[Congressional Record Volume 151, Number 16 (Tuesday, February 15, 2005)]
[Senate]
[Pages S1400-S1407]
From the Congressional Record Online through the Government Publishing Office [www.gpo.gov]




             RULES OF PROCEDURE--SELECT COMMITTEE ON ETHICS

  Mr. VOINOVICH. Mr. President, in accordance with rule XXVI.2 of the 
Standing Rules of the Senate, I ask unanimous consent that the Rules of 
Procedure of the Select Committee on Ethics, which were adopted 
February 23, 1978, and revised November 1999, be printed in the 
Congressional Record for the 109th Congress.
  There being no objection, the material was ordered to be printed in 
the Record, as follows:

                Rules of the Select Committee on Ethics


                       rule 1: general procedures

       (a) Officers: 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 or allegations of, or information about, 
     misconduct, including resulting preliminary inquiries, 
     adjudicatory reviews, 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 5 and any 
     deposition taken outside the presence of a Member under Rule 
     6, 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

[[Page S1401]]

     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's 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 5 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 complaint or 
     allegation 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 8 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 8 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) a preliminary inquiry or adjudicatory review relating 
     to (i) the conduct of (I) such member; (II) any officer or 
     employee the member supervises; or (ii) any complaint filed 
     by the member; and
       (B) the determinations and recommendations of the Committee 
     with respect to any preliminary inquiry or adjudicatory 
     review described in subparagraph (A).
       For purposes of this paragraph, a member of the 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) If any Committee proceeding appears to relate to a 
     member of the Committee in a manner described in subparagraph 
     (1) of this paragraph, the staff shall prepare a report to 
     the Chairman and Vice Chairman. If either the Chairman or the 
     Vice Chairman concludes from the report that it appears that 
     the member may be ineligible, the member shall be notified in 
     writing of the nature of the particular proceeding and the 
     reason that it appears that the member may be ineligible to 
     participate in it. If the member agrees that he or she is 
     ineligible, the member shall so notify the Chairman or Vice 
     Chairman. If the member believes that he or she is not 
     ineligible, he or she may explain the reasons to the Chairman 
     and Vice Chairman, and if they both agree that the member is 
     not ineligible, the member shall continue to serve. But if 
     either the Chairman or Vice Chairman continues to believe 
     that the member is ineligible, while the member believes that 
     he or she is not ineligible, the matter shall be promptly 
     referred to the Committee. The member shall present his or 
     her arguments to the Committee in executive session. Any 
     contested questions concerning a member's eligibility shall 
     be decided by a majority vote of the Committee, meeting in 
     executive session, with the member in question not 
     participating.
       (3) A member of the Committee may, at the discretion of the 
     member, disqualify himself or herself from participating in 
     any preliminary inquiry or adjudicatory review pending before 
     the Committee and the determinations and recommendations of 
     the Committee with respect to any such preliminary inquiry or 
     adjudicatory review.
       (4) Whenever any member of the Committee is ineligible 
     under paragraph (1) to participate in any preliminary inquiry 
     or adjudicatory review, or disqualifies himself or herself 
     under paragraph (3) from participating in any preliminary 
     inquiry or adjudicatory review, another Senator shall be 
     appointed by the Senate to serve as a member of the Committee 
     solely for purposes of such preliminary inquiry or 
     adjudicatory review and the determinations and 
     recommendations of the Committee with respect to such 
     preliminary inquiry or adjudicatory review. Any member of the 
     Senate appointed for such purposes shall be of the same party 
     as the member who is ineligible or disqualifies himself or 
     herself.
       (5) The President of the Senate shall be given written 
     notice of the ineligibility or disqualification of any member 
     from any preliminary inquiry, adjudicatory review, or other 
     proceeding requiring the appointment of another member in 
     accordance with subparagraph (k)(4).
       (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 a 
     preliminary inquiry or an adjudicatory review, 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 of 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.
       (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 complaints, allegations, or information

       (a) Complaint, Allegation, or Information: Any member or 
     staff member of the Committee shall report to the Committee, 
     and any other person may report to the Committee, a sworn 
     complaint or other allegation or information, 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. Such 
     complaints or allegations or information may be reported to 
     the Chairman, the Vice Chairman, a Committee member, or a 
     Committee staff member.
       (b) Source of Complaint, Allegation, or Information: 
     Complaints, allegations, and information to be reported to 
     the Committee may be obtained from a variety of sources, 
     including but not limited to the following:
       (1) sworn complaints, defined as a written statement of 
     facts, submitted under penalty of perjury, 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;

[[Page S1402]]

       (2) anonymous or informal complaints;
       (3) information developed during a study or inquiry by the 
     Committee or other committees or subcommittees of the Senate, 
     including information obtained in connection with legislative 
     or general oversight hearings;
       (4) information reported by the news media; or
       (5) information obtained from any individual, agency or 
     department of the executive branch of the Federal Government.
       (c) Form and Content of Complaints: A complaint need not be 
     sworn nor must it be in any particular form to receive 
     Committee consideration, but the preferred complaint will:
       (1) state, whenever possible, the name, address, and 
     telephone number of the party filing the complaint;
       (2) provide the name of each member, officer or employee of 
     the Senate who is specifically alleged to have engaged in 
     improper conduct or committed a violation;
       (3) state the nature of the alleged improper conduct or 
     violation;
       (4) supply all documents in the possession of the party 
     filing the complaint relevant to or in support of his or her 
     allegations as an attachment to the complaint.


        rule 3: procedures for conducting a preliminary inquiry

       (a) Definition of Preliminary Inquiry: A ``preliminary 
     inquiry'' is a proceeding undertaken by the Committee 
     following the receipt of a complaint or allegation of, or 
     information about, misconduct by a Member, officer, or 
     employee of the Senate 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.
       (b) Basis for Preliminary Inquiry: The Committee shall 
     promptly commence a preliminary inquiry whenever it has 
     received a sworn complaint, or other allegation of, or 
     information about, alleged misconduct or violations pursuant 
     to Rule 2.
       (c) Scope of Preliminary Inquiry:
       (1) The preliminary inquiry shall be of such duration and 
     scope as is 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. The Chairman 
     and Vice Chairman, acting jointly, on behalf of the Committee 
     may supervise and determine the appropriate duration, scope, 
     and conduct of a preliminary inquiry. Whether a preliminary 
     inquiry is conducted jointly by the Chairman and Vice 
     Chairman or by the Committee as a whole, the day to day 
     supervision of a preliminary inquiry rests with the Chairman 
     and Vice Chairman, acting jointly.
       (2) A preliminary inquiry may include any inquiries, 
     interviews, sworn statements, depositions, or subpoenas 
     deemed appropriate to obtain information upon which to make 
     any determination provided for by this Rule.
       (d) Opportunity for Response: A preliminary inquiry may 
     include an opportunity for any known respondent or his or her 
     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.
       (e) 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.
       (f) Final Report: When the preliminary inquiry is 
     completed, the staff or outside counsel shall make a 
     confidential report, oral or written, to the Committee on 
     findings and recommendations, as appropriate.
       (g) Committee Action: As soon as practicable following 
     submission of the report on the preliminary inquiry, 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 and, in such case, the 
     Committee shall dismiss the matter. The Committee, or 
     Chairman and Vice Chairman acting jointly on behalf of the 
     Committee, may dismiss any matter which, after a preliminary 
     inquiry, is determined to lack substantial merit. The 
     Committee shall inform the complainant of the dismissal.
       (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 such case, the Committee may dispose of the matter 
     by issuing a public or private letter of admonition, which 
     shall not be considered discipline and which shall not be 
     subject to appeal to the Senate. The issuance of a letter of 
     admonition must be approved by the affirmative recorded vote 
     of no fewer than four members of the Committee voting.
       (3) The Committee may determine that there is such 
     substantial credible evidence and that the matter cannot be 
     appropriately disposed of under paragraph (2). In such case, 
     the Committee shall promptly initiate an adjudicatory review 
     in accordance with Rule 4. No adjudicatory review of conduct 
     of a Member, officer, or employee of the Senate may be 
     initiated except by the affirmative recorded vote of not less 
     than four members of the Committee.


        rule 4: procedures for conducting an adjudicatory review

       (a) Definition of Adjudicatory Review: An ``adjudicatory 
     review'' is a proceeding undertaken by the Committee after a 
     finding, on the basis of a preliminary inquiry, that there is 
     substantial cause for the Committee to conclude that a 
     violation within the jurisdiction of the Committee has 
     occurred.
       (b) Scope of Adjudicatory Review: When the Committee 
     decides to conduct an adjudicatory review, it shall be of 
     such duration and scope as is necessary for the Committee to 
     determine whether a violation within its jurisdiction has 
     occurred. An adjudicatory review shall be conducted by 
     outside counsel as authorized by section 3(b)(1) of Senate 
     Resolution 338 unless the Committee determines not to use 
     outside counsel. In the course of the adjudicatory review, 
     designated outside counsel, or if the Committee determines 
     not to use outside counsel, the Committee or its staff, may 
     conduct any inquiries or interviews, take sworn statements, 
     use compulsory process as described in Rule 6, or take any 
     other actions that the Committee deems appropriate to secure 
     the evidence necessary to make a determination.
       (c) Notice to Respondent: The Committee shall give written 
     notice to any known respondent who is the subject of an 
     adjudicatory review. The notice shall be sent to the 
     respondent no later than five working days after the 
     Committee has voted to conduct an adjudicatory review. 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 
     may offer the respondent an opportunity to present a 
     statement, orally or in writing, 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 or 
     before it imposes an order of restitution or reprimand (not 
     requiring discipline by the full Senate).
       (e) Progress Reports to Committee: The Committee staff or 
     outside counsel shall periodically report to the Committee 
     concerning the progress of the adjudicatory review. 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) Final Report of Adjudicatory Review to Committee: Upon 
     completion of an adjudicatory review, including any hearings 
     held pursuant to Rule 5, the outside counsel or the staff 
     shall submit a confidential written report to the Committee, 
     which shall detail the factual findings of the adjudicatory 
     review and which may recommend disciplinary action, if 
     appropriate. Findings of fact of the adjudicatory review 
     shall be detailed in this report whether or not disciplinary 
     action is recommended.
       (g) Committee Action:
       (1) As soon as practicable following submission of the 
     report of the staff or outside counsel on the adjudicatory 
     review, the Committee shall prepare and submit a report to 
     the Senate, including a recommendation or proposed resolution 
     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 adjudicatory review of 
     conduct of a Member, officer or employee of the Senate may be 
     conducted, or report or resolution or recommendation relating 
     to such an adjudicatory review of conduct may be made, except 
     by the affirmative recorded vote of not less than four 
     members of the Committee.
       (2) Pursuant to S. Res. 338, as amended, section 2 (a), 
     subsections (2), (3), and (4), after receipt of the report 
     prescribed by paragraph (f) of this rule, the Committee may 
     make any of the following recommendations for disciplinary 
     action or issue an order for reprimand or restitution, as 
     follows:
       (i) In the case of a Member, a recommendation to the Senate 
     for expulsion, censure, payment of restitution, 
     recommendation to a Member's party conference regarding the 
     Member's seniority or positions of responsibility, or a 
     combination of these;
       (ii) In the case of an officer or employee, a 
     recommendation to the Senate of dismissal, suspension, 
     payment of restitution, or a combination of these;
       (iii) In the case where the Committee determines, after 
     according to the Member, officer, or employee due notice and 
     opportunity for a hearing, that misconduct occurred 
     warranting discipline less serious than discipline by the 
     full Senate, and subject to the provisions of paragraph (h) 
     of this rule relating to appeal, by a unanimous vote of six 
     members order that a Member, officer or employee be 
     reprimanded or pay restitution or both;
       (iv) In the case where the Committee determines that 
     misconduct is inadvertent, technical, or otherwise of a de 
     minimis nature, issue a public or private letter of 
     admonition to a Member, officer or employee, which shall not 
     be subject to appeal to the Senate.
       (3) In the case where the Committee determines, upon 
     consideration of all the evidence, that the facts do not 
     warrant a finding that there is substantial credible evidence 
     which provides substantial cause for

[[Page S1403]]

     the Committee to conclude that a violation within the 
     jurisdiction of the Committee has occurred, the Committee may 
     dismiss the matter.
       (4) Promptly, after the conclusion of the adjudicatory 
     review, the Committee's report and recommendation, if any, 
     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, if any, shall be printed and 
     made public, unless the Committee determines by the recorded 
     vote of not less than four members of the Committee that it 
     should remain confidential.
       (h) Right of Appeal:
       (1) Any individual who is the subject of a reprimand or 
     order of restitution, or both, pursuant to subsection 
     (g)(2)(iii), may, within 30 days of the Committee's report to 
     the Senate of its action imposing a reprimand or order of 
     restitution, or both, appeal to the Senate by providing 
     written notice of the appeal to the Committee and the 
     presiding officer of the Senate. The presiding officer shall 
     cause the notice of the appeal to be printed in the 
     Congressional Record and the Senate Journal.
       (2) S. Res. 338 provides that a motion to proceed to 
     consideration of an appeal pursuant to paragraph (1) shall be 
     highly privileged and not debatable. If the motion to proceed 
     to consideration of the appeal is agreed to, the appeal shall 
     be decided on the basis of the Committee's report to the 
     Senate. Debate on the appeal shall be limited to 10 hours, 
     which shall be divided equally between, and controlled by, 
     those favoring and those opposing the appeal.


                    RULE 5: PROCEDURES FOR HEARINGS

       (a) Right to Hearing: The Committee may hold a public or 
     executive hearing in any preliminary inquiry, adjudicatory 
     review, 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 or 
     before it imposes an order of restitution or reprimand. (See 
     Rule 4(d).)
       (b) Non-Public Hearings: The Committee may at any time 
     during a hearing determine in accordance with paragraph 5(b) 
     of Rule XXVI of the Standing Rules of the Senate whether to 
     receive the testimony of specific witnesses in executive 
     session. If a witness desires to express a preference for 
     testifying in public or in executive session, he or she shall 
     so notify the Committee at least 5 days before he or she is 
     scheduled to testify.
       (c) Adjudicatory Hearings: The Committee may, by the 
     recorded vote of not less than four members of the Committee, 
     designate any public or executive hearing as an adjudicatory 
     hearing; and any hearing which is concerned with possible 
     disciplinary action against a respondent or respondents 
     designated by the Committee shall be an adjudicatory hearing. 
     In any adjudicatory hearing, the procedures described in 
     paragraph (j) shall apply.
       (d) Subpoena Power: The Committee may require, 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 
     6.)
       (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 recorded vote of not less than 
     four members of the Committee, 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's 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 2 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 5 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 2 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 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 1 working day before a witness's scheduled 
     appearance, a witness or a witness's 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's counsel may also submit 
     additional sworn testimony for the record within 24 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 5 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 recorded vote of not less than four members 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 not less than four members of

[[Page S1404]]

     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's 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 6: 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 
     during a preliminary inquiry, adjudicatory review, 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 recorded vote 
     of not less than four members of the Committee, 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 during a 
     preliminary inquiry, adjudicatory review or other proceeding. 
     Deposition notices shall specify a time and place for 
     examination. Unless otherwise specified, the deposition shall 
     be in private, and the testimony taken and documents produced 
     shall be deemed for the purpose of these rules to have been 
     received in a closed or executive session of the Committee. 
     The Committee shall not initiate procedures leading to 
     criminal or civil enforcement proceedings for a witness's 
     failure to appear, or to testify, or to produce documents, 
     unless the deposition notice was accompanied by a subpoena 
     authorized for issuance by the Committee, or the Chairman and 
     Vice Chairman, acting jointly.
       (3) Counsel at Depositions: Witnesses may be accompanied at 
     a deposition by counsel to advise them of their rights.
       (4) Deposition Procedure: Witnesses at depositions shall be 
     examined upon oath administered by an individual authorized 
     by law to administer oaths, or administered by any member of 
     the Committee if one is present. Questions may be propounded 
     by any person or persons who are authorized to take 
     depositions for the Committee. If a witness objects to a 
     question and refuses to testify, or refuses to produce a 
     document, any member of the Committee who is present may rule 
     on the objection and, if the objection is overruled, direct 
     the witness to answer the question or produce the document. 
     If no member of the Committee is present, the individual who 
     has been designated by the Chairman and Vice Chairman, acting 
     jointly, to take the deposition may proceed with the 
     deposition, or may, at that time or at a subsequent time, 
     seek a ruling by telephone or otherwise on the objection from 
     the Chairman or Vice Chairman of the Committee, who may refer 
     the matter to the Committee or rule on the objection. If the 
     Chairman or Vice Chairman, or the Committee upon referral, 
     overrules the objection, the Chairman, Vice Chairman, or the 
     Committee as the case may be, may direct the witness to 
     answer the question or produce the document. The Committee 
     shall not initiate procedures leading to civil or criminal 
     enforcement unless the witness refuses to testify or produce 
     documents after having been directed to do so.
       (5) Filing of Depositions: Deposition testimony shall be 
     transcribed or electronically recorded. If the deposition is 
     transcribed, the individual administering the oath shall 
     certify on the transcript that the witness was duly sworn in 
     his or her presence and the transcriber shall certify that 
     the transcript is a true record of the testimony. The 
     transcript with these certifications shall be filed with the 
     chief clerk of the Committee, and the witness shall be 
     furnished with access to a copy at the Committee's offices 
     for review. Upon inspecting the transcript, within a time 
     limit set by the Chairman and Vice Chairman, acting jointly, 
     a witness may request in writing changes in the transcript to 
     correct errors in transcription. The witness may also bring 
     to the attention of the Committee errors of fact in the 
     witness's testimony by submitting a sworn statement about 
     those facts with a request that it be attached to the 
     transcript. The Chairman and Vice Chairman, acting jointly, 
     may rule on the witness's request, and the changes or 
     attachments allowed shall be certified by the Committee's 
     chief clerk. If the witness fails to make any request under 
     this paragraph within the time limit set, this fact shall be 
     noted by the Committee's chief clerk. Any person authorized 
     by the Committee may stipulate with the witness to changes in 
     this procedure.


   Rule 7: Violations of Law; Perjury; Legislative Recommendations; 
   Educational Mandate; and Applicable Rules and Standards of Conduct

       (a) Violations of Law: Whenever the Committee determines by 
     the recorded vote of not less than four members of the full 
     Committee that there is reason to believe that a violation of 
     law, including the provision of false information to the 
     Committee, may have occurred, it shall report such possible 
     violation to the proper Federal and State authorities.
       (b) Perjury: Any person who knowingly and willfully swears 
     falsely to a sworn complaint or any other sworn statement to 
     the Committee does so under penalty of perjury. The Committee 
     may refer any such case to the Attorney General for 
     prosecution.
       (c) Legislative Recommendations: The Committee shall 
     recommend to the Senate by report or resolution such 
     additional rules, regulations, or other legislative measures 
     as it determines to be necessary or desirable to ensure 
     proper standards of conduct by Members, officers, or 
     employees of the Senate. The Committee may conduct such 
     inquiries as it deems necessary to prepare such a report or 
     resolution, including the holding of hearings in public or 
     executive session and the use of subpoenas to compel the 
     attendance of witnesses or the production of materials. The 
     Committee may make legislative recommendations as a result of 
     its findings in a preliminary inquiry, adjudicatory review, 
     or other proceeding.
       (d) Educational Mandate: The Committee shall develop and 
     implement programs and materials designed to educate Members, 
     officers, and employees about the laws, rules, regulations, 
     and standards of conduct applicable to such individuals in 
     the performance of their duties.
       (e) Applicable Rules and Standards of Conduct:
       (1) Notwithstanding any other provision of this section, no 
     adjudicatory review shall be initiated 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.
       (2) The Committee may initiate an adjudicatory review 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 Committee.


  RULE 8: PROCEDURES FOR HANDLING COMMITTEE SENSITIVE AND CLASSIFIED 
                               MATERIALS

       (a) Procedures for Handling Committee Sensitive Materials:

[[Page S1405]]

       (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, adjudicatory review or 
     other proceeding by the Select Committee on Ethics into such 
     allegations or conduct; to the investigative techniques and 
     procedures of the Select Committee on Ethics; or to other 
     information or material designated by the staff director, or 
     outside counsel designated by the Chairman and Vice Chairman.
       (2) The Chairman and Vice Chairman of the Committee shall 
     establish such procedures as may be necessary to prevent the 
     unauthorized disclosure of Committee Sensitive information in 
     the possession of the Committee or its staff. Procedures for 
     protecting Committee Sensitive materials shall be in writing 
     and shall be given to each Committee staff member.
       (b) Procedures for Handling Classified Materials:
       (1) Classified information or material is information or 
     material which is specifically designated as classified under 
     the authority of Executive Order 11652 requiring protection 
     of such information or material from unauthorized disclosure 
     in order to prevent damage to the United States.
       (2) The Chairman and Vice Chairman of the Committee shall 
     establish such procedures as may be necessary to prevent the 
     unauthorized disclosure of classified information in the 
     possession of the Committee or its staff. Procedures for 
     handling such information shall be in writing and a copy of 
     the procedures shall be given to each staff member cleared 
     for access to classified information.
       (3) Each member of the Committee shall have access to 
     classified material in the Committee's possession. Only 
     Committee staff members with appropriate security clearances 
     and a need-to-know, as approved by the Chairman and Vice 
     Chairman, acting jointly, shall have access to classified 
     information in the Committee's possession.
       (c) Procedures for Handling Committee Sensitive and 
     Classified Documents:
       (1) Committee Sensitive 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, adjudicatory review, or other proceeding, 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 9: 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 
     recorded vote of not less than four members of the Committee 
     that such coverage is not appropriate at a particular hearing 
     or meeting.
       (b) Any witness served with a subpoena by the Committee may 
     request not to be photographed at any hearing or to give 
     evidence or testimony while the broadcasting, reproduction, 
     or coverage of that hearing, by radio, television, still 
     photography, or other methods is occurring. At the request of 
     any such witness who does not wish to be subjected to radio, 
     television, still photography, or other methods of coverage, 
     and subject to the approval of the Committee, all lenses 
     shall be covered and all microphones used for coverage turned 
     off.
       (c) If coverage is permitted, it shall be in accordance 
     with the following requirements:
       (1) Photographers and reporters using mechanical recording, 
     filming, or broadcasting apparatus shall position their 
     equipment so as not to interfere with the seating, vision, 
     and hearing of the Committee members and staff, or with the 
     orderly process of the meeting or hearing.
       (2) If the television or radio coverage of the hearing or 
     meeting is to be presented to the public as live coverage, 
     the coverage shall be conducted and presented without 
     commercial sponsorship.
       (3) Personnel providing coverage by the television and 
     radio media shall be currently accredited to the Radio and 
     Television Correspondents' Galleries.
       (4) Personnel providing coverage by still photography shall 
     be currently accredited to the Press Photographers' Gallery 
     Committee of Press Photographers.
       (5) Personnel providing coverage by the television and 
     radio media and by still photography shall conduct themselves 
     and the coverage activities in an orderly and unobtrusive 
     manner.


               rule 10: procedures for advisory opinions

       (a) When Advisory Opinions Are Rendered:
       (1) The Committee shall render an advisory opinion, in 
     writing within a reasonable time, in response to a written 
     request by a Member or officer of the Senate or a candidate 
     for nomination for election, or election to the Senate, 
     concerning the application of any law, the Senate Code of 
     Official Conduct, or any rule or regulation of the Senate 
     within the Committee's jurisdiction, to a specific factual 
     situation pertinent to the conduct or proposed conduct of the 
     person seeking the advisory opinion.
       (2) The Committee may issue an advisory opinion in writing 
     within a reasonable time in response to a written request by 
     any employee of the Senate concerning the application of any 
     law, the Senate Code of Official Conduct, or any rule or 
     regulation of the Senate within the Committee's jurisdiction, 
     to a specific factual situation pertinent to the conduct or 
     proposed conduct of the person seeking the advisory opinion.
       (b) Form of Request: A request for an advisory opinion 
     shall be directed in writing to the Chairman of the Committee 
     and shall include a complete and accurate statement of the 
     specific factual situation with respect to which the request 
     is made as well as the specific question or questions which 
     the requestor wishes the Committee to address.
       (c) Opportunity for Comment:
       (1) The Committee will provide an opportunity for any 
     interested party to comment on a request for an advisory 
     opinion--
       (A) which requires an interpretation on a significant 
     question of first impression that will affect more than a few 
     individuals; or
       (B) when the Committee determines that comments from 
     interested parties would be of assistance.

[[Page S1406]]

       (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 11: 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 interpretative ruling in response to any such 
     request, unless----
       (A) they cannot agree,
       (B) it requires an interpretation of a significant question 
     of first impression, or
       (C) either requests that it be taken to the Committee, in 
     which event the request shall be directed to the Committee 
     for a ruling.
       (2) A ruling on any request taken to the Committee under 
     subparagraph (1) shall be adopted by a majority of the 
     members voting and the ruling shall then be issued by the 
     Chairman and Vice Chairman.
       (d) Publication of Rulings: The Committee will publish in 
     the Congressional Record, after making appropriate deletions 
     to ensure confidentiality, any interpretative rulings issued 
     under this Rule which the Committee determines may be of 
     assistance or guidance to other Members, officers or 
     employees. The Committee may at any time revise, withdraw, or 
     elaborate on interpretative rulings.
       (e) Reliance on Rulings: Whenever an individual can 
     demonstrate to the Committee's satisfaction that his or her 
     conduct was in good faith reliance on an interpretative 
     ruling issued in accordance with this Rule, the Committee 
     will not recommend sanctions to the Senate as a result of 
     such conduct.
       (f) Rulings by Committee Staff: The Committee staff is not 
     authorized to make rulings or give advice, orally or in 
     writing, which binds the Committee in any way.


   RULE 12: 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, pursuant to 
     the franking statute, 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 adjudicatory 
     review, must be summarized, together with the disposition, in 
     a report to the Senate, as appropriate.
       (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 10 and 11.


                    RULE 13: PROCEDURES FOR WAIVERS

       (a) Authority for Waivers: The Committee is authorized to 
     grant a waiver under the following provisions of the Standing 
     Rules of the Senate:
       (1) Section 101(h) of the Ethics in Government Act of 1978, 
     as amended (Rule XXXIV), relating to the filing of financial 
     disclosure reports by individuals who are expected to perform 
     or who have performed the duties of their offices or 
     positions for less than one hundred and thirty days in a 
     calendar year;
       (2) Section 102(a)(2)(D) of the Ethics in Government Act, 
     as amended (Rule XXXIV), relating to the reporting of gifts;
       (3) Paragraph 1 of Rule XXXV relating to acceptance of 
     gifts; or
       (4) Paragraph 5 of Rule XLI relating to applicability of 
     any of the provisions of the Code of Official Conduct to an 
     employee of the Senate hired on a per diem basis.
       (b) Requests for Waivers: A request for a waiver under 
     paragraph (a) must be directed to the Chairman or Vice 
     Chairman in writing and must specify the nature of the waiver 
     being sought and explain in detail the facts alleged to 
     justify a waiver. In the case of a request submitted by an 
     employee, the views of his or her supervisor (as determined 
     under paragraph 12 of Rule XXXVII of the Standing Rules of 
     the Senate) should be included with the waiver request.
       (c) Ruling: The Committee shall rule on a waiver request by 
     recorded vote with a majority of those voting affirming the 
     decision. 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 14: 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 90 days in a calendar year by a 
     Member, officer, employee, or committee of the Senate in the 
     conduct of official duties in accordance with Rule XLI(4) of 
     the Standing Rules of the Senate.


                        RULE 15: 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.

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       (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 preliminary inquiry, adjudicatory review, 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, preliminary inquiry, 
     adjudicatory review, 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 
     adjudicatory review undertaken after a preliminary inquiry, 
     unless the Committee determines that the use of outside 
     counsel is not appropriate in the particular case.
       (c) Dismissal of Staff: A staff member may not be removed 
     for partisan, political reasons, or merely as a consequence 
     of the rotation of the Committee membership. The Chairman and 
     Vice Chairman, acting jointly, shall approve the dismissal of 
     any staff member.
       (d) Staff Works for Committee as Whole: All staff employed 
     by the Committee or housed in Committee offices shall work 
     for the Committee as a whole, under the general direction of 
     the Chairman and Vice Chairman, and the immediate direction 
     of the staff director or outside counsel.
       (e) Notice of Summons to Testify: Each member of the 
     Committee staff or outside counsel 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 16: 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 
     recorded vote of not less than four members of the full 
     Committee taken at a meeting called with due notice when 
     prior written notice of the proposed change has been provided 
     each member of the Committee.
       (b) Publication: Any amendments adopted to the Rules of 
     this Committee shall be published in the Congressional Record 
     in accordance with Rule XXVI(2) of the Standing Rules of the 
     Senate.

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