Congress and Lawmaking

1
Congress and Lawmaking

• Class Notes, Spring 2005

2
February 7, 2005

• Whos here?
• Matthews
• What is representation?
• Congress as an institution for Representation

3
Matthews

• All Politics is Local
• Its Better to Receive than to Give
• Dance with the One that Brung Ya
• Keep your Enemies in Front of You
• Dont Get Mad Dont Get Even Get Ahead
• Leave No Shot Unanswered
• Hang a Lantern on your Problem

4
What is Representation?
5
The Big Questions

• What is truth?
• What is justice?
• What is fair?
• Who decides?

6
Perceptions of the ConstituencyRichard F.
Fenno, Jr.
7
Concentric Constituencies

• Geographic
• Reelection
• Primary
• Personal

8
Geographical Constituency

• The District
• Physical specified by boundaries
• Internal Demographic and Political Variables
  socioeconomic status, ethnicity, ideology,
  partisanship, religion, diversity, etc.
• Heterogeneity v. Homogeneity variable that seems
  to determine members perceptions of their
  districts

9
Reelection Constituency

• The Supporters
• Who she thinks will vote for her
• Reference points in determining reelection
  constituency
• Cross-Sectional
• Longitudinal
• Partisans, Cross-Party, Least-Likely
• Last Time v. This Time
• Challenger has greatest potential for altering
  the size and composition of reelection
  constituency
• Issues can alter reelection constituency

10
Primary Constituency

• The Strongest Supporters
• Weak supporters follow routines (straight party)
  or are temporary (waiting for alternative)
• Strong supporters more political activity, will
  not support any challenger
• Difficult to delineate primary constituency in
  some cases, members who recently emerged from a
  primary election can determine their primary
  constituency

11
Personal Constituency

• The Intimates
• Few individuals closest advisors and confidants,
  sometimes a spouse (Kitchen Cabinet)
• Usually the people who have been by an official
  since their first race
• Thought of as friends

12
Conceptions of Representation
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Policy/Issues

• Style
• Delegate follow the mandate of constituents
• Trustee exercise independent judgment
• Politico switches roles or may engage be a
  delegate and trustee at same time
• Focus
• The constituency that is being represented

14
Policy/Issue Studies

• Wahlke et al (1952) divide members into trustee,
  delegate, and politico
• Miller Stokes (1958) attempt to link
  constituent opinions to legislators behavior
• Social Welfare Vote by Party
• Civil Rights Delegate Role
• Foreign Affairs Deference to Executive
• Fenno (1977) home style members convince
  constituents that they represent them regardless
  of the extent of agreement

15
Policy/Issue Studies Continued

• Browne (1995) constituents influence vote on
  agricultural legislation
• Hall (1987, 1996) district influences legislator
  membership on committees

16
Service/Allocational

• Obtaining projects that help the district (pork)
  or interceding in the bureacracy (cutting
  through red tape)
• Motives
• Sense of duty
• Grateful constituents Reelection
• Studies on impact of pork for reelection mixed
• Issues necessary for constituents to have help?,
  votes for district at expense of nation?

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Symbolic/Descriptive

• Legislator as symbol that represents public
• Representation may extend beyond geographic
  boundaries of the district
• Individual Examples female legislator as
  advocate for women nationally, minority
  legislator as advocate for minorities nationally
• Group Example legislative caucuses

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Collective

• Represent constituents with a more collective
  view
• political parties
• Congress as representative of the nation as a
  whole
• May lead to conflict with district constituents

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The Great Divide

• Trustee Representation (Burkean)
• Delegate Representation

20
Congressional Procedures and the Policy Process

• Walter J. Oleszek

21

• The Constitutional Context
• Limited Government
• Separation of Powers
• Checks and Balances
• Federalism

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Functions of Rules and Procedures
Stability (and predictability) Legitimacy
Division of Labor Protection of Minority
Rights Conflict Resolution Distribution
of Power
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Rules and Policy Making in Congress
Procedure and Policy Procedures affect
outcomes. Procedural moves express policy
decisions. The nature of policy determines the
use of procedure. Procedural expertise helps
members impact policy. Conventional versus
Unconventional Lawmaking Im just a bill
Precedents and Folkways Precedents the
accumulated past decisions on matters of
procedure Folkways unwritten norms of
behavior that members are expected to observe.
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Congressional Decision Making Decentralized
Power Structure Political and structural
realities More than 200 committees and
subcommittees Parties can provide cohesion.
Multiple Decision Points Bargaining and
Coalition Building Logrolling Compromise N
onlegislative Favors The Congressional
Cycle Two-Year Deadline
25
House versus Senate The Big Three Size
of Body Size of District Length of Term
Complexity of Rules
26
House versus Senate continued Policy
Incubation Specialists versus
Generalists Distribution of Power More
even in Senate Similarities Equal
power Lawmaking, oversight and
representation Heavy workloads Decentralized
committee and party structures Dependence on
staff
27
Pressures on Members President Executive
Branch The Fourth Estate Constituent
Pressures Washington Lobbyists
28
Credits

• Adrian Rodriguez Alex Theodoridis
• Presentation based on Weisberg, Herbert F., Eric
  S. Heberlig and Lisa M. Campoli, Classics in
  Congressional Politics What is Representation?,
  Weisberg et al eds. (Glenview Longman 1999) pp.
  68-82.
• Image on Cover from The Architect of the Capitol
  http//www.aoc.gov/cc/capitol/c_wf_1.cfm
• Concepts of Representation slide based on Table
  5.1 in Weisberg et al, p. 74.
• Presentation based on Fenno, Jr., Richard F.,
  Home Style House Members in their Districts
  (Glenview Little, Brown Company 1978),
  Perceptions of the Constituency, pp. 1-30.
• Image on Cover from US Environmental Protection
  Agency http//www.epa.gov/oaintrnt/images/water_ho
  me.jpg

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February 9, 2005

• Individual motivations and their connections to
  institutional design
• Are institutions exogenous or endogenous?
• Individuals operate within an institutional
  setting, but they shape that setting, too.
• What are institutions?

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The Electoral Connection and CongressDavid R.
Mayhew
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Proximate Goal

• Reelection
• Universal
• Cannot achieve other goals if member is not
  reelected
• All members of Congress have a primary interest
  in getting re-elected. Some members have no
  other interest.

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Activities Useful for Reelection

• Advertising
• visiting constituency, non-political speeches to
  home audiences, letters of condolence and
  congratulation, newsletters, opinion editorials
• Franking Privilege

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Activities Useful for Reelection

• Credit Claiming generating belief that the
  legislator is personally responsible for a
  government change
• Particularized Benefits
• Given to specific individual or group that allows
  the single legislator to be recognized
• Done in an ad hoc fashion

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Activities Useful for Reelection

• Position-taking public enunciation of a
  judgmental statement on anything likely to be of
  interest to political actors
• roll call vote, floor addresses, speeches,
  television appearances, letters, press releases,
  interviews, etc.

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Institution Meets Electoral Needs

• Benefits Associated with the Office
• Staff, casework capabilities, franking privilege
• Seniority
• Committee Structure
• Platform for position-taking, particularized
  benefits, allows division of labor among members
• Parties
• Majority party could cut off particularized
  benefits from minority party, but this has not
  happened

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Member GoalsRichard F. Fenno, Jr.
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Basic Goals of a Legislator

• 1. Reelection
• 2. Influence within the House
• 3. Good Public Policy
• X. (career beyond house, private gain)
• Committee membership reflects the goal of a
  legislators

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Appropriations, Ways Means

• Power, Prestige, Importance
• Reflects desire to have influence within the House

39
Interior, Post Office

• District Interests, Projects, Political
  Help
• Reflects goal of reelection by helping
  constituents

40
Education, Labor, Foreign Affairs

• Interesting, Exciting, Controversial,
  Important
• Reflects goal of making good public policy

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Congress A Political-Economic History of Roll
Call VotingKeith T. Poole, Howard Rosenthal et al
42
Motivation of Legislator

• Ideology
• Liberal to Conservative Spectrum
• Constraint Hypothesis issues tend to be mapped
  onto a fixed ordering or placement of legislators
• Voting tends to be highly consistent over a
  members time in office.
• History http//www.voteview.com/h461051.htm

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Annoying Gap Between Theory and Practice

• What do you make of Representative Steve Tobocman?

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Upcoming Assignments

• Campaign Issues Memo, Due on Monday.
• Highlight 3 or 4 issues. Specify your district.
  Link issues to your district, to your passions,
  and to your personal history.
• Personal Biographies and Committee preferences
  due next Wednesday.
• Hint http//cq.com

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Credits

• Fenno, Jr., Richard F., Member Goals,
  Congressmen in Committees. (Glenview Little,
  Brown Company, 1973) pp. 1-14.
• Image on cover from HUD Testimony U.S.
  Department of Housing Urban Development
  http//www.hud.gov/offices/cir/Nomination20Hearin
  g20for20Act20copy.JPG Accessed 2/7/2005.
• Mayhew, David R., The Electoral Connection and
  the Congress, Congress Structure and Policy,
  Terry Sullivan ed. (New Haven Cambridge
  University Press, 1974) pp. 18-29.
• Images on cover from Tameside.gov.uk
  http//www.tameside.gov.uk/include/vote2.gif
  Accessed 2/7/2005 Congressional
  ApportionmentWhat is it? United States Census.
  http//www.census.gov/population/www/img/house1.gi
  f Accessed 2/7/2005 Seal of the United States
  Senate, Wikipedia http//en.wikipedia.org/wiki/Se
  al_of_the_United_States_Senate Accessed 2/7/2005
• Poole, Keith T. and Howard Rosenthal et al,
  Congress A Political-Economic History of Roll
  Call Voting. (New York Oxford University Press,
  1997) pp. 3-26.

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The Politics of Congressional Elections

• Gary C. Jacobson

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Context of Congressional Elections
Constitutional Framework Congressional
Districts Election Laws Political
Parties Social and Political
48

• Gerrymandering
• Partisan
• Tempered by incumbent protection (another use
  of the gerrymander) and candidate focused voters
  
• Facilitated by new computer programs
• Districts with multiple incumbents
• Colorado and Texas
• Davis v. Bandemer partisan gerrymander
  unconstitutional if sufficiently egregious.
• Iowa a model for reform?
• Racial
• Thornburg v. Gingles districts should not
  discriminate against minorities.
• Californias 6th District in 1982
• North Carolinas 12th
• Shaw v. Reno and Miller v. Johnson limits
  placed on blatant racial redistricting
• Hunt v. Cromartie race can be considered if
  primary motivation is partisan.

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• Incumbency
• Reelection Rates generally higher in House
  (rarely under 90) than in Senate (ranges from
  55 to 97 in post-WWII elections)
• Sophomore Surge Retirement Slump ? Slurge
• Vanishing Marginals
• Some Sources of the Incumbency Advantage
• Institutional Characteristics of Congress
  (Mayhew)
• Voting Behavior
• Constituent Service
• Discouraging opposition through casework,
  mailings...
• Career in the District (Fenno)
• Expansionist ? Protectionist
• Money
• Spending far more important for nonincumbents,
  especially challengers
• So, why are there challengers?
• Naiveté
• Easy road to nomination
• Demonstrate party presence
• Rewards in simply running

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• Money
• FECA
• Private Individuals (largest source)
• PACs
• Party Money
• Money from Colleagues
• Self-Financing

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Voting Behavior Who votes? Educated,
wealthier, older Role of Party ID (on
decline?) Information - Often limited to
name identification - Recall versus
Recognition - Big advantage for incumbents
Contacting Voters (personal, mail, mass media,
indirect) - Cumulative effect of various
methods - Incumbent advantage - Reason for
importance of campaign spending Winning
Challengers - Better known - Better financed
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• Elements of a Campaign
• Organization
• - Some have campaign staff perpetually in place
• - Buying one complete
• (general consulting firm or team of
  specialists)
• - Assemble your own
• - Volunteer based (bargain basement approach)
• Strategy
• Media (Free/Earned Paid)
• TV, Radio, Newspapers, Billboards, The
  Internet
• Personal Campaigning
• Message
• Defining the choice
• Going Negative
• GOTV or Depressing Turnout
• Non-Candidate Advertising
• Voter Education
• Issue Advocacy

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Reform Options

• Problem? Reelection rates are exceptionally
  high.
• Problem? Legislators are disproportionately
  wealthy, well-educated, male and white.
• Problem? Voting rates are low.
• Problem? Legislators are strong partisans, most
  people are not.

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The Legend of Cincinnatus

• Captain John A. Atilano II
• Harvard, JFK School of Govt.
• PAL-210 U.S. Congress
• 14 February 2005

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Statue of Cincinnatus, Cincinnati, OH, 2004, by
Rick Dikeman "With one hand he returns the
fasces, symbol of power as appointed dictator of
Rome. His other hand holds the plow, as he
resumes the life of a citizen and farmer."
http//upload.wikimedia.org/wikipedia/en/a/a4/Cinc
innatus_statue.jpg
56
Situation

• Rome, Italy. 458 B.C.
• Rome attacked by Aequians
• Attack reaches nearly to the walls of Rome
• Crops destroyed people are terrified
• Minucius takes on the Aequians
• Failure.
• 5 horsemen dispatched to Rome to get help.

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The Legend(Day 1)

• Horsemen reach Rome
• Senate unanimously votes Cincannatus as Dictator
• Envoys dispatched
• Cincinnatus found plowing his 3-acre farm.
• Roman Envoys plead with Cincinnatus
• Cincinnatus puts on his toga and is immediately
  saluted by the envoys

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The Legend(Day 1 continued)

• Cincinnatus arrives in Rome
• Met by a huge entourage, including the Senate and
  his Lictors (bodyguards)
• People of Rome fearful of his power and the
  manner he would use it.
• That Night
• Nothing done but guard the city

59
The Legend(Day 2)

• Forum. Dawn. His Instructions
• Legal business suspended
• All shops closed no private business
• All men of military age to report at sunset with
  all equipment and five days rations
• All men over military age were to prepare food
  for the younger men

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The Legend(Day 2 - Continued)

• Sunset
• All men in formation. Everyone prepared. No one
  is late.
• Column moves out. Cincannutus leading the
  Infantry, Tarquitus leading the cavalry.
• The battle lasted until dawn
• Cincannatus deals a crushing blow to the Aequian
  Army
• Aequians beg Cincannutus to allow them to
  surrender and leave with their lives

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The Legend(Day 3)

• Cincannatus accepts Aequian surrender on
  humiliating terms
• Aequian leaders to be brought before him in
  chains
• All soldiers required to pass under yoke
• Aequian Camp contained significant treasure
• Cincannatus shares only with his soldiers none
  to Minucius army
• 'You shall have no share of the plunder taken
  from an enemy who nearly took you.'
• 'Until, Lucius Minucius, you learn to behave like
  a consul and commander, you will act as my
  lieutenant and take your instructions from me.'

62
The Legend(Day 4)

• Cincannatus enters Rome in Victory
• Military Standards (flags) in lead
• Followed by Aequian leaders in chains
• Cincannatus follows in a chariot
• Soldiers follow Cincannatus
• The streets are full, the crowd cheers the
  triumphant Army.

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The Legend(Day 16)

• No one dared ask Cincannatus to resign.
• Aequian leaders found guilty at trial. Exiled.
• Cincinnatus resigns as dictator after 16 days
• His original appointment was for 6 months
• Returns to his farm where his plow and ox still
  remain just as he left them

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Omnia relinquit servare rempublicam... He
abandons everything to serve his country
65
February 16, 2004
66
Partisanship and Elections

• Party-ID is a form or brand loyalty
• Usually passed generation to generation
• SD, D, ID, I, IR, R, SR
• But the pillars have begun to crumble
• Campaigns have become ever-more
  candidate-focused.
• Growing disconnect between the partisanship of
  voters and elected officials

67
The Traditional Right
Religious
Support Bush 72-17 US should use preemptive
strike Gay relationships are morally
wrong Religion should play more important role
in government Oppose affirmative action Tax cuts
are best way to stimulate economy
Liberal
Conservative
Traditional Conservatives 16
Secular
68
The Traditional Left
Religious
Support Kerry 79-8 US should not use preemptive
strike Support gay rights Pro-immigration Pro-affi
rmative action Oppose tax cuts as economic
policy Basic health insurance is a right
Traditional Liberals 32
Liberal
Conservative
Secular
69
The Secular Center
Religious
Split evenly for President (42 Bush, 41
Kerry) Strongly supports gay rights Supports free
trade Believes strongly in separation of church
and state Oppose affirmative action Less
supportive of environment Less likely to believe
basic health insurance is a right
Liberal
Conservative
Secular Centrists 29
Secular
70
The Religious Center
Religious
Religious Centrists 23
Liberal
Conservative
Lean Bush 51-34 Support affirmative
action Support the environment Gay relationships
are morally wrong Religion should play more
important role in government Highest
concentration of African Americans and Latinos
Secular
71
The Political Personality of a New Generation
Religious
Traditional Liberals 32
Religious Centrists 23
Liberal
Conservative
Traditional Conservatives 16
Secular Centrists 29
Secular
72
Political Personality Index
LTraditional Liberals RTraditional
Conservatives RReligious Centrists SSecular
Centrists
C
S
R
L
Politically Inactive
Politically Active
L
C
R
S
Pessimistic
Optimistic
73
Political Personality Index
L
C
R
S
Economic Policy Liberal
Economic Policy Conservative
L
C
R
S
Domestic Policy Liberal
Domestic Policy Conservative
C
R
S
L
Gay Rights Liberal
Gay Rights Conservative
74
How to Rig an ElectionThe Economist
75
Redistricting

• In a normal democracy, voters choose their
  representatives. In America, it is rapidly
  becoming the other way around.
• Most countries hand over redistricting to an
  independent board
• America Every 10 years after a census, state
  legislature redraw congressional boundaries to be
  approved by the states governor

76
Effect of Voting Rights Act

• Majority-minority districts
• Goal chance for minorities to elect a candidate
  of the same race

77
Partisan Redistricting

• Software allows for detailed electoral maps,
  geographic information systems
• Goal of incumbent protection safety first
• 2000 Reelection rate of 98
• Lack of competition depresses voter turnout
• Categories of districts
• Safe seats where incumbent almost assured of
  victory
• Competitive districts where the parties focus
  their resources

78
Alternative Systems

• Iowa civil servants draw maps without regard to
  partisanship
• Five other states authority in a bipartisan
  redistricting commission

79
The Politics of Congressional ElectionsGary C.
Jacobson
80
Interpreting Election Results

• Based on economic conditions
• National events at the time of elections
• Scandals
• Foreign affairs
• Public dissatisfaction with Executive

81
Models of Congressional Election Results

• The better the economy is performing, the better
  the congressional candidates of the presidents
  party do on election day.
• Tufte division of Congressional vote related to
  economy and presidential popularity
• Jacobson 70 of change in of House seats held
  by Presidents party explained by Exposure,
  Change in Real Income per capita, Presidential
  approval
• Most aggregate studies are based on the
  assumption that personal financial well-being is
  the criterion used by voters

82
Presidential Coattails

• Winning presidential candidates lead some
  congressional candidates of the same party to
  victory
• Erratic and usually modest in recent elections

83
National Elections and Strategic Politics

• Many voters evaluate the candidates as
  individuals with little reference to national
  politics and personalities
• Decision to run for Congress is strategic
• Evaluate personal odds of winning
• Evaluate partys odds on aggregate level
• Favored party usually fields more formidable
  challengers, incumbents of unfavorable party may
  retire
• Campaign contributors make similar evaluations

84
National Elections and Strategic Politics

• Direct and strong relationship between relative
  levels of spending by challengers and size of
  partisan seat swing
• Quality of challenger is a large determinant of
  election outcome
• Effects of national conditions on a congressional
  election depend on how the candidate uses the
  national issues

85
Campaign Themes

• National conditions affect the themes that are
  available for a congressional campaign
• Incumbents take credit for good things in
  government while disassociating selves from
  government failures
• Even during times of dissatisfaction with the
  government, it is difficult to unseat an incumbent

86
House Elections

• 1992
• 110 new members
• The Year of the Woman, African-Americans and
  Hispanics
• Partisan change modest
• Environmental forces stagnant economy, divided
  government, reapportionment
• House Bank Overdraft Scandal

87
House Elections

• 1994
• Republican Revolution in the House 230R-204D
  largest partisan swing since 1948
• Capitalize on blaming unified Democratic
  government for countrys problems
• Nationalized election Local choice issues framed
  on national terms
• Clinton Problem alienated groups of Democratic
  voters, cultural perceptions
• Contract with America little impact on voters

88
House Elections

• 1996
• Republicans lose only 3 House seats in spite of
  publics negative perception of Congress
• Most of the seats Republicans won in 1992 were
  seats Republicans should have won before
• Democrats no longer incumbents and had difficult
  time recruiting strong challengers
• Congressional elections were not nationalized,
  they were individualized
• Presidential campaign does not help Democratic
  Congressional candidates, scandal

89
House Elections

• 1998
• 2nd time since Civil War that incumbent
  presidents party picks up seats
• Voters endorse status quo in spite of
  Presidential scandal and impeachment
• Public views impeachment as partisan
• Both parties fail to recruit high quality
  challengers

90
House Elections

• 2000
• Reflect close partisan balance, national forces
  seem neutral
• Unprecedented amounts of money spent in highly
  competitive districts
• Republican campaigns focus on individual district
  issues
• Few seats changed partisan control

91
House Elections

• 2002
• Incumbent Presidents party gains seats for 2nd
  mid-term election in a row (3rd time since Civil
  War)
• Consequence of redistricting, terrorism
• Presidential popularity scares off quality
  Democratic challengers

92
House Elections

• Lessons from Last 25 years
• Potent issues and vigorous challenges needed to
  change the makeup of the House
• Strength of challenger is KEY
• Jacobson defines strong challengers as already
• Holding elected office
• Spending at least 300,000

93
Race and the Race

• The Harvey Gantt case

94
Credits

• Presentation based on How to Rig an Election,
  The Economist, 4/25/2002, http//www.economist.com
  /world/na/displaystory.cfm?story_id1099030
  Accessed 2/14/2005.
• Images on cover from http//upload.wikimedia.org/
  wikipedia/en/3/3a/Gerrymander.jpeg Accessed
  2/14/2005 San Antonio Express-News, 2003.
• Presentation based on Jacobson, Gary C., The
  Politics of Congressional Elections, 6th edition
  (New York Pearson Longman, 2004) pp. 151-217.
• Image on cover of The Politics of Congressional
  Elections from www.amazon.com Accessed 2/14/2005.

95
Staffing, and Committees

• February 23, 2004

96
Setting Course A Congressional Management
Guide-Congressional Management Foundation
97
Personal Staff Positions

• Washington Staff
• Caseworker, 12.2 yrs, 50k
• Chief of Staff, 10.2, 95k
• Federal Grants Coordinator, 8.2, 50k
• Legislative Director, 8.0, 75k
• Scheduler, 6.6, 45k
• Systems Manager, 6.3, 40k
• Correspondence Manager, 5.7, 38k
• Press Secretary, 3.5, 55k
• Legislative Assistant, 3.3, 45k
• Legislative Correspondent, 1.6, 30k

98
District Staff Positions

• District Director, 6.1yrs, 75k
• Caseworker, 5.6yrs, 39k
• District Scheduler, 4.4, 42k
• Field Representative, 4.3, 45k
• Clerk, Secretary, 3.1, 31k

99
Strategic Planning

• Learning how to strategically say NO
• Sensible, flexible set of overall goals
• Provides purpose and direction for office
• Cannot address many questions without
  articulating your strategic plan
• First year budget
• Legislative agenda
• Scheduling objectives
• Press plan
• Job Descriptions

100
Benefits of the Plan

• Clear Priorities
• Looking at the big picture
• Forward thinking instead of reactive
• Processes that allocate scarce resources
• Improving coordination
• Reducing frustration of staff
• Ability to measure progress

101
Planning Process

• Time Frame
• Two year plan with annual meetings
• Conduct from Nov.-Mar. to take advantage of
  legislative break
• Mission Statement
• Clearly defined broad yet distinctive goals
• Written
• More focus more direction

102
Planning Process

• Developing Goals
• Short term vehicles to pursue the broad themes of
  the mission statement
• Evaluating Potential Goals

Ability to Achieve
High
103
Planning Process

• Developing Action Plans
• Strategies to achieve a goal
• List three specific actions to achieve a goal
• Goal v. Functionally-Oriented Action Plans
• Implementation
• Written and distributed to staff
• Update and fine-tune
• Frequent ad hoc planning meetings
• Weekly or monthly progress reports
• Monthly strategic planning meetings
• Quarterly senior management meetings
• Timelines

104
Budgeting Financial Management

• Annual Size 1.2 million for Reps. 2.2-3.7
  million for Senators
• Decide on
• Staff number
• Salary for each staffer
• Number of district offices
• Type of computer system to operate
• Travel
• Mail
• Professional training

105
Avoiding Financial Problems

• Dont spend on the wrong things
• Consider how purchase affects long-term goals
• Dont spend more than you have
• Member is personally liable for excess
  expenditures
• May need to forego later expenditures
• Dont give the media reason to scrutinize
• Expenditure reports are public information

106
Budgeting Toward Your Goals

• Note any changes to your strategic plan or office
  priorities
• Brainstorm What resources will it take to
  accomplish the revised priorities
• Look at last years budget with an eye toward
  surprises
• Take note of the rules changes
• Determine variable and fixed costs
• Critically review major allocations
• Build a new month-by-month budget reflecting
  changes

107
Financial Procedures

• Written Office Policies
• Avoid questions and inconsistency, write policies
  on paper and provide to staff
• Accounting System
• Record Keeping track paperwork
• Payment Processing determine who can authorize
  expenditures, set rules for travel spending,
  establish a good relationship with the Finance
  Office employees
• Reconciliation monthly financial statements
• Auditing review financial expenditures
• Monthly Financial Review

108
Implementing Performance Management for Staff
109
Challenges

• Staff have different needs
• Keeping star-performers motivated
• Addressing sub-par performers
• Managing District/Capitol Office Relations
• The offices perform different functions
• Communication is imperative

110
Managing Ethics

• Gray Area Gap between technical compliance and
  behaving in a manner consistent with the publics
  expectations for public officials
• Institutional House Committee on Standards
  Official Conduct, Senate Select Committee on
  Ethics
• In practice Ethics reviewed on the front-page or
  the evening news

111
Ethics Lesson

• An office that never proofreads letters runs a
  high risk of typographical errors. Similarly, an
  office that does not give adequate attention to
  managing ethics runs a high risk of ethical
  lapse.

112
Guidelines

• There is a difference between not violating the
  rules and being ethical
• Examine every ethics rule with an eye to
  understanding its underlying principle
• Use the ethics committee as a resource before you
  get into trouble
• Dont assume smart, honest people will always
  make correct ethical judgments
• Develop clear, written policies for staff to
  follow

113
Guidelines

• The Member sets the ethical tone for the office
• Consciously set a high ethical tone, lead by
  example
• Staff (tend to be young and inexperienced) may
  avoid questions on ethical grounds
• Create policies that give staff license to raise
  questions with other staff, management and the
  Member

114
Guidelines

• Good ethics frequently conflicts with what is
  quick, easy, and politically expedient
• Ethics should be part of every decision a Member
  will make

115
Questions for Political/Ethical Analysis

• What are the relevant House rules?
• What are the principles underlying the rules?
• What is the politically advantageous course of
  action?
• From an ethical perspective, what is the right
  course of action?
• What is the source of tension inherent in the
  situation?
• What is the full range of options available?
• What are the likely consequences of those
  options?
• Which of these options could not be effectively
  defended if they became public?
• Of the remaining options, which best balances
  political and ethical interests

116
Credits

• Presentation based on Congressional Management
  Foundation, Setting Course A Congressional
  Management Guide. (Washington Congressional
  Management Foundation 2004), Chapters 11-13, 16,
  pp. 157-212, 265-278.
• Image on Cover from Congressional Management
  Foundation, http//www.cmfweb.org Accessed
  2/19/2005

117
February 28, 2005

• Congressman Martin Frost
• Represented the 24th CD in Texas, 1979-2005
• Climbed the ranks of the House Democratic
  Leadership throughout his tenure. Chaired the
  House Democratic Caucus, beginning January 2001.
• Redistricted into a stacking scheme in Texas.
• Here as the top draw on todays redistricting
  workshop, and will be at tonights forum event.

118
What is Power?

• The ability to force someone to do something. A
  causes B to act, and B knows A has the power.
  Coercive.
• The ability to influence the actions of another.
  A persuades B to do something, though B is not
  aware of the persuasion.
• The structure of the sets of institutions,
  benefiting A over B, while neither is aware of
  the background relationship.

119
Diagrams of Power

• Leadership Diagram http//clerk.house.gov/members
  /leadership_info.html
• The Median Voter
• The Committees Relative to the Floor

120
What is Leadership?

• Transformational Leadership
• Transactional Leadership

121

• Lessons from Wilbur Mills
• Influence versus Power
• Leadership Types
• Instrumental task master
• Affective soothes internal tensions
• Mills saw his role as
• Ensuring that WM bills passed on the floor
• Generating compromise within committee (to ensure
  support for final product)
• Exchange
• Five bases of Influence
• Expertise
• Legitimacy
• Rewards
• Reference

122

• Do
• Determine the right role by analyzing and
  balancing
• Personal strengths and weaknesses
• Your mission
• Needs of your district/state
• Political circumstances.
• Define your role as Legislative Insider Party
  Insider Ombudsman Statesman or Outsider.
• Members can major in one role and minor in
  another, but the two roles cant be incompatible
  with each other.
• When faced with opportunities, ask yourself
  Does this opportunity or decision support the
  role I am carving out in Congress?
• Dont
• Operate opportunistically without defining your
  role.  Taking on too large a range of issues will
  frustrate all your efforts.

123

• Legislative Insider
• Work through the committee structure.
• Interested in national attention
• Some motivated by ideology, some not
• Practicing the Politics of what is possible.
• Enjoy insider politics
• Building close ties with colleagues and using
  then for political ends
• Coalition building
• Using expertise
• Negotiating agreements
• Behind the scenes deals
• Category includes most committee subcommittee
  chairs/ranking members
• Motivated to move up the ladder
• Tend to
• Have discipline and focus
• Have excellent interpersonal skills
• Be good strategists
• Utilize committee structure, party hierarchy,
  national press and interests groups to advance
  their activities

124

• Party Insider
• Promote power and ideology of Party
• Include leadership
• Devote time to electoral politics
• Political skills and savvy
• Seek out administrative/management duties
• Vote counting
• Fundraising
• Less interested in details of specific
  legislation
• Prefer big picture
• Seek out committees that offer political
  operative powers, such as Rules, Budget, Approps,
  Ways and Means

125

• Ombudsman
• Primary focus is on creating strong image and
  record
• Focus on local and state issues
• Often motivated by electorally marginal seat
• Enjoy dealing with specific, manageable issues
• More interested in career within state than
  within Congress
• Methods
• Membership on committees that provide
  funds/services to their communities
• Federal grants
• Working with state delegation
• Working with state and local parties
• Local and state media

126

• Statesman
• Do the right thing
• Not driven by political expedience
• Advocate legislative ends or procedural/instituti
  onal reforms
• Rise above the fray, but only when necessary
• Exercise both internal and external power
• Criticism is vocal, but not alienating
• They are..
• Often policy wonks
• Excellent oral or written communicators
• Not fans of schmoozing
• Not interested in wielding partisan power
• Not junior members (although those can set the
  groundwork for this role)

127

• Outsider
• Critics of the system
• Like Statesmen, but more bold/brash
• Tactics often generate resentment
• Choose public rhetoric over internal process
• Often lack interest or skill for other roles
• Lack patience
• Risk-seeking
• Transition from Outsider to Insider is difficult,
  but increasingly not impossible

128
March 2, 2005

• Understanding the Roles and Clout of Committees
• Discussion of Lobbyists Roles
• Introduction of Legislation
• Oleszek (Chapter 3)
• King (Chapter 2)
• Setting Course (Chapters 1-7)

129
Preliminary Legislative Action from
Congressional Procedures and the Policy
Process-Walter J. Oleszek
130
Categories of Bills

• Bills Lacking Wide Support
• Introduced with no expectation of passage
• Die in committee
• Noncontroversial Bills
• Expedited
• Passed on Floor with little debate
• Major Legislation
• Executive Branch Bills
• Influential Members Bills
• Must Pass Legislation

131
Bill Referral Procedure

• Receives a number H.R. in House S in Senate
• Speaker assigns bill to committee
• Parliamentarians make assignment on behalf of
  Speaker
• Referrals typically routine but committees clash
  over turf
• Representative can only appeal assignment in
  instances of erroneous assignment

132
Legislative Drafting/Referral Strategy

• Draft bill in such a way that it is referred to a
  favorable committee
• Technique 1 word it ambiguously so the Presiding
  Officer has options
• Technique 2 amend existing laws over which a
  committee has jurisdiction
• Know precedents regarding bill referral
• Parliamentarians provide advice to staff about
  referrals

133
Referral to Several Committees

• Committees often share jurisdiction
• Formal
• Informal
• Speaker allowed to refer bill to multiple
  committees since 1975
• Joint
• Sequential
• Split
• May create ad hoc committees to deal with bills
  that overlap jurisdiction of several committees
• 1995 Joint referrals abolished, but sequential
  and split are allowed

134
Consideration in Committee

• Options
• Consider and Report the Bill
• With amendments or recommendation
• Without amendments or recommendation
• Rewrite bill entirely
• Reject bill
• Refuse to consider bill

135
Consideration in Committee

• Whole Committee may consider bill
• Often Chair sends bill to subcommittee
• Public hearings or No Public Hearings
• Approve, rewrite, amend or block bill
• Mark Up consider the bill line by line
• Report bill to full Committee
• Whole Committee may repeat subcommittees
  procedures in whole or part
• If bill passes Committee, it is sent for
  consideration for Floor debate with a Report
  (statement of committee action)

136
Role of Committee Chair

• Controls committees legislative agenda
• Refers bills to subcommittees
• Controls committee finances
• Hires/Fires committee staff
• May refuse to consider a bill
• May refuse to recognize member for questions
• Used to be determined by Seniority
• Now subject to majority selection within caucuses

137
Hearings

• Format
• Traditional, Panel, Field, Joint, High Tech
• Purpose
• Public record of committee members and interest
  groups positions
• Orchestrated
• Testimony solicited and taken
• Timing
• Chairs may delay or schedule hearings to affect
  outcome of legislation

138
Markup

• Line-by-Line review of legislation by committee
  members
• May implement formal or informal procedures
• House markups occur at subcommittee and full
  committee levels usually
• 1/3 membership needed for quorum, majority needed
  to report bill

139
Markup Procedures

• Usually in open session
• Issues decided by voice vote or show of hands
• Proxy allowing a member to cast a vote for an
  absent member
• Banned by Republican Majority
• Modified rule allows Chairs to reschedule vote
  when they are certain of majority support

140
Report

• Written statement of committee action that
  accompanies a bill that has passed committee
• Describes purpose and scope of bill
• Explains committee revisions
• Outlines proposes changes to existing laws
• Outlines views of Executive Branch agencies
  affected
• Committee members may file Minority, Supplemental
  or additional views

141
Bypassing Committees

• Committee Power has diminished compared to Party
  Power
• Techniques to Bypass
• Partisan Task Forces
• Riders to Appropriations Bills
• House Rules Committee can send bills to floor
  without previous committee consideration
• Reasons
• Time, Partisanship, Committee Gridlock, Electoral
  Salience, Consensus

142
The Nature of Committee Jurisdiction from Turf
Wars-David C. King
143
Committee Borders

• Jurisdictions are, at once, both rigid and
  flexible.
• Sources of Jurisdictional Legitimacy
• Statutory Law
• Common Law

144
Statutory Jurisdictions

• Easy to quantify, rarely change
• Based on 1946 Legislative Reorganization Act
• Supposed to get rid of jurisdictional fluidity
• Previous statutory jurisdictions were imprecise
• committee boundaries were like gerrymandered
  electoral districts

145
Common Law Jurisdictions

• Precedents are KEY
• Decision are made by Parliamentarians routinely
• Typically affect discreet bills and not wide
  issue areas
• The closer a bill is to committee turf increase
  its chances of being referred to that committee

146
Policy Entrepreneurs

• Jurisdictionally ambiguous bills arise in areas
  that are not yet clearly defined and within
  issues areas that are undergoing redefinition.
• See turf as malleable
• Strike claim on turf as they are motivated by
  policy or election

147
Setting Course A Congressional Management
Guide-Congressional Management Foundation
148
First 60 Days Nov. Dec.

• PRIORITIZE

149
Critical Transition Tasks

• 1. Decisions about Personal Circumstances
• Family
• Current job status
• Relocating to Washington or commute
• 2. Selecting Lobbying for Committee Assignments
• 3. Setting Up Your Office
• Creating a First Year Budget
• Management Structure for Office
• Hiring Core Staff
• Evaluating Technological Needs
• Establishing District Office

150
Guiding Principles

• Develop and Base Decisions Around Strategic Goals
• Recognize Less is More
• Delegate
• DONT Try to Do Everything
• DONT Procrastinate and Put off Planning Until
  the Next Year

151
Selecting Committee Assignments

• Committee Choices in the First Year are Not
  Necessarily Binding
• Try to Land Committee of Choice from the Start
• Steps
• Party Recommendation
• Approval by the Party Caucus (Most Important
• House or Senate Floor Vote on Roster

152
Committee Categories

• House Limit to Serve on 2 Standing Committees
  and 4 Subcommittees of those Standing Committees
• Service Limited to 1 Exclusive Committee
• Service Limited to 2 Non-Exclusive Committees

153
Advice for Choosing a Committee

• Start early learn where the openings are, learn
  jurisdictions, talk with Members
• Gather Information Talk with other members from
  region
• Select Committees that will Help You Achieve your
  Goals
• Make Your Case
• Consider Leadership Requests
• Assess Your Chances

154
Congressional Budget Primer

• Allocations Fixed Personal responsibility for
  finances
• Funds Not Given to office, held by Treasury
• Funds Authorized Annually
• Funds have Limited Uses
• Office Doesnt Pay for Fringe Benefits
• Office not Charged for Washington Office Space

155
Developing a First Year Budget

• Collect Expense Information
• Make Major Allocations
• Salaries
• Franking
• Equipment
• District Office Rent, Telecommunications,
  Utilities
• Travel (Member and Staff)
• Supplies and Materials
• Printing and Production
• Other Services (eg newsclipping, cleaning of
  district office
• Returning Money to Treasury
• Contingencies (5,000 in reserve usually)

156
Developing a First Year Budget

• Compare Major Allocations to Your Office Goals
• Build a Month-by-Month Budget

157
Advice on Building a Budget

• Read and Know the Rules Ask Questions
• Keep Options Open When it Comes to Spending
  Leftover Funds
• Get to Know the Employees of the House Finance
  Office
• Use the Buddy System
• Estimate Transportation Costs
• Budget at the Highest Level of Detail
• District Offices are Expensive
• Pay attention to Freshmen Legislator Specials
  that Only Last for 1 Year

158
Management Structure

• Option 1 Centralized Structure

MEMBER
Press Sec.
Office Manager
Chief of Staff
Executive Asst.
District Dir.
Legislative Dir.
159
Management Structure

• Option 2 Washington/District Parity Structure

MEMBER
Chief of Staff
District Director
160
Management Structure

• Option 3 Functional Structure

MEMBER
CoS
LD
PS
EA
DD
161
Management Structure

• Option 4 Member as Manager

MEMBER
162
Advice for Designing Communication System

• Employ a full range of methods
• Draft a memo that specifies how the office
  intends to manage Member-Staff relations
• Evenly enforce the agreed upon rules and
  practices
• Conduct regular office-wide discussions about
  your communications to identify problems

163
Hire a Core Staff

• Scarce time
• Increase the chances of hiring the right staff
• Turnover High

164
Vital Functions

• Answering phone/greeting visitors
• Answering mail
• Conducting basic legislative research
• Maintaining computer system
• Handling scheduling requests
• Providing member with personal assistance
• Handling casework
• Handling press inquiries
• Day-to-day management

165
Staff Candidate Selection Process

• Do a job analysis for each position
• Develop interview questions and other tests that
  will elicit information about whether the
  candidates have the skills identified in the job
  analysis
• Ask the same key questions use a rating system
• Involve other staff in the interview
• Dont hesitate to conduct further interviews
• Check references

166
Technology

• Freshman members inherit predecessors computers,
  unless the systems do not comply with the
  Houses/Senates standards
• Staff computers
• Networks
• Networks and file servers
• Printers
• Correspondence Management System
• Scheduling Software
• Word Processor
• E-mail Management
• Web Browser
• Budgeting and Accounting

167
Steps to Making Wise Technology Purchases

• Conduct an inventory of hardware, software, and
  functionality
• Talk to the people who can help
• Shop around
• Try before you buy
• Be sure purchases are compatible
• Pay close attention to installation and
  maintenance details

168
Establishing District Offices

• All politics is local
• Consider
• Size of district
• Accessibility to constituents
• Constituent expectations
• Number of offices operated by previous Member
• Campaign promises
• Budget constraints
• Urban/Rural differences
• Strategic importance of constituent services
• Staff hiring limitations

169
Office Options

• Occupying predecessors offices
• Using government vs. privately-owned space
• Mobile offices

170
Considerations

• Symbolism Counts
• Make Sure the Office can Carry the Load
• Dont Do Anything Just to Look Good on Day 1
• Everything not inherited must be paid by Members
  Account

171
Credits

• Presentation based on Congressional Management
  Foundation, Setting Course A Congressional
  Management Guide. (Washington Congressional
  Management Foundation 2004), Chapters 1-7.
• Image on Cover from Congressional Management
  Foundation, http//www.cmfweb.org Accessed
  2/19/2005
• Presentation based on King, David C. Turf Wars
  How Congressional Committees Claim Jurisdiction.
  (Chicago University of Chicago Press, 1997)
  33-55.
• Image from http//www.press.uchicago.edu/cgi-bin/
  hfs.cgi/00/13268.ctl (Accessed 2/28/05)
  http//www.ksg.harvard.edu/news/experts/2001/king_
  election_reform_031301.htm Accessed 3/1/05)
• Presentation based on Oleszek, Walter J.,
  Congressional Procedures and the Policy Process.
  (Washington, DC CQ Press, 2004) 76-109.
• Images from http//www.cqpress.com/product/Congre
  ssional-Procedures-and-the-Policy-2.html,
  http//www.school-house-rock.com/Bill.html,
  http//en.wikipedia.org/wiki/ImageUS_House_Commit
  tee.jpg (Accessed 2/28/2005)