    [United States Senate Manual, 112th Congress]
    [S. Doc. 112-1]
    [Non-statutory Standing Orders and Regulations Affecting the Business of the Senate]
    [Pages 135-143]
    [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

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                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 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

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                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 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
                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 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) Subpoenas may be issued (1) by the Select Committee
                or (2) by the chairman and vice chairman, acting jointly.
                Any such subpoena shall be signed by the chairman or the
                vice chairman and may be served by any person designated by
                such chairman or vice chairman. The chairman of the Select
                Committee or any member thereof may administer oaths to
                witnesses.
                    (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.]