[House Hearing, 105 Congress]
[From the U.S. Government Printing Office]
RULES
Committee on Standards of Official Conduct
Adopted September 30, 1997
105th Congress
U.S. HOUSE OF REPRESENTATIVES
WASHINGTON, D.C. 20515
RULES
Committee on Standards
of Official Conduct
Adopted September 30, 1997
105th Congress
U.S. HOUSE OF REPRESENTATIVES
WASHINGTON, D.C. 20515
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COMMITTEE ON STANDARDS OF OFFICIAL CONDUCT
United States House of Representatives
One Hundred Fifth Congress
JAMES V. HANSEN, Utah, Chairman
LAMAR SMITH, Texas
JOEL HEFLEY, Colorado
BOB GOODLATTE, Virginia
JOE KNOLLENBERG, Michigan
HOWARD L. BERMAN, California, Ranking Minority Member
MARTIN OLAV SABO, Minnesota
ED PASTOR, Arizona
CHAKA FATTAH, Pennsylvania
ZOE LOFGREN, California
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Theodore J. Van Der Meid, Chief Counsel
CONTENTS
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RULES OF THE COMMITTEE ON STANDARDS OF OFFICIAL CONDUCT
PART I--GENERAL COMMITTEE RULES
Page
RULE 1. General Provisions............................... 1
RULE 2. Definitions...................................... 2
RULE 3. Advisory Opinions and Waivers.................... 3
RULE 4. Financial Disclosure............................. 6
RULE 5. Meetings......................................... 11
RULE 6. Committee Staff.................................. 12
RULE 7. Confidentiality Oaths............................ 14
RULE 8. Subcommittees--General Policy and Structure...... 14
RULE 9. Quorums and Member Disqualification.............. 16
RULE 10. Vote Requirements............................... 17
RULE 11. Communications by Committee Members and Staff... 18
RULE 12. Committee Records............................... 18
RULE 13. Broadcasts of Committee and Subcommittee
Proceedings.......................................... 20
PART II--INVESTIGATIVE AUTHORITY
RULE 14. House Resolution................................ 21
RULE 15. Committee Authority to Investigate--General
Policy............................................... 22
RULE 16. Complaints...................................... 22
RULE 17. Duties of Chairman and Ranking Minority Member.. 25
RULE 18. Processing of Complaints........................ 27
RULE 19. Committee-Initiated Inquiry..................... 29
RULE 20. Investigative Subcommittee...................... 30
RULE 21. Amendments to Statements of Alleged Violation... 34
RULE 22. Committee Reporting Requirements................ 34
RULE 23. Respondent's Answer............................. 36
RULE 24. Adjudicatory Hearings........................... 38
RULE 25. Sanction Hearing and Consideration of Sanctions
or Other Recommendations............................. 45
RULE 26. Disclosure of Exculpatory Information to
Respondent........................................... 47
RULE 27. Rights of Respondents and Witnesses............. 48
RULE 28. Frivolous Filings............................... 52
RULE 29. Referrals to Federal or State Authorities....... 53
FOREWORD
The Committee on Standards of Official Conduct is unique
in the House of Representatives. Consistent with the duty to
carry out its advisory and enforcement responsibilities in an
impartial manner, the Committee is the only standing
committee of the House of Representatives the membership of
which is divided evenly by party. These rules are intended to
provide a fair procedural framework for the conduct of the
Committee's activities and to help insure that the Committee
serves well the people of the United States, the House of
Representatives, and the Members, officers, and employees of
the House of Representatives.
PART I--GENERAL COMMITTEE RULES
Rule 1. General Provisions
(a) So far as applicable, these rules and the Rules of the
House of Representatives shall be the rules of the Committee
and any subcommittee. The Committee adopts these rules under
the authority of clause 2(a) of Rule XI of the Rules of the
House of Representatives, 105th Congress.
(b) The rules of the Committee may be modified, amended,
or repealed by a vote of a majority of the Committee.
(c) When the interests of justice so require, the
Committee, by a majority vote of its members, may adopt any
special procedures, not inconsistent with these rules, deemed
necessary to resolve a particular matter before it. Copies of
such special procedures shall be furnished to all parties in
the matter.
Rule 2. Definitions
(a) ``Committee'' means the Committee on Standards of
Official Conduct.
(b) ``Complaint'' means a written allegation of improper
conduct against a Member, officer, or employee of the House
of Representatives filed with the Committee with the intent
to initiate an inquiry.
(c) ``Inquiry'' means an investigation by an investigative
subcommittee into allegations against a Member, officer, or
employee of the House of Representatives.
(d) ``Investigative Subcommittee'' means a subcommittee
designated pursuant to Rule 8 to conduct an inquiry to
determine if a Statement of Alleged Violation should be
issued.
(e) ``Statement of Alleged Violation'' means a formal
charging document filed by an investigative subcommittee with
the Committee containing specific allegations against a
Member, officer, or employee of the House of Representatives
of a violation of the Code of Official Conduct, or of a law,
rule, regulation, or other standard of conduct applicable to
the performance of official duties or the discharge of
official responsibilities.
(f) ``Adjudicatory Subcommittee'' means a subcommittee of
the Committee comprised of those Committee members not on the
investigative subcommittee, that holds an adjudicatory
hearing and determines whether the counts in a Statement of
Alleged Violation are proved by clear and convincing
evidence.
(g) ``Sanction Hearing'' means a Committee hearing to
determine what sanction, if any, to adopt or to recommend to
the House of Representatives.
(h) ``Respondent'' means a Member, officer, or employee of
the House of Representatives who is the subject of a
complaint filed with the Committee or who is the subject of
an inquiry or a Statement of Alleged Violation.
(i) ``Office of Advice and Education'' refers to the
Office established by section 803(i) of the Ethics Reform Act
of 1989. The Office handles inquiries; prepares written
opinions in response to specific requests; develops general
guidance; and organizes seminars, workshops, and briefings
for the benefit of the House of Representatives.
Rule 3. Advisory Opinions and Waivers
(a) The Office of Advice and Education shall handle
inquiries; prepare written opinions providing specific
advice; develop general guidance; and organize seminars,
workshops, and briefings for the benefit of the House of
Representatives.
(b) Any Member, officer, or employee of the House of
Representatives, may request a written opinion with respect
to the propriety of any current or proposed conduct of such
Member, officer, or employee.
(c) The Office of Advice and Education may provide
information and guidance regarding laws, rules, regulations,
and other standards of conduct applicable to Members,
officers, and employees in the performance of their duties or
the discharge of their responsibilities.
(d) In general, the Committee shall provide a written
opinion to an individual only in response to a written
request, and the written opinion shall address the conduct
only of the inquiring individual, or of persons for whom the
inquiring individual is responsible as employing authority.
(e) A written request for an opinion shall be addressed to
the Chairman of the Committee and shall include a complete
and accurate statement of the relevant facts. A request shall
be signed by the requester or the requester's authorized
representative or employing authority. A representative shall
disclose to the Committee the identity of the principal on
whose behalf advice is being sought.
(f) The Office of Advice and Education shall prepare for
the Committee a response to each written request for an
opinion from a Member, officer or employee. Each response
shall discuss all applicable laws, rules, regulations, or
other standards.
(g) Where a request is unclear or incomplete, the Office
of Advice and Education may seek additional information from
the requester.
(h) The Chairman and Ranking Minority Member are
authorized to take action on behalf of the Committee on any
proposed written opinion that they determine does not require
consideration by the Committee. If the Chairman or Ranking
Minority Member requests a written opinion, or seeks a
waiver, extension, or approval pursuant to Rules 3(l), 4(c),
4(e), or 4(h), the next ranking member of the requester's
party is authorized to act in lieu of the requester.
(i) The Committee shall keep confidential any request for
advice from a Member, officer, or employee, as well as any
response thereto.
(j) The Committee may take no adverse action in regard to
any conduct that has been undertaken in reliance on a written
opinion if the conduct conforms to the specific facts
addressed in the opinion.
(k) Information provided to the Committee by a Member,
officer, or employee seeking advice regarding prospective
conduct may not be used as the basis for initiating an
investigation under clause 4(e)(1)(B) of Rule X of the Rules
of the House of Representatives, if such Member, officer, or
employee acts in good faith in accordance with the written
advice of the Committee.
(l) A written request for a waiver of House Rule LI (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 House Rule LI (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 Chairman and Ranking Minority Member are
authorized to grant on behalf of the Committee requests for
reasonable extensions of time for the filing of Financial
Disclosure Statements. Any such request must be received by
the Committee no later than the date on which the statement
in question is due. A request received after such date may be
granted by the Committee only in extraordinary circumstances.
Such extensions for one individual in a calendar year shall
not exceed a total of 90 days. No extension shall be granted
authorizing a nonincumbent candidate to file a statement
later than 30 days prior to a primary or general election in
which the candidate is participating.
(d) An individual who takes legally sufficient action to
withdraw as a candidate before the date on which that
individual's Financial Disclosure Statement is due under the
Ethics in Government Act shall not be required to file a
Statement. An individual shall not be excused from filing a
Financial Disclosure Statement when withdrawal as a candidate
occurs after the date on which such Statement was due.
(e) Any individual who files a report required to be filed
under title I of the Ethics in Government Act more than 30
days after the later of--
(1) the date such report is required to be filed, or
(2) if a filing extension is granted to such individual,
the last day of the filing extension period, is required by
such Act to pay a late filing fee of $200. The Chairman and
Ranking Minority Member are authorized to approve requests
that the fee be waived based on extraordinary circumstances.
(f) Any late report that is submitted without a required
filing fee shall be deemed procedurally deficient and not
properly filed.
(g) The Chairman and Ranking Minority Member are
authorized to approve requests for waivers of the aggregation
and reporting of gifts as provided by section 102(a)(2)(D) of
the Ethics in Government Act. If such a request is approved,
both the incoming request and the Committee response shall be
forwarded to the Legislative Resource Center for placement on
the public record.
(h) The Chairman and Ranking Minority Member are
authorized to approve blind trusts as qualifying under
section 102(f)(3) of the Ethics in Government Act. The
correspondence relating to formal approval of a blind trust,
the trust document, the list of assets transferred to the
trust, and any other documents required by law to be made
public, shall be forwarded to the Legislative Resource Center
for such purpose.
(i) The Committee shall designate staff counsel who shall
review Financial Disclosure Statements and, based upon
information contained therein, indicate in a form and manner
prescribed by the Committee whether the Statement appears
substantially accurate and complete and the filer appears to
be in compliance with applicable laws and rules.
(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 Wednesday of each month, except when the House of
Representatives is not meeting on that day. When the
Committee Chairman determines that there is sufficient
reason, a meeting may be called on additional days. A
regularly scheduled meeting need not be held when the
Chairman determines there is not business to be considered.
(b) The Chairman shall establish the agenda for meetings
of the Committee and the Ranking Minority Member may place
additional items on the agenda.
(c) All meetings of the Committee or any subcommittee
shall occur in executive session unless the Committee or
subcommittee, by an affirmative vote of a majority of its
members, 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
Chairman.
(f) Insofar as practicable, notice for any Committee or
subcommittee meeting shall be provided at least seven days in
advance of the meeting. The Chairman of the Committee or
subcommittee may waive such time period for good cause.
Rule 6. Committee Staff
(a) The staff is to be assembled and retained as a
professional, nonpartisan staff.
(b) Each member of the staff shall be professional and
demonstrably qualified for the position for which he is
hired.
(c) The staff as a whole and each individual member of the
staff shall perform all official duties in a nonpartisan
manner.
(d) No member of the staff shall engage in any partisan
political activity directly affecting any congressional or
presidential election.
(e) No member of the staff or outside counsel may accept
public speaking engagements or write for publication on any
subject that is in any way related to his or her employment
or duties with the Committee without specific prior approval
from the Chairman and Ranking Minority Member.
(f) No member of the staff or outside counsel may make
public, unless approved by an affirmative vote of a majority
of the members of the Committee, any information, document,
or other material that is confidential, derived from
executive session, or classified and that is obtained during
the course of employment with the Committee.
(g) All staff members shall be appointed by an affirmative
vote of a majority of the members of the Committee. Such vote
shall occur at the first meeting of the membership of the
Committee during each Congress and as necessary during the
Congress.
(h) Subject to the approval of the Committee on House
Oversight, the Committee may retain counsel not employed by
the House of Representatives whenever the Committee
determines, by an affirmative vote of a majority of the
members of the Committee, that the retention of outside
counsel is necessary and appropriate.
(i) If the Committee determines that it is necessary to
retain staff members for the purpose of a particular
investigation or other proceeding, then such staff shall be
retained only for the duration of that particular
investigation or proceeding.
(j) Outside counsel may be dismissed prior to the end of a
contract between the Committee and such counsel only by a
majority vote of the members of the Committee.
(k) In addition to any other staff provided for by law,
rule, or other authority, with respect to the Committee, the
Chairman and Ranking Minority Member each may appoint one
individual as a shared staff member from his or her personal
staff to perform service for the Committee. Such shared staff
may assist the Chairman or Ranking Minority Member on any
subcommittee on which he serves. Only paragraphs (c), (e),
and (f) shall apply to shared staff.
Rule 7. Confidentiality Oaths
Before any member or employee of the Committee may have
access to information that is confidential under the rules of
the Committee, the following oath (or affirmation) shall be
executed in writing:
``I do solemnly swear (or affirm) that I will not
disclose, to any person or entity outside the Committee on
Standards of Official Conduct, any information received in
the course of my service with the Committee, except as
authorized by the Committee or in accordance with its
rules.''
Copies of the executed oath shall be provided to the Clerk
of the House as part of the records of the House. Breaches of
confidentiality shall be investigated by the Committee and
appropriate action shall be taken.
Rule 8. Subcommittees--General Policy and Structure
(a) Upon an affirmative vote of a majority of its members
to initiate an inquiry, the Chairman and Ranking Minority
Member of the Committee shall designate four members (with
equal representation from the majority and minority parties)
to serve as an investigative subcommittee to undertake an
inquiry. At the time of appointment, the Chairman shall
designate one member of the subcommittee to serve as the
chairman and the Ranking Minority Member shall designate one
member of the subcommittee to serve as the ranking minority
member of the investigative subcommittee or adjudicatory
subcommittee. The Chairman and Ranking Minority Member of the
Committee may serve as members of an investigative
subcommittee, but may not serve as non-voting, ex-officio
members.
(b) If an investigative subcommittee, by a majority vote
of its members, adopts a Statement of Alleged Violation,
members who did not serve on the investigative subcommittee
are eligible for appointment to the adjudicatory subcommittee
to hold an Adjudicatory Hearing under Committee Rule 24 on
the violations alleged in the Statement.
(c) The Committee may establish other noninvestigative and
nonadjudicatory subcommittees and may assign to them such
functions as it may deem appropriate. The membership of each
subcommittee shall provide equal representation for the
majority and minority parties.
(d) The Chairman may refer any bill, resolution, or other
matter before the Committee to an appropriate subcommittee
for consideration. Any such bill, resolution, or other matter
may be discharged from the subcommittee to which it was
referred by a majority vote of the Committee.
(e) Any member of the Committee may sit with any
noninvestigative or nonadjudicatory subcommittee, but only
regular members of such subcommittee may vote on any matter
before that subcommittee.
Rule 9. Quorums and Member Disqualification
(a) The quorum for an investigative subcommittee to take
testimony and to receive evidence shall be two members,
unless otherwise authorized by the House of Representatives.
(b) The quorum for an adjudicatory subcommittee to take
testimony, receive evidence, or conduct business shall
consist of a majority plus one of the members of the
adjudicatory subcommittee.
(c) Except as stated in clauses (a) and (b) of this rule,
a quorum for the purpose of conducting business consists of a
majority of the members of the Committee or subcommittee.
(d) A member of the Committee shall be ineligible to
participate in any Committee or subcommittee proceeding in
which he is the respondent.
(e) A member of the Committee may disqualify himself from
participating in any investigation of the conduct of a
Member, officer, or employee of the House of Representatives
upon the submission in writing and under oath of an affidavit
of disqualification stating that the member cannot render an
impartial and unbiased decision. If the Committee approves
and accepts such affidavit of disqualification, or if a
member is disqualified pursuant to Rule 18(g) or Rule 24(a),
the Chairman shall so notify the Speaker and ask the Speaker
to designate a Member of the House of Representatives from
the same political party as the disqualified member of the
Committee to act as a member of the Committee in any
Committee proceeding relating to such investigation.
Rule 10. Vote Requirements
(a) The following actions shall be taken only upon an
affirmative vote of a majority of the members of the
Committee or subcommittee, as appropriate:
(1) Issuing a subpoena.
(2) Adopting a full Committee motion to create an
investigative subcommittee.
(3) Adoption of a Statement of Alleged Violation.
(4) Finding that a count in a Statement of Alleged
Violation has been proved by clear and convincing evidence.
(5) Sending a letter of reproval.
(6) Adoption of a recommendation to the House of
Representatives that a sanction be imposed.
(7) Adoption of a report relating to the conduct of a
Member, officer, or employee.
(8) Issuance of an advisory opinion of general
applicability establishing new policy.
(b) Except as stated in clause (a), action may be taken by
the Committee or any subcommittee thereof by a simple
majority, a quorum being present.
(c) No motion made to take any of the actions enumerated
in clause (a) of this Rule may be entertained by the Chair
unless a quorum of the Committee is present when such motion
is made.
Rule 11. Communications by Committee Members and Staff
Committee members and staff shall not disclose any
evidence relating to an investigation to any person or
organization outside the Committee unless authorized by the
Committee. The Chairman and Ranking Minority Member shall
have access to such information that they request as
necessary to conduct Committee business. Evidence in the
possession of an investigative subcommittee shall not be
disclosed to other Committee members except by a vote of the
subcommittee.
Rule 12. Committee Records
(a) The Committee may establish procedures necessary to
prevent the unauthorized disclosure of any testimony or other
information received by the Committee or its staff.
(b) Members and staff of the Committee shall not disclose
to any person or organization outside the Committee, unless
authorized by the Committee, any information regarding the
Committee's or a subcommittee's investigative, adjudicatory
or other proceedings, including, but not limited to: (i) the
fact of or nature of any complaints; (ii) executive session
proceedings; (iii) information pertaining to or copies of any
Committee or subcommittee report, study, or other document
which purports to express the views, findings, conclusions,
or recommendations of the Committee or subcommittee in
connection with any of its activities or proceedings; or (iv)
any other information or allegation respecting the conduct of
a Member, officer, or employee.
(c) The Committee shall not disclose to any person or
organization outside the Committee any information concerning
the conduct of a respondent until it has transmitted a
Statement of Alleged Violation to such respondent and the
respondent has been given full opportunity to respond
pursuant to Rule 23. The Statement of Alleged Violation and
any written response thereto shall be made public at the
first meeting or hearing on the matter that is open to the
public after such opportunity has been provided. Any other
materials in the possession of the Committee regarding such
statement may be made public as authorized by the Committee
to the extent consistent with the Rules of the House of
Representatives.
(d) If no public hearing or meeting is held on the matter,
the Statement of Alleged Violation and any written response
thereto shall be included in the Committee's final report on
the matter to the House of Representatives.
(e) All communications and all pleadings pursuant to these
rules shall be filed with the Committee at the Committee's
office or such other place as designated by the Committee.
(f) All records of the Committee which have been delivered
to the Archivist of the United States shall be made available
to the public in accordance with Rule XXXVI of the Rules of
the House of Representatives.
Rule 13. Broadcasts of Committee and Subcommittee Proceedings
(a) Television or radio coverage of a Committee or
subcommittee hearing or meeting shall be without commercial
sponsorship.
(b) No witness shall be required against his or her will
to be photographed or otherwise to have a graphic
reproduction of his or her image made at any hearing or to
give evidence or testimony while the broadcasting of that
hearing, by radio or television, is being conducted. At the
request of any witness, all media microphones shall be turned
off, all television and camera lenses shall be covered, and
the making of a graphic reproduction at the hearing shall not
be permitted. This paragraph supplements clause 2(k)(5) of
Rule XI of the Rules of the House of Representatives relating
to the protection of the rights of witnesses.
(c) Not more than four television cameras, operating from
fixed positions, shall be permitted in a hearing or meeting
room. The Committee may allocate the positions of permitted
television cameras among the television media in consultation
with the Executive Committee of the Radio and Television
Correspondents' Galleries.
(d) Television cameras shall be placed so as not to
obstruct in any way the space between any witness giving
evidence or testimony and any member of the Committee, or the
visibility of that witness and that member to each other.
(e) Television cameras shall not be placed in positions
that unnecessarily obstruct the coverage of the hearing or
meeting by the other media.
Part II--Investigative Authority
Rule 14. House Resolution
Whenever the House of Representatives, by resolution,
authorizes or directs the Committee to undertake an inquiry
or investigation, the provisions of the resolution, in
conjunction with these Rules, shall govern. To the extent the
provisions of the resolution differ from these Rules, the
resolution shall control.
Rule 15. Committee Authority to Investigate--General Policy
Pursuant to clause 4(e)(2)(B) of Rule X of the Rules of
the House of Representatives, the Committee may exercise its
investigative authority when--
(a) information offered as a complaint by a Member of the
House of Representatives is transmitted directly to the
Committee;
(b) information offered as a complaint by an individual
not a Member of the House is transmitted to the Committee,
provided that a Member of the House certifies in writing that
he or she believes the information is submitted in good faith
and warrants the review and consideration of the Committee;
(c) the Committee, on its own initiative, establishes an
investigative subcommittee;
(d) a Member, officer, or employee is convicted in a
Federal, State, or local court of a felony; or
(e) the House of Representatives, by resolution,
authorizes or directs the Committee to undertake an inquiry
or investigation.
Rule 16. Complaints
(a) A complaint submitted to the Committee shall be in
writing, dated, and properly verified (a document will be
considered properly verified where a notary executes it with
the language, ``Signed and sworn to (or affirmed) before me
on (date) by (the name of the person)'' setting forth in
simple, concise, and direct statements--
(1) the name and legal address of the party filing the
complaint (hereinafter referred to as the ``complainant'');
(2) the name and position or title of the respondent;
(3) the nature of the alleged violation of the Code of
Official Conduct or of other law, rule, regulation, or other
standard of conduct applicable to the performance of duties
or discharge of responsibilities; and
(4) the facts alleged to give rise to the violation. The
complaint shall not contain innuendo, speculative assertions,
or conclusory statements.
(b) Any documents in the possession of the complainant
that relate to the allegations may be submitted with the
complaint.
(c) Information offered as a complaint by a Member of the
House of Representatives may be transmitted directly to the
Committee.
(d) Information offered as a complaint by an individual
not a Member of the House may be transmitted to the
Committee, provided that a Member of the House certifies in
writing that he or she believes the information is submitted
in good faith and warrants the review and consideration of
the Committee.
(e) A complaint must be accompanied by a certification,
which may be unsworn, that the complainant has provided an
exact copy of the filed complaint and all attachments to the
respondent.
(f) The Committee may defer action on a complaint against
a Member, officer, or employee of the House of
Representatives when the complaint alleges conduct that the
Committee has reason to believe is being reviewed by
appropriate law enforcement or regulatory authorities, or
when the Committee determines that it is appropriate for the
conduct alleged in the complaint to be reviewed initially by
law enforcement or regulatory authorities.
(g) A complaint may not be amended without leave of the
Committee. Otherwise, any new allegations of improper conduct
must be submitted in a new complaint that independently meets
the procedural requirements of the Rules of the House of
Representatives and the Committee's Rules.
(h) The Committee shall not accept, and shall return to
the complainant, any complaint submitted within the 60 days
prior to an election in which the subject of the complaint is
a candidate.
(i) The Committee shall not consider a complaint, nor
shall any investigation be undertaken by the Committee, of
any alleged violation which occurred before the third
previous Congress unless the Committee determines that the
alleged violation is directly related to an alleged violation
which occurred in a more recent Congress.
Rule 17. Duties of Committee Chairman and Ranking Minority
Member
(a) Unless otherwise determined by a vote of the
Committee, only the Chairman or Ranking Minority Member,
after consultation with each other, may make public
statements regarding matters before the Committee or any
subcommittee.
(b) Whenever information offered as a complaint is
submitted to the Committee, the Chairman and Ranking Minority
Member shall have 14 calendar days or 5 legislative days,
whichever occurs first, to determine whether the information
meets the requirements of the Committee's rules for what
constitutes a complaint.
(c) Whenever the Chairman and Ranking Minority Member
jointly determine that information submitted to the Committee
meets the requirements of the Committee's rules for what
constitutes a complaint, they shall have 45 calendar days or
5 legislative days, whichever is later, after the date that
the Chairman and Ranking Minority Member determine that
information filed meets the requirements of the Committee's
rules for what constitutes a complaint, unless the Committee
by an affirmative vote of a majority of its members votes
otherwise, to--
(1) recommend to the Committee that it dispose of the
complaint, or any portion thereof, in any manner that does
not require action by the House, which may include dismissal
of the complaint or resolution of the complaint by a letter
to the Member, officer, or employee of the House against whom
the complaint is made;
(2) establish an investigative subcommittee; or
(3) request that the Committee extend the applicable 45-
calendar day period when they determine more time is
necessary in order to make a recommendation under paragraph
(1).
(d) The Chairman and Ranking Minority Member may jointly
gather additional information concerning alleged conduct
which is the basis of a complaint or of information offered
as a complaint until they have established an investigative
subcommittee or the Chairman or Ranking Minority Member has
placed on the agenda the issue of whether to establish an
investigative subcommittee.
(e) If the Chairman and Ranking Minority Member jointly
determine that information submitted to the Committee meets
the requirements of the Committee rules for what constitutes
a complaint, and the complaint is not disposed of within 45
calendar days or 5 legislative days, whichever is later, and
no additional 45-day extension is made, then they shall
establish an investigative subcommittee and forward the
complaint, or any portion thereof, to that subcommittee for
its consideration. If at any time during the time period
either the Chairman or Ranking Minority Member places on the
agenda the issue of whether to establish an investigative
subcommittee, then an investigative subcommittee may be
established only by an affirmative vote of a majority of the
members of the Committee.
(f) Whenever the Chairman and Ranking Minority Member
jointly determine that information submitted to the Committee
does not meet the requirements for what constitutes a
complaint set forth in the Committee rules, they may (1)
return the information to the complainant with a statement
that it fails to meet the requirements for what constitutes a
complaint set forth in the Committee's rules; or (2)
recommend to the Committee that it authorize the
establishment of an investigative subcommittee.
Rule 18. Processing of Complaints
(a) If a complaint is in compliance with House and
Committee Rules, a copy of the complaint and the Committee
Rules shall be forwarded to the respondent within five days
with notice that the complaint conforms to the applicable
rules and will be placed on the Committee's agenda.
(b) The respondent may, within 30 days of the Committee's
notification, provide to the Committee any information
relevant to a complaint filed with the Committee. The
respondent may submit a written statement in response to the
complaint. Such a statement shall be signed by the
respondent. If the statement is prepared by counsel for the
respondent, the respondent shall sign a representation that
he/she has reviewed the response and agrees with the factual
assertions contained therein.
(c) The Committee staff may request information from the
respondent or obtain additional information pertinent to the
case from other sources prior to the establishment of an
investigative subcommittee only when so directed by the
Chairman and Ranking Minority Member.
(d) At the first meeting of the Committee following the
procedures or actions specified in clauses (a) and (b), the
Committee shall consider the complaint.
(e) The Committee, by a majority vote of its members, may
create an investigative subcommittee. If an investigative
subcommittee is established, the Chairman and Ranking
Minority Member shall designate four members to serve as an
investigative subcommittee in accordance with Rule 20.
(f) The respondent shall be notified in writing regarding
the Committee's decision either to dismiss the complaint or
to create an investigative subcommittee.
(g) The respondent shall be notified of the membership of
the investigative subcommittee and shall have ten days after
such notice is transmitted to object to the participation of
any subcommittee member. Such objection shall be in writing
and shall be on the grounds that the subcommittee member
cannot render an impartial and unbiased decision. The
subcommittee member against whom the objection is made shall
be the sole judge of his or her disqualification.
Rule 19. Committee-Initiated Inquiry
(a) Notwithstanding the absence of a filed complaint, the
Committee may consider any information in its possession
indicating that a Member, officer, or employee may have
committed a violation of the Code of Official Conduct or any
law, rule, regulation, or other standard of conduct
applicable to the conduct of such Member, officer, or
employee in the performance of his or her duties or the
discharge of his or her responsibilities.
(b) If the Committee votes to establish an investigative
subcommittee, the Committee shall proceed in accordance with
Rule 20.
(c) Any written request by a Member, officer, or employee
of the House of Representatives that the Committee conduct an
inquiry into such person's own conduct shall be processed in
accordance with subsection (a) of this Rule.
(d) An inquiry shall not be undertaken regarding any
alleged violation that occurred before the third previous
Congress unless a majority of the Committee determines that
the alleged violation is directly related to an alleged
violation that occurred in a more recent Congress.
(e) An inquiry shall be undertaken by an investigative
subcommittee with regard to any felony conviction of a
Member, officer, or employee of the House of Representatives
in a Federal, state, or local court. Notwithstanding this
provision, an inquiry may be initiated at any time prior to
sentencing.
Rule 20. Investigative Subcommittee
(a) In an inquiry undertaken by an investigative
subcommittee--
(1) All proceedings, including the taking of testimony,
shall be conducted in executive session and all testimony
taken by deposition or things produced pursuant to subpoena
or otherwise shall be deemed to have been taken or produced
in executive session.
(2) The Chairman of the investigative subcommittee shall
ask respondent and all witnesses whether they intend to be
represented by counsel. If so, respondent or witnesses or
their legal representatives shall provide written designation
of counsel. A respondent or witness who is represented by
counsel shall not be questioned in the absence of counsel
unless an explicit waiver is obtained.
(3) The subcommittee shall provide the respondent an
opportunity to present, orally or in writing, a statement,
which must be under oath or affirmation, regarding the
allegations and any other relevant questions arising out of
the inquiry.
(4) The staff may interview witnesses, examine documents
and other evidence, and request that submitted statements be
under oath or affirmation and that documents be certified as
to their authenticity and accuracy.
(5) The subcommittee, by a majority vote of its members,
may require, by subpoena or otherwise, the attendance and
testimony of witnesses and the production of such books,
records, correspondence, memoranda, papers, documents, and
other items as it deems necessary to the conduct of the
inquiry. Unless the Committee otherwise provides, the
subpoena power shall rest in the Chairman and Ranking
Minority Member of the Committee and a subpoena shall be
issued upon the request of the investigative subcommittee.
(6) The subcommittee shall require that testimony be given
under oath or affirmation. The form of the oath or
affirmation shall be: ``Do you solemnly swear (or affirm)
that the testimony you will give before this subcommittee in
the matter now under consideration will be the truth, the
whole truth, and nothing but the truth (so help you God)?''
The oath or affirmation shall be administered by the Chairman
or subcommittee member designated by the Chairman to
administer oaths.
(b) During the inquiry, the procedure respecting the
admissibility of evidence and rulings shall be as follows:
(1) Any relevant evidence shall be admissible unless the
evidence is privileged under the precedents of the House of
Representatives.
(2) The Chairman of the subcommittee or other presiding
member at any investigative subcommittee proceeding shall
rule upon any question of admissibility or pertinency of
evidence, motion, procedure or any other matter, and may
direct any witness to answer any question under penalty of
contempt. A witness, witness's counsel, or a member of the
subcommittee may appeal any evidentiary rulings to the
members present at that proceeding. The majority vote of the
members present at such proceeding on such appeal shall
govern the question of admissibility, and no appeal shall lie
to the Committee.
(3) Whenever a person is 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 respondent and/or
respondent's counsel as to facts that are not in dispute.
(c) Upon an affirmative vote of a majority of the
subcommittee members, and an affirmative vote of a majority
of the full Committee, an investigative subcommittee may
expand the scope of its investigation.
(d) Upon completion of the investigation, the staff shall
draft for the investigative subcommittee a report that shall
contain a comprehensive summary of the information received
regarding the alleged violations.
(e) Upon completion of the inquiry, an investigative
subcommittee, by a majority vote of its members, may adopt a
Statement of Alleged Violation if it determines that there is
substantial reason to believe that a violation of the Code of
Official Conduct, or of a law, rule, regulation, or other
standard of conduct applicable to the performance of official
duties or the discharge of official responsibilities by a
Member, officer, or employee of the House of Representatives
has occurred. If more than one violation is alleged, such
Statement shall be divided into separate counts. Each count
shall relate to a separate violation, shall contain a plain
and concise statement of the alleged facts of such violation,
and shall include a reference to the provision of the Code of
Official Conduct or law, rule, regulation or other applicable
standard of conduct governing the performance of duties or
discharge of responsibilities alleged to have been violated.
A copy of such Statement shall be transmitted to the
respondent and respondent's counsel.
(f) If the investigative subcommittee does not adopt a
Statement of Alleged Violation, it shall transmit to the
Committee a report containing a summary of the information
received in the inquiry, its conclusions and reasons
therefor, and any appropriate recommendation. The Committee
shall transmit such report to the House of Representatives.
Rule 21. Amendments of Statements of Alleged Violation
(a) An investigative subcommittee may, upon an affirmative
vote of a majority of its members, amend its Statement of
Alleged Violation anytime before the Statement of Alleged
Violation is transmitted to the Committee; and
(b) If an investigative subcommittee amends its Statement
of Alleged Violation, the respondent shall be notified in
writing and shall have 30 calendar days from the date of that
notification to file an answer to the amended Statement of
Alleged Violation.
Rule 22. Committee Reporting Requirements
(a) Whenever an investigative subcommittee does not adopt
a Statement of Alleged Violation and 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; and
(b) Whenever an investigative subcommittee adopts a
Statement of Alleged Violation, the respondent admits to the
violations set forth in such Statement, the respondent waives
his or her right to an adjudicatory hearing, and the
respondent's waiver is approved by the Committee--
(1) the subcommittee shall prepare a report for
transmittal to the Committee, a final draft of which shall be
provided to the respondent not less than 15 calendar days
before the subcommittee votes on whether to adopt the report;
(2) the respondent may submit views in writing regarding
the final draft to the subcommittee within 7 calendar days of
receipt of that draft;
(3) the subcommittee shall transmit a report to the
Committee regarding the Statement of Alleged Violation
together with any views submitted by the respondent pursuant
to subparagraph (2), and the Committee shall make the report,
together with the respondent's views, available to the public
before the commencement of any sanction hearing; and
(4) the Committee shall by an affirmative vote of a
majority of its members issue a report and transmit such
report to the House of Representatives, together with the
respondent's views previously submitted pursuant to
subparagraph (2) and any additional views respondent may
submit for attachment to the final report; and
(c) Members of the Committee shall have not less than 72
hours to review any report transmitted to the Committee by an
investigative subcommittee before both the commencement of a
sanction hearing and the Committee vote on whether to adopt
the report.
Rule 23. Respondent's Answer
(a)(1) Within 30 days from the date of transmittal of a
Statement of Alleged Violation, the respondent shall file
with the investigative subcommittee an answer, in writing and
under oath, signed by respondent and respondent's counsel.
Failure to file an answer within the time prescribed shall be
considered by the Committee as a denial of each count.
(2) The answer shall contain an admission to or denial of
each count set forth in the Statement of Alleged Violation
and may include negative, affirmative, or alternative
defenses and any supporting evidence or other relevant
information.
(b) The respondent may file a Motion for a Bill of
Particulars within 15 days of the date of transmittal of the
Statement of Alleged Violation. If a Motion for a Bill of
Particulars is filed, the respondent shall not be required to
file an answer until 15 days after the subcommittee has
replied to such motion.
(c)(1) The respondent may file a Motion to Dismiss within
15 days of the date of transmittal of the Statement of
Alleged Violation or, if a Motion for a Bill of Particulars
has been filed, within 15 days of the date of the
subcommittee's reply to the Motion for a Bill of Particulars.
If a Motion to Dismiss is filed, the respondent shall not be
required to file an answer until 15 days after the
subcommittee has replied to the Motion to Dismiss.
(2) A Motion to Dismiss may be made on the grounds that
the Statement of Alleged Violation fails to state facts that
constitute a violation of the Code of Official Conduct or
other applicable law, rule, regulation, or standard of
conduct, or on the grounds that the Committee lacks
jurisdiction to consider the allegations contained in the
Statement.
(d) Any motion filed with the subcommittee pursuant to
this rule shall be accompanied by a Memorandum of Points and
Authorities.
(e)(1) The Chairman of the investigative subcommittee, for
good cause shown, may permit the respondent to file an answer
or motion after the day prescribed above.
(2) If the ability of the respondent to present an
adequate defense is not adversely affected and special
circumstances so require, the Chairman of the investigative
subcommittee may direct the respondent to file an answer or
motion prior to the day prescribed above.
(f) If the day on which any answer, motion, reply, or
other pleading must be filed falls on a Saturday, Sunday, or
holiday, such filing shall be made on the first business day
thereafter.
(g) As soon as practicable after an answer has been filed
or the time for such filing has expired, the Statement of
Alleged Violation and any answer, motion, reply, or other
pleading connected therewith shall be transmitted by the
Chairman of the investigative subcommittee to the Chairman
and Ranking Minority Member of the Committee.
Rule 24. Adjudicatory Hearings
(a) If a Statement of Alleged Violation is transmitted to
the Chairman and Ranking Minority Member pursuant to Rule 23,
and no waiver pursuant to Rule 27(b) has occurred, the
Chairman shall designate the members of the Committee who did
not serve on the investigative subcommittee to serve on an
adjudicatory subcommittee. The Chairman and Ranking Minority
Member of the Committee shall be the Chairman and Ranking
Minority Member of the adjudicatory subcommittee unless they
served on the investigative subcommittee. The respondent
shall be notified of the designation of the adjudicatory
subcommittee and shall have ten days after such notice is
transmitted to object to the participation of any
subcommittee member. Such objection shall be in writing and
shall be on the grounds that the member cannot render an
impartial and unbiased decision. The member against whom the
objection is made shall be the sole judge of his or her
disqualification.
(b) A majority of the adjudicatory subcommittee membership
plus one must be present at all times for the conduct of any
business pursuant to this rule.
(c) The adjudicatory subcommittee shall hold a hearing to
determine whether any counts in the Statement of Alleged
Violation have been proved by clear and convincing evidence
and shall make findings of fact, except where such violations
have been admitted by respondent.
(d) At an adjudicatory hearing, the subcommittee may
require, by subpoena or otherwise, the attendance and
testimony of such witnesses and production of such books,
records, correspondence, memoranda, papers, documents, and
other items as it deems necessary. Depositions,
interrogatories, and sworn statements taken under any
investigative subcommittee direction may be accepted into the
hearing record.
(e) The procedures set forth in clause 2 (g) and (k) of
Rule XI of the Rules of the House of Representatives shall
apply to adjudicatory hearings. All such hearings shall be
open to the public unless the adjudicatory subcommittee,
pursuant to such clause, determines that the hearings or any
part thereof should be closed.
(f)(1) The adjudicatory subcommittee shall, in writing,
notify the respondent that respondent and his or her counsel
have the right to inspect, review, copy, or photograph books,
papers, documents, photographs, or other tangible objects
that the adjudicatory subcommittee counsel intends to use as
evidence against the respondent in an adjudicatory hearing.
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 respondent has been afforded a prior opportunity to
review such evidence or has been provided the name of the
witness.
(2) After a witness has testified on direct examination at
an adjudicatory hearing, the Committee, at the request of the
respondent, shall make available to the respondent any
statement of the witness in the possession of the Committee
which relates to the subject matter as to which the witness
has testified.
(3) Any other testimony, statement, or documentary
evidence in the possession of the Committee which is material
to the respondent's defense shall, upon request, be made
available to the respondent.
(g) No less than five days prior to the hearing,
respondent or counsel shall provide the adjudicatory
subcommittee with the names of witnesses expected to be
called, summaries of their expected testimony, and copies of
any documents or other evidence proposed to be introduced.
(h) The respondent or counsel may apply to the
subcommittee for the issuance of subpoenas for the appearance
of witnesses or the production of evidence. The application
shall be granted upon a showing by the respondent that the
proposed testimony or evidence is relevant and not otherwise
available to respondent. The application may be denied if not
made at a reasonable time or if the testimony or evidence
would be merely cumulative.
(i) During the hearing, the procedures regarding the
admissibility of evidence and rulings shall be as follows:
(1) Any relevant evidence shall be admissible unless the
evidence is privileged under the precedents of the House of
Representatives.
(2) The Chairman of the subcommittee or other presiding
member at an adjudicatory subcommittee hearing shall rule
upon any question of admissibility or pertinency of evidence,
motion, procedure, or any other matter, and may direct any
witness to answer any question under penalty of contempt. A
witness, witness's counsel, or a member of the subcommittee
may appeal any evidentiary ruling to the members present at
that proceeding. The majority vote of the members present at
such proceeding on such an appeal shall govern the question
of admissibility and no appeal shall lie to the Committee.
(3) Whenever a witness is deemed by a Chairman or other
presiding member to be in contempt of the subcommittee, the
matter may be referred to the Committee to determine whether
to refer the matter to the House of Representatives for
consideration.
(4) Committee counsel may, subject to subcommittee
approval, enter into stipulations with respondent and/or
respondent's counsel as to facts that are not in dispute.
(j) Unless otherwise provided, the order of an
adjudicatory hearing shall be as follows:
(1) The Chairman of the subcommittee shall open the
hearing by stating the adjudicatory subcommittee's authority
to conduct the hearing and the purpose of the hearing.
(2) The Chairman shall then recognize Committee counsel
and respondent's counsel, in turn, for the purpose of giving
opening statements.
(3) Testimony from witnesses and other pertinent evidence
shall be received in the following order whenever possible:
(i) witnesses (deposition transcripts and affidavits
obtained during the inquiry may be used in lieu of live
witnesses if the witness is unavailable) and other evidence
offered by the Committee counsel,
(ii) witnesses and other evidence offered by the
respondent,
(iii) rebuttal witnesses, as permitted by the Chairman.
(4) Witnesses at a hearing shall be examined first by
counsel calling such witness. The opposing counsel may then
cross-examine the witness. Redirect examination and recross
examination may be permitted at the Chairman's discretion.
Subcommittee members may then question witnesses. Unless
otherwise directed by the Chairman, such questions shall be
conducted under the five-minute rule.
(k) A subpoena to a witness to appear at a hearing shall
be served sufficiently in advance of that witness' scheduled
appearance to allow the witness a reasonable period of time,
as determined by the Chairman of the adjudicatory
subcommittee, to prepare for the hearing and to employ
counsel.
(l) Each witness appearing before the subcommittee shall
be furnished a printed copy of the Committee rules, the
pertinent provisions of the Rules of the House of
Representatives applicable to the rights of witnesses, and a
copy of the Statement of Alleged Violation.
(m) Testimony of all witnesses shall be taken under oath
or affirmation. The form of the oath or affirmation shall be:
``Do you solemnly swear (or affirm) that the testimony you
will give before this subcommittee in the matter now under
consideration will be the truth, the whole truth, and nothing
but the truth (so help you God)?'' The oath or affirmation
shall be administered by the Chairman or Committee member
designated by the Chairman to administer oaths.
(n) At an adjudicatory hearing, the burden of proof rests
on Committee counsel to establish the facts alleged in the
Statement of Alleged Violation by clear and convincing
evidence. However, Committee counsel need not present any
evidence regarding any count that is admitted by the
respondent or any fact stipulated.
(o) As soon as practicable after all testimony and
evidence have been presented, the subcommittee shall consider
each count contained in the Statement of Alleged Violation
and shall determine by a majority vote of its members whether
each count has been proved. If a majority of the subcommittee
does not vote that a count has been proved, a motion to
reconsider that vote may be made only by a member who voted
that the count was not proved. A count that is not proved
shall be considered as dismissed by the subcommittee.
(p) The findings of the adjudicatory subcommittee shall be
reported to the Committee.
Rule 25. Sanction Hearing and Consideration of Sanctions or
Other Recommendations
(a) If no count in a Statement of Alleged Violation is
proved, the Committee shall prepare a report to the House of
Representatives, based upon the report of the adjudicatory
subcommittee.
(b) If an adjudicatory subcommittee completes an
adjudicatory hearing pursuant to Rule 24 and reports that any
count of the Statement of Alleged Violation has been proved,
a hearing before the Committee shall be held to receive oral
and/or written submissions by counsel for the Committee and
counsel for the respondent as to the sanction the Committee
should recommend to the House of Representatives with respect
to such violations. Testimony by witnesses shall not be heard
except by written request and vote of a majority of the
Committee.
(c) Upon completion of any proceeding held pursuant to
clause (b), the Committee shall consider and vote on a motion
to recommend to the House of Representatives that the House
take disciplinary action. If a majority of the Committee does
not vote in favor of the recommendation that the House of
Representatives take action, a motion to reconsider that vote
may be made only by a member who voted against the
recommendation. The Committee may also, by majority vote,
adopt a motion to issue a Letter of Reproval or take other
appropriate Committee action.
(d) If the Committee determines a Letter of Reproval
constitutes sufficient action, the Committee shall include
any such letter as a part of its report to the House of
Representatives.
(e) With respect to any proved counts against a Member of
the House of Representatives, the Committee may recommend to
the House one or more of the following sanctions:
(1) Expulsion from the House of Representatives.
(2) Censure.
(3) Reprimand.
(4) Fine.
(5) Denial or limitation of any right, power, privilege,
or immunity of the Member if under the Constitution the House
of Representatives may impose such denial or limitation.
(6) Any other sanction determined by the Committee to be
appropriate.
(f) With respect to any proved counts against an officer
or employee of the House of Representatives, the Committee
may recommend to the House one or more of the following
sanctions:
(1) Dismissal from employment.
(2) Reprimand.
(3) Fine.
(4) Any other sanction determined by the Committee to be
appropriate.
(g) With respect to the sanctions that the Committee may
recommend, reprimand is appropriate for serious violations,
censure is appropriate for more serious violations, and
expulsion of a Member or dismissal of an officer or employee
is appropriate for the most serious violations. A
recommendation of a fine is appropriate in a case in which it
is likely that the violation was committed to secure a
personal financial benefit; and a recommendation of a denial
or limitation of a right, power, privilege, or immunity of a
Member is appropriate when the violation bears upon the
exercise or holding of such right, power, privilege, or
immunity. This clause sets forth general guidelines and does
not limit the authority of the Committee to recommend other
sanctions.
(h) The Committee report shall contain an appropriate
statement of the evidence supporting the Committee's findings
and a statement of the Committee's reasons for the
recommended sanction.
Rule 26. Disclosure of Exculpatory Information to Respondent
If the Committee, or any investigative or adjudicatory
subcommittee at any time receives any exculpatory information
respecting a Complaint or Statement of Alleged Violation
concerning a Member, officer, or employee of the House of
Representatives, it shall make such information immediately
known and available to the Member, officer, or employee. For
purposes of this rule, exculpatory evidence shall be any
evidence or information that is substantially favorable to
the respondent with respect to the allegations or charges
before an investigative or adjudicatory subcommittee.
Rule 27. Rights of Respondents and Witnesses
(a) A respondent shall be informed of the right to be
represented by counsel, to be provided at his or her own
expense.
(b) A respondent may seek to waive any procedural rights
or steps in the disciplinary process. A request for waiver
must be in writing, signed by the respondent, and must detail
what procedural steps respondent seeks to waive. Any such
request shall be subject to the acceptance of the Committee
or subcommittee, as appropriate.
(c) Not less than 10 calendar days before a scheduled vote
by an investigative subcommittee on a Statement of Alleged
Violation, the subcommittee shall provide the respondent with
a copy of the Statement of Alleged Violation it intends to
adopt together with all evidence it intends to use to prove
those charges which it intends to adopt, including
documentary evidence, witness testimony, memoranda of witness
interviews, and physical evidence, unless the subcommittee by
an affirmative vote of a majority of its members decides to
withhold certain evidence in order to protect a witness, but
if such evidence is withheld, the subcommittee shall inform
the respondent that evidence is being withheld and of the
count to which such evidence relates.
(d) Neither the respondent nor his counsel shall, directly
or indirectly, contact the subcommittee or any member thereof
during the period of time set forth in paragraph (c) except
for the sole purpose of settlement discussions where counsels
for the respondent and the subcommittee are present.
(e) If, at any time after the issuance of a Statement of
Alleged Violation, the Committee or any subcommittee thereof
determines that it intends to use evidence not provided to a
respondent under paragraph (c) to prove the charges contained
in the Statement of Alleged Violation (or any amendment
thereof), such evidence shall be made immediately available
to the respondent, and it may be used in any further
proceeding under the Committee's rules.
(f) Evidence provided pursuant to paragraph (c) or (e)
shall be made available to the respondent and his or her
counsel only after each agrees, in writing, that no document,
information, or other materials obtained pursuant to that
paragraph shall be made public until--
(1) such time as a Statement of Alleged Violation is made
public by the Committee if the respondent has waived the
adjudicatory hearing; or
(2) the commencement of an adjudicatory hearing if the
respondent has not waived an adjudicatory hearing; but the
failure of respondent and his counsel to so agree in writing,
and therefore not receive the evidence, shall not preclude
the issuance of a Statement of Alleged Violation at the end
of the period referenced to in (c).
(g) A respondent shall receive written notice whenever--
(1) the Chairman and Ranking Minority Member determine
that information the Committee has received constitutes a
complaint;
(2) a complaint or allegation is transmitted to an
investigative subcommittee;
(3) that subcommittee votes to authorize its first
subpoena or to take testimony under oath, whichever occurs
first; and
(4) the Committee votes to expand the scope of the inquiry
of an investigative subcommittee.
(h) Whenever an investigative subcommittee adopts a
Statement of Alleged Violation and a respondent enters into
an agreement with that subcommittee to settle a complaint on
which the Statement is based, that agreement, unless the
respondent requests otherwise, shall be in writing and signed
by the respondent and respondent's counsel, the Chairman and
Ranking Minority Member of the subcommittee, and the outside
counsel, if any.
(i) Statements or information derived solely from a
respondent or his counsel during any settlement discussions
between the Committee or a subcommittee thereof and the
respondent shall not be included in any report of the
subcommittee or the Committee or otherwise publicly disclosed
without the consent of the respondent;
(j) Whenever a motion to establish an investigative
subcommittee does not prevail, the Committee shall promptly
send a letter to the respondent informing him of such vote.
(k) Witnesses shall be afforded a reasonable period of
time, as determined by the Committee or subcommittee, to
prepare for an adjudicatory hearing or for an appearance
before an investigative subcommittee, and to obtain counsel.
(l) Except as otherwise specifically authorized by the
Committee, no Committee member or staff member shall disclose
to any person outside the Committee the name of any witness
subpoenaed to testify or to produce evidence.
(m) Prior to their testimony, 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.
(n) Witnesses may be accompanied by their own counsel for
the purpose of advising them concerning their constitutional
rights. The Chairman may punish breaches of order and
decorum, and of professional responsibility on the part of
counsel, by censure and exclusion from the hearings; and the
Committee may cite the offender to the House of
Representatives for contempt.
(o) Each witness subpoenaed to provide testimony of other
evidence shall be provided such travel expenses as the
Chairman considers appropriate. No compensation shall be
authorized for attorney's fees or for a witness' lost
earnings.
(p) With the approval of the Committee, a witness, upon
request, may be provided with a transcript of his or her
deposition or other testimony taken in executive session, or,
with the approval of the Chairman and Ranking Minority
Member, may be permitted to examine such transcript in the
office of the Committee. Any such request shall be in writing
and shall include a statement that the witness, and counsel,
agree to maintain the confidentiality of all executive
session proceedings covered by such transcript.
Rule 28. Frivolous Filings
If a complaint or information offered as a complaint is
deemed frivolous by an affirmative vote of a majority of the
members of the Committee, the Committee may take such action
as it, by an affirmative vote of its members, deems
appropriate in the circumstances.
Rule 29. Referrals to Federal or State Authorities
Referrals made under Clause 4(e)(1)(C) of rule X of the
Rules of the House of Representatives may be made by an
affirmative vote of two-thirds of the members of the
Committee.
U.S. Government Printing Office: 44-597 (12399)