[Congressional Record Volume 141, Number 45 (Friday, March 10, 1995)]
[House]
[Pages H3042-H3048]
From the Congressional Record Online through the Government Publishing Office [www.gpo.gov]


RULES OF PROCEDURE FOR THE COMMITTEE ON STANDARDS AND OFFICIAL CONDUCT 
                         FOR THE 104TH CONGRESS

  (Mrs. JOHNSON of Connecticut asked and was given permission to extend 
her remarks at this point in the Record and to include extraneous 
matter.)
  Mrs. JOHNSON of Connecticut. Mr. Speaker, I am submitting to the 
House the interim rules of the Committee on Standards of Official 
Conduct of the 104th Congress. These rules were adopted by the 
committee at our organizational meeting on February 9, 1995.
  The committee adopted these rules on an interim basis so that we 
could undertake the work before the committee according to the rules by 
which the committee was operating at the time of the initial filing of 
pending business. The committee intends to review these rules during 
the 104th Congress and make additional recommendations.

        Rules of the Committee on Standards of Official Conduct

                                Foreword

       The Committee on Standards of Official Conduct is unique in 
     the House of Representatives. Consistent with the duty to 
     carry out its advisory and enforcement responsibilities in an 
     impartial manner, the Committee is the only standing 
     committee of the House of Representatives the membership of 
     which is divided evenly by party. These rules are intended to 
     provide a fair procedural framework for the conduct of the 
     Committee's activities and to help insure that the Committee 
     serves well the people of the United States, the House of 
     Representatives, and the Members, officers, and employees of 
     the House of Representatives.

                    Part I--General Committee Rules

                       Rule 1. General Provisions

       (a) So far as applicable, these rules and the Rules of the 
     House of Representatives shall be the rules of the Committee 
     and any subcommittee. The Committee adopts these rules under 
     the authority of clause 2(a) of Rule XI of the Rules of the 
     House of Representatives, 103d Congress.
       (b) The rules of the Committee may be modified, amended, or 
     repealed by a vote of a majority of the Committee.
       (c) When the interests of justice so require, the 
     Committee, by a majority vote of its members, may adopt any 
     special procedures, not inconsistent with these rules, deemed 
     necessary to resolve a particular matter before it. Copies of 
     such special procedures shall be furnished to all parties in 
     the matter.

                          Rule 2. Definitions

       (a) ``Adjudicatory Subcommittee'' means a subcommittee of 
     the Committee, comprised of those Committee members not on 
     the investigative subcommittee, that holds a disciplinary 
     hearing and determines whether the counts in a Statement of 
     Alleged Violation are proved by clear and convincing 
     evidence.
       (b) ``Committee'' means the Committee on Standards of 
     Official Conduct.
       (c) ``Complaint'' means a written allegation of improper 
     conduct against a Member, officer, or employee of the House 
     of Representatives filed with the Committee with the intent 
     to initiate a Preliminary Inquiry.
       (d) ``Disciplinary Hearing'' means an adjudicatory 
     subcommittee hearing held for the purposes of receiving 
     evidence regarding conduct alleged in a Statement of Alleged 
     Violation and determining whether the counts in the Statement 
     of Alleged Violation have been proved by clear and convincing 
     evidence.
       (e) ``Investigative Subcommittee'' means a subcommittee 
     designated pursuant to Rule 6 to conduct a Preliminary 
     Inquiry to determine if a Statement of Alleged Violation 
     should be issued.
       (f) ``Office of Advice and Education'' refers to the Office 
     established by section 803(i) of the Ethics Reform Act of 
     1989. The Office handles inquiries; prepares written opinions 
     in response to specific requests; develops general guidance; 
     and organizes seminars, workshops, and briefings for the 
     benefit of the House of Representatives.
       (g) ``Preliminary Inquiry'' means an investigation by an 
     investigative subcommittee into allegations against a Member, 
     officer, or employee of the House of Representatives.
       (h) ``Respondent'' means a Member, officer, or employee of 
     the House of Representatives who is the subject of a 
     complaint filed with the Committee or who is the subject of a 
     Preliminary Inquiry or a Statement of Alleged Violation.
       [[Page H3043]] (i) ``Sanction Hearing'' means a Committee 
     hearing to determine what sanction, if any, to recommend to 
     the House of Representatives.
       (j) ``Statement of Alleged Violation'' means a formal 
     charging document filed by an investigative subcommittee with 
     the Committee containing specific allegations against a 
     Member, officer, or employee of the House of Representatives 
     of a violation of the Code of Official Conduct, or of a law, 
     rule, regulation, or other standard of conduct applicable to 
     the performance of official duties or the discharge of 
     official responsibilities.

                 Rule 3. Advisory Opinions and Waivers

       (a) There is established within the Committee an Office of 
     Advice and Education. The Office shall handle inquiries; 
     prepare written opinions providing specific advice; develop 
     general guidance; and organize seminars, workshops, and 
     briefings for the benefit of the House of Representatives.
       (b) Any Member, officer, or employee of the House of 
     Representatives, or any other person specifically authorized 
     by law, may request a written opinion with respect to the 
     propriety of any current or proposed conduct of such Member, 
     officer, employee, or person.
       (c) The Office of Advice and Education may provide 
     information and guidance regarding laws, rules, regulations, 
     and other standards of conduct applicable to Members, 
     officers, and employees in the performance of their duties or 
     the discharge of their responsibilities.
       (d) In general, the Committee shall provide a written 
     opinion to an individual only in response to a written 
     request.
       (e) Unless specifically authorized by law or resolution of 
     the House of Representatives, written opinions may be 
     provided only to Members, officers, and employees of the 
     House of Representatives. Other individuals may be provided 
     with general information regarding rules or laws, such as 
     citations to relevant texts of publicly available documents.
       (f) A written request for an opinion shall be addressed to 
     the Chairman of the Committee and shall include a complete 
     and accurate statement of the relevant facts. A request shall 
     be signed by the requester or the requester's authorized 
     representative or employing authority. A representative shall 
     disclose to the Committee the identity of the principal on 
     whose behalf advice is being sought.
       (g) A written opinion shall address the conduct only of the 
     inquiring individual, or of persons for whom the inquiring 
     individual is responsible as employing authority.
       (h) The Office of Advice and Education shall prepare for 
     the Committee a response to each written request for an 
     opinion. Each response shall discuss all applicable laws, 
     rules, regulations, or other standards.
       (i) Where a request is unclear or incomplete, the Office of 
     Advice and Education may seek additional information from the 
     requester.
       (j) The Chairman and Ranking Minority Member are authorized 
     to take action on behalf of the Committee on any proposed 
     written opinion that they determine does not require 
     consideration by the Committee. If the Chairman or Ranking 
     Minority Member requests a written opinion, or seeks a 
     waiver, extension, or approval pursuant to Rules 3(n), 4(c), 
     4(e), or 4(h), the next ranking member of the requester's 
     party is authorized to act in lieu of the requester.
       (k) The Committee shall keep confidential any request for 
     advice, as well as any response thereto.
       (l) The Committee may take no adverse action in regard to 
     any conduct that has been undertaken in reliance on a written 
     opinion if the conduct conforms to the specific facts 
     addressed in the opinion.
       (m) Information provided to the Committee by a Member, 
     officer, or employee seeking advice regarding prospective 
     conduct may not be used as the basis for initiating an 
     investigation under clause 4(e)(1)(B) of Rule X of the Rules 
     of the House of Representatives, if such Member, officer, or 
     employee acts in good faith in accordance with the written 
     advice of the Committee.
       (n) A written request for a waiver of House Rule XLIII, 
     clause 4 (the House gift rule), or for any other waiver or 
     approval, shall be treated in all respects like any other 
     request for a written opinion.
       (o) A written request for a waiver of House Rule XLIII, 
     clause 4 (the House gift rule), shall specify the nature of 
     the waiver being sought and the specific circumstances 
     justifying the waiver.
       (p) An employee seeking a waiver of time limits applicable 
     to fact-finding or substantial participation travel shall 
     include with the request evidence that the employing 
     authority is aware of the request. In any other instance 
     where proposed employee conduct may reflect on the 
     performance of official duties, the Committee may require 
     that the requester submit evidence that the employing 
     authority knows of the conduct.

                      Rule 4. Financial Disclosure

       (a) In matters relating to Title I of the Ethics in 
     Government Act of 1978, the Committee shall coordinate with 
     the Clerk of the House of Representatives, Office of Records 
     and Registration, to assure that appropriate individuals are 
     notified of their obligation to file Financial Disclosure 
     Statements and that such individuals are provided in a timely 
     fashion with filing instructions and forms developed by the 
     Committee.
       (b) The Committee shall coordinate with the Office of 
     Records and Registration to assure that information that the 
     Ethics in Government Act requires to be placed on the public 
     record is made public.
       (c) The Chairman and Ranking Minority Member are authorized 
     to grant on behalf of the Committee requests for reasonable 
     extensions of time for the filing of Financial Disclosure
      Statements. Any such request must be received by the 
     Committee no later than the date on which the statement in 
     question is due. A request received after such date may be 
     granted by the Committee only in extraordinary 
     circumstances. Such extensions for one individual in a 
     calendar year shall not exceed a total of 90 days. No 
     extension shall be granted authorizing a nonincumbent 
     candidate to file a statement later than 30 days prior to 
     a primary or general election in which the candidate is 
     participating.
       (d) An individual who takes legally sufficient action to 
     withdraw as a candidate before the date on which that 
     individual's Financial Disclosure Statement is due under the 
     Ethics in Government Act shall not be required to file a 
     Statement. An individual shall not be excused from filing a 
     Financial Disclosure Statement when withdrawal as a candidate 
     occurs after the date on which such Statement was due.
       (e) Any individual who files a report required to be filed 
     under title I of the Ethics in Government Act more than 30 
     days after the later of--
       (1) the date such report is required to be filed, or
       (2) if a filing extension is granted to such individual, 
     the last day of the filing extension period, is required by 
     such Act to pay a late filing fee of $200. The Chairman and 
     Ranking Minority Member are authorized to approve requests 
     that the fee be waived based on extraordinary circumstances.
       (f) Any late report that is submitted without a required 
     filing fee shall be deemed procedurally deficient and not 
     properly filed.
       (g) The Chairman and Ranking Minority Member are authorized 
     to approve requests for waivers of the aggregation and 
     reporting of gifts as provided by section 102(a)(2)(D) of the 
     Ethics in Government Act. If such a request is approved, both 
     the incoming request and the Committee response shall be 
     forwarded to the Office of Records and Registration for 
     placement on the public record.
       (h) The Chairman and Ranking Minority Member are authorized 
     to approve blind trusts as qualifying under section 102(f)(3) 
     of the Ethics in Government Act. The correspondence relating 
     to formal approval of a blind trust, the trust document, the 
     list of assets transferred to the trust, and any other 
     documents required by law to made public, shall be forwarded 
     to the Office of Records and Registration for such purpose.
       (i) The Committee shall designate staff counsel who shall 
     review Financial Disclosure Statements and, based upon 
     information contained therein, indicate in a form and manner 
     prescribed by the Committee whether the Statement appears 
     substantially accurate and complete and the filer appears to 
     be in compliance with applicable laws and rules.
       (j) Each Financial Disclosure Statement shall be reviewed 
     within 60 days after the date of filing.
       (k) If the reviewing counsel believes that additional 
     information is required because (1) the Statement appears not 
     substantially accurate or complete, or (2) the filer may not 
     be in compliance with applicable laws or rules, then the 
     reporting individual shall be notified in writing of the 
     additional information believed to be required, or of the law 
     or rule with which the reporting individual does not appear 
     to be in compliance. Such notice shall also state the time 
     within which a response is to be submitted. Any such notice 
     shall remain confidential.
       (l) Within the time specified, including any extension 
     granted in accordance with clause (c), a reporting individual 
     who concurs with the Committee's notification that the 
     Statement is not complete, or that other action is required, 
     shall submit the necessary information or take appropriate 
     action. Any amendment may be in the form of a revised 
     Financial Disclosure Statement or an explanatory letter 
     addressed to the Clerk of the House of Representatives.
       (m) Any amendment shall be placed on the public record in 
     the same manner as other Statements. The individual 
     designated by the Committee to review the original Statement 
     shall review any amendment thereto.
       (n) Within the time specified, including any extension 
     granted in accordance with clause (c), a reporting individual 
     who does not agree with the Committee that the Statement is 
     deficient or that other action is required, shall be provided 
     an opportunity to respond, orally or in writing. If the 
     explanation is accepted, a copy of the response, if written, 
     or a note summarizing an oral response, shall be retained in 
     Committee files with the original report.
       (o) The Committee shall be the final arbiter of whether any 
     Statement needs clarification or amendment.
       (p) If the Committee determines, by vote of a majority of 
     its members, that there is reason to believe that an 
     individual has willfully failed to file a Statement or has 
     willfully falsified or willfully failed to file information 
     required to be reported, then the 
     [[Page H3044]] Committee shall refer the name of the 
     individual, together with the evidence supporting its 
     finding, to the Attorney General pursuant to section 104(b) 
     of the Ethics in Government Act. Such referral shall not 
     preclude the Committee from initiating such other action as 
     may be authorized by other provisions of law or the Rules of 
     the House of Representatives.

                            Rule 5. Meetings

       (a) The regular meeting day of the Committee shall be the 
     second Wednesday of each month, except when the House of 
     Representatives is not meeting on that day. When the 
     Committee Chairman determines that there is sufficient 
     reason, a meeting may be called on additional days. A 
     regularly scheduled meeting need not be held when the 
     Chairman determines there is not business to be considered.
       (b) A subcommittee shall meet at the discretion of its 
     chairman.
       (c) Insofar as practicable, notice for any Committee or 
     subcommittee meeting shall be provided at least seven days in 
     advance of the meeting. The Chairman of the Committee or 
     subcommittee may waive such time period for good cause.

          Rule 6. Subcommittees--General Policy and Structure

       (a) If the Committee determines by majority vote of its 
     members that allegations of improper conduct (brought to its 
     attention by a complaint or otherwise) by a Member, officer, 
     or employee merit further inquiry, the Chairman and Ranking 
     Minority Member of the Committee shall designate four or six 
     members (with equal representation from the majority and 
     minority parties) to serve as an investigative subcommittee 
     to undertake a Preliminary Inquiry. The senior majority and 
     minority members of an investigative subcommittee shall serve 
     as the chairman and ranking minority member of the 
     subcommittee. The Chairman and Ranking Minority Member of the 
     Committee may serve only as nonvoting, ex officio members of 
     any investigative subcommittee.
       (b) If an investigative subcommittee, by a majority vote of 
     its members, adopts a Statement of Alleged Violation, the 
     remaining members of the Committee shall comprise an 
     adjudicatory subcommittee to hold a Disciplinary Hearing 
     under Committee Rule 19 on the violations alleged in the 
     Statement.
       (c) The Committee may establish other noninvestigative and 
     nonadjudicatory subcommittees and may assign to them such 
     functions as it may deem appropriate. The membership of each 
     subcommittee shall provide equal representation for the 
     majority and minority parties.
       (d) The Chairman may refer any bill, resolution, or other 
     matter before the Committee to an appropriate subcommittee 
     for consideration. Any such bill, resolution, or other matter
      may be discharged from the subcommittee to which it was 
     referred by a majority vote of the Committee.
       (e) Any member of the Committee may sit with any 
     noninvestigative or nonadjudicatory subcommittee, but only 
     regular members of such subcommittee may vote on any matter 
     before that subcommittee.

              Rule 7. Quorums and Member Disqualification

       (a) The quorum for an investigative subcommittee to take 
     testimony and to receive evidence shall be two members, 
     unless otherwise authorized by the House of Representatives.
       (b) The quorum for an adjudicatory subcommittee to take 
     testimony, receive evidence, and conduct business shall 
     consist of a majority plus one of the members of the 
     adjudicatory subcommittee.
       (c) Except as stated in clauses (a) and (b) of this rule, a 
     quorum for the purpose of conducting business consists of a 
     majority of the members of the Committee or subcommittee.
       (d) A member of the Committee shall be ineligible to 
     participate in any Committee or subcommittee proceeding that 
     relates to the member's own conduct.
       (e) A member of the Committee may disqualify himself or 
     herself from participating in any investigation of the 
     conduct of a Member, officer, or employee of the House of 
     Representatives upon the submission in writing and under oath 
     of an affidavit of disqualification stating that the member 
     cannot render an impartial and unbiased decision. If the 
     Committee approves and accepts such affidavit of 
     disqualification, or if a member is disqualified pursuant to 
     Rule 15(h) or Rule 19(a), the Chairman shall so notify the 
     Speaker and ask the Speaker to designate a Member of the 
     House of Representatives from the same political party as the 
     disqualified member of the Committee to act as a member of 
     the Committee in any Committee proceeding relating to such 
     investigation.

                       Rule 8. Vote Requirements

       (a) The following actions shall be taken only upon 
     affirmative vote of a majority of the members of the 
     Committee or subcommittee, as appropriate.
       (1) Adoption of a resolution to conduct a Preliminary 
     Inquiry;
       (2) Adoption of a Statement of Alleged Violation;
       (3) Finding that a count in a Statement of Alleged 
     Violation has been proved by clear and convincing evidence;
       (4) Sending of a letter of reproval;
       (5) Adoption of a recommendation to the House of 
     Representatives that a sanction be imposed;
       (6) Adoption of a report relating to the conduct of a 
     Member, officer, or employee;
       (7) Issuance of an advisory opinion of general 
     applicability establishing new policy.
       (b) Except as stated in clause (a), action may be taken by 
     the Committee or any subcommittee thereof by a simple 
     majority, a quorum being present.
       (c) No motion made to take any of the actions enumerated in 
     clause (a) of this Rule may be entertained by the Chair 
     unless a quorum of the Committee is present when such motion 
     is made.

         Rule 9. Communications by Committee Members and Staff

       Committee members and staff shall not disclose any evidence 
     relating to an investigation to any person or organization 
     outside the Committee unless authorized by the Committee, nor 
     shall any evidence in the possession of an investigative 
     subcommittee to disclosed to Committee members who are not 
     members of the subcommittee prior to the filing of a 
     Statement of Alleged Violation with the Committee.
                       Rule 10. Committee Records

       (a) The Committee may establish procedures necessary to 
     prevent the unauthorized disclosure of any testimony or other 
     information received by the Committee or its staff.
       (b) Members and staff of the Committee shall not disclose 
     to any person or organization outside the Committee, unless 
     authorized by the Committee, any information regarding the 
     Committee's or a subcommittee's investigative, adjudicatory 
     or other proceedings, including, but not limited to: (i) the 
     fact of or nature of any complaints; (ii) executive session 
     proceedings; (iii) information pertaining to or copies of any 
     Committee or subcommittee report, study, or other document 
     which purports to express the views, findings, conclusions, 
     or recommendations of the Committee or subcommittee in 
     connection with any of its activities or proceedings; or (iv) 
     any other information or allegation respecting the conduct of 
     a Member, officer, or employee.
       (c) The Committee shall not disclose to any person or 
     organization outside the Committee any information concerning 
     the conduct of a Member, officer, or employee of the House of 
     Representatives until it has transmitted a statement of 
     Alleged Violation under Rule 17 of the Committee rules, to 
     such Member, officer, or employee and the Member, officer, or 
     employee has been given full opportunity to respond pursuant 
     to Rule 18. The Statement of Alleged Violation and any 
     written response thereto shall be made public at the first 
     meeting or hearing on the matter that is open to the public 
     after such opportunity has been provided. Any other materials 
     in the possession of the Committee regarding such statement 
     may be made public as authorized by the Committee to the 
     extent consistent with the Rules of the House of 
     Representatives.
       (d) If no public hearing or meeting is held on the matter, 
     the Statement and any written response thereto shall be 
     included in the Committee's final report to the House of 
     Representatives.
       (e) All communications and all pleadings pursuant to these 
     rules shall be filed with the Committee at the Committee's 
     office or such other place as designated by the Committee.
       (f) All records of the Committee which have been delivered 
     to the Archivist of the United States shall be made available 
     to the public in accordance with Rule XXXVI of the Rules of 
     the House of Representatives.

     Rule 11. Broadcasts of Committee and Subcommittee Proceedings

       Whenever any hearing or meeting by the Committee or a 
     subcommittee is open to the public, the Committee or 
     subcommittee may, by a majority vote, permit coverage, in 
     whole or in part, by television broadcast, radio broadcast, 
     and still photography, or by any such methods of coverage, 
     under the following rules:
       (a) If television or radio present live coverage of the 
     hearing or meeting to the public, it shall be without 
     commercial sponsorship.
       (b) No witness shall be required against his or her will to 
     be photographed or otherwise to have a graphic reproduction 
     of his or her image made at any hearing or to give evidence 
     or testimony while the broadcasting of that hearing, by radio 
     or television, is being conducted. At the request of any 
     witness, all media microphones shall be turned off, all 
     television and camera lenses shall be covered, and that 
     making of a graphic reproduction at the hearing shall not be 
     permitted. This paragraph supplements clause 2(k)(5) of Rule 
     XI of the Rules of the House of Representatives relating to 
     the protection of the rights of witnesses.
       (c) Not more than four television cameras, operating from 
     fixed positions, shall be permitted in a hearing or meeting 
     room. The Committee may allocate the positions of permitted 
     television cameras among the television media in consultation 
     with the Executive Committee of the Radio and Television 
     Correspondents' Galleries.
       (d) Television cameras shall be placed so as not to 
     obstruct in any way the space between any witness giving 
     evidence or testimony and any member of the Committee, or the 
     visibility of that witness and that member to each other.
       (e) Television cameras shall not be placed in positions 
     that unnecessarily obstruct the 
     [[Page H3045]] coverage of the hearing or meeting by the 
     other media.

                    Part II--Investigative Authority

                       Rule 12. House Resolution

       Whenever the House of Representatives, by resolution, 
     authorizes the Committee to undertake an inquiry or 
     investigation, the provisions of the resolution, in 
     conjunction with these Rules, shall govern. To the extent the 
     provisions of the resolution differ from these Rules, the 
     resolution shall control.

      Rule 13. Committee Authority to Investigate--General Policy

       Pursuant to clause 4(e)(2)(B) of Rule X of the Rules of the 
     House of Representatives, the Committee may exercise its 
     investigative authority when--
       (a) a complaint by a Member of the House of Representatives 
     is transmitted directly to the Committee;
       (b) a complaint by an individual not a Member of the House 
     of Representatives is transmitted through a Member who 
     agrees, in writing, to submit it for the purpose of 
     requesting an investigation;
       (c) a complaint by an individual not a Member of the House 
     of Representatives is submitted to the Committee after three 
     Members of the House of Representatives have refused, in 
     writing, to transmit the complaint to the Committee for the 
     purpose of requesting an investigation;
       (d) the Committee, on its own initiative, determines that a 
     matter warrants inquiry;
       (e) a Member, officer, or employee is convicted in a 
     Federal, State, or local court of a criminal offense for 
     which a sentence of one or more years' imprisonment may be 
     imposed; or
       (f) the House of Representatives, by resolution, authorizes 
     the Committee to undertake an investigation.

                          Rule 14. Complaints

       (a) A complaint submitted to the Committee shall be in 
     writing, under oath and dated, setting forth in simple, 
     concise, and direct statements--
       (1) the name and legal address of the party filing the 
     complaint (hereinafter referred to as the ``complainant'');
       (2) the name and position or title of the respondent;
       (3) the nature of the alleged violation of the Code of 
     Official Conduct or of other law, rule, regulation, or other 
     standard of conduct applicable to the performance of duties 
     or discharge of responsibilities; and
       (4) the facts alleged to give rise to the violation. The 
     complaint shall not contain innuendo, speculative assertions, 
     or conclusory statements.
       (b) Any documents in the possession of the complainant that 
     relate to the allegations may be submitted with the 
     complaint.
       (c) A complaint by a Member of the House of Representatives 
     may be transmitted directly to the Committee.
       (d) A complaint by an individual not a Member of the House 
     of Representatives may be transmitted through a Member who 
     states, in writing, that it is submitted for the purpose of 
     initiating a Preliminary Inquiry. A copy of the exact 
     complaint submitted to and transmitted by the Member must be 
     attached to the Member's letter to the Committee.
       (e) If a complaint by an individual who is not a Member of 
     the House of Representatives is submitted to three Members of 
     the House of Representatives who refuse, in writing, to 
     transmit the complaint to the Committee for the purpose of 
     requesting an investigation, the complainant may transmit the 
     complaint to the Committee. Legible copies of each refusal 
     letter must accompany the complaint. Each letter must clearly 
     state the Member's refusal to transmit the complaint and must 
     contain the Member's acknowledgment that such refusal may 
     cause the Committee to consider initiating a Preliminary 
     Inquiry. A legible copy of the exact complaint submitted to 
     and considered by the Member must be attached to that 
     Member's refusal letter.
       (f) A complaint must be accompanied by a certification that 
     the complainant has provided an exact copy of the filed 
     complaint and all attachments to the respondent.
       (g) The Committee may defer action on a complaint against a 
     Member, officer, or employee of the House of Representatives 
     when the Committee has reason to believe such conduct is 
     being reviewed by appropriate law enforcement or regulatory 
     authorities.
       (h) A complaint may not be amended without leave of the 
     Committee. Otherwise, any new allegations of improper conduct 
     must be submitted in a new complaint that independently meets 
     the procedural requirements of the Rules of the House of 
     Representatives and the Committee's Rules.
       (i) the Committee shall not accept, and shall return to the 
     complainant, any complaint submitted within the 60 days prior 
     to an election in which the subject of the complaint is a 
     candidate.
       (j) The Committee shall not consider a complaint, nor shall 
     any investigation be undertaken by the Committee, of any 
     alleged violation which occurred before the third previous 
     Congress unless the Committee determines that the alleged 
     violation is directly related to an alleged violation which 
     occurred in a more recent Congress.

                   Rule 15. Processing of Complaints

       (a) Upon receipt of a complaint, the Committee shall 
     determine if it complies with clause 4(e)(2)(B) of Rule X of 
     the Rules of the House of Representatives and Rule 14 of the 
     Committee rules.
       (b) If the complaint does not comply with such House and 
     Committee Rules, it shall be returned to the complainant with 
     copy of such Rules and a statement specifying why the 
     complaint is not in compliance. The respondent shall be 
     notified when a complaint is returned and provided the 
     reasons therefor.
       (c) If a complaint is in compliance with House and 
     Committee Rules, a copy of the complaint and the Committee 
     Rules shall be forwarded to the respondent with notice that 
     the complaint conforms to the applicable rules and will be 
     placed on the Committee's agenda.
       (d) The respondent may provide to the Committee any 
     information relevant to a complaint filed with the Committee. 
     The Committee staff may request information from the 
     respondent prior to the consideration of a Resolution of 
     Preliminary Inquiry only when so directed by the Chairman and 
     Ranking Minority Member.
       (e) At the first meeting of the Committee following the 
     procedures or actions specified in clauses (c) and (d), the 
     Committee shall consider the complaint.
       (f) If the Committee, by a majority vote, determines that 
     the complaint is within the Committee's jurisdiction and 
     merits further inquiry, it shall adopt a Resolution of 
     Preliminary Inquiry. After such resolution is adopted, the 
     Chairman and Ranking Minority Member shall designate four or 
     six members to serve as an investigative subcommittee to 
     conduct a Preliminary Inquiry in accordance with Rule 17.
       (g) The respondent shall be notified, in writing, regarding 
     the Committee's decision either to dismiss the complaint or 
     to initiate a Preliminary Inquiry.
       (h) Respondent shall be notified of the membership of the 
     investigative subcommittee and shall have ten days after such 
     notice is transmitted to object to the participation of any 
     subcommittee member. Such objection shall be in writing and 
     shall be on the grounds that the member cannot render an 
     impartial and unbiased decision. The member against whom the 
     objection is made shall be the sole judge of his or her 
     disqualification.

            Rule 16. Committee Initiated Preliminary Inquiry

       (a) Notwithstanding the absence of a filed complaint, the 
     Committee may consider any information in its possession 
     indicating that a Member, officer, or employee may have 
     committed a violation of the Code of Official Conduct or any 
     law, rule, regulation, or other standard of conduct 
     applicable to the conduct of such Member, officer, or 
     employee in the performance of his or her duties or the 
     discharge of his or her responsibilities.
       (b) If the Committee determines that the information merits 
     further inquiry, the Committee shall proceed in accordance 
     with Rule 17.
       (c) Any written request by a Member, officer, or employee 
     of the House of Representatives that the Committee conduct an 
     inquiry into such person's own conduct shall be processed in 
     accordance with subsection (a) of this Rule.
       (d) An investigative or disciplinary hearing shall not be 
     undertaken regarding any alleged violation that occurred 
     before the third previous Congress unless a majority of the 
     Committee determines that the alleged violation is directly 
     related to an alleged violation that occurred in a more 
     recent Congress.
       (e) Conviction of a Member, officer, or employee of the 
     House of Representatives in a Federal, state, or local court 
     of a criminal offense for which a sentence of one or more 
     years' imprisonment may be imposed shall be a matter that 
     merits further inquiry pursuant to Rule 15 and, after 
     sentencing, a preliminary inquiry shall be undertaken. 
     Notwithstanding this provision, the Committee may exercise 
     its investigative authority at any time prior to conviction 
     or sentencing.

                      Rule 17. Preliminary Inquiry

       (a) In a Preliminary Inquiry undertaken by an investigative 
     subcommittee--
       (1) All proceedings, including the taking of testimony, 
     shall be conducted in Executive Session and all testimony 
     taken by deposition or things produced pursuant to subpoena 
     or otherwise shall be deemed to have been taken or produced 
     in Executive Session.
       (2) The Chairman of the investigative subcommittee shall 
     ask respondent and all witnesses whether they intend to be 
     represented by counsel. if so, respondent or witnesses or 
     their legal representatives shall provide written designation 
     of counsel. A respondent or witness who is represented by 
     counsel shall not be questioned in the absence of counsel 
     unless an explicit waiver is obtained.
       (3) The subcommittee shall provide the respondent an 
     opportunity to present, orally or in writing, a statement, 
     which must be under oath or affirmation, regarding the 
     allegations and any other relevant questions arising out of 
     the Preliminary Inquiry.
       (4) The staff may interview witnesses, examine documents 
     and other evidence, and request that submitted statements be 
     under oath or affirmation and that documents be certified as 
     to their authenticity and accuracy.
       (5) The subcommittee, by a majority vote of its members, 
     may require, by subpoena or otherwise, the attendance and 
     testimony of witnesses and the production of such books, 
     records, correspondence, memoranda, papers, 
     [[Page H3046]] documents, and other items as it deems 
     necessary to the conduct of the inquiry. Unless the Committee 
     otherwise provides, the subpoena power shall rest in the 
     Chairman and Ranking Minority Member of the Committee and a 
     subpoena shall be issued upon the request of the chairman and 
     ranking minority member of the investigative
      subcommittee. A motion to quash a subpoena shall be decided 
     by the Chairman of the Committee.
       (6) The subcommittee shall require that testimony be given 
     under oath or affirmation. The form of the oath or 
     affirmation shall be: ``Do you solemnly swear (or affirm) 
     that the testimony you will give before this subcommittee in 
     the matter now under consideration will be the truth, the 
     whole truth, and nothing but the truth (so help you God?)'' 
     The oath or affirmation shall be administered by the chairman 
     or subcommittee member designated by him to administer oaths.
       (b) During the Preliminary Inquiry, the procedure 
     respecting the admissibility of evidence and rulings shall be 
     as follows:
       (1) Any relevant evidence shall be admissible unless the 
     evidence is privileged under the precedents of the House of 
     Representatives.
       (2) The chairman of the subcommittee or other presiding 
     member at any investigative subcommittee proceeding shall 
     rule upon any question of admissibility or pertinency of 
     evidence, motion, procedure or any other matter, and may 
     direct any witness to answer any question under penalty of 
     contempt. A witness, witness's counsel, or a member of the 
     subcommittee may appeal any evidentiary rulings to the 
     members present at that proceeding. The majority vote of the 
     members present at such proceeding on such appeal shall 
     govern the question of admissibility, and no appeal shall lie 
     to the Committee.
       (3) Whenever a person is deemed by a chairman or presiding 
     member to be in contempt of the subcommittee, the matter may 
     be referred to the Committee to determine whether to refer 
     the matter to the House of Representatives for consideration.
       (4) Committee counsel may, subject to subcommittee 
     approval, enter into stipulations with respondent and/or 
     respondent's counsel as to facts that are not in dispute.
       (c) Upon completion of the investigation, the staff shall 
     draft for the investigative subcommittee a report that shall 
     contain a comprehensive summary of the information received 
     and may include any recommendations for action by the 
     subcommittee regarding the alleged violations.
       (d) Upon completion of the Preliminary Inquiry, an 
     investigative subcommittee, by majority vote of its members, 
     may adopt a Statement of Alleged Violation if it determines 
     that there is reason to believe that a violation has 
     occurred. If more than one count is alleged, such Statement 
     shall be divided into counts. Each count shall relate to a 
     separate violation, shall contain a plan and concise 
     statement of the alleged facts of such violation, and shall 
     include a reference to the provision of the Code of Official 
     Conduct or law, rule, regulation or other applicable standard 
     of conduct governing the performance of duties or discharge 
     of responsibilities alleged to have been violated. A 
     Statement of Alleged Violation may include offenses beyond 
     those referenced in the Resolution of Preliminary Inquiry. A 
     copy of such Statement shall be transmitted to the respondent 
     and respondent's counsel.
       (e) If the investigative subcommittee does not adopt a 
     Statement of Alleged Violation, it shall transmit to the 
     Committee a report containing a summary of the information 
     received in the inquiry, its conclusions and reasons 
     therefor, and any appropriate recommendation. The Committee 
     shall transmit such report to the House of Representatives.

                      Rule 18. Respondent's Answer

       (a)(1) Within 30 days from the date of transmittal of a 
     Statement of Alleged Violation, the respondent shall file 
     with the investigative subcommittee an answer, in writing and 
     under oath, signed by respondent and respondent's counsel. 
     Failure to file an answer within the time prescribed shall be 
     considered by the Committee as a denial of each count.
       (2) The answer shall contain an admission to or denial of 
     each count set forth in the Statement of Alleged Violation 
     and may include negative, affirmative, or alternative 
     defenses and any supporting evidence or other relevant 
     information.
       (b) The respondent may file a Motion for a Bill of 
     Particulars within 15 days of the date of transmittal of the 
     Statement of Alleged Violation. If a Motion for a Bill of 
     Particulars is filed, the respondent shall not be required to 
     file an answer until 15 days after the subcommittee has 
     replied to such motion.
       (c)(1) The respondent may file a Motion to Dismiss within 
     15 days of the date of transmittal of the Statement of 
     Alleged Violation or, if a Motion for a Bill of Particulars 
     has been filed, within 15 days of the date of the 
     subcommittee's reply to the Motion for a Bill of Particulars. 
     If a Motion to Dismiss is filed, the respondent shall not be 
     required to file an answer until 15 days after the 
     subcommittee has replied to the Motion to Dismiss.
       (2) A Motion to Dismiss may be made on the grounds that the 
     Statement of Alleged Violation fails to state facts that 
     constitute a violation of the Code of Official Conduct or 
     other applicable law, rule, regulation, or standard of 
     conduct, or on the grounds that the Committee lacks 
     jurisdiction to consider the allegations contained in the 
     Statement.
       (d) Any motion filed with the subcommittee pursuant to this 
     rule shall be accompanied by a Memorandum of Points and 
     Authorities.
       (e)(1) The chairman of the investigative subcommittee, for 
     good cause shown, may permit the respondent to file an answer 
     or motion after the day prescribed above.
       (2) If the ability of the respondent to present an adequate 
     defense is not adversely affected and special circumstances 
     so require, the chairman of the investigative subcommittee 
     may direct the respondent to file an answer or motion prior 
     to the day prescribed above.
       (f) If the day on which any answer, motion, reply, or other 
     pleading must be filed falls on a Saturday, Sunday, or 
     holiday, such filing shall be made on the first business day 
     thereafter.
       (g) As soon as practicable after an answer has been filed 
     or the time for such filing has expired, the Statement of 
     Alleged Violation and any answer, motion, reply, or other 
     pleading connected therewith shall be transmitted by the 
     chairman of the investigative subcommittee to the Chairman 
     and Ranking Minority Member of the Committee.

                     Rule 19. Disciplinary Hearings

       (a) If a Statement of Alleged Violation is transmitted to 
     the Chairman and Ranking Minority Member pursuant to Rule 18, 
     and no waiver pursuant to Rule 22(b) has occurred, the 
     Chairman shall designate the members of the Committee who did 
     not serve on the investigative subcommittee to serve on an 
     adjudicatory subcommittee. The Chairman and Ranking Minority 
     Member of the Committee shall be the chairman and ranking 
     minority member of the adjudicary subcommittee. The 
     respondent shall be notified of the designation of the 
     adjudicatory subcommittee and shall have ten days after such 
     notice is transmitted to object to the participation of any 
     subcommittee member. Such objection shall be in writing and 
     shall be on the grounds that the member cannot render an 
     impartial and unbiased decision. The member against whom the 
     objection is made shall be the sole judge of his or her 
     disqualification.
       (b) A majority of the adjudicatory subcommittee membership 
     plus one must be present at all times for the conduct of any 
     business pursuant to this rule.
       (c) The adjudiciary subcommittee shall hold a Disciplinary 
     Hearing to determine whether any counts in the Statement of 
     Alleged Violation have been proved by clear and convincing 
     evidence and shall make findings of fact, except where such 
     violations have been admitted by respondent.
       (d) At a Disciplinary Hearing the adjudicatory subcommittee 
     may require, by subpoena or otherwise, the attendance and 
     testimony of such witnesses and production of such books, 
     records, correspondence, memoranda, papers, documents, and 
     other items as it deems necessary. Depositions, 
     interrogatories, and sworn statements taken under any 
     investigative subcommittee direction may be accepted into the 
     hearing record.
       (e) The procedures set forth in clause 2(k) of Rule XI of 
     the Rules of the House of Representatives shall apply to 
     Disciplinary Hearings. All such hearings shall be open to the 
     public unless the adjudicatory subcommittee, pursuant to such 
     clause, determines that the hearings or any part thereof 
     should be closed.
       (f)(1) The adjudicatory subcommittee shall, in writing, 
     notify the respondent that respondent and his or her counsel 
     have the right to inspect, review, copy, or photograph books, 
     papers, documents, photographs, or other tangible objects 
     that the adjudicatory subcommittee counsel intends to use as 
     evidence against the respondent in a Disciplinary Hearing. 
     Respondent shall be given access to such evidence, and shall 
     be provided the names of witnesses the subcommittee counsel 
     intends to call, and a summary of their expected testimony, 
     no less than 15 calendar days prior to any such hearing. 
     Except in extraordinary circumstances, no evidence may be 
     introduced or witness called in a Disciplinary Hearing unless 
     respondent has been afforded a prior opportunity to review 
     such evidence or has been provided the name of the witness.
       (2) After a witness called by subcommittee counsel has 
     testified on direct examination at a Disciplinary Hearing, 
     the Committee, at the request of the respondent, shall make 
     available to the respondent any statement of the witness in 
     the possession of the Committee which relates to the subject 
     matter as to which the witness has testified.
       (3) Any other testimony, statement, or documentary evidence 
     in the possession of the Committee which is material to the 
     respondent's defense shall, upon request, be made available 
     to the respondent.
       (g) No less than five days prior to the Disciplinary 
     Hearing, respondent or counsel shall provide the adjudicatory 
     subcommittee with the names of witnesses expected to be 
     called, summaries of their expected testimony, and copies of 
     any documents or other evidence proposed to be introduced.
       (h) The respondent or counsel may apply to the subcommittee 
     for the issuance of subpoenas for the appearance of witnesses 
     or the production of evidence. The application shall be 
     granted upon a showing by the respondent that the proposed 
     testimony or evidence is relevant and not otherwise available 
     to respondent. The application may be denied if 
     [[Page H3047]] not made at a reasonable time or if the 
     testimony or evidence would be merely cumulative.
       (i) During the Disciplinary Hearing, the procedures 
     regarding the admissibility of evidence and rulings shall be 
     as follows:
       (1) Any relevant evidence shall be admissible unless the 
     evidence is privileged under the precedents of the House of 
     Representatives.
       (2) The chairman of the subcommittee or other presiding 
     member at an adjudicatory subcommittee hearing shall rule 
     upon any question of admissibility or pertinency of evidence, 
     motion, procedure, or any other matter, and may direct any 
     witness to answer any question under penalty of contempt. A 
     witness, witness's counsel, or a member of the subcommittee 
     may appeal any evidentiary ruling to the members present at 
     that proceeding. The majority vote of the members present at 
     such proceeding on such an appeal shall govern the question 
     of admissibility and no appeal shall lie to the Committee.
       (3) Whenever a witness is deemed by a chairman or other 
     presiding member to be in contempt of the subcommittee, the 
     matter may be referred to the Committee to determine whether 
     to refer the matter to the House of Representatives for 
     consideration.
       (4) Committee counsel may, subject to subcommittee 
     approval, enter into stipulations with respondent and/or 
     respondent's counsel as to facts that are not in dispute.
       (j) Unless otherwise provided, the order of a Disciplinary 
     Hearing shall be as follows:
       (1) The chairman of the subcommittee shall open the hearing 
     by stating the adjudicatory subcommittee's authority to 
     conduct the hearing and the purpose of the hearing.
       (2) The chairman shall then recognize Committee counsel and 
     respondent's counsel, in turn, for the purpose of giving 
     opening statements.
       (3) Testimony from witnesses and other pertinent evidence 
     shall be received in the following order whenever possible:
       (i) Witnesses (deposition transcripts and affidavits 
     obtained during the Preliminary Inquiry may be used in lieu 
     of live witnesses) and other evidence offered by the 
     Committee counsel,
       (ii) Witnesses and other evidence offered by the 
     respondent,
       (iii) Rebuttal witnesses, as permitted by the chairman.
       (4) Witnesses at a hearing shall be examined first by 
     counsel calling such witness. The opposing counsel may then 
     cross-examine the witness. Redirect examination and recross 
     examination may be permitted at the chairman's discretion. 
     Subcommittee members may then question witnesses. Unless 
     otherwise directed by the chairman, such questions shall be 
     conducted under the five-minute rule.
       (k) A subpoena to a witness to appear at a hearing shall be 
     served sufficiently in advance of that witness' scheduled 
     appearance to allow the witness a reasonable period of time, 
     as determined by the chairman of the adjudicatory 
     subcommittee, to prepare for the hearing and to employ 
     counsel.
       (l) Each witness appearing before the subcommittee shall be 
     furnished a printed copy of the Committee rules, the 
     pertinent provisions of the Rules of the House of 
     Representatives applicable to the rights of witnesses, and a 
     copy of the Statement of Alleged Violation.
       (m) Testimony of all witnesses shall be taken under oath or 
     affirmation. The form of the oath or affirmation shall be: 
     ``Do you solemnly swear (or affirm) that the testimony you 
     will give before this subcommittee in the matter now under 
     consideration will be the truth, the whole truth, and nothing 
     but the truth (so help you God)?'' The oath or affirmation 
     shall be administered by the Chairman or Committee member 
     designated by the Chairman to administer oaths.
       (n) At a Disciplinary Hearing the burden of proof rests on 
     Committee counsel to establish the facts alleged in the 
     Statement of Alleged Violation by clear and convincing 
     evidence. However, Committee counsel need not present any 
     evidence regarding any count that is admitted by the 
     respondent or any fact stipulated.
       (o) As soon as practicable after all testimony and evidence 
     have been presented, the subcommittee shall consider each 
     count contained in the Statement of Alleged Violation and 
     shall determine by majority vote of its members whether each 
     count has been proved. If a majority of the subcommittee does 
     not vote that the count has been proved, a motion to 
     reconsider that vote may be made only by a member who voted 
     that the count was not proved. A count that is not proved 
     shall be considered as dismissed by the subcommittee.
       (p) The findings of the adjudicatory subcommittee shall be 
     reported to the Committee.
   Rule 20. Sanction Hearing and Consideration of Sanctions or Other 
                            Recommendations

       (a) If no count in a Statement of Alleged Violation is 
     proved, the Committee shall prepare a report to the House of 
     Representatives, based upon the report of the adjudicatory 
     subcommittee.
       (b) If an adjudicatory subcommittee completes a 
     Disciplinary Hearing pursuant to Rule 19 and reports that any 
     count of the Statement of Alleged Violation has been proved, 
     a hearing before the Committee shall be held to receive oral 
     and/or written submissions by counsel for the Committee and 
     counsel for the respondent as to the sanction the Committee 
     should recommend to the House of Representatives with respect 
     to such violations. Testimony by witnesses shall not be heard 
     except by written request and vote of a majority of the 
     Committee.
       (c) Upon completion of any proceeding held pursuant to 
     clause (b), the Committee shall consider and vote on a motion 
     to recommend to the House of Representatives that the House 
     take disciplinary action. If a majority of the Committee does 
     not vote in favor of the recommendation that the House of 
     Representatives take action, a motion to reconsider that vote 
     may be made only by a member who voted against the 
     recommendation. The Committee may also, by majority vote, 
     adopt a motion to issue a Letter of Reproval or take other 
     appropriate Committee action.
       (d) If the Committee determines a Letter of Reproval 
     constitutes sufficient action, the Committee shall include 
     any such letter as a part of its report to the House of 
     Representatives.
       (e) With respect to any proved counts against a Member of 
     the House of Representatives, the Committee may recommend to 
     the House one or more of the following sanctions:
       (1) Expulsion from the House of Representatives.
       (2) Censure.
       (3) Reprimand.
       (4) Fine.
       (5) Denial or limitation of any right, power, privilege, or 
     immunity of the Member if under the Constitution the House of 
     Representatives may impose such denial or limiation.
       (6) Any other sanction determined by the Committee to be 
     appropriate.
       (f) With respect to any proved counts against an officer or 
     employee of the House of Representatives, the Committee may 
     recommend to the House one or more of the following 
     sanctions:
       (1) Dimissal from employment.
       (2) Reprimand.
       (3) Fine.
       (4) Any other sanction determined by the Committee to be 
     appropriate.
       (g) With respect to the sanctions that the Committee may 
     recommend, reprimand is appropriate for serious violations, 
     censure is appropriate for more serious violations, and 
     explusion of a Member or dismissal of an officer or employee 
     is appropriate for the most serious violations. A 
     recommendation of a fine is appropriate in a case in which it 
     is likely that the violation was committed to secure a 
     personal financial benefit; and a recommendation of a denial 
     or limitation of a right, power, privilege, or immunity of a 
     Member is appropriate when the violation bears upon the 
     exercise or holding of such right, power, privilege, or 
     immunity. This clause sets forth general guidelines and does 
     not limit the authority of the Committee to recommend other 
     sanctions.
       (h) The Committee report shall contain an appropriate 
     statement of the evidence supporting the Committee's findings 
     and a statement of the Committee's reasons for the 
     recommended sanction.
      Rule 21. Disclosure of Exculpatory Information to Respondent

       If the Committee, or any investigative or adjudicatory 
     subcommittee at any time receives any exculpatory information 
     respecting a Complaint or Statement of Alleged Violation 
     concerning a Member, officer, or employee of the House of 
     Representatives, it shall make such information immediately 
     known and available to the Member, officer, or employee.

              Rule 22. Rights of Respondents and Witnesses

       (a) A respondent shall be informed of the right to be 
     represented by counsel, to be provided at his or her own 
     expense.
       (b) A respondent may seek to waive any procedural rights or 
     steps in the disciplinary process. A request for waiver must 
     be in writing, signed by the respondent, and must detail what 
     procedural steps respondent seeks to waive. Any such request 
     shall be subject to the acceptance of the Committee or 
     subcommittee, as appropriate.
       (c) Witnesses shall be afforded a reasonable period of 
     time, as determined by the Committee or subcommittee, to 
     prepare for the hearing and to obtain counsel.
       (d) Except as otherwise specifically authorized by the 
     Committee, no Committee member or staff member shall disclose 
     to any person outside the Committee the name of any witness 
     subpoenaed to testify or to produce evidence.
       (e) Prior to their testimony, witness shall be furnished a 
     printed copy of the Committee's Rules of Procedure and the 
     provisions of the Rules of the House of Representatives 
     applicable to the rights of witnesses.
       (f) Witnesses may be accompanied by their own counsel for 
     the purpose of advising them concerning their constitutional 
     rights. The Chairman may punish breaches of order and 
     decorum, and of professional responsibility on the part of 
     counsel, by censure and exclusion from the hearings; and the 
     Committee may cite the offender to the House of 
     Representatives for contempt.
       (g) Each witness subpoenaed to provide testimony of other 
     evidence shall be provided such travel expenses as the 
     Chairman considers appropriate. No compensation shall be 
     authorized for attorney's fees or for a witness' lost 
     earnings.
       (h) With the approval of the Committee, a witness, upon 
     request, may be provided with a transcript of his or her 
     deposition or other testimony taken in executive session, 
     or, 
     [[Page H3048]] with the approval of the Chairman and Ranking 
     Minority Member, may be permitted to examine such transcript 
     in the office of the Committee. Any such request shall be in 
     writing and shall include a statement that witness, and 
     counsel, agree to maintain the confidentiality of all 
     executive session proceedings covered by such transcript.
       Adopted February 9, 1995.
       

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