[Congressional Record Volume 157, Number 24 (Tuesday, February 15, 2011)]
[House]
[Pages H913-H921]
From the Congressional Record Online through the Government Publishing Office [www.gpo.gov]
PUBLICATION OF COMMITTEE RULES
Rules of the Committee on Ethics for the 112th Congress
Mr. BONNER. Mr. Speaker, I submit for publication the attached copy
of the Rules of the Committee on Ethics for the U.S. House of
Representatives for the 112th Congress. The Committee on Ethics adopted
these rules pursuant to House Rule XI, clause 2(a)(1) on February 15,
2011. I am submitting these rules for publication in compliance with
House Rule XI, clause 2(a)(2).
FOREWORD
The Committee on Ethics 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 ensure 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)(1) of Rule XI of the Rules of
the House of Representatives, 112th 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repealed by a vote of a majority of the Committee.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.
(d) The Chair and Ranking Minority Member shall have access
to such information that they request as necessary to conduct
Committee business.
Rule 2. Definitions
(a) ``Committee'' means the Committee on Ethics.
(b) ``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 an inquiry.
(c) ``Inquiry'' means an investigation by an investigative
subcommittee into allegations against a Member, officer, or
employee of the House of Representatives.
(d) ``Investigate,'' ``Investigating,'' and/or
``Investigation'' mean review of the conduct of a Member,
officer or employee of the House of Representatives that is
conducted or authorized by the Committee, an investigative
subcommittee, or the Chair and Ranking Minority Member of the
Committee.
(e) ``Board'' means the Board of the Office of
Congressional Ethics.
(f) ``Referral'' means a report sent to the Committee from
the Board pursuant to House Rules and all applicable House
Resolutions regarding the conduct of a House Member, officer
or employee, including any accompanying findings or other
supporting documentation.
(g) ``Investigative Subcommittee'' means a subcommittee
designated pursuant to Rule 19(a) to conduct an inquiry to
determine if a Statement of Alleged Violation should be
issued.
(h) ``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.
(i) ``Adjudicatory Subcommittee'' means a subcommittee
designated pursuant to Rule 23(a) that holds an adjudicatory
hearing and determines whether the counts in a Statement of
Alleged Violation are proved by clear and convincing
evidence.
(j) ``Sanction Hearing'' means a Committee hearing to
determine what sanction, if any, to adopt or to recommend to
the House of Representatives.
(k) ``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
an inquiry or a Statement of Alleged Violation.
(1) ``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.
(m) ``Member'' means a Representative in, or a Delegate to,
or the Resident Commissioner to, the U.S. House of
Representatives.
Rule 3. Advisory Opinions and Waivers
(a) The Office of Advice and Education shall handle
inquiries; prepare written opinions providing specific
advice, including reviews of requests for privately-sponsored
travel pursuant to the Committee's travel regulations;
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 may request a written opinion with respect to
the propriety of any current or proposed conduct of such
Member, officer, or employee.
(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, and the written opinion shall address the conduct
only of the inquiring individual, or of persons for whom the
inquiring individual is responsible as employing authority.
(e) A written request for an opinion shall be addressed to
the Chair 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.
(f) Requests for privately-sponsored travel shall be
treated like any other request for a written opinion for
purposes of paragraphs (g) through (l).
(1) The Committee's Travel Guidelines and Regulations shall
govern the request submission and Committee approval process
for privately-sponsored travel consistent with House Rules.
(2) A request for privately-sponsored travel of a Member,
officer, or employee shall include a completed and signed
Traveler Form that attaches the Private Sponsor Certification
Form and includes all information required by the Committee's
travel regulations. A private sponsor offering officially-
connected travel to a Member, officer, or employee must
complete and sign a Private Sponsor Certification Form, and
provide a copy of that form to the invitee(s).
(3) Any individual who knowingly and willfully falsifies,
or who knowingly and willfully fails to file a Traveler Form
or Private Sponsor Certification Form may be subject to civil
penalties and criminal sanctions pursuant to 18 U.S.C.
Sec. 1001.
(g) The Office of Advice and Education shall prepare for
the Committee a response
[[Page H914]]
to each written request for an opinion from a Member,
officer, or employee. Each response shall discuss all
applicable laws, rules, regulations, or other standards.
(h) Where a request is unclear or incomplete, the Office of
Advice and Education may seek additional information from the
requester.
(i) The Chair 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 Chair or Ranking
Minority Member requests a written opinion, or seeks a
waiver, extension, or approval pursuant to Rules 3(m), 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.
(j) The Committee shall keep confidential any request for
advice from a Member, officer, or employee, as well as any
response thereto. Upon request of any Member, officer, or
employee who has submitted a written request for an opinion
or submitted a request for privately-sponsored travel, the
Committee may release to the requesting individual a copy of
their own written request for advice or submitted travel
forms, any subsequent written communications between such
individual and Committee staff regarding the request, and any
Committee advisory opinion or travel letter issued to that
individual in response. The Committee shall not release any
internal Committee staff work product, communications or
notes in response to such a request, except as authorized by
the Committee.
(k) 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.
(l) 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 3(a)(2) or clause 3(b) of Rule XI
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.
(m) A written request for a waiver of clause 5 of House
Rule XXV (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.
(n) A written request for a waiver of clause 5 of House
Rule XXV (the House gift rule) shall specify the nature of
the waiver being sought and the specific circumstances
justifying the waiver.
(o) An employee seeking a waiver of time limits applicable
to travel paid for by a private source 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, Legislative
Resource Center, 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 Legislative
Resource Center to assure that information that the Ethics in
Government Act requires to be placed on the public record is
made public.
(c) Any Financial Disclosure Reports filed by Members of
the Board of the Office of Congressional Ethics that are
forwarded to the Committee by the Clerk shall not be subject
to paragraphs (d) through (q) of this Rule regarding
Financial Disclosure Statements filed pursuant to Title I of
the Ethics in Government Act of 1978. The Office of
Congressional Ethics retains jurisdiction over review of the
timeliness and completeness of filings by Members of the
Board as the Board's supervising ethics office.
(d) The Chair 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.
(e) 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.
(f) 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 Chair and
Ranking Minority Member are authorized to approve requests
that the fee be waived based on extraordinary circumstances.
(g) Any late report that is submitted without a required
filing fee shall be deemed procedurally deficient and not
properly filed.
(h) The Chair 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)(C) 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 Legislative Resource Center for placement on
the public record.
(i) The Chair and Ranking Minority Member are authorized to
approve blind trusts as qualifying under section 102(0(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 be made public, shall be
forwarded to the Legislative Resource Center for such
purpose.
(j) 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.
(k) Each Financial Disclosure Statement shall be reviewed
within 60 days after the date of filing.
(l) 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.
(m) Within the time specified, including any extension
granted in accordance with clause (d), 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.
(n) 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.
(o) Within the time specified, including any extension
granted in accordance with clause (d), 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.
(p) The Committee shall be the final arbiter of whether any
Statement requires clarification or amendment.
(q) 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 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 Tuesday of each month, except when the House of
Representatives is not meeting on that day. When the
Committee Chair determines that there is sufficient reason,
meetings may be called on additional days. A regularly
scheduled meeting need not be held when the Chair determines
there is no business to be considered.
(b) The Chair shall establish the agenda for meetings of
the Committee and the Ranking Minority Member may place
additional items on the agenda.
(c) All meetings of the Committee or any subcommittee shall
occur in executive session unless the Committee or
subcommittee, by an affirmative vote of a majority of its
members, opens the meeting to the public.
(d) Any hearing held by an adjudicatory subcommittee or any
sanction hearing held by the Committee shall be open to the
public unless the Committee or subcommittee, by an
affirmative vote of a majority of its members, closes the
hearing to the public.
(e) A subcommittee shall meet at the discretion of its
Chair.
(f) Insofar as practicable, notice for any Committee or
subcommittee meeting shall be provided at least seven days in
advance of the meeting. The Chair of the Committee or
[[Page H915]]
subcommittee may waive such time period for good cause.
Rule 6. Committee Staff
(a) The staff is to be assembled and retained as a
professional, nonpartisan staff.
(b) Each member of the staff shall be professional and
demonstrably qualified for the position for which the
individual is hired.
(c) The staff as a whole and each individual member of the
staff shall perform all official duties in a nonpartisan
manner.
(d) No member of the staff shall engage in any partisan
political activity directly affecting any congressional or
presidential election.
(e) No member of the staff or outside counsel may accept
public speaking engagements or write for publication on any
subject that is in any way related to the employment or
duties with the Committee of such individual without specific
prior approval from the Chair and Ranking Minority Member.
(f) All staff members shall be appointed by an affirmative
vote of a majority of the members of the Committee. Such vote
shall occur at the first meeting of the membership of the
Committee during each Congress and as necessary during the
Congress.
(g) Subject to the approval of the Committee on House
Administration, the Committee may retain counsel not employed
by the House of Representatives whenever the Committee
determines, by an affirmative vote of a majority of the
members of the Committee, that the retention of outside
counsel is necessary and appropriate.
(h) If the Committee determines that it is necessary to
retain staff members for the purpose of a particular
investigation or other proceeding, then such staff shall be
retained only for the duration of that particular
investigation or proceeding.
(i) Outside counsel may be dismissed prior to the end of a
contract between the Committee and such counsel only by a
majority vote of the members of the Committee.
(j) In addition to any other staff provided for by law,
rule, or other authority, with respect to the Committee, the
Chair and Ranking Minority Member each may appoint one
individual as a shared staff member from the respective
personal staff of the Chair or Ranking Minority Member to
perform service for the Committee. Such shared staff may
assist the Chair or Ranking Minority Member on any
subcommittee on which the Chair or Ranking Minority Member
serves. Only paragraphs (c) and (e) of this Rule and Rule
7(b) shall apply to shared staff.
Rule 7. Confidentiality
(a) Before any Member or employee of the Committee,
including members of an investigative subcommittee selected
under clause 5(a)(4) of Rule X of the House of
Representatives and shared staff designated pursuant to
Committee Rule 6(j), may have access to information that is
confidential under the rules of the Committee, the following
oath (or affirmation) shall be executed in writing:
``I do solemnly swear (or affirm) that I will not disclose,
to any person or entity outside the Committee on Ethics, any
information received in the course of my service with the
Committee, except as authorized by the Committee or in
accordance with its rules.''
Copies of the executed oath shall be provided to the Clerk
of the House as part of the records of the House. Breaches of
confidentiality shall be investigated by the Committee and
appropriate action shall be taken.
(b) No member of the staff or outside counsel may make
public, unless approved by an affirmative vote of a majority
of the members of the Committee, any information, document,
or other material that is confidential, derived from
executive session, or classified and that is obtained during
the course of employment with the Committee.
(c) 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.
(d) 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 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 of the House. This rule shall
not prohibit the Chair or Ranking Minority Member from
disclosing to the Board of the Office of Congressional Ethics
the existence of a Committee investigation, the name of the
Member, officer or employee of the House who is the subject
of that investigation, and a brief statement of the scope of
that investigation in a written request for referral pursuant
to Rule 17A(k). Such disclosures will only be made subject to
written confirmation from the Board that the information
provided by Chair or Ranking Minority Member will be kept
confidential by the Board.
(e) 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.
(f) Except as provided in Rule 17A, the Committee shall not
disclose to any person or organization outside the Committee
any information concerning the conduct of a respondent until
it has transmitted a Statement of Alleged Violation to such
respondent and the respondent has been given full opportunity
to respond pursuant to Rule 22. 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. If no public hearing is held on the
matter, the Statement of Alleged Violation and any written
response thereto shall be included in the Committee's final
report on the matter to the House of Representatives.
(g) Unless otherwise determined by a vote of the Committee,
only the Chair or Ranking Minority Member of the Committee,
after consultation with each other, may make public
statements regarding matters before the Committee or any
subcommittee.
(h) The Committee may establish procedures necessary to
prevent the unauthorized disclosure of any testimony or other
information received by the Committee or its staff.
Rule 8. Subcommittees--General Policy and Structure
(a) Notwithstanding any other provision of these Rules, the
Chair and Ranking Minority Member of the Committee may
consult with an investigative subcommittee either on their
own initiative or on the initiative of the subcommittee,
shall have access to evidence and information before a
subcommittee with whom they so consult, and shall not thereby
be precluded from serving as full, voting members of any
adjudicatory subcommittee. Except for the Chair and Ranking
Minority Member of the Committee pursuant to this paragraph,
evidence in the possession of an investigative subcommittee
shall not be disclosed to other Committee members except by a
vote of the subcommittee.
(b) 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.
(c) The Chair 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.
(d) 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 9. 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, or 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 in
which such Member is the respondent.
(e) A member of the Committee may seek disqualification
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, the Chair
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 10. Vote Requirements
(a) The following actions shall be taken only upon an
affirmative vote of a majority of the members of the
Committee or subcommittee, as appropriate:
(1) Issuing a subpoena.
(2) Adopting a full Committee motion to create an
investigative subcommittee.
(3) Adopting or amending of a Statement of Alleged
Violation.
(4) Finding that a count in a Statement of Alleged
Violation has been proved by clear and convincing evidence.
(5) Sending a letter of reproval.
(6) Adopting a recommendation to the House of
Representatives that a sanction be imposed.
(7) Adopting a report relating to the conduct of a Member,
officer, or employee.
[[Page H916]]
(8) Issuing 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 11. Committee Records
(a) 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.
(b) 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 VII of the Rules of the
House of Representatives.
Rule 12. Broadcasts of Committee and Subcommittee Proceedings
(a) Television or radio coverage of a Committee or
subcommittee hearing or meeting shall be without commercial
sponsorship.
(b) 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.
(c) 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.
(d) Television cameras shall not be placed in positions
that unnecessarily obstruct the coverage of the hearing or
meeting by the other media.
PART II--Investigative Authority
Rule 13. House Resolution
Whenever the House of Representatives, by resolution,
authorizes or directs 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 14. Committee Authority to Investigate--General Policy
(a) Pursuant to clause 3(b) of Rule XI of the Rules of the
House of Representatives, the Committee may exercise its
investigative authority when:
(1) information offered as a complaint by a Member of the
House of Representatives is transmitted directly to the
Committee;
(2) information offered as a complaint by an individual not
a Member of the House is transmitted to the Committee,
provided that a Member of the House certifies in writing that
such Member believes the information is submitted in good
faith and warrants the review and consideration of the
Committee;
(3) the Committee, on its own initiative, undertakes an
investigation;
(4) a Member, officer, or employee is convicted in a
Federal, State, or local court of a felony;
(5) the House of Representatives, by resolution, authorizes
or directs the Committee to undertake an inquiry or
investigation; or
(6) a referral from the Board is transmitted to the
Committee.
(b) The Committee also has investigatory authority over:
(1) certain unauthorized disclosures of intelligence-
related information, pursuant to House Rule X, clauses
11(g)(4) and (g)(5); or
(2) reports received from the Office of the Inspector
General pursuant to House Rule II, clause 6(c)(5).
Rule 15. Complaints
(a) A complaint submitted to the Committee shall be in
writing, dated, and properly verified (a document will be
considered properly verified where a notary executes it with
the language, ``Signed and sworn to (or affirmed) before me
on (date) by (the name of the person)'' 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) Information offered as a complaint by a Member of the
House of Representatives may be transmitted directly to the
Committee.
(d) Information offered as a complaint by an individual not
a Member of the House may be transmitted to the Committee,
provided that a Member of the House certifies in writing that
such Member believes the information is submitted in good
faith and warrants the review and consideration of the
Committee.
(e) A complaint must be accompanied by a certification,
which may be unsworn, that the complainant has provided an
exact copy of the filed complaint and all attachments to the
respondent.
(f) The Committee may defer action on a complaint against a
Member, officer, or employee of the House of Representatives
when the complaint alleges conduct that the Committee has
reason to believe is being reviewed by appropriate law
enforcement or regulatory authorities, or when the Committee
determines that it is appropriate for the conduct alleged in
the complaint to be reviewed initially by law enforcement or
regulatory authorities.
(g) 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.
(h) 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.
(i) 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 16. Duties of Committee Chair and Ranking Minority Member
(a) Whenever information offered as a complaint is
submitted to the Committee, the Chair and Ranking Minority
Member shall have 14 calendar days or 5 legislative days,
whichever occurs first, to determine whether the information
meets the requirements of the Committee's rules for what
constitutes a complaint.
(b) Whenever the Chair and Ranking Minority Member jointly
determine that information submitted to the Committee meets
the requirements of the Committee's rules for what
constitutes a complaint, they shall have 45 calendar days or
5 legislative days, whichever is later, after the date that
the Chair and Ranking Minority Member determine that
information filed meets the requirements of the Committee's
rules for what constitutes a complaint, unless the Committee
by an affirmative vote of a majority of its members votes
otherwise, to--
(1) recommend to the Committee that it dispose of the
complaint, or any portion thereof, in any manner that does
not require action by the House, which may include dismissal
of the complaint or resolution of the complaint by a letter
to the Member, officer, or employee of the House against whom
the complaint is made;
(2) establish an investigative subcommittee; or
(3) request that the Committee extend the applicable 45-
calendar day period when they determine more time is
necessary in order to make a recommendation under paragraph
(1) or (2) of Rule 16(b).
(c) The Chair and Ranking Minority Member may jointly
gather additional information concerning alleged conduct
which is the basis of a complaint or of information offered
as a complaint until they have established an investigative
subcommittee or the Chair or Ranking Minority Member has
placed on the agenda the issue of whether to establish an
investigative subcommittee.
(d) If the Chair and Ranking Minority Member jointly
determine that information submitted to the Committee meets
the requirements of the Committee rules for what constitutes
a complaint, and the complaint is not disposed of within 45
calendar days or 5 legislative days, whichever is later, and
no additional 45-day extension is made, then they shall
establish an investigative subcommittee and forward the
complaint, or any portion thereof, to that subcommittee for
its consideration. If at any time during the time
period either the Chair or Ranking Minority Member places
on the agenda the issue of whether to establish an
investigative subcommittee, then an investigative
subcommittee may be established only by an affirmative
vote of a majority of the members of the Committee.
(e) Whenever the Chair and Ranking Minority Member jointly
determine that information submitted to the Committee does
not meet the requirements for what constitutes a complaint
set forth in the Committee rules, they may (1) return the
information to the complainant with a statement that it fails
to meet the requirements for what constitutes a complaint set
forth in the Committee's rules; or (2) recommend to the
Committee that it authorize the establishment of an
investigative subcommittee.
Rule 17. Processing of Complaints
(a) 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 within 5 days with
notice that the complaint conforms to the applicable rules.
(b) The respondent may, within 30 days of the Committee's
notification, provide to the Committee any information
relevant to a complaint filed with the Committee. The
respondent may submit a written statement in response to the
complaint. Such a statement shall be signed by the
respondent. If the statement is prepared by counsel for the
respondent, the respondent shall sign a representation that
the respondent has reviewed the response and agrees with the
factual assertions contained therein.
(c) The Committee staff may request information from the
respondent or obtain additional information relevant to the
case from
[[Page H917]]
other sources prior to the establishment of an investigative
subcommittee only when so directed by the Chair and Ranking
Minority Member.
(d) The respondent shall be notified in writing regarding
the Committee's decision either to dismiss the complaint or
to create an investigative subcommittee.
Rule 17A. Referrals from the Board of the Office of Congressional
Ethics
(a) The Committee has exclusive jurisdiction over the
interpretation, administration, and enforcement of the Code
of Official Conduct pursuant to clause 1(g) of House Rule X.
Receipt of referrals from the Board under this rule does not
limit the Committee's discretion to address referrals in any
way through the appropriate procedures authorized by
Committee Rules. The Committee shall review the report and
findings transmitted by the Board without prejudice or
presumptions as to the merit of the allegations.
(b)(1) Whenever the Committee receives either (A) a
referral containing a written report and any findings and
supporting documentation from the Board; or (B) a referral
from the Board pursuant to a request under Rule 17A(k), the
Chair shall have 45 calendar days or 5 legislative days after
the date the referral is received, whichever is later, to
make public the report and findings of the Board unless the
Chair and Ranking Minority Member jointly decide, or the
Committee votes, to withhold such information for not more
than one additional 45-day period.
(2) At least one calendar day before the Committee makes
public any report and findings of the Board the Chair shall
notify in writing the Board and the Member, officer, or
employee who is the subject of the referral of the impending
public release of these documents. At the same time, Chair
shall transmit a copy of any public statement on the
Committee's disposition of the matter and any accompanying
Committee report to the individual who is the subject of the
referral.
(3) All public statements and reports and findings of the
Board that are required to be made public under this Rule
shall be posted on the Committee's website.
(c) If the OCE report and findings are withheld for an
additional 45-day period pursuant to paragraph (b)(1), Chair
shall--
(1) make a public statement that the Committee has decided
or voted to extend the matter referred from the Board on the
day of such decision or vote; and
(2) make public the written report and findings pursuant to
paragraph (b) upon the termination of such additional period.
(d) If the Board transmits a report with a recommendation
to dismiss or noting a matter as unresolved due to a tie
vote, and the Committee votes to extend the matter for an
additional period as provided in paragraph (b), the Committee
is not required to make a public statement that the Committee
has voted to extend the matter pursuant to paragraph (b)(1).
(e) If the Committee votes to dismiss a matter referred
from the Board, the Committee is not required to make public
the written report and findings of the Board pursuant to
paragraph (c) unless the Committee's vote is inconsistent
with the recommendation of the Board. A vote by the Committee
to dismiss a matter is not considered inconsistent with a
report from the Board that the matter is unresolved by the
Board due to a tie vote.
(f) Except as provided by paragraph (g):
(1) If the Committee establishes an investigative
subcommittee respecting any matter referred by the Board,
then the report and findings of the Board shall not be made
public until the conclusion of the investigative subcommittee
process pursuant to Rule 19. The Committee shall issue a
public statement noting the establishment of an investigative
subcommittee, which shall include the name of the Member,
officer, or employee who is the subject of the inquiry, and
shall set forth the alleged violation.
(2) If any such investigative subcommittee does not
conclude its review within one year after the Board's
referral, then the Committee shall make public the report of
the Board no later than one year after the referral. If the
investigative subcommittee does not conclude its review
before the end of the Congress in which the report of the
Board is made public, the Committee shall make public any
findings of the Board on the last day of that Congress.
(g) If the vote of the Committee is a tie or the Committee
fails to act by the close of any applicable period(s) under
this rule, the report and the findings of the Board shall be
made public by the Committee, along with a public statement
by the Chair explaining the status of the matter.
(h)(1) If the Committee agrees to a request from an
appropriate law enforcement or regulatory authority to defer
taking action on a matter referred by the Board under
paragraph (b)--
(A) The Committee is not required to make public the
written report and findings of the Board pursuant to
paragraph (c), except that if the recommendation of the Board
is that the matter requires further review, the Committee
shall make public the written report of the Board but not the
findings; and
(B) The Committee shall make a public statement that it is
deferring taking action on the matter at the request of such
law enforcement or regulatory authority within one day
(excluding weekends and public holidays) of the day that the
Committee agrees to the request.
(2) If the Committee has not acted on the matter within one
year of the date the public statement described in paragraph
(h)(1)(B) is released, the Committee shall make a public
statement that it continues to defer taking action on the
matter. The Committee shall make a new statement upon the
expiration of each succeeding one-year period during which
the Committee has not acted on the matter.
(i) The Committee shall not accept, and shall return to the
Board, any referral from the Board within 60 days before a
Federal, State, or local election in which the subject of the
referral is a candidate.
(j) The Committee may postpone any reporting requirement
under this rule that falls within that 60-day period until
after the date of the election in which the subject of the
referral is a candidate. For purposes of calculating any
applicable period under this Rule, any days within the 60-day
period before such an election shall not be counted.
(k)(1) At any time after the Committee receives written
notification from the Board of the Office of Congressional
Ethics that the Board is undertaking a review of alleged
conduct of any Member, officer, or employee of the House at a
time when the Committee is investigating, or has completed an
investigation of the same matter, the Committee may so notify
the Board in writing and request that the Board cease its
review and refer the matter to the Committee for its
consideration immediately. The Committee shall also notify
the Board in writing if the Committee has not reached a final
resolution of the matter or has not referred the matter to
the appropriate Federal or State authorities by the end of
any applicable time period specified in Rule 17A (including
any permissible extension).
(2) The Committee may not request a second referral of the
matter from the Board if the Committee has notified the Board
that it is unable to resolve the matter previously requested
pursuant to this section. The Board may subsequently send
a referral regarding a matter previously requested and
returned by the Committee after the conclusion of the
Board's review process.
Rule 18. Committee-Initiated Inquiry or Investigation
(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 the duties or the discharge of
the responsibilities of such individual. The Chair and
Ranking Minority Member may jointly gather additional
information concerning such an alleged violation by a Member,
officer, or employee unless and until an investigative
subcommittee has been established. The Chair and Ranking
Minority Member may also jointly take appropriate action
consistent with Committee Rules to resolve the matter.
(b) If the Committee votes to establish an investigative
subcommittee, the Committee shall proceed in accordance with
Rule 19.
(c) Any written request by a Member, officer, or employee
of the House of Representatives that the Committee conduct an
investigation into such person's own conduct shall be
considered in accordance with subsection (a) of this Rule.
(d) An inquiry 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)(1) An inquiry shall be undertaken by an investigative
subcommittee with regard to any felony conviction of a
Member, officer, or employee of the House of Representatives
in a Federal, State, or local court who has been sentenced.
Notwithstanding this provision, the Committee has the
discretion to initiate an inquiry upon an affirmative vote of
a majority of the members of the Committee at any time prior
to conviction or sentencing.
(2) Not later than 30 days after a Member, officer or
employee of the House is indicted or otherwise formally
charged with criminal conduct in any Federal, State or local
court, the Committee shall either initiate an inquiry upon a
majority vote of the members of the Committee or submit a
report to the House describing its reasons for not initiating
an inquiry and describing the actions, if any, that the
Committee has taken in response to the allegations.
Rule 19. Investigative Subcommittee
(a)(1) Upon the establishment of an investigative
subcommittee, the Chair and Ranking Minority Member of the
Committee shall designate four members (with equal
representation from the majority and minority parties) to
serve as an investigative subcommittee to undertake an
inquiry. Members of the Committee and Members of the House
selected pursuant to clause 5(a)(4)(A) of Rule X of the House
of Representatives are eligible for appointment to an
investigative subcommittee, as determined by the Chair and
Ranking Minority Member of the Committee. At the time of
appointment, the Chair shall designate one member of the
subcommittee to serve as the Chair and the Ranking Minority
Member shall designate one member of the subcommittee to
serve as the ranking minority member of the investigative
subcommittee. The Chair and Ranking Minority Member of the
Committee may
[[Page H918]]
serve as members of an investigative subcommittee, but may
not serve as non-voting, ex-officio members.
(2) The respondent shall be notified of the membership of
the investigative subcommittee and shall have 10 days after
such notice is transmitted to object to the participation of
any subcommittee member. Such objection shall be in writing
and must be on the grounds that the subcommittee member
cannot render an impartial and unbiased decision. The
subcommittee member against whom the objection is made shall
be the sole judge of any disqualification and may choose to
seek disqualification from participating in the inquiry
pursuant to Rule 9(e).
(b) In an 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 Chair of the investigative subcommittee shall ask
the respondent and all witnesses whether they intend to be
represented by counsel. If so, the 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 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, 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 Chair and Ranking Minority
Member of the Committee and a subpoena shall be issued upon
the request of the investigative subcommittee.
(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 Chair or
subcommittee member designated by the Chair to administer
oaths.
(c) During the 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 Chair of the subcommittee or other presiding member
at any investigative subcommittee proceeding shall rule upon
any question of admissibility or relevance of evidence,
motion, procedure or any other matter, and may direct any
witness to answer any question under penalty of contempt. A
witness, witness counsel, or a member of the subcommittee may
appeal any rulings to the members present at that proceeding.
A 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 determined by a majority vote 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 the respondent and/or
the respondent's counsel as to facts that are not in dispute.
(d) Upon an affirmative vote of a majority of the
subcommittee members, and an affirmative vote of a majority
of the full Committee, an investigative subcommittee may
expand the scope of its inquiry.
(e) Upon completion of the inquiry, the staff shall draft
for the investigative subcommittee a report that shall
contain a comprehensive summary of the information received
regarding the alleged violations.
(f) Upon completion of the inquiry, an investigative
subcommittee, by a majority vote of its members, may adopt a
Statement of Alleged Violation if it determines that there is
substantial reason to believe that 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 by a
Member, officer, or employee of the House of Representatives
has occurred. If more than one violation is alleged, such
Statement shall be divided into separate counts. Each count
shall relate to a separate violation, shall contain a plain
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 copy of such Statement shall be transmitted to the
respondent and the respondent's counsel.
(g) 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
therefore, and any appropriate recommendation.
Rule 20. Amendments to Statements of Alleged Violation
(a) An investigative subcommittee may, upon an affirmative
vote of a majority of its members, amend its Statement of
Alleged Violation anytime before the Statement of Alleged
Violation is transmitted to the Committee; and
(b) If an investigative subcommittee amends its Statement
of Alleged Violation, the respondent shall be notified in
writing and shall have 30 calendar days from the date of that
notification to file an answer to the amended Statement of
Alleged Violation.
Rule 21. Committee Reporting Requirements
(a) Whenever an investigative subcommittee does not adopt a
Statement of Alleged Violation and transmits a report to that
effect to the Committee, the Committee may by an affirmative
vote of a majority of its members transmit such report to the
House of Representatives;
(b) Whenever an investigative subcommittee adopts a
Statement of Alleged Violation but recommends that no further
action be taken, it shall transmit a report to the Committee
regarding the Statement of Alleged Violation; and
(c) Whenever an investigative subcommittee adopts a
Statement of Alleged Violation, the respondent admits to the
violations set forth in such Statement, the respondent waives
the right to an adjudicatory hearing, and the respondent's
waiver is approved by the Committee--
(1) the subcommittee shall prepare a report for transmittal
to the Committee, a final draft of which shall be provided to
the respondent not less than 15 calendar days before the
subcommittee votes on whether to adopt the report;
(2) the respondent may submit views in writing regarding
the final draft to the subcommittee within 7 calendar days of
receipt of that draft;
(3) the subcommittee shall transmit a report to the
Committee regarding the Statement of Alleged Violation
together with any views submitted by the respondent pursuant
to subparagraph (2), and the Committee shall make the report,
together with the respondent's views, available to the public
before the commencement of any sanction hearing; and
(4) the Committee shall by an affirmative vote of a
majority of its members issue a report and transmit such
report to the House of Representatives, together with the
respondent's views previously submitted pursuant to
subparagraph (2) and any additional views respondent may
submit for attachment to the final report; and
(d) Members of the Committee shall have not less than 72
hours to review any report transmitted to the Committee by an
investigative subcommittee before both the commencement of a
sanction hearing and the Committee vote on whether to adopt
the report.
Rule 22. 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 10 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 20 days after the subcommittee has
replied to such motion.
(c)(1) The respondent may file a Motion to Dismiss within
10 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 10 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 20 days after the
subcommittee has replied to the Motion to Dismiss, unless the
respondent previously filed a Motion for a Bill of
Particulars, in which case the respondent shall not be
required to file an answer until 10 days after the
subcommittee has replied to the Motion to Dismiss. The
investigative subcommittee shall rule upon any motion to
dismiss filed during the period between the establishment of
the subcommittee and the subcommittee's transmittal of a
report or Statement of Alleged Violation to the Committee or
to the Chair and Ranking Minority Member at the conclusion of
an inquiry, and no appeal of the subcommittee's ruling shall
lie to the Committee.
[[Page H919]]
(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 Chair 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 Chair 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
Chair of the investigative subcommittee to the Chair and
Ranking Minority Member of the Committee.
Rule 23. Adjudicatory Hearings
(a) If a Statement of Alleged Violation is transmitted to
the Chair and Ranking Minority Member pursuant to Rule 22,
and no waiver pursuant to Rule 26(b) has occurred, the Chair
shall designate the members of the Committee who did not
serve on the investigative subcommittee to serve on an
adjudicatory subcommittee. The Chair and Ranking Minority
Member of the Committee shall be the Chair and Ranking
Minority Member of the adjudicatory subcommittee unless
they served on the investigative subcommittee. The
respondent shall be notified of the designation of the
adjudicatory subcommittee and shall have 10 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 any disqualification and may choose to seek
disqualification from serving on the subcommittee pursuant
to Rule 9(e).
(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 adjudicatory subcommittee shall hold a 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 an adjudicatory hearing, the 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(g) and (k) of Rule
XI of the Rules of the House of Representatives shall apply
to adjudicatory 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 the respondent and respondent's
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 an
adjudicatory hearing. The 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 an
adjudicatory hearing unless the respondent has been afforded
a prior opportunity to review such evidence or has been
provided the name of the witness.
(2) After a witness has testified on direct examination at
an adjudicatory 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 5 days prior to the hearing, the
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 not made at a
reasonable time or if the testimony or evidence would be
merely cumulative.
(i) During the 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 Chair of the subcommittee or other presiding member
at an adjudicatory subcommittee hearing shall rule upon any
question of admissibility or relevance of evidence, motion,
procedure, or any other matter, and may direct any witness to
answer any question under penalty of contempt. A witness,
witness counsel, or a member of the subcommittee may appeal
any ruling to the members present at that proceeding. A
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 Chair 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 the respondent and/or
the respondent's counsel as to facts that are not in dispute.
(j) Unless otherwise provided, the order of an adjudicatory
hearing shall be as follows:
(1) The Chair 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 Chair shall then recognize Committee counsel and
the respondent's counsel, in turn, for the purpose of giving
opening statements.
(3) Testimony from witnesses and other relevant evidence
shall be received in the following order whenever possible:
(i) witnesses (deposition transcripts and affidavits
obtained during the inquiry may be used in lieu of live
witnesses if the witness is unavailable) and other evidence
offered by the Committee counsel,
(ii) witnesses and other evidence offered by the
respondent,
(iii) rebuttal witnesses, as permitted by the Chair.
(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 by counsel may be permitted at the Chair's
discretion. Subcommittee members may then question witnesses.
Unless otherwise directed by the Chair, questions by
Subcommittee members shall be conducted under the five-minute
rule.
(5) The Chair shall then recognize Committee counsel and
respondent's counsel, in turn, for the purpose of giving
closing arguments. Committee counsel may reserve time for
rebuttal argument, as permitted by the Chair.
(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 Chair of the adjudicatory subcommittee,
to prepare for the hearing and to employ counsel.
(1) Each witness appearing before the subcommittee shall be
furnished a printed copy of the Committee rules, the relevant
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 Chair or Committee member
designated by the Chair to administer oaths.
(n) At an adjudicatory 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 a majority vote of its members whether
each count has been proved. If a majority of the subcommittee
does not vote that a 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 24. Sanction Hearing and Consideration of Sanctions or Other
Recommendations
(a) If no count in a Statement of Alleged Violation is
proved, the Committee shall
[[Page H920]]
prepare a report to the House of Representatives, based upon
the report of the adjudicatory subcommittee.
(b) If an adjudicatory subcommittee completes an
adjudicatory hearing pursuant to Rule 23 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 limitation.
(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) Dismissal 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
expulsion 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 25. 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 known and
available to the Member, officer, or employee as soon as
practicable, but in no event later than the transmittal of
evidence supporting a proposed Statement of Alleged Violation
pursuant to Rule 26(c). If an investigative subcommittee does
not adopt a Statement of Alleged Violation, it shall identify
any exculpatory information in its possession at the
conclusion of its inquiry and shall include such information,
if any, in the subcommittee's final report to the Committee
regarding its inquiry. For purposes of this rule, exculpatory
evidence shall be any evidence or information that is
substantially favorable to the respondent with respect to the
allegations or charges before an investigative or
adjudicatory subcommittee.
Rule 26. Rights of Respondents and Witnesses
(a) A respondent shall be informed of the right to be
represented by counsel, to be provided at the respondent's
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 the respondent seeks to waive. Any such
request shall be subject to the acceptance of the Committee
or subcommittee, as appropriate.
(c) Not less than 10 calendar days before a scheduled vote
by an investigative subcommittee on a Statement of Alleged
Violation, the subcommittee shall provide the respondent with
a copy of the Statement of Alleged Violation it intends to
adopt together with all evidence it intends to use to prove
those charges which it intends to adopt, including
documentary evidence, witness testimony, memoranda of witness
interviews, and physical evidence, unless the subcommittee by
an affirmative vote of a majority of its members decides to
withhold certain evidence in order to protect a witness, but
if such evidence is withheld, the subcommittee shall inform
the respondent that evidence is being withheld and of the
count to which such evidence relates.
(d) Neither the respondent nor respondent's counsel shall,
directly or indirectly, contact the subcommittee or any
member thereof during the period of time set forth in
paragraph (c) except for the sole purpose of settlement
discussions where counsels for the respondent and the
subcommittee are present.
(e) If, at any time after the issuance of a Statement of
Alleged Violation, the Committee or any subcommittee thereof
determines that it intends to use evidence not provided to a
respondent under paragraph (c) to prove the charges contained
in the Statement of Alleged Violation (or any amendment
thereof), such evidence shall be made immediately available
to the respondent, and it may be used in any further
proceeding under the Committee's rules.
(f) Evidence provided pursuant to paragraph (c) or (e)
shall be made available to the respondent and respondent's
counsel only after each agrees, in writing, that no document,
information, or other materials obtained pursuant to that
paragraph shall be made public until--
(1) such time as a Statement of Alleged Violation is made
public by the Committee if the respondent has waived the
adjudicatory hearing; or
(2) the commencement of an adjudicatory hearing if the
respondent has not waived an adjudicatory hearing; but the
failure of respondent and respondent's counsel to so agree in
writing, and therefore not receive the evidence, shall not
preclude the issuance of a Statement of Alleged Violation at
the end of the period referenced to in (c).
(g) A respondent shall receive written notice whenever--
(1) the Chair and Ranking Minority Member determine that
information the Committee has received constitutes a
complaint;
(2) a complaint or allegation is transmitted to an
investigative subcommittee;
(3) that subcommittee votes to authorize its first subpoena
or to take testimony under oath, whichever occurs first; and
(4) the Committee votes to expand the scope of the inquiry
of an investigative subcommittee.
(h) Whenever an investigative subcommittee adopts a
Statement of Alleged Violation and a respondent enters into
an agreement with that subcommittee to settle a complaint on
which the Statement is based, that agreement, unless the
respondent requests otherwise, shall be in writing and signed
by the respondent and the respondent's counsel, the Chair and
Ranking Minority Member of the subcommittee, and outside
counsel, if any.
(i) Statements or information derived solely from a
respondent or respondent's counsel during any settlement
discussions between the Committee or a subcommittee thereof
and the respondent shall not be included in any report of the
subcommittee or the Committee or otherwise publicly disclosed
without the consent of the respondent.
(j) Whenever a motion to establish an investigative
subcommittee does not prevail, the Committee shall promptly
send a letter to the respondent informing the respondent of
such vote.
(k) Witnesses shall be afforded a reasonable period of
time, as determined by the Committee or subcommittee, to
prepare for an appearance before an investigative
subcommittee or for an adjudicatory hearing and to obtain
counsel.
(1) Prior to their testimony, witnesses 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.
(m) Witnesses may be accompanied by their own counsel for
the purpose of advising them concerning their constitutional
rights. The Chair 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.
(n) Each witness subpoenaed to provide testimony or other
evidence shall be provided the same per diem rate as
established, authorized, and regulated by the Committee on
House Administration for Members, officers and employees of
the House, and, as the Chair considers appropriate, actual
expenses of travel to or from the place of examination. No
compensation shall be authorized for attorney's fees or for a
witness' lost earnings. Such per diem may not be paid if a
witness had been summoned at the place of examination.
(o) With the approval of the Committee, a witness, upon
request, may be provided with a transcript of the witness'
own deposition or other testimony taken in executive session,
or, with the approval of the Chair 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 the witness, and counsel,
agree to maintain the confidentiality of all executive
session proceedings covered by such transcript.
[[Page H921]]
Rule 27. Frivolous Filings
If a complaint or information offered as a complaint is
deemed frivolous by an affirmative vote of a majority of the
members of the Committee, the Committee may take such action
as it, by an affirmative vote of a majority deems appropriate
in the circumstances.
Rule 28. Referrals to Federal or State Authorities
Referrals made under clause 3(a)(3) of Rule XI of the Rules
of the House of Representatives may be made by an affirmative
vote of two-thirds of the members of the Committee.
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