[Congressional Record Volume 143, Number 20 (Monday, February 24, 1997)]
[Senate]
[Pages S1486-S1493]
From the Congressional Record Online through the Government Publishing Office [www.gpo.gov]




          RULES OF PROCEDURE OF THE SELECT COMMITTEE ON ETHICS

 Mr. SMITH of New Hampshire. Mr. President, in accordance with 
rule XXVI(2) of the Standing Rules of the Senate, I ask that the Rules 
of Procedure of the Select Committee on Ethics, which were adopted 
February 23, 1978, and revised May 1993, be printed in the 
Congressional Record for the 105th Congress.
  The rules follow:

             Select Committee on Ethics--Rules of Procedure


                       rule 1. general procedures

       (a) Officers: The Committee shall select a Chairman and a 
     Vice Chairman from among its Members. In the absence of the 
     Chairman, the duties of the Chair shall be filled by the Vice 
     Chairman or, in the Vice Chairman's absence, a Committee 
     Member designated by the Chairman.
       (b) Procedural Rules: The basic procedural rules of the 
     Committee are stated as a part of the Standing Orders of the 
     Senate in Senate Resolution 338, 88th Congress, as amended, 
     as well as other resolutions and laws. Supplementary 
     Procedural Rules are stated herein and are hereinafter 
     referred to as the Rules. The Rules shall be published in the 
     Congressional Record not later than thirty days after 
     adoption, and copies shall be made available by the Committee 
     office upon request.
       (c) Meetings:
       (1) The regular meeting of the Committee shall be the first 
     Thursday of each month while Congress is in session.
       (2) Special meetings may be held at the call of the 
     Chairman or Vice Chairman if at least forty-eight hours 
     notice is furnished to all Members. If all Members agree, a 
     special meeting may be held on less than forty-eight hours 
     notice.
       (3)(A) If any Member of the Committee desires that a 
     special meeting of the Committee be called, the Member may 
     file in the office of the Committee a written request to

[[Page S1487]]

     the Chairman or Vice Chairman for that special meeting.
       (B) Immediately upon the filing of the request the Clerk of 
     the Committee shall notify the Chairman and Vice Chairman of 
     the filing of the request. If, within three calendar days 
     after the filing of the request, the Chairman or the Vice 
     Chairman does not call the requested meeting, to be held 
     within seven calendar days after the filing of the request, 
     any three of the Members of the Committee may file their 
     written notice in the office of the Committee that a special 
     meeting of the Committee will be held at a specified date and 
     hour; such special meeting may not occur until forty-eight 
     hours after the notice is filed. The Clerk shall immediately 
     notify all Members of the Committee of the date and hour of 
     the special meeting. The Committee shall meet at the 
     specified date and hour.
       (d) Quorum:
       (1) A majority of the Members of the Select Committee shall 
     constitute a quorum for the transaction of business involving 
     complaints and allegations of misconduct, including the 
     consideration of matters involving sworn complaints, unsworn 
     allegations or information, resultant preliminary inquiries, 
     initial reviews, investigations, hearings, recommendations or 
     reports and matters relating to Senate Resolution 400, agreed 
     to May 19, 1976.
       (2) Three Members shall constitute a quorum for 
     the transaction of the routine business of the Select 
     Committee not covered by the first subparagraph of this 
     paragraph, including requests for opinions and 
     interpretations concerning the Code of Official Conduct or 
     any other statute or regulation under the jurisdiction of 
     the Select Committee, if one Member of the quorum is a 
     Member of the majority Party and one Member of the quorum 
     is a Member of the minority Party. During the transaction 
     of routine business any Member of the Select Committee 
     constituting the quorum shall have the right to postpone 
     further discussion of a pending matter until such time as 
     a majority of the Members of the Select Committee are 
     present.
       (3) Except for an adjudicatory hearing under Rule 6 and any 
     deposition taken outside the presence of a Member under Rule 
     7, one Member shall constitute a quorum for hearing 
     testimony, provided that all Members have been given notice 
     of the hearing and the Chairman has designated a Member of 
     the majority Party and the Vice Chairman has designated a 
     Member of the minority Party to be in attendance, either of 
     whom in the absence of the other may constitute the quorum.
       (e) Order of Business: Questions as to the order of 
     business and the procedure of the Committee shall in the 
     first instance be decided by the Chairman and Vice Chairman, 
     subject to reversal by a vote by a majority of the Committee.
       (f) Hearing Announcements: The Committee shall make public 
     announcement of the date, place and subject matter of any 
     hearing to be conducted by it at least one week before the 
     commencement of that hearing, and shall publish such 
     announcement in the Congressional Record. If the Committee 
     determines that there is good cause to commence a hearing at 
     an earlier date, such notice will be given at the earliest 
     possible time.
       (g) Open and Closed Committee Meetings: Meetings of the 
     Committee shall be open to the public or closed to the public 
     (executive session), as determined under the provisions of 
     paragraphs 5 (b) to (d) of Rule XXVI of the Standing Rules of 
     the Senate. Executive session meetings of the Committee shall 
     be closed except to the Members and the staff of the 
     Committee. On the motion of any Member, and with the approval 
     of a majority of the Committee Members present, other 
     individuals may be admitted to an executive session meeting 
     for a specified period or purpose.
       (h) Record of Testimony and Committee Action: An accurate 
     stenographic or transcribed electronic record shall be kept 
     of all Committee proceedings, whether in executive or public 
     session. Such record shall include Senators' votes on any 
     question on which a recorded vote is held. The record of a 
     witness' testimony, whether in public or executive session, 
     shall be made available for inspection to the witness or his 
     counsel under Committee supervision; a copy of any testimony 
     given by that witness 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 if he so 
     requests. (See Rule 6 on Procedures for Conducting Hearings.)
       (i) Secrecy of Executive Testimony and Action and of 
     Complaint Proceedings:
       (1) All testimony and action taken in executive session 
     shall be kept secret and shall not be released outside the 
     Committee to any individual or group, whether governmental or 
     private, without the approval of a majority of the Committee.
       (2) All testimony and action relating to a sworn complaint 
     shall be kept secret and shall not be released by the 
     Committee to any individual or group, whether governmental or 
     private, except the respondent, without the approval of a 
     majority of the Committee, until such time as a report to the 
     Senate is required under Senate Resolution 338, 88th 
     Congress, as amended, or unless otherwise permitted under 
     these Rules. (See Rule 9 on Procedures for Handling Committee 
     Sensitive and Classified Materials.)
       (j) Release of Reports to Public: No information pertaining 
     to, or copies of any Committee report, study, or other 
     document which purports to express the view, findings, 
     conclusions or recommendations of the Committee in connection 
     with any of its activities or proceedings may be released to 
     any individual or group whether governmental or private, 
     without the authorization of the Committee. Whenever the 
     Chairman or Vice Chairman is authorized to make any 
     determination, then the determination may be released at his 
     or her discretion. Each Member of the Committee shall be 
     given a reasonable opportunity to have separate views 
     included as part of any Committee report. (See Rule 9 on 
     Procedures for Handling Committee Sensitive and Classified 
     Materials.)
       (k) Ineligibility or Disqualification of Members and Staff:
       (1) A Member of the Committee shall be ineligible to 
     participate in any Committee proceeding that relates 
     specifically to any of the following:
       (A) The Member's own conduct;
       (B) The conduct of any employee or officer that the Member 
     supervises, as defined in paragraph [12] of Rule XXXVII of 
     the Standing Rules of the Senate;
       (C) The conduct of any employee or any officer that the 
     Member supervises; or
       (D) A complaint, sworn or unsworn, that was filed by a 
     Member, or by any employee or officer that the Member 
     supervises.
       (2) If any Committee proceeding appears to relate to a 
     Member of the Committee in a manner described in subparagraph 
     (1) of this paragraph, the staff shall prepare a report to 
     the Chairman and Vice Chairman. If either the Chairman or the 
     Vice Chairman concludes from the report that it appears that 
     the Member may be ineligible, the Member shall be notified in 
     writing of the nature of the particular proceeding and the 
     reason that it appears that the Member may be ineligible to 
     participate in it. If the Member agrees that he or she is 
     ineligible, the Member shall so notify the Chairman or Vice 
     Chairman. If the Member believes that he or she is not 
     ineligible, he or she may explain  the reasons to the 
     Chairman and Vice Chairman, and if they both agree that 
     the Member is not ineligible, the Member shall continue to 
     serve. But if either the Chairman or Vice Chairman 
     continues to believe that the Member is ineligible, while 
     the Member believes that he or she is not ineligible, the 
     matter shall be promptly referred to the Committee. The 
     Member shall present his or her arguments to the Committee 
     in executive session. Any contested questions concerning a 
     Member's eligibility shall be decided by a majority vote 
     of the Committee, meeting in executive session, with the 
     Member in question not participating.
       (3) A Member may also disqualify himself from participating 
     in a Committee proceeding in other circumstances not listed 
     in subparagraph (k)(1).
       (4) The President of the Senate shall be given written 
     notice of the ineligibility or disqualification of any Member 
     from any initial review, investigation, or other proceeding 
     requiring the appointment of another Member in accordance 
     with subparagraph (k)(5).
       (5) Whenever a Member of the Committee is ineligible to 
     participate in or disqualifies himself from participating in 
     any initial review, investigation, or other substantial 
     Committee proceeding, another Member of the Senate who is of 
     the same party shall be appointed by the Senate in accordance 
     with the provisions of paragraph 1 of Rule XXIV of the 
     Standing Rules of the Senate, to serve as a Member of the 
     Committee solely for the purposes of that proceeding.
       (6) A Member of the Committee staff shall be ineligible to 
     participate in any Committee proceeding that the staff 
     director or outside counsel determines relates specifically 
     to any of the following:
       (A) the staff Member's own conduct;
       (B) the conduct of any employee that the staff Member 
     supervises;
       (C) the conduct of any Member, officer or employee for whom 
     the staff Member has worked for any substantial period; or
       (D) a complaint, sworn or unsworn, that was filed by the 
     staff Member. At the direction or with the consent of the 
     staff director or outside counsel, a staff Member may also be 
     disqualified from participating in a Committee proceeding in 
     other circumstances not listed above.
       (l) Recorded Votes: Any Member may require a recorded vote 
     on any matter.
       (m) Proxies; Recording Votes of Absent Members:
       (1) Proxy voting shall not be allowed when the question 
     before the Committee is the initiation or continuation of an 
     initial review or an investigation, or the issuance of a 
     report or recommendation related thereto concerning a Member 
     or officer of the Senate. In any such case an absent Member's 
     vote may be announced solely for the purpose of recording the 
     Member's position and such announced votes shall not be 
     counted for or against the motion.
       (2) On matters other than matters listed in paragraph 
     (m)(1) above, the Committee may order that the record be held 
     open for the vote of absentees or recorded proxy votes if the 
     absent Committee Member has been informed of the matter on 
     which the vote occurs and has affirmatively requested the 
     Chairman or Vice Chairman in writing that he be so recorded.
       (3) All proxies shall be in writing, and shall be delivered 
     to the Chairman or Vice Chairman to be recorded.

[[Page S1488]]

       (4) Proxies shall not be considered for the purpose of 
     establishing a quorum.
       (n) Approval of Blind Trusts and Foreign Travel Requests 
     Between Sessions and During Extended Recesses: During any 
     period in which the Senate stands in adjournment between 
     sessions of the Congress or stands in a recess scheduled to 
     extend beyond fourteen days, the Chairman and Vice Chairman, 
     or their designees, acting jointly, are authorized to approve 
     or disapprove blind trusts under the provision of Rule XXXIV, 
     and to approve or disapprove foreign travel requests which 
     require immediate resolution.
       (o) Committee Use of Services or Employees of Other 
     Agencies and Departments: With the prior consent of the 
     department or agency involved, the Committee may (1) utilize 
     the services, information, or facilities of any such 
     department or agency of the Government, and (2) employ on a 
     reimbursable basis or otherwise the services of such 
     personnel of any such department or agency as it deems 
     advisable. With the consent of any other committee of the 
     Senate, or any subcommittee, the Committee may utilize the 
     facilities and the services of the staff of such other 
     committee or subcommittee whenever the Chairman and Vice 
     Chairman of the Committee, acting jointly, determine that 
     such action is necessary and appropriate.


                Rule 2: Procedures for Sworn Complaints

       (a) Sworn Complaints: Any person may file a sworn complaint 
     with the Committee, alleging that any Senator, or officer, or 
     employee of the Senate has violated a law, the Senate Code of 
     Official Conduct, or any rule or regulation of the Senate 
     relating to the conduct of any individual in the performance 
     of his or her duty as a Member, officer, or employee of the 
     Senate, or has engaged in improper conduct which may reflect 
     upon the Senate.
       (b) Form and content of Complaints: A complaint filed under 
     paragraph (a) shall be in writing and under oath, and shall 
     set forth in simple, concise and direct statements:
       (1) The name and legal address of the party filing the 
     complaint (hereinafter, the complainant);
       (2) The name and position or title of each Member, officer, 
     or employee of the Senate who is specifically alleged to have 
     engaged in the improper conduct or committed the violation 
     (hereinafter, the respondent);
       (3) The nature of the alleged improper conduct or 
     violation, including, if possible, the specific provision of 
     the Senate Code of Official Conduct or other law, rule, or 
     regulation alleged to have been violated.
       (4)(A) A statement of the facts within the personal 
     knowledge of the complainant that are alleged to constitute 
     the improper conduct or violation.
       (B) The term ``personal knowledge'' is not intended to and 
     does not limit the complainant's statement to situations that 
     he or she personally witnessed or to activities in which the 
     complainant was a participant.
       (C) Where allegations in the sworn complaint are made upon 
     the information and belief of the complainant, the complaint 
     shall so state, and shall set forth the basis for such 
     information and belief.
       (5) The complainant must swear that all of the information 
     contained in the complaint either (a) is true, or (b) was 
     obtained under circumstances such that the complainant has 
     sufficient personal knowledge of the source of the 
     information reasonably to believe that it is true. The 
     complainant may so swear either by oath or by solemn 
     affirmation before a notary public or other authorized 
     official.
       (6) All documents in the possession of the complainant 
     relevant to or in support of his or her allegations may be 
     appended to the complaint.
       (c) Processing of Sworn Complaints:
       (1) When the Committee receives a sworn complaint against a 
     Member, officer or employee of the Senate, it shall determine 
     by majority vote whether the complaint is in substantial 
     compliance with paragraph (b) of this rule.
       (2) If it is determined by the Committee that a sworn 
     complaint does not substantially comply with the requirements 
     of paragraph (b), the complaint shall be returned promptly to 
     the complainant, with a statement explaining how the 
     complaint fails to comply and a copy of the rules for filing 
     sworn complaints. The complainant may resubmit the complaint 
     in the proper form. If the complaint is not revised so that 
     it substantially complies with the stated requirements, the 
     Committee may in its discretion process the complaint in 
     accordance with Rule 3.
       (3) A sworn complaint against any Member, officer, or 
     employee of the Senate that is determined by the Committee to 
     be in substantial compliance shall be transmitted to the 
     respondent within five days of that determination. The 
     transmittal notice shall include the date upon which the 
     complaint was received, a statement that the complaint 
     conforms to the applicable rules, a statement that the 
     Committee will immediately begin an initial review of the 
     complaint, and a statement inviting the respondent to provide 
     any information relevant to the complaint to the Committee. A 
     copy of the Rules of the Committee shall be supplied with the 
     notice.


    Rule 3: Procedures on Receipt of Allegations Other Than a Sworn 
                     Complaint; Preliminary Inquiry

       (a) Unsworn Allegations or Information: Any Member or staff 
     Member of the Committee shall report to the Committee, and 
     any other person may report to the Committee, any credible 
     information available to him or her that indicates that any 
     named or unnamed Member, officer or employee of the Senate 
     may have--
       (1) violated the Senate Code of Official Conduct;
       (2) violated a law;
       (3) violated any rule or regulation of the Senate relating 
     to the conduct of individuals in the performance of their 
     duties as Members, officers, or employees of the Senate; or
       (4) engaged in improper conduct which may reflect upon the 
     Senate. Such allegations or information may be reported to 
     the Chairman, the Vice Chairman, a Committee Member, or a 
     Committee staff Member.
       (b) Sources of Unsworn Allegations or Information: The 
     information to be reported to the Committee under paragraph 
     (a), may be obtained from a variety of sources, including but 
     not limited to the following:
       (1) sworn complaints that do not satisfy all of the 
     requirements of Rule 2;
       (2) anonymous or informal complaints, whether or not 
     satisfying the requirements of Rule 2;
       (3) information developed during a study or inquiry by the 
     Committee or other committees or subcommittees of the Senate, 
     including information obtained in connection with legislative 
     or general oversight hearings;
       (4) information reported by the news media; or
       (5) information obtained from any individual, agency or 
     department of the executive branch of the Federal Government.
       (c) Preliminary Inquiry:
       (1) When information is presented to the Committee pursuant 
     to paragraph (a), it shall immediately be transmitted to the 
     Chairman and the Vice Chairman, for one of the following 
     actions:
       (A) The Chairman and Vice Chairman, acting jointly, may 
     conduct or may direct the Committee staff to conduct, a 
     preliminary inquiry.
       (B) The Chairman and Vice Chairman, acting jointly, may 
     present the allegations or information received directly to 
     the Committee for it to determine whether an initial review 
     should be undertaken. (See paragraph (d).)
       (2) A preliminary inquiry may include any inquiries, 
     interviews, sworn statements, depositions, and subpoenas that 
     the Chairman and Vice Chairman deem appropriate to obtain 
     information upon which to make any determination provided for 
     by this Rule.
       (3) At the conclusion of a preliminary inquiry, the 
     Chairman and Vice Chairman shall receive a full report of its 
     findings. The Chairman and Vice Chairman, acting jointly, 
     shall then determine what further action, if any, is 
     appropriate in the particular case, including any of the 
     following:
       (A) No further action is appropriate, because the alleged 
     improper conduct or violation is clearly not within the 
     jurisdiction of the Committee;
       (B) No further action is appropriate, because there is no 
     reason to believe that the alleged improper conduct or 
     violation may have occurred; or
       (C) The unsworn allegations or information, and a report on 
     the preliminary inquiry, should be referred to the Committee, 
     to determine whether an initial review should be undertaken. 
     (See paragraph (d).)
       (4) If the Chairman and the Vice Chairman are unable to 
     agree on a determination at the conclusion of a preliminary 
     inquiry, then they shall refer the allegations or information 
     to the Committee, with a report on the preliminary inquiry, 
     for the Committee to determine whether an initial review 
     should be undertaken. (See paragraph (d).)
       (5) A preliminary inquiry shall be completed within sixty 
     days after the unsworn allegations or information were 
     received by the Chairman and Vice Chairman. The sixty day 
     period may be extended for a specified period by the Chairman 
     and Vice Chairman, acting jointly. A preliminary inquiry is 
     completed when the Chairman and the Vice Chairman have made 
     the determination required by subparagraphs (3) and (4) of 
     this paragraph.
       (d) Determination Whether to Conduct an Initial Review: 
     When information or allegations are presented to the 
     Committee by the Chairman and the Vice Chairman, the 
     Committee shall determine whether an initial review should be 
     undertaken.
       (1) An initial review shall be undertaken when--
       (A) there is reason to believe on the basis of the 
     information before the Committee that the possible improper 
     conduct or violation may be within the jurisdiction of the 
     Committee; and
       (B) there is reason to believe on the basis of the 
     information before the Committee that the improper conduct or 
     violation may have occurred.
       (2) The determination whether to undertake an initial 
     review shall be made by recorded vote within thirty days 
     following the Committee's receipt of the unsworn allegations 
     or information from the Chairman or Vice Chairman, or at the 
     first meeting of the Committee thereafter if none occurs 
     within thirty days, unless this time is extended for a 
     specified period by the Committee.
       (3) The Committee may determine that an initial review is 
     not warranted because (a) there is no reason to believe on 
     the basis of the information before the Committee that the 
     improper conduct or violation may have occurred, or (b) the 
     improper conduct or violation, even if proven, is not within 
     the jurisdiction of the Committee.
       (A) If the Committee determines that an initial review is 
     not warranted, it shall

[[Page S1489]]

     promptly notify the complainant, if any, and any known 
     respondent.
       (B) If there is a complainant, he or she may also be 
     invited to submit additional information, and notified of the 
     procedures for filing a sworn complaint. If the complainant 
     later provides additional information, not in the form of a 
     sworn complaint, it shall be handled as a new allegation in 
     accordance with the procedures of Rule 3. If he or she 
     submits a sworn complaint, it shall be handled in accordance 
     with Rule 2.
       (4)(A) The Committee may determine that there is reason to 
     believe on the basis of the information before it that the 
     improper conduct or violation may have occurred and may be 
     within the jurisdiction of the Committee, and that an initial 
     review must therefore be conducted.
       (B) If the Committee determines that an initial review will 
     be conducted, it shall promptly notify the complainant, if 
     any, and the respondent, if any.
       (C) The notice required under subparagraph (B) shall 
     include a general statement of the information or allegations 
     before the Committee and a statement that the Committee will 
     immediately begin an initial review of the complaint. A copy 
     of the rules of the Committee shall be supplied with the 
     notice.
       (5) If a Member of the Committee believes that the 
     preliminary inquiry has provided sufficient information for 
     the Committee to determine whether there is substantial 
     credible evidence which provides substantial cause for the 
     Committee to conclude that a violation within the 
     jurisdiction of the Committee has occurred, the Member may 
     move that the Committee dispense with the initial review and 
     move directly to the determinations described in Rule 4(f). 
     The Committee may adopt such a motion by majority vote of the 
     full Committee.


          rule 4: procedures for conducting an initial review

       (a) Basis for Initial Review: The Committee shall promptly 
     commence an initial review whenever it has received either 
     (1) a sworn complaint that the Committee has determined is in 
     substantial compliance with the requirements of Rule 2, or 
     (2) unsworn allegations or information that have caused the 
     Committee to determine in accordance with Rule 3 that an 
     initial review must be conducted.
       (b) Scope of Initial Review:
       (1) The initial review shall be of such duration and scope 
     as may be necessary to determine whether there is substantial 
     credible evidence which provides substantial cause for the 
     Committee to conclude that a violation within the 
     jurisdiction of the Committee has occurred.
       (2) An initial review may include any inquiries, 
     interviews, sworn statements, depositions, and subpoenas that 
     the Committee deems appropriate to obtain information upon 
     which to make any determination provided for by this rule.
       (c) Opportunity for Response: An initial review may include 
     an opportunity for any known respondent or his designated 
     representative, to present either a written or oral 
     statement, or to respond orally to questions from the 
     Committee. Such an oral statement or answers shall be 
     transcribed and signed by the person providing the statement 
     or answers.
       (d) Status Reports: The Committee staff or outside counsel 
     shall periodically report to the Committee in the form and 
     according to the schedule prescribed by the Committee. The 
     reports shall be confidential.
       (e) Final Report: When the initial review is completed, the 
     staff or outside counsel shall make a confidential report to 
     the Committee on findings and recommendations.
       (f) Committee Action: As soon as practicable following 
     submission of the report on the initial review, the Committee 
     shall determine by a recorded vote whether there is 
     substantial credible evidence which provides substantial 
     cause for the Committee to conclude that a violation within 
     the jurisdiction of the Committee has occurred. The Committee 
     may make any of the following determinations:
       (1) The Committee may determine that there is not such 
     substantial credible evidence. In this case, the Committee 
     shall report its determination to the complainant, if any, 
     and to the respondent, together with an explanation of the 
     basis for the determination. The explanation may be as 
     detailed as the Committee desires, but it is not required to 
     include a complete discussion of the evidence collected in 
     the initial review.
       (2) The Committee may determine that there is such 
     substantial credible evidence, but that the alleged violation 
     is inadvertent, technical, or otherwise of a de minimis 
     nature. In this case, the Committee may attempt to correct or 
     to prevent such violation by informal methods. The 
     Committee's final determination in this matter shall be 
     reported to the complainant, if any, and to the respondent, 
     if any.
       (3) The Committee may determine that there is such 
     substantial credible evidence, but that the alleged 
     violation, if proven, although not of a de minimis nature, 
     would not be sufficiently serious to justify the severe 
     disciplinary actions specified in Senate Resolution 338, 88th 
     Congress, as amended (i.e., for a Member, censure, expulsion, 
     or recommendation to the appropriate party conference 
     regarding the Member's seniority or positions of 
     responsibility; of for an officer or employee, suspension or 
     dismissal). In this case, the Committee, by the recorded 
     affirmative vote of at least four Members, may propose a 
     remedy that it deems appropriate. If the respondent agrees to 
     the proposed remedy, a summary of the Committee's conclusions 
     and the remedy proposed and agreed to shall be filed as a 
     public record with the Secretary of the Senate and a notice 
     of the filing shall be printed in the Congressional Record.
       (4) The Committee may determine, by recorded affirmative 
     vote of at least four Members, that there is such substantial 
     credible evidence, and also either:
       (A) that the violation, if proved, would be sufficiently 
     serious to warrant imposition of one of the severe 
     disciplinary actions listed in paragraph (3); of
       (B) that the violation, if proven, is less serious, but was 
     not resolved pursuant to the procedure in paragraph (3). In 
     either case, the Committee shall order that an investigation 
     promptly be conducted in accordance with Rule 5.


           rule 5: procedures for conducting an investigation

       (a) Definition of Investigation: An ``investigation'' is a 
     proceeding undertaken by the Committee, by recorded 
     affirmative vote of at least four Members, after a finding on 
     the basis of an initial review that there is substantial 
     credible evidence which provides substantial cause for the 
     Committee to conclude that a violation within its 
     jurisdiction has occurred.
       (b) Scope of Investigation: When the Committee decides to 
     conduct an investigation, it shall be of such duration and 
     scope as is necessary for the Committee to determine whether 
     a violation within its jurisdiction has occurred. In the 
     course of the investigation, designated outside counsel, or 
     if the Committee determines not to use outside counsel, the 
     Committee or its staff, may conduct inquiries or interviews, 
     take sworn statements, use compulsory process as described in 
     Rule 7, or take any other actions that the Committee deems 
     appropriate to secure the evidence necessary to make this 
     determination.
       (c) Notice to Respondent: The Committee shall give written 
     notice to any known respondent who is the subject of an 
     investigation. The notice shall be sent to the respondent no 
     later than five working days after the Committee has voted to 
     conduct an investigation. The notice shall include a 
     statement of the nature of the possible violation, and a 
     description of the evidence indicating that a possible 
     violation occurred. The Committee shall offer the respondent 
     an opportunity to present a statement or to respond to 
     questions from Members of the Committee, the Committee staff, 
     or outside counsel.
       (d) Right to a Hearing: The Committee shall accord a 
     respondent an opportunity for a hearing before it recommends 
     disciplinary action against that respondent to the Senate.
       (e) Progress Reports to Committee: The Committee staff or 
     outside counsel shall periodically report to the Committee 
     concerning the progress of the investigation. Such reports 
     shall be delivered to the Committee in the form and according 
     to the schedule prescribed by the Committee, and shall be 
     confidential.
       (f) Report of Investigation:
       (1) Upon completion of an investigation, including any 
     hearings held pursuant to Rule 6, the outside counsel or the 
     staff shall submit a confidential written report to the 
     Committee, which shall detail the factual findings of the 
     investigation and which may recommend disciplinary action, if 
     appropriate. Findings of fact of the investigation shall be 
     detailed in this report whether or not disciplinary action is 
     recommended.
       (2) The Committee shall consider the report of the staff or 
     outside counsel promptly following its submission. The 
     Committee shall prepare and submit a report to the Senate, 
     including a recommendation to the Senate concerning 
     disciplinary action, if appropriate. A report shall be 
     issued, stating in detail the Committee's findings of fact, 
     whether or not disciplinary action is recommended. The report 
     shall also explain fully the reasons underlying the 
     Committee's recommendation concerning disciplinary action, if 
     any. No recommendation or resolution of the Committee 
     concerning the investigation of a Member, officer or employee 
     of the Senate may be approved except by the affirmative 
     recorded vote of not less than four Members of the Committee.
       (3) Promptly, after the conclusion of the investigation, 
     the Committee's report and recommendation shall be forwarded 
     to the Secretary of the Senate, and a copy shall be 
     provided to the complainant and the respondent. The full 
     report and recommendation shall be printed and made 
     public, unless the Committee determines by majority vote 
     that it should remain confidential.


                    rule 6: procedures for hearings

       (a) Right to Hearing: The Committee may hold a public or 
     executive hearing in any inquiry, initial review, 
     investigation, or other proceeding. The Committee shall 
     accord a respondent an opportunity for a hearing before it 
     recommends disciplinary action against that respondent to the 
     Senate. (See Rule 5(d).)
       (b) Non-Public Hearings: The Committee may at any time 
     during a hearing determine in accordance with paragraph 5(b) 
     of Rule XXVI of the Standing Rules of the Senate whether to 
     receive the testimony of specific witnesses in executive 
     session. If a witness desires to express a preference for 
     testifying in public or in executive session, he or she

[[Page S1490]]

     shall so notify the Committee at least five days before he or 
     she is scheduled to testify.
       (c) Adjudicatory Hearings: The Committee may, by majority 
     vote, designate any public or executive hearing as an 
     adjudicatory hearing; and, any hearing which is concerned 
     with possible disciplinary action against a respondent or 
     respondents designated by the Committee shall be an 
     adjudicatory hearing. In any adjudicatory hearing, the 
     procedures described in paragraph (j) shall apply.
       (d) Subpoena Power: The Committee may require, but subpoena 
     or otherwise, the attendance and testimony of such witnesses 
     and the production of such correspondence, books, papers, 
     documents or other articles as it deems advisable. (See Rule 
     7.)
       (e) Notice of Hearings: The Committee shall make public an 
     announcement of the date, place, and subject matter of any 
     hearing to be conducted by it, in accordance with Rule 1(f).
       (f) Presiding Officer: The Chairman shall preside over the 
     hearings, or in his absence the Vice Chairman. If the Vice 
     Chairman is also absent, a Committee Member designated by the 
     Chairman shall preside. If an oath or affirmation is 
     required, it shall be administered to a witness by the 
     Presiding Officer, or in his absence, by any Committee 
     Member.
       (g) Witnesses:
       (1) A subpoena or other request to testify shall be served 
     on a witness sufficiently in advance of his or her scheduled 
     appearance to allow the witness a reasonable period of time, 
     as determined by the Committee, to prepare for the hearing 
     and to employ counsel if desired.
       (2) The Committee may, by a majority vote, rule that no 
     Member of the Committee or staff or outside counsel shall 
     make public the name of any witness subpoenaed by the 
     Committee before the date of that witness' scheduled 
     appearance, except as specifically authorized by the Chairman 
     and Vice Chairman, acting jointly.
       (3) Any witness desiring to read a prepared or written 
     statement in executive or public hearings shall file a copy 
     of such statement with the Committee at least two working 
     days in advance of the hearing at which the statement is to 
     be presented. The Chairman and Vice Chairman shall determine 
     whether such statements may be read or placed in the record 
     of the hearing.
       (4) Insofar as practicable, each witness shall be permitted 
     to present a brief oral opening statement, if he or she 
     desires to do so.
       (h) Right To Testify: Any person whose name is mentioned or 
     who is specifically identified or otherwise referred to in 
     testimony or in statements made by a Committee Member, staff 
     Member or outside counsel, or any witness, and who reasonably 
     believes that the statement tends to adversely affect his or 
     her reputation may--
       (1) Request to appear personally before the Committee to 
     testify in his or her own behalf; or
       (2) File a sworn statement of facts relevant to the 
     testimony or other evidence or statement of which he or she 
     complained. Such request and such statement shall be 
     submitted to the Committee for its consideration and action.
       (i) Conduct of Witnesses and Other Attendees: The Presiding 
     Officer may punish any breaches of order and decorum by 
     censure and exclusion from the hearings. The Committee, by 
     majority vote, may recommend to the Senate that the offender 
     be cited for contempt of Congress.
       (j) Adjudicator Hearing Procedures:
       (1) Notice of hearings: A copy of the public announcement 
     of an adjudicatory hearing, required by paragraph (e), shall 
     be furnished together with a copy of these Rules to all 
     witnesses at the time that they are subpoenaed or otherwise 
     summoned to testify.
       (2) Preparation for adjudicatory hearings:
       (A) At least five working days prior to the commencement of 
     an adjudicatory hearing the Committee shall provide the 
     following information and documents to the respondent, if 
     any:
       (i) a list of proposed witnesses to be called at the 
     hearing;
       (ii) copies of all documents expected to be introduced as 
     exhibits at the hearing; and
       (iii) a brief statement as to the nature of the testimony 
     expected to be given by each witness to be called at the 
     hearing.
       (B) At least two working days prior to the commencement of 
     an adjudicatory hearing, the respondent, if any, shall 
     provide the information and documents described in divisions 
     (i), (ii) and (iii) of subparagraph (A) to the Committee.
       (C) At the discretion of the Committee, the information and 
     documents to be exchanged under this paragraph shall be 
     subject to an appropriate agreement limiting access and 
     disclosure.
       (D) If a respondent refuses to provide the information and 
     documents to the Committee (see (A) and (B) of 
     this subparagraph), or if a respondent or other individual 
     violates an agreement limiting access and disclosure, the 
     Committee, by majority vote, may recommend to the Senate 
     that the offender be cited for contempt of Congress.
       (3) Swearing of witnesses: All witnesses who testify at 
     adjudicatory hearings shall be sworn unless the Presiding 
     Officer, for good cause, decides that witness does not have 
     to be sworn.
       (4) Right to counsel: Any witness at an adjudicatory 
     hearing may be accompanied by counsel of his or her own 
     choosing, who shall be permitted to advise the witness of his 
     or her legal rights during the testimony.
       (5) Right to cross-examine and call witnesses:
       (A) In adjudicatory hearings, any respondent who is the 
     subject of an investigation, and any other person who obtains 
     the permission of the Committee, may personally or through 
     counsel cross-examine witnesses called by the Committee and 
     may call witnesses in his or her own behalf.
       (B) A respondent may apply to the Committee for the 
     issuance of subpoenas for the appearance of witnesses or the 
     production of documents on his or her behalf. An application 
     shall be approved upon a concise showing by the respondent 
     that the proposed testimony or evidence is relevant and 
     appropriate, as determined by the Chairman and Vice Chairman.
       (C) With respect to witnesses called by a respondent, or 
     other individual given permission by the Committee, each such 
     witness shall first be examined by the party who called the 
     witness or by that party's counsel.
       (D) At least one working day before a witness' scheduled 
     appearance, a witness or a witness' counsel may submit to the 
     Committee written questions proposed to be asked of that 
     witness. If the Committee determines that it is necessary, 
     such questions may be asked by any Member of the Committee, 
     or by any Committee staff member if directed by a Committee 
     Member. The witness or witness' counsel may also submit 
     additional sworn testimony for the record within twenty-four 
     hours after the last day that the witness has testified. The 
     insertion of such testimony in that day's record is subject 
     to the approval of the Chairman and Vice Chairman acting 
     jointly within five days after the testimony is received.
       (6) Admissibility of evidence:
       (A) The object of the hearing shall be to ascertain the 
     truth. Any evidence that may be relevant and probative shall 
     be admissible unless privileged under the Federal Rules of 
     Evidence. Rules of evidence shall not be applied strictly, 
     but the Presiding Officer shall exclude irrelevant or unduly 
     repetitious testimony. Objections going only to the weight 
     that should be given evidence will not justify its exclusion.
       (B) The Presiding Officer shall rule upon any question of 
     the admissibility of testimony or other evidence presented to 
     the Committee. Such rulings shall be final unless reversed or 
     modified by a majority vote of the Committee before the 
     recess of that day's hearings.
       (C) Notwithstanding paragraphs (A) and (B), in any matter 
     before the committee involving allegations of sexual 
     discrimination, including sexual harassment, or sexual 
     misconduct, by a Member, officer, or employee within the 
     jurisdiction of the Committee, the Committee shall be guided 
     by the standards and procedures of Rule 412 of the Federal 
     Rules of Evidence, except that the Committee may admit 
     evidence subject to the provisions of this paragraph only 
     upon a determination of a majority of the Members of the full 
     Committee that the interests of justice require that such 
     evidence be admitted.
       (7) Supplementary hearing procedures: The Committee may 
     adopt any additional special hearing procedures that it deems 
     necessary or appropriate to a particular adjudicatory 
     hearing. Copies of such supplementary procedures shall be 
     furnished to witnesses and respondents, and shall be made 
     available upon request to any Member of the public.
       (k) Transcripts:
       (l) An accurate stenographic or recorded transcript shall 
     be made of all public and executive hearings. Any Member of 
     the Committee, Committee staff Member, outside counsel 
     retained by the Committee, or witness may examine a copy of 
     the transcript retained by the Committee of his or her own 
     remarks and may suggest to the official reporter any 
     typographical or transcription errors. If the reporter 
     declines to make the requested corrections, the Member, staff 
     Member, outside counsel or witness may request a ruling by 
     the Chairman and Vice Chairman, acting jointly. Any Member or 
     witness shall return the transcript with suggested 
     corrections to the Committee offices within five working days 
     after receipt of the transcript, or as soon thereafter as is 
     practicable. If the testimony was given in executive session, 
     the Member or witness may only inspect the transcript at a 
     location determined by the Chairman and Vice Chairman, acting 
     jointly. Any questions arising with respect to the processing 
     and correction of transcripts shall be decided by the 
     Chairman and Vice Chairman, acting jointly.
       (2) Except for the record of a hearing which is closed to 
     the public, each transcript shall be printed as soon as is 
     practicable after receipt of the corrected version. The 
     Chairman and Vice Chairman, acting jointly, may order the 
     transcript of a hearing to be printed without the corrections 
     of a Member or witness if they determine that such Member or 
     witness has been afforded a reasonable time to correct such 
     transcript and such transcript has not been returned within 
     such time.
       (3) The Committee shall furnish each witness, at no cost, 
     one transcript copy of that witness' testimony given at a 
     public hearing. If the testimony was given in executive 
     session, then a transcript copy shall be provided upon 
     request, subject to appropriate conditions and restrictions 
     prescribed by the Chairman and Vice Chairman. If any 
     individual violates such conditions and restrictions, the 
     Committee may recommend by majority vote that he or she be 
     cited for contempt of Congress.

[[Page S1491]]

                   rule 7: subpoenas and depositions

       (a) Subpoenas:
       (1) Authorization for Issuance: Subpoenas for the 
     attendance and testimony of witnesses at depositions or 
     hearings, and subpoenas for the production of documents and 
     tangible things at depositions, hearings, or other times and 
     places designated therein, may be authorized for issuance by 
     either (A) a majority vote of the Committee, or (B) the 
     Chairman and Vice Chairman, acting jointly, at any time 
     before a preliminary inquiry, for the purpose of obtaining 
     information to evaluate unsworn allegations or information, 
     or at any time during a preliminary inquiry, initial review, 
     investigation, or other proceeding.
       (2) Signature and Service: All subpoenas shall be signed by 
     the Chairman or the Vice Chairman and may be served by any 
     person eighteen years of age or older, who is designated by 
     the Chairman or Vice Chairman. Each subpoena shall be served 
     with a copy of the Rules of the Committee and a brief 
     statement of the purpose of the Committee's proceeding.
       (3) Withdrawal of Subpoena: The Committee, by majority 
     vote, may withdraw any subpoena authorized for issuance by it 
     or authorized for issuance by the Chairman and Vice Chairman, 
     acting jointly. The Chairman and Vice Chairman, acting 
     jointly, may withdraw any subpoena authorized for issuance by 
     them.
       (b) Depositions:
       (1) Persons Authorized To Take Depositions: Depositions may 
     be taken by any Member of the Committee, designated by the 
     Chairman and Vice Chairman, acting jointly, or by any other 
     person designated by the Chairman and Vice Chairman, acting 
     jointly, including outside counsel, Committee staff, other 
     employees of the Senate, or government employees detailed to 
     the Committee.
       (2) Deposition Notices: Notices for the taking of 
     depositions shall be authorized by the Committee, or the 
     Chairman and Vice Chairman, acting jointly, and issued by the 
     Chairman, Vice Chairman, or a Committee staff Member or 
     outside counsel designated by the Chairman and Vice Chairman, 
     acting jointly. Depositions may be taken at any time before a 
     preliminary inquiry, for the purpose of obtaining information 
     to evaluate unsworn allegations or information, or at any 
     time during a preliminary inquiry, initial review, 
     investigation, or other proceeding. Deposition notices shall 
     specify a time and place for examination. Unless otherwise 
     specified, the deposition shall be in private, and the 
     testimony taken and documents produced shall be deemed for 
     the purpose of these rules to have been received in a closed 
     or executive session of the Committee. The Committee shall 
     not initiate procedures leading to criminal or civil 
     enforcement proceedings for a witness's failure to appear, or 
     to testify, or to produce documents, unless the deposition 
     notice was accompanied by a subpoena authorized for issuance 
     by the Committee, or the Chairman and Vice Chairman, acting 
     jointly.
       (3) Counsel at Depositions: Witnesses may be accompanied at 
     a deposition by counsel to advise them of their rights.
       (4) Deposition Procedure: Witnesses at depositions shall be 
     examined upon oath administered by an individual authorized 
     by law to administer oaths, or administered by any Member of 
     the Committee if one is present. Questions may be propounded 
     by any person or persons who are authorized to take 
     depositions for the Committee. If a witness objects to a 
     question and refuses to testify, or refuses to produce a 
     document, any Member of the Committee who is present may rule 
     on the objection and, if the objection is overruled, direct 
     the witness to answer the question or produce the document. 
     If no Member of the Committee is present, the individual who 
     has been designated by the Chairman and Vice Chairman, acting 
     jointly, to take the deposition 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 Vice Chairman of the Committee, who may refer 
     the matter to the Committee or rule on the objection. If the 
     Chairman or Vice Chairman, or the Committee upon referral, 
     overrules the objection, the Chairman, Vice Chairman, or the 
     Committee as the case may be, may direct the witness to 
     answer the question or produce the document. The Committee 
     shall not initiate procedures leading to civil or criminal 
     enforcement unless the witness refuses to testify or produce 
     documents after having been directed to do so.
       (5) Filing of Depositions: Deposition testimony shall be 
     transcribed or electronically recorded. If the deposition is 
     transcribed, the individual administering the oath shall 
     certify on the transcript that the witness was duly sworn in 
     his or her presence and the transcriber shall certify that 
     the transcript is a true record of the testimony. The 
     transcript with these certifications shall be filed with the 
     chief clerk of the Committee, and the witness shall be 
     furnished with access to a copy at the Committee's offices 
     for review. Upon inspecting the transcript, within a time 
     limit set by the Chairman and Vice Chairman, acting jointly, 
     a witness may request in writing changes in the transcript to 
     correct errors in transcription. The witness may also bring 
     to the attention of the Committee errors of fact in the 
     witness's testimony by submitting a sworn statement about 
     those facts with a request that it be attached to the 
     transcript. The Chairman and Vice Chairman, acting jointly, 
     may rule on the witness's request, and the changes or 
     attachments allowed shall be certified by the Committee's 
     chief clerk. If the witness fails to make any request under 
     this paragraph within the time limit set, this fact shall be 
     noted by the Committee's chief clerk. Any person authorized 
     by the Committee may stipulate with the witness to changes in 
     this procedure.


 rule 8: violations of law; perjury; legislative recommendations; and 
               applicable rules and standards of conduct

       (a) Violations of Law: Whenever the Committee determines by 
     majority vote that there is reason to believe that a 
     violation of law may have occurred, it shall report such 
     possible violation to the proper state and federal 
     authorities.
       (b) Perjury: Any person who knowingly and willfully swears 
     falsely to a sworn complaint or any other sworn statement to 
     the Committee does so under penalty of perjury. The Committee 
     may refer any such case to the Attorney General for 
     prosecution.
       (c) Legislative Recommendations: The Committee shall 
     recommend to the Senate by report or resolution such 
     additional rules, regulations, or other legislative measures 
     as it determines to be necessary or desirable to ensure 
     proper standards of conduct by Members, officers, or 
     employees of the Senate. The Committee may conduct such 
     inquiries as it deems necessary to prepare such a report or 
     resolution, including the holding of hearings in public or 
     executive session and the use of subpoenas to compel the 
     attendance of witnesses or the production of materials. The 
     Committee may make legislative recommendations as a result of 
     its findings in an initial review, investigation, or other 
     proceeding.
       (d) Applicable Rules and Standards of Conduct:
       (1) No initial review or investigation shall be made of an 
     alleged violation of any law, rule, regulation, or provision 
     of the Senate Code of Official Conduct which was not in 
     effect at the time the alleged violation occurred. No 
     provision of the Senate Code of Official Conduct shall apply 
     to, or require disclosure of any act, relationship, or 
     transaction which occurred prior to the effective date of the 
     applicable provision of the Code.
       (2) The Committee may conduct an initial review or 
     investigation of an alleged violation of a rule or law which 
     was in effect prior to the enactment of the Senate Code of 
     Official Conduct if the alleged violation occurred while such 
     rule or law was in effect and the violation was not a matter 
     resolved on the merits by the predecessor Committee.


  rule 9: procedures for handling committee sensitive and classified 
                               materials

       (a) Procedures for Handling Committee Sensitive Materials:
       (1) Committee Sensitive information or material is 
     information or material in the possession of the Select 
     Committee on Ethics which pertains to illegal or improper 
     conduct by a present or former Member, officer, or employee 
     of the Senate; to allegations or accusation of such conduct; 
     to any resulting preliminary inquiry, initial review, or 
     investigation by the Select Committee on Ethics into such 
     allegations or conduct; to the investigative techniques and 
     procedures of the Select Committee on Ethics; or to other 
     information or material designated by the staff director, or 
     outside counsel designated by the Chairman and Vice Chairman.
       (2) The Chairman and Vice Chairman of the Committee shall 
     establish such procedures as may be necessary to prevent the 
     unauthorized disclosure of Committee Sensitive information in 
     the possession of the Committee or its staff. Procedures for 
     protecting Committee Sensitive materials shall be in writing 
     and shall be given to each Committee staff Member.
       (b) Procedures for Handling Classified Materials:
       (1) Classified information or material is information or 
     material which is specifically designated as classified under 
     the authority of Executive Order 11652 requiring protection 
     of such information or material from unauthorized disclosure 
     in order to prevent damage to the United States.
       (2) The Chairman and Vice Chairman of the Committee shall 
     establish such procedures as may be necessary to prevent the 
     unauthorized disclosure of classified information in the 
     possession of the Committee or its staff. Procedures for 
     handling such information shall be in writing and a copy of 
     the procedures shall be given to each staff Member cleared 
     for access to classified information.
       (3) Each Member of the Committee shall have access to 
     classified material in the Committee's possession. Only 
     Committee staff Members with appropriate security clearances 
     and a need-to-know, as approved by the Chairman and Vice 
     Chairman, acting jointly, shall have access to classified 
     information in the Committee's possession.
       (c) Procedures for Handling Committee Sensitive and 
     Classified Documents:
       (1) Committee Sensitive and classified documents and 
     materials shall be segregated in secure filing safes. Removal 
     from the Committee offices of such documents or materials is 
     prohibited except as necessary for use in, or preparation 
     for, interviews or Committee meetings, including the taking 
     of testimony, or as otherwise specifically approved by the 
     staff director or by outside counsel designated by the 
     Chairman and Vice Chairman.
       (2) Each Member of the Committee shall have access to all 
     materials in the Committee's possession. The staffs of 
     Members shall

[[Page S1492]]

     not have access to Committee Sensitive or classified 
     documents and materials without the specific approval in each 
     instance of the Chairman, and Vice Chairman, acting jointly. 
     Members may examine such materials in the Committee's 
     offices. If necessary, requested materials may be taken by a 
     Member of the Committee staff to the office of a Member of 
     the Committee for his or her examination, but the Committee 
     staff Member shall remain with the Committee Sensitive or 
     classified documents or materials at all times except as 
     specifically authorized by the Chairman or Vice Chairman.
       (3) Any Member of the Senate who is not a Member of the 
     Committee and who seeks access to any Committee Sensitive or 
     classified documents or materials, other than documents or 
     materials which are matters of public record, shall request 
     access in writing. The Committee shall decide by majority 
     vote whether to make documents or materials available. If 
     access is granted, the Member shall not disclose the 
     information except as authorized by the Committee.
       (4) Whenever the Committee makes Committee Sensitive or 
     classified documents or materials available to any Member of 
     the Senate who is not a Member of the Committee, or to a 
     staff person of a Committee Member in response to a specific 
     request to the Chairman and Vice Chairman, a written 
     record shall be made identifying the Member of the Senate 
     requesting such documents or materials and describing what 
     was made available and to whom.
       (d) Non-Disclosure Policy and Agreement:
       (1) Except as provided in the last sentence of this 
     paragraph, no Member of the Select Committee on Ethics, its 
     staff or any person engaged by contract or otherwise to 
     perform services for the Select Committee on Ethics shall 
     release, divulge, publish, reveal by writing, word, conduct, 
     or disclose in any way, in whole, or in part, or by way of 
     summary, during tenure with the Select Committee on Ethics or 
     anytime thereafter, any testimony given before the Select 
     Committee on Ethics in executive session (including the name 
     of any witness who appeared or was called to appear in 
     executive session), any classified or Committee Sensitive 
     information, document or material, received or generated by 
     the Select Committee on Ethics or any classified or Committee 
     Sensitive information which may come into the possession of 
     such person during tenure with the Select Committee on Ethics 
     or its staff. Such information, documents, or material may be 
     released to an official of the executive branch properly 
     cleared for access with a need-to-know, for any purpose or in 
     connection with any proceeding, judicial or otherwise, as 
     authorized by the Select Committee on Ethics, or in the event 
     of termination of the Select Committee on Ethics, in such a 
     manner as may be determined by its successor or by the 
     Senate.
       (2) No Member of the Select Committee on Ethics staff or 
     any person engaged by contract or otherwise to perform 
     services for the Select Committee on Ethics, shall be granted 
     access to classified or Committee Sensitive information or 
     material in the possession of the Select Committee on Ethics 
     unless and until such person agrees in writing, as a 
     condition of employment, to the non-disclosure policy. The 
     agreement shall become effective when signed by the Chairman 
     and Vice Chairman on behalf of the Committee.


    rule 10: broadcasting and news coverage of committee proceedings

       (a) Whenever any hearing or meeting of the Committee is 
     open to the public, the Committee shall permit that hearing 
     or meeting to be covered in whole or in part, by television 
     broadcast, radio broadcast, still photography, or by any 
     other methods of coverage, unless the Committee decides by 
     majority vote that such coverage is not appropriate at a 
     particular hearing or meeting.
       (b) Any witness served with a subpoena by the Committee may 
     request not to be photographed at any hearing or to give 
     evidence or testimony while the broadcasting, reproduction, 
     or coverage of that hearing, by radio, television, still 
     photography, or other methods is occurring. At the request of 
     any such witness who does not wish to be subjected to radio, 
     television, still photography, or other methods of coverage, 
     and subject to the approval of the Committee, all lenses 
     shall be covered and all microphones used for coverage turned 
     off.
       (c) If coverage is permitted, it shall be in accordance 
     with the following requirements:
       (1) Photographers and reporters using mechanical recording, 
     filming, or broadcasting apparatus shall position their 
     equipment so as not to interfere with the seating, vision, 
     and hearing of the Committee Members and staff, or with the 
     orderly process of the meeting or hearing.
       (2) If the television or radio coverage of the hearing or 
     meeting is to be presented to the public as live coverage, 
     the coverage shall be conducted and presented without 
     commercial sponsorship.
       (3) Personnel providing coverage by the television and 
     radio media shall be currently accredited to the Radio and 
     Television Correspondents' Galleries.
       (4) Personnel providing coverage by still photography shall 
     be currently accredited to the Press Photographers' Gallery 
     Committee of Press Photographers.
       (5) Personnel providing coverage by the television and 
     radio media and by still photography shall conduct themselves 
     and the coverage activities in an orderly and unobtrusive 
     manner.


               rule 11: procedures for advisory opinions

       (a) When Advisory Opinions Are Rendered:
       (1) The Committee shall render an advisory opinion, in 
     writing within a reasonable time, in response to a written 
     request by a Member or officer of the Senate or a candidate 
     for nomination for election, or election to the Senate, 
     concerning the application of any law, the Senate Code of 
     Official Conduct, or any rule or regulation of the Senate 
     within the Committee's jurisdiction, to a specific factual 
     situation pertinent to the conduct or proposed conduct of the 
     person seeking the advisory opinion.
       (2) The Committee may issue an advisory opinion in writing 
     within a reasonable time in response to a written request by 
     any employee of the Senate concerning the application of any 
     law, the Senate Code of Official Conduct, or any rule or 
     regulation of the Senate within the Committee's jurisdiction, 
     to a specific factual situation pertinent to the conduct or 
     proposed conduct of the person seeking the advisory opinion.
       (b) Form of Request: A request for an advisory opinion 
     shall be directed in writing to the Chairman of the Committee 
     and shall include a complete and accurate statement of the 
     specific factual situation with respect to which the request 
     is made as well as the specific question or questions which 
     the requestor wishes the Committee to address.
       (c) Opportunity for Comment:
       (1) The Committee will provide an opportunity for any 
     interested party to comment on a request for an advisory 
     opinion--
       (A) which requires an interpretation on a significant 
     question of first impression that will affect more than a few 
     individuals; or
       (B) when the Committee determines that comments from 
     interested parties would be of assistance.
       (2) Notice of any such request for an advisory opinion 
     shall be published in the Congressional Record, with 
     appropriate deletions to insure confidentiality, and 
     interested parties will be asked to submit their comments in 
     writing to the Committee within ten days.
       (3) All relevant comments received on a timely basis will 
     be considered.
       (d) Issuance of an Advisory Opinion:
       (1) The Committee staff shall prepare a proposed advisory 
     opinion in draft form which will first be reviewed and 
     approved by the Chairman and Vice Chairman, acting jointly, 
     and will be presented to the Committee for final action. If 
     (A) the Chairman and Vice Chairman cannot agree, or (B) 
     either the Chairman or Vice Chairman requests that it be 
     taken directly to the Committee, then the proposed advisory 
     opinion shall be referred to the Committee for its decision.
       (2) An advisory opinion shall be issued only by the 
     affirmative recorded vote of a majority of the Members 
     voting.
       (3) Each advisory opinion issued by the Committee shall be 
     promptly transmitted for publication in the Congressional 
     Record after appropriate deletions are made to insure 
     confidentiality. The Committee may at any time revise, 
     withdraw, or elaborate on any advisory opinion.
       (e) Reliance on Advisory Opinions:
       (1) Any advisory opinion issued by the Committee under 
     Senate Resolution 338, 88th Congress, as amended, and the 
     rules may be relied upon by--
       (A) Any person involved in the specific transaction or 
     activity with respect to which such advisory opinion is 
     rendered if the request for such advisory opinion included a 
     complete and accurate statement of the specific factual 
     situation; and
       (B) any person involved in any specific transaction or 
     activity which is indistinguishable in all its material 
     aspects from the transaction or activity with respect to 
     which such advisory opinion is rendered.
       (2) Any person who relies upon any provision or finding of 
     an advisory opinion in accordance with the provisions of 
     Senate Resolution 338, 88th Congress, as amended, and of the 
     rules, and who acts in good faith in accordance with the 
     provisions and findings of such advisory opinion shall not, 
     as a result of any such act, be subject to any sanction by 
     the Senate.


             Rule 12: Procedures for Interpretative Rulings

       (a) Basis for Interpretative Rulings: Senate Resolution 
     338, 88th Congress, as amended, authorizes the Committee to 
     issue interpretative rulings explaining and clarifying the 
     application of any law, the Code of Official Conduct, or any 
     rule or regulation of the Senate within its jurisdiction. The 
     Committee also may issue such rulings clarifying or 
     explaining and rule or regulation of the Select Committee on 
     Ethics.
       (b) Request for Ruling: A request for such a ruling must be 
     directed in writing to the Chairman or Vice Chairman of the 
     Committee.
       (c) Adoption of Ruling:
       (1) The Chairman and Vice Chairman, acting jointly, shall 
     issue a written interpretative ruling in response to any such 
     request, unless--
       (A) they cannot agree,
       (B) it requires an interpretation of a significant question 
     of first impression, or
       (C) either requests that it be taken to the Committee, in 
     which event the request shall be directed to the Committee 
     for a ruling.
       (2) A ruling on any request taken to the Committee under 
     subparagraph (1) shall be adopted by a majority of the 
     Members voting and the ruling shall then be issued by the 
     Chairman and Vice Chairman.

[[Page S1493]]

       (d) Publication of Rulings: The Committee will publish in 
     the Congressional Record, after making appropriate deletions 
     to ensure confidentiality, any interpretative rulings issued 
     under this Rule which the Committee determines may be of 
     assistance or guidance to other Members, officers or 
     employees. The Committee may at any time revise, withdraw, or 
     elaborate on interpretative rulings.
       (e) Reliance on Rulings: Whenever an individual can 
     demonstrate to the Committee's satisfaction that his or her 
     conduct was in good faith reliance on an interpretative 
     ruling issued in accordance with this Rule, the Committee 
     will not recommend sanctions to the Senate as a result of 
     such conduct.
       (f) Rulings by Committee Staff: The Committee staff is not 
     authorized to make rulings or give advice, orally or in 
     writing, which binds the Committee in any way.


   Rule 13: Procedures for Complaints Involving Improper Use of the 
                             Mailing Frank

       (a) Authority To Receive Complaints: The Committee is 
     directed by section 6(b) of Public Law 9309191 to receive and 
     dispose of complaints that a violation of the use of the 
     mailing frank has occurred or is about to occur by a Member 
     or officer of the Senate or by a surviving spouse of a 
     Member. All such complaints will be processed in accordance 
     with the provisions of these Rules, except as provided in 
     paragraph (b).
       (b) Disposition of Complaints:
       (1) The Committee may dispose of any such complaint by 
     requiring restitution of the cost of the mailing if it finds 
     that the franking violation was the result of a mistake.
       (2) Any complaint disposed of by restitution that is made 
     after the Committee has formally commenced an initial review 
     or investigation, must be summarized, together with the 
     disposition, in a notice promptly transmitted for publication 
     in the Congressional Record.
       (3) If a complaint is disposed of by restitution, the 
     complainant, if any, shall be notified of the disposition in 
     writing.
       (c) Advisory Opinions and Interpretative Rulings: Requests 
     for advisory opinions or interpretative rulings involving 
     franking questions shall be processed in accordance with 
     Rules 11 and 12.


                    Rule 14: Procedures for Waivers

       (a) Authority for Waivers: The Committee is authorized to 
     grant a waiver under the following provisions of the Standing 
     Rules of the Senate:
       (1) Section 101(h) of the Ethics in Government Act of 1978, 
     as amended (Rule XXXIV), relating to the filing of financial 
     disclosure reports by individuals who are expected to perform 
     or who have performed the duties of their offices or 
     positions for less than one hundred and thirty days in a 
     calendar year;
       (2) Section 102(a)(2)(D) of the Ethics in Government Act, 
     as amended (Rule XXXIV), relating to the reporting of gifts;
       (3) Paragraph 1 of Rule XXXV relating to acceptance of 
     gifts; or
       (4) Paragraph 5 of Rule XLI relating to applicability of 
     any of the provisions of the Code of Official Conduct to an 
     employee of the Senate hired on a per diem basis.
       (b) Requests for Waivers: A request for a waiver under 
     paragraph (a) must be directed to the Chairman or Vice 
     Chairman in writing and must specify the nature of the waiver 
     being sought and explain in detail the facts alleged to 
     justify a waiver. In the case of a request submitted by an 
     employee, the views of his or her supervisor (as determined 
     under paragraph 12 of Rule XXXVII of the Standing Rules of 
     the Senate) should be included with the waiver request.
       (c) Ruling: The Committee shall rule on a waiver request by 
     recorded vote, with a majority of those voting affirming the 
     decision.
       (d) Availability of Waiver Determinations: A brief 
     description of any waiver granted by the Committee, with 
     appropriate deletions to ensure confidentiality, shall be 
     made available for review upon request in the Committee 
     office. Waivers granted by the Committee pursuant to the 
     Ethics in Government Act of 1978, as amended, may only be 
     granted pursuant to a publicly available request as required 
     by the Act.


             Rule 15: Definition of ``Officer or Employee''

       (a) As used in the applicable resolutions and in these 
     rules and procedures, the term ``officer or employee of the 
     Senate'' means:
       (1) An elected officer of the Senate who is not a Member of 
     the Senate;
       (2) An employee of the Senate, any committee or 
     subcommittee of the Senate, or any Member of the Senate;
       (3) The Legislative Counsel of the Senate or any employee 
     of his office;
       (4) An Official Reporter of Debates of the Senate and any 
     person employed by the Official Reporters of Debates of the 
     Senate in connection with the performance of their official 
     duties;
       (5) A Member of the Capitol Police force whose 
     compensation is disbursed by the Secretary of the Senate;
       (6) An employee of the Vice President, if such employee's 
     compensation is disbursed by the Secretary of the Senate;
       (7) An employee of a joint committee of the Congress whose 
     compensation is disbursed by the Secretary of the Senate;
       (8) An officer or employee of any department or agency of 
     the Federal Government whose services are being utilized on a 
     full-time and continuing basis by a Member, officer, 
     employee, or committee of the Senate in accordance with Rule 
     XLI(3) of the Standing Rules of the Senate; and
       (9) Any other individual whose full-time services are 
     utilized for more than ninety days in a calendar year by a 
     Member, officer, employee, or committee of the Senate in the 
     conduct of official duties in accordance with Rule XLI(4) of 
     the Standing Rules of the Senate.


                        rule 16: committee staff

       (a) Committee Policy:
       (1) The staff is to be assembled and retained as a 
     permanent, professional, nonpartisan staff.
       (2) Each Member of the staff shall be professional and 
     demonstrably qualified for the position for which he or she 
     is hired.
       (3) The staff as a whole and each Member of the staff shall 
     perform all official duties in a nonpartisan manner.
       (4) No Member of the staff shall engage in any partisan 
     political activity directly affecting any congressional or 
     presidential election.
       (5) No Member of the staff or outside counsel may accept 
     public speaking engagements or write for publication on any 
     subject that is in any way related to his or her employment 
     or duties with the Committee without specific advance 
     permission from the Chairman and Vice Chairman.
       (6) No Member of the staff may make public, without 
     Committee approval, any Committee Sensitive or classified 
     information, documents, or other material obtained during the 
     course of his or her employment with the Committee.
       (b) Appointment of Staff:
       (1) The appointment of all staff Members shall be approved 
     by the Chairman and Vice Chairman, acting jointly.
       (2) The Committee may determine by majority vote that it is 
     necessary to retain staff Members, including a staff 
     recommended by a special counsel, for the purpose of a 
     particular initial review, investigation, or other 
     proceeding. Such staff shall be retained only for the 
     duration of that particular undertaking.
       (3) The Committee is authorized to retain and compensate 
     counsel not employed by the Senate (or by any department or 
     agency of the Executive Branch of the Government) whenever 
     the Committee determines that the retention of outside 
     counsel if necessary or appropriate for any action regarding 
     any complaint or allegation, initial review, investigation, 
     or other proceeding, which in the determination of the 
     Committee, is more appropriately conducted by counsel not 
     employed by the Government of the United States as a regular 
     employee. The Committee shall retain and compensate outside 
     counsel to conduct any investigation undertaken after an 
     initial review of a sworn complaint, unless the Committee 
     determines that the use of outside counsel is not appropriate 
     in the particular case.
       (c) Dismissal of Staff: A staff Member may not be removed 
     for partisan, political reasons, or merely as a consequence 
     of the rotation of the Committee Membership. The Chairman and 
     Vice Chairman, acting jointly, shall approve the dismissal of 
     any staff Member.
       (d) Staff Works for Committee as Whole: All staff employed 
     by the committee or housed in Committee offices shall work 
     for the Committee as a whole, under the general direction of 
     the Chairman and Vice Chairman, and the immediate direction 
     of the staff director or outside counsel.
       (e) Notice of Summons To Testify: Each Member of the 
     Committee staff shall immediately notify the Committee in the 
     event that he or she is called upon by a properly constituted 
     authority to testify or provide confidential information 
     obtained as a result of and during his or her employment with 
     the Committee.


           rule 17: changes in supplementary procedural rules

       (a) Adoption of Changes in Supplementary Rules: The Rules 
     of the Committee, other than rules established by statute, or 
     by the Standing Rules and Standing Orders of the Senate, may 
     be modified, amended, or suspended at any time, pursuant to a 
     majority vote of the entire Membership taken at a meeting 
     called with due notice when prior written notice of the 
     proposed change has been provided each Member of the 
     Committee.
       (b) Publication: Any amendments adopted to the Rules of 
     this Committee shall be published in the Congressional Record 
     in accordance with Rule XXVI(2) of the Standing Rules of the 
     Senate.

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