3.
PRACTICE AND EXPERIENCE IN OTHER PARLIAMENTS
3.1 A common source of concern to all Parliaments is the growing
imbalance in the relationship between Parliament and the Executive, the rapidly increasing power and influence of the
Executive, the need for Parliament to strengthen its oversight
and check of Executive activity, and the concurrent need for the Parliament to regain or assert
greater independence and autonomy in regard to its own internal arrangements.
3.2 This concern was implicit
in the July 1978 report of the Procedure Committee
of the United Kingdom House
of
Commons. The relationship of the Executive and the Legislature was described
in the introduction of the report
as'. . . the crucial feature
of the functioning of our institution of government'. The balance of the advantage between Parliament and government in the day to day working
of the constitution, it reported '. .
.
is now weighted in favour of the Government to a degree which
arouses widespread anxiety and is inimical to the proper working of our parliamentary democracy'.[1]
3.3 For the majority of the members of the Inter Parliamentary Union, parliamentary budgets are not subject to any executive modification; the financial autonomy
of these legislatures is thus guaranteed.[2] The general pattern
is that the estimates are drawn
up by the directing authority of Parliament, or by a special
committee, on the basis of figures prepared by the administrative authorities, and then approved
by the Chamber as a whole. As to the involvement of the Executive, typically the Minister for Finance enters the sums required by the Parliament into the
national estimates without questioning them or consulting the Government about them.[3]
3.4 In the course of its deliberations, the Committee corresponded with the Presiding Officers and staffs of the United Kingdom
House of Commons, the Canadian Senate and House of Commons and the United States'
Senate and House of Representatives to ascertain the staffing
and appropriations procedures
prevailing in those countries. It is apparent from the following details that
the
concept of each legislative Chamber independently maintaining control of its own staffing
and funding is readily accepted
in all three countries. The arrangements are defined by statute in the United
Kingdom and the United
States, and by convention in Canada.
3.5 In
the United
States, the Congress had exercised
such control for 60 years; in Canada, the Senate and House of Commons have had such control for 114 years; and in the
United Kingdom, such control was established
with the enactment of the House of Commons
(Administration) Act 1978.[4]
United Kingdom-House of Commons
3.6
In the United Kingdom, all matters relating
to the appropriations and staffing
for the House of Commons
are
covered by the House of Commons (Administration) Act 1978.[5] This legislation came into force on
I
January 1979 with the two-fold object of providing for a unified
administrative structure for the support
services necessary for the running of the House of Commons,
and the preparation and presentation to the
House of the annual estimate (and
supplementary estimates as required)
for the expenses of the House and its Departments.
3.7
To control these tasks, the
legislation established a House of Commons Commission consisting of the Speaker as Chairman,
the Leader of the House, a nominee
of the Leader of the Opposition, and three other members
of
the House of Commons,
none of whom shall be a Minister of the Crown.[6] With the Leader of the House being the
only Minister on the Commission, the majority party not having
a majority on the
Commission and with decisions of the Commission
not requiring Government approval for implementation, such a balanced
political composition is indicative of the Commissions intent to serve the House as a whole
in a non-partisan fashion.
Appropriations
3.8 The legislation provides for a real measure of financial and staffing
autonomy for the Commission in that the estimate for proposed expenditure covered by the House of Commons (Administration) Vote is presented to the House by
the Speaker on behalf of the
Commission, not by a Treasury
Minister as is the case for all other Votes.[7]
It
should also be noted that the estimates
do not undergo scrutiny and approval by the Treasury before being presented to the House.[8] This is in direct contrast to the position
prior to 1978, when expenditure of the House was subject
to direct and detailed Treasury control.
3.9
The
House of Commons
(Administration) Vote covers expenditure for depart
mental salaries and general expenses, select committee expenses
including overseas travel by committees, retiring
allowances, police and post office
services. The Treasury still retains control over some parliamentary expenditure including Members'
salaries and expenses, their travelling and secretarial assistance
and their pensions.
3.10 The
initial detailed preparation of the draft estimates is undertaken
by
the officers of the House. The Commission then considers the estimates in detail and has the power to amend them. When
confirmed by the Commission, the estimates are published in the general
series of the Government's supply estimates and become subject to the normal supply procedures of the House.
There is also provision for supplementary estimates which are published and obtained in a like manner to the supplementary estimates for Government departments.
Staffing
3.11
The
Commission is the statutory employer
of all staff in the Departments
of
the House (except for the Clerk, Clerk Assistant
and the Sergeant-at-Arms, who are
appointed by the Queen, and the
Speaker's staff who are personal
appointments)[9] and is responsible for their overall management, including
recruitment, pay and conditions
of service.[10]
3.12 A limitation placed on the authority of the Commission in House staffing
matters is the statutory
requirement to keep the complementary grading,
pay and conditions of service of the House staff 'broadly'
in line with the pay and conditions of the United Kingdom
Home Civil Service.[11] However, the term 'broadly' also infers a degree
of discretion which the Annual Reports of the Commission
reveal has been applied to award House staff with pay loadings for shift work and late hours.
There is no such requirement for recruitment procedures er staff numbers
to be kept in line with the policies of the Home Civil Service and in these matters the Commission exercises
total discretion and independence.
3.13 A Board of Management was established, consisting
of the Heads of the five
House Departments, with the Clerk of the House as Chairman, to supervise matters
of day-to-day management on behalf of the Commission.[12] The functions
of the Board are to exercise
co-ordination authority over the separate
Departments in all matters affecting more than one Department
and
to develop a House of Commons service
in which the conditions
of service of staff conform with the requirement mentioned in the previous paragraph. For these purposes
the functions of the Commission in regard to staff were delegated to the Board, subject to the control of the Accounting Officer in relation to expenditure.
3.14
Staffing
proposals are formulated within the various Departments
and
are forwarded
by the Head of the Department to an organ of the Board of Management which is called the Administration Committee (this Committee
comprises the Head of the Administration Department as Chairman,
together with the Deputy
Heads of all the other Departments). Once a proposal
has
been agreed to, it is submitted
to
the Clerk, who as Accounting Officer,
has been delegated the authority of the Commission to 'grant final authorisation for staffing proposals'.
3.15
Staffing proposals for committees are referred through a Liaison
Committee of Committee Chairmen direct to the Commission. If the Commission authorises the proposal, it is referred to the Administration Committee for the usual processing
described above (in paragraph
3.14).
3.16 Section 1 (3) of the Act requires the Commission to report
annually to Parliament on the exercise
of its functions. In the Report, the Clerk, as Accounting
Officer, publishes the annual
accounts of the Commission, together with all decisions
and arrangements made by him under authority delegated by the Commission, such as the creation of new staff positions, appointments of staff, alterations in rates of pay and conditions of employment. In addition to this statutory requirement, there is
an arrangement whereby Members can put
to
the Commission's nominated member oral or written questions during Question Time about the operation of the Commission.
United States
of America
Senate Appropriations
3.17
Formulation of the budget for the United States'
Senate is governed
by a complex set of authorities, the principal
one
of interest being the Budget and Accounting
Act 1921. [13] The section of the Act which guarantees the financial autonomy
of the Senate is as
follows:
'II.
(a) .
. .
The
Budget shall set forth in such form and details as the President may determine . . . estimated expenditures and proposed appropriations necessary in his judgement for the support
of the Government for the ensuing fiscal
year and projections for the four fiscal years immediately following the ensuing
fiscal year, except
that estimated expenditures and proposed appropriations for such years for the legislative branch of
the Government and the Supreme Court of the United States shall be transmitted to the President on or before October 15 of each year, and shall be included by him in the Budget with out revision',[14]
The notable
element of this legislation is that the President is required to include the estimates of the
legislative branch in his annual
budget submission without
revision.
3.18
In
addition to this independence from the Executive, each House determines its own Budget. The procedure is for the House of Representatives to pass its own appropriations first and then the
Bill is reported to the Senate
where the Senate's appropriations are incorporated into the Bill as an amendment. This procedure underlines
the independence of the Senate
and
the House in relation
to
their respective requirements for funds and staffing.
3.19
Detailed funding requirements for the operation
of the Senate are determined by the Senate Sub-committee on Legislative Branch
Appropriations. This Sub-committee considers requests
for new positions, position classifications, limitations on the number
of positions, limitations on salary levels, allowances for staff and expenses for Senators'
offices.
3.20
The Budget estimates for the Senate
are prepared by the Financial Clerk of the Senate who then presents the justifications for each
item to the Sub-committee on Legislative Branch Appropriations. In addition, the Sub-committee routinely requests the appearance of Senators,
Committee Chairmen and Officers
for additional information and further justification of funds.
3.21
During the course of the
Sub-committee hearings, Senators, Committee Chairmen, Senate
Officers and other authorised individuals may submit requests
revising the Budget estimate
for their particular
office. In anticipation of a reappraisal of bids, hearings of the Sub-committee are timetabled well in advance
of the Senate's consideration of the legislature's Appropriation Bill.
House of Representatives Appropriations
3.22
The
House of Representatives enjoys the same privileges guaranteed by section 11, Title 31 of the United
States Code outlined
in paragraph 3.17, entitling it to the automatic inclusion
of its appropriation within
the National Budget.
3.23
The Committee on Appropriations and the Committee
on
House Administration have responsibility for formulating the House's budget.
Different elements within the House such as Committee
Chairmen, the Sergeant-at-Arms, Doorkeeper and Postmaster also participate in the budget
formulation. Under the Budget and Ac
counting Act 1921, the Clerk of the House and the Secretary
of the Senate, submit budget estimates
to the Office of Management and Budget for inclusion in the President's budget.
3.24
Funds for the House are provided
in three types of Appropriation Acts. The initial
Act which provides the bulk of the funds for the fiscal year is a regular Appropriation Act. If a subsequent need for funds
develops, and the need is too urgent
to be postponed until the next budget,
then a supplemental appropriation
may
be enacted. Finally, if Congress fails to complete
action on a regular Appropriation Bill before the start of the new fiscal year,
then, a continuing appropriation providing
stop-gap funding may be enacted.
In recent years, the House has regularly received supplemental appropriations, primarily to cover increased salary costs
resulting from annual inflation adjustments.
3.25 The Legislative Branch Appropriation Act is occasionally debated on the floor of
the House. The more usual course is for the detailed examination of the Budget to be undertaken by the Sub-committee on the Legislative Branch. This Sub-committee thoroughly scrutinizes each component and requires witnesses
to appear before it to
justify their requests.
Senate and House of Representatives Staffing
3.26
The autonomy of the Senate
and House with regard to
appropriations is reflected in the ability
of both chambers to appoint
staff as required.
3.27
With
regard to committee staffs,
there is a commitment and an acceptance
of the need to match the expanding government programmes and expenditures with increased staffing levels.
The requirement to maintain legislative oversight and to investigate the administration and effectiveness of existing laws with a view to controlling executive discretion has meant
that there has been
a significant expansion in the size and subject
specialisation of the Houses' committees.
3.28
Congressional committee staffs are divided into two categories; statutory and investigative. All but two House Standing
Committees are authorised to employ staff on
the recommendation of the Chairman
after consultation with his particular
Committee. There are, in
addition, staff engaged pursuant to resolutions relating to annual studies and investigations.
Canada
Senate and House of Commons Appropriations
3.29
The
concept that a legislature's finances
and staffing should be regulated
by its own members
and by its own principal elected officer has long been encapsulated in legislation in Canada. An Act respecting the internal economy
of the House of Commons, and for other purposes was first passed in
1867 providing for the Speaker
and four other Commissioners to control the finances and the administration of the House.[15] Assistance in the preparation of the estimates
of all expenditure in the House was pro vided by the Clerk.[16]
3.30 Today, the Canadian House of Commons Act contains substantially the same provisions and has proved consistently effective
in controlling the appropriation of the
Canadian Parliament.[17] The financial administration and control of the internal
affairs of the House is vested in the Speaker and four Commissioners of Internal Economy who are Ministers of the Crown and appointed
by Order-in-Council.[18]The
Speaker presides over meetings of the Commission and only he may approve the estimates. The Clerk of the House
of Commons is the Secretary of the Commission.[19]
3.31
In
1975, the Standing Orders of the House of Commons were amended
to provide for a Standing
Committee on Management and Members' Services
to advise the Speaker and the Commissioners on the administration of the House and the provision
of services and facilities to Members.[20]This Committee
consists of 12 Members and was
established following the recommendation of the Standing
Committee on Procedure and Organisation that it was essential to provide a forum in which members, in addition
to Ministers and Commissioners, could formally participate in the development and management of administrative decisions affecting the House. Under the Standing Orders, all matters relating
to the administration of the House and the provision
of services and facilities to Members are deemed to be referred
to this Committee on the first
day of each session.[21]
3.32 The Committee is chaired by a Member
of the Opposition and is extensively consulted by the Speaker
on the needs and views of backbench Members in connection with the various administrative decisions which he or the Commissioners
make. The Committee usually meets in camera, delegates
its work to numerous sub-committees and normally does not report to the House, but authorises its Chairman to communicate its recommendations directly to the Speaker.
The Committee advises
on staff arrangements and salaries and the Speaker,
after receiving such recommendations, submits them to a meeting of the Commissioners of Internal Economy
for consideration and final approval.
3.33
The
annual estimates are prepared at the operational level of the House and submitted to the Speaker. After receiving the Speaker's approval, the estimates are transmitted to the Minister for Finance for inclusion in the annual
estimates. During parliamentary scrutiny of the estimates, the votes relating
to Parliament are referred to the
Committee on Management and Members'
Services which has the power to reduce or
alter any of the provisions. After consultation, the Committee reports
the estimates back to the House,
with or without amendment, for further review
by the House itself, if it so chooses.
To cope with unforeseen expenses, the Speaker may seek additional funds for the House
through supplementary estimates; these are generally tabled for consideration three to four times a year.
3.34 It is important to note the practice
that the Minister
for Finance incorporates the parliamentary estimates in the composite
Government estimates without
any modification. The estimates
of the House, however, are transmitted to the Minister
for purposes of convenience and in order to ensure that they will receive
the same parliamentary scrutiny
as the estimates of Executive departments.
3.35 In preparing the estimates for the House, the Speaker,
the Clerk
and the
Sergeant-at-Arms try to follow as closely as possible the general expenditure guidelines
and policies set by the Government. The Executive does not attempt to influence
the Speaker to amend the appropriation bids. ·
3.36
As
in Australia, and the United
States, consideration of the estimates
of one House by the other is a formality.
Staffing
3.37 The House of Commons
Act
also governs the appointment
and
conditions of employment of officers of the House. Appointments to senior positions must be approved
by an internal committee of the House which is chaired
by the Speaker, and whose members
include the Clerk, the Administrator and the Serjeant-at-Arms. Except for provisions on superannuation
and
other social benefits,
legislation governing the general public service is not adopted
by or applicable to the House of Commons.
3.38
The Speaker is ultimately responsible for the administration of the House and directs the management of its internal
affairs. The Clerk and the Serjeant-at-Arms and, more recently, the Administrator, support the Speaker
in
fulfilling these responsibilities.
3.39
The
Canadian Public Service
has no influence in staffing
matters. Parliamentary Committees themselves decide whether they need additional staff, and it is entirely their responsibility to engage whatever supplementary help is required.
Apart from normally prescribed rules and regulations, there is no set or predetermined method used
to control staff numbers. There are, however,
budgetary ceilings established which are controlled by the responsible managers.
3.40
The conduct of the internal
administrative affairs of the Senate is similar
to that of the House of Commons described
above. The Senate has a Committee
provided for in
its Standing Orders, termed the Committee on Internal Economy,
Budgets and Administration, empowered of its own initiative to consider any matter relating
to the internal economy
of the Senate, including budgetary
matters and administration goner-_ ally, and to report the result of such consideration to the Senate.
Notes and references
[1] R. E. Bullock, Observations on Practices and Procedures
in Overseas Parliaments, Parliamentary Paper No. 7of 1980, p. 280
[2]
V.
Herman, F. Mendel, Parliaments of the World, London, 1976, p. 280
[3] See Appendix 3
[4]
Sec Appendix I
[5] Appendix I. This Act repealed the House of Commons
(Offices) Act 1812, as amended, and the Commission which that legislation established.
[6]
House of Commons (Administration) Act 1978, section I (2)
[7]
ibid, section
3 (I)
[8] ibid, section
3 (2)
[9]
ibid, section 2 (4)
[10] ibid, section
2 (1)
[11] ibid, section
2 (2)
[12] The Departments of the House
and their staff numbers are as follows:
Department of the Clerk of the House-(131 personnel)
Department of the Sergeant-at-Arms-(211
personnel)
Department of the Library-(131 personnel)
The Administrative Department-(64 personnel)
The
Department of the Official Report-(71 personnel)
The Refreshment Department-(233 personnel)
[13]
United States Code, Title 31, Money
and Finance, section II (a)
[14] ibid
[15] 31 Victoria, Chapter
27, section 1
[16] 31 Victoria, Chapter 27, section2
[17] Canada,
House of Commons
Act, Revised Statutes, Chapter 143, section 1
[18] ibid,
section 16 (1)
[19] ibid, section 17 (1)
[20] Canada,
Standing Orders of the House
of Commons, 65 (5)
[21] ibid,65
(13)
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