SUMMARY
OF ACTIVITIES
ONE
HUNDRED EIGHTH CONGRESS
---------------------
------------------
Mr. HEFLEY and Mr.
MOLLOHAN, from the Committee on Standards of Official Conduct, submitted the
following
REPORT
House Rule XI, Clause 1(d), requires
each committee to submit to the House, not later than January 2 of each
odd-numbered year, a report on the activities of that committee under that rule
and House Rule X during the Congress ending on January 3 of that year.
The jurisdiction of the Committee on
Standards of Official Conduct (“Committee”) is defined in Clauses 1(p) and
11(g)(4) of House Rule X, Clause 3 of House Rule XI, and Clause 5(f) of House
Rule XXV. The text of those provisions
is as follows:
Rule X,
Clause 1(p)
1.
There shall be in the House the following standing committees, each of
which shall have the jurisdiction and related functions assigned by this clause
and clauses 2, 3, and 4. . . .
. . . .
(p) Committee
on Standards of Official Conduct.
The Code of Official Conduct.
Rule X, Clause 11(g)(4)
(4) The Committee on Standards of
Official Conduct shall investigate any unauthorized disclosure of intelligence
or intelligence-related information by a Member, Delegate, Resident
Commissioner, officer, or employee of the House in violation of subparagraph
(3) and report to the House concerning any allegation that it finds to be
substantiated.
Rule XI, Clause 3
Committee on Standards of Official Conduct
3.
(a) The Committee on Standards of Official Conduct has the following functions:
(1)
The committee may recommend to the House from time to time such administrative
actions as it may consider appropriate to establish or enforce standards of
official conduct for Members, Delegates, the Resident Commissioner, officers,
and employees of the House. A letter of reproval or other administrative action
of the committee pursuant to an investigation under subparagraph (2) shall only
be issued or implemented as a part of a report required by such subparagraph.
(2)
The committee may investigate, subject to paragraph (b), an alleged violation
by a Member, Delegate, Resident Commissioner, officer, or employee of the House
of the Code of Official Conduct or of a law, rule, regulation, or other
standard of conduct applicable to the conduct of such Member, Delegate,
Resident Commissioner, officer, or employee in the performance of his duties or
the discharge of his responsibilities. After notice and hearing (unless the
right to a hearing is waived by the Member, Delegate, Resident Commissioner,
officer, or employee), the committee shall report to the House its findings of
fact and recommendations, if any, for the final disposition of any such
investigation and such action as the committee may consider appropriate in the
circumstances.
(3)
The committee may report to the appropriate Federal or State authorities,
either with the approval of the House or by an affirmative vote of two-thirds
of the members of the committee, any substantial evidence of a violation by a
Member, Delegate, Resident Commissioner, officer, or employee of the House, of
a law applicable to the performance of his duties or the discharge of his
responsibilities that may have been disclosed in a committee investigation.
(4)
The committee may consider the request of a Member, Delegate, Resident
Commissioner, officer, or employee of the House for an advisory opinion with
respect to the general propriety of any current or proposed conduct of such
Member, Delegate, Resident Commissioner, officer, or employee. With appropriate
deletions to ensure the privacy of the person concerned, the committee may
publish such opinion for the guidance of other Members, Delegates, the Resident
Commissioner, officers, and employees of the House.
(5)
The committee may consider the request of a Member, Delegate, Resident
Commissioner, officer, or employee of the House for a written waiver in
exceptional circumstances with respect to clause 4 of rule XXIII.
(b)(1)(A)
Unless approved by an affirmative vote of a majority of its members, the
Committee on Standards of Official Conduct may not report a resolution, report,
recommendation, or advisory opinion relating to the official conduct of a
Member, Delegate, Resident Commissioner, officer, or employee of the House, or,
except as provided in subparagraph (2), undertake an investigation of such
conduct.
(B)(i)
Upon the receipt of information offered as a complaint that is in compliance
with this rule and the rules of the committee, the chairman and ranking
minority member jointly may appoint members to serve as an investigative
subcommittee.
(ii)
The chairman and ranking minority member of the committee jointly may gather
additional information concerning alleged conduct that is the basis of a
complaint or of information offered as a complaint until they have established
an investigative subcommittee or either of them has placed on the agenda of the
committee the issue of whether to establish an investigative subcommittee.
(2)
Except in the case of an investigation undertaken by the committee on its own
initiative, the committee may undertake an investigation relating to the
official conduct of an individual Member, Delegate, Resident Commissioner,
officer, or employee of the House only
(A)
upon receipt of information offered as a complaint, in writing and under oath,
from a Member, Delegate, or Resident Commissioner and transmitted to the
committee by such Member, Delegate, or Resident Commissioner; or
(B)
upon receipt of information offered as a complaint, in writing and under oath,
from a person not a Member, Delegate, or Resident Commissioner provided that a
Member, Delegate, or Resident Commissioner certifies in writing to the
committee that he believes the information is submitted in good faith and
warrants the review and consideration of the committee.
If
a complaint is not disposed of within the applicable periods set forth in the
rules of the Committee on Standards of Official Conduct, the chairman and
ranking minority member shall establish jointly an investigative subcommittee
and forward the complaint, or any portion thereof, to that subcommittee for its
consideration. However, if at any time during those periods either the 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.
(3)
The committee may not undertake an investigation of an alleged violation of a
law, rule, regulation, or standard of conduct that was not in effect at the
time of the alleged violation. The committee may not undertake an investigation
of such an alleged violation that occurred before the third previous Congress
unless the committee determines that the alleged violation is directly related
to an alleged violation that occurred in a more recent Congress.
(4)
A member of the committee shall be ineligible to participate as a member of the
committee in a committee proceeding relating to the member’s official conduct.
Whenever a member of the committee is ineligible to act as a member of the
committee under the preceding sentence, the Speaker shall designate a Member,
Delegate, or Resident Commissioner from the same political party as the
ineligible member to act in any proceeding of the committee relating to that
conduct.
(5)
A member of the committee may disqualify himself from participating in an
investigation of the conduct of a Member, Delegate, Resident Commissioner,
officer, or employee of the House upon the submission in writing and under oath
of an affidavit of disqualification stating that the member cannot render an
impartial and unbiased decision in the case in which the member seeks to be
disqualified. If the committee approves and accepts such affidavit of
disqualification, the chairman shall so notify the Speaker and request the
Speaker to designate a Member, Delegate, or Resident Commissioner from the same
political party as the disqualifying member to act in any proceeding of the
committee relating to that case.
(6)
Information or testimony received, or the contents of a complaint or the fact
of its filing, may not be publicly disclosed by any committee or staff member
unless specifically authorized in each instance by a vote of the full
committee.
(7)
The committee shall have the functions designated in titles I and V of the
Ethics in Government Act of 1978 [on financial disclosure and the limitations
on outside earned income and outside employment], in sections 7342 [the Foreign
Gifts and Decorations Act], 7351 [on gifts to superiors], and 7353 [on gifts]
of title 5, United States Code, and in clause 11(g)(4) of rule X.
(c)(1)
Notwithstanding clause 2(g)(1) of rule XI, each meeting of the Committee on
Standards of Official Conduct or a subcommittee thereof shall occur in
executive session unless the committee or subcommittee, by an affirmative vote
of a majority of its members, opens the meeting to the public.
(2)
Notwithstanding clause 2(g)(2) of rule XI, each hearing of an adjudicatory
subcommittee or sanction hearing of the Committee on Standards of Official
Conduct shall be held in open session unless the committee or subcommittee, in
open session by an affirmative vote of a majority of its members, closes all or
part of the remainder of the hearing on that day to the public.
(d)
Before a member, officer, or employee of the Committee on Standards of Official
Conduct, including members of a subcommittee of the committee selected under
clause 5(a)(4) of rule X and shared staff, may have access to information that
is confidential under the rules of the committee, the following oath (or
affirmation) shall be executed:
“I
do solemnly swear (or affirm) that I will not disclose, to any person or entity
outside the Committee on Standards of Official Conduct, any information received
in the course of my service with the committee, except as authorized by the
committee or in accordance with its rules.”
Copies
of the executed oath shall be retained by the Clerk as part of the records of
the House. This paragraph establishes a standard of conduct within the meaning
of paragraph (a)(2). Breaches of confidentiality shall be investigated by the
Committee on Standards of Official Conduct and appropriate action shall be
taken.
(e)(1)
If a complaint or information offered as a complaint is deemed frivolous by an
affirmative vote of a majority of the members of the Committee on Standards of
Official Conduct, the committee may take such action as it, by an affirmative
vote of a majority of its members, considers appropriate in the circumstances.
(2)
Complaints filed before the One Hundred Fifth Congress may not be deemed
frivolous by the Committee on Standards of Official Conduct.
Committee agendas (f) The committee shall adopt rules providing that the chairman shall establish the agenda for meetings of the committee, but shall not preclude the ranking minority member from placing any item on the agenda. Committee staff(g)(1) The committee shall adopt rules providing that-- (A) the staff be assembled and retained as a professional, nonpartisan staff; (B) each member of the staff shall be professional and demonstrably qualified for the position for which he is hired; (C) the staff as a whole and each member of the staff shall perform all official duties in a nonpartisan manner; (D) no member of the staff shall engage in any partisan political activity directly affecting any congressional or presidential election; (E) no member of the staff or outside counsel may accept public speaking engagements or write for publication on any subject that is in any way related to his or her employment or duties with the committee without specific prior approval from the chairman and ranking minority member; and (F) no member of the staff or outside counsel may make public, unless approved by an affirmative vote of a majority of the members of the committee, any information, document, or other material that is confidential, derived from executive session, or classified and that is obtained during the course of employment with the committee. (2) Only subdivisions (C), (E), and (F) of subparagraph (1) shall apply to shared staff. (3)(A) All staff members shall be appointed by an affirmative vote of a majority of the members of the committee. Such vote shall occur at the first meeting of the membership of the committee during each Congress and as necessary during the Congress. (B) Subject to the approval of the Committee on House Administration, the committee may retain counsel not employed by the House of Representatives whenever the committee determines, by an affirmative vote of a majority of the members of the committee, that the retention of outside counsel is necessary and appropriate. (C) If the committee determines that it is necessary to retain staff members for the purpose of a particular investigation or other proceeding, then such staff shall be retained only for the duration of that particular investigation or proceeding. (D) Outside counsel may be dismissed before the end of a contract between the committee and such counsel only by an affirmative vote of a majority of the members of the committee. (4) In addition to any other staff provided for by law, rule, or other authority, with respect to the committee, the 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. Meetings and hearings(h)(1) The committee shall adopt rules providing that-- (A) all meetings or hearings of the committee or any subcommittee thereof, other than any hearing held by an adjudicatory subcommittee or any sanction hearing held by the committee, shall occur in executive session unless the committee or subcommittee by an affirmative vote of a majority of its members opens the meeting or hearing to the public; and (B) any hearing held by an adjudicatory subcommittee or any sanction hearing held by the committee shall be open to the public unless the committee or subcommittee by an affirmative vote of a majority of its members closes the hearing to the public. Public disclosure(i) The committee shall adopt rules providing that, unless otherwise determined by a vote of the committee, only the chairman or ranking minority member, after consultation with each other, may make public statements regarding matters before the committee or any subcommittee thereof. Requirements to constitute a complaint(j) The committee shall adopt rules regarding complaints to provide that whenever information offered as a complaint is submitted to the committee, the chairman and ranking minority member shall have 14 calendar days or five legislative days, whichever is sooner, to determine whether the information meets the requirements of the rules of the committee for what constitutes a complaint. Duties of chairman and ranking minority member regarding properly filed complaints(k)(1) The committee shall adopt rules providing that whenever the chairman and ranking minority member jointly determine that information submitted to the committee meets the requirements of the rules of the committee for what constitutes a complaint, they shall have 45 calendar days or five legislative days, whichever is later, after that determination (unless the committee by an affirmative vote of a majority of its members votes otherwise) to-- (A) recommend to the committee that it dispose of the complaint, or any portion thereof, in any manner that does not require action by the House, which may include dismissal of the complaint or resolution of the complaint by a letter to the Member, officer, or employee of the House against whom the complaint is made; (B) establish an investigative subcommittee; or (C) request that the committee extend the applicable 45-calendar day or five-legislative day period by one additional 45-calendar day period when they determine more time is necessary in order to make a recommendation under subdivision (A). (2) The committee shall adopt rules providing that if the chairman and ranking minority member jointly determine that information submitted to the committee meets the requirements of the rules of the committee for what constitutes a complaint, and the complaint is not disposed of within the applicable time periods under subparagraph (1), then they shall establish an investigative subcommittee and forward the complaint, or any portion thereof, to that subcommittee for its consideration. However, if, at any time during those periods, either the 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. Duties of chairman and ranking minority member regarding information not constituting a complaint(l) The committee shall adopt rules providing that whenever the chairman and ranking minority member jointly determine that information submitted to the committee does not meet the requirements of the rules of the committee for what constitutes a complaint, they may-- (1) return the information to the complainant with a statement that it fails to meet the requirements of the rules of the committee for what constitutes a complaint; or(2) recommend to the committee that it authorize the establishment of an investigative subcommittee. Investigative and adjudicatory subcommittees (m) The committee shall adopt rules providing that-- (1)(A) an investigative subcommittee shall be composed of four Members (with equal representation from the majority and minority parties) whenever such a subcommittee is established pursuant to the rules of the committee; (B) an adjudicatory subcommittee shall be composed of the members of the committee who did not serve on the pertinent investigative subcommittee (with equal representation from the majority and minority parties) whenever such a subcommittee is established pursuant to the rules of the committee; and (C) notwithstanding any other provision of this clause, the 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 information before a subcommittee with which they so consult, and shall not thereby be precluded from serving as full, voting members of any adjudicatory subcommittee; (2) at the time of appointment, the chairman shall designate one member of a subcommittee to serve as chairman and the ranking minority member shall designate one member of the subcommittee to serve as the ranking minority member; and (3) 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. Standard of proof for adoption of statement of alleged violation(n) The committee shall adopt rules to provide that an investigative subcommittee may adopt a statement of alleged violation only if it determines by an affirmative vote of a majority of the members of the subcommittee that there is substantial reason to believe that a violation of the Code of Official Conduct, or of a law, rule, regulation, or other standard of conduct applicable to the performance of official duties or the discharge of official responsibilities by a Member, officer, or employee of the House of Representatives, has occurred. Subcommittee powers(o)(1) The committee shall adopt rules providing that an investigative subcommittee or an adjudicatory subcommittee may authorize and issue subpoenas only when authorized by an affirmative vote of a majority of the members of the subcommittee. (2) The committee shall adopt rules providing that an investigative subcommittee may, upon an affirmative vote of a majority of its members, expand the scope of its investigation approved by an affirmative vote of a majority of the members of the committee. (3) The committee shall adopt rules to provide that-- (A) an investigative subcommittee may, upon an affirmative vote of a majority of its members, amend its statement of alleged violation anytime before the statement of alleged violation is transmitted to the committee; and (B) if an investigative subcommittee amends its statement of alleged violation, the respondent shall be notified in writing and shall have 30 calendar days from the date of that notification to file an answer to the amended statement of alleged violation. Due process rights of respondents (p) The committee shall adopt rules to provide that-- (1) not less than 10 calendar days before a scheduled vote by an investigative subcommittee on a statement of alleged violation, the subcommittee shall provide the respondent with a copy of the statement of alleged violation it intends to adopt together with all evidence it intends to use to prove those charges which it intends to adopt, including documentary evidence, witness testimony, memoranda of witness interviews, and physical evidence, unless the subcommittee by an affirmative vote of a majority of its members decides to withhold certain evidence in order to protect a witness; but if such evidence is withheld, the subcommittee shall inform the respondent that evidence is being withheld and of the count to which such evidence relates; (2) neither the respondent nor his counsel shall, directly or indirectly, contact the subcommittee or any member thereof during the period of time set forth in paragraph (1) except for the sole purpose of settlement discussions where counsel for the respondent and the subcommittee are present; (3) if, at any time after the issuance of a statement of alleged violation, the committee or any subcommittee thereof determines that it intends to use evidence not provided to a respondent under paragraph (1) to prove the charges contained in the statement of alleged violation (or any amendment thereof), such evidence shall be made immediately available to the respondent, and it may be used in any further proceeding under the rules of the committee; (4) evidence provided pursuant to paragraph (1) or (3) shall be made available to the respondent and 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-- (A) such time as a statement of alleged violation is made public by the committee if the respondent has waived the adjudicatory hearing; or (B) the commencement of an adjudicatory hearing if the respondent has not waived an adjudicatory hearing; but the failure of respondent and his counsel to so agree in writing, and their consequent failure to receive the evidence, shall not preclude the issuance of a statement of alleged violation at the end of the period referred to in paragraph (1); (5) a respondent shall receive written notice whenever-- (A) the chairman and ranking minority member determine that information the committee has received constitutes a complaint; (B) a complaint or allegation is transmitted to an investigative subcommittee; (C) an investigative subcommittee votes to authorize its first subpoena or to take testimony under oath, whichever occurs first; or (D) an investigative subcommittee votes to expand the scope of its investigation; (6) whenever an investigative subcommittee adopts a statement of alleged violation and a respondent enters into an agreement with that subcommittee to settle a complaint on which that statement is based, that agreement, unless the respondent requests otherwise, shall be in writing and signed by the respondent and respondent's counsel, the chairman and ranking minority member of the subcommittee, and the outside counsel, if any; (7) 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; and (8) 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. Committee reporting requirements(q) The committee shall adopt rules to provide that-- (1) whenever an investigative subcommittee does not adopt a statement of alleged violation and transmits a report to that effect to the committee, the committee may by an affirmative vote of a majority of its members transmit such report to the House of Representatives; (2) whenever an investigative subcommittee adopts a statement of alleged violation, the respondent admits to the violations set forth in such statement, the respondent waives his or her right to an adjudicatory hearing, and the respondent's waiver is approved by the committee— (A) the subcommittee shall prepare a report for transmittal to the committee, a final draft of which shall be provided to the respondent not less than 15 calendar days before the subcommittee votes on whether to adopt the report; (B) the respondent may submit views in writing regarding the final draft to the subcommittee within seven calendar days of receipt of that draft; (C) the subcommittee shall transmit a report to the committee regarding the statement of alleged violation together with any views submitted by the respondent pursuant to subdivision (B), and the committee shall make the report together with the respondent's views available to the public before the commencement of any sanction hearing; and (D) the committee shall by an affirmative vote of a majority of its members issue a report and transmit such report to the House of Representatives, together with the respondent's views previously submitted pursuant to subdivision (B) and any additional views respondent may submit for attachment to the final report; and (3) members of the committee shall have not less than 72 hours to review any report transmitted to the committee by an investigative subcommittee before both the commencement of a sanction hearing and the committee vote on whether to adopt the report.
House Rule XXV, Clause 5(f)
(f) All the provisions of this clause
[the gift rule] shall be interpreted and enforced solely by the Committee on
Standards of Official Conduct. The
Committee on Standards of Official Conduct is authorized to issue guidance on
any matter contained in this clause.
II. ADVICE AND EDUCATION
Pursuant to a provision of the Ethics Reform Act of 1989 (2 U.S.C. §29d(i)), the Committee maintains an Office of Advice and Education, which is staffed as directed by the Committee’s Chairman and Ranking Minority Member. Under the statute, the primary responsibilities of the Office include the following:
Providing information and guidance to House Members, officers and employees on the laws, rules and other standards of conduct applicable to them in their official capacities, including the interpretations and advisory opinions issued by the Committee;
Drafting responses to specific advisory opinion
requests received from House Members and staff, and submitting them to the
Chairman and Ranking Minority Member for review and approval;
Drafting advisory memoranda on the ethics rules for
general distribution to House Members and staff, and submitting them to the Chairman and
Ranking Member, or the full Committee, for review and approval; and
Developing and carrying out periodic educational
briefings for Members and staff.
The duties
of the Office of Advice and Education are also addressed in Committee Rule 3,
and in addition that rule sets out requirements and procedures for the issuance
of Committee advisory opinions.
As an
inducement to Members and staff to seek Committee advice whenever they have any
uncertainty on the applicable laws, rules or standards, statutory law (2 U.S.C.
§29d(i)(4)) provides that no information provided to the Committee by a Member
or staff person when seeking advice on prospective conduct may be used as a
basis for initiating a Committee investigation, if the individual acts in
accordance with the Committee’s written advice.
In the same vein, Committee Rule 3(j) provides that the Committee may
take no adverse action in regard to any conduct that has been undertaken in
reliance on a written opinion of the Committee if the conduct conforms to the
specific facts addressed in the opinion.
A further
inducement for Members and staff to seek Committee guidance is that under
Committee Rule 3(i), the Committee will keep confidential any request for
advice from a Member, officer or employee, as well as any response to such a
request. In addition, it is the
Committee’s understanding that courts will consider the good faith reliance of
a House Member, officer or employee on Committee advice as a defense to any
Justice Department prosecution regarding the particular conduct.
The Committee
believes that a broad, active program for advice and education is an extremely
important means for attaining understanding of, and compliance with, the ethics
rules. The specifics of the Committee’s
efforts in the areas of publications, briefings, and advisory opinion letters
during the 108th Congress are set forth below. In addition, on practically a daily basis
Committee staff attorneys provided informal advice in response to inquiries
received from Members, staff persons and others in telephone calls and e-mails
directed to the Committee office, and in meetings.
The Committee’s
major publications are the House Ethics
Manual and two more recently issued booklets that update portions of the
Manual. One of the booklets, Rules of the
The Committee
updates and expands upon the materials in the Manual and the booklets, as well
as highlights matters of particular concern, through the issuance of advisory
memoranda and letters to all Members and staff.
The letters and memoranda issued during the 108th Congress
were as follows:
Salary Levels at which the Outside Earned Income Limitation,
the Outside Employment Limitations, the Financial Disclosure Requirement, and
the Post-Employment Restrictions Apply for Calendar Year 2003 (
Letter on Medical Practice by House Members and Senior
Staff (
Laws Rules and Standards Governing Campaign Activity (
Dear Colleague from the Chairman and Ranking Minority Member regarding
the activities and practices of the Committee on Standards of Official Conduct (
Salary Levels at which the Outside Earned Income
Limitation, the Outside Employment Limitations, the Financial Disclosure
Requirement, and the Post-Employment Restrictions Apply for Calendar Year 2004
(
Rules and Standards Relating to Member and Staff
Activities at the National Political Conventions (
Campaign Work by Congressional Staff Members (
Post-Employment and Related Restrictions for Members
and Officers (
Post-Employment and Related Restrictions for Staff (
Member Swearing-in and Inauguration Day Receptions,
and Attendance at Inaugural-Related Events (
The advisory
memorandum of
In addition to
the advisory memoranda listed above, the Committee issued updated versions of
its summary memorandum, Highlights of the
House Ethics Rules, in January 2003 and March 2004. In 2004, the Committee also issued a
historical summary chart of ethics proceedings in the House. Copies of all Committee publications are
available from the Committee office, and their text is posted on the
Committee’s Web site.
As part of its
outreach and educational efforts during the 108th Congress, the
Committee conducted numerous briefings for House Members and staff on the
ethics rules. These included briefings
to which all House Members and staff were invited, as well as briefings for
individual Member, committee and other House offices. Committee staff also participated in briefings
sponsored by the Congressional Research Service for district office staff
members and in briefings sponsored by outside organizations, and the Committee
had an information booth at the House Services Fair held annually by the CAO.
In addition to briefings
on financial disclosure (discussed further in the next section), Committee
staff held nine briefings during 2003 and 2004 that were open to all House
Members, officers and employees. Six of
those briefings provided a general overview of the ethics rules, and the other
three held in January, April and September 2004, were focused on the rules
applicable to campaign activity. The
Committee will continue this outreach activity in the 109th
Congress.
The Committee
also made a presentation to the Members-elect of the 109th Congress
as part of the New Member Orientation.
Copies of the Highlights of the
House Ethics Rules memorandum and a memorandum noting points of particular
interest to Members-elect were provided to each new Member as part of the orientation
process, and each was offered an individual briefing for the Member and his or
her staff.
Staff also
received numerous requests for briefings from visiting international
dignitaries. Visitors from countries in
The Committee’s
Office of Advice and Education, under the direction and supervision of the
Committee’s Chairman and Ranking Minority Member, prepared over 915 private
advisory opinions during the 108th Congress. Opinions issued by the Committee in the 108th
Congress addressed a wide range of subjects, including various provisions of
the gift rule, travel funded by outside entities, Member or staff participation
in fund-raising activities of charities and for other purposes, the outside
earned income and employment limitations, campaign activity by staff, and the
post-employment restrictions.
Title I of the Ethics in Government Act of 1978, as
amended (5 U.S.C. app. 4 §§101-111), requires certain officials in all branches
of the Federal Government, as well as candidates for Federal office, to file
publicly available statements that set out financial information regarding
themselves and their families. On May 15th
of each year, the covered officials are required to file a statement that
provides information for the preceding calendar year.
The Act designates the Committee as the “supervising
ethics office” of House Members, officers and employees for purposes of
financial disclosure and provides that the Committee is to administer the Act
with regard to those officials. The
Committee establishes policy, issues instructions, and designs the Financial
Disclosure Statements to be filed by Members, officers, legislative branch
employees, and candidates for the House.
After Statements are filed with the
Each year the
Committee publishes a detailed instruction booklet that is sent to each person
required to file with the Clerk of the House.
Prior to the May 15th filing date, the Committee also
provides briefings on the financial disclosure requirements that are open to
all Members, officers and employees, as well as a briefing for Members only. In addition, Committee staff members are
available to respond to questions on financial disclosure, and the Committee
encourages Members and staff to submit statements in draft form to staff for
review prior to filing with the Clerk, in order to reduce errors and the need
for amendments.
In calendar years 2003 and 2004, the
Pursuant
to its responsibilities under 5 U.S.C. §7342, the Committee also continued its
activities in implementing the Foreign Gifts and Decorations Act, including the
disclosure and reporting requirements of the Act, and responded to questions
from Members and staff regarding the Act.
The regulations that the Committee has issued under the Act are
published in the Committee’s Gifts &
Travel booklet. Reports of gifts
from foreign governments (including travel and travel expenses) that Members
and staff file in accordance with this Act are available for public inspection
at the Committee office upon reasonable notice.
Pursuant to the Act, the contents of those reports are published in the Federal Register on an annual basis.
The
Committee staff also reviews the Member Travel Disclosure Forms and the
Employee Travel Disclosure Forms that are filed under the gift rule (House Rule
XXV, cl. 5). While those forms are filed
with and made publicly available by the
At its organizational meeting on
In addition, the Committee amended the rule regarding the
payment of travel fees to witnesses so that it would accord with House Rule XI,
Clause 5. Committee Rule 26(n), as
amended, provides, among other things, that subpoenaed witnesses “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.”
A resolution was adopted by the
Committee on
As a general matter, unless otherwise
disclosed publicly in accordance with Committee rules and practices, the
Committee maintains the confidentiality of any information regarding its
investigative proceedings, including, but not limited to, the fact or nature of
any complaints and any other information or allegation respecting the conduct
of a Member, officer or employee. On
Investigation of Certain
Allegations Related to Voting on the Medicare Prescription Drug, Improvement,
and Modernization Act of 2003
On March 17, 2004, the Committee
adopted a resolution which established an Investigative Subcommittee to
investigate alleged communications received by Representative Nick Smith
linking support for the congressional candidacy of his son with Representative
Smith’s vote on the Medicare Prescription Drug, Improvement, and Modernization
Act of 2003 (“Medicare Prescription Drug Act” or “Medicare legislation”). This action was undertaken following certain
public statements made by Representative Smith relating to the vote on the
Medicare legislation, and following the conduct of informal fact-gathering on
the matter by the Chairman and Ranking Minority Member of the Committee under
Committee Rule 18(a). .
The resolution adopted by the
Committee provided as follows:
Whereas
Representative Nick Smith has made public statements that he received
communications linking support for the congressional candidacy of his son with
Representative Smith’s vote on the Medicare Prescription Drug Improvement and
Modernization Act of 2003; and
Whereas
pursuant to Committee Rule 18(a) the Chairman and Ranking Minority jointly
engaged in informal fact-finding to gather additional information concerning
these allegations; and
Whereas the conduct
of a Member, officer, or employee of the House, in connection with the
aforementioned allegations, may violate the Code of Official Conduct or one or
more law, rule, regulation, or other standard of conduct applicable to the
conduct of a Member, officer, or employee of the House in the performance of
his or her duties or the discharge of his or her responsibilities; and
Whereas the
Committee has authority to investigate such conduct pursuant to House Rule XI,
clauses 3(a)(2) and (3)(b)(2), and pursuant to Committee Rules 14(a)(3) and 18;
and
Whereas the
Committee has determined pursuant to Committee Rule 1(c) that the interests of
justice require the adoption of special procedures in order for the Committee
to carry out its investigative and enforcement responsibilities with respect to
the aforementioned allegations;
It is hereby
resolved by the Committee
1.
That an Investigative Subcommittee be established with
jurisdiction to conduct a full and complete inquiry and investigation into
alleged communications received by Representative Nick Smith linking support
for the congressional candidacy of his son with Representative Smith’s vote on
the Medicare Prescription Drug Improvement and Modernization Act of 2003;
2.
That the scope of the inquiry may extend to any
matters related to the jurisdiction of the Investigative Subcommittee as set
forth in this resolution;
3.
That the Investigative Subcommittee is authorized to
advise the public at large that it is interested in receiving information and
testimony from any person with first-hand information regarding communications
received by Representative Nick Smith linking support for the congressional
candidacy of his son with Representative Smith’s vote on the Medicare
Prescription Drug Improvement and Modernization Act of 2003;
4.
That at the conclusion of its inquiry, the
Investigative Subcommittee shall report to the Committee its findings,
conclusions, and recommendations;
5.
That the Members of the Investigative Subcommittee shall
be designated pursuant to Committee Rule 19(a);
6.
That Committee Rules 7 (Confidentiality), 8(a)
(Subcommittees – General Policy and Structure), 9 (Quorums and Member
Disqualification), and 10 (Vote Requirements) are fully applicable to this
inquiry by the Investigative Subcommittee;
7.
That the Investigative Subcommittee is authorized to
obtain evidence and relevant information by the means and in the manner set
forth in Committee Rules 19(b) – (c), except as those rules apply to
respondents;
8.
That witnesses before the Investigative Subcommittee
shall be furnished with a copy of the special procedures for this inquiry (as
set forth in this resolution), as well as accorded the rights set forth in
Committee Rules 26(k) – (o);
9.
That the Committee intends that all witnesses who
provide testimony before the Investigative Subcommittee should be sequestered
and should not communicate with any other witnesses regarding any aspect of
their testimony unless the Investigative Subcommittee permits otherwise;
10. That at any
point during its inquiry, or at the conclusion of its inquiry, the jurisdiction
of the Investigative Subcommittee may be expanded in accordance with the
requirements of Committee Rule 19(d) if the Investigative Subcommittee obtains
information indicating that a Member, officer, or employee of the House 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.
If the scope of jurisdiction of the Investigative Subcommittee is
expanded to investigate the conduct of an identified Member, officer, or
employee of the House, the inquiry regarding the identified Member, officer, or
employee shall proceed before the same Investigative Subcommittee and in
accordance with all the Rules of the Committee regarding an inquiry involving a
respondent;
11. That except
as otherwise provided in this Resolution, the Rules of the Committee shall be
applicable in this matter and will be interpreted by the Investigative
Subcommittee and the Committee in a manner not inconsistent with this
Resolution.
Representative Kenny C. Hulshof served as Chairman of the
Investigative Subcommittee, and Representative Michael F. Doyle served as its
Ranking Minority Member. The other two
members of the Investigative Subcommittee were Representative John B. Shadegg
and Representative William D. Delahunt.
The evidence obtained by the
Investigative Subcommittee during its inquiry included, but was not limited to,
the sworn testimony of seventeen Members of the House (including Representative
Nick Smith, Representative Tom DeLay, and Speaker J. Dennis Hastert), and
interviews and sworn testimony obtained from twelve other witnesses. During the inquiry, approximately 1400 pages
of transcribed sworn testimony and witness statements resulted from proceedings
before the Investigative Subcommittee or interviews with Investigative Subcommittee
counsel. In addition, approximately two
thousand pages of documents were supplied to the Investigative Subcommittee in
response to subpoenas for documents and records.
The Investigative Subcommittee completed
its investigation in September of 2004. Pursuant to its charge, at the
conclusion of its inquiry, the Investigative Subcommittee prepared a Report to
the full Committee with the Investigative Subcommittee’s findings, conclusions,
and recommendations.
The Report of the Investigative
Subcommittee in this matter was unanimously adopted by that body on
By unanimous vote on
As explained in the Report, the
conduct of Representative Smith could support a finding that he violated the
House Code of Official Conduct. Among
other findings regarding Representative Smith’s conduct in this matter, the
Investigative Subcommittee found that contrary to public statements made by
Representative Smith, no group, organization, business interest, or corporation
of any kind, or any individual affiliated with any such entities, offered
$100,000 or any other specific sum of money to support the congressional
candidacy of Brad Smith in order to induce Representative Nick Smith to vote in
favor of the Medicare Prescription Drug Act.
Similarly, the Investigative Subcommittee found that Representative Nick
Smith was not offered an endorsement or financial support for his son’s
candidacy from the National Republican Congressional Committee in exchange for
voting in favor of the Medicare Prescription Drug Act. Statements made to that effect by
Representative Smith appear to have been the result of speculation or
exaggeration on the part of Representative Nick Smith. In addition, Representative Smith failed to
cooperate fully with the Chairman and Ranking Minority Member of the Committee
on Standards of Official Conduct in their efforts to develop information
informally about his allegations. As
explained in the Report, Representative Smith failed to exercise reasonable
judgment and restraint, and was accountable for making public statements that
risked impugning the reputation of the House.
The Investigative Subcommittee also
found that Representative DeLay offered to endorse Representative Smith’s son
in exchange for Representative Smith’s vote in favor of the Medicare
legislation. In the view of the
Investigative Subcommittee, this conduct also could support a finding that
Representative DeLay violated House rules.
The Investigative Subcommittee concluded that it is improper for a
Member to offer or link support for the personal interests of another Member as
part of a quid pro quo to achieve a
legislative goal.
The Investigative Subcommittee
reached a similar conclusion regarding the conduct of Representative Candice
Miller, who made a statement to Representative Smith on the House floor during
the vote on the Medicare legislation that referenced the congressional
candidacy of Representative Smith’s son.
The Investigative Subcommittee concluded that Representative Smith
fairly interpreted Representative Miller’s statements to him during the vote as
a threat of retaliation against him for voting in opposition to the bill.
The
Report of the Investigative Subcommittee clarified the standards of conduct
applicable to Members and others within the jurisdiction of the Committee. Specifically, Members, employees, and
officials of the House were advised that the linking of official actions with
personal considerations in the manner described in the Investigative
Subcommittee’s Report was impermissible and violates House rules.
The
Report also contains procedural recommendations for future investigations
undertaken by the Committee and for the conducting of House business. The procedural recommendations include a
recommendation that House rules be amended so as to limit access to the House
floor during House debate by Cabinet-level officials, except for such officials
that are former Members. See House Rule IV, Clause 2(a)(12)
(permitting “Heads of departments” to “the Hall of the House”).
Representative Tom DeLay
A
complaint was filed by Representative Chris Bell against Representative Tom
DeLay on
Count I: Count I of the Complaint alleged that
Representative DeLay violated criminal law and House rules by soliciting and
receiving campaign contributions from Westar Energy, Inc. “in return for legislative
assistance on the energy bill” in 2002, and that his actions constituted the
dispensing of impermissible special favors.
In particular, the complaint referenced a $25,000 contribution that
Westar made in May 2002 to Texans for a Republican Majority PAC (“TRMPAC”), an
entity with which Representative DeLay was affiliated.
The
information obtained by the Committee indicated that neither Representative
DeLay nor anyone acting on his behalf improperly solicited contributions from
Westar, and that Representative DeLay took no action with regard to Westar that
would constitute an impermissible special favor. Information obtained by the Committee
indicated, however, that Representative DeLay’s participation in and
facilitation of an energy company fundraiser created the appearance that donors
were being provided with improper special access to Representative DeLay
regarding pending energy legislation.
In
accordance with Committee Rule 16(b)(1), the Committee determined to dispose of
Count I by means of a letter of admonition to Representative DeLay. See Appendix III.
Count II:
Count II of the complaint alleged that Representative DeLay used
TRMPAC to “funnel” corporate funds to
Count III: Count III alleged that the contacts of
Representative DeLay’s staff with the Federal Aviation Administration and the
Justice Department in May 2003 regarding absent
The
letter of admonition to Representative DeLay was publicly released by the
Committee on
In
further action related to this matter, the Committee determined on November 18,
2004, that the complaint filed by Representative Bell against Representative
DeLay contained innuendo, speculative assertions, or conclusory statements in
violation of Committee Rule 15(a)(4).
This matter was resolved by the Committee by a letter transmitted to
Representative
Representative James McDermott
A
complaint was filed by Representative David L. Hobson against Representative
James McDermott on
On
VI. Other
Committee Actions
In 2003, the Chairman and Ranking
Minority Member of the Committee commenced fact-gathering under Committee Rule
18(a) regarding news media reports that Representative Karen McCarthy had used
campaign funds to pay for a trip to
Representative
McCarthy failed to provide information requested by the Chairman and Ranking
Minority Member of the Committee that would establish that her trip had “bona
fide campaign or political purposes.”
The Chairman and Ranking Minority Member concluded in the middle of
2004, and advised Representative McCarthy, that she was required to repay the
expenses of that trip to her campaign account using personal funds.
On
In addition
to the publicly disclosed matters involving Representatives Nick Smith and
Karen McCarthy, the Chairman and Ranking Minority Member of the Committee
either commenced or continued from the 107th Congress fact-gathering
under Committee Rule 18(a) regarding the conduct of nine other Members. Of these matters, five were resolved during
the 108th Congress without the empanelment of an investigative
subcommittee or other formal action by the Committee, and the remaining matters
are still pending.