When Congress Comes Calling: A Study on the Principles, Practices, and Pragmatics of Legislative Inquiry of Legislative on the Principles, Practices, and Pragmatics A Study When Congress 1200 18th Street, NW, Suite 1000 Washington, DC 20036 Comes Calling 202.580.6920 Email: [email protected] A Study on the www.constitutionproject.org Principles, Practices, and Pragmatics of Legislative Inquiry Morton Rosenberg Constitution Project Fellow WHEN CONGRESS COMES CALLING: A Study on the Principles, Practices, and Pragmatics of Legislative Inquiry © 2017 The Constitution Project All Rights Reserved. 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Contents Preface Part I: Principles, Practices and Pragmatics of Legislative Inquiry Chapter 1 – Introduction: Updating the Study of Legislative Inquiry and Adapting it to the Changed Climate of Congressional Oversight ............................................................................. 1 Chapter 2 – The Institutional Framework of Congressional Oversight: Purposes, Powers, Limitations and Practicalities ................................................................................................... 5 A. The Purposes and Powers of Congressional Oversight ......................................................................................... 5 B. The Power of Congress over Executive Branch Agencies ...................................................................................... 6 C. Barriers to Effective Oversight ............................................................................................................................. 7 D. How to Conduct Effective Oversight ................................................................................................................... 10 Chapter 3 – The Powers and Tools Available to Congress for Conducting Investigative Oversight ............................................................................................................. 13 A. Congress’s Power to Investigate ............................................................................................................................ 13 1. The Breadth of the Investigatory Power .......................................................................................................... 13 2. The Limits of the Investigatory Power ............................................................................................................ 15 B. Congress’s Ability to Obtain Documents and Witness Testimony ....................................................................... 15 1. The Subpoena Power ...................................................................................................................................... 15 a. The Power to Issue a Subpoena ............................................................................................................... 15 b. The Permissible Scope of a Subpoena ...................................................................................................... 16 c. The Necessary Legislative Purpose for a Subpoena ................................................................................. 17 d. The Pertinency of the Subpoena to the Investigation .............................................................................. 18 2. Staff Deposition Authority ............................................................................................................................ 18 a. Express Authorization of Staff Deposition Authority Is Necessary ........................................................ 18 b. The Utility of Staff Depositions............................................................................................................... 19 3. Congressional Grants of Immunity ................................................................................................................ 20 a. A Committee May Override a Witness’ Claim of Self-Incrimination Privilege ..................................... 20 b. How a Committee Grants Immunity...................................................................................................... 20 c. Scope of the Immunity Granted.............................................................................................................. 21 d. Impact of Immunity Grants on Future Prosecutions .............................................................................. 21 e. Frequency of Issuance of Immunity Grants............................................................................................. 23 4. Special Investigatory Powers Authorized in Extraordinary Inquiries ............................................................. 23 C. Enforcement of the Investigation Power .............................................................................................................. 23 1. Courts Have Recognized the Need for Effective Enforcement Mechanisms ................................................. 23 2. The Inherent Contempt Power ....................................................................................................................... 24 a. The Source, Nature, and Objectives of Inherent Contempt ..................................................................... 24 b. Rights of a Person Cited for Contempt .................................................................................................. 24 c. Fines as an Alternative to Imprisonment for Inherent Contempt ........................................................... 24 d. Inherent Contempt Does Not Require Judicial Enforcement Assistance ............................................... 25 e. The Perceived Limitations of the Inherent Contempt Mechanism ......................................................... 25 iii 3. Statutory Criminal Contempt ........................................................................................................................ 26 a. The Origin and Nature of the Criminal Contempt Statute ..................................................................... 26 b. Congressional Use of Criminal Contempt against Executive Officials ................................................... 26 c. The Uncertainty Whether Executive Officials Are Subject to Inherent or Criminal Contempt Proceedings ............................................................................................................. 26 4. Civil Contempt ............................................................................................................................................... 27 a. In the Senate ........................................................................................................................................... 27 i. The Origins, Purposes, and Procedures of the Senate Civil Contempt Statute ................................. 27 ii. The Benefits of the Senate Civil Contempt Mechanism .................................................................. 28 iii. The Senate Civil Contempt Mechanism Cannot Be Used against Executive Branch Officials ....... 28 b. In the House of Representatives.............................................................................................................. 28 i. Past House Resolutions Authorizing Special Committee Actions .................................................... 28 ii. Approval of House Resolution Authorizing Court Enforcement of a Committee Subpoena .......... 29 5. Alternatives to Contempt ............................................................................................................................... 31 6. Perjury, False Statements, and Obstruction Prosecutions ............................................................................... 32 a. Testimony under Oath............................................................................................................................. 32 b. Unsworn Statements ............................................................................................................................... 32 c. Obstruction of a Congressional Proceeding ............................................................................................ 32 Chapter 4 – The Process of Conducting Investigative Oversight Proceedings ................................ 33 A. The Nature of an Investigative Hearing ................................................................................................................ 33 B. Jurisdiction and Authority ..................................................................................................................................... 33 C. Initiation of an Investigation ...............................................................................................................................