United States Commission

on

National Security/21st Century

April 15, 2001

National Security Study Group

assisted by

Booz·Allen & Hamilton
i

PREFACE

CONGRESS

The chapters in this volume provide information concerning organizations in Congress, including

the House Committee on Appropriations, the House Committee on the Armed Services, the

House Committee on International Relations, the House Committee on the Budget, the House

Committee on Science, the House Committee on Transportation and Infrastructure, the Senate

Committee on Appropriations, the Senate Committee on the Armed Services, the Senate

Committee on Foreign Relations, the Senate Committee on the Budget, and the Senate

Committee on Commerce, Science, and Transportation (Select Committees that exercise

oversight of intelligence matters are contained in Volume VI, Intelligence Community).

Each chapter is designed to serve as a stand-alone reference for a specific organization and its

role in national security processes. Chapters are presented in standard format to permit

comparisons and facilitate research. That format is:

• An executive summary that provides an organizational overview and

observations.

• Section 1 identifies the legal basis for the organization and significant

organization and interagency directives.

• Section 2 notes the major responsibilities of the organization, identifies

subordinate organizations, and delineates the organization's major products.

• Sections 3 and 4 deal with the vision, strategy, values, culture, leadership, staff

attributes, and structure of the organization.

• Section 5 discusses the organization's formal role seven key processes.

• Section 6 provides information on the organization's roles in informal

processes.

• Section 7 outlines the responsible Congressional committees, the budget, and

the personnel strength of the organization.

• Section 8 provides observations on ways in which the organization contributes

to national security.

Descriptions of organizations deemed most significant in terms of the current national security

apparatus include matrices that relate products and roles to processes. Process maps have been

added as appendices for these organizations. Where it may be helpful for readers to consult other

chapters to gain a more complete understanding of particular concepts or issues, the appropriate

references are included in the text or in footnotes. An acronym glossary is included at the end of

Volume VII.
ii

The entire series consists of seven volumes:

• Volume I contains descriptions of the overarching interagency and inter branch

processes as well as key observations on organizations and processes;

• Volume II contains chapters on the Executive Office of the President.

• Volume III contains chapters on key Congressional Committees.

• Volume IV provides descriptions of key Department of State Organizations.

• Volume V discusses Department of Defense organizations. 

• Volume VI covers intelligence community organizations and activities.

• Volumes VIIa and VIIb describe Executive Branch organizations not covered

elsewhere.

These volumes are based on comprehensive searches of available literature, laws, and directives

and extensive interviews with current and former practitioners. Research included both formal

and informal processes. There is sufficient information on each organization to fill several

volumes, thus the synthesis of this information focuses on national security processes as defined

by the U.S. Commission on National Security/21st Century.
Volume III – Congress

House of Representatives

Chapter 1 Committee on Appropriations

Chapter 2 Committee on Armed Services (HASC)

Chapter 3 Committee on International Relations

Chapter 4 Committee on the Budget

Chapter 5 Committee on Science

Chapter 6 Committee on Transportation and Infrastructure

Senate

Chapter 7 Committee on Appropriations

Chapter 8 Committee on Armed Services (SASC)

Chapter 9 Committee on Foreign Relations

Chapter 10 Committee on the Budget

Chapter 11 Committee on Commerce, Science, and Transportation

Bibliography
ORGANIZATIONAL DESCRIPTION

HOUSE COMMITTEE ON APPROPRIATIONS

Prepared for the U.S. Commission on National Security/21st Century
2

EXECUTIVE SUMMARY

House Committee on Appropriations

Overview

The House Committee on Appropriations is a standing, exclusive Committee of the

House of Representatives responsible for crafting the 13 annual appropriations measures that

determine and distribute annual levels of discretionary spending among the federal government's

departments and agencies. The Committee, as its Senate counterpart, was established by

Congress to fulfill the Constitutional requirement that "No money shall be drawn from the

Treasury but in consequence of appropriations made by law." The Rules of the House of

Representatives determine the organization of the Committee and its jurisdiction. The annual

Joint Budget Resolution establishes the total amount available to the Committee each year.

The Committee influences national security by making annual appropriations that keep

the Department of Defense, the Department of State, the Executive Office of the President, and

other government activities and programs operating. In addition, the Committee responds to

requests for supplemental funding in crises and emergencies, for example to support U.S. forces

in non-budgeted military or peacekeeping operations.

The Committee works primarily through its 13 Subcommittees, each of which has

responsibility for one of the 13 annual appropriations measures. The Committee determines

spending ceilings for each Subcommittee based on the information provided in the Joint Budget

Resolution. The Subcommittees then prepare markups on the 13 appropriations measures using

the previous year's bills and the President's budget as background and report them out to the full

Committee. The full Committee also marks them up and/or amends them and reports them to the

floor of the House for amendment and vote.

The Appropriations Committee is considered the most influential Committee in the

House. Technically the Appropriations Committee must follow the policy guidelines laid out by

authorizing committees, such as the House Armed Services Committee and House International

Relations Committee, in determining funding for agencies and programs; in fact, the authorizing

and appropriating processes happen in parallel. Occasionally, policy disputes hold up

authorizing measures, and appropriating measures may be completed before an authorizing

Committee has finished its work. The Appropriations Committee benefits from having the

jurisdiction to originate spending measures. The influence of the Committee is recognized by

other Members, who work to ensure support by the Committee for their legislative priorities.

Organization

The Committee currently has 61 members, 34 Republicans and 27 Democrats. It is

organized into 13 Subcommittees, each of which has responsibility for one of the 13 annual

appropriating measures. The Subcommittees' titles reflect their realm of responsibility. They

are:

• Subcommittee on Agriculture, Rural Development, Food and Drug Administration, and

Related Agencies;
3

• Subcommittee on Commerce, Justice, State, and the Judiciary;

• Subcommittee on Defense;

• Subcommittee on the District of Columbia;

• Subcommittee on Energy and Water Development;

• Subcommittee on Foreign Operations, Export Financing and Related Programs;

• Subcommittee on Interior;

• Subcommittee on Labor, Health and Human Services, and Education;

• Subcommittee on Legislative;

• Subcommittee on Military Construction;

• Subcommittee on Transportation;

• Subcommittee on Treasury, Postal Service, and General Government; and

• Subcommittee on VA, HUD, and Independent Agencies.

Membership in the Committee and Subcommittees is determined by the respective parties in

each party's caucus or conference, according to each party's rules. Because of the influence of

the Committee, membership on the Committee is highly prized and there are always more

requests to be appointed to the Committee than can be accommodated. In designating Members

of the Committee, each party's caucus or conference is influenced by a Member's seniority,

background, ideology, the strength of his or her delegation in the House, the Member's

relationship with his or her leadership, and the Member's reelection potential in his or her

district. A party's leadership, for example, may recommend a Member for the Appropriations

Committee as a way of raising the Member's profile back home if it believes the Member may

face a strong contender from another party.

The Chair of the Committee is elected by the House from nominations provided by the

majority party. The Subcommittees' Chairs and Ranking Members are determined by the

majority and minority party. Although seniority is important in choosing chairs and ranking

members, it is not the only determinant. The majority and minority will consider the personal

and political influence of a Member and his or her ability to represent and protect the party's

interests.

Major Organizational Products

The Committee's major products are the 13 annual appropriations bills, which are

reported out to the full House for debate, amendment, and vote. Annual appropriations may also

be bundled into one omnibus bill. The Committee also produces supplemental appropriations
4

bills to provide additional budget authority for the current fiscal year when non-budgeted crises

or emergencies demand it. Finally, when necessary, the Committee reports to the House

continuing appropriations measures, which provide temporary funding to keep the government

operational while the annual appropriations measures are completed.

Role in Formal and Informal National Security Processes

The Committee's key national security role is in providing resources for the departments

and agencies of the Executive Branch that formulate and implement national security policy.

Although the Committee has no formal role in legislating policy, which in fact Rules of the

House prohibit an appropriating measure to do, the Committee may include in its appropriating

measures language altering or repealing existing law. As long as such language is not challenged

in Committee or on the floor of the House, or as long as it withstands any such challenge,

appropriating measures may change policy. The matrix below illustrates the Committee's role in

national security.

Strategy Development. The Committee has no formal role in strategy development, however

its hearings and reports exert influence over strategy and policy.

Policy, Guidance, and Regulation. The Committee has no formal role in policy, guidance, or

regulation. The Committee may insert language in appropriation measures that changes or

repeals existing law, affecting an Administration's policy options if the language is not

challenged by points of order during Committee or floor debate. The Committee may also insert

language imposing limitations on spending.

Planning. The Committee has no role in national security planning.

Mission Execution. The Committee has no role in mission execution.

Observation, Orientation, and Oversight. The Committee exercises oversight through its

review of spending by agencies and department within its jurisdiction.

Preparation. The Committee has no role in preparation.

Strategy

Development

Policy, Guidance,

and Regulations

Planning

Mission Execution

Observation, 

Orientation,

and Oversight

Preparation

Resourcing

Appropriations Bills

Products

 

Roles Fund the Government  

Appropriations Bills
5

Resourcing. The Committee marks and reports to the House the 13 appropriations bills that

provide funding for government agencies, departments, and programs. The Committee also

marks and reports continuing resolutions that keep the government operational while the regular

appropriations process is concluded, and supplemental appropriations bills that provide funding

in crises or emergencies.

Observations

Despite the rules that govern the appropriations and legislative processes, the House, and

legislative branch as a whole, has great latitude in amending those processes to meet its

objectives. For example, the House may pass legislation that amends existing rules so as to use

appropriations measures to legislate changes to existing laws that affect national security. Or, it

may carefully craft appropriating language so as to compel the Administration to make changes

in policy. Depending on the relationship between the legislative and executive branches, and the

relative power of the majority over the minority, appropriating measures are powerful tools for

the Legislative Branch to influence the Executive.
6

ORGANIZATIONAL DESCRIPTION

HOUSE COMMITTEE ON APPROPRIATIONS

1. Legal Specifications, Authorizations, and Responsibilities.

A. Authorization:

(1) Section 9 of the Constitution of the United States specifies that "No money

shall be drawn from the Treasury but in consequence of appropriations made by law." In 1865,

Congress determined that a Committee on Appropriations should have responsibility for all

appropriations bills.1 (A staff member interviewed during this study encapsulated this by saying:

"The Founding Fathers clearly understood the power of the purse and, today, that power resides

in the Appropriations Committees.")2

(2) Section 8 of the Constitution gives Congress specific powers, including

providing for the common defense and the raising and support of military forces.

B. Rules of the House: Rule X of the House of Representatives establishes the

organization and jurisdiction of all House Committees, including the Committee on

Appropriations. These are detailed in paragraph 2.A.

C. The Annual Joint Budget Resolution: The total amounts that can be appropriated

by the Committee is limited by the Joint Budget Resolution prepared by the Senate and House

Budget Committees and passed by both houses. The Appropriations Committee Chair allocates

a portion of the total to each of the 13 Appropriations Subcommittees, and this amount becomes

the "cap" for apportioning discretionary spending under Subcommittee jurisdiction. (See also

papers concerning Senate and House Budget Committees in this volume.)

2. Missions/Functions/Purposes.

A. Major Responsibilities: The House Appropriations Committee is a standing, or

permanent, Committee of the House under House Rules. Its jurisdiction includes:3

(1) Appropriation of the revenue for the support of the Government;

(2) Rescissions of appropriations contained in appropriation Acts;

(3) Transfers of unexpended balances; and

 

1 U.S. House of Representatives, Committee on Rules, Majority Office. "Parliamentary Outreach Program: The

Appropriations Process." The Constitution does not require an Appropriations Committee; it was created by Congress to

assist in carrying out its Constitutional role. Except for military forces, for which the Constitution limits terms of

appropriations to no longer than two years, the Constitution does not specify how often appropriations are to be made. By

custom, funds are appropriated annually. In the case of military forces, the Constitution specifies tat any appropriation must

be for a period not to exceed two years. There are exceptions to this rule, however, in cases in which Congress approves a

permanent appropriation.

2 Interview with Congressional staff.

3 The following is drawn from Rules of the House of Representatives—106th Congress, Rule X, Organization of Committees,

Committees and their legislative jurisdictions.
7

(4) Bills and joint resolutions reported by other committees that provide new

entitlement authority as defined in section 3(9) of the Congressional Budget Act of 1974 and

referred to the Committee under clause 4(a)(2).

The Appropriations Committee carries out these responsibilities only with regard to the

discretionary portion of the Federal Budget. Discretionary spending, which amounts

approximately to one-third of the Federal Budget, refers to spending to keep the Federal

Government operational. It includes funding to pay salaries and expenses for federal agencies, to

support the defense budget, and to pay for a number of federal programs, such as public housing,

the space programs, national parks upkeep, and more.4

Appropriations are legal authority for government entities to obligate funds, not the funds

themselves. In short, "An appropriation is a law passed by Congress that provides federal

agencies legal authority to incur obligations and the Treasury Department authority to make

payments for designated purposes."5

Technically, appropriations provide Executive Branch entities with "Budget Authority"

or BA.6 Without BA, no government activity may obligate the U.S. Treasury through contract or

other method of expenditure. In other words, unless an activity has BA, it cannot spend money.7

Thus, when appropriations bills are held up, the government closes unless continuing resolutions

are adopted by the House (through the Appropriations Committee process) to keep it open.

BA is not the same as an outlay, which constitutes the actual transfer or expenditure of

funds. While most funds must be obligated in the same fiscal year for which they are

appropriated, there is no requirement for them to be paid out—out lay—during that year. In

other words, the Appropriations Committee may report out a bill that appropriates $1 billion for

construction of a military aircraft. When the appropriation becomes law, the Department of

Defense must obligate that amount during the following fiscal year through an appropriate

contract vehicle.8 However, the funds may not actually be transferred to the contractor until

some years later. In any given fiscal year, then, Executive Branch departments and agencies are

paying out prior year obligations that were appropriated in previous fiscal years. Unless

otherwise specified in the bill, appropriations are effective for the next fiscal year only. Often

exceptions are made for research and development programs and some construction projects for

which BA may be made available indefinitely.9

 

4 About two-thirds of the Federal Budget consists of mandatory spending, for which funding is automatically set aside by

permanent law and to which the annual appropriations process does not apply. Mandatory spending covers programs such

as Medicare and Medicaid, Social Security, and interest on the debt. See paragraph 5.A.(4).

5 Keith, Robert. Introduction to the Federal Budget Process. Washington, D.C., Congressional Research Service, August 28,

1998 (Report Number 98-721 GOV), p. 19. (Hereafter Keith.)

6 BA may also be provided by authority to borrow, contract authority, and spending authority from offsetting collections.

These authorities also require Congressional action and are usually contained in permanent legislation. See FY 2000

Budget, p. 9.

7 There are some technical exceptions that are beyond the scope of this paper. See Schick and FY 2000 Budget.

8 If the Department elects not to obligate the funds for the purposes for which they were appropriated, it may initiate

reprogramming actions.

9 FY 2000 Budget, p. 10.
8

Appropriations and authorization are linked. Appropriations determine the amount of

money that may be spent by a government entity; authorizations prescribe the activities or

programs for which the money may be spent. As one observer notes, "funds provided in

appropriations acts are to be spent according to the terms set in authorizing legislation."10

Sometimes authorizing legislation specifies that an exact amount be appropriated, while at other

times the amount is left vague. When it is specified, the Appropriations Committee may

appropriate that amount or less, but it may not appropriate more.

While authorization is supposed to inform appropriations, this is not always the case, and

Appropriations Subcommittees deal with numerous substantive matters beyond funding. In

recent times, appropriators have completed their bills prior to the passage of authorizing

language and sometimes they pay less than strict attention to authorizing provisions even when

authorization bills have been passed.11 This has led some members of authorizing committees to

suggest the abolition of appropriations committees and the assimilation of that function into the

authorizing committee responsibilities.12 (See sections in this volume dealing with authorizing

committees.) On the other hand, authorizing committees can report out direct (or permanent)

spending legislation, which, if passed, can provide permanent BA for which no further annual

appropriations action is necessary. (For a discussion of these procedures see Schick, FY 2000

Budget, and Keith.)

B. Subordinate Committees: The Appropriations Committee has 13 Subcommittees,

each of which is responsible for one of the 13 appropriations bills that determine funding for the

Government's discretionary expenditures. They are:

(1) Subcommittee on Agriculture, Rural Development, Food and Drug

Administration, and Related Agencies;

(2) Subcommittee on Commerce, Justice, State, and the Judiciary;

(3) Subcommittee on Defense;

(4) Subcommittee on the District of Columbia;

(5) Subcommittee on Energy and Water Development;

(6) Subcommittee on Foreign Operations, Export Financing and Related

Programs;

(7) Subcommittee on Interior;

(8) Subcommittee on Labor, Health and Human Services, and Education;

(9) Subcommittee on Legislative;

 

10 Schick, Allen. The Federal Budget: Politics, Policy, Process. Washington, D.C.: The Brookings Institution,1995, p. 118.

(Hereafter, Schick.)

11 Interviews with Members of Congress and Congressional staff.

12 Schick, pp. 162-164 passim. While possible under the procedures for changing rules, it is likely that doing so would make

appropriations "hostage" to conflicts over policy, thus slowing the appropriations procedure.
9

(10) Subcommittee on Military Construction;

(11) Subcommittee on Transportation;

(12) Subcommittee on Treasury, Postal Service, and General Government; and

(13) Subcommittee on VA, HUD, and Independent Agencies.

House and Senate Appropriations Subcommittees have parallel jurisdictions, and "each

pair handles one of the regular appropriations bills."13 As indicated in the discussion of

Subcommittee jurisdiction in paragraph 4.E., however, jurisdiction over programs and agencies

is not entirely compartmentalized, and often several Subcommittees are responsible for

appropriations for one Department or Agency. For example, the Subcommittee on Foreign

Operations and Commerce, Justice, State, and the Judiciary both have jurisdiction over State

Department Activities, and the same is true of other Departments and Agencies as well.

C. Major Products: The major products of the House Appropriations Committee are the

13 appropriations bills, which are reported out of the Committee for full House consideration.

The 13 measures total more than $500 billion in discretionary spending. 14

The Committee also produces supplemental appropriation measures, which provide

additional budget authority for the current fiscal year when emergencies or crises require

additional expenditures; and continuing appropriations bills, which provide temporary funding to

sustain government operations while the regular appropriations bills are being completed.

Finally, the Committee drafts reports and statements to accompany appropriations

measures. Report language and managers' statements, although not legally binding, provide

additional guidance on how the agencies should spend the appropriated funds.

3. Vision and Core Competencies.

A. Vision: There is no published vision statement for the Appropriations Committee.

B. Core Competencies: Core competencies of the Committee include determining

funding levels for programs and operations of government agencies within a predetermined cap.

This activity involves the ability to analyze and make trade-offs between programs.

4. Organizational Culture.

A. Values: There is no published statement of values for the Appropriations Committee.

B. Leadership Traditions: Traditionally, the Chair of the Appropriations Committee

and the Subcommittee Chairs in the House are considered among the most powerful individuals

 

13 Schick, p. 130.

14 This amounts to about one third of the total budget, the remainder of which is in entitlement programs. For FY 1998, for

example, $364 billion in total spending went to interest on the public debt and $371 billion went for large entitlement

programs such as Social Security.
10

in the House.15 As one Congressional expert noted, in discharging its duties, "Congress must do

only one thing: pass the 13 appropriations bills."16 Thus, the Chairs of the Appropriation

Committee and Subcommittees manage the key function of Congress. The Chairs of the

Subcommittees have latitude in determining the allocation of the total sum they are provided by

the Committee to fund the activities and programs over which their Subcommittee has control,

and they can "earmark" funds for special projects. Typically, in making allocations,

Subcommittee Chairs use previous years spending bills and the President's Budget as guides;

however, they have the power to shift funds to reflect their priorities and determine new

priorities. Appropriations Subcommittee Chairs also have the latitude to include provisions that

are in opposition to authorizing committee language.17

Other Members are well aware of the Subcommittee's influence over the allocation of

funds. In the lead up to the appropriations process, Members, regardless of Committee or party

affiliation, seek to secure a Subcommittee Chair's support for their own priorities so as to ensure

that a program for which they may have won authorization can receive the necessary funding to

be implemented. This is done through letters to the Chairs or in personal conversations between

a Member and the Subcommittee Chair.

Under House rules, Committee Chairmanship is determined by majority vote among the

nominations put forth by the majority party.18 House Appropriations Subcommittee Chairs and

Ranking Members are selected by vote in the respective party caucuses.19 In selecting

Committee and Subcommittee chairs, how well a Member's colleagues think he/she will

represent their individual and aggregate interests and party positions and seniority are significant

factors. In the Appropriations Committee, seniority for Subcommittee chairs is based on

seniority in the Subcommittee, not in the full Committee. Depending on party rules, Chairs may

keep their positions for an indefinite period or be limited to a fixed number of years.

C. Staff Attributes: The Committee on Appropriations is subject to different rules under

House Rule X for hiring staff. Whereas all other House Committees are limited (with some

exceptions) to 30 professional staff, the House Appropriations Committee "may appoint by

majority vote such staff as it determines to be necessary (in addition to the clerk of the

committee and assistants for the minority.)"20

Appropriations staff members have different backgrounds; there is no one salient

characteristic that applies to all. Educational experience ranges from liberal arts degrees, to

Masters of Business Administration, to accounting, to Doctors of Jurisprudence.21

Each staff member owes his position to a Committee member, Subcommittee chair or

Ranking Member, and/or to the Chair or Ranking Member, with the Subcommittee Chairs

having the greatest role in staff appointments. When Chairs or Ranking Members change, their

successors may bring in at least a few new staff members. If the balance of power in the

 

15 Interviews with Congressional staff, also see Schick, pg. 133.

16 Interview with senior Congressional Research Service staff, September 24, 1999.

17 Schick, Chapters 7 & 8.

18 Rules of the House of Representatives—106th Congress: Rule X: Organization of Committees.

19 Schick, pg. 133.

20 Rules of the House of Representatives—106th Congress: Rule X: Organization of Committees.

21 Almanac of the Unelected. Washington, D.C., Bernan Press, 1999.
11

chamber as a whole changes, staff turn-over would presumably be greater because the new

majority party will appoint additional staff members over and above those they already have, and

the new minority party will release staff to bring their total staff into line with the rules and

funding limits.

Most Appropriations Committee staff are assigned to Subcommittees, where the bulk of

the appropriations work is done. Staff are experts in their specialties and also in House processes

and procedures. Their salient value is their ability to provide objective assessments for members.

Former staff members indicated during interviews that longevity is important to success because

it takes most staff members 12-18 months to learn how the House operates and to establish

relationships with other Congressional committees and staff in the Executive departments and

agencies over which their subcommittee has jurisdiction.

Staff influence depends on trust between the staffer and the member for whom he/she

works. It also stems from the ability of the staffer to develop robust networks that include

department and agency staff, academia, and industry and provide the most up-to-date

information. In a very real sense, information is power. Staff must know department, agency,

and White House positions on each issue in order to be effective. While usually collegial, the

information exchange relationships between staffers and departments, agencies, and commercial

contractors is also often adversarial because of substantial differences in their agendas.

Currently, the House Appropriations Committee has a total of 19 staff members who

work for the majority, including the staff director, staff assistants, administrative aides, and

computer administrators, and three staff members assigned to the minority, consisting of one

staff director and two staff assistants. In addition, each Subcommittee is supported by its own

majority and minority staff, whose numbers vary from Subcommittee to Subcommittee.22 The

majority usually has far greater staff support.23 Some minority staff members also support more

than one Subcommittee.

D. Strategy: There is no published Committee Strategy. Strategic approaches are at the

discretion of Committee and Subcommittee Chairs and Ranking Members with each Member

deciding his/her own strategy for issues and sessions.

E. Organization: The House Appropriations Committee is a standing committee under

House rules.24 It is also considered an exclusive Committee, which means its Members may not

serve on any other Committee of the House except for the Budget Committee or the Oversight

Committee.25

 

22 This information is derived from CAPWEB website, at http://www.capweb.net/classic/Committee.morph?commCode=96.

23 For example, the Defense Subcommittee has 12 majority staff assistants and one staff aide, whereas the minority in the

Subcommittee is supported by only one staff member. See CAPWEB.

24 Standing Committees are permanent Committees that have specific legislative jurisdiction outlined in the House Rules and

that can recommend funding levels. The House also has Select Committees, which are created by resolution by the House

or Senate to conduct specific investigations or studies, and Joint Committees, which include members of the House and

Senate and are concerned with conducting studies rather than considering legislation.

25 This is not a rule of the House, but a practice followed by both parties and it is designed to share power among Members.

See: Schneider, Judy. House Committees: Categories and Rules for Committee Assignments, CRS Report for Congress.

(Washington, D.C.: Congressional Research Service, February 20, 1998.) (Henceforth, Categories and Rules for Committee

Assignments.)
12

Appropriations Committee membership is determined by the same rules followed for

assigning members to all other Committees (i.e., each political party assigns its own Members to

Committees based on leadership recommendations and according to party procedures.) Both

Republicans and Democrats have established Steering Committees to make recommendations

respectively to the Republican Conference and Democratic Caucus regarding Committee

assignments for current and incoming members. For both parties, a number of considerations

influence Committee assignments, including a Member's seniority, background, ideology, the

strength of his or her state delegation in the House, the Member's relationship with the party

leadership, and the Member's reelection potential.26 Generally, the leadership will assist a

Member facing a strong challenger from another party by assigning that Member to an influential

Committee, such as Appropriations, from which the Member may affect the interests of his or

her constituency.

The leadership of the two political parties negotiate the size of each Committee and the

ratio of the majority to the minority prior to each new Congress and immediately after election

results are available. Committee sizes generally remain constant, although special elections or

other unforeseen circumstances may affect a Committee's membership. The Appropriations

Committee currently has a total of 61 members, 34 Republicans and 27 Democrats. The

Committee is supported by a majority and minority staff as described in paragraph 4.C.

The Committee is organized into 13 subcommittees as described in paragraph 2.B. The

Committee Chair, in consultation with the majority party committee members, selects

Subcommittee Chairs. A similar practice is followed by the Minority in selecting Ranking

Members.

The House Appropriations Committee membership for the 106th Congress is shown

below.

 

26 Categories and Rules for Committee Assignments.
13

House Committee on Appropriations

Republicans (34) Democrats (27)

C.W. Bill Young (FL)—Chair

Ralph Regula (OH)

Jerry Lewis (CA)

John Edward Porter (IL)

Harold Rogers (KY)

Joe Skeen (NM)

Frank R. Wolf (VA)

Tom DeLay (TX)

Jim Kolbe (AZ)

Ron Packard (CA)

Sonny Callahan (AL)

James Walsh (NY)

Charles H. Taylor (NC)

David Hobson (OH)

Ernest J. Istook (OK)

Henry Bonilla (TX)

Joe Knollenberg (MI)

Dan Miller (FL)

Jay Dickey (AR)

Jack Kingston (GA)

Rodney P. Frelinghuysen (NJ)

Roger F. Weicker ( MS)

George R. Nethercutt, Jr. (WA)

Randy "Duke" Cunningham (CA)

Todd Tiahrt (KS)

Zach Wamp (TN)

Tom Latham (IN)

Anne Northup (KY)

Robert Aderholt (AL)

Jo Ann Emerson (MO)

John E. Sununu (NH)

Kay Granger (TX)

John E. Peterson (PA)

Roy Blunt (MO)

David Obey (WI)—Ranking Member

John P. Murtha (PA)

Norman Dicks (WA)

Martin Olav Sabo (MN)

Julian C. Dixon (CA)

Steny H. Hoyer (MD)

Alan B. Mollohan (WV)

Marcy Kaptur (OH)

Nancy Pelosi (CA)

Peter J. Visclosky (IN)

Nita M. Lowey (NY)

Jose E. Serrano (NY)

Rosa L. DeLauro (CT)

James P. Moran (VA)

John W. Olver (MA)

Ed Pastor (AZ)

Carrie P. Meek (FL)

David E. Price (NC)

Michael P. Forbes (NY)

Chet Edwards (TX)

Robert E. "Bud" Cramer, Jr. (AL)

Maurice D. Hinchley (NY)

Lucille Roybal-Allard (CA)

Sam Farr (CA)

Jesse L. Jackson (IL)

Carolyn C. Kilpatrick (MI)

Allen Boyd (FL)

Subcommittees' membership and responsibilities are detailed below:
14

(1) Subcommittee on Agriculture, Rural Development, Food and Drug

Administration, and Related Agencies:

Republicans (8) Democrats (5)

Joe Skeen—Chair

James Walsh

Jay Dickey

Jack Kingston

George Nethercutt

Henry Bonilla

Tom Latham

Jo Ann Emerson

Marcy Kaptur—Ranking Member

Rosa DeLauro

Maurice Hinchley

Sam Farr

Allen Boyd

This Subcommittee has jurisdiction over the Department of Agriculture and its programs

(a total of 90 different appropriations); the Farm Credit Administration; the Commodity Futures

Trading Commission; and the Farm Credit System Financial Assistance Corporation (an element

of the Treasury Department).

The areas over which the subcommittee has jurisdiction that have the greatest potential

for direct national security impact include:

(a) The Food and Drug Administration (Department of

Health and Human Services);

(b) Animal and Plant Inspection Service, the Commodity

Assistance Program, the Commodity Futures Trading Commission, the Food Safety and

Inspection Service, the foreign Agricultural Service, Grain Inspection Service, Hazardous

Waste Management, Natural Resources Conservation Service, the Offices of Information

Resource Management, and Resource Conservation and Development (Department of

Agriculture).

(2) Subcommittee on Commerce, Justice, State, and the Judiciary:

Republicans (7) Democrats (4)

Harold Rogers—Chair

Jim Kolbe

Charles Taylor

Ralph Regula

Tom Latham

Dan Miller

Zach Wamp

Jose Serrano—Ranking Member

Julian Dixon

Alan Mollohan

Lucille Roybal-Allard

The Subcommittee has jurisdiction over appropriations for the Departments of

Commerce, Justice, and State (except counterterrorism, international narcotics control, and

migrations and refugee assistance) and the federal judiciary.

 Significant national security related jurisdiction includes:
15

(a) Contributions to International Organizations including United

Nations dues and peacekeeping assessments, International Conferences and Contingencies,

Missions to International Organizations, World Health organization (Department of State);

(b) The Federal Bureau of Investigation, the Immigration and

Naturalization Service, and U.S. Marshals Service (Department of Justice);

(c) The Bureau of Export Administration, the Economic

Development Administration, National Oceanic and Aeronautics Administration, National

Technical Information Service, National Telecommunications and Information

Administration, the Technology Administration (Department of Commerce);

(d) The Ready Reserve Force27 (Department of Transportation); and

(e) Independent commissions including, the Commission on

Immigration Reform, the Commission on Security and Cooperation in Europe, the

Competitiveness Policy Council, the Federal Communications Commission, the Federal

Maritime Commission, the Federal Trade Commission, the International Trade

Commission.

(3) Subcommittee on Defense:

Republicans (10) Democrats (6)

Jerry Lewis—Chair

Bill Young

Joe Skeen

David Hobson

Henry Bonilla

George Nethercutt

Ernest Istook

Duke Cunningham

Jay Dickey

Rodney Frelinghuysen

John P. Murtha—Ranking Member

Norman Dicks

Martin Olav Sabo

Julian Dixon

Peter Visclosky

James Moran

The Subcommittee on Defense has jurisdiction over for appropriations for:

(a) The Department of Defense and the military departments;

(b) The Ballistic Missile Defense Organization;

(c) The Defense Agencies;

(c) The Defense Finance and Accounting Service;

(e) The Defense Health Program (TRICARE));

 

27 The RRF consists of commercial vessels owned by the United States and kept in mothball status for use in times of national

emergency to transport equipment and supplies. The last large scale usage was during the Persian Gulf Crisis of 1990-1991.
16

(f) The Defense Conversion Committee;

(g) The Defense Logistics Agency;

(h) The Intelligence Community;

(i) The National Guard and the Reserve Components;

(j) The National Security Agency;

(k) The National Reconnaissance Office;

(l) Appropriations pertaining to the North Atlantic Treaty

Organization (NATO);

(m) Overseas Dependent Education; and

(n) Uniformed Services University of Health Services.

(4) Subcommittee on the District of Columbia:

Republicans (6) Democrats (3)

Ernest Istook—Chair

Duke Cunningham

Todd Tiahrt

Robert Aderholt

Jo Ann Emerson

John Sununu

James Moran—Ranking Member

Julian Dixon

Alan Mollohan

The Subcommittee has jurisdiction over appropriations for the District of Columbia and

St Elizabeth's Hospital. Depending on terrorist activities, DC appropriations could have a

national security impact.

(5) Subcommittee on Energy and Water Development:

Republicans (6) Democrats (4)

Ron Packard—Chair

Harold Rogers

Joe Knollenberg

Rodney Frelinghuysen

Sonny Callahan

Tom Latham

Peter Visclosky—Ranking Member

Chet Edwards

Ed Pastor

Michael Forbes

This subcommittee has jurisdiction over some activities of the Department of Defense,

the Department of Energy, and the Department of the Interior.

Activities which have potential national security impact include:
17

(a) Atomic Energy Defense Activities, the Energy Department (less fossil

fuels, conservation, compliance, regulation, and information), the Federal Energy Regulatory

Commission. (Department of Energy);

(b) The Bureau of Reclamation (Department of Interior);

(c) The Nuclear Regulatory Commission; the Nuclear Waste

Technical Review Board;

(d) The Department of the Army Civil works and the Corps of

Engineers civil works the Defense Nuclear Facilities Safety Board (Department of

Defense); and

(e) The Tennessee Valley Authority and other regional power

administrations.

(6) Subcommittee on Foreign Operations, Export Financing and Related

Programs:

Republicans (7) Democrats (5)

Sonny Callahan—Chair

John Edward Porter

Frank Wolf

Ron Packard

Joe Knollenberg

Jack Kingston

Jerry Lewis

Nancy Pelosi—Ranking Member

Nita Lowey

Jesse Jackson

Carolyn Kikpatrick

Martin Olav Sabo

The Subcommittee on Foreign Operations' jurisdiction includes appropriations for

Treasury, State, and Defense.

National Security related appropriations include:

(a) International Development Association, International Finance

Corporation, and International Financial Institutions; the Export-Import Bank African and

Asian Development (Treasury Department);

(b) The Agency for International Development and DoS AntiTerrorist programs (Department of State);

(c) Foreign Military Financing and International Military Education

and Training programs (Defense Department);

(d) Migration and Refugee Assistance, Trade and Development

Agency, and the Peace Corps.
18

(7) Subcommittee on Interior:

Republicans (8) Democrats (5)

Ralph Regula—Chair

Jim Kolbe

Joe Skeen

Charles Taylor

George Nethercutt

Zach Wamp

Jack Kingston

John E. Peterson

Norman Dicks—Ranking Member

John P. Murtha

James P. Moran

Bud Cramer

Maurice Hinchley

The Subcommittee on Interior has jurisdiction over some programs of the Department of

Interior, Energy and health and Human Services.

The following appropriations have national security implications:

(a) Emergency Preparedness, Energy Conservation, Fossil Energy,

Naval Petroleum and Oil Shale Reserves, Strategic Petroleum Reserve, Fossil Energy

Research and Development, Energy Information Administration (Department of Energy);

(b) Bureau of Land Management, Bureau of Mines, Geological

Survey, Land and Water Conservation Fund, Office of Insular Affairs, Office of

Special Trustee (Department of Interior); and

(c) Outer Continental Shelf.

(8) Subcommittee on Labor, Health and Human Services, and Education:

Republicans (9) Democrats (6)

John Edward Porter—Chair

Bill Young

Henry Bonilla

Ernest Istook

Dan Miller

Jay Dickey

Roger Wicker

Anne Northup

Duke Cunningham

David Obey—Ranking Member

Steny Hoyer

Nancy Pelosi

Nita Lowey

Rosa DeLauro

Jesse Jackson, Jr.

The Subcommittee has jurisdiction over some programs in the Departments of Labor,

Health and Human Services, and Education:

Programs and activities that may have an impact on national security include:

(a) Community Health Centers; Drug Free Schools and

Communities Act, Centers for Disease Control and Prevention, Immunization Programs,

the National Institutes of Health, Health Professions Education, Job Opportunities and
19

Basic Skill Training Program, Office of Refugee Resettlement, Public Health Service,

Substance Abuse and Mental health Services (Department of Health and Human Services);

(b) Higher Education, International Education, Student Financial

Assistance Vocational and Adult Education (Department of Education);

(c) Job Corps (Department of Labor);

(d) The National Institute of Health, the U.S. Institute of Peace; and

(e) Social Security Administration.

(9) Subcommittee on Legislative:

Republicans (5) Democrats (3)

Charles Taylor—Chair

Zack Wamp

Jerry Lewis

Kay Granger

John Peterson

Ed Pastor—Ranking Member

John Murtha

Steny Hoyer

The Subcommittee is responsible for appropriations for the Congressional Budget

Office; the General Accounting Office; the Government Printing Office; the Capitol Police

Board; the Joint Economic Committee; the Joint Committee on Printing; the Joint

Committee on Taxation; the Stennis Center for Public Service, Training, and Development;

the Architect of the Capitol; the Botanic Garden; Books for the Blind and Physically

Handicapped; and the House and Senate. None of these appear to have a direct impact on

national security.

(10) Subcommittee on Military Construction:

Republicans (8) Democrats (5)

David Hobson—Chair

John Porter

Roger Wicker

Todd Tiahrt

James Walsh

Dan Miller

Robert Aderholt

Kay Granger

John Olver—Ranking Member

Chet Edwards

Sam Farr

Allen Boyd

Norman Dicks

The Subcommittee on Military Construction is responsible for Department of Defense

construction, remodeling, and facilities replacement projects for the Military Departments

(including family housing and the Reserve Components), the Defense agencies, NATO

infrastructure, and the Ballistic Missile Defense Organization. It also appropriates funds for the

Homeowners Assistance Fund and base closure accounts. Most of these have a direct impact on

national security.
20

(11) Subcommittee on Transportation:

Republicans (9) Democrats (6)

Frank Wolf—Chair

Tom DeLay

Ralph Regula

Harold Rogers

Ron Packard

Sonny Callahan

Todd Tiahrt

Robert Aderholt

Kay Granger

Martin Slabo—Ranking Member

John Olver

Ed Pastor

Carolyn Kilpatrick

Jose Serrano

Michael Forbes

The Subcommittee is responsible for appropriations for various Department of

Transportation activities and several boards and commissions.

Those that have national security implications include:

(a) The Federal Aviation Administration, the Federal Highway

Administration, the Federal Railroad Administration, the Federal Transit Administration,

the Office of Commercial Space Transportation, and the U.S. Coast Guard (Department of

Transportation);

(b) It also appropriates funds for the Interstate Commerce

Commission, the National Transportation Safety Board, and the Panama Canal

Commission.

(12) Subcommittee on Treasury, Postal Service, and General Government:

Republicans (6) Democrats (4)

Jim Kolbe—Chair

Frank Wolf

Anne Northup

Jo Ann Emerson

John Sununu

John Peterson

Steny Hoyer—Ranking Member

Carrie Meek

David Price

Lucille Roybal-Allard

The Subcommittee on Treasury and General Government funds a variety of

government activities in the Executive Office of the President, the Treasury Department,

the General Services Administration, the U.S. Postal Service, and several independent

Executive Branch offices.

Activities that have a bearing on national security include:

(a) The National Security Council, the National Economic Council,

the Council of Economic Advisors, the Office of Management and Budget, and the Office

of Policy Development (Executive Office of the President);
21

(b) The Bureau of Alcohol, Tobacco, and Firearms; the Federal Law

Enforcement Training Center; the Financial Crimes Enforcement Network; the Financial

Management Service; the Internal Revenue Service; the U.S. Customs Service, and the

U.S. Secret Service (Department of Treasury);

(c) Public Buildings Service (General Services Administration); and

(d) The Office of National Drug Control Policy.

(13) VA, HUD, and Independent Agencies:

Republicans (8) Democrats (5)

James Walsh—Chair

Tom DeLay

David Hobson

Joe Knollenberg

Rodney Frelinghuysen

Roger Wicker

Anne Northup

John Sununu

Alan Mollohan—Ranking Member

Marcy Kaptur

Carrie Meek

David Price

Bud Cramer

The Subcommittee appropriates funds for a variety of Veterans Affairs, Housing

and Urban Development, Health and Human Services, and independent activities. Those

that have implications for national security include:

(a) The Chemical Safety and Hazard Investigation Board, the

Agency for Toxic Substances and Disease Registry (Health and Human Services);

(b) Council on Environmental Quality and Office of Environmental

Quality, Office of Science and Technology policy (Executive Office of the President);

(c) The National Science Foundation;

(d) The Selective Service System;

(e) The Federal Emergency Management Agency; and

(f) The National Aeronautics and Space Administration.
22

5. Formal National Security Process Involvement.

A. Overview:28

Figure 1: House Committee on Appropriations' involvement in national security

(1) Appropriations Fundamentals: At the outset, several premises should be

kept in mind. First, government departments and agencies cannot spend more money than

Congress appropriates to them, nor can they reprogram funds for purposes other than those

prescribed by Authorization and Appropriations bills and reports without approval. Second,

according to Congressional rules, when specific amounts are specified in authorizing legislation,

the Appropriations Committee and its Subcommittees may not appropriate more money than the

authorizing legislation allows. Third, appropriating and legislating are considered separate and

distinct functions. House Rules prohibit using appropriations bills as vehicles for language that

changes or repeals existing law or enacts new law by providing for a "point of order" to be raised

against the portion of the appropriations measure that includes this language.29 In the House of

Representatives, however, prior to floor consideration of a measure, the Committee on Rules

must draft specific rules that set the parameters for debating the bill. These rules, which reflect

the interests of the majority, may waive or disallow points of order against appropriating

measures. Thus appropriations measures may, and often do, include legislative provisions.30 If

such provisions are in conflict with authorizing provisions, the most recently passed bill has

precedence.

(2) Accounts: In Congressional appropriations, the account is the most basic unit

of appropriations legislation. Accounts are divided into single unnumbered paragraphs in

appropriations bills, and each unnumbered paragraph applies to one account alone.31 Many

Department or Agencies appropriations may be bundled into a single account, and it is not

unusual to find agency salaries and expenses funded from a single account. Appropriations bills

 

28 See the section of the report entitled House International Relations Committee for a detailed account of the committee

process. See also Johnson, Charles W. (Parliamentarian, U.S. House of Representatives, hereafter Johnson). How Our Laws

Are Made: Revised and Updated September 1999, at http://thomas.loc.gov/home/holam/txt.

29 Clause 2, Rule XXI Rules of the House of Representatives—106th Congress.

30 U.S. House of Representatives, Committee on Rules, Majority Office, "Legislating and Appropriating in the House," at

http://www.house.gov/rules/legapp_house.htm.

31 Numbered paragraphs apply to all accounts in an appropriations bill. Generally, numbered paragraphs provide limitations,

legislative provisions, and provisions that apply across the government. See Schick, Chapter 8.

Strategy

Development

Policy, Guidance,

and Regulations

Planning

Mission Execution

Observation, 

Orientation,

and Oversight

Preparation

Resourcing

Appropriations Bills

Products

 

Roles Fund the Government  

Appropriations Bills
23

often contain information and instructions about how these funds are to be spent, but most of the

detail will be placed in the accompanying Committee report.32

(3) Reports: Appropriations report language that accompanies House and

Conference bills focuses on specific programs, such as those for which the Committee has

"earmarked funds" or cases for which it is appropriating more or less than the original proposal.

The process of ear marking funds for particular programs often involves heated debates and

should never be viewed as a trivial matter. "When a particular item is mentioned by the

committee, there is a strong expectation that the agency will adhere to the instructions."33 If it

does not, the Department or Agency may find its appropriations reduced during the next year or

find provisions that were originally part of the report inserted into next year's bill as law. Other

reports that may apply to appropriations measures include:

(a) Hearing Reports, produced by Committee or Subcommittee staff,

record the testimony, questions, and answers from hearings. They are records of events, and the

Committee or Subcommittee usually does not vote them out. While they may contain important

information, they are not authoritative.

(b) Investigative Reports deal with specific matters, activities, or

programs over which the Committee has jurisdiction. If the Committee or Subcommittee issues

them they are voted out. If the staff issues them, they may be voted out or released by the

Committee or Subcommittee Chair. In the case of appropriations, investigations may be done by

the staff or for the Committee by the General Accounting Office and may examine how well a

Department or Agency used the BA appropriated for it.

(4) Spending: There are two basic types of spending: discretionary and direct.

Discretionary spending is subject to annual appropriations. The majority of discretionary

spending funds government departments and agencies.

About two-thirds of the Federal Budget consists of direct or mandatory spending.

Mandatory spending refers to funding for entitlement programs authorized by permanent

legislation, and thus not subject to annual appropriations. Mandatory spending covers programs

such as Medicare and Medicaid, Social Security, and interest on the debt. Some entitlements are

subject to action by the Appropriations Committee annually, but it has little control over them at

this point and the money will be made available for them regardless. There has been an increase

in the number of direct spending programs in recent years, due in part to Authorizing Committee

action to transfer funding authority away from the Appropriations Committee.34 However, it is

mostly the result of entitlement growth in social security and health.

(5) Types of Appropriations: Within discretionary spending there are three types

of appropriations: Regular–those that occur in the "due-course annual" appropriations process;

Supplemental–those that fund emergency requirements; and Continuing–those that fund

activities and agencies not provided for in regular appropriations for whatever reason. There are

 

32 Keith, Robert. Introduction to the Federal Budget Process. Washington, D.C., The Congressional Research Service, 1998

(Report number 98-721 GOV), p. 21.

33 Keith, Robert. Introduction to the Federal Budget Process. Washington, D.C., The Congressional Research Service, 1998

(Report number 98-721 GOV), p. 22.

34 See also Schick, pp. 123-127.
24

13 Regular appropriations (one per Subcommittee) each year, while the number of Supplemental

and Continuing appropriations vary. As the need arises, Supplemental and Continuing

Resolutions are assigned to the appropriate subcommittees for deliberation and mark up.

Because these irregular appropriations normally contain funding for several different activities,

more than one Subcommittee is usually involved in the process.

Regular appropriations may be annual, multiyear, or no year. Annual appropriations are

valid only for the fiscal year for which they are appropriated, while multiyear appropriations

have time limits of several years or more. No year appropriations are open-ended appropriations

that are in effect indefinitely.

B. Appropriations Committee and Subcommittee Processes:

(1) Initiation of the Annual Appropriations Process: Once Congress receives

the President's Budget, it must first adopt a joint budget resolution before either authorization or

appropriations committees can take substantive action on it. (See Volume II, Chapter 3 for

information on how the President's Budget is prepared.)

The joint budget resolution sets overall totals in the deficit or surplus and provides

controls by function. The Joint Budget Resolution allocates spending caps to each committee,

and committees cannot exceed these caps without triggering reconciliation or other actions. As

noted in the FY 2000 budget, the budget resolution "provides the framework within which

congressional committees prepare appropriations and other spending and receipts legislation."35

Once the House Appropriations Committee receives its cap, it must reallocate specific dollar

allocations among the Subcommittees. The Chair makes these allocations pursuant to Section

602 of the Omnibus Budget Reconciliation Act of 1990, and in consultation with the

Subcommittee Chairs.36

The requirement to remain within the dollar allocations provided by the Chair means,

"subcommittees can no longer act independently ... and without regard for the total or how much

is available for all subcommittees."37 Overall, one effect of budget caps on the process has been

to force the Appropriations Subcommittees to recognize spending limits and coordinate spending

plans. Because mark ups are conducted in a zero sum atmosphere, a Subcommittee cannot

increase its share of the total unless the additional funding, or offset, comes from another

Subcommittee. As one observer notes, this forces programs within a Subcommittee's jurisdiction

to compete with one another for funds.38 Witnesses who appear on behalf of Administration

programs are aware of the competitive nature of the mark up process and usually come to

hearings prepared to market their programs.

(2) Initiation of Appropriations Process in the House: In Congress,

appropriations measures traditionally originate in the House of Representatives, although there is

no constitutional requirement for them to do so.39 The Appropriations process begins with the

 

35 FY 2000 Budget, p. 2.

36 Public Law 101-508, Title VI—Budget Agreement Enforcement Provisions (www.thomas.loc.gov).

37 Schick, p. 135.

38 Schick, p. 137.

39 Although the Senate must await the House appropriations measure, Senate Subcommittees begin crafting amendments even

before receiving the House bill. Once the Senate Subcommittees receive the House bill, they can modify the underlying
25

submission of the President's Budget. Once the budget is released, the House Appropriations

Committee holds hearings on the budget. Full Committee hearings typically involve senior

Office of Management and Budget (OMB) officials who present the Administration's case for the

budget, and sources other than the Administration, including the Congressional Budget Office

(CBO). As described below, Subcommittees also hold hearings on the specific portions of the

budget for which they have jurisdiction, and typically receive testimony from Departments and

agencies.

Upon approval of the Budget Resolution, the Committee divides the aggregate figure for

discretionary spending established in the Resolution among the 13 Subcommittees. The

Subcommittees then begin assembling the appropriations measure funding the agencies within

their realm of responsibility. (For Subcommittees' jurisdiction, see paragraph 4.E., above.)

(3) The Subcommittee Process:40 Subcommittees assemble appropriations

measures using the previous year's appropriations and the President's budget as a guide,

increasing or decreasing funding according to their Members' priorities. In other words, most of

the Subcommittees' deliberations focus on marginal changes in spending from the present year to

the next, rather than major policy debates.41

Subcommittees begin their activities by reviewing Administration justifications for items

in the budget. These justifications are detailed, but emphasize the amount of increase or

decrease over the past year's funding. Members and staff will frequently discuss these

justifications with Administration officials off line. Members also examine staff and General

Accounting Office (GAO) investigations of activities and programs prior to holding hearings.

During this and all other phases, OMB submits Statements of Administration Policy (SAPs) to

ensure the Subcommittees understand Administration preferences and the extent to which the

Administration is willing to go to achieve them. SAPs, however, usually come after House and

Senate versions of a bill are married together.

Subcommittees complement this information with additional information gathered from

hearings. Hearings are carefully orchestrated between House and Subcommittee staff. The

Subcommittee staffs produce witness lists, and witnesses normally provide written copies of

their testimony in advance.42 Administration witnesses are advocates for the President's Budget,

and their testimony is carefully prepared and cleared through OMB. (See Volume II, Chapter 3.)

Staff members often recommend lines of questioning and specific questions for Members to use

during the hearings. Members' personal staffs often do the same. How much information

witnesses reveal that is counter to the Administration's official position depends on the questions

they are asked and the skill of the questioners.

 Following hearings, the Subcommittee marks up its appropriations measure within Joint

Budget Resolution caps. Mark up is a line-by-line review that includes amending the original

 language accordingly. In addition, if the House delays passage of its version of the appropriations bill too long, the Senate

may craft its own version. See section on Senate Committee on Appropriations in this volume.

40 This section is drawn from: U.S. House of Representatives, Committee on Rules, Majority Office, "The Appropriations

Process," at http://www.house.gov/rules/approps_proc.htm, and Streeter, Sandy, The Congressional Appropriations Process:

An Introduction, CRS Report for Congress (Washington, D.C.: Congressional Research Service, August 3, 1999.)

41 See Schick, Chapter 7 and Keith.

42 Generally, oral testimonies from witnesses summarize their longer written testimonies and both become part of the hearing

record.
26

language (and often the intent) to bring it in line with Subcommittee member preferences.

Subcommittees may include "earmarks," or provisions that require certain amounts to be

expended for particular projects or activities, although most earmarking is found in the

accompanying report. When mark up is complete, the Subcommittee votes on the bill and

reports it out to the full Committee. Generally, the full Committee reports out Subcommittee

bills to the House floor without amendment. Usually, bills sent to the floor will be accompanied

by a written report (prepared by the committee staff) that explains the committee's actions,

describes the rewritten bill, and makes arguments for passage.43 Once on the floor, Committee

Members will manage the bill during deliberation.

(4) Consideration by the Full House: The House takes up each of the 13

appropriations measure in turn and debates and votes on each as they are reported out. Action on

the House floor depends on the rules in effect. Rules specify the amount of time allowed for

debate, what amendments can be made to the bill, and whether points of order may be made on

the measure (see paragraph 5.A.(1).) Once the full House has voted to accept the rule, the

Subcommittee Chair and Ranking Member provide an overview of the appropriation bill in

question, which consists of a comparison between the present year's spending levels and those

recommended by the Subcommittee for the next fiscal year. The House debates the bill and then

begins consideration of each amendment.44 After debate, the House votes on each amendment

and then on the full appropriations measure as amended. If the House passes the bill, it sends it

to the Senate for consideration and action. (See Chapter 7, on the Senate Committee on

Appropriations, in this volume.)

(5) Conference: Once the Senate has acted on the House measure, the House and

Senate begin conference proceedings to reconcile any differences in their respective versions.

Conferences are characterized by intense negotiating sessions between House and Senate staff

and between Senators and Members of the House. Generally, the only issues discussed are the

Senate amendments to the original House bill. Unamended passages are assumed to be

acceptable to the Senate and are not renegotiated.

The conference report that accompanies the bill is an amendment-by-amendment account

of the actions of the conference committee with recommendations for how the two houses should

vote. It also contains instructions, earmarking provisions, and other information. In order to

understand the final bill, Administration Departments and Agencies must consult both the report

and the bill. As noted earlier, the report is not legally binding, but Congress expects that the

Administration will abide by its provisions.

(6) Actions by Both Chambers: Once agreement is reached in conference, the

House and Senate must then vote to approve the reconciled measure. Usually, the House votes

first and then sends the measure to the Senate.

(7) Presidential Action: In final form, when passed by both chambers,

appropriations bills are sent to the White House for the President's signature. If the President

approves the bill, it becomes law. If he vetoes it, it is returned to Congress for changes that make

 

43 Reports are numbered consecutively, beginning with the first report or a Congress. Thus, although they often are released

nearly simultaneously with a bill, Committee report numbers will not correspond to bill numbers.

44 In considering the bill and amendments, the House acts as a Committee of the Whole. Once debate and amendment time is

over, the Committee of the Whole reconstitutes itself as the House for the vote.
27

it acceptable to the President or for votes to override his veto. A bill may also become law if the

President does not sign it and fails to return it to Congress within 10 days when Congress is still

in session.

(8) Structure of Appropriations Bills: Every appropriations bill has three

general features: an enactment clause designating the fiscal year; account appropriations and

specific account provisions; and provisions that generally apply. General provisions can include

limitations on obligations, "legislation" or authorization language, and provisions that apply

across the government. 45

C. Strategy Development:

(1) Major Activities: The Committee has no direct involvement in strategy

development. However, through the hearing process described above, the Committee can

influence the Administration's choices.

(2) Major Stakeholders: None.

(3) Key Organizational Processes: Hearings.

(4) Associated Higher-Level Processes: Authorization.

(5) Associated Lower-Level Processes: Executive Branch Budget Preparation.

(See Volume II, Chapter 3.)

D. Policy, Guidance, and Regulation:

(1) Major Activities: As House rules do not allow an appropriations measure to

include legislative language, the Committee has no formal involvement in policy, guidance, and

regulation. Despite the rules, however, legislative provisions (e.g., new laws or changes to

existing laws and regulation) find their way into appropriations bills. Limitations on spending,

which constitute guidance and attempts to influence policy, are also included (i.e., "except that

no funds may be expended for. . ."). Finally, accompanying reports often contain guidance on

how appropriated funds may or may not be obligated.

(2) Major Stakeholders: Departments and Agencies.

(3) Key Organizational Processes: Committee and Subcommittee Hearings and

Mark Ups.

(4) Associated Higher-Level Processes: Authorization.

(5) Associated Lower-Level Processes: Executive Branch Budget Preparation.

(See Volume II Chapter 3.)

E. Planning: No involvement.

 

45 Schick, p. 149 and 156.
28

F. Mission Execution: No involvement.

G. Observation, Orientation, and Oversight:

(1) Major Activities: Reviews spending of departments, agencies, and programs

under its jurisdiction. Investigates programs and activities, publishes investigative reports,

conducts hearings, and publishes hearing reports.

(2) Major Stakeholders: Departments, Agencies, Program Managers.

(3) Key Organizational Processes: Committee and Subcommittee Hearings and

Studies.

(4) Associated Higher-Level Processes: Authorization.

(5) Associated Lower-Level Processes: Executive Branch Budget Preparation.

(See section entitled Office of Management and Budget.)

H. Preparation: No Involvement.

I. Resourcing:

(1) Major Activities: The Committee marks and reports to the House 13

Appropriations bills that provide annual (and, under certain conditions, multiyear) funding for all

U.S. Government Departments and Agencies and the District of Columbia. The Committee

usually also considers at least one supplemental appropriations bill and one continuing resolution

each year. (See paragraph 5.)

(2) Major Stakeholders: All Departments and Agencies; Authorization

Committees.

(3) Key Organizational Processes: Committee and Subcommittee hearings;

Mark Ups; House Senate Conferences.

(4) Associated Higher-Level Processes: Authorization.

(5) Associated Lower-Level Processes: Executive Branch Budget Preparation.

(See Volume II, Chapter 3.)

6. Informal National Security Process Involvement.

A. Contacts with Administration Officials: In addition to formal hearings, written

testimony, written responses to questions, and SAPs, informal contacts with Administration

officials occur throughout the appropriations process. Both Members and staff members hold

informal discussions with the Departments and Agencies for which they have jurisdiction. This

occurs in much the same way that OMB staff contacts with Departments and Agencies do, and

the purpose is to determine true needs and to separate them from nice-to-have programs. These
29

contacts also provide Appropriators with funding ranges and what must be given up as the

amount of funding decreases.

Informal contacts with Administration officials also play a role in "end running" OMB

scrutiny or their testimony. Administration officials are constrained to follow the policies and

priorities established by the President and overseen by OMB. OMB reviews all official

Administration testimony and all formal communications between Committees and Executive

Branch officials. Thus, Administration officials cannot volunteer information during hearings.

Informal, pre-hearing contacts can help identify questions that will provide information that

would not normally be made available.

B. Contacts with Other Members: Appropriations are the primary way that

government funding reaches the States. Appropriations may be for civil works projects,

government buildings or installations, or contractor programs. Regardless of purpose, Members

often seek to initiate, sustain, or increase the amount of funding for their States. If a Member is a

member of the Appropriations Committee, the task of ensuring that funds are earmarked for

favorite projects is not especially daunting. Generally, the Subcommittees honor requests by

their Members and those of other Appropriations Committee Members. For Members who do

not serve on the Appropriations Committee, the task is more difficult. Each year the number of

requests for earmarks exceeds budget caps, which requires Members on the Subcommittees to

make choices among competing requests from their colleagues. The tendency is to ensure that

every Member receives at least some of what he/she requests in order to ensure support for the

Appropriations bills on the floor and to build alliances for other matters. Attempts to obtain

earmarks are characterized by personal negotiations between Members and between their staff

representatives.

7. Funding and Personnel.

A. Funding Sources: The House Appropriations Committee is funded through the

Legislative Branch Appropriations.

B. Budget: The operating budget for the House Appropriations Committee for FY00 is

$21.095 million.46

C. Manpower: The Committee has a total of 61 Members of the majority and minority.

Current, total staff numbers were not available. (See paragraph 4, C above.)

8. Observations.

A. Importance of Informal Consultations: From a Department or Agency perspective,

informal contacts with Appropriations Committee Members and staff can be helpful in ensuring

programs are adequately funded. This is especially important in the zero sum atmosphere

brought about by the joint budget resolution. It is also important when implementing report

language. Informal contacts may enable a Department or Agency to achieve some latitude in

how it implements report provisions.47

 

46 Phone interview with staff of the Legislative Branch Subcommittee of the Senate Appropriations Committee.

47 Schick, p. 162.
30

B. Using Appropriations to Compel Executive Action: Despite the rules that govern

the appropriations and legislative processes, the House, and legislative branch as a whole, has

great latitude in amending those processes to meet its objectives. For example, the House may

pass legislation that amends existing rules so as to use appropriations measures to legislate

changes to existing laws that affect national security. Or, it may carefully craft appropriating

language so as to compel the Administration to make changes in policy nonetheless. Depending

on the relationship between the Legislative and Executive Branches, and the relative power of

the majority over the minority, appropriating measures may prove powerful tools for the

Legislative Branch in influencing the Executive.
APPENDICES
Appendix 1

House Appropriations Committee - Key Process - (Formal) - 

President House Appropriations

Subcommittee

House Appropriations

Committee House Senate Interagency Inter-Branch IWG (InteragencyWorking Group)

Issue SAP (OMB)*

Start

Submit

Budget to

Congress

ScheduleOversight

Hearings

Produce Witness List

(Subcommittee Staff)

Receive Written

Testimony of

Witness

Develop Questions

for Hearings

(Subcommittee Staff)

Conduct

Hearings

Mark Up Original

Appropriation /

Reallocate Funding Based

on JBRs

Approve Bill?

Send to Full

Committee for

Approval

Review

Administration

Budget

Justifications

Examine Staff

and GAO

Investigations of

Activities

Approve

Appropriation

Prepare DraftAppropriation

Reflecting Committee

Changes

Prepare Written

Report Explaining

Committee Actions 

Send to Full

House for

Deliberations

Conduct

Hearings

(OMB, CBO, and

Other Sources)

Provide an Overvie

Appropriation Focu

on Spending Le

Changes and Mark 

Provide Testimony by

Administration that is

prepared and cleared

through OMB

Provide Testimony of

Non-Administrations

Officials (GAO)

A

A

B

B

Yes

Yes

No

No

* SAP can be sent at any time.
ORGANIZATIONAL DESCRIPTION

HOUSE COMMITTEE ON ARMED SERVICES

Prepared for the U.S. Commission on National Security/21st Century
2

EXECUTIVE SUMMARY

House Committee on Armed Services (HASC)

Overview

The House Committee on Armed Services (HASC) is an authorizing committee, which

considers virtually all legislation pertaining to U.S. defense, military forces, military

procurement, and military research and development. Specifically, its jurisdiction includes:

• Ammunition depots; forts; arsenals; and Army, Navy, and Air Force reservations

and establishments;

• Common defense;

• Conservation, development, and use of naval petroleum and oil shale reserves;

• The Department of Defense generally, including the Departments of the Army, Navy, and

Air Force, generally;

• Interoceanic canals generally, including measures relating to the maintenance, operation,

and administration of interoceanic canals;

• Merchant Marine Academy and State Maritime Academies;

• Military applications of nuclear energy;

• Tactical intelligence and intelligence-related activities of the Department of Defense;

• National security aspects of merchant marine, including financial assistance for the

construction and operation of vessels, maintenance of the U.S. shipbuilding and ship repair

industrial base, cabotage, cargo preference, and merchant marine officers and seamen as these

matters relate to the national security;

• Pay, promotion, retirement, and other benefits and privileges of members of the armed

forces;

• Scientific research and development in support of the armed services;

• Selective service;

• Size and composition of the Army, Navy, Marine Corps, and Air Force;

• Soldiers' and sailors' homes; and

• Strategic and critical materials necessary for the common defense;
3

As an authorizing committee, the HASC has influence over the organization and structure,

roles, responsibilities, and the amount of funding for activities that come within its scope of

authority. It conducts hearings and authors legislation and reports on matters within its

jurisdiction. As with most House Committees, the HASC plays an important role in selecting

which legislative proposals within its jurisdiction will receive consideration by the full House.

In this role the Committee:

• Schedules legislation for consideration;

• Conducts hearings and studies;

• Marks up the proposed bills and resolutions;

• Amends and votes on them at the Subcommittee and Committee level;

• Reports them to the full House;

• Participates in conferences with Members of the House of Representatives;

• Reports to the House joint bill/resolutions arrived at in conference with the Senate;

• Manages enactment of joint bills/resolutions on matters within its jurisdiction; and

• Provides oversight of matters enacted into law.

Committee and Subcommittee Chairs exercise a great deal of authority throughout.

Organization

The Committee is a standing committee under House rules. It currently consists of 60

members, 32 Republicans and 28 Democrats, and is supported by a professional staff of 29. It is

organized into five Subcommittees and two panels. Subcommittees conduct hearings and mark

up legislation on the issues within their jurisdiction. They are permanent organizations. Panels

are empowered to receive testimony, conduct inquiries, and exercise oversight over specific

issues, but may not mark up legislation. Panels are established by the Committee Chair for a

renewable period of six months. The Subcommittees are:

• Military Installations and Facilities;

• Military Personnel;

• Military Procurement;

• Military Readiness; and

• Military Research and Development.
4

Currently, the two oversight panels of the HASC are:

• Morale, Welfare, and Recreation; and

• Merchant Marine.

Major Organizational Products

The Committee's products are marked-up legislation, hearings, and reports. The principal

legislative product of the HASC is the annual Defense Authorization. The HASC also provides

oversight of the activities of the Executive Branch agencies within its realm of responsibilities

(e.g., the Department of Defense, the Military Services, the defense agencies, and certain

activities of the Department of Energy.)

Role in Formal and Informal National Security Processes

The matrix below summarizes the Committee's role in national security:

Strategy Development. The Committee and its Subcommittees can influence Executive Branch

strategy development in a number of ways. They can hold hearings and prepare hearing reports

and staff reports that highlight important strategic issues. They can also draft authorization bills

and bills that affect various defense activities of the U.S. Government (such as military

procurement and research and development) that can limit the Administration's strategic options.

Similarly, the HASC can influence strategic development by the amount of funding it

makes available for various Administration agencies and activities. It can influence Senate

actions along these lines through conferences and reports. Through management of House floor

debates and introduction of Committee amendments, it can affect the final shape of the

legislation it reports to the full House for consideration.

Policy, Guidance, and Regulation. Through hearings and hearing reports, the Committee can

affect Administration policy options and regulatory measures. For example, in 1985, the HASC

Strategy

Development

Policy, Guidance,

and Regulations

Planning

Mission Execution

Observation, 

Orientation,

and Oversight

Preparation

Resourcing

Products

Hearing Reports    

  

 

 

 

 

Roles

Advice and Consent     

Products

Hearing Reports

Bill/Resolution Report

Committee/Staff 

Conference Report

Subpoenas

Committee 
5

marked-up legislation, later passed and signed into law as the Goldwater-Nichols Act, that

reorganized the Department of Defense, giving greater authority to the Chairman of the Joint

Chiefs of Staff, among other innovations.

Planning. Although the Committee has no direct role in national security planning, it can

influence the Executive Branch by conducting closed hearings and commenting on the

Administration's plans. It can also expand or restrict the latitude of the Administration with

respect to specific issues by reporting out and working to pass legislation that sets specific

guidelines for the Executive Branch with respect to specific issues. For example, the HASC

marked up legislation, later passed by both chambers and signed into law, that mandates the

deployment of national missile defenses.

Mission Execution. The HASC has no involvement over mission execution, although it can

influence how the Administration manages ongoing missions through hearings and legislation

that restricts or supports specific undertakings. For example, the HASC may mark up legislation

authorizing supplemental funding to sustain troops involved in a military intervention.

Observation, Orientation, and Oversight. The Committee exercises its oversight authority

through hearings, investigations, and inquiries. It orients the Executive Branch through hearing

and investigative reports.

Preparation. The HASC may influence the way in which Executive Branch agencies prepare

by writing specific requirements for training or acquisition into law. For example, the

Committee may specify certain requirements for basic training for male and female recruits. The

HASC may also specify how many particular systems the Defense Department may acquire in a

specific time period.

Resourcing. All the Committee's activities have resource implications, especially in marking up

the annual Defense Authorization legislation that provides guidelines for the Appropriation

Committee in appropriating funds.

Informal processes involve primarily Member contact with Administration officials and

Committee staff contact with Executive Branch staff. Individual Members and Committees also

issue press releases about issues, focusing the public's attention on them in an attempt to

influence the Administration.

Observations

Given the overwhelming number of legislative proposals generated in Congress each

year, the Committee system acts as a funnel to ensure that only the most significant are brought

to the House floor for consideration. Delays and failures are usually the result of political

considerations, not the system per se.

Hearings are powerful tools and often serve as a focal point for key national security

debates. They highlight issues and generate support, and the resulting bills and resolution reports

can produce significant changes. For example, Authorization bills and accompanying reports

can require Executive Branch agencies to report on programs, processes, and procedures; reduce

or increase the authorized funding; and earmark funds for particular purposes.
6

By reporting bills out of Committee, the Committee can affect Administration policy,

organizational structures of the Department of Defense and related organizations, and the

resourcing of some Executive Branch activities.

The Committee Chair controls Committee processes through personal interaction with

other Members and by control over Committee staff. Although they must compromise with

Ranking Members in many cases to ensure passage of a particular piece of legislation in

Committee, the Chair has great latitude in scheduling legislation for consideration and calling

hearings.

The power and influence of Congressional Committees depends on a unique blend of five

factors: Committee jurisdiction; the issue under consideration; the politics surrounding that issue;

the personal position, influence, and demeanor of the Chair; and Committee norms and

traditions. Depending on circumstances, any one of these factors may prevail for a given event.

For example, if the issue under consideration is one that threatens national security, then the

issue will have priority over politics, jurisdiction, the Chair, and the way matters have been

handled traditionally. Or, if the nation is concerned about an issue, then political considerations

may predominate.
7

ORGANIZATIONAL DESCRIPTION

HOUSE COMMITTEE ON ARMED SERVICES

1. Legal Specifications, Authorizations, and Responsibilities.

Authorization: Committees are creations of Congress, for which there is no requirement

in the U.S. Constitution or U.S. Code. Congress establishes Committees to organize itself to

carry out its constitutional responsibilities. House Rules X and XI govern the organization and

procedures of House Committees. Additionally, at the beginning of every Congress, each

Committee adopts rules of procedures that are generally consistent with House rules but may

provide additional detail on the means by which the Committee will discharge its

responsibilities.1

2. Missions/Functions/Purposes.

A. Major Responsibilities: The Committee on Armed Services (HASC) has jurisdiction

over the following matters:2

(1) Ammunition depots; forts; arsenals; and Army, Navy, and Air Force

reservations and establishments [Key Process Relation: Policy, Guidance, and Regulation;

Observation, Orientation, and Oversight; Resourcing];

(2) Common defense generally [Key Process Relation: Strategy

Development, Policy, Guidance, and Regulation; Observation, Orientation, and Oversight;

Resourcing];

(3) Conservation, development, and use of naval petroleum and oil shale

reserves [Key Process Relation: Policy, Guidance, and Regulation; Observation, Orientation, and

Oversight; Resourcing];

(4) The Department of Defense generally, including the Departments of

the Army, Navy, and Air Force, generally [Key Process Relation: Policy, Guidance, and

Regulation; Observation, Orientation, and Oversight; Resourcing];

(5) Interoceanic canals generally, including measures relating to the

maintenance, operation, and administration of interoceanic canals [Key Process Relation:

Policy, Guidance, and Regulation; Observation, Orientation, and Oversight; Resourcing];

(6) Merchant Marine Academy and State Maritime Academies [Key

Process Relation: Policy, Guidance, and Regulation; Observation, Orientation, and Oversight;

Resourcing];

 

1 Sachs, Richard C. and Carol Hardy Vincent. Hearings in the House of Representatives: A Guide for Preparation and

Conduct. CRS Report to Congress. (Washington, D.C.: Congressional Research Service, August 10, 1999).

2 The following is drawn from: Rules of the House of Representatives—106th Congress, Rule X: Organization of

Committees, Committees and Their Legislative Jurisdictions.
8

(7) Military applications of nuclear energy [Key Process Relation: Policy,

Guidance, and Regulation; Observation, Orientation, and Oversight; Resourcing];

(8) Tactical intelligence and intelligence-related activities of the

Department of Defense [Key Process Relation: Policy, Guidance, and Regulation; Observation,

Orientation, and Oversight; Resourcing];

(9) National security aspects of merchant marine, including financial

assistance for the construction and operation of vessels, maintenance of the U.S. shipbuilding

and ship repair industrial base, cabotage, cargo preference, and merchant marine officers and

seamen as these matters relate to the national security [Key Process Relation: Policy, Guidance,

and Regulation; Observation, Orientation, and Oversight; Resourcing];

(10) Pay, promotion, retirement, and other benefits and privileges of

members of the armed forces [Key Process Relation: Policy, Guidance, and Regulation;

Observation, Orientation, and Oversight; Preparation; Resourcing];

(11) Scientific research and development in support of the armed services

[Key Process Relation: Policy, Guidance, and Regulation; Observation, Orientation, and

Oversight; Resourcing];

(12) Selective service [Key Process Relation: Policy, Guidance, and

Regulation; Observation, Orientation, and Oversight; Preparation; Resourcing];

(13) Size and composition of the Army, Navy, Marine Corps, and Air

Force [Key Process Relation: Policy, Guidance, and Regulation; Observation, Orientation, and

Oversight; Preparation; Resourcing];

(14) Soldiers' and sailors' homes [Key Process Relation: Policy, Guidance,

and Regulation; Observation, Orientation, and Oversight; Resourcing];

(15) Strategic and critical materials necessary for the common defense

[Key Process Relation: Policy, Guidance, and Regulation; Observation, Orientation, and

Oversight; Preparation; Resourcing].

B. Subordinate Committees: House Rules allow each Committee to form no more than

five subcommittees to consider and report bills on matters of jurisdiction.3 The HASC has five

subcommittees (see paragraph 4.E. for Subcommittee membership and jurisdiction):

(1) Military Installations and Facilities; 

(2) Military Personnel;

(3) Military Procurement;

(4) Military Readiness; and

 

3 Vincent, Carol Hardy. Committee Types and Roles, CRS Report or Congress. (Washington, D.C.: Congressional Research

Service, Mary 11, 1998.)
9

(5) Military Research and Development.

In addition, the Committee Chair has established two panels composed of Committee

Members to explore issues related to morale, welfare, and recreation of military personnel, and

merchant marine issues. The panels are not permanent, and must be reauthorized by the Chair

after six months of work.4

C. Major Products: The HASC produces hearing reports, bill and resolution reports,

committee and staff investigative reports, conference reports, and committee amendments for

legislation under consideration on the floor of the House. As an authorizing committee, the

HASC recommends funding levels for U.S. government operations and for new and existing

programs.

3. Vision and Core Competencies.

A. Vision: There is no published vision statement. Typically, Committees agendas and

operations reflect the views and priorities of the Committee and Subcommittee Chairs.

B. Core Competencies: The core competencies of the HASC are legislation and

oversight pertaining to U.S. national security matters and the operations of the Department of

Defense and the Military Services.

4. Organizational Culture.

A. Values: There are no published values.

B. Leadership Traditions: Committee and Subcommittee Chairs, selected in

accordance with party rules, have a great deal of influence over a Committee's operating

procedures. They also influence the legislative agenda of the Committee, selecting among the

various pieces of legislation referred by the Subcommittees those the Committee will consider.

Finally, Chairs have significant authority over which bill will be reported out of Committee for

action on the House floor. Committee Chairs are selected by the majority party based on several

considerations, including seniority, expertise on the issues, and how well they will represent the

majority party's interests in the role of Chair. The Chair also determines the working

relationship between the majority and minority on the Committee, usually by establishing a good

relationship with the Ranking Minority Member. Although the authority of the Chair is

undisputed, most Chairpersons will seek to establish a cooperative relationship with the minority.

C. Staff Attributes: The Committee is supported by a majority staff and a minority

staff, each headed by a staff director who reports to the Chair and Ranking Member respectively.

Each staff member owes his position to the Committee Chair or Ranking Member who approve

all staff appointments. When the Chair or Ranking Member change, their successors are likely

to bring in at least a few new staff members. If the balance in the chamber as a whole changes,

the staff turnover will be greater because the new majority party will appoint additional staff

members over and above those they already have, and the new minority party will release staff to

 

4 House Armed Services Committee Rules of the 106th Congress, from the Committee website,

http://www.house.gov/hasc/rules.htm (henceforth, HASC Rules of the 106th Congress.)
10

bring their total staff levels into line with the rules. Committee staff come from a variety of

backgrounds and includes attorneys, academics, and those with firsthand experience in foreign

relations. Successful staffers have both functional and procedural expertise.

House Rule XI governs the appointment of House Committee staffs. It specifies that

each Committee, except for the Committee on Appropriations, may have no more than 30

professional staff members, one-third of which may be assigned to work for the minority as

determined by majority vote. The minority party is temporarily allowed an additional slot when

there are no vacant slots among the 30.5 The HASC currently has 29 professional staff

members.6

D. Strategy: The Committee and Subcommittee strategies reflect the strategies of the

Chairs and political parties. There is no published strategy statement. The Committee's

Oversight Plan, mandated by House Rule X, lists the issues over which the Committee plans to

exercise oversight in the 106th Congress. They include: acquisition reform, environmental

programs, force readiness, industrial and technological base, information assurance, intelligence,

merchant marine, military applications of nuclear energy, military modernization, morale,

welfare, and recreation programs, national military strategy and force structure, organization and

management of the Department of Defense, people and quality of life, technology transfer and

export controls.

E. Organization: In the House of Representatives, Members can serve on a maximum

of two standing Committees and four Subcommittees of those standing Committees.7

Republicans and Democrats designate some Committees as "exclusive." Members appointed to

exclusive Committees may not serve on any other Committee except for the Budget Committee

or the Oversight Committee. Examples of exclusive Committees are the Committee on

Appropriations, the Committee on Rules, Committee on Commerce, and the Committee on Ways

and Means. Each political party has additional rules for determining the number of Committees

on which a member may serve. Democrats, for example, do not allow Members to sit on more

than one standing committee.8

Committee membership is determined by each political party based on leadership

recommendations and according to party procedures.9 Both Republicans and Democrats have

established Steering Committees to make recommendations respectively to the Republican

Conference and Democratic Caucus regarding Committee assignments for current and incoming

members. For both parties, a number of considerations influence Committee assignments,

 

5 Bach, Stanley and Carol Hardy Vincent. House Rules Affecting Committees, CRS Report for Congress. (Washington, D.C.:

Congressional Research Service, March 13, 1997.)

6 Telephone interview with Committee staff assistant, November 29, 1999.

7 Standing Committees are permanent Committees that have specific legislative jurisdiction outlined in the House Rules and

that can recommend funding levels (authorizations). Select Committees are created by resolution by the House or Senate to

conduct specific investigations or studies when a standing Committee is not organized to address a particular issue. They

can be permanent or temporary. Joint Committees include members of the House and Senate and are concerned with

conducting studies rather than considering legislation.

8 Schneider, Judy. House Committees: Categories and Rules for Committee Assignments, CRS Report for Congress.

(Washington, D.C.: Congressional Research Service, February 20, 1998.) (Henceforth, Categories and Rules for Committee

Assignments.)

9 There is one Independent Member in the House of Representatives who votes with the Democratic party most of the time

and receives his committee assignments from the Democratic Party.
11

including a Member's seniority, background, ideology, the strength of his or her state delegation

in the House, the Member's relationship with the party leadership, and the Member's reelection

potential.10 Generally, the leadership will assist a Member facing a strong challenger from

another party by assigning that Member to an influential Committee from which the Member

may affect the interests of his or her constituency.

The leadership of the two political parties negotiate the size of each Committee and the

ratio of the majority to the minority in each Committee prior to each new Congress and

immediately after election results are available. Committee sizes generally remain constant,

although special elections or other unforeseen circumstances may affect a Committee's

membership. The HASC has a total of 60 members, 32 Republicans and 28 Democrats. The

Committee is supported by a majority and minority staff as described in paragraph 4.C.

The Committee is organized into five subcommittees as described in paragraph 2.B. The

Committee Chair, in consultation with the majority party committee members, selects

Subcommittee Chairs. A similar practice is followed by the Minority in selecting Ranking

Members.

In the HASC, Subcommittees do not have their own majority or minority staffs. Rather,

majority and minority staffs of the Committee as a whole specialize in specific issues covered by

the various Subcommittees and are consulted by Members depending on their specific

information needs. Subcommittees are authorized to "meet, hold hearings, receive evidence, and

report to the Committee on all matters referred to it" by the Committee Chair.11 The Committee

Chair also has established two special panels to conduct inquiries and receive testimony on

morale, welfare, and recreation issues, and on merchant marine issues. These panels are

established for a period of six months unless renewed by the Chairman.12

HASC membership of the 106th Congress is shown below.

 

10 Categories and Rules for Committee Assignments.

11 HASC Rules of the 106th Congress.

12 HASC Rules of the 106th Congress.
12

HOUSE ARMED SERVICES COMMITTEE

Republicans (32) Democrats (28)

Floyd D. Spence (SC)—Chairman

Bob Stump (AZ)—Vice Chairman

Duncan Hunter (CA)

John R. Kasich (OH)

Herbert H. Bateman (VA)

James V. Hansen (UT)

Curt Weldon (PA)

Joel Hefley (CO)

Jim Saxton (NJ)

Steve Buyer (IN)

Tillie K. Fowler (FL)

John M. McHugh (NY)

James Talent (MO)

Terry Everett (AL)

Roscoe G. Bartlett (MD)

Howard "Buck" McKeon (CA)

J.C. Watts, Jr. (OK)

Mac Thornberry (TX)

John N. Hostettler (IN)

Saxby Chambliss (GA)

Van Hilleary (TN)

Joe Scarborough (FL)

Walter B. Jones, Jr. (NC)

Lindsey O. Graham (SC)

Jim Ryun (KS)

Bob Riley (AL)

Jim Gibbons (NV)

Mary Bono (CA)

Joseph Pitts (PA)

Robin Hayes (NC)

Steven Kuykendall (CA)

Donald Sherwood (PA)

Ike Skelton (MO)—Ranking Member

Norman Sisisky (VA)

John M. Spratt (SC)

Solomon P. Ortiz (TX)

Owen Pickett (VA)

Lane Evans (IL)

Gene Taylor (MS)

Neil Abercrombie (HI)

Martin T. Meehan (MA)

Robert T. Underwood (Guam)

Patrick J. Kennedy (RI)

Rod R. Blagojevich (IL)

Silvestre Reyes (TX)

Tom Allen (ME)

Victor F. Snyder (AR)

Jim Turner (TX)

Adam Smith (WA)

Loretta Sanchez (CA)

James H. Maloney (CT)

Mike McIntyre (NC)

Ciro Rodriguez (TX)

Cynthia McKinney (GA)

Ellen Tauscher (CA)

Robert Brady (PA)

Robert E. Andrews (NJ)

Baron P. Hill (IN)

Mike Thompson (CA)

John B. Larson (CT)

The Committee is organized into Subcommittees as described above. Subcommittee

membership and a brief description of each Subcommittee's responsibilities follow.
13

(1) Subcommittee on Military Installations and Facilities:

Republicans (10) Democrats (8)

Joel Hefley—Chairman

Tillie Fowler

John McHugh

Howard "Buck" McKeon

John N. Hostettler

Van Hilleary

Joe Scarborough—Vice Chairman

Bob Stump

Jim Saxton

Steve Buyer

Gene Taylor—Ranking Member

Solomon P. Ortiz

Neil Abercrombie

Robert T. Underwood

Silvestre Reyes

Victor F. Snyder

Robert Brady

Mike Thompson

The Subcommittee on Military Installations and Facilities is responsible for legislation on

and oversight of military construction; real estate acquisition and disposals; housing and support;

base closure; and related legislative oversight.13

(2) Subcommittee on Military Personnel:

Republicans (10) Democrats (8)

Steve Buyer—Chairman

Roscoe Bartlett

J.C. Watts, Jr.

Mac Thornberry

Lindsey O. Graham—Vice Chairman

Jim Ryun

Mary Bono

Joseph Pitts

Robin Hayes

Steven Kuykendall

Neil Abercrombie—Ranking Member

Martin T. Meehan

Patrick J. Kennedy

Loretta Sanchez

Cynthia McKinney

Ellen Tauscher

Mike Thompson

John B. Larson

The Subcommittee is responsible for legislative action on and oversight of military forces

and authorized strengths; integration of active and reserve components; military personnel

policy; compensation and other benefits; and related legislative oversight.14

 

13 HASC Rules of the 106th Congress.

14 HASC Rules of the 106th Congress.
14

(3) Subcommittee on Military Procurement:

Republicans (15) Democrats (13)

Duncan Hunter—Chairman

Floyd D. Spence

Bob Stump

James V. Hansen

Jim Saxton

James Talent

Terry Everett

J.C. Watts, Jr.

Mac Thornberry—Vice Chairman

Lindsey O. Graham

Jim Ryun

Jim Gibbons

Mary Bono

Joseph Pitts

Robin Hayes

Norman Sisisky—Ranking Member

Ike Skelton

John M. Spratt

Lane Evans

Rod R. Blagojevich

Tom Allen

Jim Turner

Adam Smith

James H. Maloney

Mike McIntyre

Cynthia McKinney

Ellen Tauscher

Robert Brady

The Subcommittee on Military Procurement is responsible for the annual authorization

for procurement of military weapon systems, including full-scale development of systems and

for legislative initiatives regarding the military applications of nuclear energy. It conducts

oversight on related matters.15

(4) Subcommittee on Military Readiness:

Republicans (12) Democrats (10)

Herbert H. Bateman—Chairman

Saxby Chambliss

Walter B. Jones—Vice Chairman

Bob Riley

Duncan Hunter

James V. Hansen

Curt Weldon

Tillie Fowler

James Talent

Terry Everett

Jim Gibbons

Donald Sherwood

Solomon P. Ortiz—Ranking Member

Norman Sisisky

John M. Spratt

Owen Pickett

Robert T. Underwood

Rod R. Blagojevich

Adam Smith

James H. Maloney

Mike McIntyre

Ciro Rodriguez

The Subcommittee on Military Readiness is responsible for the annual authorization for

operation and maintenance activities of the Department of Defense; the readiness and

preparedness requirements of the defense establishment; and related legislative oversight.16

 

15 HASC Rules of the 106th Congress.

16 HASC Rules of the 106th Congress.
15

(5) Subcommittee on Military Research and Development:

Republicans (15) Democrats (14)

Curt Weldon—Chairman

Roscoe Bartlett

Steven Kuykendall

Donald Sherwood

John R. Kasich

Herbert H. Bateman

Joel Hefley

John M. McHugh

John N. Hostettler—Vice Chairman

Howard "Buck" McKeon

Saxby Chambliss

Van Hilleary

Joe Scarborough

Walter B. Jones

Bob Riley

Owen Pickett—Ranking Member

Gene Taylor

Martin T. Meehan

Patrick J. Kennedy

Silvestre Reyes

Tom Allen

Victor F. Snyder

Jim Turner

Loretta Sanchez

Ciro Rodriguez

Robert E. Andrews

Baron P. Hill

John B. Larson

The HASC includes the following two panels:

(1) Morale, Welfare and Recreation Panel:

Republicans (10) Democrats (8)

John M. McHugh—Chairman

Bob Stump

Herbert H. Bateman

Roscoe Bartlett

J.C. Watts, Jr.

Saxby Chambliss

Joe Scarborough

Walter B. Jones

Bob Riley—Vice Chairman

Robin Hayes

Martin T. Meehan—Ranking Member

Norman Sisisky

Solomon P. Ortiz

Owen Pickett

Robert T. Underwood

Silvestre Reyes

Robert E. Andrews

(vacancy)

The panel is empowered to examine "nonappropriated fund activities" within the

Department of Defense, including commissaries and exchanges. The panel has no legislative

authority.
16

(2) Merchant Marine Panel:

Republicans (7) Democrats (5)

Herbert H. Bateman—Chair

Duncan Hunter

Curt Weldon

Jim Saxton

Joe Scarborough

Walter B. Jones

Steven Kuykendall—Vice Chairman

Robert T. Underwood—Ranking Member

Gene Taylor

Neal Abercrombie

Tom Allen

James H. Maloney

The panel has oversight responsibility for issues related to the Merchant Marine.17

5. Formal National Security Process Involvement.

A. Overview of the Legislative, Committee, and Subcommittee Processes:

(1) Formal Legislative Process:18 Legislation can be introduced either in the

House or Senate, except for appropriation bills, which traditionally originates in the House.

Sometimes, similar, or "companion," bills are introduced simultaneously in both chambers.

Legislative proposals take the form of bills, which are the typical vehicle for legislation; joint

resolutions, which include a preamble preceding the legislative language; concurrent resolutions,

which are not legislative in nature but express the opinions of the House and Senate on specific

matters; and simple resolutions, which usually address the operations of the House or Senate.

Bills and joint resolutions become law when both chambers approve them and the President

signs them. Concurrent and simple resolutions do not result in law.

Ideas for legislation originate from different sources. They may result from a Member's

own idea, an idea originating from Member's constituent, from an Executive Agency proposal, or

a proposal made by the President during the State of the Union address.

In the House of Representatives, the legislative process begins when a Member formally

introduces legislation. The Member sponsoring the bill may be joined by an unlimited number

of co-sponsors from one or both parties, and the bill may continue to pick up sponsors after its

introduction until the time it has been reported out of the last Committee with jurisdiction over it.

After introduction, the bill is assigned a number and printed in the Congressional Record.

The Speaker, or the Presiding Officer in the Speaker's absence, refers the bill to the appropriate

Committees with jurisdiction over the matter addressed by the bill. A bill may be referred to

only one Committee or to multiple Committees simultaneously when jurisdiction for a particular

issue overlaps—in the latter case, however, the Speaker must identify the Committee with

primary jurisdiction. The bill may also be referred to one Committee first, which is required to

act within a specific amount of time, and then to other Committees sequentially. Finally,

 

17 HASC Rules of the 106th Congress.

18 The following paragraphs are based on Charles W. Johnson, Parliamentarian, U.S. House of Representatives. "How Our

Laws Are Made," Revised and Updated September 1999, at http://thomas.loc.gov/home/holam.txt.
17

different portions of a bill may be referred to different Committees at the same time, in a

procedure known as split referral. Referral to Committee does not mean the bill will receive

consideration. In fact, the majority of legislation referred to Committee is never acted upon.

When this happens, the matter may be dropped, or it may be reintroduced at the next session.

Whether a bill is considered often depends on who sponsors and co-sponsors it and their

relationship with the Chair. If several Committee members co-sponsor a bill, it has a better

chance of moving through the Committee process, for example. If the sponsor and the

Committee Chair are of the same party, the bill will have a better chance. If the sponsor and the

Chair are of different parties and the bill does not have bipartisan co-sponsorship, the bill may

still receive a hearing, but its likelihood of passage will not be high.

Upon receiving a bill, a Committee Chair may refer it to one or more Subcommittees or

deal with the legislation at the full Committee level.19 In considering legislation, the Committee

or Subcommittee Chair use essentially the same procedures. The Chair will first ask for written

comments from the Executive Branch. It will then hold hearings in which witnesses provide

both written and oral testimony. Based on the outcome of these initial steps, the Committee or

Subcommittee will "mark up" the bill or resolution—that is a line-by-line review that includes

amending the original language (and often the intent) to bring it in line with Committee and other

Members' preferences. Mark ups may be open to the public, or, if classified information is

discussed, they may be closed. As a rule, most of the line-by-line review is done by the staff

who identifies key passages and recommend alternative language and other amendments.

If the Subcommittee marked up the bill first, it will then refer it to the full Committee.

Here, if the Committee Chair elects to consider the bill, it goes through a similar mark up

(including introduction of amendments by Committee members) and is voted on by the entire

Committee. Once the Committee approves the bill by a simple majority vote, the Committee

staff prepares a draft of the bill that reflects Committee changes, which is sent to the full House

for deliberation.

Bills sent to the floor are accompanied by a written report (prepared by the Committee

staff) that explains the Committee's actions and intent, describes the rewritten bill, and makes

arguments for passage.20 Members voting in the minority on a bill that is reported out of

Committee may also provide a written report that states their views. Once on the floor,

Committee members manage debate on the bill. The Committee staff assists floor managers by

building support with the staff of Members who are not members of the Committee, preparing

floor remarks, and overseeing additional amendments, including Committee amendments offered

by the Chair to offset the effects of other floor amendments.

 

19 Not all Committee Chairs allow Subcommittees to mark up legislation. This is not the case for the House Armed Services

Committee, where Subcommittees may conduct mark ups on legislation referred to them by the Committee Chair.

20 There are at least three different types of reports and each has different affects on Executive Branch Departments and

Agencies. Committee staff members prepare the first type of report. While it may convey important information, it is not

authoritative. The second type is the report that accompanies a House (or Senate) version of a bill. This report is primarily

explanatory and lays out reasoning for the bill that is under consideration on the floor. The third type of report is the

conference report, which is issued by both chambers jointly following conference deliberations. The language and requests

for information in this report are, by custom and tradition, often honored by Executive Branch organizations, even though it

is not law. Not abiding by it may cause the Member who inserted it in the first place to include it in law the following year,

perhaps with more stringent requirements.
18

Once the entire House has passed a bill, it is scheduled for conference with the Senate to

reconcile differences between the two versions.21 The majority and minority leadership of the

House and Senate choose a select number of Members to participate in the Conference

Committee on a specific bill, typically selecting a number of Members from the referring

Committee. The majority of differences between the House and Senate versions of the bill are

worked out by the staff; however, Conference Committee members are personally involved with

important issues that defy staff resolution. At the conclusion of the conference, either the House

or the Senate prepares the conference report (usually this task alternates between the two

chambers) and the reconciled bill is returned to each chamber for passage.

When both chambers pass the bill, it is sent to the White House for the President's

signature (or veto.) If the President signs the bill, it becomes law. If the President vetoes the

bill, it is returned to the House and Senate, where it can be put to a vote again. If the bill passes

both chambers with a two-thirds majority, it becomes law. A Bill can also become a law in 10

days if it is not returned and not signed and if Congress is still in session. Once the bill becomes

law, the Committee has oversight responsibility to ensure the Executive Branch adheres to its

provisions.

(2) Hearings:22 Hearings are the principal means by which Committees and

Subcommittees collect information to support their legislative activities. There are different

types of hearings: oversight hearings, designed to examine the implementation of policies by the

Executive; investigative hearings, which examine allegations of wrongdoing; and, in the case of

the Senate, confirmation hearings, which review the qualifications of individuals nominated by

the Administration for senior Executive Branch positions. Hearings are one of the most visible

and effective formal methods for Committees to influence the seven key processes.

Typically, hearings begin in the appropriate Subcommittee; however, they also occur at

meetings of the full Committee. Both parties may recommend witnesses, and all Members may

question them for specified periods of time, depending on the rules that are in force. Hearings

may be supplemented by staff research. Occasionally, this research will take on the proportions

of a major study (e.g., the staff study that accompanied the Goldwater-Nichols Act of 1986,

which reformed the Department of Defense.)

In addition to hearings on bills, Committees and Subcommittees hold hearings for other

reasons that include spotlighting particular issues. This type of hearing may include oversight

hearings and focus on a particular issue, program, or Executive Branch action in relation to the

appropriate law. Hearings may be held as a way of scrutinizing Administration actions or

pressuring the Administration to act in certain ways. For example, the HASC held hearings in

1998 questioning U.S. military readiness and called a number of former senior military officials

to testify about the state of U.S. military forces. These hearings led to increased emphasis by the

 

21 In the case of most authorization bills, the Senate and House begin work on them independently, but almost simultaneously.

Although informal contacts may keep members apprised of what the other chamber is doing, there is no formal collaboration

until the conference. For appropriations measures, the Senate normally awaits the House version, then amends that bill.

The amended appropriations bill becomes the basis for the conference.

22 Information sources on hearings include: Richard Sachs, Types of Committee Hearings, CRS Report for Congress,

(Washington, D.C.: Congressional Research Service, March 30, 1999) and Richard C. Sachs and Carol Hardy Vincent,

Hearings in the House of Representatives: A Guide for Preparation and Conduct, CRS Report for Congress, (Washington,

D.C.: Congressional Research Service, August 10, 1999.)
19

Administration on the requirements of readiness, resulting in a hearing in 1999 at which Service

Chiefs explicitly acknowledged readiness problems.23

Committee and Subcommittee Chairs have broad latitude in structuring hearings

regardless of type. They decide on witnesses and they often organize or "stage manage"

proceedings so that testimony supports their position. Usually, Members from the minority party

will have some latitude to negotiate their own witnesses, and/or they may treat those witnesses

chosen by the majority in a hostile manner. In the House, a Committee requires a quorum of at

least two members to conduct a hearing.

Committee staffs often prepare packets prior to hearings that include copies of the

witnesses' written testimony and suggested lines of questioning. Separate packets are often

prepared for majority and minority Members and reflect Chair (or Ranking Member) and party

views. In the House, hearings follow a standard format: opening statements from the Chair and

Ranking Member, introduction of witnesses and, in investigative hearings, their swearing in, oral

testimony by witnesses, and questioning of witnesses by Members present. After the hearing,

the staff may draft a summary of testimony (see subparagraph (3)(a) below); in addition,

Committees typically print transcripts in the Congressional Record.

(3) Reports: Reports provide information, instructions, and rationale for

Committee decisions. There are several types of reports:

(a) Hearing Reports: These are produced by Committee or

Subcommittee staff to record testimony, questions, and answers from hearings. They are records

of events, and the Committee or Subcommittee usually does not vote on them. While they

contain important information, they are not authoritative.

(b) Reports that Accompany Legislative Actions: These are primarily

informational and explanatory. They may contain directions for Executive Branch activities,

such as a requirement to conduct an investigation or prepare a report. These directions are not

legally binding, but are often honored by custom and tradition. The alternative to honoring

report directives is to risk having them included in law the following year, perhaps with more

stringent requirements. For example, a Department that does not honor a report direction for a

semiannual report to Congress may find that the next year's authorizing legislation requires a

quarterly submission.

(c) Investigative Reports: Such reports deal with specific matters,

activities, or programs over which the Committee has jurisdiction. If the Committee issues them

they are voted out. If the staff issues them, the may be voted out or released by the Committee

Chair.

(d) Conference Reports: Conference reports describe the reconciliation

agreements made by conference committees concerning specific legislation. Conference reports

contain requests and directives that, while not law, are customarily honored. Either the House or

the Senate, usually on a rotating basis prepares them, and they accompany the reconciled

legislation to each chamber. The conference committee votes these reports out.

 

23 House Armed Services Committee Hearing on the Fiscal Year 2000 National Defense Authorization Budget Request,

February 24, 1999.
20

House Committee on Armed Services' role in national security

B. Strategy Development:24

(1) Major Activities: Although the HASC does not participate directly in

Administration processes that develop national security strategy, hearings and studies can

influence Administration's strategic options. The Congress can mandate certain strategic options

or approaches, and they require the Executive Branch to prepare the National Security Strategy

annually. Through the hearing process described in paragraph 5.A., the Committee can influence

the Administration's assessment of strategic options by identifying those it supports and those it

considers unacceptable. For example, the HASC held hearings in 1997 on the Quadrennial

Defense Review and the findings of the National Defense Panel. In 1998, the Committee held a

hearing with Service Chiefs to examine the impact of the President's budget request on the

military's ability to execute the National Military Strategy. The HASC can also issue Committee

and staff reports that spotlight issues and help focus public attention on strategic options and

policies.

By constructing authorization bills (and other legislation) that regulate various aspects of

international relations, the Committee can affect the structure of the foreign policy establishment

and enhance or restrict its latitude to implement the strategy it develops. Also, through

authorization bills, it can limit or enhance funding, which impacts options for strategy

development. Through conferences to reconcile differences in House and Senate versions of

authorization bills, Members can influence Senators to accept their views.

In addition to these measures, if the Committee Chair is powerful and well respected in

the House, the Administration may discard some strategic options that the Chair opposes if they

are seen as politically risky in terms of House approval. This is not to suggest that

Administrations are unwilling to challenge Committee Chairs on matters the Administration

believes are important. The evidence suggests the opposite to be the case. However, during

strategy development, Administration officials are likely to take into consideration the prevailing

 

24 The narrative that follows discusses Committee activities in terms of the processes the U.S. Commission on National

Security /21st Century prescribed and according to the definitions it stipulated. Congressional staff interviewed indicated

that, from their perspective, Committees deal primarily with policy and oversight and that everything the Committee does

falls into one of these two categories.

Strategy

Development

Policy, Guidance,

and Regulations

Planning

Mission Execution

Observation, 

Orientation,

and Oversight

Preparation

Resourcing

Products

Hearing Reports    

  

 

 

 

 

Roles

Advice and Consent     

Products

Hearing Reports

Bill/Resolution Report

Committee/Staff 

Conference Report

Subpoenas

Committee 
21

sentiment on the Hill as reflected in a powerful Chair's pronouncements. This is especially true,

given the Committee's authorizing power, which can influence structure and operating

procedures or place limits on how funds can be expended for strategy implementation.

(2) Major Stakeholders: The Executive Branch (especially the Defense

Department, the Military Services, and related activities), various political constituents, and

special interest groups, such as political action groups representing the interests of a defense

manufacturer or region supporting military installations, depending on the issue.

(3) Key Organizational Processes: Committee and Subcommittee level hearings

and reports.

(4) Associated Higher-Level Processes: Authorization and appropriation law.

(5) Associated Lower-Level Processes: Preparation of the National Security

Strategy, the National Military Strategy, and other major strategy documents by the Executive

Branch.

C. Policy, Guidance and Regulation:

(1) Major Activities: The Committee influences policy, guidance, and regulation

through reports and legislation. By reporting out of Committee and achieving a majority vote on

the floor of the House, bills and accompanying reports make policy and craft regulations. For

example, in 1985, the House Armed Services Committee and the Senate Armed Services

Committee favorably reported out legislation that reorganized the Department of Defense,

altering the composition and functions of the Joint Chiefs of Staff and increasing the authority of

the Chairman. The House and Senate bills passed both chambers and the resulting reconciled

legislation was signed into law in 1986 as the Goldwater-Nichols Act.25 (See paragraph 5.A. for

a description of the Committee and Subcommittee processes.)

(2) Major Stakeholders: The Executive Branch and various political

constituencies.

(3) Key Organizational Processes: Committee and Subcommittee level hearings

and report preparation.

(4) Associated Higher-Level Processes: Authorization bill preparation.

(5) Associated Lower-Level Processes: Administration-proposed legislation.

D. Planning: The HASC has no involvement in national security planning. By holding

closed hearings on ongoing U.S. military operations, the Committee has the opportunity to

comment on and influence the Executive Branch's plans. The Committee may also influence

planning by reporting out legislation that changes U.S. policy on a particular issue and affects

national security planning. In 1999, for example, the HASC reported out and the House

approved a bill declaring that it should be U.S. policy to deploy a national missile defense as

 

25 Goldwater-Nichols Department of Defense Reorganization Act of 1986, Public Law 99-433.
22

soon as technologically feasible. The Senate passed similar legislation and the bill was signed

into law in July 1999.26

E. Mission Execution: The HASC has no involvement in mission execution in that it

cannot command and control Executive Branch organizations. However, it can exert influence

on how the Administration manages ongoing missions through hearings and/or introduction of

legislation that supports or impedes operations. Knowing that the Committee may take up (and

perhaps limit through authorization language) important Administration actions during an

ongoing mission can act as a brake on Administration options. In the extreme, it is conceivable

that the Committee could refuse to authorize appropriations for an ongoing operation, although it

has traditionally supported fielded forces, even if it disagrees with the policy that fielded them.

F. Observation, Orientation, Oversight:

(1) Major Activities: The Committee fulfills its oversight responsibilities by

conducting hearings and preparing reports. (See paragraphs 5.A. and 5.C. See also discussion of

authorization procedures in paragraph 5.H.)

(2) Major Stakeholders: Executive Branch agencies with international relations

responsibilities, including the Department of Defense, the Military Services, the Department of

Energy, various political constituents.

(3) Key Organizational Processes: Committee- and Subcommittee-level

hearings.

(4) Associated Higher-Level Processes: Authorization and appropriations law.

(5) Associated Lower-Level Processes: President's Budget preparation.

G. Preparation: The Committee is generally not directly involved in national security

preparation, although provisions of authorizing language may impact the way in which

Executive Branch Agencies prepare, train, and exercise. For example, in the Fiscal Year 1999

Defense Authorization Act, the HASC addressed the issue of integrating basic training of male

and female recruits, adding legislative language that required joint training but separate housing,

and forming an advisory panel to further study the issue.27

H. Resourcing:

(1) Major Activities: All of the Committee's products have resource implications.

The Committee produces the Defense Department authorization bill and authorizes certain

Department of Energy activities. Authorizing legislation constitutes the legal basis for

Department and agency operations, structures Departments and agencies, prescribes

responsibilities, and authorizes Appropriations Committees to fund programs such as foreign aid.

In essence, it tells Departments and agencies what they can commit funds to, and it tells

appropriations subcommittees how much funding to allow.

 

26 National Missile Defense Act of 1999, Public Law 106-38.

27 Public Law 105-261, October 17, 1998.
23

Theoretically, Appropriations Committees cannot appropriate funds without authorizing

legislation, nor can they appropriate funds in excess of the amounts authorized when amounts are

specified. Conversely, appropriations measures are not to contain authorization—or

legislative—language. In practice, however, the distinctions are blurred and Appropriating

Committees may insert legislative language in their appropriation legislation or conference

reports.

In addition to authorizing the expenditure of funds, authorization legislation can organize

and structure organizations and often contain directives or proscriptions with respect to

responsibilities and actions. They also can establish operational processes and procedures;

specify personnel policies; and direct the Department or Agency to conduct studies and provide

reports. And they can require interaction with other Departments and Agencies.

In terms of resourcing, authorizing legislation usually provides some indication of

funding levels, either specifically or in general. Authorization bills are "ceilings," while

appropriations bills are "floors." An authorization act may make a specific amount of money

available and restrict its use to certain activities. For example, "for fiscal year 1998, the amount

of $331,000,000 is available for long-lead activities related to the procurement of additional B-2

bomber aircraft."28 In this case, the Appropriations Committees may not appropriate more than

that amount, although it may appropriate less. On the other hand, Authorizing legislation may be

general: "Notwithstanding section 3302, of Title 31, United States Code, the Secretary may

retain the proceeds from the sale, lease, or disposal of an asset . . . [and] utilize amounts retained

under this paragraph to defray the cost of the sale, lease, or disposal."29 Authorizing language

may be restrictive: "The Secretary of Defense may not obligate or expend funds during this fiscal

year to provide support under this section to a government described in subsection (g)."30

 Finally, authorization bills frequently contain "earmarks." Earmarking is a technique by

which funds are authorized for a particular program or activity, reflecting a Member's interest in

that program and his/her ability to generate support for it among colleagues.

As a rule, authorizations do not extend beyond a few fiscal years and often are made for

only a year, although some authorizations are permanent and continue until modified by new

authorizing legislation. Limiting authorizations to a few years allows Authorizing Committees

an opportunity to frequently review Department and agency performance. As one observer

noted, "temporary authorizations are a short leash Congress can pull to compel changes in an

agencies policies or actions."31 Yet, despite formidable rules, appropriations do occur even

when there is no current authorization. Appropriating in the absence of authorizations is not

unconstitutional per se.

Because both chambers must pass bills before sending them to the President for

signature, House-Senate conferences occur routinely. When the HASC reports out an

authorization bill that is passed by the House, the Chair and Ranking Member of the Committee

 

28 National Defense Authorization Act for Fiscal Year 1998, Section 131.

29 National Defense Authorization Act for Fiscal Year 1998, Section 3138.

30 National Defense Authorization Act for Fiscal Year 1998, Section 1033.

31 Schick, p. 117.
24

select Members to meet with Senators from the Senate Committee on Armed Services to

reconcile differences in the House and Senate versions.

These conferences typically require several meetings, which may or may not be held on

sequential dates. In other words, a conference might begin in July and not conclude its business

until September. Usually, most compromises are brokered by staff and presented to Members

and Senators for approval. When one side agrees to accept the language proposed by the other, it

is said to have receded to the point. While receding is common and occurs as a result of

compromises, sometimes conferees craft language that is different from what either chamber's

bill contained at the outset of the conference.

Once the conference has resolved differences, a common version of the bill (together

with a report that describes the compromises made during conference) is provided to the

respective chambers for deliberation and approval. Once both houses pass the measure, it is sent

to the White House for the President's signature and becomes public law.

Usually, the Appropriations Committee does not wait for authorizing legislation before

preparing and considering appropriations. This process is often nearly independent of the

authorizing deliberations.32 (See Chapter 1 in this volume.)

(2) Major Stakeholders: Executive Office of the President; Department of

Defense and related activities and agencies; various political constituents including defense

manufacturers and communities supporting military installations.

(3) Key Committee Processes: Committee and Subcommitte-level hearings and

reports, staff investigations.

(4) Associated Higher-Level Processes: Appropriations.

(5) Associated Lower-Level Processes: Administration processes for preparing

budget requests.

6. Informal National Security Process Involvement. There are no informal processes that are

so fixed that they apply across a large number of events. Most informal processes are focused on

information gathering and issue resolution. These are described in the following subparagraphs.

A. Contacts with Administration Officials: In addition to formal hearings, written

testimony, and written responses to questions, informal contacts with Administration officials

occur throughout the process. Both Members and staffers hold informal discussions, and part of

the purpose of these contacts is to determine true needs and to separate them from nice-to-have

programs. The Committee staff will usually develop long-term networks of contacts in the

Department of Defense and its related activities.

Informal contacts with Administration officials offer Members a means to influence

Administration choices and behavior with respect to policy and budget matters. Conversely,

 

32 The authorizing-appropriating formula is not enshrined in the Constitution but originated in the mid-1860s. Before that

time, single committees both authorized and appropriated, usually in one piece of legislation. Because the system is a

creation of Congress, Congress could change it if it so desired, and it sometimes chooses to ignore it altogether.
25

since Administrations are not monolithic, these contacts give the Executive Branch official who

hold views inconsistent with Administration policy an opportunity to express them.

B. Contacts with other Members: If a Member serves on the HASC, getting his/her

priorities considered and into a bill for which the Committee has jurisdiction is not difficult.

Generally, the Subcommittees honor requests by their Members and those of other

Subcommittee Members. For Members who do not serve on the Committee, the task is more

daunting. Each year the number of requests exceeds capacity, which requires Members on the

Subcommittees to make choices among competing requests from their colleagues. The tendency

is to ensure that every Member receives at least some of what he/she requests in order to ensure

support for bills on the floor and to build alliances for other matters. Attempts to do this are

marked by personal negotiations between Members and between their staff representatives.

C. Influencing the Public: Members routinely use press releases, speeches, interviews,

and other means to influence public opinion either in support of or in opposition to high-priority

issues. Enlisting public opinion helps Members achieve their legislative agendas and often raises

the quality and scope of debates on important issues.

7. Funding and Personnel.

A. Funding Sources: The House Armed Services Committee is funded through the

Legislative Branch appropriations.

B. Budget: The budget for fiscal year 2000 is $10,342,681.33

C. Manpower: The Committee includes 60 Members, 29 professional staff, and 18

additional administrative staff.34

8. Observations.

A. Organization and Process vs. Political Considerations: The processes and

organization used by the House and its Committees are a creation of the House. Although often

slower than some believe it should be, and while the House sometimes violates its own rules, the

system works effectively. When legislation is delayed, it is most often because of political

considerations or differences, not the way the House is organized or the processes it chooses to

prosecute its business. The Committee on Armed Services' jurisdiction tends to line up

effectively with Administration Departments, most prominently the Department of Defense.

B. The Power of the Chair: Under House rules Committee and Subcommittee Chairs

have tremendous authority over matters under their jurisdiction. By determining which

proposals will be reported out to the floor, by sanctioning authoritative reports to accompany

these proposals, and by managing floor debate, the Chairs often determine which proposals will

become the law of the land. The most powerful Chairs are those that are subject matter experts

and are respected by other Members for their knowledge. At a time when some have suggested

that Members of Congress are becoming more specialized, many Members rely on consultations

 

33 House Resolution 101, March 24, 1999, Section 1.

34 Administrative staff numbers are drawn from "HASC Staff Information," on the HASC website,

http://www.house.gov/hasc/staffinfo.htm.
26

with respected peers to determine how they will vote on issues.35 If this trend continues, Chairs

and other Members who are acknowledged as experts by their peers will become more influential

in shaping debate outcomes.

C. Jurisdictional Issues: Although most Committees have lists of their jurisdictions,

actual division of responsibilities is not clear cut. There are overlapping issues that often involve

intense discussions and often are unresolved. Export controls is one area of such overlapping

jurisdiction. During the 105th Congress, legislation regulating the exports of strong encryption

products involved five different Committees of the House: Commerce, Judiciary, Armed

Services, International Relations, and Permanent Select Committee on Intelligence. Each

Committee amended the underlying legislation according to its particular perspectives on

national security, resulting in mark-ups of the same base bill strongly at odds with and on some

provisions directly contradictory to each other. The 105th Congress was unable to resolve the

differences among the five Committees' versions of the bill and the legislation was never acted

upon by the full House.36 As the definition of national security expands to cover issues with

security, economic, and other dimensions, this problem is likely to recur.

 

35 Interviews. Because issues are becoming more complex and more information is available about them, Members often tend

to focus more on specific areas.

36 Author's personal experience as a staffer to a Member who participated in both the House National Security Committee

(predecessor of the current Armed Services Committee) and Permanent Select Intelligence Committee mark-ups of the

encryption legislation.
APPENDICES
Appendix 1

House Committee on Armed Services - Key Process - (Formal) 

President House Subcommittee House Committee House Senate Interagency Inter-Branch IWG (Interagency

Working Group)

Prepare Hearing

(Subcommittee Staff)

Receive

Testimony of

Witness

Ask for Written

Comments from

Executive

Branch

(Chair)

"Mark-Up Bill or

Resolution"

Transfer to Full

Committee for

"Mark-Up"

Receive Bill

(Chairman)

Refer to

Subcom m ittee?

Ask for Written

Comments from

Executive

Branch

(Chair)

"Mark-Up" Bill or

Resolution

Vote by

Committee

Consider

Bill?

Drop Bill or

Reintroduce in

the Next Session

End

Approve

Bill?

Send to Full House

for Deliberation

Prepare Written

Report Prepare Hearing (Committee Staff) Receive Testimony of Witness

Start

Introduce

Legislation

(Member)

Refer Bill toAppropriate

Committee(s)

(Speaker)

Deliberate Bill

(Managed by

Committee

Members)

Yes

No

Yes

No

Yes

No
ORGANIZATIONAL DESCRIPTION

HOUSE COMMITTEE ON INTERNATIONAL

RELATIONS

Prepared for the U.S. Commission on National Security/21st Century
2

EXECUTIVE SUMMARY

House Committee on International Relations

Overview

The House Committee on International Relations is an authorizing committee, which

considers virtually all legislation on diplomacy and foreign affairs. Its jurisdiction includes:

• Relations of the United States with foreign nations generally;

• Acquisition of land and buildings for embassies and legations in foreign

countries;

• Establishment of boundary lines between the United States and foreign nations;

• Export controls, including nonproliferation of nuclear technology and nuclear

hardware;

• Foreign loans;

• International commodity agreements (other than those involving sugar), including

all agreements for cooperation in the export of nuclear technology and nuclear hardware;

• International conferences and congresses;

• International education;

• Intervention abroad and declarations of war;

• Measures relating to the diplomatic service;

• Measures to foster commercial intercourse with foreign nations and to safeguard

American business interests abroad;

• Measures relating to international economic policy;

• Neutrality;

• Protection of American citizens abroad and expatriation;

• The American National Red Cross;

• Trading with the enemy; and

• United Nations Organizations.
3

As an authorizing committee, the International Relations Committee has influence

over the organization and structure, roles, and responsibilities, and the amount of funding

for activities that come within its scope of authority. It conducts hearings and authors bills,

resolutions, and reports on matters within its jurisdiction. As most House Committees, the

International Relations Committee plays an important role in selecting which legislative

proposals within its jurisdiction the full House will consider. In this role, the Committee:

• Schedules legislation for consideration;

• Conducts hearings and studies;

• Marks up the proposed bills and resolutions;

• Amends and votes on them at the Subcommittee and Committee level;

• Reports them out to the full House;

• Participates in conferences with Members of the House of Representatives;

• Reports joint bills/resolutions arrived at in conference to the House;

• Manages enactment of joint resolutions on matters within its jurisdiction; and,

• Provides oversight of matters enacted into law.

Committee and Subcommittee Chairs exercise a great deal of authority throughout.

Organization

The Committee is a standing Committee under House rules. It currently consists of 49

members, 26 Republicans and 23 Democrats, and is supported by a professional staff of 31. It is

organized into five subcommittees:

• Subcommittee on International Operations and Human Rights;

• Subcommittee on International Economic Policy and Trade;

• Subcommittee on Africa;

• Subcommittee on Western Hemisphere; and

• Subcommittee on Asia and the Pacific.

Subcommittees have functional and geographic responsibilities (i.e., responsibilities

for issues relating to specific regions and for certain activities within those regions.)

Functional responsibilities include trade, traffic of narcotics, terrorism, and crime, drug,

and foreign assistance programs. Subcommittees conduct hearings and mark-up of

legislation within their jurisdiction for full Committee consideration. Regional areas that
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are not addressed at the subcommittee level, such as Europe and the Middle East, are

handled at the full Committee level.

Major Organizational Products

The Committee's major products are mark-ups of legislation, hearings, and reports.

Committees also provide oversight of the activities of Executive Branch agencies within their

realm of responsibility.

Role in Formal and Informal National Security Processes

The Committee's role in national security is shown below:

Strategy Development. The Committee and its Subcommittees can influence Executive Branch

strategy development in a number of ways. It can hold hearings and prepare hearing reports and

staff reports that highlight important strategic issues. It can also draft authorization bills and bills

that affect various international affairs activities of the U.S. Government (such as arms control

and trade) that can limit the Administration's strategic options.

Similarly, it can influence strategy development by the amount of funding it makes

available for various Administration agencies and activities. It can influence Senate actions

along these lines through conferences and reports. Through management of House floor debates

and introduction of Committee amendments, it can affect the final shape of the legislation it

reported to the full House for consideration.

Policy, Guidance, and Regulation. Through hearings and hearing reports, and in its oversight

role, the Committee can affect Administration policy options and regulatory measures.

Strategy

Development

Policy, Guidance,

and Regulations

Planning

Mission Execution

Observation, 

Orientation,

and Oversight

Preparation

Resourcing

Products

Hearing Reports    

  

 

 

 

 

Roles

Oversight  

Products

Hearing Reports

Bill/Resolution Report

Committee/Staff 

Reports

Conference Report

Subpoenas

Committee 

Amendments
5

Planning. The Committee has no direct role in national security planning.

Mission Execution. Through bills and resolution reports, the Committee can affect the ways in

which the Executive Branch undertakes and manages missions. It can do this through funding

legislation, including the authorization of supplemental funding and legislation withholding such

funding.

Observation, Orientation, and Oversight. The Committee conducts oversight through

hearings and investigations. It can orient the Executive towards intended outcomes by issuing

reports, legislation, and exercising its oversight role. Finally, its right of subpoena is a strong

tool to obtain explanation and testimony from Administration officials and other individuals on

actions taken by the Administration in areas of Committee jurisdiction.

Preparation. The Committee can influence preparatory activities such as training of Foreign

Service and Civil Service personnel through authorizing legislation for the Department of State

and other international affairs agencies.

Resourcing. All the Committee's activities have resource implications, especially in authoring

legislation authorizing international affairs programs and the activities of the Department of State

and other international affairs agencies of the U.S. Government.1

Informal processes involve primarily Member contact with Administration officials and

Committee staff contact with Executive Branch staff. Individual Members and Committees also

issue press releases about issues, focusing the public's attention on them in an attempt to

influence the Administration.

Observations

Given the overwhelming number of legislative proposals generated in Congress each

year, the Committee system acts as a funnel to ensure that only the most significant are brought

to full House consideration. Delays and failures are usually the result of political considerations,

not the system per se.

Hearings are a powerful tool and often serve as a focal point for key national security

debates. They highlight issues and generate support, and the resulting bills and resolution reports

can produce significant changes. For example, Authorization bills and accompanying reports

can require Executive Branch agencies to report on programs, processes, and procedures; reduce

or increase the authorized funding; and earmark funds for particular purposes.

By reporting bills out of Committee, the Committee can affect Administration policy,

organizational structures of the Department of State and related organizations, and the resourcing

of some Executive Branch activities.

 

1 The House and Senate have not approved a State Department Authorization bill since 1994. Although under House and

Senate rules authorizing legislation is necessary to inform Appropriations procedures, Appropriating Committees have acted

to fund programs and activities in the absence of such authorizing language.
6

The Committee Chair controls Committee processes through personal interaction with

other Members and by control over Committee staff. Although they must compromise with

Ranking Members in many cases to ensure passage of a particular piece of legislation in

Committee, the Chair has great latitude in scheduling legislation for consideration and calling

hearings.

The power and influence of Congressional Committees depends on a unique blend of five

factors: Committee jurisdiction; the issue under consideration; the politics surrounding that issue;

the personal position, influence, and demeanor of the Chair; and Committee norms and

traditions. Depending on circumstances, any one of these factors may prevail for a given event.

For example, if the issue under consideration is one that threatens national security, then the

issue will have priority over politics, jurisdiction, the Chair, and the way matters have been

handled traditionally. Or, if the nation is concerned about an issue, then political considerations

may predominate. This description, while general and not without exception, applies to the

Committee on International Relations.
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ORGANIZATIONAL DESCRIPTION

HOUSE COMMITTEE ON INTERNATIONAL RELATIONS

1. Legal Specifications, Authorizations, and Responsibilities. Committees are creations of

Congress, for which there is no requirements in the U.S. Constitution or U.S. Code. Congress

establishes Committees to organize itself to carry out its constitutional responsibilities. House

Rules X and XI govern the organization and procedures of House Committees. Additionally, at

the beginning of each Congress, each Committee adopts rules of procedures that are generally

consistent with House rules but may provide additional detail on the means by which the

Committee will discharge its responsibilities.2

2. Missions/Functions/Purposes.

A. Major Responsibilities: The Committee on International Relations, an Authorizing

Committee, has jurisdiction over the following matters:3

(1) Relations of the United States with foreign nations generally [Key Process

Relation: Strategy Development; Policy, Guidance, and Regulation; Mission Execution;

Observation, Orientation, and Oversight; Preparation; Resourcing];

(2) Acquisition of land and buildings for embassies and legations in foreign

countries [Key Process Relation: Resourcing];

(3) Establishment of boundary lines between the United States and foreign nations

[Key Process Relation: Strategy Development; Policy, Guidance, and Regulation];

(4) Export controls, including nonproliferation of nuclear technology and nuclear

hardware [Key Process Relation: Strategy Development; Policy, Guidance, and Regulation;

Observation, Orientation, and Oversight];

(5) Foreign loans [Key Process Relation: Resourcing];

(6) International commodity agreements (other than those involving sugar),

including all agreements for cooperation in the export of nuclear technology and nuclear

hardware [Key Process Relation: Resourcing];

(7) International conferences and congresses [Key Process Relation: Mission

Execution];

(8) International education [Key Process Relation: Preparation];

(9) Intervention abroad and declarations of war [Key Process Relation: Strategy

Development; Policy, Guidance, and Regulation; Mission Execution];

 

2 Sachs, Richard C. and Carol Hardy Vincent. Hearings in the House of Representatives: A Guide for Preparation and

Conduct. CRS Report to Congress. (Washington, D.C.: Congressional Research Service, August 10, 1999).

3 The following is drawn from Rules of the House of Representatives—106th Congress: Rule X: Organization of

Committees, Committees and Their Legislative Jurisdictions.
8

(10) Measures relating to the diplomatic service [Key Process Relation:

Preparation];

(11) Measures to foster commercial intercourse with foreign nations and to

safeguard American business interests abroad [Key Process Relation: Policy, Guidance, and

Regulation];

(12) Measures relating to international economic policy [Key Process Relation:

Policy, Guidance, Regulation];

(13) Neutrality [Key Process Relation: Strategy Development];

(14) Protection of American citizens abroad and expatriation [Key Process

Relation: Policy, Guidance, and Regulation];

(15) The American National Red Cross [Key Process Relation: Observation,

Orientation, and Oversight];

(16) Trading with the enemy; [Key Process Relation: Strategy Development;

Policy Guidance, and Regulation]; and

(17) United Nations Organizations [Key Process Relation: Resourcing; Policy,

Guidance, and Regulation].

Rule X also gives the Committee oversight responsibility for customs administration,

intelligence activities relating to foreign policy, international financial and monetary

organizations, and international fishing agreements.

B. Subordinate Committees: House Rules allow each Committee to form no more than

five subcommittees to consider and report bills on matters of jurisdiction.4 This rule was

instituted at the beginning of the 105th Congress as part of a broader package of organizational

reforms that eliminated a number of panels and commissions, cut budgets, and constrained

Members' assignments.

The International Relations Committee has five subcommittees (see paragraph 4.E. for

Subcommittee membership and jurisdiction):

(1) Subcommittee on International Operations and Human Rights;

(2) Subcommittee on International Economic Policy and Trade;

(3) Subcommittee on Africa;

(4) Subcommittee on Western Hemisphere;

 

4 Vincent, Carol Hardy. Committee Types and Roles, CRS Report or Congress. (Washington, D.C.: Congressional Research

Service, Mary 11, 1998.)
9

(5) Subcommittee on Asia and the Pacific;

Regional issues that fall outside the geographical areas addressed by the above

subcommittees, such as those relating to Europe and the Middle East, are handled at the

Committee level.

C. Major Products: The International Relations Committee produces hearing reports,

bill and resolution reports, treaty reports, committee and staff investigative reports, conference

reports, and committee amendments for legislation under consideration on the floor of the

House. As an authorizing committee, the International Relations Committee recommends

funding levels for U.S. government operations and for new and existing programs.

3. Vision and Core Competencies.

A. Vision: There is no published vision statement, although the Committee's Oversight

Plan, mandated by House Rule X lists issues the Committee plans to cover in the 106th Congress.

This list is comprehensive and covers topics such as international security and peacekeeping,

oversight of State Department and related agencies; foreign assistance oversight, Europe, Middle

East, Asia, Western Hemisphere, Africa, human rights, and economic policy.5 Typically,

Committee operations reflect the views and priorities of the Committee and Subcommittee Chair.

B. Core Competencies: Core competencies include U.S. foreign relations, operations of

the Department of State and related agencies and activities, including arms control and

humanitarian assistance.

4. Organizational Culture.

A. Values: There is no published statement of values.

B. Leadership Traditions: Committee and Subcommittee Chairs, selected in

accordance with party rules, have a great deal of influence over the Committee's operating

procedures. They also influence the legislative agenda of the Committee, selecting among the

various pieces of legislation referred by the Subcommittees those the Committee will consider.

Finally, Chairs have significant authority over which bill will be reported out of Committee for

action on the House floor. Committee Chairs are selected by the majority party based on several

considerations, including seniority, expertise on the issues, and how well they will represent the

majority party's interests in the role of Chair. The Chair also determines the working

relationship between the majority and minority on the Committee, usually by establishing a good

relationship with the Ranking Minority Member. Although the authority of the Chair is

undisputed, most Chairpersons will seek to establish a cooperative relationship with the minority.

C. Staff Attributes: The Committee is served by a majority staff and a minority staff,

each headed by a staff director who reports to the Chair and Ranking Member respectively.

Each staff member owes his position to the Committee Chair or Ranking Member who approve

all staff appointments. When the Chair or Ranking Member change, their successors are likely

to bring in at least a few new staff members. If the balance in the chamber as a whole changes,

 

5 Committee on International Relations Oversight Plan, Adopted by the Committee, February 11, 1999.
10

the staff turnover will be greater. The new majority party will appoint additional staff members

over and above those they already have, and the new minority party will release staff to bring

their total staff levels into line with the rules. Committee staff comes from a variety of

backgrounds and includes attorneys, academics, and those with firsthand experience in foreign

relations. Successful staffers have both functional and procedural expertise.

House Rule XI governs the appointment of House Committee staffs. It specifies that

each Committee, except for the Committee on Appropriations, may have no more than 30

professional staff members, one-third of which may be assigned to work for the minority as

determined majority vote. The minority party is temporarily allowed an additional slot when

there are no vacant slots among the 30.6 Currently, the House International Relations Committee

has 20 majority staff members and 11 minority staff members. These totals include professional

staff assigned to specific Subcommittees.

D. Strategy: The Committee and Subcommittee strategies reflect the strategies of the

Chairs and political parties. There is no published strategy document.

E. Organization: In the House of Representatives, Members can serve on a maximum

of two standing Committees and four Subcommittees of those standing Committees.7

Republicans and Democrats designate some Committees as "exclusive." Members appointed to

exclusive Committees may not serve on any other Committee except for the Budget Committee

or the Oversight Committee. Examples of exclusive Committees are the Committee on

Appropriations, the Committee on Rules, Committee on Commerce, and the Committee on Ways

and Means. Each political party has additional rules for determining the number of Committees

on which a member may serve. Democrats, for example, do not allow Members to sit on more

than one standing committee.8

Committee membership is determined by each political party based on leadership

recommendations and according to party procedures.9 Both Republicans and Democrats have

established Steering Committees to make recommendations respectively to the Republican

Conference and Democratic Caucus regarding Committee assignments for current and incoming

members. For both parties, a number of considerations influence Committee assignments,

including a Member's seniority, background, ideology, the strength of his or her state delegation

in the House, the Member's relationship with the party leadership, and the Member's reelection

potential.10 Generally, the leadership will assist a Member facing a strong challenger from

another party by assigning that Member to an influential Committee from which the Member

may affect the interests of his or her constituency.

 

6 Bach, Stanley and Carol Hardy Vincent. House Rules Affecting Committees, CRS Report for Congress. (Washington, D.C.:

Congressional Research Service, March 13, 1997.)

7 Standing Committees are permanent Committees that have specific legislative jurisdiction outlined in the House Rules and

that can recommend funding levels (authorizations). Select Committees are created by resolution by the House or Senate to

conduct specific investigations or studies when a standing Committee is not organized to address a particular issue. They

can be permanent or temporary. Joint Committees include members of the House and Senate and are concerned with

conducting studies rather than considering legislation.

8 Schneider, Judy. House Committees: Categories and Rules for Committee Assignments, CRS Report for Congress.

(Washington, D.C.: Congressional Research Service, February 20, 1998.) (Henceforth, Categories and Rules for Committee

Assignments.)

9 There is one Independent Member in the House of Representatives who votes with the Democratic party most of the time

and receives his committee assignments from the Democratic Party.

10 Categories and Rules for Committee Assignments.
11

The leadership of the two political parties negotiate the size of each Committee and the

ratio of the majority to the minority in each prior to each new Congress and immediately after

election results are available. Committee sizes generally remain constant, although special

elections or other unforeseen circumstances may affect a Committee's membership. The

International Relations Committee has a total of 49 members, 26 Republicans and 23 Democrats.

A majority and minority staff as described in paragraph 4.C supports the Committee.

The Committee is organized into five subcommittees as described in paragraph 2.B. The

Committee Chair, in consultation with the majority party committee members, selects

Subcommittee Chairs. A similar practice is followed by the Minority in selecting Ranking

Members.

Each Subcommittee of the House International Relations Committee has its own majority

staff headed by a Staff Director. One minority staff member is associated with each

Subcommittee as well. Subcommittees are authorized to "hold hearings, receive evidence, and

report to the full Committee on all matters referred to it" by the Committee Chair, who, in

accordance with Committee rules, must refer legislation to the Subcommittee of primary

jurisdiction within two weeks of receiving it.11

The House International Relations Committee membership for the 106th Congress is

shown below.

 

11 Rule of the Committee on International Relatios, 105th Congress, (Adopted February 5, 1997.)
12

HOUSE COMMITTEE ON INTERNATIONAL RELATIONS

Republicans (26) Democrats (23)

Benjamin A. Gilman (NY)—Chair

William F. Goodling (PA)

James A. Leach (IA)

Henry J. Hyde (IL)

Doug Bereuter (NE)

Christopher H. Smith (NJ)

Dan Burton (IN)

Elton Gallegly (CA)

Ileana Ros-Lehtinen (FL)

Cass Ballenger (NC)

Dana Rohrabacher (CA)

Donald A. Manzullo (IL)

Edward R. Royce (CA)

Peter T. King (NY)

Steven J. Chabot (OH)

Marshall "Mark" Sanford (SC)

Matt Salmon (AZ)

Amo Houghton (NY)

Tom Campbell (CA)

John McHugh (NY)

Kevin Brady (TX)

Richard Burr (NC)

Paul Gillmor (OH)

George P. Radanovich (CA)

John Cooksey (LA)

Tom Tancredo (CO)

Sam Gejdenson, (CT)—Ranking Member

Tom Lantos (CA)

Howard L. Berman (CA)

Gary L. Ackerman (NY)

Eni F.H. Faleomavaega (AS)

Matthew G. Martinez (CA)

Donald M. Payne (NJ)

Robert Menendez (NJ)

Sherrod Brown (OH)

Cynthia A. McKinney (GA)

Alcee L. Hastings (FL)

Pat Danner (MO)

Earl F. Hilliard (AL)

Brad Sherman (CA)

Robert Wexler (FL)

Steven R. Rothman (NJ)

Jim Davis (FL)

Earl Pomeroy (ND)

William D. Delahunt (MA)

Gregory W. Meeks (NY)

Barbara Lee (CA)

Joseph Crowley (NY)

Joseph M. Hoeffel (PA)

The Committee is organized into Subcommittees as described above. Subcommittee

membership and a brief description of each Subcommittee's responsibilities follow.

(1) Subcommittee on Asia and the Pacific:

Republicans (12) Democrats (10)

Doug Bereuter—Chair

Dana Rohrabacher

Peter King

Mark Sanford

Matt Salmon

John McHugh

Richard Burr

Paul Gillmor

Donald Manzullo

Edward Royce

John Cooksey

Tom Lantos—Ranking Member

Howard Berman

Eni Faleomavaega

Matthew Martinez

Sherrod Brown

Robert Wexler

Jim Davis

Earl Pomeroy

Gary Ackerman

Alcee Hastings
13

The Subcommittee has jurisdiction over issues relating to all of Asia, including Southeast

Asia and Central Asia. The Subcommittee addresses issues pertaining to political relations

between the United States and countries in the region; legislation relating to disaster assistance in

this region; boundary issues and international claims; legislation relating to foreign loans to

countries in this region; disapproval of foreign arms sales under the Arms Export Control Act;

human rights practices in countries in the region; oversight of lending institutions in the region;

oversight of United Nations (UN) and other international organizations—related matters in the

region; base rights and other regional security agreements; parliamentary and other exchanges

involving countries in the region; oversight of foreign assistance programs to the region;

concurrent jurisdiction with other International Relations Subcommittees on functional matters.12

(2) Subcommittee on International Operations and Human Rights:

Republicans (8) Democrats (6)

Christopher Smith—Chair

William Goodling

Henry Hyde

Tom Tancredo

Dan Burton

Cass Ballenger

Peter King

Matt Salmon

Cynthia McKinney—Ranking Member

Eni Faleomavaega

Earl Hilliard

Brad Sherman

William Delahunt

Gregory Meeks

The Subcommittee has jurisdiction over issues involving the Department of State, the

United States Information Agency and related agency operations; the diplomatic service;

international cultural and education affairs; foreign building; legislation related to the United

Nations and other international organizations; protection of U.S. citizens abroad; the American

Red Cross and human rights matters; international population issues.13

(3) Western Hemisphere:

Republicans (9) Democrats (7)

Elton Gallegly—Chair

Dan Burton

Cass Ballenger

Christopher Smith

Ileana Ros-Lehtinen

Mark Sanford

Kevin Brady

Paul Gillmor

Vacancy

Gary Ackerman—Ranking Member

Matthew Martinez

Robert Menendez

Robert Wexler

Steve Rothman

Jim Davis

Earl Pomeroy

The Subcommittee has jurisdiction over regional issues, including those relating to

political relations between the United States and countries in the region; disaster assistance in

this region; boundary issues and international claims; legislation relating to foreign loans to

 

12 Rules of the Committee on International Relations, 105th Congress, (Adopted February 5, 1997)

13 Rules of the Committee on International Relations, 105th Congress, (Adopted February 5, 1997).
14

countries in this region; disapproval of foreign arms sales under the Arms Export Control Act;

human rights practices in countries in the region; oversight of lending institutions in the region;

oversight of UN and other international organizations—related matters in the region; base rights

and other regional security agreements; parliamentary and other exchanges involving countries

in the region; oversight of foreign assistance programs to the region; concurrent jurisdiction with

other International Relations Subcommittees on functional matters.14 

(4) Subcommittee on International Economic Policy and Trade:

Republicans (10) Democrats (8)

Ileana Ros-Lehtinen—Chair

Donald Manzullo

Steve Chabot

Kevin Brady

George Radanovich

John Cooksey

Doug Bereuter

Dana Rohrabacher

Tom Campbell

Richard Burr

Robert Menendez—Ranking Member

Pat Danner

Earl Hilliard

Brad Sherman

Steven Rothman

William Delahunt

Joseph Crowley

Joseph Hoeffel

The Subcommittee addresses issues relating to international economic and trade policy,

legislation to support U.S. trade with foreign countries; export administration; international

investment policy; trade of nuclear technology and materials and nonproliferation aspects; trade

of international communication and information technology; licensing for exports of dual-use

goods and technology; legislation and oversight pertaining to economic and financial institutions,

such as the Overseas Private Investment Corporation (OPIC), the Trade and Development

Agency, and the Export-Import Bank.15

(5) Subcommittee on Africa:

Republicans (6) Democrats (4)

Edward Royce—Chair

Amo Houghton

Tom Campbell

Steve Chabot

Thomas Tancredo

George Radanovich

Donald Payne—Ranking Member

Alcee Hastings

Gregory Meeks

Barbara Lee

The Subcommittee is responsible for legislation and oversight of regional issues relating

to political relations between the United States and countries in the region; disaster assistance in

this region; boundary issues and international claims; legislation relating to foreign loans to

countries in this region; disapproval of foreign arms sales under the Arms Export Control Act;

human rights practices in countries in the region; oversight of lending institutions in the region;

oversight of UN and other international organizations—related matters in the region; base rights

 

14 Rules of the Committee on International Relations, 105th Congress, (Adopted February 5, 1997).

15 Rules of the Committee on International Relations, 105th Congress, (Adopted February 5, 1997).
15

and other regional security agreements; parliamentary and other exchanges involving countries

in the region; oversight of foreign assistance programs to the region; concurrent jurisdiction with

other International Relations Subcommittees on functional matters.16

5. Formal National Security Process Involvement.

A. Overview of the Legislative, Committee, and Subcommittee Processes:

(1) Formal Legislative Process:17 Legislation can be introduced either in the

House or Senate, except for appropriation bills, which traditionally originate in the House.

Sometimes, similar, or "companion," bills are introduced simultaneously in both chambers.

Legislative proposals take the form of bills, which are the typical vehicle for legislation; joint

resolutions, which include a preamble preceding the legislative language; concurrent resolutions,

which are not legislative in nature but express the opinions of the House and Senate on specific

matters; and simple resolutions, which usually addresses the operations of the House or Senate.

Bills and joint resolutions become law when both chambers approve them and the President

signs them. Concurrent and simple resolutions do not result in law. Ideas for legislation

originate from different sources. They may result from a Member's own idea, an idea originating

from Member's constituent, from an Executive Agency proposal, or a proposal made by the

President during the State of the Union address.

In the House of Representatives, the legislative process begins when a Member formally

introduces legislation. The Member sponsoring the bill may be joined by an unlimited number

of co-sponsors from one or both parties, and the bill may continue to pick up sponsors after its

introduction until the time it has been reported out of the last Committee with jurisdiction over it.

After introduction, the bill is assigned a number and printed in the Congressional Record.

The Speaker, or the Presiding Officer in the Speaker's absence, refers the bill to the appropriate

Committees with jurisdiction over the matter addressed by the bill. A bill may be referred to

only one Committee or to multiple Committees simultaneously when jurisdiction for a particular

issue overlaps; in the latter case, however, the Speaker must identify the Committee with primary

jurisdiction. The bill may also be referred to one Committee first, which is required to act within

a specific amount of time, and then to other Committees sequentially. Finally, different portions

of a bill may be referred to different Committees at the same time, in a procedure known as split

referral. Referral to Committee does not mean the bill will receive consideration. In fact, the

majority of legislation referred to Committee is never acted upon. When this happens, the

matter may be dropped, or it may be reintroduced at the next session.

Whether a bill is considered often depends on who sponsors and co-sponsors it and their

relationship with the Chair. If several Committee members co-sponsor a bill, it has a better

chance of moving through the Committee process, for example. If the Member and the

Committee Chair are of the same party, the bill will have a better chance. If the Member and the

Chair are of different parties and the bill does not have bipartisan co-sponsorship, the bill may

still receive a hearing, but its likelihood of passage will not be high.

 

16 Rules of the Committee on International Relations, 105th Congress, (Adopted February 5, 1997).

17 The following paragraphs are based on Charles W. Johnson, Parliamentarian, U.S. House of Representatives. "How Our

Laws Are Made," Revised and Updated September 1999, at http://thomas.loc.gov/home/holam.txt.
16

Upon receiving a bill, a Committee Chair may refer it to one or more Subcommittees or

deal with the legislation at the full Committee level.18 In considering legislation, the Committee

or Subcommittee Chair use essentially the same procedures. The Chair will first ask for written

comments from the Executive Branch. It will then hold hearings in which witnesses provide

both written and oral testimony. Based on the outcome of these initial steps, the Committee or

Subcommittee will "mark up" the bill or resolution—that is a line-by-line review that includes

amending the original language (and often the intent) to bring it in line with Committee and other

members' preferences. Mark ups may be open to the public, or, if classified information is

discussed, may be closed. As a rule, most of the line-by-line review is done by the staff, who

identify key passages and recommend alternative language and other amendments.

If the Subcommittee marked up the bill first, it will then refer it to the full Committee.

Here, if the Committee Chair elects to consider the bill, it goes through a similar mark up

(including introduction of amendments by Committee members) and is voted on by the entire

Committee. Once the Committee approves the bill by a simple majority vote, the Committee

staff prepares a draft of the bill that reflects Committee changes, which is sent to the full House

for deliberation.

Bills sent to the floor are accompanied by a written report (prepared by the Committee

staff) that explains the Committee's actions and intent, describes the rewritten bill, and makes

arguments for passage.19 Members voting in the minority on a bill that is reported out of

Committee may also provide a written report that states their views. Once on the floor, debate

on the bill is managed by Committee members. The Committee staff assists floor managers by

building support with the staff of Members who are not members of the Committee, preparing

floor remarks, and overseeing additional amendments, including Committee amendments offered

by the Chair to offset the effects of other floor amendments.

Once the entire House has passed a bill, it is scheduled for conference with the Senate to

reconcile differences between the two versions.20 The majority and minority leadership of the

House and Senate choose a select number of Members to participate in the Conference

Committee on a specific bill, typically selecting a number of Members from the referring

Committee. The majority of differences between the House and Senate versions of the bill are

worked out by the staff; however, Conference Committee members are personally involved with

important issues that defy staff resolution. At the conclusion of the conference, either the House

or the Senate prepares the conference report (usually this task alternates between the two

chambers) and the reconciled bill is returned to each chamber for passage.

 

18 Not all Committee Chairs allow Subcommittees to mark up legislation, this is not the case for the House International

Relations Committee, where Subcommittees may conduct mark ups on legislation referred to them by the Committee Chair.

19 There are at least three different types of reports and each has different affects on Executive Branch Departments and

Agencies. Committee staff members prepare the first type of report. While it may convey important information, it is not

authoritative. The second type is the report that accompanies a House (or Senate) version of a bill. This report is primarily

explanatory and lays out reasoning for the bill that is under consideration on the floor. The third type of report is the

conference report, which is issued by both chambers jointly following conference deliberations. The language and requests

for information in this report are, by custom and tradition, often honored by Executive Branch organizations, even though it

is not law. Not abiding by it may cause the Member who inserted it in the first place to include it in law the following year,

perhaps with more stringent requirements.

20 In the case of most authorization bills, the Senate and House begin work on them independently, but almost simultaneously.

Although informal contacts may keep members apprised of what the other chamber is doing, there is no formal collaboration

until the conference. For appropriations measures, the Senate normally awaits the House version, then amends that bill.

The amended appropriations bill becomes the basis for the conference.
17

When both chambers pass the bill, it is sent to the White House for the President's

signature (or veto.) If the President signs the bill, it becomes law. If the President vetoes the

bill, it is returned to the House and Senate, where it can be put to a vote again. If the bill then

passes both chambers with a two-thirds majority, it becomes law. A bill may also become law if

the President does not sign it and fails to return it to Congress within 10 days when Congress is

still in session. Once the bill becomes law, the Committee has oversight responsibility to ensure

the Executive Branch adheres to its provisions.

(2) Hearings:21 Hearings are the principal means by which Committees and

Subcommittees collect information to support their legislative activities. There are different

types of hearings: oversight hearings, designed to examine the implementation of policies by the

Executive; investigative hearings, which examine allegations of wrongdoing; and, in the case of

the Senate, confirmation hearings, which review the qualifications of individuals nominated by

the Administration for senior Executive Branch positions. Hearings are one of the most visible

and effective formal methods for Committees to influence the seven key processes.

Typically, hearings begin in the appropriate Subcommittee; however, they also occur at

meetings of the full Committee. Both parties may recommend witnesses, and all Members may

question them for specified periods of time, depending on the rules that are in force. Hearings

may be supplemented by staff research. Occasionally, this research will take on the proportions

of a major study (e.g., the staff study that accompanied the Goldwater-Nichols Act of 1986,

which reformed the Department of Defense.)

In addition to hearings on bills, Committee and Subcommittees hold hearings for other

reasons that include spotlighting particular issues. This type of hearing may include oversight

hearings and focus on a particular issue, program, or Executive Branch action in relation to the

appropriate law. Hearings may be held as a way of scrutinizing Administration actions or

pressuring the Administration to act in certain ways.

For example, the International Relations Committee has jurisdiction over interventions

and declaration of war (see paragraph 2.) Because it has jurisdiction it can hold hearings that are

designed to shape Administration policy with respect to specific interventions.

Committee and Subcommittee Chairs have broad latitude in structuring hearings

regardless of type. They decide on witnesses and they often organize or "stage manage"

proceedings so that testimony supports their position. Usually, Members from the minority party

will have some latitude to negotiate their own witnesses, and/or they may treat those witnesses

chosen by the majority in a hostile manner. In the House, a Committee requires a quorum of at

least two members to conduct a hearing.

Committee staffs often prepare packets prior to hearings that include copies of the

witnesses' written testimony and suggested lines of questioning. Separate packets are often

prepared for majority and minority Members and reflect Chair (or Ranking Member) and party

 

21 Information sources on hearings include: Richard Sachs, Types of Committee Hearings, CRS Report for Congress,

(Washington, D.C.: Congressional Research Service, March 30, 1999) and Richard C. Sachs and Carol Hardy Vincent,

Hearings in the House of Representatives: A Guide for Preparation and Conduct, CRS Report for Congress, (Washington,

D.C.: Congressional Research Service, August 10, 1999.)
18

views. In the House, hearings follow a standard format: opening statements from the Chair and

Ranking Member, introduction of witnesses and, in investigative hearings, their swearing in, oral

testimony by witnesses, and questioning of witnesses by Members present. After the hearing,

the staff may draft a summary of testimony (see subparagraph (3)(a) below); in addition,

Committees typically print transcripts in the Congressional Record.

(3) Reports: Reports provide information, instructions, and rationale for

Committee decisions. There are several types of reports:

(a) Hearing Reports. These are produced by Committee or

Subcommittee staff to record testimony, questions, and answers from hearings. They are records

of events, and the Committee or Subcommittee does not usually vote on them. While they

contain important information, they are not authoritative.

(b) Reports that Accompany Legislative Actions. These are primarily

informational and explanatory. They may contain directions for Executive Branch activities

(such as a requirement to conduct an investigation or prepare a report.) These directions are not

legally binding, but are often honored by custom and tradition. The alternative to honoring

report directives is to risk having them included in law the following year, perhaps with more

stringent requirements. (For example, a Department that does not honor a report direction for a

semiannual report to Congress may find that the next year's authorizing legislation requires a

quarterly submission.)

(c) Investigative Reports. Such reports deal with specific matters,

activities, or programs over which the Committee has jurisdiction. If the Committee issues them,

they are voted out. If the staff issues them, the may be voted out or released by the Committee

Chair.

(d) Conference Reports. Conference reports describe the reconciliation

agreements made by conference committees concerning specific legislation. Conference reports

contain requests and directives that, while not law, are customarily honored. They are prepared

by either the House or the Senate, usually on a rotating basis, and they accompany the reconciled

legislation to each chamber. The conference committee votes these reports out.
19

B. Strategy Development:22

(1) Major Activities: Although the Committee on International Relations does

not participate directly in Administration processes that develop national security strategy,

hearings and studies can influence Administration's strategic options. Through the hearing

process described in paragraph 5.A., the Committee can influence the Administration's

assessment of strategic options by identifying those it supports and those it considers

unacceptable. It can also issue Committee and staff reports that spotlight issues and help focus

public attention on strategic options and policies.

By constructing authorization bills (and other legislation) that regulate various aspects of

international relations, the Committee can affect the structure of the foreign policy establishment

and enhance or restrict its latitude to implement the strategy it develops. Also, through

authorization bills, it can limit or enhance funding, which impacts options for strategy

development. Through conferences to reconcile differences in House and Senate versions of

authorization bills, Members can influence Senators to accept their views.

In addition to these measures, if the Committee Chair is powerful and well respected in

the House, the Administration may discard some strategic options that the Chair opposes if they

are seen as politically risky in terms of House approval. This is not to suggest that

Administrations are unwilling to challenge Committee Chairs on matters the Administration

believes are important. The evidence suggests the opposite to be the case. However, during

strategy development, Administration officials are likely to take into consideration the prevailing

sentiment on the Hill as reflected in a powerful Chair's pronouncements. This is especially true,

given the Committee's authorizing power, which can influence structure and operating

procedures or place limits on how funds can be expended for strategy implementation.

 

22 The narrative that follows discusses Committee activities in terms of the processes the U.S. Commission on National

Security /21st Century prescribed and according to the definitions it stipulated. Congressional staff interviewed indicated

that, from their perspective, Committees deal primarily with policy and oversight and that everything the Committee does

falls into one of these two categories.

Strategy

Development

Policy, Guidance,

and Regulations

Planning

Mission Execution

Observation, 

Orientation,

and Oversight

Preparation

Resourcing

Products

Hearing Reports    

  

 

 

 

 

Roles

Oversight  

Products

Hearing Reports

Bill/Resolution Report

Committee/Staff 

Reports

Conference Report

Subpoenas

Committee 

Amendments
20

(2) Major Stakeholders: The Executive Branch (especially the State Department

and related activities), various political constituents, and special interest groups, such as political

action groups representing the interests of a country or region, depending on the issue.

(3) Key Organizational Processes: Committee and Subcommittee level hearings

and reports.

(4) Associated Higher-Level Processes: Authorization and appropriation law.

(5) Associated Lower-Level Processes: Preparation of the National Security

Strategy and other major strategy documents by the Executive Branch.

C. Policy, Guidance, and Regulation:

(1) Major Activities: The Committee influences policy, guidance, and

regulation through reports and legislation. By reporting out of Committee and achieving a

majority vote on the floor of the House, bills and accompanying reports make policy and craft

regulations. For example, the Foreign Affairs Reform and Restructuring Act of 1998 shaped the

structure and size of the Department of State and related activities (e.g., abolished the Arms

Control and Disarmament Agency and placed the U.S. Agency for International Development

under the direct supervision of the Secretary of State.)23 (See paragraph 5.A. for a description of

the Committee and Subcommittee processes.)

(2) Major Stakeholders: The Executive Branch and various political

constituencies.

(3) Key Organizational Processes: Committee and Subcommittee level hearings

and report preparation.

(4) Associated Higher-Level Processes: Authorization bill preparation.

(5) Associated Lower-Level Processes: Administration-proposed legislation.

D. Planning: The Committee on International Relations has no involvement in planning.

E. Mission Execution: The Committee on International Relations has no involvement in

mission execution in the sense that it can command and control Executive Branch organizations.

However, it can exert influence on how the Administration manages ongoing missions through

hearings and/or introduction of legislation that supports or impedes operations. Knowing that the

Committee may take up (and perhaps limit through authorization language) important

Administration actions during an ongoing mission can act as a brake on Administration options.

In the extreme, it is conceivable that the Committee could refuse to authorize appropriations for

an ongoing operation, although it has traditionally supported fielded forces, even if it disagrees

with the policy that fielded them.

 

23 Public Law 105-277.
21

F. Observation, Orientation, Oversight:

(1) Major Activities: The Committee fulfills its oversight responsibilities by

conducing hearings and preparing reports. (See paragraphs 5.A. and 5.C. See also discussion of

authorization procedures in paragraph 5.H.)

(2) Major Stakeholders: Executive Branch agencies with international relations

responsibilities, including the Department of State; various political constituents.

(3) Key Organizational Processes: Committee—and Subcommittee—level

hearings.

(4) Associated Higher-Level Processes: Authorization and appropriations law.

(5) Associated Lower-Level Processes: President's Budget preparation.

G. Preparation: The Committee is generally not involved in preparation, although

provisions of authorizing language may impact the way in which Executive Branch Agencies

prepare. For example, the House International Relations Committee reported to the House

legislation to change the Foreign Service career system, mandating the creation of a Senior

Foreign Service category, among other reforms. The legislation was passed by House and

Senate and enacted as the Foreign Service Act of 1980.

H. Resourcing:

(1) Major Activities: All of the Committee's products have resource implications.

The Committee produces the State Department authorization bill and foreign aid authorization

bills. Authorizing legislation constitutes the legal basis for Department and Agency operations,

structures Departments and Agencies, prescribes responsibilities, and authorizes Appropriations

Committees to fund programs such as foreign aid. In essence, it tells Departments or Agencies

what they can commit funds to, and it tells appropriations Subcommittees how much funding to

allow.

Theoretically, Appropriations Committees cannot appropriate funds without authorizing

legislation, nor can they appropriate funds in excess of the amounts authorized when amounts are

specified. Conversely, appropriations measures are not to contain authorization—or

legislative—language. In practice, however, the distinctions are blurred. For example, the last

time the Committee on International Relations reported out an authorization bill for the State

Department was 1993 (for fiscal year 1994), yet the Department continues to be funded. And

Appropriators routinely include legislative provisions in appropriations bills. For instance, the

fiscal year 1995 Omnibus Appropriations Bill provides that levels of assistance to Israel and

Egypt are contingent upon progress under the Camp David Accords.24

In addition to authorizing the expenditure of funds, authorization legislation can organize

and structure organizations and often contain directives or proscriptions with respect to

responsibilities and actions. They also can establish operational processes and procedures;

 

24 Report Number 104-863, September 28, 1996, p. 133.
22

specify personnel policies; and direct the Department or Agency to conduct studies and provide

reports. And they can require interaction with other Departments and Agencies.

In terms of resourcing, authorizing legislation usually provides some indication of

funding levels, either specifically or in general. Authorization bills are "ceilings," appropriations

bills are "floors." An authorization act may make a specific amount of money available and

restrict its use to certain activities. In this case, the Appropriations Committees may not

appropriate more than that amount, although it may appropriate less. On the other hand,

Authorizing legislation may be general: "In order to provide the State Department with

dependable, flexible and adequate source of funding for its expenses . . . before an international

tribunal . . . the International Litigation Fund [ILF] shall be available without fiscal limitation."25

Finally, authorizing language may be restrictive: ". . . funds credited to the ILF shall be treated

as a reprogramming of funds under section 34 of the State Department Basic Authorities Act of

1956 (22 U.S.C. 2706) and shall not be available for obligation or expenditure except in

compliance with the procedures applicable to such reprogramming."26 Finally, authorization

bills frequently contain "earmarks." Earmarking is a technique by which funds are authorized for

a particular program or activity, reflecting a Member's interest in that program and his/her ability

to generate support for it among colleagues.

As a rule, authorizations do not extend beyond a few fiscal years and often are made for

only a year, although some authorizations are permanent and continue until modified by new

authorizing legislation. Limiting authorizations to a few years allows Authorizing Committees

an opportunity to frequently review Department and Agency performance. As one observer

noted, "temporary authorizations are a short leash Congress can pull to compel changes in an

agency's policies or actions."27 Yet, despite formidable rules, appropriations do occur even when

there is no current authorization. The Department of State, for which the last authorizing bill

was passed in 1993, serves as an example. Appropriating in the absence of authorizations is not

unconstitutional per se.

Because both chambers must pass bills before sending them to the President for

signature, House-Senate conferences occur routinely. When the International Relations

Committee reports out an authorization bill that is passed by the House, the Chair and Ranking

Member of the Committee select Members to meet with Senators from the Committee of Foreign

Relations to reconcile differences in the House and Senate versions.

These conferences typically require several meetings, which may or may not be held on

sequential dates. In other words, a conference might begin in July and not conclude its business

until September. Usually, most compromises are brokered by staff and presented to Senators and

their House counterparts for approval. When one side agrees to accept the language proposed by

the other, it is said to have receded to the point. While receding is common and occurs as a

result of compromises, sometimes conferees craft language that is different from what either

chamber's bill contained at the outset of the conference.

 

25 Foreign Relations Authorization Act, Fiscal Years 1994 and 1995, Section 113.

26 Foreign Relations Authorization Act, Fiscal Years 1994 and 1995, Section 113.

27 Schick, p. 117.
23

Once the conference has resolved differences, a common version of the bill (together

with a report that describes the compromises made during conference) is provided to the

respective chambers for deliberation and approval. Once both houses pass the measure, it is sent

to the White House for the President's signature and becomes public law.

Usually, the Appropriations Committee does not wait for authorizing legislation before

preparing and considering appropriations. This process is often nearly independent of the

authorizing deliberations.28 (See Chapter 1 in this volume.)

(2) Major Stakeholders: Executive Office of the President; Department of State

and related activities and agencies; various political constituents including non-governmental

organizations that depend on United States Agency for International Development for grants and

contracts.29 (In the past, authorizing legislation has placed "strings" on how money may be

provided to non-governmental organizations.)

(3) Key Committee Processes: Committee and Subcommittee-level hearings and

reports, staff investigations.

(4) Associated Higher-Level Processes: Appropriations.

(5) Associated Lower-Level Processes: Administration processes for preparing

budget requests.

6. Informal National Security Process Involvement. There are no informal processes that are

so fixed that they apply across a large number of events. Most informal processes are focused on

information gathering and issue resolution. These are described in the following subparagraphs.

A. Contacts with Administration Officials: In addition to formal hearings, written

testimony, and written responses to questions, informal contacts with Administration officials

occur throughout the process. Both Members and staffers hold informal discussions, and part of

the purpose of these contacts is to determine true needs and to separate them from nice-to-have

programs. The Committee staff will usually develop long-term networks of contacts in the

Department of State and its related activities and the Department of Defense. At present, the

Minority staff also maintains in-depth relations with the National Security Council (NSC) Staff;

NSC-Majority staff relations are less cordial. The contacts also provide Members and staff with

ranges of options and with the basis for trade-offs during formal negotiations.

Informal contacts with Administration officials offer Members a means to influence

Administration choices and behavior with respect to policy and budget matters. Conversely,

since Administrations are not monolithic, these contacts give the Executive Branch official who

hold views inconsistent with Administration policy, an opportunity to express them.

 

28 The authorizing-appropriating formula is not enshrined in the Constitution but originated in the mid-1860s. Before that

time, single committees both authorized and appropriated, usually in one piece of legislation. Because the system is a

creation of Congress, Congress could change it if it so desired, and it sometimes chooses to ignore it altogether.

29 A key USAID operating technique is to engage nongovernmental organizations to carry out actual development activities.

Over the years a substantial number of these organizations have come to depend on this system. If appropriations are

delayed, some of them may lobby Congress in an effort to expedite them.
24

B. Contacts with other Members: If a Member is a member of the Committee on

International Relations, getting his/her priorities considered and into a bill for which the

Committee has jurisdiction is not difficult. Generally, the Subcommittees honor requests by

their members and those of other Subcommittee members. For Members who do not serve on

the Committee, the task is more daunting. Each year the number of requests exceeds capacity,

which requires Members on the Subcommittees to make choices among competing requests from

their colleagues. The tendency is to ensure that every Member receives at least some of what

he/she requests in order to ensure support for bills on the floor and to build alliances for other

matters. Attempts to do this are marked by personal negotiations between Members and between

their staff representatives.

C. Influencing the Public: Members routinely use press releases, speeches, interviews,

and other means to influence public opinion either in support of or in opposition to high-priority

issues. Enlisting public opinion helps Senators achieve their legislative agendas and often raises

the quality and scope of debates on important issues.

7. Funding and Personnel.

A. Funding Sources: The House International Relations Committee is funded through

the Legislative Branch appropriations.

B. Budget: The budget for Fiscal Year 2000 is $11,313, 531.30

C. Manpower: The International Relations Committee has a total of 49 Members, 26

Republicans and 23 Democrats. In addition, the Committee is supported by 20 majority and 11

minority professional staff members, and additional administrative staff.

8. Observations.

A. Organization and Process vs. Political Considerations: The processes and

organization used by the House and its Committees are a creation of the House. Although often

slower than some believe it should be, and while the House sometimes violates its own rules, the

system works effectively. When legislation is delayed, it is most often because of political

considerations or differences, not the way the House is organized or the processes it chooses to

prosecute its business. The Committee on International Relations' jurisdiction tends to line up

effectively with Administration Departments, most prominently the Department of State.

B. The Power of the Chair: Under House rules Committee and Subcommittee Chairs

have tremendous authority over matters under their jurisdiction. By determining which

proposals will be reported out to the floor, by sanctioning authoritative reports to accompany

these proposals, and by managing floor debate, the Chairs often determine which proposals will

become the law of the land. The most powerful Chairs are those that are subject matter experts

and are respected by other Members for their knowledge. At a time when some have suggested

that Members of Congress are becoming more specialized, many Members rely on consultations

with respected peers to determine how they will vote on issues.31 If this trend continues, Chairs

 

30 House Resolution 101, March 23, 1999, Section 1.

31 Interviews. Because issues are becoming more complex and more information is available about them, Members often tend

to focus more on specific areas.
25

and other Members who are acknowledged as experts by their peers will become more influential

in shaping debate outcomes.

C. Jurisdictional Issues: Although most Committees have lists of their jurisdictions,

actual division of responsibilities is not clear cut. There are overlapping issues that often involve

intense discussions and often are unresolved. Export controls is one area of such overlapping

jurisdiction. During the 105th Congress, legislation regulating the exports of strong encryption

products involved five different Committees of the House: Commerce, Judiciary, Armed

Services, International Relations, and Permanent Select Committee on Intelligence. Each

Committee amended the underlying legislation according to its particular perspectives on

national security, resulting in mark-ups of the same base bill strongly at odds with and on some

provisions directly contradictory to each other. The 105th Congress was unable to resolve the

differences among the five Committees' versions of the bill and the legislation was never acted

upon by the full House.32 As the definition of national security expands to cover issues with

security, commercial, and other dimensions, this problem is likely to recur.

 

32 Author's personal experience as a staffer to a Member who participated in both the House National Security Committee

(predecessor of the current Armed Services Committee) and Permanent Select Intelligence Committee mark-ups of the

encryption legislation.
APPENDICES
Appendix 1

House Committee on International Relations - Key Process - (Formal) - Legislative Process

President House Subcommittee House Committee House Senate Interagency Inter-Branch IWG (Interagency

Working Group)

Convene

Conference

Committee

Prepare

Conference

Report 

Prepare Hearing

(Subcommittee Staff)

Receive

Testimony of

Witness

Ask for W ritten

Comments from

Executive

Branch

(Chair)

"Mark-Up Bill or

Resolution"

Transfer to Full

Committee for

"Mark-Up"

Receive Bill

(Chairman)

Refer to

Subcommittee?

Ask for W ritten

Comments from

Executive

Branch

(Chair)

"Mark-Up" Bill or

Resolution

Vote by

Committee

Consider

Bill?

Drop Bill or

Reintroduce in

the Next Session

End

Approve

Bill?

Send to Full House

for Deliberation

Prepare Written

Report Prepare Hearing (Committee Staff) Receive Testimony of Witness

Start

Introduce

Legislation

(Member)

Refer Bill toAppropriate

Committee(s)

(Speaker)

Deliberate Bill

(Managed by

Committee

Members)

Approve Bill?

Schedule

Conference with

Senate

Approve

Revised Bil

Senate

Companion

Bill?

Send House Bill

to Senate for

Consideration

Proceed Through

Senate

Legislative

Process

End

Yes

No

Yes

No

Yes

No

No

No

Yes Yes

No
ORGANIZATIONAL DESCRIPTION

HOUSE COMMITTEE ON THE BUDGET

Prepared for the U.S. Commission on National Security/21st Century
2

EXECUTIVE SUMMARY

House Committee on the Budget

Overview

The House Budget Committee focuses on the enforcement of laws that outline the budget

process. The Congressional Budget and Impoundment Control Act of 1974 established the

Committee as a standing committee in the House of Representatives. It sets Congressional

policy and budgetary priorities by drafting the House version of the annual concurrent budget

resolution. The resolution guides the Congressional budget process and defines aggregate

spending amounts.

Organization

The House Budget Committee is one of 19 standing committees in the House of

Representatives and has no subcommittees. The Chair of the House Budget Committee and the

Ranking Minority Member head the committee and are selected for these positions by the House

Leadership. The Budget Committee consists of 43 Representatives and 29 professional staff.

Role in Formal and Informal National Security Processes

The House Budget Committee recommends to House and House entities proposals on the

budget, which when adopted as the annual budget resolution, help establish Congressional

budget policies and priorities. The budget resolution sets aggregate topline funding levels for

each functional budget category, which includes national security activities.

Observations

In general, the House Budget Committee maintains oversight of budgetary issues, while

the authorizing and appropriating committees have control over the specific agencies and

program details. Therefore, the Congressional budget process and adoption of the concurrent

budget resolution offer Members of Congress the only opportunity to vote on—and take

responsibility for—the size of the budget deficit, total spending and budget priorities.1 The

Congressional Budget Act defines the budget process and calls for a budget resolution.

Technically, this resolution is binding—it is internal rulemaking, however, and not law. In the

absence of a budget resolution, the appropriations committees can move ahead with funding

legislation regardless of whether a budget resolution has passed.

 

1 Schick, Allen. The Federal Budget: Politics, Policy, Process. Washington, DC: The Brookings Institution. 1995.
3

ORGANIZATIONAL DESCRIPTION

HOUSE COMMITTEE ON THE BUDGET

1. Legal Specifications, Authorizations, and Responsibilities.

A. Congressional Statutes: Article I, Section 5, clause 2 of the Constitution provides

that each chamber of Congress has the authority to determine the rules governing its procedures.

More specifically, the House Budget Committee was established by Title I of Public Law 93-

344, the Congressional Budget and Impoundment Control Act of 1974. The purpose of this law

was to provide a focal point for Congress to establishing annual debt, surplus, and spending

allocations. The Budget Committee sets the overall budget, however, within which the

authorization and appropriations process work. In addition to creating a standing committee in

the House of Representatives, the law amends the Rules of the House of Representatives and

Senate to improve Congressional control and involvement in the budget process and instituted

Congressional activities to guide budget procedures. The legislation established a formal

timetable for the Congressional budget process and created the Congressional Budget Office

(CBO).
4

Figure 1. Timetable for Budget Committee Annual Action2

B. Department/Agency Directives: Other legislation directing the activities of the

House Budget Committee include:

(1) The Budget and Accounting Act of 1921 created a more centralized

approach to financial policy and processes in both the executive and legislative branches, and

established a framework to balance the budget authority of the President and the Congress. The

Act systematized the Presidential budget process, created the Bureau of the Budget (later to

become the Office of Management and Budget (OMB)), and created the General Accounting

Office (GAO), which acts as the government’s auditor and reports directly to Congress.

 

2 Extracted from table of the annual budget process. James V. Saturno, The Congressional Budget Process: A

Brief Overview. CRS Report for Congress. (Order Code RS20095) 1 March, 1999.

House and Senate Budget Committees

draft and mark up concurrent resolution

on the budget: must be reported in the

Senate by April 1 (section 300 of the

Congressional Budget Act)

Budget resolution considered

in the House and Senate

(April 15 deadline for

completion of action on the

budget resolution - section 300

of the Congressional Budget Act)

Budget resolution sets revenue,

spending, and other budgetary

targets; may include reconciliation

instructions to one or more

committees (section 302(a) of the

Congressional Budget Act)

House and Senate Budget

Committees hold hearings

President submits budget proposal to Congress

by 1st Monday in February (31USC 11059(a))

Other Committees submit “views and

estimates” concerning expenditures and

receipts within their jurisdiction to House

and Senate Budget Committees within 6

weeks of President’s budget submission

(section 300 of the Congressional Budget

Act)

Instructed committees

respond to reconciliation

instructions in the budget

resolution (deadline

specified in the budget

resolution)

Committee reconciliation

recommendations packaged by

Budget Committees and

reported for consideration

in the House and Senate

Budget Committees
5

(2) The Balanced Budget & Emergency Deficit Control Act of 1985 (GrammRudman-Hollings Act) was an effort to establish “maximum deficit amounts” as the budget

deficit continued to increase.3 The Act modified the Congressional budget process in order to

enforce the maximum deficit amounts and provided for the progressive reduction of the Federal

budget deficit to zero by fiscal year 1991.

(3) The Budget Enforcement Act of 1990 replaced the enforcement mechanisms

of the Balanced Budget and Emergency Deficit Control Act by shifting deficit targets from fixed

to adjustable, establishing caps on discretionary spending, and establishing a pay-as-you-go

requirement for direct spending and revenue legislation. The Budget Enforcement Act also

provided both Executive Branch and Congressional enforcement mechanisms. These

mechanisms include Executive Branch sequestration action and legislative procedures for

reconciliation, as well as dividing responsibility for budget enforcement among the

Appropriations Committee and authorizing committees.

(4) The Balanced Budget Act of 1997 amends the Congressional Budget and

Impoundment Control Act of 1974 and the Balanced Budget and Emergency Deficit Control Act

of 1985 by revising and clarifying procedures and reporting requirements of the Congressional

Budget Office and the Budget Committees, as well as increasing the points of order enforcement

mechanisms available to the Budget Committee. The Act also requires the House Budget

Committee chair to submit spending allocation limits contained in the most recently agreed to

budget resolution to the House if a concurrent budget resolution is not adopted by April 15.

C. Other Relevant Directives: House Rule X of the House Rules for the 106th Congress

outlines the jurisdiction and related functions of the Committee on the Budget for the current

Congress.

2. Missions/Functions/Purposes.

A. Major Responsibilities: The House Budget Committee was established in order to

provide oversight of the Federal budget and direct and monitor the budget process. Duties of the

Committee to fulfill this obligation include:4

(1) Estimating the total amount of new budget authority and drafting the annual

concurrent resolution on the budget;

(2) Compiling the views and budget estimates from each standing committee, as

well as testimony from federal departments and agencies, through hearings concerning matters to

be included in the concurrent resolution;

(3) Evaluating other measures setting forth appropriate levels of budget totals for

the U.S. government;

 

3 “The Congressional Budget Process—An Explanation.” Committee on the Budget. United States Senate.

4 Functions of the House Budget Committee are outlined in Rule X of the House Rules for the 106th Congress and are further

detailed in the House Budget Committee Oversight Plan for the 106th Congress.
6

(4) Establishing, extending, and enforcing special controls over the Federal

budget;

(5) Monitoring activities of the appropriations and authorizing committees to

ensure compliance to the budget resolution;

(6) Recommending a candidate to fill the position of the Director of the

Congressional Budget Office;

(7) Considering proposals to improve and enforce budgetary decisions;

(8) Requesting and evaluating studies of tax incentives and direct spending by the

federal government;

(9) Overseeing studies on the effect of budget outlays of existing and proposed

legislation, and requesting and evaluating continuing studies of tax expenditures; and

(10) Evaluating the relationship between monetary policy and the Federal budget

and the effects of monetary policy on the Federal budget.

B. Subordinate Activities and Agencies: The Committee maintains oversight of the

CBO, which provides independent economic and budgetary data to Congress—separate from the

President's budgetary analysis provided by the Office of Management and Budget (OMB)—and

formulates its own economic analysis. Additionally, CBO evaluates the economic impact of the

President’s budget proposal and the Congressional budget resolution.5

3. Vision and Core Competencies.

A. Vision: None published.

B. Core Competencies: The House Budget Committee’s core competencies are guiding

the budget process by means of an annual concurrent budget resolution that sets fiscal and

budgetary policy and maintains oversight of the budget process. This process parallels the

budget process in the Senate, and the House and Senate Budget Committees are in close

consultation throughout the process.

(1) The House Budget Committee drafts an annual budget resolution that covers

five fiscal years: the next fiscal year, for which appropriations and other budget actions are

pending in Congress, and four out-years.6 The budget resolution is distinguished from other

funding legislation first, because it is a resolution as opposed to a bill. A resolution is an act of

Congress but is not sent to the President for signature and does not have the force of law.

 

5 “Defense Budget Process.” Center for Strategic and Budgetary Assessments,

(http://www.csbahome.com/defensebudgetprocess.htm)

6 Schick, Allen.
7

"Instead, it is enforced through the rules and procedures of each chamber."7 A concurrent

resolution addresses issues or matters affecting both the House and the Senate.

Second, the concurrent budget resolution determines the topline funding for functional

budget categories. These functional categories do not specify agency or program funding, but

rather group together related programs that may be implemented by a variety of agencies and/or

departments. The twenty functional categories include national defense; international affairs;

general science, space and technology; energy; natural resources and environment; agriculture;

commerce and housing credit; transportation; community and regional development; education,

training, employment, and social services; health; medicare; income security; social security;

veterans benefits and services; administration of justice; general government; net interest;

allowances; and undistributed offsetting receipts.

(2) The House Budget Committee maintains responsibility for formal oversight of

the budget process. In doing so, the Committee will study continually the effect on the budget

outlays of relevant existing and proposed legislation and report the results of the studies to the

House.8

4. Organizational Culture.

A. Leadership Traditions: Following Congressional elections and prior to the

beginning of the Congressional session, each party conference (or caucus) will meet. The party

conferences serve as an organizational forum to elect party leaders. Membership of each party

conference consists of the respective party members. The Republican Party Conference and the

Democratic Party Caucus maintain separate rules, and the House Leadership will act according

to those rules depending on which party is in the majority. The party conferences' steering

committees make committee assignments and nominate members to fill committee chair

positions that have become vacant. The full party conference will vote to approve the

nominations. Then, the full House will adopt a measure confirming these appointments within

seven days of the commencement of the Congressional session.9

Normally, a committee chair maintains his/her position unless the party leadership is

extremely unhappy with the past performance of the chair and his/her political commitments.

Committee chairs are elected by secret ballot. Traditionally, the senior majority Member on a

committee becomes the chair and the senior minority Member becomes the Ranking Member of

a committee.10

Members of the House Budget Committee are elected officials and are politically

motivated with regard to efforts on the Committee. In order to rotate Members on the

Committee, each Member of the House Budget Committee is restricted to a term limit of four

 

7 "106th Congress: Key Issues and Early Agenda." Congressional Research Service Report for Congress. 31 December, 1998. p.

8.

8 House Rules for the 106th Congress, 3.(b).

9 House Rules for the 106th Congress, Rule X, 5.(a)(1).

10 The exception to this practice is the House Rules Committee, which is known as the Speaker's Committee, and the House

Administration Committee. Because of the extremely influential nature of these committees, the Speaker of the House

appoints Members to these committees and names the chairs.
8

Congressional sessions in a period of six successive Congresses, with the exception of the

Members from the Majority and Minority Leadership. However, a Member may extend his/her

service on the Budget Committee if he/she holds the position of Budget Committee Chair during

his/her fourth Congressional session of service; he/she may serve as Chair for one additional

Congressional session.11

Also outlined in House Rule X, the House Budget Committee members will consist of

one Member from the Majority Leadership, one Member from the Minority Leadership, five

Members who simultaneously sit on the House Appropriations Committee and five Members

who sit on the House Ways & Means Committee. Currently, there are 24 Republican Members

and 19 Democratic Members on the Committee.

B. Staff Attributes: Professional staff for the House Budget Committee serve either on

the majority or minority staff and are assigned to work directly for the Chair or the Ranking

Member. While the professional staff may remain the same for a particular Congressional

session, upon the turnover to a new Congressional session, the professional staff may be replaced

to accommodate the new Committee Members. The Committee is allowed not more than 30

professional staff members, who are appointed by majority vote of the Committee Members.

Currently, there are 29 professional staff for the House Budget Committee.

C. Strategy: The House Budget Committee does not publish a strategy document.

 

11 House Rules for the 106th Congress. Rule X, 5.(a)(2)(B) and (C).
9

D. Organization Chart: The House Budget Committee of the 106th Congress is one of

19 standing committees in the House of Representatives and has no subcommittees.

House Committee on the Budget

Republicans (24) Democrats (19)

John Kasich+ (OH)—Chair

Saxby Chambliss+ (GA)

Christopher Shays (CT)

Wally Herger (CA)

Bob Franks (NJ)

Nick Smith (MI)

Jim Nussle (IA)

Peter Hoekstra (MI)

George Radanovich (CA)

Charles Bass (NH)

Gil Gutknecht (MN)

Van Hilleary+ (TN)

John Sununu* (NH)

Joseph Pitts+ (PA)

Joe Knollenberg* (MI)

William Thornberry+ (TX)

Jim Ryun+ (KS)

Mac Collins (GA)

Zach Wamp* (TN)

Mark Green (WI)

Ernie Fletcher (KY)

Gary Miller (CA)

Paul Ryan (WI)

Pat Toomey (PA)

John Spratt, Jr. + (SC)—Ranking Member

Jim McDermott (WA)

Lynn Rivers (MI)

Bennie Thompson (MS)

David Minge (MN)

Ken Bentsen (TX)

Jim Davis (FL)

Robert Weygand (RI)

Eva Clayton (NC)

David Price (NC)

Edward Markey (MA)

Gerald Kleczka (WI)

Bob Clement (TN)

James Moran* (VA)

Darlene Hooley (OR)

Kenneth Lucas (KY)

Rush Holt (NJ)

Joe Hoeffel (PA)

Tammy Baldwin (WI)

* Indicates Member also sits on the House Appropriations Committee.

+ Indicates Member also sits on the House Armed Services Committee.

 Indicates Member also sits on the House International Relations Committee.

5. Formal National Security Process Involvement. The House Budget Committee is involved

in the national security process by drafting a budget resolution that establishes Congress’ budget

policies and priorities through aggregate funding and revenue levels. The aggregate funding

levels represent topline figures for the functional budget categories that include national defense;

international affairs; general science, space, and technology; energy; transportation; and

administration of justice. Additionally, the Committee monitors the budget process and oversees

that the appropriated funds are used as designated by the Federal budget.

After receiving the President’s budget request in January or February, the House Budget

Committee holds hearings to collect testimony from Administration officials, academia, experts

from the business community and other Members of Congress. The House and Senate Budget

Committees are the only committees to hold hearings on the entire budget. The Administration

officials called before the Committee are usually the Director of the Office of Management and
10

Budget and the Chair of the Federal Reserve Board, among others. The Director of OMB will

use this opportunity to advocate the President's budget proposal and answer questions concerning

the budget. The Chair of the Federal Reserve Board will provide an analysis of the effects of the

President's budget submission on monetary policy. The Director of the Congressional Budget

Office also testifies, providing an independent analysis of the economic and budgetary effects of

the President’s budget proposal. Typically, senior national security officials from DoD and the

Department of State (DoS) will testify before the Budget Committee to justify the topline

spending request for their departments.

Other Congressional committees review the President’s budget submission, but do not

hold hearings on the budget per se. They report comments to the Budget Committee

approximately six weeks following release of the budget. These “views and estimates” reports

highlight policy changes proposed by the committees.12

The House Budget Committee considers the testimony from hearings and the views and

estimates reports when drafting the concurrent budget resolution. This input allows the

Committee “to gain a broad understanding of budget issues and Congressional sentiment.”13 As

the Senate also will draft a budget resolution, any conflicting issues between the two resolutions

will be worked out in a conference committee.

Both chambers of Congress should pass the budget resolution by April 15; however, this

deadline often is not met. While the authorization and appropriations processes are theoretically

dependent upon passage of the budget resolution in order to move forward, authorizers and

appropriators will begin work on their respective bills regardless of the status of the budget

resolution.

A. Strategy Development: The House Budget Committee currently has no role in

strategy development.

B. Policy Guidance and Regulation: The House Budget Committee provides guidelines

for Congressional appropriators by defining funding parameters for each functional budget

category through passage of the concurrent budget resolution. The budget resolution is legally

nonbinding and is established for internal use within the Congress. The concurrent budget

resolution is not a law and is not signed by the President.

The aggregate amount of funding set forth in the budget resolution serves as a guideline

for Congressional appropriators and tax writers, who should adhere to the resolution in making

revenue and spending decisions.14 In theory, budget goals outlined in the Congressional budget

resolution are implemented through the 13 appropriations bills. However, often the

appropriators ignore the budget resolution when drafting funding legislation. In these cases,

enforcement mechanisms established in the 1974 Budget Act permit the Budget Committee to

sustain the aggregate spending and revenue levels. (See paragraph 5E. for further explanation.)

C. Planning: The House Budget Committee currently has no role in planning.

 

12 Schick, Allen.

13 Schick, Allen. p. 77.

14 Schick, Allen.
11

D. Mission Execution: The House Budget Committee currently has no role in mission

execution.

E. Observation, Orientation, and Oversight: In general, the House Budget Committee

maintains control over the funding allocations while other committees have control over

programs. Therefore, through the reconciliation process, as designated by the Congressional

Budget Act of 1974, the House Budget Committee maintains oversight of the authorization,

appropriations and tax-writing committees regarding compliance with the budget resolution. In

essence, the goal of the reconciliation process is to offset spending increases with revenue

increases and revenue decreases with spending decreases.

The reconciliation process was first used in 1980 and is not implemented every year.

This process instructs committees, "in the budget resolution, to develop legislation by a

particular deadline that conforms existing revenue and direct spending law to budget resolution

policies."15 The House Budget Committee will issue "reconciliation instructions" to the

committees that have made legislative funding or revenue changes that do not achieve the

savings or deficit reduction that the Budget Committee has outlined in the budget resolution.

Each committee that has been issued reconciliation instructions will draft a bill to implement the

changes recommended by the Budget Committee. The draft bills provided by each committee

will be consolidated into one "reconciliation bill." While the House Budget Committee has no

other means to ensure that committees comply with the reconciliation process, these committees

often act accordingly.

Once the reconciliation bill reaches the House floor, debate is limited by a rule

established by the House Rules Committee and the House Leadership. The rule will specify

restrictions that apply to debate time and amendments offered to the bill. If it were not for the

influential role of the media, the bill possibly might be viewed as contentious legislation because

it includes spending cuts and tax increases, both of which are politically dangerous for a Member

to support. However, because the media has labeled the bill in more favorable terms, calling it

the "deficit reduction bill," Members end up winning political support for their efforts to reduce

the deficit and achieve public savings, instead of losing support by voting for tax increases and

spending cuts.

The Budget Committee also enforces the budget resolution through points of order. 16

Points of order are parliamentary devices that allow Members to object to proposed legislation,

amendments, or Congressional action that violate the rules governing consideration of the budget

resolution. A point of order may be waived if the House adopts "special rules" that bypass the

point of order. Additionally, other procedural mechanisms may be used to bypass points of

order, such as unanimous consent or suspension of the rules.

The House Budget Committee together with the Senate Budget Committee maintain

oversight of the Congressional Budget Office, which was established to provide Congress with

 

15 "106th Congress: Key Issues and Early Agenda." Congressional Research Service Report for Congress. 31 December, 1998.

p. 8.

16 "Points of order are prohibitions against certain types of legislation or Congressional actions." Saturno, James V. "Points of

Order in the Congressional Budget Process." Congressional Research Service Report 97-865. Updated April 15, 1999.
12

an “independent source of objective, expert and non-politicized budget estimates and economic

projections.”17 

F. Preparation: The House Budget Committee currently has no direct role in

preparation.

G. Resourcing: The main product of the House Budget Committee, the budget

resolution, does not allocate funding for specific programs or accounts for Executive Branch

agencies and programs. Rather, the budget resolution establishes the aggregate amount of the

Federal budget and breaks down the funding into 20 functional areas of federal spending [see

paragraph 3B. (1)].

6. Informal National Security Process Involvement. House Budget Committee staff maintain

continuous informal relationships with OMB and CBO staff. Daily conversations at the staff

level assist Budget Committee staff in collecting detailed information and answering specific

questions on the President's budget submission. OMB staff also may use this informal

information exchange and the relationships with Congressional staff developed through this

process to advocate the President's budget proposal. (See Volume II, Chapter 3 entitled "Office

of Management and Budget.")

7. Funding and Personnel.

A. Authorization and Appropriations: The authority establishing the House Budget

Committee is the Congressional Budget and Impoundment Control Act of 1974, and the rules

governing the committee’s conduct are outlined in the House Rules for each Congress. Funding

for the Committee is appropriated by the House Appropriations Legislative Subcommittee.

B. Funding Sources: The House Budget Committee is funded through the Legislative

Branch appropriations.

C. Budget: The fiscal year 2000 budget for the House Budget Committee is $9,940,000.

D. Personnel: Currently, the House Budget Committee includes 43 Members of the

House of Representatives and 29 full-time professional staff.

8. Observations.

A. Observations: Under the Congressional Budget and Impoundment Control Act of

1974, a formal time frame and budget process has been established. However, it is important to

note that this is a relatively new process—only 25 years old.18 While the 1974 Budget Act

provides a framework to guide Congress in preparing revenue and spending measures, Congress'

ultimate goal is to ensure funding is available for the new fiscal year. Therefore, the House will

 

17 Tomkin, Shelly Lynne. Inside OMB: Politics and Prcess in the President's Budget Office. Armonk, N.Y.: M.E. Sharpe, 1998.

p. 141.

18 Prior to the 1860's, there was only one process in funding government agencies and programs. It was not until the 1860's that

the budget process was broken down into the authorization and appropriations processes. Interview with Congressional

Research Service (CRS) staff. 24 September, 1999.
13

move forward with the authorization and appropriations process regardless of passage of the

budget resolution.

While this is the formal process laid out in the 1974 Budget Act, political maneuvering

can override budget procedures by use of parliamentary procedures. Therefore, this process

serves only as a guideline for Congress and the Budget Committee. The formal budget process

is sometimes ignored altogether due to conflicting political objectives and personalities within

the committees involved in enacting appropriations bills (budget, authorization and

appropriations) and within Congress in general. For example, through reconciliation

instructions, the Budget Committee is authorized to enforce the topline spending amounts for

each functional budget category if appropriators exceed their cap. However, depending on the

seniority, influence and political position of an appropriations subcommittee chair or the

Appropriations Committee Chair, the spending caps may be waived (through rules and

parliamentary procedures) when the bill is addressed on the House floor.

As the United States approaches a new era of budget surpluses, the budget process may

be redesigned to manage surpluses just as the current budget process was established to manage

budget deficits. Currently, there is a proposal in the House of Representatives to modify the

budget process. The Comprehensive Budget Process Reform Act of 1999 (H.R. 853) proposes to

increase enforcement mechanisms and includes provisions to manage emergency spending and

increase accountability and Congressional oversight.

B. Significant Informal Processes: As is the nature of the Congressional institution,

completion of the budget resolution is accompanied by “extensive behind-the-scenes

consultations involving both Members and staff of other committees. The consultations serve to

build support for the budget resolution and flesh out the program assumptions underlying the

functional allocations.”19 If a budget resolution is not completed, appropriators traditionally

defer to the House Budget Committee figures.20 Despite House rules requiring that a budget

resolution be in place in order to begin authorization legislation, the authorization and

appropriation processes will move forward regardless of the absence of a budget resolution.

 

19 Schick, Allen. p. 77.

20 Interview with Congressional staff member. 13 August, 1999.
ORGANIZATIONAL DESCRIPTION

HOUSE COMMITTEE ON SCIENCE

Prepared for the U.S. Commission on National Security/21st Century
2

EXECUTIVE SUMMARY

House Committee on Science

Overview

 The House Committee on Science originated in order to develop a U.S. strategy to

match the space exploration activities of the former Soviet Union in the late 1950s.1 Its primary

focus is on nonmilitary research and development, including:

• Scientific research;

• Energy research and development;

• Technological innovation;

• Science and math education;

• Materials policy;

• Robotics;

• Technical manpower; and

• Nuclear waste disposal.

Organization

The House Science Committee is one of 19 permanent standing committees in the House

of Representatives and has four subcommittees:

• Basic Research;

• Energy and Environment;

• Space and Aeronautics; and

• Technology.

Role in Formal and Informal National Security Processes

In the Committee's evolution, its jurisdiction expanded to foster continued research and

development in areas other than space exploration in an effort to compete with and exceed the

Soviet Union's technological developments. Although the Committee's jurisdiction focuses on

 

1 The House Science Committee was originally established as the Select Committee on Astronautics and Space in 1958, but the

following year it was made a permanent standing committee in the House. The standing committee was named the House

Committee on Science and Astronautics, but was changed in 1994 to the House Committee on Science.
3

nonmilitary research and development, many technological advancements achieved through

Science Committee legislative initiatives have military functions. Similarly, many federally

funded research and development programs have resulted in providing knowledge and new

technologies applied in both commercial and military applications. As a former Science

Committee chairman noted, "science, space, and technology [are] the well-spring for generating

the new wealth for America's future economic growth and long-term stability."2

Observations

A committee's jurisdiction is often ambiguous and possibly overlaps with the jurisdiction

of other committees. In these cases, each committee has its own ideas and objectives on how to

approach an issue and the outcomes will vary depending upon the goals of the committee.

Furthermore, each Member is driven by his/her own political motivations on a particular issue,

possibly resulting in conflicts within a committee or between committees on how to address the

particular issue.

Because of the broad jurisdiction of the House Science Committee, many of the issues

addressed by the Committee cross the boundaries of other committees' jurisdiction, encroaching

on the jurisdiction of other committees including those that manage military and national

security issues. In managing these issues, there will be close coordination and informal

consultations between the Members and staff from all committees involved.

 

2 "History of the Committee on Science, 105th Congress." House Committee on Science. U.S. House of Representatives.

(http://www.house.gov/science/history.htm).
4

ORGANIZATIONAL DESCRIPTION

HOUSE COMMITTEE ON SCIENCE

1. Legal Specifications, Authorizations, and Responsibilities. Article I, Section 5, clause 2 of

the Constitution provides that each chamber of Congress has the authority to determine the rules

governing its procedures.

A. Congressional Statutes: The House Science Committee was originally established as

the Select Committee on Astronautics and Space by House Resolution 496 in 1958. The

following year, the Rules of the House were modified to create a permanent standing committee

from the Select Committee. The standing committee was named the House Committee on

Science and Astronautics. In 1994, when the Republican party won majority in Congress, the

House Republican Conference changed the committee's name to the House Committee on

Science.

B. Other Relevant Directives: House Rule X of the House Rules for the 106th Congress

outlines the jurisdiction and related functions of the Committee on Science for the current

Congress.

2. Missions/Functions/Purposes.

A. Major Responsibilities: House Rule X, "Organization of Committees," in the Rules

of the House for the 106th Congress stipulates that all bills, resolutions, and other matters relating

to subjects within the jurisdiction of the House Science Committee are referred to the

Committee. The Committee's jurisdiction includes:

(1) National Aeronautics and Space Administration;

(2) The National Space Council;

(3) The National Science Foundation;

(4) The National Weather Service (Department of Commerce);

(5) National Institute of Standards and Technology (Department of Commerce),

standardization of weights and measures, and the metric system;

(6) Outer space, including exploration and control thereof;

(7) Scientific research, development, and demonstration, and projects therefor;

(8) All energy research, development, and demonstration, and projects therefor,

and all federally owned or operated nonmilitary energy laboratories;

(9) Commercial application of energy technology;

(10) Astronautical research and development, including resources, personnel,

equipment, and facilities;
5

(11) Civil aviation research and development;

(12) Environmental research and development;

(13) Marine research; and

(14) Science scholarships.

B. Subordinate Activities and Agencies:

(1) Subcommittee on Basic Research;

(2) Subcommittee on Energy and Environment;

(3) Subcommittee on Space and Aeronautics; and

(4) Subcommittee on Technology.

3. Vision and Core Competencies.

A. Vision: The Science Committee has no published vision statement.

B. Core Competencies: House Rule X .3, "Special Oversight Functions" of the Rules of

the House for the 106th Congress determines that the "Committee on Science shall review and

study on a continuing basis laws, programs, and Government activities relating to nonmilitary

research and development."

The Science Committee originated in order to develop a U.S. strategy to match the space

exploration activities of the former Soviet Union in the late 1950s. Since the Science

Committee's inception, its focus has evolved from space exploration and astronautical research

and development to encompass scientific research, energy research and development,

technological innovation, science and math education, materials policy, robotics, technical

manpower, and nuclear waste disposal.

The Committee advocates and supports federal agencies involved in research and

development activities. Through legislative initiatives, oversight and regulation, the Committee

plays a key role in "stress[ing] the fundamental importance of federal science programs to the

nation."3

4. Organizational Culture.

A. Values: The Science Committee has no published values statement.

B. Leadership Traditions: Following Congressional elections and prior to the

beginning of the Congressional session, each party conference (or caucus) elects party leaders.

 

3 "Views & Estimates of the Committee on Science for Fiscal Year 2000." 106th Congress. Committee on Science. U.S. House

of Representatives.
6

Membership of each party conference consists of the respective party members. The Republican

Party Conference and the Democratic Party Caucus maintain separate rules, and the House

leadership will act according to those rules depending on which party holds the majority. The

party conferences' steering committees make committee assignments and nominate members to

fill committee chair positions that have become vacant. The full party conference votes to

approve the nominations. Then, the full House adopts a measure confirming these appointments

within seven days of the commencement of the Congressional session.4

Committee chairs are elected by secret ballot. Normally, the committee chair maintains

his/her position unless the party leadership is extremely unhappy with the past performance of

the chair and his/her political commitments. Traditionally, the senior majority Member on a

committee becomes the chair and the senior minority Member becomes the ranking member of a

committee.5

Members of the House Science Committee are elected officials and are politically

motivated with regard to efforts on the Committee. Currently, there are 25 Republican Members

and 22 Democratic Members on the Committee.

C. Staff Attributes: Professional staff for the House Science Committee serve either on

the majority or minority staff and are assigned to work directly for the Chair or the Ranking

Member. While the professional staff may remain the same for a particular Congressional

session, upon the turnover to a new Congressional session, the professional staff may be replaced

to accommodate the new Committee Members. Professional staff are appointed by majority vote

of the Committee Members and currently, there are approximately 54 professional staff for the

House Science Committee. There are five staff for the Basic Research Subcommittee, five staff

for the Energy and Environment Subcommittee, five staff for the Technology Subcommittee, and

six staff for the Space and Aeronautics Subcommittee.

D. Strategy: The House Science Committee does not maintain an organizational

strategy document.

E. Organization Chart: The House Science Committee is one of 19 standing

committees in the House of Representatives and has four subcommittees as shown on the

following chart:

Figure 1: Organization of the House Committee on Science

 

4 House Rules for the 106th Congress, Rule X, 5.(a)(1).

5 The exception to this practice is the House Rules Committee, which is known as the Speaker's Committee, and the House

Administration Committee. Because of the extremely influential nature of these committees, the Speaker of the House

appoints Members to these committees and names the chair.

House Committee on Science

Subcommittee on

Basic Research

Subcommittee on

Energy and Environment

Subcommittee on

Space and Aeronautics

Subcommittee on

Technology
7

(1) Committee on Science

Membership of the House Committee on Science for the 106th Congress is shown

below:

Republicans (25) Democrats (22)

F. James Sensenbrenner, Jr. (WI)—Chair

Sherwood L. Boehlert (NY)

Lamar Smith (TX)

Constance A. Morella (MD)

Curt Weldon+ (PA)

Dana Rohrabacher (CA)

Joe Barton (TX)

Ken Calvert (CA)

Nick Smith (MI)

Roscoe G. Bartlett+ (MD)

Vernon J. Ehlers (MI)

Dave Weldon (FL)

Gil Gutknecht (MN)

Thomas W. Ewing (IL)

Chris Cannon (UT)

Kevin Brady (TX)

Merrill Cook (UT)

George R. Nethercutt, Jr.* (WA)

Frank D. Lucas (OK)

Mark Green (WI)

Steven Kuykendall+ (CA)

Gary G. Miller (CA)

Judy Biggert (IL)

Marshall Sanford (SC)

Jack Metcalf (WA)

George E. Brown, Jr. (CA)—Ranking Member

Ralph M. Hall (TX)

Bart Gordon (TN)

Jerry F. Costello (IL)

James A. Barcia (MI)

Eddie Bernice Johnson (TX)

Lynn C. Woolsey (CA)

Lynn N. Rivers (MI)

Zoe Lofgren (CA)

Michael F. Doyle (PA)

Sheila Jackson-Lee (TX)

Debbie Stabenow (MI)

Bob Etheridge (NC)

Nick Lampson (TX)

John B. Larson (CT)

Mark Udall (CO)

David Wu (OR)

Anthony D. Weiner (NY)

Michael E. Capuano (MA)

Vacancy

Vacancy

Vacancy

* Indicates Member also sits on the House Appropriations Committee.

+Indicates Member also sits on the House Armed Services Committee.

Indicates Member also sits on the House International Relations Committee.

The full Committee Chair and Ranking Member serve as ex-officio members on each of

the Subcommittees. At the discretion of the Chair, the full Committee addresses measures

favorably reported out of the Subcommittees and, on occasion, measures reported unfavorably by

the Subcommittees. Therefore, the issues addressed by the full Committee are varied due to the

wide range of topics addressed by the Subcommittees as a whole.
8

(2) Subcommittee on Basic Research

Republicans (9) Democrats (7)

Nick Smith —Chair

Sherwood L. Boehlert

Lamar Smith

Constance A. Morella

Gil Gutknecht

Thomas W. Ewing

Frank D. Lucas

Judy Biggert

Eddie Bernice Johnson —Ranking Member

Bob Etheridge

Lynn C. Woolsey

John B. Larson

Lynn N. Rivers

Michael F. Doyle

The Basic Research Subcommittee oversees issues and programs concerning all scientific

research and scientific and engineering resources and those Federal agencies that administer the

programs. Topics the Subcommittee is responsible for and possibly have national security

aspects include: intergovernmental mechanisms for research, development, and demonstration

and cross-cutting programs; international scientific cooperation; computer, communications, and

information science; earthquake and fire research programs; research and development relating

to biomedical programs; and to the extent appropriate, geological, and biological research. The

agencies that fall under the Subcommittee's jurisdiction and that have the greatest potential for

direct national security impact include:

• Office of Science and Technology Policy (Executive Office of the President) and

• The National Science Foundation.

(3) Subcommittee on Energy and Environment

Republicans (10) Democrats (8)

Ken Calvert —Chair

Curt Weldon

Joe Barton

Dana Rohrabacher

Vernon J. Ehlers

Dave Weldon

Gary G. Miller

Judy Biggert

Jack Metcalf

Jerry F. Costello —Ranking Member

Michael F. Doyle

Ralph M. Hall

James A. Barcia

Eddie Bernice Johnson

Zoe Lofgren

Vacancy

The Energy and Environment Subcommittee is responsible for issues and programs

concerning energy supply research and development activities. More specific issues and

programs that possibly have national security aspects include: nuclear and other advanced energy

technologies; uranium supply, enrichment, and waste management activities, as appropriate;

fossil energy research and development; energy conservation research and development;

measures relating to the commercial application of energy technology; science and risk

assessment activities of the Federal Government; and all activities related to weather; weather

services; climate and the atmosphere; and oceanic research. The agencies that fall under the
9

Subcommittee's jurisdiction and that have the greatest potential for direct national security

impact include:

• Department of Energy research, development and demonstration programs;

• Department of Energy laboratories;

• Environmental Protection Agency research and development programs; and

• National Oceanic and Atmospheric Administration (Department of Commerce).

(4) Subcommittee on Space and Aeronautics

Republicans (16) Democrats (14)

Dana Rohrabacher—Chair

Lamar Smith

Joe Barton

Ken Calvert

Roscoe G. Bartlett

Vernon J. Ehlers

Curt Weldon

Chris Cannon

Kevin Brady

Merrill Cook

George R. Nethercutt, Jr.

Frank D. Lucas

Mark Green

Steven Kuykendall

Marshall Sanford

Bart Gordon —Ranking Member

Ralph M. Hall

 Zoe Lofgren

Sheila Jackson-Lee

Nick Lampson

Debbie Stabenow

Bob Etheridge

John B. Larson

Mark Udall

David Wu

Anthony D. Weiner

Vacancy

Vacancy

The Space and Aeronautics Subcommittee oversees issues and programs concerning

national space policy. Those issues and programs that have national security aspects that the

Subcommittee is responsible for include: access to space; suborbital access and applications;

space commercialization; exploration and use of outer space; international space cooperation;

space applications, space communications and related matters; and Earth remote sensing policy.

The agencies that fall under the Subcommittee's jurisdiction and that have the greatest potential

for direct national security impact include:

• National Aeronautics and Space Administration;

• Department of Transportation activities relating to commercial space; and

• Department of Commerce activities relating to commercial space issues.
10

(5) Subcommittee on Technology

Republicans (12) Democrats (10)

Constance A. Morella—Chair

Curt Weldon

Roscoe G. Bartlett

Gil Gutknecht

Thomas W. Ewing

Chris Cannon

Kevin Brady

Merrill Cook

Mark Green

Steven Kuykendall

Gary G. Miller

James A. Barcia—Ranking Member

Lynn N. Rivers

Debbie Stabenow

Mark Udall

David Wu

Anthony D. Weiner

Michael E. Capuano

Bart Gordon

Vacancy

The Technology Subcommittee oversees issues and programs concerning

competitiveness with regard to technology. The Subcommittee's involvement in national

security aspects of competitiveness include: technology transfer; international technology trade;

patent and intellectual property policy; standards and standardization of measurement; legal and

governmental policies as they relate to technological development and commercialization; civil

aviation research, development, and demonstration; surface and water transportation research,

development, and demonstration programs; materials research, development, and demonstration

and policy; and biotechnology policy. The agencies that fall under the Subcommittee's

jurisdiction and that have the greatest potential for direct national security impact include:

• The National Institute of Standards and Technology (Department of Commerce);

• The National Technical Information Service (Department of Commerce);

• Department of Transportation research, development, and demonstration activities;

and

• Federal Aviation Administration (Department of Transportation) research,

development, and demonstration programs.

5. Formal National Security Process Involvement. The House Science Committee's focus is

determined by its jurisdiction as outlined in the House Rules and the specific efforts of the chair.

The Science Committee plays a lead role in formulating policy regarding research and

development, most of which impacts national security.

The Science Committee was created during the height of the Cold War to develop a space

exploration strategy to match and compete with the Soviet space program. The need to achieve

space exploration capabilities came about because of the threat the Soviet space program posed

for the security of the United States. In advancing this new frontier of space exploration, the

Science Committee faced a new challenge of formulating policy and creating agencies (such as

the National Aeronautical and Space Administration) to protect U.S. national security interests in

space and to counter potential Soviet nuclear strikes on the United States from space. The

research and technological advancements achieved by the House Science Committee and the
11

agencies under its jurisdiction improved military tactical and defense capabilities in the past

decades, as well as promoted innovative use of space exploration capabilities for commercial

purposes.

As it evolved, the Committee's jurisdiction expanded research and development in areas

other than space exploration in an effort to develop policy for competing with and exceeding the

Soviet Union's technological developments. Although the Committee's jurisdiction focuses on

nonmilitary research and development, many technological advancements achieved through

Science Committee legislative initiatives resulted in the creation or enhancement of military

tools. Similarly, many federally funded research and development programs provided

knowledge and new technologies for both commercial and military applications.

In the early 1980's, the Committee's jurisdiction expanded to include technological

innovation, science and math education, materials policy, robotics, technical manpower, and

nuclear waste disposal. During this period, there was recognition that the United States should

not be dependent upon the resources and technology of other nations in these areas. This led to

an increased focus on energy research programs for renewable and alternative energy sources.

The Committee continues to foster research and development programs to "improve US

technological competitiveness."6 Additionally, the Committee has encouraged private sector

involvement in research and development through legislation that provides for technology

transfers and licensing agreements between federal laboratories and industry. Other Committee

initiatives are designed to encourage cost sharing of research and development programs

between the private sector and federal agencies. As a former Science Committee chairman

noted, "science, space, and technology [are] the well-spring for generating the new wealth for

America's future economic growth and long-term stability."7

A. Strategy Development: The House Science Committee currently has no role in

strategy development.

B. Policy Guidance and Regulation: The Committee maintains legislative jurisdiction

over guiding policy, special oversight, and investigative authority on matters relating to science

policy; energy and environmental research, development, and demonstration; astronautical and

aeronautical research and development; and competitiveness.8 (See Paragraph 4.E. for a

discussion of the specific issues, programs, and agencies the Science Committee regulates.)

C. Planning: The House Science Committee currently has no direct role in national

security planning.

D. Mission Execution: The House Science Committee currently has no direct role in

mission execution.

E. Observation, Orientation, and Oversight: The House Science Committee has

oversight authority over a number of federal government programs and the agencies that

 

6 "History of the Committee on Science, 105th Congress." House Committee on Science. U.S. House of Representatives.

(http://www.house.gov/science/history.htm).

7 "History of the Committee on Science, 105th Congress."

8 Rule 3. "Subcommittees." Committee on Science. Rules of the House for the 106th Congress.
12

administer the programs. In its observation and oversight capacity, the Committee and

Subcommittees will hold hearings to collect information on the effectiveness and success of the

agencies for which it has jurisdiction. (See Paragraph 4.E.) In Committee and Subcommittee

hearings, Members will hear from agency representatives, private sector experts and academia,

think tanks, and other Members of Congress.

.

F. Preparation: The House Science Committee currently has no direct role in

preparation, but its oversight of science and technology, and research and development strongly

influences the fielding of future systems.

G. Resourcing: The Science Committee is the authorizing committee for the government

agencies outlined in each Subcommittee's jurisdiction. (See Paragraph 4.E.) Therefore, the

Committee has "legislative jurisdiction over laws that set up or continue the operations of federal

programs and provide the legal basis for making appropriations for those programs. Authorizing

committees also have direct control over spending for mandatory programs since the

Government's obligation to make payments for such programs is contained in the authorizing

legislation."9

6. Informal National Security Process Involvement. Science Committee staff and

subcommittee staff maintain continuous informal relationships with Administration officials

within the White House and the Office of Management and Budget, other Executive Branch staff

responsible for policy development, and the agencies for whom the Committee has authorizing

jurisdiction. Additionally, Committee staff maintain regular consultations with their counterparts

in the Senate and staff of the agencies the Committee has jurisdiction over. Regular

conversations at the staff level assist the Committee and Subcommittee staff in collecting

detailed information, answering specific questions relating to the operations of the agencies and

programs that the Committee and Subcommittees oversee, and remaining abreast of current

issues under their responsibility. Administration staff also may use this informal information

exchange and the relationships with Congressional staff developed through this process to

advocate the Administration's policy positions and positions of particular government agencies.

7. Funding and Personnel.

A. Authorization and Appropriations: House Resolution 496 first established The

Committee on Science as the Select Committee on Astronautics and Space in 1958. The

Committee then was authorized as a permanent standing committee by the Rules of the House of

Representatives.

B. Funding Sources: The House Science Committee is funded through the Legislative

Branch appropriations.

C. Budget: The fiscal year 2000 budget for the House Science Committee is $8,931,726.

D. Personnel: Currently, the House Science Committee consists of 47 Members of the

House of Representatives and approximately 54 full-time professional staff.

 

9 “The Congressional Budget Process—An Explanation.” Appendix I: Glossary. Committee on the Budget. United States

Senate.(http://www.senate.gov/~budget/republican/reference/cliff_notes/cliffapi.htm).
13

8. Observations. A committee's jurisdiction is often ambiguous and possibly overlaps with the

jurisdiction of other committees. In these cases, each committee has its own ideas and objectives

on how to approach an issue and the outcomes will vary depending upon the goals of the

committee. Furthermore, each Member is driven by his/her own political motivations on a

particular issue, possibly resulting in conflicts within a committee or between committees on

how to address the particular issue and what the committee's priorities are. Because of the broad

jurisdiction of the House Science Committee, many of the issues addressed by the Committee

cross the boundaries of other committees' jurisdiction, including issues related to national

security policy. For example, the Science Committee's jurisdiction may overlap with that of the

House Armed Services Committee on issues such as research and development activities with

military implications/applications; nuclear energy issues with aspects concerning national

security; and strategic and critical materials necessary for the common defense.10 In managing

these issues, there will be close coordination and informal consultations between Members and

staff from each committee involved.

Efforts to complete legislative initiatives are accompanied by behind-the-scenes

bargaining between Members and staff of both parties and with other committees that may share

jurisdiction on a particular issue. The Speaker of the House holds a great deal of power through

coordinating consultations with the minority party and persuading majority party Members to

adopt the party position on certain issues.

 

10 House of Representatives Committee on Armed Services. "Oversight Plan for the 106th Congress."

(http://www.house.gov/hasc/billsandreports/106thcongress/plan106.htm).
ORGANIZATIONAL DESCRIPTION

HOUSE COMMITTEE ON TRANSPORTATION AND

INFRASTRUCTURE

Prepared for the U.S. Commission on National Security/21st Century
2

EXECUTIVE SUMMARY

House Committee on Transportation and Infrastructure

Overview

The House Transportation and Infrastructure Committee has broad jurisdiction over a

variety of government agencies and issues relating to:

• The U.S. Coast Guard;

• The U.S. Army Corps of Engineers

• Maritime safety;

• Port security;

• Disaster relief;

• Roads and waterways that carry America's commerce and people;

• Seashore erosion;

• Managing man-made pollution;

• Rural and urban watershed; and

• Economic development of depressed areas around the country.

The Committee drafts legislation that regulates industries for the protection of consumers

and the environment and maintains oversight of distribution systems for interstate commerce

(transportation systems).

Organization

The House Transportation and Infrastructure Committee is one of 19 standing

committees in the House of Representatives and has six subcommittees:

• Aviation;

• Coast Guard and Maritime Transportation;

• Economic Development, Public Buildings, Hazardous Materials and Pipeline

Transportation;

• Ground Transportation;

• Oversight, Investigations, and Emergency Management; and
3

• Water Resources and Environment.

Role in Formal and Informal National Security Processes

The House Transportation and Infrastructure Committee maintains broad jurisdiction and

oversight of many federal agencies including some with direct involvement in national security

functions, such as the U.S. Coast Guard, the U.S. Army Corps of Engineers, the Department of

Transportation, the Economic Development Administration (EDA), and the Federal Emergency

Management Agency (FEMA). With this oversight and regulatory responsibility, the Committee

has the opportunity to impact policy development and the national security activities of these

agencies and programs through drafting the authorization and regulatory legislation for these

government agencies and through other legislative initiatives.

Observations

The Transportation and Infrastructure Committee's jurisdiction is defined broadly, but

generally it is responsible for the facilities, equipment, and process that allow the transportation

system to function (e.g., highways, railroads, waterways, airports, and ports). However, the

Committee's jurisdiction does not include oversight of other aspects of "critical infrastructures"

that relate to national security. For example, the Committee is not responsible for the banking

and finance, telecommunications, and healthcare infrastructures. The Committee has only

limited jurisdiction over the power and energy infrastructure as it relates to pipeline

transportation. There is no one committee in Congress that manages or oversees all aspects of

infrastructure.

A committee's jurisdiction is often ambiguous and possibly overlaps with the jurisdiction

of other committees. In these cases, each committee has its own ideas and objectives on how to

approach an issue and the outcomes vary depending upon the goals of the committee.

Furthermore, each Member is driven by his/her own political motivations on a particular issue,

possibly resulting in conflicts within a committee or between committees on how to address the

particular issue.

Completing legislative initiatives is accompanied by extensive behind-the-scenes

bargaining between Members and staff of both parties and with other committees that may share

jurisdiction on a particular issue. Because of the broad jurisdiction of the House Transportation

and Infrastructure Committee, many of the issues addressed by the Committee cross the

boundaries of other committees, encroaching on the jurisdiction of other committees including

those that manage military and national security issues. In managing these issues, there will be

close coordination and informal consultations between the Members and staff from all

committees involved.

In drafting legislation that may possibly have national security implications, Members

weigh carefully a bill's impact on American national security while also trying to appease

constituents, constituent companies, and other special interest groups. In order for Members to

maintain favorable public opinion, they need to advocate the benefits for each of their

constituents of investing in efforts to protect America's national security interests.
4

ORGANIZATIONAL DESCRIPTION

HOUSE COMMITTEE ON TRANSPORTATION AND INFRASTRUCTURE

1. Legal Specifications, Authorizations, and Responsibilities. Article I, Section 5, clause 2 of

the Constitution provides that each chamber of Congress has the authority to determine the rules

governing its procedures.

A. Congressional Statutes: The House Transportation and Infrastructure Committee

was first established as the Committee on Public Works under the House Reorganization Act of

1946. This Act was an effort to bring structure and organization to the standing committee

system in the House of Representatives. Under the 1946 Act, the Committee on Public Works

was created by consolidating the Committees on Public Buildings and Grounds (created 1837),

Rivers and Harbors (created 1883), Roads (created 1813), and Flood Control (created 1916). In

1995, the Committee was renamed the Committee on Transportation and Infrastructure and its

jurisdiction was expanded to include oversight of navigable waterways, federal management of

emergencies and natural disasters, and oil and other pollution of waterways.1

B. Other Relevant Directives: House Rule X of the House Rules for the 106th Congress

outlines the jurisdiction and related functions of the Committee on Transportation and

Infrastructure.

2. Missions/Functions/Purposes.

A. Major Responsibilities: House Rule X, "Organization of Committees," in the Rules

of the House for the 106th Congress stipulates that all bills, resolutions, and other matters relating

to subjects within the jurisdiction of the House Transportation and Infrastructure Committee are

referred to the Committee. The Committee's jurisdiction includes:

(1) U.S. Coast Guard (part of the Department of Transportation), including

lifesaving service, lighthouses, lightships, ocean derelicts, and the Coast Guard Academy;

(2) Merchant marine (except for national security aspects thereof);

(3) Federal management of emergencies and natural disasters;

(4) Flood control and improvement of rivers and harbors (U.S. Army Corps of

Engineers);

(5) Transportation, including civil aviation, railroads, water transportation,

transportation safety (except automobile safety), transportation infrastructure, transportation

labor, and railroad retirement and unemployment (except revenue measures related thereto);

(6) Inspection of merchant marine vessels, lights and signals, lifesaving

equipment, and fire protection on such vessels;

 

1 Vincent, Carol Hardy and Bullock, Faye M. "Committees of the United States House of Representatives." CRS Report for

Congress (95-608 GOV). Updated September 10, 1995.
5

(7) Oil and other pollution of navigable waters, including inland, coastal, and

ocean waters;

(8) Marine affairs, including coastal zone management, as they relate to oil and

other pollution of navigable waters;

(9) Inland waterways;

(10) Navigation and laws relating thereto, including pilotage;

(11) Registering and licensing of vessels and small boats;

(12) Rules and international arrangements to prevent collisions at sea;

(13) The Capitol Building and the Senate and House Office Buildings;

(14) Construction or maintenance of roads and post roads (other than

appropriations therefor);

(15) Construction or reconstruction, maintenance, and care of buildings and

grounds of the Botanic Garden, the Library of Congress, and the Smithsonian Institution;

(16) Purchase of sites and construction of post offices, customhouses, federal

courthouses, and Government buildings within the District of Columbia;

(17) Public buildings and occupied or improved grounds of the United States

generally;

(18) Public works for the benefit of navigation, including bridges and dams (other

than international bridges and dams);

(19) Related transportation regulatory agencies;

(20) Roads and the safety thereof; and

(21) Water power.

B. Subordinate Activities and Agencies:

(1) Subcommittee on Aviation;

(2) Subcommittee on Coast Guard and Maritime Transportation;

(3) Subcommittee on Economic Development, Public Buildings, Hazardous

Materials and Pipeline Transportation;

(4) Subcommittee on Ground Transportation;

(5) Subcommittee on Oversight, Investigations and Emergency Management; and
6

(6) Subcommittee on Water Resources and the Environment.

3. Vision and Core Competencies.

A. Vision: The House Transportation and Infrastructure Committee has no published

vision statement.

B. Core Competencies: The House Transportation and Infrastructure Committee has

broad jurisdiction over a variety of government agencies and issues relating to the regulation of

roads and waterways that carry America's commerce and people; seashore erosion; managing

man-made pollution; rural and urban watershed; disaster relief; and economic development of

depressed areas around the country. The Committee drafts legislation that regulates industries

for the protection of consumers and the environment and maintains oversight of distribution

systems for interstate commerce (transportation systems).

4. Organizational Culture.

A. Values: The House Transportation and Infrastructure Committee has no published

values statement.

B. Leadership Traditions: Following Congressional elections and prior to the

beginning of the Congressional session, each party conference (or caucus) elects party leaders.

Membership of each party conference consists of the respective party members. The Republican

Party Conference and the Democratic Party Caucus maintain separate rules and the House

leadership will act according to those rules depending on which party holds the majority. The

party conferences' steering committees make committee assignments and nominate members to

fill committee chair positions that have become vacant. The full party conference votes to

approve the nominations. Then, the full House adopts a measure confirming these appointments

within seven days of the commencement of the Congressional session.2

Committee chairs are elected by secret ballot. Normally, a committee chair maintains

his/her position unless the party leadership is extremely unhappy with the past performance of

the chair and his/her political commitments. Traditionally, the senior majority Member on a

committee becomes the chair and the senior minority Member becomes the ranking member of a

committee.3

Members of the House Transportation and Infrastructure Committee are elected officials

and are politically motivated with regard to efforts on the Committee. In the 106th Congress,

there are 41 Republican Members and 34 Democratic Members on the Committee.

C. Staff Attributes: Professional staff for the House Transportation and Infrastructure

Committee serve either on the majority or minority staff and are assigned to work directly for the

Chair or the ranking member. While the professional staff may remain the same for a particular

 

2 House Rules for the 106th Congress, Rule X, 5.(a)(1).

3 The exception to this practice is the House Rules Committee, which is known as the Speaker's Committee, and the House

Administration Committee. Because of the extremely influential nature of these committees, the Speaker of the House appoints

Members to these committees and names the chair.
7

Congressional session, upon the turnover to a new Congressional session, the professional staff

may be replaced to accommodate the new Committee Members. Professional staff are appointed

by majority vote of the Committee Members and currently, there are approximately 82 majority

and minority professional staff for the House Transportation and Infrastructure Committee.

There are nine staff for the Aviation Subcommittee, six staff for the Coast Guard and Maritime

Transportation Subcommittee, five staff for the Economic Development Subcommittee, ten staff

for the Ground Transportation Subcommittee, 11 staff for the Oversight Subcommittee, and nine

staff for the Water Resources Subcommittee.

D. Strategy: The House Transportation and Infrastructure Committee does not maintain

an organizational strategy document.

E. Organization Chart: The House Transportation and Infrastructure Committee is one

of 19 standing committees in the House of Representatives and has six subcommittees as shown

on the following chart:

Figure 1: Organization of the House Committee on Transportation and Infrastructure

House Transportation and

Infrastructure Committee

Aviation

Subcommittee

Economic Development, Public

Buildings, Hazardous Materials

and Pipeline Transportation

Subcommittee

Oversight, Investigations and

Emergency Management

Subcommittee

Coast Guard and Maritime

Transportation Subcommittee

Ground Transportation

Subcommittee

Water Resources and the

Environment Subcommittee
8

(1) House Committee on Transportation and Infrastructure

Membership of the Committee for the 106th Congress is depicted below:

Republicans (41) Democrats (34)

Bud Schuster (PA)—Chair

Don Young (AK)

Thomas E. Petri (WI)

Sherwood L. Boehlert (NY)

Herbert H. Bateman+ (VA)

Howard Coble (NC)

John J. Duncan, Jr. (TN)

Thomas W. Ewing (IL)

Wayne T. Gilchrest (MD)

Stephen Horn (CA)

Bob Franks (NJ)

John L. Mica (FL)

Jack Quinn (NY)

Tillie K. Fowler+ (FL)

Vernon J. Ehlers (MI)

Spencer Bachus (AL)

Steven C. LaTourette (OH)

Sue W. Kelly (NY)

Ray LaHood (IL)

Richard H. Baker (LA)

Charles Bass (NH)

Bob Ney (OH)

Jack Metcalf (WA)

Edward Pease (IN)

Asa Hutchinson (AR)

Merrill Cook (UT)

John Cooksey (LA)

John Thune (SD)

Frank LoBiondo (NJ)

J.C. Watts, Jr. + (OK)

Jerry Moran (KS)

John Doolittle (CA)

Lee Terry (NE)

Donald Sherwood+ (PA)

Gary Miller (CA)

John Sweeney (NY)

Jim DeMint (SC)

Doug Bereuter (NE)

Steven Kuykendall+ (CA)

Michael Simpson (ID)

Johnny Isakson (GA)

James L. Oberstar (MN)—Ranking Member

Nick J. Rahall II (WV)

Robert A. Borski (PA)

William O. Lipinski (IL)

Robert E. Wise, Jr. (WV)

James A. Traficant, Jr. (OH)

Peter A. DeFazio (OR)

Bob Clement (TN)

Jerry F. Costello (IL)

Eleanor Holmes Norton (DC)

Jerrold Nadler (NY)

Pat Danner (MO)

Robert Menendez (NJ)

Corrine Brown (FL)

James A. Barcia (MI)

Bob Filner (CA)

Eddie Bernice Johnson (TX)

Frank Mascara (PA)

Gene Taylor+ (MS)

Juanita Millender-McDonald (CA)

Elijah E. Cummings (MD)

Earl Blumenauer (OR)

Max Sandlin (TX)

Ellen Tauscher+ (CA)

William J. Pascrell, Jr. (NJ)

Leonard L. Boswell (IA)

Jim McGovern (MA)

Tim Holden (PA)

Nick Lampson (TX)

John Baldacci (ME)

Marion Berry (AR)

Ronnie Shows (MS)

Brian Baird (WA)

Shelley Berkley (NV)

+Indicates Member also sits on the House Armed Services Committee.

Indicates Member also sits on the House International Relations Committee.
9

The full Committee Chair and Ranking Member serve as ex-officio members on each of

the Subcommittees. At the discretion of the Chair, the full Committee addresses measures

favorably reported out of the Subcommittees and, on occasion, measures reported unfavorably by

the Subcommittees. Therefore, the issues addressed by the full Committee are varied due to the

wide range of topics addressed by the Subcommittees as a whole.

(2) Subcommittee on Aviation

Republicans (28) Democrats (22)

John J. Duncan, Jr.—Chair

John Sweeney

Don Young

Thomas E. Petri

Thomas W. Ewing

John L. Mica

Jack Quinn

Vernon J. Ehlers

Spencer Bachus

Ray LaHood

Charles Bass

Jack Metcalf

Edward Pease

Asa Hutchinson

Merrill Cook

John Cooksey

John Thune

Frank LoBiondo

J.C. Watts, Jr.

Jerry Moran

John Doolittle

Donald Sherwood

Gary Miller

Jim DeMint

Steven Kuykendall

Michael Simpson

Johnny Isakson

William O. Lipinski—Ranking Member

Jerry F. Costello

Corrine Brown

Eddie Bernice Johnson

Juanita Millender-McDonald

Elijah E. Cummings

Leonard L. Boswell

John Baldacci

Marion Berry

Eleanor Holmes Norton

Robert Menendez

Ellen Tauscher

Jim McGovern

Nick Lampson

Nick J. Rahall II

James A. Traficant, Jr.

Peter A. DeFazio

Pat Danner

Bob Filner

Max Sandlin

Tim Holden

The Aviation Subcommittee has jurisdiction over all aspects of civil aviation and those

federal agencies that administer aviation programs. The Subcommittee is responsible for the

following topics that possibly have national security aspects: aviation safety, aviation

infrastructure, international issues regarding aviation, the air service program, and the war risk

insurance program.4 The agencies that fall under the Subcommittee's jurisdiction and have the

greatest potential for direct national security impact include:

 

4 "Jurisdiction and Activities." Subcommittee on Aviation. House Transportation and Infrastructure Committee. 106th

Congress. February 1999.
10

• Federal Aviation Administration (Department of Transportation), except for research

activities; and

• National Transportation Safety Board.

(3) Subcommittee on Coast Guard and Maritime Transportation

Republicans (5) Democrats (4)

Wayne T. Gilchrest—Chair

Frank LoBiondo—Vice Chair

Don Young

Howard Coble

Peter A. DeFazio—Ranking Member

Gene Taylor

Brian Baird

The Coast Guard and Maritime Transportation Subcommittee is responsible for a variety

of maritime issues and programs. Topics the Subcommittee oversees with national security

aspects include:5

• Defense readiness (as it relates to the Coast Guard Reserve and port security);

• Maritime law enforcement activities (such as illegal drug interdiction and illegal

migrant interdiction);

• Maritime safety (such as port safety, commercial vessel safety, domestic and

international icebreaking, and search and rescue);

• Marine environmental protection (including oil pollution, plastics pollution, ocean

dumping, and international agreements concerning transportation of oil and hazardous

substances);

• International ocean shipping regulation;

• Unfair foreign shipping practices; and

• Other maritime transportation matters (such as coastwise transportation of

merchandise and passengers, cargo preference programs, cargo and passenger liability laws, and

the regulation of the domestic offshore trades).

The Subcommittee also is responsible for oversight and authorization of the government

agencies that administer and oversee the above mentioned programs and participate in activities

that have the greatest potential for direct national security impact. These agencies include:

• The U.S. Coast Guard (Department of Transportation);

• The Federal Maritime Commission; and

 

5 "Jurisdiction and Activities." Subcommittee on Coast Guard and Maritime Transportation. House Transportation and

Infrastructure Committee. 106th Congress. February 1999.
11

• The Maritime Administration (Department of Transportation).

(4) Subcommittee on Economic Development, Public Buildings, Hazardous

Materials, and Pipeline Transportation

Republicans (6) Democrats (4)

Bob Franks—Chair

John Cooksey–Vice Chair

Thomas W. Ewing

Steven C. LaTourette

J.C. Watts, Jr.

Robert E. Wise, Jr.—Ranking Member

Eleanor Holmes Norton

Ronnie Shows

National security aspects of the Economic Development, Public Buildings, Hazardous

Materials and Pipeline Transportation Subcommittee's jurisdiction include the safety of pipeline

and hazardous materials transportation; construction, oversight, maintenance and enhancement

of federal real estate; and development of infrastructure in communities suffering economic

distress.6 The Subcommittee is responsible for oversight and authorization of the government

agencies that administer and oversee the above mentioned programs and participate in activities

that have the greatest potential for direct national security impact. These agencies include:

• The Economic Development Administration (Department of Commerce);

• Research and Special Programs Administration (Department of Transportation); and

• The Public Buildings Service (General Services Administration).

 

6 "Jurisdiction and Activities." Subcommittee on Economic Development, Public Buildings, Hazardous Materials and Pipeline

Transportation. House Transportation and Infrastructure Committee. 106th Congress. February 1999.
12

(5) Subcommittee on Ground Transportation

Republicans (28) Democrats (22)

Thomas E. Petri—Chair

Bob Franks – Vice Chair

Sherwood L. Boehlert

Herbert H. Bateman

Howard Coble

John J. Duncan, Jr.

Stephen Horn

John L. Mica

Jack Quinn

Tillie K. Fowler

Spencer Bachus

Steven C. LaTourette

Sue W. Kelly

Ray LaHood

Richard H. Baker

Charles Bass

Bob Ney

Jack Metcalf

Edward Pease

Merrill Cook

John Thune

Jerry Moran

Lee Terry

Gary Miller

John Sweeney

Jim DeMint

Doug Bereuter

Nick J. Rahall II—Ranking Member

Bob Clement

Jerrold Nadler

Pat Danner

James A. Barcia

Bob Filner

Frank Mascara

Max Sandlin

William J. Pascrell, Jr.

Tim Holden

Ronnie Shows

Shelley Berkley

Robert A. Borski

William O. Lipinski

Robert E. Wise, Jr.

Corrine Brown

Eddie Bernice Johnson

Juanita Millender-McDonald

Elijah E. Cummings

Earl Blumenauer

Marion Berry

The Ground Transportation Subcommittee oversees issues concerning transportation

infrastructure and is involved in the development of national surface transportation policy,

including safety and research measures. Programs the Subcommittee oversees with national

security aspects include the federal-aid highway program; the federal transit program; motor

carrier safety regulation; and the federal rail safety program. Additionally, the Subcommittee

has jurisdiction over all federal laws and programs regulating railroad transportation, which

includes railroad regulation of hazardous materials transportation.7 The agencies that fall under

the Subcommittee's jurisdiction and have the greatest potential for direct national security impact

include:

• The Federal Highway Administration (Department of Transportation);

• The Federal Transit Administration (Department of Transportation);

• The National Highway Traffic Safety Administration (Department of Transportation);

 

7"Jurisdiction and Activities." Subcommittee on Ground Transportation. House Transportation and Infrastructure Committee.

106th Congress. February 1999.
13

• The Federal Railroad Administration (Department of Transportation); and

• The Surface Transportation Board (Department of Transportation).

(6) Subcommittee on Oversight, Investigations, and Emergency Management

Republicans (5) Democrats (4)

Tillie K. Fowler—Chair

Lee Terry

John Doolittle

Johnny Isakson

James A. Traficant, Jr.—Ranking Member

Jerrold Nadler

Shelley Berkley

The Oversight, Investigations and Emergency Management Subcommittee's

involvement in the national security process includes responsibility for conducting investigations

within the jurisdiction of the full Committee and oversight of federal management of

emergencies and natural disasters (such as disaster mitigation, preparedness, response, and

recovery).8 Additionally, the Subcommittee oversees those agencies and programs that fall

within the jurisdiction of the full Committee. The primary agency it oversees is the Federal

Emergency Management Agency (FEMA).

(7) Subcommittee on Water Resources and the Environment

Republicans (20) Democrats (16)

Sherwood L. Boehlert —Chair

Donald Sherwood

Don Young

Herbert H. Bateman

Wayne T. Gilchrest

Stephen Horn

Bob Franks

Jack Quinn

Vernon J. Ehlers

Steven C. LaTourette

Richard H. Baker

Bob Ney

Asa Hutchinson

Frank LoBiondo

John Doolittle

Doug Bereuter

Steven Kuykendall

Michael Simpson

Robert A. Borski —Ranking Member

Gene Taylor

Earl Blumenauer

Brian Baird

Bob Clement

Jerry F. Costello

Robert Menendez

James A. Barcia

Frank Mascara

Ellen Tauscher

William J. Pascrell, Jr.

Leonard L. Boswell

Jim McGovern

Nick Lampson

John Baldacci

The Water Resources and the Environment Subcommittee is responsible for matters

relating to water resources development and pollution issues. Topics the Subcommittee oversees

 

8"Jurisdiction and Activities." Subcommittee on Oversight, Investigation, and Emergency Management. House Transportation

and Infrastructure Committee. 106th Congress. February 1999.
14

with national security aspects include hazardous waste cleanup; oil dumping and pollution;

conservation and management; water pollution control and water infrastructure; coastal pollution

and coastal zone management; natural resource damages; groundwater protection; and water

resources policy.9 The Subcommittee oversees and authorizes the government agencies that

administer and oversee the above mentioned programs and participate in activities that have the

greatest potential for direct national security impact. These agencies include:

• U.S. Coast Guard (Department of Transportation);

• Army Corps of Engineers (Department of Defense);

• National Oceanic and Atmospheric Administration (Department of Commerce); and

• Environmental Protection Agency;

• The Department of the Interior.

5. Formal National Security Process Involvement. The House Transportation and

Infrastructure Committee maintains broad jurisdiction and oversight of many federal agencies

including some with direct involvement in national security functions (e.g., the U.S. Coast

Guard, the Department of Transportation, the Economic Development Administration, and the

Federal Emergency Management Agency). With this oversight and regulatory responsibility, the

Committee has the opportunity to impact policy development and the national security activities

of these agencies and programs through drafting the authorization and regulatory legislation for

these government agencies and through other legislative initiatives. With this oversight and

regulatory responsibility, the Committee can impact the national security process by determining

the scope of the mission for each agency and the programs these agencies administer.

In its oversight and regulatory functions, the Transportation and Infrastructure Committee

impacts national security policy by determining and defining the role of Coast Guard

participation in nonmilitary activities. Since the Committee has jurisdiction over legislation

relating to the Coast Guard's nonmilitary activities, Committee members can craft the Coast

Guard's authorizing legislation, direct and define the specific law enforcement activities of the

Coast Guard, and define the extent of its involvement in U.S. coastal waters and in international

waters. For example, in 1999 the Committee increased resources and funding for the Coast

Guard's drug interdiction efforts by means of the fiscal year 2000 Coast Guard authorization

legislation.10 (For a more detailed discussion of the Coast Guard's national security

involvement, see Volume VII(b), Chapter 14 entitled "The United States Coast Guard".)

The Committee also impacts national security policy through its authorization and

oversight of the War Risk Insurance Program, which is administered by the Department of

Transportation. This program provides insurance and reinsurance to commercial airlines that

provide military troop transport service to high-risk areas, such as countries at war or on the

 

9"Jurisdiction and Activities." Subcommittee on Water Resources and the Environment. House Transportation and

Infrastructure Committee. 106th Congress. February 1999.

10 "House approves dramatic increase for Coast Guard drug interdiction efforts." Press Release. Transportation and

Infrastructure Committee. 17 March, 1999.
15

verge of war. "In many cases, these flights are required to further the foreign policy or national

security of the United States."11

The Committee has oversight of the Civil Reserve Air Fleet (CRAF) Program. Related to

the War Risk Insurance Program, this program is designed to enlist commercial airlines to

supplement the Department of Defense's military airlift capability "during a national

emergency."12 Without the CRAF program (which worked well during the 1990-91 Gulf crisis),

the Department of Defense would have to maintain a significantly larger aircraft reserve in the

event of a large military mobilization.

Newly established at the beginning of the 106th Congress, the Oversight Subcommittee of

the Transportation and Infrastructure Committee became active in fulfilling its function of

determining the "application, administration, execution, and effectiveness of the laws within the

jurisdiction of the Committee."13 The Subcommittee suggested improvements in managing

national security threats. For example, it recommended that federal antiterrorism programs be

evaluated and consolidated to eliminate "waste and confusion." One Subcommittee Member

noted that "[t]he federal government currently offers over 90 training programs to help prepare

local firefighters and police officers for responding to a terrorist attack. In addition, there are

now over 80 different federal response teams to help out in case of attack. Many of these

training programs and response teams seem to overlap. There is no overall plan for how the

federal government can support local officials prepare for a terrorist event."14

The Committee's oversight of the Federal Emergency Management Agency and of

several critical infrastructures also makes it a key player in any effort to address homeland

security.

A. Strategy Development: The House Transportation and Infrastructure Committee

currently has no role in strategy development.

B. Policy Guidance and Regulation: The Transportation and Infrastructure Committee

maintains legislative jurisdiction over guiding policy, special oversight, and investigative

authority on matters relating to the regulation of roads and waterways, environmental pollution,

and disaster relief, among other issues. The Committee drafts legislation that regulates industries

for the protection of consumers and the environment and maintains oversight of distribution

systems for interstate commerce (transportation systems). (See Paragraph 4.E. for a discussion

of the specific issues, programs, and agencies the Transportation Committee regulates.)

C. Planning: The House Transportation and Infrastructure Committee currently has no

direct role in planning.

 

11 "Jurisdiction and Activities." Subcommittee on Aviation. House Transportation and Infrastructure Committee. 106th

Congress. February 1999.

12 "Jurisdiction and Activities." Subcommittee on Aviation.

13 "Jurisdiction and Activities." Subcommittee on Oversight, Investigation, and Emergency Management. House Transportation

and Infrastructure Committee. 106th Congress. February 1999.

14 "Shuster praises Oversight Subcommittee for detailing confusion and waste in anti-terrorism effort." Press Release.

Transportation and Infrastructure Committee. 10 June, 1999.
16

D. Mission Execution: The House Transportation and Infrastructure Committee

currently has no direct role in mission execution.

E. Observation, Orientation, and Oversight: The House Transportation and

Infrastructure Committee has oversight authority over a number of federal government programs

and the agencies that administer the programs. In its observation and oversight capacity, the

Committee and Subcommittees will hold hearings to collect information on the effectiveness and

success of the agencies for which it has jurisdiction. (See Paragraph 4.E. for a discussion of the

specific issues, programs, and agencies the Committee oversees.) In Committee and

Subcommittee hearings, Members will hear from agency representatives, private sector experts

and academia, think tanks, and other Members of Congress.

F. Preparation: The House Transportation and Infrastructure Committee currently has

no direct role in preparation.

G. Resourcing: The Transportation Committee is the authorizing committee for the

government agencies outlined in each Subcommittee's jurisdiction. (See Paragraph 4.E.)

Therefore, the Committee has "legislative jurisdiction over laws that set up or continue the

operations of federal programs and provide the legal basis for making appropriations for those

programs. Authorizing committees also have direct control over spending for mandatory

programs since the Government's obligation to make payments for such programs is contained in

the authorizing legislation."15

6. Informal National Security Process Involvement. Transportation Committee staff and

Subcommittee staff maintain continuous informal relationships with Administration officials

within the agencies for whom the Committee has authorizing jurisdiction. Additionally,

Committee staff maintain regular consultations with their counterparts in the Senate. Regular

conversations at the staff level assist the Committee and Subcommittee staff in collecting

detailed information, answering specific questions relating to the operations of the agencies and

programs that the Committee and Subcommittees oversee, and remaining abreast of current

issues under their responsibility. Administration staff also may use this informal information

exchange and the relationships with Congressional staff developed through this process to

advocate the Administration's agenda, policy positions and positions of particular government

agencies.

7. Funding and Personnel.

A. Authorization and Appropriations: The Transportation and Infrastructure

Committee was created as a result of the Legislative Reorganization Act of 1946.

B. Funding Sources: The House Transportation and Infrastructure Committee is funded

through the Legislative Branch appropriations.

C. Budget: The fiscal year 2000 budget for the House Transportation and Infrastructure

Committee is $13,220,138.

 

15 “The Congressional Budget Process—An Explanation.” Appendix I: Glossary. Committee on the Budget. United States

Senate.(http://www.senate.gov/~budget/republican/reference/cliff_notes/cliffapi.htm).
17

D. Personnel: Currently, the House Transportation and Infrastructure Committee

includes 75 Members of the House of Representatives and 82 full-time professional staff.

8. Observations. The Transportation and Infrastructure Committee's jurisdiction is defined

broadly, but generally it is responsible for the facilities, equipment, and process that allow the

transportation system to function (e.g., highways, railroads, waterways, airports, and ports).

However, the Committee's jurisdiction does not include oversight of other aspects of "critical

infrastructures" that relate to national security. For example, the Committee is not responsible

for the banking and finance, telecommunications, and healthcare infrastructures. The Committee

has only limited jurisdiction over the power and energy infrastructure as it relates to pipeline

transportation. There is no one committee in Congress that manages or oversees all aspects of

infrastructure.

In some cases, the jurisdiction of the Transportation Committee overlaps with the

jurisdiction of other committees. Each committee has its own ideas and objectives on how to

approach an issue, resulting in varying legislation depending upon the goals of the committee.

Furthermore, each Member is driven by his/her own political motivations on a particular issue,

possibly resulting in conflicts within a committee or between committees on how to address the

particular issue and what the committee's priorities are. Because of the broad jurisdiction of the

House Transportation Committee, many of the issues addressed by the Committee cross the

boundaries of other committees, including issues related to national security. For example, the

Transportation and Infrastructure Committee's jurisdiction may overlap with that of the House

Armed Services Committee on issues and programs such as conservation, development, and use

of naval petroleum and oil shale reserves; interoceanic canals; merchant marine; environmental

compliance requirements imposed on the Department of Defense; port security issues; issues

concerning the U.S. Coast Guard; and strategic and critical materials necessary for the common

defense.16 In managing these issues, committees will coordinate closely by means of informal

consultations between Members and staff from each committee involved.

In drafting legislation that may possibly have national security implications, Members

weigh carefully a bill's impact on American national security while also trying to appease

constituents, constituent companies and other special interest groups. In order for Members to

maintain favorable public opinion, they need to advocate the benefits for each of their

constituents of investing in efforts to protect America's national security interests.

 

16 House of Representatives Committee on Armed Services. "Oversight Plan for the 106th Congress."

(http://www.house.gov/hasc/billsandreports/106thcongress/plan106.htm).
ORGANIZATIONAL DESCRIPTION

SENATE COMMITTEE ON APPROPRIATIONS

Prepared for the U.S. Commission on National Security/21st Century
2

EXECUTIVE SUMMARY

Senate Committee on Appropriations

Overview

The Constitution requires that all expenditures of public funds be appropriated by law.

The Senate Committee on Appropriations was created by Senate rules to initiate the legislation to

fulfill this requirement. The Committee, which includes 28 Senators, is one of the largest Senate

Committees, and Senators enthusiastically seek membership on it. The Committee is responsible

for reporting out 13 regular Appropriations bills and at least one supplemental and one

continuing resolution each year. Most of the Committee's work is performed by its 13

Subcommittees, each of which has responsibility for one of the regular appropriations measures.

Although the Senate Appropriations Subcommittees can produce original legislation, they

rarely do. Instead, they conduct hearings and perform mark ups of legislation sent to them by the

House of Representatives. Because most House Appropriations bills are already at or very near

the top line ceilings established by the Joint Budget Resolution, the Senate is often limited to

shifting funds around among accounts, not adding them. In recent years, however, the Senate

has agreed to much larger appropriations than the House, so the Senate in effect has "added" to

the House bill. While the Senate will stay within the 602(B) allocations in the Senate—which

may or may not match those of the House—the Senate cannot fund a large program in the House

bill and "add" its own programs.

Once a Subcommittee has finished its mark up and voted on a bill, the full Committee

reviews the measure. Usually, the full Committee will report the bill to the Senate floor without

amendment. When the full Senate approves the measure, it goes into conference with the House

to arrive at a joint version. When both houses have passed the joint bill, it is sent to the President

for signature or veto.

Organization

The Committee on Appropriations is divided into 13 Subcommittees:

• Agriculture, Rural Development, and Related Agencies;

• Commerce, Justice, State, and the Judiciary;

• Defense;

• District of Columbia;

• Energy and Water Development;

• Foreign Operations;

• Labor, Health and Human Services, and Education;

• Interior;
3

• Legislative Branch;

• Military Construction;

• Transportation;

• Treasury and General Government; and

• Veterans Affairs, Housing and Urban Development, and Independent Agencies.

Each Subcommittee has its own staff. Although House Appropriations Subcommittees

have different designations, the jurisdictions of the Subcommittees are the same.

Role in Formal and Informal National Security Processes

Strategy Development. No involvement.

Policy, Guidance, and Regulation. No involvement.

Planning. No involvement.

Mission Execution. No involvement.

Observation, Orientation, and Oversight. Through staff investigations and additional

investigations and audits conducted for it by the General Accounting Office and Department

and/or Agency Inspector Generals (IG), the Committee and its Subcommittees exercise oversight

of expenditures in jurisdictional areas.

Preparation. No involvement.

Resourcing. Committees and Subcommittees receive budget top line figures from the Joint

Budget Resolution, hold hearings, conduct mark ups, and report out Appropriations bills for

Senate consideration and deliberation. Once the full Senate has approved the bill, it is sent to the

joint Senate-House Conference Committee, where differences between the versions are worked

Strategy

Development

Policy, Guidance,

and Regulations

Planning

Mission Execution

Observation, 

Orientation,

and Oversight

Preparation

Resourcing

Appropriations Bills

Products

 

Roles

Appropriations  

Appropriations Bills
4

out. Once it is passed by both chambers, it is sent to the President for signature or veto.

Appropriations bills are normally accompanied by reports. While instructions in reports are not

legally binding, they are customarily honored by Executive Branch entities.

Observations

 The Appropriations process itself is relatively effective, although political considerations

and debates sometimes hinder it. These considerations usually delay at least one of the 13

Appropriations bills each year because of political differences between Senators, with the White

House, or both. When Appropriations bills are delayed, Continuing Resolutions are enacted to

keep the government running, normally at the rate appropriated for the preceding fiscal year.

In recent years Appropriations bills have included more policy and/or legislative

provisions, which some argue more properly belong in Authorization bills. These may occur

without the knowledge or consent of the authorizers, or there may be an informal agreement to

include the language between Senators. Whether one believes that Appropriators have exceeded

their limits in these matters depends to some degree on how one is affected by it. Members who

believe they have been disadvantaged by the action are likely to oppose it.
5

ORGANIZATIONAL DESCRIPTION

SENATE COMMITTEE ON APPROPRIATIONS

1. Legal Specifications and Authorizations.

A. Authorization: 

(1) Article I, Section 9 of the Constitution of the United States: specifies that

"No money shall be drawn from the Treasury but in consequence of appropriations made by

law." The Senate Committee on Appropriations was created by Senate rules to assist in

satisfying this requirement.1 A staff member interviewed during this study encapsulated this by

saying: "The Founding Fathers clearly understood the power of the purse and, today, that power

resides in the Appropriations Committees."2

(2) Article I, Section 8 of the Constitution: gives Congress specific powers,

including providing for the common defense and the raising and support of military forces.

B. Senate Rules:

(1) Senate Rules XXV and Senate Rule XXVI establish and empower committees

and subcommittees.

(2) Senate Rule XVI distinguishes appropriations acts from other legislation.

C. The Annual Joint Budget Resolution: The total amounts that can be appropriated

by the Committee on Appropriations are limited by the Joint Budget Resolution prepared by the

Senate and House Budget Committees and passed by both houses. The Appropriations

Committee Chair allocates a portion of the total from the Joint Budget Resolution to each of the

13 Appropriations Subcommittees. This amount becomes the "cap" for apportioning

discretionary spending under Subcommittee jurisdiction. (See also Chapters 4 and 10 concerning

Senate and House Budget Committees in this volume.)

2. Missions/Functions/Purposes.

A. Major Responsibilities: The Committee has jurisdiction over the following matters:3

(1) Annual legislation to provide funding to all U.S. government Branches,

Departments, Agencies, and the District of Columbia (Regular Appropriations) [Key Process

Relation: Resourcing];

 

1 The Constitution does not require an Appropriations Committee; it was created by Congress to assist in carrying out its

Constitutional role. Except for military forces, neither does the Constitution specify how often appropriations are to be

made; by custom, funds are appropriated annually. There are exceptions to this rule, however, in cases in which Congress

approves a permanent appropriation.

2 Interview with Congressional staff.

3 Senate Rule XXV.1(j)
6

(2) Supplemental measures that are necessary to fund government activities,

usually under emergency circumstances (Supplemental Appropriations) [Key Process Relation:

Resourcing]; and

(3) Continuing resolutions to fund the government when regular appropriations

bills have not been passed (Continuing Resolutions) [Key Process Relation: Resourcing].

In carrying out these responsibilities, the Appropriations Committee does not make

recommendations or propose legislation on the Federal Budget per se. It deals primarily with

both budget authority and outlays for discretionary spending (which constitutes about one third

of the Fiscal Year 2000 budget).4 (See paragraph 5.A. for a discussion of terms.)

Appropriations are legal authority for government entities to obligate funds, not the funds

themselves. In short, "An appropriation is a law passed by Congress that provides federal

agencies legal authority to incur obligations and the Treasury Department authority to make

payments for designated purposes."5

Technically, appropriations provide Executive Branch entities with "Budget Authority"

(BA).6 Without BA, no government activity may obligate the U.S. treasury through contract or

other method of expenditure. In other words, unless an activity has BA, it cannot spend money.7

Thus, when appropriations bills are held up or not passed, the government can be forced to close

or terminate operations unless continuing resolutions are adopted by the Senate (through the

Appropriations Committee process) to provide appropriations.

BA is different from budget outlays, which constitute the actual transfer or expenditure of

funds. While most funds must be obligated in the same fiscal year for which they are

appropriated, there is no requirement for them to be paid out—out layed—during that year. In

other words, the Appropriations Committee may report out a bill that appropriates $1 billion for

construction of military aircraft. When the appropriation becomes law, the Department of

Defense must obligate that amount during the following fiscal year through an appropriate

contract vehicle.8 However, the funds may not actually be paid to the contractor until some

years later. In any given fiscal year, Executive Branch departments and agencies are paying out

prior year oligations that were appropriated in previous fiscal years. Unless otherwise specified

in the bill, appropriations are effective for the next fiscal year only. Often exceptions are made

for various purposes, such as research and development programs and some construction projects

for which BA may be made available indefinitely.9

 

4 Executive Office of the President. Budget of the United States Government: Fiscal Year 2000, "The Budget System and

Concepts." Washington: D.C., Reproduced by the Library of Congress, p. 2. (Hereafter FY 2000 Budget.)

5 Keith, Robert. Introduction to the Federal Budget Process. Washington, D.C., Congressional Research Service, August 28,

1998 (Report Number 98-721 GOV), p. 19. (Hereafter Keith.)

6 BA may also be provided by authority to borrow, contract authority, and spending authority from offsetting collections.

These authorities also require Congressional action and are usually contained in permanent legislation. See FY 2000

Budget, p. 9.

7 There are some technical exceptions that are beyond the scope of this paper. See Schick and FY 2000 Budget.

8 If the Department elects not to obligate the funds for the purposes for which they were appropriated, it may initiate

reprogramming actions.

9 FY 2000 Budget, p. 10.
7

Appropriations and authorization are linked in the U.S. code and Congressional rules.

Appropriations determine the amount of money that may be spent by a government entity;

authorizations prescribe the activities or programs for which the money may be spent. As one

observer notes, "funds provided in appropriations acts are to be spent according to the terms set

in authorizing legislation."10 Sometimes authorizing legislation specifies that an exact amount be

appropriated, while at other times the amount is left to be specified by the Appropriations

process within a specified ceiling. When a ceiling amount is specified, the Appropriations

Committee may appropriate that amount or less, but it may not appropriate more.11

Authorizations are "ceilings" while Appropriations are "floors." In other situations, the

Authorizing legislation may impose specific spending requirements—the so-called "ear mark"—

that mandate expenditure of a specific amount for a specific purpose.12 When disputes arise

between Authorization and Appropriation ear marks, they are resolved either through informal

negotiations or, in most cases, by whichever piece of legislation was passed last.

The Congressional process envisions the enactment of authorization earlier in the

Congressional session than appropriations so that authorization informs appropriations.

However, in practice, this is not always the case. In recent times, appropriators have completed

their bills prior to the passage of authorizing language and sometimes they pay less than strict

attention to authorizing provisions even when authorization bills have been passed.13 This has

led some members of authorizing committees to suggest the abolition of appropriations

committees and the assimilation of that function into the authorizing committee

responsibilities.14 (See sections in this volume dealing with Authorizing Committees.) On the

other hand, Authorizing Committees can report out direct (or permanent) spending legislation,

which, if passed, can provide permanent BA for which no further annual appropriation action is

necessary.15

B. Subordinate Committees:16 The Appropriations Committee divides its jurisdiction

among 13 subcommittees:

(1) Agriculture, Rural Development, and Related Agencies;

(2) Commerce, Justice, State, and the Judiciary;

(3) Defense;

(4) District of Columbia;

(5) Energy and Water Development;

 

10 Schick, Allen. The Federal Budget: Politics, Policy, Process. Washington, D.C.: The Brookings Institution,1995, p. 118.

(Hereafter, Schick.)

11 Interviews with Authorization Committee staff members indicated that, while the rule is as stated, sometimes

Appropriations Committees ignore it.

12 Authorizing Committee staff also complained that, on occasion, Appropriators ignore Authorizer earmarks and replace them

with their own.

13 Interviews with Members of Congress and Congressional staff.

14 Schick, pp. 162-164 passim. While possible under the procedures for changing rules, it is likely that doing so would make

appropriations "hostage" to conflicts over policy, thus slowing the appropriations procedure.

15 For a discussion of these procedures see Schick, FY 2000 Budget, and Keith.

16 www.senate.gov/appropriations.
8

 (6) Foreign Operations;

(7) Interior;

(8) Labor, Health and Human Services, and Education;

(9) Legislative Branch;

(10) Military Construction;

(11) Transportation;

(12) Treasury and General Government; and

(13) Veterans Affairs, Housing and Urban Development, and Independent

Agencies.

Although the House uses different titles for its Appropriations Subcommittees, Senate

and House Appropriations Subcommittees each have parallel jurisdictions, and "each pair

handles one of the regular appropriations bills."17 As indicated in the discussion of

Subcommittee jurisdiction in paragraph 4.E., however, jurisdiction over programs and agencies

is not entirely compartmentalized, and often several Subcommittee pairs are responsible for

appropriations for one Department or Agency. For example, several subcommittees have

jurisdiction over State Department Activities, and the same is true of other Departments and

Agencies.

C. Major Products: The Appropriations Committee and its Subcommittees have two

primary products. First, they are responsible for producing 13 regular appropriations bills—

totaling more than $500 billion in discretionary spending—each of which is reported to the

Senate floor for deliberation, amendment, and passage.18 As the Congressional Research Service

has noted: "all discretionary spending is under the jurisdiction of the House and Senate

Appropriations Committees."19 These bills—when reconciled with House appropriations bills,

passed by both houses of Congress, and signed into law by the President—constitute regular

appropriations and fund government operations for the specific fiscal year.

Second, the Committee is responsible for two additional appropriations measures. When

emergency funding is needed to cope with domestic disasters or unbudgeted foreign

commitments, the Committee produces supplemental appropriations bills. The Committee may

also deal with Continuing Resolutions (CR), which fund government operations on occasions

when regular appropriations have not been passed or signed into law. In dealing with these

products, the one-subcommittee-one-appropriations-bill rule does not apply, and multiple

subcommittees are usually involved in preparations.

 

17 Schick, p. 130.

18 This amounts to about one third of the total budget, the remainder of which is in entitlement programs. For FY 1998, for

example,$364 billion of total spending went to interest on the public debt and $371 billion went for large entitlement

programs such as Social Security.

19 See Keith.
9

All enacted appropriations bills are law, and they often contain legislative provisions that

are also law, even though most Authorization Committees hold that legislation falls under their

jurisdiction. If Appropriations legislative provisions are in conflict with Authorizing Committee

legislative provisions, the most recently passed bill usually has precedence. Often, the most

recently passed bills are appropriations bills. As a hedge, in some instances Authorization

Committees or Subcommittees or informal groups of Members may seek to include specific

language or provisions in both processes to ensure a specific result.

3. Vision and Core Competencies.

A. Vision: There is no published vision statement for the Senate Appropriations

Committee or its Subcommittees.

B. Core Competencies: Core Competencies include reviewing, deliberating, marking up,

and managing-to-passage 13 annual appropriations bills, and frequently at least one

Supplemental Appropriation and one CR each year.

4. Organizational Culture.

A. Values: There are no published values for Committee members or staff. However,

because all discretionary spending passes through the Appropriations Committee, Senators

generally assign service on the Committee a high value. Most consider it to be among the most

important—if not the most important—Committee. The Committee's power to appropriate funds

is considerable, especially in cases when funding programs or activities have a high political

impact, because it brings money into a Senator's state or other benefits.20 While tradition holds

that Appropriations measures are initiated in the House, the Senate Appropriations Committee is

fully capable of initiating new programs or projects when it receives the House bill. Also,

greater differences between House and Senate Rules of germaneness allow the Senate greater

flexibility in offering amendments.

The Appropriations Subcommittees represent an organizational value in that each views

itself as a sort of independent entity. The Appropriations Subcommittees have a degree of

power, latitude, and independence that reportedly exceeds that of other Senate subcommittees.

The Subcommittee Chairs are sometimes referred to as the cardinals of Congress because of the

amount of power they wield, and each Subcommittee "fiercely guards its independence" and

prerogatives.21 Procedurally, the full Committee without amendment reports out many

appropriations measures reported out by Appropriations Subcommittees.

B. Leadership Traditions: Committee and subcommittee chairs, who are selected in

accordance with party rules, have a great deal of power in terms of fixing operating procedures

and deciding which pieces of appropriations legislation will be reported out to the Senate floor.

According to those interviewed, Appropriations Subcommittee Chairs have a great deal

of power compared to the Chairs of other Subcommittees. They also have great latitude in

determining the specifications of appropriations bills, and can even include provisions that are in

 

20 In an interview, one former Senator remarked that most of a Senator's time is spent dealing with programmatic matters.

21 Schick, p. 133 and interviews.
10

opposition to authorizing committee language.22 In selecting Committee and Subcommittee

chairs, how well a Senator's colleagues think he/she will represent their individual and aggregate

interests, party positions, and seniority are significant factors. In the Appropriations Committee,

seniority for Subcommittee chairs is based on seniority in the Subcommittee, not on the full

Committee. Depending on party rules, Chairs may keep their positions for an indefinite period

or be limited to a fixed number of years.

As is often the case, the current Committee Chair and Ranking Member have a

productive working relationship. Committee leadership encourages bipartisan approaches, and

the leadership encourages this by ensuring that each member benefits from appropriations bills.23

C. Staff Attributes: Appropriations staff members have different backgrounds; there is

no one salient characteristic that applies to all. Educational experience ranges from liberal arts

degrees, to Masters of Business Administration, to accounting, to Doctors of Jurisprudence.24

The Committee Chair and Subcommittee Chairs have the greatest role in staff appointments.

Some staff members support more than one Subcommittee.

When Chairs or Ranking Members change, their successors may bring in at least a few

new staff members, although these changes tend to be fewer in Appropriations Subcommittees

than in other Senate Subcommittees.25 If the balance of power in the chamber as a whole

changes, staff turnover would presumably be greater because the new majority party will appoint

additional staff members over and above those they already have, and the new minority party

will release staff to bring their total staff into line with rules and funding limits. Nevertheless,

long-serving staff members are likely to have strong relations with Senators as a result of years

of working together, and they are likely to be valued for their knowledge of both the Committee

and the Appropriations process.

Most Appropriations Committee staff are assigned to Subcommittees, where the bulk of

the appropriations work is done. Staff are experts in their specialties and also in Senate

processes and procedures. Their salient value is their ability to provide objective or subjective

assessments for Senators and to support Senators' decisions. Former staff members indicated

during interviews that longevity is important to success because it takes most staff members 12-

18 months to learn how the Senate operates and to establish relationships with staff in the

departments and agencies over which their Subcommittee has jurisdiction.

Staff power depends on trust between the staffer and the Senator for whom he/she works.

It also stems from the ability of the staffer to develop robust networks that include department

and agency staff, academia, and industry and provide the most up-to-date information. In a very

real sense, information is power. Staff must know department, agency, and White House

positions on each issue in order to be effective. While usually collegial, the information

exchange relationships between staffers and departments, agencies, and commercial contractors

is also often adversarial because of substantial differences in their agendas. Staff also exercise

significant power on the large number of small matters that are not of great concern to Senators.

 

22 Schick, Chapters 7 & 8.

23 Almanac of the Unelected. Washington, D.C., Bernan Press, 1999, p. 485.

24 Almanac of the Unelected. Washington, D.C., Bernan Press, 1999.

25 See Schick.
11

For the 106th Congress, the staff is apportioned among the Committee and

Subcommittees as follows:

COMMITTEE MAJORITY MINORITY

Full Committee 11 5

Subcommittee On Agriculture, Rural

Development & Related Agencies

3 2

Subcommittee on Commerce, Justice, State, &

the Judiciary

5 2

Subcommittee on Defense 10 2

Subcommittee on the District of Columbia 1 2

Subcommittee on Energy & Water Development 3 2

Subcommittee on Foreign Operations 2 2

Subcommittee on the Interior 5 2

Subcommittee on Labor, Health & Human

Service, and Education

5 2

Subcommittee on the Legislative Branch 1 2

Subcommittee on Military Construction 2 2

Subcommittee on Transportation 3 2

Subcommittee on Treasury & General Gov't 3 2

Subcommittee on VA, HUD & Independent

Agencies

4 2

D. Strategy: There is no published Committee Strategy. Strategic approaches are the

discretion of Committee and Subcommittee Chairs and Ranking Members with each Senator

deciding his/her own strategy for issues and sessions. Sources note that Senator Stevens, the

current Chair and other Senators are interested in increasing Defense spending and this is a key

part of the strategy.

E. Organization: The Appropriations Committee is a Class A committee.26 A Senator

may not serve on more than two Class A committees and one Class B committee.27 The number

of Senators who would like to serve on Appropriations always exceeds the number of places

available.

Committee membership is determined by the rules adopted by each political party and

members are selected during party conferences or caucuses based on leadership

recommendations. As one source points out, "the Committee appointment process offers a

means of promoting party discipline through the granting or withholding of desired

assignments."28 The Secretaries of the Majority and Minority parties assemble requests from

Senators for committee assignments. These requests are passed to a Staffing Committee (whose

members are selected by the Secretary), and this Committee makes recommendations to the party

leadership. Generally, minority party membership on Committees mirrors its total membership in

 

26 Senate standing committees are broken down into three categories: Class A committees, Class B committees, and Class C

committees.

27 Marlowe, Howard. How Congress Works: A Handbook on Congressional organization and the Legislative Process.

www.netlobby.com (Hereafter Marlowe.)

28 Learning About the Senate. "Senate Briefings: Committees." (http://www.senate.gov/learning/brief_11.html.)
12

the Senate, and this custom is followed in subcommittee appointments.29 The Committee Chair,

in consultation with majority party Committee members, selects Subcommittee chairs. The

Committee membership for the 106th Congress consists of 15 Republicans and 13 Democrats.

SENATE APPROPRIATIONS COMMITTEE

Republicans (15) Democrats (13)

Ted Stevens (AK)—Chair

Thad Cochran (MS)

Arlen Specter (PA)

Pete V.Domenici (NM)

Christopher S. Bond (MO)

Slade Gorton (WA)

Mitch McConnell (KY)

Conrad Burns (MT)

Richard G. Shelby (AL)

Judd Gregg (NH)

Robert Bennett (UT)

Ben Nighthorse Campbell (CO)

Larry Craig (ID)

Kay Bailey Hutchison (TX)

Jon Kyl (AZ)

Robert Byrd—Ranking Member

Daniel K. Inouye (HI)

Earnest F. Hollings (SC)

Patrick J. Leahy (VT)

Frank R. Lautenberg (NJ)

Tom Harkin (IA)

Barbara Mikulski (MD)

Harry Reid (NV)

Herb Kohl (WI)

Patty Murray (WA)

Byron Dorgan (ND)

Dianne Feinstein (CA)

Richard Durbin (IL)

Senator Byrd is the only member of the Committee who also sits on the Senate Armed

Services Committee, and Senate rules will prohibit Senators from serving on both Committees in

the future. No member of the Appropriations Committee is also a member of the Foreign

Relations Committee; however, most Senators sit on other authorizing Committees. Dual

membership theoretically holds out the possibility of integration of effort between Authorization

and Appropriations.

For the 106th Congress, the Committee is organized into Subcommittees as indicated

below. The Chairman and Ranking Member are members of specific Subcommittees and are ex

officio members of the others. Currently, Senator Stevens is the Chair of the Defense

Subcommittee and a member of the Subcommittees for Commerce, Justice, State, and the

Judiciary; Interior; Labor, Health, and Human Services; and Legislative Branch. Senator Byrd is

the Ranking Member of the Interior Subcommittee and serves on the Subcommittees for

Defense; Energy and Water Development; Transportation; and Veterans Affairs, Housing and

Urban Development, and Independent Agencies.

As noted previously, Senate Appropriations Subcommittees are paired with

Subcommittees of the House Appropriations Committee. Although the names are somewhat

different, the jurisdictions of the two sets of Subcommittees are essentially the same.

 

29 Marlowe, p. 1, Zone Two—Committee Action.
13

(1) Agriculture, Rural Development, and Related Agencies:

Republicans (6) Democrats (4)

Thad Cochran—Chair

Arlen Specter

Christopher Bond

Slade Gorton

Mitch McConnell

Conrad Burns

Herb Kohl—Ranking Member

Tom Harkin

Byron Dorgan

Dianne Feinstein

Richard Durbin

This Subcommittee has jurisdiction over the Department of Agriculture and its programs

(a total of 90 different appropriations); the Farm Credit Administration; the Commodity Futures

Trading Commission; and the Farm Credit System Financial Assistance Corporation (an element

of the Treasury Department). The areas over which the Subcommittee has jurisdiction that have

the greatest potential for direct national security impact include:

• The Food and Drug Administration (Department of Health and Human Services);

• Animal and Plant Inspection Service, the Commodity Assistance Program, the

Commodity Futures Trading Commission, the Food Safety and Inspection Service, the

foreign Agricultural Service, Grain Inspection Service, Hazardous Waste Management,

Natural Resources Conservation Service, the Offices of Information Resource

Management, and Resource Conservation and Development (Department of Agriculture).

(2) Commerce, Justice, State, and the Judiciary:

Republicans (6) Democrats (5)

Judd Gregg—Chair

Ted Stevens

Pete V. Domenici

Mitch McConnell

Kay Bailey Hutchison

Ben Nighthorse Campbell

Earnest Hollings—Ranking Member

Daniel Inouye

Frank Lautenberg

Barbara Mikulski

Patrick Leahy

The Subcommittee has jurisdiction over appropriations for the Departments of

Commerce, Justice, and State (except counterterrorism, international narcotics control, and

migrations and refugee assistance) and the federal judiciary. Significant national security related

jurisdiction includes:

• The Arms Control and Disarmament Agency, Contributions to International

Organizations including United Nations dues and peacekeeping assessments, International

Conferences and Contingencies, Missions to International Organizations, World Health

Organization (Department of State);

• The Federal Bureau of Investigation, the Immigration and Naturalization Service,

U.S. Marshals Service (Department of Justice);
14

• The Bureau of Export Administration, the Economic Development

Administration, National Oceanic and Aeronautics Administration, National Technical

Information Service, National Telecommunications and Information Administration, the

Technology Administration (Department of Commerce);

• The Ready Reserve Force30 (Department of Transportation);

• The United States Information Agency, including East and West Center for Cultural

and Technical Exchange (USIA) and Voice of America; and

• Independent commissions including, the Commission on Immigration Reform, the

Commission on Security and Cooperation in Europe, the Competitiveness Policy Council,

the Federal Communications Commission, the Federal Maritime Commission, the Federal

Trade Commission, the International Trade Commission.

(3) Defense:

Republicans (9) Democrats (4)

Ted Stevens—Chair

Thad Cochran

Arlen Specter

Pete V. Domenici

Christopher Bond

Mitch McConnell

Richard C. Shelby

Judd Gregg

Kay Bailey Hutchison

Daniel K. Inouye—Ranking Member

Earnest F. Hollings

Robert C. Byrd

Patrick J. Leahy

Frank R. Lautenberg

Tom Harkin

Byron Dorgan

Richard Durbin

The Subcommittee on Defense has jurisdiction over the following appropriations:

• The Department of Defense and the military departments;

• The Ballistic Missile Defense Organization;

• The Defense Agencies;

• The Defense Finance and Accounting Service;

• Defense Health Program (TRICARE);

• The Defense Conversion Committee;

• The Defense Logistics Agency;

• The Intelligence Community;

 

30 The RRF consists of commercial vessels owned by the United States and kept in mothball status for use in times of national

emergency to transport equipment and supplies. The last large scale usage was during the Persian Gulf Crisis of 1990-1991.
15

• The National Guard and the Reserve Components;

• The National Security Agency;

• The National Reconnaissance Office;

• Appropriations pertaining to North Atlantic Treaty Organization (NATO);

• Overseas Dependent Education; and

• Uniformed Services University of Health Services.

(4) District of Columbia:

Republicans (2) Democrats (1)

Kay Bailey Hutchison—Chair

John Kyl

Richard Durbin—Ranking Member

The Subcommittee has jurisdiction over appropriations for the District of Columbia and

St. Elizabeth's Hospital. Depending on terrorist activities, DC appropriations could have a

national security impact.

(5) Energy and Water Development:

Republicans (7) Democrats (6)

Pete V. Domenici—Chair

Thad Cochran

Slade Gorton

Mitch McConnell

Robert F. Bennett

Conrad Burns

Larry Craig

Harry Reid—Ranking Member

Robert Byrd

Earnest Hollings

Patty Murray

Herb Kohl

Byron Dorgan

This subcommittee has jurisdiction over some activities of the Department of Defense,

the Department of Energy, and the Department of the Interior. Activities that have potential

national security impact include:

• Atomic Energy Defense Activities, the Energy Department (less fossil fuels,

conservation, compliance, regulation, and information), the Federal Energy Regulatory

Commission. (Department of Energy);

• The Bureau of Reclamation (Department of Interior);

• The Nuclear Regulatory Commission; the Nuclear Waste Technical Review Board;

• The Department of the Army Civil works and the Corps of Engineers civil works

the Defense Nuclear Facilities Safety Board (Department of Defense); and
16

• The Tennessee Valley Authority and other regional power administrations.

(6) Foreign Operations:

Republicans (7) Democrats (6)

Mitch McConnell—Chair

Arlen Specter

Judd Gregg

Richard C. Shelby

Robert F. Bennett

Ben Nighthorse Campbell

Christopher Bond

Patrick Leahy—Ranking Member

Daniel Ionuye

Frank Lautenberg

Tom Harkin

Barbara Mikulski

Patty Murray

The Subcommittee on Foreign Operations' jurisdiction includes appropriations for

Treasury, State, and Defense. National Security related appropriations include:

• International Development Association, International Finance Corporation, and

International Financial Institutions; the Export-Import Bank African and Asian

Development (Treasury Department);

• The Agency for International Development and DoS Anti-Terrorist programs

(Department of State);

 • Foreign Military Financing and International Military Education and Training

programs (Defense Department); and

 • Migration and Refugee Assistance, Trade and Development Agency, and the

Peace Corps.

(7) Labor, Health and Human Services, and Education:

Republicans (8) Democrats (7)

Slade Gorton—Chair

Ted Stevens

Thad Cochran

Pete V. Domenici

Conrad Burns

Robert F. Bennett

Judd Gregg

Ben Nighthorse Campbell

Robert C. Byrd—Ranking Member

Patrick J, Leahy

Earnest F. Hollings

Harry Reid

Byron Dorgan

Herb Kohl

Dianne Feinstein

The Subcommittee has jurisdiction over some programs in the Departments of Labor,

Health and Human Services, and Education. Programs and activities that may have an impact on

national security include:

• Community Health Centers, Drug Free Schools and Communities Act,

Centers for Disease Control and Prevention, Immunization Programs, the National Institutes of

Health, Health Professions Education, Job Opportunities and Basic Skill Training program,
17

Office of Refugee Resettlement, Public Health Service, Substance Abuse and Mental health

Services (Department of Health and Human Services);

• Higher Education, International Education, Student Financial Assistance

Vocational and Adult Education (Department of Education);

• Job Corps (Department of Labor);

• The National Institute of Health, the U.S. Institute of Peace; and

• Social Security Administration.

(8) Interior:

Republicans (8) Democrats (7)

Slade Gorton—Chair

Ted Stevens

Thad Cochran

Pete V. Domenici

Conrad Burns

Robert F. Bennett

Judd Gregg

Ben Nighthorse Campbell

Robert C. Byrd—Ranking Member

Patrick J. Leahy

Earnest F. Hollings

Harry Reid

Byron Dorgan

Herb Kohl

Dianne Feinstein

The Subcommittee on Interior has jurisdiction over some programs of the Department of

Interior, Energy and Health and Human Services. The following appropriations have national

security implications:

• Emergency Preparedness, Energy Conservation, Fossil Energy, Naval Petroleum

and Oil Shale Reserves, Strategic Petroleum Reserve, Fossil Energy Research and Development,

Energy Information Administration (Department of Energy);

• Bureau of Land Management, Bureau of Mines, Geological Survey, Land and

Water Conservation Fund, Office of Insular Affairs, Office of Special Trustee (Department of

Interior); and

• Outer Continental Shelf.

(9) Legislative Branch:

Republicans (3) Democrats (2)

Robert Bennett—Chair

Ted Stevens

Larry Craig

Dianne Feinstein—Ranking Member

Richard Durbin

The Subcommittee is responsible for appropriations for the Congressional Budget

Office; the General Accounting Office; the Government Printing Office; the Capitol Police

Board; the Joint Economic Committee; the Joint Committee on Printing; the Joint
18

Committee on Taxation; the Stennis Center for Public Service, Training, and Development;

the Architect of the Capitol; the Botanic Garden; Books for the Blind and Physically

Handicapped; and the House and Senate. None of these appear to have a direct impact on

national security.

(10) Military Construction:

Republicans (4) Democrats (3)

Conrad Burns—Chair

Kay Bailey Hutchison

Larry Craig

Jon Kyle

Patty Murray—Ranking Member

Harry Reid

Daniel K. Inouye

The Subcommittee on Military Construction is responsible for Department of Defense

construction, remodeling, and facilities replacement projects for the Military Departments

(including family housing and the Reserve Components), the defense agencies, NATO

infrastructure, and the Ballistic Missile Defense Organization. It also appropriates funds for the

Homeowners Assistance Fund and base closure accounts.

(11) Transportation:

Republicans (7) Democrats (6)

Richard C. Shelby—Chair

Pete V. Domenici

Arlen Specter

Christopher S. Bond

Robert F. Bennett

Ben Nighthorse Campbell

Frank Lautenberg—Ranking Member

Robert Byrd

Harry Reid

Herb Kohl

Patty Murray

The Subcommittee is responsible for appropriations for various Department of

Transportation activities and several boards and commissions. Those that have national security

implications include:

• The Federal Aviation Administration, the Federal Highway Administration; the

Federal Railroad Administration, the Federal Transit Administration, the Office of

Commercial Space Transportation, and the U.S. Coast Guard (Department of

Transportation); and

• It also appropriates funds for the Interstate Commerce Commission, the National

Transportation Safety Board, and the Panama Canal Commission.

(12) Treasury and General Government:

Republicans (3) Democrats (2)

Ben Nighthorse Campbell —Chair

Richard C. Shelby

Jon Kyl

Byron Dorgan —Ranking Member

Barbara Mikulski
19

The Subcommittee on Treasury and General Government funds a variety of

government activities in the Executive Office of the President, the Treasury Department,

the General Services Administration, the U.S. Postal Service, and several independent

Executive Branch offices. Activities that have a bearing on national security include:

• The National Security Council, the National Economic Council, the Council of

Economic Advisors, the Office of Management and Budget, and the Office of Policy

Development (Executive Office of the President);

• The Bureau of Alcohol, Tobacco, and Firearms; the Federal Law Enforcement

Training Center; the Financial Crimes Enforcement Network; the Financial Management

Service; the Internal Revenue Service; the U.S. Customs Service, and the U.S. Secret

Service (Department of Treasury);

• Public Buildings Service (GSA); and

• The Office of National Drug Control Policy.

(13) Veterans Affairs, Housing and Urban Development, and

Independent Agencies:

Republicans (6) Democrats (5)

Christopher S. Bond—Chair

Conrad Burns

Richard C. Shelby

Larry Craig

Kay Bailey Hutchison

Jon Kyl

Barbara Mikulski —Ranking Member

Patrick Leahy

Frank Lautenberg

Tom Harkin

Robert Byrd

The Subcommittee appropriates funds for a variety of Veterans Affairs, Housing

and Urban Development, Health and Human Services, and independent activities. Those

that have implications for national security include:

• The Chemical Safety and Hazard investigation Board, the Agency for Toxic

Substances and Disease Registry (Health and Human Services);

• Council on Environmental Quality and Office of Environmental Quality, Office

of Science and Technology policy (Executive Office of the President);

• The National Science Foundation;

• The Selective Service System;

• The Federal Emergency Management Agency; and

• The National Aeronautics and Space Administration.
20

5. Formal National Security Process Involvement.

A. Overview:31

(1) Appropriations Fundamentals: At the outset, several premises should be

kept in mind. First, government departments and agencies cannot spend more money than

Congress appropriates to them, nor can they reprogram funds for purposes other than that

prescribed by Authorization and Appropriations bills and reports without approval. Second,

according to Congressional rules, when specific amounts are specified in authorizing legislation,

the Appropriations Committee and its Subcommittees may not appropriate more money than the

authorizing legislation allows. Third, appropriations bills are law, and any policy or legislative

provisions included in them are also law. If legislative (or other) provisions are in conflict with

Authorizing provisions, the most recently passed bill usually has precedence. Fourth,

Appropriations bills can amend Authorization bills when the Senate clearly intends for that to be

the case.32

(2) Accounts: In Congressional appropriations, the account is the most basic unit

of appropriations legislation. Accounts are divided into single unnumbered paragraphs in

appropriations bills, and each unnumbered paragraph applies to one account alone.33 Many of a

department's, or agency's, appropriations will be bundled into a single account, and it is not

unusual to find salaries and expenses funded from a single account. Appropriations bills often

contain information and instructions about how these funds are to be spent, but most of the detail

will be placed in the accompanying Committee report.34

(3) Reports: Appropriations report language that accompanies Senate and

Conference bills focuses on specific programs such as those for which the Committee has

"earmarked funds" or cases for which it is appropriating more or less than the original proposal.

"When a particular item is mentioned by the committee, there is a strong expectation that the

agency will adhere to the instructions," even though the reports themselves are not legally

binding.35 If it does not abide by report language, the Department or Agency is likely to find its

appropriations reduced during the next year or find provisions that were originally part of the

report inserted into next year's bill as law. Other reports that may apply to appropriations

measures include:

(a) Hearing Reports, produced by Committee or Subcommittee staff,

record the testimony, questions, and answers from hearings. They are records of events, and the

Committee or Subcommittee does not usually vote them out. While they may contain important

information, they are not authoritative.

 

31 See the section of the report entitled Senate Foregin Relations Committee for a detailed account of the committee process.

See also Marlowe. Dove, Robert B. (Parliamentarian, U.S. Senate; hereafter Dove). Enactment of a Law.

http://thomas.loc.gov. and Congressional Research Service. The Committee System in the U.S. Congress, 1994

www.sen.gov/committees.

32 Schick, p. 122.

33 Numbered paragraphs apply to all accounts in an appropriations bill. Generally, numbered paragraphs provide limitations,

legislative provisions, and provisions that apply across the government. See Schick, Chapter 8.

34 Keith, p. 21.

35 Keith, p. 22.
21

(b) Investigative Reports deal with specific matters, activities, or

programs over which the Committee has jurisdiction. If the Committee or Subcommittee issues

them they are voted out. If the staff issues them, they may be voted out or released by the

Committee or Subcommittee Chair. In the case of appropriations, investigations may be done by

the staff or for the Committee by the General Accounting Office or Department and/or Agency

Inspector Generals, and may examine how well a Department or Agency used the BA and

Outlays appropriated for it.

(4) Spending: There are two basic types of spending: discretionary and direct.

Discretionary spending is subject to annual appropriations. The majority of discretionary

spending funds government departments and agencies and is subject to annual appropriations.

Direct spending is usually entitlement spending. Entitlements tend to be payments that

are authorized to be made indefinitely to those eligible to receive them regardless of whether

appropriations acts make provisions for them (e.g., Social Security, military retirement). Some

entitlements are subject to action by the Appropriations Committee annually, but it has little

control over them at this point and the money will be made available for them regardless. There

has been an increase in the number of direct spending programs in recent years, due in part to

Authorizing Committee action to transfer funding authority away from the Appropriations

Committee, but also related to the "popularity" of certain programs.36

(5) Types of Appropriations: Within discretionary spending there are three types

of appropriations: Regular—those that occur in the "due-course annual" appropriations process;

Supplemental—those that fund emergency requirements; and Continuing—those that fund

activities and agencies not provided for in regular appropriations for whatever reason. There are

13 Regular appropriations (one per Subcommittee) each year, while the number of Supplemental

and Continuing appropriations vary. As the need arises, Supplemental and CRs are assigned to

the appropriate Subcommittees for deliberation and mark up. Because these irregular

appropriations normally contain funding for several different activities, more than one

Subcommittee is usually involved in the process, while a single Subcommittee has responsibility

for each of the 13 regular appropriations bills.

Regular appropriations may be annual, multi-year, or "no year." Annual appropriations

are valid only for the fiscal year for which they are appropriated, while multi-year appropriations

have time limits of several years or more. "No year" appropriations are open-ended

appropriations that are in effect indefinitely.

B. Appropriations Committee and Subcommittee Processes:

(1) Initiation of the Annual Appropriations Process: (See process maps at

appendix.) Once Congress receives the President's Budget, it normally first adopts a joint budget

resolution before either authorization or appropriations committees can take substantive action

on it. 37 (See Volume II, Chapter 3, entitled “Office of Management and Budget,” for

 

36 See also Schick, pp. 123-127.

37 Bills are general legislative proposals. Resolutions are "used primarily to express the sense of the Senate. . .or to take care

of "housekeeping" matters, including changes in rules, that apply only to the Senate." Joint Resolutions have the same effect

as bills. Concurrent resolutions express the sense of Congress; affect housekeeping activities common to both houses; or

modify the language of a proposal already passed by one house. (See Dove.)
22

information on how the President's Budget is prepared; see Chapters 4 and 10 in this volume for

a description of the joint budget resolution process.)

The joint budget resolution allocates spending caps to each Committee, and Committees

cannot exceed these caps without triggering reconciliation or other actions. As noted in this

year's (FY2000) budget, the budget resolution "provides the framework within which

congressional committees prepare appropriations and other spending and receipts legislation."38

Once the Senate Appropriations Committee receives its cap, it must reallocate specific dollar

allocations among the Subcommittees. The Chair makes these allocations pursuant to Section

602 of the Omnibus Budget Reconciliation Act of 1990, and he/she does so in consultation with

the Subcommittee Chairs.39 (The current Chair, Senator Stevens, who has made bipartisanship a

priority, also consults with the Ranking Members in allocating to Subcommittees.)

The requirement to remain within the dollar allocations provided by the Chair means that

"subcommittees can no longer act independently . . . and without regard for the total or how

much is available for all subcommittees."40 Overall, one effect of budget caps on the process

has been to force the Appropriations Subcommittees to recognize spending limits and coordinate

spending plans. Because mark ups are conducted in a zero sum atmosphere, a Subcommittee

cannot increase its share of the total unless the additional funding comes from another

Subcommittee. As one observer notes, this forces programs within a Subcommittee's jurisdiction

to compete with one another for funds.41 Witnesses who appear on behalf of Administration

programs are aware of the competitive nature of the mark up process and usually come prepared

to market their programs.

(2) Initiation of Appropriations Committee Processes in the Senate. In

Congress, appropriations measures traditionally originate in the House of Representatives,

although there is no constitutional requirement for them to do so. As a result, the Senate

Appropriations Committee continues the work of the House and does not ordinarily prepare an

original appropriations bill. This is not to say that they will not place original provisions into the

House measure. Often, Subcommittees begin crafting amendments before receiving the House

bill and insert them when that legislation is received. And, if the House delays passage of its

version of the appropriations bill too long, the Senate may craft its own bill.

The Senate Appropriations Committee begins the process by holding oversight hearings.

These hearings involve senior Office of Management and Budget (OMB) officials who present

the Administration's case for the budget. The full Committee may also hear testimony from

other sources, including the Congressional Budget Office (CBO), but the bulk of appropriations

work is done in the Subcommittees.

While other Committees must make choices about which legislation to consider, the

Appropriations Subcommittees are bound to consider the 13 appropriations bills that fund the

federal government and the District of Columbia. There is no integrated consideration of the

budget request—Subcommittees split up the President's Budget between them according to

jurisdictional boundaries and report out separately. (See paragraph 4.E., above.)

 

38 FY 2000 Budget, p. 2.

39 Public Law 101-508, Title VI—Budget Agreement Enforcement Provisions (www.thomas.loc.gov.)

40 Schick, p. 135.

41 Schick, p. 137.
23

(3) The Subcommittee Process: Senate Appropriations Subcommittees usually

begin deliberations by considering the House of Representatives' appropriations bill as noted

above. Because the House version is often only marginally below the spending limits set by the

Joint Budget Resolution, Senate Appropriations Subcommittees usually have little leeway to add

funds. Therefore, most Senate Appropriations Subcommittee actions are concerned with

redistributing funds.

As they adjust funding by amending the House version, the Subcommittees use the

current year's appropriations and the spending requested in the President's Budget as their

procedural framework. In other words, most of their deliberations focus on marginal changes in

spending from the present year to the next, rather than major policy debates.42 The President's

Budget is formulated using programs and activities (not effectiveness or efficiency of outcomes),

and the Subcommittees tend to treat it in those terms.

Subcommittees begin their activities by reviewing Administration justifications for items

in the budget. These justifications are detailed, but emphasize the amount of increase or

decrease over the past year's funding. Senators and staff will frequently discuss these

justifications with Administration officials off line. Senators also examine staff and General

Accounting Office investigations of activities and programs prior to holding hearings.

Because the Senate Subcommittees deal with an appropriations bill that has already been

through an intensive hearing process, Senate hearings tend to be less extensive. Generally,

witnesses are administration officials, although Senators may occasionally invite outsiders to

testify. During this and all other phases, the Administration's Office of Management and Budget

submits Statements of Administration Policy (SAPs) to ensure the Subcommittee understands

administration preferences and the extent to which the Administration is willing to go to achieve

them.

Subcommittee hearings, while often not as comprehensive as those conducted by House

Appropriations Subcommittees, are carefully orchestrated between Senators and Subcommittee

staff. The Subcommittee staffs produce witness lists, and witnesses normally provide written

copies of their testimony in advance.43 Administration witnesses are advocates for the

President's Budget, and their testimony is carefully prepared and cleared through OMB.44 Staff

members often recommend lines of questioning and specific questions for Senators to use during

the hearings. Senators' personal staffs often do the same. The Subcommittee may call nonAdministration witnesses as well, including the General Accounting Office or the Inspectors

General. How much information witnesses reveal that is counter to the Administration's official

position depends on the questions they are asked and the skill of the questioners.

Following hearings, the Subcommittee marks up the House version within Joint Budget

Resolution caps. Mark up is a line-by-line review that includes amending the original language

(and often the intent) to bring it in line with Subcommittee member preferences. Changes to the

House version are inserted in the form of numbered amendments. There will always be a large

 

42 See Schick, Chapter 7 and Keith.

43 Generally, oral testimonies from witnesses summarizes their longer written testimonies and both become part of the hearing

record.

44 See section entitled Office of Management and Budget in the volume entitled Executive Office of the President.
24

number of amendments. Some of these amendments may include "earmarking" or provisions

that require certain amounts to be expended for particular projects or activities; although most

earmarking is found in the accompanying report. When mark up is complete, the Subcommittee

votes on the amended bill and reports it out to the full Committee. Generally, but not always, the

full Committee reports out Subcommittee bills to the Senate floor without amendment. Full

Committee amendments, obviously, have to be adopted by the full Committee. Usually, bills

sent to the floor will be accompanied by a written report (prepared by the committee staff) that

explains the committee's actions, describes the re-written bill, and makes arguments for

passage.45 Once on the floor, committee members during deliberation will manage the bill.

Amendments to the House bill made in Subcommittee, Committee, or on the Senate floor are

identified and become the basis for conference deliberations.

(4) Consideration by the Full Senate: Action on the Senate floor depends on the

rules in effect. Usually, traditional Senate rules allowing unlimited debate are modified by

"unanimous consent," and a finite amount of time will be allotted to debate the bill. Once rules

are decided on, the Subcommittee Chair and Ranking Member provide an overview of the bill

that consists of a comparison between the present year's spending levels and those recommended

by the Subcommittee for the next fiscal year. It may also include a comparison of the original

House version with the Senate Subcommittee's mark up. The mark up is then voted on "en

bloc."46 If it passes, the measure is scheduled for conference with the House.

(5) Conference: Conference proceedings are characterized by negotiating

sessions between House and Senate staff and between Senators and Members of the House.

Generally, the only issues discussed are the Senate amendments to the original House bill.

Unamended passages are assumed to be acceptable to the Senate and are not renegotiated.

The Statement of Managers or Conference Report that accompanies the bill is an

amendment-by-amendment account of the actions of the conference committee with

recommendations for how the two houses should vote. It also contains instructions, earmarking

provisions, and other information. In order to understand the final bill, Administration

Departments and Agencies must consult both the report and the bill. As noted earlier, the report

is not legally binding, but Congress expects the Administration to abide by its provisions.

(6) Actions by Both Chambers: Once agreement is reached in conference, the

bill and conference report are forwarded to the two chambers for vote on the final bill, with the

House voting first and then sending the measure to the Senate. The chambers usually vote on the

bill in total, not amendment by amendment. There are provisions for some amendments to be

considered apart from the bill where these amendments are not in technical agreement.

(7) Presidential Action: In final form, when passed by both chambers,

appropriations bills are sent to the White House for the President's signature. If the President

approves the bill, it becomes law. If he vetoes it, it is returned to Congress for changes that make

it acceptable to the President or for votes to override his veto. A bill may also become law if the

President fails to sign it or return it to Congress within 10 days while Congress is still in session.

 

45 Reports are numbered consecutively, beginning with the first report or a Congress. Thus, although they often are released

nearly simultaneously with a bill, Committee report numbers will not correspond to bill numbers.

46 Schick, p. 148.
25

(8) Structure of Appropriations Bills: Every appropriations bill has three

general features: an enactment clause designating the fiscal year; account appropriations and

specific account provisions; and provisions that generally apply. General provisions can include

limitations on obligations, "legislation" or authorization language, and provisions that apply

across the government. 47

C. Strategy Development:

(1) Major Activities: No direct involvement. However, through the hearing

process described above, the Committee can influence the Administration's choices.

(2) Major Stakeholders: Executive Branch Departments.

(3) Key Organizational Processes: Hearings.

(4) Associated Higher-Level Processes: Authorization.

(5) Associated Lower-Level Processes: Executive Branch Budget Preparation.

(See Volume II, Chapter 3.)

D. Policy, Guidance, and Regulation:

(1) Major Activities: No formal involvement under Senate rules. However,

despite rules that prohibit doing so, legislative provisions (i.e., new laws or changes to existing

laws and regulation) find their way into appropriations bills. Limitations on spending, which

constitute guidance and attempts to influence policy, are also included (e.g., "except that no

funds may be expended for . . ."). Finally, accompanying reports often contain guidance on how

appropriated funds may or may not be obligated.

(2) Major Stakeholders: Departments and Agencies.

 

47 Schick, p. 149 and 156.

Strategy

Development

Policy, Guidance,

and Regulations

Planning

Mission Execution

Observation, 

Orientation,

and Oversight

Preparation

Resourcing

Appropriations Bills

Products

 

Roles

Appropriations  

Appropriations Bills
26

(3) Key Organizational Processes: Committee and Subcommittee Hearings and

Mark Ups.

(4) Associated Higher-Level Processes: Authorization.

(5) Associated Lower-Level Processes: Executive Branch Budget Preparation.

(See Volume II, Chapter 3 on the OMB.)

E. Planning: No involvement.

F. Mission Execution:

(1) Major Activities: The Appropriations Committee affects mission execution

by funding or denying funds for planned and ongoing operations. It does this through the regular

appropriations processes, described in paragraph 5.A.

(2) Major Stakeholders: Departments and Agencies

(3) Key Organizational Processes: Committee and Subcommittee Hearings and

Mark Ups; Conference Committees

(4) Associated Higher-Level Processes: Authorization

(5) Associated Lower-Level Processes: Executive Branch Budget Preparation.

(See section entitled Office of Management and Budget.)

G. Observation, Orientation, and Oversight:

(1) Major Activities: Reviews spending of departments, agencies, and programs

under its jurisdiction. Investigates programs and activities or causes investigations to be

undertaken by GAO of Department/Agency Inspector Generals, publishes investigative reports,

conducts hearings, and published hearing reports.

(2) Major Stakeholders: Departments, Agencies, Program Managers.

(3) Key Organizational Processes: Committee and Subcommittee Hearings and

Studies.

(4) Associated Higher-Level Processes: Authorization.

(5) Associated Lower-Level Processes: Executive Branch Budget Preparation. 48

H. Preparation: No Involvement.

 

48 See section entitled Office of Management and Budget in volume entitled Executive Office of the President.
27

I. Resourcing:

(1) Major Activities: Amend House Bills to produce Senate version of 13

Appropriations bills that provide annual (and, under certain conditions, multi-year) funding for

all U.S. Government Departments and Agencies and the District of Columbia. Considers at least

one supplemental appropriations bill and one CR each year on average.

(2) Major Stakeholders: All Departments and Agencies; Authorization

Committees.

(3) Key Organizational Processes: Committee and Subcommittee hearings;

Mark Ups; House Senate Conferences.

(4) Associated Higher-Level Processes: Authorization.

(5) Associated Lower-Level Processes: Executive Branch Budget Preparation.49

6. Informal National Security Process Involvement.

A. Contacts with Administration Officials: In addition to formal hearings, written

testimony, written responses to questions, and SAPs, informal contacts with Administration

officials occur throughout the appropriations process. Both Senators and staff members hold

informal discussions with the Departments and Agencies for which they have jurisdiction. This

occurs in much the same way that OMB staff contacts with Departments and Agencies do, and

the purpose is to determine true needs and to separate them from nice-to-have programs. These

contacts also provide Appropriators with funding ranges and what must be given up as the

amount of funding decreases. While important for both chambers, in the case of the Senate

(which usually limits its activities to amending the House appropriations bills), informal contacts

help determine the best reallocation options.

Informal contacts with Administration officials also play a role in "end running" OMB

scrutiny or their testimony. Administration officials are constrained to follow the policies and

priorities established by the President and overseen by OMB. OMB reviews all official

Administration testimony and all formal communications between Committees and Executive

Branch officials. Thus, Administration officials cannot volunteer information during hearings.

However, informal, pre-hearing contacts can help identify questions, to which witnesses must

respond truthfully, that will provide information that would not normally be made available.

From a Department or Agency perspective, informal contacts with Appropriations

Committee members and staff can be helpful in ensuring programs are adequately funded. This

is especially important in the zero sum atmosphere brought about by joint budget resolutions. It

is also important when implementing report language. Informal contacts may enable a

Department or Agency to achieve some latitude in how it implements report provisions.50

Not all informal contacts are collegial and some are adversarial. However, all sides agree

that information exchanges are beneficial.

 

49 See section entitled Office of Management and Budget.

50 Schick, p. 162.
28

B. Contacts with Other Senators: Appropriations are the primary way that government

funding reaches the States. Appropriations may be for civil works projects, government

buildings or installations, or contractor programs. Regardless of purpose, Senators often seek to

initiate, sustain, or increase the amount of funding for their States. If a Senator is a member of

the Appropriations Committee, the task of ensuring that funds are earmarked for favorite projects

is not especially daunting. Generally, the Subcommittees honor requests by their members and

those of other Appropriations Committee members. For Senators who do not serve on the

Appropriations Committee, the task is more difficult, but in the current climate of bipartisanship

encouraged by the Chair, not impossible. Each year the number of requests for earmarks

exceeds budget caps, which requires Senators on the Subcommittees to make choices among

competing requests from their colleagues. The tendency is to ensure that every member receives

at least some of what he/she requests in order to garner support for the Appropriations bills on

the floor and to build alliances for other matters.51 Attempts to obtain earmarks are

characterized by personal negotiations between Senators and between their staff representatives.

7. Funding and Personnel.

A. Funding Sources: The Senate Appropriations Committee is funded through the

Legislative Branch appropriations.

B. Budget: $6.5 million for FY2000.52

C. Manpower: The Committee for the 106th Congress is composed of 15 Republicans

and 13 Democrats.

8. Observations.

A. The Appropriations process itself is effective, although political considerations and

debates sometimes hinder it. These considerations usually delay at least one of the 13

Appropriations bills each year because of political differences between Senators, with the White

House, or both. When Appropriations bills are delayed, CRs are enacted to keep the government

running, normally at the rate appropriated for the preceding fiscal year.

B. In recent years Appropriations bills have included more policy and/or legislative

provisions, which some argue more properly belong in Authorization bills. These may occur

without the knowledge or consent of the authorizers, or there may be an informal agreement to

include the language between Senators. Whether one believes that Appropriators have exceeded

their limits in these matters depends to some degree on how one is affected by it. Members who

believe they have been disadvantaged by the action are likely to oppose it.

 

51 Interviews indicate that there is an unwritten rule to the effect that if a Senator's request is included in the Appropriations

Bill, he/she is expected to vote for the entire bill.

52 Legislative Branch Subcommittee of the Appropriations Subcommittee.
29

C. Senate Subcommittees adjust funding by amending the House version, using the

current year's appropriations and the spending requested in the President's Budget as their

procedural framework. In practice, therefore, Senate Subcommittee deliberations focus on

marginal changes in spending from the present year to the next, rather than major policy debates.
APPENDICES
Appendix 1

Senate Appropriations Committee - Key Process - (Formal) - 

President Senate Appropriations

Subcommittee

 Senate Appropriations

Committee Senate House Interagency Inter-Branch IWG (InteragencyWorking Group)

Issue SAP

(OMB)

*

ScheduleOversight

Hearings

Produce Witness List

(Subcommittee Staff)

Receive Written

Testimony of

Witness

Develop Questions

for Hearings

(Subcommittee Staff)

Conduct

Hearings

Mark Up Original

Appropriation /

Reallocate Funding Based

on JBR

Approve Bill?

Send to Full

Committee for

Approval

Consider House

Appropriations

Bills

Review

Administration

Budget

Justifications

Examine Staff

and GAO

Investigations of

Activities

Approve

Appropriation

Prepare DraftAppropriation

Reflecting Committee

Changes

Prepare Written

Report Explaining

Committee Actions 

Send to Full

Senate for

Deliberations

Start

Conduct Hearings -

OMB, CBO, and

Other Sources

Provide an Overvie

Appropriation Focu

on Spending Lev

Changes and Mark 

Provide Testimony by

Administration that is

prepared and cleared

through OMB

Provide Testimony of

Non-AdministrationsOfficials (e.g., GAO)

A

A

B

B

Yes

Yes

No

No

* SAP can be sent at any time.** Mark ups are done to Joint Budget Resolution Ceilings
ORGANIZATIONAL DESCRIPTION

SENATE ARMED SERVICES COMMITTEE

Prepared for the U.S. Commission on National Security/21st Century
2

EXECUTIVE SUMMARY

Senate Armed Services Committee

Overview

The Senate Armed Services Committee (SASC) is an authorization committee that

considers virtually all legislation affecting the Department of Defense and some Department of

Energy defense-related programs and activities. Its jurisdiction includes:

• Aeronautic and space activities associated with military operations and weapons

system development;

• The common defense;

• The Department of Defense and the Military Departments and Services;

• The Panama Canal;

• Military Research and Development;

• Nuclear energy as it pertains to national security;

• Naval petroleum reserves (except those in Alaska);

• Armed Forces pay, promotion, retirement, and other benefits and privileges;

• Overseas education of military and civilian dependents;

• The Selective Service System;

• Critical and strategic materials necessary for the common defense;

• Comprehensive studies and reviews of defense policy matters; and

• Joint and sequential jurisdiction of most intelligence activity.

As an authorization committee, the SASC has jurisdiction over the organization and

structure, roles and responsibilities, and the amount of funding for activities that come within its

scope of authority, including the Department of Defense. It conducts hearings and considers

bills, resolutions and reports on matters within its jurisdiction; conducts or directs studies and

reviews of matters affecting the common defense; and conducts hearings and reports out

recommendations on Presidential nominations of senior officials such as the Secretary of

Defense, the Deputy Secretary, Under Secretaries and Assistant Secretaries of Defense, and all

military nominations above the rank of captain (O-3).

Like most Senate Committees, the SASC plays an important role in selecting which

legislative proposals within its jurisdiction will be considered by the full Senate. In this role, the

Committee:
3

• Conducts hearings, studies and investigations;

• Schedules consideration of legislation;

• Considers (marks up) proposed bills and resolutions;

• Considers (marks up) amendments at the Subcommittee and Committee level;

• Reports them out of Committee to the full Senate;

• Manages floor debate;

• Participates in Conference Committees with Members of the House;

• Presents the Statement of Managers and the legislation arrived at in Conference;

• Manages consideration of bills/resolutions on matters within its jurisdiction; and

• Conducts oversight of laws and entities within its jurisdiction.

As is common throughout the Senate, the full Committee Chair, and to a lesser degree the

Subcommittee Chairs, exercise a great deal of authority in the conduct of Committee matters.

Organization

The Committee is specified as a Class A Committee under Senate rules. In the 106th

Congress, it consists of eleven Republicans and nine Democrats (one fifth of the Senate),

supported by a staff of 30. The Committee is organized into six Subcommittees:

• Airland;

• Emerging Threats and Capabilities;

• Personnel;

• Readiness and Manpower Support;

• Sea Power; and

• Strategic.

The most publicly visible Committee and Subcommittee business is conducted through

open hearings on legislation and Presidential nominations as well as in the business meetings in

which the Committee acts upon those bills or nominations. The Committee also conducts

significant hearings to receive briefings on current military operations. The consideration of

legislation is called a "mark up" as the bill is examined on a line-by-line or section-by-section

basis for the purpose of considering amendments. The Committee may also hold executive

sessions, or closed meetings to consider classified or sensitive matters.
4

Role in Formal and Informal National Security Processes

Strategy Development. The Committee and its Subcommittees can influence Executive Branch

strategy development in a number of ways. The Committee can spotlight important strategic

issues by holding hearings and providing hearing reports, by issuing special Committee and staff

reports, and by conducting investigations. The Committee may push a Strategy debate into the

public eye, or it can enhance or influence a debate in favor of or against a specific proposal. By

constructing authorization bills and bills that regulate various aspects of national defense—such

as the organization or structure of agencies, the legal authorities of the agencies, and the

individuals allowed to hold high office via the confirmation process—the Committee can limit,

expand, or influence the Administration's strategic options.

Similarly, by using the "power of the purse" the SASC can influence strategy

development by the amount of funding it authorizes for various Executive Branch departments,

agencies, organizations, programs or activities. Interviews suggest that the ability to influence

funding continues to be the most effective way to shape Administration policy. Also, the SASC

discusses issues under consideration in the House of Representatives and engages in direct

negotiations with the House through Conference Committees and preparation of the Statement of

the Conference Mangers.

The Constitutional power of "advise and consent" grants the Committee significant

influence over various Strategy Development issues through consideration of nominations. The

ability to question a nominee, or even delay or deny a President confirmation of a specific

individual for high office—or to extract promises from the nominee or Administration in return

for a favorable recommendation—is a significant lever in shaping policy or specific Executive

Branch activities. The SASC frequently uses the Senate's advise and consent role to hold

hearings on treaties that have implications for national security and that are also considered by

the Committee on Foreign Relations, even though this may cloud jurisdictional lines.

Strategy

Development

Policy, Guidance,

and Regulations

Planning

Mission Execution

Observation, 

Orientation,

and Oversight

Preparation

Resourcing

Products

Hearing Reports    

  

 

 

 

 

 

Roles Advice & Consent      Products

Hearing Reports 

Bill/Resoultion Report

Cmtee/Staff Reports

Conference Report

Subpeonas

Nomination Reports

Cmtee Amendments
5

Finally, the Committee and its Chair or senior leaders often have significant power in

influencing the Senate when it considers legislation, resolutions and amendments concerning

strategy on the floor.

Policy, Guidance, and Regulation. Through hearings, debates, rules, reports, legislative

language, and limitations (or ear marks) on funds the Committee has the ability, if it chooses, to

impose or reject specific policies, guidance, and regulations on the various departments,

agencies, organizations, and programs that lie within its jurisdiction.

Planning. The SASC has no direct role in national security planning. However, it can influence

virtually any national security planning matter. This influence may occur when a specific

Senator advocates or opposes a plan, or it may result from informal alliances between individual

senior Executive Branch officials and Senators. The public debate on various plans that can

occur in hearings (especially those covered by the Constitutional "speech and debate" clause)

can be used to influence planning functions. The Committee's ability to pass resolutions of

approval or disapproval on deployments also influences planning.

Mission Execution. Through bill and resolution reports, legislation, the use of ear marks,

mandates, and funding prohibitions the Committee can affect the ways in which the Executive

Branch undertakes and manages missions. The way in which the Administration conducts an

operation can also be subjected to oversight hearings and investigations. Investigations can be

conducted by the Committee staff, the General Accounting Office, and/or various Inspectors

General.

Observation, Orientation, and Oversight. Senate Committees have a long-standing history of

providing oversight of legislation, operations, and activities of the Executive Branch. As was

true of Strategy Development, the Committee can make an impact in this area through hearings,

bills and resolution reports; consideration of nominations; Committee and staff reports and

investigations; conference reports; and Committee amendments offered on the floor during

debate.

In Observation, Orientation, and Oversight, the Committee also has the power to

subpoena witnesses. It may direct the General Accounting Office to conduct investigations or

oversight of specific departments, agencies, organizations or programs. The SASC initiated the

legislation that created the DoD Inspector General. It may also utilize its statutory relationship

with the various Inspectors General to conduct specific oversight activities. These efforts can

lead to no action, a change in law, an increase or decrease in funding, or referrals to the

Department of Justice for consideration of criminal charges.

Preparation. Hearing reports can also be used to encourage or discourage specific national

security preparations.

Resourcing. The "power of the purse" is a long-standing instrument to influence the Executive

Branch. All of the Committee's products can have resource implications, especially with respect

to authorization bills for the Department of Defense and related agencies and activities. While

Senate rules require authorization bills to guide Appropriations procedures, appropriators

occasionally act to fund programs in the absence of authorizing language. The SASC has

significant "negative" power to deny (zero) programs and/or fence expenditures. This is a major

burden for either the Appropriations Committees or the Executive Branch to overcome.
6

Informal processes primarily involve contacts between Senators and staff members with

Executive Branch officials, members of academia, political action groups, and constituents.

Senators often travel to military bases and conduct overseas travel to gather information

informally. Senators use informal contacts to influence legislation pending in the Committee on

Armed Services, in other Committees, and on the floor of the Senate. They also use informal

personal contacts to influence conference proceedings. In addition, Senators with special

knowledge and interest (or those holding leadership positions and seniority) may engage

effectively in informal efforts to influence the Administration through direct communications

with the President, the Vice President (who also serves as the President of the Senate), or any

Cabinet Officer or Sub Cabinet Officer.

Other informal processes that affect national security include "trades" between Senators

and/or between Senators and Members of the House as part of negotiations. Members also issue

individual press releases about issues, or the Committee may issue them. These releases focus

attention on a particular issue and/or increase public awareness. Increased public awareness can

lead to increased pressure on colleagues or Administration officials, and thus influence their

behavior. Senators also attempt to persuade (i.e., lobby) Administration officials to act in certain

ways, and they engage in dialogues with constituents and special interests.

Observations

Given the tremendous number of legislative proposals presented each year, the

Committee system works effectively to ensure that only the most significant are brought to the

Senate floor for deliberation. Reasons for delays and failures are usually found in political

considerations or the ways in which the system is manipulated, not the system itself. The

effectiveness of a Committee in imposing its will is often dependent on the personal standing and

reputation of the members and the Chair, the state of the world, threats to the nation, and the

need to remedy existing conditions.

Hearings are a powerful tool and often serve as a focal point for national security debates.

They highlight issues and generate support, and the resulting bills and resolution reports can

produce significant changes. For example, Authorization bills and accompanying reports can

require Executive Branch Departments to report on programs, processes, and procedures; reduce

or increase authorized funding; and earmark funds for particular purposes inter alia.

Through the provisions of bills reported out by the Committee, the SASC can affect

Administration policy, organizational structures of the Defense Department and related

organizations, nominations for senior positions, and the resourcing of some Executive Branch

activities.

Committee and Subcommittee Chairs control committee processes through personal

interaction with other Senators and by the control they exert over members of the Committee

staff. Although there are often compromises with Ranking Members from the Minority party,

the Chairs have tremendous latitude in scheduling legislation for consideration and calling

hearings.

The power and influence of Congressional Committees depends on a unique combination

of five factors: Committee jurisdiction; the issue under consideration; the politics surrounding
7

that issue; the personal position, influence, and demeanor of the Chair; and Committee norms

and traditions. Depending on circumstances, any one of these factors may be predominant for a

given event. For example, if the issue under consideration is one that threatens national security,

then the issue will have priority over politics, jurisdiction, the Chair, and the way matters have

been handled traditionally. Or, if the nation is concerned about an issue, then political

considerations may be primary. This description, while general and not without exception,

applies to the SASC.

Those interviewed noted that the Executive Branch does not consult with Congress on

important national security matters. This lack of consultation is blamed for a number of

Administration failures, most recently the Comprehensive Test Ban Treaty. Both current staff

and former Members agreed that while the Administration sometimes informs Congress, real

consultation is rare. The tendency to "inform" rather than "consult" with Congress is not unique

to the current Administration, however.

Staff of both the SASC and the Committee on Foreign Relations indicated in interviews

that jurisdictional lines are blurred. Both Committees claim responsibility for some areas and

this overlap can lead to tensions that are not always healthy. However, in a larger sense,

jurisdictional spats are indicative of the complexity of current national security problems and

issues.
8

ORGANIZATIONAL DESCRIPTION

SENATE ARMED SERVICES COMMITTEE1

1. Legal Specifications and Authorizations.

Authorization: Committees are creations of Congress. There is no requirement

for committees in the U.S. Constitution or in the U.S. Code. Instead, they are created by

Congress to enable it to carry out its constitutional responsibilities. Senate Rule XXV applies to

the establishment of Committees and Subcommittees.

2. Missions/Functions/Purposes.

A. Major Responsibilities: The Senate Armed Services Committee (SASC), an

Authorization Committee, has jurisdiction over the following matters:2

(1) Aeronautical and space activities peculiar to or primarily associated with the

development of weapons systems or military operations [Key Processes Relation: Observation,

Orientation, and Oversight; Preparation; Resourcing];

 (2) The Common Defense [Key Processes Relation: All];

(3) The Department of Defense, the Department of the Army, The Department of

the Navy, and the Department of the Air Force, generally [Key Processes Relation: Strategy

Development; Policy, Guidance, and Regulation; Mission Execution; Observation, Orientation,

and Oversight; Preparation; Resourcing];

 

(4) Maintenance and operation of the Panama Canal, including administration,

sanitation, and government of the canal zone3 [Key Processes Relation: Observation, Orientation

and Oversight; Resourcing];

(5) Military Research and Development [Key Processes Relation: Observation,

Orientation, and Oversight; Preparation; Resourcing];

(6) National Security aspects of nuclear energy [Key Processes Relation:

Observation, Orientation, and Oversight; Resourcing];

(7) Naval petroleum reserves, except those in Alaska [Key Processes Relation:

Policy, Guidance, and Regulation; Observation, orientation, and Oversight];

(8) Pay, promotion, retirement, and other benefits and privileges of the Armed

Forces, including overseas education of military and civilian dependents [Key Processes

Relation: Observation, Orientation, and Oversight];

 

1 Officially, the Committee is the Committee on Armed Services. The more popular title is used here.

2 SASC website www.senate.gov.

3 With the reversion of the Canal to Panama, this jurisdiction is subject to change, but this language is still included with other

Committee jurisdictions.
9

(9) The Selective Service System [Key Processes Relation: Policy, Guidance, and

Regulation; Observation, Orientation, and Oversight; Resourcing];

(10) Strategic and critical materials necessary for the common defense [Key

Processes Relation: Observation, Orientation, and Oversight; Preparation; Resourcing]; and

(11) Sequential and joint jurisdiction over most Intelligence activity (this is due to

the fact that a portion of the funding for intelligence is provided in the Defense Budget) [Key

Process Relation: Observation, Orientation and Oversight; Resourcing.]

 

B. Subordinate Committees:4 The SASC is organized into six subcommittees on:

Airland; Emerging Threats and Capabilities; Personnel; Readiness and Management Support;

Seapower; Strategic. (See paragraph 4.E. for Subcommittee membership and jurisdiction.)

C. Major Products: The SASC produces Hearing Reports, Bills and Resolutions with

Reports, Nomination Reports, Committee and Staff Investigative Reports, Conference Reports

(with the House Conferees), and Committee Amendments for legislation under consideration on

the floor of the Senate. It also conducts Advice and Consent proceedings for Presidential

appointments requiring Senate approval, including senior Department of Defense officials and

most military officers. It has the power to compel testimony by issuing subpoenas.

3. Vision and Core Competencies.

A. Vision: There is no published vision statement. Committee operations reflect the

views and priorities of the Committee and Subcommittee Chairs and the majority of the

Committee Members.

B. Core Competencies: Core competencies include national security and operations of

the Department of Defense and portions of the Department of Energy that deal with nuclear

energy that have national security implications.

4. Organizational Culture.

A. Values: There are no published values.

B. Leadership Traditions: Committee and Subcommittee Chairs, selected in accordance

with party rules, have a great deal of power in terms of establishing operating procedures and

deciding which pieces of legislation will be reported out of Committee for action on the Senate

floor. Party politics are the major determinate in the operation of the Committee. Seniority

remains a significant leadership tradition. Junior Senators tend to defer to senior members as a

matter of tradition. These traditions have weakened in recent years, however. In selecting

Committee and Subcommittee Chairs, seniority plays a significant role, as does how well a

Senator's colleagues think he/she will represent their individual and aggregate interests, party

positions, and seniority are also significant factors.

 

4 www.senate.gov/foreign/subcom.htm.
10

C. Staff Attributes: The Committee staff comes from a variety of backgrounds and

includes attorneys, academics, and those with firsthand experience of national security

operations. Successful staffers have both functional and procedural expertise. In providing

support to the Committee, staffers ensure that Senators receive credit for all successes and are

shielded from blame on those occasions when things go awry. Sometimes the tradition of

supporting Senators' inclinations requires staff to produce assessments and analysis that are not

especially objective. Staff members are usually responsible for several areas, and their expertise

in these areas is almost always greater than that of individual Senators because Senators are

concerned with a broader range of issues.5 Thus, while staffers may maintain a discreet role,

Senators' decisions are often based on staff information and guidance.

There are both Majority and Minority staffs, and in the 106th Congress, the Majority staff

is larger. Each Majority staff member owes his position to the Committee Chair and is under his

direction. The Ranking Member hires the Minority Staff Members, and they work under his

direction. Party politics coupled with special knowledge and expertise are key determinants of

staff appointments. When the Chair or Ranking Member changes, their successors are likely to

bring in at least a few new staff members. If the balance in the chamber as a whole changes, the

staff turn over will be greater as the new leadership appoints additional staff members over and

above those they already have, and the new Minority party releases staff to bring their total staff

into line with the rules.

In the 106th Congress, the professional staff consists of 18 Majority staff and 12 Minority

staff, exclusive of interns, which is a relatively small staff considering the scope of the

Committee's jurisdiction. Staff members are assigned responsibility for certain issues or areas.

The staff may include personnel from the Executive Branch on reimbursable or nonreimbursable detail.6 This practice enables the Committee to draw on the experience of

practitioners from Executive Branch Departments and Agencies with firsthand knowledge of

areas over which the Committee has jurisdiction. There are strict rules concerning the use of

borrowed personnel, including prohibitions on their use for purely political and campaign duties.

Subcommittees have no assigned staff; however staff members may be assigned to support a

Subcommittee.7

D. Strategy: The Committee and Subcommittee strategies reflect the strategies of the

Chair, the political parties, the Majority members, the individual Senators. There is no published

Committee Strategy document.

E. Organization: Senate standing committees are broken down into three categories:

Class A committees, Class B committees, and Class C committees. The SASC is a Class A

committee. A Senator may not serve on more than two Class A committees and one Class B

committee.8 A Senator may normally be the Chair or Ranking Minority member of one Class A

subcommittee or one Class A committee plus one Class A subcommittee.

 

5 Typically, in addition to issues of interest to their constituents, Senators will serve on two Committees.

6 Senate Resolution 189, Section 10, authorizes the committee to use detailed personnel from the Executive Branch if their

parent agencies or departments concur. The terms reimbursable and non-reimbursable refer to whether the Committee is

expected to compensate Executive Branch organizations for use of their personnel.

7 Interviews with SASC staff.

8 Marlowe, Howard. How Congress Works: A Handbook on Congressional organization and the Legislative Process.

www.netlobby.com (Hereafter Marlowe).
11

Committee membership is determined by rules adopted by each political party, and

members are selected during party caucuses or conferences, based on leadership

recommendations. As one source points out, "the committee appointment process offers a means

of promoting party discipline through the granting or withholding of desired assignments."9 The

Secretaries of the Majority and Minority parties assemble requests from Senators for Committee

assignments. These requests are passed to a Steering Committee, whose members are selected

by the Secretary, and this Committee makes recommendations to the party leadership.

Generally, Minority party membership on Committees mirrors their total membership in the

Senate, and this custom is followed in subcommittee appointments.10 The Committee Chair, in

consultation with the Majority party committee members, selects Subcommittee Chairs. The

Minority follows a similar practice in selecting Ranking Members. The Committee in the 106th

Congress consists of 11 Republicans and 9 Democrats.

As noted in the following paragraphs, the Committee has a broad jurisdictional range. As

has been true in the past, the scope of its interests sometimes leads to jurisdictional disputes with

other Senate Committees. This partly results from Senate rules that have evolved since the end

of World War II. Compared to the complex nature of current national security problems, those

that confronted Congress during the Cold War were less complicated. Jurisdictional squabbles

are symptomatic of this new complexity and are likely to become more frequent and perhaps

more intense.

SENATE ARMED SERVICES COMMITTEE

Republicans (11) Democrats (9)

John Warner (VA)– Chair

Strom Thurmond (SC)

John McCain (AZ)

Bob Smith (NH)

James M. Inhofe (OK)

Rick Santorum (PA)

Olympia J. Snowe (ME)

Pat Roberts (KS)

Wayne Allard (CO

Tim Hutchinson (AR)

Jeff Sessions (AL)

Carl Levin (MI) – Ranking Member

Edward M. Kennedy (MA)

Jeff Bingaman (NM)

Robert C. Byrd (WV)

Charles S. Robb (VA)

Joseph I. Lieberman (CT)

Max Cleland (GA)

Mary L. Landrieu (LA)

Jack Reed (RI)

Senate rules prevent Committee members from also serving on the Senate Armed

Services Committee and/or the Senate Appropriations Committee. However, Senator Byrd was a

member of both committees before new rules were enacted and was "grandfathered" and allowed

to continue to serve on both.

The Committee is organized into Subcommittees as described in paragraph 2, above.

Senator Warner, the Committee Chair, and Senator Levin, the Ranking Member are ex officio

members of all Subcommittees.

 

9 Learning About the Senate. "Senate Briefings: Committees." (http://www.senate.gov/learning/brief_11.html).

10 Marlowe, p. 1, Zone Two—Committee Action.
12

Subcommittee membership for the 106th Congress and a precis of jurisdictional

responsibilities follow.11

(1) Airland:

Republicans (5) Democrats (4)

Rick Santorum—Chair

James M. Inhofe

Pat Roberts

Wayne Allard

Tim Hutchinson

Joseph I. Lieberman—Ranking Member

Max Cleland

Mary L. Landrieu

Jack Reed

Subcommittee responsibilities include Army, Air Force (less strategic forces, strategic

airlift, and Special Operations programs), and Navy and Marine Corps tactical aviation; National

Guard and Reserve equipment; oversight of Army and Air Force Research and Development and

Test and Evaluation (RDT&E) and procurement (less technology base, strategic forces, Special

Operations, strategic airlift and ammunition; and Navy and Marine Corps RDT&E and

procurement related to tactical aviation.

(2) Emerging Threats and Capabilities:

Republicans (5) Democrats (4)

Pat Roberts—Chair

Bob Smith

Rick Santorum

Olympia J. Snowe

Jeff Sessions

Jeff Bingaman—Ranking Member

Edward M. Kennedy

Robert C. Byrd

Joseph I. Lieberman

The Emerging Threats and Capabilities Subcommittee has a number of responsibilities.

These include policies and programs to counter emerging threats such as: proliferation of

weapons of mass destruction, terrorism, illegal drugs, and other asymmetric threats, information

warfare programs, technology base programs, Special Operations programs, and emerging

operational concepts. It also has responsibility for foreign military sales, technology export

policies, Nunn-Lugar issues, Department of Energy nonproliferation issues, and doctrine and

Research and Development (R&D) in support of non-traditional military operations.12

The Subcommittee also exercises oversight over RDT&E budget accounts for technology

base; dedicated information warfare; Special Operations procurement; counter drug programs;

support for low intensity conflict and peacekeeping; Department of Defense (DoD) and

Department of Energy (DoE) counterterrorism and chemical and biological warfare defense.

Additionally it has oversight of DoD commands and agencies including the Defense Advanced

Research Projects Agency (DARPA)13, Defense Security and Cooperation Agency (DSCA), the

 

11 Jurisdiction provided by the SASC staff in a memorandum entitled SUBCOMMITTEE STRUCTURE FOR THE

COMMITTEE ON ARMED SERVICES [sic].

12 The Nunn-Lugar Act focuses on providing financial incentives to former USSR states in return for their cooperation in

limiting nuclear weapons and related facilities.

13 See the section entitled Defense Advanced Research Projects Agency in the volume entitled Department of Defense.
13

Defense Threat Reduction Agency (DTRA),14 and the U.S. Special Operations Command

(USSOCOM).

(3) Personnel:

Republicans (4) Democrats (3)

Wayne Allard—Chair

Strom Thurmond

John McCain

Olympia J. Snowe

Max Cleland—Ranking Member

Edward M. Kennedy

Jack Reed

This subcommittee has jurisdiction over policies and strengths for military and civilian

personnel, military health care, compensation, and force structure. Its jurisdiction includes

Morale, Welfare, and Recreation; Professional Military Education; military promotion and

appointment nominations; DoD Section 6 schools; civil-military programs; POW/MIA issues;

family housing policy; and the Armed Forces Retirement Home.

It oversees budget accounts for military personnel, military retirement, Defense health

care, and operations and maintenance (O&M) accounts related to personnel and health care. It

exercises oversight of the Under Secretary of Defense for Personnel and Readiness, the Assistant

Secretary of Defense (ASD) for Reserve Affairs, the ASD for Health Affairs, and the ASD for

Force Management and personnel. Additionally, the Subcommittee exercises oversight of the

Defense Commissary Agency, the Army and Air Force Exchange System, the Navy Exchange,

The Marine Corps Exchange, and the Uniformed Services University of Health Services.

(4) Readiness and Management Support:

Republicans (6) Democrats (5)

James M. Imhofe—Chair

Strom Thurmond

John McCain

Rick Santorum

Pat Roberts

Tim Hutchinson

Charles S. Robb—Ranking Member

Jeff Bingaman

Robert C. Byrd

Max Cleland

Mary L. Landrieu

The subcommittee's responsibilities include military readiness (i.e., training, logistics,

and maintenance); military construction; business management reform issues (i.e., acquisition

reform, commercial management organization and practices, and information technology

management policy); and environmental programs. The subcommittee has additional special

interest areas that include: Base Realignment and Closure (BRAC), RDT&E infrastructure

policies and programs; the National Defense Stockpile;15 procurement of conventional

 

14 DTRA was created as a result of the Defense Reform Intiaitive Report of November 1997. The agency combined several

organizations (including the On Site Inspection Agency and the Defense Special Weapons Agency). DTRA has been

designated a Combat Support Agency under the provisions of Section 193, Title 10, U.S.C., which requires special

assessments by the Chairman of the Joint Chiefs of Staff. The results of these assessments are presented to the Secretary of

Defense for action as appropriate, not to the SASC or the Emerging Threats and Capabilities Subcommittee.

15 The National Defense Stockpile includes vital natural resources such as uranium of various types and chemicals that would

be needed in case of a national emergency that required increased production of certain types of military goods, or in case
14

ammunition; defense technology and industrial base policies; and the operation of industrial

facilities (i.e., depots, shipyards, arsenals, and ammunition plants).

The Readiness and Management Subcommittee has oversight of several budget accounts

including O&M, BRAC, readiness (including conventional ammunition procurement); military

construction (including family housing); RDT&E support programs (including ManTech);

working capital funds; and the National Defense Stockpile Fund. It exercises oversight of the

Defense Logistics Agency;16 the Defense Finance and Accounting Service; the Defense

Investigative Service; the Defense Contract Audit Agency; and the DoD Inspector General.

(5) Seapower:

Republicans (4) Democrats (3)

Olympia J. Snowe—Chair

John McCain

Bob Smith

Jeff Sessions

Edward M. Kennedy—Ranking Member

Charles S. Robb

Jack Reed

The Seapower Subcommittee is responsible for Navy and Marine Corps programs and

procurement and RDT&E accounts (less tactical aviation); strategic lift programs (including

Army and Air Force programs); and the U.S. Coast Guard and maritime issues. It exercises

oversight of the Unites States Transportation Command (USTRANSCOM; see Volume IV

Chapter 7). It also exercises oversight of National Defense Sealift Fund.

(6) Strategic:

Republicans (6) Democrats (5)

Bob Smith—Chair

Strom Thurmond

James Imhofe

Wayne Allard

Tim Hutchinson

Jeff Sessions

Mary L. Landrieu—Ranking Member

Jeff Bingaman

Robert C. Byrd

Charles S. Robb

Joseph I. Lieberman

The subcommittee has responsibility for nuclear forces; intelligence, space, and Ballistic

Missile Defense programs; and DoE defense nuclear and environmental programs. It oversees

the following budget accounts: nuclear forces and space systems procurement and RDT&E; 054

intelligence activities; Tactical Intelligence and Related Activities (TIARA); and Joint Military

Intelligence Programs (JMIP).

The Strategic Subcommittee exercises oversight of several DoD and DoE officials

including the Assistant Secretary of Energy (Military Programs); the Assistant Secretary of

Energy (Environmental Management), and the Assistant to the Secretary of Defense for Atomic

 foreign sources of these materials were no longer available. During the Cold War, the stockpile was substantially larger

than at present; a large amount of the stockpile has been sold off over the past decade.

16 DLA has been designated a Combat Support Agency under the provisions of Section 193, Title 10, U.S.C., which requires

special assessments by the Chairman of the Joint Chiefs of Staff. The results of these assessments are presented to the

Secretary of Defense for action as appropriate, not to the SASC or the Readiness and Management Support Subcommittee.
15

Energy. It exercises oversight for the Defense Nuclear Facilities Safety Board; The United

States Strategic Command (USSTRATCOM);17 the United States Space Command

(USSPACECOM);18 the Defense Intelligence Agency (DIA);19 the Ballistic Missile Defense

Office (BMDO); the National Reconnaissance Office (NRO); and the National Imagery and

Mapping Agency (NIMA).20

5. Formal National Security Process Involvement.

A. Overview of the Legislative, Committee, and Subcommittee Processes:21

(1) Formal Legislative Process: (See the process map at the appendix for a

description of this process.) The Senate operates under a set of rules. However, it operates most

effectively when it waives its rules, usually through unanimous consent or senatorial courtesy.

The Senate operates primarily through two types of majority rules: the first is a simple majority

(51 Senators); the second is a super majority that can invoke cloture (60 Senators). The latter is

necessary to cut off debate and bring issues to a vote; the former is usually sufficient to pass

legislation.22

Each year, thousands of legislative proposals are introduced in Congress; however, only a

small percentage of proposals that are introduced in the Senate and placed before Committees

reach the floor for deliberation, amendment, and full-Senate decisions. The Committee system is

designed to select from this vast number those proposals that are deemed most important for the

nation. The expression "died in Committee" applies to the greatest number of annual proposals.

Senators may introduce legislation, either on their own initiative, or on behalf of

individuals and/or groups. Most legislative proposals (which take the form of bills or

resolutions) come from several sources, including the Executive Branch.23 For example, the

President proposes legislation in his State of the Union message, his budget, and in executive

communications to Congress. Executive Branch Departments and Agencies may also make

proposals, which are filtered through the Office of Management and Budget (OMB). (See also

Volume II, Chapter 3 on the Office of Management and Budget.)

 

17 For a description of the Unified Commands such as STRATCOM and SPACECOM, see the section entitled Unified

Commands in the volume entitled Department of Defense.

18 For a description of the responsibilities of USSTRATCOM and USSPACECOM see section entitled The Unified

Commands.

19 For a description of DIA, see section entitled The Defense Intelligence Agency.

20 DIA and NIMA have been designated Combat Support Agencies under the provisions of Section 193, Title 10, U.S.C.,

which requires special assessments by the Chairman of the Joint Chiefs of Staff. The results of these assessments are

presented to the Secretary of Defense for action as appropriate, not to the SASC or the Strategic Subcommittee. (See the

section entitled Office of the Secretary of Defense in the volume entitled Department of Defense for a complete listing of

combat support agencies.)

21 See Marlowe. Dove, Robert B. (Parliamentarian, U.S. Senate; hereafter Dove). Enactment of a Law. http://thomas.loc.gov.

and Congressional Research Service. The Committee System in the U.S. Congress, 1994 www.sen.gov/committees.

22 Constitutional exceptions to the simple majority rule include overriding a Presidential veto, conviction in an impeachment

proceeding, and treaty ratification which require a 2/3rds majority for passage.

23 Bills are general legislative proposals. Resolutions are "used primarily to express the sense of the Senate. . .or to take care

of "housekeeping" matters, including changes in rules, that apply only to the Senate." Joint Resolutions have the same effect

as bills. Concurrent resolutions express the sense of Congress; affect housekeeping activities common to both houses; or

modify the language of a proposal already passed by one house. See Dove.
16

In the Senate, legislative proposals, regardless of source, can only be introduced by

Senators, acting either on their own or "by request."24 They are introduced during the period

known as "morning hour," although rules usually accommodate bill introduction at any time

during a legislative day.25 In the Senate, bills and resolutions have only one principal sponsor,

but it is common for other Senators to co-sponsor proposals. Co-sponsorship can be partisan or

bipartisan, and it is important for moving bills through the system.

Once introduced and recorded the Presiding Officer of the Senate refers proposed

legislation to the appropriate Committee where it is placed on the calendar. Where it falls on the

calendar is an indication of how seriously the Committee Chair intends to pursue it. Usually

proposals are further allocated to Subcommittees for study and subsequent report to the full

Committee. What happens next depends on whether the Committee and Subcommittee chairs

are favorably disposed toward the legislation.

 If they oppose the legislation, or do not assign it a high enough priority on the calendar,

the bill will languish in Committee; unless extraordinary measures are taken, it will not be

considered by the full Senate.26 When the Committee does not consider a bill or resolution, the

matter may be dropped, or it may be reintroduced at the next session.

Whether a bill is considered often depends on who sponsors and co-sponsors it and their

relationship with the Chair. If many Committee members co-sponsor a bill, it has a better chance

of moving through the Committee process, for example. Even if the Chair opposes it, he/she

may not be willing to engage in the divisive politics of refusing to consider the measure. If the

President and the Committee Chair are of the same party, the bill is likely to have a better chance

because the Chair may not want to risk partisan infighting. If the President and the Chair are of

different parties, the bill may still receive a hearing, but the hearing may be hostile and designed

to embarrass the Executive Branch.

If the Committee or Subcommittee Chairs are disposed to consider and report a Bill out

of committee for floor deliberation, they use essentially the same procedures. The Chair may

first ask for written comments from the Executive Branch. If the proposed legislation has been

passed to a Subcommittee, the next step is for the Subcommittee to hold hearings in which

witnesses provide both written and oral testimony. Based on the outcome of these initial steps,

the Subcommittee will "mark up" the bill or resolution—that is a line-by-line or section-bysection review that includes amending the original language (and often the intent) to bring it in

line with Committee and Subcommittee member preferences.27 Mark ups may be open to the

public, or, if classified information is discussed (as it often is for intelligence programs that are

part of the DoD Authorization bill), they may be closed. Generally, most of the actual line-byline review is done by the staff, who identify key passages and recommend alternative language

 

24 Bills introduced on behalf of the Administration, private groups, or private citizens are annotated "by request." A Senator

introducing such a bill may do so as a courtesy, and may not actually favor the legislation. For example, Administration bills

are traditionally introduced by the Committee Chair having jurisdiction, even though the Chair may be from the opposing

party.

25 Technically, a legislative "day" is the time from one adjournment until the next adjournment and usually includes a number

of calendar days.

26 There are parliamentary mechanisms for end-running committee chairs, but the are rarely used because using them is

considered a "slap" at the Chair, which is likely to redound to the initiator's disadvantage at a later point.

27 Not all Senate Committee Chairs allow their Subcommittees to conduct mark ups. In the Committee on Foreign Relations,

for example, mark ups are conducted only by the full Committee according to Committee staff.
17

and other amendments to Senators. The staff is especially influential in resolving the many small

issues that are not of interest to Senators.

When a majority of Subcommittee members approve the marked up version, it is sent to

the full Committee. If the Committee Chair elects to consider the bill, it goes through a similar

mark up (including introduction of amendments by Committee members),28 and is then voted on

by the entire Committee. Once the Committee approves the bill by a simple majority vote, the

Committee staff prepares a draft of the bill that reflects Committee changes, which is sent to the

full Senate for deliberation. The full Committee reports out most bills passed in Subcommittee

(usually with some modifications); the full Committee rejects a few; and the Chair may not allow

the full Committee to consider others.

Usually, bills sent to the floor are accompanied by a written report (prepared by the

Committee staff) that explains the Committee's actions and intent, describes the rewritten bill,

and makes arguments for passage.29 Senators voting in the Minority on a bill that is reported out

of Committee may also provide a written report that states their views. Once on the floor, the

Committee Chair (and/or a Senator(s) designated by him) manage the bill or resolution during

floor deliberations. The Committee staff assists floor managers by building support with the

staff of Senators who are not members of the Committee, preparing floor remarks, and

overseeing additional amendments, including Committee Amendments offered by the Chair to

offset the effects of other floor amendments.

Once the entire Senate has passed a bill, it is sent to the House of Representatives for

consideration and action.30 The House uses a similar process for Committee consideration, and

action, but its rules and procedures differ. Once the House has completed action on the Bill, and

if it does not agree with the Senate Bill, a Conference Committee is appointed by each body to

reconcile differences between the two versions.31 During conference, the majority of differences

are worked out by staff; however, Conference Committee members are personally involved with

important issues that defy staff resolution. At the conclusion of the Conference, either the House

or the Senate prepares the Managers' or Conference Report and the reconciled bill is returned to

each chamber for consideration without amendment. Generally, the House takes action on the

conference bill first, then sends it to the Senate.

When both chambers pass the bill, it is sent to the White House for the President's

signature (or veto). If the bill becomes law, the Committee that initially considered the

legislation normally has oversight responsibility to ensure the Executive Branch adheres to its

provisions unless other arrangements are made. For example, the SASC has oversight authority

over the Defense Authorization bill, which applies to DoD and can hold oversight hearings and

conduct investigations to ensure the bill's requirements are adhered to by the Administration. As

noted in the description of Subcommittee jurisdictions in paragraph 4.E., the Committee and its

 

28 Amendments may be considered individually or en bloc, depending on Committee rules and the desires of the Chair.

29 Reports are numbered consecutively, beginning with the first report or a Congress, and do not match bill numbers.

30 The exception to this is if the Senate is considering a bill or resolution that originated in the House of Representatives. In

that case, once the Senate version of the measure is passed by the Senate, the measure goes to Conference.

31 In the case of most authorization bills, the Senate and House begin work on them independently, but almost simultaneously.

Although informal contacts may keep members apprised of what the other chamber is doing, there is no formal collaboration

until the conference. For appropriations measures, the Senate normally awaits the House version, then amends that bill.

The amended appropriations bill becomes the basis for conference.
18

Subcommittees have oversight authority over a number of DoD and DoE activities, programs,

and budgets.

(2) Hearings: Hearings are one of the most visible and effective formal methods

for Committees to exert influence over the seven Key Processes identified by the U.S.

Commission on National Security.32 Typically, hearings on legislative proposals other than

Authorization bills begin in the appropriate Subcommittee; however, they also occur at meetings

of the full Committee, especially in the authorization process. According to its 1999 schedule,

the full committee conducted 42 hearings during the period January through November 1999.

Subcommittees held varying numbers of hearings during the same time period.33 Members of

both parties may recommend witnesses, and all Senators may question them for specified periods

of time, depending on the rules that are in force. Hearings may be supplemented by staff

research. Occasionally, this research will take on the proportions of a major study (e.g., the staff

study that accompanied the Goldwater-Nichols Act of 1986, which reformed DoD.) In a given

legislative year, some hearings will focus on a theme (e.g., ballistic missile defense), and there

will be multiple hearings on these topics.

In addition to hearings on bills, Committee and Subcommittees hold hearings for other

reasons that include spotlighting particular issues. This type of hearing may include oversight

hearings and focus on a particular issue, program, or Executive Branch action in relation to the

appropriate law. Hearings are also conducted to fulfill the Committee's advice and consent

responsibilities—in this case with respect to Department of Defense senior officials and senior

officer promotions. Hearings may be conducted as a way of scrutinizing Administration actions

or pressuring the Administration to act in certain ways.

For example, the SASC has jurisdiction over military personnel matters, thus it can—and

has—held hearings that are designed to shape Administration policy with respect to pay and

personnel readiness. It can do the same with overall military readiness, and recently did so by

requiring testimony on the readiness of the Services from the Chairman and Joint Chiefs of Staff.

Committee and Subcommittee Chairs have broad latitude in structuring hearings

regardless of type. They often have the final decision on witnesses and they often organize or

"stage manage" proceedings so that testimony supports their position. Usually, Senators from

the Minority party will have some latitude to negotiate for their own witnesses, and/or they may

treat those witnesses chosen by the Majority in a hostile manner.

Committee and Subcommittee staffs usually prepare packets prior to hearings that

include copies of the witnesses' written testimony and suggested lines of questioning.34 Separate

packets are often prepared for Majority and Minority Senators and reflect Chair (or Ranking

Member) and party views. During and following hearings, the staff tracks and collects questionfor-record responses from witnesses (i.e., those responses to questions for which the witness will

provide a written answer). The staff also maintains a hearing file, which includes research,

 

32 Committee staff indicates that they believe most of what they do falls into policy, oversight, and program/activity

authorizations. However, the description of Committee activities for this report places Committee activities and products in

the USCNS/21-directed format.

33 http://www.senate.gov/armed_services/hearings.htm.

34 Most witnesses submit written testimony prior to hearings and their oral testimony summarizes the printed text. Instructions

prepared by committees prior to hearings encourage witnesses to keep their opening statements brief, leaving Senators

ample time to question witnesses.
19

written testimony, transcripts, and other information both for historical record and future

research. At some point after hearings are concluded, the staff will prepare a hearing report, one

of several types of reports issued by Committees.

(3) Reports: Reports provide information, instructions, and rationale for

Committee decisions. There are several types of reports.

(a) Hearing Reports, produced by Committee or Subcommittee staff,

record the testimony, questions, and answers from hearings. They are historical records of

events, and the Committee or Subcommittee does not usually vote them out. While they may

contain important information, they are not authoritative.

(b) Reports that Accompany Legislative Actions may be directive,

informational, and/or explanatory.35 They often contain directions for Executive Branch

activities, such as a requirement to conduct an investigation or prepare a report. These directions

are not legally binding, but are often honored by custom and tradition. The alternative to

honoring report directives is to risk having them included in law the following year, perhaps with

more stringent requirements. For example, if the Defense Department does not honor a report

direction for a semiannual report, it will usually find the requirement written into law the

following year with a requirement to submit the report quarterly. Reports that accompany

legislation often convey the sense of the majority of Committee members concerning issues and

draw public attention to them. The Subcommittee and Committee vote on these reports before

they are reported out to the full Senate.

(c) Reports that Accompany Nominations are similar to reports that

accompany legislative actions. They provide rationales for recommendations on nominees, and,

in controversial cases, may serve as a surrogate to provide views on Administration policy. There

is rarely a separate vote on these reports. The report usually "accompanies" the bill or

nomination that is voted out.

(d) Investigative Reports deal with specific matters, activities, or

programs over which the Committee has jurisdiction. If the Committee issues them they are

voted out. If the staff issues them, they may be voted out or released by the Committee Chair.

Investigative Reports may also be based on the work of the General Accounting Office (GAO) or

the various Department and Agency Inspectors General (IG) (e.g., directing the DoD IG to

conduct an investigation and provide the results to the SASC). Occasionally, authorization bills

require the Department of Defense Cost Analysis Improvement Group (CAIG) to analyze

particular programs and report the results to the SASC. (See Volume IV, Chapter 4.)

(e) Conference Reports describe the reconciliation agreements made by

conference committees concerning specific legislation. Conference reports contain requests and

directives that, while not law, are customarily honored. They are prepared by either the House or

the Senate, usually on a rotating basis, and they accompany the reconciled legislation to each

chamber.

 

35 Not all committees are alike in terms of the information that is placed in reports. According to interviews, the Senate

Foreign Relations Committee does not often include directions in its reports, while the SASC does. (See also Chapter 9 in

this volume on the Senate Committee on Foreign Relations.)
20

B. Strategy Development:

(1) Major Activities: Although the SASC does not participate directly in

internal Administration processes that develop national security strategy, hearings, reports,

and studies can influence the Administration's strategic options. The Committee and its

Subcommittees can influence strategy development in a number of ways.

Formally, by holding hearings the Committee can spotlight important strategic issues.

Through the hearing process and subsequent reports (described in paragraph 5.A.), the

Committee can influence the Administration's choice of strategic options by identifying those it

supports and those it considers unacceptable. It can also issue Committee and staff reports that

spotlight issues and help focus public attention on strategic options and policies. This may push

a strategy debate into the public eye, or it can influence a debate in favor of (or against) a

specific proposal.

By constructing authorization bills and bills that regulate various aspects of national

defense (such as the organization or structure of agencies and Departments, the legal authorities

of the agencies, and the individuals allowed to hold high office via the confirmation process), the

Committee can affect the Administration's strategic options and its resources to carry them out.

By using the "power of the purse," the SASC can influence strategy development by the amount

of funding it authorizes for various Executive Branch departments, agencies, organizations,

programs, or activities. According to Committee Staff, the most effective way to influence

Administration behavior and shape its actions is by placing restrictions on funding.36 Through

conferences to reconcile differences in House and Senate versions of authorization bills, Senators

can influence House members to accept their views.

The Constitutional responsibility for "advise and consent" grants the Committee

significant influence over various policy and personnel issues via hearings and consideration of

nominations. The ability to question, delay, or deny a President confirmation of a specific

 

36 Interview with SASC staff.

Strategy

Development

Policy, Guidance,

and Regulations

Planning

Mission Execution

Observation, 

Orientation,

and Oversight

Preparation

Resourcing

Products

Hearing Reports    

  

 

 

 

 

 

Roles Advice & Consent      Products

Hearing Reports 

Bill/Resoultion Report

Cmtee/Staff Reports

Conference Report

Subpeonas

Nomination Reports

Cmtee Amendments
21

individual for high office—or to extract promises from the nominee or Administration in return

for a favorable recommendation—is a significant lever. During these hearings, Senators may be

able to extract promises from nominees that affect strategy and policy matters. Although these

promises may not be legally binding, they may serve as a "hook" for future debate. Second, the

SASC may conduct hearings on treaties, even if those treaties are more properly the province of

the Committee on Foreign Relations. The SASC's views on a treaty's impact on national security

will strongly determine if the Senate approves it. Since at least 1970, no treaty that the SASC

has opposed or about which it had strong reservations has either passed or passed without

revisions. In this way, the Committee can shape Strategy Development by indicating the limits

of acceptability.

In addition to these measures, if the Committee Chair is powerful and well respected in

the Senate, the Administration may discard some strategic options that the Chair opposes if they

are seen as politically risky in terms of Senate approval. This is not to suggest that

Administrations are unwilling to challenge Committee Chairs on matters the Administration

believes are important. The evidence suggests the opposite to be the case. However, during

strategy development, Administration officials are likely to take into consideration the prevailing

sentiment on the Hill as reflected in a powerful Chair's pronouncements.37 This is especially

true, given the Committee's authorizing power, which can influence structure and operating

procedures or place limits on how funds can be expended for strategy implementation. (See also

paragraph 5.H. below.)

(2) Major Stakeholders: The Executive Branch (especially the Defense

Department and related activities), various political constituents, and special interest groups

(such as political action groups representing the interests of a country or region) depending on

the issue.

(3) Key Organizational Processes: Committee and Subcommittee level hearings

and reports as described in paragraph 5.A.

(4) Associated Higher-Level Processes: Authorization and Appropriations laws.

(5) Associated Lower-Level Processes: Preparation of the National Security

Strategy and other major strategy documents by the Executive Branch.

C. Policy, Guidance, and Regulation:

(1) Major Activities: The Committee influences Policy, Guidance and

Regulation through reports and legislation.38 By reporting out of Committee and achieving a

majority vote on the floor of the Senate, bills and accompanying reports make policy and craft

regulations. For example, the Goldwater-Nichols Act significantly changed Defense Department

policy on a number of issues. See paragraph 5.A. for a description of Committee and

Subcommittee processes.

 

37 For example, according to a former Senator, when Senator Nunn chaired the Senate Armed Services Committee, his

reputation and ability to influence other senators on defense matters was such that Administration officials considered how

he would react to policy and strategy matters during formulation.

38 Committee staff would define most of what is discussed under the strategy and planning sections as policy.
22

(2) Major Stakeholders: The Executive Branch and various political

constituencies.

(3) Key Organizational Processes: Committee and Subcommittee level hearings

and report preparation as described in paragraph 5.A.

(4) Associated Higher-Level Processes: Authorization bill preparation.

(5) Associated Lower-Level Processes: Administration-proposed legislation.

D. Planning: The SASC has no direct involvement in national security planning.

However, it has the ability to influence virtually any national security planning matter.

This often occurs through the advice and consent process, when a specific Senator seeks to

support or oppose a plan, or as the result of informal alliances between individual senior

Executive Branch officials and Senators. The public debate on various plans that can occur

in hearings or debates, especially those covered by the Constitutional "speech and debate"

clause can be used to influence Planning functions.

E. Mission Execution: The Committee on Armed Services has no direct involvement in

mission execution. However, it can exert influence on how the Administration manages ongoing

missions through hearings, introduction of legislation that supports or impedes operations, and

funding restrictions. Knowing that the Committee may take up (and perhaps limit through

authorization language) important Administration actions during an ongoing mission can act as a

brake on Administration options. In the extreme, it is conceivable that the Committee could

refuse to authorize appropriations for an ongoing operation, although it has traditionally

supported fielded forces, even when it disagrees with the policy that fielded them (see paragraph

5.H. below).

F. Observation, Orientation, and Oversight:

(1) Major Activities: The Committee fulfills its oversight responsibilities by

conducting hearings, conducting investigations (or causing them to be conducted), and preparing

reports. See paragraphs 5.A. and 5.C. See also the discussion of authorization procedures in

paragraph 5.H.

As noted in paragraph 4.E., the Committee and its Subcommittees have oversight of:

(a) Army, Navy, Air Force, and Marine Corps procurement and RDT&E

accounts;

(b) Technology base RDT&E accounts;

(c) Information Warfare RDT&E accounts;

(d) RDT&E and procurement accounts that support special operations,

counterdrug operations, low intensity conflict, and peacekeeping operations;

(e) RDT&E for counterterrorism, chemical and biological warfare;
23

(f) Nunn-Lugar Cooperative Threat Reduction funding;

(g) DoE nonproliferation programs;

(h) Military personnel accounts (including military retirement, Defense

health care, and O&M related to personnel and health care);

(i) DoD Under and Assistant Secretaries and DoE's Assistant Secretary for

Military Programs, Assistant Secretary for Environmental Management, and Assistant to the

Secretary of Defense for Atomic energy;

(j) Operations and Maintenance accounts;

(k) BRAC accounts;

(l) Readiness accounts (including conventional ammunition procurement,

military construction, and family housing);

(m) RDT&E support programs;

(n) Working capital funds;

(o) National Defense Stockpile Fund;

(p) Nuclear forces;

(q) Defense space systems procurement and RDT&E;

(r) Intelligence activities and programs (including TIARA and JMIP); and

(s) The following agencies, organizations, and activities:

(i) Defense Advanced Research Projects Agency;

(ii) Defense Threat Reduction Agency;

(iii) Defense Security Cooperation Agency;

(iv) The U.S. Special Operations Command, the U.S.

Transportation Command, The U.S. Strategic Command, and the U.S. Space Command;

(v) Defense Commissary Agency;

(vi) The Army and Air Force Exchange System;

(vii) The Navy Exchange;

(viii)The Marine Corps Exchange;
24

(ix) The Uniformed Services University of Health Services;

(x) The Armed Forces Retirement Home;

(xi) The Defense Logistics Agency;

(xii) The Defense Finance and Accounting Service;

(xiii) The Defense Investigative Service;

(xiv) The Defense Contract Audit Agency;

(xv) The Department of Defense Inspector General;

(xvi) The Defense Nuclear Facilities Safety Board;

(xvii) The National Security Agency:

(xviii)The Defense Intelligence Agency;

(xix) The Ballistic Missile Defense Office;

(xx) The National Reconnaissance Office; and

(xxi) The National Imagery and Mapping Office.

The Committee's oversight authority also extends to nominations for senior Defense

Department officials.39 In dealing with these responsibilities for vetting the nominations of

senior officials, the Committee customarily holds hearings and prepares reports that present the

views of the Committee Chair and a majority of Committee members. If the Committee

recommends that a nomination be considered, the full Senate usually accepts that

recommendation. Similarly, if the Committee recommends that a nomination be rejected, the

full Senate often concurs. 

(2) Major Stakeholders: Executive Office of the President; Department of

Defense; Presidential nominees; various political constituents.

(3) Key Organizational Processes: Committee and Subcommittee level hearings

as described in paragraph 5.A.

(4) Associated Higher-Level Processes: Confirmation of nominations,

authorization and appropriations.

(5) Associated Lower-Level Processes: Administration processes for preparing

nominations.

 

39 Such as the Secretary of Defense, the Deputy Secretary, the Under Secretaries, the Assistant Secretaries and all promotions

of commissioned officers, although it does not usually hold hearings on the promotions of non general officers.
25

G. Preparation: The SASC has no direct involvement in national security preparation,

although provisions of authorization language may affect the way in which Executive Branch

entities prepare. For example, an authorizing bill may direct that certain training be provided to

military officers or assign roles to a Service that requires specialized preparation.

H. Resourcing:

(1) Major Activities: All of the Committee's products have resource implications.

The Committee produces the Defense Department authorization bill and some authorizing

legislation for the Department of Energy and the intelligence community. Authorizing

legislation constitutes the legal basis for Department and Agency operations, structures

Departments and Agencies, prescribes responsibilities, and authorizes Appropriations

Committees to fund programs, such as weapons procurement. In essence, it tells Departments

and Agencies what they can commit funds to, and it tells appropriations subcommittees how

much funding to allow.

Theoretically, Appropriations Committees cannot appropriate funds without authorizing

legislation, nor can they appropriate funds in excess of the amounts authorized when amounts are

specified. Also, if the Authorizing Committee places restrictions on the use of funds,

Appropriating Committees usually honor it. Conversely, appropriations measures are not to

contain authorization—or legislative—language. In practice, however, the distinctions are

blurred. Appropriators routinely include legislative provisions in appropriations bills,

sometimes with the approval of authorizers and sometimes without it. During interviews, staff

members noted that this can be a point of tension between the Committees, especially if the

Appropriators include language that countermands authorizing language.

 In addition to authorizing the expenditure of funds, the SASC can organize and structure

organizations, and authorization bills often contain directives or proscriptions with respect to

responsibilities and actions. They also can establish operational processes and procedures;

specify personnel policies; and direct the Department or Agency to conduct studies and provide

reports, inter alia.

40 And they can require interaction with other Departments and Agencies.

In terms of resourcing, authorizing legislation usually provides an indication of funding

levels, either specifically or in general. Authorization bills are "ceilings," appropriations bills are

"floors." An authorization act may make a specific amount of money available and restrict its

use to certain activities. For example, "for fiscal year 1998, the amount of $331,000,000 is

available for long-lead activities related to the procurement of additional B-2 bomber aircraft."41

In these cases, the Appropriations Committees may not appropriate more than that amount,

although it may appropriate less. Or, Authorizing legislation may be general: "Notwithstanding

section 3302, of Title 31, United States Code, the Secretary may retain the proceeds from the

sale, lease, or disposal of an asset. . .[and] utilize amounts retained under this paragraph to defray

the cost of the sale, lease, or disposal."42 Authorizing language may be restrictive: "The

 

40 How effective report requirements are is a matter of conjecture. Unless there are specific provisions, Executive Branch

organizations may respond in the briefest possible manner.

41 National Defense Authorization Act for Fiscal Year 1998, Section 131.

42 National Defense Authorization Act for Fiscal Year 1998, Section 3138.
26

Secretary of Defense may not obligate or expend funds during this fiscal year to provide support

under this section to a government described in subsection (g)."43

Finally, authorization bills (and more frequently accompanying reports) contain

"earmarks." Earmarking is a technique by which funds are authorized for a particular program or

activity, reflecting a Senator's interest in that program and his/her ability to generate support for

it among colleagues. (See Chapter 7 in this volume.)

Generally, authorizations do not extend beyond a few fiscal years, and often are made for

only a year (although some authorizations are permanent and continue until modified by new

authorizing legislation). Limiting the length of authorizations allows the SASC an opportunity to

review Department and Agency performance frequently. As one observer noted, "temporary

authorizations are a short leash Congress can pull to compel changes in an agency's policies or

actions."44 Yet, despite formidable rules, appropriations do occur even when there is no current

authorization—and sometimes in spite of authorizing language. The Department of State, for

which the last authorizing bill was passed in 1993, serves as an example. Appropriating in the

absence of authorizations is not unconstitutional per se.

Because both chambers must pass identical bills before sending them to the President for

signature, House-Senate Conferences occur routinely. When the SASC reports out an

authorization bill that is then passed by the Senate, the Senate leadership, in consultation with the

Chair and Ranking Member of the Committee, appoint Senators to meet with Members of the

House Committee of Armed Services to reconcile differences in the House and Senate versions.

These conferences typically require several meetings, which may or may not be held on

sequential dates. In other words, a conference might begin in July and not conclude its business

until September, although it does not meet each day during that period, and often may not meet

formally for weeks. Usually, most compromises are brokered by staff during informal sessions,

and presented to Senators and their House counterparts for approval. When one side agrees to

accept the language proposed by the other, it is said to have receded to the point. While receding

is common and occurs as a result of compromises, sometimes conferees craft language that is

different from what either chambers' bill contained at the outset of the conference. Normally, the

Conference does not consider matters or language that are "out of scope" although exceptions are

possible depending on the circumstances, the issues, and the politics of the issue.

Once the conference resolves differences, a common version of the bill (together with a

conference report that describes the compromises made during conference) is provided to the

respective chambers for deliberation and approval. Once both houses pass the measure, it is sent

to the White House for the President's signature to become public law or it is vetoed. A vetoed

bill is returned to the House of Representatives or the Senate, whichever is the house of origin,

and may be overridden by two-thirds of the body. If the first house overrides a veto, the second

house considers it. If both houses override the President's veto, it becomes law without his

signature. A bill may also become law if the President fails to act on it and does not return it to

Congress within 10 days, but this is a rare occurrence.

 

43 National Defense Authorization Act for Fiscal Year 1998, Section 1033.

44 Schick, p. 117.
27

In recent years, the Appropriations Committee has waited for authorizing legislation

before preparing and considering appropriations. This process is often nearly independent of the

authorizing deliberations.45 (See Chapter 7 in this volume.)

(2) Major Stakeholders: Executive Office of the President; Department of

Defense and related activities and agencies; special interest groups; "think tanks" and various

political constituents.

(3) Key Organizational Processes: Committee and Subcommittee-level hearings

and reports; staff investigations as described in paragraph 5.A.

(4) Associated Higher-Level Processes: Appropriations.

(5) Associated Lower-Level Processes: Administration processes for preparing

budget requests and proposing legislation.

6. Informal National Security Process Involvement. There are no informal processes that are

so fixed that they apply across a large number of events. Most informal processes are focused on

information gathering and issue resolution and are different depending on the situation. Some

general informal processes are described in the following subparagraphs.

A. Contacts with Administration Officials: In addition to formal hearings, written

testimony, and written responses to questions, informal contacts with Administration officials

occur throughout the process. Both Senators and staff members hold informal discussions, and

part of the purpose of these contacts is to determine true needs and to separate them from niceto-have programs. These contacts go well beyond the formal legislative affairs offices, and

provide Senators and staff with ranges of options and with the basis for trade-offs during formal

negotiations. These contacts include visits to bases and foreign travel. While important for both

chambers, in the case of the Senate informal contacts help determine the best options and permit

Senators to gauge the effect of their actions or proposals without recourse to more formal

mechanisms such as hearings and subpoenas. Additionally, informal contacts with

Administration officials provide an opportunity for Senators to influence Administration choices

and behavior with respect to policy and budget matters.

Informal contacts with administration officials give those officials the opportunity to

voice opinions that are contrary to the President's policies and priorities. No Administration is a

monolithic organization, and senior officials will often disagree with official positions. It is risky

for them to volunteer information during hearings, and they cannot testify to their views because

the Office of Management and Budget screens testimonies and is unlikely to allow dissenting

opinion. (See section Volume II, Chapter 3, on the Office of Management and Budget.)

However, through informal discussions, Senators are able to hear these views and include them

in their decision making calculations. On occasion, informal exchanges lead to questions during

formal hearings which Administration witnesses are then bound to answer truthfully. Finally the

SASC requires the "professional views" from senior military witnesses even if they differ from

the Administration in power.

 

45 The authorizing-appropriating formula is not enshrined in the Constitution but originated in the mid-1860s. Before that

time, single committees both authorized and appropriated, usually in one piece of legislation. Because the system is a

creation of Congress, Congress could change it if it so desired, and it sometimes chooses to ignore it altogether.
28

B. Contacts with Other Senators: If a Senator is a member of the Committee on

Armed Services, getting his/her priorities considered and into a bill for which the Committee has

jurisdiction is not difficult. Generally, the Subcommittees honor requests by their members and

those of other Committee members. For Senators who do not serve on the Committee, the task is

more daunting. Each year the number of requests exceeds capacity, which requires Senators on

the Subcommittees to make choices among competing requests from their colleagues. As a

result, "trades" between members commonly occur. Recently, there has been a trend toward

ensuring that every member receives at least some of what he/she requests in order to ensure

support for bills on the floor and to build alliances for other matters. Attempts to do this are

marked by personal negotiations between Senators and between their staff representatives.

C. Contacts in Conjunction with House-Senate Conferences: When conferences

occur, there is a large amount of informal deal making and trading between members of both

chambers, either directly or through their staffs. It is not uncommon for Senate and House

personal and professional staff members to meet on behalf of their principals. This simplifies the

agendas for conferences, resolves questions of fact, and leaves Senators and Representatives free

to discuss significant issues that defy resolution at staff level. The magnitude of these

compromises is not trivial. Reports that accompany authorization acts, for example, typically

include thousands of items in which the language of the Senate and House versions differed.

Most of these are worked out through staff negotiations which members subsequently endorse.

D. Influencing the Public: Senators routinely use press releases, speeches, interviews,

floor debates, and other means to influence public opinion either in support of or opposition to

high-priority issues. Enlisting public opinion helps Senators achieve their legislative agendas

and often raises the quality and scope of debates on important issues.

E. Jurisdictional Matters: The SASC and the Senate Committee on Foreign Relations

have similar jurisdictions for some matters. This inevitably leads to jurisdictional disputes that

usually involve staff, but can escalate to include Senators if the issue involves treaties on arms

control or the military aspects of foreign policy. Attempts at resolving these disputes are usually

through informal staff meetings and conferences. Indirectly, these can affect national security

because they are often time-consuming distractions, and occasionally they result in conflicting

instructions in the Committees' respective Authorization bills.

7. Funding and Personnel.

A. Funding Sources: The SASC is funded through the Legislative Branch

appropriations as authorized by the Committee on Roles and Administration.

B. Budget: The budget for FY2000 is $3,796,030.46

C. Manpower: The 106th Congress had 19 Senators (11 Republicans and 9 Democrats)

and 30 Staff Members on the SASC.

 

46 S.Res 189, Section 3..
29

8. Observations.

A. Organizational and Process Forms: The processes and organization used by the

Senate and its Committees are a creation of the Senate. Although often slower than some believe

it should be, and while the Senate sometimes suspends its own rules, the system works as

effectively at the Majority desires, at least in terms of screening legislative proposals and

annunciating the views of Committee Chairs. Occasionally, the system leads to comprehensive

and rich debates on matters of extreme importance to national security, although it can also lead

to posturing. When legislation is delayed, it is most often because of political or policy

considerations or differences, not because of the way the Senate is organized or the processes it

chooses to prosecute its business.

B. Authorizations and Confirmations: One former member of the Senate remarked

during an interview that the Senate as a whole spends too much time on program funding and not

enough time deliberating policy and strategy. An examination of authorization acts seems to

confirm this assessment, as does an examination of authorization bills. However, the SASC also

devotes considerable attention to reviewing and evaluating Administration policy and strategy

during both formulation and implementation stages. The Committee does this through

authorization hearings and reports, hearings and reports on special issues, and hearings and

reports to confirm Administration nominees. Hearings and reports are powerful tools as well as

Committee products, and often involve spirited debate over national security issues. These

debates, in turn, inform the electorate.

Authorization legislation and accompanying reports deal not only with resourcing issues,

but also with other matters. Authorization bills can determine the structure of those

organizations involved with national security, shape policy and strategy, prescribe (or proscribe)

certain actions and activities. Committee recommendations and accompanying reports influence

the appointment of senior officials and the ratification of treaties. During confirmation hearings,

nominees' views and likely agendas are investigated. Senators will often try to shape nominees'

views and/or lay down markers as to what they will not accept in terms of policy and behaviors.

C. The Power of the Chair: Under Senate rules, Committee and sometimes

Subcommittee Chairs have tremendous authority over matters under their jurisdiction. By

determining which proposals will be reported out to the floor, by sanctioning authoritative

reports to accompany these proposals, and by managing floor debate, the Chairs often determine

which proposals will become the law of the land. The most powerful Chairs are those who are

subject matter experts and are respected by other Senators for their knowledge and judgement.

Seniority remains a significant element in the power of the Chair. At a time when some have

suggested that Senators are becoming more specialized, many Senators rely on consultations

with respected peers to determine how they will vote on issues.47 Personal relationships,

institutional prerogatives, state interests, and party politics are often important elements in this

process.

D. Executive Branch Consultations: Those interviewed noted that the Executive

Branch does not consult with Congress on important national security matters. This lack of

consultation is blamed for a number of Administration failures, most recently the

 

47 Interviews. Because issues are becoming more complex and more information is available about them, Senators often tend

to focus more on specific areas.
30

Comprehensive Test Ban Treaty. Both current staff and former Members agreed, while the

Administration sometimes informs Congress, real consultation is rare. The trend of

"informing" versus "consulting" with Congress is not unique to the current Administration.

E. Jurisdictional Issues: Although most committees have lists of their jurisdictions,

actual division of responsibilities is not clear-cut. There are overlapping issues that often involve

intense discussions and often are unresolved. In the case of the Senate Armed Services

Committee there have been a number of jurisdictional disputes with the Committee on Foreign

Relations, over policy issues. These disputes are often heated and usually time consuming.

However, jurisdictional disputes are indicative of the complexity of current national security

challenges, and should not be misconstrued as mere bickering.

E. Inter Branch Tensions: As one expert pointed out, Senators often have a much

broader view of the political situation than do Executive Branch Departments and Agencies,

although they frequently lack the depth that Department experts possess.48 This wider

perspective is the product of the fact that Senators are more attuned to the political realities upon

which their positions depend. Senators who serve on Committees such as the Foreign Relations

Committee and the Committee on Armed Services are aware not only of national security

matters, but of the domestic politics that directly or indirectly affect national security decision

making. Administration officials focus more narrowly on those matters that have an impact on

their organizations, and, because of the press of requirements, often do not consider political

issues as closely. Beyond political issues, the longevity and the scope of responsibility of

Senators are usually far greater than the individual Executive Branch officials responsible for

any given area.

 

48 Telephone interview, December 6, 1999.
APPENDICES
Appendix 1

Senate Armed Services Committee - Key Process - (Formal) - Policy, Guidance

President Senate Senate Armed Services Committee Chairman; Appropriate Senate

Armed Services Subcommittee

Appropriate Senate Armed

Services Subcommittee

Joint House and Senate Conference

Committee

Conference

Committee Staff OMB Executive Branch

Start Forward Legislative Proposal to OMB 

Introduce

Legislation During

"Morning Hour"

Refer Proposed Foreign

Relations Legislation to

Committee by Action of the

Presiding Officer of the

Senate

L

Conduct Markup of

Legislation

Approve

Legislation?

Prepare Draft

Bill Reflecting

Committee

Changes

Prepare Report

Explaining

Committee

Actions

Send to

Senate for

Deliberation

Convene Hearings

with Both W ritten and

Oral Testimony

*

Determine

Legislative

Importance and

Significance

Place Proposed

Legislation on

Committee

Calendar

Drop Legislation

or Reintroduce

Next Session

Consider

Legislation?

Ask for Written

Comments from

Executive Branch

Drop Legislation

or Reintroduce

Next Session

Convene Hearings

with Both W ritten

and Oral testimony

Conduct

Markup of

Legislation

Approve

Marked Up

Legislation?

Drop Legislation or

Reintroduce Next

Session

Report

Subcommittee

Findings to

Committee

Review Legislative

Requests from

Executive Branch and

Other Agencies

Provide Written and

Oral Testimony as

Needed

Forward Legislative

Proposal to OMB A

A

Yes

No

** Conference Committee consists of selected Senators.*** A similar process occurs in the House to pass a House version of the Legislation to be reconciled in the Conference Committee.**** The Conference Committee Staff of both the House and Senate alternate preparing joint legislation and committee report.

No

Yes

No

Yes
ORGANIZATIONAL DESCRIPTION

SENATE COMMITTEE ON FOREIGN RELATIONS

Prepared for the U.S. Commission on National Security/21st Century
2

EXECUTIVE SUMMARY

Senate Committee on Foreign Relations

Overview

The Senate Committee on Foreign Relations is an authorizing Committee, which

considers virtually all legislation on diplomacy and foreign affairs. Its jurisdiction includes:

• Elements of the activities of the Departments of State, Treasury, and Commerce;

• The diplomatic service (Foreign Service);

• Boundaries and borders;

• Foreign loans and economic, military, technical, and humanitarian assistance;

• Interventions and declarations of war;

• Measures to foster international trade;

• Treaties and executive agreements;

• U.S. participation in a number of international organizations; and

• Confirmation of ambassadors and other senior diplomatic personnel, inter alia.

As an authorizing Committee, the Senate Committee on Foreign Relations has influence

over the organization and structure, roles and responsibilities, and the amount of funding for

activities that come within its scope of authority. It conducts hearings and provides bills,

resolutions and reports on matters within its jurisdiction; conducts hearings and reports out

treaties negotiated by the Administration, other executive agreements with foreign states; and,

conducts hearings and reports out with recommendations on Presidential nominations of

ambassadors and senior officials.

Like most Senate Committees, the Committee on Foreign Relations plays an important

role in selecting which legislative proposals within its jurisdiction that the full Senate will

consider. In this role, the Committee:

• Schedules consideration of legislation;

• Conducts studies and hearings;

• Marks up the proposed bills and resolutions;

• Amends and votes on them at the Subcommittee and Committee level;

• Reports them out to the full Senate;
3

• Manages floor debate;

• Participates in conferences with Members of the House of Representatives;

• Reports joint bills/resolutions arrived at in conference to the Senate;

• Manages enactment of joint bills/resolutions on matters within its jurisdiction; and

• Provides oversight of matters enacted into law.

Committee and Subcommittee Chairs exercise a great deal of authority throughout.

Organization

The Committee is a Class A Committee under Senate rules. In the 106th Congress, it

consists of ten Republicans and eight Democrats, supported by a staff of 46. The Committee is

organized into seven Subcommittees:

• Western Hemisphere, Peace Corps, Narcotics, and Terrorism;

• International Economic Policy, Export, and Trade Promotion;

• European Affairs;

• East Asian and Pacific Affairs;

• International Operations;

• African Affairs; and

• Near Eastern and South Asian Affairs.

Most Subcommittees have both geographic and functional responsibilities (i.e.,

responsibilities for a geographic region such as Europe and for certain activities within that

region). Functional responsibilities include, trade, terrorism, crime, drug, and foreign assistance

programs. (The Subcommittees on International Economic Policy, Export, and Trade Promotion

and International Operations only have functional responsibilities, which parallel their titles.)

The most visible Committee and Subcommittee business is conducted through hearings

on legislation, treaties, and nominations and bill mark ups by the Committee. Under current

Committee practices the full Committee marks up bills and nominations, and there is no

Subcommittee mark up.
4

Role in Formal and Informal National Security Processes

Strategy Development. The Committee and its Subcommittees influence Executive Branch

strategy development in a number of ways. The Committee can spotlight important strategic

issues by holding hearings and providing hearing reports, and by issuing special Committee and

staff reports. By constructing authorization bills and bills that regulate various aspects of

international relations (such as arms control or import/export bills), including funding, it can

limit the Administration's strategic options.

Similarly, it can influence strategy development by the amount of funding it makes

available for various Administration agencies and activities. It can influence House actions

along these lines through conferences and conference reports. Through treaty and nominations

hearings (as part of its advice and consent role), it can focus attention on important issues and

select, delay, or turn down the president's nominations for ambassadorial and senior foreign

affairs positions. Finally, when attempts are made on the Senate floor to modify bills reported

out by the Committee, the Chair can introduce Committee amendments.

Policy, Guidance, and Regulation. Through debates, hearings, and hearing reports, the

Committee can affect Administration policy options and regulatory measures.

Planning. The Committee has no direct role in national security planning.

Mission Execution. Through bill and resolution reports, the Committee can affect the ways in

which the Executive Branch undertakes and manages missions. It can do this through

authorization bills or through other legislative measures, especially those that cut off funding.

Observation, Orientation, and Oversight. As was true of Strategy Development, the

Committee can make an impact in this area through hearings, debates, bills, and resolution

reports; nomination and treaty reports; Committee and staff reports; Conference reports;

Strategy

Development

Policy, Guidance,

and Regulations

Planning

Mission Execution

Observation, 

Orientation,

and Oversight

Preparation

Resourcing

Products

Hearing Reports    

  

 

 

 

 

 

 

Roles Advice & Consent      Products

Hearing Reports 

Treaty Reports

Bill/Resoultion Report

Cmtee/Staff Reports

Conference Report

Subpeonas

Nomination Reports

Cmtee Amendments
5

Committee amendments; and its advice and consent role. In Observation, Orientation, and

Oversight, the Committee also has the power to subpoena witnesses.

Preparation. The Committee can influence preparation by recommending in hearing reports that

certain actions to be taken.

Resourcing. All of the Committee's products can have resource implications, especially with

respect to authorization bills for the Department of State and related agencies and activities and

the Foreign Assistance Authorization Bill. However, the Committee has not reported out a State

Department Authorization Bill since 1993. Under Senate rules, authorization bills are necessary

to inform Appropriations procedures; however, appropriators occasionally act to fund programs

in the absence of authorizing language.

Informal processes primarily involve contacts between Senators and staff members with

Executive Branch officials, members of academia, political action groups, and constituents.

Senators use informal contacts to exert influence on legislation pending in the Committee on

Foreign Relations, in other Committees, and on the floor of the Senate. They also use informal

personal contacts to influence conference proceedings.

Other informal processes that affect national security include "trades" between Senators

and/or between Senators and Members of the House as part of negotiations. Members also issue

individual press releases about issues, or the Committee may issue them. These releases focus

attention on a particular issue and/or increase public awareness. Increased public awareness

could lead to increased pressure on colleagues or Administration officials and thus influence

their behavior. Senators also attempt to persuade (i.e., lobby) Administration officials to act in

certain ways (especially those in the Department of State), and they engage in dialogues with

constituents and special interests.

Observations

Given the tremendous number of legislative proposals presented each year, the

Committee system works well and ensures that only the most significant are brought to the

Senate floor for deliberation. Delays and failures are usually the result of political

considerations, not the system per se.

Hearings are a powerful tool and often serve as a focal point for key national security

debates. They highlight issues and generate support, and the resulting bills and resolution reports

can produce significant changes. For example, Authorization bills and accompanying reports

can require Executive Branch Departments to report on programs, processes, and procedures;

reduce or increase authorized funding; and earmark funds for particular purposes inter alia.

Through the provisions of bills reported out by the Committee, it can affect

Administration policy, organizational structures of the State Department and related

organizations, nominations for senior foreign affairs positions, and the resourcing of some

Executive Branch activities.

The Committee Chair controls Committee processes through personal interaction with

other Senators and by control over members of the Committee staff. Although there are often

compromises with Ranking Members from the minority party, the Chair has tremendous latitude
6

in scheduling legislation for consideration and calling hearings. In the Committee on Foreign

Relations, Subcommittee Chairs are less powerful than those of other Senate Committees and

much substantive business is conducted by the Committee as a whole.

The power and influence of Congressional Committees depends on a unique combination

of five factors: Committee jurisdiction; the issue under consideration; the politics surrounding

that issue; the personal position, influence, and demeanor of the Chair; and Committee norms

and traditions. Depending on circumstances, any one of these factors may be predominant for a

given event. For example, if the issue under consideration is one that threatens national security,

then the issue will have priority over politics, jurisdiction, the Chair, and the way matters have

been handled traditionally. Or, if the nation is concerned about an issue, then political

considerations may be primary. This description, while general and not without exception,

applies to the Committee on Foreign Relations.

Those interviewed noted that the Executive Branch does not consult with Congress on

important national security matters. This lack of consultation is blamed for a number of

Administration failures, most recently the Comprehensive Test Ban Treaty. Both current staff

and former Members agreed, while the Administration sometimes informs Congress, true

consultation is rare. The trend of "informing" rather than "consulting" with Congress is not

unique to the current Administration.

Staff of both the Committee on Foreign Relations and the Senate Committee on Armed

Services indicated in interviews that jurisdictional lines are blurred. Both Committees claim

responsibility for some areas and this overlap can lead to tensions that are not always healthy.

However, in a larger sense, jurisdictional spats are indicative of the complexity of current

national security problems and issues.
7

ORGANIZATIONAL DESCRIPTION

SENATE COMMITTEE ON FOREIGN RELATIONS

1. Legal Specifications and Authorizations.

Authorization: Committees are creations of Congress. There is no requirement for

Committees in the U.S. Constitution or in the U.S. Code. Instead, they are created by Congress

to enable it to carry out its constitutional responsibilities.

Senate Rule XXV applies to the establishment of Committees and Subcommittees.

2. Missions/Functions/Purposes.

A. Major Responsibilities: The Committee on Foreign Relations, an Authorizing

Committee, has jurisdiction over the following matters:1

(1) Acquiring land and buildings for embassies and legations [Key Processes

Relation: Observation, Orientation, and Oversight; Resourcing];

 (2) U. S. Boundaries [Key Processes Relation: Observation, Orientation, and

Oversight];

(3) The U.S. diplomatic activities [Key Processes Relation: Strategy

Development; Observation, Orientation, and Oversight];

 

(4) Foreign economic, military, technical, and humanitarian assistance [Key

Processes Relation: Strategy Development; Observation, Orientation and Oversight;

Resourcing];

(5) Foreign loans [Key Processes Relation: Observation, Orientation, and

Oversight; Resourcing];

(6) International activities of the American National Red Cross and the

International Committee of the Red Cross [Key Processes Relation: Observation, Orientation,

and Oversight];

(7) International aspects of nuclear energy, including nuclear transfer policies

[Key Processes Relation: Policy, Guidance, and Regulation; Observation, Orientation, and

Oversight];

(8) International conferences and congresses [Key Processes Relation:

Observation, Orientation, and Oversight];

(9) International law as it relates to foreign policy [Key Processes Relation:

Observation, Orientation, and Oversight];

 

1 Senate Rule XXV.1(j) and Rule 1 of the Rules of The Senate Committee on Foreign Relations. (adopted January 30, 1997).
8

(10) The International Monetary Fund and other international monetary

organizations [Key Processes Relation: Observation, Orientation, and Oversight; Resourcing];

 (11) Military interventions and declarations of war [Key Processes Relation:

Strategy Development; Mission Execution; Observation, Orientation, and Oversight];

(12) Commercial intercourse with foreign nations and safeguarding American

business interests abroad [Key Processes Relation: Observation, Orientation, and Oversight];

(13) Security and international aspects of U.S. trusteeships [Key Processes

Relation: Policy, Guidance, and Regulation; Observation, Orientation, and Oversight];

(14) Ocean and international environmental and scientific affairs as they relate to

foreign policy [Key Processes Relation: Observation, Orientation, and Oversight];

(15) Protection of United States citizens abroad and expatriation [Key Processes

Relation: Policy, Guidance, and Regulation; Observation, orientation, and Oversight];

(16) U.S. foreign relations [Key Processes Relation: Policy, Guidance, and

Regulation; Observation, Orientation, and Oversight];

(17) Treaties and executive agreements (except reciprocal trade agreements) [Key

Processes Relation: Strategy Development; Observation, Orientation, and Oversight];

(18) The United Nations and affiliated organizations [Key Processes Relation:

Observation, Orientation, and Oversight; Resourcing];

(19) The World Bank group, the regional development banks, and other

international organizations established primarily for development assistance purposes [Key

Processes Relation: Observation, Orientation and Oversight];

(20) Comprehensive studies and reviews relating to national security policy,

foreign policy, international economic policy as it relates to U.S. foreign policy and matters

relating to food, hunger, and nutrition in foreign countries [Key Processes Relation: Observation,

Orientation, and Oversight];

(21) Reviews and studies of the application, administration, and execution of

those laws or parts of laws within the jurisdiction of the Committee2 [Key Processes Relation:

Observation, Orientation, and Oversight]; and

(22) Assisting the Senate in constitutional advice and consent functions for

treaties and nominations to executive branch positions in foreign policy and diplomacy [Key

Processes Relation: Observation, Orientation, and Oversight].

B. Subordinate Committees.3 The Committee on Foreign Relations is organized into

seven Subcommittees on: Western Hemisphere, Peace Corps, Narcotics, and Terrorism;

 

2 Senate Rule XXVI.8.

3 www.senate.gov/foreign/subcom.htm.
9

International Economic Policy, Export, and Trade Promotion; European Affairs; East Asia and

Pacific Affairs; International Operations; African Affairs; and Near Eastern and South Asian

Affairs. Except for the Subcommittee on International Economic Policy, Export, and Trade

Promotion and the Subcommittee on International Operations, the Subcommittees have both

regional (e.g., area or specific country) and functional (trade, terrorism, illegal drug)

jurisdictions. Succinctly, a Subcommittee has jurisdiction over matters affecting countries or

regions and over trade, terrorism, and international law issues that impact the U.S. and the

countries in the region. (See paragraph 4.E. for Subcommittee membership and jurisdiction.)

C. Major Products: The Committee on Foreign Relations produces hearing reports, bill

and resolution reports, treaty reports, nomination reports, Committee and staff investigative

reports, conference reports, and Committee amendments for legislation under consideration on

the floor of the Senate. It also conducts advice and consent proceedings for Presidential foreign

affairs appointments requiring Senate approval, including Department of State officials and

ambassadors. It conducts similar proceedings for treaties and international agreements. It has

the power to issue subpoenas.

3. Vision and Core Competencies.

A. Vision: There is no published vision statement. Committee operations reflect the

views and priorities of the Committee and Subcommittee Chairs.

B. Core Competencies: Core competencies include U.S. foreign relations, operations of

the Department of State, and the operations of related agencies and activities, including aspects

of arms control and humanitarian assistance.

4. Organizational Culture.

A. Values: There are no published values.

B. Leadership Traditions: Committee and Subcommittee Chairs, selected in accordance

with party rules, have a great deal of power in terms of establishing operating procedures and

deciding which pieces of legislation will be reported out of Committee for action on the Senate

floor. In selecting Committee and Subcommittee Chairs, how well a Senator's colleagues think

he/she will represent their individual and aggregate interests, party positions, and seniority are

significant factors.

C. Staff Attributes: The Committee staff comes from a variety of backgrounds and

includes attorneys, academics, and those who have firsthand experience with foreign relations.

Successful staffers have both functional and procedural expertise. In providing support to the

Committee, staffers ensure that Senators receive credit for all successes and are shielded from

blame on those occasions when things go awry. Sometimes the tradition of supporting Senators'

inclinations requires staff to produce assessments that are not especially objective.

Staff members are usually responsible for several areas, and their expertise in these areas

is almost always greater than that of individual Senators, because Senators are concerned with a
10

broader range of issues.4 Thus, while staffers may maintain a discreet role, Senators' decisions

are often based on staff information and guidance.

There are majority and minority staffs, and the majority staff is usually larger. For the

106th Congress, the majority staff is about twice as large as the minority staff. Each staff

member owes his position to the Committee Chair or Ranking Member who approve all staff

appointments. When the Chair or Ranking Member change, their successors are likely to bring

in at least a few new staff members. If the balance in the chamber as a whole changes, the staff

turnover will be greater because the new majority party will appoint additional staff members

over and above those they already have, and the new minority party will release staff to bring

their total staff into line with the rules.

In the 106th Congress, the Committee professional staff consists of 31 majority staff and

15 minority staff, exclusive of interns. The staff may include personnel from the Executive

Branch on reimbursable or nonreimbursable detail.5 This practice enables the Committee to

draw on the experience of practitioners from Executive Branch Departments and Agencies with

firsthand knowledge of areas over which the Committee has jurisdiction. There are strict rules

concerning the use of borrowed personnel, including prohibitions on their use for purely political

and campaign duties.

Although in some Committees the staff is assigned to Subcommittees, in the Committee

on Foreign Relations all staff works for the Committee. Subcommittee Chairs and Ranking

Members who require staff assistance receive it on an issue-by-issue basis as if it were borrowed

manpower. Because they have no full time professional staff, Subcommittee members rely more

on their personal staffs.

D. Strategy: The Committee and Subcommittee strategies reflect the strategies of the

Chairs and the political parties. There is no published strategy document.

E. Organization: Senate standing Committees are broken down into three categories:

Class A Committees, Class B Committees, and Class C Committees. The Senate Foreign

Relations Committee is a Class A Committee. A Senator may not serve on more than two Class

A Committees and one Class B Committee.6 A Senator may normally be the Chair or Ranking

Minority Member of one Class A Subcommittee or one Class A Committee plus one Class A

Subcommittee.

Committee membership is determined by rules adopted by each political party, and

members are selected during party caucuses based on leadership recommendations. As one

source points out, "the committee appointment process offers a means of promoting party

discipline through the granting or withholding of desired assignments."7 The Secretaries of the

Majority and Minority assemble requests from Senators for Committee assignments. These

 

4 Typically, in addition to managing issues of interest to their constituents, Senators will serve on two Committees.

5 Senate Resolution 189, Section 10, authorizes the committee to use detailed personnel from the Executive Branch if their

parent agencies or departments concur. The terms reimbursable and non-reimbursable refer to whether the Committee is

expected to compensate Executive Branch organizations for use of their personnel.

6 Marlowe, Howard. How Congress Works: A Handbook on Congressional organization and the Legislative Process.

www.netlobby.com. (Hereafter Marlowe.)

7 Learning About the Senate. "Senate Briefings: Committees." (http://www.senate.gov/learning/brief_11.html).
11

requests are passed to a staffing committee (whose members are selected by the Secretary), and

this committee makes recommendations to the party leadership. Generally, minority party

membership on Committees mirrors their total membership in the Senate, and this custom is

followed in Subcommittee appointments.8 In the 106th Congress the Committee consists of ten

Republicans and eight Democrats.

The Committee Chair, in consultation with the majority party Committee members,

selects Subcommittee Chairs. A similar practice is followed by the Minority in selecting

Ranking Members. In the Committee on Foreign Relations, the Chair predominates, thus most

substantive business is conducted at the full Committee level. Subcommittees hold hearings on

matters within their jurisdiction, but do not mark up bills or legislation, and participate in

drafting legislation only as members of the full Committee. As one staff member noted, the

Subcommittees are informational fora that allow Senators to become well-versed in geographic

and functional matters. They provide an opportunity for Senators to acquire concepts and ideas

that they may then bring to the Chair or Ranking Member for consideration by the full

Committee.9

As noted in the following paragraphs, the Committee has a broad jurisdictional range. As

has been true in the past, the scope of its interests sometimes leads to jurisdictional disputes with

other Senate Committees. This is in part the result of Senate rules that have evolved since the

end of World War II. Compared to the complex nature of current national security problems,

those that confronted Congress during the Cold War were less complicated. Jurisdictional

squabbles are symptomatic of this new complexity and are likely to become more frequent and

perhaps more intense.

SENATE COMMITTEE ON FOREIGN RELATIONS

Republicans (10) Democrats (8)

Jesse Helms (NC) – Chair

Richard G. Lugar (IN)

Paul Coverdell (GA)

Chuck Hagel (NE)

Gordon H. Smith (OR)

Rod Grams (MN)

Sam Brownback (KS)

Craig Thomas (WY)

John Ashcroft (MO)

Bill First (TN)

Joseph R. Biden (DE) – Ranking Member

Paul S. Sarbanes (MD)

Christopher J. Dodd (CT)

John F. Kerry (MA)

Russell D. Feingold (WI)

Paul David Wellstone (MN)

Barbara Boxer (CA)

Robert G. Torricelli (NJ)

Senate rules prevent Committee members from also serving on the Senate Armed Services

Committee and/or the Senate Appropriations Committee.

The Committee is organized into Subcommittees as described in paragraph 2, above.

Although Subcommittees do not mark up legislation, they do hold informational hearings. The

Chair and Ranking Member are members of specific Subcommittees and are ex officio members

of the others.10 (The current Chair, Senator Helms, is a member of the Subcommittees on

 

8 Marlowe, p. 1, Zone Two—Committee Action.

9 Interview with Committee staff member.

10 In this context, ex officio means that they may sit with the Subcommittee as non-voting members.
12

Western Hemisphere, Peace Corps, Narcotics, and Terrorism; East Asian and Pacific Affairs;

and International Operations. The current Ranking Member, Senator Biden, is a member of the

Subcommittee on European Affairs.)

Subcommittee membership for the 106th Congress, and a precis of jurisdictional

responsibilities follow.

(1) Western Hemisphere, Peace Corps, Narcotics, and Terrorism:

Republicans (4) Democrats (3)

Paul Coverdell—Chair

Jesse Helms

Richard lugar

John Ashcroft

Christopher J. Dodd—Ranking Member

Barbara Boxer

Robert G. Torricelli

The Subcommittee has both geographic and functional responsibilities. Its geographic

jurisdiction extends from the Arctic Ocean to the tip of South America, including the Caribbean.

Geographically, the Subcommittee focuses on relations between American nations, boundary

matters, regional treaty implementation, economic relations and security matters affecting the

Western Hemisphere, and the Organization of American States. Its functional responsibilities

include promoting U.S. trade and export; hemispheric crime; and oversight of regional foreign

assistance programs. The Subcommittee also has oversight for the Peace Corps; foreign policy

programs and international cooperative efforts to combat the flow of illegal drugs or substances;

and foreign policy, programs, and cooperative efforts to combat international terrorism.

(2) International Economic Policy, Export and Trade Promotion:

Republicans (4) Democrats (3)

Chuck Hagel—Chair

Craig Thomas

Bill First

Richard G. Lugar

Paul S. Sarbanes—Ranking Member

John F. Kerry

Barbara Boxer

The Subcommittee focuses on U.S. foreign economic policy, trade, "and

international economic growth and development." Its jurisdiction includes measures that

enhance U.S. exports and promote trade; protecting and promoting American economic interests;

protecting U.S. citizens abroad; international investment and management; commercial

properties abroad; technology transfer; intellectual property; international monetary policy; U.S.

involvement in international financial organizations; activities of the U.S. Agency for

International Development; and U.S. contributions to international organizations that assist other

countries. The Committee also exercises jurisdiction over policy matters affecting international

agreements concerning the environment, the oceans, and space.
13

(3) European Affairs:

Republicans (5) Democrats (4)

Gordon H. Smith—Chair

Richard G. Lugar

John Ashcroft

Paul Coverdell

Chuck Hagel

Joseph R. Biden—Ranking Member

Paul S. Sarbanes

Christopher J. Dodd

Paul D. Wellstone

The Subcommittee has jurisdiction over "matters concerning the continent of Europe".

Its regional jurisdiction extends to North Atlantic Treaty Organization (NATO) countries, the

states created as a result of the break up of the Soviet Union, and matters involving "Greenland,

Iceland, and the North Polar Region." The Subcommittee on European Affairs also has

functional jurisdiction over issues involving U.S. trade with Europe; "terrorism, crime, and the

flow of illegal drugs;" and assistance programs that lie within its regional jurisdiction.

(4) East Asian and Pacific Affairs:

Republicans (5) Democrats (4)

Craig Thomas—Chair

Jesse Helms

Paul Coverdell

Chuck Hagel

Gordon H. Smith

John F. Kerry—Ranking Member

Russell D. Feingold

Paul D. Wellstone

Robert G. Torricelli

The Subcommittee's regional jurisdiction includes the Asian mainland, Australia,

Indonesia, Japan, Malaysia, New Zealand, Oceania, the Philippines, and the South Pacific

Islands. Its functional responsibilities include regional trade, crime, terrorism, illegal drugs, and

assistance programs that lie within its regional jurisdiction.

(5) International Operations:

Republicans (4) Democrats (3)

Rod Grams—Chair

Jesse Helms

Sam Brownback

Bill First

Barbara Boxer—Ranking Member

John F. Kerry

Russell D. Feingold

The Subcommittee has jurisdiction and oversight responsibility for the Department of

State; the U.S. Information Agency; the Foreign Service; "international educational and cultural

affairs and foreign broadcasting activities; foreign buildings"; U.S. involvement with the United

Nations (UN) and its affiliated organizations; and U.S. relationships with other international

organizations that are not under the jurisdiction of other subcommittees. It also has jurisdiction

over general provisions of international law, law enforcement, and criminal activities.
14

(6) African Affairs:

Republicans (3) Democrats (2)

Bill First—Chair

Rod Grams

Sam Brownback

Russell D. Feingold—Ranking Member

Paul S. Sarbanes

The Subcommittee's geographic jurisdiction includes U.S. relationships with African

states and matters, except for countries that border the Mediterranean. The Subcommittee also

has responsibility for matters that promote trade in its region, and for matters involving

"terrorism, crime and the flow of illegal drugs;" and it has "oversight over U.S. foreign assistance

programs that fall within [its] regional jurisdiction."

(7) Near Eastern and South Asian Affairs:

Republicans (5) Democrats (3)

Sam Brownback—Chair

John Ashcroft

Gordon H. Smith

Rod Grams

Craig Thomas

Paul D. Wellstone—Ranking Member

Diane Feinstein

Paul S. Sarbanes

This Subcommittee's regional jurisdiction includes the Middle East, North Africa, Israel

and Arab-Israel relations, the Persian Gulf, Afghanistan, Bangladesh, Bhutan, India, Maldives,

Nepal, Pakistan, and Sri Lanka. Functionally, the Subcommittee deals with problems similar to

those of other subcommittees including trade with countries in its region; terrorism, crime and

illegal drug problems emanating from its region; and U.S. foreign assistance programs for

regional states.

5. Formal National Security Process Involvement.

A. Overview of the Legislative, Committee, and Subcommittee Processes:11

(1) Formal Legislative Process: (See process flow map at appendix.) The Senate

operates under a set of rules. However, it operates most effectively when it waives its rules,

usually through unanimous consent or through senatorial courtesy. The Senate has two majority

rules: the first is a simple majority (51 Senators); the second is a super majority (60 Senators).

The latter is necessary to cut off debate and bring issues to a vote; the former is usually sufficient

to pass legislation.12

Only a small number of the thousands of proposals that are introduced in the Senate and

placed before Committees during a legislative session reach the floor for deliberation and fullSenate decisions. The Committee system is designed to select from this vast number those

 

11 See Marlowe. Dove, Robert B. (Parliamentarian, U.S. Senate; hereafter Dove). Enactment of a Law. http://thomas.loc.gov.

and Congressional Research Service. The Committee System in the U.S. Congress, 1994 www.sen.gov/committees.

12 Constitutional exceptions to the simple majority rule include overriding a Presidential veto, conviction in an impeachment

proceeding, and treaty ratification which require a 2/3rds majority for passage.
15

proposals that are deemed most important for the nation. The expression "died in Committee"

applies to the greatest number of annual proposals.

Senators may introduce legislation, either on their own initiative, or on behalf of

individuals and/or groups. Legislative proposals, which take the form of bills or resolutions,

come from any of several sources.13 For example, the President proposes legislation in his State

of the Union message, his budget, and in executive communications to Congress. Executive

Branch Departments and Agencies may also make proposals, which are filtered through the

Office of Management and Budget. (See also Volume II, Chapter 3 on the Office of

Management and Budget.)

Legislative proposals, regardless of source, can only be introduced by Senators, acting

either on their own or "by request."14 They are introduced during the period known as "morning

hour", although rules usually accommodate bill introduction at any time during a legislative

day.15 Bills and resolutions have only one principal sponsor, but it is common for other Senators

to co-sponsor proposals. Co-sponsorship can be partisan or bipartisan.

Once introduced, the Presiding Officer of the Senate refers the proposed legislation to the

appropriate Committee, where it is placed on the calendar. Where it falls on the calendar is an

indication of how seriously the Committee chair intends to pursue it. Usually proposals may be

further allocated to Subcommittees for study and subsequent report to the full Committee or

retained at full Committee-level at the discretion of the Chair. What happens next depends on

whether the Committee and Subcommittee chairs are favorably disposed toward the legislation.

If they oppose the legislation, or do not assign it a high enough priority on the calendar,

the bill will languish in Committee and, unless extraordinary measures are taken, will not be

considered by the full Senate.16 When this occurs, the matter may be dropped, or it may be reintroduced at the next session.

Whether a bill is considered often depends on who sponsors and co-sponsors it and their

relationship with the Chair. If several Committee members co-sponsor a bill, it has a better

chance of moving through the Committee process, for example. If the President and the

Committee Chair are of the same party, the bill will have a better chance. If the President and

the Chair are of different parties, the bill may still receive a hearing, but the hearing may be

hostile and designed to embarrass the Executive Branch.

If the Committee or Subcommittee Chair are disposed to consider and report a bill out of

Committee for floor deliberation, they use essentially the same procedures. The chair will first

 

13 Bills are general legislative proposals. Resolutions are "used primarily to express the sense of the Senate . . . or to take care

of "housekeeping" matters, including changes in rules, that apply only to the Senate." Joint Resolutions have the same effect

as bills. Concurrent resolutions express the sense of Congress; affect housekeeping activities common to both houses; or

modify the language of a proposal already passed by one house. Dove.

14 Bills introduced on behalf of the Administration, private groups, or private citizens are annotated "by request." A Senator

introducing such a bill may do so as a courtesy, and may not actually favor the legislation. For example, Administration bills

are traditionally introduced by the Committee chair having jurisdiction, even though the chair may be from the opposing

party.

15 Technically, a legislative "day" is the time from one adjournment until the next adjournment and usually includes a number

of calendar days.

16 There are parliamentary mechanisms for end-running committee Chairs, but they are rarely used because using them is

considered a "slap" at the Chair, which is likely to rebound to the initiator's disadvantage at a later point.
16

ask for written comments from the Executive Branch. It will then hold hearings in which

witnesses provide both written and oral testimony. Based on the outcome of these initial steps,

the Subcommittee Chair may make a recommendation to the Committee Chair that the

Committee "mark up" the bill or resolution. This is a line-by-line review that includes amending

the original language (and often the intent) to bring it in line with Committee Chair and other

members. Mark ups may be open to the public, or, if classified information is discussed, they

may be closed. As a rule, most of the line-by-line review is done by the staff who identify key

passages and recommend alternative language and other amendments.

If the Committee Chair elects to consider the bill, it goes through a similar mark up

(including introduction of amendments by Committee members) and is voted on by the entire

Committee. Once the Committee approves the bill by a simple majority vote, the Committee

staff prepares a draft of the bill that reflects Committee changes, which is sent to the full Senate

for deliberation.

In some Committees, the Subcommittees also conduct mark up procedures prior to

passing it to the full Committee. Under current Committee rules, the Subcommittees of the

Committee on Foreign Relations have no mark up authority. In preparing authorization bills, the

Committee Chair presents the full Committee with a "draft" bill for Committee mark up.

Members may propose amendments to this draft, and amendments are voted on by the

Committee. The Committee Chair and the Ranking Member of the current Committee have an

excellent relationship. While they do not agree on every issue, they do work together to move

legislation through the Committee. Generally, this relationship results in favorable action on

legislation the Committee considers.

Bills the Committee sends to the floor normally are accompanied by a written report

(prepared by the Committee staff) that explains the Committee's actions and intent, describes the

rewritten bill, and makes arguments for passage.17 Senators voting in the minority on a bill that

is reported out of Committee may also provide a written report that states their views. Once on

the floor, the bill is managed by Committee members during deliberation. The Committee staff

assists floor managers by building support with the staff of Senators who are not members of the

Committee, preparing floor remarks, and overseeing additional amendments, including

Committee Amendments offered by the Chair to offset the effects of other floor amendments.

Once the entire Senate has passed a bill, it is scheduled for conference with the House of

Representatives to reconcile differences between the two versions.18 Senators and

Representatives who meet in this venue meet as a Conference Committee. The majority of

differences are worked out by staff; however, Conference Committee members are personally

involved with important issues that defy staff resolution. At the conclusion of the conference,

either the House or the Senate prepares the conference report and the reconciled bill is returned

to each chamber for passage.

 

17 Reports are numbered consecutively, beginning with the first report or a Congress, and do not match bill numbers.

18 In the case of most authorization bills, the Senate and House begin work on them independently, but almost simultaneously.

Although informal contacts may keep members apprised of what the other chamber is doing, there is no formal collaboration

until the conference. For appropriations measures, the Senate normally awaits the House version, then amends that bill.

The amended appropriations bill becomes the basis for conference.
17

When both chambers pass the bill, it is sent to the White House for the President's

signature (or veto). Once the bill becomes law, the Committee has oversight responsibility to

ensure the Executive Branch adheres to its provisions. For example, the Committee on Foreign

Relations has oversight authority over the provisions of the Arms Export Control Act and can

hold oversight hearings and conduct investigations to ensure the Act's requirements are adhered

to by the Administration.

(2) Hearings: Hearings are one of the most visible and effective formal methods

for Committees to influence the seven key processes. Typically, hearings begin in the

appropriate Subcommittee; however, they also occur at meetings of the full Committee. Both

parties may recommend witnesses, and all Senators may question them for specified periods of

time, depending on the rules that are in force. Hearings may be supplemented by staff research.

In addition to hearings on bills, Committee and Subcommittees hold hearings for other

reasons that include spotlighting particular issues. This type of hearing may include oversight

hearings and focus on a particular issue, program, or Executive Branch action in relation to the

appropriate law. Hearings are also conducted to fulfill the Committee's advice and consent

responsibilities—in this case with respect to Department of State and related agencies' senior

officials, Foreign Service Officer promotions, and U.S. ambassadors. Hearings may be

conducted as a way of scrutinizing Administration actions or pressuring the Administration to act

in certain ways.

For example, the Committee on Foreign Relations has jurisdiction over interventions and

declarations of war (see paragraph 2). Because it has this jurisdiction it can—and has—held

hearings that are designed to shape Administration policy with respect to specific interventions.

One memorable example of this is the series of hearings held by the Committee during the

Vietnam War when Senator Fullbright was the Committee Chair.

Committee and Subcommittee Chairs have broad latitude in structuring hearings

regardless of type. They decide on witnesses and they often organize or "stage manage"

proceedings so that testimony supports their position. Usually, Senators from the minority party

will have some latitude to negotiate for their own witnesses, and/or they may treat those

witnesses chosen by the majority in a hostile manner.

Committee staffs often prepare packets prior to hearings that include copies of the

witnesses' written testimony and suggested lines of questioning.19 Separate packets are often

prepared for majority and minority Senators and reflect Chair (or Ranking Member) and party

views. During and following hearings, the staff tracks and collects question- for-record

responses from witnesses (i.e., those responses to questions for which the witness will provide a

written answer) and maintain the hearing file. At some point after hearings are concluded, the

staff will prepare a hearing report, one of several types of reports issued by Committees.

(3) Reports: Reports provide information, instructions, and rationale for

Committee decisions. There are several types of reports.

 

19 Most witnesses submit written testimony prior to hearings and their oral testimony summarizes the printed text. Instructions

prepared by committees prior to hearings encourage witnesses to keep their opening statements brief, leaving Senators

ample time to question witnesses.
18

(a) Hearing Reports, produced by Committee or Subcommittee staff,

record the testimony, questions, and answers from hearings. They are records of events, and the

Committee or Subcommittee does not usually vote them out. While they may contain important

information, they are not authoritative.

(b) Reports that Accompany Legislative Actions are primarily

informational and explanatory. They may contain directions for Executive Branch activities

(such as a requirement to conduct an investigation or prepare a report). These directions are not

legally binding, but are often honored by custom and tradition. The alternative to honoring

report directives is to risk having them included in law the following year, perhaps with more

stringent requirements. For example, a Department that does not honor a report direction for a

semiannual report will usually find the requirement written into law the following year with a

requirement to submit the report quarterly. Reports that accompany legislation often convey the

sense of the majority of Committee members concerning issues and draw public attention to

them. The Subcommittee and Committee vote on these reports before they are reported out to

the full Senate. While some Committees include numerous instructions in these reports, the

tradition in the Committee on Foreign Relations is to put most instructions in the bill itself and

use reports accompanying legislation as a legislative history and explanation of the Committee's

intent.

(c) Reports that Accompany Nominations and Treaties are similar to

reports that accompany legislative actions. They provide rationales for recommendations on

nominees and treaties, which, in controversial cases, may serve as a surrogate to provide views

on Administration policy. There is rarely a separate vote on this report. The reports usually

"accompany" the bill or nomination that is voted out.

(d) Investigative Reports deal with specific matters, activities, or

programs over which the Committee has jurisdiction. If the Committee issues them they are

voted out. If the staff issues them, they may be voted out or released by the Committee Chair.

(e) Conference Reports describe the reconciliation agreements made by

conference Committees concerning specific legislation. Conference reports contain requests and

directives that, while not law, are customarily honored. They are prepared by either the House or

the Senate, usually on a rotating basis, and they accompany the reconciled legislation to each

chamber. The conference Committee votes these reports out.
19

B. Strategy Development:20

(1) Major Activities: Although the Committee on Foreign Relations does not

participate directly in internal Administration processes that develop national security strategy,

hearings, reports, and studies can influence the Administration's strategic options. Through the

hearing process (described in paragraph 5.A.) the Committee can influence the Administration's

choice of strategic options by identifying those it supports and those it considers unacceptable. It

can also issue Committee and staff reports that spotlight issues and help focus public attention on

strategic options and policies.21

By constructing authorization bills (and other legislation) that regulate various aspects of

international relations, the Committee can affect the structure of the foreign policy establishment

and enhance or restrict its latitude to implement the strategy it develops. Also through

authorization bills, it can limit or enhance funding, which impacts options for strategy

developers. Through conferences to reconcile differences in House and Senate versions of

authorization bills, Senators can influence House members to accept their views.

In addition to these measures, if the Committee Chair is powerful and well respected in

the Senate, the Administration may discard some strategic options that the Chair opposes if they

are seen as politically risky in terms of Senate approval. This is not to suggest that

Administrations are unwilling to challenge Committee Chairs on matters the Administration

believes are important. The evidence suggests the opposite to be the case. However, during

strategy development, Administration officials are likely to take into consideration the prevailing

 

20 The narrative that follows discusses Committee activities in terms of the processes the U.S. Commission on National

Security/21st Century prescribed and according to the definitions it stipulated. Committee staff indicated that, from their

standpoint, the Committee deals only with policy and oversight activities and that everything the Committee does falls into

one of these two categories.

21 Staff noted that the Administration's National Security Strategy document has no relevancy for its proceedings and was

treated as a document that applied only to the Administration, not to Congress.

Strategy

Development

Policy, Guidance,

and Regulations

Planning

Mission Execution

Observation, 

Orientation,

and Oversight

Preparation

Resourcing

Products

Hearing Reports    

  

 

 

 

 

 

 

Roles Advice & Consent      Products

Hearing Reports 

Treaty Reports

Bill/Resoultion Report

Cmtee/Staff Reports

Conference Report

Subpeonas

Nomination Reports

Cmtee Amendments
20

sentiment on the Hill as reflected in a powerful chair's pronouncements.22 This is especially

true, given the Committee's authorizing power, which can influence structure and operating

procedures or place limits on how funds can be expended for strategy implementation. (See also

paragraph 5.H. below.)

(2) Major Stakeholders: The Executive Branch (especially the State Department

and related activities), various political constituents, and special interest groups (such as political

action groups representing the interests of a country or region) depending on the issue.

(3) Key Organizational Processes: Committee and Subcommittee level hearings

and reports.

(4) Associated Higher-Level Processes: Authorization and Appropriations law.

(5) Associated Lower-Level Processes: Preparation of the National Security

Strategy and other major strategy documents by the Executive Branch.

C. Policy, Guidance, and Regulation:

(1) Major Activities: The Committee influences policy, guidance and regulation

through reports and legislation. By reporting out of Committee and achieving a majority vote on

the floor of the Senate, bills and accompanying reports make policy and craft regulations. For

example, the Foreign Affairs Reform and Restructuring Act of 1998—an act that began in the

Committee on Foreign Relations—shaped the structure and size of the Department of State and

related activities (e.g., abolished the Arms Control and Disarmament Agency and placed the U.S.

Agency for International Development under the Department).23 (See paragraph 5.A. for a

description of Committee and Subcommittee processes.)

(2) Major Stakeholders: The Executive Branch and various political

constituencies.

(3) Key Organizational Processes: Committee and Subcommittee level hearings

and report preparation.

(4) Associated Higher-Level Processes: Authorization bill preparation.

(5) Associated Lower-Level Processes: Administration-proposed legislation.

D. Planning: The Committee on Foreign Relations has no involvement in national

security planning.

E. Mission Execution: The Committee on Foreign Relations has no direct involvement

in mission execution in the sense that it can directly command and control Executive Branch

operations. However, it can exert influence on how the Administration manages ongoing

 

22 For example, according to a former Senator, when Senator Nunn chaired the Senate Armed Services Committee, his

reputation and ability to influence other senators on defense matters was such that Administration officials considered how

he would react to policy and strategy matters during formulation.

23 Public Law 105-277.
21

missions through hearings and/or introduction of legislation that supports or impedes operations.

During the Vietnam conflict, for example, the Committee was often in the forefront of

commentary and criticism on the ways in which the Administration planned and executed

military and diplomatic missions related to the war.

Knowing that the Committee may take up (and perhaps limit through authorization

language) important Administration actions during an ongoing mission can act as a brake on

Administration options. In the extreme, it is conceivable that the Committee could refuse to

authorize appropriations for an ongoing operation, although it has traditionally supported fielded

forces, even when it disagrees with the policy that fielded them (see paragraph 5.H. below).

F. Observation, Orientation, and Oversight:

(1) Major Activities: The Committee fulfills its oversight responsibilities by

conducting hearings and preparing reports. (See paragraphs 5.A. and 5.C. See also the

discussion of authorization procedures in paragraph 5.H.)

(a) Nominations and Confirmations: The Committee's oversight

authority extends to nominations for filling senior foreign affairs and ambassadorial positions

and confirmation of various personnel actions affecting the foreign policy community.24 While

senior level appointments often hold the spotlight, the Committee deals with hundreds of other

appointments and Foreign Service Officer appointments each year. In dealing with

appointments—especially senior level and ambassadorial appointments—the Committee

customarily holds hearings and prepares reports that present the views of the Committee Chair

and a majority of Committee members. If the Committee recommends that a nomination be

considered, the full Senate usually accepts that recommendation. Similarly, if the Committee

recommends that a nomination be rejected, the full Senate often concurs. The Committee may

also delay nominations to influence the Administration.

(b) Treaty Ratification: The Constitution empowers the President to

negotiate treaties; however, only the Senate can ratify them.25 Without ratification, the treaties

are not binding. The Senate ratifies by two-thirds majority vote. The vote on the floor of the

Senate occurs after the Committee on Foreign Relations has examined the content of the

proposed treaty, held appropriate hearings, and reported the treaty out of Committee. Once the

Senate ratifies treaties, they have the force of law. The process is essentially the same as that

described in paragraph 5.A.

In recent years, the Committee's ability to influence treaties and other international

agreements, especially those dealing with nuclear weapons and other weapons of mass

destruction has sometimes been in opposition to Administration objectives. A recent example of

the Committee's power in this respect is the Nuclear Test Ban Treaty.

(2) Major Stakeholders: Executive Office of the President; Department of State;

Department of Defense; various political constituents.

(3) Key Organizational Processes: Committee and Subcommittee level hearings.

 

24 Such as the Secretary of State, the Deputy Secretary, the Under Secretaries, and the Assistant Secretaries.

25 Article 2, Section 2.
22

(4) Associated Higher-Level Processes: Ratification of treaties and confirmation

of nominations.

(5) Associated Lower-Level Processes: Administration processes for negotiating

treaties and preparing nominations.

G. Preparation: The Committee on Foreign Relations has no direct involvement in

national security preparation, although provisions of authorization language may affect the way

in which Executive Branch entities prepare. For example, an authorizing bill may direct that

certain training be provided to Foreign Service officers.

H. Resourcing:

(1) Major Activities: All of the Committee's products have resource implications.

The Committee produces the State Department authorization bill and foreign aid/assistance

authorization bills. Authorizing legislation constitutes the legal basis for Department and

Agency operations, structures Departments and Agencies, prescribes responsibilities, and

authorizes Appropriations Committees to fund programs such as foreign aid. In essence, it tells

Departments or Agencies what they can commit funds to, and it tells Appropriations

Subcommittees how much funding to allow.

Theoretically, Appropriations Committees cannot appropriate funds without authorizing

legislation, nor can they appropriate funds in excess of the amounts authorized when amounts are

specified. Conversely, appropriations measures are not to contain authorization—or

legislative—language. In practice, however, the distinctions are blurred. For example, the last

time the Committee on Foreign Relations reported out an authorization bill for the State

Department was 1993 (FY1994), yet the Department continues to be funded. And Appropriators

routinely include legislative provisions in appropriations bills. For instance, the fiscal year 1995

Omnibus Appropriations Bill provides that levels of assistance to Israel and Egypt are contingent

upon progress under the Camp David Accords.26

 In addition to authorizing the expenditure of funds, authorization legislation can organize

and structure organizations, and they often contain directives or proscriptions with respect to

responsibilities and actions. They also can establish operational processes and procedures;

specify personnel policies; and direct the Department or Agency to conduct studies and provide

reports. And they can require interaction with other Departments and Agencies.

In terms of resourcing, authorizing legislation usually provides an indication of funding

levels, either specifically or in general. Authorization bills are "ceilings," appropriations bills are

"floors." An authorization act may make a specific amount of money available and restrict its

use to certain activities. In these cases, the Appropriations Committees may not appropriate

more than that amount, although it may appropriate less. Or, authorizing legislation may be

general: "In order to provide the State Department with dependable, flexible and adequate source

of funding for its expenses . . . before an international tribunal. . .the International Litigation

Fund [ILF] shall be available without fiscal limitation."27 Authorizing language may be

 

26 Report Number 104-863, September 28, 1996, p. 133.

27 Foreign Relations Authorization Act, Fiscal Years 1994 and 1995, Section 113.
23

restrictive: ". . . funds credited to the ILF shall be treated as a reprogramming of funds under

section 34 of the State Department Basic Authorities Act of 1956 (22 U.S.C. 2706) and shall not

be available for obligation or expenditure except in compliance with the procedures applicable to

such reprogramming."28 Finally, authorization bills frequently contain "earmarks." Earmarking

is a technique by which funds are authorized for a particular program or activity, reflecting a

Senator's interest in that program and his/her ability to generate support for it among colleagues.

Generally, authorizations do not extend beyond a few fiscal years, and often are made for

only a year (although some authorizations are permanent and continue until modified by new

authorizing legislation). Limiting the length of authorizations allows Authorizing Committees an

opportunity to review Department and Agency performance frequently. As one observer noted,

"temporary authorizations are a short leash Congress can pull to compel changes in an agency's

policies or actions."29 Yet, despite formidable rules, appropriations do occur even when there is

no current authorization—and sometimes in spite of authorizing language. The Department of

State, for which the last authorizing bill was passed in 1993, serves as an example.

Appropriating in the absence of authorizations is not unconstitutional per se.

Because both chambers must pass identical bills before sending them to the President for

signature, House-Senate conferences occur routinely. When the Committee on Foreign

Relations reports out an authorization bill that is passed by the Senate, the Chair and Ranking

Member of Committee on Foreign Relations select Senators to meet with Members of the House

Committee of Foreign Affairs to reconcile differences in the House and Senate versions.

These conferences typically require several meetings, which may or may not be held on

sequential dates. In other words, a conference might begin in July and not conclude its business

until September, although it does not meet everyday during this period. Usually, most

compromises are brokered by staff and presented to Senators and their House counterparts for

approval. When one side agrees to accept the language proposed by the other, it is said to have

receded to the point. While receding is common and occurs as a result of compromises,

sometimes conferees craft language that is different from what either chamber's bill contained at

the outset of the conference.

Once the conference has resolved differences, a common version of the bill (together

with a conference report that describes the compromises made during conference) is provided to

the respective chambers for deliberation and approval. Once both houses pass the measure, it is

sent to the White House for the President's signature and becomes public law or is vetoed.

In recent years, the Appropriations Committee does not wait for authorizing legislation

before preparing and considering appropriations. This process is often nearly independent of the

authorizing deliberations.30 (See Chapter 7 on the Senate Appropriations Committee.)

(2) Major Stakeholders: Executive Office of the President; Department of State

and related activities and agencies; special interest groups; "think tanks" and various political

 

28 Foreign Relations Authorization Act, Fiscal Years 1994 and 1995, Section 113.

29 Schick, p. 117.

30 The authorizing-appropriating formula is not enshrined in the Constitution but originated in the mid-1860s. Before that

time, single committees both authorized and appropriated, usually in one piece of legislation. Because the system is a

creation of Congress, Congress could change it if it so desired, and it sometimes chooses to ignore it altogether.
24

constituents including nongovernmental organizations that depend on United States Agency for

International Development for grants and contracts.31 (In the past, authorizing legislation has

placed "strings" on how money may be provided to nongovernmental organizations.)

(3) Key Organizational Processes: Committee and Subcommittee level hearings

and reports; staff investigations.

(4) Associated Higher-Level Processes: Appropriations.

(5) Associated Lower-Level Processes: Administration processes for preparing

budget requests.

6. Informal National Security Process Involvement. There are no informal processes that are

so fixed that they apply across a large number of events. Most informal processes are focused on

information gathering and issue resolution. These are described in the following subparagraphs.

A. Contacts with Administration Officials: In addition to formal hearings, written

testimony, and written responses to questions, informal contacts with Administration officials

occur throughout the process. Both Senators and staff members hold informal discussions, and

part of the purpose of these contacts is to determine true needs and to separate them from niceto-have programs. The Committee staff will usually develop long-term networks of contacts in

the Department of State and its related activities and the Department of Defense. At present, the

Minority staff also maintains in-depth relations with the National Security Council staff; NSCMajority staff relations are less cordial. The contacts also provide Senators and staff with ranges

of options and with the basis for trade-offs during formal negotiations.

While important for both chambers, in the case of the Senate, informal contacts help

determine the best options and permit Senators to gauge the effect of their actions or proposals

without recourse to more formal mechanisms, such as hearings and subpoenas. Additionally,

informal contacts with Administration officials provide an opportunity for Senators to influence

Administration choices and behavior with respect to policy and budget matters. Conversely,

since Administrations are not monolithic, these contacts give Executive Branch officials with

views that are inconsistent with official policy a venue to express them.

B. Contacts with Other Senators: If a Senator is a member of the Committee on

Foreign Relations, getting his/her priorities considered and into a bill for which the Committee

has jurisdiction is not difficult. For Senators who do not serve on the Committee, the task is more

daunting. Each year the number of requests exceeds capacity, which requires Senators to make

choices among competing requests from their colleagues. As a result, "trades" between members

commonly occur. Recently, there has been a trend toward ensuring that every member receives

at least some of what he/she requests in order to ensure support for bills on the floor and to build

alliances for other matters. Attempts to do this are marked by personal negotiations between

Senators and between their staff representatives. Under the current Chair, consensus building

among members of the Committee has been a standard practice.

 

31 A key USAID operating technique is to engage nongovernmental organizations to carry out actual development activities.

Over the years a substantial number of these organizations have come to depend on this system. If appropriations are

delayed, some of them may lobby Congress in an effort to expedite them.
25

C. Contacts in Conjunction with House-Senate Conferences: When conferences

occur, there is a large amount of informal deal making and trading between members of both

chambers, either directly or through their staffs. It is not uncommon for Senate and House

personal and professional staff members to meet on behalf of their principals. This simplifies the

agendas for conferences, resolves questions of fact, and leaves Senators and Representatives free

to discuss significant issues. Reports that accompany authorization acts, for example, typically

include thousands of items in which the language of the Senate and House versions differed.

Most of these are worked out through staff negotiations which members subsequently endorse.

D. Influencing the Public: Senators routinely use press releases, speeches, debates,

interviews, and other means to influence public opinion either in support of or opposition to high

priority issues. Enlisting public opinion helps Senators achieve their legislative agendas and

often raises the quality and scope of debates on important issues.

7. Funding and Personnel.

A. Funding Sources: The Senate Foreign Relations Committee is funded through the

Legislative Branch appropriations as authorized by the Committee on Roles and Administration.

B. Budget: The budget for FY2000 is $3,158,449.32

C. Manpower: For the 106th Congress, the Committee includes 18 Senators (10

Republicans and 8 Democrats) and 46 Staff Members.

8. Observations.

A. Organizational and Process Forms: The processes and organization used by the

Senate and its Committees are a creation of the Senate. Although often slower than some believe

it should be, and while the Senate sometimes suspends its own rules, the system works

effectively, at least in terms of screening legislative proposals and annunciating the views of

Committee Chairs. Occasionally, the system leads to comprehensive and rich debates on matters

of extreme importance to national security, although it can also lead to posturing. When

legislation is delayed, it is most often because of political considerations or differences, not the

way the Senate is organized or the processes it chooses to prosecute its business. The Committee

on Foreign Relations' jurisdiction tends to line up effectively with Administration Departments,

most prominently the Departments of State and Defense, the U.S. Trade Representative, and

arms (and other) export control activities.

B. Authorizations, Confirmations, and Ratifications: One former member of the

Senate remarked during an interview that the Senate as a whole spends too much time on funding

and not enough time deliberating policy and strategy. An examination of authorization acts

seems to confirm this assessment. However, the characterization tends to apply more to other

Committees than to the Committee on Foreign Relations, which has a tradition of reviewing and

evaluating Administration policy during both formulation and implementation stages. The

Committee does this through authorization hearings and reports, hearings and reports on special

issues, treaty ratification hearings and reports, and hearings and reports to confirm

Administration nominees. Hearings and reports are powerful tools as well as Committee

 

32 Senate Resolution 189, Section 10.
26

products, and often involve spirited debate over national security issues. These debates, in turn,

inform the electorate.

Authorization legislation and accompanying reports deal with resourcing issues as well as

other matters. Authorization bills can determine the structure of those organizations involved

with national security, shape policy and strategy, prescribe (or proscribe) certain actions and

activities. Committee recommendations and accompanying reports influence the appointment of

senior officials and the ratification of treaties. During confirmation hearings, nominees views

and likely agendas are investigated. Senators will often try to shape nominees views and/or lay

down markers as to what they will not accept in terms of policy and behaviors. When

considering treaties, the Committee questions Administration witnesses as well as outside

experts to determine the likely effect of the treaty on national security.

C. The Power of the Chair: Under Senate rules, Committee Chairs (and in some

Committees, Subcommittee Chairs) have tremendous authority over matters under their

jurisdiction. By determining which proposals will be reported out to the floor, by sanctioning

authoritative reports to accompany these proposals, and by managing floor debate, the Chairs

often determine which proposals will become the law of the land. The most powerful Chairs are

those that are subject matter experts and are respected by other Senators for their knowledge. At

a time when some have suggested that Senators are becoming more specialized, many Senators

rely on consultations with respected peers to determine how they will vote on issues.33 If this

trend continues, Chairs and other Senators who are acknowledged as experts by their peers will

become more influential in shaping debate outcomes.

D. Jurisdictional Issues: Although most Committees have lists of their jurisdictions,

actual division of responsibilities is not clear-cut. There are overlapping issues that often involve

intense discussions and often are unresolved. In the case of the Committee on Foreign Relations,

there have been a number of jurisdictional disputes with the Senate Armed Services Committee

over policy issues and with the Senate Banking Committee over trade and export-import issues.

Jurisdictional disputes are indicative of the complexity of current national security challenges.

E. Inter Branch Tensions: As one expert pointed out, Senators often have a much

broader view of the political situation than do Executive Branch Departments and Agencies,

although they frequently lack the depth that Department experts possess.34 This wider

perspective is the product of the fact that Senators are more attuned to the political realities upon

which their positions depend. Senators who serve on Committees such as the Foreign Relations

Committee and the Committee on Armed Services are aware not only of national security

matters, but of the domestic politics that directly or indirectly affect national security decision

making. Administration officials focus more narrowly on those matters that have an impact on

their organizations, and, because of the press of requirements, often do not consider political

issues as closely. Beyond political issues, the longevity and scope of responsibilities of Senators

 

33 Interviews. Because issues are becoming more complex and more information is available about them, Senators often tend

to focus more on specific areas.

34 Telephone interview, December 6, 1999.
27

are usually far greater than the individual Executive Branch official responsible for any given

area.
APPENDICES
Appendix 1

Senate Committee on Foreign Relations - Key Process - (Formal) - Policy, Guidan

President Senate Senate Committee on Foreign Relations Joint House and Senate Conference

Committee

Conference

Committee Staff OMB Executive Branch

Start Forward Legislative Proposal to OMB 

Introduce

Legislation During

"Morning Hour"

Refer Proposed Foreign

Relations Legislation to

Committee by Action of the

Presiding Officer of the

Senate

Deliberation of

Legislation Managed

by Committee

Pass Legislation?

Conduct Markup of

Legislation

Approve

Legislation?

Prepare Draft

Bill Reflecting

Committee

Changes

Prepare Report

Explaining

Committee

Actions

Send to

Senate for

Deliberation

Convene Hearings

with Both Written and

Oral Testimony

*

Determine

Legislative

Importance and

Significance

Place Proposed

Legislation on

Committee

Calendar

Drop Legislation

or Reintroduce

Next Session

Review Legislative

Requests from

Executive Branch and

Other Agencies

Provide Written and

Oral Testimony as

Needed

Forward Legislative

Proposal to OMB

A

A

Yes

No

* Senate Foreign Relations Subcommittees hold informational hearings throughout the process but do not mark up legislation.** Conference Committee consists of selected Senators.*** A similar process occurs in the House to pass a House version of the Legislation to be reconciled in the Conference Committee.**** The Conference Committee Staff of both the House and Senate alternate preparing joint legislation and committee report.

No

Yes
ORGANIZATIONAL DESCRIPTION

SENATE COMMITTEE ON THE BUDGET

Prepared for the U.S. Commission on National Security/21st Century
2

EXECUTIVE SUMMARY

Senate Committee on the Budget

Overview

The Senate Budget Committee focuses on the enforcement of laws that outline the budget

process. The Senate Budget Committee was established as a standing committee by the

Congressional Budget and Impoundment Control Act of 1974. It sets Congressional policy and

budgetary priorities by drafting the Senate version of the annual concurrent budget resolution.

This resolution guides the Congressional budget process and defines aggregate spending

amounts.

Organization

The Senate Budget Committee is one of 17 standing committees in the Senate and has no

subcommittees. The Chair of the Senate Budget Committee and the Ranking Minority Member

head the committee. The Committee is limited to a membership of 22 Senators and has

approximately 43 professional staff.

Role in Formal and Informal National Security Processes

The Senate Budget Committee recommends to Senate and Senate entities

recommendations on the budget, which, when adopted, establish Congressional budget policies

and priorities through the annual budget resolution. The budget resolution sets aggregate topline

funding levels for each functional budget category, which includes national security activities.

Observations

In general, the Senate Budget Committee maintains oversight of budgetary issues, while

the authorizing and appropriating committees have control over the specific agencies and

program details. Therefore, the Congressional budget process and adoption of the concurrent

budget resolution offer Members of Congress the only opportunity to vote on—and take

responsibility for—the size of the budget deficit, total spending and budget priorities.1 However,

while the Congressional Budget Act defines the Congressional budget process and calls for a

budget resolution. Technically, the budget resolution is binding—it is internal rulemaking,

however, and not law. In the absence of a budget resolution, the appropriations committees can

move ahead with funding legislation regardless of whether a budget resolution has passed.

 

1 Schick, Allen. The Federal Budget: Politics, Policy, Process. Washington, DC: The Brookings Institution. 1995.
3

ORGANIZATIONAL DESCRIPTION

UNITED STATES SENATE COMMITTEE ON THE BUDGET

1. Legal Specifications, Authorizations, and Responsibilities.

A. Congressional Statutes: Article I, Section 5, clause 2 of the Constitution provides

that each chamber of Congress has the authority to determine the rules governing its procedures.

More specifically, the Senate Budget Committee was established by Title I of Public Law 93-

344, the Congressional Budget and Impoundment Control Act of 1974. The purpose of this law

was to provide a focal point for Congress to establish the annual debt, surplus, revenue, and

spending allocations. The Budget Committee sets the overall budget, however, which the

Figure 1. Timetable for Budget Committee Annual Action.

2

 

2 Extracted from table of the annual budget process. James V. Saturno, The Congressional Budget Process: A Brief Overview.

CRS Report for Congress. (Order Code RS20095) 1 March, 1999.

House and Senate Budget Committees

draft and mark up concurrent resolution

on the budget: must be reported in the

Senate by April 1 (section 300 of the

Congressional Budget Act) Budget resolution considered

in the House and Senate

(April 15 deadline for

completion of action on the

budget resolution - section 300

of the Congressional Budget Act)

Budget resolution sets revenue,

spending, and other budgetary

targets; may include reconciliation

instructions to one or more

committees (section 302(a) of the

Congressional Budget Act)

House and Senate Budget

Committees hold hearings

President submits budget proposal to Congress

by 1st Monday in February (31USC 11059(a))

Other Committees submit “views and

estimates” concerning expenditures and

receipts within their jurisdiction to House

and Senate Budget Committees within 6

weeks of President’s budget submission

(section 300 of the Congressional Budget

Act)

Instructed committees

respond to reconciliation

instructions in the budget

resolution (deadline

specified in the budget

resolution)

Committee reconciliation

recommendations packaged by

Budget Committees and

reported for consideration

in the House and Senate

Budget Committees
4

authorization and appropriations process works. In addition to creating a standing committee in

the Senate, the law amends the Rules of the Senate and the House of Representatives to improve

Congressional control and involvement in the budget process and instituted Congressional

activities to guide budget procedures. The legislation established a formal timetable (see Figure

1 above) for the Congressional budget process and created the Congressional Budget Office

(CBO).

B. Department/Agency Directives: Other legislation directing the activities of the

Senate Budget Committee include:

(1)The Budget and Accounting Act of 1921 created a more centralized approach

to financial policy and processes in both the executive and legislative branches, and established a

framework to balance the budget authority of the President and the Congress. The Act

systematized the Presidential budget process, created the Bureau of the Budget (later to become

the Office of Management and Budget (OMB)), and created the General Accounting Office

(GAO), which acts as the government’s auditor and reports directly to Congress.

(2) The Balanced Budget & Emergency Deficit Control Act of 1985 (GrammRudman-Hollings Act) was an effort to establish “maximum deficit amounts” as the budget

deficit and public debt continued to increase.3 The Act modified the Congressional budget

process in order to enforce the maximum deficit amounts and provided for the progressive

reduction of the Federal budget deficit to zero by fiscal year 1991.

(3) The Budget Enforcement Act of 1990 replaced the enforcement mechanisms

of the Balanced Budget and Emergency Deficit Control Act by shifting deficit targets from fixed

to adjustable, establishing caps on discretionary spending, and establishing a pay-as-you-go

requirement for direct spending and revenue legislation. The Budget Enforcement Act also

provided both Executive Branch and Congressional enforcement mechanisms. These

mechanisms include Executive Branch sequestration action and legislative procedures for

reconciliation, as well as dividing responsibility for budget enforcement among the

Appropriations Committee and authorizing committees.

(4) The Balanced Budget Act of 1997 amends the Congressional Budget and

Impoundment Control Act of 1974 and the Balanced Budget and Emergency Deficit Control Act

of 1985 by revising and clarifying procedures and reporting requirements of the Congressional

Budget Office and the Budget Committees, as well as increasing the points of order enforcement

mechanisms available to the Budget Committee.

C. Other Relevant Directives: Senate Rule XXV 1.(e)(1) of the Standing Rules of the

Senate outlines the jurisdiction and related functions of the Committee on the Budget.

 

3 “The Congressional Budget Process—An Explanation.” Committee on the Budget. United States Senate.
5

2. Missions/Functions/Purposes.

A. Major Responsibilities: The Senate Budget Committee was established in order to

provide oversight of the Federal budget and direct and monitor the budget process. Duties of the

Committee to fulfill this obligation include:4

(1) Responsibility for all concurrent resolutions on the budget;

(2) Reporting matters required of it under Titles III and IV of the Congressional

Budget Act of 1974;

(3) Making continuing studies of the effect on budget outlays of relevant existing

and proposed legislation and reporting the results of such studies to the Senate on a recurring

basis;

(4) Requesting and evaluating continuing studies of tax expenditures; devising

methods of coordinating tax expenditures, policies, and programs with direct budget outlays; and

reporting the results of such studies to the Senate on a recurring basis; and

(5) Reviewing, on a continuing basis, the conduct by the Congressional Budget

Office of its functions and duties.

B. Subordinate Activities and Agencies: The Committee maintains oversight of the

CBO, which provides independent economic and budgetary data to Congress—separate from the

President's budgetary analysis provided by the Office of Management and Budget—and

formulates its own economic analysis. Additionally, CBO evaluates the economic impact of the

President’s budget proposal and the Congressional budget resolution.5

3. Vision and Core Competencies.

A. Vision: The Senate Budget Committee does not have a vision statement.

B. Core Competencies: The Senate Budget Committee’s core competencies are guiding

the budget process by means of an annual concurrent budget resolution that sets fiscal and

budgetary policy and maintains oversight of the budget process. This process parallels the

budget process in the House of Representatives, and the Senate and House Budget Committees

are in close consultation throughout the process.

(1) The Senate Budget Committee drafts an annual budget resolution that covers

five fiscal years: the next fiscal year, for which appropriations and other budget actions are

pending in Congress, and four out-years.6 The budget resolution is distinguished from other

funding legislation first, because it is a resolution as opposed to a bill. A resolution is an act of

Congress but is not sent to the President for signature and does not have the force of law.

 

4 Standing Rules of the Senate. Rule XXV 1.(e)(1), Committee on the Budget. United States Senate.

5 “Defense Budget Process.” Center for Strategic and Budgetary Assessments,

(http://www.csbahome.com/defensebudgetprocess.htm)

6 Schick, Allen.
6

"Instead, it is enforced through the rules and procedures of each chamber."7 A concurrent

resolution addresses issues or matters affecting both the House and the Senate.

Second, the concurrent budget resolution determines the topline funding for functional

budget categories. These functional categories do not specify agency or program funding, but

rather group together related programs that may be implemented by a variety of agencies and/or

departments. The twenty functional categories include national defense; international affairs;

general science, space and technology; energy; natural resources and environment; agriculture;

commerce and housing credit; transportation; community and regional development; education,

training, employment, and social services; health; Medicare; income security; Social Security;

veterans benefits and services; administration of justice; general government; net interest;

allowances; and undistributed offsetting receipts.

(2) The Senate Budget Committee commissions studies continuously to analyze

the effects of proposed and enacted legislation on budget spending and revenue measures.

4. Organizational Culture.

A. Values: The Senate Budget Committee has no published values document.

B. Leadership Traditions: The majority and minority party leadership roles evolved in

order to provide a consultation mechanism between the political parties. Majority and minority

leaders, whips, and committee membership are decided prior to the beginning of each

Congressional session during the respective party conferences (or caucuses). "For Senate party

leaders, the committee appointment process offers a means of promoting party discipline through

the granting or withholding of desired assignments."8 A Senator's seniority is a significant factor

in determining his/her influence in securing positions on key committees.

As provided for under Rule XXV 3.(a) in the Standing Rules of the Senate, the

Committee on the Budget will consist of 22 Members. Committee assignments are decided by

each political party during party conferences and then by a vote of the full Senate. Previously,

the senior Senator on a committee held the position of Chair; more recently, however,

Republican party rules were changed to allow committee members to elect the Chairs by secret

ballot. With this change also came the decision from the Republican party to limit the service of

committee Chairs – or Ranking Member when in the minority – to six years. These conditions

have been in effect since 1995 when Republicans won the majority in Congress.

Senate standing committees are broken down into three categories of relative importance:

Class A, Class B, and Class C committees. The Class A committees are ranked as the most

important committees and include: Agriculture; Appropriations; Armed Services; Banking,

Housing and Urban Affairs; Commerce, Science, and Transportation; Energy and Natural

Resources; Environment and Public Works; Finance; Foreign Relations; Governmental Affairs;

Judiciary; and Labor and Human Resources. Republicans have distinguished four of the twelve

Class A committees as "Super A" committees and include Appropriations, Armed Services,

Finance, and Foreign Relations. Democrats have expanded on this "Super A" list to include the

 

7 "106th Congress: Key Issues and Early Agenda." Congressional Research Service Report for Congress. 31 December, 1998. p.

8.

8 "Senate Briefings: Committees." Learning About the Senate. (http://www.senate.gov/learning/brief_11.html)
7

Committee on Commerce, Science, and Transportation. Class B committees are ranked slightly

below Class A committees, but are still essential to the Senate's operations. The Class B

committees include Budget, Rules and Administration, Small Business, and Veterans' Affairs.

Currently, there are no Class C standing committees.

A Senator may not serve on more than two Class A committees, one Super A committee

and one Class B committee. A Senator is limited to being the Chair or Ranking Minority

Member of one Class A subcommittee or one Class A committee plus one Class A

subcommittee.

C. Staff Attributes: Professional staff for the Senate Budget Committee are

recommended by Committee Members. However, the Chair will make the final decision on staff

for the majority and the Ranking Member will have the final decision on staff for the minority.

If the Committee Chair or Ranking Member changes, the new Chair or Ranking Member has the

authority to make staffing changes as he/she pleases.

A committee's budget poses the only limitation on the number of professional staff. It is

up to the Chair to decide if he/she would prefer a few high paid staff or more lower paid staff. In

the 106th Congress, the Senate Budget Committee has 27 professional staff for the majority, 11-

12 for the minority and 4-5 non-designated staff.

D. Strategy: The Senate Budget Committee has no published organizational strategy

document.

E. Organization Chart: The Senate Budget Committee is one of 17 standing

committees in the Senate and has no subcommittees. For the 106th Congress the membership is

depicted below:

Senate Committee on the Budget

Republicans (12) Democrats (10)

Pete V. Domenici* (NM) - Chair

Chuck Grassley (IA)

Don Nickles (OK)

Phil Gramm (TX)

Christopher Bond* (MO)

Slade Gorton* (WA)

Judd Gregg* (NH)

Olympia Snowe+ (ME)

Spencer Abraham (MI)

William Frist (TN)

Rod Grams (MN)

Gordon Smith (OR)

Frank Lautenberg* (NJ) – Ranking Member

Ernest Hollings* (SC)

Kent Conrad (ND)

Paul Sarbanes (MD)

Barbara Boxer (CA)

Patty Murray* (WA)

Ron Wyden (OR)

Russell Feingold (WI)

Tim Johnson (SD)

Richard Durbin* (IL)

* Indicates Senator also sits on the Senate Appropriations Committee.

+ Indicates Senator also sits on the Senate Armed Services Committee.

 Indicates Senator also sits on the Senate Foreign Relations Committee.

5. Formal National Security Process Involvement. The Senate Budget Committee's

involvement in the national security process is in drafting a budget resolution that establishes
8

Congress' budget policies and priorities through aggregate funding and revenue levels. The

aggregate funding levels represent topline figures for the functional budget categories that

include national defense; international affairs; general science, space, and technology; energy;

transportation; and administration of justice. Additionally, the Committee monitors the budget

process and oversees that the appropriated funds are used as designated by the Federal budget.

After receiving the President’s budget request in January or February, the Senate Budget

Committee holds hearings to collect testimony from Administration officials, academia, experts

from the business community and other Members of Congress. The Senate and House Budget

Committees are the only committees to hold hearings on the entire budget. The Administration

officials called before the Committee are usually the Director of the Office of Management and

Budget and the Chair of the Federal Reserve Board, among others. The Director of OMB will

use this opportunity to advocate the President's budget proposal and answer questions concerning

the budget. The Chair of the Federal Reserve Board will provide an analysis of the effects of the

President's budget submission on monetary policy. The Director of the Congressional Budget

Office also testifies, providing an independent analysis of the economic and budgetary effects of

the President's budget. Typically, senior national security officials from DoD and the

Department of State (DoS) will testify before the Budget Committee to justify the topline

spending request for their departments.

Other Congressional committees review the President's budget submission, but do not

hold hearings on the budget per se. They report comments to the Budget Committee

approximately six weeks following release of the budget. These "views and estimates" reports

highlight policy changes proposed by the committees.9

The Senate Budget Committee considers the testimony from hearings and the views and

estimates reports when drafting the concurrent budget resolution. This input allows the

Committee "to gain a broad understanding of budget issues and Congressional sentiment."10 The

Senate Budget Committee may consult with the House Budget Committee when drafting the

budget resolution in order to maintain some cohesion between the two versions of the resolution.

However, any conflicting issues between the House and Senate budget resolutions will be

worked out in a conference committee.

Both chambers of Congress should pass the budget resolution by April 15; however, this

deadline often is not met. While the authorization and appropriations processes are theoretically

dependent upon passage of the budget resolution in order to move forward, authorizers and

appropriators will begin work on their respective bills regardless of the status of the budget

resolution.

A. Strategy Development: The Senate Budget Committee currently has no role in

strategy development.

B. Policy Guidance and Regulation: The Senate Budget Committee provides guidelines

for Congressional appropriators by defining funding parameters for each functional budget

category through passage of the concurrent budget resolution. The budget resolution is legally

 

9 Schick, Allen.

10 Schick, Allen. p. 77.
9

non-binding and is established for internal use within the Congress. The concurrent budget

resolution is not a law and is not signed by the President.

The aggregate amount of funding set forth in the budget resolution serves as a guideline

for Congressional appropriators and tax writers, who should adhere to the resolution in making

revenue and spending decisions.11 In theory, budget goals outlined in the Congressional budget

resolution are implemented through the 13 appropriations bills. However, often the appropriators

ignore the budget resolution when drafting funding legislation. In these cases, enforcement

mechanisms established in the 1974 Congressional Budget Act permit the Budget Committee to

sustain the aggregate spending and revenue levels. (See paragraph 5E. for further explanation.)

C. Planning: The Senate Budget Committee currently has no direct role in planning.

D. Mission Execution: The Senate Budget Committee currently has no role in mission

execution.

E. Observation, Orientation, and Oversight: In general, the Senate Budget Committee

maintains control over the funding allocations while other committees have control over

programs. Therefore, through the reconciliation process, as designated by the Congressional

Budget Act of 1974, the Senate Budget Committee maintains oversight of the authorization,

appropriations and tax-writing committees regarding compliance with the budget resolution. In

essence, the goal of the reconciliation process is to offset spending increases with revenue

increases and revenue decreases with spending decreases.

The reconciliation process was first used in 1980 and is not implemented every year.

This process instructs committees, "in the budget resolution, to develop legislation by a

particular deadline that conforms existing revenue and direct spending law to budget resolution

policies."12 The Senate Budget Committee will issue "reconciliation instructions" to the

committees that have made legislative funding or revenue changes that do not achieve the

savings or deficit reduction that the Budget Committee has outlined in the budget resolution.

Each committee that has been issued reconciliation instructions will draft a bill to implement the

changes recommended by the Budget Committee. The draft bills provided by each committee

will be consolidated into one "reconciliation bill." While the Senate Budget Committee has no

other means to ensure that committees comply with the reconciliation process, these committees

often act accordingly.

Once the reconciliation bill reaches the Senate floor, debate is limited to twenty hours

and specific restrictions apply to amendments offered to the bill. If it were not for the influential

role of the media, the bill possibly might be viewed as contentious legislation because it includes

spending cuts and tax increases, both of which are politically dangerous for a Senator to support.

However, because the media has labeled the bill in more favorable terms, calling it the "deficit

reduction bill," Senators end up winning political support for their efforts to reduce the deficit

and achieve public savings, instead of losing support by voting for tax increases and spending

cuts.

 

11 Schick, Allen.

12 "106th Congress: Key Issues and Early Agenda." Congressional Research Service Report for Congress. 31 December, 1998.

p. 8.
10

The Budget Committee also enforces the budget resolution through points of order. 13

Points of order are parliamentary mechanisms that allow a Senator to object to proposed

legislation, amendments, or Congressional action that violate the rules governing deliberation of

the budget resolution. A point of order on the budget requirements may be waived if there is a

vote of three-fifths of the full Senate.

Additionally, the Senate Budget Committee together with the House Budget Committee

maintain oversight of the Congressional Budget Office, which was established to provide

Congress with an "independent source of objective, expert and nonpoliticized budget estimates

and economic projections."14 

F. Preparation: The Senate Budget Committee currently has no direct role in

preparation.

G. Resourcing: The main product of the Senate Budget Committee, the concurrent

budget resolution, does not allocate funding for specific accounts or programs for Executive

Branch agencies and programs. Rather, the budget resolution establishes the aggregate amount

of the Federal budget and breaks down the funding into 20 functional areas of federal spending

[see paragraph 3B. (1)].

6. Informal National Security Process Involvement. Senate Budget Committee staff maintain

continuous informal relationships with OMB and CBO staff. Daily conversations at the staff

level assist Budget Committee staff in collecting detailed information and answering specific

questions on the President's budget submission. OMB staff also may use this informal

information exchange and the relationships developed with Congressional staff through this

process to advocate the President's budget proposal. (See Volume II, Chapter 3 entitled "Office

of Management and Budget.")

7. Funding and Personnel.

A. Authorization and Appropriations: The authority establishing the Senate Budget

Committee is the Congressional Budget and Impoundment Control Act of 1974, and the rules

governing the committee’s conduct are outlined in Rule XXV of the Standing Rules of the

Senate. Funding for the Committee is appropriated by the Senate Appropriations Legislative

Subcommittee.

B. Funding Sources: The Senate Budget Committee is funded through the Legislative

Branch appropriations.

C. Budget: The Senate Budget Committee is appropriated $3,449,315 for FY2000.

D. Personnel: In the 106th Congress, the Senate Budget Committee included 22 Senators

and 42-44 professional staff.

 

13 "Points of order are prohibitions against certain types of legislation or congressional actions." Saturno, James V. "Points of

Order in the Congressional Budget Process." Congressional Research Service Report 97-865. Updated April 15, 1999.

14 Tomkin, Shelly Lynne. Inside OMB: Politics and Process in the President's Budget Office. Armonk, N.Y.: M.E. Sharpe,

1998. p. 141.
11

8. Observations.

A. Observations: Under the Congressional Budget and Impoundment Control Act of

1974, a formal time frame and budget process has been established. However, it is important to

note that this is a relatively new process—only 25 years old.15 While the 1974 Budget Act

provides a framework to guide Congress in preparing revenue and spending measures, Congress'

ultimate goal is to ensure funding is available for the new fiscal year. Therefore, the Senate will

move forward with the authorization and appropriations process regardless of passage of the

budget resolution.

While this is the formal process laid out in the 1974 Budget Act, political maneuvering

can override budget procedures by use of parliamentary procedures. Therefore, this process

serves only as a guideline for Congress and the Budget Committee. The formal budget process

is sometimes ignored altogether due to conflicting political objectives and personalities within

the committees involved in enacting appropriations bills (budget, authorization and

appropriations) and within Congress in general. For example, through reconciliation

instructions, the Budget Committee is authorized to enforce the topline spending amounts for

each functional budget category if appropriators exceed their cap. However, depending on the

seniority, influence, and political position of an appropriations subcommittee chair or the

Appropriations Committee Chair, the spending caps may be waived (through parliamentary

procedures) when the bill is addressed on the Senate floor.

As the United States approaches a new era of budget surpluses, the budget process may

be redesigned to manage surpluses, just as the current budget process was established to manage

on-going budget deficits. Currently, there is a proposal in the House of Representatives to

modify the budget process. The Comprehensive Budget Process Reform Act of 1999 (H.R. 853)

proposes to increase enforcement mechanisms and includes provisions to manage emergency

spending and increase accountability and Congressional oversight.

B. Significant Informal Processes: As is the nature of the Congressional institution,

completion of the budget resolution is accompanied by "extensive behind-the-scenes

consultations involving both members and staff of other committees. The consultations serve to

build support for the budget resolution and flesh out the program assumptions underlying the

functional allocations."16 If a budget resolution is not completed, appropriators traditionally

defer to the House Budget Committee figures.17 Despite Senate rules requiring that a budget

resolution be in place in order to begin authorization legislation, the authorization and

appropriation processes will move forward regardless of the absence of a budget resolution.

Additionally, the Senate may begin drafting a budget resolution prior to receiving the House

version.

 

15 Prior to the 1860's, there was only one process in funding government agencies and programs. It was not until the 1860's that

the budget process was broken down into the authorization and appropriations processes. Interview with Congressional

Research Service (CRS) staff. 24 September, 1999.

16 Schick, Allen. p. 77.

17 Interview with Congressional staff member. 13 August, 1999.
ORGANIZATIONAL DESCRIPTION

SENATE COMMITTEE ON COMMERCE, SCIENCE

AND TRANSPORTATION

Prepared for the U.S. Commission on National Security/21st Century
2

EXECUTIVE SUMMARY

Senate Committee on Commerce, Science, and Transportation

Overview

The Senate Commerce, Science, and Transportation Committee is responsible for

studying and reviewing all matters relating to science and technology, oceans policy,

transportation, communications, and consumer affairs. Originally established as the Committee

on Commerce and Manufacturing, the Committee has jurisdiction over:

• Communications;

• Space activities;

• Science and technology activities;

• Aviation;

• Maritime issues;

• Commercial activities;

• Manufacturing; and

• Consumer affairs.

Organization

The Senate Commerce, Science and Transportation Committee is one of 17 standing

committees in the Senate and has seven subcommittees:

• Aviation;

• Communications;

• Consumer Affairs, Foreign Commerce, and Tourism;

• Manufacturing and Competitiveness;

• Oceans and Fisheries;

• Science, Technology, and Space; and

• Surface Transportation and Merchant Marine.
3

The Chair of the Committee and the Ranking Minority Member head the committee. The

Committee is limited to a membership of 20 Senators and has approximately 55 professional

staff.

Role in Formal and Informal National Security Processes

The Committee's jurisdiction focuses on commerce and commercial activities and it plays

a key role in defining and balancing policy concerning the use of sensitive technologies (used for

national security purposes or in military applications) in commercial applications. The

Committee decides how sensitive technologies will be treated. For example, will the technology

be made available for sale and export to foreign companies and governments, or restricted and

controlled by the Federal Government. In passing legislation, the Committee also defines policy

concerning the application of commercially developed technologies in national security functions

and military applications. Therefore, the Committee straddles issues involving national security

policy and commercial use applications of sensitive technologies. The Committee's oversight of

certain critical infrastructures and the U.S. Coast Guard also gives it a strong role in any issue

involving homeland security.

Observations

A committee's jurisdiction is often ambiguous and possibly overlaps with the jurisdiction

of other committees. In these cases, each committee has its own ideas and objectives on how to

approach the issue and the outcomes will vary depending upon the goals of the committee.

Furthermore, each Senator is driven by his/her own political motivations on a particular issue,

possibly resulting in conflicts within a committee or between committees on how to address the

particular issue. Because of the broad jurisdiction of the Commerce, Science and Transportation

Committee, many of the issues addressed by the Committee cross the boundaries of other

committees' jurisdiction, including issues related to national security policy.

As is the nature of the Congressional institution, completion of legislative initiatives are

accompanied by behind-the-scenes bargaining between Senators and staff of both parties and

with other committees that may share jurisdiction on a particular issue. Because of the broad

jurisdiction of the Commerce, Science and Transportation Committee, many of the issues

addressed by the Committee cross the boundaries of national security policy and encroach on the

jurisdiction of other committees, such as the Senate Armed Services Committee. In managing

these issues, there will be close coordination and informal consultations between the Senators

and staff from all committees involved.
4

ORGANIZATIONAL DESCRIPTION

SENATE COMMITTEE ON COMMERCE, SCIENCE, AND TRANSPORTATION

1. Legal Specifications, Authorizations, and Responsibilities. Article I, Section 5, clause 2 of

the Constitution provides that each chamber of Congress has the authority to determine the rules

governing its procedures.

A. Congressional Statutes: The Senate Committee on Commerce, Science and

Transportation (originally the Committee on Commerce and Manufacturers) is one of the

original standing committees of the Senate1 created during the 14th Congress in 1816.2

B. Other Related Directives: Senate Rule XXV 1(f)(1) of the Standing Rules of the

Senate outlines the jurisdiction and related functions of the Committee on Commerce, Science

and Transportation.

2. Missions/Functions/Purposes.

A. Major Responsibilities: The Senate Commerce, Science, and Transportation

Committee is responsible for studying and reviewing all matters relating to science and

technology, oceans policy, transportation, communications, and consumer affairs. The

Committee also maintains jurisdiction over all proposed legislation, messages, petitions,

memorials, and other matters relating to the following subjects3:

(1) U.S. Coast Guard;

(2) Communications;

(3) Nonmilitary aeronautical and space sciences;

(4) Science, engineering, and technology research and development and policy;

(5) Transportation;

(6) Merchant marine and navigation;

(7) Marine and ocean navigation, safety, and transportation, including

navigational aspects of deepwater ports;

(8) Oceans, weather, and atmospheric activities;

 

1 The other standing committees created in 1816 included Foreign Relations; Finance; Military Affairs; Naval Affairs; Judiciary;

Public Lands; Post Office and Post Roads; Militia; Claims; and Pensions.

2 Prior to 1816, the Senate operated with temporary committees to draft legislation. However, after the War of 1812, Senate

members found it was more efficient to maintain consistently available expertise and did so under the standing committee

structure.

3 Standing Rules of the Senate. "Standing Committees" Rule XXV clause 1(f)(1) Committee on Commerce, Science &

Transportation. United States Senate.
5

(9) Panama Canal and interoceanic canals generally, except as related to the

jurisdiction of the Committee on Armed Services;

(10) Coastal zone management;

(11) Highway safety;

(12) Inland waterways, except construction;

(13) Interstate commerce;

(14) Marine fisheries;

(15) Regulation of consumer products and services, (including testing related to

toxic substances other than pesticides) except for credit, financial services, and housing;

(16) Regulation of interstate common carriers, including railroads, buses, trucks,

vessels, pipelines, and civil aviation;

(17) Sports;

(18) Standards and measurement; and

(19) Transportation and commerce activities in U.S. territories.

B. Subordinate Activities and Agencies:

(1) Subcommittee on Aviation;

(2) Subcommittee on Communications;

(3) Subcommittee on Consumer Affairs, Foreign Commerce, and Tourism;

(4) Subcommittee on Manufacturing and Competitiveness;

(5) Subcommittee on Oceans and Fisheries;

(6) Subcommittee on Science, Technology, and Space; and

(7) Subcommittee on Surface Transportation and Merchant Marine.

3. Vision and Core Competencies.

A. Vision: The Commerce, Science and Transportation Committee does not have a

vision statement.

B. Core Competencies: The Senate Commerce, Science and Transportation Committee

has broad jurisdiction over a variety of government agencies, industries, and issues. The

Committee drafts legislation that regulates industries and protects consumers; maintains
6

oversight of distribution systems for interstate commerce (transportation systems); and

determines policy on science and research and development issues.

Historically, the Committee's jurisdiction has included interstate and foreign commerce.

In the late 1970s, the Committee acquired jurisdiction over aeronautical and space sciences.

With this type of jurisdictional focus, the Committee plays a key role in regulating industries that

emerge from technological developments, such as the communications industry, the aviation

industry, and the commercial space industry. The Committee also maintains oversight of those

government agencies that enforce the industry regulations (such as the Federal Communications

Commission, the Federal Aviation Administration and the National Aeronautics and Space

Administration).

4. Organizational Culture.

A. Values: The Senate Commerce, Science, and Transportation Committee has no

published values document.

B. Leadership Traditions: The Senate majority and minority party leadership roles

evolved in order to provide a consultation mechanism between political parties. Majority and

minority leaders, whips, and committee membership are decided prior to the beginning of each

congressional session during the respective party conferences (or caucus). A Senator's seniority

is a significant factor in determining his/her influence in securing positions on key committees.

Senate standing committees are broken down into three categories of relative importance:

Class A, Class B, and Class C committees. The Class A committees are ranked as the most

important committees and include: Commerce, Science, and Transportation; Agriculture;

Appropriations; Armed Services; Banking, Housing and Urban Affairs; Energy and Natural

Resources; Environment and Public Works; Finance; Foreign Relations; Governmental Affairs;

Judiciary; and Labor and Human Resources. Republicans have distinguished four of the twelve

Class A committees as "Super A" committees and include Appropriations, Armed Services,

Finance, and Foreign Relations. Democrats have expanded on this "Super A" list to include the

Committee on Commerce, Science, and Transportation. (Class B committees are ranked slightly

below Class A committees, but are still essential to the Senate's operations. The Class B

committees include Budget, Rules and Administration, Small Business, and Veterans' Affairs.)

Currently, there are no Class C standing committees.

A Senator may not serve on more than two Class A committees, one Super A committee

and one Class B committee. A Senator is limited to being the Chair or Ranking Minority

Member of one Class A subcommittee or one Class A committee plus one Class A

subcommittee.

C. Staff Attributes: Professional staff for the Senate Commerce, Science and

Transportation Committee are recommended by Committee Members. However, the Chair will

make the final decision on staff for the majority and the Ranking Member will have the final

decision on staff for the minority. If the Committee Chair or Ranking Member changes, the new

Chair or Ranking Member has the authority to make staffing changes as he/she pleases.
7

There are no restrictions on the number of staff the Committee may employ. However,

the Committee's budget limits the number of professional staff. It is up to the Chair to decide if

he/she would prefer a few high paid staff or more lower paid staff.

D. Strategy: The Senate Commerce, Science and Transportation Committee has no

published organizational strategy document.

E. Organization: As provided for under Rule XXV clause 2 in the Standing Rules of the

Senate, the Committee on Commerce, Science and Transportation consists of 20 Members.

Committee assignments are decided by each political party during party conferences, and then by

a vote of the full Senate. Previously, the senior Senator on a committee held the position of

Chair; more recently however, Republican party rules were changed to allow committee

members to elect the chair by secret ballot. With this change also came a decision by the

Republican party to limit the service of committee Chairs–or Ranking Member when in the

minority–to six years. These conditions have been in effect since 1995.

The Senate Commerce, Science and Transportation Committee is one of 17 standing

committees in the Senate and has seven subcommittees as shown on the following chart:

Figure 1: Organization of the Senate Committee on Commerce, Science, and

Transportation

Senate Committee on Commerce,

Science & Transportation

Aviation Communications Consumer Affairs, Foreign

Commerce and Tourism

Manufacturing and

Competitiveness

Oceans and Fisheries Science, Technology,

and Space

Surface Transportation and

Merchant Marine
8

(1) Senate Committee on Commerce, Science, and Transportation

Membership of the Senate Committee on Commerce, Science, and Transportation for the

106th Congress is depicted below:

Republicans (11) Democrats (9)

John McCain+ (AZ) – Chair

Ted Stevens* (AK)

Conrad Burns* (MT)

Slade Gorton* (WA)

Trent Lott (MI)

Kay Bailey Hutchison* (TX)

Olympia Snowe+ (ME)

John Ashcroft (MO)

Bill Frist (TN)

Spencer Abraham (MI)

Sam Brownback (KS)

Ernest F. Hollings* (SC) – Ranking Member

Daniel Inouye* (HI)

John Rockefeller IV (WV)

John Kerry (MA)

John Breaux (LA)

Richard Bryan (NV)

Byron Dorgan* (ND)

Ron Wyden (OR)

Max Cleland+ (GA)

* Indicates Senator also sits on the Senate Appropriations Committee.

+ Indicates Senator also sits on the Senate Armed Services Committee.

 Indicates Senator also sits on the Senate Foreign Relations Committee.

At the discretion of the Chair, the full Committee addresses measures favorably reported

out of the Subcommittees and, on occasion, measures reported unfavorably by the

Subcommittees. Therefore, the issues addressed by the full Committee are varied due to the

wide range of topics addressed by the Subcommittees as a whole. Subcommittee membership for

the 106th Congress, and subcommittee responsibilities are addressed below:

(2) Aviation Subcommittee

Republicans (10) Democrats (8)

Slade Gorton – Chair

Ted Stevens

Conrad Burns

Trent Lott

Kay Bailey Hutchison

John Ashcroft

Bill Frist

Olympia Snowe

Sam Brownback

Spencer Abraham

John Rockefeller IV – Ranking Member

Ernest F. Hollings

 Daniel Inouye

Richard Bryan

John Breaux

Byron Dorgan

Ron Wyden

Max Cleland

The Aviation Subcommittee is responsible for oversight and authorization of aviationrelated programs and those agencies that manage aviation issues (such as the aviation industry,

aviation safety, the aviation trust fund, and the airport improvement program). The agencies that

fall under the Subcommittee's jurisdiction and that have the greatest potential for direct national

security impact include:

• The Federal Aviation Administration (Transportation Department);
9

• The National Transportation and Safety Board (Aviation Programs).

(3) Communications Subcommittee

Republicans (9) Democrats (8)

Conrad Burns – Chair

Ted Stevens

Slade Gorton

Trent Lott

John Ashcroft

Kay Bailey Hutchison

Spencer Abraham

Bill Frist

Sam Brownback

Ernest F. Hollings – Ranking Member

Daniel Inouye

John Kerry

John Breaux

John Rockefeller IV

Byron Dorgan

Ron Wyden

Max Cleland

The Communications Subcommittee is responsible for oversight and authorization of

communications-related programs and those agencies that manage communications-related

issues. This Subcommittee has jurisdiction over such topics as encryption communication,

telecommunications industry economics, telecommunications law, universal service, and

spectrum allocation. As these issues under the jurisdiction of the Subcommittee are directly

linked to national security interests, measures addressed by this Subcommittee can directly

impact national security. The agencies that fall under the Subcommittee's jurisdiction include:

• Federal Communications Commission;

• Corporation for Public Broadcasting;

• Communications Satellite Corporation; and

• Intelsat.

(4) Consumer Affairs, Foreign Commerce, and Tourism Subcommittee

Republicans (5) Democrats (2)

John Ashcroft – Chair

Slade Gorton

Spencer Abraham

Conrad Burns

Sam Brownback

Richard Bryan – Ranking Member

John Breaux

The Consumer Affairs, Foreign Commerce, and Tourism Subcommittee is responsible for

the oversight of issues and programs relating to consumer law/product liability, insurance,

domestic industries, foreign commerce, tourism, and the Olympics and sports. The

Subcommittee has the opportunity to impact national security through the type of legislation it

drafts, especially regarding foreign commerce. The Subcommittee is responsible for the

oversight and authorization of the following government agencies:
10

• The Department of Commerce (generally);

• The Federal Trade Commission;

• Consumer Product Safety Commission; and

• National Highway Traffic Safety Administration (Department of Transportation).

(5) Manufacturing and Competitiveness Subcommittee

Republicans (5) Democrats (4)

Spencer Abraham – Chair

Olympia Snowe

John Ashcroft

Bill Frist

Sam Brownback

Byron Dorgan – Ranking Member

Richard Bryan

Ernest F. Hollings

John Rockefeller IV

The Manufacturing and Competitiveness Subcommittee has oversight of issues and

federal programs concerning investment; innovation and U.S. industrial policy; general

manufacturing issues; the impact of government policies on job creation; deregulation; and

corporate subsidies and their impact on competitiveness. As economic prosperity is in America's

national security interest, this Subcommittee potentially impacts national security policy through

measures it addresses that promote efficiency and competitiveness in industry.

(6) Oceans and Fisheries Subcommittee

Republicans (4) Democrats (3)

Olympia Snowe – Chair

Ted Stevens

Slade Gorton

Kay Bailey Hutchison

John Kerry – Ranking Member

Daniel Inouye

John Breaux

The Oceans and Fisheries Subcommittee is responsible for oversight of issues and

programs concerning coastal zone management; fisheries and marine mammals; and oil spill

liability. The agencies that fall under the Subcommittee's jurisdiction and have the greatest

potential for direct national security impact include:

• The U.S. Coast Guard (Department of Transportation);

• The National Oceanic and Atmospheric Administration – oceans programs

(Department of Commerce).
11

(7) Science, Technology, and Space Subcommittee

Republicans (5) Democrats (4)

Bill Frist – Chair

Conrad Burns

Kay Bailey Hutchison

Ted Stevens

Spencer Abraham

John Breaux – Ranking Member

John Rockefeller IV

John Kerry

Byron Dorgan

The Science, Technology, and Space Subcommittee has oversight of issues and programs

concerning federal research and development funding; the Internet; earthquake research

programs; encryption technology; and international science and technology. The Subcommittee

also is responsible for the oversight and authorization of the following government agencies:

• National Aeronautic and Space Administration;

• National Oceanic and Atmospheric Administration – Atmospheric (Department of

Commerce);

• National Science Foundation;

• National Institute of Standards and Technology (Department of Commerce);

• Office of Science and Technology Policy (Executive Office of the President); and

• U.S. Fire Administration (Federal Emergency Management Agency).

(8) Surface Transportation and Merchant Marine Subcommittee

Republicans (11) Democrats (9)

Kay Bailey Hutchison – Chair

Ted Stevens

Conrad Burns

Olympia Snowe

Bill Frist

Spencer Abraham

John Ashcroft

Sam Brownback

Daniel Inouye – Ranking Member

John Breaux

Byron Dorgan

Richard Bryan

Ron Wyden

Max Cleland

The Surface Transportation and Merchant Marine Subcommittee has oversight of issues

and programs concerning the maritime industry; merchant marine; pipelines; hazardous materials

transportation; the motor carrier industry; the railroad industry; and transportation safety. The

Subcommittee also is responsible for the oversight and authorization of the following

government agencies that may play a direct role in the national security process:
12

• The Federal Maritime Commission;

• The Maritime Administration (Department of Transportation);

• Surface Transportation Board (Department of Transportation); and

• Federal Railroad Administration (Department of Transportation).

5. Formal National Security Process Involvement. The Commerce, Science and

Transportation Committee straddles issues involving national security policy and commercial use

applications of sensitive technologies. The Committee's jurisdiction traditionally has focused on

commerce and commercial activities and it has played a key role in defining and balancing

policy concerning the liberalization of sensitive technologies (used for national security purposes

or in military applications) for use in commercial applications. Technologies customarily

reserved for use by the intelligence community and military for national security purposes have

become available for use in the private sector. Samples of such technologies include encryption

and space launch capabilities. The Committee decides how sensitive technologies will be

treated. For example, the Committee influences whether technology is made available to foreign

companies and governments, or restricted and controlled by the Federal Government. The

Committee also defines policy concerning the use of commercially developed technologies

applied in national security functions and military applications. Additionally, the Committee

oversees and regulates programs that commission volunteer commercial carriers as reserve

transportation for the military in times of intensified military mobilization (CRAF). The

Committee's oversight of certain critical infrastructure gives it a strong role in any issue

involving homeland security.

In 1977, the Senate adopted S. Res. 4, the Committee System Reorganization

Amendments, which provided the current name for the Committee and the change reflected "the

expanded jurisdiction given the Committee under the reorganization ... The Committee also was

charged with the nation's science, engineering, and technology policy. Related to its new science

responsibilities was jurisdiction over non-military aeronautical and space science policy."4

The history of the Committee demonstrates a focus on commerce and manufacturing.

The legislation reported out of the Committee and its subcommittees often favors the loosening

of restrictions on private business and industry regarding their uses of technology, depending

upon the position taken by the Committee Chair. While such legislation may be advantageous

for consumers, businesses, and industry, it also has impacted national security policy.

For example, legislation that relaxes restrictions on commercial activities while

impacting national security policy include the PROTECT Act of 1999 (S.798), the Open-market

Reorganization for the Betterment of International Telecommunications Act (ORBIT) bill

(S.376), and the Commercial Space Act of 1997 (Public Law 105-303). The PROTECT Act is

"a bill to promote electronic commerce that is consistent with national security goals and

interests."5 This bill establishes an advanced encryption standard for commercial use while

 

4 "Evolution of the Committee on Commerce, Science and Transportation." The U.S. Senate Committee on Commerce, Science

& Transportation. (http://www.senate.gov/~commerce/evol.htm).

5 "Committee Approves Encryption Bill." Press Release 106-82. U.S. Senate Committee on Commerce, Science and

Transportation. 23 June, 1999.
13

authorizing increased funding to law enforcement and national security agencies to upgrade

facilities and intelligence. The ORBIT Act "would amend the Communications Satellite Act of

1962 to promote competition and privatization in satellite communications."6 The Commercial

Space Act "promotes the commercialization of space without infringing upon national security to

encourage the exchange of space technology between the private and public sector. It also

establishes a framework for the licensing of commercial reentry activities."7

The Commerce Committee's oversight of research and development has prompted the

Committee to encourage cooperation between federal research and development laboratories and

the private sector through technology transfer and licensing agreements. Other legislation

adopted by the Committee promotes the cost sharing of federal research and development with

the private sector. For example, the Committee has recently reported the Federal Research

Investment Act (S.2217), which "establishes a long-term plan for federal funding of

fundamental, scientific, and pre-competitive engineering. It calls for increased funding levels for

civilian research and development and authorizes an aggregate amount of discretionary spending

for research and development from 1999 to 2010. The bill also establishes accountability

procedures to measure success and determine the continuation of federal research projects."8

In preparing or addressing legislation under its jurisdiction, the Commerce, Science and

Transportation Committee and its subcommittees hold hearings. Often the panelists at hearings

include other Members of Congress, Administration and/or military officials, agency

representatives, and experts in academia and/or the business community.

In each subcommittee's oversight capacity, authorization legislation is drafted each year

to authorize funding for the government agencies and programs administered by those agencies

that the subcommittees regulate and oversee. During this process, the subcommittees and the full

Committee collect testimony from senior government officials managing the agencies and

programs that fall under the Committee's jurisdiction.

A. Strategy Development: The Senate Commerce, Science and Transportation

Committee currently has no direct role in strategy development.

B. Policy Guidance and Regulation: The Committee is responsible for guiding policy,

oversight, regulation and authorization of the government programs and agencies under its

jurisdiction.9 (See Paragraph 4.E. for a discussion of the specific issues, programs, and agencies

the Commerce, Science and Transportation Committee regulate.)

C. Planning: The Senate Commerce, Science and Transportation Committee currently

has no direct role in planning.

 

6 "International Satellite Reform Bill Approved by Committee." Press Release 106-52. U.S. Senate Committee on Commerce,

Science and Transportation. 5 May, 1999.

7"Senate Clears Technology, Space Bills." Press Release 105-298. U.S. Senate Committee on Commerce, Science and

Transportation. 9 October, 1998.

8 "Senate Clears Technology, Space Bills."

9"Subcommittees." The U.S. Committee on Commerce, Science & Transportation.

(http://www.senate.gov/~commerce/subcmte.htm).
14

D. Mission Execution: The Senate Commerce, Science, and Transportation Committee

currently has no direct role in mission execution.

E. Observation, Orientation, and Oversight: The Commerce, Science, and

Transportation Committee has oversight authority over a number of federal government

programs and the agencies that administer the programs. In its observation and oversight

capacity, the Committee and Subcommittees will hold hearings to collect information on the

effectiveness and success of the agencies for which it has jurisdiction. (See Paragraph 4.E. for a

discussion of the specific issues, programs, and agencies the Commerce, Science and

Transportation Committee regulate.) In Committee and Subcommittee hearings, Senators will

hear from agency representatives, private sector experts and academia, think tanks, and other

Members of Congress.

F. Preparation: The Senate Commerce, Science, and Transportation Committee

currently has no direct role in preparation.

G. Resourcing: The Commerce, Science, and Transportation Committee is the

authorizing committee for the government agencies outlined in each Subcommittee's jurisdiction.

(See Paragraph 4.E. for a discussion of the specific agencies and the programs they administer

for whom the Commerce, Science and Transportation Committee has jurisdiction.) Therefore,

the Committee has "legislative jurisdiction over laws that set up or continue the operations of

Federal programs and provide the legal basis for making appropriations for those programs.

Authorizing committees also have direct control over spending for mandatory programs since the

Government's obligation to make payments for such programs is contained in the authorizing

legislation."10

6. Informal National Security Process Involvement. Senate Commerce, Science, and

Transportation Committee staff and Subcommittee staff maintain continuous informal

relationships with Administration officials within the White House and the Office of

Management and Budget, other Executive Branch staff responsible for policy development, and

the principals of the agencies for whom the Committee has authorizing jurisdiction.

Additionally, Committee staff maintain regular consultations with their counterparts in the House

and staff of the agencies for which the Committee has jurisdiction.

Regular conversations at the staff level assist the Committee and Subcommittee staff in

collecting detailed information and answering specific questions relating to the operations of the

agencies and programs that the Committee and Subcommittees oversee. Administration staff

also may use this informal information exchange and the relationships developed with

Congressional staff through this process to advocate the Administration's policy positions and

positions of particular government agencies.

7. Funding and Personnel.

A. Authorization and Appropriations: Funding for the Commerce, Science, and

Transportation Committee is authorized in the Standing Rules of the Senate.

 

10“The Congressional Budget Process—An Explanation.” Appendix I: Glossary. Committee on the Budget. United States

Senate.(http://www.senate.gov/~budget/republican/reference/cliff_notes/cliffapi.htm).
15

B. Funding Sources: The Commerce, Science, and Transportation Committee is funded

through the Legislative Branch Appropriations.

C. Budget: The Senate Commerce, Science, and Transportation Committee is

appropriated $3,823,318 for FY2000.

D. Personnel: The Senate Committee on Commerce, Science, and Transportation for the

106th Congress consists of 20 Senators and 55 professional staff.

8. Observations. A committee's jurisdiction is often ambiguous and possibly overlaps with the

jurisdiction of other committees. In these cases, each committee has its own ideas and objectives

on how to approach the issue and the outcomes will vary depending upon the objectives of the

committee. Furthermore, each Senator is driven by his/her own political motivations on a

particular issue, possibly resulting in conflicts within a committee or between committees on

how to address the particular issue. Because of the broad jurisdiction of the Commerce, Science

and Transportation Committee, many of the issues addressed by the Committee cross the

boundaries of other committees' jurisdiction, including issues related to national security policy.

For example, the Commerce Committee's jurisdiction may overlap with that of the Senate Armed

Services Committee on issues such as aeronautical and space activities; research and

development activities with military implications/applications; nuclear energy issues with

aspects concerning national security; and strategic and critical materials necessary for the

common defense.11 In managing these issues, there will be close coordination and informal

consultations between the Senators and staff from each committee involved.

Legislative efforts are accompanied by behind-the-scenes bargaining between Senators

and staff of both parties and with other committees that may share jurisdiction on a particular

issue. The Senate Majority Leader holds a great deal of power through coordinating

consultations with the minority party and persuading majority party Senators to adopt the party

position on certain issues. If the Majority Leader supports the legislative efforts of the

Committee chair, the Majority Leader may support some of the Committee's initiatives. The

Majority Leader also maintains control over the Senate floor calendar, which gives him/her a

great deal of influence by controlling which measures and issues the full Senate will address.

Therefore, any initiative of the Committee can result in no action depending on the priorities and

interests of the Majority Leader.

 

11 U.S. Senate Committee on Armed Services. "Committee Jurisdiction." (http://www.senate.gov/~armed_services/about.htm).
1

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