Committee on
Standards
of Official Conduct
Adopted
109th Congress
__________________________________________________________________________________________________________________________
United States House of Representatives
JUDY
BIGGERT,
LAMAR
S. SMITH,
MELISSA
A. HART,
STEPHANIE TUBBS JONES,
LUCILLE ROYBAL-ALLARD,
MICHAEL F. DOYLE,
Kenneth E. Kellner, Acting Chief Counsel
______________________________________________________________________________________________________________________________
CONTENTS
RULES OF THE COMMITTEE ON STANDARDS OF
OFFICIAL CONDUCT
PART
I—GENERAL COMMITTEE RULES
Rule 3. Advisory
Opinions and Waivers
Rule 8.
Subcommittees—General Policy and Structure
Rule 9. Quorums and
Member Disqualification
Rule 12. Broadcasts
of Committee and Subcommittee Proceedings
PART II—INVESTIGATIVE AUTHORITY
Rule 14. Committee
Authority to Investigate—General Policy
Rule 16. Duties of
Committee Chairman and Ranking Minority Member
Rule 17. Processing
of Complaints
Rule 18.
Committee-Initiated Inquiry
Rule 19.
Investigative Subcommittee
Rule 20. Amendments
to Statements of Alleged Violation
Rule 21. Committee
Reporting Requirements
Rule 23. Adjudicatory Hearings
Rule 24. Sanction
Hearing and Consideration of Sanctions. or Other Recommendations
Rule 25. Disclosure of Exculpatory Information to
Respondent
Rule 26. Rights of Respondents and Witnesses
Rule 28. Referrals to Federal or State Authorities
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
(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, 109th 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the Committee may be modified, amended, or repealed by a vote of a majority of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 Chairman and Ranking
Minority Member shall have access to such information that they request as
necessary to conduct Committee business.
(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.
(a) The Office of Advice and Education shall handle inquiries; prepare written opinions providing specific advice; develop general guidance; and organize seminars, workshops, and briefings for the benefit of the House of Representatives.
(b) Any Member, officer, or employee of the House of Representatives, may request a written opinion with respect to the propriety of any current or proposed conduct of such Member, officer, or employee.
(c) The Office of
Advice and Education may provide information and guidance regarding laws,
rules, regulations, and other standards of conduct applicable to Members,
officers, and employees in the performance of their duties or the discharge of
their responsibilities.
(d) In general,
the Committee shall provide a written opinion to an individual only in response
to a written request, and the written opinion shall address the conduct only of
the inquiring individual, or of persons for whom the inquiring individual is
responsible as employing authority.
(e) A written
request for an opinion shall be addressed to the Chairman of the Committee and
shall include a complete and accurate statement of the relevant facts. A request shall be signed by the requester or
the requester’s authorized representative or employing authority. A representative shall disclose to the
Committee the identity of the principal on whose behalf advice is being sought.
(f) The Office of Advice and
Education shall prepare for the Committee a response to each written request
for an opinion from a Member, officer or employee. Each response shall discuss all applicable
laws, rules, regulations, or other standards.
(g) Where a
request is unclear or incomplete, the Office of Advice and Education may seek
additional information from the requester.
(h) The Chairman
and Ranking Minority Member are authorized to take action on behalf of the
Committee on any proposed written opinion that they determine does not require
consideration by the Committee. If the
Chairman or Ranking Minority Member requests a written opinion, or seeks a
waiver, extension, or approval pursuant to Rules 3(l), 4(c), 4(e), or 4(h), the
next ranking member of the requester’s party is authorized to act in lieu of
the requester.
(i) The Committee shall keep confidential any request for advice from a Member, officer, or employee, as well as any response thereto.
(j) The
Committee may take no adverse action in regard to any conduct that has been
undertaken in reliance on a written opinion if the conduct conforms to the
specific facts addressed in the opinion.
(k) Information provided to the
Committee by a Member, officer, or employee seeking advice regarding
prospective conduct may not be used as the basis for initiating an investigation
under clause 3(a)(2) 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.
(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
(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)(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
(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
(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.
(a) The regular meeting day of the Committee shall be the second Wednesday of each month, except when the House of Representatives is not meeting on that day. When the Committee Chairman determines that there is sufficient reason, a meeting may be called on additional days. A regularly scheduled meeting need not be held when the Chairman determines there is no business to be considered.
(b) The Chairman shall
establish the agenda for meetings of the Committee and the Ranking Minority
Member may place additional items on the agenda.
(c) All meetings of the
Committee or any subcommittee shall occur in executive session unless the
Committee or subcommittee, by an affirmative vote of a majority of its members,
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.
(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) 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 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) and (e) of this Rule and Rule 7(b) shall apply to shared staff.
(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 Chairman 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.
(a) Notwithstanding any other provision of these
Rules, the Chairman 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 Chairman
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 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.
(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.
(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 17(e) or Rule 23(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.
(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 or amendment 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.
(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
(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.
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.
(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 he or she 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 courts of a felony; or
(5) the House of
Representatives, by resolution, authorizes or directs the Committee to undertake
an inquiry or investigation.
(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).
(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.
(a) 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.
(b) 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) or (2) of Rule 16(b).
(c) 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.
(d)
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.
(e) 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.
(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.
(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) 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 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.
(a) Notwithstanding the absence of a filed complaint, the Committee may consider any information in its possession indicating that a Member, officer, or employee may have committed a violation of the Code of Official Conduct or any law, rule, regulation, or other standard of conduct applicable to the conduct of such Member, officer, or employee in the performance of his or her duties or the discharge of his or her responsibilities. The Chairman and Ranking Minority Member may jointly gather additional information concerning such an alleged violation by a Member, officer, or employee unless and until an investigative subcommittee has been established.
(b) If the Committee votes to establish an investigative subcommittee, the Committee shall proceed in accordance with Rule 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 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 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.
(a)
Upon the establishment of an investigative subcommittee, 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. 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 Chairman and Ranking Minority Member of the
Committee. 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. 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)
In an
inquiry undertaken by an investigative subcommittee—
(1) All
proceedings, including the taking of testimony, shall be conducted in executive
session and all testimony taken by deposition or things produced pursuant to
subpoena or otherwise shall be deemed to have been taken or produced in
executive session.
(2) The
Chairman of the investigative subcommittee shall ask the respondent and all
witnesses whether they intend to be represented by counsel. If so, the respondent or witnesses or their
legal representatives shall provide written designation of counsel. A respondent or witness who is represented by
counsel shall not be questioned in the absence of counsel unless an explicit
waiver is obtained.
(3)
The
subcommittee shall provide the respondent an opportunity to present, orally or
in writing, a statement, which must be under oath or affirmation, regarding the
allegations and any other relevant questions arising out of the inquiry.
(4) The staff may interview witnesses, examine
documents and other evidence, and request that submitted statements be under
oath or affirmation and that documents be certified as to their authenticity
and accuracy.
(5) The
subcommittee, by a majority vote of its members, may require, by subpoena or
otherwise, the attendance and testimony of witnesses and the production of such
books, records, correspondence, memoranda, papers, documents, and other items
as it deems necessary to the conduct of the inquiry. Unless the Committee otherwise provides, the
subpoena power shall rest in the Chairman and Ranking Minority Member of the
Committee and a subpoena shall be issued upon the request of the investigative
subcommittee.
(6) The
subcommittee shall require that testimony be given under oath or
affirmation. The form of the oath or affirmation
shall be: “Do you solemnly swear (or affirm) that the testimony you will give
before this subcommittee in the matter now under consideration will be the
truth, the whole truth, and nothing but the truth (so help you God)?” The oath or affirmation shall be administered
by the Chairman or subcommittee member designated by the Chairman to administer
oaths.
(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 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’ counsel, or a member of the subcommittee may appeal any rulings to the members present at that proceeding. The majority vote of the members present at such proceeding on such appeal shall govern the question of admissibility, and no appeal shall lie to the Committee.
(3)
Whenever a person is determined by a majority vote to be in contempt of
the subcommittee, the matter may be referred to the Committee to determine
whether to refer the matter to the House of Representatives for consideration.
(4) Committee counsel may, subject to subcommittee approval, enter into stipulations with the respondent and/or the respondent’s counsel as to facts that are not in dispute.
(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.
(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.
(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 his or her right to an adjudicatory hearing, and the respondent’s waiver
is approved by the Committee—
(1)
the
subcommittee shall prepare a report for transmittal to the Committee, a final draft
of which shall be provided to the respondent not less than 15 calendar days
before the subcommittee votes on whether to adopt the report;
(2)
the
respondent may submit views in writing regarding the final draft to the
subcommittee within 7 calendar days of receipt of that draft;
(3)
the subcommittee
shall transmit a report to the Committee regarding the Statement of Alleged
Violation together with any views submitted by the respondent pursuant to subparagraph
(2), and the Committee shall make the report, together with the respondent’s
views, available to the public before the commencement of any sanction hearing;
and
(4)
the
Committee shall by an affirmative vote of a majority of its members issue a
report and transmit such report to the House of Representatives, together with
the respondent’s views previously submitted pursuant to subparagraph (2) and
any additional views respondent may submit for attachment to the final report;
and
(d) Members of the Committee
shall have not less than 72 hours to review any report transmitted to the
Committee by an investigative subcommittee before both the commencement of a
sanction hearing and the Committee vote on whether to adopt the report.
(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 Chairman 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 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.
(a) If a Statement of Alleged Violation is transmitted to the Chairman and Ranking Minority Member pursuant to Rule 22, and no waiver pursuant to Rule 26(b) has occurred, the Chairman shall designate the members of the Committee who did not serve on the investigative subcommittee to serve on an adjudicatory subcommittee. The Chairman and Ranking Minority Member of the Committee shall be the Chairman and Ranking Minority Member of the adjudicatory subcommittee unless they served on the investigative subcommittee. The respondent shall be notified of the designation of the adjudicatory subcommittee and shall have ten days after such notice is transmitted to object to the participation of any subcommittee member. Such objection shall be in writing and shall be on the grounds that the member cannot render an impartial and unbiased decision. The member against whom the objection is made shall be the sole judge of his or her disqualification.
(b) A majority of
the adjudicatory subcommittee membership plus one must be present at all times
for the conduct of any business pursuant to this rule.
(c) The adjudicatory subcommittee shall hold a hearing to determine whether any counts in the Statement of Alleged Violation have been proved by clear and convincing evidence and shall make findings of fact, except where such violations have been admitted by respondent.
(d) At an adjudicatory hearing, the subcommittee may require, by subpoena or otherwise, the attendance and testimony of such witnesses and production of such books, records, correspondence, memoranda, papers, documents, and other items as it deems necessary. Depositions, interrogatories, and sworn statements taken under any investigative subcommittee direction may be accepted into the hearing record.
(e) The
procedures set forth in clause 2(g) and (k) of Rule XI of the Rules of the
House of Representatives shall apply to adjudicatory hearings. All such hearings shall be open to the public
unless the adjudicatory subcommittee, pursuant to such clause, determines that
the hearings or any part thereof should be closed.
(f)(1) The adjudicatory subcommittee shall, in writing, notify the respondent that the respondent and his or her counsel have the right to inspect, review, copy, or photograph books, papers, documents, photographs, or other tangible objects that the adjudicatory subcommittee counsel intends to use as evidence against the respondent in an adjudicatory hearing. The respondent shall be given access to such evidence, and shall be provided the names of witnesses the subcommittee counsel intends to call, and a summary of their expected testimony, no less than 15 calendar days prior to any such hearing. Except in extraordinary circumstances, no evidence may be introduced or witness called in an adjudicatory hearing unless the respondent has been afforded a prior opportunity to review such evidence or has been provided the name of the witness.
(2) After a witness has testified on direct examination at an adjudicatory hearing, the Committee, at the request of the respondent, shall make available to the respondent any statement of the witness in the possession of the Committee which relates to the subject matter as to which the witness has testified.
(3) Any
other testimony, statement, or documentary evidence in the possession of the
Committee which is material to the respondent’s defense shall, upon request, be
made available to the respondent.
(g) No less than
five days prior to the hearing, the respondent or counsel shall provide the
adjudicatory subcommittee with the names of witnesses expected to be called,
summaries of their expected testimony, and copies of any documents or other
evidence proposed to be introduced.
(h) The
respondent or counsel may apply to the subcommittee for the issuance of
subpoenas for the appearance of witnesses or the production of evidence. The application shall be granted upon a
showing by the respondent that the proposed testimony or evidence is relevant
and not otherwise available to respondent.
The application may be denied if not made at a reasonable time or if the
testimony or evidence would be merely cumulative.
(i) During
the hearing, the procedures regarding the admissibility of evidence and rulings
shall be as follows:
(1) Any relevant
evidence shall be admissible unless the evidence is privileged under the
precedents of the House of Representatives.
(2) The
Chairman of the subcommittee or other presiding member at an adjudicatory
subcommittee hearing shall rule upon any question of admissibility or
pertinency of evidence, motion, procedure, or any other matter, and may direct
any witness to answer any question under penalty of contempt. A witness, witness’s counsel, or a member of
the subcommittee may appeal any 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 the respondent and/or the respondent’s counsel as to facts that are not in dispute.
(j) Unless
otherwise provided, the order of an adjudicatory hearing shall be as follows:
(1) The
Chairman of the subcommittee shall open the hearing by stating the adjudicatory
subcommittee’s authority to conduct the hearing and the purpose of the hearing.
(2) The
Chairman shall then recognize Committee counsel and the respondent’s counsel,
in turn, for the purpose of giving opening statements.
(3) Testimony from witnesses and other pertinent evidence shall be received in the following order whenever possible:
(i) witnesses (deposition transcripts and affidavits obtained during the inquiry may be used in lieu of live witnesses if the witness is unavailable) and other evidence offered by the Committee counsel,
(ii) witnesses and other evidence offered by the respondent,
(iii) rebuttal witnesses, as permitted by the Chairman.
(4) Witnesses
at a hearing shall be examined first by counsel calling such witness. The opposing counsel may then cross-examine
the witness. Redirect examination and
recross examination by counsel may be permitted at the Chairman’s discretion. Subcommittee members may then question
witnesses. Unless otherwise directed by
the Chairman, questions by Subcommittee members shall be conducted under the
five-minute rule.
(5) The Chairman 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 Chairman.
(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.
(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.
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.
(a)
A
respondent shall be informed of the right to be represented by counsel, to be
provided at his or her own expense.
(b)
A
respondent may seek to waive any procedural rights or steps in the disciplinary
process. A request for waiver must be in
writing, signed by the respondent, and must detail what procedural steps the respondent
seeks to waive. Any such request shall
be subject to the acceptance of the Committee or subcommittee, as appropriate.
(c)
Not less
than 10 calendar days before a scheduled vote by an investigative subcommittee
on a Statement of Alleged Violation, the subcommittee shall provide the
respondent with a copy of the Statement of Alleged Violation it intends to
adopt together with all evidence it intends to use to prove those charges which
it intends to adopt, including documentary evidence, witness testimony,
memoranda of witness interviews, and physical evidence, unless the subcommittee
by an affirmative vote of a majority of its members decides to withhold certain
evidence in order to protect a witness, but if such evidence is withheld, the
subcommittee shall inform the respondent that evidence is being withheld and of
the count to which such evidence relates.
(d)
Neither the
respondent nor his counsel shall, directly or indirectly, contact the subcommittee
or any member thereof during the period of time set forth in paragraph (c)
except for the sole purpose of settlement discussions where counsels for the
respondent and the subcommittee are present.
(e)
If, at any
time after the issuance of a Statement of Alleged Violation, the Committee or
any subcommittee thereof determines that it intends to use evidence not
provided to a respondent under paragraph (c) to prove the charges contained in
the Statement of Alleged Violation (or any amendment thereof), such evidence
shall be made immediately available to the respondent, and it may be used in
any further proceeding under the Committee’s rules.
(f)
Evidence
provided pursuant to paragraph (c) or (e) shall be made available to the
respondent and his or her counsel only after each agrees, in writing, that no
document, information, or other materials obtained pursuant to that paragraph
shall be made public until–
(1)
such time
as a Statement of Alleged Violation is made public by the Committee if the
respondent has waived the adjudicatory hearing; or
(2)
the commencement of an adjudicatory hearing if the
respondent has not waived an adjudicatory hearing; but the failure of
respondent and his counsel to so agree in writing, and therefore not receive
the evidence, shall not preclude the issuance of a Statement of Alleged
Violation at the end of the period referenced to in (c).
(g)
A
respondent shall receive written notice whenever-
(1)
the
Chairman and Ranking Minority Member determine that information the Committee
has received constitutes a complaint;
(2)
a complaint
or allegation is transmitted to an investigative subcommittee;
(3)
that
subcommittee votes to authorize its first subpoena or to take testimony under
oath, whichever occurs first; and
(4)
the Committee votes to expand the scope of the
inquiry of an investigative subcommittee.
(h) Whenever an
investigative subcommittee adopts a Statement of Alleged Violation and a
respondent enters into an agreement with that subcommittee to settle a
complaint on which the Statement is based, that agreement, unless the
respondent requests otherwise, shall be in writing and signed by the respondent
and the respondent’s counsel, the Chairman and Ranking Minority Member of the
subcommittee, and the outside counsel, if any.
(i)
Statements or information derived solely from a respondent or his counsel
during any settlement discussions between the Committee or a subcommittee
thereof and the respondent shall not be included in any report of the
subcommittee or the Committee or otherwise publicly disclosed without the
consent of the respondent.
(j) Whenever a motion to
establish an investigative subcommittee does not prevail, the Committee shall
promptly send a letter to the respondent informing him of such vote.
(k) Witnesses
shall be afforded a reasonable period of time, as determined by the Committee
or subcommittee, to prepare for an appearance before an investigative
subcommittee or for an adjudicatory hearing and to obtain counsel.
(l) 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
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.
(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 Chairman 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
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.
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.
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.