From the Congressional Glossary – Including Legislative and Budget Terms

Congressional Ethics

A member of Congress works in an environment with numerous ethical rules, and with constraints on official, political, and personal activities. These limits exist in laws, regulations, chamber rules, interpretations, and practices. The expectations of members’ constituents also contribute to ever tightening acceptable norms of behavior.

There are many aspects and considerations involved in the application of ethics laws and rules in a particular situation. There are laws that apply to both representatives and senators, yet different chamber rules, interpretations, and practices apply in the House and Senate. Differing rules may apply to members’ spouses, children, and staff. Therefore, it is prudent to get a professional opinion on a specific activity before it is undertaken. A government affairs professional might have every good intention in offering a service or courtesy to a member of Congress. However, she may inadvertently be running afoul of a well-established ethics norm. Members are not exempt from civil or criminal liability. They are subject to prosecution for violations of federal, state, and local criminal law. Also see Immunity.

Congressional corruption cases and ethics violations do not often go to trial in federal court or to formal hearing in the congressional ethics committees. Among the reasons for this infrequent occurrence are that bribery (the issue if not the allegation underlying many public corruption cases) is difficult to demonstrate, evidentiary support for a trial is weak, plea bargaining might conclude an investigation, the member resigns or does not seek reelection, or the member is defeated in a primary or general election.

Conviction of a crime could result in an additional penalty for a member of Congress, in addition to jail time, fines, and other forms of punishment. If a member of Congress is convicted of certain crimes, he is deprived of creditable service under federal retirement systems, the consequence being that the member loses his federal pension benefits. The member could, however, receive back his own retirement plan contributions. The crimes include but are not limited to bribery, illegal gratuities, honest services fraud, obstruction of justice, and perjury. Members of Congress, like most federal officials, lose their pension benefits if convicted of the crimes of treason, espionage, and related national security criminal laws.

Ethics training has increased in recent years, and is now required for new staff. In the House and the Senate, any new staff member must receive ethics training within sixty days of an individual’s hiring. Ethics training has also been given to new representatives and senators and to staff who were already employed when House and Senate rules were changed in 2007.

House and Senate gift rules: House Rule XXV and Senate Rule XXXV. Also see Congressional Pay and Perquisites.

There are a number of places where one can begin research on congressional ethics.

House

• House Committee on Ethics (until the 112th Congress, the Committee on Standards of Official Conduct), which has a web site of current and historical information, some of which is highlighted in this list.
• House Ethics Manual (456-page PDF), last published in 2008; individual chapters are accessible from the left navigation bar on the committee web site.
• Committee advisory memoranda, known as “pink sheets.”
• House Code of Official Conduct / House Rule XXIII.
• House Rule X, clause 1(q) (Ethics Committee’s jurisdiction); Rule X, clause 11(g)(4) (committee’s duty to investigate an unauthorized release of intelligence information in the possession of the Permanent Select Committee on Intelligence); Rule XI, clause 3 (functions of the committee); and Rule XXV, clause 5(h) and (i) (committee’s duties pertinent to the House “gift rule“)–available on the web site of the House Committee on Rules.
• Office of Congressional Ethics, established in 2009 to receive from the public allegations of House members’, officers’, or staff’s ethics violations, and, where a review finds merit to an allegation, to refer the matter to the Ethics Committee for disposition.
• Members’ Congressional Handbook, available on the web site of the Committee on House Administration.
• Committee Handbook, available on the web site of the Committee on House Administration.
• Franking Manual and related franking information, available on the web site of the Committee
  on House Administration.

The House Ethics Committee attempts to to respond to ethics questions from organizations and individuals outside of the House after serving House members and staff. The committee only accepts a complaint from the public if it is “certified in writing” by a member of the House. The committee may be contacted by telephone, 202-225-7103, or in writing, Committee on Ethics, 1015 Longworth HOB, U.S. House of Representatives, Washington, DC 20515.

The Office of Congressional Ethics (OCE) was created in March 2009 to receive complaints from the public about the ethical conduct of members of the House, House officers, and House staff members. It is not a House committee, but an independent, nonpartisan office governed by a board of directors comprising private citizens. Upon the written request of two board members (one of whom is appointed by the Speaker and one by the minority leader), OCE reviews allegations of misconduct by a member, officer, or staff member of the House. If two members make a request for an investigation and the investigation continues through two required phases of review, then four members of the board may refer the matter to the House Ethics Committee with a recommendation for further review or dismissal. If four members fail to support referral for either further review or dismissal, the matter is referred as unresolved to the Ethics Committee. OCE may be contacted though its web site, by phone: 202-225-9739, or by mail: PO Box 895, Washington, DC 20515. OCE is located at 425 Third Street SW, Washington, DC.

Senate

• Senate Select Committee on Ethics, which has a web site of current and historical information.
• Senate Ethics Manual (S.Pub. 108-1) (542-page PDF), last published in 2003, available on the web site of the Senate Ethics Committee.
• Committee interpretative rulings and other guidance are either listed on the committee’s home page or appear in appendices to the Senate Ethics Manual.
• Senate Code of Official Conduct (63-page PDF), Senate Rules XXXIV–XLIV.
• Senate standing orders creating and assigning duties to the Ethics Committee (Senate Manual, §§ 77–80), available from the GPO’s Federal Digital System, select “Browse Collections” then “Senate Manual”).
• The Senate Ethics Committee’s rules of procedure.
• United States Senate Handbook, updated in October 2010 and available only on the Senate internal web site.
• Regulations Governing the Use of the Mailing Frank (45-page PDF), available on the Senate Ethics Committee’s web site.

The Senate Ethics Committee attempts to respond to ethics questions from organizations and individuals outside of the Senate after serving senators and staff. The committee may accept a complaint from an individual who is not a senator, Senate officer, or Senate staff member. The telephone number is 202-224-2981. The committee is located at SH-220 Hart Building, Washington, DC 20510.

Also see CODEL / Congressional Delegation / Junket; Congressional Pay and Perquisites; Exclusion / Disorderly Behaviour / Censure / Reprimand / Expulsion; Frank / Franking Privilege; Immunity; § 3.50 Congressional Ethics, § 3.60 Regulated Activities, in Congressional Deskbook.

Courses

• Congressional Dynamics and the Legislative Process
• Congressional Briefing Conference – Capitol Hill Workshop
• Drafting Federal Legislation and Amendments
• Understanding Congressional Budgeting and Appropriations
• Advanced Legislative Strategies
• Research Workshops

Publications

CongressionalGlossary.com, from TheCapitol.Net

From the Congressional Glossary – Including Legislative and Budget Terms

Appeal the Ruling of the Chair

Stone walls and chains do not make a prison --- for Houdini, Library of Congress, LC-USZC2-3784

The right to appeal from a decision of the Chair on a question of order is derived from the English Parliament and is recognized under clause 5 of House Rule I, which dates from 1789. This right of appeal, which may be invoked by any House member, protects the House against arbitrary control by the Speaker.

Member: I (respectfully) appeal the ruling of the Chair.
Chair: The question is, shall the decision of the Chair stand as the judgment of the House [or the Committee]?

An appeal is debatable but is subject to the motions for the previous question and to table in the House. In the Committee of the Whole, an appeal is subject to the motion to limit debate and to rise and close debate in the House. The vote on an appeal may be taken by record vote. A majority vote sustains the ruling. The weight of precedent indicates that a tie vote (especially where the Chair has not voted to make the tie) sustains the ruling as well. The Chair may vote to make or break a tie and may cast a vote in favor of the decision.

An appeal from a ruling of the Chair goes only to the propriety of the ruling; the vote thereon should not be interpreted as a vote on the merits of the issue at hand.

Clause 5 of House Rule I provides the right of appeal from decisions of the Speaker on questions of order. An appeal may also be taken from the ruling of the chair of the Committee of the Whole on a question of order. For example, an appeal may be taken from a ruling of the Chair on the germaneness of an amendment or that an amendment proposes to change a portion of the bill already passed in the reading. The Speaker’s decision on a question of order is not subject to appeal if the decision is one that falls within the discretionary authority of the Chair.

In the Committee of the Whole, a member can move to close debate (end debate) on a pending amendment or to limit debate at a specified time. (After the last section of the bill has been read in the House sitting as the House, a member can move the previous question. This motion is not in order in the Committee of the Whole.) Unlike the previous question, closing or limiting debate does not preclude offering additional amendments. It means that all subsequent amendments are decided without debate.

Source: House Practice: A Guide to the Rules, Precedents and Procedures of the House, Chapter 3. Appeals, § 1 In General; Forms.

Also see Committee of the Whole; Germane / Germaneness; Point of Order; Previous Question; Recorded VoteSpeaker; § 6.120 Committee of the Whole: Amendment Process, in Congressional Deskbook.

More

• “Suspension of the Rules in the House of Representatives,” CRS Report RL32474
• “Points of Order, Rulings, and Appeals in the House of Representatives,” CRS Report 98-307
• “The Amending Process in the House of Representatives,” CRS Report 98-995
• “Commonly Used Motions and Requests in the House of Representatives,” CRS Report RL32207

Courses

• Congressional Dynamics and the Legislative Process
• Capitol Hill Workshop – Congressional Operations Briefing and Seminar
• Drafting Federal Legislation and Amendments
• Understanding Congressional Budgeting and Appropriations
• Advanced Legislative Strategies

Publications

CongressionalGlossary.com, from TheCapitol.Net

From the Congressional Glossary – Including Legislative and Budget Terms

President of the United States / State of the Union

The U.S. Constitution, Article 2, Section 1, established the office of the President of the United States, who is the head of the executive branch of the United States government:

The executive Power shall be vested in a President of the United States of America. He shall hold his Office during the Term of four Years, and, together with the Vice President, chosen for the same Term, be elected…

Article II, Section 1 – The President

The power of the executive branch is vested in the president, who also acts as head of state and Commander-in-Chief of the armed forces.

U.S. Constitution, Article 2 – The Executive Branch
  Section 1 – The President
  Section 2 – Civilian Power over Military, Cabinet, Pardon Power, Appointments
  Section 3 – State of the Union, Convening Congress
  Section 4 – Disqualification

It is possible under the Constitution for the president to reconvene Congress within or between sessions. The threat of the president calling Congress back is sometimes used tactically to extract an extra effort from Congress toward completing a specific legislative action.

[The president] may, on extraordinary Occasions, convene both Houses, or either of them, and in Case of Disagreement between them, with Respect to the Time of Adjournment, he may adjourn them to such Time as he shall think proper….

Article II, Section 3, U.S. Constitution

The terms of the President and Vice President shall end at noon on the 20th day of January, and the terms of Senators and Representatives at noon on the 3d day of January, of the years in which such terms would have ended if this article had not been ratified; and the terms of their successors shall then begin.

Twentieth Amendment to the U.S. Constitution, Section 1.

The inauguration of the president is referred to as a “joint gathering” of Congress, although in recent years it has been held pursuant to concurrent resolution and thus would be a joint session of Congress.

A piece of legislation must also pass the test of having sufficient political support to gain the president’s signature to become law. The president, however, might veto a measure for any number of reasons, including a different sense of what the nation wants or needs. For Congress then to override a presidential veto requires a two-thirds supermajority in each chamber. On those infrequent occasions when a veto is overridden, political consensus in Congress must be very high.

It is in the power of the presidential veto that one can clearly see what the phrase “co-equal branches of government” means. Unless there are two-thirds of the members of each chamber willing to vote to override a veto, almost the equivalent of Congress speaking with one voice, the power of the sole executive–the president–is equal to the votes of more than 280 representatives and more than 60 senators, assuming all members are present and vote overwhelmingly for a measure. But few controversial measures pass Congress by majorities within striking distance of the two thirds required for a veto override. The president’s exercise of the veto should be seen as a constitutional action first and a political action second.

Lansdowne portrait of George Washington by Gilbert Stuart, 1796

GAO is headed by the comptroller general. After receiving a list of candidates from a special bicameral, bipartisan commission, the president nominates the comptroller general to a fifteen-year term; the presidential appointment is subject to the Senate’s confirmation.

The Office of Management and Budget (OMB) organizes the preparation of the annual budget in the executive branch, and works to implement the president’s guidance and decisions during that process.

Congress typically holds several joint meetings or joint sessions each year, one to receive the president’s State of the Union address and others to allow noted Americans and foreign leaders to address members of the House and Senate meeting together. The president in his State of the Union address to Congress outlines his priorities for the year, which may lead to legislation. Senators, by tradition, rarely introduce legislation until after the president delivers his State of the Union address.

In contemporary practice, the president appears before a joint session of Congress in late January to deliver a speech popularly referred to as the State of the Union address or message, laying out his legislative program, explaining his policies on the major issues of the time, and exhorting Congress to take specific actions in support of his vision and program. The address emanates from a constitutional provision (Article II, Section 3, clause 1): “He [the president] shall from time to time give to the Congress Information on the State of the Union, and recommend to their Consideration such measures as he shall judge necessary and expedient[.]”

After consultation with the White House, the House and Senate pass a concurrent resolution setting a day and time for a joint session “for receiving such communication as the President of the United States shall be pleased to make to them.” When the day arrives, a special security sweep is made of the Capitol, and other security measures are triggered. The senators are escorted to the House chamber by the Senate sergeant at arms. Other dignitaries are also seated in the chamber–former members, justices of the Supreme Court, the joint chiefs of staff, Cabinet secretaries and Cabinet-rank officials, and ambassadors to the United States. Traditionally, one Cabinet secretary and several members of Congress, representing both parties, do not attend the joint session, to ensure succession should a catastrophe happen at the Capitol while the president is there. The first lady and guests of the president are allocated seats in the gallery. Other gallery guests must obtain tickets.

James Madison, Father of the Constitution, 4th President of the United States. Portrait by John Vanderlyn

The Speaker presides over the joint session, but shares the dais with the vice president in his role as president of the Senate. A group of senators and representatives that was previously selected escorts the president into the chamber. The president is announced first at the House door by the House sergeant at arms and then again by the Speaker after the president takes his place on the dais. The group of members also escorts the president out of the chamber after he completes his address.

President Truman’s 1947 address was the first to be televised. President Johnson was the first to make his address during prime-time television viewing hours, recognizing the opportunity to speak to the nation that the event presented. A formal opposing-party response was first made in 1966. The State of the Union address has now become an important media event, and both parties use it to publicize their positions on issues covered or not covered in the address, in events both before and after the address.

Immediately following a State of the Union address, members of Congress meet the press in National Statuary Hall to put their “spin” on it. The day after the State of the Union address, the president might travel to several states to publicize his program and to build public support for his proposals. In years in which a new president takes office, the outgoing president might choose not to deliver an address in person, or might choose to make a televised address at a place other than the Capitol, and the incoming president might choose to make a more focused address several months into office to seek action by Congress on a specific presidential initiative.

Also see Comptroller General; Electoral College; Executive Branch; Executive Order; Executive Privilege; Impeach / Impeachment; Joint Session; Office of Management and Budget (OMB); Presidential Appointment; Presidential Signature / Presidential Signing Statements; Presidential Succession; President of the Senate; President Pro Tempore; Speaker; Terms and Sessions of Congress; Veto; § 5.30 Terms and Sessions of Congress, § 6.290 Presidential Action on Enacted Measures, § 7.40 Presidential Budget Process, § 8.20 Congress and the Executive: Legislation, § 8.21 State of the Union Address, § 8.90 Congress and the Executive: Presidential Election and Succession, in Congressional Deskbook.

More

• The Presidents – White House
• James Madison, Father of the Constitution (1751-1836)
• President of the United States – Wikipedia
• “Presidential and Vice Presidential Terms and Tenure,” CRS Report RS20827
• “Presidential and Vice Presidential Succession: Overview and Current Legislation,” CRS Report RL31761
• “War Powers Resolution: Presidential Compliance,” CRS Report IB81050
• “Election of the President and Vice President by Congress: Contingent Election,” CRS Report RS20300
• “The Role of the President in Budget Development,” CRS Report RS20179
• “The President’s State of the Union Message: Frequently Asked Questions,” CRS Report RS20021
• “Impeachment: An Overview of Constitutional Provisions, Procedure, and Practice,” CRS Report 98-186
• “Censure of the President by the Congress,” CRS Report 98-843
• “Presidential Nominating Process: Current Issues,” CRS Report RL34222

Courses

• Congressional Dynamics and the Legislative Process
• Capitol Hill Workshop – Congressional Operations Briefing and Seminar
• Drafting Federal Legislation and Amendments
• Understanding Congressional Budgeting and Appropriations
• Advanced Legislative Strategies

Publications

CongressionalGlossary.com, from TheCapitol.Net

From the Congressional Glossary – Including Legislative and Budget Terms

Executive Branch

The president is the head of the executive branch of the government, which includes many departments and agencies.

The power of the Executive Branch is vested in the President of the United States, who also acts as head of state and Commander-in-Chief of the armed forces.

Within the constitutional framework, Congress and the executive continuously devise and revise formal and informal means of making their relationship work. Over time, Congress has given the executive branch authority and responsibilities that are executive (administering the law), legislative (for example, rulemaking), and judicial (through adjudication). Congress uses its constitutional authority, including the Necessary and Proper, or Elastic, Clause (Article I, Section 8, cl. 18: “To make all Laws which shall be necessary and proper….”), to pass laws establishing federal government agencies and programs. In addition to program-specific laws, Congress passes laws dictating government wide procedures. One way that Congress attempts to ensure that the vast array of federal programs is carried out with due consideration for democratic, constitutional values and a minimum of waste, fraud, and abuse is by passing general management laws, such as the Administrative Procedure Act (5 U.S.C. § 551 et seq. and § 701 et seq.), that specify the processes that each agency must follow when carrying out its responsibilities. In addition to its legislative powers, Congress has the power to influence the executive through appropriations, appointments advice and consent, and oversight and investigation. It requires reports from the executive, conducts hearings, monitors the Federal Register, and pursues its checks on executive power in dozens of other ways. Congressional use of these powers and methods for checking the executive varies; some Congresses assert their constitutional prerogatives more than other Congresses.

Diagram of the Federal Government and American Union by N. Mendal Shafer, attorney and counseller at law, office no. 5 Masonic Temple, Cincinnati, Library of Congress

By setting the level of funding or denying funding for federal programs, and by attaching strings to funding, Congress ensures its role in establishing the priorities and policies of the executive branch. One of Congress’ most effective means of exercising control over the executive is through the appropriations process. The Constitution provides that “No Money shall be drawn from the Treasury, but in Consequence of Appropriations made by Law….” (Article I, Section 9, clause 7). By setting the level of funding or denying funding for federal programs, and by attaching strings to funding, Congress ensures its role in establishing the priorities and policies of the executive branch.

Congress places controls on the executive branch not only through its appropriations authority but also by making laws for managing the executive branch. Personnel systems (including personnel benefits), procurement systems, financial management, information technology, and other areas of management of the executive branch are covered in laws enacted by Congress. Congress can apply a management law to all parts of the executive branch. Through another law, Congress may also exempt an agency from specific management laws, or even exempt a category of agencies from specific laws. Congress might also impose different or additional management standards on an agency or a category of agencies.

The role of the president as day-to-day “manager-in-chief” of the federal bureaucracy provides him with a prominent vantage point from which to promote and implement particular reforms. Although Congress might not adopt an administration’s plan in its entirety, some members and committees might elect to incorporate elements into their own legislative agenda. Statutory changes are usually necessary in order for a president’s management initiatives to take hold and have an impact on the federal government that outlasts the administration.

Page 22 from The United States Government Manual 2011

Congressional oversight and investigation are key components of the system of checks and balances between the branches of the federal government, as well as a means of making determinations about the need for additional lawmaking. With oversight, Congress–through its standing and specially authorized committees–reviews the implementation of public policy. Through investigations, these committees use powers granted them by their parent chambers to probe governmental and private activities for potential misconduct or mismanagement, and to compel the appearance and testimony of witnesses and the provision of documents. Although Congress often conducts oversight and investigatory activities itself, other governmental actors, such as the Government Accountability Office (GAO) and inspectors general (IGs) in departments and agencies, are regularly called upon by Congress to assist with these functions. As one of many elements of congressional-executive relations, oversight and investigations are part of a largely seamless web where one element overlaps with another. Congress sometimes conducts oversight hearings as distinct activities, but the review of agencies and programs also pervades routine congressional activities, such as the appropriations and confirmation processes.

Congress’ authority to conduct oversight and investigation is implied from its enumerated powers in the Constitution and the Necessary and Proper Clause. This authority is viewed as essential to Congress’ lawmaking role.

Also see Agency; Appropriation; Executive Order; Executive Privilege; Federal Register; Government Accountability Office (GAO); Office of Management and Budget (OMB); Oversight; President of the United States; Rulemaking; § 8.10 Congress and the Executive, § 8.50 Congress and the Executive: Appropriations, § 8.60 Congress and the Executive: Management, in Congressional Deskbook.

More

• Federal Executive Branch – USA.gov
• “Executive Branch Reorganization Initiatives During the 112th Congress: A Brief Overview,” CRS Report R41841
• “Executive Branch Reorganization,” CRS Report IB93026
• “Executive Branch Power to Postpone Elections,” CRS Report RL32471
• “Congressional Access to Executive Branch Information: Legislative Tools,” CRS Report RL30966
• “Lobbying the Executive Branch: Current Practices and Options for Change,” CRS Report R40947
• “Continuity of Operations (COOP) in the Executive Branch: Background and Issues for Congress,” CRS Report RL31857

Courses

• Congressional Dynamics and the Legislative Process
• Capitol Hill Workshop – Congressional Operations Briefing and Seminar
• Drafting Federal Legislation and Amendments
• Understanding Congressional Budgeting and Appropriations
• Advanced Legislative Strategies

Publications

CongressionalGlossary.com, from TheCapitol.Net

From the Congressional Glossary – Including Legislative and Budget Terms

Executive Privilege / Qualified Privilege

The phrase “executive privilege” is a shorthand reference to the “qualified privilege” of the executive to decline to respond to a request for information–documents or testimony or both–from either of the other two branches of the federal government. A unanimous circuit court opinion in 1997 distinguished between two different kinds of executive privilege—presidential communications privilege and deliberative process privilege–with different legal bases and different thresholds of need required to compel disclosure.

Presidential communications privilege is based in “the constitutional separation of powers principles and the President’s unique constitutional role.” (In re Sealed Case, 121 F.3d 729 at 745, 326 U.S.App.D.C. 276 (D.C. Cir. 1997).) This privilege allows the president to protect from disclosure the details of decision-making and deliberations with close advisors. Presidential communications are considered to be “presumptively privileged,” but the privilege is not absolute; it may be overcome by an adequate showing of need. The court indicated that “the privilege should apply only to communications authored or solicited and received by those members of an immediate White House adviser’s staff who have broad and significant responsibility for investigating and formulating the advice to be given the President on the particular matter to which the communications relate.” The privilege protects such communications where they involve government operations that require the president’s direct decision-making. The In re Sealed Case court limited the claim of such privilege to those advisors in close decisional proximity to the president. The court specified that “the privilege should not extend to staff outside the White House in executive branch agencies.” The reasoning of the court in In re Sealed Case was subsequently adopted in Judicial Watch v. Department of Justice, 365 F.3d 1108 (D.C. Cir. 2004). Presidential claims of executive privilege are unusual, and they are normally made by the president or at his direction. Such claims usually lead to negotiations between the White House and Congress.

Deliberative process privilege is a common-law privilege and applies to executive officials generally. The threshold of need for overcoming this claim of privilege is lower than for overcoming a claim of presidential communications privilege. If a claim is made by a department or agency that does not involve the president and his assertion of the claim, the practice is for a requesting congressional committee to make a case-by-case evaluation of the claim. The department or agency and Congress normally negotiate over the requested material, and a congressional committee might begin drafting a congressional contempt citation to add leverage to its request. If negotiations between Congress and the executive fail, the parent chamber can adopt a contempt citation and even seek relief in the courts. Alternatively, Congress may use other constitutional powers, such as its appropriations authority or the Senate’s confirmation power, as leverage in obtaining the needed information.

Special privilege, Puck, March 25, 1908, Library of Congress

Since the beginning of the federal government, Presidents have called upon executive branch officials to provide them with advice regarding matters of policy and administration. While Cabinet members were among the first to play such a role, the creation of the Executive Office of the President (EOP) in 1939 and the various agencies located within that structure resulted in a large increase in the number and variety of presidential advisers. All senior staff members of the White House Office and the leaders of the various EOP agencies and instrumentalities could be said to serve as advisers to the President.

Occasionally, these executive branch officials playing a presidential advisory role have been called upon to testify before congressional committees and subcommittees. Sometimes, such invited appearances have been prompted by allegations of personal misconduct on the part of the official, but they have also included instances when accountability for policymaking and administrative or managerial actions have instigated the request for testimony. Because such appearances before congressional committees or subcommittees seemingly could result in demands for advice proffered to the President, or the disclosure–inadvertent or otherwise–of such advice, there has been resistance, from time to time, by the Chief Executive to allowing such testimony.

Congress has a constitutionally rooted right of access to the information it needs to perform its Article I legislative and oversight functions. Generally, a congressional committee with jurisdiction over the subject matter, which is conducting an authorized investigation for legislative or oversight purposes, has a right to information held by the executive branch in the absence of either a valid claim of constitutional privilege by the executive or a statutory provision whereby Congress has limited its constitutional right to information.

A congressional committee may request (informally or by a letter from the committee chair, perhaps co-signed by the ranking member) or demand (pursuant to subpoena) the testimony of a presidential adviser. However, Congress may encounter legal and political problems in attempting to enforce a subpoena to a presidential adviser. Conflicts concerning congressional requests or demands for executive branch testimony or documents often involve extensive negotiations and may be resolved by some form of compromise as to, inter alia, the scope of the testimony or information to be provided to Congress.

Also see Appropriation; Contempt of Congress; Executive Branch; Oversight / Oversight Committee; President of the United States; Ranking Member; § 8.72 Executive Privilege, in Congressional Deskbook.

More

• In re Sealed Case, 121 F.3d 729 at 745, 326 U.S.App.D.C. 276 (D.C. Cir. 1997) (46-page PDF)
• “Presidential Claims of Executive Privilege: History, Law, Practice and Recent Developments,” CRS Report RL30319
• “Congressional Access to Executive Branch Information: Legislative Tools,” CRS Report RL30966
• “Homeland Security: The Presidential Coordination Office,” CRS Report RL31148
• “Presidential Advisers’ Testimony Before Congressional Committees: A Brief Overview,” CRS Report RL31351
• “Obstruction of Justice: An Overview of Some of the Federal Statutes That Prohibit Interference with Judicial, Executive, or Legislative Activities,” CRS Report RL34303
• “The Position of Director of National Intelligence: Issues for Congress,” CRS Report RL32506
• “Congressional Investigations: Subpoenas and Contempt Power,” CRS Report RL31836
• “Congressional Oversight Manual,” CRS Report RL30240
• “House Resolutions of Inquiry,” CRS Report RL31909

Courses

• Congressional Dynamics and the Legislative Process
• Capitol Hill Workshop – Congressional Operations Briefing and Seminar
• Drafting Federal Legislation and Amendments
• Understanding Congressional Budgeting and Appropriations
• Advanced Legislative Strategies

Publications

CongressionalGlossary.com, from TheCapitol.Net

From the Congressional Glossary – Including Legislative and Budget Terms

Deeming Resolution

'Lemming', by Peter G Trimming

“Deeming resolution” is a term that refers to legislation deemed to serve as an annual budget resolution for purposes of establishing enforceable budget levels for a budget cycle. A deeming resolution is used when the House and Senate are late in reaching final agreement on a budget resolution or fail to reach agreement altogether. The Congressional Budget Act of 1974 requires the annual adoption of a budget resolution establishing aggregate levels of revenues, spending, the debt limit, and the surplus or deficit, as well as allocations of spending. Enforcement of the budget resolution relies primarily upon points of order and reconciliation procedures. With regard to the enforcement of budget aggregates and committee spending allocations, the major points of order are found in Sections 311 and 302 of the act, respectively. The term “deeming resolution” is not officially defined, nor is there any specific statute or rule authorizing such legislation. Instead, the use of a deeming resolution simply represents the House and Senate employing regular legislative procedures to deal with the issue on an ad hoc basis. The form and content of a deeming resolution is not prescribed, so it may be shaped to meet the particular needs at hand.

Also see Federal Debt; Ch. 7 Legislating in Congress: Federal Budget Process, in Congressional Deskbook.

More

• “The ‘Deeming Resolution’: A Budget Enforcement Tool,” CRS Report RL31443
• “Introduction to the Federal Budget Process,” CRS Report 98-721
• “Tuesday: ‘Deeming’ the budget in the House, postal reform in the Senate,” by Pete Kasperowicz, The Hill, April 17, 2012

Courses

• Congressional Dynamics and the Legislative Process
• Capitol Hill Workshop – Congressional Operations Briefing and Seminar
• Drafting Federal Legislation and Amendments
• Understanding Congressional Budgeting and Appropriations
• Advanced Legislative Strategies

Publications

CongressionalGlossary.com, from TheCapitol.Net

From the Congressional Glossary – Including Legislative and Budget Terms

Deflation / Inflation / Real Dollar

Whip Inflation Now seed kit - Harry S. Truman Presidential Museum and Library - Independence, Missouri, by Marshall Astor

Whip Inflation Now (WIN)

Deflation: A sustained decrease in the general price level.

Deflator: An index used to adjust a current dollar amount to its real dollar counterpart, that is, to remove the effects of inflation.

Inflation: A rise in the general price level. The overall general upward price movement of goods and services in an economy.

Economists use the term “inflation” to denote an ongoing rise in the general level of prices quoted in units of money. The magnitude of inflation–the inflation rate–is usually reported as the annualized percentage growth of some broad index of money prices. With U.S. dollar prices rising, a one-dollar bill buys less each year. Inflation thus means an ongoing fall in the overall purchasing power of the monetary unit. Inflation rates vary from year to year and from currency to currency.

“Inflation,” by Lawrence White, The Concise Encyclopedia of Economics

Inflator: An index used to express a current dollar amount in prices of another period.

Real Dollar (constant dollar): A dollar value adjusted to remove the effects of inflation by dividing the nominal value (also called the current dollar value) by the appropriate price index. The resulting amount can be labeled real or inflation adjusted. Real dollar values can reflect a measure of purchasing power, such as real income, or a measure of quantity, such as real GDP. Real dollar is frequently called constant dollar when referring to measures of purchasing power. See the CPI inflation calculator.

The Consumer Price Index (CPI) program produces monthly data on changes in the prices paid by urban consumers for a representative basket of goods and services. There are separate indexes for two groups or populations of consumers:

• The CPI for All Urban Consumers (CPI-U) is the index most often reported by the national media.
• The CPI for Urban Wage Earners and Clerical Workers (CPI-W) is the index most often used for wage escalation agreements.

The CPI inflation calculator allows customers to calculate the value of current dollars in an earlier period, or to calculate the current value of dollar amounts from years ago.

Consumer price indexes often are used to escalate or adjust payments for rents, wages, alimony, child support and other obligations that may be affected by changes in the cost of living. There is a fact sheet explaining how to use the CPI for escalating contracts.

Overview of BLS Statistics on Inflation and Prices

Also see Federal Debt; Budget Control Act of 2011; § Ch. 7 Legislating in Congress: Federal Budget Process, in Congressional Deskbook.

More

• Deflation – investopedia
• Deflation – Wikipedia
• Inflation – investopedia
• Inflation – Wikipedia
• Consumer Price Index (CPI) – Bureau of Labor Statistics
• CPI inflation calculator – Bureau of Labor Statistics
• “The Costs of Inflation and Disinflation,” by Kevin Dowd, Cato Journal, Fall 1994
• “Inflation: Core vs. Headline,” CRS Report RS22705
• “Inflation: Causes, Costs, and Current Status,” CRS Report RL30344
• “The Depreciating Dollar: Economic Effects and Policy Response,” CRS Report
• “Inflation and the Real Minimum Wage: Fact Sheet,” CRS Report RS20040
• “The 2007-2009 Recession: Similarities to and Differences from the Past,” CRS Report R40198
• “Running Deficits: Positives and Pitfalls,” CRS Report RL33657

Courses

• Congressional Dynamics and the Legislative Process
• Capitol Hill Workshop – Congressional Operations Briefing and Seminar
• Drafting Federal Legislation and Amendments
• Understanding Congressional Budgeting and Appropriations
• Advanced Legislative Strategies

Publications

CongressionalGlossary.com, from TheCapitol.Net

From the Congressional Glossary – Including Legislative and Budget Terms

CODEL / Congressional Delegation / Junket

A trip abroad by a group of members of Congress, usually bi-partisan. Committees sponsor fact finding travel to countries or regions to obtain first-hand information on foreign policy issues. These missions are popularly called CODELS (congressional delegations). The importance of this travel is sometimes dismissed as a “junket,” connoting pleasure rather than work and waste rather than results.

Travel scandals are some of the most common ethical attacks in Washington because there is a gap between what is permitted by law and government rules, and what the media will choose to highlight and attack. Members of Congress, agency officials, even nonprofit heads can find themselves in perfect compliance with the law and regulations, yet still wind up all over the Internet on political blogs and on the front page of Roll Call or The Washington Post.

To avoid any potential trouble, follow these rules:

• Don’t go anywhere sunny or fun. If the taxpayer or association member is paying the tab, you’re not supposed to be having fun, you’re supposed to be working. If you go on a fact-finding trip to Hawaii in December, bring home some macadamia nuts for the reporters who will be on your case for taking a government- or association-sponsored vacation.
• Don’t go anywhere outside the U.S. with indoor plumbing. For some inexplicable reason, the media has decided that no one should travel outside the United States. Any public figure taking a foreign trip will have his itinerary scrutinized, meal menu examined, and expense account audited by any reporter who sees the potential for a story here. The exception to this rule is travel to any place where reporters would not want to go themselves.
• Don’t go anywhere with spouses. This rule only applies to members of Congress, since no other government or non-government entity usually covers the costs of spouses’ travel. Surprisingly, members of Congress often do not understand why they shouldn’t be allowed to take their significant other on junkets. The media, in this case quite understandably, questions why it is necessary for a congressional wife to engage in shopping expeditions as the price for having the husband attend official meetings.
• Don’t use government planes or helicopters for personal use. Despite the ethics briefings that administration officials attend at the start of their tenure, some senior officials seem to think their time is so valuable that the use of a government aircraft is justified. Former President Bush’s Chief of Staff John Sununu ended up losing his job in part because he used a government plane to visit his dentist in Boston. Clinton White House aide David Watkins took a government helicopter to go golfing. And Bush administration Army Secretary Thomas White had questions raised about a trip he took on a military jet to meet with a real estate agent in Aspen (he said it was on the way to a meeting in Seattle).
• Don’t go on any trip without a full itinerary. A few years ago Senator Arlen Specter was criticized for asking the State Department to help him find a squash partner overseas so he could continue to exercise during an upcoming trip to Africa. While the trip had a lot of important meetings scheduled, the squash scandal was enough to raise questions about the whole trip, and the mission was aborted. When you’re traveling on someone else’s dime, you’re expected to work yourself to death.

Bonus rules!

• Don’t lose hundreds of iPads.
• Don’t let employees or staff post videos on the Internet challenging Congress or the administration to do something about the junket.
• Don’t let employees or staff go to strip clubs and brothels. (Hmmm, maybe you should take your spouse….)

Also see Bipartisan; Case Work, Constituent; Congressional Pay and Perquisites; Exclusion / Disorderly Behaviour / Censure / Reprimand / Expulsion; Congressional Ethics; § 8.170 Congress and Foreign Policy: Nonbinding Actions, in Congressional Deskbook; § 12.11 Travel Advisory–How to Avoid Travel Scandals, in Media Relations Handbook.

More

• Google searches: Congressional Junket | Presidential junket | federal junket
• JunketSleuth – “Exposing Government Travel Excesses”
• House Committee on Ethics
• House Office of Congressional Ethics (OCE)
• Senate Select Committee on Ethics
• “Congressional Oversight Manual,” CRS Report RL30240
• “The Use of Task Forces in the House,” CRS Report RS20421
• “Congressional Gifts and Travel: Legislative Proposals for the 109th Congress,” CRS Report
• “Travel Restrictions: U.S. Government Limits on American Citizens’ Travel Abroad,” CRS Report RS21003
• “Casework in a Congressional Office,” CRS Report 98-878
• “Congressional Junkets Defended as Work-Based,” by Elizabeth Williamson, The Wall Street Journal, February 17, 2009
• “Despite ethics rules, Congress’ travel junkets creep back up,” by Fredreka Schouten, USA TODAY, November 11, 2011
• “Government Scandals May Threaten Las Vegas’ Growth,” by Andrew Sheivachman, Travel Agent Central, April 25, 2012

Courses

• Advanced Media Relations Workshop
• Congressional Dynamics and the Legislative Process
• Capitol Hill Workshop – Congressional Operations Briefing and Seminar
• Drafting Federal Legislation and Amendments
• Understanding Congressional Budgeting and Appropriations
• Advanced Legislative Strategies

Publications

CongressionalGlossary.com, from TheCapitol.Net

From the Congressional Glossary – Including Legislative and Budget Terms

Constituent / Case Work

Helping the rascals in - a burglarious scheme that may be suddenly spoiled, by J. Keppler. Puck, October 22, 1884

Constituent: A person who can or does elect a public official to office. A person eligible to vote for a candidate for a particular public office. A House member’s local offices (district offices) are located in the represented congressional district, and much of the district office staff work relates to constituent casework.

Congressional recesses are excellent times for constituents to participate in town hall meetings with their members back in the state (Senators) or district (Representative). To help constituents determine who represents them in Congress, search by zip code and access zoomable congressional district maps at govtrack.us, or call the U.S. Capitol Switchboard at 202-225-3121 and ask for contact information for their House member or two senators by providing their state and zip code. The average House office contains nine staffers and they spend 50 percent of staff time answering constituent mail.

Many constituents are disappointed when they are not able to meet directly with their House member or senators, especially once they notice the age of the young congressional staffer that is attending the meeting on behalf of the member. However, it is important not to ever dismiss or underestimate the role of congressional staff. While they may be young and relatively inexperienced, staff members have more
responsibility within the office and more influence with the member of Congress than you may realize. They are frequently the gatekeepers to meeting with a member of Congress and can be the key to getting your message considered or even used by the member. In some cases, having an in-depth discussion with the senior staffer responsible for your issue who will actually write the members’ talking points is more important in the long run than having a brief courtesy meeting directly with a member who may not remember the exchange.

Constituent contacts are the most effective type of congressional communication. They are more effective because all members of Congress are motivated by the same thing: getting re-elected.

A candidate’s future constituents, or an incumbent’s current constituents, are the most important political component of any campaign, because they are the voters. An incumbent must have conducted his tenure with them foremost in her considerations, and a candidate must try to convince them that she better understands and will better represent their political desires and aspirations.

A member must be vigilant in service to constituents and case work, aka “constituency service”, and must set standards for congressional office staff in ensuring quick and responsive attention to mail, phone calls, visits, and other contacts. Case work refers to helping individuals or small groups of constituents, including local governments, in their dealings with federal government agencies. How well a member conducts case work can be key to reelection. A congressional office may perform advocacy or referral functions for as many as several thousand cases a year, ranging from tracking down missing Social Security checks to expediting a passport application to clearing up immigration cases to facilitating consideration of a community’s grant application for some public project.

A very important duty of members is to nominate appointees to the U.S. service academies. In states and districts where there are many applicants for these appointments, members use interview boards and other mechanisms to make choices. Favors for constituents include arranging tours for visitors to Washington, flying flags over the Capitol to commemorate special occasions, obtaining congratulatory messages from the White House, and making congratulatory speeches on the House or Senate floor. For more information, see “What’s the deal with …” and What Your Member of Congress Can Do for You.

However they have conducted themselves and whatever legislative record they have built, representatives every two years and senators every six years answer to the specific group that decides their fate: their constituents. See “7 stages of the office seeker“.

Also see How to Contact Congress; Mid-Term Election; Terms and Sessions of Congress; Ch. 2 Pressures on Congress: Campaigns and Elections, § 2.20 Constituency Pressure, in Congressional Deskbook; § 4.38 Congressional Office Staffing, § 4.41 Essential Role of Congressional Staff, Ch. 7 Develop, Never Devalue, Grassroots, § 8.27 Constituent Meetings Compared to Other Congressional Communications, in Lobbying and Advocacy.

More

• “What’s the deal with …“
• What Your Member of Congress Can Do for You
• Congressional Directory
• “Grants Work in a Congressional Office,” CRS Report 97-220
• “Casework in a Congressional Office,” CRS Report 98-878
• “Casework in a Congressional Office: Background, Rules, Laws, and Resources,” CRS Report RL33209

Courses

• Congressional Dynamics and the Legislative Process
• Capitol Hill Workshop – Congressional Operations Briefing and Seminar
• Drafting Federal Legislation and Amendments
• Understanding Congressional Budgeting and Appropriations
• Advanced Legislative Strategies

Publications

CongressionalGlossary.com, from TheCapitol.Net

From the Congressional Glossary – Including Legislative and Budget Terms

Cosponsor

R/V Roger Revelle came nose-to-nose with an Antarctic iceberg, by NOAA Photo Library

House and Senate measures may have numerous sponsors in addition to the member who proposes the legislation. It is common in both chambers for the key proponent of a measure (the sponsor) to send a Dear Colleague letter (in print or electronically) to other members requesting their support for the legislation by cosponsoring its introduction. An original cosponsor signs on and is listed on the legislation when it is introduced. Cosponsors can be added throughout the legislative process until a measure is reported from a committee, or, in the Senate, at any time by unanimous consent. Names of cosponsors added after introduction appear in the Congressional Record, and in subsequent printings of a measure. A member can be removed as a cosponsor only by unanimous consent on the House or Senate floor.

An unlimited number of members may cosponsor a bill.

Also see Congressional Record; Dear Colleague letter; Sponsor; Unanimous Consent; § 6.20 Drafting and Introducing Legislation, in Congressional Deskbook; § 4.18 Bill Introduction, in Lobbying and Advocacy; Legislative Drafter’s Deskbook.

More

• “Sponsorship and Cosponsorship of House Bills,” CRS Report RS22477
• “Sponsorship and Cosponsorship of Senate Bills,” CRS Report 98-279
• “Introducing a House Bill or Resolution,” CRS Report 98-458
• “Introducing a Senate Bill or Resolution,” CRS Report 98-459

Courses

• Congressional Dynamics and the Legislative Process
• Capitol Hill Workshop – Congressional Operations Briefing and Seminar
• Drafting Federal Legislation and Amendments
• Understanding Congressional Budgeting and Appropriations
• Advanced Legislative Strategies

Publications

CongressionalGlossary.com, from TheCapitol.Net

From the Congressional Glossary – Including Legislative and Budget Terms

Permanent Appropriations

From the Permanent Collection of the National Gallery of Greece, by Tilemahos_E

Permanent Appropriations: Budget authority that becomes available as the result of previously enacted legislation (substantive legislation or prior appropriations act) and does not require current action by Congress. Budget authority is considered to be “current” if provided in the current session of Congress and “permanent” if provided in prior sessions.

Permanent Appropriations, such as those to pay interest on the national debt or to pay the salaries of members of Congress, remain available without additional action by Congress.

A revolving fund, which is a fund established by Congress to finance a cycle of businesslike operations through amounts received by the fund, is a form of permanent appropriation.

For permanent appropriations, OMB and agencies identify PPAs (Program, Project, or Activity) by the program and financing schedules that the president provides in the “Detailed Budget Estimates” in the budget submission for the relevant fiscal year.

Also see Revolving Fund; Terms and Sessions of Congress; § 7.80 Authorizations and Appropriations Processes, in Congressional Deskbook.

More

• Detailed Budget Estimates by Agency – OMB
• 31 U.S.C. § 1305 – Miscellaneous Permanent Appropriations
• “Overview of the Authorization-Appropriation Process,” CRS Report RS20371
• “Salaries of Members of Congress: Congressional Votes, 1990-2010,” CRS Report 97-615

Courses

• Congressional Dynamics and the Legislative Process
• Capitol Hill Workshop – Congressional Operations Briefing and Seminar
• Drafting Federal Legislation and Amendments
• Understanding Congressional Budgeting and Appropriations
• Advanced Legislative Strategies

Publications

CongressionalGlossary.com, from TheCapitol.Net

From the Congressional Glossary – Including Legislative and Budget Terms

Closed Rule / Modified Closed Rule / Special Rule

Closed, by dvs

In the House, under a closed rule, no amendments can be offered to the bill. Permits general debate for a specified period of time but permits no floor amendments. Amendments reported by the reporting committee are allowed.

When a special rule allows no amendments to be offered during consideration of a measure other than those recommended by the House committee reporting the bill, it is defined by the House Rules Committee as a closed rule. The Rules Committee defines a special rule as closed even when a motion to recommit with amendatory instructions is allowed because House Rule XIII, clause 6(c)(2) prohibits the committee from reporting a special rule that “would prevent the motion to recommit a bill or resolution from being made as provided in clause 2(b) of House Rule XIX, including a motion to recommit with instructions to report back an amendment otherwise in order, if offered by the Minority Leader or a designee.”

Modified Closed Rule: Permits general debate for a specified period of time, but limits amendments to those designated in the special rule or the Rules Committee report accompanying the special rule. May preclude amendments to particular portions of a bill. Structured Rule is another term for a modified closed rule.

Special Rule: A measure not in order under the means discussed above generally comes to the floor under provisions of a special rule. A special rule sets the guidelines for a measure’s consideration, including time for general debate and any limits on the amendment process. Most important and controversial legislation is considered under the terms of a special rule to enable the leadership to structure debate and amendments.

Rules are considered in the House under the one-hour rule, with time controlled by a majority floor manager. The majority floor manager customarily yields thirty minutes to the minority floor manager “for purposes of debate only.” Accordingly, special rules can be amended only if the majority floor manager offers an amendment to the rule or yields time to another member to offer an amendment, or if the previous question on the rule is defeated. (The previous question is in the form of a motion (“I move the previous question”), which, if agreed to, cuts off further debate and the possibility of amendment.)

Also see Amendment; Floor Manager; House Rules; Minority Leader; Previous Question; § 6.80 House Floor: Methods of Consideration, § 6.90 Rules Committee and Special Rules, § 6.100 Consideration of a Special Rule on the House Floor, § 6.202 Comparing a House Special Rule and a Senate Time Agreement, in Congressional Deskbook.

More

• House Rules Committee
• “Special Rules and Options for Regulating the Amending Process,” CRS Report 98-612
• “Special Rules and Waivers of House Rules,” CRS Report 98-433
• “House Rules Committee Hearings on Special Rules,” CRS Report 98-313
• “Special Rules in the House of Representatives,” CRS Report 96-938
• “House Rules Affecting Committees,” CRS Report 97-357

Courses

• Congressional Dynamics and the Legislative Process
• Capitol Hill Workshop – Congressional Operations Briefing and Seminar
• Drafting Federal Legislation and Amendments
• Understanding Congressional Budgeting and Appropriations
• Advanced Legislative Strategies

Publications

CongressionalGlossary.com, from TheCapitol.Net

From the Congressional Glossary – Including Legislative and Budget Terms

Pennsylvania Avenue

Pennsylvania Avenue NW, Washington, DC, by Ben Schumin

Pennsylvania Avenue (NW) is a street in Washington, DC, the nation’s capital city. The Capitol sits at the eastern end of Pennsylvania Avenue NW, and the White House is located a little more than a mile to the northwest of the Capitol, at 1600 Pennsylvania Avenue NW.

The names of the four avenues in the capital city are centered on the Capitol are taken from the Mid-Atlantic states: Pennsylvania, Maryland, Delaware, and New Jersey. Between Pennsylvania Avenue and Maryland Avenue is the National Mall, and between the Pennsylvania and Maryland border is the Mason-Dixon Line separating the old South from the Northern states.

Pennsylvania Avenue is definitely “inside the Beltway.”

Occasionally, members of Congress refer to the president, executive agency actions, and the White House as “the other end of Pennsylvania Avenue“. Also occasionally, the president and members of the administration refer to Congress as “the other end of Pennsylvania Avenue”. (The phrase is almost always used pejoratively or to cast blame.) This is so even though Pennsylvania Avenue extends well into Maryland and outside the Beltway southeast of the Capitol, and northwest beyond the White House to 29th and M Streets NW. This dramatic shortening of a street that is more than 20 miles long is usually attributed to “Potomac fever.”

Also see Capitol; K Street; Inside the Beltway; Visiting Washington, DC; § 8.22 White House Legislative Affairs Office, in Congressional Deskbook; § 8.51 How to Contact the White House and Agency Officials, Appendix 3, in Lobbying and Advocacy.

More

• Pennsylvania Avenue NW – Google Maps
• Pennsylvania Avenue – Wikipedia
• Capitol
• Capitol Visitors Center
• White House
• White House Visitor Center

Courses

• Congressional Dynamics and the Legislative Process
• Congressional Briefing Conference – Capitol Hill Workshop
• Drafting Federal Legislation and Amendments
• Understanding Congressional Budgeting and Appropriations
• Advanced Legislative Strategies
• Research Workshops

Publications

CongressionalGlossary.com, from TheCapitol.Net

From the Congressional Glossary – Including Legislative and Budget Terms

Amending the Constitution

One of the ways in which federalism is most clearly expressed in the Constitution is in the process for its amendment. Nine of the thirteen original states were required to ratify the Constitution to establish it. Amendments must be ratified by three-fourths of the states (thirty-eight states today) to take effect.

The Constitution provides two methods for proposing amendments and two methods for ratifying amendments. Article V reads as follows:

The Congress, whenever two thirds of both Houses shall deem it necessary, shall propose
Amendments to this Constitution, or, on the Application of the Legislatures of two thirds of the several States, shall call a Convention for proposing Amendments, which, in either Case, shall be valid to all Intents and Purposes, as Part of this Constitution, when ratified by the Legislatures of three fourths of the several States, or by Conventions in three fourths thereof, as the one or the other Mode of Ratification may be proposed by the Congress. . . .

All amendments to the Constitution that have been adopted have been proposed by Congress. All but the Twenty-First Amendment, which repealed the Eighteenth Amendment (Prohibition), were ratified by state legislatures. The Twenty-First Amendment was ratified by the convention method.

Any member of Congress may propose a constitutional amendment by introducing a joint resolution. A joint resolution may be introduced in the House (H.J. Res.) or Senate (S.J. Res.), or companion joint resolutions might be introduced by like-minded members in each chamber. Joint resolutions proposing to amend the Constitution are within the jurisdiction of the House and Senate Judiciary Committees, to which these resolutions are referred.

If the committees choose to act, they would most likely follow normal legislative procedures–hearings at the subcommittee or full committee level or both, possibly subcommittee markup, full committee markup, and reporting. Floor consideration of a joint resolution proposing to amend the Constitution would also likely happen under a set of procedures that the House or Senate normally crafts to consider important legislation.

The Constitution, however, requires supermajority votes in the full House and Senate–a two thirds vote in each chamber. This provision has been interpreted as two-thirds present and voting, a quorum being present; it is not two-thirds of the membership. Like other legislation, each chamber must agree to exactly the same proposed amendment before it can be submitted to the states. A conference committee might be needed to reconcile differences in joint resolutions approved in the House and Senate. A two-thirds vote of those voting in each chamber would be needed to adopt the conference report on a joint resolution.

The president does not have a formal role in the amendment process. He might exhort Congress to submit a constitutional amendment to the states on some subject, lending his political support to a movement to amend the Constitution, or he might oppose an amendment. But a proposed amendment does not need the president’s review or approval before being submitted to the states.

Once Congress has completed its role in proposing an amendment, the joint resolution is transmitted to the archivist of the United States, who is the head of the National Archives and Records Administration (NARA). The archivist has delegated ministerial functions related to the amendment process to the Office of the Federal Register (OFR) within NARA. OFR adds legislative history notes to the joint resolution, and publishes it in slip-law format. OFR also prepares official and informational documents for the archivist to submit to the states.

The archivist notifies each state governor with a letter and the documents prepared by OFR. Assuming the joint resolution provides for ratification by three-fourths of the states’ legislatures, the governors submit the proposed amendment to the legislatures.

State legislatures have adopted different procedures for ratification. For example, some require a supermajority vote. (States also adopted or had in effect differing provisions for the state conventions that ratified the Twenty-First Amendment, repealing the Eighteenth Amendment.) Legislatures must ratify the exact amendment proposed by Congress, and must include a clear statement of ratification in the legislative act they use to express ratification. They may not amend the proposed amendment or attach conditions to ratification. The question of whether ratification by a legislature can subsequently be rescinded is not settled. Because the Constitution requires ratification by state legislatures, governors are not required to approve or sign ratification legislation, although they might lend support or express opposition during legislative debate over the amendment.

States send ratification documents to the archivist, where OFR examines them for legal sufficiency. OFR retains the documents until the amendment is ratified or fails ratification. Once ratification documents are received from the constitutionally required three-fourths of the states, the archivist issues a proclamation certifying ratification. The certification is published in the Federal Register and the Statutes at Large.

In the twentieth century, Congress began the practice of setting a time limit for states to ratify a proposed amendment. Seven years has been the time limit used, although amendments that have been ratified have usually achieved ratification within one or two years.

Like other legislation, members might introduce the same constitutional amendments in one Congress after another, making their opinions known and working to change the Constitution. Even if an amendment is submitted to the states and fails ratification within the prescribed time period, members might introduce a new joint resolution with the same or similar language in another Congress and work for its adoption and submission to the states.

Twenty-seven amendments to the Constitution have been ratified. Seven other amendments submitted to the states have failed ratification.

Amendments to the Constitution

Also see the Bill of Rights Card, from Two Seas Media.

Also see The Constitution of the United States; Conference Committee; Markup; Quorum; Slip Law; § 8.210 Congress and Federalism: Amending the Constitution, in Congressional Deskbook.

More

• House Judiciary Committee
• Senate Judiciary Committee
• The Constitution of the United States
• The Constitution of the United States: A Transcription – The National Archives
• United States Constitution: Texts, Commentaries, Historical Texts and Judicial Decisions – Law Library of Congress
• The Constitution of the United States of America: Analysis and Interpretation – FDsys
• “Federalism and the Constitution: Limits on Congressional Power,” CRS Report RL30315
• “Ratification of Amendments to the U.S. Constitution,” CRS Report 97-922
• “The Origination Clause of the U.S. Constitution: Interpretation and Enforcement,” CRS Report RL31399
• “Constitutional Conventions: Political and Legal Questions,” CRS Report IB80062
• “A Balanced Budget Constitutional Amendment: Background and Congressional Options,” CRS Report 97-379
• “Flag Protection: A Brief History and Summary of Supreme Court Decisions and Proposed Constitutional Amendments,” CRS Report 95-709
• “Super-Majority Voting Requirement for Tax Increases: An Overview of Proposals for a Constitutional Amendment,” CRS Report 98-351
• “Victims’ Rights Amendment: Proposals to Amend the United States Constitution in the 106th Congress,” CRS Report RL30525
• “House Vacancies: Proposed Constitutional Amendments for Filling Them Due to National Emergencies,” CRS Report RL32031
• “Legal Analysis of President Reagan’s Proposed Constitutional Amendment on School Prayer,” CRS Report SP-82
• “The Proposed Equal Rights Amendment,” CRS Report 82-51

Courses

• Congressional Dynamics and the Legislative Process
• Capitol Hill Workshop – Congressional Operations Briefing and Seminar
• Drafting Federal Legislation and Amendments
• Understanding Congressional Budgeting and Appropriations
• Advanced Legislative Strategies

Publications

CongressionalGlossary.com, from TheCapitol.Net

From the Congressional Glossary – Including Legislative and Budget Terms

Presidential Succession

Under Article II and the Twelfth, Twentieth, and Twenty-fifth Amendments to the Constitution, Congress has critical roles to play in the selection of the president and vice president during the quadrennial election process and in the event of a vacancy between elections.

Article II, Section 1, as modified by the Twelfth Amendment, established Congress’ role in the electoral college system. Under these constitutional provisions and federal law, Congress, in joint session on January 6 (or another date set by Congress) following a presidential election, receives and counts electoral votes, and the election of the president and vice president is announced. Congress is empowered to resolve objections regarding the electoral votes at that time.

In order to be elected president or vice president by the electoral college, a candidate must receive a majority, and not merely a plurality, of the electoral votes (currently 270 of 538). The Twelfth Amendment, as modified by the Twentieth Amendment, established a system for the contingent election of the president and vice president in the event that no candidate attains this threshold. In the case of the president, the House of Representatives chooses the president from among the three candidates with the largest numbers of electoral votes; each state delegation casts a single vote. A majority of states is needed for election. Although the Twenty-third Amendment to the Constitution provided electors for the District of Columbia, it did not provide the District with a role in a contingent election. In the event that no vice presidential candidate receives a majority of electoral votes, the Senate chooses between the two candidates with the largest numbers of electoral votes; each senator has one vote, and a majority of votes is needed for election.

The Twelfth Amendment was proposed by Congress in 1803 in response to difficulties encountered during the presidential election of 1800-1801. After ratification by the states, the Twelfth Amendment went into effect in 1804. There have been two contingent elections under its provisions. The president was elected by the House of Representatives in 1825, and the vice president was elected by the Senate in 1837. The Twelfth Amendment mandates some of the specific procedures that must be used during a contingent election. Other procedures were developed by the House and Senate during the respective contingent elections, but those procedures could be altered in the event of another contingent election.

The Twentieth Amendment provided that the vice president serve as acting president until the House is able to choose a president, should the House be unable to reach a decision by inauguration day, January 20. (The Twentieth Amendment provided that a president’s and vice president’s terms of office end at 12:00 noon on January 20 following a presidential election.) This amendment also allows Congress to establish by law who serves as acting president in the event that neither a president nor a vice president is qualified by January 20. In the Presidential Succession Act of 1947 (61 Stat. 380; 3 U.S.C. § 19), Congress addressed this matter, naming first the Speaker of the House, alternatively the president pro tempore of the Senate, and then the Cabinet secretaries in the order in which their departments were created (beginning with the secretary of state). To serve, an individual would need to meet the constitutional qualifications required for any president–a natural-born citizen, a resident of the United States for at least fourteen years, at least thirty-five years old, and not disqualified by previous service as president.

President
Vice President
Speaker of the House
President pro tempore
Secretary of State
Secretary of the Treasury
Secretary of Defense
Attorney General

Article II, Section 1, Clause 6 of the Constitution originally provided for presidential succession in the event of “the Removal of the President from Office, or of his Death, Resignation, or Inability to discharge the Powers and Duties of the said Office.” The Twenty-fifth Amendment, ratified in 1967, superseded this provision. It established a role for Congress in confirming a president’s nomination to fill a vice presidential vacancy. The amendment also provided a role in determining, under certain circumstances, whether a president was “unable to discharge the powers and duties of his office.”

Also see Electoral College; House; Impeachment; Mid-Term Election; President of the United States; President pro tempore; Speaker; Vice President; § 8.90 Congress and the Executive: Presidential Election and Succession, § 8.100 Congress and the Executive: Impeachment, in Congressional Deskbook.

More

• Article II, Section 1
• Twelfth Amendment
• Twentieth Amendment
• Twenty-fifth Amendment
• United States presidential line of succession – Wikipedia
• “The seven stages of the office seeker“
• “Presidential Succession: Perspectives, Contemporary Analysis, and 110th Congress Proposed Legislation,” CRS Report RL34692
• “Presidential and Vice Presidential Succession,” CRS Report RL31761
• “The President-Elect: Succession and Disability Issues During the Transition Period,” CRS Report RS22992
• “Continuity of Operations (COOP) in the Executive Branch: Issues in the 109th Congress,” CRS Report RL32752
• “Continuity of Congress: Enacted and Proposed Federal Statutes for Expedited Election to the House in Extraordinary Circumstances,” CRS Report RL32958
• “Continuity of Government: Current Federal Arrangements and the Future,” CRS Report RS21089

Courses

• Congressional Dynamics and the Legislative Process
• Election Capitol Hill Workshop
• Capitol Hill Workshop – Congressional Operations Briefing and Seminar
• Drafting Federal Legislation and Amendments
• Understanding Congressional Budgeting and Appropriations
• Advanced Legislative Strategies

Publications

CongressionalGlossary.com, from TheCapitol.Net