Congressional Oversight Manual Updated January 16, 2020 Congressional Research Service https://crsreports.congress.gov RL30240 Congressional Oversight Manual Summary 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 fundamental to making sure that laws work and are being administered in an effective, efficient, and economical manner. This function is seen as one of Congress’s principal roles as it grapples with the complexities of American government. A fundamental objective of the Congressional Oversight Manual is to assist Members, committees, and legislative staff in carrying out this vital legislative function. It is intended to 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 statutes that impact oversight activity. In addition, the Manual discusses important legal principles that have developed around Congress’s oversight practice. It is not intended to address all the legal issues that committees, Members, and staff may encounter when engaged in 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.” Legal questions on Congress’s investigatory powers should be directed to CRS legislative attorneys. For ease of reference, the relevant CRS legislative attorneys and legal products are cited throughout this report. Congressional Research Service Congressional Oversight Manual Contents Purposes, Authority, and Participants .............................................................................................. 1 Purposes .................................................................................................................................... 2 Authority to Conduct Oversight ................................................................................................ 4 U.S. Constitution ................................................................................................................. 4 Principal Statutory Authority: Illustrative Examples .......................................................... 5 Illustrative Examples of House and Senate Rules on Oversight ....................................... 10 Congressional Participants in Oversight ................................................................................. 14 Oversight Coordination and Processes .......................................................................................... 16 Oversight Coordination ........................................................................................................... 16 Oversight Through Legislative and Investigative Processes ................................................... 17 Investigative Oversight .................................................................................................................. 22 Constitutional Authority to Perform Oversight and Investigative Inquiries ........................... 22 Authority of Congressional Committees ................................................................................. 23 Committee Jurisdiction ..................................................................................................... 23 Legislative Purpose ........................................................................................................... 24 Legal Tools Available for Oversight and Investigations ......................................................... 26 Subpoena Power ............................................................................................................... 26 Staff Deposition Authority ................................................................................................ 28 Hearings ............................................................................................................................ 29 Congressional Immunity ................................................................................................... 30 Enforcement of Congressional Authority ................................................................................ 31 Contempt of Congress....................................................................................................... 31 Perjury and False Statement Prosecutions ........................................................................ 34 Limitations on Congressional Authority ................................................................................. 34 Constitutional Limitations ................................................................................................ 34 Executive Privilege ........................................................................................................... 39 Common Law Privileges................................................................................................... 39 Statutory Limit on Congressional Access to Information ................................................. 41 Frequently Encountered Information Access Issues ............................................................... 45 The Privacy Act ................................................................................................................ 45 The Freedom of Information Act (FOIA) ......................................................................... 45 Grand Jury Materials......................................................................................................... 46 Documents Related to Pending Litigation ........................................................................ 47 Classified Material ............................................................................................................ 48 Sensitive but Unclassified Materials ................................................................................. 50 Individual Member and Minority Party Authority to Conduct Oversight and Investigations ....................................................................................................................... 51 Specialized Investigations ....................................................................................................... 53 Selected Oversight Techniques ...................................................................................................... 56 Identifying Relevant Committee Jurisdiction ......................................................................... 56 Orientation and Periodic Review Hearings with Agencies ..................................................... 56 Casework ................................................................................................................................. 57 Performance Audits ................................................................................................................. 58 Monitoring the Federal Register and Unified Agenda ............................................................ 59 Special Studies and Investigations by Staff, Support Agencies, Outside Contractors, and Others ............................................................................................................................ 59 Congressional Research Service Congressional Oversight Manual Communicating with the Media ........................................................................................ 60 Press Gallery Offices ........................................................................................................ 60 Reporting Requirements, Consultation, and Other Sources of Information ........................... 61 Resolutions of Inquiry ............................................................................................................. 66 Limitations and Riders on Appropriations .............................................................................. 67 Legislative Veto and Advance Notice ..................................................................................... 68 Independent Counsel ..............................................................................................................