic Advisers submitted in accord with section 1023(c) of this title, setting forth—

(2)(A) annual numerical goals for employment and unemployment, production, real income, productivity, Federal outlays as a proportion of gross national product, and prices for the calendar year in which the Economic Report is transmitted and for the following calendar year, designated as short-term goals, which shall be consistent with achieving as rapidly as feasible the goals of full employment and production, increased real income, balanced growth, fiscal policies that would establish the share of an expanding gross national product accounted for by Federal outlays at the lowest level consistent with national needs and priorities, a balanced Federal budget, adequate productivity growth, price stability, achievement of an improved trade balance, and proper attention to national priori- ties; and –

(B) annual numerical goals as specified in subparagraph (A) for the three successive calendar years, designated as medium term goals;

15 US.C.§ 1022(a)(2) (1988 & Supp. IV 1992).

201. See supra note 152.

Line_Separator

 

[Subsection (g)]

 (g)202 Economic Assumptions.—

(1) It shall not be in order203 in the Senate to consider any concurrent resolution on the budget for a fiscal year,204 or any amendment thereto,205 or any conference report thereon, that sets forth amounts and levels that are determined on the basis of 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 [p. 82] in the case of technical disagreement,206 is based.

(3) Subject to periodic reestimation based on changed economic conditions or technical estimates, determinations under titles III207 and IV208 of the Congressional Budget Act of 1974 shall be based upon such common economic and technical assumptions.


[Notes to subsection (g)]

202. Section 201(b) of the Balanced Budget and Emergency Deficit Control Act of 1985  added what is now section 301(g)(2) as section 301(g). See infra p.413. Section 208(a) of the Balanced Budget and Emergency Deficit Control Reaffirmation Act of 1987 added sections 301(g)(1) and 301(g)(3) and changed the title of the subsection from Common Economic Assumptions to Economic Assumptions. Pub. L 100-119, § 208(a), 101 Stat. 754,9786 (Sept. 29, 1987) (codified at 2 US.C. § 632(g) (1988)).

203. Congressional Budget Act of 1974 prohibitions are not self-enforcing and require points of order from the floor for their enforcement. Cf. infra note 293 (regarding section 303(a)).

204. Section 304(b) applies section 301(g) to revisions of budget resolutions. See infra p. 117.

205. An amendment is subject to points of order under the Congressional Budget Act of 1974 even if the Senate has specified by unanimous consent that the amendment is one of the amendments in order and the yeas and nays have been ordered. Cf. infra note 295 (regarding section 303(a)).

206. Section 208(a) of the Balanced Budget and Emergency Deficit Control Reaffirmation Act of 1987 added the comma here. Pub. L. 100-119, § 208(a), 101 Stat. 754, 786 (1987) (codified at 2 U.S.C. § 632(g) (1988)).

207. See pp. 43-194.

208. See infra pp. 247-272.

Line_Separator

[Subsection (h)]

(h) Budget Committee 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


[Notes to Subsection (h)]

[The BPLA did not include notes for subsection (h).]

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[Subsection (i)]

(i)209 It shall not be in order in the Senate to consider any concurrent resolution on the budget as reported210 to the [p. 86] Senate that would decrease the excess of social security revenues211 over social security outlays212 in any of the fiscal [p. 87] 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 revenues213 unless such provision changes the Income tax treatment of social security benefits.


[Notes to Subsection (i)]

209. Section 13303(b) of the Budget Enforcement Act of 1990 amended subsection (i) to read as it does now. See infra p. 756. The Congressional Budget Act of 1974 now addresses in section 606(c) (see infra p. 334) the matter that the old section 301(i) used to address. For the text of section 301(i) as it used to read, see infra note 912 (at the end of section 606(c)).

Sections 904(c) of the Congressional Budget Act of 1974 (see infra pp. 361-363) and 271(b) of the Balanced Budget and Emergency Deficit Control Act of 1985  (see infra p. 671) provide that the Senate may waive or suspend section 301(i) only by the affirmative vote of three-fifths of the Members, duly chosen and sworn – that is, 60 Senators. Section 275(b) of the Balanced Budget and Emergency Deficit Control Act of 1985 provides that this supermajority requirement expires on September 30, 1995. See infra p. 690.

210. Note that, by its terms, section 301(i) does not apply to amendments to budget resolutions or resolutions as amended. Cf. infra note 514 (by virtue of the words as reported, a point of order will not lie under section 311(a) against a deficit-neutral bill that has been amended by an amendment that reduces revenues below the revenue floor). The drafters of the Budget Enforcement Act of 1990 rewrote section 301(1) in this fashion to allow a debate of a payroll tax cut proposal that was not distorted by procedural impediment. See 137 Cong. Rec. S4198-200 (daily ed. Apr. 9, 1991) (statements of Sens. Sasser, Moynihan and Domenici). The Senate conducted that debate on the budget resolution for fiscal year 1992, rejecting the payroll tax cut proposal offered by Senator Moynihan. See id at S4825-34 (daily ed. Apr. 23, 1991); id. at S4933-58 (daily ed. Apr. 24, 1991).

Section 12(b) of the fiscal year 1993 budget resolution then plugged the loophole:

Sec. 12. Social security firewall point of order in the Senate.

(b) Application of Section 301(i).—Notwithstanding any other rule of the Senate, in the Senate, the point of order established under section 301(i) of the Congressional Budget Act of 1974 shall apply to any concurrent resolution on the budget for any fiscal year (as reported and as amended), amendments thereto, or any conference report thereon.

Concurrent Resolution on the Budget – Fiscal Year 1993, H. Con. Res. 287, 102d Cong., 2d Sess., §12(b), 138 Cong. Rec. H3602, H3609 (daily ed. May 20, 1992) (adopted); see also Concurrent Resolution Setting Forth the Congressional Budget for the United States Government for the Fiscal Years 1994, 1995, 1996, 1997, and 1998, H. Con. Res. 64, 103d Cong., 1st Sess., § 10(b), 139 Cong. Rec. H1747, H1753 (daily ed. Mar. 31, 1993) (adopted) (readopting the provision).

The joint explanatory statement of the committee of conference explained the change:

Social Security

Section 11 of the Senate amendment sets forth two provisions designed to ensure that 60-vote hurdles impede legislation that would worsen the Social Security Trust Fund balances…. Section 11(b) of the Senate amendment is designed to ensure that such amendments offered to future resolutions will confront a 60-vote hurdle.

Section 301(a)(6) and (7) of the Congressional Budget Act of 1974 (2 U.S.C. § 632(a)(6) & (7) (Supp. II 1990)) requires the budget resolution to provide two numbers for each year for Social Security enforcement in the Senate: a ceiling on outlays and a floor for revenues. Under existing law, if the budget resolution increases the outlay ceiling, then legislation that raises Social Security outlays would be in order in the Senate later in the year. Under exist- ing law, if the budget resolution lowers the revenue floor, then legislation that cut Social Security revenues would be in order in the Senate later in the year.

In addition (under sections 302(0(2) and 311(a)(2) of the Congressional Budget Act of 1974, 2 U.SC. Of 633(0(2) & 642(a)(2) (Supp. II 1990)), if the budget resolution increases the outlay ceiling by some amount, then legislation that cuts Social Security revenues by an equal amount would also be in order in the Senate later in the year, and vice versa.

Section 11(b) of the Senate amendment extends the fire wall protecting the Social Security trust fund from legislation that would worsen that funds balances. It does so by eliminating an exception in section 301(1) of the Congressional Budget Act of 1974 (2 U.S.C. I 632(i) (Supp. II 1990)) to the requirement for 60 votes in the Senate to change the Social Security trust fund balances.

Prior to its removal from the budget, the budget process protected the Social Security Trust Fund through points of order against increasing the deficit (e.g., section 311(a) of the Congressional Budget Act of 1974) and the threat of across-the-board cuts under Gramm-Rudman-Hollings as a result of increasing the deficit. To protect the Social Security Trust Fund from depletion after its removal from the calculation of the deficit, sections 13302 and 13303 of the Budget Enforcement Act [of 1990] (104 Stat. at 1388-623 to -627) created new points of order – called fire walls – generally prohibiting worsening of the balances of the Social Security Trust Fund. Budget Enforcement Act of 1990 section 13302(2 U.S.C.#0632note (Supp. Ii 1990)) creates the point of order in the House of Representatives. Budget Enforcement Act of 1990 section 13303 amended sections 301(a)(6), 301(a)(7), 301(i), 302(a)(2), 302(0(2), and 311(a) of the Congressional Budget Act of 1974 (2 U.S.C. 00 632(a)(6), 632(a)(7), 632(i), 633(a)(2), 633(0(2) & 642(a) (Supp. 111990)) to enforce the fire wall point of order in the Senate through the mechanisms of existing points of order.

In the Senate, under current law, waiver of the fire wall points of order generally requires the affirmative vote of 60 Senators. Specifically, sections 904(c) of the Congressional Budget Act of 1974 (2 U.S.C. § 621 note (Supp. U 1990)) and 271(b) of Gramm-Rudman-Hollings (2 U.S.C. 05901 note (1988)D] provide that the Senate may waive or suspend sections 301(i), 302(0, and 311(a) only by the affirmative vote of three-fifths of the Members, duly chosen and sworn – that is,60 Senators. As amended by section 13208(b) of the Budget Enforcement Act of 1990 (104 Stat. at 1388-619), section 275(b) of [the Balanced Budget and Emergency Deficit Control Act of 1985] provides that this supermajority requirement expires on September 30, 1995.

As amended by section 13303(b) of the Budget Enforcement Act of 1990, the first sentence of section 301(i) of the Congressional Budget Act of 1974 reads:

Section 301(a)(7) of the Congressional Budget Act of 1974 [of 1974] (2 U.S.C. § 632(a)(7) (Supp. II 1990)) implicitly defines the term social security revenues as 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 1996). Section 301(a)(6) (2 U.S.C. § 632(a)(7) (Supp. II 1990)) implicitly defines the term social security outlays as outlays of the old-ag, survivor and disability insurance program established under title II of the Social Security Act.

Under current law, section 3010) does not ensure that a 60-vote hurdle stands in the way of any changes in law that worsen the Social Security Trust Fund balances, as section 301(i) does not by its terms apply to amendments from the floor to budget resolutions or to conference reports on those resolutions. Under current law, by virtue of the words as reported in section 301, a point of order will not lie under the section against a resolution that has been amended by an amendment that worsens the Social Security trust fund balances. This is so because of precedents in the application of similar language in section 311(a) of the Congressional Budget Act of 1974. See 131 Cong. Rec. 8806 (June 26, 1985) (by virtue of the words as reported, a point of order will not lie under section 311(a) against a deficit- neutral bill that has been amended by an amendment that reduces revenues below the revenue floor); Senate Precedent PRLI9026-001 (June 26, 1985) (Legis, Rules database); William G. Dauster, Budget Process Law Annotated 148-52 n. 488 (1991) (S. Print 102-22).

Section 11(b) of the Senate amendment applies the point of order under section 301(i) of the Congressional Budget Act of 1974 to any concurrent resolution on the budget for any fiscal year (as reported and as amended), amendments thereto, or any conference report thereon. Thus, section 301(i) will apply throughout the consideration of the budget resolution.

The Senate added section 11 of the Senate amendment as an amendment during consideration of the resolution on the Senate floor.

Section 11(b) of the Senate amendment is intended to make a permanent change in the rules of the Senate. Congress may by concurrent resolution supersede the Congressional Budget Act of 1974 for the purposes of its application to the Congress. Article I, section 5, clause 2 of the Constitution provides: Each House may determine the Rules of its Proceedings ….  Similarly, section 904(a) of the Congressional Budget Act of 1974 provides:

[see infra pp. 357-358)

…. See also Congressional Budget Act of 1974 § 301(b)(4); 2 U.S.C. § 632(b)(4) (Supp. II.1990).

The House resolution contains no provision similar to section 11 of the Senate amendment.

The conference agreement contains the language of section 11 of the Senate amendment (with a change in the section title to make clear its purpose).

H. Rep. 102-529 (Conference, pp. 64-67), 102d Cong., 2d Sess. (1992), reprinted in 138 Cong. Rec. 113618 (daily ed. May 20,1992). See also H. Rep. (Conference, p. 47) 103-48, 103d Cong., 1st Sess. (1993), reprinted in 139 Cong. Rec. H1747, H1760 (noting the readoption of the provision); S. Rep. 103-19, 103d Cong., 1st Sess. 58-61 (1993) (discussing at length the history and readoption of the provision).

For legislative history of efforts to alter section 301(i) to eliminate the exception at issue here, see 137 Cong. Rec. 4239-41 (daily ed. Apr. 9, 1991) (statement of Sen. Domenici introducing S. 788, the Social Security Trust Fund Integrity Act of 1991; colloquy with Sen. Dole); id at S4263 (statement of Sen. Seymour); id at S4959-61 (daily ed. Apr. 24, 1991) (debate on and adoption of a Sasser-Domenici amendment similar to section 11(a) of the Senate amendment); H. Con. Res. 121, 102d Cong., 1st Sess., § 8(b), 137 Cong. Rec. H3300, H3305 (daily ed. May 21, 1991) (resolution adopted including the Sasser-Domenici language).

For legislative history of the effort to remove Social Security from the budget, see generally Budget Enforcement Act of 1990 of 1990 subtitle C, infra pp. 745-764; H. Rep. 964 (Conference, pp. 1160-61), 101st Cong., 2d Sess. (1990), reprinted in 1990 U.S.C.CA.N. 2865-66; 136 Cong. Rec. 15,777-81 (Oct. 18, 1990) (Senate debate on the related amendment to the Omnibus Budget Reconciliation Act of 1990); Senate Committee on the Budget, Social Security Preservation Act, S. Rep. 101-426, 101st Cong. 2d Sess. (1990); Congressional Research Service, Social Security, Medicare, and the Unified Budget, S. Print 83, 99th Cong., 1st Sess. (Senate Committee on Budget Print 1985); Concurrent Resolution on the Budget for Fiscal Year – 1989: Hearings Before the Senate Committee on the Budget, 100th Congress, 2d Sess. 85-160 (1988) (S. Hrg. 578, Vol. III) (hearing March 24, 1988, on Social Security, Deficits, and the Baby Boomers Retirement).

211. Section 301(a)(7) implicitly defines the term social security revenues as 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). See supra note 145.

212. Section 301(a)(6) implicitly defines the term social security outlays as outlays of the old-age-survivors, and disability insurance program established under title H of the Social Security Act. See supra note 143.

213. The drafters of the Budget Enforcement Act of 1990 intended this language to address the case where changes in income tax law had certain indirect effects on the Social Security trust fund because of the taxation of Social Security benefit The drafters intended that these changes should not trigger a point of order under this section dealing with the levels in that trust fund. To achieve the intended result, however, the language should read asocial security revenues or outlays. This is so because when revenues result from the taxation of Social Security benefits, the revenues flow into the Treasury and the Treasury then makes a payment to the Social Security Trust Funds. The payment is scored as a positive outlay when made by the Treasury and a negative outlay when received by Social Security. Therefore, any changes to the income tax law that indirectly affect the amount of revenue collected from the income taxation of Social Security benefits would affect Social Security outlays rather than revenues.

[End of page 87]

Counsel Notes

[1] Note: Page 54 of the BPLA includes only Note text.

[2] Note: The dates and concurrent resolution numbers for fiscal years after 1994 have been added to this BPLA Companion and were not included in the original BPLA.

[3] This rule of the House, commonly known as theGephardt Rulehas now been repealed. It was recodified as rule XXVII, then rule XVIII before being repealed, reinstated, then again repealed at the beginning of the 112th Congress.

[Pages 61 through 65 include only the text of Note 159. This note begins on page 61 and ends on page 66.]

[Pages 83 through 85 include only the text of Note 210. This note begins on page 82 and ends on page 86.]]

 

 

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