[Senate Prints 115-11]
[From the U.S. Government Publishing Office]






                                              S. Prt. 115-11
 
                     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 2017

           PRINTED FOR THE USE OF THE COMMITTEE ON
         HOMELAND SECURITY AND GOVERNMENTAL AFFAIRS





















                                              S. Prt. 115-11

                               

                     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 2017

           PRINTED FOR THE USE OF THE COMMITTEE ON
         HOMELAND SECURITY AND GOVERNMENTAL AFFAIRS
____________________________________________________________
        For sale by the Superintendent of Documents,
              U.S. Government Publishing Office
Phone: toll free (866) 512-1800; DC area (202) 512-1800 
Fax: (202) 512-2550 Internet: bookstore. gpo.gov  
Mail: Stop SSOP, Washington, DC 20402-0001














     COMMITTEE ON HOMELAND SECURITY AND GOVERNMENTAL AFFAIRS
              RON JOHNSON, Wisconsin, Chairman
JOHN McCAIN, Arizona              CLAIRE McCASKILL, Missouri
ROB PORTMAN, Ohio                 THOMAS R. CARPER, Delaware
RAND PAUL, Kentucky               JON TESTER, Montana
JAMES LANKFORD, Oklahoma          HEIDI HEITKAMP, North 
MICHAEL B. ENZI, Wyoming            Dakota
JOHN HOEVEN, North Dakota         GARY C. PETERS, Michigan
STEVE DAINES, Montana             MAGGIE HASSAN, New 
                                    Hampshire
                                  KAMALA D. HARRIS, 
                                    California

            Christopher R. Hixon, Staff Director
          Margaret E. Daum Minority Staff Director
               Laura W. Kilbride, Chief Clerk

                                 

            PERMANENT SUBCOMMITTEE ON INVESTIGATIONS
                 ROB PORTMAN, Ohio Chairman
JOHN McCAIN, Arizona              THOMAS R. CARPER, Delaware
RAND PAUL, Kentucky               JON TESTER, Montana
JAMES LANKFORD, Oklahoma          HEIDI HEITKAMP, North 
STEVE DAINES, Montana               Dakota
                                  GARY C. PETERS, Michigan
         Matt Owen, Staff Director and Chief Counsel
         John P. Kilvington, Minority Staff Director
              Kelsey Stroud Bailey, Chief Clerk

                              (ii)
                               
     SENATE RESOLUTION 62, 115th CONGRESS, 1st SESSION 
        (CONSIDERED AND AGREED TO FEBRUARY 28, 2017)
AUTHORIZING EXPENDITURES BY COMMITTEES OF THE SENATE FOR THE 
      PERIODS MARCH 1, 2017 THROUGH FEBRUARY 28, 2019.
                              
  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, 2017 through February 28, 2019, 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, 2017.--The 
expenses of the committee for the period March 1, 2017, 
through September 30, 2017, 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 2018 Period.--The expenses of 
the committee for the period October 1, 2017, through 
September 30, 2018, 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, 2019.--The 
expenses of the committee for the period October 1, 2018, 
through February 28, 2019, under this section shall not 
exceed $3,994,038, 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).
  (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 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. 73, agreed to February 12, 2015 (114th 
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, 2017
  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.
  __________________________________________________________
     \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 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 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 : 2017  24-400 (F1406)