[Congressional Record (Bound Edition), Volume 145 (1999), Part 7]
[House]
[Pages 9932-9939]
[From the U.S. Government Publishing Office, www.gpo.gov]



   RULES OF COMMITTEE ON STANDARDS OF OFFICIAL CONDUCT FOR THE 106TH 
                                CONGRESS

  Mr. SMITH of Texas. Mr. Speaker, I ask unanimous consent for the 
publication in the Congressional Record (as contemplated by clause 
2(a)2 of rule XI) of the rules adopted by the Committee on Standards of 
Official Conduct pursuant to clause 2(a)(1) of rule XI, which have duly 
governed the proceedings of the Committee since their adoption on 
January 20, 1999, and subsequent amendment on March 10, 1999 and on 
April 14, 1999.
  The SPEAKER pro tempore (Mr. Thornberry). Is there objection to the 
request of the gentleman from Texas?
  There was no objection.

           Rules: 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)(1) of Rule XI of the Rules of 
     the House of Representatives, 106th 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     repealed by a vote of a majority of the Committee.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) ``Committee'' means the Committee on Standards of 
     Official Conduct.
       (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) ``Investigative Subcommittee'' means a subcommittee 
     designated pursuant to Rule 8 to conduct an inquiry to 
     determine if a Statement of Alleged Violation should be 
     issued.
       (e) ``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.
       (f) ``Adjudicatory Subcommittee'' means a subcommittee of 
     the Committee comprised of those Committee members not on the 
     investigative subcommittee, that holds an adjudicatory 
     hearing and determines whether the counts in a Statement of 
     Alleged Violation are proved by clear and convincing 
     evidence.
       (g) ``Sanction Hearing'' means a Committee hearing to 
     determine what sanction, if any, to adopt or to recommend to 
     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 
     an inquiry or a Statement of Alleged Violation.
       (i) ``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.

                 Rule 3. Advisory Opinions and Waivers

       (a) The Office of Advice and Education 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, 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 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.
       (f) The Office of Advice and Education shall prepare for 
     the Committee a response 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.
       (g) Where a request is unclear or incomplete, the Office of 
     Advice and Education may seek additional information from the 
     requester.
       (h) 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(l), 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.
       (i) The Committee shall keep confidential any request for 
     advice from a Member, officer, or employee, as well as any 
     response thereto.
       (j) 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.
       (k) 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) 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.
       (l) A written request for a waiver of clause 5 of House 
     Rule XXVI (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.
       (m) A written request for a waiver of clause 5 of House 
     Rule XXVI (the House gift rule) shall specify the nature of 
     the waiver being sought and the specific circumstances 
     justifying the waiver.
       (n) 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, Legislation 
     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) 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

[[Page 9933]]

     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 of 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 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)(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.
       (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 be made public, shall be 
     forwarded to the Legislative Resource Center 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.
       (i) Each Financial Disclosure Statement shall be reviewed 
     within 60 days after the date of filing.
       (k) If the reviewing counsel believes that additional 
     information 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 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 he 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 requires clarification or amendment.
       (p) If the Committee determines, by vote of 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 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 no business to be considered.
       (b) The Chairman 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, open the meeting or hearing to the public.
       (d) Any hearing held by an adjudicatory subcommittee or any 
     sanction hearing held by the Committee shall be open to the 
     pubic unless the Committee or subcommittee, by an affirmative 
     vote of a majority of its members, closes the hearing to the 
     pubic.
       (e) A subcommittee shall meet at the discretion of its 
     Chairman.
       (f) 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. 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 he 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 his or her employment 
     or duties with the Committee without specific prior approval 
     from the Chairman and Ranking Minority Member.
       (f) 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.
       (g) 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.
       (h) 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.
       (i) 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.
       (j) 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.
       (k) In addition to any other staff provided for by law, 
     rule, or other authority, with respect to the Committee, the 
     Chairman and Ranking Minority Member each may appoint one 
     individual as a shared staff member from his or her personal 
     staff to perform service for the Committee. Such shared staff 
     may assist the Chairman or Ranking Minority Member on any 
     subcommittee on which he serves. Only paragraphs (c), (e), 
     and (f) shall apply to shared staff.

                     Rule 7. Confidentiality Oaths

       Before any member or employee of the Committee 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 Standards of 
     Official Conduct, 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.

          Rule 8. Subcommittees--General Policy and Structure

       (a) Upon an affirmative vote of a majority of its members 
     to initiate an inquiry, the Chairman and Ranking Minority 
     Member of the Committee shall designate four members (with 
     equal representation from the majority

[[Page 9934]]

     and minority parties) to serve as an investigative 
     subcommittee to undertake an inquiry. At the time of 
     appointment, the Chairman shall designate one member of the 
     subcommittee to serve as the chairman and the Ranking 
     Minority Member shall designate one member of the 
     subcommittee to serve as the ranking minority member of the 
     investigative subcommittee or adjudicatory subcommittee. The 
     Chairman and Ranking Minority Member of the Committee may 
     serve as members of an investigative subcommittee, but may 
     not serve as non-voting, ex-officio members.
       (b) If an investigative subcommittee, by a majority vote of 
     its members, adopts a Statement of Alleged Violation, members 
     who did not serve on the investigative subcommittee are 
     eligible for appointment to the adjudicatory subcommittee to 
     hold an Adjudicatory Hearing under Committee Rule 24 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 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 he is the respondent.
       (e) A member of the Committee may disqualify himself 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 18(g) or Rule 24(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 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) Adoption 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) Adoption of a recommendation to the House of 
     Representatives that a sanction be imposed.
       (7) Adoption of a report relating to the conduct of a 
     Member, officer, or employee.
       (8) 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 11. 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. The 
     Chairman and Ranking Minority Member shall have access to 
     such information that they request as necessary to conduct 
     Committee business. Evidence in the possession of an 
     investigative subcommittee shall not be disclosed to other 
     Committee members except by a vote of the subcommittee.

                       Rule 12. 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 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 23. 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 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.
       (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 VII of the Rules of the 
     House of Representatives.

     Rule 13. 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) 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 the 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 coverage of the hearing or 
     meeting by the other media.


                    PART II--INVESTIGATIVE AUTHORITY

                       Rule 14. 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 15. Committee Authority to Investigate--General Policy

       Pursuant to clause 3(b)(2) of Rule XI of the Rules of the 
     House of Representatives, the Committee may exercise its 
     investigative authority when--
       (a) information offered as a complaint by a Member of the 
     House of Representatives is transmitted directly to the 
     Committee;
       (b) 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 
     he or she believes the information is submitted in good faith 
     and warrants the review and consideration of the Committee;
       (c) the Committee, on its own initiative, establishes an 
     investigative subcommittee;
       (d) a Member, officer, or employee is convicted in a 
     Federal, State, or local court of a felony; or

[[Page 9935]]

       (e) the House of Representatives, by resolution, authorizes 
     or directs the Committee to undertake an inquiry or 
     investigation.

                          Rule 16. 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 
     he or she 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 17. Duties of Committee Chairman and Ranking Minority Member

       (a) Unless otherwise determined by a vote of the Committee, 
     only the Chairman or Ranking Minority Member, after 
     consultation with each other, may make public statements 
     regarding matters before the Committee or any subcommittee.
       (b) Whenever information offered as a complaint is 
     submitted to the Committee, the Chairman 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.
       (c) Whenever the Chairman 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 Chairman 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).
       (d) The Chairman 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 Chairman or Ranking Minority Member has 
     placed on the agenda the issue of whether to establish an 
     investigative subcommittee.
       (e) If the Chairman 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 Chairman 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.
       (f) Whenever the Chairman 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 18. 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 five days 
     with notice that the complaint conforms to the applicable 
     rules and will be placed on the Committee's agenda.
       (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 
     he/she 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 pertinent to the 
     case from other sources prior to the establishment of an 
     investigative subcommittee only when so directed by the 
     Chairman and Ranking Minority Member.
       (d) At the first meeting of the Committee following the 
     procedures or actions specified in clauses (a) and (b), the 
     Committee shall consider the complaint.
       (e) The Committee, by a majority vote of its members, may 
     create an investigative subcommittee. If an investigative 
     subcommittee is established, the Chairman and Ranking 
     Minority Member shall designate four members to serve as an 
     investigative subcommittee in accordance with Rule 20.
       (f) The respondent shall be notified in writing regarding 
     the Committee's decision either to dismiss the complaint or 
     to create an investigative subcommittee.
       (g) The 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 subcommittee member 
     cannot render an impartial and unbiased decision. The 
     subcommittee member against whom the objection is made shall 
     be the sole judge of his or her disqualification.

                  Rule 19. Committee-Initiated 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. The Chairman 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.
       (b) If the Committee votes to establish an investigative 
     subcommittee, the Committee shall proceed in accordance with 
     Rule 20.
       (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 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) 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. Notwithstanding this 
     provision, an inquiry may be initiated at any time prior to 
     sentencing.

[[Page 9936]]



                  Rule 20. Investigative Subcommittee

       (a) 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 Chairman 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 Chairman 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 Chairman 
     or subcommittee member designated by the Chairman to 
     administer oaths.
       (b) 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 
     Representative.
       (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 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.
       (c) 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 investigation.
       (d) 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 
     regarding the alleged violations.
       (e) 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.
       (f) 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 21. Amendments of 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 22. Committee Reporting Requirements

       (a) Whenever an investigative subcommittee does not adopt a 
     Statement of Alleged Violation and transmit 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 
     his or her 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 23. Respondent's Answer

       (a)(1) Within 30 days from the date of transmittal of 
     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 to the Committee pursuant to Rule 20 or Rule 22, and 
     no appeal of the subcommittee's ruling shall lie to the 
     Committee.
       (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

[[Page 9937]]

     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 24. Adjudicatory Hearings

       (a) If a Statement of Alleged Violation is transmitted to 
     the Chairman and Ranking Minority Member pursuant to Rule 23, 
     and no waiver pursuant to Rule 27(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 adjudicatory subcommittee unless they 
     served on the investigative 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 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 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 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 five 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 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' 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 of the House of Representatives for 
     consideration.
       (4) Committee counsel may, subject to the 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 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 
     the 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 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 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 to 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 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 25. 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 9938]]

     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 24 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 26. 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 27(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 27. 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 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 his 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 his or her 
     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 his 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 Chairman 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 Chairman 
     and Ranking Minority Member of the subcommittee, and the 
     outside counsel, if any.
       (i) Statements or information derived solely from a 
     respondent or his 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 him 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.
       (l) 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.
       (m) 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.
       (n) 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.
       (o) 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.
       (p) 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, 
     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

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     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.

                       Rule 28. 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 its members, deems 
     appropriate in the circumstances.

           Rule 29. 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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