CBO’S ACTIVITIES UNDER

THE UNFUNDED MANDATES REFORM ACT,

1996-2000

The Congress of the United States

Congressional Budget Office

Preface

This Congressional Budget Office (CBO) paper summarizes the provisions of the

Unfunded Mandates Reform Act and reviews CBO’s activities under title I of that law

during its first five years (1996-2000). The paper reviews the extent to which legislation before the Congress during that period would have imposed federal mandates on other

levels of government or the private sector. Besides tracking five-year trends in federal

mandates, it also presents information for 2000, updating CBO’s four previous annual reports

on the Unfunded Mandates Reform Act (available at www.cbo.gov).

The paper was written by Theresa Gullo, Chief of CBO’s State and Local Government

Cost Estimates Unit, under the supervision of Robert Sunshine, and by Patrice Gordon,

coordinator of private-sector mandates for CBO’s Microeconomic and Financial Studies

Division, under the supervision of Roger Hitchner.

 Christian Spoor edited the paper, and Christine Bogusz proofread it. Rae Wiseman prepared the paper for publication, and Lenny Skutnik produced the printed copies. Annette

Kalicki prepared the electronic versions for CBO’s Web site (www.cbo.gov).

Dan L. Crippen

Director

May 2001 

Contents

SUMMARY vii

ONE THE FUNDAMENTALS OF THE UNFUNDED MANDATES 

REFORM ACT 1

What is the Unfunded Mandates Reform Act? 1

When did UMRA become law? 1

Why was UMRA enacted? 1

What information did CBO provide before UMRA was enacted? 1

Requirements and Responsibilities 2

What are the basic requirements of UMRA? 2

What are CBO’s responsibilities under UMRA? 2

What thresholds does UMRA set for CBO to provide estimates

of mandate costs? 3

What are the responsibilities of Congressional committees 

under UMRA? 3

How are the provisions of title I enforced? 4

Has CBO ever prepared a mandate statement for an appropriation bill? 5

Definitions 5

How does UMRA define “mandate”? 5

What is the special definition for “mandates” in large entitlement

grant programs? 5

Are preemptions of state and local government authority considered 

mandates under UMRA? 6

Are taxes considered mandates? 6

How does UMRA define “direct costs”? 6

What kinds of costs are not included in that definition? 6

How does UMRA define “state, local, and tribal governments”? 7

Who is the “private sector”? 7

Is any legislation excluded from consideration under UMRA? 7

How broadly or narrowly does CBO apply the exclusions? 7

Proposals to Change UMRA 8

Has UMRA ever been amended? 8

What other proposals have there been to change UMRA? 8
vi CBO’S ACTIVITIES UNDER UMRA, 1996-2000 May 2001

TWO CBO'S ACTIVITIES UNDER UMRA, 1996-2000 9

How many bills has CBO reviewed for mandates since UMRA 

was enacted? 9

How many of those bills contained mandates and how many had costs 

exceeding the thresholds? 9

How many separate mandates considered by the Congress in the past 

five years had costs over the thresholds? 9

How often was CBO unable to estimate whether the thresholds would 

be exceeded? 10

How many mandates with costs above the thresholds have 

become law? 11

How many significant mandates were amended before enactment 

to bring their costs below the thresholds? 12

What about bills with “other” costs that are not the result of 

intergovernmental mandates? 13

APPENDIXES

A AN ASSESSMENT OF UMRA IN 2000 21

B PRIMARY CONTRIBUTORS TO CBO'S ANALYSES 

OF MANDATES 41

TABLES

S-1. Total Number of CBO Mandate Statements for Bills, Proposed

Amendments, and Conference Reports, 1996-2000 ix

1. Number of CBO Mandate Statements for Bills, Proposed Amendments, 

and Conference Reports, by Year, 1996-2000 10

2. Status of Intergovernmental Mandates That Exceed the Statutory 

Thresholds, 1996-2000 14

3. Status of Private-Sector Mandates That Exceed the Statutory

Thresholds, 1996-2000 16

A-1. Number of CBO Mandate Statements for Bills, Proposed Amendments, 

and Conference Reports in 2000 22

A-2. Bills Reviewed by the Congressional Budget Office in 2000 That 

Contained Intergovernmental Mandates 23

A-3. Bills Reviewed by the Congressional Budget Office in 2000 That 

Contained Private-Sector Mandates 29

A-4. Laws Enacted in 2000 That Contained Intergovernmental Mandates 37
Summary

The Unfunded Mandates Reform Act (UMRA)—

passed in 1995 in one of the first actions of the

104th Congress—is intended to focus more attention on the costs of mandates that the federal government imposes on other levels of government or the

private sector. UMRA’s supporters had many goals

for the legislation, including ensuring that the Congress had information about the costs of mandates before it decided whether to impose them, and encouraging the federal government to provide funding to cover

the costs of intergovernmental mandates. To accomplish those goals, title I of UMRA established requirements for reporting on federal mandates and new legislative procedures designed to increase both the supply

of information about the costs of mandates and Congressional demand for such information.

In the five years since UMRA took effect, both

the amount of information about mandate costs and

interest in that information have increased dramatically. In addition, numerous pieces of legislation that

originally contained significant unfunded mandates

were amended to either eliminate the mandates or

lower their costs. In many of those cases, information

about mandate costs provided by the Congressional

Budget Office (CBO) clearly played a role in the Congressional decisions. In those respects, title I of

UMRA has proved to be effective.

Trends in Federal Mandates

Since 1996

Title I of UMRA requires CBO to estimate the costs

of federal mandates in bills that are considered by authorizing committees. CBO must provide a detailed

cost estimate for each bill that contains mandates

whose costs would total $50 million or more per year

to the public sector (state, local, or tribal governments) or $100 million or more per year to the private

sector. (Those thresholds are in 1996 dollars and are

adjusted each year for inflation. In 2000, they were

$55 million for intergovernmental mandates and $109

million for private-sector mandates.)

Since UMRA took effect in 1996, CBO has provided mandate cost statements for nearly all of the

bills reported by authorizing committees. It has also

given information to Members of Congress and Congressional staff about mandates at other stages in the

legislative process—before bills are introduced, when

amendments are considered on the floor of the House

or Senate, and when conference committees develop

their reports.
viii CBO’S ACTIVITIES UNDER THE UNFUNDED MANDATES REFORM ACT, 1996-2000 May 2001

Over the past half decade, several patterns about

federal mandates and their costs have become clear.1

& Most of the legislation that the Congress considered in the past five years did not contain federal mandates as UMRA defines them. Of the

more than 3,000 bills and other legislative proposals that CBO reviewed between 1996 and

2000, 12 percent contained intergovernmental

mandates and 14 percent contained privatesector mandates.

& Most of those mandates would not have imposed costs greater than the thresholds set by

UMRA. Only about 9 percent (32) of the bills

with intergovernmental mandates—or 1 percent

of the bills that CBO reviewed—had annual

costs of $50 million or more, by CBO’s estimate. (About half of the intergovernmental mandates that CBO identified were explicit preemptions of state or local authority. In most of

those cases, the costs to comply with the preemptions were not significant.) Less than 24

percent (100) of the bills with private-sector

mandates—or about 3 percent of the bills that

CBO reviewed—had costs of more than $100

million a year (see Summary Table 1). Few of

the bills with either kind of mandate, however,

contained federal funding to offset the costs of

the mandates.

& Although the percentage of bills containing a

federal mandate stayed fairly constant over the

past five years, the percentage of bills with

mandates over the statutory thresholds declined

steadily. Bills with intergovernmental mandates

above the threshold decreased from 1.5 percent

(11) in 1996 to less than 0.5 percent (3) in

2000, and bills with private-sector mandates

above the threshold dropped from 5.6 percent

(38) in 1996 to less than 1 percent (6) in 2000.

& Few mandates with costs over the UMRA

thresholds were enacted in the past five years.

Only two intergovernmental mandates with annual costs of at least $50 million became law—

an increase in the minimum wage (in 1996) and

a reduction in federal funding to administer the

Food Stamp program (in 1997). Those enacted

mandates represent less than 1 percent of the

intergovernmental mandates that the Congress

has considered since UMRA took effect.

A slightly larger percentage of privatesector mandates before the Congress became

law and imposed significant costs. Sixteen of

the private-sector mandates identified by CBO

as costing more than the $100 million threshold

were enacted. Of those, eight involved taxes,

three concerned health insurance (requiring portability of insurance coverage, minimum maternity stays, and changes in Medicare coverage),

two dealt with regulation of industries (telecommunications reform and changes in milk pricing), two affected workers’ take-home pay (increases in the minimum wage and in federal employees’ contributions for retirement), and one

imposed new requirements on sponsors of immigrants.

& In some cases, lawmakers have altered legislative proposals to reduce the costs of federal

mandates before enacting them. Four intergovernmental and five private-sector mandates that

CBO identified as having costs above the

thresholds when they were approved by authorizing committees were amended before enactment to bring their costs below the thresholds.

For many of those mandates—such as a requirement that driver’s licenses show Social Security

numbers, a moratorium on certain taxes on Internet services, preemptions of state securities

fees, and provisions in the farm bill about the

contents of milk—it was clear that information

provided by CBO played a role in the Congress’s decision to lower the costs.

1. Because CBO’s experiences each year with UMRA have

been so similar, these observations closely mirror the conclusions presented in CBO’s four previous annual reports

on the subject: An Assessment of the Unfunded Mandates

Reform Act in 1999 (March 2000), An Assessment of the

Unfunded Mandates Reform Act in 1998 (February 1999),

An Assessment of the Unfunded Mandates Reform Act in

1997 (February 1998), and The Experience of the Congressional Budget Office During the First Year of the Unfunded

Mandates Reform Act (January 1997).
SUMMARY ix

Summary Table 1.

Total Number of CBO Mandate Statements for Bills, Proposed Amendments, and Conference Reports,

1996-2000

Intergovernmental

Mandates

Private-Sector

Mandates

Total Number of Statements Transmitted 3,059 2,949

Number of Statements That Identified Mandates 355 422

Mandate costs would exceed thresholda 32 100

Mandate costs could not be estimated 21 36

SOURCE: Congressional Budget Office.

NOTE: The numbers in this table represent official mandate statements transmitted to the Congress by CBO. CBO prepared more intergovernmental mandate statements than private-sector mandate statements because in some cases it was asked to review a specific bill, amendment, or

conference report solely for intergovernmental mandates. In those cases, no private-sector analysis was transmitted to the requesting

Member or committee. CBO also completed a number of preliminary reviews and informal estimates for other legislative proposals that are

not included in this table. Mandate statements may cover more than one mandate provision, and occasionally, more than one formal CBO

statement is issued for each mandate topic.

a. The thresholds, which are adjusted annually for inflation, were $50 million for intergovernmental mandates and $100 million for private-sector

mandates in 1996. They rose to $55 million and $109 million, respectively, in 2000.

The Narrow Scope of UMRA

The numbers presented in this report should be viewed

in light of the fact that UMRA defines federal mandates narrowly. According to the law, the conditions

attached to most forms of federal assistance (including

most entitlement grant programs) are not mandates. In

some cases, complying with such conditions of aid can

be costly. Between 1996 and 2000, CBO identified

more than 450 bills that would impose those types of

nonmandate costs on state, local, or tribal governments. In most cases, however, CBO estimated that

such costs would not be significant. During that period, CBO also identified numerous bills that would

benefit state, local, or tribal governments.

In addition, UMRA focuses on the direct costs

that entities affected by mandates would bear. But

federal mandates also impose indirect costs, including

the effects on prices and wages when the costs of a

mandate imposed on one party are passed along to

other parties, such as customers or employees. Those

effects of federal legislation on other levels of government and the private sector are not subject to the requirements of UMRA. Nevertheless, CBO includes

information about significant indirect effects in some

of its cost statements for mandates over the threshold.

When sufficient time and data are available, it also

provides quantitative estimates of the size of those effects. For example, CBO analyzed the indirect effects

of proposed mental health parity requirements, including possible reductions in workers' take-home pay,

health insurance coverage, and fringe benefits. Similarly, CBO's analysis of proposed increases in the

minimum wage included the possible impact on employment of low-wage workers.

The scope of UMRA is further narrowed by the

fact that the law does not apply to legislative provisions that deal with constitutional rights, discrimination, emergency aid, accounting and auditing procedures for grants, national security, treaty ratification,

and title II of Social Security (Old-Age, Survivors,

and Disability Insurance benefits). Roughly 5 percent

of the bills that CBO reviewed in the past five years

contained provisions that fit within those exclusions.

Many of them addressed constitutional rights or national security issues.
x CBO’S ACTIVITIES UNDER THE UNFUNDED MANDATES REFORM ACT, 1996-2000 May 2001

Challenges to CBO in 

Implementing UMRA

Determining what constitutes a mandate under UMRA

can be complicated. For example, the law defines a

mandate as “an enforceable duty except . . . a duty

arising from participation in a voluntary federal program.” Although an activity (such as sponsoring an

immigrant’s entry into the United States) may be voluntary, the federal program affecting that activity (immigration laws) is not. In that case, a bill imposing

new requirements on the sponsors of immigrants

would constitute a mandate under UMRA. In contrast, other federal programs that are truly voluntary

in nature may impose requirements on their participants that, by UMRA’s definition, are not mandates.

Those distinctions between what is voluntary and what

is mandatory are not always clear.

Even when CBO determines that a legislative

proposal contains a federal mandate, the agency faces

numerous challenges in estimating the costs of the

mandate. In some cases, accurately determining how

many state and local governments or entities in the

private sector would be affected by a mandate is impossible. In other cases, the entities that would be

subject to a mandate are diverse and would not be affected uniformly, making it difficult to total the incremental costs of compliance for all parties that would

be affected. In other instances, it may be impossible

to estimate the costs of a mandate at the legislative

stage, before regulations to implement it have been

developed. Even the mandated parties may not be able

to estimate costs reliably without knowing what the

regulations to carry out the mandate will entail. 

Fortunately, UMRA requires CBO to determine

whether the costs of complying with mandates would

exceed specific thresholds and to provide cost estimates only for mandates that would do so. If UMRA

required CBO to provide more-detailed estimates for

each mandate, the agency’s job would be considerably

more difficult and time consuming. 

Proposals to Expand UMRA

Since UMRA was enacted, lawmakers have proposed

expanding title I in several ways. One proposal would

build on UMRA’s perceived success in focusing Congressional attention on unfunded intergovernmental

mandates by expanding the law’s procedural requirements for private-sector mandates (particularly the

provision that allows Members of Congress to raise a

point of order, or procedural objection, against a bill

that contains an intergovernmental mandate with costs

above the threshold). Other proposals would expand

UMRA’s definition of a mandate as it relates to large

federal entitlement programs administered by state or

local governments. Both of those proposals were included in the Mandates Information Act, which was

considered by the Congress in 1998 and 1999 but

never enacted.

To date, lawmakers have made only one, relatively minor, change to UMRA. The State Flexibility

Clarification Act of 1999 (Public Law 106-141) requires authorizing committees and CBO to provide

more information in committee reports and mandate

statements for legislation that would “place caps upon,

or otherwise decrease, the federal government’s responsibility to provide funding to state, local, or tribal

governments” under some large entitlement grant programs. In general, that requirement for additional information applies to few bills, and no legislation reported by authorizing committees since the requirement was enacted has been affected by it.
Chapter One

The Fundamentals of the

Unfunded Mandates Reform Act

What is the Unfunded

Mandates Reform Act?

The Unfunded Mandates Reform Act of 1995 (UMRA) seeks to discourage the

federal government from imposing mandates on state, local, and tribal governments or the private sector without paying the costs of those mandates. Through

a variety of mechanisms, the law increases the amount of information available

to the Congress and executive branch agencies about the impact of federal

mandates. It also encourages policymakers to take that information into account

when developing laws and regulations.

When did UMRA become law? UMRA was enacted on March 22, 1995, as Public Law (P.L.) 104-4. Its provisions became effective on January 1, 1996.

Why was UMRA enacted? The Congress and President Clinton enacted UMRA to respond to growing

concerns that the federal government, through legislation and administrative

actions, was imposing enforceable duties on other levels of government and the

private sector without adequately considering the nonfederal costs that would

result from complying with those duties. 

What information did CBO

provide before UMRA was

enacted?

The Congressional Budget Office (CBO) has been providing estimates of the

impact of federal legislation on state and local governments since 1982. The

State and Local Government Cost Estimate Act of 1981 (P.L. 97-108) required

CBO to estimate the costs that state and local governments would incur over five

years in carrying out or complying with “any significant bill or resolution.”

During the 1982-1995 period, CBO provided the Congress with more than 7,000

such estimates, mostly for bills approved by authorizing committees.

UMRA repealed the State and Local Government Cost Estimate Act and narrowed the types of intergovernmental impacts that CBO is required to identify.

It also lowered the cost that triggers the need for an intergovernmental estimate

from $200 million a year to $50 million (adjusted annually for inflation). In

practice, CBO continues to provide the Congress, when feasible, with estimates

of all budgetary effects on state and local governments, regardless of their cost

or whether they result from mandates as defined by UMRA. 
2 CBO’S ACTIVITIES UNDER THE UNFUNDED MANDATES REFORM ACT, 1996-2000 May 2001

Requirements and Responsibilities

What are the basic

requirements of UMRA?

UMRA contains four titles that address how various parts of the federal government should handle proposed and existing mandates on state, local, and tribal

governments and the private sector.

• Title I, Legislative Accountability and Reform, requires CBO and

authorizing committees in the Congress to develop and report information

about the existence and costs of mandates in proposed legislation. It also

establishes a mechanism to bring that information to the attention of the

Congress before legislation is considered on the floor of the House or

Senate.

• Title II, Regulatory Accountability and Reform, applies to actions of federal agencies in implementing federal law. It requires most federal agencies

in the executive branch (except some independent regulatory agencies) to

assess the effects of their regulatory actions on state, local, and tribal

governments and the private sector. It also requires that statements about

such effects accompany certain significant regulations, that agencies seek

input from other levels of government when developing regulations, and

that agencies consider alternatives that would ease the financial burden of

regulations.

• Title III,Review of Federal Mandates, required the Advisory Commission

on Intergovernmental Relations (ACIR) to prepare three reports: a baseline

study of the costs and benefits of federal mandates to state, local, and tribal

governments; a review of the impact of unfunded federal mandates on those

governments, along with recommendations for easing, consolidating, or terminating mandates; and an annual report identifying federal court rulings

that required state, local, or tribal governments to undertake additional

responsibilities and activities.1

• Title IV, Judicial Review, allows for limited judicial review of certain

agency actions and rules developed under title II of UMRA.

This report focuses on the provisions of title I.

What are CBO’s 

responsibilities under UMRA?

The law requires CBO to give any authorizing committee that reports a bill a

statement about the direct costs of mandates found in the bill. If the total direct

costs of all mandates in the bill are above a specific threshold in any of the first

five fiscal years in which a mandate would be in effect, CBO must provide an

estimate of those costs (if feasible) as well as the basis of its estimate.

1. ACIR completed and released the report on judicial mandates in July 1995 (Federal Court Rulings Involving State, Local, and Tribal

Governments, Calendar Year 1994: A Report Prepared Under Section 304, Unfunded Mandates Reform Act of 1995). The commission

also published a preliminary report in January 1996 on the impact of federal mandates on state and local governments (The Role of

Federal Mandates in Intergovernmental Relations: A Preliminary ACIR Report for Public Review and Comment). ACIR received its

last Congressional appropriation in fiscal year 1996 and was terminated at the end of that year.
CHAPTER ONE THE FUNDAMENTALS OF THE UNFUNDED MANDATES REFORM ACT 3

The CBO mandate statement must also include an assessment of whether the bill

authorizes or otherwise provides funding to cover the costs of any new federal

mandate. In the case of intergovernmental mandates, the cost statement must,

under certain circumstances, estimate the appropriations needed to fund such

authorizations for up to 10 years after the mandate takes effect. If CBO cannot

estimate the cost of a mandate, its statement must assert that such an estimate is

not feasible and explain why.

Conference committees must “to the greatest extent practicable” ensure that CBO

prepares statements for conference agreements or amended bills if those measures

contain mandates that were not previously considered by either House or if they

impose greater direct costs than the version considered earlier. At the request of

a Senator, CBO must estimate the costs of intergovernmental mandates contained

in an amendment the Senator wishes to offer.

The Congress may also call on CBO to prepare analyses at other stages of the

legislative process. If asked by the Chairman or Ranking Minority Member of

a committee, CBO will help committees analyze the impact of proposed legislation, conduct special studies of legislative proposals, or compare a federal

agency’s estimate of the costs of proposed regulations implementing a federal

mandate with CBO’s estimate of those costs made when the mandate was

considered by the Congress.

What thresholds does UMRA

set for CBO to provide

estimates of mandate costs?

UMRA set the cost threshold for intergovernmental mandates at $50 million in

1996, adjusted annually for inflation. CBO estimates that for fiscal year 2000,

the threshold was $55 million. For private-sector mandates, the annual threshold

was $100 million in 1996 and $109 million in 2000.

What are the responsibilities 

of Congressional committees

under UMRA?

In general, when an authorizing committee reports a bill or joint resolution that

contains a federal mandate, the report must identify and describe that mandate

and include a statement from the Director of CBO on its estimated costs. If that

statement cannot be published with the report, the committee is responsible for

ensuring that it is published in the Congressional Record before the bill or

resolution is considered on the floor of the House or Senate. The committee is

responsible for promptly providing CBO with a copy of the bill and for identifying mandates contained in it. (In practice, CBO reviews each bill approved by

a committee to identify mandates and estimate their costs.)

In addition, the report must contain a qualitative—and, if practical, a quantitative

—assessment of the costs and benefits expected to result from the mandates

(including the effects on health, safety, and the protection of the natural environment). The committee must also state the degree to which a federal mandate

affects both the public and private sectors and the impact on the competitive

balance between those sectors if federal payments are made to compensate for

costs imposed on the public sector.

If the bill would impose an intergovernmental mandate, the committee report

must contain a statement of how that mandate will be funded by the federal government, whether the committee intends for the mandate to be partially or fully

funded, how the funding mechanism relates to the expected direct costs to the
4 CBO’S ACTIVITIES UNDER THE UNFUNDED MANDATES REFORM ACT, 1996-2000 May 2001

respective levels of government, and any existing source of funds besides those

already identified that would help governments meet the direct costs of the

mandate.

For amended bills, joint resolutions, and conference reports, the committee of

conference must ensure, to the greatest extent possible, that the Director of CBO

prepares a mandate cost estimate if the amended measure contains a federal

mandate not previously considered by either House or contains provisions that

would increase the direct costs of a previously considered mandate.

If a bill or joint resolution would cap or reduce federal spending for a large entitlement program, the authorizing committee must specifically say how it intends

for the states to implement the change and to what extent the legislation provides

additional flexibility, if any, to offset states’ costs.

Finally, authorizing committees are required, in their annual views and estimates

reports to the budget committees, to identify issues they plan to consider that will

have costs for state, local, or tribal governments or the private sector.

How are the provisions of

title I enforced?

Section 425 of the Congressional Budget and Impoundment Control Act, as

amended by UMRA, sets out rules for both the House and Senate that enforce the

requirements of title I of UMRA. Subsection (a)(1) prohibits the consideration

of a reported bill unless the committee has published a CBO statement about the

costs of any mandates.2

Subsection (a)(2) prohibits the consideration of any bill, amendment, motion, or

conference report that would increase the direct costs of intergovernmental mandates by more than the statutory threshold, unless the legislation provides direct

spending authority or authorizes appropriations sufficient to cover the costs. If

the bill authorizes the appropriation of funds to pay for an intergovernmental

mandate, it must also provide a way to terminate or scale back the mandate if the

appropriated funds are not large enough to cover those costs. In such cases,

authorizations of appropriations would have to be specified for each year (up to

10 years) after the effective date of the mandate; in the Senate, they would also

have to be consistent with the estimated costs of the mandate as determined by the

Senate Budget Committee. That provision applies to bills that impose new mandates as well as ones that increase the cost of existing mandates. 

Finally, although UMRA does not specifically require CBO to analyze the cost

of mandates in appropriation bills, subsection (c) of section 425 of the Congressional Budget Act prohibits the consideration of legislative provisions in appropriation bills (or amendments to them) that increase the direct costs of intergovernmental mandates, unless an appropriate CBO statement is provided.

Those rules are not self-enforcing; a Member must raise a point of order to

enforce them. In the House, if a Member raises a point of order against a bill, the

2. If CBO provides a statement for intergovernmental mandates but determines that a cost estimate is not feasible, then the bill is not

in order, as if no CBO statement had been provided.
CHAPTER ONE THE FUNDAMENTALS OF THE UNFUNDED MANDATES REFORM ACT 5

full House votes on whether to consider the bill regardless of whether there is a

violation. In the Senate, if a point of order is raised, the bill may not be considered unless either the Senate waives the point of order or it is overturned by

the chair or the full Senate.3

Has CBO ever prepared a

mandate statement for an

appropriation bill?

As noted above, UMRA does not expressly require CBO to prepare mandate

statements for appropriation bills, and CBO has never done so. In general,

UMRA’s points of order do not apply to the provisions of bills or resolutions

reported by the appropriations committees (except legislative provisions) even if

they would increase the direct costs of an intergovernmental mandate without

providing funding and do not have a mandate statement.

Because in many cases it is difficult and controversial to determine what constitutes a legislative provision in an appropriation bill, CBO will prepare mandate

statements for those bills only when requested. On an informal basis, however,

CBO reviews all appropriation bills as they move through the legislative process

and alerts the appropriations clerks to any intergovernmental mandates that it

identifies.

Definitions

How does UMRA define

“mandate”?

The law defines a mandate as any provision in legislation, statute, or regulation

that would impose an enforceable duty on state, local, or tribal governments or

the private sector or that would reduce or eliminate the amount of funding authorized to cover the costs of existing mandates. Duties that arise as a condition of

federal assistance or from participating in a voluntary federal program are not

mandates. 

What is the special definition

for “mandates” in large

entitlement grant programs?

Conditions attached to federal grant programs are not generally considered

mandates under UMRA. In the case of some large entitlement programs, however, a new grant condition or a reduction in federal financial assistance can be

a mandate if states lack the flexibility to offset the new costs or the loss of federal

funding with reductions elsewhere in the program. UMRA defines large entitlement programs as a “then-existing federal program under which $500 million or

more is provided annually to state, local, or tribal governments under entitlement

authority.” Today, those programs include Medicaid; Temporary Assistance for

Needy Families (TANF); child nutrition programs; Food Stamps; the Social Services Block Grant; Vocational Rehabilitation State Grants; grants for foster care,

adoption assistance, and independent living; family support payments for the Job

Opportunities and Basic Skills program; and Child Support Enforcement. The

special definition would also apply to any new entitlement programs that the

Congress created that provided $500 million or more annually to state, local, or

tribal governments.

3. For more information about points of order, see House Committee on Rules, The Unfunded Mandate Point of Order: A Parliamentary

Outreach Program Newsletter, vol. 106, no. 11 (June 18, 1999), or the committee’s Web site (www.house.gov/rules/). 
6 CBO’S ACTIVITIES UNDER THE UNFUNDED MANDATES REFORM ACT, 1996-2000 May 2001

Are preemptions of state and

local government authority

considered mandates under

UMRA?

CBO assumes that a mandate can be a positive or negative duty. Thus, if a

legislative proposal expressly limits or prohibits state or local regulatory activities, CBO considers such a limitation to be an enforceable duty on those levels

of government. Consequently, it considers preemptions to be mandates as defined

by UMRA.4

Are taxes considered

mandates?

When the federal government assesses a tax, it uses its sovereign power to impose

an enforceable duty on those affected by the tax. As such, taxes are considered

mandates.

The Congressional Budget Act requires the Joint Committee on Taxation (JCT)

to produce revenue estimates for all tax legislation considered by either the House

or the Senate. In addition, the JCT examines legislative provisions that affect the

tax code for federal mandates and estimates their costs. Such information is

incorporated into CBO’s mandate statements.

How does UMRA define

“direct costs”?

The term “direct costs” means the total estimated amount that the private sector

or state, local, and tribal governments would be required to spend to comply with

the mandate. Such costs are limited to spending that results directly from the

enforceable duty imposed by the legislation rather than from the legislation’s

broad effects on the economy. The direct costs of a mandate also include any

amounts that state and local governments are prohibited from raising in revenues

to comply with the mandate. Under UMRA, direct costs must be measured on

a net incremental basis—that is, the costs above those required to carry out

applicable laws, regulations, or professional standards in effect when the federal

mandate is adopted, minus any direct savings related to the mandate that result

from the proposed legislation.

What kinds of costs are not

included in that definition?

Because the term “mandate” is defined narrowly, not all of the budgetary impacts

on other governments or the private sector are the result of mandates as defined

by UMRA. For example, as noted earlier, any costs associated with complying

with grant conditions for most new or existing programs are not considered

mandate costs under UMRA. Most of the “other” costs that CBO identifies when

reviewing bills deal with conditions for receiving federal aid or participating in

voluntary federal programs. 

Determining what constitutes a mandate under UMRA can be complicated.

Although an activity (such as sponsoring an immigrant’s entry into the United

States) may be voluntary, the federal program affecting that activity (immigration

laws) is not. In that case, a bill imposing new requirements on sponsors of

immigrants would constitute a mandate under UMRA. In contrast, other federal

programs that are truly voluntary in nature may impose requirements on their

participants that, by UMRA’s definition, are not mandates. Those distinctions

between what is voluntary and what is mandatory are not always clear.

4. For more information about federal preemptions of state and local government authority, see Congressional Budget Office, Preemptions

in Federal Legislation During the 106th Congress (forthcoming).
CHAPTER ONE THE FUNDAMENTALS OF THE UNFUNDED MANDATES REFORM ACT 7

Because such other costs to state, local, or tribal governments can be significant,

however, CBO identifies them whenever possible.

How does UMRA define

“state, local, and tribal

governments”?

Section 421(12) of the Congressional Budget Act defines “state” to mean a state

of the United States, the District of Columbia, a territory or possession of the

United States, or an agency, instrumentality, or fiscal agent of a state. According

to section 421(8), “local government” is defined as a unit of general local government, a school district, or other special district established under state law.

Section 421(13) defines “tribal government” as an Indian tribe, band, nation, or

other organized group or community that is recognized as eligible for special

programs and services provided by the United States to Indians because of their

special status as Indians. The term also includes Alaska native villages and

regional or village corporations as established in the Alaska Native Claims

Settlement Act.

Who is the “private sector”? UMRA defines the “private sector” to mean all people or entities in the United

States, including individuals, partnerships, associations, corporations, and educational and nonprofit institutions, but not including state, local, and tribal governments.

Is any legislation excluded

from consideration under

UMRA?

Section 4 of the law excludes bills or provisions from consideration under UMRA

if they:

• Enforce the constitutional rights of individuals; 

• Establish or enforce statutory rights that prohibit discrimination; 

• Require compliance with certain accounting and auditing procedures; 

• Provide emergency assistance at the request of state, local, or tribal

governments; 

• Are necessary for national security or the ratification or implementation of

international treaty obligations; 

• Are emergencies as designated by the President and the Congress; or

• Relate to certain programs of the Social Security Act.

How broadly or narrowly does

CBO apply the exclusions?

The question of how broadly to interpret those exclusions is one that CBO has

grappled with many times over the past five years. According to sections 2(3)(A)

and 2(4) of UMRA, two of the basic purposes of the law are to provide “for the

development of information about the nature and size of mandates in proposed

legislation” and “to promote informed and deliberate decisions by Congress on

the appropriateness of federal mandates in any particular instance.” Applying

the exclusions broadly would limit the information provided to the Congress and

could defeat those purposes. For those reasons—and on the basis of discussions

with Congressional staff involved in the development and passage of UMRA—
8 CBO’S ACTIVITIES UNDER THE UNFUNDED MANDATES REFORM ACT, 1996-2000 May 2001

CBO applies the exclusions narrowly to ensure that lawmakers receive as much

information as possible about potential mandates.5

Proposals to Change UMRA

Has UMRA ever been

amended?

The Congress has made only one change to UMRA in the five years since the law

took effect. The State Flexibility Clarification Act of 1999 (P.L. 106-141)

requires authorizing committees and CBO to provide more information in committee reports and mandate statements for legislation that would “place caps

upon, or otherwise decrease, the federal government’s responsibility to provide

funding to state, local, or tribal governments” under various large entitlement

grant programs (such as Medicaid, TANF, or Food Stamps). Under that law, if

a bill or joint resolution would limit or reduce federal spending for such a program, the authorizing committee must state specifically how it intends for the

states to implement the change and to what extent the legislation provides additional flexibility, if any, to offset states’ costs.

The new information that CBO must provide depends on whether the bill would

provide flexibility to states. If it caps or reduces federal spending for a large

entitlement grant program but does not provide additional flexibility to states to

offset that reduction, CBO must describe whether and how states can offset the

reduction under existing law. If the legislation would provide additional flexibility, CBO must estimate whether the resulting savings would offset the reductions included in the bill, assuming that states took full advantage of the

flexibility. To date, no bills that are covered by those requirements have been

reported by authorizing committees.

What other proposals have

there been to change UMRA?

UMRA imposes a point of order against a bill that contains intergovernmental

mandates with costs over the specified threshold. Some Members have proposed

expanding the law’s provisions to include a similar point of order for privatesector mandates. In addition, despite the enactment of the State Flexibility Clarification Act, state and local governments remain concerned that future legislation

could impose new requirements or reduce federal spending for large entitlement

programs, possibly leaving them to make up the difference. Their concern has

resulted in efforts to amend UMRA’s definition of a mandate as it relates to such

programs.

In 1998 and again in 1999, the Congress considered legislation that would

address both of those issues. The Mandates Information Act (MIA) would have

established new procedural hurdles for private-sector mandates, directed CBO to

furnish additional types of cost information about them, and changed the definition of intergovernmental mandates in the context of large entitlement programs.

Companion legislation was introduced in the Senate. The MIA passed the House

in both 1998 and 1999 but was never considered on the floor of the Senate.

5. For a more complete explanation of the national security exclusion, see Congressional Budget Office, An Assessment of the Unfunded

Mandates Reform Act in 1999 (March 2000).
Chapter Two

CBO’s Activities Under UMRA,

1996-2000

How many bills has CBO

reviewed for mandates since

UMRA was enacted?

Between 1996 and 2000, CBO analyzed and provided mandate statements for

most of the bills reported by authorizing committees, as well as for some other

proposed bills and amendments. In all, CBO prepared more than 3,000 mandate

statements.

How many of those bills

contained mandates and how

many had costs exceeding the

thresholds?

About 12 percent (or 355) of the bills that CBO reviewed contained intergovernmental mandates (see Table 1). About 1 percent of all the bills (or 32) had

mandates whose costs would exceed the annual threshold ($50 million in 1996,

adjusted annually for inflation). Those 32 bills with costs over the threshold represented 9 percent of the bills containing intergovernmental mandates. Another

1 percent (or 21) had costs that could not be determined.

CBO identified private-sector mandates in about 14 percent (or 422) of the bills

and amendments that it examined in the past five years. More than 3 percent of

those bills (or 100) contained mandates whose costs exceeded their threshold

($100 million in 1996, annually adjusted for inflation). Another 1 percent (or 36)

had private-sector costs that could not be determined.

The proportion of bills containing a mandate has remained relatively constant

since 1996 (ranging between 10 percent and 14 percent for intergovernmental

mandates and 12 percent and 19 percent for private-sector mandates). But the

proportion of bills with mandates over the relevant thresholds has declined in each

of the past five years. Bills with intergovernmental mandates above the threshold

fell from 1.5 percent in 1996 to less than 0.5 percent in 2000, and bills with

private-sector mandates over the threshold dropped from 5.6 percent in 1996 to

less than 1 percent in 2000.

How many separate mandates

considered by the Congress in

the past five years had costs

over the thresholds?

Multiple bills or proposals sometimes contain the same or similar mandates.

Consequently, CBO’s mandate statements for different bills sometimes identify

the same mandate. In the past five years, the 32 bills with intergovernmental

mandates above the threshold contained 17 separate mandates. The 100 bills
10 CBO’S ACTIVITIES UNDER THE UNFUNDED MANDATES REFORM ACT, 1996-2000 May 2001

Table 1.

Number of CBO Mandate Statements for Bills, Proposed Amendments, and Conference Reports, 

by Year, 1996-2000

Five-Year

1996 1997 1998 1999 2000 Total

Intergovernmental Mandates

Total Number of Statements Transmitted 718 521 541 573 706 3,059

Number of Statements That Identified Mandates 69 64 64 81 77 355

Mandate costs would exceed thresholda 11 8 6 4 3 32

Mandate costs could not be estimated 6 7 7 0 1 21

Private-Sector Mandates

Total Number of Statements Transmitted 673 498 525 556 697 2,949

Number of Statements That Identified Mandates 91 65 75 105 86 422

Mandate costs would exceed thresholda 38 18 18 20 6 100

Mandate costs could not be estimated 2 5 9 13 7 36

SOURCE: Congressional Budget Office.

NOTE: The numbers in this table represent official mandate statements transmitted to the Congress by CBO. CBO prepared more intergovernmental

mandate statements than private-sector mandate statements because in some cases it was asked to review a specific bill, amendment, or

conference report solely for intergovernmental mandates. In those cases, no private-sector analysis was transmitted to the requesting Member

or committee. CBO also completed a number of preliminary reviews and informal estimates for other legislative proposals that are not included

in this table. Mandate statements may cover more than one mandate provision, and occasionally, more than one formal CBO statement is

issued for each mandate topic.

a. The thresholds, which are adjusted annually for inflation, were $50 million for intergovernmental mandates and $100 million for private-sector

mandates in 1996. They rose to $55 million and $109 million, respectively, in 2000.

with private-sector mandates over the threshold contained 42 separate mandates.

(See Tables 2 and 3, beginning on page 14, for more detail on those mandates.)

How often was CBO unable 

to estimate whether the

thresholds would be exceeded?

For fewer than 10 percent of the mandates it identified over the past five years

(21 intergovernmental mandates and 36 private-sector mandates), CBO could not

determine whether their costs would exceed the statutory thresholds. The reasons

varied.

• Uncertainty about whom the bill’s provisions would affect sometimes made

it impossible to estimate compliance costs.

• Even when CBO could identify the affected parties, it could not always

obtain reliable information about those parties to use in preparing a cost

estimate.

• In some cases, it was impossible to estimate the costs of a mandate at the

legislative stage, before regulations to implement the mandate had been

developed.
CHAPTER TWO CBO’S ACTIVITIES UNDER UMRA, 1996-2000 11

• Language in UMRA about how to treat extensions of existing mandates is

ambiguous, so CBO was sometimes uncertain whether to measure the costs

of extending a mandate from the current level of costs or from the level

(usually zero) that would exist if the mandate was allowed to expire.

• UMRA is also unclear about how to measure the costs of mandates from

which states and localities can opt out, so CBO had trouble determining

whether the threshold would be exceeded in those cases. Unlike most voluntary federal programs, in which states and localities incur costs only if

they choose to participate (or opt in), opt-out provisions would impose a

mandate unless those governments took some other action to avoid the

costs. Depending on how politically controversial the issue is, opting out

may be difficult; it is unclear whether CBO should count the costs of failing

to opt out against the threshold.

How many mandates with

costs above the thresholds

have become law?

Only two of the 17 intergovernmental mandates that CBO identified with costs

over the threshold have been enacted into law since 1996:

• The Minimum Wage Increase Act, enacted in 1996 as P.L. 104-188, raised

the minimum wage to $5.15 in two 90 cent increments. CBO determined

that the law would impose an intergovernmental mandate with costs exceeding the threshold because it would require all employers—including state,

local, and tribal governments—to pay higher minimum wages than they

would have to otherwise. CBO estimated that over five years, that mandate

would cost those governments a total of more than $1 billion.

• The Agricultural Research, Extension, and Education Reform Act of 1998

(P.L. 105-185) contained a provision limiting the federal government’s

responsibility to provide funding to the states for the administrative costs

of the Food Stamp program. UMRA defines cuts in federal funding for

entitlement grant programs such as Food Stamps as mandates if the governments that participate in the program cannot change their financial or

programmatic responsibilities to offset those cuts. Because states have

limited authority to alter their responsibilities under the Food Stamp program, CBO determined that the funding cuts in that law constituted a

mandate, with costs estimated to total between $200 million and $300

million a year.

Sixteen (or 38 percent) of the 42 private-sector mandates that CBO identified as

costing more than the statutory threshold became law.

• Seven of those 16 mandates were enacted in the 104th Congress. They

included a tax measure in the welfare reform bill; two health insurance

changes (requirements for insurance portability and minimum maternity

stays); and four economic or social policy measures (immigration reform,

an increase in the minimum wage, welfare reform, and telecommunications

reform). See Table 3 on page 16 for more details about those mandates.
12 CBO’S ACTIVITIES UNDER THE UNFUNDED MANDATES REFORM ACT, 1996-2000 May 2001

• Another seven private-sector mandates with costs over the threshold were

enacted by the 105th Congress. Five of them involved taxes: a reinstatement of the airline ticket tax, a reinstatement of excise taxes related to

federal surface transportation programs, revenue provisions in budget

reconciliation bills, and revenue provisions in both the Taxpayer Relief Act

of 1998 and the Internal Revenue Service Restructuring and Reform Act of

1998 (used to offset reductions in revenues elsewhere in those acts). The

other two mandates—an increase in federal workers’ required contributions

to retirement programs and new Medicare requirements for private health

insurers—were contained in budget reconciliation bills. 

• In the 106th Congress, only two mandates reviewed by CBO with estimated

costs above the threshold were enacted. One was the revenue-raising

provisions in the Taxpayer Relief and Tax Extenders Act, and the other

changed the method by which minimum prices for milk are set in various

regions of the country (enacted in the Fiscal Year 2000 Consolidated

Appropriations Act, P.L. 106-113).

How many significant mandates were amended before

enactment to bring their costs

below the thresholds?

Four intergovernmental and five private-sector mandates that CBO identified as

costing more than the thresholds when they were approved by authorizing committees were amended before enactment to reduce their costs below the threshold.

In many of those cases, it was clear that information provided by CBO played a

role in the Congress’s decision to lower costs.

For example, beginning in 1997, CBO reviewed a number of bills, all called the

Internet Tax Freedom Act, that dealt with taxes related to the Internet. The bills

would have prohibited the collection of some state and local taxes for a specific

period, and CBO determined that all of them would have imposed an intergovernmental mandate as defined by UMRA. Because the different versions of the

tax moratorium varied in terms of scope and approach, CBO’s estimates of the

revenue losses to states and localities also varied.

For one early version of the proposal (H.R. 1054, as approved by the Subcommittee on Telecommunications, Trade, and Consumer Protection of the House

Committee on Commerce on October 9, 1997), CBO estimated that the direct

costs of the bill’s mandate would have exceeded the threshold for intergovernmental mandates. H.R. 1054 would have prohibited certain taxes that states and

localities were levying on Internet-related communications, transactions, and

services. It was clear that at least one significant source of state revenues—taxes

on Internet access services and on-line services—would have been affected, and

several others might have been affected. For that reason, CBO estimated that the

prohibition would have caused revenue losses exceeding the statutory threshold

at some point during its first five years.

The version of the Internet Tax Freedom Act that was finally enacted (on October

19, 1998, as part of the Omnibus Appropriation Act, P.L. 105-277) was narrower in scope and allowed states that were currently collecting a sales tax on

Internet access to continue doing so. Thus, CBO estimated that the law would

not cause revenue losses exceeding the threshold.
CHAPTER TWO CBO’S ACTIVITIES UNDER UMRA, 1996-2000 13

In the private-sector arena, the House version of the 1996 farm bill contained

provisions that would have required milk sold for fluid uses to contain greater

amounts of nonfat solids than required under law at that time and would have

locked in higher fluid-milk prices under the Milk Marketing Order System. CBO

found the costs of such restrictions to be well over the annual threshold for

private-sector mandates. The final version of the farm bill (the Federal Agriculture Improvement and Reform Act of 1996, P.L. 104-127) was amended to

remove the provisions imposing the higher fluid-milk standards.

In another private-sector case, the financial services reform bill (as reported by

the House Banking Committee in 1998) contained a mandate that would have

restricted the investment activities of Federal Home Loan Banks. CBO estimated

that the restriction would have cost those institutions more than $100 million

annually by its third year. The provisions restricting such investments were taken

out of the bill in all later versions considered by the Congress, including the one

eventually enacted in the Gramm-Leach-Bliley Act of 1999 (P.L. 106-102).

Tables 2 and 3 provide additional information about the mandates considered

during the 1996-2000 period that were amended before enactment to bring their

costs below the thresholds.

What about bills with “other”

costs that are not the result of

intergovernmental mandates?

Roughly 10 percent of the bills that CBO reviewed in the past five years

contained provisions that would have produced additional costs for state, local,

or tribal governments that were not the result of mandates as defined by UMRA.

In CBO’s estimation, the majority of the bills—primarily those dealing with

conditions for receiving federal aid or participating in a voluntary federal program—would not have had a significant net effect on the budgets of those

governments. When such an effect is expected to be significant, CBO provides

information about it in the cost estimate accompanying the bill.
14 CBO’S ACTIVITIES UNDER THE UNFUNDED MANDATES REFORM ACT, 1996-2000 May 2001

Table 2.

Status of Intergovernmental Mandates That Exceed the Statutory Thresholds, 1996-2000

Topic Mandate

Was a

Version

Enacted

into Law?

Did the

Enacted

Version Exceed

the Threshold?a

104th Congress, Second Session (1996)

Health Insurance Reform Requires mental health parity in insurance

plans

Yes Nob

Immigration Reform Requires Social Security numbers on driver’s

licenses

Yes Noc

Minimum Wage Increases the minimum wage paid by

employers covered under the Fair Labor

Standards Act

Yes Yes

(P.L. 104-188)

Occupational Safety and Health Applies OSHA requirements to state and local

workplaces

No n.a.

Securities Regulatory Reform Preempts state securities fees Yes Nod

105th Congress (1997-1998)

Agricultural Research Caps federal contribution for Food Stamp

administration

Yes Yes

(P.L. 105-185)

Airport Runway Safety Requires upgrades to runway safety equipment No n.a.

Internet Gambling Prohibits gambling over the Internet, including

some forms of state lotteries

No n.a.

Internet Tax Freedom Prohibits certain Internet-related taxes Yes Noe

Minimum Wage Increases the minimum wage paid by

employers covered under the Fair Labor

Standards Act

No n.a.

National Tobacco Policy Imposes requirement on states regarding

tobacco settlements

No n.a.

Nuclear Waste Policy Accelerates payment of fees owed by the state

of New York

No n.a.

106th Congress (1999-2000)

Health Information Confidentiality Preempts health privacy laws and imposes new

requirements on entities handling patients’

health records

No n.a.

Internet Gambling Prohibits gambling over the Internet, including

certain tribal casino games

No n.a.

Internet Tax Moratorium Extends and expands prohibitions on certain

Internet-related taxes

No n.a.

(Continued)
CHAPTER TWO CBO’S ACTIVITIES UNDER UMRA, 1996-2000 15

Table 2.

Continued

Topic Mandate

Was a

Version

Enacted

into Law?

Did the

Enacted

Version Exceed

the Threshold?a

106th Congress (1999-2000), Continued

Minimum Wage Increases the minimum wage paid by

employers covered under the Fair Labor

Standards Act

No n.a.

Social Security Protections Restricts the use of Social Security numbers No n.a.

SOURCE: Congressional Budget Office.

NOTES: Mandates in this table are those identified by the Congressional Budget Office when a bill was reported by an authorizing or conference

committee or when CBO was asked to do a formal review. Because more than one bill can contain the same mandate, the 32 bills with

intergovernmental mandates above the threshold contained 17 separate mandates.

P.L. = public law; OSHA = Occupational Safety and Health Administration; n.a. = not applicable.

a. The thresholds, which are adjusted annually for inflation, were $50 million for intergovernmental mandates and $100 million for private-sector

mandates in 1996. They rose to $55 million and $109 million, respectively, in 2000.

b. The original version required parity for all aspects of mental health care coverage, including limits on lifetime and annual expenditures, copayments,

deductibles, and restrictions on the number of visits to health care providers. The enacted version delayed implementation until January 1, 1998,

and required parity only for lifetime and annual expenditures.

c. The original version required driver’s licenses to include Social Security numbers by October 1, 1997, and would have resulted in a large influx of

people seeking early renewals. The enacted version allows states to implement the new requirements over an extended period of time, thereby

eliminating the influx of renewals and significantly reducing the costs.

d. The original version preempted state requirements for registering securities, including the collection of certain fees. The enacted version limited

the scope of that preemption, allowing states to continue to collect certain fees for three years or until they change their securities laws.

e. Early versions prohibited sales taxes on Internet access services. The enacted version allowed states that were currently collecting a sales tax on

Internet access to continue doing so.
16 CBO’S ACTIVITIES UNDER THE UNFUNDED MANDATES REFORM ACT, 1996-2000 May 2001

Table 3.

Status of Private-Sector Mandates That Exceed the Statutory Thresholds, 1996-2000

Topic Mandate

Was a

Version

Enacted

into Law?

Did the

Enacted

Version Exceed

the Threshold?a

104th Congress, Second Session (1996)

Farm Bill Imposes fees and other requirements on dairy farmers Yes Nob

Health Insurance Reform

(Maternity stay)

Requires certain health plans to provide for minimumlength maternity stays

Yes Yes

(P.L. 104-204)

Health Insurance Reform

(Portability)

Requires health insurers to improve portability and

continuity of health insurance coverage

Yes Yes

(P.L. 104-191)

Immigration Reform Imposes requirements on sponsors of immigrants Yes Yes

(P.L. 104-208)

Minimum Wage Increases the minimum wage paid by employers

covered under the Fair Labor Standards Act

Yes Yes

(P.L. 104-188)

Nuclear Waste Policy Accelerates the payment of certain fees by private

nuclear utilities

No n.a.

Small Business Job Protection Imposes miscellaneous tax provisions Yes Yes

(P.L. 104-188)

Sports Franchises Imposes requirements on franchise owners and

leagues

No n.a.

Telecommunications Reform Requires carriers to provide interconnection and

universal service and to block certain programs

Yes Yes

(P.L. 104-104)

Welfare Reform Revises provisions for the earned income tax credit

and imposes requirements on sponsors of immigrants

Yes Yes

(P.L. 104-193)

105th Congress (1997-1998)

Airport and Airway Trust Fund Reinstates airline ticket tax Yes Yes

(P.L. 105-2)

Bankruptcy Reform Changes procedures for administering bankruptcy

estates

No n.a.

Biomedical Research Prohibits manufacture of certain drugs No n.a.

Budget Reconciliation

(Medicare)

Imposes requirements on private health insurance

providers

Yes Yes

(P.L. 105-33)

Budget Reconciliation 

(Federal employee retirement)

Increases required contributions for retirement Yes Yes

(P.L. 105-33)

Budget Reconciliation

(Revenue)

Establishes several revenue-raising provisions Yes Yes

(P.L. 105-34)

(Continued)
CHAPTER TWO CBO’S ACTIVITIES UNDER UMRA, 1996-2000 17

Table 3. 

Continued

Topic Mandate

Was a

Version

Enacted 

into Law?

Did the

Enacted

Version Exceed

the Threshold?a

105th Congress (1997-1998), Continued

Campaign Finance Reform Changes procedures for collection and use of

campaign contributions

No n.a.

Caribbean Trade Changes deduction for accrued severance pay (tax

provision)

No n.a.

China’s Normal Trade

Relations

Increases tariff rates on importers of Chinese goods No n.a.

Encryption Establishes controls on decryption technology No n.a.

Financial Services Reform Restricts investment activities of Federal Home Loan

Banks

Yesc No

Internal Revenue Service

Restructuring and Reform

Changes deduction for accrued vacation pay and

several other revenue-raising provisions

Yes Yes

(P.L. 105-206)

Internet Gambling Prohibits gambling over the Internet and other

interactive computer systems

No n.a.

Minimum Wage Increases minimum wage paid by employers covered

under the Fair Labor Standards Act

No n.a.

National Tobacco Policy Sets fees and other requirements on tobacco

manufacturers, distributors, retailers, and importers

No n.a.

Nuclear Waste Policy Accelerates the payment of certain fees No n.a.

Patient Protection/

Patients’ Bill of Rights

Imposes new requirements on managed health care

and other forms of health insurance

Oned

provision

No

Reauthorization of Federal

Surface Transportation

Programs

Establishes excise tax provisions Yes Yes

(P.L. 105-178)

Taxpayer Relief Establishes revenue-raising provisions Onee

provision

Yes

(P.L. 105-277)

106th Congress (1999-2000)

Bankruptcy Reform Changes procedures for administering bankruptcy

estates

Nof n.a.

Caribbean Trade Limits prefunding of certain employee benefits No n.a.

China’s Normal Trade

Relations

Increases tariff rates on importers of Chinese goods No n.a.

(Continued)
18 CBO’S ACTIVITIES UNDER THE UNFUNDED MANDATES REFORM ACT, 1996-2000 May 2001

Table 3.

Continued

Topic Mandate

Was a

Version

Enacted 

into Law?

Did the

Enacted

Version Exceed

the Threshold?a

106th Congress (1999-2000), Continued

Health Information

Confidentiality

Imposes new requirements on the use and disclosure

of personal health information

No n.a.

Milk Price Structure Changes the method by which minimum prices are

established for fluid milk in different regions of the

country

Yes Yes

(P.L. 106-113)

Minimum Wage Increases the minimum wage paid by employers

covered under the Fair Labor Standards Act

No n.a.

Patients’ Bill of Rights Imposes new requirements on group- and employersponsored health plans and on health insurance

issuers

No n.a.

Relief for Technology Workers Imposes minimum wage and additional requirements

on employers of H-1B workers

Yesg No

Small Business Mergers Raises the threshold and fees for firms that file for

mergers

No n.a.

Social Security Privacy Prohibits certain commercial uses of Social Security

numbers

No n.a.

Steel Imports Limits the volume of imported steel products No n.a.

Taxpayer Relief and Tax

Extenders

Changes or imposes taxes to raise revenues to offset

costs imposed by other provisions in a bill

Yesh Yes

(P.L. 106-170)

Work Incentives Improvement Changes or imposes taxes to raise revenues to offset

costs imposed by other provisions in a bill

Yesi No

SOURCE: Congressional Budget Office.

NOTES: Mandates in this table are those identified by the Congressional Budget Office when a bill was reported by an authorizing or conference

committee or when CBO was asked to do a formal review. Because more than one bill can contain the same mandate, the 100 bills with

private-sector mandates above the threshold contained 42 separate mandates. In some cases, more than one formal CBO statement was

issued for each mandate topic. 

P.L. = public law; n.a. = not applicable; H-1B workers are skilled foreigners admitted temporarily to the United States to work for U.S.

employers.

a. The thresholds, which are adjusted annually for inflation, were $50 million for intergovernmental mandates and $100 million for private-sector

mandates in 1996. They rose to $55 million and $109 million, respectively, in 2000.

b. The mandate would have required milk sold for fluid uses to contain greater amounts of nonfat solids than are now required. Such a mandate would

have locked in higher fluid-milk prices, imposing costs on dairy processors and manufacturers. The enacted version of the farm bill did not contain

the higher fluid-milk standards.

c. Several provisions of the financial services legislation that passed were enacted in the Gramm-Leach-Bliley Act of 1999. The mandate on Federal

Home Loan Banks was not enacted.

(Continued)
CHAPTER TWO CBO’S ACTIVITIES UNDER UMRA, 1996-2000 19

Table 3.

Continued

d. The Omnibus Consolidated and Emergency Supplemental Appropriations Act (P.L. 105-277) contains a provision requiring some health plans

to pay for reconstructive surgery following mastectomies.

e. The Omnibus Consolidated and Emergency Supplemental Appropriations Act (P.L. 105-277) contains a provision that changes the tax treatment

of distributions from regulated investment companies and real estate investment trusts.

f. The Congress passed H.R. 2415, the Bankruptcy Reform Act of 2000, in December 2000. The President withheld his approval of the act, the

Congress adjourned sine die, and the bill was “pocket” vetoed.

g. Separate legislation to increase a fee paid by employers who petition for the employment of H-1B workers from $500 to $1,000 (P.L. 106-311) was

enacted in 2000. The requirement to pay H-1B workers a minimum wage did not pass.

h. Ten tax provisions that were mandates in other bills passed in the Ticket to Work and Work Incentives Improvement Act of 1999. The three largest

of those mandates repeal the installment method for most taxpayers using the accrual basis, change the treatment of income and services provided

by taxable subsidiaries of real estate investment trusts, and prevent the conversion of ordinary income or short-term capital gains into income eligible

for long-term capital gains tax rates.

i. Portions of the bill passed in the Ticket to Work and Work Incentives Improvement Act of 1999 but not the tax mandates.

Appendix A

An Assessment of UMRA in 2000

This appendix summarizes the Congressional

Budget Office’s activities under title I of the

Unfunded Mandates Reform Act during 2000—

its fifth year of providing information about federal

mandates to the Congress. The information updates

CBO’s four previous annual reports on UMRA.1

In all, CBO reviewed more than 700 bills and

other legislative proposals in 2000 to determine whether

they included federal mandates (see Table A-1). About

11 percent of those bills (or 77) had intergovernmental

mandates, and less than 0.5 percent (three bills) had

such mandates with costs that would exceed the threshold ($55 million a year in 2000 dollars). CBO also

found private-sector mandates in about 12 percent of

the bills and amendments that it examined; almost

1 percent (six bills) had costs over the $109 million

annual threshold (in 2000 dollars) for such mandates.

(Tables A-2 and A-3 list all of the bills examined by

CBO in 2000 that contained mandates.) 

No intergovernmental mandates, and only two

private-sector mandates, with costs above the threshold

were enacted into law in 2000. One of the privatesector mandates comprised the revenue-raising provisions in the Taxpayer Relief and Tax Extenders Act

(P.L. 106-170). That law adjusts certain taxes to raise

revenues in order to offset costs imposed by other

provisions of the law. The second mandate alters the

method by which minimum prices are set for fluid milk

in various regions of the country. It was enacted in the

Fiscal Year 2000 Consolidated Appropriations Act

(P.L. 106-113).

In addition, CBO identified about 75 bills last

year containing provisions that would have resulted in

other costs to state, local, or tribal governments—costs

that were not the result of mandates as defined by

UMRA. As in previous years, most of those provisions

dealt with conditions for receiving federal aid or

participating in a voluntary federal program. In such

cases, state, local, and tribal governments are subject to

the conditions imposed by the federal government only

if they choose to participate in the program or accept

federal funds. 

Bills with some of the most significant of those

other costs involved the Medicaid program. For example, CBO reviewed a provision in H.R. 4577, the

Medicare Outpatient Drug Act of 2000, that would

establish a voluntary outpatient prescription drug benefit for Medicare beneficiaries (some of whose benefits

are paid by Medicaid) beginning in 2003. CBO estimated that because states share the costs of Medicaid,

state spending for that program would increase by

about $1 billion over a five-year period. Such costs

would result from additional administrative expenses,

higher drug costs, and, in particular, higher enrollment

rates among low-income beneficiaries. 

1. Congressional Budget Office, An Assessment of the Unfunded Mandates Reform Act in 1999 (March 2000), An

Assessment of the Unfunded Mandates Reform Act in 1998

(February 1999), An Assessment of the Unfunded Mandates

Reform Act in 1997 (February 1998), and The Experience of

the Congressional Budget Office During the First Year of the

Unfunded Mandates Reform Act (January 1997).
22 CBO’S ACTIVITIES UNDER THE UNFUNDED MANDATES REFORM ACT, 1996-2000 May 2001

Table A-1.

Number of CBO Mandate Statements for Bills, Proposed Amendments, and Conference Reports in 2000

Intergovernmental

Mandates

Private-Sector

Mandates

Total Number of Statements Transmitted 706 697

Number of Statements That Identified Mandates 77 86

Mandate costs would exceed thresholda 3 6

Mandate costs could not be estimated 1 7

SOURCE: Congressional Budget Office.

NOTE: The numbers in this table represent official mandate statements transmitted to the Congress by CBO. CBO prepared more intergovernmental

mandate statements than private-sector mandate statements because in some cases it was asked to review a specific bill, amendment, or

conference report solely for intergovernmental mandates. In those cases, no private-sector analysis was transmitted to the requesting Member

or committee. CBO also completed a number of preliminary reviews and informal estimates for other legislative proposals that are not included

in this table. Mandate statements may cover more than one mandate provision, and occasionally, more than one formal CBO statement is

issued for each mandate topic.

a. The thresholds, which are adjusted annually for inflation, were $55 million for intergovernmental mandates and $109 million for private-sector

mandates in 2000.

Of the 410 public laws enacted in 2000, about 7

percent (30 laws) contained an intergovernmental mandate as UMRA defines it (see Table A-4). By CBO’s

estimate, none of those mandates will impose annual

costs on state, local, or tribal governments that exceed

the thresholds. Ten of the laws enacted in 2000 contained intergovernmental mandates that CBO had not

reviewed at some point during the legislative process.

In none of those cases, however, does CBO estimate

that the costs of the mandates will be significant.
APPENDIX A AN ASSESSMENT OF UMRA IN 2000 23

Table A-2.

Bills Reviewed by the Congressional Budget Office in 2000 That Contained Intergovernmental Mandates

Bill Number

(Committee) Name Mandate

Intergovernmental Mandates with Costs Exceeding the Statutory Threshold

Proposal Minimum wage proposal Requires public employers to pay higher

minimum wage rates

H.R. 3709 Internet Nondiscrimination Act of 2000 Extends and expands moratorium on taxing

Internet access

H.R. 4857 Social Security Number Privacy and Identity

Theft Prevention Act of 2000

Prohibits use, display, and sale of Social

Security numbers

Intergovernmental Mandates with Costs Below the Statutory Threshold

Proposal Military-Retiree Access to Comprehensive

Healthcare Act

Requires medigap coverage for military retirees

H.R. 940 

(Senate)

Lackawanna Valley National Heritage Area Act

of 2000

Requires a public authority to complete a plan

and implement a program

H.R. 1124 Fort Peck Reservation Rural Water System Act

of 2000

Requires a tribal government to complete a

conservation plan

H.R. 1293 A bill to amend title 46, United States Code, 

to provide equitable treatment with respect to

state and local income taxes for certain

individuals who perform duties on vessels

Prohibits taxing certain income from vessel

workers

H.R. 1304

(As introduced)

Quality Health Care Coalition Act Preempts state antitrust laws governing

collective bargaining by health professionals

H.R. 1304

(Judiciary)

Quality Health Care Coalition Act Preempts state antitrust laws governing

collective bargaining by health professionals

H.R. 1689 A bill to prohibit states from imposing

restrictions on the operation of motor vehicles

providing limousine service between a place in

a state and a place in another state, and for

other purposes

Prohibits state and local governments from

restricting some interstate limousine services

H.R. 1776 American Homeownership and Economic

Opportunity Act of 2000

Preempts state authorities from setting

standards for manufactured housing

H.R. 1954 Rental Fairness Act of 1999 Preempts some state liability laws

H.R. 2130 Hillory J. Farias and Samantha Reid 

Date-Rape Drug Prohibition Act of 1999

Restricts the use of certain controlled

substances by public hospitals

H.R. 2166 Bear Protection Act of 1999 Prohibits state and local governments from

trading in bear parts

H.R. 2260 Pain Relief Promotion Act of 2000 Preempts Oregon law on assisted suicide 

(Continued)
24 CBO’S ACTIVITIES UNDER THE UNFUNDED MANDATES REFORM ACT, 1996-2000 May 2001

Table A-2.

Continued

Bill Number

(Committee) Name Mandate

Intergovernmental Mandates with Costs Below the Statutory Threshold (Continued)

H.R. 2366 Small Business Liability Reform Act of 2000 Preempts some state liability laws

H.R. 2592 A bill to amend the Consumer Products Safety

Act to provide that low-speed electric bicycles

are consumer products subject to such act

Preempts state laws regulating electric bikes that

are more stringent than federal laws

H.R. 2764 America’s Private Investment Companies Act Preempts state bankruptcy laws

H.R. 2848 New Markets Initiative Act of 1999 Preempts state bankruptcy laws regarding

ownership of certain debentures

H.R. 2987 Methamphetamine and Club Drug AntiProliferation Act of 2000

Preempts a state’s ability to preclude the

distribution of certain drugs for detoxification

treatment

H.R. 3011 Truth in Telephone Billing Act of 1999 Requires public telecommunications carriers to

include information about assessments on their

bills

H.R. 3100 Know Your Caller Act of 2000 Preempts certain provisions of state

telemarketing laws

H.R. 3113 Unsolicited Commercial Electronic Mail Act 

of 2000

Preempts some state and local laws regarding

“spam” e-mails and certain state liability laws

H.R. 3125 Internet Gambling Prohibition Act of 2000 Preempts state liability laws and prohibits some

state lottery activities

H.R. 3244 Trafficking Victims Protection Act of 2000 Preempts state forfeiture laws in cases involving

victims of trafficking

H.R. 3439 Radio Broadcasting Preservation Act of 2000 Invalidates some low-power FM radio licenses

H.R. 3485 Justice for Victims of Terrorism Act Preempts state limits on certain damage awards

H.R. 3575 Student Athlete Protection Act Prohibits states from allowing wagering on

amateur sports

H.R. 3886 International Counter-Money Laundering and

Foreign Anticorruption Act of 2000

Imposes new requirements on state and local

agencies regarding reporting and disclosure of

certain financial information

H.R. 3995

(Government

Reform)

District of Columbia Receivership

Accountability Act of 2000

Requires court-administered departments in the

District of Columbia to adopt certain management practices

(Continued)
APPENDIX A AN ASSESSMENT OF UMRA IN 2000 25

Table A-2.

Continued

Bill Number

(Committee) Name Mandate

Intergovernmental Mandates with Costs Below the Statutory Threshold (Continued)

H.R. 3995

(Senate Governmental Affairs)

District of Columbia Receivership

Accountability Act of 2000

Requires court-appointed receivers in the District

of Columbia to adopt certain management

practices

H.R. 4030 Enhancement of Military Benefits Act Requires insurers to issue medigap coverage to

some Medicare enrollees

H.R. 4040 Long-Term Care Security Act Preempts state insurance laws when the federal

government contracts for health care

H.R. 4049 Privacy Commission Act Requires state and local governments to comply

with subpoenas

H.R. 4163 Taxpayer Bill of Rights 2000 Requires state contractors to comply with

confidentiality safeguards

H.R. 4205

(Armed Services)

National Defense Authorization Act for Fiscal

Year 2001

Preempts state laws governing wills, requires

recipients of equipment to demilitarize it, and

requires insurers to issue medigap coverage in

certain cases

H.R. 4205

(Armed Services)

Amendment to H.R. 4205, the National

Defense Authorization Act for Fiscal Year 2001

Requires insurers to issue medigap coverage to

some Medicare enrollees

H.R. 4205 National Defense Authorization Act for Fiscal

Year 2001 (Comparison of two proposals)

Requires insurers to issue medigap coverage to

some Medicare enrollees

H.R. 4227 Technology Worker Temporary Relief Act Imposes new requirements and fees on certain

state and local agencies that employ workers

holding H-1B visas

H.R. 4387 A bill to provide that the School Governance

Charter Amendment Act of 2000 shall take

effect upon the date such act is ratified by the

voters of the District of Columbia

Preempts the Charter of the District of Columbia

to allow an amendment to take effect

immediately

H.R. 4391 Mobile Telecommunications Sourcing Act Preempts state and local authority to decide

what jurisdiction can tax mobile

telecommunications services

H.R. 4504 Higher Education Technical Amendments of

2000

Preempts state laws governing secured

transactions

H.R. 4530 New Markets Venture Capital Program Act of

2000

Preempts state law regarding ownership of

certain debentures

H.R. 4541

(Agriculture)

Commodity Futures Modernization Act of 2000 Preempts state commodities laws

(Continued)
26 CBO’S ACTIVITIES UNDER THE UNFUNDED MANDATES REFORM ACT, 1996-2000 May 2001

Table A-2.

Continued

Bill Number

(Committee) Name Mandate

Intergovernmental Mandates with Costs Below the Statutory Threshold (Continued)

H.R. 4541 

(Banking and

Finance)

Commodity Futures Modernization Act of 2000 Preempts state laws affecting certain bankruptcy

proceedings

H.R. 4541

(Commerce)

Commodity Futures Modernization Act of 2000 Preempts state privacy and commodities laws

H.R. 4807 Ryan White CARE Act Amendments of 2000 Requires states to implement recommendations

by the Institute of Medicine for increasing routine

testing of pregnant women and newborns for

HIV

H.R. 5018 Electronic Communications Privacy Act of

2000

Requires courts and law enforcement agencies

to monitor certain electronic communications

S. 613 Indian Tribal Economic Development and

Contract Encouragement Act of 1999

Requires tribes to submit some contracts for

federal approval

S. 624 Fort Peck Reservation Rural Water System Act

of 2000

Requires a tribal government to complete a

conservation plan

S. 876 Children’s Protection from Violent

Programming Act

Prohibits the broadcasting of certain violent

programming on public television stations

S. 893 A bill to amend title 46, United States Code, 

to provide equitable treatment with respect to

state and local income taxes for certain

individuals who perform duties on vessels 

Prohibits taxing certain income from vessel

workers

S. 1109 Bear Protection Act of 1999 Prohibits state and local governments from

trading in bear parts

S. 1155 National Uniformity for Food Act of 2000 Preempts state labeling laws

S. 1452 Manufactured Housing Improvement Act Preempts state authority to set standards for

manufactured housing

S. 1536 Older Americans Act Amendments of 2000 Requires states to provide certain legal

assistance for the elderly

S. 1594

(Small Business)

Community Development and Venture Capital

Act of 2000

Preempts state laws limiting some ownership

rights

S. 1594

(Small Business)

Amendments to S. 1594, Community

Development and Venture Capital Act of 2000

Preempts state laws limiting some ownership

rights

S. 1694 Hawaii Water Resources Reclamation Act 

of 2000

Requires state of Hawaii to share the cost of a

study

(Continued)
APPENDIX A AN ASSESSMENT OF UMRA IN 2000 27

Table A-2.

Continued

Bill Number

(Committee) Name Mandate

Intergovernmental Mandates with Costs Below the Statutory Threshold (Continued)

S. 1755 Small Business Reauthorization Act of 2000 Preempts state and local authority to decide

what jurisdiction can tax mobile

telecommunications services

S. 1929 Native Hawaiian Health Care Improvement Act

Reauthorization of 1999

Requires state of Hawaii to consult with Native

Hawaiian health organizations when making

policy or initiating new programs

S. 2029 Know Your Caller Act of 2000 Preempts certain provisions of state

telemarketing laws

S. 2045 American Competitiveness in the Twenty-First

Century Act of 2000

Requires employers to pay a $500 fee to hire

workers holding H1-B visas

S. 2071 Electric Reliability 2000 Act Imposes requirements on public utilities

S. 2087 Military Health Care Improvements Act of 2000 Requires insurers to issue medigap coverage to

some Medicare enrollees

S. 2107 Competitive Market Supervision Act Preempts state securities laws; imposes new

filing and fee requirements

S. 2340 Amateur Sports Integrity Act Prohibits states from allowing wagering on

amateur sports

S. 2382 Technical Assistance, Trade Promotion, and

Anti-Corruption Act of 2000

Prohibits public entities from transacting certain

business with Serbia and the government of

Yugoslavia

S. 2420 Long-Term Care Security Act and Federal

Erroneous Retirement Coverage Corrections

Act

Preempts some state and local laws that govern

long-term care coverage and benefits; requires

the District of Columbia to correct certain errors

associated with the enrollment of employees in

federal retirement plans

S. 2438 Pipeline Safety Improvement Act of 2000 Imposes new requirements and fees on publicly

owned natural gas pipelines

S. 2440 Airport Security Improvement Act of 2000 Requires airport owners and operators to

improve security

S. 2549 National Defense Authorization Act for Fiscal

Year 2001

Requires insurers to issue medigap coverage in

certain cases, preempts state law governing

wills, requires schools to provide access to

military recruiters, and expands existing

mandate governing access to criminal justice

information

(Continued)
28 CBO’S ACTIVITIES UNDER THE UNFUNDED MANDATES REFORM ACT, 1996-2000 May 2001

Table A-2.

Continued

Bill Number

(Committee) Name Mandate

Intergovernmental Mandates with Costs Below the Statutory Threshold (Continued)

S. 2686 A bill to amend chapter 36 of title 39, United

States Code, to modify rates relating to reduced rate mail matter, and for other purposes

Requires public entities to pay higher postage

rates for some mail

S. 2697 Commodity Futures Modernization Act of 2000 Preempts certain state commodity laws

S. 2920 Indian Gaming Regulatory Improvement Act of

2000

Requires tribal governments to conduct

background checks of some tribal employees

S. 3121 Small Business Reauthorization Act of 2000 Preempts state laws governing statutes of

limitation

Intergovernmental Mandates with Costs That Could Not Be Estimated

H.R. 4680 Medicare Rx 2000 Act Preempts certain state regulations and taxes on

premiums

SOURCE: Congressional Budget Office.

NOTE: The threshold for intergovernmental mandates, which is adjusted annually for inflation, was $55 million in 2000.
APPENDIX A AN ASSESSMENT OF UMRA IN 2000 29

Table A-3.

Bills Reviewed by the Congressional Budget Office in 2000 That Contained Private-Sector Mandates

Bill Number

(Committee) Name Mandate

Private-Sector Mandates with Costs Exceeding the Statutory Threshold

Proposal 

(House Budget)

Minimum wage proposal letter to Chairman

Kasich

Requires private and public employers to pay

higher minimum wage rates than they do under

current law

H.J. Res. 103 Joint resolution disapproving the extension of

the waiver authority contained in section

402(c) of the Trade Act of 1974 with respect to

the People’s Republic of China

Increases tariff rates for importers of goods from

the People’s Republic of China

H.R. 984 Caribbean and Central America Relief and

Economic Stabilization Act

Amends the Internal Revenue Code to limit

prefunding of certain employee benefits

H.R. 4194 Small Business Merger Filing and Fee

Elimination Act of 2000

Increases fees for some businesses that wish to

merge with or acquire another business

H.R. 4227 Technology Worker Temporary Relief Act Requires employers of H-1B visa holders to pay

new fees and observe minimum salary

conditions for those workers

H.R. 4857 Social Security Number Privacy and Identity

Theft Prevention Act of 2000

Prohibits the buying or selling of Social Security

numbers and prohibits firms from refusing to do

business with someone who does not provide a

Social Security number

Private-Sector Mandates with Costs Below the Statutory Threshold

Proposal Military-Retiree Access to Comprehensive

Healthcare Act (MATCH Act)

Requires medigap coverage for military retirees

H.R. 534 Motor Vehicle Franchise Contract Arbitration

Fairness Act of 2000

Prohibits certain arbitration conditions in

contracts between car manufacturers and car

dealers

H.R. 940

(Senate)

Lackawanna Valley National Heritage Area Act

of 2000

Requires the Schuylkill River Greenway

Association to develop management plans for

the heritage areas

H.R. 1064 Serbia Democratization Act of 2000 Prohibits certain transactions with people or

entities associated with Serbia and the

government of Yugoslavia

H.R. 1102

(Senate)

Retirement Security and Savings Act of 2000 Prohibits allocations of stock in an employee

stock ownership plan of a subchapter S

corporation

H.R. 1161 Financial Contract Netting Improvement Act 

of 2000

Requires insured depository institutions to keep

more detailed records for certain financial

contracts under banking and bankruptcy

insolvency laws

(Continued)
30 CBO’S ACTIVITIES UNDER THE UNFUNDED MANDATES REFORM ACT, 1996-2000 May 2001

Table A-3.

Continued

Bill Number

(Committee) Name Mandate

Private-Sector Mandates with Costs Below the Statutory Threshold (Continued)

H.R. 1283 Asbestos Compensation Act of 2000 Requires individuals filing new claims for

compensation for injuries caused by exposure to

asbestos, all attorneys representing those

individuals, and businesses named as

defendants by such individuals to participate in a

new process 

H.R. 1349 Federal Prisoner Health Care Copayment Act

of 2000

Requires federal prisoners to make copayments

for some health care visits

H.R. 1651 

(Senate)

Fisherman’s Protective Act Amendments 

of 1999 

Prohibits operators of certain vessels that hold

federal boat permits from using aircraft to locate,

catch, retain, or possess Atlantic bluefin tuna

H.R. 2166 Bear Protection Act of 1999 Prohibits the importation, exportation, and

interstate trade of bear parts

H.R. 2260 

(Senate)

Pain Relief Promotion Act of 2000 Prohibits physicians registered to prescribe or

administer federally controlled substances from

using such substances in physician-assisted

suicides

H.R. 2833 Yuma Crossing National Heritage Area Act 

of 2000

Requires the Yuma Crossing National Heritage

Area Board of Directors to develop a management plan for the heritage area and conduct

public meetings

H.R. 2987 Methamphetamine and Club Drug AntiProliferation Act of 2000

Prohibits the selling or transportation of certain

items intended or designed for use in the

manufacture of methamphetamines (such as

speed) or for the introduction of such drugs into

the human body

H.R. 3011 Truth in Telephone Billing Act of 1999 Requires telecommunications carriers to include

certain information about government assessments on consumers’ telephone bills; prohibits

telecommunication carriers from collecting

excess charges as government assessments

H.R. 3100 Know Your Caller Act of 2000 Requires commercial telephone solicitors to

transmit specific information about the caller;

prohibits such solicitors from using a person’s

name and telephone number for marketing

purposes when requested

H.R. 3113 Unsolicited Commercial Electronic Mail Act 

of 2000

Requires all unsolicited commercial electronic

mail to be identified as such, to explain how the

consumer could stop receiving such e-mail, and

to contain accurate information about the

senders and how to contact them

(Continued)
APPENDIX A AN ASSESSMENT OF UMRA IN 2000 31

Table A-3.

Continued

Bill Number

(Committee) Name Mandate

Private-Sector Mandates with Costs Below the Statutory Threshold (Continued)

H.R. 3125 Internet Gambling Prohibition Act of 2000 Prohibits certain gambling conducted over the

Internet or an interactive computer service

H.R. 3171 National Health Museum Site Selection Act Requires a nonprofit corporation to make annual

reports to the GSA and the Congress

H.R. 3244

(Judiciary)

Trafficking Victims Protection Act of 2000 Prohibits some transactions involving foreign

people identified as participants in human

trafficking

H.R. 3439 Radio Broadcasting Preservation Act of 2000 Invalidates certain low-power FM radio station

licenses

H.R. 3489

(Commerce)

Wireless Telecommunications Sourcing and

Privacy Act

Expands the FCC’s criteria for certifying

equipment before manufacturers, importers,

sellers, and those who modify scanning

receivers can import or market it 

H.R. 3489

(Judiciary)

Wireless Telecommunications Privacy Act 

of 2000

Expands the FCC’s criteria for certifying

equipment before manufacturers, importers,

sellers, and those who modify scanning

receivers can import or market it 

H.R. 3535 Shark Finning Prohibition Act Prohibits the practice of cutting off sharks’ fins

and discarding the creatures in the ocean

H.R. 3575 Student Athlete Protection Act Prohibits gambling on competitive games

involving amateur athletes, specifically high

school, college, and Olympic athletes

H.R. 3671

(Resources)

Wildlife and Sport Fish Restoration Programs

Improvement Act of 2000

Requires the International Association of Fish

and Wildlife Agencies to prepare and submit

priority lists for projects to be funded by a new

grant program

H.R. 3676 Santa Rosa and San Jacinto Mountains

National Monument Act of 2000

Prohibits commercial air-tour operations over the

national monument

H.R. 3886 International Counter-Money Laundering and

Foreign Anticorruption Act of 2000

Imposes new recordkeeping requirements

regarding the identity, beneficial ownership, and

transaction record of accounts opened and

maintained by foreign financial institutions and

people

H.R. 4030 Enhancement of Military Benefits Act Requires insurers to issue medigap policies to

some Medicare enrollees

H.R. 4049 Privacy Commission Act Requires entities in the private sector, if

subpoenaed, to provide testimony and evidence

related to matters that the privacy commission

investigates

(Continued)
32 CBO’S ACTIVITIES UNDER THE UNFUNDED MANDATES REFORM ACT, 1996-2000 May 2001

Table A-3.

Continued

Bill Number

(Committee) Name Mandate

Private-Sector Mandates with Costs Below the Statutory Threshold (Continued)

H.R. 4205 

(Armed Services)

National Defense Authorization Act for Fiscal

Year 2001

Requires recipients of military equipment to

ensure that the equipment is demilitarized;

requires insurers to issue medigap policies to

some Medicare enrollees

H.R. 4205 

(Armed Services)

Amendment to H.R. 4205, the National

Defense Authorization Act for Fiscal Year 2001

Requires insurers to issue medigap policies to

some Medicare enrollees

H.R. 4205 National Defense Authorization Act for Fiscal

Year 2001 (Comparison of two proposals)

Requires insurers to issue medigap policies to

some Medicare enrollees

H.R. 4251 Congressional Oversight of Nuclear Transfers

to North Korea Act of 2000

Places new restrictions on the export of certain

nuclear-related items to North Korea

H.R. 4541 

(Banking and

Financial Services)

Commodity Futures Modernization and

Financial Contract Netting Improvement Act 

of 2000

Requires registered futures associations to adopt

new rules for their members; authorizes customer protection regulations that apply to sales

practices relating to retail swap transactions

H.R. 4640 DNA Analysis Backlog Elimination Act of 2000 Requires people who have been convicted of

certain federal offenses to submit DNA samples

to federal authorities on demand

H.R. 4680 Medicare Rx 2000 Act Bars medigap insurers from providing coverage

of prescription drug expenses for certain

individuals

H.R. 4717 Full and Fair Political Activity Disclosure Act 

of 2000

Requires some private, nonprofit organizations

to disclose their political expenditures and

contributions to the Internal Revenue Service

H.R. 4721 An act to provide for all right, title, and interest

in and to certain property in Washington

County, Utah, to be vested in the United States

Requires the owner of certain property in the

Red Cliffs Reserve to confer the property to the

federal government

H.R. 4843 Comprehensive Retirement Security and

Pension Reform Act of 2000

Prohibits allocations of stock in an employee

stock ownership plan of a subchapter S

corporation

H.R. 4868 

(Senate Finance)

Miscellaneous Trade and Technical

Corrections Act of 2000

Prohibits commercial activities involving

products that contain cat or dog fur and prohibits

importation of certain foreign-made cigarettes

H.R. 4868 

(Ways and Means)

Miscellaneous Trade and Technical

Corrections Act of 2000

Prohibits commercial activities involving

products that contain cat or dog fur

H.R. 5272 Peace Through Negotiations Act of 2000 Prohibits exports of certain defense-related items

to a unilaterally declared Palestinian state or

related entity

(Continued)
APPENDIX A AN ASSESSMENT OF UMRA IN 2000 33

Table A-3.

Continued

Bill Number

(Committee) Name Mandate

Private-Sector Mandates with Costs Below the Statutory Threshold (Continued)

S. 345 A bill to amend the Animal Welfare Act to

remove the limitation that permits interstate

movement of live birds

Prohibits the interstate movement of live birds

for the purpose of fighting

S. 353 Class Action Fairness Act of 2000 Requires class counsels to make notifications

and disclosures to the attorneys general of all

states in which a class member resides

S. 783 James Guelff Body Armor Act of 2000 Requires some felons to obtain written

certification from their employer indicating that

body armor is necessary to conduct lawful

business activity

S. 1109 Bear Protection Act of 1999 Prohibits the importation, exportation, and

interstate trade of bear parts

S. 1515 Radiation Exposure Compensation Act

Amendments of 1999

Reduces the limit on attorneys’ fees under the

Radiation Exposure Compensation Act

S. 1515 

(House Judiciary)

Radiation Exposure Compensation Act

Amendments of 1999

Reduces the limit on attorneys’ fees under the

Radiation Exposure Compensation Act

S. 1586 Indian Land Consolidation Act Amendments 

of 2000

Implements new eligibility requirements for the

inheritance of fractional interests in Indian trust

and restricted lands

S. 1754 Denying Safe Havens to International and 

War Criminals Act of 1999

Expands the federal courts’ power to compel

testimony in connection with requests for legal

assistance from foreign governments

S. 1854 Hart-Scott-Rodino Antitrust Improvements Act

of 2000

Increases fees for some businesses that wish to

merge with or acquire another business

S. 1898 Interstate Transportation of Dangerous

Criminals Act of 2000

Imposes standards and conditions on

companies that transport violent prisoners from

one state to another

S. 1911 Atlantic Highly Migratory Species Conservation

Act of 1999

Prohibits certain longline commercial fishing in

parts of the Atlantic Ocean; imposes new fees

on swordfish dealers and new requirements on

longline vessels

S. 1950 Powder River Basin Resource Development

Act of 2000

Requires certain resource developers to

participate in a new dispute-resolution process

S. 1998 Yuma Crossing National Heritage Area Act 

of 1999

Requires the Yuma Crossing National Heritage

Area Board of Directors to develop a management plan for the heritage area and to assist

local governments and other organizations in

activities regarding the heritage area

(Continued)
34 CBO’S ACTIVITIES UNDER THE UNFUNDED MANDATES REFORM ACT, 1996-2000 May 2001

Table A-3.

Continued

Bill Number

(Committee) Name Mandate

Private-Sector Mandates with Costs Below the Statutory Threshold (Continued)

S. 2029 Know Your Caller Act of 2000 Requires commercial telephone solicitors to

transmit specific information about the caller;

prohibits such solicitors from using a person’s

name and telephone number for marketing

purposes when requested

S. 2045 American Competitiveness in the Twenty-First

Century Act of 2000

Prohibits “H-1B-dependent” employers from

hiring H-1B visa holders within 90 days of firing

another employee from a similar position

S. 2046 Next Generation Internet 2000 Requires the National Academy of Sciences, a

nonprofit institution, to conduct a study of rural

and low-income Americans’ access to the

Internet

S. 2071 Electric Reliability 2000 Act Requires all users of the bulk power system to

abide by standards set by the private electric

reliability organization and directs that organization and each regional affiliate to assess fees

S. 2087 Military Health Care Improvements Act of 2000 Requires insurers to issue medigap policies to

some Medicare enrollees

S. 2107 Competitive Market Supervision Act Requires each national securities exchange and

national securities association to file monthly

estimates of certain fees with the Securities and

Exchange Commission

S. 2247 Wheeling National Heritage Area Act of 2000 Requires the Wheeling National Heritage Area

Corporation to implement the current

management plan for the area to assist local

governments and other organizations and

imposes specific prohibitions on the acquisition

of property

S. 2340 Amateur Sports Integrity Act Prohibits any wagering on amateur sports and

requires colleges to compile and report gambling

information and policies

S. 2382 Technical Assistance, Trade Promotion, and

Anti-Corruption Act of 2000

Increases the amount of the bond required if

carriers wish to submit forms after the departure

of international cargo and prohibits certain

transactions involving Serbia and the

government of Yugoslavia

S. 2420 Long-Term Care Security Act and Federal

Erroneous Retirement Coverage Corrections

Act

Requires the government of the District of

Columbia and Gallaudet University to correct

errors associated with the enrollment of

employees in federal retirement plans

(Continued)
APPENDIX A AN ASSESSMENT OF UMRA IN 2000 35

Table A-3.

Continued

Bill Number

(Committee) Name Mandate

Private-Sector Mandates with Costs Below the Statutory Threshold (Continued)

S. 2438 Pipeline Safety Improvement Act of 2000 Imposes new requirements on operators of

natural gas and hazardous-liquid pipelines

S. 2440 Airport Security Improvement Act of 2000 Imposes new hiring procedures and training

standards for airport security workers, accelerates FAA requirements, and requires the FAA to

tighten security procedures in specific airports

S. 2549 National Defense Authorization Act for Fiscal

Year 2001

Requires insurers to issue medigap policies to

some Medicare enrollees; requires secondary

schools to provide military recruiters with access

to students and students’ information or to vote

to deny such access

S. 2677 Zimbabwe Democracy Act of 2000 Prohibits certain defense-related exports to

Zimbabwe

S. 2686 A bill to amend chapter 36 of title 39, United

States Code, to modify rates relating to reduced rate mail matter, and for other purposes

Increases postage rates for some types of mail

S. 2697 Commodity Futures Modernization Act of 2000 Requires a registered futures association to

adopt rules for specific people who recommend

a purchase or sale of a futures on a security

S. 2873 A bill to provide all right, title, and interest in

and to certain property in Washington County,

Utah, to be vested in the United States

Requires the owner of certain property in the

Red Cliffs Reserve to confer the property to the

federal government

S. 3001 Grain Standards and Warehouse Improvement

Act of 2000

Extends fees on grain exporters for services

provided by the Federal Grain Inspection Service

Private-Sector Mandates with Costs That Could Not Be Estimated

H.R. 1776 American Homeownership and Economic

Opportunity Act of 2000

Increases fees for builders of manufactured

housing by expanding the activities covered by

those fees

H.R. 4441 Motor Carrier Fuel Cost Equity Act of 2000 Requires motor carriers, brokers, and freight

forwarders to assess a surcharge or other fuel

cost adjustment in any new contract or agreement with shippers and to pass on any fuel

adjustment to independent truckers whom they

hire to transport the freight and who are

responsible for purchasing the fuel

H.R. 4444 An act to authorize the extension of nondiscriminatory treatment (normal trade relations

treatment) to the People’s Republic of China

Broadens the conditions under which the U.S.

government could impose trade restrictions on

imports of Chinese goods that are found to

seriously harm or threaten domestic production

of competing or similar goods

(Continued)
36 CBO’S ACTIVITIES UNDER THE UNFUNDED MANDATES REFORM ACT, 1996-2000 May 2001

Table A-3.

Continued

Bill Number

(Committee) Name Mandate

Private-Sector Mandates with Costs That Could Not Be Estimated (Continued)

H.R. 4541

(Commerce)

Commodity Futures Modernization Act of 2000 Imposes privacy requirements on all people or

entities subject to the jurisdiction of the Commodity Futures Trading Commission; requires

registered futures associations to also become

registered national securities associations

H.R. 4585 Medical Financial Privacy Protection Act Requires financial institutions to obtain

affirmative consent from customers whose

individually identifiable health information they

intend to share with an affiliate or a nonaffiliated

third party; gives customers the right to review,

inspect, and correct such information held by

financial institutions

S. 876 Children’s Protection from Violent

Programming Act

Prohibits the transmission of certain violent

programs to the public during specific hours

unless the programs can be blocked

electronically

S. 1452 Manufactured Housing Improvement Act Increases fees for builders of manufactured

housing by expanding the activities covered by

those fees

SOURCE: Congressional Budget Office.

NOTES: The threshold for private-sector mandates, which is adjusted annually for inflation, was $109 million in 2000.

H-1B workers are skilled foreigners admitted temporarily to the United States to work for U.S. employers; FCC = Federal Communications

Commission; FAA = Federal Aviation Administration; GSA = General Services Administration.
APPENDIX A AN ASSESSMENT OF UMRA IN 2000 37

Table A-4.

Laws Enacted in 2000 That Contained Intergovernmental Mandates

Public Law Name Mandate

Does Law 

Contain a

Mandate

Not Reviewed

by CBO?

Do

Costs

Exceed

Threshold?a

106-179 Indian Tribal Economic

Development and Contract

Encouragement Act of 2000

Requires tribes to include a statement

about sovereign immunity in certain

contracts

No No

106-180 Open-Market Reorganization for

the Betterment of International

Telecommunications Act

Preempts state laws regarding

immunity and privileges for Comsat

Yes No

106-181 Wendell H. Ford Aviation

Investment and Reform Act for

the 21st Century

Preempts state authority over providers

of disaster counseling; preempts state

liability laws; limits authority of local

governments to site municipal landfills

within six miles of certain airports;

limits authority over passenger facility

fees and revenues from other fees

Yes No

106-197 An act to exempt certain reports

from automatic elimination and

sunset pursuant to the Federal

Reports Elimination and Sunset

Act of 1995, and for other

purposes

Requires states to report encryption

information to the Administrative Office

of the U.S. Courts

No No

106-210 Muhammad Ali Boxing Reform

Act

Requires state boxing commissions to

establish certain procedures

No No

106-224 Agricultural Risk Protection Act

of 2000

Preempts state regulation, in foreign or

interstate commerce, of plant pests or

noxious weeds

Yes No

106-226 An act to provide that the

School Governance Charter

Amendment Act of 2000 shall

take effect upon the date such

Act is ratified by the voters of

the District of Columbia

Preempts the charter of the District of

Columbia to allow an amendment to

take effect immediately upon

ratification by voters

No No

106-229 Electronic Signatures in Global

and National Commerce Act

Preempts state laws regulating

signature requirements

No No

106-244 An act to amend title I of the

Employee Retirement Income

Security Act of 1974 to provide

for the preemption of State law

in certain cases relating to

certain church plans

Preempts state insurance laws relating

to some health plans provided by

churches

Yes No

(Continued)
38 CBO’S ACTIVITIES UNDER THE UNFUNDED MANDATES REFORM ACT, 1996-2000 May 2001

Table A-4.

Continued

Public Law Name Mandate

Does Law

Contain a

Mandate

Not Reviewed

by CBO?

Do 

Costs

Exceed

Threshold?a

106-246 An act making appropriations

for military construction, family

housing, and base realignment

and closure for the Department

of Defense for the fiscal year

ending September 30, 2001,

and for other purposes

Preempts local zoning laws in conflict

with construction activities

Yes No

106-252 Mobile Telecommunications

Sourcing Act

Preempts state and local laws by

prohibiting taxation of wireless

telecommunications except as

specified by the law

No No

106-265 Long-Term Care Security Act Preempts state contract laws when the

federal government contracts for health

care; changes the way in which the

District of Columbia must correct

certain errors in retirement plans

No No

106-278 Lackawanna Valley National

Heritage Area Act of 2000

Requires the Lackawanna Valley

Heritage Authority to prepare a

management plan and undertake

certain activities

No No

106-291 An act making appropriations

for the Department of the

Interior and related agencies for

the fiscal year ending

September 30, 2001, and for

other purposes

Restricts use of land held in trust for a

Native American tribe

Yes No

106-311 An act to increase the amount

of fees charged to employers

who are petitioners for the

employment of H-1B nonimmigrant workers, and for

other purposes

Requires states as employers to pay a

higher fee to hire workers with H-1B

visas

No No

106-382 Fort Peck Reservation Rural

Water System Act of 2000

Requires public entities to prepare a

water conservation plan

No No

106-384 An act to amend chapter 36 of

title 39, United States Code, to

modify rates relating to reduced

rate mail matter, and for other

purposes

Increases postage rates for some

agencies of state and local

governments 

No No

(Continued)
APPENDIX A AN ASSESSMENT OF UMRA IN 2000 39

Table A-4.

Continued

Public Law Name Mandate

Does Law

Contain a

Mandate

Not Reviewed

by CBO?

Do 

Costs

Exceed

Threshold?a

106-386 Victims of Trafficking and

Violence Protection Act of 2000

Preempts state laws and requires

certain property to be forfeited to the

federal government; broadens existing

mandates governing notification

requirements when protective orders

are issued

No No

106-387 An act making appropriations

for Agriculture, Rural

Development, Food and Drug

Administration, and Related

Agencies programs for the fiscal

year ending September 30,

2001, and for other purposes

Limits how state and local governments may finance sales of agricultural

commodities to Cuba

Yes No

106-397 District of Columbia Receivership Accountability Act of 2000Requires court-appointed receivers in

the District of Columbia to adopt

certain managerial processes

No No

106-398 An act to authorize

appropriations for fiscal year

2001 for military activities of the

Department of Defense, for

military construction, and for

defense activities of the Department of Energy, to prescribe

personnel strengths for such

fiscal year for the Armed

Forces, and for other purposes

Preempts state laws governing wills;

requires schools to allow access to

military recruiters; extends requirement

that insurers issue medigap coverage

to some Medicare beneficiaries;

requires names and Social Security

numbers of felons to be submitted for

certain purposes

Yes No

106-446 An act to amend title 10, United

States Code, to facilitate the

adoption of retired military

working dogs by law enforcement agencies, former handlers

of these dogs, and other

persons capable of caring for

these dogs

Preempts state liability laws as they

relate to certain lawsuits arising from

dog adoptions

Yes No

106-469 Energy Act of 2000 Preempts state and local regulations

controlling sales of some petroleum

products

Yes No

106-489 An act to amend title 46, 

United States Code, to provide

equitable treatment with respect

to State and local income taxes

for certain individuals who

perform duties on vessels

Prohibits state and local governments

from imposing income taxes on certain

individuals

No No

(Continued)
40 CBO’S ACTIVITIES UNDER THE UNFUNDED MANDATES REFORM ACT, 1996-2000 May 2001

Table A-4.

Continued

Public Law Name Mandate

Does Law

Contain a

Mandate

Not Reviewed

by CBO?

Do 

Costs

Exceed

Threshold?a

106-505 Public Health Improvement Act Preempts some state liability laws No No

106-522 An act making appropriations

for the government of the

District of Columbia, and other

activities chargeable in whole or

in part against the revenues of

said District for the fiscal year

ending September 30, 2001,

and for other purposes

Imposes new reporting requirements

on the Mayor and departments of the

District of Columbia

Yes No

106-528 Airport Security Improvement

Act of 2000

Requires owners and operators of

public airports to improve airport

security

No No

106-554 An act making consolidated

appropriations for the fiscal year

ending September 30, 2001,

and for other purposes

Preempts state laws affecting certain

transactions conducted in markets

regulated by the Commodities Futures

Trading Commission and the Securities

and Exchange Commission; limits

states’ options for securing a creditor’s

interest in student loans; preempts

certain state liability laws regarding

independent contractors

Yes No

106-566 Hawaii Water Resources Act of

2000

Requires the state of Hawaii to pay half

of the cost of a study

No No

106-569 American Homeownership 

and Economic Opportunity Act

of 2000

Preempts states’ authority to set

standards for installing manufactured

housing

No No

SOURCE: Congressional Budget Office.

a. The threshold for intergovernmental mandates, which is adjusted annually for inflation, was $55 million in 2000.
Appendix B

Primary Contributors to

CBO’s Analyses of Mandates

The following Congressional Budget Office (CBO) analysts prepare the mandate cost statements that CBO produces for bills and other legislative proposals:

Intergovernmental Mandates

Budget Analysis Division

Theresa Gullo Chief, state and local government cost estimates (225-3220)

Shelley Finlayson Administration of justice, commerce

Victoria Heid Hall Environment, energy, transportation

Leo Lex Health, social services, income security

Marjorie Miller Natural resources, agriculture

Susan Sieg Tompkins Banking, housing, education, general government

Ernestine McNeil Secretarial support

Private-Sector Mandates

Microeconomic and Financial Studies Division

Patrice Gordon Coordinator, natural resources and commerce (226-2940)

Lauren Marks Energy, natural resources, international affairs

Paige Piper/Bach Governmental affairs, justice

Jean Talarico Agriculture, commerce, transportation

Rae Wiseman Secretarial support

Health and Human Resources Division

Bruce Vavrichek Coordinator, health and human resources (226-2676)

Nabeel Alsalam Education, labor
42 CBO’S ACTIVITIES UNDER THE UNFUNDED MANDATES REFORM ACT, 1996-2000 May 2001

James Baumgardner Health

Jennifer Bowman Health

Stuart Hagen Health

Karuna Patel Labor, health

Rekha Ramesh Health

Ralph Smith Labor, income security

Judy Wagner Health

Ron Moore Secretarial support

National Security Division

Bill Thomas Coordinator, national security (226-2900)

Debbie Clay-Mendez Defense issues

Sally Sagraves Veterans’ health

Tax Analysis Division

Mark Booth Coordinator, tax analysis (226-2690)

Erin Whitaker Revenues

Office of the General Counsel

Jennifer Smith Deputy General Counsel (226-2633)

This paper and other CBO publications are 

available at CBO's Web site:

www.cbo.gov