How Federal Subpoenas Are Used in Congressional Investigations

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Last Updated on: 10th December 2023, 07:40 pm

How Federal Subpoenas Are Used in Congressional Investigations

Congressional investigations are nothing new – they’ve been around since the early days of our country. Committees in the House and Senate regularly conduct investigations into all kinds of issues that impact the American people. From looking into government corruption, to examining how federal agencies operate, to reviewing industry practices, congressional inquiries serve an important oversight function. But how exactly do these investigations work? Specifically, how do congressional committees get the information they need? Well, one of the key tools at their disposal is the federal subpoena.

Subpoenas are official demands for documents, testimony, or other evidence relating to a congressional investigation. They are compulsory orders – meaning the recipient is legally required to comply. Congressional committees have broad authority to issue subpoenas in furtherance of their investigative and oversight duties. This allows them to compel both private citizens and government officials to produce relevant information, even if those individuals don’t necessarily want to cooperate.

There are a few steps involved when a congressional committee issues a subpoena:

1. The committee first authorizes its chairman to issue subpoenas relating to a particular investigation. This vote by members of the committee gives the chairman the authority to sign and serve subpoenas.
2. The chairman then issues specific subpoenas to the individuals or entities believed to have information relevant to the committee’s work. For example, a technology company could be subpoenaed for internal documents about its data collection practices.
3. The subpoena is served on the recipient by sending it to them directly via registered mail or having a U.S. Marshal deliver it in person. The subpoena lays out what information is being demanded and by when it must be produced.
4. If the recipient refuses to comply with the subpoena, the committee can vote to hold them in contempt of Congress. This can result in hefty fines or even imprisonment.
5. To enforce a subpoena and impose penalties for non-compliance, the committee must refer the matter to the Department of Justice and ultimately the courts.

Throughout this process, subpoena recipients do have certain rights – for example, the ability to assert valid legal privileges and protections. But in general, defiance of a congressional subpoena can have serious consequences.

Legal Basis for Congressional Subpoena Power

So where does Congress get this authority to compel cooperation from private citizens and executive branch officials? The short answer is: the Constitution. The House and Senate derive their subpoena power from Article I, which grants Congress legislative authority, and from the inherent power of both chambers to investigate matters within their legislative purview.

Numerous Supreme Court cases have affirmed Congress’s broad power to conduct investigations and gather information through subpoenas. For example, in Watkins v. United States (1957), the Court said:

The power of the Congress to conduct investigations is inherent in the legislative process. That power is broad. It encompasses inquiries concerning the administration of existing laws as well as proposed or possibly needed statutes. It includes surveys of defects in our social, economic or political system for the purpose of enabling the Congress to remedy them. It comprehends probes into departments of the Federal Government to expose corruption, inefficiency or waste.

So Supreme Court precedent makes clear that Congress has wide latitude when it comes to issuing subpoenas in conjunction with legitimate legislative activities. However, the Court has also said Congress’s power is not unlimited. Subpoenas still have to serve a valid legislative purpose and request information that could help Congress fulfill its constitutional responsibilities.

Limits on Congressional Subpoena Power

While congressional subpoena power is undeniably broad, there are some constraints:

• The subpoena must further a “legitimate legislative purpose” connected to Congress’s authority to investigate matters that could lead to new legislation.
• Congress cannot violate constitutional rights like the First Amendment or Due Process Clause.
• Executive branch officials may be shielded by executive privilege in some cases.
• Information could be withheld if it improperly reveals trade secrets, confidential business data, or national security secrets.

These limits are still fairly narrow, though. The Supreme Court gives Congress wide investigative latitude before a subpoena would be considered invalid or unenforceable on constitutional or other legal grounds. As long as the subpoena seeks information that could reasonably assist with legislative duties and isn’t overly broad or burdensome, the courts will likely uphold Congress’s authority to issue and enforce it.

Challenging a Congressional Subpoena

If you receive a subpoena from a congressional committee, you technically have the right to challenge it in court. But in practice, this rarely succeeds in getting the subpoena invalidated. The committee’s investigative and subpoena powers are afforded great judicial deference. Still, here are some potential grounds for challenging a congressional subpoena:

• The subpoena lacks a legitimate legislative purpose
• The subpoena requests information protected by privilege
• Complying would violate your constitutional rights
• The subpoena imposes an undue burden

To challenge a subpoena on these grounds, you must file a lawsuit seeking a court injunction. But the timeline is tight – you usually have to file suit within 20 days of being served. This is why most parties choose to cooperate or negotiate with the committee rather than jumping straight to litigation.

Refusing to Comply with a Congressional Subpoena

Ignoring or refusing to comply with a congressional subpoena can lead to serious consequences. Committees have a few options if someone defies a subpoena:

1. Contempt of Congress – The committee can vote to hold the non-compliant individual in contempt of Congress. This can result in criminal contempt charges being referred to a U.S. Attorney for prosecution.
2. Fines – Congress can impose escalating monetary penalties for each day the subpoena is ignored.
3. Imprisonment – Criminal contempt of Congress is punishable by up to 1 year in prison under federal law.
4. Referral to the Justice Department – Congress can refer the matter to DOJ to seek civil enforcement of the subpoena in federal court.

These penalties are not mere threats – history shows Congress will actually exercise these powers when necessary. That said, the goal is usually to get the requested information rather than punish the offender. So in many cases, congressional committees work to negotiate compliance by narrowing or modifying overly broad subpoenas.

Case Study: Trump Subpoenas

A high-profile example of how Congress wields its subpoena power occurred during the Trump presidency. Multiple House committees subpoenaed financial records and testimony from Trump, his family, and senior advisors relating to the Russia investigation and other matters. This led to multiple lawsuits over enforcement of the subpoenas.

In the end, while the Supreme Court blocked Congress from obtaining some records, it did order Trump’s accounting firm to turn over certain financial documents pursuant to subpoenas from the House Oversight and Reform Committee. This established an important precedent that Congress can demand information from a sitting president as part of its legislative oversight duties.

The Trump subpoenas exemplified Congress flexing its broad subpoena muscles. But it also showed there are still limits, like shielding certain privileged documents from disclosure. Overall, though, the case affirmed Congress’s vast authority to issue and enforce subpoenas critical to its investigations.

Conclusion

In summary, federal subpoenas are indispensable tools that allow congressional committees to conduct investigations crucial to their legislative work. The House and Senate have sweeping power to compel cooperation from even unwilling recipients. And while there are some limitations around privilege, burden, and purpose, congressional subpoena authority remains formidable. As long as legitimate legislative aims are being pursued, Congress has wide latitude to issue and enforce subpoenas in the name of oversight and reform.