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Unauthorized Appropriations; Legislation on Appropriation Bills

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Unauthorized Appropriations; Legislation on Appropriation Bills Unauthorized Appropriations; Legislation on Appropriation Bills A. INTRODUCTORY MATTERS § 1. Generally; Scope any expenditure not previously author- ized by law, unless in continuation of A House rule prohibits the in- appropriations for such public works and objects as are already in progress. clusion in general appropriation Nor shall any provision in any such bills of ‘‘unauthorized’’ appropria- bill or amendment thereto changing tions, except for works in existing law be in order, except such as progress, and prohibits provisions being germane to the subject matter of ‘‘changing existing law,’’ usually the bill shall retrench expenditures by referred to as ‘‘legislation on an the reduction of the number and salary of the officers of the United States, by appropriation bill,’’ except for pro- the reduction of the compensation of visions that retrench expenditures any person paid out of the Treasury of under certain prescribed condi- the United States, or by the reduction tions.(1) of amounts of money covered by the The statement of the rule under bill.... which most of the precedents in On Jan. 3, 1981, the 98th Con- this chapter were decided is as gress restructured and amended follows: (2) the clause as follows: paragraph No appropriation shall be reported in (a) retained the prohibition any general appropriation bill, or be in against unauthorized appropria- order as an amendment thereto, for tions in general appropriation bills and amendments thereto ex- 1. Rule XXI clause 2, House Rules and Manual § 834 (1985). The ‘‘retrench- cept in continuation of works in ment’’ provision is known as the Hol- progress; paragraph (b) narrowed man rule, and is discussed in §§ 4, 5, the ‘‘Holman Rule’’ exception from infra. the prohibition against legislation 2. See Rule XXI clause 2, House Rules to cover only retrenchments re- and Manual § 834 (1973). This chap- ducing amounts of money included ter discusses significant recent rul- in the bill as reported, and per- ings through 1984. For earlier treat- ment, see 4 Hinds’ Precedents mitted legislative committees with §§ 3701–4018; 7 Cannon’s Precedents proper jurisdiction to recommend §§ 1125–1570, 1579–1720. such retrenchments to the Appro- 5225 Ch. 26 § 1 DESCHLER’S PRECEDENTS priations Committee for discre- made without prior authorization tionary inclusion in the reported has, in a sense, the effect of legis- bill; paragraph (c) retained the lation, particularly in view of rul- prohibition against amendments ings of long standing (5) that a changing existing law but per- ‘‘proposition changing existing mitted limitation amendments law’’ may be construed to include during the reading of the bill by the enactment of a law where paragraph only if specifically au- none exists. The two concepts are thorized by existing law for the treated separately in this chapter, period of the limitation; and para- however. For example, it will be seen that the objection that an ap- graph (d) provided a new proce- propriation is ‘‘unauthorized’’ is dure for consideration of retrench- frequently employed where the ment and other limitation amend- general purpose of the appropria- ments only when reading of a gen- tion has been authorized, but the eral appropriation bill has been amount sought to be appropriated completed and only if the Com- allegedly exceeds the amount au- mittee of the Whole does not thorized.(6) adopt a motion to rise and report Frequently, rulings on points of ( ) the bill back to the House. 3 order will turn on whether a prop- The broad requirement that ap- osition is in fact one of legislation, propriations be ‘‘authorized’’ by or whether it is merely a permis- prior legislation is discussed in sible ‘‘limitation’’ on the funds another chapter.(4) In practice, the sought to be appropriated. Such concepts ‘‘unauthorized appropria- limitations may validly be im- tions’’ and ‘‘legislation on general posed in certain circumstances, appropriation bills’’ have fre- where the effect is not to directly quently been used almost inter- change existing law. Thus, just as changeably as grounds for objec- the House may decline to appro- tion in making points of order priate for a purpose authorized by pursuant to Rule XXI clause 2. It law, it may by limitation prohibit can, of course, readily be seen the use of the money for part of that an appropriation sought to be the purpose while appropriating for the remainder of it.(7) The lan- 3. See Rule XXI clause 2, House Rules and Manual § 834 (1983). 5. See 4 Hinds’ Precedents §§ 3812, 4. See Ch. 25, supra, discussing general 3813. principles applicable to appropriation 6. See, for example, § 21, infra. bills and the reporting and consider- 7. See 4 Hinds’ Precedents § 3936; 7 ation thereof. Cannon’s Precedents § 1595. 5226 LEGISLATION ON APPROPRIATION BILLS Ch. 26 § 1 guage of the limitation may pro- The rule against unauthorized vide that no part of the appropria- appropriations and legislation on tion under consideration shall be general appropriation bills is one used for a certain designated pur- of long standing. Its purpose has pose.(8) been to prevent delay of appro- Such limitations must not be priation bills because of conten- legislative in character; for exam- tion over propositions of legisla- ple, they must not give affirma- tion while at the same time to re- tive directions, impose new duties quire prior consideration and en- upon executive officers, or by their actment of authorizing legislation terms restrict executive discretion reported by legislative committees to such a degree as to constitute a with legislative and oversight ju- change in policy rather than a risdiction over the policies and matter of administrative detail. A programs which form the basis for separate division in this chapter (9) expenditure of government funds. discusses those instances in which It should be emphasized that the Chair, usually in response to the rule applies only to ‘‘general’’ points of order based on Rule XXI appropriation bills. The broad clause 2, has held that the propo- question as to when a bill may be sition in question was a permis- considered a ‘‘general’’ appropria- sible limitation on the use of tion bill, and when not, is dis- ( ) funds. 10 cussed in another chapter.(11) 8. 4 Hinds’ Precedents §§ 3917–3926; 7 Note: The rulings cited in this Cannon’s Precedents § 1580. chapter are intended to illustrate 9. See §§ 64–79, infra. the application of the rule requir- 10. A limitation may also be imposed on ing appropriations to be based on the total amount appropriated by a prior authorization. No attempt bill. See § 80, infra. Pursuant to has been made to indicate wheth- § 401(a) of the Congressional Budget er measures similar to those ruled Act of 1974 (Pub. L. No. 93–344), upon, if offered today, would in legislative bills authorizing contract fact be authorized under present or borrowing spending authority laws. must provide that such authority is available only to the extent or in such amounts provided in appropria- tions acts. Thus, a properly drafted ‘‘General’’ Appropriation Bills limitation on new spending authority may be included in a general appro- § 1.1 Restrictions imposed by priation bill if specifically required Rule XXI clause 2 apply only by the act containing that contract or borrowing authority. 11. See Ch. 25, supra. 5227 Ch. 26 § 1 DESCHLER’S PRECEDENTS to general appropriation to constitute the total amount that will bills. be furnished during such fiscal year through such agency for relief pur- On May 21, 1937,(12) there was poses.’’ . under consideration in the Com- MR. PARSONS: I make the point of mittee of the Whole a joint resolu- order that the amendment is not in order because it is legislation on an ap- tion (H.J. Res. 361) providing for propriation bill. appropriations ‘‘to continue to pro- THE CHAIRMAN: (13) The Chair is vide relief and work relief on use- ready to rule. The bill in question is ful public projects,’’ including not a general appropriation bill, and therefore clause 2 of Rule XXI does not projects previously approved for apply. The Chair overrules the point of the Works Progress Administra- order. tion. The funds appropriated were to be used ‘‘in the discretion of Continuing Appropriations and under the direction of the President.’’ During consideration § 1.2 Parliamentarian’s Note: of the joint resolution, a point of The rule against legislation order was raised against the fol- in appropriation bills is lim- lowing amendment, and pro- ited to general appropriation ceedings ensued as indicated bills; thus, a joint resolution below: continuing appropriations for government agencies Page 3, after line 18, insert the fol- lowing: ‘‘The funds allocated hereunder pending enactment of the to the Works Progress Administration regular appropriation bills, shall be so apportioned and distributed which is not a ‘‘general ap- over the 12 months of the fiscal year propriation bill’’ as it does ending June 30, 1938, and shall be so not provide appropriations administered during such fiscal year as on an annual basis, is not 12. 81 CONG. REC. 4936, 75th Cong. 1st subject to the prohibitions of Sess. See also 84 Cong. Rec. 7345, Rule XXI clause 2 against leg- 7365, 7366, 76th Cong. 1st Sess., islative language. June 16, 1939 (proceedings relating On Sept. 21, 1967,(14) The fol- to H.J. Res. 326, the work relief and public works appropriation bill and a lowing proceedings occurred in the point of order raised by Mr. Claude House: V. Parsons [Ill.]). MR. [GEORGE H.] MAHON [of Texas]: For further discussion of the dis- Mr. Speaker, I ask unanimous consent tinction between ‘‘general’’ appro- priation bills and those not falling 13. John J. O’Connor (N.Y.). within that category, see Ch. 25, 14.
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