Jessica Tollestrup
Analyst on Congress and the Legislative Process
Both the House and Senate have internal rules encouraging the separation of money and policy decisions. These rules bar legislative provisions from being included in general appropriations measures under most circumstances. Limitations within appropriations measures are provisions that negatively restrict the amount, purpose, or availability of funds without changing existing law. The effect of these provisions is to limit the actions for which funds may be used through the capping or outright denial of funds. Limitations are distinct from legislative provisions, which have the effect of either making new law or changing existing law. This distinction has been developed and refined over time based on various rulings establishing what type of language is allowable.
The procedural contexts within the House and the Senate for the consideration of limitations on the floor differ in three significant ways. First, while legislative provisions are generally not allowed under the rules of the House, the rules of the Senate do allow exceptions under some circumstances. Second, while House Rule XXI designates a particular process for the consideration of limitation amendments, the Senate has no specific procedures relating to such provisions. Third, while House Rule XXII bans legislative language within conference reports, Senate rules contain no such prohibition.
There are two forms in which limitations regularly occur. The first form places a total ban on the use of funds by stipulating that none of the funds in the account or bill can be used for a certain purpose. The second form, sometimes referred to as a “not to exceed” limitation, provides that the use of funds is not to exceed a specific amount or percentage of total funds for a certain account, item, activity, agency, or bill but does not change existing law. Limitations that prohibit the use of funds for certain purposes have been used to prevent federal funding for specific activities, a class of recipients, or to prohibit funding for earmarks. “Not to exceed” limitations have been used to establish funding ceilings for certain activities, or total funding amounts. Both types of limitations also have been used to restrict the availability of funds for transfer.
Limitations and legislative provisions are distinguished both by structure and substance. With respect to structure, a limitation must be phrased as a negative funding prohibition. For substance, a limitation must not effectively waive current law, alter agency discretion, impose new duties upon the official or agency, or provide funding based upon a contingency. Additionally, whether the recipient of the funds can be considered “federal” and, in the House, if the subject matter of the limitation involves taxes or tariffs, can determine the admissibility of this type of provision.
When a limitation provision has been the subject of a point of order, the burden of proof is on its proponent to demonstrate that the restrictions exist within current law, or that the new provision does not effectively change agency discretion or impose new duties.
Date of Report: February 14, 2011
Number of Pages: 27
Order Number: R41634
Price: $29.95
Follow us on TWITTER at http://www.twitter.com/alertsPHP or #CRSreports
Document available via e-mail as a pdf file or in paper form.
To order, e-mail Penny Hill Press or call us at 301-253-0881. Provide a Visa, MasterCard, American Express, or Discover card number, expiration date, and name on the card. Indicate whether you want e-mail or postal delivery. Phone orders are preferred and receive priority processing.
Analyst on Congress and the Legislative Process
Both the House and Senate have internal rules encouraging the separation of money and policy decisions. These rules bar legislative provisions from being included in general appropriations measures under most circumstances. Limitations within appropriations measures are provisions that negatively restrict the amount, purpose, or availability of funds without changing existing law. The effect of these provisions is to limit the actions for which funds may be used through the capping or outright denial of funds. Limitations are distinct from legislative provisions, which have the effect of either making new law or changing existing law. This distinction has been developed and refined over time based on various rulings establishing what type of language is allowable.
The procedural contexts within the House and the Senate for the consideration of limitations on the floor differ in three significant ways. First, while legislative provisions are generally not allowed under the rules of the House, the rules of the Senate do allow exceptions under some circumstances. Second, while House Rule XXI designates a particular process for the consideration of limitation amendments, the Senate has no specific procedures relating to such provisions. Third, while House Rule XXII bans legislative language within conference reports, Senate rules contain no such prohibition.
There are two forms in which limitations regularly occur. The first form places a total ban on the use of funds by stipulating that none of the funds in the account or bill can be used for a certain purpose. The second form, sometimes referred to as a “not to exceed” limitation, provides that the use of funds is not to exceed a specific amount or percentage of total funds for a certain account, item, activity, agency, or bill but does not change existing law. Limitations that prohibit the use of funds for certain purposes have been used to prevent federal funding for specific activities, a class of recipients, or to prohibit funding for earmarks. “Not to exceed” limitations have been used to establish funding ceilings for certain activities, or total funding amounts. Both types of limitations also have been used to restrict the availability of funds for transfer.
Limitations and legislative provisions are distinguished both by structure and substance. With respect to structure, a limitation must be phrased as a negative funding prohibition. For substance, a limitation must not effectively waive current law, alter agency discretion, impose new duties upon the official or agency, or provide funding based upon a contingency. Additionally, whether the recipient of the funds can be considered “federal” and, in the House, if the subject matter of the limitation involves taxes or tariffs, can determine the admissibility of this type of provision.
When a limitation provision has been the subject of a point of order, the burden of proof is on its proponent to demonstrate that the restrictions exist within current law, or that the new provision does not effectively change agency discretion or impose new duties.
Date of Report: February 14, 2011
Number of Pages: 27
Order Number: R41634
Price: $29.95
Follow us on TWITTER at http://www.twitter.com/alertsPHP or #CRSreports
Document available via e-mail as a pdf file or in paper form.
To order, e-mail Penny Hill Press or call us at 301-253-0881. Provide a Visa, MasterCard, American Express, or Discover card number, expiration date, and name on the card. Indicate whether you want e-mail or postal delivery. Phone orders are preferred and receive priority processing.
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