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Congressional Oversight Manual

CRS Report for CongressPrepared for Members and Committees of Congress Congressional Oversight Manual Alissa M. Dolan Legislative Attorney Elaine Halchin Specialist in American National Government Todd Garvey Legislative Attorney Walter J. Oleszek Senior Specialist in American National Government Wendy Ginsberg Analyst in American National Government December 19, 2014 Congressional Research Service 7-5700 RL30240 Congressional Oversight Manual Congressional Research Service Summary The Congressional Research Service (CRS) developed the Congressional Oversight Manual over 30 years ago, following a three-day December 1978 Workshop on Congressional Oversight and Investigations. The workshop was organized by a group of House and Senate committee aides from both parties and CRS at the request of the bipartisan House leadership.

Congressional Oversight Manual Congressional Research Service 2 program goals. A basic objective is strengthening federal programs through better managerial

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Transcription of Congressional Oversight Manual

1 CRS Report for CongressPrepared for Members and Committees of Congress Congressional Oversight Manual Alissa M. Dolan Legislative Attorney Elaine Halchin Specialist in American National Government Todd Garvey Legislative Attorney Walter J. Oleszek Senior Specialist in American National Government Wendy Ginsberg Analyst in American National Government December 19, 2014 Congressional Research Service 7-5700 RL30240 Congressional Oversight Manual Congressional Research Service Summary The Congressional Research Service (CRS) developed the Congressional Oversight Manual over 30 years ago, following a three-day December 1978 Workshop on Congressional Oversight and Investigations. The workshop was organized by a group of House and Senate committee aides from both parties and CRS at the request of the bipartisan House leadership.

2 The Manual was produced by CRS with the assistance of a number of House committee staffers. In subsequent years, CRS has sponsored and conducted various Oversight seminars for House and Senate staff and updated the Manual as circumstances warranted. Worth noting is the bipartisan recommendation of the House members of the 1993 Joint Committee on the Organization of Congress (Rept. No. 103-413, Vol. I): [A]s a way to further enhance the Oversight work of Congress, the Joint Committee would encourage the Congressional Research Service to conduct on a regular basis, as it has done in the past, Oversight seminars for Members and Congressional staff and to update on a regular basis its Congressional Oversight Manual .

3 Over the years, CRS has assisted many Members, committees, party leaders, and staff aides in the performance of the Oversight function: the review, monitoring, and supervision of the implementation of public policy. Understandably, given the size, reach, cost, and continuing growth of the modern executive establishment, Congress s Oversight role is even more significant and more demanding than when Woodrow Wilson wrote in his classic Congressional Government (1885): Quite as important as lawmaking is vigilant Oversight of administration. Today s lawmakers and Congressional aides, as well as commentators and scholars, recognize that Congress s work, ideally, should not end when it passes legislation.

4 Oversight is an integral way to make sure that the laws work and are being administered in an effective, efficient, and economical manner. In light of this destination, Oversight can be viewed as one of Congress s principal responsibilities as it grapples with the complexities of the 21st century. Congressional Oversight Manual Congressional Research Service Contents Purposes, Authority, and Participants .. 1 Purposes .. 1 Authority to Conduct Oversight .. 4 United States Constitution .. 4 Principal Statutory 6 Responsibilities in House and Senate 10 Congressional Participants in Oversight .. 14 Oversight Coordination and Processes .. 16 Oversight Coordination .. 16 Oversight through Legislative and Investigative Processes.

5 17 Investigative Oversight .. 23 Constitutional Authority to Perform Oversight and Investigative Inquiries .. 23 Authority of Congressional Committees .. 24 Committee Jurisdiction .. 24 Legislative Purpose .. 25 Legal Tools Available for Oversight and Investigations .. 27 Subpoena Power .. 27 Staff Deposition Authority .. 29 Hearings .. 30 Congressional Immunity .. 31 Enforcement of Congressional Authority .. 33 Contempt of Congress .. 33 Perjury and False Statement Prosecutions .. 36 Limitations on Congressional 36 Constitutional Limitations .. 36 Executive Privilege .. 43 Common Law Privileges .. 46 Statutory Limitations on Congressional Access to Information .. 49 Limitations Relating to Global Investigations.

6 51 Frequently Encountered Information Access Issues .. 54 The Privacy Act .. 54 The Freedom of Information Act .. 55 Grand Jury Materials .. 56 Documents Related to Pending 58 Classified Material .. 59 Sensitive But Unclassified Materials .. 64 Individual Member and Minority Party Authority to Conduct Oversight and 65 Specialized Investigations .. 68 Selected Oversight Techniques .. 71 Identifying the Committee s Jurisdiction .. 71 Orientation and Periodic Review Hearings with Agencies .. 72 Casework .. 73 Audits .. 73 Monitoring the Federal Register .. 74 Congressional Oversight Manual Congressional Research Service Special Studies and Investigations by Staff, Support Agencies, Outside Contractors, and Others.

7 75 Communicating with the Media .. 76 Reporting Requirements, Consultation, and Other Sources of Information .. 79 Resolutions of Inquiry .. 85 Limitations and Riders on Appropriations .. 86 Legislative Veto and Advance Notice .. 87 Independent Counsel .. 89 Statutory Offices of Inspector General: Establishment and Evolution .. 91 Oversight Information Sources and Consultant Services .. 99 Congressional Research Service (CRS) .. 99 Congressional Budget Office (CBO) .. 109 Offices of Senate Legal Counsel and House General Counsel .. 113 Senate Legal Counsel .. 113 House General Counsel .. 116 Government Accountability Office (GAO) .. 117 Office of Management and Budget (OMB) .. 120 Budget Information.

8 121 Beneficiaries, Private Organizations, and Interest Groups .. 123 Ta b l e s Table 1. Special Investigative Authorities of Selected Investigating Committees .. 70 Appendixes Appendix A. Illustrative Subpoena .. 125 Appendix B. Examples of White House Response to Congressional Requests .. 133 Appendix C. Selected Readings .. 136 Appendix D. Other Resources .. 149 Contacts Author Contact 150 Acknowledgments .. 150 Congressional Oversight Manual Congressional Research Service 1 Purposes, Authority, and Participants Throughout its history, Congress has engaged in Oversight broadly defined as the review, monitoring, and supervision of the implementation of public policy of the executive branch.

9 The first several Congresses inaugurated such important Oversight techniques as special investigations, reporting requirements, resolutions of inquiry, and use of the appropriations process to review executive activity. Contemporary developments, have only increased Congress s capacity and capabilities to check on and check the Executive. Public laws and Congressional rules have measurably enhanced Congress s implied power under the Constitution to conduct Oversight . Despite its lengthy heritage, Oversight was not given explicit recognition in public law until enactment of the Legislative Reorganization Act of That act required House and Senate standing committees to exercise continuous watchfulness over programs and agencies within their jurisdiction.

10 Since the late 1960s, according to such scholars as political scientist Joel Aberbach, Congress has shown increasing interest in Oversight for several major reasons. These reasons include the expansion in number and complexity of federal programs and agencies; increases in expenditures and personnel, including contract employees; the rise of the budget deficit; and the frequency of divided government, with Congress and the White House controlled by different parties. Major partisan disagreements over priorities and processes also heighten conflict between the legislature and the executive branches. Oversight occurs in virtually any Congressional activity and through a wide variety of channels, organizations, and structures.


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