[Senate Prints 107-16]
[From the U.S. Government Publishing Office]


                                              S. Prt. 107-16

 
                     Rules of Procedure
              SENATE PERMANENT SUBCOMMITTEE ON
               INVESTIGATIONS OF THE COMMITTEE
                   ON GOVERNMENTAL AFFAIRS

                    United States Senate

[GRAPHIC] [TIFF OMITTED] TONGRESS.#13


                         MARCH 2001

            PRINTED FOR THE USE OF THE COMMITTEE
                   ON GOVERNMENTAL AFFAIRS
____________________________________________________________
 For sale by the Superintendent of Documents, Congressional 
                        Sales Office
    U.S. Government Printing Office, Washington, DC 20402




                COMMITTEE ON GOVERNMENTAL AFFAIRS
             FRED THOMPSON, Tennessee, Chairman
      JOSEPH I. LIEBERMAN, Connecticut, Ranking Member
TED STEVENS, Alaska               CARL LEVIN, Michigan
SUSAN M. COLLINS, Maine           DANIEL K. AKAKA, Hawaii
GEORGE V. VOINOVICH, Ohio         RICHARD J. DURBIN, 
PETE V. DOMENICI, New Mexico        Illinois
THAD COCHRAN, Mississippi         ROBERT G. TORRICELLI, New 
JUDD GREGG, New Hampshire           Jersey
ROBERT F. BENNETT, Utah           MAX CLELAND, Georgia
                                  THOMAS R. CARPER, Delaware
                                  JEAN CARNAHAN, Missouri
        Hannah S. Sistare, Staff Director and Counsel
   Joyce A. Rechtschaffen, Democratic Staff Director and 
                           Counsel
                Darla D. Cassell, Chief Clerk
                           
            PERMANENT SUBCOMMITTEE ON INVESTIGATIONS
              SUSAN M. COLLINS, Maine, Chairman
            CARL LEVIN, Michigan, Ranking Member
TED STEVENS, Alaska               DANIEL K. AKAKA, Hawaii
GEORGE V. VOINOVICH, Ohio         RICHARD J. DURBIN, 
PETE V. DOMENICI, New Mexico        Illinois
THAD COCHRAN, Mississippi         ROBERT G. TORRICELLI, New 
JUDD GREGG, New Hampshire           Jersey
ROBERT F. BENNETT, Utah           MAX CLELAND, Georgia
                                  THOMAS R. CARPER, Delaware
                                  JEAN CARNAHAN, Missouri
    Christopher A. Ford, Chief Counsel and Staff Director
Linda J. Gustitus, Minority Chief Counsel and Staff Director
               Mary D. Robertson, Chief Clerk
                              (ii)
    
    
     SENATE RESOLUTION 54, 107th CONGRESS, 1st SESSION 
          (CONSIDERED AND AGREED TO MARCH 8, 2001)
AUTHORIZING EXPENDITURES BY COMMITTEES OF THE SENATE FOR THE 
PERIODS MARCH 1, 2001 THROUGH SEPTEMBER 30, 2001, OCTOBER 1, 
   2001, THROUGH SEPTEMBER 30, 2002, AND OCTOBER 1, 2002, 
                  THROUGH FEBRUARY 28, 2003
            
         SEC. 11. COMMITTEE ON 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, 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 Governmental Affairs is authorized 
from March 1, 2001, through February 28, 2003, 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, 2001.--The 
expenses of the committee for the period March 1, 2001, 
through September 30, 2001, under this section shall not 
exceed $4,380,936, 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) Expenses for Fiscal Year 2002 Period.--The expenses of 
the committee for the period October 1, 2001, through 
September 30, 2002, under this section shall not exceed 
$7,771,451, 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).
  (d) Expenses for Period Ending February 28, 2003.--For the 
period October 1, 2002, through February 28, 2003, expenses 
of the committee under this section shall not exceed 
$3,323,832, 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); and
    (2) not to exceed $20,000, may be expended for the 
training of the professional staff of the 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 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, from March 1, 2001, through February 28, 2003, is 
authorized, in its, his, 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 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. 189, agreed to September 29, 1999 (106th 
Congress) are authorized to continue.
    
    
RULES OF PROCEDURE FOR THE SENATE PERMANENT SUBCOMMITTEE ON 
 INVESTIGATIONS OF THE COMMITTEE ON GOVERNMENTAL AFFAIRS AS 
                           ADOPTED
                        MARCH 8, 2001
  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 
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, 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, immediately upon such 
authorization, and no subpoena shall issue 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 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 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 clerk shall 
notify all Subcommittee Members that such special meeting 
will be held and inform them of its dates 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.
  Five (5) 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.
  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 
counsel, or any spectator conducts himself 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 
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 is testifying, 
of his 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 counsel is ejected for conducting himself 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. If the Chairman or 
designated Member overrules the objection, he may refer the 
matter to the Subcommittee or he 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 
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 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 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 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 hearings 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. 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 own testimony whether in public or 
executive session shall be made available for inspection by 
witness or his 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 
expense if he 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 otherwise adversely affect his reputation, may (a) 
request to appear personally before the Subcommittee to 
testify in his 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 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 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 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.
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