[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)