[Congressional Record Volume 161, Number 31 (Tuesday, February 24, 2015)]
[Senate]
[Pages S1060-S1071]
From the Congressional Record Online through the Government Publishing Office [www.gpo.gov]
SELECT COMMITTEE ON ETHICS
______
RULES OF PROCEDURE
Mr. ISAKSON. Mr. President, in accordance with rule XXVI, paragraph 2
of the Standing Rules of the Senate, I ask unanimous consent for myself
as chairman of the Select Committee on Ethics and for Senator Boxer as
vice chairman of the committee 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
114th Congress.
There being no objection, the material was ordered to be printed in
the Record, as follows:
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)
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 of 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.
(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 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 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.
(d)(1) A member of the Select Committee shall be ineligible
to participate in--
(A) any preliminary inquiry or adjudicatory review relating
to--
(i) the conduct of--
(I) such member;
(II) any officer or employee the member supervises; or
(III) any employee of any officer the member supervises; or
(ii) any complaint filed by the member; and
(B) the determinations and recommendations of the Select
Committee with respect to any preliminary inquiry or
adjudicatory review described in subparagraph (A).
For purposes of this paragraph, 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 the discretion
of the member, disqualify himself or herself from
participating in any preliminary inquiry or adjudicatory
review pending before the Select Committee and the
determinations and recommendations of the Select Committee
with respect to any such preliminary inquiry or adjudicatory
review. 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
preliminary inquiry or adjudicatory review or disqualifies
himself or herself under paragraph (2) from participating in
any preliminary inquiry or adjudicatory review, another
Senator shall, subject to the provisions of subsection (d),
be appointed to serve as a member of the Select Committee
solely for purposes of such preliminary inquiry or
adjudicatory review and the determinations and
recommendations of the Select 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.
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 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)(A) recommend to the Senate by report or resolution by a
majority vote of the full committee disciplinary action to be
taken with respect to such violations which the Select
Committee shall determine, after according to the individual
concerned due notice and opportunity for a hearing, to have
occurred;
(B) pursuant to subparagraph (A) recommend discipline,
including--
(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; and
(ii) in the case of an officer or employee, dismissal,
suspension, payment of restitution, or a combination of
these;
(3) subject to the provisions of subsection (e), by a
unanimous vote of 6 members, order that a Member, officer, or
employee be reprimanded or pay restitution, or both, if the
Select 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;
(4) in the circumstances described in subsection (d)(3),
issue a public or private letter of admonition to a Member,
officer, or employee, which shall not be subject to appeal to
the Senate;
(5) 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;
(6) by a majority vote of the full committee, report
violations of any law, including the provision of false
information to the Select Committee, to the proper Federal
and State authorities; and
(7) 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.
(b) For the purposes of this resolution--
(1) the term ``sworn complaint'' means 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;
(2) the term ``preliminary inquiry'' means a proceeding
undertaken by the Select 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 Select Committee to conclude that a
violation within the jurisdiction of the Select Committee has
occurred; and
(3) the term ``adjudicatory review'' means a proceeding
undertaken by the Select Committee after a finding, on the
basis of a preliminary inquiry, 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--
(A) adjudicatory review of conduct of a Member or officer
of the Senate may be conducted;
[[Page S1061]]
(B) report, resolution, or recommendation relating to such
an adjudicatory review of conduct may be made; and
(C) letter of admonition pursuant to subsection (d)(3) may
be issued, unless approved by the affirmative recorded vote
of no fewer than 4 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 or other allegation or information about a Member,
officer, or employee of the Senate, it shall promptly conduct
a preliminary inquiry into matters raised by that complaint,
allegation, or information. The preliminary inquiry 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.
The Select Committee may delegate to the chairman and vice
chairman the discretion to determine the appropriate
duration, scope, and conduct of a preliminary inquiry.
(2) If, as a result of a preliminary inquiry under
paragraph (1), the Select Committee determines by a recorded
vote that there is not such substantial credible evidence,
the Select Committee shall dismiss the matter. The Select
Committee may delegate to the chairman and vice chairman the
authority, on behalf of the Select Committee, to dismiss any
matter that they determine, after a preliminary inquiry,
lacks substantial merit. The Select Committee shall inform
the individual who provided to the Select Committee the
complaint, allegation, or information, and the individual who
is the subject of the complaint, allegation, or information,
of the dismissal, together with an explanation of the basis
for the dismissal.
(3) If, as a result of a preliminary inquiry under
paragraph (1), the Select Committee determines that a
violation is inadvertent, technical, or otherwise of a de
minimis nature, the Select Committee may dispose of the
matter by issuing a public or private letter of admonition,
which shall not be considered discipline. The Select
Committee may issue a public letter of admonition upon a
similar determination at the conclusion of an adjudicatory
review.
(4) If, as a result of a preliminary inquiry under
paragraph (1), the Select Committee determines that there is
such substantial credible evidence and the matter cannot be
appropriately disposed of under paragraph (3), the Select
Committee shall promptly initiate an adjudicatory review.
Upon the conclusion of such adjudicatory review, the Select
Committee shall report to the Senate, as soon as practicable,
the results of such adjudicatory review, together with its
recommendations (if any) pursuant to subsection (a)(2).
(e) (1) Any individual who is the subject of a reprimand or
order of restitution, or both, pursuant to subsection (a)(3)
may, within 30 days of the Select 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 basis for the appeal to the Select
Committee and the presiding officer of the Senate. The
presiding officer of the Senate shall cause the notice of the
appeal to be printed in the Congressional Record and the
Senate Journal.
(2) 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 Select 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.
(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
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.
The Select 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 Select Committee.
(h) The Select Committee shall adopt written rules setting
forth procedures to be used in conducting preliminary
inquiries and adjudicatory reviews.
(i) 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, 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.
(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 adjudicatory review as defined in section 2(b)(3)
shall be conducted by outside counsel as authorized in
paragraph (1), unless the Select Committee determines not to
use outside counsel.
(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 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) (1) Subpoenas may be authorized by--
(A) the Select Committee; or
(B) the chairman and vice chairman, acting jointly.
(2) Any such subpoena shall be issued and signed by the
chairman and the vice chairman and may be served by any
person designated by the chairman and vice chairman.
(3) The chairman or any member of the Select Committee may
administer oaths to witnesses.
(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.
[[Page S1062]]
(8) A brief description of a waiver granted under paragraph
2(c) [NOTE: Now Paragraph 1] 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 [NOTE: Now the Select Committee on Ethics]
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
State 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 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
[[Page S1063]]
``(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--
``(1) 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.
``(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
145 Cong. Rec. S1832 (daily ed. Feb. 23, 1999)
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.
[[Page S1064]]
(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
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.
[[Page S1065]]
(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;
(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
[[Page S1066]]
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 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 five 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 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
[[Page S1067]]
(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 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'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 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 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, b 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 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
[[Page S1068]]
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:
(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.
[[Page S1069]]
(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.
(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
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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 ninety days in a calendar year by a
Member, officer, employee, or committee of the Senate in the
conduct of official duties in accordance with Rule XLI(4) of
the Standing Rules of the Senate.
RULE 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.
(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.
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, as amended, 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
recommend 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), and as amended by Section 3 of S. Res.
222 (1999), provides:
(g) 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.
The Select 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 Select Committee.
APPENDIX A--OPEN AND CLOSED MEETINGS
Paragraphs 5 (b) to (d) of Rule XXVI of the Standing Rules
of the Senate reads 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
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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 identity 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;
(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.
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