Frequently Asked Questions about Legislative Oversight

Why is legislative oversight necessary? Fundamentally, oversight by the Legislature is intended to ensure government accountability and make certain that tax dollars are spent properly and efficiently by the executive branch of state government.

Has the California Legislature developed any materials for legislative oversight? Seven years ago, then-Assembly Rules Committee Chair, Ken Cooley, released the “2017 Oversight Handbook” for his legislative colleagues.

Why did the Assembly create this Handbook? As Assemblyman Cooley opined to his colleagues, “it is quite striking that done well and systematically, oversight can be more impactful than merely passing new laws.” As an elected branch of government, oversight allows the Legislature to try and have the executive branch reflect the state’s priorities with legislative input.

What is the purpose of the Assembly materials? The Legislative Oversight Handbook provides a toolkit and offers useful advice to support legislative committees as they prepare and conduct oversight activities.

How does the Assembly Handbook describe oversight? According to the Handbook, “Oversight is broadly defined as reviewing, monitoring, and supervising the implementation of public policy.”

What does the Assembly Handbook describe as the purpose of oversight? It is intended that these oversight hearings be used to create a “check and balance” to the executive branch and its over two hundred agencies, departments, boards, and commissions that carry out policy. It also allows the legislative branch to ensure that these state agencies are implementing the laws as intended by the Legislature.

How can legislative oversight be conducted? As might be expected, legislative oversight can take several forms, including private communications, public hearings, the budget process, and legislation.

Are there other state agencies that can conduct oversight? The Legislature also has the Bureau of State Audits to conduct audits and investigations into the executive branch of state government.

What are the types of legislative oversight hearings? These are essentially two types of oversight hearings that the Legislature can conduct, one that is informational in nature, while the other is investigatory in its approach.

What is an informational hearing? This type of hearing allows legislators to learn about a particular topic or state agency. These types of hearings also educate other legislators, staff and members of the public who listen to the hearing on television or the Internet. These usually occur when the Legislature wants to learn more about the subject matter of the hearing.

What is an investigational hearing? This type of hearing is more of a “fact finding” effort conducted by the Legislature to find out about a particular matter that has previously occurred. This type of hearing is the traditional oversight hearing wherein the Legislature needs to understand what transpired. An example is when the Legislature has investigated information technology procurements that went well over budget and their timeline, which is an effort to appreciate why the procurement was not successful and whether any law changes are required to ensure such a situation does not occur again.

How can oversight be conducted? Former Assemblyman Cooley states that, “to conduct a successful oversight hearing in either case requires a commitment to research.” As such, the Handbook that he and his staff developed set forth ways in which the Legislature can successfully carry out these types of oversight hearings.

What are the contents of the Handbook? It contains the following contents that are invaluable to legislators, their staff, and their committees:

Introduction

Defining Legislative Oversight

The Nuts and Bolts of Oversight

Participants

Growing Institutional Capacity

Legislative Rules Governing Oversight Hearings

Oversight Coordination and Processes

Office of Legislative Counsel Collaboration for Hearing Preparation

Oversight Quotes

Legal Issues Pertinent to Investigative Hearings

Quick Reference on California Statutory and Other Law

FAQ Sheet: Rules, Statutes, and Case Law Governing Oversight Hearings

Rules Governing Legislative Oversight

Committee Rules Containing Oversight or Investigations Provisions

Preparation of Briefing Books

Subpoena Policy