[House Report 111-707]
[From the U.S. Government Publishing Office]


111th Congress                                                   Report
                        HOUSE OF REPRESENTATIVES
 2d Session                                                     111-707
_______________________________________________________________________

                                     

                                                 Union Calendar No. 430


                         SUMMARY OF ACTIVITIES

                     ONE HUNDRED ELEVENTH CONGRESS

                               __________

                                A REPORT

                                 of the

                              COMMITTEE ON

                     STANDARDS OF OFFICIAL CONDUCT

                        HOUSE OF REPRESENTATIVES





January 3, 2011.--Committed to the Committee of the Whole House on the 
              State of the Union and ordered to be printed


                          LETTER OF SUBMITTAL

                              ----------                              

                     U.S. House of Representatives,
                Committee on Standards of Official Conduct,
                                   Washington, DC, January 3, 2011.
Hon. Lorraine C. Miller,
Clerk, House of Representatives,
Washington, DC.
    Dear Ms. Miller: Pursuant to clause 1(d) of Rule XI of the 
Rules of the House of Representatives, we hereby submit to the 
House a report on the Activities of the Committee on Standards 
of Official Conduct for the 111th Congress.
            Sincerely,
                                   Zoe Lofgren,
                                           Chair.
                                   Jo Bonner,
                                           Ranking Republican Member.


                                                 Union Calendar No. 430
111th Congress                                                   Report
                        HOUSE OF REPRESENTATIVES
 2d Session                                                     111-707

======================================================================



 
                         SUMMARY OF ACTIVITIES
                     ONE HUNDRED ELEVENTH CONGRESS

                                _______
                                

January 3, 2011.--Committed to the Committee of the Whole House on the 
              State of the Union and ordered to be printed

                                _______
                                

Ms. Lofgren and Mr. Bonner, from the Committee on Standards of Official 
                    Conduct, submitted the following

                              R E P O R T

    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 House 
Members, officers, and employees. 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 professional and nonpartisan.
    The Committee's core responsibilities include providing 
training, advice, and education to House Members, officers, and 
employees, reviewing and approving requests to accept 
privately-sponsored travel related to official duties, 
reviewing and certifying all financial disclosure reports 
Members, candidates and senior staff are required to file; and 
investigating and adjudicating allegations of impropriety and 
violations of House ethics rules. Within the scope of its 
training, advice and education, travel, and financial 
disclosure responsibilities, the Committee:
           Issued more than 780 formal advisory 
        opinions regarding ethics rules;
           Fielded thousands of informal telephone 
        calls, emails, and in-person requests for guidance on 
        ethics issues;
           Released 11 advisory memoranda on various 
        ethics topics to the House;
           Provided training to more than 10,000 House 
        Members, officers, and employees each year, and 
        reviewed their certifications for satisfying the 
        House's mandatory training requirements; and
           Reviewed nearly 6,900 financial disclosure 
        statements filed by House Members, senior staff, and 
        House candidates.
    In addition, the Committee actively investigates 
allegations against House Members, officers, and employees, 
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. The Committee's options for 
investigating a matter include fact-gathering under Committee 
Rule 18(a), which may or may not be publicly disclosed, the 
empanelment of investigative subcommittees, and the review of 
transmittals from the Office of Congressional Ethics (OCE). The 
fact that the Committee is investigating a particular matter or 
that a House Member, officer, or employee is referenced in an 
investigative matter should not be construed as a finding or 
suggestion that the Member, officer, or employee has committed 
any violation of the rules, law, or standards of conduct.
    During the 111th Congress, within the scope of its 
investigative responsibilities, the Committee:
           Commenced or continued investigative fact-
        gathering regarding 111 separate investigative matters;
           Resolved 75 investigative matters without 
        empaneling an investigative subcommittee or taking 
        other formal action;
           Empaneled four investigative subcommittees, 
        in the matters of the Carib News Foundation Multi-
        National Business Conferences, Representative Laura 
        Richardson, Representative Maxine Waters, and former 
        Representative Eric Massa;
           Carried over and expanded the jurisdiction 
        of the investigative subcommittee in the matter of 
        Representative Charles B. Rangel, completed the 
        investigation and adjudication of that matter, and 
        recommended a sanction to the full House of 
        Representatives, which was subsequently adopted by the 
        House; and
           Filed 12 reports with the House totaling 
        more than 15,000 pages regarding various investigative 
        matters.
    Collectively, during the 111th Congress the investigative 
subcommittees formed by the Committee:
           Authorized the issuance of more than 240 
        subpoenas;
           Interviewed more than 140 witnesses;
           Reviewed more than 55,300 pages of 
        documents; and
           Held more than 70 investigative subcommittee 
        meetings.
    In addition to the publicly-disclosed matters discussed in 
this report, there were a total of 16 investigative matters 
pending before the Committee as of December 31, 2010.

                            I. Introduction

    House Rule XI, clause 1(d), requires each committee to 
submit to the House, not later than January 2 of each odd-
numbered year, a report on the activities of that committee 
under that rule and House Rule X during the Congress ending on 
January 3 of that year.
    The jurisdiction of the Committee on Standards of Official 
Conduct (``Committee'') is defined in clauses 1(q) and 11(g)(4) 
of House Rule X, clause 3 of House Rule XI, and clause 5(h) of 
House Rule XXV. The text of those provisions is as follows:

                          Rule X, clause 1(q)

    1. There shall be in the House the following standing 
committees, each of which shall have the jurisdiction and 
related functions assigned by this clause and clauses 2, 3, and 
4.
    * * *
    (q) Committee on Standards of Official Conduct.

                      The Code of Official Conduct


                        Rule X, clause 11(g)(4)

    (4) The Committee on Standards of Official Conduct shall 
investigate any unauthorized disclosure of intelligence or 
intelligence-related information by a Member, Delegate, 
Resident Commissioner, officer, or employee of the House in 
violation of subparagraph (3) and report to the House 
concerning any allegation that it finds to be substantiated.

                           Rule XI, clause 3


Committee on Standards of Official Conduct

    3. (a) The Committee on Standards of Official Conduct has 
the following functions:
    (1) The committee may recommend to the House from time to 
time such administrative actions as it may consider appropriate 
to establish or enforce standards of official conduct for 
Members, Delegates, the Resident Commissioner, officers, and 
employees of the House. A letter of reproval or other 
administrative action of the committee pursuant to an 
investigation under subparagraph (2) shall only be issued or 
implemented as a part of a report required by such 
subparagraph.
    (2) The committee may investigate, subject to paragraph 
(b), an alleged violation by a Member, Delegate, Resident 
Commissioner, officer, or employee of the House of the Code of 
Official Conduct or of a law, rule, regulation, or other 
standard of conduct applicable to the conduct of such Member, 
Delegate, Resident Commissioner, officer, or employee in the 
performance of the duties or the discharge of the 
responsibilities of such individual. After notice and hearing 
(unless the right to a hearing is waived by the Member, 
Delegate, Resident Commissioner, officer, or employee), the 
committee shall report to the House its findings of fact and 
recommendations, if any, for the final disposition of any such 
investigation and such action as the committee may consider 
appropriate in the circumstances.
    (3) The committee may report to the appropriate Federal or 
State authorities, either with the approval of the House or by 
an affirmative vote of two-thirds of the members of the 
committee, any substantial evidence of a violation by a Member, 
Delegate, Resident Commissioner, officer, or employee of the 
House, of a law applicable to the performance of his duties or 
the discharge of the responsibilities of such individual that 
may have been disclosed in a committee investigation.
    (4) The committee may consider the request of a Member, 
Delegate, Resident Commissioner, officer, or employee of the 
House for an advisory opinion with respect to the general 
propriety of any current or proposed conduct of such Member, 
Delegate, Resident Commissioner, officer, or employee. With 
appropriate deletions to ensure the privacy of the person 
concerned, the committee may publish such opinion for the 
guidance of other Members, Delegates, the Resident 
Commissioner, officers, and employees of the House.
    (5) The committee may consider the request of a Member, 
Delegate, Resident Commissioner, officer, or employee of the 
House for a written waiver in exceptional circumstances with 
respect to clause 4 of rule XXIII.
    (6)(A) The committee shall offer annual ethics training to 
each Member, Delegate, Resident Commissioner, officer, and 
employee of the House. Such training shall--
    (i) involve the classes of employees for whom the committee 
determines such training to be appropriate; and
    (ii) include such knowledge of the Code of Official Conduct 
and related House rules as may be determined appropriate by the 
committee.
    (B)(i) A new officer or employee of the House shall receive 
training under this paragraph not later than 60 days after 
beginning service to the House.
    (ii) Not later than January 31 of each year, each officer 
and employee of the House shall file a certification with the 
committee that the officer or employee attended ethics training 
in the last year as established by this subparagraph.
    (b)(1)(A) Unless approved by an affirmative vote of a 
majority of its members, the Committee on Standards of Official 
Conduct may not report a resolution, report, recommendation, or 
advisory opinion relating to the official conduct of a Member, 
Delegate, Resident Commissioner, officer, or employee of the 
House, or, except as provided in subparagraph (2), undertake an 
investigation of such conduct.
    (B)(i) Upon the receipt of information offered as a 
complaint that is in compliance with this rule and the rules of 
the committee, the chair and ranking minority member jointly 
may appoint members to serve as an investigative subcommittee.
    (ii) The chair and ranking minority member of the committee 
jointly may gather additional information concerning alleged 
conduct that is the basis of a complaint or of information 
offered as a complaint until they have established an 
investigative subcommittee or either of them has placed on the 
agenda of the committee the issue of whether to establish an 
investigative subcommittee.
    (2) Except in the case of an investigation undertaken by 
the committee on its own initiative, the committee may 
undertake an investigation relating to the official conduct of 
an individual Member, Delegate, Resident Commissioner, officer, 
or employee of the House only--
    (A) upon receipt of information offered as a complaint, in 
writing and under oath, from a Member, Delegate, or Resident 
Commissioner and transmitted to the committee by such Member, 
Delegate, or Resident Commissioner;
    (B) upon receipt of information offered as a complaint, in 
writing and under oath, from a person not a Member, Delegate, 
or Resident Commissioner provided that a Member, Delegate, or 
Resident Commissioner certifies in writing to the committee 
that such Member, Delegate, or Resident Commissioner believes 
the information is submitted in good faith and warrants the 
review and consideration of the committee; or
    (C) upon receipt of a report regarding a referral from the 
Office of Congressional Ethics.
    If a complaint is not disposed of within the applicable 
periods set forth in the rules of the Committee on Standards of 
Official Conduct, the chair and ranking minority member shall 
establish jointly an investigative subcommittee and forward the 
complaint, or any portion thereof, to that subcommittee for its 
consideration. However, if at any time during those periods 
either the chair or ranking minority member places on the 
agenda the issue of whether to establish an investigative 
subcommittee, then an investigative subcommittee may be 
established only by an affirmative vote of a majority of the 
members of the committee.
    (3) The committee may not undertake an investigation of an 
alleged violation of a law, rule, regulation, or standard of 
conduct that was not in effect at the time of the alleged 
violation. The committee may not undertake an investigation of 
such an alleged violation that occurred before the third 
previous Congress unless the committee determines that the 
alleged violation is directly related to an alleged violation 
that occurred in a more recent Congress.
    (4) A member of the committee shall be ineligible to 
participate as a member of the committee in a committee 
proceeding relating to the member's official conduct. Whenever 
a member of the committee is ineligible to act as a member of 
the committee under the preceding sentence, the Speaker shall 
designate a Member, Delegate, or Resident Commissioner from the 
same political party as the ineligible member to act in any 
proceeding of the committee relating to that conduct.
    (5) A member of the committee may seek disqualification 
from participating in an investigation of the conduct of a 
Member, Delegate, Resident Commissioner, officer, or employee 
of the House upon the submission in writing and under oath of 
an affidavit of disqualification stating that the member cannot 
render an impartial and unbiased decision in the case in which 
the member seeks to be disqualified. If the committee approves 
and accepts such affidavit of disqualification, the chair shall 
so notify the Speaker and request the Speaker to designate a 
Member, Delegate, or Resident Commissioner from the same 
political party as the disqualifying member to act in any 
proceeding of the committee relating to that case.
    (6) Information or testimony received, or the contents of a 
complaint or the fact of its filing, may not be publicly 
disclosed by any committee or staff member unless specifically 
authorized in each instance by a vote of the full committee.
    (7) The committee shall have the functions designated in 
titles I and V of the Ethics in Government Act of 1978 [on 
financial disclosure and the limitations on outside earned 
income and outside employment], in sections 7342 [the Foreign 
Gifts and Decorations Act], 7351 [on gifts to superiors], and 
7353 [on gifts] of title 5, United States Code, and in clause 
11(g)(4) of rule X.
    (c)(1) Notwithstanding clause 2(g)(1) of rule XI, each 
meeting of the Committee on Standards of Official Conduct or a 
subcommittee thereof shall occur in executive session unless 
the committee or subcommittee, by an affirmative vote of a 
majority of its members, opens the meeting to the public.
    (2) Notwithstanding clause 2(g)(2) of rule XI, each hearing 
of an adjudicatory subcommittee or sanction hearing of the 
Committee on Standards of Official Conduct shall be held in 
open session unless the committee or subcommittee, in open 
session by an affirmative vote of a majority of its members, 
closes all or part of the remainder of the hearing on that day 
to the public.
    (d) Before a member, officer, or employee of the Committee 
on Standards of Official Conduct, including members of a 
subcommittee of the committee selected under clause 5(a)(4) of 
rule X and shared staff, may have access to information that is 
confidential under the rules of the committee, the following 
oath (or affirmation) shall be executed:
    ``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 retained by the Clerk 
as part of the records of the House. This paragraph establishes 
a standard of conduct within the meaning of paragraph (a)(2). 
Breaches of confidentiality shall be investigated by the 
Committee on Standards of Official Conduct and appropriate 
action shall be taken.
    (e)(1) 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 on Standards of Official Conduct, the 
committee may take such action as it, by an affirmative vote of 
a majority of its members, considers appropriate in the 
circumstances.
    (2) Complaints filed before the One Hundred Fifth Congress 
may not be deemed frivolous by the Committee on Standards of 
Official Conduct.

Committee agendas

    (f) The committee shall adopt rules providing that the 
chair shall establish the agenda for meetings of the committee, 
but shall not preclude the ranking minority member from placing 
any item on the agenda.

Committee staff

    (g)(1) The committee shall adopt rules providing that--
    (A) the staff 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 member of the staff shall 
perform all official duties in a nonpartisan manner;
    (D) no member of the staff shall engage in any partisan 
political activity directly affecting any congressional or 
presidential election;
    (E) no member of the staff or outside counsel may accept 
public speaking engagements or write for publication on any 
subject that is in any way related to the employment or duties 
with the committee of such individual without specific prior 
approval from the chair and ranking minority member; and
    (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.
    (2) Only subdivisions (C), (E), and (F) of subparagraph (1) 
shall apply to shared staff.
    (3)(A) 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.
    (B) 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.
    (C) 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.
    (D) Outside counsel may be dismissed before the end of a 
contract between the committee and such counsel only by an 
affirmative vote of a majority of the members of the committee.
    (4) In addition to any other staff provided for by law, 
rule, or other authority, with respect to the committee, the 
chair and ranking minority member each may appoint one 
individual as a shared staff member from the respective 
personal staff of the chair or ranking minority member to 
perform service for the committee. Such shared staff may assist 
the chair or ranking minority member on any subcommittee on 
which the chair or ranking minority member serves.

Meetings and hearings

    (h)(1) The committee shall adopt rules providing that--
    (A) all meetings or hearings of the committee or any 
subcommittee thereof, other than any hearing held by an 
adjudicatory subcommittee or any sanction hearing held by the 
committee, shall occur in executive session unless the 
committee or subcommittee by an affirmative vote of a majority 
of its members opens the meeting or hearing to the public; and
    (B) any hearing held by an adjudicatory subcommittee or any 
sanction hearing held by the committee shall be open to the 
public unless the committee or subcommittee by an affirmative 
vote of a majority of its members closes the hearing to the 
public.

Public disclosure

    (i) The committee shall adopt rules providing that, unless 
otherwise determined by a vote of the committee, only the chair 
or ranking minority member, after consultation with each other, 
may make public statements regarding matters before the 
committee or any subcommittee thereof.

Requirements to constitute a complaint

    (j) The committee shall adopt rules regarding complaints to 
provide that whenever information offered as a complaint is 
submitted to the committee, the chair and ranking minority 
member shall have 14 calendar days or five legislative days, 
whichever is sooner, to determine whether the information meets 
the requirements of the rules of the committee for what 
constitutes a complaint.

Duties of chair and ranking minority member regarding properly filed 
        complaints

    (k)(1) The committee shall adopt rules providing that 
whenever the chair and ranking minority member jointly 
determine that information submitted to the committee meets the 
requirements of the rules of the committee for what constitutes 
a complaint, they shall have 45 calendar days or five 
legislative days, whichever is later, after that determination 
(unless the committee by an affirmative vote of a majority of 
its members votes otherwise) to--
    (A) 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;
    (B) establish an investigative subcommittee; or
    (C) request that the committee extend the applicable 45-
calendar day or five-legislative day period by one additional 
45-calendar day period when they determine more time is 
necessary in order to make a recommendation under subdivision 
(A).
    (2) The committee shall adopt rules providing that if the 
chair and ranking minority member jointly determine that 
information submitted to the committee meets the requirements 
of the rules of the committee for what constitutes a complaint, 
and the complaint is not disposed of within the applicable time 
periods under subparagraph (1), then they shall establish an 
investigative subcommittee and forward the complaint, or any 
portion thereof, to that subcommittee for its consideration. 
However, if, at any time during those periods, either the chair 
or ranking minority member places on the agenda the issue of 
whether to establish an investigative subcommittee, then an 
investigative subcommittee may be established only by an 
affirmative vote of a majority of the members of the committee.

Duties of chair and ranking minority member regarding information not 
        constituting a complaint

    (l) The committee shall adopt rules providing that whenever 
the chair and ranking minority member jointly determine that 
information submitted to the committee does not meet the 
requirements of the rules of the committee for what constitutes 
a complaint, they may--
    (1) return the information to the complainant with a 
statement that it fails to meet the requirements of the rules 
of the committee for what constitutes a complaint; or
    (2) recommend to the committee that it authorize the 
establishment of an investigative subcommittee.

Investigative and adjudicatory subcommittees

    (m) The committee shall adopt rules providing that--
    (1)(A) an investigative subcommittee shall be composed of 
four Members (with equal representation from the majority and 
minority parties) whenever such a subcommittee is established 
pursuant to the rules of the committee;
    (B) an adjudicatory subcommittee shall be composed of the 
members of the committee who did not serve on the pertinent 
investigative subcommittee (with equal representation from the 
majority and minority parties) whenever such a subcommittee is 
established pursuant to the rules of the committee; and
    (C) notwithstanding any other provision of this clause, the 
chair and ranking minority member of the committee may consult 
with an investigative subcommittee either on their own 
initiative or on the initiative of the subcommittee, shall have 
access to information before a subcommittee with which they so 
consult, and shall not thereby be precluded from serving as 
full, voting members of any adjudicatory subcommittee;
    (2) at the time of appointment, the chair shall designate 
one member of a subcommittee to serve as chair and the ranking 
minority member shall designate one member of the subcommittee 
to serve as the ranking minority member; and
    (3) the chair 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.

Standard of proof for adoption of statement of alleged violation

    (n) The committee shall adopt rules to provide that an 
investigative subcommittee may adopt a statement of alleged 
violation only if it determines by an affirmative vote of a 
majority of the members of the subcommittee 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.

Subcommittee powers

    (o)(1) The committee shall adopt rules providing that an 
investigative subcommittee or an adjudicatory subcommittee may 
authorize and issue subpoenas only when authorized by an 
affirmative vote of a majority of the members of the 
subcommittee.
    (2) The committee shall adopt rules providing that an 
investigative subcommittee may, upon an affirmative vote of a 
majority of its members, expand the scope of its investigation 
approved by an affirmative vote of a majority of the members of 
the committee.
    (3) The committee shall adopt rules to provide that--
    (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.

Due process rights of respondents

    (p) The committee shall adopt rules to provide that--
    (1) 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;
    (2) neither the respondent nor the counsel of the 
respondent shall, directly or indirectly, contact the 
subcommittee or any member thereof during the period of time 
set forth in paragraph (1) except for the sole purpose of 
settlement discussions where counsel for the respondent and the 
subcommittee are present;
    (3) 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 (1) 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 rules of the committee;
    (4) evidence provided pursuant to paragraph (1) or (3) 
shall be made available to the respondent and the counsel of 
the respondent only after each agrees, in writing, that no 
document, information, or other materials obtained pursuant to 
that paragraph shall be made public until--
    (A) such time as a statement of alleged violation is made 
public by the committee if the respondent has waived the 
adjudicatory hearing; or
    (B) the commencement of an adjudicatory hearing if the 
respondent has not waived an adjudicatory hearing;
    but the failure of respondent and the counsel of the 
respondent to so agree in writing, and their consequent failure 
to receive the evidence, shall not preclude the issuance of a 
statement of alleged violation at the end of the period 
referred to in paragraph (1);
    (5) a respondent shall receive written notice whenever--
    (A) the chair and ranking minority member determine that 
information the committee has received constitutes a complaint;
    (B) a complaint or allegation is transmitted to an 
investigative subcommittee;
    (C) an investigative subcommittee votes to authorize its 
first subpoena or to take testimony under oath, whichever 
occurs first; or
    (D) an investigative subcommittee votes to expand the scope 
of its investigation;
    (6) 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 
that statement is based, that agreement, unless the respondent 
requests otherwise, shall be in writing and signed by the 
respondent and respondent's counsel, the chair and ranking 
minority member of the subcommittee, and the outside counsel, 
if any;
    (7) statements or information derived solely from a 
respondent or the counsel of a respondent 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; and
    (8) whenever a motion to establish an investigative 
subcommittee does not prevail, the committee shall promptly 
send a letter to the respondent informing the respondent of 
such vote.

Committee reporting requirements

    (q) The committee shall adopt rules to provide that--
    (1) whenever an investigative subcommittee does not adopt a 
statement of alleged violation and transmits a report to that 
effect to the committee, the committee may by an affirmative 
vote of a majority of its members transmit such report to the 
House of Representatives;
    (2) whenever an investigative subcommittee adopts a 
statement of alleged violation, the respondent admits to the 
violations set forth in such statement, the respondent waives 
the right to an adjudicatory hearing, and the respondent's 
waiver is approved by the committee--
    (A) 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;
    (B) the respondent may submit views in writing regarding 
the final draft to the subcommittee within seven calendar days 
of receipt of that draft;
    (C) 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 
subdivision (B), 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
    (D) 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 subdivision (B) and any 
additional views respondent may submit for attachment to the 
final report; and
    (3) 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.

                      House Rule XXV, clause 5(h)

    (h) All the provisions of this clause [the gift rule] shall 
be interpreted and enforced solely by the Committee on 
Standards of Official Conduct. The Committee on Standards of 
Official Conduct is authorized to issue guidance on any matter 
contained in this clause.
    In addition, a number of provisions of statutory law confer 
authority on the Committee. Specifically, for purposes of the 
statutes on gifts to federal employees (5 U.S.C Sec. 7353) and 
gifts to superiors (5 U.S.C. Sec. 7351), both the Committee and 
the House of Representatives are the ``supervising ethics 
office'' of House Members, officers, and employees. In 
addition, as discussed further in Part III below, for House 
Members and staff, the Committee is both the ``supervising 
ethics office'' with regard to financial disclosure under the 
Ethics in Government Act (5 U.S.C. app. 4 Sec. 101 et seq.) and 
the ``employing agency'' for certain purposes under the Foreign 
Gifts and Decorations Act (5 U.S.C. Sec. 7342). Finally, the 
outside employment and earned income limitations are 
administered by the Committee with respect to House Members and 
staff (5 U.S.C. app. 4 Sec. 503(1)(A)).

                        II. Advice and Education

    Pursuant to a provision of the Ethics Reform Act of 1989 (2 
U.S.C. Sec. 29d(i)), the Committee maintains an Office of 
Advice and Education, which is staffed as directed by the 
Committee's Chair and Ranking Minority Member. Under the 
statute, the primary responsibilities of the Office include the 
following:
           Providing information and guidance to House 
        Members, officers, and employees on the laws, rules, 
        and other standards of conduct applicable to them in 
        their official capacities;
           Drafting responses to specific advisory 
        opinion requests received from House Members and staff, 
        and submitting them to the Chair and Ranking Minority 
        Member for review and approval;
           Drafting advisory memoranda on the ethics 
        rules for general distribution to House Members and 
        staff, and submitting them to the Chair and Ranking 
        Minority Member, or the full Committee, for review and 
        approval; and
           Developing and conducting educational 
        briefings for Members and staff.
    The duties of the Office of Advice and Education are also 
addressed in Committee Rule 3, which sets out additional 
requirements and procedures for the issuance of Committee 
advisory opinions.
    Under Committee Rule 3(i), the Committee will keep 
confidential any request for advice from a Member, officer, or 
employee, as well as any response to such a request. As a 
further inducement to Members and staff to seek Committee 
advice whenever they have any uncertainty on the applicable 
laws, rules, or standards, statutory law (2 U.S.C. 
Sec. 29d(i)(4)) provides that no information provided to the 
Committee by a Member or staff person when seeking advice on 
prospective conduct may be used as a basis for initiating a 
Committee investigation if the individual acts in accordance 
with the Committee's written advice. In the same vein, 
Committee Rule 3(j) provides that the Committee may take no 
adverse action in regard to any conduct that has been 
undertaken in reliance on a written opinion of the Committee if 
the conduct conforms to the specific facts addressed in the 
opinion. In addition, the Committee understands that federal 
courts may consider the good faith reliance of a House Member, 
officer, or employee on written Committee advice as a defense 
to Justice Department prosecution regarding certain statutory 
violations.
    The Committee believes that a broad, active program for 
advice and education is an extremely important means for 
attaining understanding of, and compliance with, the ethics 
rules. The specifics of the Committee's efforts in the areas of 
publications, briefings, and advisory opinion letters during 
the 111th Congress are set forth below. In addition, on a daily 
basis Committee staff attorneys provided informal advice in 
response to inquiries received from Members, staff persons, and 
third parties in telephone calls and e-mails directed to the 
Committee office, as well as in person. During the 111th 
Congress, Committee attorneys responded to thousands of phone 
calls and e-mail messages seeking advice, and participated in 
many informal meetings with Members, House staff, or outside 
individuals or groups regarding specific ethics matters.

                              PUBLICATIONS

    The Committee's major publication is the House Ethics 
Manual, an updated version of which was issued in March 2008. 
The Manual provides detailed explanations of all aspects of the 
ethics rules and statutes applicable to House Members, 
officers, and employees. Topics covered by the Manual include 
the acceptance of gifts or travel, campaign activity, casework, 
outside employment, and involvement with official and outside 
organizations. The House Ethics Manual is posted in a 
searchable format on the Committee's Web site, http://
ethics.house.gov.
    The Committee updates and expands upon the materials in the 
Manual, as well as highlights matters of particular concern, 
through the issuance of advisory memoranda to all Members and 
staff. The memoranda issued during the 111th Congress were as 
follows:
           The 2009 Outside Earned Income Limit and 
        Salaries Triggering the Financial Disclosure 
        Requirement and Post-Employment Restrictions (February 
        12, 2009);
           Annual Ethics Training Requirement (February 
        26, 2009);
           New Procedure for Certifying 2009 Annual 
        Ethics Training Compliance (December 10, 2009);
           Simplified Process for Requesting Gift Rule 
        Waivers for Gifts Anticipated due to Certain Special or 
        Unusual Circumstances (December 15, 2009);
           Holiday Guidance on the Gift Rule (December 
        16, 2009);
           Helping Victims of the Haiti Earthquake 
        (January 20, 2010);
           The 2010 Outside Earned Income Limit and 
        Salaries Triggering the Financial Disclosure 
        Requirement and Post-Employment Restrictions Applicable 
        to House Officers and Employees (January 25, 2010);
           Calendar Year 2009 Financial Disclosure 
        Statements (April 26, 2010);
           Annual Ethics Training Requirements (April 
        27, 2010);
           Negotiations for Future Employment and 
        Restrictions on Post-Employment for House Staff 
        (December 6, 2010); and
           Negotiations for Future Employment and 
        Restrictions on Post-Employment for House Members and 
        Officers (December 22, 2010).
    A copy of each of these advisory memoranda is included as 
Appendix I to this Report.
    In addition to the advisory memoranda listed above, the 
Committee issued an updated version of its summary memorandum, 
Highlights of the House Ethics Rules, in February 2009. Copies 
of all current Committee publications are available from the 
Committee's Advice and Education office, and their text is 
posted on the Committee's Web site.

                            ETHICS TRAINING

    Clause 3(a)(6) of House Rule XI, which was enacted during 
the 110th Congress, requires each House employee to complete 
ethics training each calendar year, pursuant to guidelines to 
be issued by the Committee. That clause of House Rule XI 
remained unchanged during the 111th Congress. For the 111th 
Congress, the Committee issued those guidelines in a pair of 
advisory memoranda, entitled ``Annual Ethics Training 
Requirement'' for calendar year 2009 and ``Annual Ethics 
Training Requirements'' for calendar year 2010, released on 
February 26, 2009 and April 27, 2010, respectively. Those 
guidelines required each House employee to complete one hour of 
ethics training each calendar year. The guidelines also 
required all House employees who file an annual Financial 
Disclosure Statement to complete a second hour of training once 
each Congress on issues primarily of interest to senior staff. 
Rule 11 requires staff newly hired by the House to complete 
their training within 60 days of the commencement of their 
employment with the House.
    Pursuant to its obligations under Rule XI, the Committee 
held 47 ethics briefings during 2009 and 44 during 2010. The 
Committee also taped some of these briefings and made them 
available for viewing through the House internal Internet 
server. During the 111th Congress, all employees other than new 
employees were permitted to fulfill their training requirement 
either through attending a training session in person or by 
viewing a taped presentation on-line. The training sessions for 
new employees provided a general summary of the House ethics 
rules in all areas, such as gifts, travel, campaign activity, 
casework, involvement with outside entities, and outside 
employment. The live and on-line sessions for existing House 
employees covered a specific topic or topics, such as gifts and 
travel or campaign work, on a more in-depth basis. The 
Committee also had several different options that staff could 
use to fulfill their requirement of one additional hour of 
training. Those sessions covered matters such as the rules on 
outside employment, completing a Financial Disclosure 
Statement, or the post-employment restrictions.
    In 2009, the Committee trained over 2,880 employees in 
person at live ethics briefings, and more than 7,300 used one 
of the on-line training options. During 2010, the Committee 
trained over nearly 1,700 employees in person at live ethics 
briefings, and more than 8,500 employees used one of the on-
line training options. The total number of employees who 
completed ethics training in 2010 will be available after 
January 31, 2011, the date that House Rule XI established as 
the deadline for employees to certify completion of the ethics 
training requirement for 2010.
    In addition to the training required under House Rule XI, 
the Committee also provided training in several other contexts. 
The Committee made a presentation to the Members-elect of the 
112th Congress during the New Member Orientation. As part of 
that presentation, the Committee provided to each incoming 
Member a memorandum noting points of particular interest to 
Members-elect during their transition period. The Committee 
also led a briefing for the spouses of the Members-elect of the 
112th Congress on the ethics rules applicable to them as 
congressional spouses. In addition, the Committee led a 
briefing for departing Members on ethics rules related to their 
transition to private life and the post-employment 
restrictions. The Committee also provided training open to all 
Members and staff on the financial disclosure rules, which is 
discussed further in Section III. Finally, together with the 
Committee on House Administration, the Committee participated 
in two general briefings, one in 2009 and one in 2010, on the 
rules related to Member participation in the Congressional Art 
Competition.
    Committee staff also participated in approximately five 
briefings sponsored by or held for the members of outside 
organizations. The Committee also had an information booth at 
the 2009 House Services Fair held by the Chief Administrative 
Officer. In addition, Committee staff led approximately eleven 
briefings for visiting international dignitaries from a variety 
of countries, including Indonesia, China, Albania, and 
Argentina.
    The Committee will continue this outreach activity in the 
112th Congress.

                        ADVISORY OPINION LETTERS

    The Committee's Office of Advice and Education, under the 
direction and supervision of the Committee's Chair and Ranking 
Minority Member, prepared and issued 790 private advisory 
opinions during the 111th Congress, 474 in 2009 and 316 in 
2010. Opinions issued by the Committee in the 111th Congress 
addressed a wide range of subjects, including various 
provisions of the gift rule, Member or staff participation in 
fund-raising activities of charities and for other purposes, 
the outside earned income and employment limitations, campaign 
activity by staff, and the post-employment restrictions.

                        TRAVEL APPROVAL LETTERS

    As discussed above, House Rule XXV, clause 5(d)(2), which 
was enacted at the start of the 110th Congress, charged each 
House Member or employee with obtaining approval of the 
Committee prior to undertaking any travel paid for by a private 
source on matters connected to the individual's House duties. 
Under the travel approval process established by the Committee 
during the 110th Congress, the Committee reviewed more than 
1,590 requests, and issued letters approving more than 1,445 
requests for travel in 2009. In 2010, the Committee reviewed 
more than 1,500 requests and issued letters approving more than 
1,300 requests for travel. The Committee also reviewed the 
post-travel disclosure forms filed by the traveler on each 
approved trip pursuant to House Rule XXV, clause 
5(b)(1)(A)(ii), requesting amendments or other remedial action 
by the traveler when deemed necessary.
    House Rule XXV, clause 5(i), charges the Committee with 
undertaking an annual review of its guidelines and regulations 
regarding privately-funded, officially-connected travel by 
House Members, officers, and employees. On January 28, 2010, 
the Committee announced that it had appointed a bipartisan 
working group to assess and make recommendations regarding its 
process for the review and approval of such travel. Committee 
members Representatives Peter Welch and Charles Dent comprised 
the working group. It is anticipated that the Committee will 
continue its review of the guidelines and regulations for 
privately-sponsored, officially-connected travel during the 
112th Congress.

 III. Financial Disclosure, Foreign Gifts and Decorations, and Travel 
                               Disclosure

    Title I of the Ethics in Government Act of 1978, as amended 
(5 U.S.C. app. 4 Sec. Sec. 101-111), requires certain officials 
in all branches of the federal government, as well as 
candidates for federal office, to file publicly-available 
statements that set out financial information regarding 
themselves and their families. By May 15 of each year, these 
``covered individuals'' are required to file a statement that 
provides information for the preceding calendar year.
    The Act designates the Committee as the ``supervising 
ethics office'' of House Members, officers, and employees for 
purposes of financial disclosure and provides that the 
Committee is to administer the Act with regard to those 
individuals. The Committee establishes policy, issues 
instructions, and designs the Financial Disclosure Statements 
to be filed by Members, officers, legislative branch employees, 
and candidates for the House. After statements are filed with 
the Legislative Resource Center of the Clerk of the House, they 
are forwarded to the Committee to be reviewed for compliance 
with the law. Accountants from the General Accounting Office 
assist the Committee in its review efforts.
    Each year the Committee publishes two detailed instruction 
booklets, one for current Members and employees, and one for 
candidates and new employees. The appropriate booklet is sent 
to each person required to file a disclosure statement with the 
Clerk of the House. Prior to the May 15 filing date in both 
2009 and 2010, the Committee also held five briefings, two for 
Members and three for officers and employees, on the financial 
disclosure requirements. The Committee staff also met on an 
individual basis with any Member who had questions regarding 
the preparation of the Member's statement and who requested 
additional guidance. In addition, Committee staff members 
responded, by telephone, e-mail, or in person, to numerous 
questions on the financial disclosure filing requirements. Upon 
request, Committee staff reviewed statements in draft form, 
prior to their being formally filed with the Clerk, for 
compliance with the disclosure requirements in order to reduce 
errors and the need for amendments. The Committee encourages 
all financial disclosure filers to avail themselves of this 
service for their future filings.
    For calendar years 2009 and 2010, the Legislative Resource 
Center of the Clerk's office referred a total of 6,898 
financial disclosure statements to the Committee for review 
under the statute. Of those, 4,923 were statements filed by 
current or new House Members or employees, 408 were filed by 
departing House Members or employees, and 1,567 were statements 
filed by candidates for the House. The total number of 
disclosure statements filed will be available in January 2011. 
Where the Committee's review indicated that a filed statement 
had a deficiency, such as a failure to include required 
information, the Committee requested an amendment from the 
filer. The Committee also followed up with filers whose 
statements indicated non-compliance with applicable law, such 
as the outside employment and outside earned income 
limitations. Where the Committee found that a Member or staff 
person had received income in violation of any of these 
limitations, the Committee determined the appropriate remedy 
for the violation, which in some circumstances was a 
requirement that the individual repay the amount that was 
improperly received.

                          IV. Committee Rules

    On February 10, 2009, the Committee met and adopted the 
initial set of Committee rules for the 111th Congress. The 
substance of the initial set of Committee rules was largely 
identical to those adopted for the 109th Congress, except they 
were changed to gender-neutral language, in conformance with 
changes that had been made to the House rules for the 111th 
Congress. Pursuant to House Rule XI, clause 2(a)(2), the 
February 2009 Committee rules were submitted for publication in 
the Congressional Record on March 3, 2009. Subsequently, on 
June 9, 2009, the Committee met and adopted a revised set of 
Committee rules. The June 2009 amended Committee rules added 
new Committee Rule 17A, which established Committee procedures 
for handling investigative matters referred to the Committee by 
the Office of Congressional Ethics (OCE), an independent ethics 
investigative office established during the 109th Congress with 
the passage of H. Res. 895 on March 11, 2008, and reauthorized 
at the start of the 111th Congress when the House adopted H. 
Res. 5, containing the chamber's rules for the 111th Congress. 
Pursuant to House Rule XI, clause 2(a)(2), the June 2009 
amended Committee rules were submitted for publication in the 
Congressional Record on June 9, 2009, the same day they were 
adopted by the Committee. Copies of the February 2009 and 
amended June 2009 Committee rules are included as Appendices II 
and III, respectively, to this Report.

                           V. Investigations

    In addition to the investigative authority granted to the 
Committee under House Rule XI, on June 5, 2007, the House of 
Representatives passed House Resolution 451 during the 110th 
Congress, resolving:

          That whenever a Member of the House of 
        Representatives, including a Delegate or Resident 
        Commissioner to the Congress, is indicted or otherwise 
        formally charged with criminal conduct in a court of 
        the United States or any State, the Committee on 
        Standards of Official Conduct shall, not later than 30 
        days after the date of such indictment or charge--
          (1) empanel an investigative subcommittee to review 
        the allegations; or
          (2) if the Committee does not empanel an 
        investigative subcommittee to review the allegations, 
        submit a report to the House describing its reasons for 
        not empaneling such an investigative subcommittee, 
        together with the actions, if any, the Committee has 
        taken in response to the allegations.

    H. Res. 451 was extended to the 111th Congress by clause 
4(e) of H. Res. 5, which established the Chamber's rules for 
this Congress. The essential mandate of H. Res. 451 was enacted 
as Committee Rule 18(e)(2), which states:

          (e)(2) Not later than 30 days after a Member, officer 
        or employee of the House is indicted or otherwise 
        formally charged with criminal conduct in any Federal, 
        State or local court, the Committee shall either 
        initiate an inquiry upon a majority vote of the members 
        of the Committee or submit a report to the House 
        describing its reasons for not initiating an inquiry 
        and describing the actions, if any, that the Committee 
        has taken in response to the allegations.

    The Committee publicly addressed seventeen investigative 
matters during the 111th Congress. On February 10, 2009, the 
Committee voted to reauthorize the Investigative Subcommittee 
for the 111th Congress that had been authorized during the 
110th Congress in matters involving Representative Charles 
Rangel.
    On April 2, 2009, the Committee voted not to establish an 
investigative subcommittee with regard to a charge of driving 
with an expired license that had been filed against 
Representative Zack Space.
    On May 29, 2010, the Committee voted not to establish an 
investigative subcommittee with regard to the arrests of five 
Members--Representatives Keith Ellison, Lynn Woolsey, John 
Lewis, James McGovern, and Donna Edwards--for crossing a police 
line during a protest outside of the Embassy of Sudan.
    On June 11, 2009, the Committee issued a press statement 
stating that it had previously begun an investigation pursuant 
to Committee Rule 18(a) into allegations involving Member 
interaction with the lobbying firm Paul Magliocchetti and 
Associates (PMA).
    On June 24, 2009, the Committee voted to establish an 
investigative subcommittee to investigate officially-connected 
travel that was sponsored, funded, or organized by an 
organization known as Carib News.
    On August 6, 2009, the Committee received a referral from 
the Office of Congressional Ethics (OCE) regarding allegations 
of misconduct by Representative Maxine Waters. On October 29, 
2009, the Committee voted to establish an investigative 
subcommittee to investigate the conduct of Representative 
Waters with respect to alleged communications and activities 
with, or on behalf of, the National Bankers Association or 
OneUnited Bank.
    On August 6, 2009, the Committee received a referral from 
the OCE regarding allegations that Representative Jesse 
Jackson, Jr. may have offered to raise funds for then-Illinois 
Governor Rod Blagojevich in exchange for appointment to the 
U.S. Senate seat that had been recently vacated by President 
Barack Obama.
    On August 6, 2009, the Committee received a referral from 
the OCE with regard to allegations that Representative Sam 
Graves may have received an impermissible personal financial 
benefit from the testimony of a witness at a hearing held by 
the Committee on Small Business, on which he served as Ranking 
Republican Member.
    On August 6, 2009, the Committee received a referral from 
OCE with regard to allegations of misconduct by Representative 
Laura Richardson. On October 29, 2009, the Committee voted to 
establish an investigative subcommittee to investigate the 
conduct of Representative Richardson with regard to financial 
disclosure and possible preferential treatment involving her 
property in Sacramento, California.
    On November 2, 2009, the Committee received a referral from 
the OCE regarding allegations that Representative Fortney 
``Pete'' Stark may have received an improper homestead tax 
credit on a personal residence he owned in Harwood, Maryland.
    On December 8, 2009, the Committee voted not to establish 
an investigative subcommittee with regard to a charge of simple 
assault that had been filed against House employee Marc 
Goldberg.
    On April 20, 2010, the Committee voted to establish an 
investigative subcommittee to investigate whether any Member or 
employee of the House violated any law, rule, regulation, or 
other standard of conduct with respect to the handling of 
allegations of misconduct involving former Representative Eric 
Massa.
    On that same date, the Committee voted not to establish an 
investigative subcommittee with regard to charges that House 
employee Randy Vogel had violated the laws of the State of 
Montana.
    On May 26, 2010, the Committee voted not to establish an 
investigative subcommittee with regard to the arrests of 
Representative Luis Gutierrez and House employee Susan Collins 
for failure to obey a police officer in connection with their 
participation in a protest in front of the White House.
    On July 30, 2010, the OCE referred to the Committee a 
matter involving allegations that six Members--Representatives 
Robert Aderholt, G.K. Butterfield, Eliot Engel, Alcee Hastings, 
Solomon Ortiz, and Joe Wilson--may have improperly retained 
excess per diem funds they received in connection with official 
travel.
    On September 1, 2010, the OCE referred to the Committee the 
question of whether campaign fundraising by Representatives 
John Campbell and Tom Price had any connection to a mark-up and 
vote on financial regulation legislation.
    On September 15, 2010, the Committee voted not to establish 
an investigative subcommittee with regard to charges against 
House employee Nicole Gustafson for driving while intoxicated 
and other related offenses.
    These investigative matters are described in more detail 
below. Copies of all Committee press statements related to 
these matters are included as Appendix IV to this Report.

In the Matter of Representative Charles B. Rangel

    On December 2, 2010, by a vote of 333 to 79, Representative 
Charles B. Rangel was censured by the House of Representatives 
pursuant to H. Res. 1737. The resolution also required 
Representative Rangel to pay restitution to the relevant taxing 
authorities for certain unpaid income taxes. This action 
followed a nine-to-one vote of the Committee on Standards of 
Official Conduct on November 18, 2010, to recommend that the 
House of Representatives adopt a resolution that Representative 
Rangel be censured and required to pay restitution.
    The Committee's recommendation followed an investigative 
and adjudicatory process that formally began in September 2008 
with the formation of an Investigative Subcommittee. The 
Investigative Subcommittee ultimately adopted a thirteen-count 
Statement of Alleged Violation charging that Representative 
Rangel committed multiple violations of the Code of Official 
Conduct and other laws, rules, regulations, and other standards 
of conduct applicable to a Member in the performance of the 
duties or discharge of the responsibilities of such Member. 
Subsequently, an Adjudicatory Subcommittee found that Counts I, 
II, IV, and VI through XIII were proven by clear and convincing 
evidence. In voting to recommend that Representative Rangel be 
censured and required to pay restitution, the Committee 
concluded that the cumulative violations of Representative 
Rangel were more serious in nature and merited a strong 
congressional response.
    On September 24, 2008, the Committee voted to establish an 
Investigative Subcommittee to conduct a formal inquiry 
regarding Representative Rangel. The Committee gave the 
Investigative Subcommittee jurisdiction to determine whether 
Representative Rangel violated the Code of Official Conduct, or 
any law, rule, regulation, or other standard of conduct 
applicable to his conduct in the performance of his duties or 
the discharge of his responsibilities with respect to the 
following matters: (1) his use of official resources to 
transmit letters in 2005, 2006, and 2007 to potential donors to 
the Charles B. Rangel Center for Public Service (Rangel Center) 
at the City College of New York; (2) his leasing of apartment 
units in the Lenox Terrace apartment complex located in Harlem, 
New York; (3) the financing of his ownership interests in a 
guest unit within the Punta Cana Yacht Club located in the 
Dominican Republic, and his compliance with financial 
disclosure requirements regarding that property; and (4) his 
compliance with Committee on House Administration rules 
regarding storage of a vehicle in a House garage, lot, or 
designated parking area.
    Representative Gene Green served as Chairman of the 
Investigative Subcommittee, and Representative Jo Bonner served 
as Ranking Republican Member. The two other Members of the 
Investigative Subcommittee were Representative Bobby Scott and 
Representative Doc Hastings. On December 9, 2008, the Committee 
voted to expand the jurisdiction of the Investigative 
Subcommittee to include whether Representative Rangel violated 
the Code of Official Conduct, or any law, rule, regulation, or 
other standard of conduct applicable to his conduct in the 
performance of his duties or the discharge of his 
responsibilities with respect to contributions of money or 
pledges of money to the Rangel Center from any person or entity 
associated with the company Nabors Industries.
    On February 10, 2009, the Committee voted to reauthorize 
the Investigative Subcommittee for the 111th Congress. The 
members of the Investigative Subcommittee remained the same as 
during the 110th Congress. On October 8, 2009, the Committee 
voted to again expand the jurisdiction of the Investigative 
Subcommittee to include whether Representative Rangel violated 
the Code of Official Conduct, or any law, rule, regulation, or 
other standard of conduct applicable to his conduct in the 
performance of his duties or the discharge of his 
responsibilities with respect to all Financial Disclosure 
Statements and amendments filed in calendar year 2009 by or on 
behalf of Representative Rangel pursuant to title I of the 
Ethics in Government Act.
    During the course of its investigation, the Investigative 
Subcommittee and its staff conducted 49 formal interviews of 41 
witnesses, as well as additional informal interviews; issued 
over 160 formal document requests and subpoenas, in addition to 
informal requests for documents; reviewed over 28,000 pages of 
documents and testimony; and held more than 60 Investigative 
Subcommittee meetings.
    On May 25, 2010, pursuant to Committee Rule 26(c), the 
Investigative Subcommittee provided Representative Rangel with 
a copy of the Statement of Alleged Violation that it intended 
to adopt in this matter. On May 27, 2010, following execution 
by Representative Rangel and his counsel of a non-disclosure 
agreement, the Investigative Subcommittee also provided 
Representative Rangel with the items required to be produced by 
the Committee pursuant to Committee Rules 25 and 26(c).
    On June 17, 2010, the Investigative Subcommittee voted to 
adopt the Statement of Alleged Violation, finding substantial 
reason to believe that Representative Rangel committed multiple 
violations of the Code of Official Conduct and other laws, 
rules, regulations, and other standards of conduct applicable 
to a Member in the performance of the duties or discharge of 
the responsibilities of such Member. Subsequent to the adoption 
of the Statement of Alleged Violation, Representative Rangel 
filed a Motion for a Bill of Particulars and a Motion to 
Dismiss, to each of which the Investigative Subcommittee 
responded.
    On July 22, 2010, pursuant to Committee Rule 22(g), the 
Investigative Subcommittee transmitted the Statement of Alleged 
Violation to the full Committee. Also transmitted to the full 
Committee on that date were Respondent's Motion for Bill of 
Particulars, the Investigative Subcommittee' Order on Motion 
for Bill of Particulars and Memorandum in Support of Order, 
Respondent's Motion to Dismiss, the Investigative 
Subcommittee's Order on Motion to Dismiss and Memorandum in 
Support of Order, and the Investigative Subcommittee's Report 
regarding Matters within its Jurisdiction on Issues Not 
Referenced in Statement of Alleged Violation.
    One of the items transmitted, the Investigative 
Subcommittee's Report regarding Matters within its Jurisdiction 
on Issues Not Referenced in Statement of Alleged Violation, was 
the Investigative Subcommittee's report to the full Committee 
on the issue of Representative Rangel's compliance with 
Committee on House Administration Rules regarding storage of a 
vehicle in a House garage, lot, or designated parking area. The 
report was issued pursuant to Committee Rule 19(g), which 
provides that where an investigative subcommittee does not 
adopt a Statement of Alleged Violation, the subcommittee is 
required to transmit to the full Committee a report containing 
a summary of the information received in the inquiry, its 
conclusions and reasons therefore, and any appropriate 
recommendation. The Investigative Subcommittee concluded that 
Representative Rangel's conduct with respect to compliance with 
the applicable parking policies did not rise to the level 
warranting charging it as a count in the Statement of Alleged 
Violation. The Investigative Subcommittee recommended that the 
Committee consider making a recommendation to the Committee on 
House Administration that House Administration examine its 
rules regarding parking and the enforcement of those rules.
    Count I of the Statement of Alleged Violation charged that 
Representative Rangel engaged in a pattern of soliciting for 
donations and other things of value on behalf of the Rangel 
Center from entities that were seeking official action from the 
House of Representatives and/or had interests that might be 
substantially affected by the performance or nonperformance of 
Representative Rangel's official duties, and that such 
solicitations were not within the parameters established by the 
Committee for solicitations on behalf of charitable 
organizations, in violation of federal statute (5 U.S.C. 
Sec. 7353).
    Count II of the Statement of Alleged Violation charged that 
contributions to the Rangel Center were made at the request of 
and as a favor to Representative Rangel, that contributions to 
the Rangel Center benefited Representative Rangel and those 
contributions were made by persons with interests before the 
Ways and Means Committee, on which Representative Rangel served 
as Chairman or Ranking Member, in violation of clause 5 of the 
Code of Ethics for Government Service.
    Count III of the Statement of Alleged Violation charged 
that contributions solicited by Representative Rangel for the 
Rangel Center constituted indirect gifts attributable to 
Representative Rangel, in violation of the House gift rule 
(House Rule XXIII, clause 4).
    Counts IV and V of the Statement of Alleged Violation 
charged that Representative Rangel used his congressional frank 
for the benefit of a charitable organization and for 
solicitation of funds, which is not official business, in 
violation of postal service laws (39 U.S.C. Sec. Sec. 3210, 
3215), Franking Commission regulations, and the franking 
statute (18 U.S.C. Sec. 1719).
    Count VI of the Statement of Alleged Violation charged that 
Representative Rangel and his staff drafted solicitation 
letters and performed other work related to solicitations on 
property of the House of Representatives, in violation of 
regulations issued by the House Office Building Commission.
    Count VII of the Statement of Alleged Violation charged 
that Representative Rangel used House employees and other 
official resources for work related to the Rangel Center, in 
violation of the Purpose Law (31 U.S.C. Sec. 1301) and the 
Member's Handbook issued by the Committee on House 
Administration.
    Count VIII of the Statement of Alleged Violation charged 
that Representative Rangel sent letters related to the Rangel 
Center on letterhead bearing the words ``Congress of the United 
States'' and ``House of Representatives,'' in violation of the 
Letterhead Rule (House Rule XXIII, clause 11).
    Count IX of the Statement of Alleged Violation charged that 
Representative Rangel engaged in a pattern of submitting 
Financial Disclosure Statements that were incomplete and 
inaccurate, in violation of the Ethics in Government Act (5 
U.S.C. app. 4 Sec. Sec. 101 et seq.) and House Rule XVI.
    Count X of the Statement of Alleged Violation charged that 
Representative Rangel's acceptance of a rent-stabilized 
apartment for nonresidential purposes was a favor or benefit, 
the favor or benefit was from an entity with which 
Representative Rangel had interactions in his official 
capacity, and the favor or benefit was accepted by 
Representative Rangel under circumstances that might be 
construed by reasonable persons as influencing the performance 
of Representative Rangel's governmental duties, in violation of 
clause 5 of the Code of Ethics for Government Service.
    Count XI of the Statement of Alleged Violation charged that 
Representative Rangel failed to report rental income related to 
his Punta Cana beach villa in violation of the Internal Revenue 
Code, and that Representative Rangel's conduct also violated 
other statutes and regulations, in violation of clause 2 of the 
Code of Ethics for Government Service.
    Count XII of the Statement of Alleged Violation charged 
that Representative Rangel's conduct violated the spirit and 
letter of rules of the House of the Representatives, in 
violation of clause 2 of the Code of Official Conduct.
    Count XIII of the Statement of Alleged Violation charged 
that Representative Rangel's pattern of indifference or 
disregard for the laws, rules, and regulations of the United 
States and the House of Representatives was serious violation, 
and that Representative Rangel's accumulation of actions 
reflected poorly on the institution of the House and, thereby, 
brought discredit to the House, in violation of clause 1 of the 
Code of Official Conduct.
    On July 22, 2010, after receiving the Statement of Alleged 
Violation and associated pleadings and responses from the 
Investigative Subcommittee in this matter, and acting pursuant 
to Committee Rule 23, the Chair designated the Members of the 
Adjudicatory Subcommittee and set July 29, 2010, as the date 
for the Adjudicatory Subcommittee to hold its first public 
meeting. Representative Zoe Lofgren, Chair of the Committee, 
served as Chair of the Adjudicatory Subcommittee, and 
Representative Michael McCaul served as its Ranking Republican 
Member. Also serving on the Adjudicatory Subcommittee were 
Representatives G.K. Butterfield, Michael Conaway, Kathy 
Castor, Charles Dent, Peter Welch, and Gregg Harper.
    On July 29, 2010, the Adjudicatory Subcommittee held a 
public organizational meeting, at which time the Statement of 
Alleged Violation was publicly released. Also released were the 
transmittal letter from the Investigative Subcommittee to the 
full Committee, Respondent's Motion for Bill of Particulars, 
the Investigative Subcommittee's Order on Motion for Bill of 
Particulars and Memorandum in Support of Order, Respondent's 
Motion to Dismiss, the Investigative Subcommittee's Order on 
Motion to Dismiss and Memorandum in Support of Order, and the 
Investigative Subcommittee's Report regarding Matters within 
its Jurisdiction on Issues Not Referenced in Statement of 
Alleged Violation.
    On November 15, 2010, the Adjudicatory Subcommittee 
commenced a hearing to determine whether any counts in the 
Statement of Alleged Violation had been proven by clear and 
convincing evidence. Representative Rangel appeared at the 
hearing, but left before the hearing was concluded. On November 
8, 2010, Committee counsel had submitted a Notice of Motion and 
accompanying Affirmation. The Notice indicated Committee 
counsel's intent to move at the hearing for a determination, as 
to each count in the Statement of Alleged Violation, that no 
genuine issue of material fact existed and that the matter 
should be committed to the Adjudicatory Subcommittee for a 
determination as to whether each count had been proven based on 
the current record. At the hearing, Committee counsel did offer 
the motion. Committee counsel also moved into the record 
Committee Exhibits 1 through 553, which were admitted without 
objection at the hearing.
    After deliberating in executive session, the Adjudicatory 
Subcommittee granted Committee counsel's motion, finding that 
there was no genuine issue of material fact as to any count in 
the Statement of Alleged Violation. The Adjudicatory 
Subcommittee then began its deliberations in executive session 
to determine, as to each count, whether the count had been 
proven by clear and convincing evidence. The Adjudicatory 
Subcommittee found that Counts I, II, IV, and VI through XIII 
were proven by clear and convincing evidence. With respect to 
Count V, the Adjudicatory Subcommittee found that the conduct 
underlying Count V was the same as that in Count IV. The 
Adjudicatory Subcommittee took no action with respect to Count 
V because it determined that jurisdiction to charge and find a 
violation of the criminal statute at issue was more properly 
within the purview of the executive and judicial branches. The 
Adjudicatory Subcommittee found that Count III had not been 
proven by clear and convincing evidence. The Adjudicatory 
Subcommittee publicly announced its findings on November 16, 
2010.
    On November 18, 2010, the Committee held a Sanctions 
Hearing at which counsel for the Committee and Representative 
Rangel each made oral submissions regarding the sanction the 
Committee should recommend to the House of Representatives. 
Following the hearing, the Committee met in executive session 
to deliberate what sanction, if any, should be recommended to 
the House of Representatives. After carefully considering the 
report of the Adjudicatory Subcommittee--which was adopted by 
the Committee--the Committee concluded that the violations 
committed by Representative Rangel on a continuous and 
prolonged basis were more serious in nature, meriting a strong 
Congressional response rebuking his behavior. Accordingly, the 
Committee agreed by a nine-to-one vote to recommend that the 
House adopt the following resolution:

                            HOUSE RESOLUTION

          Resolved, That (1) Representative Charles B. Rangel 
        of New York be censured; (2) Representative Charles B. 
        Rangel forthwith present himself in the well of the 
        House for the pronouncement of censure; (3) 
        Representative Charles B. Rangel be censured with the 
        public reading of this resolution by the Speaker; and 
        (4) Representative Rangel pay restitution to the 
        appropriate taxing authorities or the U.S. Treasury for 
        any unpaid estimated taxes outlined in Exhibit 066 on 
        income received from his property in the Dominican 
        Republic and provide proof of payment to the Committee.

    On November 29, 2010, pursuant to Committee Rule 24, the 
Committee transmitted a report to the House of Representatives 
to accompany the resolution. The report contained a summary of 
evidence and reasons for adopting the recommended resolution. 
On December 2, 2010, by a vote of 333 to 79, Representative 
Rangel was censured by the House of Representatives pursuant to 
H. Res. 1737.

Representative Zack Space

    In accordance with the requirements of H. Res. 451 and 
Committee Rule 18(e)(2), the Committee convened on April 2, 
2009, to consider a citation issued to Representative Zack 
Space on March 28, 2009, in Washington County, Ohio, for the 
misdemeanor charge of operating a motor vehicle with an expired 
license. Prior to April 2, 2009, Representative Space had paid 
a fine of $140 in Ohio. Payment of the fine ended legal 
proceedings on the matter in Ohio.
    After reviewing and considering this matter, the Committee 
voted against empanelling an investigative subcommittee. The 
Committee found the misconduct to be minor, and that 
Representative Space had been subjected to sufficient penalty 
through payment of the fine. As such, the Committee determined 
the violation to be one for which review by an investigative 
subcommittee was not required. On April 2, 2009, the Committee 
submitted a report to the House of Representatives describing 
the facts and its findings regarding this matter.

In the Matter of the Sudanese Embassy Protest Arrests

    In accordance with the requirements of H. Res. 451 and 
Committee Rule 18(e)(2), the Committee convened on May 29, 
2009, to consider the arrests of five Members--Representatives 
Keith Ellison, Lynn Woolsey, John Lewis, James McGovern, and 
Donna Edwards--for crossing a police line during a protest 
outside the Embassy of Sudan in Washington, D.C., on April 27, 
2009. Each of the five Members paid a $100 fine on the date of 
their arrest. Payment of the fine ended legal proceedings in 
the District with regard to each arrest.
    After reviewing and considering this matter, the Committee 
voted against empanelling an investigative subcommittee. In 
reaching this decision, the Committee considered the scope and 
nature of the violation, and determined it to be one for which 
review by an investigative subcommittee was not required. On 
May 19, 2010, the Committee submitted a report to the House of 
Representatives describing the facts and its findings regarding 
this matter.

In the Matter of the Carib News Foundation Multi-National Business 
        Conferences

    In spring 2009, pursuant to Committee Rule 18(a), the Chair 
and Ranking Republican Member began to investigate officially-
connected travel by Members of the House of Representatives to 
two conferences hosted by the Carib News Foundation, Inc. (the 
Foundation), which were held in Antigua and Barbuda in November 
2007 and St. Maarten in November 2008. During the course of its 
Rule 18(a) investigation, the Committee received, on May 29, 
2009, a referral regarding the same matter from the OCE. The 
referral from OCE named six specific Members who had 
participated in one or both of these trips: Representatives 
Carolyn Cheeks Kilpatrick, Donald M. Payne, Bennie G. Thompson, 
Charles B. Rangel, Yvette Clarke, and Donna M. Christensen.
    On June 24, 2009, the Committee voted unanimously to 
establish an Investigative Subcommittee in this matter. The 
Investigative Subcommittee was charged with investigating any 
and all Members and House staff who participated in the one or 
both trips, not limited to the Members specifically named by 
OCE in its referral. Representative G.K. Butterfield served as 
the Chair of the Investigative Subcommittee and Representative 
J. Gresham Barrett as its Ranking Republican Member. The other 
two members of the Investigative Subcommittee were 
Representatives Brad Miller and Michael K. Simpson. On 
September 24, 2009, Representative Barrett resigned from the 
Standards Committee and was subsequently replaced as Ranking 
Republican Member of the Investigative Subcommittee by 
Representative Charles W. Dent.
    The Investigative Subcommittee conducted a thorough, five-
month investigation. The investigation included interviews of 
29 witnesses, including 7 Members and 20 current and former 
employees of the House; review and analysis of more than 3,000 
pages of documents; and more than 19 meetings of the 
Investigative Subcommittee.
    On February 25, 2010, the Investigative Subcommittee 
transmitted its report in this matter to the full Committee. As 
detailed in its report, the Investigative Subcommittee found 
that agents of the Foundation provided false and misleading 
information to Members of Congress and the Committee with 
regard to the trips under investigation by falsely stating that 
the Foundation was the sole sponsor of the 2007 and 2008 
conferences and providing improper post-travel expense totals. 
The Investigative Subcommittee found that Representatives 
Yvette Clarke, Carolyn Cheeks Kilpatrick, Donald Payne, and 
Bennie Thompson, and Delegate Donna Christensen did not receive 
an improper gift of travel. However, the Investigative 
Subcommittee found that Representative Charles Rangel did 
receive an improper gift of travel because his staff had 
express knowledge that the conferences were funded in part by 
private sponsors rather than solely by the Foundation. The 
Investigative Subcommittee recommended that the full Committee 
adopt the Investigative Subcommittee's report and publish it to 
the House, with the intent that such publication serve as a 
public admonishment of Representative Rangel. The Investigative 
Subcommittee further recommended that each Member named in the 
report repay the individual costs of their participation in the 
trip.
    The Investigative Subcommittee, pursuant to Committee Rule 
19(g), made several recommendations as a result of its 
investigation. These recommendations included referring to the 
Department of Justice the matters involving the false 
statements by representatives of the Foundation and construing 
the public dissemination of the report as a public admonishment 
of House employee Dawn Kelly Mobley for potential violations of 
House rules and other standards of conduct.
    The recommendations were unanimously adopted by the 
Committee on February 25, 2010 in connection with the full 
Committee's adoption of the Investigative Subcommittee's 
report. On February 26, 2010, the Committee referred the 
matters involving the Foundation employees to the Department of 
Justice, and later provided additional supporting information 
to the Department. On that same date, the Committee transmitted 
its report to the House.
    Representatives Yvette Clarke, Carolyn Cheeks Kilpatrick, 
Donald Payne, and Bennie Thompson, and Delegate Donna 
Christensen each repaid the costs of their respective trips, 
and their matters were subsequently dismissed by the Committee.

In the Matter of Allegations Relating to the Lobbying Activities of 
        Paul Magliocchetti and Associates Group, Inc. (PMA).

    In the spring of 2009, the Committee initiated an 
investigation in the above-captioned matter, pursuant to 
Committee Rule 18(a). Pursuant to Committee Rules 7(d) and 7(f) 
regarding confidentiality of Committee proceedings, the 
commencement of this Rule 18(a) investigation was not publicly 
disclosed. On June 11, 2009, the Chair and Ranking Republican 
Member of the Committee issued a public statement acknowledging 
the Committee's ongoing investigation relating to the PMA 
matter in response to H. Res. 500, which was referred to the 
Committee for its consideration on June 3, 2009.
    On December 2, 2009, the OCE forwarded to the Committee 
reports and findings in seven separate matters involving 
alleged potential connections between defense subcommittee 
earmarks and campaign contributions and the lobbying activities 
of PMA. The OCE recommended dismissal in five of the matters, 
involving Representatives Norman Dicks, Marcy Kaptur, James 
Moran, John Murtha, and C.W. ``Bill'' Young. In the other two 
matters, which concerned Representatives Todd Tiahrt and Peter 
Visclosky, the OCE recommended that the Committee further 
review the allegations.
    After a nine-month investigation, the Committee issued a 
Report on February 26, 2010, in which it concluded that no 
House Member or employee violated any provision of the Code of 
Official Conduct or any law, rule, regulation, or other 
standard of conduct applicable to the individual's conduct in 
the performance of official duties or the discharge of the 
individual's responsibilities relating to proposed 
appropriations requests and activities of PMA. The Committee's 
investigation in this matter included a review of close to 
250,000 pages of documents, which covered more than 40 
companies with ties to PMA, interviews with 32 Members' 
offices, as well as the findings provided by OCE.
    Based on the information gathered during its investigation, 
the Committee found no evidence that Members or their official 
staff considered campaign contributions as a factor when 
requesting earmarks. The Committee further found no evidence 
that any of the seven Members or their official staff were 
directly or indirectly engaged in seeking contributions in 
return for earmarks. Rather, the evidence showed that earmarks 
were evaluated based upon criteria independent of campaign 
contributions, such as the number of jobs created in the 
Members' districts or the value to the taxpayer or the U.S. 
military, and without Members or their official staff linking, 
or being aware that companies may have intended to link, 
contributions with earmarks. Accordingly, the Committee 
concluded that the evidence before the Committee merited 
dismissal of all seven matters from OCE and a close of its own 
independent investigation pertaining to PMA.

Representative Maxine Waters

    Beginning in the spring of 2009, the Chair and Ranking 
Republican Member began a review of allegations regarding the 
conduct of Representative Maxine Waters pursuant to Standards 
Committee Rule 18(a). At issue were certain alleged 
communications and activities with, or on behalf of, the 
National Bankers Association or OneUnited Bank, a bank in which 
Representatives Waters' husband owned stock and had previously 
served on the Board of Directors, and the benefit, if any, 
Representative Waters or her husband received as a result. On 
August 6, 2009, while the Committee's inquiry was ongoing, the 
OCE forwarded to the Committee a report and findings 
recommending further review of the allegations involving 
Representative Waters. On September 15, 2009, pursuant to 
Committee Rules 17A(b)(1)(B) and 17A(c), the Committee voted to 
extend the matter regarding Representative Waters for a 45-day 
period.
    On October 29, 2009, the Committee voted to establish an 
Investigative Subcommittee to determine whether Representative 
Waters violated the Code of Official Conduct or any law, rule, 
regulation, or other standard of conduct applicable to her 
conduct in the performance of her duties or the discharge of 
her responsibilities, with respect to Representative Waters' 
alleged communications and activities with or on behalf of the 
National Bankers Association or OneUnited Bank, a bank in which 
Representatives Waters' husband owned stock and had previously 
served on the board of directors, and the benefit, if any, 
Representative Waters or her husband received as a result. 
Representative Kathy Castor served as Chair of the 
Investigative Subcommittee and Representative Michael K. 
Conaway as its Ranking Republican Member. The other two members 
of the Investigative Subcommittee were Representatives Keith 
Ellison and Marsha Blackburn.
    On July 28, 2010, pursuant to clause 3 of House Rule XI and 
Rules 22 and 23 of the Committee, the Investigative 
Subcommittee in the matter of Representative Maxine Waters 
transmitted a Statement of Alleged Violation to the Chair and 
Ranking Republican Member of the Committee. According to the 
statement of alleged violation the Investigative Subcommittee 
found substantial reason to believe that Representative Waters 
had violated House rules and other standards of conduct.
    The Chair and Ranking Republican Member announced on August 
2, 2010, that the Committee had established an Adjudicatory 
Subcommittee to determine whether any counts in the Statement 
of Alleged Violation had been proven by clear and convincing 
evidence and to make findings of fact. Representative Zoe 
Lofgren served as the Chair of the Adjudicatory Subcommittee 
and Representative Jo Bonner served as its Ranking Republican 
Member. The other six members of the Adjudicatory Subcommittee 
were Representatives Ben Chandler, G.K. Butterfield, Peter 
Welch, Charles Dent, Gregg Harper, and Michael McCaul.
    On August 9, 2010, pursuant to Committee Rule 17A, the 
Chair and Ranking Republican Member of the Committee issued a 
press statement and released the OCE's Report and Findings in 
the Matter of Representative Maxine Waters. The Chair and 
Ranking Republican Member noted that Rule 7(f) would have 
required that the materials be released at a later date, but 
determined, at their discretion, to release the materials at 
that time. Additionally, Representative Waters had waived any 
objection to the public release of the documents pursuant to 
Committee Rule 26(b).
    On November 19, 2010, the Chair and Ranking Republican 
Member announced that the Committee had voted to recommit the 
matter regarding Representative Maxine Waters to the 
Investigative Subcommittee due to materials discovered during 
the course of preparation for the adjudicatory hearing that may 
have had an effect on the Investigative Subcommittee's 
transmittal of the Statement of Alleged Violation. As a result, 
the Adjudicatory Subcommittee no longer had jurisdiction over 
the matter.
    As of the conclusion of the 111th Congress, the 
Investigative Subcommittee had not completed its investigation 
in the matters under its jurisdiction.

Representative Jesse Jackson, Jr.

    In mid-2009, pursuant to its authority under Committee Rule 
18(a), the Committee initiated an investigation into whether 
Representative Jesse Jackson, Jr., or an agent of 
Representative Jackson, may have offered to raise funds for 
then-Illinois Governor Rod Blagojevich in return for the 
appointment of Representative Jackson to the Illinois Senate 
seat vacated by President Barack Obama. Pursuant to Committee 
Rules 7(d) and 7(f) regarding confidentiality of Committee 
proceedings, the commencement of this Rule 18(a) investigation 
was not publicly disclosed. During the course of its 
investigation, on August 6, 2009, the Committee received a 
referral from the OCE regarding this same matter.
    During this same time period, the Committee received a 
formal request from the United States Department of Justice to 
defer taking further action to investigate the matter until the 
Department concluded its own investigation into the actions of 
former Governor Blagojevich related to filling the Senate seat. 
On September 15, 2009, pursuant to House Rule XI, clause 
3(b)(8)(C), Committee Rule 17A(h), and past Committee 
precedent, the Committee voted unanimously to agree to the 
Department's request to defer investigation of this matter at 
that time. On that same date, the Committee issued a press 
release announcing its decision.
    On August 17, 2010, a federal jury convicted former 
Governor Blagojevich of one count and deadlocked on 23 other 
counts, including those related to the Illinois Senate seat 
vacated by President Barack Obama. A retrial of former Governor 
Blagojevich has been set for April 20, 2011. Following these 
events, the Department asked the Committee to continue to defer 
consideration of this matter pending resolution of its own 
investigation and trial. On November 15, 2010, the Committee 
voted unanimously to agree to the Department's request to 
continue to defer taking action on the matter. On that same 
date, the Committee publicly announced that it would continue 
to defer taking action on the matter.
    The Committee will continue to monitor the situation and 
will consider pursuing avenues of inquiry that it concludes do 
not interfere with the activities of the Department of Justice. 
At least annually, the Committee will make a public statement 
if it continues to defer taking action on the matter. The 
Committee reserves the right to assert its jurisdiction if, in 
its determination, a violation of House rules, code, or other 
laws under its jurisdiction is discovered that will not 
interfere with the Department of Justice's activities.

Representative Sam Graves

    On August 6, 2009, the OCE referred to the Committee the 
question of whether Representative Sam Graves violated any 
House rule or other standard of conduct for his role in 
inviting a witness to testify regarding renewable fuels before 
the Committee on Small Business on March 4, 2009. At issue was 
a financial connection between the witness and Representative 
Graves' wife. Both were investors in two renewable fuel 
cooperatives. The Chair and Ranking Republican Member reviewed 
the allegations pursuant to Committee Rule 18(a). On September 
15, 2009, the Chair and Ranking Republican Member announced 
that the Committee had voted unanimously to extend its review 
of the matter for a 45-day period pursuant to Committee Rules 
17A(b)(1)(B) and 17A(c). The Committee released a report 
summarizing its findings on October 29, 2009.
    The Committee found that the process for inviting the 
witness to testify--and the criteria used to select him as a 
witness--followed the normal procedure of the Committee on 
Small Business. Representative Graves' Financial Disclosure 
Statements fully and accurately reflected his financial 
interests, including his wife's interest in both renewable fuel 
cooperatives. The witness also fully complied with all 
disclosure requirements for witnesses. Although the witness 
held investments in the two cooperatives in which 
Representative Graves' wife was invested, he was not employed 
by either company. The witness represented an industry 
association at the hearing, and the association drafted his 
testimony. The witness' testimony advocated on behalf of the 
members of the association, and not for either of the entities 
in which Representative Graves' wife owned an interest. 
Importantly, the Committee on Small Business hearing involved 
no legislation that would ultimately come to the House floor, 
and was held solely as a fact-gathering hearing about the 
impact of the economic crisis on the renewable fuels industry.
    The Standards Committee reviewed Representative Graves' 
conduct under House Rule XXIII, clause 3, and paragraph 5 of 
the Code of Ethics for Government Service. The Committee 
determined that based on the fact that the hearing involved no 
legislation that would ultimately come to the House floor, and 
that the witness' testimony did not advocate for either entity 
in which Representative Graves' wife was invested, 
Representative Graves could not benefit from the witness' 
testimony. The Committee further concluded that witness met all 
of the reasonable and objective requirements the Committee on 
Small Business minority staff had established for a witness, 
and that Representative Graves' involvement with the witness 
selection process for the March 4 hearing did not violate any 
applicable House rule or standard of conduct.

Representative Laura Richardson

    On August 6, 2009, the OCE referred to the Committee the 
question of whether Representative Laura Richardson knowingly 
received preferential treatment from her lender in the form of 
a postponement and/or rescission of the foreclosure sale of her 
personal residence in Sacramento, California. The Chair and 
Ranking Republican Member reviewed the allegations pursuant to 
Committee Rule 18(a). On September 15, 2009, the Chair and 
Ranking Republican Member announced that the Committee had 
voted unanimously to extend its review of the matter for a 45-
day period pursuant to Committee Rules 17A(b)(1)(B) and 17A(c). 
Based on the results of its initial review, on October 29, 
2009, the Committee unanimously voted to establish an 
Investigative Subcommittee to determine whether Representative 
Richardson failed to disclose certain real property, income, 
and liabilities on her annual Financial Disclosure Statements 
and whether Representative Richardson received an impermissible 
``gift'' or received preferential treatment from her lender 
relating to the foreclosure, rescission of the foreclosure 
sale, or loan modification agreement for or relating to her 
personal residence.
    Representative Ben Chandler served as the Chair of the 
Investigative Subcommittee, and Representative Gregg Harper 
served as the Ranking Republican Member. The other two Members 
designated to serve on the Investigative Subcommittee were 
Representatives Emanuel Cleaver and Sue Myrick.
    Based on its investigation, the Investigative Subcommittee 
concluded that Representative Richardson did not knowingly 
accept a gift from her lender or violate any applicable 
standard of conduct in connection with the purchase of, 
foreclosure on, rescission of foreclosure sale for, or 
modification of loan terms for the residential property she 
owns in Sacramento, California. During the course of the 
investigation, the mortgage broker used in connection with the 
purchase of Representative Richardson's Sacramento property 
admitted to knowingly submitting fraudulent information, 
without Representative Richardson's knowledge, to Washington 
Mutual in connection with her mortgage application. The 
Investigative Subcommittee recommended that the full Committee 
refer the matter involving the mortgage broker to the Justice 
Department for such action as the Department deems necessary 
and appropriate.
    On June 30, 2010, the Committee unanimously voted to adopt 
the report of the Investigative Subcommittee and to include 
that report as part of the Committee's report to the House of 
Representatives. The Committee also unanimously voted to refer 
the mortgage broker to the Justice Department for such action 
as it deems necessary and appropriate. On July 1, 2010, the 
Committee transmitted its report to the House of 
Representatives.

Representative Fortney ``Pete'' Stark

    On November 12, 2009, the OCE forwarded to the Committee a 
report and findings in which it recommended further review of 
allegations that Representative Fortney ``Pete'' Stark may have 
violated Maryland state law and the Code of Ethics for 
Government Service by intentionally filing a false application 
for a Maryland property tax credit for his home in Harwood, 
Maryland.
    After conducting an investigation of this matter pursuant 
to Committee Rule 18(a), the Committee issued a report on 
January 29, 2010, in which it concluded that Representative 
Stark did not violate House ethics rules or the tax laws of the 
State of Maryland. In its report, the Committee found that the 
evidence established that Representative Stark did not actually 
receive a property tax credit based upon his February 2009 
application. The Committee further found that Representative 
Stark did not file a false application for the Maryland 
property tax credit. Accordingly, the Committee voted 
unanimously that no disciplinary action was warranted in this 
matter.

Marc Goldberg

    In accordance with Committee Rule 18(e)(2), the Committee 
convened on December 8, 2009, to consider criminal charges 
filed against Marc P. Goldberg, an employee of the House. On 
August 14, 2009, Mr. Goldberg was charged with one count of 
simple assault in the District of Columbia Superior Court. 
Following a bench trial on October 16, 2009, Mr. Goldberg was 
found guilty of simple assault. He received a 45-day suspended 
sentence and was placed on supervised probation for one year. 
Mr. Goldberg was also fined $700 and required to complete 
substance abuse treatment and testing, an anger management 
class, and 120 hours of community service.
    After reviewing and considering this matter, the Committee 
voted against empanelling an investigative subcommittee. In 
reaching this determination, the Committee considered the scope 
and nature of Mr. Goldberg's conduct, and the fine and criminal 
disposition already imposed by the D.C. Superior Court, and 
determined that no further disciplinary action was warranted by 
the Committee. On December 10, 2009, the Committee submitted a 
report to the House of Representatives describing the facts and 
its findings regarding this matter.

Matters related to allegations against former Representative Eric Massa

    On March 4, 2010, the Chair and Ranking Republican Member 
released a public statement that, pursuant to Committee Rule 
18(a), the Committee was investigating and gathering additional 
information concerning matters related to allegations involving 
Representative Eric Massa. On March 5, 2010, Representative 
Massa announced that he would resign his House seat on March 8, 
2010.
    On April 20, 2010, the Committee established an 
Investigative Subcommittee charged with conducting a full and 
complete inquiry into whether any Member, officer, or employee, 
in the performance of the duties or the discharge of the 
responsibilities of such individual: (1) Had personal knowledge 
of actual or alleged conduct by former Representative Eric 
Massa that violated a law, rule, regulation, or other standard 
of conduct applicable to his conduct in the performance of his 
duties; (2) failed properly to report or fully to disclose any 
such actual or alleged conduct on the part of former 
Representative Massa; (3) had a duty to pursue or call 
attention to such allegations of misconduct; or (4) 
misappropriated, or otherwise fraudulently or improperly 
distributed or received, monies or other payments, all of the 
foregoing in violation of any law, rule, regulation or other 
standard of conduct.
    Representative Zoe Lofgren, the Chair of the Committee, 
served as the Chair of the Investigative Subcommittee, and 
Representative Jo Bonner, the Ranking Republican Member of the 
Committee, served as its Ranking Republican Member. The other 
two members of the Investigative Subcommittee were the next 
ranking Democrat and Republican members of the Committee, 
Representatives Ben Chandler and Michael Conaway, respectively.
    As of the conclusion of the 111th Congress, the 
Investigative Subcommittee had not completed its investigation 
into the matters under its jurisdiction.

Randy Vogel

    In accordance with Committee Rule 18(e)(2), the Committee 
convened on April 20, 2010, to consider misdemeanor charges 
that had been filed against Randy Vogel, an employee of the 
House, on March 3, 2010, by Montana's office of Fish, Wildlife 
& Parks for the alleged illegal killing of a spike bull elk 
during closed hunting season, and related charges. The alleged 
criminal acts occurred on November 18 and 19, 2009, prior to 
Mr. Vogel's employment by the House. On March 16, 2010, Mr. 
Vogel pleaded not guilty to the state charges.
    After reviewing and considering this matter, the Committee 
voted against empanelling an investigative subcommittee, 
subject to reconsideration following conclusion of the matter 
Montana court. Given Mr. Vogel's denial of the charges and the 
fact that a state trial would be held to assess the merits of 
the allegations, the Committee determined not to initiate 
review by an investigative subcommittee at that time. The 
Committee submitted a report to the House of Representatives 
describing the facts and its findings regarding this matter on 
April 21, 2010.
    A jury trial was held on the charges in Montana state court 
in August 2010. On August 12, 2010, a jury found Mr. Vogel not 
guilty of all charges. The Committee did not reopen the matter 
following this result.

Representative Luis Gutierrez and Susan Collins

    In accordance with H. Res. 451 and Committee Rule 18(e)(2), 
on May 26, 2010, the Committee convened for the purpose of 
considering the arrests of Representative Luis V. Gutierrez and 
House employee Susan Collins. Representative Gutierrez and Ms. 
Collins were arrested in Washington, D.C. on May 1, 2010, for 
failure to obey or comply with a necessary order or instruction 
of a police officer in connection with their participation in a 
protest in front of the White House. On May 7, 2010, 
Representative Gutierrez and Ms. Collins each paid a $100 fine 
using their personal funds. Payment of the fines resolved the 
legal proceedings in the District of Columbia related to the 
arrests of Representative Gutierrez and Ms. Collins.
    After reviewing and considering this matter, the Committee 
voted against empanelling an investigative subcommittee related 
to the conduct of either Representative Gutierrez or Ms. 
Collins. In reaching this determination, the Committee 
considered the scope and nature of the conduct of 
Representative Gutierrez and Ms. Collins, and the penalty 
already incurred, and decided that review by an investigative 
subcommittee was not required. On May 26, 2010, the Committee 
submitted a report to the House of Representatives describing 
the facts and its findings regarding Representative Gutierrez 
and Ms. Collins in this matter.

In re Per Diem Expenses

    On July 30, 2010, the OCE referred to the Committee a 
matter involving allegations that six Members--Representatives 
Robert Aderholt, G.K. Butterfield, Eliot Engel, Alcee Hastings, 
Solomon Ortiz, and Joe Wilson--may have improperly retained 
excess per diem funds they received in connection with official 
travel. On August 6, 2010, the Committee provided each of those 
Members with a copy of the OCE's Report and Findings related to 
that Member. During September 2010, Representatives Aderholt, 
Hastings, Wilson and Engel each submitted to the Committee a 
written response to the OCE's allegations. On November 15, 
2010, the Chair and Ranking Republican Member publicly 
announced that they had jointly decided to extend review of the 
six matters for an additional 45-day period pursuant to 
Committee Rules 17A(b)(1)(B) and 17A(j).
    The OCE alleged that the six named Members received and 
retained excess per diem funds allocated on official 
Congressional Delegation (CODEL) trips taken during the years 
2008 through 2010. OCE deemed the funds ``excess'' because, it 
alleged, the Members had accepted funds intended to pay for 
meals which were instead provided to them at no charge by a 
host, such as the United States Air Force, a private company, 
or a foreign government.
    On December 31, 2010, the Chair and Ranking Republican 
Member issued a public statement that the Committee's 
nonpartisan, professional staff had found no violation of any 
House rule, or any law, rule, regulation, or other standard of 
conduct by any of the six Members in relation to their alleged 
improper retention of excess per diem funds issued in 
connection with official travel. Accordingly, the staff 
recommended dismissing or taking no further action in each 
matter. In light of the recommendations of the nonpartisan, 
professional staff, the Committee will take no further action 
regarding these six matters. In conjunction with their public 
statement, the Chair and Ranking Republican Member publicly 
released the 805-page staff report providing further detail on 
the staff's review of the allegations, their factual findings, 
and their recommendations.

Representatives John Campbell, Tom Price, and Joseph Crowley

    On September 1, 2010, the OCE referred to the Committee the 
question of whether campaign fundraising by Representatives 
John Campbell and Tom Price had any connection to a mark-up and 
vote on financial regulation legislation.
    As part of the same investigation, the OCE voted to refer 
the matter of Representative Joseph Crowley, waiting to make 
its referral of findings until November 3, 2010. Pursuant to H. 
Res. 895 and Committee Rule 17A(i), no referrals can be made to 
the Committee during a 60-day period before an election, and 
Representative Crowley was on the primary ballot in September 
2010.
    On December 15, 2010, the Chair and Ranking Member jointly 
decided to extend the matters of Representatives Campbell, 
Price and Crowley for a 45-day period pursuant to Committee 
Rules 17A(b)(1)(B) and 17A(j).

Nicole Gustafson

    In accordance with Committee Rule 18(e)(2), the Committee 
convened on September 15, 2010, for the purpose of considering 
charges that had been filed against Nicole M. Gustafson, an 
employee of the House. On May 26, 2010, Ms. Gustafson was 
charged with one count each of operating while impaired, 
driving under the influence--first offense, and driving while 
intoxicated--first offense. Ms. Gustafson entered a plea of 
guilty to operating while impaired on July 21, 2010, and was 
sentenced to a 30-day suspended sentence and placed on 
supervised probation for one year. Ms. Gustafson was also fined 
$400 and required to complete a traffic alcohol program, victim 
impact panel, alcohol treatment, and alcohol testing. All other 
charges were dismissed pursuant to the plea agreement. Ms. 
Gustafson indicated to the Committee that she intends to pay 
the $400 fine and is complying with the other terms of her 
sentence.
    After reviewing and considering this matter, the Committee 
voted against empanelling an investigative subcommittee. In 
reaching this decision, the Committee considered the scope and 
nature of Ms. Gustafson's conduct, and the fine and criminal 
disposition ordered by the D.C. Superior Court. The Committee 
filed a report to the House describing the facts and its 
findings regarding this matter on December 17, 2010.

Other Committee investigative actions

    In addition to the publicly disclosed matters discussed in 
this report, the Chair and Ranking Republican Member of the 
Committee either commenced or continued from the 110th Congress 
fact-gathering under Committee Rule 18(a) regarding the conduct 
of 89 investigative matters. Of these matters, 75 were resolved 
during the 111th Congress without the empanelment of an 
investigative subcommittee or other formal action by the 
Committee, and the remaining matters are still pending.
                               APPENDIX I


                              APPENDIX II


               COMMITTEE ON STANDARDS OF OFFICIAL CONDUCT

                 United States House of Representatives

                     One Hundred Eleventh Congress

    ZOE LOFGREN, California, Chair
    BEN CHANDLER, Kentucky
    G.K. BUTTERFIELD, North Carolina
    KATHY CASTOR, Florida
    PETER WELCH, Vermont

    JO BONNER, Alabama, Ranking Republican Member
    J. GRESHAM BARRETT, South Carolina
    JOHN KLINE, Minnesota
    MICHAEL CONAWAY, Texas
    CHARLES DENT, Pennsylvania
                              ----------                              

    Kenyen R. Brown, Acting Chief Counsel/Staff Director
      



                            C O N T E N T S

                              ----------                              

        Rules of the Committee on Standards of Official Conduct
                    PART I--GENERAL COMMITTEE RULES

                                                                   Page
Rule 1. General Provisions.......................................   116
Rule 2. Definitions..............................................   117
Rule 3. Advisory Opinions and Waivers............................   118
Rule 4. Financial Disclosure.....................................   119
Rule 5. Meetings.................................................   121
Rule 6. Committee Staff..........................................   121
Rule 7. Confidentiality..........................................   122
Rule 8. Subcommittees--General Policy and Structure..............   123
Rule 9. Quorums and Member Disqualification......................   124
Rule 10. Vote Requirements.......................................   124
Rule 11. Committee Records.......................................   125
Rule 12. Broadcasts of Committee and Subcommittee Proceedings....   125

                    PART II--INVESTIGATIVE AUTHORITY

Rule 13. House Resolution........................................   125
Rule 14. Committee Authority to Investigate--General Policy......   125
Rule 15. Complaints..............................................   126
Rule 16. Duties of Committee Chair and Ranking Minority Member...   127
Rule 17. Processing of Complaints................................   128
Rule 18. Committee-Initiated Inquiry.............................   128
Rule 19. Investigative Subcommittee..............................   129
Rule 20. Amendments to Statements of Alleged Violation...........   131
Rule 21. Committee Reporting Requirements........................   131
Rule 22. Respondent's Answer.....................................   132
Rule 23. Adjudicatory Hearings...................................   133
Rule 24. Sanction Hearing and Consideration of Sanctions or Other 
  Recommendations................................................   136
Rule 25. Disclosure of Exculpatory Information to Respondent.....   137
Rule 26. Rights of Respondents and Witnesses.....................   137
Rule 27. Frivolous Filings.......................................   139
Rule 28. Referrals to Federal or State Authorities...............   139

                                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 ensure that the Committee serves well 
the people of the United States, the House of Representatives, 
and the Members, officers, and employees of the House of 
Representatives.

                    PART I--GENERAL COMMITTEE RULES

                       Rule 1. General Provisions

    (a) So far as applicable, these rules and the Rules of the 
House of Representatives shall be the rules of the Committee 
and any subcommittee. The Committee adopts these rules under 
the authority of clause 2(a)(1) of Rule XI of the Rules of the 
House of Representatives, 111th Congress.
    (b) The rules of the Committee may be modified, amended, or 
repealed by a vote of a majority of the Committee.
    (c) When the interests of justice so require, the 
Committee, by a majority vote of its members, may adopt any 
special procedures, not inconsistent with these rules, deemed 
necessary to resolve a particular matter before it. Copies of 
such special procedures shall be furnished to all parties in 
the matter.
    (d) The Chair and Ranking Minority Member shall have access 
to such information that they request as necessary to conduct 
Committee business.

                          Rule 2. Definitions

    (a) ``Committee'' means the Committee on 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 19(a) 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 
designated pursuant to Rule 23(a) that holds an adjudicatory 
hearing and determines whether the counts in a Statement of 
Alleged Violation are proved by clear and convincing evidence.
    (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.
    (j) ``Member'' means a Representative in, or a Delegate to, 
or the Resident Commissioner to, the U.S. House of 
Representatives.

                 Rule 3. Advisory Opinions and Waivers

    (a) The Office of Advice and Education shall handle 
inquiries; prepare written opinions providing specific advice; 
develop general guidance; and organize seminars, workshops, and 
briefings for the benefit of the House of Representatives.
    (b) Any Member, officer, or employee of the House of 
Representatives may request a written opinion with respect to 
the propriety of any current or proposed conduct of such 
Member, officer, or employee.
    (c) The Office of Advice and Education may provide 
information and guidance regarding laws, rules, regulations, 
and other standards of conduct applicable to Members, officers, 
and employees in the performance of their duties or the 
discharge of their responsibilities.
    (d) In general, the Committee shall provide a written 
opinion to an individual only in response to a written request, 
and the written opinion shall address the conduct only of the 
inquiring individual, or of persons for whom the inquiring 
individual is responsible as employing authority.
    (e) A written request for an opinion shall be addressed to 
the Chair of the Committee and shall include a complete and 
accurate statement of the relevant facts. A request shall be 
signed by the requester or the requester's authorized 
representative or employing authority. A representative shall 
disclose to the Committee the identity of the principal on 
whose behalf advice is being sought.
    (f) 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 Chair and Ranking Minority Member are authorized to 
take action on behalf of the Committee on any proposed written 
opinion that they determine does not require consideration by 
the Committee. If the Chair or Ranking Minority Member requests 
a written opinion, or seeks a waiver, extension, or approval 
pursuant to Rules 3(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) or clause 3(b) of Rule XI of 
the Rules of the House of Representatives, if such Member, 
officer, or employee acts in good faith in accordance with the 
written advice of the Committee.
    (l) A written request for a waiver of clause 5 of House 
Rule XXV (the House gift rule), or for any other waiver or 
approval, shall be treated in all respects like any other 
request for a written opinion.
    (m) A written request for a waiver of clause 5 of House 
Rule XXV (the House gift rule) shall specify the nature of the 
waiver being sought and the specific circumstances justifying 
the waiver.
    (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, Legislative Resource 
Center, to assure that appropriate individuals are notified of 
their obligation to file Financial Disclosure Statements and 
that such individuals are provided in a timely fashion with 
filing instructions and forms developed by the Committee.
    (b) The Committee shall coordinate with the Legislative 
Resource Center to assure that information that the Ethics in 
Government Act requires to be placed on the public record is 
made public.
    (c) The Chair and Ranking Minority Member are authorized to 
grant on behalf of the Committee requests for reasonable 
extensions of time for the filing of Financial Disclosure 
Statements. Any such request must be received by the Committee 
no later than the date on which the Statement in question is 
due. A request received after such date may be granted by the 
Committee only in extraordinary circumstances. Such extensions 
for one individual in a calendar year shall not exceed a total 
of 90 days. No extension shall be granted authorizing a 
nonincumbent candidate to file a statement later than 30 days 
prior to a primary or general election in which the candidate 
is participating.
    (d) An individual who takes legally sufficient action to 
withdraw as a candidate before the date on which that 
individual's Financial Disclosure Statement is due under the 
Ethics in Government Act shall not be required to file a 
Statement. An individual shall not be excused from filing a 
Financial Disclosure Statement when withdrawal as a candidate 
occurs after the date on which such Statement was due.
    (e) Any individual who files a report required to be filed 
under title I of the Ethics in Government Act more than 30 days 
after the later of--
    (1) the date such report is required to be filed, or
    (2) if a filing extension is granted to such individual, 
the last day of the filing extension period, is required by 
such Act to pay a late filing fee of $200. The Chair 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 Chair and Ranking Minority Member are authorized to 
approve requests for waivers of the aggregation and reporting 
of gifts as provided by section 102(a)(2)(C) of the Ethics in 
Government Act. If such a request is approved, both the 
incoming request and the Committee response shall be forwarded 
to the Legislative Resource Center for placement on the public 
record.
    (h) The Chair 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.
    (j) Each Financial Disclosure Statement shall be reviewed 
within 60 days after the date of filing.
    (k) If the reviewing counsel believes that additional 
information is required because (1) the Statement appears not 
substantially accurate or complete, or (2) the filer may not be 
in compliance with applicable laws or rules, then the reporting 
individual shall be notified in writing of the additional 
information believed to be required, or of the law or rule with 
which the reporting individual does not appear to be in 
compliance. Such notice shall also state the time within which 
a response is to be submitted. Any such notice shall remain 
confidential.
    (l) Within the time specified, including any extension 
granted in accordance with clause (c), a reporting individual 
who concurs with the Committee's notification that the 
Statement is not complete, or that other action is required, 
shall submit the necessary information or take appropriate 
action. Any amendment may be in the form of a revised Financial 
Disclosure Statement or an explanatory letter addressed to the 
Clerk of the House of Representatives.
    (m) Any amendment shall be placed on the public record in 
the same manner as other Statements. The individual designated 
by the Committee to review the original Statement shall review 
any amendment thereto.
    (n) Within the time specified, including any extension 
granted in accordance with clause (c), a reporting individual 
who does not agree with the Committee that the Statement is 
deficient or that other action is required, shall be provided 
an opportunity to respond orally or in writing. If the 
explanation is accepted, a copy of the response, if written, or 
a note summarizing an oral response, shall be retained in 
Committee files with the original report.
    (o) The Committee shall be the final arbiter of whether any 
Statement requires clarification or amendment.
    (p) If the Committee determines, by vote of a majority of 
its members, that there is reason to believe that an individual 
has willfully failed to file a Statement or has willfully 
falsified or willfully failed to file information required to 
be reported, then the Committee shall refer the name of the 
individual, together with the evidence supporting its finding, 
to the Attorney General pursuant to section 104(b) of the 
Ethics in Government Act. Such referral shall not preclude the 
Committee from initiating such other action as may be 
authorized by other provisions of law or the Rules of the House 
of Representatives.

                            Rule 5. Meetings

    (a) The regular meeting day of the Committee shall be the 
second Tuesday of each month, except when the House of 
Representatives is not meeting on that day. When the Committee 
Chair determines that there is sufficient reason, meetings may 
be called on additional days. A regularly scheduled meeting 
need not be held when the Chair determines there is no business 
to be considered.
    (b) The Chair shall establish the agenda for meetings of 
the Committee and the Ranking Minority Member may place 
additional items on the agenda.
    (c) All meetings of the Committee or any subcommittee shall 
occur in executive session unless the Committee or 
subcommittee, by an affirmative vote of a majority of its 
members, opens the meeting 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 
public unless the Committee or subcommittee, by an affirmative 
vote of a majority of its members, closes the hearing to the 
public.
    (e) A subcommittee shall meet at the discretion of its 
Chair.
    (f) Insofar as practicable, notice for any Committee or 
subcommittee meeting shall be provided at least seven days in 
advance of the meeting. The Chair of the Committee or 
subcommittee may waive such time period for good cause.

                        Rule 6. Committee Staff

    (a) The staff is to be assembled and retained as a 
professional, nonpartisan staff.
    (b) Each member of the staff shall be professional and 
demonstrably qualified for the position for which the 
individual is hired.
    (c) The staff as a whole and each individual member of the 
staff shall perform all official duties in a nonpartisan 
manner.
    (d) No member of the staff shall engage in any partisan 
political activity directly affecting any congressional or 
presidential election.
    (e) No member of the staff or outside counsel may accept 
public speaking engagements or write for publication on any 
subject that is in any way related to the employment or duties 
with the Committee of such individual without specific prior 
approval from the Chair and Ranking Minority Member.
    (f) All staff members shall be appointed by an affirmative 
vote of a majority of the members of the Committee. Such vote 
shall occur at the first meeting of the membership of the 
Committee during each Congress and as necessary during the 
Congress.
    (g) Subject to the approval of the Committee on House 
Administration, the Committee may retain counsel not employed 
by the House of Representatives whenever the Committee 
determines, by an affirmative vote of a majority of the members 
of the Committee, that the retention of outside counsel is 
necessary and appropriate.
    (h) If the Committee determines that it is necessary to 
retain staff members for the purpose of a particular 
investigation or other proceeding, then such staff shall be 
retained only for the duration of that particular investigation 
or proceeding.
    (i) Outside counsel may be dismissed prior to the end of a 
contract between the Committee and such counsel only by a 
majority vote of the members of the Committee.
    (j) In addition to any other staff provided for by law, 
rule, or other authority, with respect to the Committee, the 
Chair and Ranking Minority Member each may appoint one 
individual as a shared staff member from the respective 
personal staff of the Chair or Ranking Minority Member to 
perform service for the Committee. Such shared staff may assist 
the Chair or Ranking, Minority Member on any subcommittee on 
which the Chair or Ranking Minority Member serves. Only 
paragraphs (c) and (e) of this Rule and Rule 7(b) shall apply 
to shared staff.

                        Rule 7. Confidentiality

    (a) Before any Member or employee of the Committee, 
including members of an investigative subcommittee selected 
under clause 5(a)(4) of Rule X of the House of Representatives 
and shared staff designated pursuant to Committee Rule 6(j), 
may have access to information that is confidential under the 
rules of the Committee, the following oath (or affirmation) 
shall be executed in writing:
    ``I do solemnly swear (or affirm) that I will not disclose, 
to any person or entity outside the Committee on 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.
    (b) No member of the staff or outside counsel may make 
public, unless approved by an affirmative vote of a majority of 
the members of the Committee, any information, document, or 
other material that is confidential, derived from executive 
session, or classified and that is obtained during the course 
of employment with the Committee.
    (c) Committee members and staff shall not disclose any 
evidence relating to an investigation to any person or 
organization outside the Committee unless authorized by the 
Committee.
    (d) Members and staff of the Committee shall not disclose 
to any person or organization outside the Committee, unless 
authorized by the Committee, any information regarding the 
Committee's or a subcommittee's investigative, adjudicatory or 
other proceedings, including but not limited to: (i) the fact 
or nature of any complaints; (ii) executive session 
proceedings; (iii) information pertaining to or copies of any 
Committee or subcommittee report, study or other document which 
purports to express the views, findings, conclusions or 
recommendations of the Committee or subcommittee in connection 
with any of its activities or proceedings; or (iv) any other 
information or allegation respecting the conduct of a Member, 
officer or employee of the House.
    (e) Except as otherwise specifically authorized by the 
Committee, no Committee member or staff member shall disclose 
to any person outside the Committee, the name of any witness 
subpoenaed to testify or to produce evidence.
    (f) The Committee shall not disclose to any person or 
organization outside the Committee any information concerning 
the conduct of a respondent until it has transmitted a 
Statement of Alleged Violation to such respondent and the 
respondent has been given full opportunity to respond pursuant 
to Rule 22. The Statement of Alleged Violation and any written 
response thereto shall be made public at the first meeting or 
hearing on the matter that is open to the public after such 
opportunity has been provided. Any other materials in the 
possession of the Committee regarding such statement may be 
made public as authorized by the Committee to the extent 
consistent with the Rules of the House of Representatives. If 
no public hearing is held on the matter, the Statement of 
Alleged Violation and any written response thereto shall be 
included in the Committee's final report on the matter to the 
House of Representatives.
    (g) Unless otherwise determined by a vote of the Committee, 
only the Chair or Ranking Minority Member of the Committee, 
after consultation with each other, may make public statements 
regarding matters before the Committee or any subcommittee.
    (h) The Committee may establish procedures necessary to 
prevent the unauthorized disclosure of any testimony or other 
information received by the Committee or its staff.

          Rule 8. Subcommittees--General Policy and Structure

    (a) Notwithstanding any other provision of these Rules, the 
Chair and Ranking Minority Member of the Committee may consult 
with an investigative subcommittee either on their own 
initiative or on the initiative of the subcommittee, shall have 
access to evidence and information before a subcommittee with 
whom they so consult, and shall not thereby be precluded from 
serving as full, voting members of any adjudicatory 
subcommittee. Except for the Chair and Ranking Minority Member 
of the Committee pursuant to this paragraph, evidence in the 
possession of an investigative subcommittee shall not be 
disclosed to other Committee members except by a vote of the 
subcommittee.
    (b) The Committee may establish other noninvestigative and 
nonadjudicatory subcommittees and may assign to them such 
functions as it may deem appropriate. The membership of each 
subcommittee shall provide equal representation for the 
majority and minority parties.
    (c) The Chair may refer any bill, resolution, or other 
matter before the Committee to an appropriate subcommittee for 
consideration. Any such bill, resolution, or other matter may 
be discharged from the subcommittee to which it was referred by 
a majority vote of the Committee.
    (d) Any member of the Committee may sit with any 
noninvestigative or nonadjudicatory subcommittee, but only 
regular members of such subcommittee may vote on any matter 
before that subcommittee.

              Rule 9. Quorums and Member Disqualification

    (a) The quorum for an investigative subcommittee to take 
testimony and to receive evidence shall be two members, unless 
otherwise authorized by the House of Representatives.
    (b) The quorum for an adjudicatory subcommittee to take 
testimony, receive evidence, or conduct business shall consist 
of a majority plus one of the members of the adjudicatory 
subcommittee.
    (c) Except as stated in clauses (a) and (b) of this rule, a 
quorum for the purpose of conducting business consists of a 
majority of the members of the Committee or subcommittee.
    (d) A member of the Committee shall be ineligible to 
participate in any Committee or subcommittee proceeding, in 
which such Member is the respondent.
    (e) A member of the Committee may seek disqualification 
from participating in any investigation of the conduct of a 
Member, officer, or employee of the House of Representatives 
upon the submission in writing and under oath of an affidavit 
of disqualification stating that the member cannot render an 
impartial and unbiased decision. If the Committee approves and 
accepts such affidavit of disqualification, or if a member is 
disqualified pursuant to Rule 17(e) or Rule 23(a), the Chair 
shall so notify the Speaker and ask the Speaker to designate a 
Member of the House of Representatives from the same political 
party as the disqualified member of the Committee to act as a 
member of the Committee in any Committee proceeding relating to 
such investigation.

                       Rule 10. Vote Requirements

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

                      Rule 11. Committee Records 

    (a) All communications and all pleadings pursuant to these 
rules shall be filed with the Committee at the Committee's 
office or such other place as designated by the Committee.
    (b) All records of the Committee which have been delivered 
to the Archivist of the United States shall be made available 
to the public in accordance with Rule VII of the Rules of the 
House of Representatives.

     Rule 12. Broadcasts of Committee and Subcommittee Proceedings 

    (a) Television or radio coverage of a Committee or 
subcommittee hearing or meeting shall be without commercial 
sponsorship.
    (b) No witness shall be required against the witness' will 
to be photographed or otherwise to have a graphic reproduction 
of the witness' 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 13. House Resolution 

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

      Rule 14. Committee Authority to Investigate--General Policy 

    (a) Pursuant to clause 3(b) of Rule XI of the Rules of the 
House of Representatives, the Committee may exercise its 
investigative authority when:
    (1) information offered as a complaint by a Member of the 
House of Representatives is transmitted directly to the 
Committee;
    (2) information offered as a complaint by an individual not 
a Member of the House is transmitted to the Committee, provided 
that a Member of the House certifies in writing that such 
Member believes the information is submitted in good faith and 
warrants the review and consideration of the Committee;
    (3) the Committee, on its own initiative, establishes an 
investigative subcommittee;
    (4) a Member, officer, or employee is convicted in a 
Federal, State, or local court of a felony;
    (5) the House of Representatives, by resolution, authorizes 
or directs the Committee to undertake an inquiry or 
investigation; or
    (b) The Committee also has investigatory authority over:
    (1) certain unauthorized disclosures of intelligence-
related information, pursuant to House Rule X, clauses 11(g)(4) 
and (g)(5); or
    (2) reports received from the Office of the Inspector 
General pursuant to House Rule II, clause 6(c)(5).

                          Rule 15. Complaints 

    (a) A complaint submitted to the Committee shall be in 
writing, dated, and properly verified (a document will be 
considered properly verified where a notary executes it with 
the language, ``Signed and sworn to (or affirmed) before me on 
(date) by (the name of the person)'' setting forth in simple, 
concise, and direct statements--
    (1) the name and legal address of the party filing the 
complaint (hereinafter referred to as the ``complainant'');
    (2) the name and position or title of the respondent;
    (3) the nature of the alleged violation of the Code of 
Official Conduct or of other law, rule, regulation, or other 
standard of conduct applicable to the performance of duties or 
discharge of responsibilities; and
    (4) the facts alleged to give rise to the violation. The 
complaint shall not contain innuendo, speculative assertions, 
or conclusory statements.
    (b) Any documents in the possession of the complainant that 
relate to the allegations may be submitted with the complaint.
    (c) Information offered as a complaint by a Member of the 
House of Representatives may be transmitted directly to the 
Committee.
    (d) Information offered as a complaint by an individual not 
a Member of the House may be transmitted to the Committee, 
provided that a Member of the House certifies in writing that 
such Member believes the information is submitted in good faith 
and warrants the review and consideration of the Committee.
    (e) A complaint must be accompanied by a certification, 
which may be unsworn, that the complainant has provided an 
exact copy of the filed complaint and all attachments to the 
respondent.
    (f) The Committee may defer action on a complaint against a 
Member, officer, or employee of the House of Representatives 
when the complaint alleges conduct that the Committee has 
reason to believe is being reviewed by appropriate law 
enforcement or regulatory authorities, or when the Committee 
determines that it is appropriate for the conduct alleged in 
the complaint to be reviewed initially by law enforcement or 
regulatory authorities.
    (g) A complaint may not be amended without leave of the 
Committee. Otherwise, any new allegations of improper conduct 
must be submitted in a new complaint that independently meets 
the procedural requirements of the Rules of the House of 
Representatives and the Committee's Rules.
    (h) The Committee shall not accept, and shall return to the 
complainant, any complaint submitted within the 60 days prior 
to an election in which the subject of the complaint is a 
candidate.
    (i) The Committee shall not consider a complaint, nor shall 
any investigation be undertaken by the Committee, of any 
alleged violation which occurred before the third previous 
Congress unless the Committee determines that the alleged 
violation is directly related to an alleged violation which 
occurred in a more recent Congress.

    Rule 16. Duties of Committee Chair and Ranking Minority Member 

    (a) Whenever information offered as a complaint is 
submitted to the Committee, the Chair and Ranking Minority 
Member shall have 14 calendar days or 5 legislative days, 
whichever occurs first, to determine whether the information 
meets the requirements of the Committee's rules for what 
constitutes a complaint.
    (b) Whenever the Chair and Ranking Minority Member jointly 
determine that information submitted to the Committee meets the 
requirements of the Committee's rules for what constitutes a 
complaint, they shall have 45 calendar days or 5 legislative 
days, whichever is later, after the date that the Chair and 
Ranking Minority Member determine that information filed meets 
the requirements of the Committee's rules for what constitutes 
a complaint, unless the Committee by an affirmative vote of a 
majority of its members votes otherwise, to--
    (1) recommend to the Committee that it dispose of the 
complaint, or any portion thereof, in any manner that does not 
require action by the House, which may include dismissal of the 
complaint or resolution of the complaint by a letter to the 
Member, officer, or employee of the House against whom the 
complaint is made;
    (2) establish an investigative subcommittee; or
    (3) request that the Committee extend the applicable 45-
calendar day period when they determine more time is necessary 
in order to make a recommendation under paragraph (1) or (2) of 
Rule 16(b).
    (c) The Chair and Ranking Minority Member may jointly 
gather additional information concerning alleged conduct which 
is the basis of a complaint or of information offered as a 
complaint until they have established an investigative 
subcommittee or the Chair or Ranking Minority Member has placed 
on the agenda the issue of whether to establish an 
investigative subcommittee.
    (d) If the Chair and Ranking Minority Member jointly 
determine that information submitted to the Committee meets the 
requirements of the Committee rules for what constitutes a 
complaint, and the complaint is not disposed of within 45 
calendar days or 5 legislative days, whichever is later, and no 
additional 45-day extension is made, then they shall establish 
an investigative subcommittee and forward the complaint, or any 
portion thereof, to that subcommittee for its consideration. If 
at any time during the time period either the Chair or Ranking 
Minority Member places on the agenda the issue of whether to 
establish an investigative subcommittee, then an investigative 
subcommittee may be established only by an affirmative vote of 
a majority of the members of the Committee.
    (e) Whenever the Chair and Ranking Minority Member jointly 
determine that information submitted to the Committee does not 
meet the requirements for what constitutes a complaint set 
forth in the Committee rules, they may (1) return the 
information to the complainant with a statement that it fails 
to meet the requirements for what constitutes a complaint set 
forth in the Committee's rules; or (2) recommend to the 
Committee that it authorize the establishment of an 
investigative subcommittee.

                   Rule 17. Processing of Complaints 

    (a) If a complaint is in compliance with House and 
Committee Rules, a copy of the complaint and the Committee 
Rules shall be forwarded to the respondent within 5 days with 
notice that the complaint conforms to the applicable rules.
    (b) The respondent may, within 30 days of the Committee's 
notification, provide to the Committee any information relevant 
to a complaint filed with the Committee. The respondent may 
submit a written statement in response to the complaint. Such a 
statement shall be signed by the respondent. If the statement 
is prepared by counsel for the respondent, the respondent shall 
sign a representation that the respondent has reviewed the 
response and agrees with the factual assertions contained 
therein.
    (c) The Committee staff may request information from the 
respondent or obtain additional information pertinent to the 
case from other sources prior to the establishment of an 
investigative subcommittee only when so directed by the Chair 
and Ranking Minority Member.
    (d) The respondent shall be notified in writing regarding 
the Committee's decision either to dismiss the complaint or to 
create an investigative subcommittee.
    (e) The respondent shall be notified of the membership of 
the investigative subcommittee and shall have 10 days after 
such notice is transmitted to object to the participation of 
any subcommittee member. Such objection shall be in writing and 
must be on the grounds that the subcommittee member cannot 
render an impartial and unbiased decision. The subcommittee 
member against whom the objection is made shall be the sole 
judge of any disqualification.

                 Rule 18. 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 the duties or the discharge of the 
responsibilities of such individual. The Chair and Ranking 
Minority Member may jointly gather additional information 
concerning such an alleged violation by a Member, officer, or 
employee unless and until an investigative subcommittee has 
been established.
    (b) If the Committee votes to establish an investigative 
subcommittee, the Committee shall proceed in accordance with 
Rule 19.
    (c) Any written request by a Member, officer, or employee 
of the House of Representatives that the Committee conduct an 
inquiry into such person's own conduct shall be considered in 
accordance with subsection (a) of this Rule.
    (d) An inquiry shall not be undertaken regarding any 
alleged violation that occurred before the third previous 
Congress unless a majority of the Committee determines that the 
alleged violation is directly related to an alleged violation 
that occurred in a more recent Congress.
    (e) An inquiry shall be undertaken by an investigative 
subcommittee with regard to any felony conviction of a Member, 
officer, or employee of the House of Representatives in a 
Federal, State, or local court who has been sentenced. 
Notwithstanding this provision, the Committee has the 
discretion to initiate an inquiry upon an affirmative vote of a 
majority of the members of the Committee at any time prior to 
conviction or sentencing.

                  Rule 19. Investigative Subcommittee 

    (a) Upon the establishment of an investigative 
subcommittee, the Chair and Ranking Minority Member of the 
Committee shall designate four members (with equal 
representation from the majority and minority parties) to serve 
as an investigative subcommittee to undertake an inquiry. 
Members of the Committee and Members of the House selected 
pursuant to clause 5(a)(4)(A) of Rule X of the House of 
Representatives are eligible for appointment to an 
investigative subcommittee, as determined by the Chair and 
Ranking Minority Member of the Committee. At the time of 
appointment, the Chair shall designate one member of the 
subcommittee to serve as the Chair and the Ranking Minority 
Member shall designate one member of the subcommittee to serve 
as the ranking minority member of the investigative 
subcommittee. The Chair and Ranking Minority Member of the 
Committee may serve as members of an investigative 
subcommittee, but may not serve as non-voting, ex-officio 
members.
    (b) In an inquiry undertaken by an investigative 
subcommittee--
    (1) All proceedings, including the taking of testimony, 
shall be conducted in executive session and all testimony taken 
by deposition or things produced pursuant to subpoena or 
otherwise shall be deemed to have been taken or produced in 
executive session.
    (2) The Chair of the investigative subcommittee shall ask 
the respondent and all witnesses whether they intend to be 
represented by counsel. If so, the respondent or witnesses or 
their legal representatives shall provide written designation 
of counsel. A respondent or witness who is represented by 
counsel shall not be questioned in the absence of counsel 
unless an explicit waiver is obtained.
    (3) The subcommittee shall provide the respondent an 
opportunity to present, orally or in writing, a statement, 
which must be under oath or affirmation, regarding the 
allegations and any other relevant questions arising out of the 
inquiry.
    (4) The staff may interview witnesses, examine documents 
and other evidence, and request that submitted statements be 
under oath or affirmation and that documents be certified as to 
their authenticity and accuracy.
    (5) The subcommittee, by a majority vote of its members, 
may require, by subpoena or otherwise, the attendance and 
testimony of witnesses and the production of such books, 
records, correspondence, memoranda, papers, documents, and 
other items as it deems necessary to the conduct of the 
inquiry. Unless the Committee otherwise provides, the subpoena 
power shall rest in the Chair and Ranking Minority Member of 
the Committee and a subpoena shall be issued upon the request 
of the investigative subcommittee.
    (6) The subcommittee shall require that testimony be given 
under oath or affirmation. The form of the oath or affirmation 
shall be: ``Do you solemnly swear (or affirm) that the 
testimony you will give before this subcommittee in the matter 
now under consideration will be the truth, the whole truth, and 
nothing but the truth (so help you God)?'' The oath or 
affirmation shall be administered by the Chair or subcommittee 
member designated by the Chair to administer oaths.
    (c) During the inquiry, the procedure respecting the 
admissibility of evidence and rulings shall be as follows:
    (1) Any relevant evidence shall be admissible unless the 
evidence is privileged under the precedents of the House of 
Representatives.
    (2) The Chair of the subcommittee or other presiding member 
at any investigative subcommittee proceeding shall rule upon 
any question of admissibility or 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 rulings to the members present at that proceeding. A 
majority vote of the members present at such proceeding on such 
appeal shall govern the question of admissibility, and no 
appeal shall lie to the Committee.
    (3) Whenever a person is determined by a majority vote to 
be in contempt of the subcommittee, the matter may be referred 
to the Committee to determine whether to refer the matter to 
the House of Representatives for consideration.
    (4) Committee counsel may, subject to subcommittee 
approval, enter into stipulations with the respondent and/or 
the respondent's counsel as to facts that are not in dispute.
    (d) Upon an affirmative vote of a majority of the 
subcommittee members, and an affirmative vote of a majority of 
the full Committee, an investigative subcommittee may expand 
the scope of its investigation.
    (e) 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.
    (f) Upon completion of the inquiry, an investigative 
subcommittee, by a majority vote of its members, may adopt a 
Statement of Alleged Violation if it determines that there is 
substantial reason to believe that a violation of the Code of 
Official Conduct, or of a law, rule, regulation, or other 
standard of conduct applicable to the performance of official 
duties or the discharge of official responsibilities by a 
Member, officer, or employee of the House of Representatives 
has occurred. If more than one violation is alleged, such 
Statement shall be divided into separate counts. Each count 
shall relate to a separate violation, shall contain a plain and 
concise statement of the alleged facts of such violation, and 
shall include a reference to the provision of the Code of 
Official Conduct or law, rule, regulation or other applicable 
standard of conduct governing the performance of duties or 
discharge of responsibilities alleged to have been violated. A 
copy of such Statement shall be transmitted to the respondent 
and the respondent's counsel.
    (g) If the investigative subcommittee does not adopt a 
Statement of Alleged Violation, it shall transmit to the 
Committee a report containing a summary of the information 
received in the inquiry, its conclusions and reasons therefore, 
and any appropriate recommendation.

         Rule 20. Amendments to Statements of Alleged Violation

    (a) An investigative subcommittee may, upon an affirmative 
vote of a majority of its members, amend its Statement of 
Alleged Violation anytime before the Statement of Alleged 
Violation is transmitted to the Committee; and
    (b) If an investigative subcommittee amends its Statement 
of Alleged Violation, the respondent shall be notified in 
writing and shall have 30 calendar days from the date of that 
notification to file an answer to the amended Statement of 
Alleged Violation.

               Rule 21. Committee Reporting Requirements

    (a) Whenever an investigative subcommittee does not adopt a 
Statement of Alleged Violation and transmits a report to that 
effect to the Committee, the Committee may by an affirmative 
vote of a majority of its members transmit such report to the 
House of Representatives;
    (b) Whenever an investigative subcommittee adopts a 
Statement of Alleged Violation but recommends that no further 
action be taken, it shall transmit a report to the Committee 
regarding the Statement of Alleged Violation; and
    (c) Whenever an investigative subcommittee adopts a 
Statement of Alleged Violation, the respondent admits to the 
violations set forth in such Statement, the respondent waives 
the right to an adjudicatory hearing, and the respondent's 
waiver is approved by the Committee--
    (1) the subcommittee shall prepare a report for transmittal 
to the Committee, a final draft of which shall be provided to 
the respondent not less than 15 calendar days before the 
subcommittee votes on whether to adopt the report;
    (2) the respondent may submit views in writing regarding 
the final draft to the subcommittee within 7 calendar days of 
receipt of that draft;
    (3) the subcommittee shall transmit a report to the 
Committee regarding the Statement of Alleged Violation together 
with any views submitted by the respondent pursuant to 
subparagraph (2), and the Committee shall make the report, 
together with the respondent's views, available to the public 
before the commencement of any sanction hearing; and
    (4) the Committee shall by an affirmative vote of a 
majority of its members issue a report and transmit such report 
to the House of Representatives, together with the respondent's 
views previously submitted pursuant to subparagraph (2) and any 
additional views respondent may submit for attachment to the 
final report; and
    (d) Members of the Committee shall have not less than 72 
hours to review any report transmitted to the Committee by an 
investigative subcommittee before both the commencement of a 
sanction hearing and the Committee vote on whether to adopt the 
report.

                      Rule 22. Respondent's Answer

    (a)(1) Within 30 days from the date of transmittal of a 
Statement of Alleged Violation, the respondent shall file with 
the investigative subcommittee an answer, in writing and under 
oath, signed by respondent and respondent's counsel. Failure to 
file an answer within the time prescribed shall be considered 
by the Committee as a denial of each count.
    (2) The answer shall contain an admission to or denial of 
each count set forth in the Statement of Alleged Violation and 
may include negative, affirmative, or alternative defenses and 
any supporting evidence or other relevant information.
    (b) The respondent may file a Motion for a Bill of 
Particulars within 10 days of the date of transmittal of the 
Statement of Alleged Violation. If a Motion for a Bill of 
Particulars is filed, the respondent shall not be required to 
file an answer until 20 days after the subcommittee has replied 
to such motion.
    (c)(1) The respondent may file a Motion to Dismiss within 
10 days of the date of transmittal of the Statement of Alleged 
Violation or, if a Motion for a Bill of Particulars has been 
filed, within 10 days of the date of the subcommittee's reply 
to the Motion for a Bill of Particulars. If a Motion to Dismiss 
is filed, the respondent shall not be required to file an 
answer until 20 days after the subcommittee has replied to the 
Motion to Dismiss, unless the respondent previously filed a 
Motion for a Bill of Particulars, in which case the respondent 
shall not be required to file an answer until 10 days after the 
subcommittee has replied to the Motion to Dismiss. The 
investigative subcommittee shall rule upon any motion to 
dismiss filed during the period between the establishment of 
the subcommittee and the subcommittee's transmittal of a report 
or Statement of Alleged Violation to the Committee or to the 
Chair and Ranking Minority Member at the conclusion of an 
inquiry, and no appeal of the subcommittee's ruling shall lie 
to the Committee.
    (2) A Motion to Dismiss may be made on the grounds that the 
Statement of Alleged Violation fails to state facts that 
constitute a violation of the Code of Official Conduct or other 
applicable law, rule, regulation, or standard of conduct, or on 
the grounds that the Committee lacks jurisdiction to consider 
the allegations contained in the Statement.
    (d) Any motion filed with the subcommittee pursuant to this 
rule shall be accompanied by a Memorandum of Points and 
Authorities.
    (e)(1) The Chair of the investigative subcommittee, for 
good cause shown, may permit the respondent to file an answer 
or motion after the day prescribed above.
    (2) If the ability of the respondent to present an adequate 
defense is not adversely affected and special circumstances so 
require, the Chair of the investigative subcommittee may direct 
the respondent to file an answer or motion prior to the day 
prescribed above.
    (f) If the day on which any answer, motion, reply, or other 
pleading must be filed falls on a Saturday, Sunday, or holiday, 
such filing shall be made on the first business day thereafter.
    (g) As soon as practicable after an answer has been filed 
or the time for such filing has expired, the Statement of 
Alleged Violation and any answer, motion, reply, or other 
pleading connected therewith shall be transmitted by the Chair 
of the investigative subcommittee to the Chair and Ranking 
Minority Member of the Committee.

                     Rule 23. Adjudicatory Hearings

    (a) If a Statement of Alleged Violation is transmitted to 
the Chair and Ranking Minority Member pursuant to Rule 22, and 
no waiver pursuant to Rule 26(b) has occurred, the Chair shall 
designate the members of the Committee who did not serve on the 
investigative subcommittee to serve on an adjudicatory 
subcommittee. The Chair and Ranking Minority Member of the 
Committee shall be the Chair and Ranking Minority Member of the 
adjudicatory subcommittee unless they served on the 
investigative subcommittee. The respondent shall be notified of 
the designation of the adjudicatory subcommittee and shall have 
10 days after such notice is transmitted to object to the 
participation of any subcommittee member. Such objection shall 
be in writing and shall be on the grounds that the member 
cannot render an impartial and unbiased decision. The member 
against whom the objection is made shall be the sole judge of 
any disqualification.
    (b) A majority of the adjudicatory subcommittee membership 
plus one must be present at all times for the conduct of any 
business pursuant to this rule.
    (c) The adjudicatory subcommittee shall hold a hearing to 
determine whether any counts in the Statement of Alleged 
Violation have been proved by clear and convincing evidence and 
shall make findings of fact, except where such violations have 
been admitted by respondent.
    (d) At an adjudicatory hearing, the subcommittee may 
require, by subpoena or otherwise, the attendance and testimony 
of such witnesses and production of such books, records, 
correspondence, memoranda, papers, documents, and other items 
as it deems necessary. Depositions, interrogatories, and sworn 
statements taken under any investigative subcommittee direction 
may be accepted into the hearing record.
    (e) The procedures set forth in clause 2(g) and (k) of Rule 
XI of the Rules of the House of Representatives shall apply to 
adjudicatory hearings. All such hearings shall be open to the 
public unless the adjudicatory subcommittee, pursuant to such 
clause, determines that the hearings or any part thereof should 
be closed.
    (f)(1) The adjudicatory subcommittee shall, in writing, 
notify the respondent that the respondent and respondent's 
counsel have the right to inspect, review, copy, or photograph 
books, papers, documents, photographs, or other tangible 
objects that the adjudicatory subcommittee counsel intends to 
use as evidence against the respondent in an adjudicatory 
hearing. The respondent shall be given access to such evidence, 
and shall be provided the names of witnesses the subcommittee 
counsel intends to call, and a summary of their expected 
testimony, no less than 15 calendar days prior to any such 
hearing. Except in extraordinary circumstances, no evidence may 
be introduced or witness called in an adjudicatory hearing 
unless the respondent has been afforded a prior opportunity to 
review such evidence or has been provided the name of the 
witness.
    (2) After a witness has testified on direct examination at 
an adjudicatory hearing, the Committee, at the request of the 
respondent, shall make available to the respondent any 
statement of the witness in the possession of the Committee 
which relates to the subject matter as to which the witness has 
testified.
    (3) Any other testimony, statement, or documentary evidence 
in the possession of the Committee which is material to the 
respondent's defense shall, upon request, be made available to 
the respondent.
    (g) No less than 5 days prior to the hearing, the 
respondent or counsel shall provide the adjudicatory 
subcommittee with the names of witnesses expected to be called, 
summaries of their expected testimony, and copies of any 
documents or other evidence proposed to be introduced.
    (h) The respondent or counsel may apply to the subcommittee 
for the issuance of subpoenas for the appearance of witnesses 
or the production of evidence. The application shall be granted 
upon a showing by the respondent that the proposed testimony or 
evidence is relevant and not otherwise available to respondent. 
The application may be denied if not made at a reasonable time 
or if the testimony or evidence would be merely cumulative.
    (i) During the hearing, the procedures regarding the 
admissibility of evidence and rulings shall be as follows:
    (1) Any relevant evidence shall be admissible unless the 
evidence is privileged under the precedents of the House of 
Representatives.
    (2) The Chair of the subcommittee or other presiding member 
at an adjudicatory subcommittee hearing shall rule upon any 
question of admissibility or 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 
ruling to the members present at that proceeding. A majority 
vote of the members present at such proceeding on such an 
appeal shall govern the question of admissibility and no appeal 
shall lie to the Committee.
    (3) Whenever a witness is deemed by a Chair or other 
presiding member to be in contempt of the subcommittee, the 
matter may be referred to the Committee to determine whether to 
refer the matter to the House of Representatives for 
consideration.
    (4) Committee counsel may, subject to subcommittee 
approval, enter into stipulations with the respondent and/or 
the respondent's counsel as to facts that are not in dispute.
    (j) Unless otherwise provided, the order of an adjudicatory 
hearing shall be as follows:
    (1) The Chair of the subcommittee shall open the hearing by 
stating the adjudicatory subcommittee's authority to conduct 
the hearing and the purpose of the hearing.
    (2) The Chair shall then recognize Committee counsel and 
the respondent's counsel, in turn, for the purpose of giving 
opening statements.
    (3) Testimony from witnesses and other 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 Chair.
    (4) Witnesses at a hearing shall be examined first by 
counsel calling such witness.
    The opposing counsel may then cross-examine the witness. 
Redirect examination and recross examination by counsel may be 
permitted at the Chair's discretion. Subcommittee members may 
then question witnesses. Unless otherwise directed by the 
Chair, questions by Subcommittee members shall be conducted 
under the five-minute rule.
    (5) The Chair shall then recognize Committee counsel and 
respondent's counsel, in turn, for the purpose of giving 
closing arguments. Committee counsel may reserve time for 
rebuttal argument, as permitted by the Chair.
    (k) A subpoena to a witness to appear at a hearing shall be 
served sufficiently in advance of that witness' scheduled 
appearance to allow the witness a reasonable period of time, as 
determined by the Chair of the adjudicatory subcommittee, to 
prepare for the hearing and to employ counsel.
    (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 Chair or Committee member designated by the 
Chair to administer oaths.
    (n) At an adjudicatory hearing, the burden of proof rests 
on Committee counsel to establish the facts alleged in the 
Statement of Alleged Violation by clear and convincing 
evidence. However, Committee counsel need not present any 
evidence regarding any count that is admitted by the respondent 
or any fact stipulated.
    (o) As soon as practicable after all testimony and evidence 
have been presented, the subcommittee shall consider each count 
contained in the Statement of Alleged Violation and shall 
determine by a majority vote of its members whether each count 
has been proved. If a majority of the subcommittee does not 
vote that a count has been proved, a motion to reconsider that 
vote may be made only by a member who voted that the count was 
not proved. A count that is not proved shall be considered as 
dismissed by the subcommittee.
    (p) The findings of the adjudicatory subcommittee shall be 
reported to the Committee.

   Rule 24. Sanction Hearing and Consideration of Sanctions or Other 
                            Recommendations

    (a) If no count in a Statement of Alleged Violation is 
proved, the Committee shall prepare a report to the House of 
Representatives, based upon the report of the adjudicatory 
subcommittee.
    (b) If an adjudicatory subcommittee completes an 
adjudicatory hearing pursuant to Rule 23 and reports that any 
count of the Statement of Alleged Violation has been proved, a 
hearing before the Committee shall be held to receive oral and/
or written submissions by counsel for the Committee and counsel 
for the respondent as to the sanction the Committee should 
recommend to the House of Representatives with respect to such 
violations. Testimony by witnesses shall not be heard except by 
written request and vote of a majority of the Committee.
    (c) Upon completion of any proceeding held pursuant to 
clause (b), the Committee shall consider and vote on a motion 
to recommend to the House of Representatives that the House 
take disciplinary action. If a majority of the Committee does 
not vote in favor of the recommendation that the House of 
Representatives take action, a motion to reconsider that vote 
may be made only by a member who voted against the 
recommendation. The Committee may also, by majority vote, adopt 
a motion to issue a Letter of Reproval or take other 
appropriate Committee action.
    (d) If the Committee determines a Letter of Reproval 
constitutes sufficient action, the Committee shall include any 
such letter as a part of its report to the House of 
Representatives.
    (e) With respect to any proved counts against a Member of 
the House of Representatives, the Committee may recommend to 
the House one or more of the following sanctions:
    (1) Expulsion from the House of Representatives.
    (2) Censure.
    (3) Reprimand.
    (4) Fine.
    (5) Denial or limitation of any right, power, privilege, or 
immunity of the Member if under the Constitution the House of 
Representatives may impose such denial or limitation.
    (6) Any other sanction determined by the Committee to be 
appropriate.
    (f) With respect to any proved counts against an officer or 
employee of the House of Representatives, the Committee may 
recommend to the House one or more of the following sanctions:
    (1) Dismissal from employment.
    (2) Reprimand.
    (3) Fine.
    (4) Any other sanction determined by the Committee to be 
appropriate.
    (g) With respect to the sanctions that the Committee may 
recommend, reprimand is appropriate for serious violations, 
censure is appropriate for more serious violations, and 
expulsion of a Member or dismissal of an officer or employee is 
appropriate for the most serious violations. A recommendation 
of a fine is appropriate in a case in which it is likely that 
the violation was committed to secure a personal financial 
benefit; and a recommendation of a denial or limitation of a 
right, power, privilege, or immunity of a Member is appropriate 
when the violation bears upon the exercise or holding of such 
right, power, privilege, or immunity. This clause sets forth 
general guidelines and does not limit the authority of the 
Committee to recommend other sanctions.
    (h) The Committee report shall contain an appropriate 
statement of the evidence supporting the Committee's findings 
and a statement of the Committee's reasons for the recommended 
sanction.

      Rule 25. Disclosure of Exculpatory Information to Respondent

    If the Committee, or any investigative or adjudicatory 
subcommittee at any time receives any exculpatory information 
respecting a Complaint or Statement of Alleged Violation 
concerning a Member, officer, or employee of the House of 
Representatives, it shall make such information known and 
available to the Member, officer, or employee as soon as 
practicable, but in no event later than the transmittal of 
evidence supporting a proposed Statement of Alleged Violation 
pursuant to Rule 26(c). If an investigative subcommittee does 
not adopt a Statement of Alleged Violation, it shall identify 
any exculpatory information in its possession at the conclusion 
of its inquiry and shall include such information, if any, in 
the subcommittee's final report to the Committee regarding its 
inquiry. For purposes of this rule, exculpatory evidence shall 
be any evidence or information that is substantially favorable 
to the respondent with respect to the allegations or charges 
before an investigative or adjudicatory subcommittee.

              Rule 26. Rights of Respondents and Witnesses

    (a) A respondent shall be informed of the right to be 
represented by counsel, to be provided at the respondent's own 
expense.
    (b) A respondent may seek to waive any procedural rights or 
steps in the disciplinary process. A request for waiver must be 
in writing, signed by the respondent, and must detail what 
procedural steps the respondent seeks to waive. Any such 
request shall be subject to the acceptance of the Committee or 
subcommittee, as appropriate.
    (c) Not less than 10 calendar days before a scheduled vote 
by an investigative subcommittee on a Statement of Alleged 
Violation, the subcommittee shall provide the respondent with a 
copy of the Statement of Alleged Violation it intends to adopt 
together with all evidence it intends to use to prove those 
charges which it intends to adopt, including documentary 
evidence, witness testimony, memoranda of witness interviews, 
and physical evidence, unless the subcommittee by an 
affirmative vote of a majority of its members decides to 
withhold certain evidence in order to protect a witness, but if 
such evidence is withheld, the subcommittee shall inform the 
respondent that evidence is being withheld and of the count to 
which such evidence relates.
    (d) Neither the respondent nor respondent's counsel shall, 
directly or indirectly, contact the subcommittee or any member 
thereof during the period of time set forth in paragraph (c) 
except for the sole purpose of settlement discussions where 
counsels for the respondent and the subcommittee are present.
    (e) If, at any time after the issuance of a Statement of 
Alleged Violation, the Committee or any subcommittee thereof 
determines that it intends to use evidence not provided to a 
respondent under paragraph (c) to prove the charges contained 
in the Statement of Alleged Violation (or any amendment 
thereof), such evidence shall be made immediately available to 
the respondent, and it may be used in any further proceeding 
under the Committee's rules.
    (f) Evidence provided pursuant to paragraph (c) or (e) 
shall be made available to the respondent and respondent's 
counsel only after each agrees, in writing, that no document, 
information, or other materials obtained pursuant to that 
paragraph shall be made public until--
    (1) such time as a Statement of Alleged Violation is made 
public by the Committee if the respondent has waived the 
adjudicatory hearing; or
    (2) the commencement of an adjudicatory hearing if the 
respondent has not waived an adjudicatory hearing; but the 
failure of respondent and respondent's counsel to so agree in 
writing, and therefore not receive the evidence, shall not 
preclude the issuance of a Statement of Alleged Violation at 
the end of the period referenced to in (c).
    (g) A respondent shall receive written notice whenever--
    (1) the Chair and Ranking Minority Member determine that 
information the Committee has received constitutes a complaint;
    (2) a complaint or allegation is transmitted to an 
investigative subcommittee;
    (3) that subcommittee votes to authorize its first subpoena 
or to take testimony under oath, whichever occurs first; and
    (4) the Committee votes to expand the scope of the inquiry 
of an investigative subcommittee.
    (h) Whenever an investigative subcommittee adopts a 
Statement of Alleged Violation and a respondent enters into an 
agreement with that subcommittee to settle a complaint on which 
the Statement is based, that agreement, unless the respondent 
requests otherwise, shall be in writing and signed by the 
respondent and the respondent's counsel, the Chair and Ranking 
Minority Member of the subcommittee, and outside counsel, if 
any.
    (i) Statements or information derived solely from a 
respondent or respondent's counsel during any settlement 
discussions between the Committee or a subcommittee thereof and 
the respondent shall not be included in any report of the 
subcommittee or the Committee or otherwise publicly disclosed 
without the consent of the respondent.
    (j) Whenever a motion to establish an investigative 
subcommittee does not prevail, the Committee shall promptly 
send a letter to the respondent informing the respondent of 
such vote.
    (k) Witnesses shall be afforded a reasonable period of 
time, as determined by the Committee or subcommittee, to 
prepare for an appearance before an investigative subcommittee 
or for an adjudicatory hearing and to obtain counsel.
    (l) Prior to their testimony, witnesses shall be furnished 
a printed copy of the Committee's Rules of Procedure and the 
provisions of the Rules of the House of Representatives 
applicable to the rights of witnesses.
    (m) Witnesses may be accompanied by their own counsel for 
the purpose of advising them concerning their constitutional 
rights. The Chair may punish breaches of order and decorum, and 
of professional responsibility on the part of counsel, by 
censure and exclusion from the hearings; and the Committee may 
cite the offender to the House of Representatives for contempt.
    (n) Each witness subpoenaed to provide testimony or other 
evidence shall be provided the same per diem rate as 
established, authorized, and regulated by the Committee on 
House Administration for Members, officers and employees of the 
House, and, as the Chair considers appropriate, actual expenses 
of travel to or from the place of examination. No compensation 
shall be authorized for attorney's fees or for a witness' lost 
earnings. Such per diem may not be paid if a witness had been 
summoned at the place of examination.
    (o) With the approval of the Committee, a witness, upon 
request, may be provided with a transcript of the witness' own 
deposition or other testimony taken in executive session, or, 
with the approval of the Chair and Ranking Minority Member, may 
be permitted to examine such transcript in the office of the 
Committee. Any such request shall be in writing and shall 
include a statement that the witness, and counsel, agree to 
maintain the confidentiality of all executive session 
proceedings covered by such transcript.

                       Rule 27. Frivolous Filings

    If a complaint or information offered as a complaint is 
deemed frivolous by an affirmative vote of a majority of the 
members of the Committee, the Committee may take such action as 
it, by an affirmative vote of a majority deems appropriate in 
the circumstances.

          Rule 28. Referrals to Federal or State Authorities 

    Referrals made under clause 3(a)(3) of Rule XI of the Rules 
of the House of Representatives may be made by an affirmative 
vote of two-thirds of the members of the Committee.
                              APPENDIX III


               COMMITTEE ON STANDARDS OF OFFICIAL CONDUCT

                 United States House of Representatives

                     One Hundred Eleventh Congress

    ZOE LOFGREN, California, Chair
    BEN CHANDLER, Kentucky
    G.K. BUTTERFIELD, North Carolina
    KATHY CASTOR, Florida
    PETER WELCH, Vermont

    JO BONNER, Alabama, Ranking Republican Member
    J. GRESHAM BARRETT, South Carolina
    JOHN KLINE, Minnesota
    MICHAEL CONAWAY, Texas
    CHARLES DENT, Pennsylvania
                              ----------                              --
--------

    R. Blake Chisam, Chief Counsel/Staff Director
      



                                CONTENTS

                              ----------                              

        Rules of the Committee on Standards of Official Conduct
                    PART I--GENERAL COMMITTEE RULES

                                                                   Page
Rule 1. General Provisions.......................................   144
Rule 2. Definitions..............................................   145
Rule 3. Advisory Opinions and Waivers............................   146
Rule 4. Financial Disclosure.....................................   147
Rule 5. Meetings.................................................   149
Rule 6. Committee Staff..........................................   150
Rule 7. Confidentiality..........................................   151
Rule 8. Subcommittees--General Policy and Structure..............   152
Rule 9. Quorums and Member Disqualification......................   153
Rule 10. Vote Requirements.......................................   153
Rule 11. Committee Records.......................................   153
Rule 12. Broadcasts of Committee and Subcommittee Proceedings....   154

                    PART II--INVESTIGATIVE AUTHORITY

Rule 13. House Resolution........................................   154
Rule 14. Committee Authority to Investigate--General Policy......   154
Rule 15. Complaints..............................................   155
Rule 16. Duties of Committee Chair and Ranking Minority Member...   155
Rule 17. Processing of Complaints................................   156
Rule 17A. Referrals from the Board of the Office of Congressional 
  Ethics.........................................................   157
Rule 18. Committee-Initiated Inquiry or Investigation............   159
Rule 19. Investigative Subcommittee..............................   160
Rule 20. Amendments to Statements of Alleged Violation...........   162
Rule 21. Committee Reporting Requirements........................   162
Rule 22. Respondent's Answer.....................................   163
Rule 23. Adjudicatory Hearings...................................   164
Rule 24. Sanction Hearing and Consideration of Sanctions or Other 
  Recommendations................................................   167
Rule 25. Disclosure of Exculpatory Information to Respondent.....   168
Rule 26. Rights of Respondents and Witnesses.....................   168
Rule 27. Frivolous Filings.......................................   170
Rule 28. Referrals to Federal or State Authorities...............   170

                                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 ensure that the Committee serves well 
the people of the United States, the House of Representatives, 
and the Members, officers, and employees of the House of 
Representatives.

                    PART I--GENERAL COMMITTEE RULES

                       Rule 1. General Provisions

    (a) So far as applicable, these rules and the Rules of the 
House of Representatives shall be the rules of the Committee 
and any subcommittee. The Committee adopts these rules under 
the authority of clause 2(a)(1) of Rule XI of the Rules of the 
House of Representatives, 111th Congress.
    (b) The rules of the Committee may be modified, amended, or 
repealed by a vote of a majority of the Committee.
    (c) When the interests of justice so require, the 
Committee, by a majority vote of its members, may adopt any 
special procedures, not inconsistent with these rules, deemed 
necessary to resolve a particular matter before it. Copies of 
such special procedures shall be furnished to all parties in 
the matter.
    (d) The Chair and Ranking Minority Member shall have access 
to such information that they request as necessary to conduct 
Committee business.

                          Rule 2. Definitions

    (a) ``Committee'' means the Committee on 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) ``Investigate,'' ``Investigating,'' and/or 
``Investigation'' mean review of the conduct of a Member, 
officer or employee of the House of Representatives that is 
conducted or authorized by the Committee, an investigative 
subcommittee, or the Chair and Ranking Minority Member of the 
Committee.
    (e) ``Board'' means the Board of the Office of 
Congressional Ethics.
    (f) ``Referral'' means a report sent to the Committee from 
the Board pursuant to House Rules and all applicable House 
Resolutions regarding the conduct of a House Member, officer, 
or employee, including any accompanying findings or other 
supporting documentation.
    (g) ``Investigative Subcommittee'' means a subcommittee 
designated pursuant to Rule 19(a) to conduct an inquiry to 
determine if a Statement of Alleged Violation should be issued.
    (h) ``Statement of Alleged Violation'' means a formal 
charging document filed by an investigative subcommittee with 
the Committee containing specific allegations against a Member, 
officer, or employee of the House of Representatives of a 
violation of the Code of Official Conduct, or of a law, rule, 
regulation, or other standard of conduct applicable to the 
performance of official duties or the discharge of official 
responsibilities.
    (i) ``Adjudicatory Subcommittee'' means a subcommittee 
designated pursuant to Rule 23(a) that holds an adjudicatory 
hearing and determines whether the counts in a Statement of 
Alleged Violation are proved by clear and convincing evidence.
    (j) ``Sanction Hearing'' means a Committee hearing to 
determine what sanction, if any, to adopt or to recommend to 
the House of Representatives.
    (k) ``Respondent'' means a Member, officer, or employee of 
the House of Representatives who is the subject of a complaint 
filed with the Committee or who is the subject of an inquiry or 
a Statement of Alleged Violation.
    (l) ``Office of Advice and Education'' refers to the Office 
established by section 803(i) of the Ethics Reform Act of 1989. 
The Office handles inquiries; prepares written opinions in 
response to specific requests; develops general guidance; and 
organizes seminars, workshops, and briefings for the benefit of 
the House of Representatives.
    (m) ``Member'' means a Representative in, or a Delegate to, 
or the Resident Commissioner to, the U.S. House of 
Representatives.

                 Rule 3. Advisory Opinions and Waivers

    (a) The Office of Advice and Education shall handle 
inquiries; prepare written opinions providing specific advice, 
including reviews of requests for privately-sponsored travel 
pursuant to the Committee's travel regulations; develop general 
guidance; and organize seminars, workshops, and briefings for 
the benefit of the House of Representatives.
    (b) Any Member, officer, or employee of the House of 
Representatives may request a written opinion with respect to 
the propriety of any current or proposed conduct of such 
Member, officer, or employee.
    (c) The Office of Advice and Education may provide 
information and guidance regarding, laws, rules, regulations, 
and other standards of conduct applicable to Members, officers, 
and employees in the performance of their duties or the 
discharge of their responsibilities.
    (d) In general, the Committee shall provide a written 
opinion to an individual only in response to a written request, 
and the written opinion shall address the conduct only of the 
inquiring individual, or of persons for whom the inquiring 
individual is responsible as employing authority.
    (e) A written request for an opinion shall be addressed to 
the Chair of the Committee and shall include a complete and 
accurate statement of the relevant facts. A request shall be 
signed by the requester or the requester's authorized 
representative or employing authority. A representative shall 
disclose to the Committee the identity of the principal on 
whose behalf advice is being sought.
    (f) Requests for privately-sponsored travel shall be 
treated like any other request for a written opinion for 
purposes of paragraphs (g) through (l).
    (1) The Committee's Travel Guidelines and Regulations shall 
govern the request submission and Committee approval process 
for privately-sponsored travel consistent with House Rules.
    (2) A request for privately-sponsored travel of a Member, 
officer, or employee shall include a completed and signed 
Traveler Form that attaches the Private Sponsor Certification 
Form and includes all information required by the Committee's 
travel regulations. A private sponsor offering officially-
connected travel to a Member, officer, or employee must 
complete and sign a Private Sponsor Certification Form, and 
provide a copy of that form to the invitee(s).
    (3) Any individual who knowingly and willfully falsifies, 
or who knowingly and willfully fails to file a Traveler Form or 
Private Sponsor Certification Form may be subject to civil 
penalties and criminal sanctions pursuant to 18 U.S.C. 
Sec. 1001.
    (g) The Office of Advice and Education shall prepare for 
the Committee a response to each written request for an opinion 
from a Member, officer, or employee. Each response shall 
discuss all applicable laws, rules, regulations, or other 
standards.
    (h) Where a request is unclear or incomplete, the Office of 
Advice and Education may seek additional information from the 
requester.
    (i) The Chair and Ranking Minority Member are authorized to 
take action on behalf of the Committee on any proposed written 
opinion that they determine does not require consideration by 
the Committee. If the Chair or Ranking Minority Member requests 
a written opinion, or seeks a waiver, extension, or approval 
pursuant to Rules 3(m), 4(c), 4(e), or 4(h), the next ranking 
member of the requester's party is authorized to act in lieu of 
the requester.
    (j) The Committee shall keep confidential any request for 
advice from a Member, officer, or employee, as well as any 
response thereto. Upon request of any Member, officer, or 
employee who has submitted a written request for an opinion or 
submitted a request for privately-sponsored travel, the 
Committee may release to the requesting individual a copy of 
their own written request for advice or submitted travel forms, 
any subsequent written communications between such individual 
and Committee staff regarding the request, and any Committee 
advisory opinion or travel letter issued to that individual in 
response. The Committee shall not release any internal 
Committee staff work product, communications or notes in 
response to such a request, except as authorized by the 
Committee.
    (k) The Committee may take no adverse action in regard to 
any conduct that has been undertaken in reliance on a written 
opinion if the conduct conforms to the specific facts addressed 
in the opinion.
    (l) Information provided to the Committee by a Member, 
officer, or employee seeking advice regarding prospective 
conduct may not be used as the basis for initiating an 
investigation under clause 3(a)(2) or clause 3(b) of Rule XI of 
the Rules of the House of Representatives, if such Member, 
officer, or employee acts in good faith in accordance with the 
written advice of the Committee.
    (m) A written request for a waiver of clause 5 of House 
Rule XXV (the House gift rule), or for any other waiver or 
approval, shall be treated in all respects like any other 
request for a written opinion.
    (n) A written request for a waiver of clause 5 of House 
Rule XXV (the House gift rule) shall specify the nature of the 
waiver being sought and the specific circumstances justifying 
the waiver.
    (o) An employee seeking a waiver of time limits applicable 
to travel paid for by a private source shall include with the 
request evidence that the employing authority is aware of the 
request. In any other instance where proposed employee conduct 
may reflect on the performance of official duties, the 
Committee may require that the requester submit evidence that 
the employing authority knows of the conduct.

                      Rule 4. Financial Disclosure

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

                            Rule 5. Meetings

    (a) The regular meeting day of the Committee shall be the 
second Tuesday of each month, except when the House of 
Representatives is not meeting on that day. When the Committee 
Chair determines that there is sufficient reason, meetings may 
be called on additional days. A regularly scheduled meeting 
need not be held when the Chair determines there is no business 
to be considered.
    (b) The Chair shall establish the agenda for meetings of 
the Committee and the Ranking Minority Member may place 
additional items on the agenda.
    (c) All meetings of the Committee or any subcommittee shall 
occur in executive session unless the Committee or 
subcommittee, by an affirmative vote of a majority of its 
members, opens the meeting to the public.
    (d) Any hearing held by an adjudicatory subcommittee or any 
sanction hearing held by the Committee shall be open to the 
public unless the Committee or subcommittee, by an affirmative 
vote of a majority of its members, closes the hearing to the 
public.
    (e) A subcommittee shall meet at the discretion of its 
Chair.
    (f) Insofar as practicable, notice for any Committee or 
subcommittee meeting shall be provided at least seven days in 
advance of the meeting. The Chair of the Committee or 
subcommittee may waive such time period for good cause.

                        Rule 6. Committee Staff

    (a) The staff is to be assembled and retained as a 
professional, nonpartisan staff.
    (b) Each member of the staff shall be professional and 
demonstrably qualified for the position for which the 
individual is hired.
    (c) The staff as a whole and each individual member of the 
staff shall perform all official duties in a nonpartisan 
manner.
    (d) No member of the staff shall engage in any partisan 
political activity directly affecting any congressional or 
presidential election.
    (e) No member of the staff or outside counsel may accept 
public speaking engagements or write for publication on any 
subject that is in any way related to the employment or duties 
with the Committee of such individual without specific prior 
approval from the Chair and Ranking Minority Member.
    (f) All staff members shall be appointed by an affirmative 
vote of a majority of the members of the Committee. Such vote 
shall occur at the first meeting of the membership of the 
Committee during each Congress and as necessary during the 
Congress.
    (g) Subject to the approval of the Committee on House 
Administration, the Committee may retain counsel not employed 
by the House of Representatives whenever the Committee 
determines, by an affirmative vote of a majority of the members 
of the Committee, that the retention of outside counsel is 
necessary and appropriate.
    (h) If the Committee determines that it is necessary to 
retain staff members for the purpose of a particular 
investigation or other proceeding, then such staff shall be 
retained only for the duration of that particular investigation 
or proceeding.
    (i) Outside counsel may be dismissed prior to the end of a 
contract between the Committee and such counsel only by a 
majority vote of the members of the Committee.
    (j) In addition to any other staff provided for by law, 
rule, or other authority, with respect to the Committee, the 
Chair and Ranking Minority Member each may appoint one 
individual as a shared staff member from the respective 
personal staff of the Chair or Ranking Minority Member to 
perform service for the Committee. Such shared staff may assist 
the Chair or Ranking Minority Member on any subcommittee on 
which the Chair or Ranking Minority Member serves. Only 
paragraphs (c) and (e) of this Rule and Rule 7(b) shall apply 
to shared staff.

                        Rule 7. Confidentiality

    (a) Before any Member or employee of the Committee, 
including members of an investigative subcommittee selected 
under clause 5(a)(4) of Rule X of the House of Representatives 
and shared staff designated pursuant to Committee Rule 6(j), 
may have access to information that is confidential under the 
rules of the Committee, the following oath (or affirmation) 
shall be executed in writing:
    ``I do solemnly swear (or affirm) that I will not disclose, 
to any person or entity outside the Committee on 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.
    (b) No member of the staff or outside counsel may make 
public, unless approved by an affirmative vote of a majority of 
the members of the Committee, any information, document, or 
other material that is confidential, derived from executive 
session, or classified and that is obtained during the course 
of employment with the Committee.
    (c) Committee members and staff shall not disclose any 
evidence relating to an investigation to any person or 
organization outside the Committee unless authorized by the 
Committee.
    (d) Members and staff of the Committee shall not disclose 
to any person or organization outside the Committee, unless 
authorized by the Committee, any information regarding the 
Committee's or a subcommittee's investigative, adjudicatory or 
other proceedings, including but not limited to: (i) the fact 
or nature of any complaints; (ii) executive session 
proceedings; (iii) information pertaining to or copies of any 
Committee or subcommittee report, study or other document which 
purports to express the views, findings, conclusions or 
recommendations of the Committee or subcommittee in connection 
with any of its activities or proceedings; or (iv) any other 
information or allegation respecting the conduct of a Member, 
officer or employee of the House. This rule shall not prohibit 
the Chair or Ranking Minority Member from disclosing to the 
Board of the Office of Congressional Ethics the existence of a 
Committee investigation, the name of the Member, officer or 
employee of the House who is the subject of that investigation, 
and a brief statement of the scope of that investigation in a 
written request for referral pursuant to Rule 17A(k). Such 
disclosures will only be made subject to written confirmation 
from the Board that the information provided by Chair or 
Ranking Minority Member will be kept confidential by the Board.
    (e) Except as otherwise specifically authorized by the 
Committee, no Committee member or staff member shall disclose 
to any person outside the Committee, the name of any witness 
subpoenaed to testify or to produce evidence.
    (f) Except as provided in Rule 17A, the Committee shall not 
disclose to any person or organization outside the Committee 
any information concerning the conduct of a respondent until it 
has transmitted a Statement of Alleged Violation to such 
respondent and the respondent has been given full opportunity 
to respond pursuant to Rule 22. The Statement of Alleged 
Violation and any written response thereto shall be made public 
at the first meeting or hearing on the matter that is open to 
the public after such opportunity has been provided. Any other 
materials in the possession of the Committee regarding such 
statement may be made public as authorized by the Committee to 
the extent consistent with the Rules of the House of 
Representatives. If no public hearing is held on the matter, 
the Statement of Alleged Violation and any written response 
thereto shall be included in the Committee's final report on 
the matter to the House of Representatives.
    (g) Unless otherwise determined by a vote of the Committee, 
only the Chair or Ranking Minority Member of the Committee, 
after consultation with each other, may make public statements 
regarding matters before the Committee or any subcommittee.
    (h) The Committee may establish procedures necessary to 
prevent the unauthorized disclosure of any testimony or other 
information received by the Committee or its staff.

          Rule 8. Subcommittees--General Policy and Structure

    (a) Notwithstanding any other provision of these Rules, the 
Chair and Ranking Minority Member of the Committee may consult 
with an investigative subcommittee either on their own 
initiative or on the initiative of the subcommittee, shall have 
access to evidence and information before a subcommittee with 
whom they so consult, and shall not thereby be precluded from 
serving as full, voting members of any adjudicatory 
subcommittee. Except for the Chair and Ranking Minority Member 
of the Committee pursuant to this paragraph, evidence in the 
possession of an investigative subcommittee shall not be 
disclosed to other Committee members except by a vote of the 
subcommittee.
    (b) The Committee may establish other noninvestigative and 
nonadjudicatory subcommittees and may assign to them such 
functions as it may deem appropriate. The membership of each 
subcommittee shall provide equal representation for the 
majority and minority parties.
    (c) The Chair may refer any bill, resolution, or other 
matter before the Committee to an appropriate subcommittee for 
consideration. Any such bill, resolution, or other matter may 
be discharged from the subcommittee to which it was referred by 
a majority vote of the Committee.
    (d) Any member of the Committee may sit with any 
noninvestigative or nonadjudicatory subcommittee, but only 
regular members of such subcommittee may vote on any matter 
before that subcommittee.

              Rule 9. Quorums and Member Disqualification

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

                       Rule 10. Vote Requirements

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

                       Rule 11. Committee Records

    (a) All communications and all pleadings pursuant to these 
rules shall be filed with the Committee at the Committee's 
office or such other place as designated by the Committee.
    (b) All records of the Committee which have been delivered 
to the Archivist of the United States shall be made available 
to the public in accordance with Rule VII of the Rules of the 
House of Representatives.

     Rule 12. Broadcasts of Committee and Subcommittee Proceedings

    (a) Television or radio coverage of a Committee or 
subcommittee hearing or meeting shall be without commercial 
sponsorship.
    (b) Not more than four television cameras, operating from 
fixed positions, shall be permitted in a hearing or meeting 
room. The Committee may allocate the positions of permitted 
television cameras among the television media in consultation 
with the Executive Committee of the Radio and Television 
Correspondents' Galleries.
    (c) Television cameras shall be placed so as not to 
obstruct in any way the space between any witness giving 
evidence or testimony and any member of the Committee, or the 
visibility of that witness and that member to each other.
    (d) Television cameras shall not be placed in positions 
that unnecessarily obstruct the coverage of the hearing or 
meeting by the other media.

                    PART II--INVESTIGATIVE AUTHORITY

                       Rule 13. House Resolution

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

      Rule 14. Committee Authority to Investigate--General Policy

    (a) Pursuant to clause 3(b) of Rule XI of the Rules of the 
House of Representatives, the Committee may exercise its 
investigative authority when:
    (1) information offered as a complaint by a Member of the 
House of Representatives is transmitted directly to the 
Committee;
    (2) information offered as a complaint by an individual not 
a Member of the House is transmitted to the Committee, provided 
that a Member of the House certifies in writing that such 
Member believes the information is submitted in good faith and 
warrants the review and consideration of the Committee;
    (3) the Committee, on its own initiative, undertakes an 
investigation;
    (4) a Member, officer, or employee is convicted in a 
Federal, State, or local court of a felony;
    (5) the House of Representatives, by resolution, authorizes 
or directs the Committee to undertake an inquiry or 
investigation; or
    (6) a referral from the Board is transmitted to the 
Committee.
    (b) The Committee also has investigatory authority over:
    (1) certain unauthorized disclosures of intelligence-
related information, pursuant to House Rule X, clauses 11(g)(4) 
and (g)(5); or
    (2) reports received from the Office of the Inspector 
General pursuant to House Rule II, clause 6(c)(5).

                          Rule 15. Complaints

    (a) A complaint submitted to the Committee shall be in 
writing, dated, and properly verified (a document will be 
considered properly verified where a notary executes it with 
the language, ``Signed and sworn to (or affirmed) before me on 
(date) by (the name of the person)'' setting forth in simple, 
concise, and direct statements----
    (1) the name and legal address of the party filing the 
complaint (hereinafter referred to as the ``complainant'');
    (2) the name and position or title of the respondent;
    (3) the nature of the alleged violation of the Code of 
Official Conduct or of other law, rule, regulation, or other 
standard of conduct applicable to the performance of duties or 
discharge of responsibilities; and
    (4) the facts alleged to give rise to the violation. The 
complaint shall not contain innuendo, speculative assertions, 
or conclusory statements.
    (b) Any documents in the possession of the complainant that 
relate to the allegations may be submitted with the complaint.
    (c) Information offered as a complaint by a Member of the 
House of Representatives may be transmitted directly to the 
Committee.
    (d) Information offered as a complaint by an individual not 
a Member of the House may be transmitted to the Committee, 
provided that a Member of the House certifies in writing that 
such Member believes the information is submitted in good faith 
and warrants the review and consideration of the Committee.
    (e) A complaint must be accompanied by a certification, 
which may be unsworn, that the complainant has provided an 
exact copy of the filed complaint and all attachments to the 
respondent.
    (f) The Committee may defer action on a complaint against a 
Member, officer, or employee of the House of Representatives 
when the complaint alleges conduct that the Committee has 
reason to believe is being reviewed by appropriate law 
enforcement or regulatory authorities, or when the Committee 
determines that it is appropriate for the conduct alleged in 
the complaint to be reviewed initially by law enforcement or 
regulatory authorities.
    (g) A complaint may not be amended without leave of the 
Committee. Otherwise, any new allegations of improper conduct 
must be submitted in a new complaint that independently meets 
the procedural requirements of the Rules of the House of 
Representatives and the Committee's Rules.
    (h) The Committee shall not accept, and shall return to the 
complainant, any complaint submitted within the 60 days prior 
to an election in which the subject of the complaint is a 
candidate.
    (i) The Committee shall not consider a complaint, nor shall 
any investigation be undertaken by the Committee, of any 
alleged violation which occurred before the third previous 
Congress unless the Committee determines that the alleged 
violation is directly related to an alleged violation which 
occurred in a more recent Congress.

     Rule 16. Duties of Committee Chair and Ranking Minority Member

    (a) Whenever information offered as a complaint is 
submitted to the Committee, the Chair and Ranking Minority 
Member shall have 14 calendar days or 5 legislative days, 
whichever occurs first, to determine whether the information 
meets the requirements of the Committee's rules for what 
constitutes a complaint.
    (b) Whenever the Chair and Ranking Minority Member jointly 
determine that information submitted to the Committee meets the 
requirements of the Committee's rules for what constitutes a 
complaint, they shall have 45 calendar days or 5 legislative 
days, whichever is later, after the date that the Chair and 
Ranking Minority Member determine that information filed meets 
the requirements of the Committee's rules for what constitutes 
a complaint, unless the Committee by an affirmative vote of a 
majority of its members votes otherwise, to--
    (1) recommend to the Committee that it dispose of the 
complaint, or any portion thereof, in any manner that does not 
require action by the House, which may include dismissal of the 
complaint or resolution of the complaint by a letter to the 
Member, officer, or employee of the House against whom the 
complaint is made;
    (2) establish an investigative subcommittee; or
    (3) request that the Committee extend the applicable 45-
calendar day period when they determine more time is necessary 
in order to make a recommendation under paragraph (1) or (2) of 
Rule 16(b).
    (c) The Chair and Ranking Minority Member may jointly 
gather additional information concerning alleged conduct which 
is the basis of a complaint or of information offered as a 
complaint until they have established an investigative 
subcommittee or the Chair or Ranking Minority Member has placed 
on the agenda the issue of whether to establish an 
investigative subcommittee.
    (d) If the Chair and Ranking Minority Member jointly 
determine that information submitted to the Committee meets the 
requirements of the Committee rules for what constitutes a 
complaint, and the complaint is not disposed of within 45 
calendar days or 5 legislative days, whichever is later, and no 
additional 45-day extension is made, then they shall establish 
an investigative subcommittee and forward the complaint, or any 
portion thereof, to that subcommittee for its consideration. If 
at any time during the time period either the Chair or Ranking 
Minority Member places on the agenda the issue of whether to 
establish an investigative subcommittee, then an investigative 
subcommittee may be established only by an affirmative vote of 
a majority of the members of the Committee.
    (e) Whenever the Chair and Ranking Minority Member jointly 
determine that information submitted to the Committee does not 
meet the requirements for what constitutes a complaint set 
forth in the Committee rules, they may (1) return the 
information to the complainant with a statement that it fails 
to meet the requirements for what constitutes a complaint set 
forth in the Committee's rules; or (2) recommend to the 
Committee that it authorize the establishment of an 
investigative subcommittee.

                   Rule 17. Processing of Complaints

    (a) If a complaint is in compliance with House and 
Committee Rules, a copy of the complaint and the Committee 
Rules shall be forwarded to the respondent within 5 days with 
notice that the complaint conforms to the applicable rules.
    (b) The respondent may, within 30 days of the Committee's 
notification, provide to the Committee any information relevant 
to a complaint filed with the Committee. The respondent may 
submit a written statement in response to the complaint. Such a 
statement shall be signed by the respondent. If the statement 
is prepared by counsel for the respondent, the respondent shall 
sign a representation that the respondent has reviewed the 
response and agrees with the factual assertions contained 
therein.
    (c) The Committee staff may request information from the 
respondent or obtain additional information relevant to the 
case from other sources prior to the establishment of an 
investigative subcommittee only when so directed by the Chair 
and Ranking Minority Member.
    (d) The respondent shall be notified in writing regarding 
the Committee's decision either to dismiss the complaint or to 
create an investigative subcommittee.

   Rule 17A. Referrals from the Board of the Office of Congressional 
                                 Ethics

    (a) The Committee has exclusive jurisdiction over the 
interpretation, administration, and enforcement of the Code of 
Official Conduct pursuant to clause 1(q) of House Rule X. 
Receipt of referrals from the Board under this rule does not 
limit the Committee's discretion to address referrals in any 
way through the appropriate procedures authorized by Committee 
Rules. The Committee shall review the report and findings 
transmitted by the Board without prejudice or presumptions as 
to the merit of the allegations.
    (b)(1) Whenever the Committee receives either (A) a 
referral containing a written report and any findings and 
supporting documentation from the Board; or (B) a referral from 
the Board pursuant to a request under Rule 17A(k), the Chair 
shall have 45 calendar days or 5 legislative days after the 
date the referral is received, whichever is later, to make 
public the report and findings of the Board unless the Chair 
and Ranking Minority Member jointly decide, or the Committee 
votes, to withhold such information for not more than one 
additional 45-day period.
    (2) At least one calendar day before the Committee makes 
public any report and findings of the Board, the Chair shall 
notify in writing the Board and the Member, officer, or 
employee who is the subject of the referral of the impending 
public release of these documents. At the same time, Chair 
shall transmit a copy of any public statement on the 
Committee's disposition of the matter and any accompanying 
Committee report to the individual who is the subject of the 
referral.
    (3) All public statements and reports and findings of the 
Board that are required to be made public under this Rule shall 
be posted on the Committee's website.
    (c) If the OCE report and findings are withheld for an 
additional 45-day period pursuant to paragraph (b)(1), Chair 
shall--
    (1) make a public statement that the Committee has decided 
or voted to extend the matter referred from the Board on the 
day of such decision or vote; and
    (2) make public the written report and findings pursuant to 
paragraph (b) upon the termination of such additional period.
    (d) If the Board transmits a report with a recommendation 
to dismiss or noting a matter as unresolved due to a tie vote, 
and the Committee votes to extend the matter for an additional 
period as provided in paragraph (b), the Committee is not 
required to make a public statement that the Committee has 
voted to extend the matter pursuant to paragraph (b)(1).
    (e) If the Committee votes to dismiss a matter referred 
from the Board, the Committee is not required to make public 
the written report and findings of the Board pursuant to 
paragraph (c) unless the Committee's vote is inconsistent with 
the recommendation of the Board. A vote by the Committee to 
dismiss a matter is not considered inconsistent with a report 
from the Board that the matter is unresolved by the Board due 
to a tie vote.
    (f) Except as provided by paragraph (g):
    (1) If the Committee establishes an investigative 
subcommittee respecting any matter referred by the Board, then 
the report and findings of the Board shall not be made public 
until the conclusion of the investigative subcommittee process 
pursuant to Rule 19. The Committee shall issue a public 
statement noting the establishment of an investigative 
subcommittee, which shall include the name of the Member, 
officer, or employee who is the subject of the inquiry, and 
shall set forth the alleged violation.
    (2) If any such investigative subcommittee does not 
conclude its review within one year after the Board's referral, 
then the Committee shall make public the report of the Board no 
later than one year after the referral. If the investigative 
subcommittee does not conclude its review before the end of the 
Congress in which the report of the Board is made public, the 
Committee shall make public any findings of the Board on the 
last day of that Congress.
    (g) If the vote of the Committee is a tie or the Committee 
fails to act by the close of any applicable period(s) under 
this rule, the report and the findings of the Board shall be 
made public by the Committee, along with a public statement by 
the Chair explaining the status of the matter.
    (h)(1) If the Committee agrees to a request from an 
appropriate law enforcement or regulatory authority to defer 
taking action on a matter referred by the Board under paragraph 
(b)--
    (A) The Committee is not required to make public the 
written report and findings of the Board pursuant to paragraph 
(c), except that if the recommendation of the Board is that the 
matter requires further review, the Committee shall make public 
the written report of the Board but not the findings; and
    (B) The Committee shall make a public statement that it is 
deferring taking action on the matter at the request of such 
law enforcement or regulatory authority within one day 
(excluding weekends and public holidays) of the day that the 
Committee agrees to the request.
    (2) If the Committee has not acted on the matter within one 
year of the date the public statement described in paragraph 
(h)(1)(B) is released, the Committee shall make a public 
statement that it continues to defer taking action on the 
matter. The Committee shall make a new statement upon the 
expiration of each succeeding one-year period during which the 
Committee has not acted on the matter.
    (i) The Committee shall not accept, and shall return to the 
Board, any referral from the Board within 60 days before a 
Federal, State, or local election in which the subject of the 
referral is a candidate.
    (j) The Committee may postpone any reporting requirement 
under this rule that falls within that 60-day period until 
after the date of the election in which the subject of the 
referral is a candidate. For purposes of calculating any 
applicable period under this Rule, any days within the 60-day 
period before such an election shall not be counted.
    (k)(1) At any time after the Committee receives written 
notification from the Board of the Office of Congressional 
Ethics that the Board is undertaking a review of alleged 
conduct of any Member, officer, or employee of the House at a 
time when the Committee is investigating, or has completed an 
investigation of the same matter, the Committee may so notify 
the Board in writing and request that the Board cease its 
review and refer the matter to the Committee for its 
consideration immediately. The Committee shall also notify the 
Board in writing if the Committee has not reached a final 
resolution of the matter or has not referred the matter to the 
appropriate Federal or State authorities by the end of any 
applicable time period specified in Rule 17A (including any 
permissible extension).
    (2) The Committee may not request a second referral of the 
matter from the Board if the Committee has notified the Board 
that it is unable to resolve the matter previously requested 
pursuant to this section. The Board may subsequently send a 
referral regarding a matter previously requested and returned 
by the Committee after the conclusion of the Board's review 
process.

         Rule 18. Committee-Initiated Inquiry or Investigation

    (a) Notwithstanding the absence of a filed complaint, the 
Committee may consider any information in its possession 
indicating that a Member, officer, or employee may have 
committed a violation of the Code of Official Conduct or any 
law, rule, regulation, or other standard of conduct applicable 
to the conduct of such Member, officer, or employee in the 
performance of the duties or the discharge of the 
responsibilities of such individual. The Chair and Ranking 
Minority Member may jointly gather additional information 
concerning such an alleged violation by a Member, officer, or 
employee unless and until an investigative subcommittee has 
been established. The Chair and Ranking Minority Member may 
also jointly take appropriate action consistent with Committee 
Rules to resolve the matter.
    (b) If the Committee votes to establish an investigative 
subcommittee, the Committee shall proceed in accordance with 
Rule 19.
    (c) Any written request by a Member, officer, or employee 
of the House of Representatives that the Committee conduct an 
investigation into such person's own conduct shall be 
considered in accordance with subsection (a) of this Rule.
    (d) An inquiry shall not be undertaken regarding any 
alleged violation that occurred before the third previous 
Congress unless a majority of the Committee determines that the 
alleged violation is directly related to an alleged violation 
that occurred in a more recent Congress.
    (e)(1) An inquiry shall be undertaken by an investigative 
subcommittee with regard to any felony conviction of a Member, 
officer, or employee of the House of Representatives in a 
Federal, State, or local court who has been sentenced. 
Notwithstanding this provision, the Committee has the 
discretion to initiate an inquiry upon an affirmative vote of a 
majority of the members of the Committee at any time prior to 
conviction or sentencing.
    (2) Not later than 30 days after a Member, officer or 
employee of the House is indicted or otherwise formally charged 
with criminal conduct in any Federal, State or local court, the 
Committee shall either initiate an inquiry upon a majority vote 
of the members of the Committee or submit a report to the House 
describing its reasons for not initiating an inquiry and 
describing the actions, if any, that the Committee has taken in 
response to the allegations.

                  Rule 19. Investigative Subcommittee

    (a)(1) Upon the establishment of an investigative 
subcommittee, the Chair and Ranking Minority Member of the 
Committee shall designate four members (with equal 
representation from the majority and minority parties) to serve 
as an investigative subcommittee to undertake an inquiry. 
Members of the Committee and Members of the House selected 
pursuant to clause 5(a)(4)(A) of Rule X of the House of 
Representatives are eligible for appointment to an 
investigative subcommittee, as determined by the Chair and 
Ranking Minority Member of the Committee. At the time of 
appointment, the Chair shall designate one member of the 
subcommittee to serve as the Chair and the Ranking Minority 
Member shall designate one member of the subcommittee to serve 
as the ranking minority member of the investigative 
subcommittee. The Chair and Ranking Minority Member of the 
Committee may serve as members of an investigative 
subcommittee, but may not serve as non-voting, ex-officio 
members.
    (2) The respondent shall be notified of the membership of 
the investigative subcommittee and shall have 10 days after 
such notice is transmitted to object to the participation of 
any subcommittee member. Such objection shall be in writing and 
must be on the grounds that the subcommittee member cannot 
render an impartial and unbiased decision. The subcommittee 
member against whom the objection is made shall be the sole 
judge of any disqualification and may choose to seek 
disqualification from participating in the inquiry pursuant to 
Rule 9(e).
    (b) In an inquiry undertaken by an investigative 
subcommittee--
    (1) All proceedings, including the taking of testimony, 
shall be conducted in executive session and all testimony taken 
by deposition or things produced pursuant to subpoena or 
otherwise shall be deemed to have been taken or produced in 
executive session.
    (2) The Chair of the investigative subcommittee shall ask 
the respondent and all witnesses whether they intend to be 
represented by counsel. If so, the respondent or witnesses or 
their legal representatives shall provide written designation 
of counsel. A respondent or witness who is represented by 
counsel shall not be questioned in the absence of counsel 
unless an explicit waiver is obtained.
    (3) The subcommittee shall provide the respondent an 
opportunity to present, orally or in writing, a statement, 
which must be under oath or affirmation, regarding the 
allegations and any other relevant questions arising out of the 
inquiry.
    (4) The staff may interview witnesses, examine documents 
and other evidence, and request that submitted statements be 
under oath or affirmation and that documents be certified as to 
their authenticity and accuracy.
    (5) The subcommittee, by a majority vote of its members, 
may require, by subpoena or otherwise, the attendance and 
testimony of witnesses and the production of such books, 
records, correspondence, memoranda, papers, documents, and 
other items as it deems necessary to the conduct of the 
inquiry. Unless the Committee otherwise provides, the subpoena 
power shall rest in the Chair and Ranking Minority Member of 
the Committee and a subpoena shall be issued upon the request 
of the investigative subcommittee.
    (6) The subcommittee shall require that testimony be given 
under oath or affirmation. The form of the oath or affirmation 
shall be: ``Do you solemnly swear (or affirm) that the 
testimony you will give before this subcommittee in the matter 
now under consideration will be the truth, the whole truth, and 
nothing but the truth (so help you God)?'' The oath or 
affirmation shall be administered by the Chair or subcommittee 
member designated by the Chair to administer oaths.
    (c) During the inquiry, the procedure respecting the 
admissibility of evidence and rulings shall be as follows:
    (1) Any relevant evidence shall be admissible unless the 
evidence is privileged under the precedents of the House of 
Representatives.
    (2) The Chair of the subcommittee or other presiding member 
at any investigative subcommittee proceeding shall rule upon 
any question of admissibility or relevance of evidence, motion, 
procedure or any other matter, and may direct any witness to 
answer any question under penalty of contempt. A witness, 
witness counsel, or a member of the subcommittee may appeal any 
rulings to the members present at that proceeding. A majority 
vote of the members present at such proceeding on such appeal 
shall govern the question of admissibility, and no appeal shall 
lie to the Committee.
    (3) Whenever a person is determined by a majority vote to 
be in contempt of the subcommittee, the matter may be referred 
to the Committee to determine whether to refer the matter to 
the House of Representatives for consideration.
    (4) Committee counsel may, subject to subcommittee 
approval, enter into stipulations with the respondent and/or 
the respondent's counsel as to facts that are not in dispute.
    (d) Upon an affirmative vote of a majority of the 
subcommittee members, and an affirmative vote of a majority of 
the full Committee, an investigative subcommittee may expand 
the scope of its inquiry.
    (e) Upon completion of the inquiry, the staff shall draft 
for the investigative subcommittee a report that shall contain 
a comprehensive summary of the information received regarding 
the alleged violations.
    (f) Upon completion of the inquiry, an investigative 
subcommittee, by a majority vote of its members, may adopt a 
Statement of Alleged Violation if it determines that there is 
substantial reason to believe that a violation of the Code of 
Official Conduct, or of a law, rule, regulation, or other 
standard of conduct applicable to the performance of official 
duties or the discharge of official responsibilities by a 
Member, officer, or employee of the House of Representatives 
has occurred. If more than one violation is alleged, such 
Statement shall be divided into separate counts. Each count 
shall relate to a separate violation, shall contain a plain and 
concise statement of the alleged facts of such violation, and 
shall include a reference to the provision of the Code of 
Official Conduct or law, rule, regulation or other applicable 
standard of conduct governing the performance of duties or 
discharge of responsibilities alleged to have been violated. A 
copy of such Statement shall be transmitted to the respondent 
and the respondent's counsel.
    (g) If the investigative subcommittee does not adopt a 
Statement of Alleged Violation, it shall transmit to the 
Committee a report containing a summary of the information 
received in the inquiry, its conclusions and reasons therefor, 
and any appropriate recommendation.

        Rule 20. Amendments to Statements of Alleged Violation 

    (a) An investigative subcommittee may, upon an affirmative 
vote of a majority of its members, amend its Statement of 
Alleged Violation anytime before the Statement of Alleged 
Violation is transmitted to the Committee; and
    (b) If an investigative subcommittee amends its Statement 
of Alleged Violation, the respondent shall be notified in 
writing and shall have 30 calendar days from the date of that 
notification to file an answer to the amended Statement of 
Alleged Violation.

               Rule 21. Committee Reporting Requirements

    (a) Whenever an investigative subcommittee does not adopt a 
Statement of Alleged Violation and transmits a report to that 
effect to the Committee, the Committee may by an affirmative 
vote of a majority of its members transmit such report to the 
House of Representatives;
    (b) Whenever an investigative subcommittee adopts a 
Statement of Alleged Violation but recommends that no further 
action be taken, it shall transmit a report to the Committee 
regarding the Statement of Alleged Violation; and
    (c) Whenever an investigative subcommittee adopts a 
Statement of Alleged Violation, the respondent admits to the 
violations set forth in such Statement, the respondent waives 
the right to an adjudicatory hearing, and the respondent's 
waiver is approved by the Committee--
    (1) the subcommittee shall prepare a report for transmittal 
to the Committee, a final draft of which shall be provided to 
the respondent not less than 15 calendar days before the 
subcommittee votes on whether to adopt the report;
    (2) the respondent may submit views in writing regarding 
the final draft to the subcommittee within 7 calendar days of 
receipt of that draft;
    (3) the subcommittee shall transmit a report to the 
Committee regarding the Statement of Alleged Violation together 
with any views submitted by the respondent pursuant to 
subparagraph (2), and the Committee shall make the report, 
together with the respondent's views, available to the public 
before the commencement of any sanction hearing; and
    (4) the Committee shall by an affirmative vote of a 
majority of its members issue a report and transmit such report 
to the House of Representatives, together with the respondent's 
views previously submitted pursuant to subparagraph (2) and any 
additional views respondent may submit for attachment to the 
final report; and
    (d) Members of the Committee shall have not less than 72 
hours to review any report transmitted to the Committee by an 
investigative subcommittee before both the commencement of a 
sanction hearing and the Committee vote on whether to adopt the 
report.

                     Rule 22. Respondent's Answer 

    (a)(1) Within 30 days from the date of transmittal of a 
Statement of Alleged Violation, the respondent shall file with 
the investigative subcommittee an answer, in writing and under 
oath, signed by respondent and respondent's counsel. Failure to 
file an answer within the time prescribed shall be considered 
by the Committee as a denial of each count.
    (2) The answer shall contain an admission to or denial of 
each count set forth in the Statement of Alleged Violation and 
may include negative, affirmative, or alternative defenses and 
any supporting evidence or other relevant information.
    (b) The respondent may file a Motion for a Bill of 
Particulars within 10 days of the date of transmittal of the 
Statement of Alleged Violation. If a Motion for a Bill of 
Particulars is filed, the respondent shall not be required to 
file an answer until 20 days after the subcommittee has replied 
to such motion.
    (c)(1) The respondent may file a Motion to Dismiss within 
10 days of the date of transmittal of the Statement of Alleged 
Violation or, if a Motion for a Bill of Particulars has been 
filed, within 10 days of the date of the subcommittee's reply 
to the Motion for a Bill of Particulars. If a Motion to Dismiss 
is filed, the respondent shall not be required to file an 
answer until 20 days after the subcommittee has replied to the 
Motion to Dismiss, unless the respondent previously filed a 
Motion for a Bill of Particulars, in which case the respondent 
shall not be required to file an answer until 10 days after the 
subcommittee has replied to the Motion to Dismiss. The 
investigative subcommittee shall rule upon any motion to 
dismiss filed during the period between the establishment of 
the subcommittee and the subcommittee's transmittal of a report 
or Statement of Alleged Violation to the Committee or to the 
Chair and Ranking Minority Member at the conclusion of an 
inquiry, and no appeal of the subcommittee's ruling shall lie 
to the Committee.
    (2) A Motion to Dismiss may be made on the grounds that the 
Statement of Alleged Violation fails to state facts that 
constitute a violation of the Code of Official Conduct or other 
applicable law, rule, regulation, or standard of conduct, or on 
the grounds that the Committee lacks jurisdiction to consider 
the allegations contained in the Statement.
    (d) Any motion filed with the subcommittee pursuant to this 
rule shall be accompanied by a Memorandum of Points and 
Authorities.
    (e)(1) The Chair of the investigative subcommittee, for 
good cause shown, may permit the respondent to file an answer 
or motion after the day prescribed above.
    (2) If the ability of the respondent to present an adequate 
defense is not adversely affected and special circumstances so 
require, the Chair of the investigative subcommittee may direct 
the respondent to file an answer or motion prior to the day 
prescribed above.
    (f) If the day on which any answer, motion, reply, or other 
pleading must be filed falls on a Saturday, Sunday, or holiday, 
such filing shall be made on the first business day thereafter.
    (g) As soon as practicable after an answer has been filed 
or the time for such filing has expired, the Statement of 
Alleged Violation and any answer, motion, reply, or other 
pleading connected therewith shall be transmitted by the Chair 
of the investigative subcommittee to the Chair and Ranking 
Minority Member of the Committee.

                    Rule 23. Adjudicatory Hearings 

    (a) If a Statement of Alleged Violation is transmitted to 
the Chair and Ranking Minority Member pursuant to Rule 22, and 
no waiver pursuant to Rule 26(b) has occurred, the Chair shall 
designate the members of the Committee who did not serve on the 
investigative subcommittee to serve on an adjudicatory 
subcommittee. The Chair and Ranking Minority Member of the 
Committee shall be the Chair and Ranking Minority Member of the 
adjudicatory subcommittee unless they served on the 
investigative subcommittee. The respondent shall be notified of 
the designation of the adjudicatory subcommittee and shall have 
10 days after such notice is transmitted to object to the 
participation of any subcommittee member. Such objection shall 
be in writing and shall be on the grounds that the member 
cannot render an impartial and unbiased decision. The member 
against whom the objection is made shall be the sole judge of 
any disqualification and may choose to seek disqualification 
from serving on the subcommittee pursuant to Rule 9(e).
    (b) A majority of the adjudicatory subcommittee membership 
plus one must be present at all times for the conduct of any 
business pursuant to this rule.
    (c) The adjudicatory subcommittee shall hold a hearing to 
determine whether any counts in the Statement of Alleged 
Violation have been proved by clear and convincing evidence and 
shall make findings of fact, except where such violations have 
been admitted by respondent.
    (d) At an adjudicatory hearing, the subcommittee may 
require, by subpoena or otherwise, the attendance and testimony 
of such witnesses and production of such books, records, 
correspondence, memoranda, papers, documents, and other items 
as it deems necessary. Depositions, interrogatories, and sworn 
statements taken under any investigative subcommittee direction 
may be accepted into the hearing record.
    (e) The procedures set forth in clause 2(g) and (k) of Rule 
XI of the Rules of the House of Representatives shall apply to 
adjudicatory hearings. All such hearings shall be open to the 
public unless the adjudicatory subcommittee, pursuant to such 
clause, determines that the hearings or any part thereof should 
be closed.
    (f)(1) The adjudicatory subcommittee shall, in writing, 
notify the respondent that the respondent and respondent's 
counsel have the right to inspect, review, copy, or photograph 
books, papers, documents, photographs, or other tangible 
objects that the adjudicatory subcommittee counsel intends to 
use as evidence against the respondent in an adjudicatory 
hearing. The respondent shall be given access to such evidence, 
and shall be provided the names of witnesses the subcommittee 
counsel intends to call, and a summary of their expected 
testimony, no less than 15 calendar days prior to any such 
hearing. Except in extraordinary circumstances, no evidence may 
be introduced or witness called in an adjudicatory hearing 
unless the respondent has been afforded a prior opportunity to 
review such evidence or has been provided the name of the 
witness.
    (2) After a witness has testified on direct examination at 
an adjudicatory, hearing, the Committee, at the request of the 
respondent, shall make available to the respondent any 
statement of the witness in the possession of the Committee 
which relates to the subject matter as to which the witness has 
testified.
    (3) Any other testimony, statement, or documentary evidence 
in the possession of the Committee which is material to the 
respondent's defense shall, upon request, be made available to 
the respondent.
    (g) No less than 5 days prior to the hearing, the 
respondent or counsel shall provide the adjudicatory 
subcommittee with the names of witnesses expected to be called, 
summaries of their expected testimony, and copies of any 
documents or other evidence proposed to be introduced.
    (h) The respondent or counsel may apply to the subcommittee 
for the issuance of subpoenas for the appearance of witnesses 
or the production of evidence. The application shall be granted 
upon a showing by the respondent that the proposed testimony or 
evidence is relevant and not otherwise available to respondent. 
The application may be denied if not made at a reasonable time 
or if the testimony or evidence would be merely cumulative.
    (i) During the hearing, the procedures regarding the 
admissibility of evidence and rulings shall be as follows:
    (1) Any relevant evidence shall be admissible unless the 
evidence is privileged under the precedents of the House of 
Representatives.
    (2) The Chair of the subcommittee or other presiding member 
at an adjudicatory subcommittee hearing shall rule upon any 
question of admissibility or relevance of evidence, motion, 
procedure, or any other matter, and may direct any witness to 
answer any question under penalty of contempt. A witness, 
witness counsel, or a member of the subcommittee may appeal any 
ruling to the members present at that proceeding. A majority 
vote of the members present at such proceeding on such an 
appeal shall govern the question of admissibility and no appeal 
shall lie to the Committee.
    (3) Whenever a witness is deemed by a Chair or other 
presiding member to be in contempt of the subcommittee, the 
matter may be referred to the Committee to determine whether to 
refer the matter to the House of Representatives for 
consideration.
    (4) Committee counsel may, subject to subcommittee 
approval, enter into stipulations with the respondent and/or 
the respondent's counsel as to facts that are not in dispute.
    (j) Unless otherwise provided, the order of an adjudicatory 
hearing shall be as follows:
    (1) The Chair of the subcommittee shall open the hearing by 
stating the adjudicatory subcommittee's authority to conduct 
the hearing and the purpose of the hearing.
    (2) The Chair shall then recognize Committee counsel and 
the respondent's counsel, in turn, for the purpose of giving 
opening statements.
    (3) Testimony from witnesses and other relevant evidence 
shall be received in the following order whenever possible:
    (i) witnesses (deposition transcripts and affidavits 
obtained during the inquiry may be used in lieu of live 
witnesses if the witness is unavailable) and other evidence 
offered by the Committee counsel,
    (ii) witnesses and other evidence offered by the 
respondent,
    (iii) rebuttal witnesses, as permitted by the Chair.
    (4) Witnesses at a hearing shall be examined first by 
counsel calling such witness. The opposing counsel may then 
cross-examine the witness. Redirect examination and recross 
examination by counsel may be permitted at the Chair's 
discretion. Subcommittee members may then question witnesses. 
Unless otherwise directed by the Chair, questions by 
Subcommittee members shall be conducted under the five-minute 
rule.
    (5) The Chair shall then recognize Committee counsel and 
respondent's counsel, in turn, for the purpose of giving 
closing arguments. Committee counsel may reserve time for 
rebuttal argument, as permitted by the Chair.
    (k) A subpoena to a witness to appear at a hearing shall be 
served sufficiently in advance of that witness' scheduled 
appearance to allow the witness a reasonable period of time, as 
determined by the Chair of the adjudicatory subcommittee, to 
prepare for the hearing and to employ counsel.
    (l) Each witness appearing before the subcommittee shall be 
furnished a printed copy of the Committee rules, the relevant 
provisions of the Rules of the House of Representatives 
applicable to the rights of witnesses, and a copy of the 
Statement of Alleged Violation.
    (m) Testimony of all witnesses shall be taken under oath or 
affirmation. The form of the oath or affirmation shall be: ``Do 
you solemnly swear (or affirm) that the testimony you will give 
before this subcommittee in the matter now under consideration 
will be the truth, the whole truth, and nothing but the truth 
(so help you God)?'' The oath or affirmation shall be 
administered by the Chair or Committee member designated by the 
Chair to administer oaths.
    (n) At an adjudicatory hearing, the burden of proof rests 
on Committee counsel to establish the facts alleged in the 
Statement of Alleged Violation by clear and convincing 
evidence. However, Committee counsel need not present any 
evidence regarding any count that is admitted by the respondent 
or any fact stipulated.
    (o) As soon as practicable after all testimony and evidence 
have been presented, the subcommittee shall consider each count 
contained in the Statement of Alleged Violation and shall 
determine by a majority vote of its members whether each count 
has been proved. If a majority of the subcommittee does not 
vote that a count has been proved, a motion to reconsider that 
vote may be made only by a member who voted that the count was 
not proved. A count that is not proved shall be considered as 
dismissed by the subcommittee.
    (p) The findings of the adjudicatory subcommittee shall be 
reported to the Committee.

   Rule 24. Sanction Hearing and Consideration of Sanctions or Other 
                            Recommendations 

    (a) If no count in a Statement of Alleged Violation is 
proved, the Committee shall prepare a report to the House of 
Representatives, based upon the report of the adjudicatory 
subcommittee.
    (b) If an adjudicatory subcommittee completes an 
adjudicatory hearing pursuant to Rule 23 and reports that any 
count of the Statement of Alleged Violation has been proved, a 
hearing before the Committee shall be held to receive oral and/
or written submissions by counsel for the Committee and counsel 
for the respondent as to the sanction the Committee should 
recommend to the House of Representatives with respect to such 
violations. Testimony by witnesses shall not be heard except by 
written request and vote of a majority of the Committee.
    (c) Upon completion of any proceeding held pursuant to 
clause (b), the Committee shall consider and vote on a motion 
to recommend to the House of Representatives that the House 
take disciplinary action. If a majority of the Committee does 
not vote in favor of the recommendation that the House of 
Representatives take action, a motion to reconsider that vote 
may be made only by a member who voted against the 
recommendation. The Committee may also, by majority vote, adopt 
a motion to issue a Letter of Reproval or take other 
appropriate Committee action.
    (d) If the Committee determines a Letter of Reproval 
constitutes sufficient action, the Committee shall include any 
such letter as a part of its report to the House of 
Representatives.
    (e) With respect to any proved counts against a Member of 
the House of Representatives, the Committee may recommend to 
the House one or more of the following sanctions:
    (1) Expulsion from the House of Representatives.
    (2) Censure.
    (3) Reprimand.
    (4) Fine.
    (5) Denial or limitation of any right, power, privilege, or 
immunity of the Member if under the Constitution the House of 
Representatives may impose such denial or limitation.
    (6) Any other sanction determined by the Committee to be 
appropriate.
    (f) With respect to any proved counts against an officer or 
employee of the House of Representatives, the Committee may 
recommend to the House one or more of the following sanctions:
    (1) Dismissal from employment.
    (2) Reprimand.
    (3) Fine.
    (4) Any other sanction determined by the Committee to be 
appropriate.
    (g) With respect to the sanctions that the Committee may 
recommend, reprimand is appropriate for serious violations, 
censure is appropriate for more serious violations, and 
expulsion of a Member or dismissal of an officer or employee is 
appropriate for the most serious violations. A recommendation 
of a fine is appropriate in a case in which it is likely that 
the violation was committed to secure a personal financial 
benefit; and a recommendation of a denial or limitation of a 
right, power, privilege, or immunity of a Member is appropriate 
when the violation bears upon the exercise or holding of such 
right, power, privilege, or immunity. This clause sets forth 
general guidelines and does not limit the authority of the 
Committee to recommend other sanctions.
    (h) The Committee report shall contain an appropriate 
statement of the evidence supporting the Committee's findings 
and a statement of the Committee's reasons for the recommended 
sanction.

      Rule 25. Disclosure of Exculpatory Information to Respondent

    If the Committee, or any investigative or adjudicatory 
subcommittee at any time receives any exculpatory information 
respecting a Complaint or Statement of Alleged Violation 
concerning a Member, officer, or employee of the House of 
Representatives, it shall make such information known and 
available to the Member, officer, or employee as soon as 
practicable, but in no event later than the transmittal of 
evidence supporting a proposed Statement of Alleged Violation 
pursuant to Rule 26(c). If an investigative subcommittee does 
not adopt a Statement of Alleged Violation, it shall identify 
any exculpatory information in its possession at the conclusion 
of its inquiry and shall include such information, if any, in 
the subcommittee's final report to the Committee regarding its 
inquiry. For purposes of this rule, exculpatory evidence shall 
be any evidence or information that is substantially favorable 
to the respondent with respect to the allegations or charges 
before an investigative or adjudicatory subcommittee.

              Rule 26. Rights of Respondents and Witnesses

    (a) A respondent shall be informed of the right to be 
represented by counsel, to be provided at the respondent's own 
expense.
    (b) A respondent may seek to waive any procedural rights or 
steps in the disciplinary process. A request for waiver must be 
in writing, signed by the respondent, and must detail what 
procedural steps the respondent seeks to waive. Any such 
request shall be subject to the acceptance of the Committee or 
subcommittee, as appropriate.
    (c) Not less than 10 calendar days before a scheduled vote 
by an investigative subcommittee on a Statement of Alleged 
Violation, the subcommittee shall provide the respondent with a 
copy of the Statement of Alleged Violation it intends to adopt 
together with all evidence it intends to use to prove those 
charges which it intends to adopt, including documentary 
evidence, witness testimony, memoranda of witness interviews, 
and physical evidence, unless the subcommittee by an 
affirmative vote of a majority of its members decides to 
withhold certain evidence in order to protect a witness, but if 
such evidence is withheld, the subcommittee shall inform the 
respondent that evidence is being withheld and of the count to 
which such evidence relates.
    (d) Neither the respondent nor respondent's counsel shall, 
directly or indirectly, contact the subcommittee or any member 
thereof during the period of time set forth in paragraph (c) 
except for the sole purpose of settlement discussions where 
counsels for the respondent and the subcommittee are present.
    (e) If, at any time after the issuance of a Statement of 
Alleged Violation, the Committee or any subcommittee thereof 
determines that it intends to use evidence not provided to a 
respondent under paragraph (c) to prove the charges contained 
in the Statement of Alleged Violation (or any amendment 
thereof), such evidence shall be made immediately available to 
the respondent, and it may be used in any further proceeding 
under the Committee's rules.
    (f) Evidence provided pursuant to paragraph (c) or (e) 
shall be made available to the respondent and respondent's 
counsel only after each agrees, in writing, that no document, 
information, or other materials obtained pursuant to that 
paragraph shall be made public until--
    (1) such time as a Statement of Alleged Violation is made 
public by the Committee if the respondent has waived the 
adjudicatory hearing; or
    (2) the commencement of an adjudicatory hearing if the 
respondent has not waived an adjudicatory hearing; but the 
failure of respondent and respondent's counsel to so agree in 
writing, and therefore not receive the evidence, shall not 
preclude the issuance of a Statement of Alleged Violation at 
the end of the period referenced to in (c).
    (g) A respondent shall receive written notice whenever--
    (1) the Chair and Ranking Minority Member determine that 
information the Committee has received constitutes a complaint;
    (2) a complaint or allegation is transmitted to an 
investigative subcommittee;
    (3) that subcommittee votes to authorize its first subpoena 
or to take testimony under oath, whichever occurs first; and
    (4) the Committee votes to expand the scope of the inquiry 
of an investigative subcommittee.
    (h) Whenever an investigative subcommittee adopts a 
Statement of Alleged Violation and a respondent enters into an 
agreement with that subcommittee to settle a complaint on which 
the Statement is based, that agreement, unless the respondent 
requests otherwise, shall be in writing and signed by the 
respondent and the respondent's counsel, the Chair and Ranking 
Minority Member of the subcommittee, and outside counsel, if 
any.
    (i) Statements or information derived solely from a 
respondent or respondent's counsel during any settlement 
discussions between the Committee or a subcommittee thereof and 
the respondent shall not be included in any report of the 
subcommittee or the Committee or otherwise publicly disclosed 
without the consent of the respondent.
    (j) Whenever a motion to establish an investigative 
subcommittee does not prevail, the Committee shall promptly 
send a letter to the respondent informing the respondent of 
such vote.
    (k) Witnesses shall be afforded a reasonable period of 
time, as determined by the Committee or subcommittee, to 
prepare for an appearance before an investigative subcommittee 
or for an adjudicatory hearing and to obtain counsel.
    (l) Prior to their testimony, witnesses shall be furnished 
a printed copy of the Committee's Rules of Procedure and the 
provisions of the Rules of the House of Representatives 
applicable to the rights of witnesses.
    (m) Witnesses may be accompanied by their own counsel for 
the purpose of advising them concerning their constitutional 
rights. The Chair may punish breaches of order and decorum, and 
of professional responsibility on the part of counsel, by 
censure and exclusion from the hearings; and the Committee may 
cite the offender to the House of Representatives for contempt.
    (n) Each witness subpoenaed to provide testimony or other 
evidence shall be provided the same per diem rate as 
established, authorized, and regulated by the Committee on 
House Administration for Members, officers and employees of the 
House, and, as the Chair considers appropriate, actual expenses 
of travel to or from the place of examination. No compensation 
shall be authorized for attorney's fees or for a witness' lost 
earnings. Such per diem may not be paid if a witness had been 
summoned at the place of examination.
    (o) With the approval of the Committee, a witness, upon 
request, may be provided with a transcript of the witness' own 
deposition or other testimony taken in executive session, or, 
with the approval of the Chair and Ranking Minority Member, may 
be permitted to examine such transcript in the office of the 
Committee. Any such request shall be in writing and shall 
include a statement that the witness, and counsel, agree to 
maintain the confidentiality of all executive session 
proceedings covered by such transcript.

                       Rule 27. Frivolous Filings

    If a complaint or information offered as a complaint is 
deemed frivolous by an affirmative vote of a majority of the 
members of the Committee, the Committee may take such action as 
it, by an affirmative vote of a majority deems appropriate in 
the circumstances.

           Rule 28. Referrals to Federal or State Authorities

    Referrals made under clause 3(a)(3) of Rule XI of the Rules 
of the House of Representatives may be made by an affirmative 
vote of two-thirds of the members of the Committee.

                              APPENDIX IV



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