[United States Senate Manual, 110th Congress]
[S. Doc. 110-1]
[Non-statutory Standing Orders and Regulations Affecting the Business of the Senate]
[Pages 128-136]
[From the U.S. Government Publishing Office, www.gpo.gov]
77 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 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.
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(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 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
disquali
[[Page 130]]
fication 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 according to the
individuals concerned due notice and opportunity for
hearing, to have occurred;
(3) recommend to the Senate, by report or
resolution, such additional rules or regulations as
the Select Committee shall determine to be necessary
or desirable to insure proper standards of conduct
by Members of the Senate, and by officers or
employees of the Senate, in the performance of their
duties and the discharge of their responsibilities;
and
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(4) report violations by a majority vote of the
full committee of any law to the proper Federal and
State authorities.
(b)(1) Each sworn complaint filed with the Select
Committee shall be in writing, shall be in such form as the
Select Committee may prescribe by regulation, and shall be
under oath.
(2) For purposes of this section, ``sworn complaint''
means a statement of facts within the personal knowledge of
the complainant alleging a violation of law, the Senate Code
of Official Conduct, or any other rule or regulation of the
Senate relating to the conduct of individuals in the
performance of their duties as Members, officers, or
employees of the Senate.
(3) Any person who knowingly and willfully swears
falsely to a sworn complaint does so under penalty of
perjury, and the Select Committee may refer any such case to
the Attorney General for prosecution.
(4) For the purposes of this section, ``investigation''
is a proceeding undertaken by the Select Committee after a
finding, on the basis of an initial review, that there is
substantial credible evidence which provides substantial
cause for the Select Committee to conclude that a violation
within the jurisdiction of the Select Committee has
occurred.
(c)(1) No investigation of conduct of a Member or
officer of the Senate, and no report, resolution, or
recommendation relating thereto, may be made unless approved
by the affirmative recorded vote of not less than four
members of the Select Committee.
(2) No other resolution, report, recommendation,
interpretative ruling, or advisory opinion may be made
without an affirmative vote of a majority of the members of
the Select Committee voting.
(d)(1) When the Select Committee receives a sworn
complaint against a Member or officer of the Senate, it
shall promptly conduct an initial review of that complaint.
The initial review shall be of duration and scope necessary
to determine whether there is substantial credible evidence
which provides substantial cause for the Select Committee to
conclude that a violation within the jurisdiction of the
Select Committee has occurred.
(2) If as a result of an initial review under paragraph
(1), the Select Committee determines by a recorded vote that
there is not such substantial credible evidence, the
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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 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 com
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plainant 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 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 com
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pensation 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.
(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.
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(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 advi
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sory 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;
(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.]