Professional Documents
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Process:
The Senate’s “Byrd Rule”
From
The Federal Budget Process
A description of the federal and congressional
budget processes, including timelines
Compiled by TheCapitol.Net
Authors: Sandy Streeter, James Saturno, Bill Heniff Jr., and Robert Keith
The
Federal
Budget
Process
www.FederalBudgetProcess.com
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Summary Table of Contents
The Federal Budget Process
Budgeting for the federal government is an enormously complex process. It entails dozens of
subprocesses, countless rules and procedures, the efforts of tens of thousands of staff persons in the
executive and legislative branches, and the active participation of the President, congressional leaders,
Members of Congress, and members of the executive branch. This analysis shows the various elements
of the federal budget process including the President’s budget submission, framework, timetable,
the budget resolution, reconciliation, the “Byrd Rule,” appropriations, and budget execution.
Analysis
“Introduction to the Federal Budget Process,” by Robert Keith,
CRS Report for Congress 98-721 GOV, November 20, 2008 . . . . . . . . . . . . . . . . . . . . . . . . . . 1
www.FederalBudgetProcess.com
Resources from TheCapitol.Net
Capitol Learning Audio Courses ......................................................... 179
Live Training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 179
Other Resources
Books ........................................................................................ 180
Statutes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 180
Federal Budget Web Sites ................................................................ 180
www.FederalBudgetProcess.com
Table of Contents
Analysis
“Introduction to the Federal Budget Process,” by Robert Keith,
CRS Report for Congress 98-721 GOV, November 20, 2008 . . . . . . . . . . . . . . . . . . . . . . . . . . 1
The Evolution of Federal Budgeting 5
Basic Concepts of Federal Budgeting 6
Budget Authority and Outlays 6
Scope of the Budget 7
Deficit Reduction and the Rules of Congressional Budgeting 8
Budgeting for Discretionary and Direct Spending 10
Budgeting for Direct and Guaranteed Loans 12
The Budget Cycle 12
The Presidential Budget Process 13
Formulation and Content of the President’s Budget 13
Executive Interaction With Congress 14
The Congressional Budget Process 15
Formulation and Content of the Budget Resolution 15
Budget Resolution Enforcement 17
Budget Resolution Aggregates 17
Allocations of Spending to Committees 18
Scoring and Cost Estimates 18
Points of Order 19
The Sequestration Process 20
Spending Legislation 22
Authorizing Measures 22
The Annual Appropriations Process 22
Revenue Legislation 24
Debt-Limit Legislation 25
Reconciliation Legislation 26
Reconciliation Directives 27
Development and Consideration of Reconciliation Measures 27
Earmark Reform 28
Impoundment and Line-Item Veto 29
Impoundment 29
Rescissions 30
Deferrals 30
Line-Item Veto 31
Tables
Table 1. Congressional Budget Process Timetable 15
www.FederalBudgetProcess.com
“Overview of the Executive Budget Process,” by Bill Heniff Jr.,
CRS Report for Congress RS20175, June 17, 2008 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
www.FederalBudgetProcess.com
Congress Adopts Budget Resolution 96
Timetable for Consideration of Appropriations Measures 98
Work of the Appropriations Committees 98
House and Senate Floor Action 99
House 99
Senate 100
House and Senate Conference Action 101
Presidential Action 102
Types of Appropriations Measures 102
Regular Appropriations Bills 102
Continuing Resolutions 104
Supplemental Appropriations Measures 106
Spending Ceilings for Appropriations Measures 108
Allocations 108
Enforcement 111
House 111
Senate 113
Emergency Spending 114
Relationship Between Authorization and Appropriation Measures 115
Rescissions 117
Tables
Table 1. Number of Regular Appropriations Bills Packaged in Omnibus
(or Minibus) Measure, FY1977-FY2008 104
Table 2. Regular Appropriations Bills Completed by Deadline and
Number of ContinuingResolutions, FY1977-FY2008 106
Table 3. House Committee on Appropriations’ 302(a) Allocations for FY2008 108
Table 4. Initial House Appropriations Committee’s 302(b) Allocations for FY2008 110
www.FederalBudgetProcess.com
§ 9.42 Office of Management and Budget Publications 144
§ 9.43 Volumes Containing and Explaining the President’s Annual Budget 145
§ 9.44 Program and Financing Schedule in President’s Budget Appendix 146
§ 9.50 Congressional Budget Process 148
§ 9.51 Congressional Budget Process Timetable 149
§ 9.52 Completion Dates of Budget Resolutions 150
§ 9.53 Congressional Budget Process Flowchart 152
§ 9.54 Functional Categories in a Congressional Budget Resolution 154
§ 9.55 Membership on the House and Senate Budget Committees 155
§ 9.60 Spending, Revenue, and Debt-Limit Legislation 158
§ 9.61 Budgeting for Direct and Guaranteed Loans 158
§ 9.70 Spending Legislation 158
§ 9.71 Differences between Discretionary and Direct Spending 159
§ 9.80 Authorization and Appropriation Processes 159
§ 9.81 Limitations, Earmarks, and General Provisions 162
§ 9.82 New Appropriations Subcommittee Organization 163
§ 9.83 Sequence of Appropriations Measures through Congress 164
§ 9.84 Examples of Appropriations Subcommittees’ Requirements for Member Requests 166
§ 9.90 Revenue Legislation 169
§ 9.91 Tax Expenditures 169
§ 9.92 Revenue Estimates 170
§ 9.100 Debt-Limit Legislation 171
§ 9.110 Reconciliation Legislation 171
§ 9.120 Implementation of the Budget by Executive Agencies 173
§ 9.130 Apportionment 174
§ 9.140 Transfer and Reprogramming 174
§ 9.150 Impoundment: Deferrals and Rescissions 174
§ 9.160 Budget Process Glossary 177
Other Resources
Books ........................................................................................ 180
Statutes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 180
Federal Budget Web Sites ................................................................ 180
Government Web Sites 180
Non Government Web Sites 181
www.FederalBudgetProcess.com
The Budget Reconciliation Process: The Senate’s “Byrd Rule”
www.FederalBudgetProcess.com
Government Series: The Federal Budget Process
www.FederalBudgetProcess.com
The Budget Reconciliation Process: The Senate’s “Byrd Rule”
www.FederalBudgetProcess.com
Government Series: The Federal Budget Process
www.FederalBudgetProcess.com
The Budget Reconciliation Process: The Senate’s “Byrd Rule”
www.FederalBudgetProcess.com
Government Series: The Federal Budget Process
www.FederalBudgetProcess.com
The Budget Reconciliation Process: The Senate’s “Byrd Rule”
www.FederalBudgetProcess.com
Government Series: The Federal Budget Process
www.FederalBudgetProcess.com
The Budget Reconciliation Process: The Senate’s “Byrd Rule”
www.FederalBudgetProcess.com
Government Series: The Federal Budget Process
www.FederalBudgetProcess.com
The Budget Reconciliation Process: The Senate’s “Byrd Rule”
www.FederalBudgetProcess.com
Government Series: The Federal Budget Process
www.FederalBudgetProcess.com
The Budget Reconciliation Process: The Senate’s “Byrd Rule”
www.FederalBudgetProcess.com
Government Series: The Federal Budget Process
www.FederalBudgetProcess.com
The Budget Reconciliation Process: The Senate’s “Byrd Rule”
www.FederalBudgetProcess.com
Government Series: The Federal Budget Process
www.FederalBudgetProcess.com
The Budget Reconciliation Process: The Senate’s “Byrd Rule”
www.FederalBudgetProcess.com
Government Series: The Federal Budget Process
www.FederalBudgetProcess.com
The Budget Reconciliation Process: The Senate’s “Byrd Rule”
www.FederalBudgetProcess.com
Government Series: The Federal Budget Process
www.FederalBudgetProcess.com
The Budget Reconciliation Process: The Senate’s “Byrd Rule”
www.FederalBudgetProcess.com
Government Series: The Federal Budget Process
www.FederalBudgetProcess.com
The Budget Reconciliation Process: The Senate’s “Byrd Rule”
www.FederalBudgetProcess.com
Government Series: The Federal Budget Process
www.FederalBudgetProcess.com
The Budget Reconciliation Process: The Senate’s “Byrd Rule”
www.FederalBudgetProcess.com
Government Series: The Federal Budget Process
www.FederalBudgetProcess.com
The Budget Reconciliation Process: The Senate’s “Byrd Rule”
www.FederalBudgetProcess.com
Government Series: The Federal Budget Process
www.FederalBudgetProcess.com
The Budget Reconciliation Process: The Senate’s “Byrd Rule”
www.FederalBudgetProcess.com
Government Series: The Federal Budget Process
www.FederalBudgetProcess.com
The Budget Reconciliation Process: The Senate’s “Byrd Rule”
www.FederalBudgetProcess.com
Government Series: The Federal Budget Process
www.FederalBudgetProcess.com
The Budget Reconciliation Process: The Senate’s “Byrd Rule”
www.FederalBudgetProcess.com
Government Series: The Federal Budget Process
www.FederalBudgetProcess.com
The Budget Reconciliation Process: The Senate’s “Byrd Rule”
www.FederalBudgetProcess.com
ISBN: 1587331519 ISBN 13: 978-1-58733-151-0
www.FederalBudgetProcess.com
Congressional Deskbook • Legislating in Congress: Federal Budget Process § 9.110
used, however, to impel changes in Social Security law. Reconciliation sometimes has been
applied to discretionary authorizations, which are funded in annual appropriations acts, but
this is not the usual practice.
Reconciliation Directives
Reconciliation begins with a directive in a budget resolution instructing one or more desig-
nated committees to recommend legislation changing existing law. These directives have
three components: (1) they name the committee or committees directed to recommend legis-
lation; (2) they specify the amounts of changes in revenues or outlays that are to be achieved
by changes in existing law, but do not indicate how these changes are to be made, which laws
are to be altered, or the programs to be affected; and (3) they usually set a deadline by which
the designated committee or committees must recommend the changes in law. The directives
typically cover the same fiscal years covered by the budget resolution. The dollar amounts are
computed with reference to the Congressional Budget Office baseline. Thus, a change repre-
sents the amount by which revenues or spending would decrease or increase from baseline
levels as a result of changes made in existing law.
Although the instructions do not mention the programs to be changed, they are based on
assumptions concerning the savings or deficit reduction (or, in some cases, increases) that
would result from particular changes in revenue provisions or spending programs. These pro-
gram assumptions are sometimes printed in the reports on the budget resolution. Even when
the assumptions are not published, committees and members usually have a good idea of the
specific program changes contemplated by the reconciliation directives.
A committee has discretion to decide the legislative changes to be recommended. It is not
bound by the program changes recommended or assumed by the Budget Committees in the
reports accompanying the budget resolution. However, a committee is expected to recom-
mend legislation estimated to produce the dollar changes delineated in its reconciliation
directives.
When a budget resolution containing a reconciliation directive has been approved by
Congress, the instruction has the status of an order by the House and Senate to designated
committees to recommend legislation, usually by a date certain.
www.FederalBudgetProcess.com
Congressional Deskbook • Legislating in Congress: Federal Budget Process § 9.120
www.FederalBudgetProcess.com
Resources from TheCapitol.Net
• Budget Formulation, Justification, and Execution: A How-To for Budget Analysis with
James Capretta, ISBN 1-58733-060-1
Live Training
• Understanding Congressional Budgeting and Appropriations
<www.CongressionalBudgeting.com>
www.FederalBudgetProcess.com
Government Series: The Federal Budget Process
Other Resources
Books
• The Federal Budget, Third Edition: Politics, Policy, Process by Allen Schick and with
the assistance of Felix LoStracco, Brookings, 2007, 345 pages, ISBN: 0815777353
• Evolution of United States Budgeting: Revised and Expanded Edition by Annette E. Meyer,
Greenwood Publishing Group, Inc., 2002, 288 pgs, ISBN 9780275968618
• The New Politics of the Budgetary Process by Aaron Wildavsky, Longman Publishers, 2003,
288 pgs, ISBN 9780321159670
• Why Budgets Matter: Budget Policy and American Politics by Dennis S. Ippolito,
Penn State Press, 2004, 334 pgs, ISBN 0271022604
• Public Performance: Why Management Matters by Philip Joyce, Patricia Ingraham and
Amy Donahue, Johns Hopkins University Press, 1993, 216 pgs, ISBN 9780801872280
• Public Budgeting Systems 8th Edition by Robert Lee, Ronald Johnson, and Philip Joyce,
Jones & Bartlett Publishers, Inc., 2008, 757 pgs, ISBN 9780763746681
Statutes
• Budget and Emergency Deficit Control Act of 1985
<http://www.ssa.gov/OP_Home/comp2/F099-177.html>
• <www.rules.house.gov> From the homepage, click on the Budget Process which brings
you to <http://www.rules.house.gov/budget_pro.htm> which lists all rules, timelines, and
regulations regarding the federal budget.
• <www.budget.house.gov> On the homepage, left hand side, click on Budget Laws and you
will be able to see the link for “Compilation of Laws and Rules Relating to the Congressional
Budget Process,” among other topics.
www.FederalBudgetProcess.com
Other Resources
• <www.omb.gov
• <http://www.whitehouse.gov/omb/gils_gil-budg/> The Budget of the U.S. Government,
gives overview of how to locate individual agencies and their financial budgets for FY 2009.
• <www.cbo.gov> The Congressional Budget Office’s website displays timely analyses to
aid in economic and budgetary decisions on the wide array of programs covered by the
federal budget. The website shows the information and estimates required for the
Congressional budget process.
• <www.opm.gov>
• <http://www.opm.gov/budget/index.asp> The Office of Personal Management’s website
shows reports for the last ten years of the congressional budget justifications and
performance plans.
• <www.thisnation.com> Shows the roots of the federal budget process with historical
documents, budget news, editorial and advocacy, and facts and figures.
• <www.cbpp.org>
• <http://www.cbpp.org/cms/index.cfm?fa=view&id=155&zoom_highlightsub=federal+
budget+process> “Policy Basics: Introduction to the Federal Budget Process,”
by Center on Budget and Priority Policies, December 17, 2008
• <www.budgetanalyst.com> Shows federal budget process timeline where you can find
a step in the federal budget process and get an in-depth description.
• www.congressmatters.com>
• <http://www.congressmatters.com/story/2009/2/28/11218/5656> By using the search section
on the right hand side of the screen, typing in the phrase “Federal Budget Process” will bring
you to web post “Treasure trove of tools we need to understand the budget process” by David
Waldman posted on February 28, 2009. Shows various links to the House and Senate budget
committees, CRS reports, timelines, and charts one can use to understand the budget.
www.FederalBudgetProcess.com
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