[Senate Prints 117-8]
[From the U.S. Government Publishing Office]






                                               S. Prt. 117-8

                     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 2021

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




                                               S. Prt. 117-8

                               
 
                     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 2021

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


     COMMITTEE ON HOMELAND SECURITY AND GOVERNMENTAL AFFAIRS
             GARY C. PETERS, Michigan, Chairman
THOMAS R. CARPER, Delaware        ROB PORTMAN, Ohio
MAGGIE HASSAN, New Hampshire      RON JOHNSON, Wisconsin
KYRSTEN SINEMA, Arizona           RAND PAUL, Kentucky
JACKY ROSEN, Nevada               JAMES LANKFORD, Oklahoma
ALEX PADILLA, California          MITT ROMNEY, Utah
JON OSOFF, Georgia                RICK SCOTT, Florida
                                  JOSH HAWLEY, Missouri

              David M. Weinberg, Staff Director
          Pamela Thiessen, Minority Staff Director
               Laura W. Kilbride, Chief Clerk

                                  

            PERMANENT SUBCOMMITTEE ON INVESTIGATIONS
                JON OSOFF, Georgia, Chairman
THOMAS R. CARPER, Delaware        RON JOHNSON, Wisconsin
MAGGIE HASSAN, New Hampshire      RAND PAUL, Kentucky
ALEX PADILLA, California          JAMES LANKFORD, Oklahoma
                                  RICK SCOTT, Florida
               John Kilvington, Staff Director
Gabrielle D'Adamo, Minority Staff Director and Chief Counsel
             Kate Kielceski, Subcommittee Clerk

                              (ii)
                              
                               
     SENATE RESOLUTION 70, 117th CONGRESS, 1st SESSION 
        (CONSIDERED AND AGREED TO FEBRUARY 24, 2021)
AUTHORIZING EXPENDITURES BY COMMITTEES OF THE SENATE FOR THE 
      PERIODS MARCH 1, 2021 THROUGH FEBRUARY 28, 2023.
                              
  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, 2021 through February 28, 2023, 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, 2021, 
through September 30, 2021, under this section shall not 
exceed $6,430,401, 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 the 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, 2021, through 
September 30, 2022, under this section shall not exceed 
$11,023,545, 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).
  (d) Expenses for Period Ending February 28, 2021.--The 
expenses of the committee for the period October 1, 2022, 
through February 28, 2023, under this section shall not 
exceed $4,593,144, 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 but not 
limited to investment fraud schemes, commodity and security 
fraud, computer fraud, and the use of offshore banking and 
corporate facilities to carry out criminal objectives;
      (E) the efficiency and economy of operations of all 
branches and functions of the Government with particular 
reference to--
        (i) the effectiveness of present national security 
methods, staffing, and processes as tested against the 
requirements imposed by the rapidly mounting complexity of 
national security problems;
        (ii) the capacity of present national security 
staffing, methods, and processes to make full use of the 
Nation's resources of knowledge and talents;
        (iii) the adequacy of present intergovernmental 
relations between the United States and international 
organizations principally concerned with national security 
of which the United States is a member; and
        (iv) legislative and other proposals to improve 
these methods, processes, and relationships;
      (F) the efficiency, economy, and effectiveness of all 
agencies and departments of the Government involved in the 
control and management of energy shortages including, but 
not limited to, their performance with respect to--
        (i) the collection and dissemination of accurate 
statistics on fuel demand and supply;
        (ii) the implementation of effective energy 
conservation measures;
        (iii) the pricing of energy in all forms;
        (iv) coordination of energy programs with State and 
local government;
        (v) control of exports of scarce fuels;
        (vi) the management of tax, import, pricing, and 
other policies affecting energy supplies;
        (vii) maintenance of the independent sector of the 
petroleum industry as a strong competitive force;
        (viii) the allocation of fuels in short supply by 
public and private entities;
        (ix) the management of energy supplies owned or 
controlled by the Government;
        (x) relations with other oil producing and consuming 
countries;
        (xi) the monitoring of compliance by governments, 
corporations, or individuals with the laws and regulations 
governing the allocation, conservation, or pricing of energy 
supplies; and
        (xii) research into the discovery and development of 
alternative energy supplies; and
      (G) the efficiency and economy of all branches and 
functions of Government with particular references to the 
operations and management of Federal regulatory policies and 
programs.
    (2) Extent of inquiries.--In carrying out the duties 
provided in paragraph (1), the inquiries of this committee 
or any subcommittee of the committee shall not be construed 
to be limited to the records, functions, and operations of 
any particular branch of the Government and may extend to 
the records and activities of any persons, corporation, or 
other entity.
    (3) Special committee authority.--For the purposes of 
this subsection, the committee, or any duly authorized 
subcommittee of the committee, or its chairman, or any other 
member of the committee or subcommittee designated by the 
chairman is authorized, in its, his, 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 any duly authorized 
subcommittee of the committee authorized under S. Res. 70, 
agreed to February 27, 2019 (116th 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 24, 2021
  1. No public hearing connected with an investigation may 
be held without the approval of either the Chair 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 Chair and notice of 
such approval to the Ranking Minority Member, Minority Staff 
Director, or the Minority Chief Counsel.
---------------------------------------------------------------------------
    \1\
---------------------------------------------------------------------------

  

            \1\ Throughout these rules, the Chair and 
            Ranking Minority Member of the Subcommittee are 
            referred to simply as the ``Chair'' and the 
            ``Ranking Minority Member.'' These rules refer 
            to the Chair and Ranking Minority Member of the 
            Committee on Homeland Security and Governmental 
            Affairs as the Chair 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 Chair, Staff Director, or Chief Counsel. Investigations may be 
undertaken upon the approval of the Chair 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 Chair, or any other Member of the 
Subcommittee designated by the Chair, with notice to the Ranking 
Minority Member. A written notice of intent to issue a subpoena shall 
be provided to the Chair and Ranking Minority Member of the Committee, 
or staff officers designated by them, by the Chair or a staff officer 
designated by the Chair, 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 Chair and 
Ranking Minority Member of the Committee waive the 48 hour waiting 
period or unless the Chair certifies in writing to the Chair and 
Ranking Minority Member of the Committee that, in the Chair's opinion, 
it is necessary to issue a subpoena immediately.
    3. The Chair shall have the authority to call meetings of the 
Subcommittee. This authority may be delegated by the Chair to any other 
Member of the Subcommittee when necessary.
    4. If at least three Members of the Subcommittee desire the Chair 
to call a special meeting, they may file, in the office of the 
Subcommittee, a written request therefor, addressed to the Chair. 
Immediately thereafter, the clerk of the Subcommittee shall notify the 
Chair of such request. If, within 3 calendar days after the filing of 
such request, the Chair 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 date and hour. If the Chair 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 at 
least 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, witness 
counsel, or any spectator conducts themselves in such a manner as to 
prevent, impede, disrupt, obstruct, or interfere with the orderly 
administration of such hearing, the Chair or presiding Member of the 
Subcommittee present during such hearing may request the Sergeant at 
Arms of the Senate, a representative of the Sergeant at Arms of the 
Senate, 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 the 
witness is testifying of the witness's 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 Chair may rule that 
representation by counsel from the government, corporation, or 
association, or by counsel representing another witness, 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 
another witness. This rule shall not be construed to excuse a witness 
from testifying in the event witness counsel is ejected for conduct 
preventing, impeding, disrupting, obstructing, or interfering 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 Chair. The Chair 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 Chair or such Subcommittee Member as designated by 
the Chair. If the Chair or designated Member overrules the objection, 
these Members may refer the matter to the Subcommittee or 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 being ordered and directed to 
answer by the Chair 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 the 
individual's 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 the 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 Chair, Staff Director, or Chief Counsel 48 hours in advance of the 
hearings at which the statement is to be presented unless the Chair 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 testimony, 
television, motion picture, and other cameras and lights, shall not be 
directed at the witness. 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 a 
witness's own testimony, whether in public or executive session, shall 
be made available for inspection by the witness or witness 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 the witness's expense 
if requested.
    13. Interrogation of witnesses at Subcommittee hearings shall be 
conducted on behalf of the Subcommittee by Subcommittee Members and 
authorized Subcommittee staff personnel only.
    14. Any person who is the subject of an investigation in public 
hearings may submit to the Chair 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 Chair, 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 the person or otherwise adversely affect the 
person's reputation, may (a) request to appear personally before the 
Subcommittee to testify, 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 Chair, 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 Chair and the Ranking Minority Member waive 
this requirement.
    If a person requests to file a 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 the person's 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 the Ranking Minority 
Member deems advisable. The total compensation allocated to such 
Minority staff 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 Chair 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 Chair 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 : 2021  43-505 (F1406)