[Senate Prints 113-9]
[From the U.S. Government Publishing Office]
S. Prt. 113-9
Rules of Procedure
SENATE PERMANENT SUBCOMMITTEE ON
INVESTIGATIONS OF THE COMMITTEE ON
HOMELAND SECURITY AND GOVERNMENTAL AFFAIRS
United States Senate
[GRAPHIC(S) NOT AVAILABLE IN TIFF FORMAT]
MARCH 2013
PRINTED FOR THE USE OF THE COMMITTEE ON
HOMELAND SECURITY AND GOVERNMENTAL AFFAIRS
S. Prt. 113-9
Rules of Procedure
SENATE PERMANENT SUBCOMMITTEE ON
INVESTIGATIONS OF THE COMMITTEE
ON HOMELAND SECURITY AND
GOVERNMENTAL AFFAIRS
United States Senate
[GRAPHIC(S) NOT AVAILABLE IN TIFF FORMAT]
MARCH 2013
PRINTED FOR THE USE OF THE COMMITTEE ON
HOMELAND SECURITY AND GOVERNMENTAL AFFAIRS
____________________________________________________________
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COMMITTEE ON HOMELAND SECURITY AND GOVERNMENTAL AFFAIRS
THOMAS R. CARPER, Delaware, Chairman
CARL LEVIN, Michigan TOM COBURN, Oklahoma
MARK L. PRYOR, Arkansas JOHN McCAIN, Arizona
MARY L. LANDRIEU, Louisiana RON JOHNSON, Wisconsin
CLAIRE McCASKILL, Missouri ROB PORTMAN, Ohio
JON TESTER, Montana RAND PAUL, Kentucky
MARK BEGICH, Alaska MICHAEL B. ENZI, Wyoming
TAMMY BALDWIN, Wisconsin KELLY AYOTTE, New
HEIDI HEITKAMP, North Dakota Hampshire
Richard J. Kessler, Staff Director
Keith B. Ashdown, Minority Staff Director
Trina D. Shiffman, Chief Clerk
PERMANENT SUBCOMMITTEE ON INVESTIGATIONS
CARL LEVIN, Michigan, Chairman
MARK L. PRYOR, Arkansas JOHN McCAIN, Arizona
MARY L. LANDRIEU, Louisiana RON JOHNSON, Wisconsin
CLAIRE McCASKILL, Missouri ROB PORTMAN, Ohio
JON TESTER, Montana RAND PAUL, Kentucky
TAMMY BALDWIN, Wisconsin KELLY AYOTTE, New
HEIDI HEITKAMP, North Dakota Hampshire
Elise J. Bean, Staff Director and Chief Counsel
Henry J. Kerner, Minority Staff Director and Chief Counsel
Mary D. Robertson, Chief Clerk
(ii)
SENATE RESOLUTION 64, 113th CONGRESS, 1st SESSION
(CONSIDERED AND AGREED TO MARCH 5, 2013)
AUTHORIZING EXPENDITURES BY COMMITTEES OF THE SENATE FOR THE
PERIOD MARCH 1, 2013, THROUGH SEPTEMBER 30, 2013.
SEC. 12. COMMITTEE ON HOMELAND SECURITY AND GOVERNMENTAL
AFFAIRS.
(a) General Authority.--In carrying out its powers,
duties, and functions under the Standing Rules of the
Senate, in accordance with its jurisdiction under rule XXV
of such rules and S. Res. 445, agreed to October 9, 2004
(108th Congress), including holding hearings, reporting such
hearings, and making investigations as authorized by
paragraphs 1 and 8 of rule XXVI of the Standing Rules of the
Senate, the Committee on Homeland Security and Governmental
Affairs is authorized from March 1, 2013, through September
30, 2013, in its discretion--
(1) to make expenditures from the contingent fund of the
Senate;
(2) to employ personnel; and
(3) with the prior consent of the Government department
or agency concerned and the Committee on Rules and
Administration, to use on a reimbursable, or
nonreimbursable, basis the services of personnel of any such
department or agency.
(b) Expenses for Period Ending September 30, 2013.--The
expenses of the committee for the period March 1, 2013,
through September 30, 2013, under this section shall not
exceed $6,074,429, of which amount--
(1) not to exceed $75,000, may be expended for the
procurement of the services of individual consultants, or
organizations thereof (as authorized by section 202(i) of
the Legislative Reorganization Act of 1946 (2 U.S.C.
72a(i))); and
(2) not to exceed $20,000, may be expended for the
training of the professional staff of such committee (under
procedures specified by section 202(j) of that Act).
(c) Investigations.--
(1) In general.--The committee, or any duly authorized
subcommittee of the committee, is authorized to study or
investigate--
(A) the efficiency and economy of operations of all
branches of the Government including the possible existence
of fraud, misfeasance, malfeasance, collusion,
mismanagement, incompetence, corruption, or unethical
practices, waste, extravagance, conflicts of interest, and
the improper expenditure of Government funds in
transactions, contracts, and, activities of the Government
or of Government officials and employees and any and all
such improper practices between Government personnel and
corporations, individuals, companies, or persons affiliated
therewith, doing business with the Government; and the
compliance or noncompliance of such corporations, companies,
or individuals or other entities with the rules,
regulations, and laws governing the various governmental
agencies and its relationships with the public;
(B) the extent to which criminal or other improper
practices or activities are, or have been, engaged in the
field of labor-management relations or in groups or
organizations of employees or employers, to the detriment of
interests of the public, employers, or employees, and to
determine whether any changes are required in the laws of
the United States in order to protect such interests against
the occurrence of such practices or activities;
(C) organized criminal activity which may operate in
or otherwise utilize the facilities of interstate or
international commerce in furtherance of any transactions
and the manner and extent to which, and the identity of the
persons, firms, or corporations, or other entities by whom
such utilization is being made, and further, to study and
investigate the manner in which and the extent to which
persons engaged in organized criminal activity have
infiltrated lawful business enterprise, and to study the
adequacy of Federal laws to prevent the operations of
organized crime in interstate or international commerce; and
to determine whether any changes are required in the laws of
the United States in order to protect the public against
such practices or activities;
(D) all other aspects of crime and lawlessness within
the United States which have an impact upon or affect the
national health, welfare, and safety; including but not
limited to investment fraud schemes, commodity and security
fraud, computer fraud, and the use of offshore banking and
corporate facilities to carry out criminal objectives;
(E) the efficiency and economy of operations of all
branches and functions of the Government with particular
reference to--
(i) the effectiveness of present national security
methods, staffing, and processes as tested against the
requirements imposed by the rapidly mounting complexity of
national security problems;
(ii) the capacity of present national security
staffing, methods, and processes to make full use of the
Nation's resources of knowledge and talents;
(iii) the adequacy of present intergovernmental
relations between the United States and international
organizations principally concerned with national security
of which the United States is a member; and
(iv) legislative and other proposals to improve
these methods, processes, and relationships;
(F) the efficiency, economy, and effectiveness of all
agencies and departments of the Government involved in the
control and management of energy shortages including, but
not limited to, their performance with respect to--
(i) the collection and dissemination of accurate
statistics on fuel demand and supply;
(ii) the implementation of effective energy
conservation measures;
(iii) the pricing of energy in all forms;
(iv) coordination of energy programs with State and
local government;
(v) control of exports of scarce fuels;
(vi) the management of tax, import, pricing, and
other policies affecting energy supplies;
(vii) maintenance of the independent sector of the
petroleum industry as a strong competitive force;
(viii) the allocation of fuels in short supply by
public and private entities;
(ix) the management of energy supplies owned or
controlled by the Government;
(x) relations with other oil producing and consuming
countries;
(xi) the monitoring of compliance by governments,
corporations, or individuals with the laws and regulations
governing the allocation, conservation, or pricing of energy
supplies; and
(xii) research into the discovery and development of
alternative energy supplies; and
(G) the efficiency and economy of all branches and
functions of Government with particular references to the
operations and management of Federal regulatory policies and
programs.
(2) Extent of inquiries.--In carrying out the duties
provided in paragraph (1), the inquiries of this committee
or any subcommittee of the committee shall not be construed
to be limited to the records, functions, and operations of
any particular branch of the Government and may extend to
the records and activities of any persons, corporation, or
other entity.
(3) Special committee authority.--For the purposes of
this subsection, the committee, or any duly authorized
subcommittee of the committee, or its chairman, or any other
member of the committee or subcommittee designated by the
chairman is authorized, in its, his or her, or their
discretion--
(A) to require by subpoena or otherwise the attendance
of witnesses and production of correspondence, books,
papers, and documents;
(B) to hold hearings;
(C) to sit and act at any time or place during the
sessions, recess, and adjournment periods of the Senate;
(D) to administer oaths; and
(E) to take testimony, either orally or by sworn
statement, or, in the case of staff members of the Committee
and the Permanent Subcommittee on Investigations, by
deposition in accordance with the Committee Rules of
Procedure.
(4) Authority of other committees.--Nothing contained in
this subsection shall affect or impair the exercise of any
other standing committee of the Senate of any power, or the
discharge by such committee of any duty, conferred or
imposed upon it by the Standing Rules of the Senate or by
the Legislative Reorganization Act of 1946.
(5) Subpoena authority.--All subpoenas and related legal
processes of the committee and its subcommittee authorized
under S. Res. 81, agreed to March 2, 2011 (112th Congress)
are authorized to continue.
RULES OF PROCEDURE FOR THE SENATE
PERMANENT SUBCOMMITTEE ON
INVESTIGATIONS OF THE COMMITTEE
ON HOMELAND SECURITY AND
GOVERNMENTAL AFFAIRS
AS ADOPTED
FEBRUARY 28, 2013
1. No public hearing connected with an investigation may
be held without the approval of either the Chairman and the
Ranking Minority Member or the approval of a majority of the
Members of the Subcommittee. In all cases, notification to
all Members of the intent to hold hearings must be given at
least 7 days in advance to the date of the hearing. The
Ranking Minority Member should be kept fully apprised of
preliminary inquiries, investigations, and hearings.
Preliminary inquiries may be initiated by the Subcommittee
Majority staff upon the approval of the Chairman and notice
of such approval to the Ranking Minority Member or the
Minority Counsel. Preliminary inquiries may be undertaken by
the Minority staff upon the approval of the Ranking Minority
Member and notice of such approval to the Chairman or Chief
Counsel. Investigations may be undertaken upon the approval
of the Chairman of the Subcommittee and the Ranking Minority
Member with notice of such approval to all Members.
No public hearing shall be held if the Minority Members
unanimously object, unless the full Committee on Homeland
Security and Governmental Affairs by a majority vote
approves of such public hearing.
Senate Rules will govern all closed sessions convened by
the Subcommittee (Rule XXVI, Sec. 5(b), Standing Rules of
the Senate).
2. Subpoenas for witnesses, as well as documents and
records, may be authorized and issued by the Chairman, or
any other Member of the Subcommittee designated by him or
her, with notice to the Ranking Minority Member. A written
notice of intent to issue a subpoena shall be provided to
the Chairman and Ranking Minority Member of the Committee,
or staff officers designated by them, by the Subcommittee
Chairman or a staff officer designated by him or her,
immediately upon such authorization, and no subpoena shall
be issued for at least 48 hours, excluding Saturdays and
Sundays, from delivery to the appropriate offices, unless
the Chairman and Ranking Minority Member waive the 48-hour
waiting period or unless the Subcommittee Chairman certifies
in writing to the Chairman and Ranking Minority Member that,
in his or her opinion, it is necessary to issue a subpoena
immediately.
3. The Chairman shall have the authority to call meetings
of the Subcommittee. This authority may be delegated by the
Chairman to any other Member of the Subcommittee when
necessary.
4. If at least three Members of the Subcommittee desire
the Chairman to call a special meeting, they may file in the
office of the Subcommittee, a written request therefor,
addressed to the Chairman. Immediately thereafter, the chief
clerk of the Subcommittee shall notify the Chairman of such
request. If, within 3 calendar days after the filing of such
request, the Chairman fails to call the requested special
meeting, which is to be held within 7 calendar days after
the filing of such request, a majority of the Subcommittee
Members may file in the office of the Subcommittee their
written notice that a special Subcommittee meeting will be
held, specifying the date and hour thereof, and the
Subcommittee shall meet on that date and hour. Immediately
upon the filing of such notice, the Subcommittee chief clerk
shall notify all Subcommittee Members that such special
meeting will be held and inform them of its date and hour.
If the Chairman is not present at any regular, additional,
or special meeting, the Ranking Majority Member present
shall preside.
5. For public or executive sessions, one Member of the
Subcommittee shall constitute a quorum for the administering
of oaths and the taking of testimony in any given case or
subject matter.
One-third of the Members of the Subcommittee shall
constitute a quorum for the transaction of Subcommittee
business other than the administering of oaths and the
taking of testimony, provided that one member of the
minority is present.
6. All witnesses at public or executive hearings who
testify to matters of fact shall be sworn.
7. If, during public or executive sessions, a witness, his
or her counsel, or any spectator conducts himself or herself
in such a manner as to prevent, impede, disrupt, obstruct,
or interfere with the orderly administration of such
hearing, the Chairman or presiding Member of the
Subcommittee present during such hearing may request the
Sergeant at Arms of the Senate, his or her representative,
or any law enforcement official to eject said person from
the hearing room.
8. Counsel retained by any witness and accompanying such
witness shall be permitted to be present during the
testimony of such witness at any public or executive
hearing, and to advise such witness while he or she is
testifying, of his or her legal rights; provided, however,
that in the case of any witness who is an officer or
employee of the government, or of a corporation or
association, the Subcommittee Chairman may rule that
representation by counsel from the government, corporation,
or association, or by counsel representing other witnesses,
creates a conflict of interest, and that the witness may
only be represented during interrogation by staff or during
testimony before the Subcommittee by personal counsel not
from the government, corporation, or association, or by
personal counsel not representing other witnesses. This rule
shall not be construed to excuse a witness from testifying
in the event his or her counsel is ejected for conducting
himself or herself in such a manner so as to prevent,
impede, disrupt, obstruct, or interfere with the orderly
administration of the hearings; nor shall this rule be
construed as authorizing counsel to coach the witness or
answer for the witness. The failure of any witness to secure
counsel shall not excuse such witness from complying with a
subpoena or deposition notice.
9. Depositions.
9.1 Notice. Notices for the taking of depositions in an
investigation authorized by the Subcommittee shall be
authorized and issued by the Chairman. The Chairman of the
full Committee and the Ranking Minority Member of the
Subcommittee shall be kept fully apprised of the
authorization for the taking of depositions. Such notices
shall specify a time and place of examination, and the name
of the Subcommittee Member or Members or staff officer or
officers who will take the deposition. The deposition shall
be in private. The Subcommittee shall not initiate
procedures leading to criminal or civil enforcement
proceedings for a witness' failure to appear unless the
deposition notice was accompanied by a Subcommittee
subpoena.
9.2 Counsel. Witnesses may be accompanied at a deposition
by counsel to advise them of their legal rights, subject to
the provisions of Rule 8.
9.3 Procedure. Witnesses shall be examined upon oath
administered by an individual authorized by local law to
administer oaths. Questions shall be propounded orally by
Subcommittee Members or staff. Objections by the witness as
to the form of questions shall be noted for the record. If a
witness objects to a question and refuses to testify on the
basis of relevance or privilege, the Subcommittee Members or
staff may proceed with the deposition, or may, at that time
or at a subsequent time, seek a ruling by telephone or
otherwise on the objection from the Chairman or such
Subcommittee Member as designated by him or her. If the
Chairman or designated Member overrules the objection, he or
she may refer the matter to the Subcommittee or he or she
may order and direct the witness to answer the question, but
the Subcommittee shall not initiate procedures leading to
civil or criminal enforcement unless the witness refuses to
testify after he or she has been ordered and directed to
answer by a Member of the Subcommittee.
9.4 Filing. The Subcommittee staff shall see that the
testimony is transcribed or electronically recorded. If it
is transcribed, the witness shall be furnished with a copy
for review pursuant to the provisions of Rule 12. The
individual administering the oath shall certify on the
transcript that the witness was duly sworn in his or her
presence, the transcriber shall certify that the transcript
is a true record of the testimony, and the transcript shall
then be filed with the Subcommittee chief clerk.
Subcommittee staff may stipulate with the witness to changes
in this procedure; deviations from this procedure which do
not substantially impair the reliability of the record shall
not relieve the witness from his or her obligation to
testify truthfully.
10. Any witness desiring to read a prepared or written
statement in executive or public hearings shall file a copy
of such statement with the Chief Counsel or Chairman of the
Subcommittee 48 hours in advance of the hearing at which the
statement is to be presented unless the Chairman and the
Ranking Minority Member waive this requirement. The
Subcommittee shall determine whether such statement may be
read or placed in the record of the hearing.
11. A witness may request, on grounds of distraction,
harassment, personal safety, or physical discomfort, that
during the testimony, television, motion picture, and other
cameras and lights, shall not be directed at him or her.
Such requests shall be ruled on by the Subcommittee Members
present at the hearing.
12. An accurate stenographic record shall be kept of the
testimony of all witnesses in executive and public hearings.
The record of his or her own testimony, whether in public or
executive session, shall be made available for inspection by
witness or his or her counsel under Subcommittee
supervision; a copy of any testimony given in public session
or that part of the testimony given by the witness in
executive session and subsequently quoted or made part of
the record in a public session shall be made available to
any witness at his or her expense if he or she so requests.
13. Interrogation of witnesses at Subcommittee hearings
shall be conducted on behalf of the Subcommittee by Members
and authorized Subcommittee staff personnel only.
14. Any person who is the subject of an investigation in
public hearings may submit to the Chairman of the
Subcommittee questions in writing for the cross-examination
of other witnesses called by the Subcommittee. With the
consent of a majority of the Members of the Subcommittee
present and voting, these questions, or paraphrased versions
of them, shall be put to the witness by the Chairman, by a
Member of the Subcommittee, or by counsel of the
Subcommittee.
15. Any person whose name is mentioned or who is
specifically identified, and who believes that testimony or
other evidence presented at a public hearing, or comment
made by a Subcommittee Member or counsel, tends to defame
him or her or otherwise adversely affect his or her
reputation, may (a) request to appear personally before the
Subcommittee to testify in his or her own behalf, or, in the
alternative, (b) file a sworn statement of facts relevant to
the testimony or other evidence or comment complained of.
Such request and such statement shall be submitted to the
Subcommittee for its consideration and action.
If a person requests to appear personally before the
Subcommittee pursuant to alternative (a) referred to herein,
said request shall be considered untimely if it is not
received by the Chairman of the Subcommittee or its counsel
in writing on or before thirty (30) days subsequent to the
day on which said person's name was mentioned or otherwise
specifically identified during a public hearing held before
the Subcommittee, unless the Chairman and the Ranking
Minority Member waive this requirement.
If a person requests the filing of his or her sworn
statement pursuant to alternative (b) referred to herein,
the Subcommittee may condition the filing of said sworn
statement upon said person agreeing to appear personally
before the Subcommittee and to testify concerning the
matters contained in his or her sworn statement, as well as
any other matters related to the subject of the
investigation before the Subcommittee.
16. All testimony taken in executive session shall be kept
secret and will not be released for public information
without the approval of a majority of the Subcommittee.
17. No Subcommittee report shall be released to the public
unless approved by a majority of the Subcommittee and after
no less than 10 days' notice and opportunity for comment by
the Members of the Subcommittee unless the need for such
notice and opportunity to comment has been waived in writing
by a majority of the Minority Members.
18. The Ranking Minority Member may select for appointment
to the Subcommittee staff a Chief Counsel for the Minority
and such other professional staff members and clerical
assistants as he or she deems advisable. The total
compensation allocated to such Minority staff members shall
be not less than one-third the total amount allocated for
all Subcommittee staff salaries during any given year. The
Minority staff members shall work under the direction and
supervision of the Ranking Minority Member. The Chief
Counsel for the Minority shall be kept fully informed as to
preliminary inquiries, investigations, and hearings, and
shall have access to all material in the files of the
Subcommittee.
19. When it is determined by the Chairman and Ranking
Minority Member, or by a majority of the Subcommittee, that
there is reasonable cause to believe that a violation of law
may have occurred, the Chairman and Ranking Minority Member
by letter, or the Subcommittee by resolution, are authorized
to report such violation to the proper State, local and/or
Federal authorities. Such letter or report may recite the
basis for the determination of reasonable cause. This rule
is not authority for release of documents or testimony.
U.S. GOVERNMENT PRINTING OFFICE : 2013 79-635 (F1406)