[Senate Prints 116-11]
[From the U.S. Government Publishing Office]
S. Prt. 116-11
Rules of Procedure
SENATE PERMANENT SUBCOMMITTEE ON
INVESTIGATIONS OF THE COMMITTEE
ON HOMELAND SECURITY AND
GOVERNMENTAL AFFAIRS
United States Senate
[GRAPHIC NOT AVAILABLE IN TIFF FORMAT]
MARCH 2019
PRINTED FOR THE USE OF THE COMMITTEE ON
HOMELAND SECURITY AND GOVERNMENTAL AFFAIRS
S. Prt. 116-11
Rules of Procedure
SENATE PERMANENT SUBCOMMITTEE ON
INVESTIGATIONS OF THE COMMITTEE
ON HOMELAND SECURITY AND
GOVERNMENTAL AFFAIRS
United States Senate
[GRAPHIC NOT AVAILABLE IN TIFF FORMAT]
MARCH 2019
PRINTED FOR THE USE OF THE COMMITTEE ON
HOMELAND SECURITY AND GOVERNMENTAL AFFAIRS
COMMITTEE ON HOMELAND SECURITY AND GOVERNMENTAL AFFAIRS
RON JOHNSON, Wisconsin, Chairman
ROB PORTMAN, Ohio GARY C. PETERS, Michigan
RAND PAUL, Kentucky THOMAS R. CARPER, Delaware
JAMES LANKFORD, Oklahoma MAGGIE HASSAN, New
MITT ROMNEY, Utah Hampshire
RICK SCOTT, Florida KAMALA D. HARRIS,
MICHAEL B. ENZI, Wyoming California
JOSH HAWLEY, Missouri KYRSTEN SINEMA, Arizona
JACKY ROSEN, Nevada
Gabrielle D'Adamo Singer, Staff Director
David M. Weinberg, Minority Staff Director
Laura W. Kilbride, Chief Clerk
PERMANENT SUBCOMMITTEE ON INVESTIGATIONS
ROB PORTMAN, Ohio Chairman
RAND PAUL, Kentucky THOMAS R. CARPER, Delaware
JAMES LANKFORD, Oklahoma MAGGIE HASSAN, New
MITT ROMNEY, Utah Hampshire
JOSH HAWLEY, Missouri KAMALA D. HARRIS,
California
JACKY ROSEN, Nevada
Andrew Dockham, Staff Director and Chief Counsel
John P. Kilvington, Minority Staff Director
Kate Kielceski, Chief Clerk
(ii)
SENATE RESOLUTION 70, 116th CONGRESS, 1st SESSION
(CONSIDERED AND AGREED TO FEBRUARY 27, 2019)
AUTHORIZING EXPENDITURES BY COMMITTEES OF THE SENATE FOR THE
PERIODS MARCH 1, 2019 THROUGH FEBRUARY 28, 2021.
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 the Standing Rules of the Senate 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, 2019 through February 28, 2021, 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, 2019.--The
expenses of the committee for the period March 1, 2019,
through September 30, 2019, under this section shall not
exceed $5,591,653, of which--
(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.
4301(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) Expenses for Fiscal Year 2020 Period.--The expenses of
the committee for the period October 1, 2019, through
September 30, 2020, under this section shall not exceed
$9,585,691, of which--
(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.
4301(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).
(d) Expenses for Period Ending February 28, 2021.--The
expenses of the committee for the period October 1, 2020,
through February 28, 2021, under this section shall not
exceed $3,994,038, 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.
4301(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).
(e) 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 the Government's 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 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, 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. 62, agreed to February 28, 2017 (115th
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 27, 2019
1. No public hearing connected with an investigation may
be held without the approval of either the Chairman and the
Ranking Minority Member or a Majority of the Members of the
Subcommittee.\1\ In all cases, notification to all
Subcommittee 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, Minority
Staff Director, or the Minority Chief Counsel.
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\1\ Throughout these rules, the Chairman and
Ranking Minority Member of the Subcommittee are
referred to simply as the ``Chairman'' and the
``Ranking Minority Member.'' These rules refer
to the Chairman and Ranking Minority Member of
the Committee on Homeland Security and
Governmental Affairs as the Chairman and
Ranking Minority Member ``of the Committee.''
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, Staff Director, or Chief Counsel. Investigations may
be undertaken upon the approval of the Chairman and the Ranking
Minority Member with notice of such approval to all Members of the
Subcommittee.
No public hearing shall be held if the Minority Members of the
Subcommittee unanimously object, unless the Committee on Homeland
Security and Governmental Affairs (the ``Committee'') approves of such
public hearing by a majority vote.
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 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 of the
Committee waive the 48-hour waiting period or unless the Chairman
certifies in writing to the Chairman and Ranking Minority Member of the
Committee 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 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 Subcommittee 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 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's 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 the Chairman or designated
Member.
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 Chairman, Staff Director, or Chief Counsel 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 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, Staff
Director, or Chief 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 Members 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 of the
Subcommittee.
18. The Ranking Minority Member may select for appointment to the
Subcommittee staff a Chief Counsel for the Minority and such other
professional staff 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 shall work under the direction and supervision of the Ranking
Minority Member. The Minority Staff Director and the Minority Chief
Counsel 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 PUBLISHING OFFICE : 2019 509040 (F1406)