[United States Senate Manual, 107th Congress]
[S. Doc. 107-1]
[Non-statutory Standing Orders and Regulations Affecting the Business of the Senate]
[Pages 108-117]
[From the U.S. Government Publishing Office, www.gpo.gov]


        80                   SELECT COMMITTEE ON ETHICS

                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. The Select Committee shall 
            select a chairman or a vice chairman from among

[[Page 109]]

            its members. For purposes of paragraph 4\1\ 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.
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                \1\ Changed from ``paragraph 6'' as a result of the 
            adoption of S. Res. 274, 96-1, Nov. 14, 1979.
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                (b) Vacancies in the membership of the Select Committee 
            shall not affect the authority of the remaining members to 
            execute the functions of the committee, and shall be filled 
            in the same manner as original appointments thereto are 
            made.
                (c)(1) A majority of the members of the Select Committee 
            shall constitute a quorum for the transaction of business 
            involving complaints and allegations of misconduct, 
            including the consideration of matters involving sworn 
            complaints, unsworn allegations or information, resultant 
            preliminary inquiries, initial reviews, investigations, 
            hearings, recommendations or reports, and matters relating 
            to S. Res. 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 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) (Repealed by S. Res. 271, 96-1, Oct. 31, 1979.)
                (e)(1) A member of the Select Committee shall be 
            ineligible to participate in any initial review or 
            investigation relating to his own conduct, the conduct of 
            any officer or employee he supervises, or the conduct of any 
            employee of any officer he supervises, or relating to any 
            complaint filed by him, and the determinations and 
            recommendations of the Select Committee with respect 
            thereto. For purposes of this subparagraph, a Member of the 
            Select Committee and an officer of the Senate shall be 
            deemed to supervise

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            any officer or employee consistent with the provision of 
            paragraph 11 of rule XXXVII\1\ of the Standing Rules of the 
            Senate.
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                \1\ Changed from ``paragraph 12 of rule XLV'' as a 
            result of the adoption of S. Res. 274, 96-1, Nov. 14, 1979; 
            further changed from ``paragraph 11 of rule XLV'' as a 
            result of the adoption of S. Res. 389, 96-2, Mar. 25, 1980.
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                (2) A member of the Select Committee may, at his 
            discretion, disqualify himself from participating in any 
            initial review or investigation pending before the Select 
            Committee and the determinations and recommendations of the 
            Select Committee with respect thereto. Notice of such 
            disqualification shall be given in writing to the President 
            of the Senate.
                (3) Whenever any member of the Select Committee is 
            ineligible under paragraph (1) to participate in any initial 
            review or investigation or disqualifies himself under 
            paragraph (2) from participating in any initial review or 
            investigation, another Member of the Senate shall, subject 
            to the provisions of subsection (d), be appointed to serve 
            as a member of the Select Committee solely for purposes of 
            such initial review or investigation and the determinations 
            and recommendations of the Select Committee with respect 
            thereto. Any Member of the Senate appointed for such 
            purposes shall be of the same party as the Member who is 
            ineligible or disqualifies himself.
                Sec. 2. (a) It shall be the duty of the Select Committee 
            to--
                        (1) receive complaints and investigate 
                    allegations of improper conduct which may reflect 
                    upon the Senate, violations of law, violations of 
                    the Senate Code of Official Conduct, and violations 
                    of rules and regulations of the Senate, relating to 
                    the conduct of individuals in the performance of 
                    their duties as Members of the Senate, or as 
                    officers or employees of the Senate, and to make 
                    appropriate findings of fact and conclusions with 
                    respect thereto;
                        (2) recommend to the Senate by report or 
                    resolution by a majority vote of the full committee 
                    disciplinary action (including, but not limited to, 
                    in the case of a Member: censure, expulsion, or 
                    recommendation to the appropriate party conference 
                    regarding such Member's seniority or positions of 
                    responsibility; and, in the case of an officer or 
                    employee: suspension or dismissal) to be taken with 
                    respect to such violations which the Select 
                    Committee shall determine, after ac

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                    cording to the individuals concerned due notice and 
                    opportunity for hearing, to have occurred;
                        (3) recommend to the Senate, by report or 
                    resolution, such additional rules or regulations as 
                    the Select Committee shall determine to be necessary 
                    or desirable to insure proper standards of conduct 
                    by Members of the Senate, and by officers or 
                    employees of the Senate, in the performance of their 
                    duties and the discharge of their responsibilities; 
                    and
                        (4) report violations by a majority vote of the 
                    full committee of any law to the proper Federal and 
                    State authorities.
                (b)(1) Each sworn complaint filed with the Select 
            Committee shall be in writing, shall be in such form as the 
            Select Committee may prescribe by regulation, and shall be 
            under oath.
                (2) For purposes of this section, ``sworn complaint'' 
            means a statement of facts within the personal knowledge of 
            the complainant alleging a violation of law, the Senate Code 
            of Official Conduct, or any other rule or regulation of the 
            Senate relating to the conduct of individuals in the 
            performance of their duties as Members, officers, or 
            employees of the Senate.
                (3) Any person who knowingly and willfully swears 
            falsely to a sworn complaint does so under penalty of 
            perjury, and the Select Committee may refer any such case to 
            the Attorney General for prosecution.
                (4) For the purposes of this section, ``investigation'' 
            is a proceeding undertaken by the Select Committee after a 
            finding, on the basis of an initial review, that there is 
            substantial credible evidence which provides substantial 
            cause for the Select Committee to conclude that a violation 
            within the jurisdiction of the Select Committee has 
            occurred.
                (c)(1) No investigation of conduct of a Member or 
            officer of the Senate, and no report, resolution, or 
            recommendation relating thereto, may be made unless approved 
            by the affirmative recorded vote of not less than four 
            members of the Select Committee.
                (2) No other resolution, report, recommendation, 
            interpretative ruling, or advisory opinion may be made 
            without an affirmative vote of a majority of the members of 
            the Select Committee voting.
                (d)(1) When the Select Committee receives a sworn 
            complaint against a Member or officer of the Senate, it 
            shall

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            promptly conduct an initial review of that complaint. The 
            initial review shall be of duration and scope necessary to 
            determine whether there is substantial credible evidence 
            which provides substantial cause for the Select Committee to 
            conclude that a violaton within the jurisdiction of the 
            Select Committee has occurred.
                (2) If as a result of an initial review under paragraph 
            (1), the Select Committee determines by a recorded vote that 
            there is not such substantial credible evidence, the Select 
            Committee shall report such determination to the complainant 
            and to the party charged, together with an explanation of 
            the basis of such determination.
                (3) If as a result of an initial review under paragraph 
            (1), the Select Committee determines that a violation is 
            inadvertent, technical, or otherwise of a de minimis nature, 
            the Select Committee may attempt to correct or prevent such 
            a violation by informal methods.
                (4) If as the result of an initial review under 
            paragraph (1), the Select Committee determines that there is 
            such substantial credible evidence but that the violation, 
            if proven, is neither of a de minimis nature nor 
            sufficiently serious to justify any of the penalties 
            expressly referred to in subsection (a)(2), the Select 
            Committee may propose a remedy it deems appropriate. If the 
            matter is thereby resolved, a summary of the Select 
            Committee's conclusions and the remedy proposed shall be 
            filed as a public record with the Secretary of the Senate 
            and a notice of such filing shall be printed in the 
            Congressional Record.
                (5) If as the result of an initial review under 
            paragraph (1), the Select Committee determines that there is 
            such substantial credible evidence, the Select Committee 
            shall promptly conduct an investigation if (A) the 
            violation, if proven, would be sufficiently serious, in the 
            judgment of the Select Committee, to warrant imposition of 
            one or more of the penalties expressly referred to in 
            subsection (a)(2), or (B) the violation, if proven, is less 
            serious, but was not resolved pursuant to paragraph (4) 
            above. Upon the conclusion of such investigation, the Select 
            Committee shall report to the Senate, as soon as 
            practicable, the results of such investigation together with 
            its recommendations (if any) pursuant to subsection (a)(2).
                (6) Upon the conclusion of any other investigation 
            respecting the conduct of a Member or officer undertaken by 
            the Select Committee, the Select Committee shall report

[[Page 113]]

            to the Senate, as soon as practicable, the results of such 
            investigation together with its recommendations (if any) 
            pursuant to subsection (a)(2).
                (e) When the Select Committee receives a sworn complaint 
            against an employee of the Senate, it shall consider the 
            complaint according to procedures it deems appropriate. If 
            the Select Committee determines that the complaint is 
            without substantial merit, it shall notify the complainant 
            and the accused of its determination, together with an 
            explanation of the basis of such determination.
                (f) The Select Committee may, in its discretion, employ 
            hearing examiners to hear testimony and make findings of 
            fact and/or recommendations to the Select Committee 
            concerning the disposition of complaints.
                (g) Notwithstanding any other provision of this section, 
            no initial review or investigation shall be made of any 
            alleged violation of any law, the Senate Code of Official 
            Conduct, rule, or regulation which was not in effect at the 
            time the alleged violation occurred. No provision of the 
            Senate Code of Official Conduct shall apply to or require 
            disclosure of any act, relationship, or transaction which 
            occurred prior to the effective date of the applicable 
            provision of the Code. The Select Committee may conduct an 
            initial review or investigation of any alleged violation of 
            a rule or law which was in effect prior to the enactment of 
            the Senate Code of Official Conduct if the alleged violation 
            occurred while such rule or law was in effect and the 
            violation was not a matter resolved on the merits by the 
            predecessor Select Committee.
                (h) The Select Committee shall adopt written rules 
            setting forth procedures to be used in conducting 
            investigations of complaints.
                (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 
            subpena or otherwise the attendance of such witnesses and 
            the production of such correpondence, books, papers, and 
            documents; (5) administer such oaths; (6) take such 
            testimony orally or by deposition; (7) employ and fix the 
            com

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            pensation 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 investigation conducted under section 2 shall be 
            conducted by outside counsel as authorized in paragraph (1), 
            unless the Select Committee determines not to use outside 
            counsel.
                (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) Subpenas may be issued (1) by the Select Committee 
            or (2) by the chairman and vice chairman, acting jointly. 
            Any such subpena shall be signed by the chairman or the vice 
            chairman and may be served by any person designated by such 
            chairman or vice chairman. The chairman of the Select 
            Committee or any member thereof may administer oaths to 
            witnesses.

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                (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.

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                (7) Any advisory opinion issued in response to a request 
            under paragraph (3) or (4) shall be printed in the 
            Congressional Record with appropriate deletions to assure 
            the privacy of the individual concerned. The Select 
            Committee shall to the extent practicable, before rendering 
            an advisory opinion, provide any interested party with an 
            opportunity to transmit written comments to the Select 
            Committee with respect to the request for such advisory 
            opinion. The advisory opinions issued by the Select 
            Committee shall be compiled, indexed, reproduced, and made 
            available on a periodic basis.
                (8) A brief description of a waiver granted under 
            section 102(a)(2)(B) of Title I of Ethics in Government Act 
            of 1978\1\ or paragraph 1 of rule XXXV\2\ 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.
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                \1\Changed from ``paragraph 2(c), of rule XLII'' as a 
            result of the adoption of S. Res. 220, 96-1, Aug. 3, 1979.
                \2\Changed from ``paragraph 1 of rule XLIII'' as a 
            result of the adoption of S. Res. 389, 96-2, Mar. 25, 1980.
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                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;

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                        (7) an employee of a joint committee of the 
                    Congress whose compensation is disbursed by the 
                    Secretary of the Senate.

            [S. Res. 338, 88-2, July 24, 1964; S. Res. 368, 93-2, July 
            25, 1974; S. Res. 4, 95-1, Feb. 4, 1977; S. Res. 110, 95-1, 
            Apr. 1, 1977; S. Res. 230, 95-1, July 25, 1977; S. Res. 312, 
            95-1, Nov. 1, 1977; S. Res. 271, 96-1, Oct. 31, 1979; S. 
            Res. 78, 97-1, Feb. 24, 1981.]