Congressional Oversight Manual Updated March 31, 2021 Congressional Research Service https://crsreports.congress.gov RL30240 SUMMARY RL30240 Congressional Oversight Manual March 31, 2021 Today’s lawmakers and congressional aides, as well as commentators and scholars, recognize that Congress’s lawmaking role does not end when it passes legislation. Oversight is considered Christopher M. Davis, fundamental to making sure that laws work and are being administered in an effective, efficient, Coordinator and economical manner. This function is seen as one of Congress’s principal roles as it grapples Analyst on Congress and with the complexities of American government. the Legislative Process A fundamental objective of the Congressional Oversight Manual is to assist Members, Todd Garvey, Coordinator committees, and legislative staff in carrying out this vital legislative function. It is intended to Legislative Attorney provide a broad overview of the procedural, legal, and practical issues that are likely to arise as Congress conducts oversight. This includes information on the mechanics of oversight practice based on the House and Senate rules, common investigative techniques, and an inventory of Ben Wilhelm, Coordinator statutes that impact oversight activity. In addition, the Manual discusses important legal Analyst in Government principles that have developed around Congress’s oversight practice. It is not intended to address Organization and all the legal issues that committees, Members, and staff may encounter when engaged in Management investigative activities. The Manual is organized both to address specific questions and to support those seeking a general introduction to or broader understanding of oversight practice. CRS first developed the Congressional Oversight Manual four decades 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. The Manual was produced by CRS with the assistance initially 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 periodically. Over the years, CRS has assisted many Members, committees, party leaders, and staff aides in the performance of the oversight function: providing consultative support on matters ranging from routine oversight and basic information gathering to the most complex and highest profile investigations conducted by Congress. Given the size and scope of the modern executive establishment, Congress’s oversight role may be 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.” Congressional Research Service Congressional Oversight Manual Contents Introduction to Congressional Oversight and the Oversight Manual .............................................. 1 The Oversight Manual .............................................................................................................. 1 How to Use This Manual .......................................................................................................... 1 The Purposes of Oversight .............................................................................................................. 2 Authority to Conduct Oversight ...................................................................................................... 6 Principal Statutory Authority: Illustrative Examples .......................................................... 8 Illustrative Examples of House and Senate Rules on Oversight ....................................... 13 The Oversight Process ................................................................................................................... 17 Oversight in Three Key Questions .......................................................................................... 17 Question 1: Which Issues Warrant Oversight? ................................................................. 17 Question 2: How to Get the Desired Information? ........................................................... 19 Question 3: What Can Be Done with This Information? .................................................. 20 Congress as an Oversight Body ..................................................................................................... 20 Congressional Participants in Oversight ........................................................................... 20 Oversight Coordination ........................................................................................................... 22 General Techniques of Ensuring Oversight Coordination ................................................ 23 Oversight Through Legislative and Investigative Processes ................................................... 23 Investigative Oversight .................................................................................................................. 29 Historical Background ............................................................................................................ 30 Constitutional Authority to Conduct Oversight and Investigative Inquiries ........................... 32 The Constitutional Scope of the Investigative Power: Legislative Purpose ..................... 33 Legislative Purpose and Investigations Involving the President ....................................... 37 Authority of Congressional Committees ................................................................................. 39 Jurisdiction ........................................................................................................................ 40 Committee Rules ............................................................................................................... 41 Legal Tools Available for Oversight and Investigations ......................................................... 41 Hearings ............................................................................................................................ 42 Deposition Authority ......................................................................................................... 43 The Subpoena Power ............................................................................................................... 45 Responding to Non-Compliance: Subpoena Enforcement ............................................... 48 Criminal Provisions Protecting the Investigative Power ......................................................... 55 Limitations on Congressional Authority ................................................................................. 56 Constitutional Limitations ................................................................................................ 56 Common-Law Privileges .................................................................................................. 61 Executive Privilege ........................................................................................................... 64 Statutory Limit on Congressional Access to Information ................................................. 67 Classified Material ............................................................................................................ 68 Individual Member Authority to Conduct Oversight and Investigations ................................ 71 Specialized Investigations ....................................................................................................... 73 Selected Oversight Techniques ...................................................................................................... 76 Identifying Relevant Committee Jurisdiction ......................................................................... 76 Orientation and Periodic Review Hearings with Agencies ..................................................... 76 Casework ................................................................................................................................. 77 Performance Audits ................................................................................................................. 78 Monitoring the Federal Register ............................................................................................. 79 Congressional Research Service Congressional Oversight Manual Monitoring the Unified Agenda ............................................................................................... 79 Special Studies and Investigations by Staff, Support Agencies, Outside Contractors, and Others ............................................................................................................................ 80 Communicating with the Media .............................................................................................. 80 Press Gallery Offices ........................................................................................................ 81 Resolutions of Inquiry ............................................................................................................. 81 Limitations and Riders on Appropriations .............................................................................. 82 Legislative Veto and Advance Notice ..................................................................................... 84 Independent