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The Legislator as
Lawmaker – the Interim
How Committees and Legislators Can Be Effective
Between Sessions
The time between
legislative sessions – known as "the interim" – is just as
important as the session. Committee studies, including
oversight, are among the most important functions of the
lawmaking process. For the individual member, the time between
sessions is used for working with constituents and getting ready
for the next session.
Historically, the
legislature has not been a co-equal branch of state
government. Prior to the early '70s, standing committees did
not meet in the interim. Between sessions, individual
legislators used staff only to draft bills and do limited
research. The staff was small, and standing committees had
no research staff. Interim activity of committees and
members has been very significant in strengthening the
legislative branch.
The committee system
in the House consists of 17 standing committees. Committee
subject matter jurisdiction is defined in the House Rules
(House Rule 6.6). Standing committees use the interim
effectively when they fully utilize their interim authority.
The individual
legislator uses the interim to prepare for the next session
– to gather information and seek possible solutions to problems,
to develop draft legislation, and to plan for the session.
Many resources are
available to both committees and to individual members to help
them use the interim effectively.
The
Committee System – The Interim Between Sessions
How the Legislature Functions Through
Committees
The interim activities
of standing committees are critical to the role of the
legislature as a co-equal branch of state government. The
authority of the legislature as policymaker is exercised during
the interim through the standing committees, essentially through
studies, oversight, and presession hearing of legislation.
The standing committee
system of the House of Representatives is comprised of the 17
permanent House standing committees. The committees and the
specific subject matter jurisdiction of each are established by
House Rules (House Rules 6.1 and 6.6).
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House Standing Committees |
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Administration of
Criminal Justice |
Insurance |
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Appropriations |
Judiciary |
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Agriculture,
Forestry, Aquaculture and Rural Development |
Labor and
Industrial Relations |
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Civil Law and
Procedure |
Municipal,
Parochial and Cultural Affairs |
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Commerce |
Natural Resources
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Education |
Retirement |
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Environment |
Transportation,
Highways and Public Works |
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Health and Welfare |
Ways and Means |
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House and
Governmental Affairs |
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The chairman and
members of each committee are appointed by the Speaker of the
House (except that certain members of the Appropriations
Committee are elected as provided by House Rules (House Rule
6.4)
The standing committees
engage in several kinds of interim studies, all having
significance for legislative policymaking. These include:
studies of problems and possible solutions, often with a view
toward proposed legislation; oversight of the implementation of
laws previously enacted, including review of proposed agency
rules; and presession hearings of proposed legislation and
prefiled bills.
Committees have authority and responsibility
to conduct research studies for the legislature.
House Rules (House Rule 14.16)
authorize each standing committee to "study and hold
hearings between sessions of the legislature on matters,
subjects, or problems" within its subject matter
jurisdiction as directed by the legislature or the House or
by a majority of its own members. Interim meetings are
subject to specific notice requirements.
Such studies may be for the purpose of
examining the scope of particular problems within the
committee’s jurisdiction; gathering data and information;
obtaining testimony and opinion; developing and evaluating
alternative solutions; and drafting and considering proposed
legislation. Committee activities may include on-site visits
to facilities around the state that pertain to committee
subject matter as well as committee hearings to receive
public testimony and opinion on matters of concern to the
committee and the public.
Studies may be conducted jointly with
the corresponding Senate committee having jurisdiction of
the subject matter or by the House committee only.
Many studies are
directed by a study request, a legislative instrument
requesting the committee, or a joint committee to study a
particular problem. However, a committee may determine on
its own initiative, by majority vote (subject to the
Speaker’s approval), that it will undertake a particular
study.
Committees have the
authority and responsibility to oversee the implementation of
law.
"Oversight" is a much used and
somewhat misunderstood term. It refers not only to the
statutory authority of committees to review proposed agency
rules, but also to the entire scope of all types of
legislative activity that are directed to assure compliance
with legislative intent in the implementation of laws.
House and Senate committees are
authorized by the Administrative Procedure Act (APA) to
review rules proposed by agencies within their subject
matter jurisdictions. Since agency rulemaking authority is
actually the delegation of the details of lawmaking to
executive branch agencies, the legislature has retained
authority, subject to gubernatorial override, to disapprove
proposed rules. Detailed procedures for review of agency
rules are specified by the APA
(R.S. 49:950 et seq.).
House and Senate committees are
required by Joint Rule 16 to "conduct legislative oversight
of the administration of laws and programs by agencies
supported ... by state funds ...". Committees may conduct
in-depth program evaluations to ensure that program purposes
are valid and are being served and they may also do less
extensive evaluative research related to the operation of
programs. They may also develop related proposed
legislation.
The Sunset Law (R.S. 49:190 et
seq.) abolishes executive branch agencies on specified
dates unless they are re-created by the legislature prior to
such dates. Standing committees are required to evaluate the
agencies within their jurisdictions and the agencies’
programs to determine if their legal authority should
terminate. The law authorizes the committees to select
particular entities or programs for more extensive
evaluation.
Reorganization of
executive branch department structure is another type of
oversight study. Usually undertaken by the House and
Governmental Affairs Committee, whose jurisdiction includes
executive branch organization, this type of study may also
be related to any committee’s review of departments within
its jurisdiction. Such studies examine issues such as
duplication of functions, consolidation of agencies,
placement of functions within a department’s structure, and
cost-effectiveness of organizational structure.
Committees have the
authority to conduct hearings on prefiled legislation prior to
the session and to determine the committee report on such
legislation. If the committee determines its report at a
presession hearing, then during the session the committee must
report the bill in the same way, unless the committee requests
permission to change its report and the House permits the
change, all within certain time frames. House Rules carefully
regulate these procedures. Prefiling and presession hearings are
intended to allow more time for committee hearings, particularly
for complex and controversial matters, and to relieve the busy
committee agendas during session. Committees have seldom used
this authority in recent years.
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Committee
Broadcasts
Committee
meetings during the interim are broadcast on the
internet and on closed circuit television accessible
via cable television in the State Capitol complex.
Internet broadcasts of meetings are archived for
later viewing. See Information Resources for
Constituents beginning on page G-27 and
Broadcast of Legislative Proceedings on page
E-19.
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Interim
Organization and Functions of Committees
Committee Planning and
Staffing Between Sessions
Effective committee
study requires careful planning. Rules require committees to
submit statements of study scope, anticipated meetings, and
estimated cost to the Speaker for approval. Productive use of
committee and staff time is best assured by an overall plan for
the committee interim, including the matters to be studied by
subcommittee, if any, and a plan for each study.
The chairman of each
standing committee is authorized to establish subcommittees
which may take action subject to approval of the committee. In
addition, each standing committee also has this authority.
Committees often assign interim studies to appropriate
subcommittees.
The committee chairman
should use staff expertise in planning each study. Such plans
should include identification of the problem(s) and the
questions the committee seeks to answer; the kind of information
necessary to define the problem and answer the committee’s
questions; the methodology necessary to gather the information
and the time required to gather it; and how the time for each
committee meeting will be fully and productively used, including
research findings to be presented and testimony to be given.
Committees should seek
to obtain as much information on the topic as time permits.
Longer range planning will result in obtaining better
information.
Research studies by committees
which examine problems and alternative solutions should
include such staff research as: staff preparation and
presentation (written and/or oral) of background information
(such as data and information relative to the scope of the
problem, present laws and programs related to the problem,
experience or laws of other states); staff interviews of
department personnel and other interested or affected
persons who may testify before the committee in order to
assure that informed testimony will be provided to the
committee; preparation, submission, and analysis of data
from questionnaires submitted or administered to affected
agencies or persons; drafting suggested questions for
members to use during hearings.
Review of proposed agency rules
by a committee should include such staff preparation as:
examination of the legal authority for the rule and
legislative intent related to the rule; explanation, written
and oral, of the change proposed by the new rule; research
into related legislative activity, particularly whether the
committee has considered similar or related bills or rules;
information related to possible effects of the rule. The
Legislative Fiscal Office staff must review and approve the
fiscal impact statements and economic impact statements
prepared by the agency concerning proposed rules that the
agency is required to submit with its statement of intent to
adopt rules. The agency is also required to prepare a family
impact statement concerning each proposed rule which must
include certain specified information about the effect of
the rule on family formation, stability, and autonomy.
In-depth program evaluation
research requires considerable staff effort and continuing
direction by the committee. It involves identification of
program goals and objectives as established by the
legislature or by program administrators and gathering of
objective information and data to indicate how well such
goals and objectives are met. It often examines the
cost-effectiveness and efficiency of the program and its
management. This can include such methodology as staff
analysis of records and data of the program or gathering of
new data, interviews, administration of questionnaires or
surveys to affected persons, and other more traditional
research into provisions of law and comparisons with other
states. The Legislative Auditor and the Legislative Fiscal
Office have been charged by law with conducting performance
audits and program evaluations for the legislature.
Limited program evaluation
research methods may also be used to examine specific
questions related to program operations. This type of
research may use some of the same sort of methodology,
although of a less extensive nature, as does a full program
evaluation. It can aid in an immediate and effective
committee response to problems which arise in program or
department operations.
Sunset studies
are useful in informing committee members about agency
programs and activities and in determining whether the
agency and/or its programs continue to be needed. The sunset
law outlines specific determinations the committee is
required to make as part of its study to decide whether an
agency should be re-created or should be allowed to "sunset"
and cease to exist. Committee sunset activities may also
include a review of the agency’s indicators of program
effectiveness and any audits or reports prepared by the
legislative auditor concerning the agency.
The Individual
Legislator – the Interim
What a House Member Does Between Sessions -
Committee Work and Session Preparation
To be effective,
activities of individual House members during the interim
between legislative sessions require planning and attention. It
is particularly important that each member give careful
consideration to the preparation of his or her personal
legislative program and to all steps necessary to assure the
successful handling of that program.
There are four primary
areas of interim activity for the individual House member:
Service on committees: This
includes participation in committee activities such as
oversight of proposed agency rules, oversight of the
effectiveness of previously enacted legislation, studies by
committees of problems in their subject areas, and
development and adoption of proposed committee legislation.
Constituent communications:
This means following through with constituents on their
interests and problems. This includes discussion,
development of information, and possibly research and
drafting of legislative proposals related to interests or
problems identified by constituents.
Political subdivisions and local
officials: This includes working with local governing
bodies and officials in addressing their problems, including
the preparation of needed legislation, as well as providing
for publication of notice of local or retirement bills and
meeting any other procedural requirements.
Personal legislative program:
This requires the development of ideas, research, and drafts
of legislation relating to the member’s own particular areas
of interest. The bills he or she will introduce comprise the
member’s personal legislative program or package.
Certain guidelines must
be followed to assure serious and favorable consideration of the
member’s proposed legislative program by the legislature.
Substantive, complex legislation requires special preparation,
attention, and handling. The following guidelines apply
particularly to such legislation, although any bill may have
aspects which require that many of the following steps be
followed.
Three essential rules
should be observed in the preparation and presentation of a
member’s program and of any bill:
Be knowledgeable of the subject
matter.
Be
prepared.
Be organized.
It is critical that the
member fully learn the subject matter on which he or she intends
to focus, using self-education and staff briefings and research.
The staff can be a great help. No member can be an expert on
everything, and no member will be accepted or recognized as an
expert on everything.
Preparation must begin
in a timely manner. Complex legislation requires time for
research, drafting, and familiarizing potential supporters with
the provisions of the proposal.
Get to know those staff
persons having expert knowledge of the subject matter and seek
their assistance to develop expertise and to become as
specialized in knowledge as is necessary to handle a complex
bill.
The staff will provide objective,
nonpartisan research and will try to develop the idea and
draft the bill as the member instructs. It is important to
communicate the request to staff clearly. Contact
staff as early as possible, even when the idea is
only in the formative stages, and further consultation with
staff should occur as the member develops the idea. Staff
members can provide information about the history of similar
legislative proposals, suggestions for implementation, and
ideas for alternative approaches. Staff can advise on
procedural requirements, such as session subject matter
limitations and requirements for publication of notice.
Staff does not make policy.
Although staff will try to provide as much assistance as is
requested and as time permits, the bill is the member’s
responsibility. "Staff told me" and "staff recommended" are
ineffective statements when explaining the provisions of a
bill.
Difficult, substantive research
takes time. Development of the legislation may require
obtaining laws of other states, information from public
bodies and private agencies, and coordination of information
and ideas from many sources. The earlier a bill is
requested, the more time the staff will have to devote to
it. A bill requested too late for thorough research and
drafting may generate questions, require substantial
amendment, and may not be properly considered during
session. If the bill is a local or retirement bill required
to be advertised prior to introduction, it is imperative
that staff assistance be requested before the deadline for
submission of the notice to the newspaper; if the deadline
has passed, it is very likely that the bill cannot be
introduced.
There are a number of
key elements to consider in developing legislation. The author
should review these elements in preparing the bill itself and in
obtaining the support of other members and interested groups. He
or she should determine which elements apply to the bill and be
fully prepared on each of them in relation to the bill. Staff
can assist in obtaining information in this regard. This
preparation should be completed well in advance of the session.
What is the problem that is being
addressed? This is a practical statement of the actual
problem that makes the bill necessary. Carefully done, this
can assist the member and the drafter in removing
unnecessary and unworkable provisions from the bill. It also
assists the member in explaining the bill to others.
Is legislation the proper approach
to solving the problem? Does the solution require a
change in existing law or the granting of authority to
implement the solution? Does sufficient authority exist to
solve the problem by administrative action? These issues are
crucial to the draft and to any explanation of the bill’s
importance.
What does the bill do? Does the
bill go beyond the solution sought? Does the bill have
unnecessary and unwanted effects? How is it to be
implemented in practice? What cost impact does it have?
How does the bill solve the
problem? What is the actual result of the legislation?
What is the actual effect on the particular problem?
Does the bill have the support of
others? Other legislators? Interested and affected
groups? The provisions of the bill to which potential
supporters object may be changed before the bill is
introduced if the questions on this list are answered. The
answers to these questions also affect other support the
bill might receive.
Can examples of similar solutions
be cited? Citing similar statutes used successfully to
solve similar problems may attest to the workable nature of
the solution.
Can likely objections be answered
in advance? Careful preparation includes anticipation of
probable objections or opposing arguments to the legislation
and the preparation of answers in response to such
objections and arguments, including data and information.
Identifying the likely opponents may be important when doing
this.
The degree of
development of the legislative proposal will determine how the
legislator will initiate staff efforts in preparation of
a bill:
If the idea or need for legislation
is formulated and the member is ready to give
instructions on drafting the bill, instructions should be
clearly given to the drafter, and the drafter’s questions
should be answered. In developing the concept with the
drafter, the author may find that factors exist (such as
current law or practical requirements of implementation)
that require changes in the initial approach.
If the legislative proposal is only
a concept, the member needs research to determine the
extent of the problem, possible alternative solutions and
their implications, and specific provisions that might be
incorporated in a solution. Staff can assist in formulating
the questions to be answered and the kinds of factual
information necessary to answer them, as well as in
suggesting solutions and raising questions about details of
the proposed law. The staff does not make the decisions; the
contents of the bill ultimately are the responsibility of
the member.
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To Develop
Effective Legislation,
a House
Member Must:
Begin preparation of
legislation well in advance of the session.
Request preparation and
drafting of legislation as ideas are generated;
do not accumulate a number of proposals before
putting the staff to work on them.
Give staff
the time necessary to do a good and thorough
job.
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When it is complete, it
is important for the member to review the bill draft in detail.
The member should ask the drafter to point out areas that differ
from instructions, and why, and provisions which the drafter
thinks are particularly important. The author must read the
entire bill closely and ask questions about any part that is not
clear. Clarity of language is a hallmark of good legislation. It
will also make the bill easier to explain.
Presession efforts to
gain support and eliminate opposition may include:
Meeting with supporters in
order to generate publicity and enthusiasm for the
legislation.
Meeting with other legislators
interested in the subject in order to gain their assistance
and incorporate their ideas. Adding co-authors to a bill is
often helpful.
Publicity. Such actions as
contacting interested groups, issuing press releases, and
mentioning legislation in public forums will make the media
and the public aware of the proposal.
Floating a trial balloon
involves identifying someone affected or potentially opposed
and obtaining an initial response to the idea. One possible
approach is to contact the affected state agency which will
be required to implement the law and ask for comments on the
proposal.
Anticipating and trying to work out
problems. This means identifying the likely opposition
and including or removing provisions to make the legislation
more palatable, or providing information to those opposed to
disprove their objections.
Redrafting. If necessary to
correct mistakes, to make the implementation more workable,
or to answer objections of supporters or would-be opponents,
the language and provisions of the bill can be rewritten.
Preparing responses to the
opposition. When the opposition is identified and the
arguments against the proposal known, arguments and
information to refute the objections can be prepared.
How Staff Assists Committees and Members
During the Interim
What Staff Can Do to Make Committees and
Individual Members
More Effective Between Sessions
Legislative staff
provides a variety of types of assistance to legislators in the
interim to aid them in their lawmaking role and in their
capacities as representatives and as overseers of the
departments and programs of state government. The most effective
members of the legislature take best advantage of the staff
services available. Research, legislative oversight, and bill
drafting services for individual members and committees are
provided by House Legislative Services. The Legislative Fiscal
Office and the Legislative Auditor also provide research, data,
and information to members. Although the discussion below
focuses on House Legislative Services staff, much of what is
said also applies to other staff.
The preceding sections
of this guide describe how individual House members and standing
committees make effective use of the interim period between
sessions of the legislature. It is the mission of House
Legislative Services (HLS) to provide the kinds of staff
assistance to both committees and individual members that assure
productive and effective use of this time between sessions.
Staff assistance can be
generally categorized as: research, legislative oversight, and
bill drafting. The interim activities of both individual
legislators and legislative committees require these kinds of
staff assistance.
Individual members and
committees may request information from HLS about any matter
within their legislative responsibilities. Staff research to
respond to such requests for information may include:
General background – including
descriptions of governmental programs, statistics,
provisions of current law, and information about a problem.
Specific information and data –
including information and data specific to the particular
problem or programs and focused on the matter the member or
committee seeks to deal with.
Legislative history – detailing
prior legislative action on the subject in Louisiana.
Court decisions – reflecting
the content and significance of particular decisions as they
relate to the matter under study.
Federal laws or laws of other
states – including descriptions, comparisons, and in the
case of federal law, requirements for state action or
prohibitions on it.
Alternative solutions and their
pros and cons – listing of alternative solutions to
problems under study and explanation of their advantages and
disadvantages.
Evaluation – including
objective indicators of whether and how well governmental
programs have been implemented and information about
possible impact of proposals.
Such research may be
handled quickly or may be in-depth, depending upon the nature of
the matter under study and the time available. In many cases,
staff will try to provide a written response in memorandum form
in the detail required; but, if time does not permit, a quick
answer based upon findings only from readily available sources
can be provided by telephone, fax, or e-mail. In some cases, the
staff will provide copies of material from other sources.
In addition to the
general research types listed above, legislative staff can play
an important role for committees in the interim by preparing a
proposed committee study strategy, scheduling meetings and
hearings, identifying and briefing persons who can provide
committee testimony, briefing committee members, preparing
memoranda or research papers, outlining major alternatives,
collecting and evaluating information about state agency
performance, and preparing draft legislation.
HLS staffers receive
training in assisting committees with making their interim
studies and activities more in-depth and effective. Interim
planning is a key element in a productive interim, planning not
only for particular meetings, but for each interim study and the
progress of the study through a series of meetings. This
planning should also include a plan for the research the staff
will complete and present to the committee to assist in
completing the study. House standing committees should submit a
report to the House of their interim activities and the findings
and recommendations of their interim studies.
Legislative oversight
can take many forms. While the more in-depth oversight
activities which require large investments of staff time, often
in the nature of program evaluations or other types of extensive
studies, are usually undertaken by committees, each individual
legislator can use staff to obtain good information about how
and how well programs have been implemented.
Oversight-Related
Questions
Examples of
oversight-related questions legislators and committees may ask
staff to research concerning state programs are:
What regulations have been proposed or
adopted and what evidence is there that they are based on
legislative authority and reflect legislative intent?
Does the organizational structure
follow legislative intent? Are like programs
administratively combined to the extent possible? Does the
organizational structure provide for effective use and
cross-use of personnel? Have changes in state needs made
programs and/or organizational units obsolete? Should
programs and/or agencies be combined with those of other
departments or transferred to other departments?
What information is there on how many
and what type of people have been served by the program and
what is the cost per person of providing the service? What
information is available to demonstrate whether the program
is or is not cost-effective?
What measures of performance are being
used by the implementing agency to determine if the program
is successful? State law (R.S. 39:31) requires
departments and agencies to revise and update a strategic
plan as part of the performance-based budget process. (See
Budget Planning and Preparation beginning on page
F-11.) The plan must include specific and measurable
performance indicators for the objectives included in the
plan, including indicators of input, output, outcome, and
efficiency.
What information is there that the
program is successful? How does this information compare
with that of other agencies and/or states that have a
similar program?
What might be done to improve the
program?
Performance
audits/program evaluations
Studies of the
efficiency and effectiveness of state government programs that
employ objective methodologies to measure real program effects,
to demonstrate in factual terms results or effects as related to
program objectives, and to measure program operations and
administration against objective standards are program audits or
program evaluations. The legislative auditor is charged by law
with program audits, program evaluations, and studies to enable
the legislature and its committees to evaluate the efficiency,
effectiveness, and operation of state programs and activities.
The Louisiana Performance Audit Program of the legislative
auditor’s office has been established for this purpose. It
conducts a number of performance audits each year. Subject to
the direction of the Joint Legislative Committee on the Budget,
the Legislative Fiscal Office is responsible for continuous
review of programs and agency budgets, for calling attention to
inefficient practices, and for performing, at the direction of
either house or any committee, in-depth studies of programs.
Although related to session activity, most bill drafting takes
place before legislative sessions. Some bills are the product of
committee studies and are drafted by staff assigned to the
committee working with the committee members. Most bills,
however, are drafted at the request of individual members.
Perhaps the most critical part of the drafting process is the
request the member makes that the bill be drafted. The drafter
will try to prepare the proposed law as the member requests;
therefore, careful and accurate instructions are important. The
drafter will assist the author in formulating his or her ideas
if the proposal is only a concept when requested. In the case of
a complicated bill, the author will work with the drafter to
explore the legal and practical ramifications of the various
options that are available and give instructions to the drafter
about the direction the legislation should take. The legislator
should take time to review with staff the practical effects of
the legislation, who will implement it, what cost is involved,
and similar considerations. The drafter will propose specific
language; will try to make certain that all constitutional
requirements are met, that no constitutional prohibitions are
violated, and that no conflict exists with other statutes or
federal requirements. Language needs to be carefully crafted to
prevent possible misinterpretation, and all potential problems
or loopholes which might result from the enactment of the
legislation need to be considered. In short, drafting
legislation of technical and substantive quality takes time,
both for the drafter and the author.
Suggestions for the
most effective use of staff services include:
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If it is possible,
inform the drafter why the information is requested
or what the bill draft is intended to accomplish –
that information will be treated as confidential. All
requests for research or for bill drafting are confidential
until made public by the member. If the drafter knows why
the bill has been requested, he or she can tailor the draft
to the purpose and may be able to suggest a more workable
means of accomplishing the same end than that requested by
the member.
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~~ Remember ~~
All requests for research or for
bill drafting are confidential until the House
member makes them public.
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The best legislative
staff work is done during the period between sessions when
committees and individual members follow the principles
discussed here for effective staff use. Staff and legislators
have more time to give to each individual matter in this interim
period than they do as the session nears. Legislators will find
it beneficial to use this time – and to use staff assistance –
to do the research, analysis, and evaluation necessary in order
to understand problems, weigh alternatives, formulate proposed
solutions, develop proposals, evaluate programs, and complete
clear, thorough, and workable bill drafts.
How a
Request Becomes a Bill

The Legislator as
Lawmaker - The Interim
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