[DOCID: f:hr168ih.txt]
105th CONGRESS
1st Session
H. RES. 168
To implement the recommendations of the bipartisan House Ethics Reform
Task Force.
_______________________________________________________________________
IN THE HOUSE OF REPRESENTATIVES
June 18, 1997
Mr. Livingston (for himself and Mr. Cardin) submitted the following
resolution; which was referred to the Committee on Rules
_______________________________________________________________________
RESOLUTION
To implement the recommendations of the bipartisan House Ethics Reform
Task Force.
Resolved,
SECTION 1. USE OF NON-COMMITTEE MEMBERS.
(a) Rules Amendment.--Clause 6(a) of rule X of the Rules of the
House of Representatives is amended by adding at the end the following
new subparagraph:
``(3)(A) At the beginning of each Congress--
``(i) the Speaker (or his designee) shall designate a list
of 10 Members from the majority party; and
``(ii) the minority leader (or his designee) shall
designate a list of 10 Members from the minority party;
who are not members of the Committee on Standards of Official Conduct
and who may be assigned to serve as a member of an investigative
subcommittee of that committee during that Congress. Members so chosen
shall be announced to the House.
``(B) Whenever the chairman and ranking minority member of the
Committee on Standards of Official Conduct jointly determine that
Members designated under subdivision (A) should be assigned to serve on
an investigative subcommittee of that committee, they shall each select
the same number of Members of his respective party from the list to
serve on that subcommittee.''.
(b) Conforming Rules Amendment.--Clause 6(b)(2)(A) of rule X of the
Rules of the House of Representatives is amended by inserting after the
first sentence the following new sentence: ``Service on an
investigative subcommittee of the Committee on Standards of Official
Conduct pursuant to paragraph (a)(3) shall not be counted against the
limitation on subcommittee service.''.
SEC. 2. DURATION OF SERVICE ON THE COMMITTEE ON STANDARDS OF OFFICIAL
CONDUCT.
The second sentence of clause 6(a)(2) of rule X of the Rules of the
House of Representatives is amended to read as follows: ``No Member
shall serve as a member of the Committee on Standards of Official
Conduct for more than two Congresses in any period of three successive
Congresses (disregarding for this purpose any service performed as a
member of such committee for less than a full session in any Congress),
except that a Member having served on the committee for two Congresses
shall be eligible for election to the committee as chairman or ranking
minority member for one additional Congress. Not less than two Members
from each party shall rotate off the committee at the end of each
Congress.''.
SEC. 3. COMMITTEE AGENDAS.
The Committee on Standards of Official Conduct 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.
SEC. 4. COMMITTEE STAFF.
(a) Committee Rules.--The Committee on Standards of Official
Conduct shall adopt rules providing that:
(1)(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 member of the staff shall
perform all official duties in a nonpartisan manner.
(D) No member of the staff shall engage in any partisan
political activity directly affecting any congressional or
presidential election.
(E) No member of the staff or outside counsel may accept
public speaking engagements or write for publication on any
subject that is in any way related to his or her employment or
duties with the committee without specific prior approval from
the chairman and ranking minority member.
(F) No member of the staff or outside counsel may make
public, unless approved by an affirmative vote of a majority of
the members of the committee, any information, document, or
other material that is confidential, derived from executive
session, or classified and that is obtained during the course
of employment with the committee.
(2)(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 Committee on House
Oversight, the committee may retain counsel not employed by the
House of Representatives whenever the committee determines, by
an affirmative vote of a majority of the members of the
committee, that the retention of outside counsel is necessary
and appropriate.
(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.
(3) Outside counsel may be dismissed prior to 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) Only subparagraphs (C), (E), and (F) of paragraph (1)
shall apply to shared staff.
(b) Additional Committee Staff.--In addition to any other staff
provided for by law, rule, or other authority, with respect to the
Committee on Standards of Official Conduct, 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.
SEC. 5. MEETINGS AND HEARINGS.
(a) House Rules.--(1) Clause 4(e)(3) of rule X of the Rules of the
House of Representatives is amended to read as follows:
``(3)(A) Notwithstanding clause 2(g)(1) of rule XI, each meeting of
the Committee on Standards of Official Conduct or any 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.
``(B) Notwithstanding clause 2(g)(2) of rule XI, hearings of an
adjudicatory subcommittee or sanction hearings held by the Committee on
Standards of Official Conduct shall be held in open session unless the
subcommittee or committee, 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.''.
(2)(A) The first sentence of clause 2(g)(1) of rule XI of the Rules
of the House of Representatives is amended by inserting ``(except the
Committee on Standards of Official Conduct)'' after ``thereof''.
(B) The first sentence of clause 2(g)(2) of rule XI of the Rules of
the House of Representatives is amended by inserting ``(except the
Committee on Standards of Official Conduct)'' after ``thereof''.
(b) Committee Rules.--The Committee on Standards of Official
Conduct shall adopt rules providing that--
(1) all meetings of the committee or any 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 or hearing to the public; and
(2) 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.
SEC. 6. CONFIDENTIALITY OATHS.
Clause 4(e) of rule X of the Rules of the House of Representatives
is amended by adding at the end the following:
``(4) Before any member, officer, or employee of the Committee on
Standards of Official Conduct, including members of any subcommittee of
the committee selected pursuant to clause 6(a)(3) 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 of the House
as part of the records of the House. This subparagraph establishes a
standard of conduct within the meaning of subparagraph (1)(B). Breaches
of confidentiality shall be investigated by the Committee on Standards
of Official Conduct and appropriate action shall be taken.''.
SEC. 7. PUBLIC DISCLOSURE
The Committee on Standards of Official Conduct 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.
SEC. 8. CONFIDENTIALITY OF COMMITTEE VOTES.
(a) Records.--The last sentence in clause 2(e)(1) of rule XI of the
Rules of the House of Representatives is amended by adding before the
period at the end the following: ``, except that in the case of
rollcall votes in the Committee on Standards of Official Conduct taken
in executive session, the result of any such vote shall not be made
available for inspection by the public without an affirmative vote of a
majority of the members of the committee''.
(b) Reports.--Clause 2(l)(2)(B) of rule XI of the Rules of the
House of Representatives is amended by adding at the end the following
new sentence: ``The preceding sentence shall not apply to votes taken
in executive session by the Committee on Standards of Official
Conduct.''.
SEC. 9. FILINGS BY NON-MEMBERS OF INFORMATION OFFERED AS A COMPLAINT.
(a) Filings Sponsored by Members.--Clause 4(e)(2)(B) of rule X of
the Rules of the House of Representatives is amended by striking ``or
submitted to'', by inserting ``(I)'' after ``(i)'', by striking ``a
complaint'' and inserting ``information offered as a complaint'', and
by adding after subdivision (I) the following new subdivision:
``(II) upon receipt of information offered as a complaint,
in writing and under oath, from an individual not a Member of
the House provided that a Member of the House certifies in
writing to the committee that he or she believes the information is
submitted in good faith and warrants the review and consideration of
the committee, or''.
(b) Direct Filing.--Clause 4(e)(2)(B)(ii) of rule X of the Rules of
the House of Representatives is amended to read as follows:
``(ii) upon receipt of information offered as a complaint,
in writing and under oath, directly from an individual not a
Member of the House.''.
SEC. 10. REQUIREMENTS TO CONSTITUTE A COMPLAINT.
(a) Procedural Requirements.--The Committee on Standards of
Official Conduct shall amend its rules regarding procedural
requirements governing information submitted as a complaint pursuant to
clause 4(e)(2)(B)(ii) of rule X of the Rules of the House of
Representatives to provide that--
(1) an individual who submits information to the committee
offered as a complaint must either have personal knowledge of
conduct which is the basis of the violation alleged in the
information, or base the information offered as a complaint
upon--
(A) information received from another individual
who the complainant has a good faith reason to believe
has personal knowledge of such conduct; or
(B) his personal review of--
(i) documents kept in the ordinary course
of business, government, or personal affairs;
or
(ii) photographs, films, videotapes, or
recordings;
that contain information regarding conduct which is the
basis of a violation alleged in the information offered
as a complaint;
(2) a complainant or an individual from whom the
complainant obtains information will be found to have personal
knowledge of conduct which is the basis of the violation
alleged in the information offered as a complaint if the
complainant or that individual witnessed or was a participant
in such conduct; and
(3) an individual who submits information offered as a
complaint consisting solely of information contained in a news
or opinion source or publication that he believes to be true
does not have the requisite personal knowledge.
(b) Time for Determination.--The Committee on Standards of Official
Conduct shall amend its 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 5 legislative days, whichever occurs first, to
determine whether the information meets the requirements of the
committee's rules for what constitutes a complaint.
SEC. 11. DUTIES OF CHAIRMAN AND RANKING MINORITY MEMBER REGARDING
PROPERLY FILED COMPLAINTS.
(a) Committee Rules.--The Committee on Standards of Official
Conduct 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 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 or 5-legislative day period by one additional 45-
calendar day period when they determine more time is necessary
in order to make a recommendation under paragraph (1).
(b) House Rules.--Clause 4(e)(2)(A) of rule X of the Rules of the
House of Representatives is amended by inserting ``(i)'' after ``(A)'',
by striking ``and no'' and inserting ``and, except as provided by
subdivision (ii), no'', and by adding at the end the following:
``(ii)(I) Upon the receipt of information offered as a complaint
that is in compliance with this rule and the committee rules, the
chairman and ranking minority member may jointly appoint members to
serve as an investigative subcommittee.
``(II) The chairman and ranking minority member of the committee
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 committee
agenda the issue of whether to establish an investigative
subcommittee.''.
(c) Disposition of Properly Filed Complaints by Chairman and
Ranking Minority Member if no Action Taken by Them Within Prescribed
Time Limit.--The Committee on Standards of Official Conduct 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 committee rules for what constitutes a complaint,
and the complaint is not disposed of within the applicable time periods
under subsection (a), 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.
(d) House Rules.--Clause 4(e)(2)(B) of rule X of the Rules of the
House of Representatives is amended by adding at the end the following
new sentences:
``If a complaint is not disposed of within the applicable time periods
set forth in the rules of the Committee on Standards of Official
Conduct, then the chairman and ranking minority member shall jointly
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.''.
SEC. 12. DUTIES OF CHAIRMAN AND RANKING MINORITY MEMBER REGARDING
INFORMATION NOT CONSTITUTING A COMPLAINT.
The Committee on Standards of Official Conduct 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 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.
SEC. 13. INVESTIGATIVE AND ADJUDICATORY SUBCOMMITTEES.
The Committee on Standards of Official Conduct shall adopt rules
providing that--
(1)(A) investigative subcommittees shall be comprised of 4
Members (with equal representation from the majority and
minority parties) whenever such subcommittee is established
pursuant to the rules of the committee; and
(B) adjudicatory subcommittees shall be comprised of the
members of the committee who did not serve on the investigative
subcommittee (with equal representation from the majority and
minority parties) whenever such subcommittee is established
pursuant to the rules of the committee;
(2) at the time of appointment, the chairman shall
designate one member of the subcommittee to serve as chairman
and the ranking minority member shall designate one member of
the subcommittee to serve as the ranking minority member of the
investigative subcommittee or adjudicatory subcommittee; 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.
SEC. 14. STANDARD OF PROOF FOR ADOPTION OF STATEMENT OF ALLEGED
VIOLATION.
The Committee on Standards of Official Conduct shall amend its
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 committee 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.
SEC. 15. SUBCOMMITTEE POWERS.
(a) Subpoena Power.--
(1) House rules.--Clause 2(m)(2)(A) of rule XI of the Rules
of the House of Representatives is amended--
(A) in the second sentence by striking ``The'' and
inserting ``Except as provided by the next sentence,
the''; and
(B) by inserting after the second sentence the
following new sentence: ``In the case of the Committee
on Standards of Official Conduct or any subcommittee
thereof, a subpoena may be authorized and issued by the
committee only when authorized by a majority of the
members voting (a majority being present) or by a
subcommittee only when authorized by an affirmative
vote of a majority of its members.''.
(2) Committee rules.--The Committee on Standards of
Official Conduct 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.
(b) Expansion of Scope of Investigations.--The Committee on
Standards of Official Conduct 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 without the
approval of the committee.
(c) Amendments of Statements of Alleged Violation.--The Committee
on Standards of Official Conduct shall adopt rules to provide that--
(1) 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
(2) 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.
SEC. 16. DUE PROCESS RIGHTS OF RESPONDENTS.
The Committee on Standards of Official Conduct shall amend its
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 counsels 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 committee's rules;
(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 therefore not 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) that subcommittee votes to authorize its first
subpoena or to take testimony under oath, whichever
occurs first; and
(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.
SEC. 17. COMMITTEE REPORTING REQUIREMENTS.
The Committee on Standards of Official Conduct shall amend its
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; and
(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 7
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 subparagraph (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 subparagraph (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.
SEC. 18. REFERRALS TO FEDERAL OR STATE AUTHORITIES.
Clause 4(e)(1)(C) of rule X of the Rules of the House of
Representatives is amended by striking ``with the approval of the
House'' and inserting ``either with the approval of the House or by an
affirmative vote of two-thirds of the members of the committee''.
SEC. 19. FRIVOLOUS FILINGS.
Clause 4(e) of rule X of the Rules of the House of Representatives
is amended by adding at the end the following:
``(5)(A) 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,
deems appropriate in the circumstances.
``(B) Complaints filed before the One Hundred Fifth Congress may
not be deemed frivolous by the Committee on Standards of Official
Conduct.''.
SEC. 20. TECHNICAL AMENDMENTS.
The Committee on Standards of Official Conduct shall--
(1) clarify its rules to provide that whenever the
committee votes to authorize an investigation on its own
initiative, the chairman and ranking minority member shall
establish an investigative subcommittee to undertake such
investigation;
(2) revise its rules to refer to hearings held by an
adjudicatory subcommittee as adjudicatory hearings; and
(3) make such other amendments to its rules as necessary to
conform such rules to this resolution.
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