[Congressional Record Volume 145, Number 28 (Tuesday, February 23, 1999)]
[Senate]
[Pages S1832-S1844]
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 April 1997, be printed in the 
Congressional Record for the 106th Congress.
  The rules follow:

                           Rules of Procedure

 (Select Committee on Ethics, Adopted February 23, 1978, Revised April 
                         1997, S. Prt. 105-19)

                Rules of the Select Committee on Ethics

                       Part I: Organic Authority


                   subpart a--s. res. 338 as amended

             (S. Res. 338, 88th Cong., 2d Sess. (1964) \1\)

       Resolved, That (a) there is hereby established a permanent 
     select committee of the Senate to be known as the Select 
     Committee on Ethics (referred to hereinafter as the ``Select 
     Committee'') consisting of six Members of the Senate, of whom 
     three shall be selected from members of the majority party 
     and three shall be selected from members of the minority 
     party. Members thereof shall be appointed by the Senate in 
     accordance with the provisions of Paragraph 1 of Rule XXIV of 
     the standing rules for the Senate at the beginning of each 
     Congress. For purposes of paragraph 4 of rule XXV of the 
     Standing Rules of the Senate, service of a Senator as a 
     member or chairman of the Select Committee shall not be taken 
     into account.
     Footnotes at end of article.
       (b) Vacancies in the membership of the Select Committee 
     shall not affect the authority of the remaining members to 
     execute the functions of the committee, and shall be filled 
     in the same manner as original appointments thereto are made.
       (c)(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 routine business of the Select Committee not 
     covered by the first paragraph of this subparagraph, 
     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) The Select Committee may fix a lesser number as a 
     quorum for the purpose of taking sworn testimony.\2\
       \3\``(d)(1) A member of the Select Committee shall be 
     ineligible to participate in any initial review or 
     investigation relating to his own conduct, the conduct of 
     any officer or employee he supervises, or the conduct of 
     any employee of any officer he supervises, or relating to 
     any complaint filed by him, and the determinations and 
     recommendations of

[[Page S1833]]

     the Select Committee with respect thereto. For purposes of 
     this subparagraph, a Member of the Select Committee and an 
     officer of the Senate shall be deemed to supervise any 
     officer or employee consistent with the provision of 
     paragraph 12 of rule XXXVII of the standing Rules of the 
     Senate.
       ``(2) A member of the Select Committee may, at his 
     discretion, disqualify himself from participating in any 
     initial review or investigation pending before the Select 
     Committee and the determinations and recommendations of the 
     Select Committee with respect thereto. Notice of such 
     disqualification shall be given in writing to the President 
     of the Senate.
       ``(3) Whenever any member of the Select Committee is 
     ineligible under paragraph (1) to participate in any initial 
     review or investigation or disqualifies himself under 
     paragraph (2) from participating in any initial review or 
     investigation, another Member of the Senate shall, subject to 
     the provisions of subsection (d), be appointed to serve as a 
     member of the Select Committee solely for purposes of such 
     initial review or investigation and the determinations and 
     recommendations of the Select Committee with respect thereto. 
     Any Member of the Senate appointed for such purposes shall be 
     of the same party as the Member who is ineligible or 
     disqualifies himself.''
       Sec. 2. (a) It shall be the duty of the Select Committee 
     to--
       (1) receive complaints and investigate allegations of 
     improper conduct which may reflect upon the Senate, 
     violations of law, violations of the Senate Code of Official 
     Conduct,\4\ and violations of rules and regulations of the 
     Senate, relating to the conduct of individuals in the 
     performance of their duties as Members of the Senate, or as 
     officers or employees of the Senate, and to make appropriate 
     findings of fact and conclusions with respect thereto;
       (2) recommend to the Senate by report or resolution by a 
     majority vote of the full committee disciplinary action 
     (including, but not limited to, in the case of a Member: 
     censure, expulsion, or recommendation to the appropriate 
     party conference regarding such Member's seniority or 
     positions of responsibility; and in the case of an officer or 
     employee: suspension or dismissal)\5\ to be taken with 
     respect to such violations which the Select Committee shall 
     determine, after according to the individuals concerned due 
     notice and opportunity for hearing, to have occurred;
       (3) recommend to the Senate, by report or resolution, such 
     additional rules or regulations as the Select Committee shall 
     determine to be necessary or desirable to insure proper 
     standards of conduct by Members of the Senate, and by 
     officers or employees of the Senate, in the performance of 
     their duties and the discharge of their responsibilities; and
       (4) report violations by a majority vote of the full 
     committee of any law to the proper Federal and State 
     authorities.
       ``(b)(1) Each sworn complaint filed with the Select 
     Committee shall be in writing, shall be in such form as the 
     Select Committee may prescribe by regulation, and shall be 
     under oath.
       ``(2) For purposes of this section, `sworn complaint' means 
     a statement of facts within the personal knowledge of the 
     complainant alleging a violation of law, the Senate Code of 
     Official Conduct, or any other 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.
       ``(3) Any person who knowingly and willfully swears falsely 
     to a sworn complaint does so under penalty of perjury, and 
     the Select Committee may refer any such case to the Attorney 
     General for prosecution.
       ``(4) For the purposes of this section, `investigation' is 
     a proceeding undertaken by the Select Committee after a 
     finding, on the basis of an initial review, that there is 
     substantial credible evidence which provides substantial 
     cause for the Select Committee to conclude that a violation 
     within the jurisdiction of the Select Committee has occurred.
       ``(c)(1) No investigation of conduct of a Member or officer 
     of the Senate, and no report, resolution, or recommendation 
     relating thereto, may be made unless approved by the 
     affirmative recorded vote of not less than four members of 
     the Select Committee.
       ``(2) No other resolution, report, recommendation, 
     interpretative ruling, or advisory opinion may be made 
     without an affirmative vote of a majority of the members of 
     the Select Committee voting.
       ``(d)(1) When the Select Committee receives a sworn 
     complaint against a Member or officer of the Senate, it shall 
     promptly conduct an initial review of that complaint. The 
     initial review shall be of duration and scope necessary to 
     determine whether there is substantial credible evidence 
     which provides substantial cause for the Select Committee to 
     conclude that a violation within the jurisdiction of the 
     Select Committee has occurred.
       ``(2) If as a result of an initial review under paragraph 
     (1), the Select Committee determines by a recorded vote that 
     there is not such substantial credible evidence, the Select 
     Committee shall report such determination to the complainant 
     and to the party charged together with an explanation of the 
     basis of such determination.
       ``(3) If as a result of an initial review under paragraph 
     (1), the Select Committee determines that a violation is 
     inadvertent, technical or otherwise of a de minimus nature, 
     the Select Committee may attempt to correct or prevent such a 
     violation by informal methods.
       ``(4) If as a result of an initial review under paragraph 
     (1), the Select Committee determines that there is such 
     substantial credible evidence but that the violation, if 
     proven, is neither of a de minimus nature nor sufficiently 
     serious to justify any of the penalties expressly referred to 
     in subsection (a)(2), the Select Committee may propose a 
     remedy it deems appropriate. If the matter is thereby 
     resolved, a summary of the Select Committee's conclusions and 
     the remedy proposed shall be filed as a public record with 
     the Secretary of the Senate and a notice of such filing shall 
     be printed in the Congressional Record.
       ``(5) If as the result of an initial review under paragraph 
     (1), the Select Committee determines that there is such 
     substantial credible evidence, the Select Committee shall 
     promptly conduct an investigation if (A) the violation, if 
     proven, would be sufficiently serious, in the judgment of the 
     Select Committee, to warrant imposition of one or more of the 
     penalties expressly referred to in subsection (a)(2), or (B) 
     the violation, if proven, is less serious, but was not 
     resolved pursuant to paragraph (4) above. Upon the conclusion 
     of such investigation, the Select Committee shall report to 
     the Senate, as soon as practicable, the results of such 
     investigation together with its recommendations (if any) 
     pursuant to subsection (a)(2).
       ``(6) Upon the conclusion of any other investigation 
     respecting the conduct of a Member or officer undertaken by 
     the Select Committee, the Select Committee shall report to 
     the Senate, as soon as practicable, the results of such 
     investigation together with its recommendations (if any) 
     pursuant to subsection (a)(2).
       ``(e) When the Select Committee receives a sworn complaint 
     against an employee of the Senate, it shall consider the 
     complaint according to procedures it deems appropriate. If 
     the Select Committee determines that the complaint is without 
     substantial merit, it shall notify the complainant and the 
     accused of its determination, together with an explanation of 
     the basis of such determination.
       ``(f) The Select Committee may, in its discretion, employ 
     hearing examiners to hear testimony and make findings of fact 
     and/or recommendations to the Select Committee concerning the 
     disposition of complaints.
       ``(g) Notwithstanding any other provision of this section, 
     no initial review or investigation shall be made of any 
     alleged violation of any law, the Senate Code of Official 
     Conduct, rule, or regulation which was not in effect at the 
     time the alleged violation occurred. No provisions 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. The Select Committee may conduct an 
     initial review or investigation of any 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 Select Committee.
       ``(h) The Select Committee shall adopt written rules 
     setting forth procedures to be used in conducting 
     investigations of complaints.\6\
       (i) \7\ The Select Committee from time to time shall 
     transmit to the Senate its recommendation as to any 
     legislative measures which it may consider to be necessary 
     for the effective discharge of its duties.
       Sec. 3. (a) The Select Committee is authorized to (1) make 
     such expenditures; (2) hold such hearings; (3) sit and act at 
     such times and places during the sessions, recesses, and 
     adjournment periods of the Senate; (4) require by subpoena or 
     otherwise the attendance of such witnesses and the production 
     of such correspondence, books, papers, and documents; (5) 
     administer such oaths; (6) take such testimony orally or by 
     deposition; (7) employ and fix the compensation of a staff 
     director, a counsel, an assistant counsel, one or more 
     investigators, one or more hearing examiners, (8) and such 
     technical, clerical, and other assistants and consultants as 
     it deems advisable; and (8) to procure the temporary services 
     (not in excess of one year) or intermittent services of 
     individual consultants, or organizations thereof, by contract 
     as independent contractors or, in the case of individuals, by 
     employment at daily rates of compensation not in excess of 
     the per diem equivalent of the highest rate of compensation 
     which may be paid to a regular employee of the Select 
     Committee.\9\
       \10\(b)(1) The Select 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 Select Committee determines that the 
     retention of outside counsel is necessary or appropriate for 
     any action regarding any complaint or allegation, which, in 
     the determination of the Select Committee is more 
     appropriately conducted by counsel not employed by the 
     Government of the United States as a regular employee.
       ``(2) Any investigation conducted under section 2 shall be 
     conducted by outside counsel as authorized in paragraph (1), 
     unless the Select Committee determines not to use outside 
     counsel.
       \11\``(c) With the prior consent of the department or 
     agency concerned, the Select Committee may (1) utilize the 
     services, information and facilities of any such department 
     or

[[Page S1834]]

     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 
     thereof, the Select Committee may utilize the facilities and 
     the services of the staff of such other committee or 
     subcommittee whenever the chairman of the Select Committee 
     determines that such action is necessary and appropriate.
       ``(d) Subpoenas may be issued (1) by the Select Committee 
     or (2) by the chairman and vice chairman, acting jointly. Any 
     such subpoena shall be signed by the chairman or the vice 
     chairman and may be served by any person designated by such 
     chairman or vice chairman. The chairman of the Select 
     Committee or any member thereof may administer oaths to 
     witnesses.\12\
       \13\``(e)(1) The Select Committee shall prescribe and 
     publish such regulations as it feels are necessary to 
     implement the Senate Code of Official Conduct.
       ``(2) The Select Committee is authorized 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.
       ``(3) The Select 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 its jurisdiction to a specific factual 
     situation pertinent to the conduct or proposed conduct of the 
     person seeking the advisory opinion.
       ``(4) The Select Committee may in its discretion render 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 its jurisdiction to a specific factual 
     situation pertinent to the conduct or proposed conduct of 
     the person seeking the advisory opinion.
       ``(5) Notwithstanding any provision of the Senate Code of 
     Official Conduct or any rule or regulation of the Senate, any 
     person who relies upon any provision or finding of an 
     advisory opinion in accordance with the provisions of 
     paragraphs (3) and (4) 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.
       ``(6) Any advisory opinion rendered by the Select Committee 
     under paragraphs (3) and (4) may be relied upon by (A) any 
     person involved in the specific transaction or activity with 
     respect to which such advisory opinion is rendered: Provided, 
     however, that 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.
       ``(7) Any advisory opinion issued in response to a request 
     under paragraph (3) or (4) shall be printed in the 
     Congressional Record with appropriate deletions to assure the 
     privacy of the individual concerned. The Select Committee 
     shall, to the extent practicable, before rendering an 
     advisory opinion, provide any interested party with an 
     opportunity to transmit written comments to the Select 
     Committee with respect to the request for such advisory 
     opinion. The advisory opinions issued by the Select Committee 
     shall be compiled, indexed, reproduced, and made available on 
     a periodic basis.
       ``(8) A brief description of a waiver granted under 
     paragraph 2(c) of rule XXXIV or paragraph 1 of rule XXXV of 
     the Standing Rules of the Senate shall be made available upon 
     request in the Select Committee office with appropriate 
     deletions to assure the privacy of the individual concerned.
       Sec. 4. The expenses of the Select Committee under this 
     resolution shall be paid from the contingent fund of the 
     Senate upon vouchers approved by the chairman of the Select 
     Committee.
       Sec. 5. As used in this resolution, 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; and
       (7) an employee of a joint committee of the Congress whose 
     compensation is disbursed by the Secretary of the Senate.


subpart b--public law 93-191--franked mail, provisions relating to the 
                            select committee

       Sec. 6. (a) The Select Committee on Standards and Conduct 
     of the Senate shall provide guidance, assistance, advice and 
     counsel, through advisory opinions or consultations, in 
     connection with the mailing or contemplated mailing of 
     franked mail under section 3210, 3211, 3212, 3218(2) or 3218, 
     and in connection with the operation of section 3215, of 
     title 39, United States Code, upon the request of any Member 
     of the Senate or Member-elect, surviving spouse of any of the 
     foregoing, or other Senate official, entitled to send mail as 
     franked mail under any of those sections. The select 
     committee shall prescribe regulations governing the proper 
     use of the franking privilege under those sections by such 
     persons.
       (b) Any complaint filed by any person with the select 
     committee that a violation of any section of title 39, United 
     States Code, referred to in subsection (a) of this section is 
     about to occur or has occurred within the immediately 
     preceding period of 1 year, by any person referred to in such 
     subsection (a), shall contain pertinent factual material and 
     shall conform to regulations prescribed by the select 
     committee. The select committee, if it determines there is 
     reasonable justification for the complaint, shall conduct an 
     investigation of the matter, including an investigation of 
     reports and statements filed by that complainant with respect 
     to the matter which is the subject of the complaint. The 
     committee shall afford to the person who is the subject of 
     the complaint due notice and, if it determines that there is 
     substantial reason to believe that such violation has 
     occurred or is about to occur, opportunity for all parties to 
     participate in a hearing before the select committee. The 
     select committee shall issue a written decision on each 
     complaint under this subsection not later than thirty days 
     after such a complaint has been filed or, if a hearing is 
     held, not later than thirty days after the conclusion of such 
     hearing. Such decision shall be based on written findings of 
     fact in the case by the select committee. If the select 
     committee finds, in its written decision, that a violation 
     has occurred or is about to occur, the committee may take 
     such action and enforcement as it considers appropriate in 
     accordance with applicable rules, precedents, and standing 
     orders of the Senate, and such other standards as may be 
     prescribed by such committee.
       (c) Notwithstanding any other provision of law, no court or 
     administrative body in the United States or in any territory 
     thereof shall have jurisdiction to entertain any civil action 
     of any character concerning or related to a violation of the 
     franking laws or an abuse of the franking privilege by any 
     person listed under subsection (a) of this section as 
     entitled to send mail as franked mail, until a complaint has 
     been filed with the select committee and the committee has 
     rendered a decision under subsection (b) of this section.
       (d) The select committee shall prescribe regulations for 
     the holding of investigations and hearings, the conduct of 
     proceedings, and the rendering of decisions under this 
     subsection providing for equitable procedures and the 
     protection of individual, public, and Government interests. 
     The regulations shall, insofar as practicable, contain the 
     substance of the administrative procedure provisions of 
     sections 551-559 and 701-706, of title 5, United States Code. 
     These regulations shall govern matters under this subsection 
     subject to judicial review thereof.
       (e) The select committee shall keep a complete record of 
     all its actions, including a record of the votes on any 
     question on which a record vote is demanded. All records, 
     data, and files of the select committee shall be the property 
     of the Senate and shall be kept in the offices of the select 
     committee or such other places as the committee may direct.


    SUBPART C--STANDING ORDERS OF THE SENATE REGARDING UNAUTHORIZED 
  DISCLOSURE OF INTELLIGENCE INFORMATION, S. RES. 400, 94TH CONGRESS, 
              PROVISIONS RELATING TO THE SELECT COMMITTEE

       Sec. 8. * * *
       (c)(1) No information in the possession of the select 
     committee relating to the lawful intelligence activities of 
     any department or agency of the United States which has been 
     classified under established security procedures and which 
     the select committee, pursuant to subsection (a) or (b) of 
     this section, has determined should not be disclosed, shall 
     be made available to any person by a Member, officer, or 
     employee of the Senate except in a closed session of the 
     Senate or as provided in paragraph (2).
       (2) The select committee may, under such regulations as the 
     committee shall prescribe to protect the confidentiality of 
     such information, make any information described in paragraph 
     (1) available to any other committee or any other Member of 
     the Senate. Whenever the select committee makes such 
     information available, the committee shall keep a written 
     record showing, in the case of any particular information, 
     which committee or which Members of the Senate received such 
     information. No Member of the Senate who, and no committee 
     which, receives any information under this subsection, shall 
     disclose such information except in a closed session of the 
     Senate.
       (d) It shall be the duty of the Select Committee on 
     Standards and Conduct to investigate any unauthorized 
     disclosure of intelligence information by a Member, officer 
     or employee of the Senate in violation of subsection (c) and 
     to report to the Senate concerning any allegation which it 
     finds to be substantiated.
       (e) Upon the request of any person who is subject to any 
     such investigation, the Select

[[Page S1835]]

     Committee on Standards and Conduct shall release to such 
     individual at the conclusion of its investigation a summary 
     of its investigation together with its findings. If, at the 
     conclusion of its investigation, the Select Committee on 
     Standards and Conduct determines that there has been a 
     significant breach of confidentiality or unauthorized 
     disclosure by a Member, officer, or employee of the Senate, 
     it shall report its findings to the Senate and recommend 
     appropriate action such as censure, removal from committee 
     membership, or expulsion from the Senate, in the case of a 
     Member, or removal from office or employment or punishment 
     for contempt, in the case of an officer or employee.


  SUBPART D--RELATING TO RECEIPT AND DISPOSITION OF FOREIGN GIFTS AND 
 DECORATIONS RECEIVED BY MEMBERS, OFFICERS AND EMPLOYEES OF THE SENATE 
   OR THEIR SPOUSES OR DEPENDENTS, PROVISIONS RELATING TO THE SELECT 
                          COMMITTEE ON ETHICS

       Section 7342 of title 5, United States Code, states as 
     follows:
       Sec. 7342. Receipt and disposition of foreign gifts and 
     decorations.
       ``(a) For the purpose of this section-
       (1) ``employee'' means--
       (A) an employee as defined by section 2105 of this title 
     and an officer or employee of the United States Postal 
     Service or of the Postal Rate Commission;
        (B) an expert or consultant who is under contract under 
     section 3109 of this title with the United States or any 
     agency, department, or establishment thereof, including, in 
     the case of an organization performing services under such 
     section, any individual involved in the performance of such 
     services;
        (C) an individual employed by, or occupying an office or 
     position in, the government of a territory or possession of 
     the United States or the government of the District of 
     Columbia;
        (D) a member of a uniformed service;
        (E) the President and the Vice President;
        (F) a Member of Congress as defined by section 2106 of 
     this title (except the Vice President) and any Delegate to 
     the Congress; and
        (G) the spouse of an individual described in subparagraphs 
     (A) through (F) (unless such individual and his or her spouse 
     are separated) or a dependent (within the meaning of section 
     152 of the Internal Revenue Code of 1986) of such an 
     individual, other than a spouse or dependent who is an 
     employee under subparagraphs (A) through (F);
        (2) ``foreign government'' means--
        (A) any unit of foreign governmental authority, including 
     any foreign national, State, local, and municipal government;
        (B) any international or multinational organization whose 
     membership is composed of any unit of foreign government 
     described in subparagraph (A); and
        (C) any agent or representative of any such unit or such 
     organization, while acting as such;
        (3) ``gift'' means a tangible or intangible present (other 
     than a decoration) tendered by, or received from, a foreign 
     government;
        (4) ``decoration'' means an order, device, medal, badge, 
     insignia, emblem, or award tendered by, or received from, a 
     foreign government;
        (5) ``minimal value'' means a retail value in the United 
     States at the time of acceptance of $100 or less, except 
     that--
        (A) on January 1, 1981, and at 3 year intervals 
     thereafter, ``minimal value'' shall be redefined in 
     regulations prescribed by the Administrator of General 
     Services, in consultation with the Secretary of State, to 
     reflect changes in the consumer price index for the 
     immediately preceding 3-year period; and
        (B) regulations of an employing agency may define 
     ``minimal value'' for its employees to be less than the value 
     established under this paragraph; and
       (6) ``employing agency'' means--
        (A) the Committee on Standards of Official Conduct of the 
     House of Representatives, for Members and employees of the 
     House of Representatives, except that those responsibilities 
     specified in subsections (c)(2)(A), (e)(1), and (g)(2)(B) 
     shall be carried out by the Clerk of the House;
        (B) the Select Committee on Ethics of the Senate, for 
     Senators and employees of the Senate, except that those 
     responsibilities (other than responsibilities involving 
     approval of the employing agency) specified in subsections 
     (c)(2), (d), and (g)(2)(B) shall be carried out by the 
     Secretary of the Senate;
        (C) the Administrative Office of the United States Courts, 
     for judges and judicial branch employees; and
        (D) the department, agency, office, or other entity in 
     which an employee is employed, for other legislative branch 
     employees and for all executive branch employees.
        (b) An employee may not--
       (l) request or otherwise encourage the tender of a gift or 
     decoration; or
       (2) accept a gift or decoration, other than in accordance 
     with, the provisions of subsections (c) and (d).
       (c)(1) The Congress consents to--
       (A) the accepting and retaining by an employee of a gift of 
     minimal value tendered and received as a souvenir or mark of 
     courtesy; and
       (B) the accepting by an employee of a gift of more than 
     minimal value when such gift is in the nature of an 
     educational scholarship or medical treatment or when it 
     appears that to refuse the gift would likely cause offense or 
     embarrassment or otherwise adversely affect the foreign 
     relations of the United States, except that
       (i) a tangible gift of more than minimal value is deemed to 
     have been accepted on behalf of the United States and, upon 
     acceptance, shall become the property of the United States; 
     and
       (ii) an employee may accept gifts of travel or expenses for 
     travel taking place entirely outside the United States (such 
     as transportation, food, and lodging) of more than minimal 
     value if such acceptance is appropriate, consistent with the 
     interests of the United States, and permitted by the 
     employing agency and any regulations which may be prescribed 
     by the employing agency.
       (2) Within 60 days after accepting a tangible gift of more 
     than minimal value (other than a gift described in 
     paragraph(1)(B)(ii)), an employee shall--
       (A) deposit the gift for disposal with his or her employing 
     agency; or
       (B) subject to the approval of the employing agency, 
     deposit the gift with that agency for official use.
       Within 30 days after terminating the official use of a gift 
     under subparagraph (B), the employing agency shall forward 
     the gift to the Administrator of General Services in 
     accordance with subsection (e)(1) or provide for its disposal 
     in accordance with subsection (e)(2).
       (3) When an employee deposits a gift of more than minimal 
     value for disposal or for official use pursuant to paragraph 
     (2), or within 30 days after accepting travel or travel 
     expenses as provided in paragraph (1)(B)(ii) unless such 
     travel or travel expenses are accepted in accordance with 
     specific instructions of his or her employing agency, the 
     employee shall file a statement with his or her employing 
     agency or its delegate containing the information prescribed 
     in subsection (f) for that gift.
       (d) The Congress consents to the accepting, retaining, and 
     wearing by an employee of a decoration tendered in 
     recognition of active field service in time of combat 
     operations or awarded for other outstanding or unusually 
     meritorious performance, subject to the approval of the 
     employing agency of such employee. Without this approval, the 
     decoration is deemed to have been accepted on behalf of the 
     United States, shall become the property of the United 
     States, and shall be deposited by the employee, within sixty 
     days of acceptance, with the employing agency for official 
     use, for forwarding to the Administrator of General Services 
     for disposal in accordance with subsection (e)(1), or for 
     disposal in accordance with subsection (e)(2).
       (e)(1) Except as provided in paragraph (2), gifts and 
     decorations that have been deposited with an employing agency 
     for disposal shall be (A) returned to the donor, or (B) 
     forwarded to the Administrator of General Services for 
     transfer, donation, or other disposal in accordance with the 
     provisions of the Federal Property and Administrative 
     Services Act of 1949. However, no gift or decoration that has 
     been deposited for disposal may be sold without the approval 
     of the Secretary of State, upon a determination that the 
     sale will not adversely affect the foreign relations of 
     the United States. Gifts and decorations may be sold by 
     negotiated sale.
       (2) Gifts and decorations received by a Senator or an 
     employee of the Senate that are deposited with the Secretary 
     of the Senate for disposal, or are deposited for an official 
     use which has terminated, shall be disposed of by the 
     Commission on Arts and Antiquities of the United States 
     Senate. Any such gift or decoration may be returned by the 
     Commission to the donor or may be transferred or donated by 
     the Commission, subject to such terms and conditions as it 
     may prescribe, (A) to an agency or instrumentality of (i) the 
     United States, (ii) a State, territory, or possession of the 
     United States, or a political subdivision of the foregoing, 
     or (iii) the District of Columbia, or (B) to an organization 
     described in section 501(c)(3) of the Internal Revenue Code 
     of 1986 which is exempt from taxation under section 501(a) of 
     such Code. Any such gift or decoration not disposed of as 
     provided in the preceding sentence shall be forwarded to the 
     Administrator of General Services for disposal in accordance 
     with paragraph (1). If the Administrator does not dispose of 
     such gift or decoration within one year, he shall, at the 
     request of the Commission, return it to the Commission and 
     the Commission may dispose of such gift or decoration in such 
     manner as it considers proper, except that such gift or 
     decoration may be sold only with the approval of the 
     Secretary of State upon a determination that the sale will 
     not adversely affect the foreign relations of the United 
     States.
       (f)(1) Not later than January 31 of each year, each 
     employing agency or its delegate shall compile a listing of 
     all statements filed during the preceding year by the 
     employees of that agency pursuant to subsection (c)(3) and 
     shall transmit such listing to the Secretary of State who 
     shall publish a comprehensive listing of all such statements 
     in the Federal Register.
       (2) Such listings shall include for each tangible gift 
     reported (A) the name and position of the employee;
       (B) a brief description of the gift and the circumstances 
     justifying acceptance;
       (C) the identity, if known, of the foreign government and 
     the name and position of the individual who presented the 
     gift;
       (D) the date of acceptance of the gift;
       (E) the estimated value in the United States of the gift at 
     the time of acceptance; and
       (F) disposition or current location of the gift.

[[Page S1836]]

       (3) Such listings shall include for each gift of travel or 
     travel expenses--
       (A) the name and position of the employee;
       (B) a brief description of the gift and the circumstances 
     justifying acceptance; and
       (C) the identity, if known, of the foreign government and 
     the name and position of the individual who presented the 
     gift.
       (4) In transmitting such listings for the Central 
     Intelligence Agency, the Director of Central Intelligence may 
     delete the information described in subparagraphs (A) and (C) 
     of paragraphs (2) and (3) if the Director certifies in 
     writing to the Secretary of State that the publication of 
     such information could adversely affect United States 
     intelligence sources.
       (g)(1) Each employing agency shall prescribe such 
     regulations as may be necessary to carry out the purpose of 
     this section. For all employing agencies in the executive 
     branch, such regulations shall be prescribed pursuant to 
     guidance provided by the Secretary of State. These 
     regulations shall be implemented by each employing agency for 
     its employees.
       (2) Each employing agency shall
       (A) report to the Attorney General cases in which there is 
     reason to believe that an employee has violated this section;
       (B) establish a procedure for obtaining an appraisal, when 
     necessary, of the value of gifts; and
       (C) take any other actions necessary to carry out the 
     purpose of this section.
       (h) The Attorney General may bring a civil action in any 
     district court of the United States against any employee who 
     knowingly solicits or accepts a gift from a foreign 
     government not consented to by this section or who fails to 
     deposit or report such gift as required by this section. The 
     court in which such action is brought may assess a penalty 
     against such employee in any amount not to exceed the retail 
     value of the gift improperly solicited or received plus 
     $5,000.
       (i) The President shall direct all Chiefs of a United 
     States Diplomatic Mission to inform their host governments 
     that it is a general policy of the United States Government 
     to prohibit United States Government employees from receiving 
     gifts or decorations of more than minimal value.
       (j) Nothing in this section shall be construed to derogate 
     any regulation prescribed by any employing agency which 
     provides for more stringent limitations on the receipt of 
     gifts and decorations by its employees.
       (k) The provisions of this section do not apply to grants 
     and other forms of assistance to which section 108A of the 
     Mutual Educational and Cultural Exchange Act of 1961 applies.

                Part II: Supplementary Procedural Rules


                       Rule 1. General Procedures

       (a) Officers: The Committee shall select a Chairman and 
     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 the 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 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 special 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) Hearings 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 specific 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

[[Page S1837]]

     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.
       (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 Office 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.

[[Page S1838]]

       (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 the 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 a 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 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; or 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); or
       (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.

[[Page S1839]]

       (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 
     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(e).)
       (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 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 (i) shall apply.
       (d) Subpoena Power: The Committee may require, by 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 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) Adjudicatory 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 a 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

[[Page S1840]]

     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:
       (1) 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.


                   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' 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' 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' 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

[[Page S1841]]

     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 accusations 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 the 
     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. Procedure 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 documents and materials shall be 
     stored in the Committee's offices, with appropriate 
     safeguards for maintaining the security of such documents or 
     materials. Classified documents and materials shall be 
     further segregated in the Committee's offices 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 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 
     hand delivered by a member of the Committee staff to the 
     Member of the Committee, or to a staff person(s) specifically 
     designated by the Member, for the Member's or designated 
     staffer's examination. A Member of the Committee who has 
     possession of Committee Sensitive documents or materials 
     shall take appropriate safeguards for maintaining the 
     security of such documents or materials in the possession of 
     the Member or his or her designated staffer.
       (3) Committee Sensitive documents that are provided to a 
     Member of the Senate in connection with a complaint that has 
     been filed against the Member shall be hand delivered to the 
     Member or to the Member's Chief of Staff or Administrative 
     Assistant. Committee Sensitive documents that are provided to 
     a Member of the Senate who is the subject of a preliminary 
     inquiry, an initial review, or an investigation, shall be 
     hand delivered to the Member or to his or her specifically 
     designated representative.
       (4) 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.
        (5) 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, 
     that 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

[[Page S1842]]

     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 any 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 interpretive 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.
       (d) Publication of Ruling: 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 93-191 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(i) 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)(C) 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. With respect to an individual's request for a 
     waiver in connection with the acceptance or reporting the 
     value of gifts on the occasion of the individual's marriage, 
     the Chairman and the Vice Chairman, acting jointly, may rule 
     on the waiver.
       (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.

[[Page S1843]]




                        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 is 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 a 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.

                       SELECT COMMITTEE ON ETHICS

                 Part III--Subject Matter Jurisdiction

       Following are sources of the subject matter jurisdiction of 
     the Select Committee:
       (a) The Senate Code of Official Conduct approved by the 
     Senate in Title I of S. Res. 110, 95th Congress, April 1, 
     1977, and stated in Rules 34 through 43 of the Standing Rules 
     of the Senate;
       (b) Senate Resolution 338, 88th Congress, as amended, which 
     states, among others, the duties to receive complaints and 
     investigate allegations of improper conduct which may reflect 
     on the Senate, violations of law, violations of the Senate 
     Code of Official Conduct and violations of rules and 
     regulations of the Senate; recommend disciplinary action; and 
     recommended additional Senate Rules or regulations to insure 
     proper standards of conduct;
       (c) Residual portions of Standing Rules 41, 42, 43 and 44 
     of the Senate as they existed on the day prior to the 
     amendments made by Title I of S. Res. 110;
       (d) Public Law 93-191 relating to the use of the mail 
     franking privilege by Senators, officers of the Senate; and 
     surviving spouses of Senators;
       (e) Senate Resolution 400, 94th Congress, Section 8, 
     relating to unauthorized disclosure of classified 
     intelligence information in the possession of the Select 
     Committee on Intelligence;
       (f) Public Law 95-105, Section 515, relating to the receipt 
     and disposition of foreign gifts and decorations received by 
     Senate members, officers and employees and their spouses 
     or dependents;
       (g) Preamble to Senate Resolution 266, 90th Congress, 2d 
     Session, March 22, 1968; and
       (h) The Code of Ethics for Government Service, H. Con. Res. 
     175, 85th Congress, 2d Session, July 11, 1958 (72 Stat. B12). 
     Except that S. Res. 338, as amended by Section 202 of S. Res. 
     110 (April 2, 1977), provides:
       ``(g) Notwithstanding any other provision of this section, 
     no initial review or investigation shall be made of any 
     alleged violation of any law, the Senate Code of Official 
     Conduct, rule, or regulation 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. The Select Committee may conduct an 
     initial review or investigation of any 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 Select Committee.

                  Appendix A--Open and Closed Meetings

       Paragraphs 5 (b) to (d) of Rule XXVI of the Standing Rules 
     of the Senate read as follows:
       (b) Each meeting of a standing, select, or special 
     committee of the Senate, or any subcommittee thereof, 
     including meetings to conduct hearings, shall be open to the 
     public, except that a meeting or series of meetings by a 
     committee or a subcommittee thereof on the same subject for a 
     period of no more than fourteen calendar days may be closed 
     to the public on a motion made and seconded to go into closed 
     session to discuss only whether the matters enumerated in 
     classes (1) through (6) would require the meeting to be 
     closed followed immediately by a record vote in open session 
     by a majority of the members of the committee or subcommittee 
     when it is determined that the matters to be discussed or the 
     testimony to be taken at such meeting or meetings--
       (1) will disclose matters necessary to be kept secret in 
     the interests of national defense or the confidential conduct 
     of the foreign relations of the United States;
       (2) will relate solely to matters of committee staff 
     personnel or internal staff management or procedure;
       (3) will tend to charge an individual with crime or 
     misconduct, to disgrace or injure the professional standing 
     of an individual, or otherwise to expose an individual to 
     public contempt or obloquy, or will represent a clearly 
     unwarranted invasion of the privacy of an individual;
       (4) will disclose the identify of any informer or law 
     enforcement agent or will disclose any information relating 
     to the investigation or prosecution of a criminal offense 
     that is required to be kept secret in the interests of 
     effective law enforcement;
       (5) will disclose information relating to the trade secrets 
     or financial or commercial information pertaining 
     specifically to a given person if--
       (A) an Act of Congress requires the information to be kept 
     confidential by Government officers and employees; or
       (B) the information has been obtained by the Government on 
     a confidential basis, other than through an application by 
     such person for a specific Government financial or other 
     benefit, and is required to be kept secret in order to 
     prevent undue injury to the competitive position of such 
     person; or
       (6) may divulge matters required to be kept confidential 
     under other provisions of law or Government regulations.
       (c) Whenever any hearing conducted by any such committee or 
     subcommittee is open to the public, that hearing may be 
     broadcast by radio or television, or both, under such rules 
     as the committee or subcommittee may adopt.
       (d) Whenever disorder arises during a committee meeting 
     that is open to the public, or any demonstration of approval 
     or disapproval is indulged in by any person in attendance at 
     any such meeting, it shall be the duty of the Chair to 
     enforce order on his own initiative and without any point of 
     order being made by a Senator. When the Chair finds it 
     necessary to maintain order, he shall have the power to clear 
     the room, and the committee may act in closed session for so 
     long as there is doubt of the assurance of order.

                  Appendix B--``Supervisors'' Defined

       Paragraph 12 of Rule XXXVII of the Standing Rules of the 
     Senate reads as follows:
       For purposes of this rule--
       (a) a Senator or the Vice President is the supervisor of 
     his administrative, clerical, or other assistants;
       (b) a Senator who is the chairman of a committee is the 
     supervisor of the professional, clerical, or other assistants 
     to the committee except that minority staff members shall be 
     under the supervision of the ranking minority Senator on the 
     committee;
       (c) a Senator who is a chairman of a subcommittee which has 
     its own staff and financial authorization is the supervisor 
     of the professional, clerical, or other assistants to the 
     subcommittee except that minority staff members shall be 
     under the supervision of the ranking minority Senator on the 
     subcommittee;

[[Page S1844]]

       (d) the President pro tempore is the supervisor of the 
     Secretary of the Senate, Sergeant at Arms and Doorkeeper, the 
     Chaplain, the Legislative Counsel, and the employees of the 
     Office of the Legislative Counsel;
       (e) the Secretary of the Senate is the supervisor of the 
     employees of his office;
       (f) the Sergeant at Arms and Doorkeeper is the supervisor 
     of the employees of his office;
       (g) the Majority and Minority Leaders and the Majority and 
     Minority Whips are the supervisors of the research, clerical, 
     and other assistants assigned to their respective offices;
       (h) the Majority Leader is the supervisor of the Secretary 
     for the Majority and the Secretary for the Majority is the 
     supervisor of the employees of his office; and
       (i) the Minority Leader is the supervisor of the Secretary 
     for the Minority and the Secretary for the Minority is the 
     supervisor of the employees of his office.


                               FOOTNOTES

       \1\ As amended by S. Res. 4, 95th Cong., 1st Sess. (1970), 
     S. Res. 110, 95th Cong., 1st Sess. (1977), S. Res. 204, 95th 
     Cong., 1st Sess. (1977), S. Res. 230, 95th Cong., 1st Sess. 
     (1977), S. Res. 312, 95th Cong., 1st Sess. (1977), S. Res. 
     78, 97th Cong., 1st Sess. (1981).
       \2\ Changed by S. Res. 78 (February 24, 1981).
       \3\ Added by S. Res. 110 (April 2, 1977).
       \4\ Added by Section 201 of S. Res. 110 (April 2, 1977).
       \5\ Added by Section 205 of S. Res. 110 (April 2, 1977).
       \6\ Added by Section 202 of S. Res. 110 (April 2, 1977).
       \7\ Changed by Section 202 of S. Res. 110 (April 2, 1977).
       \8\ Added by Section 204 of S. Res. 110 (April 2, 1977).
       \9\ Added by S. Res. 230 (July 25, 1977).
       \10\ Added by Section 204 of S. Res. 110 (April 2, 1977).
       \11\ Changed by Section 204 of S. Res. 110 (April 2, 1977).
       \12\ Section added by S. Res. 312 (Nov. 1, 1977).
       \13\Section added by Section 206 of S. Res. 110 (April 2, 
     1977).

                          ____________________