[Congressional Record (Bound Edition), Volume 155 (2009), Part 13]
[Extensions of Remarks]
[Pages 18248-18251]
[From the U.S. Government Publishing Office, www.gpo.gov]




   REPORT REGARDING THE ACTIVITIES OF THE COMMITTEE ON STANDARDS OF 
 OFFICIAL CONDUCT FOR THE FIRST HALF OF THE FIRST SESSION OF THE 111TH 
                                CONGRESS

                                 ______
                                 

                            HON. ZOE LOFGREN

                             of california

                    in the house of representatives

                         Friday, July 17, 2009

  Ms. ZOE LOFGREN of California. Madam Speaker, I rise along with my 
colleague Congressman Bonner to update you about the activities of the 
Committee on Standards of Official Conduct through the end of June 
2009. Below we have included a table summarizing statistics relating to 
the Committee's work through June 30, 2009, along with a brief summary 
of the Committee's accomplishments through the end of June 2009.


                          About the Committee

       The Committee on Standards of Official Conduct is tasked 
     with interpreting and enforcing the House's ethics rules. The 
     Committee has sole jurisdiction over the interpretation of 
     the Code of Official Conduct, which governs the acts of 
     Members and staff. The Committee is the only standing House 
     committee with equal numbers of Democratic and Republican 
     members. The Committee's staff is required by rule to be--and 
     it is--professional and nonpartisan.
       Much, if not most, of the Committee's work is conducted 
     confidentially. Members and staff are, by and large, 
     prohibited from discussing the Committee's work. 
     Confidentiality promotes compliance with the rules and, in 
     the investigative context, permits the Committee to 
     independently investigate matters fully without interference 
     or undue influence.
       Nevertheless, the Committee's duty to maintain 
     confidentiality can make the Committee appear insufficiently 
     accountable or transparent. The Committee, to the extent our 
     confidentiality obligations permit, intends to be 
     transparent, and it will be accountable. To that end, we are 
     submitting the Committee's first semi-annual report on its 
     activities.


                    The Committee's Responsibilities

       The Committee manages five critical responsibilities:
       1. Training. The Committee provides mandatory annual ethics 
     training to over 10,000 employees of the House. In addition, 
     the Committee provides additional, mandatory training for 
     senior staff. Trainings take the form of in-person and 
     computer-based seminars, briefings and interactive 
     presentations. The Committee is in the process of updating 
     its online training materials and has put into place systems 
     for monitoring and enforcing compliance with the House's 
     training requirements.
       2. Advice and Education. The Committee provides both formal 
     and informal guidance to Members and employees of the House. 
     Through published guidance, the Committee updates the House 
     on the ethical standards regulating the conduct of Members 
     and staff. It also provides confidential written guidance to 
     Members and staff on specific questions. In addition, the 
     Committee's staff gives informal, confidential advice to 
     Members, staff and the public every day. The Committee has 
     recently set a goal of completing responses to written 
     requests for advice within two weeks of submission and has 
     made significant progress toward improving the timeliness of 
     responses to requests for formal advice.
       3. Travel. The Committee is responsible for reviewing and 
     approving all privately-sponsored travel related to official 
     duties offered to Members and staff. The Committee is in the 
     process of reviewing its travel regulations. Exercising its 
     oversight jurisdiction, the Committee, with the benefit of 
     two years' experience implementing the House's travel rules, 
     expects to revise its travel regulations in the near future.
       4. Financial Disclosure. The Committee reviews and 
     certifies all financial disclosure reports Members, 
     candidates and senior staff are required to file. These are 
     time-intensive reviews, which require the dedication of 
     substantial staff resources to complete. The Committee is 
     putting into place systems for monitoring and enforcing 
     compliance with the House's financial disclosure rules.
       5. Investigations. The Committee investigates and 
     adjudicates allegations of impropriety and violations of 
     House ethics rules by Members and staff. The Committee 
     actively investigates allegations against Members and staff, 
     using a mix of informal and formal investigative techniques 
     to determine the validity of factual allegations, explore 
     potential rules violations and recommend appropriate 
     sanctions and corrective actions. Where appropriate, the 
     Committee refers matters to federal and state law enforcement 
     authorities.
       In addition, the Committee performs other critical 
     functions to ensure compliance with House ethics rules. 
     Several of these functions are noted in the table below, 
     which summarizes the Committee's activities for the first 
     half this year.

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                      Significant Accomplishments

     Conforming Revisions to Committee Rules
       Revisions to House rules over the past few years required 
     conforming amendments to the Committee's rules. The Committee 
     did the revisions in two steps. First, the Committee adopted 
     interim rules at its organizational meeting on February 10, 
     2009. The interim rules conformed the Committee's rules to 
     the more gender-neutral language adopted in the House rules 
     for the 111th Congress. At that time, the Committee announced 
     that it would be conducting a more thorough review of its 
     rules to incorporate new provisions in House Rule 11 
     regarding the newly established Office of Congressional 
     Ethics (OCE).
       In April 2009, the Committee formed a bipartisan working 
     group led by Representative Ben Chandler and Representative 
     John Kline to review and make recommendations for further, 
     more substantive conforming amendments to the Committee's 
     rules. The working group met formally three times to discuss 
     proposed amendments to the rules. It also consulted with the 
     Office of the Parliamentarian, House Office of Legislative 
     Counsel, and the House General Counsel to ensure the 
     Committee's rules revisions conform to the provisions of the 
     House rules, applicable legislation and the Constitution. The 
     working group's recommended revisions were ultimately adopted 
     by Committee vote on June 9, 2009.
       The revisions incorporated House Rule 11 and H. Res. 895 
     (110th Congress), which established the OCE and created the 
     process by which matters are referred to the Committee from 
     the OCE and eventually subjected to public disclosure. The 
     Committee's rules address the three pillars underlying the 
     creation of the OCE: promoting accountability of the 
     Committee; increasing the transparency of the Committee; and 
     ensuring the independence of both the Committee and the OCE.
       A section-by-section summary of the conforming amendments 
     to the Committee's rules is included immediately below.


                        Summary of Rules Changes

       Rule 2--Definitions. Conforms the Committee's rules to 
     extant House rules governing the Committee's role as an 
     investigative authority. Incorporates definitions relevant to 
     the OCE.
       Rule 3--Advisory Opinions and Waivers. Clarifies that the 
     privately-sponsored travel approval process is part of the 
     Committee's Advisory Opinion process. Permits a Member, 
     officer or House employee to request a copy of his or her own 
     travel approval or advisory opinion request, along with the 
     Committee's response to the request.
       Rule 4--Financial Disclosure. Establishes that the 
     Committee has declined to exercise jurisdiction over review 
     of the timeliness and completeness of financial disclosure 
     reports filed by the Board of the OCE with the Clerk of the 
     House. This provision promotes OCE's independence.
       Rule 7--Confidentiality. Conforms the Committee's 
     confidentiality provisions to the public disclosure 
     requirements for referrals from the OCE and permits limited 
     disclosures of Committee investigative information to the 
     Board of the OCE when the Committee requests a referral.
       Rule 9--Quorums and Member Disqualification. Conforms the 
     Committee's member disqualification rule to changes made in 
     the House Rules for the 111th Congress.
       Rule 12--Broadcasts of Committee and Subcommittee 
     Proceedings. Removes the provision allowing witnesses to 
     terminate audio and video coverage consistent with the 
     elimination of this provision in the House rules.
       Rule 14--Committee Authority to Investigate--General 
     Policy. Conforms the Committee's rules to extant House rules 
     governing the Committee's role as an investigative authority. 
     Incorporates authority to investigate, consistent with new 
     House rules, based on referrals from the OCE.
       Rule 17--Processing of Complaints. Removes the provision 
     regarding member disqualification to clarify its broader 
     application to all investigative subcommittees.
       Rule 17A--Referrals from the Board of the Office of 
     Congressional Ethics. Incorporates provisions from new House 
     rules detailing the Committee's process for processing 
     referrals from the OCE, including the timeframes for required 
     public disclosure of OCE referrals. Establishes the process 
     the Committee will follow when it receives an OCE referral 
     pursuant to House Rule 11, clause 3. Provides that the 
     Committee must, in virtually all cases, make public OCE's 
     reports and findings regarding referred matters, as well as 
     make public statements regarding the status of the 
     Committee's reviews of referred matters. The public 
     disclosures follow strict timelines. The rule sets out the 
     basic disclosure process and timeframes for disclosure in 
     detail.
       Provides that public disclosures required under the rule 
     will be released by the Committee on the Committee's Web 
     site.
       Provides that the Committee may receive OCE referrals in 
     two ways that trigger the disclosure process described in 
     Committee Rule 17A. First, OCE's Board may vote to refer a 
     matter to the Committee after completion of OCE's second-
     phase review. Second, the Committee may request a referral 
     after receiving notice that OCE is reviewing a matter, 
     provided the Committee is already investigating, or has 
     already investigated, the matter pursuant to House Rule 11, 
     clause 3(r). Under that House Rule, as codified in Committee 
     Rule 17A(k), the Committee has the authority to request that 
     OCE refer a matter to the Committee at any stage of an OCE 
     investigation. Because a request for a referral may only come 
     from the Committee, it requires a vote of the full Committee.
       Provides that the Committee may not request a matter and 
     then allow it to languish in secret. Treats an early referral 
     as identical to an OCE referral made at the end of a second-
     stage review. Provides that, if the Committee requests a 
     referral from the OCE, the OCE will issue a report to the 
     Committee when it makes its referral. In early referral 
     cases, the rule applies the same strict timelines and public 
     disclosure requirements applicable to all other OCE 
     referrals. The Committee must act on the matter and release a 
     copy of OCE's report, typically within 45 days, with the 
     possibility of one 45-day extension. Consequently, if the 
     Committee votes to dismiss a matter after requesting an early 
     referral from OCE, the OCE's report will become public, along 
     with a statement from the Committee announcing dismissal of 
     the matter. The rule fosters accountability and ensures that 
     the actions of both the Committee and the OCE are transparent 
     to the House and to the public. (The Committee understands 
     that the OCE, in such cases, would not be precluded from 
     continuing its review based on new information made available 
     to the OCE.)
       Provides that, if the Committee is unable to resolve a 
     matter before the public disclosure timeframes run (for 
     example, by empanelling an investigative subcommittee), 
     referred matters will revert back to the OCE for second-phase 
     review and possible referral of the matter to the Committee. 
     Provides that the Committee may only request one referral of 
     the same matter from the OCE.
       Rule 18--Committee-Initiated Inquiry or Investigation. 
     Conforms the Committee's rules to House rules and long-
     standing Committee practice. Incorporates recent House 
     resolutions requiring action by the Committee when a Member, 
     officer or House employee is charged with criminal conduct.
       Rule 19--Investigative Subcommittee. Adds a provision 
     regarding member disqualification from investigative 
     subcommittees to clarify its broader application to all 
     investigative subcommittees.
       Rule 23--Adjudicatory Hearings. Clarifies that member 
     disqualification from adjudicatory subcommittees is also 
     governed by the general member disqualification rule, 
     consistent with the House rule revisions in the 111th 
     Congress.
     Staffing
       Effective May 1, 2009, the Committee appointed a permanent 
     staff director and chief counsel. In addition, the Committee 
     has hired four additional staff members, including two 
     attorneys and two investigators, three of whom will start 
     with the Committee during July 2009. The Committee continues 
     to actively interview additional candidates for numerous open 
     staff positions. The addition of a permanent staff director 
     has helped the Committee establish several significant 
     policies (described below) that will enhance compliance with 
     the ethical standards of the House. The addition of new staff 
     will permit the Committee to fulfill its responsibilities in 
     a more timely and effective manner.
     Reduction in Advisory Opinion Backlog
       At the beginning of this Congress, there was a substantial 
     backlog of advisory opinion requests to which the Committee 
     had yet to respond. Many of those requests were months 
     delayed. In some cases, responses were delayed by as much as 
     a year or more. The Committee has cleared the backlog and has 
     established policies to improve its responsiveness to 
     advisory opinion requests.
       On May 1, 2009, the Committee established a target of 
     responding to advisory opinion requests, where possible, 
     within two weeks. From the beginning of the year through 
     April 30, 2009, the Committee responded within two weeks to 
     advisory opinion requests about 39% of the time. Since May 1, 
     2009, the Committee's response rate has jumped to over 80%. 
     The policy change has greatly increased the turnaround time 
     for responses, leading to more timely and effective advice to 
     Members and staff on issues of concern to them. The policy 
     also has encouraged Members and staff to seek confidential 
     advice from the Committee before acting, promoting greater 
     compliance with the House's ethics rules.
     Improved Data Collection and Case Management
       The Committee has significantly improved its data 
     collection and case management. Data is being collected and 
     monitored in ways it has not been before. For example, the 
     Committee has for the first time started collecting much of 
     the data included in the report above on an ongoing basis. 
     The Committee has started tracking the length of time it 
     takes to review advisory opinion and travel requests, 
     allowing it to set targets for processing cases. In addition, 
     the Committee is exploring ways to improve its processes and 
     to expand its data collection.

[[Page 18251]]


     Improved Compliance Controls
       The Committee has significantly improved its processes for 
     monitoring compliance with House rules, including the 
     certification of mandated training for staff and the filing 
     of financial disclosure reports. Specifically, the Committee 
     has, since May 1, 2009, established specific policies to 
     identify employees who, and offices that, have failed to 
     properly certify compliance with the House's mandatory 
     training requirements for staff. In addition, the Committee 
     has put into place policies to identify Members and senior 
     staff who have failed to file financial disclosure reports. 
     These policies will allow the Committee to notify 
     noncompliant individuals and offices, seek corrective 
     measures and take appropriate remedial actions.
     Annual Review of Travel Regulations
       The Committee has started its required annual review of its 
     regulations governing privately-sponsored travel. It expects 
     to report its findings to the House by the end of 2009.
     Investigations
       The Committee has been conscientiously fulfilling its 
     mission to investigate alleged violations of the House's 
     ethics rules. As can be seen from the report above, the 
     Committee opened 15 new investigative matters from the 
     beginning of the year through June 30, 2009. During that 
     time, the Committee received six referrals from the OCE. In 
     addition, the Committee continued investigating 11 matters 
     held over from the 110th Congress. The Committee completed 
     four investigative matters. The resolutions in two of those 
     matters were publicly disclosed.