U.S. Congress
Here's a look at documents from all members of the U.S. House and the U.S. Senate
Featured Stories
Surface Freight Transportation - Modal Options Topic of CRS Report
WASHINGTON, July 13 (TNSLrpt) -- The Congressional Research Service issued the following report (No. R48594) on July 9, 2025, entitled "Surface Freight Transportation: Modal Options" by transportation policy analyst Ben Goldman.Here are excerpts:
* * *
SUMMARY
Economic growth and expanded global trade have led to substantial increases in goods movement. The Federal Highway Administration (FHWA) projects that freight tonnage in the United States will increase at an average of about 1.6% per year between 2023 and 2050, with truck tonnage growing faster than other modes. Current surface transportation ... Show Full Article WASHINGTON, July 13 (TNSLrpt) -- The Congressional Research Service issued the following report (No. R48594) on July 9, 2025, entitled "Surface Freight Transportation: Modal Options" by transportation policy analyst Ben Goldman. Here are excerpts: * * * SUMMARY Economic growth and expanded global trade have led to substantial increases in goods movement. The Federal Highway Administration (FHWA) projects that freight tonnage in the United States will increase at an average of about 1.6% per year between 2023 and 2050, with truck tonnage growing faster than other modes. Current surface transportationauthorization largely expires at the end of FY2026; as part of any reauthorization, Congress may wish to consider the different modes of transportation used by the freight system and whether incentives to promote the use of one mode over another could optimize the effectiveness of federal transportation investment.
Most freight moved in the United States moves by truck alone. By weight, roughly 65% moves by truck, compared to 8% by rail and 3% by multiple modes (which includes truck-rail and truck-water). However, when distance is taken into account, this distribution shifts: Trucks generate 44% of freight ton-miles, compared to 19% by rail and 10% by multiple modes. Most freight journeys in the United States are shorter than 250 miles, though, and other modes have found it difficult to compete with trucks for these short-haul trips.
Freight transportation customers ("shippers") decide which modes to use based on various factors. These factors include freight rates (i.e., prices), service quality, the type of cargo being shipped, the distance the cargo will travel, and the time of year. Policymakers at all levels of government may wish to promote other modal freight options in markets currently dominated by truck traffic. Because a single train or barge can carry many hundreds of containers, a shift in mode share can result in many fewer trucks on congested roadways. While federal programs currently exist to promote waterborne freight in congested highway and railroad corridors, no federal program or agency has an explicit policy goal to shift freight volume from any one surface mode to another.
Given the role of freight movement in interstate commerce, Congress may wish to provide oversight and facilitate stakeholder engagement in the freight industry to better understand current freight movement and modal choice. Congress may be interested in considering shifts in how freight is transported (e.g., promoting increased use of rail) where doing so may have economic and safety benefits. Policies to achieve these goals could be part of a larger potential surface transportation reauthorization bill. Among other actions, Congress could
* extend or expand financial assistance to smaller railroads responsible for first-mile and last-mile freight service;
* take steps to improve the reliability of freight rail service;
* remove barriers to rail intermodal service over shorter distances currently dominated by trucks; and
* explore new technologies to automate or otherwise improve local freight rail service.
Congress also could choose to not take action to shift freight toward or away from one specific mode or another.
* * *
Contents
Introduction ... 1
Movement of Goods ... 1
Intermodal Freight ... 3
Choosing a Freight Mode ... 4
Issues for Congress ... 5
Approaches to Modal Infrastructure Needs ... 6
Service Reliability ... 8
Short Haul Intermodal ... 8
Automation ... 9
Figures
Figure 1. Weight of Freight by Mode and Distance, 2023 ... 2
Figure 2. Ton-Miles of Freight by Mode and Distance, 2023 ... 2
Figure 3. Modal Data Included in Freight Transportation Services Index ... 3
Figure 4. Rail Carloads Originated, 2023 ... 4
Figure 5. Rail Tons Originated, 2023 ... 4
Contacts
Author Information ... 10
* * *
Introduction
Economic growth and expanded global trade have led to substantial increases in goods movement. The Federal Highway Administration (FHWA) projects that freight tonnage within the United States will increase at an average rate of about 1.6% per year between 2023 and 2050, with truck tonnage growing faster than other modes./1
The growth in freight transportation demand, along with growing passenger demand, has caused congestion in parts of the transportation system, making some freight movements slower and less reliable.
The condition and performance of freight infrastructure play a considerable role in the efficiency of the freight system. For this reason, Congress may be interested in federal support of freight infrastructure investment. In particular, Members may be interested in the potential reauthorization of surface transportation programs currently authorized by the Infrastructure Investment and Jobs Act (IIJA; P.L. 117-58); the funding for many of these programs is set to expire in FY2026. As part of any surface transportation program reauthorization, Congress may consider the modes of transportation used by the freight system and whether incentives to promote the use of one mode over another could increase the effectiveness of federal transportation investment.
This report considers some of the relative advantages and disadvantages presented by highways, railroads, and waterways for the domestic movement of freight. It includes considerations for Congress that predominantly concern trucks and rail. These two modes currently move more freight than ships, and both operate overland, providing more opportunities for modal shifts. Both trucking and rail are likely to be included in considerations of surface transportation program reauthorization. Water transportation has historically been addressed in separate legislation, including the Water Resources Development Act (WRDA, for lock and dam infrastructure) and the National Defense Authorization Act (NDAA, for Port Infrastructure and Marine Highway grants)./2
Movement of Goods
Most freight moved in the United States moves by truck alone. By weight, roughly 65% moves by truck, compared to 8% by rail and 3% by multiple modes (which includes truck-rail and truck-water; see Figure 1)./3
However, when distance is taken into account, this distribution shifts somewhat: Trucks generate 44% of freight ton-miles, compared to 19% by rail and 10% by multiple modes (Figure 2)./4
For freight journeys longer than 500 miles, more freight moves by rail or multiple modes than by truck, indicating the competitive advantage enjoyed by modes other than trucks in the long-haul market. Nevertheless, most freight journeys in the United States are shorter than 250 miles (with roughly three in four shorter than 500 miles), and trucks are the dominant mode of transportation for these trips./5
* * *
1 Department of Transportation (DOT), Bureau of Transportation Statistics, Freight Facts and Figures, https://data.bts.gov/stories/s/Moving-Goods-in-the-United-States/bcyt-rqmu.
2 For more on federal programs to support maritime freight, see CRS Report R46654, U.S. Maritime Administration (MARAD) Shipping and Shipbuilding Support Programs, by Ben Goldman.
3 The second-largest share of freight moves by pipelines, which are not considered in this report due to their fixed nature. Pipelines and pipeline safety are the subject of separate authorizing statutes; for more information, see CRS Report R44201, DOT's Federal Pipeline Safety Program: Background and Issues for Congress, by Paul W. Parfomak.
4 A ton-mile is equivalent to a single ton moving a single mile.
5 Generally, a range of 150-250 miles is considered the outer limit of short-haul trucking, and distances of up to 500700 miles have been used to define short-haul rail. This report uses 500-mile of short-haul freight to define both modes.
* * *
Figure 1. Weight of Freight by Mode and Distance, 2023
Source: Figure created by CRS using data from U.S. Department of Transportation (DOT), Bureau of Transportation Statistics, "Weight of Freight by Mode and Distance," Freight Facts and Figures, https://data.bts.gov/stories/s/Moving-Goods-in-the-United-States/bcyt-rqmu.
* * *
Figure 2. Ton-Miles of Freight by Mode and Distance, 2023
Source: Figure created by CRS using data from DOT, Bureau of Transportation Statistics, "Ton-Miles of Freight by Mode and Distance," Freight Facts and Figures, https://data.bts.gov/stories/s/Moving-Goods-in-the-UnitedStates/bcyt-rqmu. One ton-mile is equal to one ton of freight transported one mile.
* * *
Other modes have found it difficult to compete with trucks for short-haul transport. When the rail industry reorganized from the 1970s through the 1990s, companies consolidated networks, abandoned redundant parallel routes, and shed unprofitable branch lines, concentrating on long-haul routes. At the same time, the truck industry was undergoing its own period of deregulation and reform; this resulted in lower barriers to entry for trucking companies and greater flexibility to compete on price. Figure 3 shows the Bureau of Transportation Statistics' seasonally adjusted data for freight transportation output by mode relative to the year 2000. Rail carload traffic has had a general downward trend relative to truck tonnage and rail intermodal volume, which have generally increased.
* * *
Figure 3. Modal Data Included in Freight Transportation Services Index
Source: Figure created by CRS using data from DOT, Bureau of Transportation Statistics, seasonally adjusted transportation data, https://data.bts.gov/stories/s/Freight-Transportation-the-Economy/6ix2-c8dn.
Notes: Shaded areas indicate economic recessions. The Transportation Services Index, which is seasonally adjusted, combines available data on freight traffic, as well as passenger travel, that have been weighted to yield a monthly measure of transportation services output. For more information, see Bureau of Transportation Statistics, "Transportation Services Index and Seasonally-Adjusted Transportation Data," https://data.bts.gov/Research-and-Statistics/Transportation-Services-Index-and-Seasonally-Adjus/bw6n-ddqk/about_data.
* * *
Intermodal Freight
A large share of the freight that moves by multiple modes is transported in standardized intermodal shipping containers. These containers can be loaded at the point of origin and transferred between truck trailers, railroad flat cars, and container ships without unloading their contents. The introduction and standardization of shipping containers in the mid-20th century altered freight transportation and facilitated the growth of global supply chains./6
In 2023, intermodal containers made up over one-third of carloads originating on U.S. railroads, though this accounted for less than one-tenth of railroad traffic in terms of tonnage (Figure 4 and Figure 5). Transportation of freight in bulk railcars allows a higher tonnage to be transported per carload than in intermodal containers (Figure 4 and Figure 5), but an intermodal container allows for more flexibility of use.
* * *
Figure 4. Rail Carloads Originated, 2023
Source: Figure created by CRS using data from Association of American Railroads, Railroad Facts 2024.
Notes: "Intermodal" includes several commodities that are either entirely or mostly transported via multiple modes. Some intermodal movement is also interspersed in other categories.
* * *
Figure 5. Rail Tons Originated, 2023
Source: Figure created by CRS using data from Association of American Railroads, Railroad Facts 2024.
Notes: "Intermodal" includes several commodities that are either entirely or mostly transported via multiple modes. Some intermodal movement is also interspersed in other categories.
* * *
Choosing a Freight Mode
Freight transportation customers ("shippers") base their decisions about which modes to use on various factors. These factors include freight rates (i.e., prices), service time and quality, the type of cargo being shipped, the distance the cargo will travel, and the time of year./7
As supply chains have moved to "just-in-time" delivery models in order to keep warehousing and inventory costs low, reliability and punctuality have increased in importance. For cargo that is capable of being transported by different modes, trucks can typically offer greater reliability and flexibility than rail, even if they do not always offer a lower price. Trucks primarily operate on preexisting highways and local roads and do not require as much dedicated infrastructure as rail, which requires investment in and access to rail-served facilities. Customers with direct rail service may be served by only one railroad company, and if a shipment originates or terminates in an area that company does not serve, an interchange agreement may be required. If shipper origins or destinations are located near "transloading" terminals where cargo can be moved from one mode to another, cargo can be shipped by truck for part of the journey, then switched to rail or water carrier and back again to truck if necessary (assuming the cargo is containerized or otherwise modular enough to be easily transferred between vehicles).
* * *
6 Marc Levinson, The Box: How the Shipping Container Made the World Smaller and the World Economy Bigger, 2nd ed. (Princeton University Press, 2016).
7 National Academies of Science, Engineering, and Medicine, Impacts of Policy-Induced Freight Modal Shifts (National Academies Press, 2019), pp. 6-7.
* * *
Rail and water transportation both offer the benefit of being able to move larger quantities of freight using smaller quantities of energy compared with truck transportation. While one truck can move a single load or container (sometimes more, where permitted), one train or barge can move several dozen to several hundred loads or containers. Trucking, on the other hand, offers faster transit times than rail or water transport and the benefit of an easily accessible road network. Interchanges among trucking companies are rarely required for a shipment to reach its destination, and competing trucking companies may be readily available for service to disparate locations.
For various reasons, policymakers at all levels of government may wish to promote a variety of modal freight options in markets currently dominated by truck traffic. The interplay and trade-offs of switching among modal freight options can be challenging to assess because the different transportation modes are interrelated. Because a single train or barge can carry many hundreds of containers, a shift in mode share can result in fewer trucks on congested roadways, though it may also result in increased congestion at rail terminals or along routes shared with passenger trains. Heavy trucks generate more wear and tear on road surfaces than do smaller vehicles - a reduced volume of trucks may help reduce road maintenance costs./8
However, reduced truck miles traveled would also reduce amount of fuel used and therefore the amount of diesel tax paid by trucks into the Highway Trust Fund and state funds that support road construction and maintenance and any revenues forgone from truck travel on tolled roads./9
Federal programs or agencies do not express an explicit policy goal to shift freight volume from any one surface mode to another, although certain federal programs exist to promote waterborne freight in congested highway and railroad corridors./10
Issues for Congress
Shipping by rail and water present certain benefits compared to trucking, but lack flexibility in routing due to limited infrastructure. The U.S. freight rail system provides comparatively greater flexibility in route choice than shipping over water, which is possible only on coasts and through certain inland waterways.
Given the context of potential reauthorization of surface transportation programs and the role of freight movement in interstate commerce, Congress may wish to provide oversight and facilitate stakeholder engagement in the freight industry to better understand freight movement and modal choice. Congress may be interested in considering shifts in how freight is transported if policymakers were to identify sufficient benefits to pursuing these options.
* * *
8 An oft-cited figure from a 1979 GAO report (General Accounting Office, Truck Weight and Its Effect on Highways, July 23, 2979, https://www.gao.gov/products/109954) illustrates that a fully loaded five-axle tractor-trailer causes as much damage to pavement as 9,600 cars. This figure is derived from research and road tests conducted by the American Association of State Highway Officials in 1958-1960 and does not reflect subsequent advances in road engineering and vehicle construction. A more recent study commissioned by the trucking industry indicated that a single truck can cause as much damage to pavement as several hundred cars; see Allan Bradley and Papa-Masseck Thiam, Analysis of Car and Truck Pavement Impacts, FPInnovations Info Note, October 2018, https://www.trucking.org/sites/default/files/2022-01/Analysis%20of%20car%20and%20truck%20pavement%20impacts-FINAL.pdf.
9 See CRS Report R48472, The Highway Trust Fund's Highway Account, by Ali E. Lohman.
10 For example, see the U.S. Marine Highway Program administered by the U.S. Maritime Administration (MARAD) as authorized by 46 U.S.C. Sec.55601.
* * *
Congress could provide oversight and facilitate stakeholder engagement in the freight industry to better understand current freight movement and modal choice to gather additional information and insight regarding market forces and industry preference. Alternatively, Congress could consider actions to
* extend or expand financial assistance to smaller railroads responsible for first-mile and last-mile freight services;
* take steps to improve the reliability of freight rail service;
* remove barriers to rail intermodal service over shorter distances where trucks are preferred; and
* explore new technologies to automate or otherwise improve local freight rail service.
Approaches to Modal Infrastructure Needs
Different modes of transportation have different infrastructure needs, but some modes are more reliant on federal dollars for upkeep and expansion of infrastructure than others. In potentially reauthorizing surface transportation programs, Congress could consider the ways in which it supports this infrastructure and whether federal dollars are being directed toward (or away from) projects that permit each mode to optimize its efficiencies.
Trucks make use of the nation's 4.2-million-mile public road and street network, including a federally designated 200,000-mile network where conventional combination trucks--one tractor pulling one trailer--must be permitted to operate./11
Highway infrastructure is generally built and maintained at public expense. This includes revenues generated by federal motor fuels taxes and deposited in the Highway Trust Fund (HTF)./12
States may wish to target infrastructure investments in areas where truck congestion or the anticipated growth in truck traffic is more pronounced. As identified by DOT, the 25 most congested segments for trucks are generally urban interstate highway interchanges./13
A trucking industry study estimates that 86% of the total costs of congestion for trucks are concentrated on 17% of interstate highway mileage./14
The current highway funding mechanisms that allocate HTF dollars to state departments of transportation may not be sufficient to address this issue, as the benefits of alleviating congestion may redound to states other than the one in which the interchange is located. DOT administers several programs, including INFRA and the National Infrastructure Project Assistance (MEGA) grant programs, to address infrastructure projects that may outstrip the resources of a single state.
* * *
11 DOT, Bureau of Transportation Statistics, "National Network for Conventional Combination Trucks," Freight Facts and Figures, 2024, https://data.bts.gov/stories/s/Freight-Transportation-System-Extent-Use/r3vy-npqd.
12 CRS Report R48472, The Highway Trust Fund's Highway Account, by Ali E. Lohman.
13 DOT, Bureau of Transportation Statistics, "Top Congested Freight-Significant Corridors," Freight Facts and Figures, 2024, https://data.bts.gov/stories/s/Freight-Transportation-System-Condition-Performanc/vvk5-xjjp.
14 American Transportation Research Institute, Cost of Congestion to the Trucking Industry: 2024 Update, https://truckingresearch.org/2024/12/cost-of-congestion-to-the-trucking-industry-2024-update/.
* * *
For some shippers, the obstacle to shipping by rail may be the up-front costs of obtaining direct rail access, whether by acquiring an existing rail-served facility or constructing a rail line to serve what would otherwise be truck-only facilities. Some federal grant programs could support the investments necessary for a rail line to compete with other modes. Infrastructure funding programs could be leveraged to address this issue. Examples of such infrastructure funding programs include
* the Consolidated Rail Infrastructure and Safety Improvement (CRISI) program, administered by the Federal Railroad Administration (FRA);
* the Local and Regional Project Assistance (also known as Better Utilizing Investment to Leverage Development, or BUILD) program, administered by the Office of the Secretary of Transportation (OST); and
* the Rail Rehabilitation and Improvement Finance (RRIF) loan program, administered by OST.
Funding authorizations for all three programs are set to run through the end of FY2026.
The busiest freight rail carriers may not consider availability of federal funding among their key concerns. The largest (Class I) freight railroads are highly profitable and do not generally seek federal financial assistance for their infrastructure improvements or capacity expansion projects./15
Because Class I railroads are broadly free to pursue business strategies that permit them to remain financially self-sufficient, they tend not to seek direct federal financial assistance that might impose new restrictions or requirements. Class I carriers have tended to specialize in long-haul freight, as evidenced by an average length of haul exceeding 1,000 miles./16
Consequently, the task of serving local customers over shorter distances sometimes falls to Class II "regional" or Class III "short line" railroads. These railroads may be more likely to seek federal financial assistance, and they have supported the CRISI program in particular./17
A longer-term approach might be to extend or prioritize project eligibilities for industrial development and land use plans in order to encourage rail freight use. If industrial development can be encouraged to cluster along railroad lines, and ideally near existing railroad terminals or transloading facilities, it can make it easier for shippers to use rail, either by providing direct access or by shortening the first- or last-mile truck journey needed to reach the rail line. Class I rail carriers have taken steps along these lines, whether by developing large rail-served industrial parks themselves/18 or by providing specialized outreach and other assistance to potential customers in designated areas./19
The extent to which such activities may arise, as they have in the past, from the private sector versus be encouraged or incentivized as a matter of federal policy may be a topic of debate in the context of reauthorizing rail infrastructure grant programs.
* * *
15 A Class I railroad has annual operating revenues of at least $900 million in inflation-adjusted 2019 dollars. The six such railroads currently operating in the United States are BNSF Railway, Canadian National Railway, CPKC, CSX Transportation, Norfolk Southern, and Union Pacific.
16 DOT, Bureau of Transportation Statistics, "Average Length of Haul, Domestic Freight and Passenger Modes," National Transportation Statistics, https://www.bts.gov/content/average-length-haul-domestic-freight-and-passengermodes-miles.
17 Testimony of Chuck Baker, president, American Short Line and Regional Railroad Association (ASLRRA), in U.S. Congress, House Committee on Transportation and Infrastructure, Subcommittee on Railroads, Pipelines, and Hazardous Materials, American Builds: Examining America's Freight and Passenger Rail Network, 119th Cong., 1st sess., January 23, 2025, https://transportation.house.gov/uploadedfiles/01-23-2025_rph_hearing_-_chuck_baker__testimony.pdf.
18 Examples include BNSF, "Barstow International Gateway (BIG)," https://bnsfcalifornia.com/projects/barstowinternational-gateway-big/; BNSF, "Logistics Park Phoenix," https://bnsflpp.com/; and Union Pacific, "Phoenix Intermodal Terminal," https://www.up.com/customers/premium/intmap/phoenix/index.htm.
19 For one example of this, see CSX, "Select Sites," https://www.csx.com/index.cfm/customers/industrial-development/search-property-types/csx-select-sites/.
* * *
Service Reliability
Shipping by rail can be less expensive than shipping by truck in certain circumstances, but shippers have voiced concerns about the reliability of rail service and indicated that this has influenced their mode choices. At hearings convened by the Surface Transportation Board (STB) in 2022 and 2024, witnesses testified that deteriorating service reliability was one reason customers were choosing to ship by truck even when a rail or intermodal option was available to them./20
In September 2024, STB began collecting weekly data from Class I rail carriers on two local service metrics. These metrics can be used by shippers seeking to compel a railroad to accept a "reciprocal switching" agreement whereby a competing rail carrier would be allowed to take over some of the shipper's existing service if reliability dips below a certain threshold. Some bills introduced in prior Congresses have proposed the establishment of an enforceable system-wide reliability standard for freight rail or the clarification that a railroad's status as a "common carrier" obliges it to provide reliable service./21
Implementing a system-wide reliability standard for freight rail similar to that for passenger trains could prove difficult. The law requiring new on-time performance standards for Amtrak trains was first enacted in 2008 but took effect in 2021 following legal challenges from the freight railroad industry./22 In the first three years under those standards, many Amtrak routes consistently fell short of the required performance standard. Amtrak operates roughly 300 trains per day on a 21,000-mile network; Class I railroads collectively operate several thousand trains per day on a 91,000-mile network, with Class II and III carriers operating a further 45,000 miles.
Short Haul Intermodal
One option for rail to increase its share of surface freight transportation is through expanding short-haul intermodal service. One industry analysis estimates that as many as 23 million truckloads of intermodal-compatible freight moving 250-750 miles could be shifted from truck alone to truck-rail intermodal if shippers so chose, an estimate that would represent 50% of all such truckloads in that distance band./23
As the railroad industry consolidated, the largest railroads emphasized their long-haul service. Local service or more frequent stops to attach or detach a small number of railcars reduces the efficiency of the long-haul business. If a sufficiently large number of cars can be attached or detached at a single stop, a large carrier might be able to set out or pick up blocks of cars at select yards while retaining the route's efficiency. From there, either another locomotive crew could haul the cars to an intermodal terminal or trucks could pick up or drop off containers directly.
* * *
20 Surface Transportation Board, "Urgent Issues in Freight Rail Service, Docket No. EP 770," April 26-27, 2022, and "Growth in the Freight Rail Industry, Docket No. EP 775," September 16-17, 2024, transcripts available at https://www.stb.gov/news-communications/transcripts-statements/.
21 For example, see S. 4961 (116th Congress) and S. 2071 (118th Congress).
22 P.L. 110-432, Div. B, Sec.207.
23 Matthew Schabas, "Following the Freight--Where to Find Rail Intermodal Growth," Oliver Wyman, June 2024, https://www.oliverwyman.com/our-expertise/insights/2024/jun/where-to-find-rail-intermodal-growth.html.
* * *
If the added expense of stopping and/or transferring cargo is not offset by the added revenue from the customers being served, a rail carrier is unlikely to offer such services. Conversely, if insufficient service frequency is offered by a railroad, a shipper is unlikely to seek out rail service./24 A recent study found that when partnering with a Class I railroad, a Class II or III railroad typically accommodates at least three trains per week hauling 100 revenue containers per train, but that "consistency in traffic volumes and ease of interchange may lower the required volume for a given service."/25
Many projects that could improve freight rail competitiveness are likely eligible to apply for funding under existing infrastructure grant programs that do not focus on freight rail competitiveness. These include the CRISI program administered by FRA, or the multimodal INFRA program administered by the Office of the Secretary of Transportation./26 The U.S. Marine Highway Program, by contrast, specifically targets waterborne freight projects that aim to mitigate or relieve landside (i.e., truck or rail) congestion or provide a "coordinated and capable alternative to landside transportation."/27 In reauthorizing CRISI, INFRA, and other grant programs, Congress could follow a similar model to encourage short-haul intermodal: It could direct DOT to prioritize rail projects that aim to provide alternatives or relief to especially congested highway routes. Critics of such a policy may argue that it might favor one industry at the expense of another.
Automation
Labor costs can be a primary contributor to overall transport costs, regardless of mode. Freight carriers, vehicle manufacturers, and technology companies have explored the potential of autonomous vehicle technology to reduce labor costs./28 One potential use of vehicle automation is platooning, in which several trucks travel bunched close together, with their speed controlled by the (human) operator of the lead truck. Testing by the trucking industry has shown that platooning can reduce fuel consumption. However, widespread adoption of platooning faces several economic and regulatory hurdles./29
Similar economic incentives and regulatory hurdles exist for automation in the railroad industry. Several examples exist of autonomous trains in local passenger service, but fewer examples of driverless freight trains. In Australia in 2019, the mining company Rio Tinto began using driverless trains to haul iron ore some 175 miles from mines to a port, in what the company has called "the world's first fully autonomous, long distance, heavy-haul rail network."/30
Some companies in the United States and abroad have begun developing self-propelled railcars that can transport cargo without the need for a crewed locomotive. The railcars are intended to operate alone or in platoons of several cars, potentially reducing the labor costs associated with moving smaller shipments, and potentially mitigating the transit time penalty associated with frequent stops in rail yards to connect or disconnect cars serving other customers.
* * *
24 See International Transport Forum (ITF), Mode Choice in Freight Transport, ITF Research Reports, OECD Publishing, Paris, 2022, p. 23: "For this reason, service frequency is often considered one of the most important mode-choice criteria for shippers, as it provides them with the possibility to limit or catch up with transport delays." 25 Sean P. Pengelly and C. Tyler Dick, "Economics and Planning of Short-Haul and Short-Line Railway Intermodal Service: Lessons from Previous and Current Operations," Transportation Research Record, no. 2608 (2017), pp. 105114.
26 CRISI is authorized under 49 U.S.C. Sec.22907; INFRA is authorized under 23 U.S.C. Sec.117.
27 46 U.S.C. Sec.55601(b)(1)(A).
28 See CRS In Focus IF10737, Autonomous and Semi-autonomous Trucks, by John Frittelli.
29 Anirudh Kishore Bhoopalam et al., "The Long Road to Automated Trucking: Insights from Driver Focus Groups," Transportation Research Part C, vol. 156, p. 104351.
30 Rio Tinto, "How Did One of the World's Largest Robots End Up Here?" September 9, 2019, https://www.riotinto.com/en/news/stories/how-did-worlds-biggest-robot.
* * *
Self-propelled railcars likely require general and specialized support infrastructure. Proper cargo-loading equipment would likely still need to be present at origins and destinations. The self-propelling cars would need access to battery-charging equipment in their service area or perhaps be recharged while connected to a conventional locomotive-hauled train.
Various companies are at different stages of automation development. In February 2025, FRA approved a request from Los Angeles-based Parallel Systems and its rail carrier partner to waive a number of safety rules in order to test the company's proprietary autonomous railcars on a short segment of a short line railroad in Georgia./31 A number of issues related to safety (especially at-grade crossings) remain unresolved with the technology, and Parallel Systems' waiver request was opposed by several labor unions representing rail workers./32 Another company, St. Louis-based Intramotev, has retrofitted existing railcars to be self-propelled and remote-controlled, and it has deployed its technology on railcars in mining service in Michigan./33
If Members were to support an expansion of automated railcar efforts, Congress could direct FRA to fund its own research and testing of self-propelled railcars, direct efforts to develop or recommend rules for the use of autonomous railcars, or set aside funding under other grant programs for research, development, and testing of automated rail equipment by carriers or manufacturers.
* * *
31 DOT, Federal Railroad Administration, "Program Approval: Georgia Central Railway, L.P. and Heart of Georgia Railroad, Inc.," 90 Federal Register 9053, February 5, 2025.
32 See comments at Regulations.gov, Docket FRA-2023-0066, from the SMART Transportation Division Florida Legislative Board; BMWED; the SMART Transportation Division; and the Transport Workers Union of America (TWU). (BMWED is the Brotherhood of Maintenance of Way Employees Division of the International Brotherhood of Teamsters. SMART is the International Association of Sheet Metal, Air, Rail and Transportation Workers.)
33 "Battery-electric railcar retrofits deployed at Carmeuse's calcium mine in Michigan," mining.com, December 5, 2024, https://www.mining.com/battery-electric-railcar-retrofits-deployed-at-carmeuse-americas-mine-in-michigan/#:~:text=Intramotev%2C%20a%20Missouri%2Dbased%20technology,revenue%20service%2C%20the%20company%20said.
* * *
The report is posted at: https://www.congress.gov/crs_external_products/R/PDF/R48594/R48594.3.pdf
[Category: CRSCRS]
Multiyear Procurement & Block Buy Contracting in Defense Acquisition - Background & Issues for Congress Topic of CRS Report (Part 2 of 2)
WASHINGTON, July 13 (TNSLrpt) -- The Congressional Research Service issued the following report (No. R41909) on July 10, 2025, entitled "Multiyear Procurement and Block Buy Contracting in Defense Acquisition - Background and Issues for Congress:" (Continued from Part 1 of 2)
* * *
Block Buy Contracting (BBC)
BBC in Brief
What is BBC, and how does it compare to MYP? BBC is similar to MYP in that it permits DOD to use a single contract for more than one year's worth of procurement of a given kind of item without having to exercise a contract option for each year after the first year./22 BBC ... Show Full Article WASHINGTON, July 13 (TNSLrpt) -- The Congressional Research Service issued the following report (No. R41909) on July 10, 2025, entitled "Multiyear Procurement and Block Buy Contracting in Defense Acquisition - Background and Issues for Congress:" (Continued from Part 1 of 2) * * * Block Buy Contracting (BBC) BBC in Brief What is BBC, and how does it compare to MYP? BBC is similar to MYP in that it permits DOD to use a single contract for more than one year's worth of procurement of a given kind of item without having to exercise a contract option for each year after the first year./22 BBCis also similar to MYP in that DOD needs congressional approval for each use of BBC.
BBC differs from MYP in the following ways:
* There is no permanent statute governing the use of BBC.
* There is no requirement that BBC be approved in both a DOD appropriations act and an act other than a DOD appropriations act.
* Programs being considered for BBC do not need to meet any legal criteria to qualify for BBC, because there is no permanent statute governing the use of BBC that establishes such criteria.
* A BBC contract can cover more than five years of planned procurements.
* Economic order quantity (EOQ) authority - the authority to bring forward selected key components of the items to be procured under the contract and purchase the components in batch form during the first year or two of the contract - does not come automatically as part of BBC authority (as it does with MYP authority), because there is no permanent statute governing the use of BBC that includes EOQ authority as an automatic feature. For EOQ to be part of a block buy contract, the legislative provision authorizing the block contract must explicitly include authority for using EOQ.
* BBC contracts are less likely to include cancellation penalties.
Given the one key similarity between BBC and MYP (the use of a single contract for more than one year's worth of procurement), and the various differences between BBC and MYP, BBC might be thought of as a less formal stepchild of MYP.
When and why was BBC invented? BBC was invented by Section 121(b) of the FY1998 NDAA (H.R. 1119/P.L. 105-85 of November 18, 1997), which granted the Navy the authority to use a single contract for the procurement of the first four Virginia (SSN-774) class attack submarines. The 4 boats were scheduled to be procured during the five-year period FY1998-FY2002 in annual quantities of 1-1-0-1-1. Congress provided the authority granted in Section 121(b) at least in part to reduce the combined procurement cost of the four submarines. Using MYP was not an option for the Virginia-class program at that time because the Navy had not even begun, let alone finished, construction of the first Virginia-class submarine, and consequently could not demonstrate that it had a stable design for the program.
* * *
22 Using the hypothetical example introduced earlier involving the procurement of 20 aircraft over the five-year period FY2024-FY2028, DOD would follow the same general path as it would under MYP: DOD would issue one contract covering all 20 aircraft in FY2024, at the beginning of the five-year period, following congressional approval to use BBC for the program, and congressional appropriation of the FY2024 funding for the program. To continue the implementation of the contract over the next four years, DOD would request the FY2025 funding for the program as part of DOD's proposed FY2025 budget, the FY2026 funding as part of DOD's proposed FY2026 budget, and so on.
* * *
When Section 121(b) was enacted, there was no name for the contracting authority it provided. The term block buy contracting came into use later, when observers needed a term to refer to the kind of contracting authority that Congress authorized in Section 121(b). As discussed in the next section, this can cause confusion, because the term block buy was already being used in discussions of DOD acquisition to refer to something else.
Terminology Alert: Block Buy Contracting vs. Block Buys
What's the difference between block buy contracting and block buys? In discussions of defense procurement, the term "block buy" by itself (without "contracting" at the end) has sometimes been used to refer to something quite different from block buy contracting - namely, the simple act of funding the procurement of more than one copy of an item in a single year, particularly when no more than one item of that kind might normally be funded in a single year. For example, when Congress funded the procurement of two aircraft carriers in FY1983, and another two in FY1988, these acts were each referred to as block buys, because aircraft carriers are normally procured one at a time, several years apart from one another. This alternate meaning of the term block buy predates by many years the emergence of the term block buy contracting.
The term block buy is still used in this alternate manner, which can lead to confusion in discussions of defense procurement. For example, for FY2017, the Air Force requested funding for procuring five Evolved Expendable Launch Vehicles (EELVs) for its EELV Launch Services (ELS) program, and sometimes referred to this as a block buy.
At the same time, Navy officials sometimes refer to the use of block buy contracts for the first four Virginia-class submarines, and in the LCS program, as block buys, when they might be more specifically referred to as instances of block buy contracting.
Potential Savings Under BBC
How much can BBC save, compared with MYP? BBC can reduce the unit procurement costs of ships by amounts less than or perhaps comparable to those of MYP, if the authority granted for using BBC explicitly includes authority for making economic order quantity (EOQ) purchases of components. If the authority granted for using BBC does not explicitly include authority for making EOQ purchases, then the savings from BBC will be less. Potential savings under BBC might also be less than those under MYP if the BBC contract does not include a cancellation penalty, or includes one that is more limited than typically found in an MYP contract, because this might give the contractor less confidence than would be the case under an MYP contract that the future stream of business will materialize as planned, which in turn might reduce the amount of money the contractor invests to optimize its workforce and production facilities for producing the items to be procured under the contract.
Frequency of Use of BBC
How frequently has BBC been used? Since its use at the start of the Virginia-class program, BBC has been used very rarely. The Navy did not use it again in a shipbuilding program until December 2010, when it awarded two block buy contracts, each covering 10 LCSs to be procured over the six-year period FY2010-FY2015, to the two LCS builders./23 (Each contract was later amended to include an 11th ship in FY2016, making for a total of 22 ships under the two contracts.) A third example is the John Lewis (TAO-205) class oiler program, in which the Navy used a block buy contract to procure the first six ships in the program./24 A fourth example are the two Gerald R. Ford (CVN-78) class aircraft carriers CVN-80 and CVN-81, which were procured as a two-ship block buy (although the Navy generally refers to it simply as a two-ship buy, rather than as a two-ship block buy)./25
An additional example, arguably, is the Air Force's KC-46 aerial refueling tanker program, which employed a fixed price incentive fee (FPIF) development contract that included a "back end" commitment to procure certain minimum numbers of KC-46s in certain fiscal years./26
Using BBC Rather than MYP
When might BBC be suitable as an alternative to MYP? BBC might be particularly suitable as an alternative to MYP in cases where using a multiyear contract can reduce costs, but the program in question cannot meet all the statutory criteria needed to qualify for MYP. As shown in the case of the first four Virginia-class boats, this can occur at or near the start of a procurement program, when design stability has not been demonstrated through the production of at least a few of the items to be procured (or, for a shipbuilding program, at least one ship).
MYP and BBC vs. Contracts with Options
What is the difference between an MYP or block buy contract and a contract with options? The military services sometimes use contracts with options to procure multiple copies of an item that are procured over a period of several years. The Navy, for example, used a contract with options to procure Lewis and Clark (TAKE-1) class dry cargo ships that were procured over a period of several years. A contract with options can be viewed as somewhat similar to an MYP or block buy contract in that a single contract is used to procure several years' worth of procurement of a given kind of item.
There is, however, a key difference between an MYP or block buy contract and a contract with options: In a contract with options, the service is under no obligation to exercise any of the options, and a service can choose to not exercise an option without having to make a penalty payment to the contractor. In contrast, in an MYP or block buy contract, the service is under an obligation to continue implementing the contract beyond the first year, provided that Congress appropriates the necessary funds. If the service chooses to terminate an MYP or block buy contract, and does so as a termination for government convenience rather than as a termination for contractor default, then the contractor can, under the contract's termination for convenience clause, seek a payment from the government for cost incurred for work that is complete or in process at the time of termination, and may include the cost of some of the investments made in anticipation of the MYP or block buy contract being fully implemented. The contractor can do this even if the MYP or block buy contract does not elsewhere include a provision for a cancellation penalty./27
As a result of this key difference, although a contract with options looks like a multiyear contract, it operates more like a series of annual contracts, and it cannot achieve the kinds of savings that are possible under MYP and BBC.
* * *
23 For further discussion, see CRS Report RL33741, Navy Littoral Combat Ship (LCS) Program: Background and Issues for Congress, by Ronald O'Rourke.
24 For further discussion, see CRS Report R43546, Navy John Lewis (TAO-205) Class Oiler Shipbuilding Program: Background and Issues for Congress, by Ronald O'Rourke.
25 For more on the CVN-78 class program, see CRS Report RS20643, Navy Ford (CVN-78) Class Aircraft Carrier Program: Background and Issues for Congress, by Ronald O'Rourke.
26 For more on the KC-46 program, see CRS Report RL34398, Air Force KC-46A Pegasus Tanker Aircraft Program, coordinated by John R. Hoehn.
27 Source: Telephone discussion with Elliott Branch, Deputy Assistant Secretary of the Navy for Acquisition & Procurement, October 3, 2011, and email from Navy Office of legislative Affairs, October 11, 2011. Under the termination for convenience clause, the contractor can submit a settlement proposal to the service, which would become the basis for a negotiation between the contractor and the service on the amount of the payment.
* * *
Issues for Congress
Potential issues for Congress concerning MYP and BBC include whether to use MYP and BBC in the future more frequently, less frequently, or about as frequently as they are currently used; and whether to create a permanent statute to govern the use of BBC, analogous to the permanent statute that governs the use of MYP.
Frequency of Using MYP and BBC
Overview
Should MYP and BBC in the future be used more frequently, less frequently, or about as frequently as they are currently used? Supporters of using MYP and BBC more frequently in the future might argue the following:
* Since MYP and BBC can reduce procurement costs, making greater use of MYP and BBC can help DOD get more value out of its available procurement funding. This can be particularly important if DOD's budget in real (i.e., inflation-adjusted) terms remains flat or declines in coming years.
* The risks of using MYP have been reduced by Section 811 of the FY2008 NDAA (H.R. 4986/P.L. 110-181 of January 28, 2008), which amended what is now 10 U.S.C. 3501 to strengthen the process for ensuring that programs proposed for MYP meet certain criteria (see "Permanent Statute Governing MYP").
Supporters of using MYP and BBC less frequently in the future, or at least no more frequently than now, might argue the following:
* Using MYP and BBC more frequently would further reduce Congress's and DOD's flexibility for making changes in DOD procurement programs in future years in response to changing strategic or budgetary circumstances.
* Since actual savings from using MYP and BBC rather than annual contracting can be difficult to observe or verify, it is not clear that the financial benefits of using MYP or BBC more frequently in the future would be worth the resulting further reduction in Congress's and DOD's flexibility for making changes in procurement programs in future years in response to changing strategic or budgetary circumstances.
Interest in Using Multiyear Contracting for Procuring Munitions
The war in Ukraine heightened interest among Members of Congress, DOD officials, industry officials, and other observers in making increased use of multiyear contracting for procuring munitions, particularly so as to encourage munitions makers to make investments for expanding their production facilities for supporting increased annual procurement rates./28 Section 1244(c) of the FY2023 NDAA (H.R. 7776/P.L. 117-263 of December 23, 2022) provided authority for using multiyear contracting for the following munitions:
* 864,000 XM1128, XM1113, M107, and M795 155mm artillery shells;
* 12,000 AGM-179 Joint Air-to-Ground Missiles (JAGMs);
* 700 M142 High Mobility Artillery Rocket Systems (HIMARS);
* 1,700 MGM-140 Army Tactical Missile Systems (ATACMS);
* 2,600 Harpoon anti-ship cruise missiles;
* 1,250 Naval Strike Missiles (NSMs) (anti-ship missiles);
* 106,000 Guided Multiple Launch Rocket Systems (GMLRS);
* 3,850 PATRIOT Advanced Capability-3 (PAC-3) Missile Segment Enhancement (MSE);
* 5,600 FIM-92 Stinger air defense missiles;
* 28,300 FGM-148 Javelin anti-tank missiles;
* 5,100 AIM-120 Advanced Medium-Range Air-to-Air Missiles (AMRAAMs);
* 2,250,000 Modular Artillery Charge System (MACS);
* 12,050 155m Excalibur M982A1 artillery shells;
* 950 Long Range Anti-Ship Missiles (LRASMs);
* 3,100 Joint Air-to-Surface Standoff Missiles (JASSMs);
* 1,500 Standard Missle-6 (SM-6) surface-to-air missiles; and
* 5,100 Sidewinder Missiles (AIM-9X) air-to-air missiles.
* * *
28 See Stephen Losey, "Gen. CQ Brown: Multiyear Missile Buys Would Stabilize Industry," Defense News, June 7, 2023; Joe Gould, "Army to Seek Multiyear Munitions Buys in Next Budget," Defense News, March 3, 2023; Mackenzie Eaglen and Bill Greenwalt, "The Army's Multiyear Contracts Are a Model for Other Services," Defense News, February 3, 2023; Rich Abott, "Navy Looks To Expand Naval Strike Missile Production For Multiyear Procurement," Defense Daily, December 13, 2022; Nick Wilson, "Navy Signals Interest in Multiyear Procurement for Naval Strike Missiles," Inside Defense, December 12, 2022; Jen Judson, "US Army Weighs Multiyear Contracts for Munitions to Aid Ukraine," Defense News, November 21, 2022; Matthew Beinart, "Army Acquisition Chief Cites Munitions That Could 'Potentially' Benefit From Multi-Year Buy Authorities," Defense Daily, November 22, 2022; Lee Hudson, "Raytheon Backs Multiyear Buy for Munitions, CFO says," Politico Pro, November 8, 2022; Joe Gould, "Congress Poised to Back Multiyear Weapons Purchases, LaPlante Says," Defense News, November 7, 2022; Matthew Beinart, "Congress Will Support Authority For Multi-Year Munitions Procurements, LaPlante Says," Defense Daily, November 7, 2022; Brian Everstine, "Top U.S. Navy Officer Calls For Multiyear Weapons Procurement," Aviation Week, October 19, 2022; John Ferrari, "Four Steps the Pentagon Can Take to Fix the Munitions Industrial Base," The Hill, October 17, 2022; Andrew Eversden, "Army Acquisition Chief 'Not Uncomfortable' with US Stockpiles, Considers Multi-Year Deals," Breaking Defense, September 14, 2022; Mackenzie Eaglen and Bill Greenwalt, "Multiyear Contracts Could Solve Plenty of Pentagon Problems," Defense News, September 28, 2022; Marcus Weisgerber, "US Should Place Multiyear Munitions Orders to Protect Supply, Pentagon Arms Chief Says," Defense One, September 7, 2022; Lee Hudson, "LaPlante Wants Multiyear Contracts for Missiles," Politico Pro, September 7, 2022.
* * *
Regarding Section 1244(c), the joint explanatory statement for H.R. 7776/P.L. 117-263 states (emphasis added)
'We recognize that the Department of Defense (DOD) would benefit from temporary acquisition flexibilities to increase the Department's stocks of critical munitions, provide material and related services to allies and partners that have supported Ukraine, and provide material and services to Ukraine. We also support enabling the Secretary of Defense to enter into cooperative acquisition agreements through the North Atlantic Treaty Organization (NATO) Support and Procurement Organization. Finally, we believe providing multi-year procurement authority for certain munitions programs is essential to increase the Department's stocks of such munitions, improve warfighting readiness, provide the defense industrial base with predictable production opportunities and firm contractual commitments, ensure consistent funding across the Department's Future Years Defense Program, increase and expand defense industrial capacity, and coordinate the timing and funding for capital expenditures with defense contractors.' (PDF page 295 of 748)
Adequacy of Information Submitted for MYP Contracts
Do the military services submit to Congress adequate information regarding MYP contracts?
An August 2022 GAO report addressing this question in relation to Navy MYP contracts stated
'The Navy used multiyear procurement--a special method to contract for multiple years of requirements in a single contract--for seven critical weapon system programs in fiscal years 2021 and 2022. This contracting method can save the government money through procurement efficiencies but can include future financial commitments. GAO reviewed the seven programs and found that the budget requests for three programs included quantity reductions when compared to their multiyear contracts or previous Navy plans. This hampered their efforts to meet warfighting needs:
* DDG 51 destroyers. The budget request for fiscal year 2022 included funds to procure one of the two ships in the program's multiyear contracts. Instead of requesting funding for the second ship, the Navy requested $33 million to cover the government's cancellation liability for reducing its procurement to one ship in fiscal year 2022.
* V-22 aircraft. The budget request for fiscal year 2022 included funds to procure eight of the 11 aircraft in the program's multiyear contract for the budget year. The Navy used additional aircraft funded but not procured in fiscal year 2021 to offset the reduced request and meet the stated contract quantity for fiscal year 2022.
* Virginia class submarines. The budget request in fiscal year 2021 included funding for one submarine. This met the multiyear contract quantity but departed from previous multiyear procurement plans, the steady practice of procuring two of the submarines each year, and congressional direction.
'Navy officials told GAO that affordability was the primary driver leading to the reduction in quantities requested for DDG 51 and V-22 in the fiscal year 2022 budget. However, GAO found that Department of Defense financial management regulation does not require the Navy to notify the congressional defense committees of its rationale for budget decisions that do not support the procurement quantities stated in multiyear contracts. The lack of such notification can hamper the ability of the committees to oversee programs and make decisions without having to request supplemental information and explanations from the Navy.
'The Navy included additional quantities for the DDG 51, V-22, and Virginia class programs in unfunded priorities lists provided to the defense committees. Congress ultimately decided to fund the procurement of additional quantities.'/29
Permanent Statute for BBC
Should Congress create a permanent statute to govern the use of BBC, analogous to the permanent statute (10 U.S.C. 3501) that governs the use of MYP? Supporters of creating a permanent statute to govern the use of BBC might argue the following:
* Such a statute could encourage greater use of BBC, and thereby increase savings in DOD procurement programs by giving BBC contracting a formal legal standing and by establishing a clear process for DOD program managers to use in assessing whether their programs might be considered suitable for BBC.
* Such a statute could make BBC more advantageous by including a provision that automatically grants EOQ authority to programs using BBC, as well as provisions establishing qualifying criteria and other conditions intended to reduce the risks of using BBC.
Opponents of creating a permanent statute to govern the use of BBC might argue the following:
* A key advantage of BBC is that it is not governed by a permanent statute. The lack of such a statute gives DOD and Congress full flexibility in determining when and how to use BBC for programs that may not qualify for MYP, but for which a multiyear contract of some kind might produce significant savings.
* Such a statute could encourage DOD program managers to pursue their programs using BBC rather than MYP. This could reduce discipline in DOD multiyear contracting if the qualifying criteria in the BBC statute are less demanding than the qualifying criteria in 10 U.S.C. 3501.
Coast Guard Use of MYP and BBC
Should the Coast Guard should begin making use of MYP and BBC? Although the Coast Guard is part of the Department of Homeland Security (DHS), the Coast Guard is a military service and a branch of the U.S. Armed Forces at all times (14 U.S.C. 101), and 10 U.S.C. 3501 provides authority for using MYP not only to DOD, but also to the Coast Guard (and the National Aeronautics and Space Administration as well). In addition, Section 311 of the Frank LoBiondo Coast Guard Authorization Act of 2018 (S. 140/P.L. 115-282 of December 4, 2018) provides permanent authority for the Coast Guard to use block buy contracting with EOQ purchases of components in major acquisition programs. The authority is now codified at 14 U.S.C. 1137.
The Navy in recent years has made extensive use of MYP and BBC in its ship and aircraft acquisition programs. The Coast Guard, like the Navy, procures ships and aircraft. In contrast to the Navy, however, the Coast Guard has never used MYP or BBC in its ship or aircraft acquisition programs. Instead, the Coast has tended to use contracts with options. As discussed earlier, although a contract with options looks like a multiyear contract, it operates more like a series of annual contracts, and it cannot achieve the kinds of savings that are possible under MYP and BBC. CRS in recent years has testified and reported on the possibility of using BBC or MYP in Coast Guard ship acquisition programs, particularly the Coast Guard's 25-ship Offshore Patrol Cutter (OPC) program and the Coast Guard's three-ship polar icebreaker program./30
* * *
29 Government Accountability Office, Multiyear Procurement[:] Navy Should Provide Congress More Complete Information on Budget Request Decisions, GAO-22-105966, August 2022, Highlights page.
30 For additional discussion, see CRS Testimony TE10004, The Status of Coast Guard Cutter Acquisition Programs, by Ronald O'Rourke; CRS Report R42567, Coast Guard Cutter Procurement: Background and Issues for Congress, by Ronald O'Rourke; and CRS Report RL34391, Coast Guard Polar Security Cutter (Polar Icebreaker) Program: Background and Issues for Congress, by Ronald O'Rourke.
* * *
Legislative Activity for FY2026
FY2026 DOD Appropriations Act (H.R. 4016)
House
In H.R. 4016 as reported by the House Appropriations Committee (H.Rept. 119-62 of June 16, 2025), Section 8010 states:
'Sec. 8010. None of the funds provided by this Act shall be available to initiate: (1) a multiyear contract that employs economic order quantity procurement in excess of $20,000,000 in any one year of the contract or that includes an unfunded contingent liability in excess of $20,000,000; or (2) a contract for advance procurement leading to a multiyear contract that employs economic order quantity procurement in excess of $20,000,000 in any one year, unless the congressional defense committees have been notified at least 30 days in advance of the proposed contract award: Provided, That no part of any appropriation contained in this Act shall be available to initiate a multiyear contract for which the economic order quantity advance procurement is not funded at least to the limits of the Government's liability: Provided further, That no part of any appropriation contained in this Act shall be available to initiate multiyear procurement contracts for any systems or component thereof if the value of the multiyear contract would exceed $500,000,000 unless specifically provided in this Act: Provided further, That no multiyear procurement contract can be terminated without 30-day prior notification to the congressional defense committees: Provided further, That the execution of multiyear authority shall require the use of a present value analysis to determine lowest cost compared to an annual procurement: Provided further, That none of the funds provided by this Act may be used for a multiyear contract executed after the date of the enactment of this Act unless in the case of any such contract -
(1) the Secretary of Defense has submitted to Congress a budget request for full funding of units to be procured through the contract and, in the case of a contract for procurement of aircraft, that includes, for any aircraft unit to be procured through the contract for which procurement funds are requested in that budget request for production beyond advance procurement activities in the fiscal year covered by the budget, full funding of procurement of such unit in that fiscal year;
(2) cancellation provisions in the contract do not include consideration of recurring manufacturing costs of the contractor associated with the production of unfunded units to be delivered under the contract;
(3) the contract provides that payments to the contractor under the contract may not be made in advance of incurred costs on funded units; and
(4) the contract does not provide for a price adjustment based on a failure to award a follow-on contract.
Streamlining Procurement for Effective Execution and Delivery Act of 2025 (SPEED Act) (H.R. 3838)
House
H.R. 3838 was introduced in the House on June 9, 2025. In H.R. 3838 as introduced, Section 303 would make adjustments to certain acquisition thresholds. Subsection 303(d) states:
(d) Multiyear contracts. - Section 3501 of title 10, United States Code, is amended -
(1) by striking "$500,000,000" each place it appears and inserting "$1,000,000,000";
(2) by striking "$100,000,000" each place it appears and inserting "$150,000,000"; and
(3) by striking "$20,000,000" each place it appears and inserting "$50,000,000".
* * *
The report is posted at: https://www.congress.gov/crs_external_products/R/PDF/R41909/R41909.140.pdf
[Category: CRSCRS]
Multiyear Procurement & Block Buy Contracting in Defense Acquisition - Background & Issues for Congress Topic of CRS Report (Part 1 of 2)
WASHINGTON, July 13 (TNSLrpt) -- The Congressional Research Service issued the following report (No. R41909) on July 10, 2025, entitled "Multiyear Procurement and Block Buy Contracting in Defense Acquisition: Background and Issues for Congress" by naval affairs specialist Ronald O'Rourke.Here are excerpts:
* * *
Summary
Multiyear procurement (MYP) and block buy contracting (BBC) are special contracting mechanisms that Congress permits the Department of Defense (DOD) to use for a limited number of defense acquisition programs. Compared to the standard or default approach of annual contracting, ... Show Full Article WASHINGTON, July 13 (TNSLrpt) -- The Congressional Research Service issued the following report (No. R41909) on July 10, 2025, entitled "Multiyear Procurement and Block Buy Contracting in Defense Acquisition: Background and Issues for Congress" by naval affairs specialist Ronald O'Rourke. Here are excerpts: * * * Summary Multiyear procurement (MYP) and block buy contracting (BBC) are special contracting mechanisms that Congress permits the Department of Defense (DOD) to use for a limited number of defense acquisition programs. Compared to the standard or default approach of annual contracting,MYP and BBC have the potential for reducing weapon procurement costs by a few or several percent.
Under annual contracting, DOD uses one or more contracts for each year's worth of procurement of a given kind of item. Under MYP, DOD instead uses a single contract for two to five years' worth of procurement of a given kind of item without having to exercise a contract option for each year after the first year. DOD needs congressional approval (in both a DOD appropriations act and an act other than a DOD appropriations act) for each use of MYP. There is a permanent statute governing MYP contracting - 10 U.S.C. 3501. Under this statute, a program must meet several criteria to qualify for MYP.
Compared with estimated costs under annual contracting, estimated savings for programs being proposed for MYP have ranged from less than 5% to more than 15%, depending on the particulars of the program in question, with many estimates falling in the range of 5% to 10%. In practice, actual savings from using MYP rather than annual contracting can be difficult to observe or verify because of cost growth during the execution of the contract due to changes in the program that are independent of the use of MYP rather than annual contracting.
BBC is similar to MYP in that it permits DOD to use a single contract for more than one year's worth of procurement of a given kind of item without having to exercise a contract option for each year after the first year. BBC is also similar to MYP in that DOD needs congressional approval for each use of BBC. BBC differs from MYP in the following ways:
* There is no permanent statute governing the use of BBC.
* There is no requirement that BBC be approved in both a DOD appropriations act and an act other than a DOD appropriations act.
* Programs being considered for BBC do not need to meet any legal criteria to qualify for BBC, because there is no permanent statute governing the use of BBC that establishes such criteria.
* A BBC contract can cover more than five years of planned procurements.
* Economic order quantity (EOQ) authority--the authority to bring forward selected key components of the items to be procured under the contract and purchase the components in batch form during the first year or two of the contract - does not come automatically as part of BBC authority (as it does with MYP authority), because there is no permanent statute governing the use of BBC that includes EOQ authority as an automatic feature. For EOQ to be part of a block buy contract, the legislative provision authorizing the block contract must explicitly include authority for using EOQ.
* BBC contracts are less likely to include cancellation penalties.
* * *
Contents
Introduction ... 1 Issues for Congress ... 1 Terminology and Scope of Report ... 1 Contracting Mechanisms and Funding Approaches ... 1 Background ... 2 Multiyear Procurement (MYP) ... 2 MYP in Brief ... 2 Potential Savings Under MYP ... 3 Permanent Statute Governing MYP ... 5 Potential Consequences of Not Fully Funding an MYP Contract ... 7 Effect on Flexibility for Making Procurement Changes ... 8 Congressional Approval ... 8 Frequency of Use of MYP ... 8 Block Buy Contracting (BBC) ... 9 BBC in Brief ... 9 Terminology Alert: Block Buy Contracting vs. Block Buys ... 10 Potential Savings Under BBC ... 10 Frequency of Use of BBC ... 10 Using BBC Rather than MYP ... 11 MYP and BBC vs. Contracts with Options ... 11 Issues for Congress ... 12 Frequency of Using MYP and BBC ... 12 Overview ... 12 Interest in Using Multiyear Contracting for Procuring Munitions ... 13 Adequacy of Information Submitted for MYP Contracts ... 14 Permanent Statute for BBC ... 15 Coast Guard Use of MYP and BBC ... 15 Legislative Activity for FY2026 ... 16 FY2026 DOD Appropriations Act (H.R. 4016) ... 16 House ... 16 Streamlining Procurement for Effective Execution and Delivery Act of 2025 (SPEED Act) (H.R. 3838) ... 17 House ... 17 Tables
Table 1. Contracting Mechanisms and Funding Approaches ... 2 Table B-1. Programs Approved for MYP in Annual Appropriations Acts Since FY2022 ... 23 Table B-2. Programs Approved for MYP in Annual DOD Appropriations Acts From FY2011 Through FY2021 ... 23 Table B-3. Programs Approved for MYP in Annual DOD Appropriations Acts from FY1990 Through FY2010 ... 25
Appendixes
Appendix A. Text of 10 U.S.C. 3501 ... 18 Appendix B. Programs Approved for MYP in Annual DOD Appropriations Acts Since FY1990 ... 23 Contacts
Author Information ... 27
* * *
Introduction
Issues for Congress
This report provides background information and issues for Congress on multiyear procurement (MYP) and block buy contracting (BBC),/1 which are special contracting mechanisms that Congress permits the Department of Defense (DOD) to use for a limited number of defense acquisition programs. Compared to the standard or default approach of annual contracting, MYP and BBC have the potential for reducing weapon procurement costs by a few or several percent.
Potential issues for Congress concerning MYP and BBC include whether to use MYP and BBC in the future more frequently, less frequently, or about as frequently as they are currently used; whether to create a permanent statute to govern the use of BBC, analogous to the permanent statute that governs the use of MYP; and whether the Coast Guard should begin making use of MYP and BBC. Congress's decisions on these issues could affect defense acquisition practices, defense funding requirements, and the defense industrial base.
Terminology and Scope of Report
Contracting Mechanisms and Funding Approaches
In discussing MYP, BBC, and incremental funding, it can be helpful to distinguish contracting mechanisms from funding approaches. The two are often mixed together in discussions of DOD acquisition, sometimes leading to confusion. Stated briefly
* Funding approaches are ways that Congress can appropriate funding for weapon procurement programs, so that DOD can then put them under contract. Examples of funding approaches include traditional full funding (the standard or default approach), incremental funding, and advance appropriations./2 Any of these funding approaches might make use of advance procurement (AP) funding./3
* Contracting mechanisms are ways for DOD to contract for the procurement of weapons systems, once funding for those systems has been appropriated by Congress. Examples of contracting mechanisms include annual contracting (the standard or default DOD approach), MYP, and BBC. Contracting mechanisms can materially change the total procurement cost of a ship.
* * *
1 MYP is an established acronym for multiyear procurement. BBC is not an established acronym for block buy contracting, but is used in this CRS report for purposes of convenience.
2 For more on these three funding approaches, see CRS Report RL31404, Defense Procurement: Full Funding Policy - Background, Issues, and Options for Congress, by Ronald O'Rourke and Stephen Daggett, and CRS Report RL32776, Navy Ship Procurement: Alternative Funding Approaches - Background and Options for Congress, by Ronald O'Rourke. Advance appropriations, which are not to be confused with advance procurement (AP) funding (see footnote 3), are essentially a legislatively locked-in form of incremental funding. Unlike incremental funding, advance appropriations qualify under budgeting regulations as a form of full funding.
3 AP funding is provided in one or more years prior to the year of procurement of a weapon system for the procurement of long-leadtime components--components with long construction times. Such components must be funded prior to the procurement of the remainder of the weapon system if they are to be ready for installation in the weapon system at the appropriate point in the construction process. AP funding is a permitted exception to the full funding provision. AP funding is not to be confused with advance appropriations (see footnote 2).
* * *
Table 1. Contracting Mechanisms and Funding Approaches
Source: Table prepared by CRS.
Notes: Advance procurement (AP) can be used with any of the funding approaches. CVNs are nuclear-powered aircraft carriers; LHAs are large-deck amphibious assault ships; DDG-1000s are destroyers; SSBN-826s are Columbia-class ballistic missile submarines (where incremental funding is to be used for the first two ships).
* * *
The use of a particular funding approach in a defense acquisition program does not dictate the use of a particular contracting mechanism. Defense acquisition programs consequently can be implemented using various combinations of funding approaches and contracting mechanisms. Most DOD weapon acquisition programs use a combination of traditional full funding and annual contracting. A few programs, particularly certain Navy shipbuilding programs, use incremental funding as their funding approach. A limited number of DOD programs use MYP as their contracting approach, and to date four Navy shipbuilding programs have used BBC at some point as their contracting approach. The situation is summarized in Table 1.
This report focuses on the contracting approaches of MYP and BBC and how they compare to annual contracting. Other CRS reports discuss the funding approaches of traditional full funding, incremental funding, and advance appropriations./4
Background
Multiyear Procurement (MYP)
MYP in Brief/5
What is MYP, and how does it differ from annual contracting? MYP, also known as multiyear contracting, is an alternative to the standard or default DOD approach of annual contracting. Under annual contracting, DOD uses one or more contracts for each year's worth of procurement of a given kind of item. Under MYP, DOD instead uses a single contract for two to five years' worth of procurement of a given kind of item, without having to exercise a contract option for each year after the first year. DOD needs congressional approval for each use of MYP.
To illustrate the basic difference between MYP and annual contracting, consider a hypothetical DOD program to procure 20 single-engine aircraft of a certain kind over the five-year period FY2025-FY2029, at a rate of 4 aircraft per year:
* Under annual contracting, DOD would issue one or more contracts for each year's procurement of four aircraft. After Congress funds the procurement of the first four aircraft in FY2025, DOD would issue one or more contracts (or exercise a contract option) for those four aircraft. The next year, after Congress funds the procurement of the next four aircraft in FY2026, DOD would issue one or more contracts (or exercise a contract option) for those four aircraft, and so on.
* Under MYP, DOD would issue one contract covering all 20 aircraft to be procured during the five-year period FY2025-FY2029. DOD would award this contract in FY2025, at the beginning of the five-year period, following congressional approval to use MYP for the program, and congressional appropriation of the FY2025 funding for the program. To continue the implementation of the contract over the next four years, DOD would request the FY2026 funding for the program as part of DOD's proposed FY2026 budget, the FY2027 funding as part of DOD's proposed FY2027 budget, and so on.
Potential Savings Under MYP
How much can MYP save? Compared with estimated costs under annual contracting, estimated savings for programs being proposed for MYP have ranged from less than 5% to more than 15%, depending on the particulars of the program in question, with many estimates falling in the range of 5% to 10%. In practice, actual savings from using MYP rather than annual contracting can be difficult to observe or verify because of cost growth during the execution of the contract that was caused by developments independent of the use of MYP rather than annual contracting.
A February 2012 briefing by the Cost Assessment and Program Evaluation (CAPE) office within the Office of the Secretary of Defense (OSD) states that "MYP savings analysis is difficult due to the lack of actual costs on the alternative acquisition path, i.e., the path not taken."/6
The briefing states that CAPE up to that point had assessed MYP savings for four aircraft procurement programs - F/A-18E/F strike fighters, H-60 helicopters, V-22 tilt-rotor aircraft, and CH-47F helicopters--and that CAPE's assessed savings ranged from 2% to 8%./7
* * *
4 See footnote 2 for citations to these reports. Appropriating funding for a program and placing a program under contract are steps in a larger sequence of budget-related events that includes authorization, appropriation, obligation, and outlays. For a general discussion of this sequence, see CRS Report 98-721, Introduction to the Federal Budget Process, coordinated by James V. Saturno.
5 For an additional brief overview of MYP, see Department of Defense, "Multiyear (MY) Procurement," undated, 11 pp., accessed October 15, 2020, at https://www.acq.osd.mil/dpap/paic/Docs/multiyear.pdf.
6 Slide 10 from briefing entitled "Multiyear Procurement: A CAPE Perspective," given at DOD cost analysis symposium, February 15-17, 2012, posted at InsideDefense.com (subscription required), May 14, 2012.
7 Slide 12 from briefing entitled "Multiyear Procurement: A CAPE Perspective," given at DOD cost analysis symposium, February 15-17, 2012, posted at InsideDefense.com (subscription required), May 14, 2012. Slide 12 also stated that these assessed savings were based on comparing CAPE's estimate of what the programs would cost under annual contracting (which the briefing refers to as single-year procurement or SYP) to the contractor's MYP proposal.
* * *
A 2008 Government Accountability Office (GAO) report stated that
DOD does not have a formal mechanism for tracking multiyear results against original expectations and makes few efforts to validate whether actual savings were achieved by multiyear procurement. It does not maintain comprehensive central records and historical information that could be used to enhance oversight and knowledge about multiyear performance to inform and improve future multiyear procurement (MYP) candidates. DOD and defense research centers officials said it is difficult to assess results because of the lack of historical information on multiyear contracts, comparable annual costs, and the dynamic acquisition environment./8
How does MYP potentially save money? Compared to annual contracting, using MYP can in principle reduce the cost of the weapons being procured in two primary ways:
* Contractor optimization of workforce and production facilities. An MYP contract gives the contractor (e.g., an airplane manufacturer or shipbuilder) confidence that a multiyear stream of business of a known volume will very likely materialize. This confidence can permit the contractor to make investments in the firm's workforce and production facilities that are intended to optimize the facility for the production of the items being procured under the contract. Such investments can include payments for retaining or training workers, or for building, expanding, or modernizing production facilities. Under annual contracting, the manufacturer might not have enough confidence about its future stream of business to make these kinds of investments, or might be unable to convince its parent firm to finance them.
* Economic order quantity (EOQ) purchases of selected long-leadtime components. Under an MYP contract, DOD is permitted to bring forward selected key components of the items to be procured under the contract and to purchase the components in batch form during the first year or two of the contract. In the hypothetical example introduced earlier, using MYP could permit DOD to purchase, say, the 20 engines for the 20 aircraft in the first year or two of the five-year contract. Procuring selected components in this manner under an MYP contract is called an economic order quantity (EOQ) purchase./9 EOQ purchases can reduce the procurement cost of the weapons being procured under the MYP contract by allowing the manufacturers of components to take maximum advantage of production economies of scale that are possible with batch orders./10
* * *
8 Government Accountability Office, Defense Acquisitions[:] DOD's Practices and Processes for Multiyear Procurement Should Be Improved, GAO-08-298, February 2008, p. 3. For additional discussion of the potential costs and benefits of MYP, see Scot A. Arnold and Bruce R. Hamon, The Relative Cost and Benefits of Multi-year Procurement Strategies, Institute for Defense Analyses, June 2013, IDA Document NS D-4893, 37 pp., accessed October 15, 2020, at https://www.ida.org/-/media/feature/publications/i/id/ida-nsd-4893-the-relative-costs-and-benefitsof-multi-year-procurement-strategies/ida-document-ns-d-4893.ashx. See also Department of the Navy, DASN(AIR) Multiyear Procurement (MYP) Guidebook, v. 2.0, November 10, 2010, accessed October 15, 2020, at https://www.secnav.navy.mil/rda/Policy-OLD/dasnairmypguidebookv20november102010.pdf.
9 The term EOQ is occasionally used in discussions of defense acquisition, somewhat loosely, to refer to any high-quantity or batch order of items, even those that do not take place under MYP or BBC. As a general matter, however, EOQs as described here occur only within MYP and block buy contracts.
10 A 2008 Government Accountability Office (GAO) report on multiyear contracting lists five areas of savings, most of which are covered in the two general areas of savings outlined above. One of GAO's five areas of savings - limited engineering changes due to design stability - can also occur in programs that use annual contracting. The GAO report states the following:
Multiyear procurement can potentially save money and improve the defense industrial base by permitting the more efficient use of a contractor's resources. Multiyear contracts are expected to achieve lower unit costs compared to annual contracts through one or more of the following sources: (1) purchase of parts and materials in economic order quantities (EOQ), (2) improved production processes and efficiencies, (3) better utilized industrial facilities, (4) limited engineering changes due to design stability during the multiyear period, and (5) cost avoidance by reducing the burden of placing and administering annual contracts. Multiyear procurement also offers opportunities to enhance the industrial base by providing defense contractors a longer and more stable time horizon for planning and investing in production and by attracting subcontractors, vendors, and suppliers. However, multiyear procurement also entails certain risks that must be balanced against potential benefits, such as the increased costs to the government should the multiyear contract be changed or canceled and decreased annual budget flexibility for the program and across DOD's portfolio of weapon systems. Additionally, multiyear contracts often require greater budgetary authority in the earlier years of the procurement to economically buy parts and materials for multiple years of production than under a series of annual buys.
Government Accountability Office, Defense Acquisitions[:] DOD's Practices and Processes for Multiyear Procurement Should Be Improved, GAO-08-298, February 2008, pp. 4-5.
* * *
What gives the contractor confidence that the multiyear stream of business will materialize? At least two things give the contractor confidence that DOD will not terminate an MYP contract and that the multiyear stream of business consequently will materialize:
* For a program to qualify for MYP, DOD must certify, among other things, that the minimum need for the items to be purchased is expected to remain substantially unchanged during the contract in terms of production rate, procurement rate, and total quantities.
* Perhaps more important to the contractor, MYP contracts include a cancellation penalty intended to reimburse a contractor for costs that the contractor has incurred (i.e., investments the contractor has made) in anticipation of the work covered under the MYP contract. The undesirability of paying a cancellation penalty acts as a disincentive for the government against canceling the contract. (And if the contract is canceled, the cancellation penalty helps to make the contractor whole./11)
Permanent Statute Governing MYP
Is there a permanent statute governing MYP contracting? There is a permanent statute governing MYP contracting - 10 U.S.C. 3501 (the text of which was previously codified at 10 U.S.C. 2306b)./12
The statute was created by Section 909 of the FY1982 Department of Defense Authorization Act (S. 815/P.L. 97-86 of December 1, 1981), revised and reorganized by Section 1022 of the Federal Acquisition Streamlining Act of 1994 (S. 1587/P.L. 103-355 of October 13, 1994), and further amended on several occasions since.13 For the text of 10 U.S.C. 3501, see Appendix A.
* * *
11 Annual contracts can also include cancellation penalties.
12 A codification note for 10 U.S.C. 3501 states
Pub. L. 116-283, Sec.1822(b)-(l), which had initially directed the transfers of various subsections of section 2306b of this title [i.e., Title 10] to sections 3501 to 3511, was amended by Pub. L. 117-81, Sec.1701(k)(2), by striking out subsecs. (b) to (l) and adding a new subsec. (b). After that amendment, such transfers were no longer directed. Instead, Pub. L. 116-283, Sec.1822(b), as added by Pub. L. 117-81, directed the transfer of section 2306b of this title in its entirety to this section, thereby omitting what would have been sections 3502 to 3511 of this title. The transfer of section 2306b to this section was executed by transferring the text only of section 2306b, as the section designation and catchline had already been enacted by Pub. L. 116-283, Sec.1822(a), as amended by Pub. L. 117-81, Sec.1701(k)(1)(B).
13 For additional discussion of the legislative origin of MYP, see Congressional Budget Office, Alternative Strategies for Increasing Multiyear Procurement, Staff Working Paper, pp. 10-12, accessed October 15, 2020, at https://www.cbo.gov/sites/default/files/99th-congress-1985-1986/reports/doc16a_2.pdf, and David R. Sutton, Multiyear Procurement: A Desktop Guide, Naval Postgraduate School thesis, June 1997, pp. 7-10, accessed October 15, 2020, at https://calhoun.nps.edu/bitstream/handle/10945/8709/multiyearprocure00sutt.pdf.
* * *
Under this statute, what criteria must a program meet to qualify for MYP? 10 U.S.C. 3501 states that to qualify for MYP, a program must meet several criteria, including the following:
* Significant savings or necessary industrial base stability. DOD must estimate that using an MYP contract would result in either "significant savings" compared with using annual contracting or "necessary defense industrial base stability not otherwise achievable" through annual contracting.
* Realistic cost estimates. DOD's estimates of the cost of the MYP contract and the anticipated savings must be realistic.
* Stable need for the items. DOD must expect that its minimum need for the items will remain substantially unchanged during the contract in terms of production rate, procurement rate, and total quantities.
* Stable design for the items. The design for the items to be acquired must be stable, and the technical risks associated with the items must not be excessive.
10 U.S.C. 3501 includes provisions requiring the Secretary of Defense or certain other DOD officials to find, determine, or certify that these and other statutory requirements for using MYP contracts have been met, and provisions requiring the heads of DOD agencies to provide written notifications of certain things to the congressional defense committees 30 days before awarding or initiating an MYP contract, or 10 days before terminating one. 10 U.S.C. 3501 also requires DOD MYP contracts to be fixed-price type contracts.
Criterion of "necessary industrial base stability." The criterion of "necessary defense industrial base stability not otherwise achievable" through annual contracting was added by Section 820 of the FY2024 National Defense Authorization Act (NDAA) (H.R. 2670/P.L. 118-31 of December 22, 2023). The provision originated as Section 801 of the Senate-passed version of the FY2024 NDAA (S. 2226). The Senate Armed Services Committee's report on S. 2226 (S.Rept. 118-58 of July 12, 2023) stated
'In section 1244 of the James M. Inhofe National Defense Authorization Act for Fiscal Year 2023 (Public Law 117-263), the committee authorized the use of multiyear procurements for a number of munitions related to refilling stocks used in the Ukraine conflict and to strengthen the readiness of U.S. forces. The committee notes with concern that this authority has not been fully utilized for a number of munitions on the list due to limited projected cost savings achieved through a multiyear contract versus single year contracts. The committee believes the use of multiyear contracts offer more advantages than only cost savings. These contracts can also provide a clear demand signal to industry, which helps industry plan labor and material needs more effectively, and can better position it to meet the demands of U.S. requirements. Therefore, the committee believes the Department of Defense should factor in industrial base concerns as well as projected cost savings when considering the use of multiyear contracts.' (Page 181)
What is meant by "significant savings"? The amount of savings required under 10 U.S.C. 3501 to qualify for using an MYP contract has changed over time; the requirement was changed from "substantial savings" to "significant savings" by Section 811 of the FY2016 NDAA (S. 1356/P.L. 114-92 of November 25, 2015)./14
* **
14 For a discussion of the earlier evolution of the savings requirement under 10 U.S.C. 3501, including a figure graphically summarizing the legislative history of the requirement, see Government Accountability Office, Defense Acquisitions[:] DOD's Practices and Processes for Multiyear Procurement Should Be Improved, GAO-08-298, February 2008, pp. 21-22, including Figure 3 on p. 22.
* * *
The joint explanatory statement for the FY2016 NDAA states the following regarding Section 811 (emphasis added):
'Amendment relating to multiyear contract authority for acquisition of property (sec. 811) The House bill contained a provision (sec. 806) that would strike the existing requirement that the head of an agency must determine that substantial savings would be achieved before entering into a multiyear contract.
'The Senate amendment contained no similar provision.
'The Senate recedes with an amendment that would require that significant savings would be achieved before entering into a multiyear contract.
'The conferees agree that the government should seek to maximize savings whenever it pursues multiyear procurement. However, the conferees also agree that significant savings (estimated to be greater than $250.0 million), and other benefits, may be achieved even if it does not equate to a minimum of 10 percent savings over the cost of an annual contract. The conferees expect a request for authority to enter into a multiyear contract will include (1) the estimated cost savings, (2) the minimum quantity needed, (3) confirmation that the design is stable and the technical risks are not excessive, and (4) any other rationale for entering into such a contract.'/15
In addition, 10 U.S.C. 3501 states the following:
'If for any fiscal year a multiyear contract to be entered into under this section is authorized by law for a particular procurement program and that authorization is subject to certain conditions established by law (including a condition as to cost savings to be achieved under the multiyear contract in comparison to specified other contracts) and if it appears (after negotiations with contractors) that such savings cannot be achieved, but that significant savings could nevertheless be achieved through the use of a multiyear contract rather than specified other contracts, the President may submit to Congress a request for relief from the specified cost savings that must be achieved through multiyear contracting for that program. Any such request by the President shall include details about the request for a multiyear contract, including details about the negotiated contract terms and conditions.'/16
What is meant by "stable design"? The term "stable design" is generally understood to mean that the design for the items to be procured is not expected to change substantially during the period of the contract. Having a stable design is generally demonstrated by having already built at least a few items to that design (or in the case of a shipbuilding program, at least one ship to that design) and concluding, through testing and operation of those items, that the design does not require any substantial changes during the period of the contract.
Potential Consequences of Not Fully Funding an MYP Contract
What happens if Congress does not provide the annual funding requested by DOD to continue the implementation of the contract? If Congress does not provide the funding requested by DOD to continue the implementation of an MYP contract, DOD would be required to renegotiate, suspend, or terminate the contract. Terminating the contract could require the government to pay a cancellation penalty to the contractor. Renegotiating or suspending the contract could also have a financial impact.
* * *
15 Joint explanatory statement for H.R. 1735, the FY2016 NDAA, page 126 (PDF page 127 of 542). H.R. 1735 was vetoed by the President. A revised FY2016 NDAA, S. 1356, was then passed and enacted into law. There was no new joint explanatory statement for S. 1356. For the parts of S. 1356 that were unchanged from H.R. 1735, the joint explanatory statement for H.R. 1735 in effect serves as the joint explanatory statement for S. 1356.
16 10 U.S.C. 3501, subsection (i)(4).
* * *
Effect on Flexibility for Making Procurement Changes
What effect does using MYP have on flexibility for making procurement changes? A principal potential disadvantage of using MYP is that it can reduce Congress's and DOD's flexibility for making changes (especially reductions) in procurement programs in future years in response to changing strategic or budgetary circumstances, at least without incurring cancellation penalties. In general, the greater the portion of DOD's procurement account that is executed under MYP contracts, the greater the potential loss of flexibility. The use of MYP for executing some portion of the DOD procurement account means that if policymakers in future years decide to reduce procurement spending below previously planned levels, the spending reduction might fall more heavily on procurement programs that do not use MYP, which in turn might result in a less-than-optimally balanced DOD procurement effort.
Congressional Approval
How does Congress approve the use of MYP? Congress approves the use of MYP on a case-by-case basis, typically in response to requests by DOD./17
Congressional approval for DOD MYP contracts with a value of more than $500 million must occur in two places: an annual DOD appropriations act/18 and an act other than the annual DOD appropriations act./19
In annual DOD appropriations acts, the provision permitting the use of MYP for one or more defense acquisition programs is typically included in the title containing general provisions, which typically is Title VIII. As shown in the tables in Appendix B, since FY2011, it has been Section 8010.
An NDAA is usually the act other than an appropriations act in which provisions granting authority for using MYP contracting on individual defense acquisition programs are included. Such provisions typically occur in Title I of the NDAA, the title covering procurement programs.
Provisions in which Congress approves the use of MYP for a particular defense acquisition program may include specific conditions for that program in addition to the requirements and conditions of 10 U.S.C. 3501.
Frequency of Use of MYP
How often is MYP used? MYP is used for a limited number of DOD acquisition programs. As shown in the Appendix B, annual DOD appropriations acts since FY1990 typically have approved the use of MYP for zero to a few DOD programs each year. A 2008 Government Accountability Office (GAO) report stated the following:
'Although DOD had been entering into multiyear contracts on a limited basis prior to the 1980s, the Department of Defense Authorization Act, [for fiscal year] 1982,/20 codified the authority for DOD to procure on a multiyear basis major weapon systems that meet certain criteria. Since that time, DOD has annually submitted various weapon systems as multiyear procurement candidates for congressional authorization. Over the past 25 years, Congress has authorized the use of multiyear procurement for approximately 140 acquisition programs, including some systems approved more than once.'/21
* * *
17 The Anti-Deficiency Act (31 U.S.C. 1341) prohibits the making of contracts in advance of appropriations. A multiple-year commitment may be made when authorized by Congress by entering into a firm commitment for one year and making the government's liability for future years contingent on funds becoming available.
18 10 U.S.C. 3501, subsection (l)(3).
19 10 U.S.C. 3501, subsection (i)(1).
20 S. 815/P.L. 97-86 of December 1, 1981, Sec.909.
21 Government Accountability Office, Defense Acquisitions[:] DOD's Practices and Processes for Multiyear Procurement Should Be Improved, GAO-08-298, February 2008, p. 5.
* * *
Continues with Part 2 of 2
* * *
The report is posted at: https://www.congress.gov/crs_external_products/R/PDF/R41909/R41909.140.pdf
[Category: CRSCRS]
House Rule XI & Committee Rules That Govern Committee Markups & Hearings Topic of CRS Report (Part 2 of 2)
WASHINGTON, July 13 (TNSLrpt) -- The Congressional Research Service issued the following report (No. R48593) on July 9, 2025, entitled "House Rule XI and Committee Rules That Govern Committee Markups and Hearings - Key Provisions:"(Continued from Part 1 of 2)
* * *
Quorum Requirements, Clause 2(h)
Reporting Quorum, Clause 2(h)(1)
A committee may not report a measure or recommendation unless a majority of the committee is actually present./65
Hearing Quorum, Clause 2(h)(2)
A quorum to take testimony or receive evidence (at hearings) is no fewer than two members.
Several committees state ... Show Full Article WASHINGTON, July 13 (TNSLrpt) -- The Congressional Research Service issued the following report (No. R48593) on July 9, 2025, entitled "House Rule XI and Committee Rules That Govern Committee Markups and Hearings - Key Provisions:" (Continued from Part 1 of 2) * * * Quorum Requirements, Clause 2(h) Reporting Quorum, Clause 2(h)(1) A committee may not report a measure or recommendation unless a majority of the committee is actually present./65 Hearing Quorum, Clause 2(h)(2) A quorum to take testimony or receive evidence (at hearings) is no fewer than two members. Several committees statethat the chairs and ranking minority members of the full committees are "ex officio" members of the subcommittees. As such, these members are explicitly enabled to participate in subcommittee hearings./66 In addition, some committee rules specify that ex officio members count in the establishment of a hearing quorum./67
Some committees:
* require or encourage the chair of the committee or subcommittee to ensure that the relevant ranking minority member is present when a hearing is convened,/68
* require or encourage the two-member quorum to be one majority party member and one minority party member or that at least one member of the majority party is present,/69 or
* establish different quorums for different types of hearings./70
Business Meeting (Markup) Quorum, Clause 2(h)(3)
For taking actions (i.e., markups) that do not require the attendance of the majority of the committee, the quorum for each committee (except Appropriations, Budget, and Ways and Means) is no less than one-third of its membership. For Appropriations, Budget, and Ways and Means, the business quorum is a majority of committee members.
Some committee rules:
* state that the quorum for a regular business meeting is a majority of members or that a specified type of business meeting is a majority of members,/71
* state that the quorum for a specified type of business meeting is a majority of members,/72
* enable a subcommittee's ex officio members (the chair and ranking member of the full committee) to count for determining a quorum,/73 or
* require the chair's staff to consult with the ranking minority member's staff when scheduling meetings to ensure that the quorum includes at least one minority member./74
* * *
65 The long-standing rule regarding the quorum for reporting measures originates in the procedural manual written by then-Vice President Thomas Jefferson in 1800: "A committee [may] meet when and where they please, if the House has not ordered time and place for them ... but they can only act when together, and not by separate consultation and consent - nothing being the report of the committee but what has been agreed to in committee actually assembled" (House Manual, Sec.Sec.407, 799). Pursuant to H.Res. 965 (116th Congress) and H.Res. 8 (117th Congress), during a pandemic emergency designated by the Speaker, committee members who participated in a committee's proceedings remotely were to be "counted for the purpose of establishing a quorum under the rule of the House or the committee."
66 Some committees specify actions that may or may not be conducted by ex officio members of subcommittees, such as voting (or not voting) or counting (or not counting) for the majority-minority ratio. This report does not address those parliamentary rules.
67 Energy and Commerce (Rule 8(e)); Financial Services (Rule 5(c)(2)); Homeland Security (Rule II(C)); House Administration: This provision does not apply to the Subcommittee on Modernization (Rule 9(5)(1)); Oversight and Government Reform (Rule 6(d)); Science, Space, and Technology (Rule VI(c)(2)); Ways and Means (Rule 10).
68 Foreign Affairs (Rule 3); Small Business (Rule 7(B)).
69 Homeland Security: one majority and one minority members (Rule IX); Small Business: one majority and one minority member (Rule 7(B)); Ways and Means: one majority and one minority member (Rule 2); Small Business: at least one majority member (Rule 7(B)); Ways and Means: at least one majority member (Rule 2); Intelligence: at least one majority member (Rule 2(I)).
70 Rules: five members for hearings on special rules and three members for hearings on matters of original jurisdiction (Rule 3(b)(1)); Small Business: For hearings held outside of Washington, DC, a quorum is deemed present if the chair of the committee or subcommittee is present (Rule 7(C)).
71 In addition to the Committees on Appropriations, Budget, and Ways and Means, the following committees require a majority quorum for a regular business meeting: Rules (Rule 3(b)(3)); Small Business (Rule 7(A)); Veterans' Affairs (Rule 4(a)).
72 Education and Workforce: amending rules (Rule 12); Transportation and Infrastructure: to approve certain types of committee resolutions related to federal projects (Rule VI(c)(2)).
73 Energy and Commerce (Rule 8(e)); Financial Services (Rule 5(c)(2)); Science, Space, and Technology (Rule VI(c)(2)); Ways and Means: Ex officio members count toward establishing a quorum, but their absence does not count against establishing a quorum by the regular members of a subcommittee (Rule 10).
74 Homeland Security (Rule IX).
* * *
Postponing and Resuming Committee Proceedings, Clause 2(h)(4)
Each committee may permit the chair of the committee or subcommittee to postpone further proceedings when a record (roll call) vote is ordered on the approval of a measure or matter or on the adoption of an amendment. The chair may resume action on the postponed question at any time after "reasonable notice."
Any committee rule adopted under this provision is to provide that when proceedings resume on a postponed question, the underlying proposition (i.e., the bill, amendment, or motion) remains subject to further debate or amendment to the same extent as it was before the postponement regardless of any intervening order for the previous question.
Several committees have explicitly permitted their chairs to postpone further proceedings pursuant to clause 2(h)(4), while Armed Services requires the chair to do so with the concurrence of the ranking minority member, and Natural Resources and Energy and Commerce require the chairs to do so after consultation with the minority ranking member./75
Some committee rules provide that the chair resume proceedings:
* with the concurrence of or in consultation with the ranking minority member/76 or
* no later than a specified time after the postponement./77
Limitation on Committee Sittings, Clause 2(i)
A committee may not meet during a joint session of the House and Senate or during a recess when a joint meeting is taking place.
Most committees' rules include provisions meant to avoid the scheduling of a subcommittee meeting during a full committee meeting or another subcommittee's meeting.
Additional committee rules restrict or discourage chairs from scheduling:
* a committee or subcommittee meeting at the same time as a party caucus or conference meetings/78 or
* a hearing before the first or last vote of a legislative week, or outside Washington, DC, without prior consultation with the relevant ranking minority member./79
* * *
75 Armed Services (Rule 17(e)); Natural Resource (Rule 3(i)); Energy and Commerce (Rule 7(2)(b)(A)).
76 Armed Services: concurrence (Rule 17(e)); Agriculture: consultation (Rule III(i)(2)(A)); Energy and Commerce: consultation (Rule 7(2)(b)(B)); Oversight and Government Reform: consultation (Rule 5(b)); Small Business: consultation (Rule 11(A)); Transportation and Infrastructure: consultation (Rule (f)(1)(B)).
77 Financial Services: no later than the next meeting day (Rule 3(c)(5)); Natural Resources: no later than the next meeting day (Rule 3(i)); Small Business: no later than 24 hours after the postponement or, if there are scheduling conflicts, no later than the next scheduled meeting date (Rule 11(A)).
78 Budget (Rule 3(a)); Natural Resources (Rule 2(a)).
79 Foreign Affairs (Rule 15(b)).
* * *
Calling and Questioning Witnesses, Clause 2(j)
Selection of Witnesses (Minority Witness Rule), Clause 2(j)(1)
During a hearing on any measure or matter, the minority shall be allowed to select witnesses to testify on at least one day of the hearing when the chair receives such a request from a majority of the minority party before the completion of the hearing./80
Several committees' rules explicitly note adherence to the minority witness rule.
Some committee rules state that
* the minority party may waive its rights or consider the rights fulfilled under the minority witness rule if the chair permits the minority to call at least one witness during a committee hearing or subcommittee hearing/81; or
* if the minority witness rule is invoked, the chair, with the concurrence of the ranking minority member, will determine the date, time, and place of such hearing./82
Five-Minute Rule for Questioning, Clause 2(j)(2)(A)
During a hearing, each committee operates under the five-minute rule for questioning witnesses, proceeding until each member "who so desires" has had the opportunity to question each witness.
Some committees have allowed House Members who are not members of the full committee - or members of the full committee who are not members of the subcommittee - to question witnesses. The committees' rules specify how such House Members may participate in hearings without allowing these individuals to vote on matters before the committee or subcommittee./83 Committee rules have also provided guidance for the order of recognition beyond the common practice of recognizing first a majority party member, followed by a minority party member, and alternating thereafter in the order of seniority.
Some committee rules:
* specify that the chair recognizes members who arrive to the hearing before it begins based on seniority, and the chair recognizes members who arrive after the hearing begins in the order in which they arrive (the "early bird" rule)/84;
* * *
80 See CRS Report RS22637, House Committee Hearings: The "Minority Witness Rule", by Christopher M. Davis.
81 Education and Workforce (Rule 8(e)); House Administration (Rule 9(4)).
82 Financial Services (Rule 3(d)(5)).
83 Agriculture: full committee members in a subcommittee hearing at the discretion of the chair in consultation with the ranking minority member or by the majority vote of the subcommittee (Rule XI(1)(e)(iii)); Armed Services: full committee members in a subcommittee hearing (Rule 4(b)(3)); Education and Workforce: full committee members in a subcommittee hearing (Rule 7); Foreign Affairs: House Members by unanimous consent (Rule 4(b)(4)); Natural Resources: House Members by unanimous consent (Rule 3(f)(2)); Oversight and Government Reform: full committee members in a subcommittee hearing at the discretion of the chair (Rule 7(d)); Science, Space, and Technology: full committee members in a subcommittee hearing (Rule VI(e)(5)); Small Business: full committee members in a subcommittee hearing by the discretion of the chair in consultation with the ranking minority member (Rule 2(J)); Transportation and Infrastructure: full committee members in a subcommittee hearing by unanimous consent (Rule III(e)); Veterans' Affairs: non-committee members by unanimous consent (Rule 3(c)(5)).
84 Armed Services (Rule 11(b)(1)); Budget (Rule 17(a)(3)); Energy and Commerce (Rule 3(d)(1)); Financial Services (Rule 3(d)(4)(A)); Foreign Affairs (Rule 6(a)(2)); Oversight and Government Reform (Rule 9(b)); Small Business (Rule 3(C)(1)); Veterans' Affairs (Rule 3(c)(1)(B)).
* * *
* specify that chairs recognize members in consideration of the ratio of majority and minority members present as to not disadvantage the majority party or to not disadvantage either party (e.g., the chair may recognize two majority party members before recognizing one minority party member)/85;
* specify that, after all members wishing to ask questions have had the opportunity to do so, the chair may allow additional rounds of questioning and impose time limits on such rounds/86;
* explicitly state that the five-minute limitation shall not apply to the chair or the ranking minority member of the full committee or a subcommittee/87;
* explicitly state that members' five-minute periods may be exceeded by the chair's authorization or by motion offered by the chair/88;
* state that the chair may deviate from regular questioning procedures with the concurrence of the ranking member provided that the process is announced before the hearing begins and that it applies equally to both parties/89; or
* require that the questions asked during hearings be pertinent or germane to the measure or matter being considered./90
Extended Questioning by Committee Members and Staff, Clause 2(j)(2)(B); Clause 2(j)(2)(C)
A committee may adopt a motion or rule that allows for an extended period of questioning, up to one hour, for a specified number of members, provided that the majority and minority are allotted equal time./91 A committee may also adopt a motion or rule that allows majority and minority committee staff to question a witness for equal, specified periods not exceeding "one hour in the aggregate."/92
Some committees note in their rules that they may extend questioning by motion, an action that would be allowed pursuant to the House rules provision even if not explicitly stated in the committees' rules. Committees that have established committee rules to allow extended questioning are not required to conduct votes on motions to allow this action to occur.
* * *
85 Armed Services: either party (Rule 11(b)(1)); Budget: majority party (Rule 17(c)); Education and Workforce: majority party (Rule 9(a)); Natural Resources: either party (Rule 3(d)); Small Business: either party (Rule 3(D)); Transportation and Infrastructure: either party (Rule IV(e)(2)); Veterans' Affairs: majority party (Rule 3(c)(1)(B)); Ways and Means: majority party (Rule 15).
86 Agriculture (Rule VIII(e)).
87 Intelligence (Rule 7(C)).
88 Intelligence: The chair may authorize an additional two minutes (Rule 7(C)); Small Business: The full committee or subcommittee chair may offer a motion to extend a specified member's questioning (Rule 3(B)).
89 Armed Services (Rule 11(b)(3)).
90 Agriculture (Rule VIII(e)); Armed Services (Rule 15(c)); Oversight and Government Reform (Rule 9(a)); Transportation and Infrastructure (Rule IV(f)(1)(B)).
91 The following committees have rules allowing members to participate in periods of extended questioning: Agriculture, Budget, Education and Workforce, Energy and Commerce, Financial Services, Foreign Affairs, Homeland Security, Oversight and Government Reform, Transportation and Infrastructure, and Veterans' Affairs.
92 The following committees have rules allowing majority and minority staff to participate in periods of extended questioning: Budget, Education and Workforce, Foreign Affairs, Homeland Security, Oversight and Government Reform, Transportation and Infrastructure, Veterans' Affairs, and Intelligence.
* * *
Some committee rules provide that
* the chair consults with the minority leader before conducting a period of extended questioning by members or staff/93;
* the chair receives the concurrence of the minority leader to extend questioning/94; or
* for investigative hearings or hearings conducted in executive sessions, any questioning by committee staff must be conducted by majority or minority counsel./95
Hearing Procedures, Clause 2(k)
Opening Statement, Clause 2(k)(1)
The chair shall announce the subject of the hearing in an opening statement.
Some committee rules:
* explicitly state that other members' written opening statements will be included in the official hearing record/96;
* explicitly state that the ranking minority member, or the ranking minority member's designee, may make an opening statement in addition to the chair or the chair's designee/97;
* explicitly allow the chair or ranking minority member of the full committee, or their designees, to make opening statements in a subcommittee hearing/98;
* allow other members to give opening statements/99; or
* limit opening statements to a certain number of minutes./100
* * *
93 Homeland Security (Rule VIII(A)(3)); Veterans' Affairs (Rule 3(c)(2)); Intelligence (committee staff) (Rule (E)(2)(a)).
94 Energy and Commerce (Rule 3(d)(2)); Foreign Affairs (Rule 6(a)(4)); Transportation and Infrastructure (Rule IV (f)(2)).
95 Education and Workforce (Rule 9(d)).
96 Clause 2(e)(1)(A)(i) of Rule XI states that each committee shall keep a complete record of all committee actions, including hearing transcripts to include a "substantially verbatim account of remarks actually made during the proceedings." Financial Services (Rule 3(d)(7)) and Transportation and Infrastructure (Rule IV(e)(B)) explicitly state that submitted written opening statements will also be included in the record.
97 The ranking minority member commonly gives an opening statement. The following committees explicitly state this practice in their rules: Education and Workforce, Energy and Commerce, Homeland Security, Oversight and Government Reform, Transportation and Infrastructure, and Intelligence.
98 Energy and Commerce (Rule 9(b)(1)); Transportation and Infrastructure (Rule IV(e)(1)(A)).
99 Financial Services (Rule 3(d)(6)); Energy and Commerce (Rule 9(b)(2)); Science, Space, and Technology (Rule II(g)); Transportation and Infrastructure: The chair may permit with the concurrence of the ranking minority member (Rule IV(e)(1)(B)); Homeland Security: The chair may permit with the concurrence of the ranking minority member (Rule VII(A)).
100 Energy and Commerce: The chair and ranking member have five minutes each and may designate another member to give an opening statement of five minutes (Rule 9(b)(2)); Financial Services: The chair controls five minutes and the ranking minority member controls five minutes (Rule 3(d)(6)); Homeland Security: The chair and ranking member have five minutes each (Rule VII(A)); Natural Resources: The chair and the ranking member, or their designees, have five minutes each (Rule 4(f)); Science, Space, and Technology: The chair controls five minutes and the ranking minority member controls five minutes (Rule II(g)); Transportation and Infrastructure: The chair and ranking member have five minutes each (Rule IV (e)(1)(A)).
* * *
Availability of Written Rules, Clause 2(k)(2)
A copy of the committee's rules and clause 2(k) of House Rule XI, "Hearing Procedures," are required to be provided to each witness upon request.
Witness Counsel, Clause 2(k)(3)
Witnesses at hearings may be accompanied by their own counsel to advise them of their constitutional rights.
Most committee rules either restate clause 2(k)(3) or are silent on this provision. However, due to the specialized nature of their hearings, the Committee on Homeland Security and the Permanent Select Committee on Intelligence provide additional requirements regarding the role of counsel, especially during closed hearings in which classified information might be discussed,/101 while Oversight and Government Reform requires witness counsel to "promptly" submit a notice of appearance to the committee./102
Order and Decorum, Clause 2(k)(4)
The chair may impose penalties for violations of order and decorum or of professional ethics by counsel. Penalties may include censure and/or exclusion from the hearing. Additionally, the committee may cite the offender to the House for contempt.
Veterans' Affairs specifies that breaches of decorum include actions that affect the health and safety of members, staff, and others present or impedes the business of the committee./103 The rules of the Intelligence Committee provide that a chair may temporarily remove counsel from any committee proceeding for failing to act in an ethical or professional manner, but a majority of the committee members may vote on a motion to reverse the chair's decision./104
Assertion of Defaming, Degrading, or Incriminating Evidence or Testimony, Clause 2(k)(5)-(6)
Notwithstanding clause 2(g)(2) of House Rule XI, when a committee member asserts that evidence or testimony presented at a hearing may tend to defame, degrade, or incriminate any person - or a witness makes the same assertion about the evidence or testimony the witness would give - the committee is to receive the testimony in closed executive session if the committee, with a hearing quorum present (as few as two members, depending on the committee), determines by majority vote to close a hearing to the public./105 The committee is to proceed to hear such testimony in an open session only if, with a majority of members present, it determines that the evidence or testimony will not defame, degrade, or incriminate any person.
* * *
101 Homeland Security requires a witness's counsel to promptly file a notice of appearance with the committee to include (a) the counsel's name, firm or organization, and contact information and (b) the names of each client being represented in the proceeding (Rule XII(D)). Intelligence requires counsel to possess a security clearance and provide proof of such clearance to the committee at least 24 hours in advance if accompanying a witness appearing before a meeting or hearing that is closed due to the discussion of classified information (Rule 9(C)(3)).
102 This notice must include (1) the counsel's name, firm or organization, bar membership, and contact details, including email, and (2) the name of each client or entity represented in connection with the proceeding (Rule 16(b)).
103 Veterans' Affairs (Rule 1(k)).
104 Intelligence (Rule 9(C)(6)(a)).
105 Pursuant to clause 2(g)(2) of House Rule XI, the majority of committee members must be present to vote to close a hearing if "disclosure of testimony, evidence, or other matters to be considered would endanger national security, would compromise sensitive law enforcement information, or would violate a law or rule of the House." Clause 2(k)(5) provides that, a hearing quorum being present (which may be as few as two members), a majority may vote to close hearings in response to a member or witness assertion that the testimony may be harmful to any person.
* * *
In either case, the rule directs the committee to allow the subject of the testimony to voluntarily appear as a witness. The committee may also receive and dispose of requests from the subject of the testimony to subpoena additional witnesses.
Members may make additional motions to subpoena witnesses, which are then disposed of by the committee.
The rules for the Homeland Security Committee require a majority present, rather than a hearing quorum present, for votes to close a hearing because the testimony, evidence, or other matters would tend to defame, degrade, or incriminate a witness./106 The Permanent Select Committee on Intelligence allows any person who believes that testimony presented at a public hearing could negatively impact the person's reputation to submit a sworn statement outlining the relevant facts concerning the testimony, evidence, or comments, as well as proposed questions for cross-examining other witnesses./107
Release of Evidence Taken in Executive Session, Clause 2(k)(7)
Evidence or testimony taken in executive session and proceedings conducted in executive session may not be released or used in public sessions except by committee authorization. A majority of the committee must be present at the time a vote is taken to authorize the release of testimony taken in executive session./108
The Homeland Security Committee enables committee members and staff to provide executive session testimony to appropriate government personnel for purposes of obtaining an official classification./109 The Armed Services and Intelligence Committees' rules state that any classified national security information received by the committee or any subcommittee shall be deemed as having been received in executive session./110
Sworn Written Statements for the Record, Clause 2(k)(8)
At the committee's discretion, witnesses may submit brief and pertinent sworn statements in writing for inclusion in the record. The committee is the sole judge of the pertinence of testimony and evidence presented at its hearing.
Transcript Copies of Witness Testimony, Clause 2(k)(9)
Witnesses may obtain transcripts of their public testimony. They may also receive transcripts of their testimony given in executive session when authorized by the committee.
* * *
106 Homeland Security (Rule VI(A)(1)).
107 Intelligence (Rule 9(H)(2)).
108 House precedent precludes committee members from making copies of or taking personal notes from executive session records (House Manual, Sec.796).
109 Homeland Security (Rule XIV(D) and Rule XV(E)).
110 Armed Services (Rule 20(a)); Intelligence: if received by the committee or subcommittee in response to a subpoena (Rule 10(F)(1)) or if submitted to the committee on an exclusive base (Rule 12(A)).
* * *
Several committees have rules regarding the ability of witnesses to correct hearing transcripts. They may also provide a time window in which any public witness, or someone authorized by the witness, may request a transcript of the witness's testimony./111 The Permanent Select Committee on Intelligence specifies that a witness's counsel may review a transcript containing classified content only if the counsel holds the necessary security clearances. The committee also allows any portion of the witness's testimony given in executive session to be made available to the witness if it is subsequently quoted or intended to be part of a public record./112
Supplemental, Minority, Additional, or Dissenting Views, Clause 2(l)
At the time a committee approves a measure or matter, a committee member (other than from the Committee on Rules) may give notice of intention to submit supplemental, minority, additional, or dissenting views for the committee's report to the House, which is filed in accordance with clause 2 of House Rule XIII./113 If such notification occurs, all committee members have no less than two additional calendar days (excluding Saturdays, Sundays, and legal holidays unless the House is in session on those days) to file their written and signed views (including in electronic form) with the clerk of the committee.
The Foreign Affairs Committee specifies in its rules that no later than 24 hours before a measure's report is filed with the Clerk of the House, the chair is to make a draft copy of the report available to committee members to allow them to prepare and submit any supplemental, minority, or additional views that they may deem appropriate./114
Power to Sit and Act, Clause 2(m)/115
A committee may sit and act at any time and at any place within the United States regardless of whether the House is in session, has recessed, or has adjourned. A committee may hold such hearings as the committee considers necessary. The chair, or a member designated by the chair, may administer oaths to witnesses.
Voting by Electronic Device, Clause 2(n)
A committee may establish a rule or motion allowing votes to be conducted by electronic device in accordance with regulations provided for publication in the Congressional Record by the chair of the Committee on Rules and the chair of the Committee on House Administration.
Clause 2(n) was established by H.Res. 5, the House rules package for the 119th Congress./116 Early in that Congress, several committees adopted a rule stating: "The chair may conduct any record vote by electronic device in accordance with clause 2(n) of House Rule XI."/117
* * *
111 Agriculture: 10 calendar days (Rule V(b)).
112 Intelligence (Rule 9(G)(4)).
113 Pursuant to clause 2 of House Rule XIII, a bill reported from a committee must be accompanied by a written report in order for the reported bill to be placed on a calendar. The required contents of a report are specified in clause 3 of House Rule III, clause 9 of House Rule XXI, the Congressional Budget Act of 1974, and other statutes. Supplemental, minority, additional, or dissenting views are optional components of House committee reports. If proper notice is provided, and the minority views are submitted within two additional calendar days of that notice, the views will be included in the report, and the cover of the report will note that inclusion (House Rule XIII, clauses 2(c) and 3(a)). See CRS Report R47039, House Committee Reports: Required Contents, by Jane A. Hudiburg and Christopher M. Davis.
114 Foreign Affairs (Rule 11(a)).
115 Clause 2(m)(1)(B) and clause 2(m)(3) of Rule XI, regarding committees' subpoena power, and clause 2(m), (o), (p), and (q), regarding certain required hearings, are outside of the scope of this report.
116 See CRS Report R48466, House Rules Changes Affecting Committee Procedure in the 119th Congress (2025-2026), by Jane A. Hudiburg.
117 The following committees enable voting by electronic device: Small Business, Education and Workforce, Homeland Security, Natural Resources, Armed Services, Foreign Affairs, Oversight and Government Reform, Transportation and Infrastructure, Veterans' Affairs, and Financial Services
* * *
The report is posted at: https://www.congress.gov/crs_external_products/R/PDF/R48593/R48593.2.pdf
[Category: CRSCRS]
House Rule XI & Committee Rules That Govern Committee Markups & Hearings Topic of CRS Report (Part 1 of 2)
WASHINGTON, July 13 (TNSLrpt) -- The Congressional Research Service issued the following report (No. R48593) on July 9, 2025, entitled "House Rule XI and Committee Rules That Govern Committee Markups and Hearings: Key Provisions" by Jane A. Hudiburg, Congress and legislative process analyst:* * *
SUMMARY
House committees follow procedures that are governed by the standing Rules of the House of Representatives, as well as committee rules that the committees adopt at the start of a Congress and may amend at any time during a Congress. Markup and hearing procedures, in particular, are subject ... Show Full Article WASHINGTON, July 13 (TNSLrpt) -- The Congressional Research Service issued the following report (No. R48593) on July 9, 2025, entitled "House Rule XI and Committee Rules That Govern Committee Markups and Hearings: Key Provisions" by Jane A. Hudiburg, Congress and legislative process analyst: * * * SUMMARY House committees follow procedures that are governed by the standing Rules of the House of Representatives, as well as committee rules that the committees adopt at the start of a Congress and may amend at any time during a Congress. Markup and hearing procedures, in particular, are subjectto certain provisions in clause 2 of House Rule XI, "Procedures of Committees and Unfinished Business."
In their rules, committees may establish additional requirements to the clause 2 provisions provided that such committee rules are not inconsistent with House rules. Certain provisions of Rule XI lend themselves to greater variety in application. Accordingly, they are more likely to be addressed with further stipulations in committee rules. For example, committees have adopted various rules that address the availability of legislative text (some committees require the pre-filing of amendments); recognition to question witnesses (some committee chairs recognize members by seniority; others follow the "early bird" rule, recognizing members by their arrival time to the hearing); and requirements that witnesses submit written statements of intended testimony a specified time in advance of a hearing. Committee rules may also require the chair to conduct an action in consultation with the ranking minority member, in concurrence with the ranking minority member, or in the presence of the ranking minority member.
* * *
Contents
Introduction ... 1
Clause 1 of House Rule XI (Select Provisions) ... 2
The Rules of the House Are the Rules of Its Committees, Clause 1(a)(1)(A) ... 2
Each Subcommittee Is a Part of Its Committee, Clause 1(a)(1)(B) ... 3
Privileged Motions to Recess and to Dispense with the First Reading of a Bill or Resolution, Clause 1(a)(2)(A) and (B) ... 3
Clause 2 of House Rule XI (Select Provisions) ... 4
Adoption of Written Committee Rules, Clause 2(a) ... 4
Regular Meeting Days, Clause 2(b) ... 4
Additional and Special Meetings, Clause 2(c) ... 5
Additional Meetings Called by the Chair, Clause 2(c)(1) ... 5
Special Meetings by Committee Vote, Clause 2(c)(2) ... 5
Temporary Absence of the Chair, Clause 2(d) ... 6
Prohibition Against Proxy Voting, Clause 2(f) ... 6
Open Meetings and Hearings, Clause 2(g) ... 6
Open Business Meetings (Markups), Clause 2(g)(1) ... 6
Open Hearings, Clause 2(g)(2)(A), (B), and (D) ... 7
Prohibition Against Excluding a Member, Delegate, or Resident Commissioner, Clause 2(g)(2)(C) ... 7
Notice Required for Hearings, Clause 2(g)(3) ... 8 Notice Required for Business Meetings, Clause 2(g)(3) ... 8
Availability of Legislative Text, Clause 2(g)(4) ... 9
Written Statements of Proposed Testimony, Clause 2(g)(5), (6), and (7) ... 11
Nongovernmental Witness Disclosures (Truth-in-Testimony Rule), Clause 2(g)(5), (6), and (7) ... 11
Quorum Requirements, Clause 2(h) ... 12
Reporting Quorum, Clause 2(h)(1) ... 12
Hearing Quorum, Clause 2(h)(2) ... 12
Business Meeting (Markup) Quorum, Clause 2(h)(3) ... 13
Postponing and Resuming Committee Proceedings, Clause 2(h)(4) ... 14
Limitation on Committee Sittings, Clause 2(i) ... 14
Calling and Questioning Witnesses, Clause 2(j) ... 15
Selection of Witnesses (Minority Witness Rule), Clause 2(j)(1) ... 15
Five-Minute Rule for Questioning, Clause 2(j)(2)(A) ... 15
Extended Questioning by Committee Members and Staff, Clause 2(j)(2)(B); Clause 2(j)(2)(C) ... 16
Hearing Procedures, Clause 2(k) ... 17
Opening Statement, Clause 2(k)(1) ... 17
Availability of Written Rules, Clause 2(k)(2) ... 18
Witness Counsel, Clause 2(k)(3) ... 18
Order and Decorum, Clause 2(k)(4) ... 18
Assertion of Defaming, Degrading, or Incriminating Evidence or Testimony, Clause 2(k)(5)-(6) ... 18
Release of Evidence Taken in Executive Session, Clause 2(k)(7) ... 19
Sworn Written Statements for the Record, Clause 2(k)(8) ... 19
Transcript Copies of Witness Testimony, Clause 2(k)(9) ... 19
Supplemental, Minority, Additional, or Dissenting Views, Clause 2(l) ... 20
Power to Sit and Act, Clause 2(m) ... 20
Voting by Electronic Device, Clause 2(n) ... 20
Contacts
Author Information ... 21
* * *
Introduction
This report examines select provisions in clauses 1 and 2 of House Rule XI related to markup and hearing procedures. It also identifies instances in which standing committees and the Permanent Select Committee on Intelligence (excluding the Committee on Ethics)/1 have adopted rules that provide greater specificity to the clause 2 provisions./2
House committees follow procedures that are governed by the standing Rules of the House of Representatives, as well as committee rules that the committees adopt at the start of a Congress and may amend at any time during a Congress./3
Markup and hearing procedures, in particular, are subject to certain provisions in clause 2 of Rule XI, "Procedures of Committees and Unfinished Business."/4
Committees, in their rules, may provide stricter requirements to the Rule XI provisions, but they may not adopt rules that are "inconsistent" with those provisions./5
Committee rules may also provide additional guidance for conducting actions authorized by Rule XI./6
For instance, pursuant to Rule XI, committee chairs provide public notice of business meetings, which shall not commence prior to the third day after such notice./7
Committees may require a lengthier period of notice (e.g., 48 or 72 hours), but it would be inconsistent with House rules for a committee rule to state that the notice period for business meetings is 24 hours.
* * *
1 The Committee on Ethics follows clause 2 provisions as applicable and is also governed by clause 3 of the same rule. For more information about the committee's establishment and procedure, see CRS Report 98-15, House Committee on Ethics: A Brief History of Its Evolution and Jurisdiction, by Jacob R. Straus.
2 This report provides examples of committee rules. It does not provide a comprehensive listing of each time a committee rule has some degree of variation from provisions in House rules. The analysis is based on an examination of committee rules from the 119th Congress (2025-2026).
3 U.S. Congress, House, Constitution, Jefferson's Manual and the Rules of the House of Representatives of the United States One Hundred Nineteenth Congress (hereinafter House Manual), 118th Cong., 2nd sess., 2025 (GPO, 2025). All citations to committee rules are those adopted in the 119th Congress and printed in the Congressional Record.
4 The report's analysis focuses on provisions of Rule XI, clause 2, that are related to markup and hearing procedure. It does not consider committees' subpoena power; investigative, oversight, and activity reports; required oversight hearings; requirements regarding the disposition of records; broadcasting regulations; or the particular provisions that govern the Committee on Ethics. For more information on these topics, see CRS Report R44247, A Survey of House and Senate Committee Rules on Subpoenas, by Jane A. Hudiburg; CRS Report R45104, Guide to Committee Activity Reports: Purpose, Rules, and Contents, by Ida A. Brudnick; CRS Report RL30240, Congressional Oversight Manual, coordinated by Ben Wilhelm, Todd Garvey, and Christopher M. Davis; and CRS Report R44665, Video Broadcasting of Congressional Proceedings, by Sarah J. Eckman.
5 Clause 2(a) of House Rule XI.
6 While multiple committees may adopt rules providing greater specificity to a Rule XI provision, they may do so with differing requirements (e.g., varying time periods in which an action is to occur) and differing means by which the rule may be waived (e.g., if circumstances make a requirement infeasible or by committee vote). For questions regarding a particular committee's rules, it is advised to review the text of those rules or contact the author of this report. Pursuant to clause 2(a) of House Rule XI, no later than 60 days after the election of the chair, a committee's rules are to be published in the Congressional Record. Such rules are printed under the heading "Publication of Committee Rules" in the House section of that publication. A committee may also choose to post its rules on its official website, but this action is not required. Documents related to a committee's markup and adoption of committee rules are available from the U.S. House of Representatives Committee Repository (https://docs.house.gov/), as well as the committee's website.
7 The committee may meet prior to the third day after notice by committee vote, a quorum being present, or if the chair, with the concurrence of the ranking minority leader, determines that there is a "good cause" reason for the committee to meet earlier. See House Rule XI, clause 2(g)(3).
* * *
Ordinarily, if a committee does not follow its committee rules prior to ordering a measure reported, a point of order does not lie against the consideration of the measure on the House floor because the committee is responsible for interpreting its rules, not the House./8
However, violations of a House rule may provide the basis for a point of order in the House, which could result in a bill's recommittal./9
For example, a member of the committee that reported the measure may make a point of order in the House on the ground that a hearing on the measure was not properly conducted if a point of order was timely made in committee and was improperly disposed of in the committee./10
All committees follow certain Rule XI provisions without establishing further specificity, such as clause 2(f), which prohibits voting by proxy in committee. Other Rule XI provisions lend themselves to greater variety in application. Accordingly, they are more likely to be addressed with additional requirements or guidance in committee rules. These provisions include the availability of legislative text (some committees require the pre-filing of amendments); recognition to question witnesses (some committee chairs recognize members by seniority; others follow the "early bird" rule, recognizing members by their arrival time to the hearing); and requirements that witnesses submit written statements of intended testimony a specified time in advance of a hearing.
Committees grant the chair (oftentimes in concurrence with or in consultation with the ranking minority member) discretion in carrying out certain committee rules. Their rules may explicitly state this flexibility with phrases such as to the extent practicable, when practicable, or if feasible. These caveats are not noted in this report.
In addition to their rules, many committees adhere to long-standing but unwritten practices. For that reason, Members and staff are advised to follow any guidelines issued by the committee and to consult with committee leadership or staff in their preparation for committee meetings.
Some committees have codified into their rules policies or procedures that other committees follow by informal practice. In this report, the term explicitly states refers to a practice that is provided for in a committee's rules even if the practice is commonly followed by other committees without being addressed in their rules.
Clause 1 of House Rule XI (Select Provisions)
The Rules of the House Are the Rules of Its Committees, Clause 1(a)(1)(A)
Clause 1(a)(1)(A) of House Rule XI states, "The Rules of the House are the rules of its committees and subcommittees so far as applicable." Thus, a committee, pursuant to clause 2(a) of Rule XI, may not adopt committee rules that are "inconsistent" with House rules, nor may it adopt any legal provisions that have the same authority as House rules.
* * *
8 John V. Sullivan et al., House Practice: A Guide to the Rules, Precedents, and Procedures of the House (GPO, 2024), ch. 11, Sec.15, p. 279.
9 House Manual, Sec.792.
10 House Practice, ch. 11, Sec.15, p. 279; House Rule XI, clause 2(g)(6).
* * *
In addition to House Rule XI, House committee procedures are most affected by
* House Rule X, which establishes the standing committees, defines committee jurisdictions and oversight responsibilities, and provides the process for assigning House Members to committees;
* House Rule XII, governing the referral of measures/11;
* House Rule XIII, detailing the required contents of committee reports/12; and
* House Rule XVI, which defines the precedence of motions and establishes limitations on amending./13
Several House committees restate clause 1(a)(1)(A) of Rule XI in their committee rules. However, this rule applies to all committees regardless of whether or not it is restated in their written rules. Should the House adopt a new rule, committees would be subject to that rule, if applicable, without any intervening committee action./14
Each Subcommittee Is a Part of Its Committee, Clause 1(a)(1)(B)
Each subcommittee is a part of its parent committee and operates under the authority, direction, and rules of that committee "so far as applicable."
Several committees, in their rules, explicitly state that the committee's subcommittees are to follow the same committee requirements as the full committee unless otherwise stated in the committee's rules. Others are silent on this matter. Some committee rules note that certain Rule XI requirements apply to task forces and other panels./15
Privileged Motions to Recess and to Dispense with the First Reading of a Bill or Resolution, Clause 1(a)(2)(A) and (B)
In a committee or subcommittee, a motion to recess from day to day (with committee proceedings resuming at a specified time) or to recess subject to the call of the chair (proceedings are to resume within 24 hours at a time chosen by the chair) is privileged. In addition, a motion to dispense with the first reading (in full) of a bill or resolution is privileged if printed copies are available. Such privileged motions are to be decided without any debate./16
Most committees restate these provisions or are silent on them. The Natural Resources Committee specifies that the privileged status of a motion to dispense with the full reading of a bill or resolution is dependent on the printed copies being "properly circulated by the Director of Legislative Operations or their designee."/17
* * *
11 See CRS Report R46251, Committee Jurisdiction and Referral in the House, by Mark J. Oleszek.
12 See CRS Report R47039, House Committee Reports: Required Contents, by Jane A. Hudiburg and Christopher M. Davis.
13 CRS Report 98-995, The Amending Process in the House of Representatives, by Christopher M. Davis.
14 The House Administration Committee's rules explicitly state the committee's adherence to any change in House rules: "Should changes be adopted by the House of Representatives to the Rules of the House of Representatives, such new version of the Rules of the House of Representatives shall immediately be incorporated by reference without intervening Committee action" (Rule 1(1)).
15 Armed Services (Rule 9(a)); Budget (Rule 14(a)).
16 Committees may also achieve these actions via unanimous consent requests. If a committee does not agree to a motion or a unanimous consent request to dispense with the reading of a bill or resolution in full, the committee clerk reads the entire text of the measure.
17 Natural Resources (Rule 3(j)).
* * *
Clause 2 of House Rule XI (Select Provisions)
Adoption of Written Committee Rules, Clause 2(a)
"Each standing committee shall establish written rules governing its procedure."
These rules are to
* be adopted during a meeting open to the public (unless the committee, with a quorum present, determines by record vote to close part of the meeting to the public);
* not be "inconsistent" with House rules or legal provisions that have the same authority as House rules;
* incorporate all subsequent provisions of clause 2 of House Rule XI, as applicable; and
* include provisions for implementing clause 4 of Rule XI, providing a means for audio and video coverage of committee proceedings, as regulated by paragraph (f) of that clause.
Each committee is required to make its rules available in electronic form and submit them for publication in the Congressional Record within 60 days after the committee chair is elected during the first session of a Congress.
Some committees establish additional requirements in their rules regarding the adoption of these rules, such as providing that
* committee rules may be modified, amended, or repealed only during a meeting called specifically for this purpose/18;
* a proposed change in committee rules is not to be considered unless the text of such change has been provided to all members a certain number of hours in advance (e.g., two legislative days/19 or 48 or 72 hours)/20; and
* any amendments to the rules are to be published in the Congressional Record within 30 calendar days after approval and be made available to the public in electronic form./21
Regular Meeting Days, Clause 2(b)
Each committee shall set a regular meeting day, which is to occur no less frequently than once a month, to consider any bills or resolutions pending before the committee and conduct other committee business, provided that required notice for the meeting has been given.
* * *
18 Small Business (Rule 16).
19 Committee rules often state a specified length of time, such as two legislative days or two calendar days. Occasionally, they state a number of days without specifying whether they are legislative or calendar days. A calendar day is the 24 hours that comprise a day (e.g., a Monday). After an adjournment, a legislative day begins when the House convenes and ends when the House adjourns. See CRS Report R42977, Sessions, Adjournments, and Recesses of Congress, by Valerie Heitshusen.
20 Agriculture: two legislative days (Rule XIII); Education and Workforce: 48 hours (Rule 24); Homeland Security: 48 hours (Rule XVI(B)); Rules: 48 hours (Rule 9); Science, Space, and Technology: three days (Rule XIV); Small Business: 72 hours (Rule 16); and Intelligence: 48 hours (Rule I(C)).
21 Agriculture (Rule XIII); Natural Resources (Rule 13); Rules (Rule 9); Science, Space, and Technology (Rule XIV).
* * *
Most committees set their regular meeting days on Tuesdays or Wednesdays and, less frequently, Thursdays. Several committees have adopted variations of the following rule: "The committee shall meet on the [first, second, third, or fourth Tuesday, Wednesday, or Thursday] of each month at ____ a.m. if the House is in session unless the chair determines [in consultation with the ranking minority leader] that there is no need for the regular meeting."/22 The Budget and Natural Resources Committees state that a meeting will be canceled or rescheduled if there is a conflict with either party's caucus or conference meeting./23
Additional and Special Meetings, Clause 2(c)
Additional Meetings Called by the Chair, Clause 2(c)(1)
The chair of each standing committee may call and convene additional meetings to consider a bill or resolution or to conduct other committee business, "subject to such rules as the committee may adopt."
Some committee rules:
* require the chair to call or convene an additional meeting with the concurrence of, or after consultation with, the ranking minority member/24;
* require the chair to provide the same materials (agenda and otherwise) that would have been made available prior to a regular meeting/25; or
* provide a specified period of notice to members for an additional meeting./26
Special Meetings by Committee Vote, Clause 2(c)(2)
Three or more committee members may file a written request in the committee office that the chair call a special meeting to consider a specified measure or matter. Upon the filing of the request, the clerk of the committee is required to notify the chair. Within three calendar days after the filing, the chair schedules the meeting, which is to take place within seven calendar days after the filing. If the chair does not schedule the meeting, a majority of the committee members may file a written notice that the meeting will be held at a certain date and hour to consider the specified measure or matter, and at such meeting, only the specified measure or matter may be considered.
As soon as the written notice is filed, the committee clerk is to inform all committee members of the meeting, including the date, time, and subject matter. This notice is to be made publicly available in electronic format.
* * *
22 Judiciary and Ways and Means set their regular meeting dates as each Wednesday when the House is in session. The Rules Committees meets at 5:00 p.m. on the first day of scheduled votes of each week the House is in session. Other committees set monthly meeting dates.
23 Budget (Rule 3(b)); Natural Resources (Rule 2(a)).
24 Agriculture: after consultation with the ranking minority member if required notice is met or with the concurrence of the ranking minority member if the meeting is called within a shorter notice period (Rule II(b)).
25 Rules (Rule 2(c)(3)).
26 Budget: 24 hours in advance while Congress is in session and three days in advance if Congress is not in session (Rule 4(b)).
* * *
Committee rules do not add additional specificity to this rules provision beyond stating that the clerk's notification role may be fulfilled by the majority staff director./27
Temporary Absence of the Chair, Clause 2(d)
The chair of each standing committee shall appoint a member from the majority party to serve as vice chair of the full committee and each subcommittee. If the chair is absent from any meeting, the vice chair presides. If neither the chair nor the vice chair is present, the highest-ranking majority member who is present presides.
Some committee rules specify that the vice chair serves at the chair's discretion or that the chair reserves the right to assign another member to serve as chair of a hearing or business meeting during the chair's temporary absence./28
Prohibition Against Proxy Voting, Clause 2(f)
No vote on any measure or matter in a committee or subcommittee may be cast by proxy./29
Open Meetings and Hearings, Clause 2(g)
Open Business Meetings (Markups), Clause 2(g)(1)
Committee and subcommittee business meetings are to be open to the public, including to radio and television broadcasting and still photography./30 However, a committee may conduct a record vote in open session, a majority of members being present, to close all or the remainder of a meeting if the members, through this vote, determine that "disclosure of matters to be considered would endanger national security, would compromise sensitive law enforcement information, would tend to defame, degrade, or incriminate any person, or otherwise would violate a law or rule of the House."
Individuals other than committee members and non-committee House Members, delegates, the resident commissioner, congressional staff, or departmental representatives who are authorized by the committee to be in attendance may not be present at a business meeting held in executive session.
Some committees provide guidelines concerning the broadcasting of committee meetings, which is governed by clause 4 of House Rule XI and is not addressed by this report./31
* * *
27 Agriculture (Rule I(c)); Education and Workforce (Rule 1(c)).
28 Science, Space, and Technology (Rule VII); Small Business (Rule 1(B)).
29 Proxy voting refers to the practice of one committee member voting on behalf of and at the direction of another committee member who is absent.
30 The open-meeting requirement excludes the House Committee on Ethics. More extensive broadcasting requirements are stated in clause 4(f) of House Rule XI.
31 For more information regarding the broadcasting of committee activities, see CRS Report R44665, Video Broadcasting of Congressional Proceedings, by Sarah J. Eckman.
* * *
Open Hearings, Clause 2(g)(2)(A), (B), and (D)
Committee and subcommittee business hearings must be open to the public, including to radio and television broadcasting and still photography./32 However, a committee may conduct a record vote in open session, a majority of members being present, to close all or the remainder of a hearing to the public if "disclosure of testimony, evidence, or other matters to be considered would endanger national security, would compromise sensitive law enforcement information, or would violate a law or rule of the House."/33 Using the same procedure, the committee or subcommittee may vote to close one additional day of hearings. The Committee on Appropriations,/34 the Committee on Armed Services, the Committee on Homeland Security, the Permanent Select Committee on Intelligence,/35 and their subcommittees may vote to close up to five additional consecutive days of hearings.
Notwithstanding this provision, the committee, in the presence of the quorum that the committee has established for hearings, may vote to close the hearing for the sole purpose of discussing whether testimony or evidence would "would endanger national security, would compromise sensitive law enforcement information, or would violate clause 2(k)(5)."/36 The committee may also vote, in the presence of a hearing quorum, to close the hearing pursuant to clause 2(k)(5).
The Armed Services Committee enables each committee member, with the chair's approval, to designate personal staff holding top secret security clearances to attend hearings of the full committee or the member's subcommittees, panels, or task forces that have been closed for national security purposes./37
* * *
32 The open-meeting requirement excludes the House Committee on Ethics. More specific broadcasting requirements are stated in clause 4(f) of House Rule XI.
33 The Permanent Select Committee on Intelligence is governed by clause 11(d)(2) of House Rule X, which provides that the committee may vote, a hearing quorum being present, to close a hearing because, in the committee's determination, the testimony or evidence would endanger national security.
34 The Committee on Appropriations' overall budget hearings are also governed by clause 4(a)(1)(C) of House Rule X, which states that the committee may close an overall budget hearing if the committee determines, by record vote, a quorum being present, that the testimony to be taken may be related to a matter of national security. By the same procedure, the committee may vote to close one subsequent day of hearing. A transcript of all such hearings shall be printed and provided to each House Member, delegate, and the resident commissioner from Puerto Rico.
35 The Permanent Select Committee on Intelligence's procedure to close hearings is governed by clause 11(d)(2) of House Rule X, which provides that the committee may vote, a hearing quorum present (two members), to close a hearing because, in the committee's determination, the testimony or evidence would endanger national security. In the 119th Congress, the committee's rules require that the two-member quorum include one member from the majority party (Rule 2(I)(1)).
36 Clause 2(k)(5) of House Rule XI states that a committee, in the presence of a hearing quorum, may vote to close a hearing if the evidence or testimony "may tend to defame, degrade, or incriminate any person, or it is asserted by a witness that the evidence or testimony that the witness would give at a hearing may tend to defame, degrade, or incriminate the witness." See the section of this report entitled "Assertion of Defaming, Degrading, or Incriminating Evidence or Testimony, Clause 2(k)(5)-(6)."
37 Armed Services (Rule 9(c)).
* * *
Prohibition Against Excluding a Member, Delegate, or Resident Commissioner, Clause 2(g)(2)(C)
A Member, delegate, or resident commissioner may not be barred from attending a committee or subcommittee hearing (excluding the Committee on Ethics or its subcommittees) unless the House, by majority vote, authorizes a specific committee or subcommittee to close its hearings to these individuals for a defined series of hearings on a specific legislative measure or subject of investigation, following the same procedures used to close hearings to the public.
The Budget Committee applies this rule to task forces, as well as the full committee and its subcommittees./38
Notice Required for Hearings, Clause 2(g)(3)
The chair is required to announce the date, place, and subject matter of each hearing, which may not commence prior to one week after such notice./39 Hearing announcements are to be published "promptly" in the Daily Digest section of the Congressional Record and in publicly available electronic form.
The hearing notice requirement, which does not apply to the Committee on Rules, may be waived by committee vote, a quorum for the transaction of business being present, or if the chair, with the concurrence of the ranking member, determines that there is a "good cause" reason to do so, in which case the chair is to provide notice of the new date "at the earliest possible time."/40
The Education and Workforce Committee requires 14 days' notice for subcommittee hearings held outside of Washington, DC./41
Some committee rules require:
* the chair of the full committee to consult with the ranking member, and the chair of a subcommittee to consult with the chair of the full committee, the ranking member of the subcommittee, and the chairs of the other subcommittees before announcing a hearing/42;
* the chair or subcommittee chair to announce to committee members the list of witnesses a specified number of hours or days prior to the hearing/43; or
* the notice announcement (or a separate memorandum) to include a brief summary of the subject matter of the hearing and any associated legislative reports, reports from agencies and departments, and other relevant materials./44
* * *
38 Budget (Rule 14(b)).
39 House rules do not define the one week's notice period. In the 119th Congress, the Budget Committee, in its rules, defines the period as "beginning with the day in which the announcement is made and ending the day preceding the scheduled hearing" (Rule 13). The Small Business Committee rules state that "to the extent possible," this seven-day period shall be calculated from 168 hours before the scheduled hearing time (Rule 3(A)(1)).
40 See CRS Report 98-339, House Committee Hearings: Scheduling and Notification, by Christopher M. Davis.
41 Education and Workforce (Rule 5(a)).
42 Agriculture (Rule VIII(b)).
43 Education and Workforce: 48 hours (Rule 8(a)); Energy and Commerce: 48 hours (Rule 3(b)); Homeland Security: 48 hours (Rule V(A)(b)); Oversight and Government Reform: three calendar days (Rule 2(f)); Small Business (Rule 3(A)(3)). The Intelligence Committee rules state that witnesses may request that their names not be made public before the committee. However, the chair may overrule this request (Rule 9(J)).
44 Agriculture (Rule VIII(h)); Natural Resources (Rule 4(c)); Small Business (Rule 3(A)(4)); Transportation and Infrastructure (Rule IV(d)).
* * *
Notice Required for Business Meetings, Clause 2(g)(3)
The chair is required to announce the date, place, and subject matter (agenda) of each business meeting, commonly called to markup legislation, which may not commence earlier than the "third calendar day"/45 (excluding Saturdays, Sundays, and legal holidays except when the House is in session on such a day) after notice is provided to committee members.
Meeting announcements are to be published "promptly" in the Daily Digest section of the Congressional Record and in publicly available electronic form.
The meeting notice requirements may be waived by committee vote, a quorum for the transaction of business being present, or if the chair, with the concurrence of the ranking member, determines that there is a "good cause" reason to do so. In which case, the chair shall provide notice of the new date "at the earliest possible time."
The notice requirement does not apply to the Committee on Rules.
Some committee rules require:
* a longer period of notice to committee members (e.g., 36, 48, or one week) for regular legislative markups/46;
* a longer period of notice for markups of proposed changes to committee rules/47;
* additional notice (e.g., 14 days) for subcommittee meetings held outside of Washington, DC/48; or
* a particular staff member to provide notice (e.g., the committee clerk or the majority staff director) of a meeting./49
Availability of Legislative Text, Clause 2(g)(4)
At least 24 hours in advance of a markup, or at the time of the markup's announcement if the business meeting notice requirement is waived pursuant to Rule XI, clause 2(g)(3)(B),/50 the chair of the committee shall make the text of the legislation to be marked up publicly available in electronic form./51
The Committee on Rules is excluded from this requirement./52
* * *
45 The "third calendar day" requirement does not specify a precise time period, as the length of prior notice depends on the time of day the announcement is made and the time of day the business meeting commences. For that reason, some committees establish a 36-hour notice period, which is comparable to the third-calendar-day period.
46 Financial Services: three calendar days (Rule 2(b)(1)); Energy and Commerce: 36 hours (Rule 2(c)); Foreign Affairs: announcement one week in advance and the agenda 48 hours in advance (Rule 5(b)); Oversight and Government Reform: three calendar days (Rule 2(f)); Rules: 48 hours (Rule 2(b)); Armed Services: three calendar days (Rule 7(a)).
47 Agriculture: two legislative days (Rule XIII); Small Business: 72 hours (Rule 16); Intelligence: 48 hours (Rule 1(C)); Homeland Security: 48 hours (Rule XVI(B)); Science, Space, and Technology: three days (Rule XIV).
48 Education and Workforce (Rule 5(a)).
49 Agriculture: The majority staff director makes announcements for subcommittee meetings (Rule XI(f)); Foreign Affairs: the staff director (Rule 5(c)); Intelligence: the chief clerk (Rule 2(F)).
50 Pursuant to Rule XI, clause 2(g)(3)(B), the business meeting notice requirement may be waived by committee vote, a quorum for the transaction of business being present, or if the chair, with the concurrence of the ranking member, determines that there is a "good cause" reason to do so, in which case the chair shall provide notice of the new date "at the earliest possible time."
51 According to the majority staff of the Committee on Rules (112th Congress, 2011-2012), the legislative text requirement may be fulfilled by providing the text of the introduced measure, a committee print, or amendment in the nature of a substitute if the chair intends to use it as base text for purposes of further amendment. U.S. Congress, House Committee on Rules, H.Res. 5, Adopting the Rules for the 112th Congress, Section-by-Section Analysis (112th Cong., 1st sess., 2011).
52 The Rules Committee requires that at least 24 hours in advance of a regular meeting, the chair shall provide to committee members the text of bills or resolutions scheduled for special rule consideration, the text of any related committee reports, and any letters requesting special rules for the bills or resolutions (Rule 2(b)(1)). For other measures, the chair shall provide the text of the bill, resolution, report, or other matter on the agenda and any subcommittee report on the measure, report, or matter (Rule 2(b)(2)). Before a motion to report a special rule is offered, a copy of the proposed language shall be provided to every committee member (Rule 3(a)(4)).
* * *
Some committee rules:
* require availability periods of more than 24 hours for committee members to review the text of legislative measures or changes to committee rules,/53
* require or give priority to amendments filed a specified time in advance of the markup or explicitly require or give priority to amendments to be offered in written form,/54
* set availability periods for the text of subcommittee recommendations to the full committee,/55
* require a measure recommended by a subcommittee to be accompanied by a section-by-section analysis,/56
* require an agenda or memorandum to be provided to members a specified time before the markup explaining the need for the legislation and summarizing the major provisions,/57
* require measures to have associated cost estimates from the Congressional Budget Office at the time of the measures' markups,/58 and
* require any printed subcommittee hearings on legislation to be made available to members./59
* * *
53 For the text of any legislative measure: Appropriations: three calendar days (Rule 6(j)); Energy and Commerce: three calendar days for measures and 24 hours for "substitute legislation" (Rule 2(e)); Foreign Affairs: 48 hours (Rule 5(b)(3)); Homeland Security: 48 hours (Rule V(2)(b)); Judiciary: 48 hours (Rule II(d)); Science, Space, and Technology: 48 hours (Rule II(b)(2)); Small Business: 48 hours (Rule 2(D)); Veterans' Affairs: two days, excluding Saturdays, Sundays, and legal holidays except when the House is in session on such a day (Rule 2(b)). For changes to committee rules: Education and Workforce: 48 hours (Rule 24); Homeland Security: 48 hours (Rule XVI(B)); Rules: 48 hours (Rule 9); Science, Space, and Technology: three days (Rule XIV); Small Business: 72 hours (Rule 16); Intelligence: 48 hours (Rule 1(C)).
54 Agriculture: The chair may request the prefiling of amendments 24 hours in advance (Rule III(j)); Education and Workforce: 24 hours (Rule 13(e)(2)); House Administration: 24 hours (Rule 8(3)); Judiciary: 24 hours (Rule II(f)); Oversight and Government Reform: 24 hours (Rule 2(g)); Science, Space, and Technology: 24 hours (Rule II(b)(3)); Veterans' Affairs: one day, excluding Saturdays, Sundays, and legal holidays except when the House is in session on such a day (Rule 2(d)). Pursuant to clause 1 of Rule XVI, every motion, including motions to amend, "shall be reduced to writing on the demand of a Member, Delegate, or Resident Commissioner." In practice, motions to amend are provided in written form even without demands for that form. Some committees formalize this practice in their rules: Education and Workforce (Rule 13(d)); House Administration (Rule 8(3)); Small Business (Rule 10(A)); Intelligence (Rule 7(E)). See CRS Report 98-995, The Amending Process in the House of Representatives, by Christopher M. Davis.
55 Agriculture: two calendar days (Rule XI(g)(3)); Armed Services: three calendar days (Rule 6(d)); Education and Workforce: 48 hours (Rule 16(c)(2)); Natural Resources: two calendar days (Rule 3(k)); Science, Space, and Technology: 48 hours, excluding Saturdays, Sundays, and legal holidays except when the House is in session on such a day (Rule VI(e)(4)); Transportation and Infrastructure: 48 hours (Rule VIII(b)); Ways and Means: two legislative days (Rule 11).
56 Education and Workforce (Rule 16(c)(2)); Ways and Means (Rule 12).
57 Energy and Commerce: 36 hours (Rule 2(d)); Financial Services: three calendar days (Rule 2(b)(2)(B)); Natural Resources: 48 hours (Rule 3(a)(3)).
58 Veterans' Affairs (Rule 2(g)).
59 Science, Space, and Technology (Rule VI(e)(4)).
* * *
Written Statements of Proposed Testimony, Clause 2(g)(5), (6), and (7)
"To the greatest extent practicable," each committee shall require witnesses to submit written statements of proposed testimony in advance of a hearing and limit their presentations in the hearing to "brief summaries" of those statements.
Such a witness statement, with necessary redactions to safeguard witness privacy and security, is to be made publicly available in electronic form at least 24 hours before the witness's appearance, "to the extent practicable," but no later than one day after the appearance.
A point of order cannot be made against a reported measure on the grounds that hearings for the measure did not follow the procedures outlined in this clause unless the point of order is made by a member of the committee that reported the measure and a point of order was timely made and improperly disposed of in the committee.
This requirement does not apply to overall budget hearings conducted by the Committee on Appropriations pursuant to clause 4(a)(1) of House Rule X.
Some committee rules provide that
* witnesses are to submit written statements a specified number of hours or days in advance of their appearances,/60
* a witness may be excluded from a hearing if a statement is not submitted,/61 and
* statements containing classified or sensitive information be made available only in committee rooms and not to the public./62
Nongovernmental Witness Disclosures (Truth-in-Testimony Rule), Clause 2(g)(5), (6), and (7)
If a witness is appearing in a nongovernmental capacity, the witness's written statement of proposed testimony is to include
* a curriculum vitae;
* a disclosure of any federal grants or contracts--as well as any contracts, grants, or payments from foreign governments--received within the past 36 months by the witness or by any entity the witness represents if these are related to the subject matter of the hearing; and
* a disclosure of whether the witness serves as a fiduciary (such as a director, officer, advisor, or resident agent) for any organization or entity that has an interest in the subject matter of the hearing.
The disclosure must specify:
* the amount and source of each federal grant (or subgrant) or contract (or subcontract) related to the hearing's subject matter, and
* the amount and country of origin for any payment or contract from a foreign government related to the subject matter of the hearing.
These statements, with any necessary redactions to protect the privacy or security of the witness, are to be made publicly available in electronic form at least 24 hours before the witness testifies "to the extent practicable" but no later than one day after the witness's appearance.
A point of order cannot be made against a reported measure on the grounds that hearings for the measure did not follow the procedures outlined in this clause unless the point of order is made by a member of the committee that reported the measure and was timely made and improperly disposed of in the committee.
These requirements do not apply to overall budget hearings of the Committee on Appropriations, which are governed by clause 4(a)(1) of House Rule X.
In addition to the clause 2(g) requirements, the Natural Resources Committee requires nongovernmental witnesses to disclose any current or pending litigation involving the federal government,/63 and the Foreign Affairs Committee requires nongovernmental witnesses to disclose if they are "negotiating or awaiting approval" to receive contracts, grants, or payments with or from foreign governments./64
* * *
60 Agriculture: two working days (Rule VIII(d)); Armed Services: 48 hours (Rule 13(a)); Budget: 24 hours (Rule 19(a)); Education and Workforce: 48 hours (Rule 8(c)); Financial Services: 48 hours (Rule 3(d)(2)(A)); Foreign Affairs: two business days (Rule 6(b)(1)); Homeland Security: 48 hours (Rule VIII(d)(1)); Natural Resources: two business days (Rule 4(a)); Oversight and Government Reform: 24 hours (Rule 9(f)); Rules: 24 hours (Rule 3(d)(1)(A)); Science, Space, and Technology (Rule III(b)(5)); Small Business: 48 hours (Rule 6(D)(1)); Transportation and Infrastructure: two calendar days (Rule IV(b)(1)); Veterans' Affairs: two days, exclusive of weekends and holidays (Rule 3(b)(1)); Ways and Means: 48 hours (Rule 14); Intelligence: 72 hours (Rule 9(D)(2)); Energy and Commerce: two working days (Rule 3(c)).
61 Armed Services: at the discretion of the chair of the full committee, subcommittee, panel, or task force and with the concurrence of the respective ranking minority member (Rule 13(a)); Foreign Affairs: for witnesses who are not officials of the U.S. government if no written explanation is provided (Rule 6 (b)(2)); Small Business (Rule 6(F)); Transportation and Infrastructure: with the concurrence of the ranking minority member (Rule IV(b)(1)); Ways and Means (Rule 14).
62 Armed Services (Rule 13(a)); Intelligence (Rule 9(D)(2)(c)).
63 Natural Resources (Rule 4(a)).
64 Foreign Affairs (Rule 6(b)(4)(C)).
* * *
Continues with Part 2 of 2
* * *
The report is posted at: https://www.congress.gov/crs_external_products/R/PDF/R48593/R48593.2.pdf
[Category: CRSCRS]