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OFFICE OF CONGRESSIONAL ETHICS

RULES FOR THE CONDUCT OF INVESTIGATIONS

AS ADOPTED ON JANUARY 23, 2015

INTRODUCTION 

The Office of Congressional Ethics, established by the United States House of 

Representatives, is an independent, non-partisan entity charged with reviewing allegations of 

misconduct against Members, officers and staff of the House and, when appropriate, referring 

matters to the Committee on Ethics (commonly referred to as the Ethics Committee). These 

rules are adopted under the authority granted by H. Res. 895 of the 110th Congress Section 

1(c)(F). 
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LIST OF RULES

Rule 1. Jurisdiction 

Rule 2. Board Meetings 

Rule 3. Information for Board Consideration 

Rule 4. Evidence 

Rule 5. Investigator is Impartial 

Rule 6. Cooperation with the Office 

Rule 7. Preliminary Review 

Rule 8. Second-Phase Review 

Rule 9. Referrals to the Ethics Committee

Rule 10. Period of Suspension of Referrals

Rule 11. Notice 

Rule 12. Requests from the Ethics Committee

Rule 13. Referrals to Other Entities

Rule 14. Counsel

Rule 15. No Ex Parte Communications 

Rule 16. Alternative Procedures 

Appendix A: Public Release of Board Referrals 

Appendix B: False Statements Act 
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DEFINITIONS

(1) Board – the Board of Directors of the Office of Congressional Ethics 

(2) Ethics Committee – the Committee on Ethics of the United States House of 

Representatives 

(3) Employee – any employee of the House 

(4) Exculpatory Evidence – evidence which disproves or tends to disprove an allegation 

that the Board refers to the Ethics Committee (Information that is merely favorable to 

the subject of an allegation does not constitute exculpatory evidence unless it is 

relevant to disproving the allegation)

(5) Member - any Representative in, or Delegate or Resident Commissioner to, the 

Congress 

(6) Office or OCE – the Office of Congressional Ethics as described in H. Res. 895 of 

the 110th Congress; generally speaking, the Office consists of the Board of Directors 

and the Staff of the Office, including any detailees, consultants, contractors, special 

counsel or other personnel retained by the Board in any capacity 

(7) Officer – officers of the House are the Sergeant-at-Arms, Clerk, Chief Administrative 

Officer and Chaplain

(8) Referrals – the report and any findings of the OCE in a matter transmitted to the 

Ethics Committee at the end of a second-phase review by the OCE

(9) Resolution – H. Res. 895 of the 110th Congress, as amended

(10) Staff – staff of the Office of Congressional Ethics 

(11) Subject – the Member, officer or employee against whom an allegation is made
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(12) Witness - a person, including the subject of a review, who may have knowledge 

relating to a matter under review
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RULE 1. JURISDICTION 

The Office has jurisdiction to investigate allegations that: 

(1) a Member, officer or employee of the House 

(2) on or after March 11, 2008

(3) has violated a law, rule, regulation, or other standard of conduct in effect at 

the time the conduct occurred and applicable to the subject in the performance 

of his or her duties or the discharge of his or her responsibilities. 

Resolution Section 1(c)(1)(A) and (e). 

The Board shall only review information related to allegations within the Office’s 

jurisdiction. 

When such information is obtained by the Office, the Staff shall determine whether the 

alleged conduct falls within the jurisdiction of the Board. 

Commentary: In order to determine if jurisdiction exists, the Staff shall assume the facts 

alleged are true. This is the only time when the Staff shall make that assumption. The following 

is a list of some, but not all, of the substantive topics within the jurisdiction of the Office: 

(1) conduct related to the Code of Official Conduct adopted under House Rule 

XXIV

(2) gifts 

(3) travel 

(4) financial disclosure 

(5) outside employment and income

In the event a Member or officer leaves office, or a staff person ends his or her

employment relationship with the House, then the Board’s jurisdiction shall cease. At that time, 
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the Board shall terminate any review and, depending on the stage, make appropriate reports to 

the Ethics Committee.

RULE 2. BOARD MEETINGS 

The Board shall meet at the call of the Chairman or two Board members. Resolution 

Section 1(b)(9). The Board shall set a regular monthly meeting day. A regularly scheduled 

meeting need not be held when the Chairman determines there is no business to be considered. 

Notice for any Board meeting shall be provided at least seven days in advance. The Chairman 

may waive such period for good cause. 

Four members of the Board, excluding alternates, shall constitute a quorum. The 

Chairman shall establish the agenda for the meetings of the Board. Any member of the Board 

may place additional items on the agenda. The Chairman shall preside at all meetings of the 

Board. In the absence of the Chairman, the Co-Chairman shall preside. Resolution Section 1 

(b)(8). 

Alternates shall participate in all board meetings and conferences but may not vote. If (1) 

a vacancy occurs, (2) a Board member disqualifies him or herself because of a financial conflict 

of interest, (3) a Board member recuses him or herself because of a lack of impartiality in a 

particular matter, or (4) if a voting Board member is otherwise unable to participate in Board 

business for good cause, as determined by the Chairman, the most senior alternate Board 

member nominated by the same individual who nominated the unavailable Board member shall 

fill the voting Board member’s seat until the voting Board member is again available or until a 

permanent replacement is selected.
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RULE 3. INFORMATION FOR BOARD CONSIDERATION

(A)SUBMISSIONS 

The Office will accept and review information concerning allegations within the Office’s 

jurisdiction. While the Office will request the name and contact information of anyone 

submitting information, information may be submitted anonymously or confidentially. 

When making any submission, the Office suggests including the following information: 

(1) the name, address, telephone number and e-mail address, if any, of the person 

submitting the information, and the organization s/he is affiliated with, if any; 

(2) the full name of the subject of the allegation; 

(3) the date(s) the alleged conduct occurred;

(4) a concise statement of facts (or, the source of the information in the event that 

the person submitting the information does not have first-hand knowledge of 

the facts);

(5) the law, regulation or rule allegedly violated, if known;

(6) if applicable, name(s) and contact information for any potential witness(es);

(7) if applicable, copies of any documents related to the allegation; and 

(8) a signed declaration that the person submitting the information acknowledges 

that section 1001 of title 18 United States Code (popularly known as the False 

Statements Act) applies to the information s/he is providing. A copy of the 

False Statements Act is attached as an appendix to these rules. 

If the Staff finds that the information sufficiently alleges a violation within the jurisdiction of the 

Board, it may spend a reasonable amount of time gathering additional information with the 

authorization of the Chairman and Co-Chairman. If the Staff determines it is necessary to seek 
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such information from sources other than public ones, including from potential witnesses, it shall 

notify the subject of the allegations that it has received the allegations and is seeking information 

related to the Board’s consideration of a preliminary review. The Staff shall keep the Board 

apprised at all times of information the Office has received. 

(B) SUBMISSION FROM A BOARD OR STAFF MEMBER 

Staff or any Board member may submit information regarding an alleged violation for 

consideration by the Board. The Staff may submit information to the Board that it has received 

from the public, in a form other than the one described above, or that it has derived from other 

sources including the press, third-party sources and other sources. Resolution Section 

1(c)(2)(F). The Staff or Board member submitting information shall include the facts outlined in 

subsection (A) above, to the best of his or her ability. 

(C)ALLEGATIONS AGAINST A BOARD MEMBER OR STAFF PERSON 

In the event a submission alleging misconduct establishes a reasonable basis to believe

that a member of the Board of Directors of the OCE has violated any law, rule, regulation, or 

other standard of conduct, applicable to the Board member in the performance of his or her 

duties or the discharge of his or her responsibilities, the Board shall immediately forward such 

information to the Speaker of the House and the Minority Leader. 

In the event a submission alleges that a staff person in the OCE has violated any law, rule 

or regulation, or other standard of conduct applicable to the staff person in the performance of 

his or her duties or the discharge of his or her responsibilities, the Staff Director shall notify the 

Chairman and Co-Chairman who shall take appropriate action. 
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Commentary: Allegations against a Board member shall be forwarded to the Speaker 

and Minority Leader because, as appointing authorities, the Speaker and Minority Leader are 

empowered to remove members of the Board for cause. 

(D)CONSOLIDATING SUBMISSIONS

The Board may consolidate two or more submissions which involve the same Member or 

staff person as a subject or that involve substantially the same issues.

(E) ADDITIONAL INFORMATION

The Board may address any additional potential violations within its jurisdiction that are 

discovered in the course of a review as part of the same review during which the information was 

discovered.

(F) INFORMATION FROM A SUBJECT 

A subject may provide information to the Office at any time during an investigation. Any 

information from a subject should be directed to the Staff Director and Chief Counsel, not to 

individual Board members. See Rule 9B

RULE 4. EVIDENCE 

The Office may solicit testimony from witnesses and collect relevant evidence as may be 

necessary to carry out its duties. Resolution Section 1(c)(2)(D). 

(A)FALSE STATEMENTS WARNING AND CERTIFICATION

(1) All witnesses that provide information must sign a statement acknowledging their 

understanding that section 1001 of title 18 United States Code (popularly known as 

the False Statements Act) applies to their testimony and to any documents they 

provide. Resolution Section 1(c)(F)(ii). 
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(2) Each witness who provides documents or other evidence in response to a written 

request for information must sign a statement certifying that (1) the witness has 

provided all documents in the witness’s possession that are responsive to the request; 

and, (2) if the witness has not provided a requested document or other evidence, that 

the witness has identified the document or evidence that is not available or withheld 

and explained why it is not available or withheld. This certification is subject to 

section 1001 of title 18, United States Code. Resolution Section 1(c)(F)(ii).

(3) Pursuant to Rule 6, the Board may deem non-compliance with this rule as a refusal to 

cooperate.

(B) WITNESSES

The Office may pay witnesses appearing before the Office in the same manner as 

prescribed by clause 5 of Rule XI of the Rules of the House of Representatives.

(C)IMPROPERLY OBTAINED EVIDENCE

The Office shall not rely upon any document, recording or physical evidence that was 

obtained in violation of any law, rule or regulation. When an individual submits evidence to the 

Office, s/he shall be asked to affirm to the best of their ability that the evidence was not obtained 

in violation of any law, rule or regulation. 

(D)INTERROGATORIES

The Office may submit written interrogatories to a witness or subject and ask that they be 

answered within a reasonable amount of time. 

(E) PRIVILEGES

The Office shall not consider evidence that is privileged under the precedents of the 

House of Representatives unless there is effective waiver. 
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(F) EXCULPATORY EVIDENCE

Staff shall promptly provide to a subject any exculpatory evidence received that is not 

already known by or in the possession of the subject or the subject’s counsel.

RULE 5. INVESTIGATOR IS IMPARTIAL

Office staff shall be impartial and unbiased in the conduct of an investigation and shall 

collect all evidence related to the allegations, whether such evidence tends to prove or disprove 

the allegations. In the event that a staff person has a personal or professional relationship with a 

subject, a subject’s opponent in any election or a witness involved in an investigation, staff shall 

disclose that fact to the Staff Director who shall disclose it to the Board. Office staff shall notify 

the Staff Director and shall immediately discontinue working on an investigation in the event 

s/he feels s/he cannot be impartial and unbiased. If the Board believes that a staff person cannot 

be unbiased and impartial, the Board shall terminate that person’s involvement in the matter.

RULE 6. COOPERATION WITH THE OFFICE 

The Office may request information from any source. In the event that the Office 

requests cooperation and it is not forthcoming, the Board may, but need not, draw a negative 

inference from any refusal to cooperate and may include a statement to that effect in any referral 

to the Ethics Committee. Resolution Section 1(c)(2)(C)(i)(II)(bb).
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RULE 7. PRELIMINARY REVIEW

(A)STANDARD OF PROOF

The Board shall authorize a preliminary review of any allegation(s) when it determines 

there is a reasonable basis to believe the allegation(s) based on all the information then known to 

the Board. Resolution Section 1(c)(2)(F). 

Commentary: A reasonable basis to believe the allegation(s) exists when there is a 

reasonable and articulable basis for believing the allegation(s). Such a determination does not 

constitute a finding that a violation has actually occurred. 

(B)INITIAL STAFF REVIEW 

The Staff shall advise the Board when it has done a reasonable initial investigation, with 

the authorization of the Chair and Co-Chair, either after receiving a submission or on its own 

initiative, and then recommend that the Board either authorize a preliminary review or take no 

action. Resolution Section 1(c)(2)(F). The Board may direct Staff to do additional investigation 

prior to reaching a decision as to whether to initiate a preliminary review.

(C)INITIATION 

A preliminary review shall commence within seven calendar days of the receipt of a 

written request of two members of the Board, one of whom was appointed by the Speaker and 

one by the Minority Leader, stating the specific matter that is to be the subject of the preliminary 

review. Prior to submitting a request, Board members should notify the Chairman and CoChairman of their intention to do so. Notwithstanding the minimum requirement for two 

concurring Board members, whenever possible the full Board shall in conference consider the 

Board members’ request to initiate a preliminary review and attempt to reach consensus on the 
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matter. The Staff shall record the date of receipt of any request for purposes of calculating 

applicable deadlines. Resolution Section 1(c)(1)(A) and (2)(F). 

Commentary: As a preliminary review may be triggered by a written request of two 

members of the Board, such action does not require a vote by the Board and therefore, a quorum 

need not be present. 

(D)DURATION

The Office shall complete all preliminary reviews within 30 calendar days (hereafter 

referred to as the “preliminary review time period.”) 

(E) PRELIMINARY REVIEW REPORT 

Before the preliminary review time period expires, the Staff shall submit a written or oral

preliminary review report to the Board. The report shall recommend either that the Board take 

no action or that the Board initiate a second-phase review. 

(F) TERMINATION 

Four members of the Board may vote to terminate a preliminary review at any time 

before the end of the preliminary review time period. Resolution Section 1(c)(1)(C). The Board 

may do so for any reason, including that the matter under review is de minimis in nature. 

Resolution Section 1(c)(2)(F)(i)(I). If the Board takes no further action on a matter by the end of 

the preliminary review time period, the preliminary review terminates. Resolution Section 

1(c)(1)(C). In that event, the Board may send a report and any findings to the Ethics Committee. 
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RULE 8. SECOND-PHASE REVIEW

(A)STANDARD OF PROOF 

The Board shall authorize a second-phase review of any allegation(s) if it determines, 

based on all the information then known to the Board, probable cause to believe the 

allegation(s) occurred. In the event the Office is unable to obtain information reasonably 

believed to exist and necessary to reach a determination of probable cause, the Board may 

authorize a second-phase review if it determines there is a reasonable basis to believe the 

allegation(s). 

Commentary: Probable cause exists if the evidence is sufficient to lead a person of 

ordinary caution and prudence to believe or entertain a strong suspicion that the allegation(s) are 

true. A finding of probable cause does not constitute a finding the violation has actually 

occurred. 

(B)INITIATION 

Three members of the Board convened with a quorum may vote to initiate a second-phase 

review. Resolution Section 1(c)(1)(C). 

(C)DURATION

The Office shall complete a second-phase review within 45 calendar days after the Board 

commences such review. Resolution Section 1(c)(2)(A)(i). The Board may extend the secondphase review by an additional 14 calendar days upon an affirmative vote of a majority of its 

members. Resolution Section 1(c)(2)(A)(ii). (Hereafter referred to as “second-phase review time 

period”).
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(D)SECOND-PHASE REVIEW REPORT

At the conclusion of the second-phase review time period, the Staff shall submit to the 

Board a written or oral second-phase report recommending that the Board forward the matter to 

the Ethics Committee either for further action or for dismissal. 

RULE 9. REFERRALS TO THE ETHICS COMMITTEE

(A)STANDARD OF PROOF 

The Board shall refer a matter to the Ethics Committee for further review if it determines 

there is a substantial reason to believe the allegation(s) based on all the information then known 

to the Board. However, in the event the Office is unable to obtain information necessary to reach 

that determination, but the Board does determine there is probable cause to believe the 

allegations, the Board may refer the matter to the Ethics Committee for further review. 

Commentary. A substantial reason to believe exists where there is such relevant 

evidence a reasonable mind might accept as adequate to support a conclusion. A finding that 

there is a substantial reason to believe the allegations does not constitute a finding that a 

violation has actually occurred. 

(B) STATEMENT FROM SUBJECT 

Before the Board votes on a recommendation or statement to be transmitted to the Ethics 

Committee at the end of a second-phase review, it shall provide the subject the opportunity to 

present a statement to the Board. Resolution Section 1(f)(3).

Such a statement by a subject should not be used as an opportunity to present new 

evidence to the Office and is not an alternative to cooperation pursuant to Rule 6.
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(C)SECOND-PHASE REVIEW REPORT 

At the end of a second-phase review, the Board shall adopt, by a vote of no less than four 

members, a report to the Ethics Committee recommending either that the Ethics Committee give 

the matter further review or that it dismiss the matter. In the event that four Board members do 

not support either further review or dismissal, the Board shall report to the Ethics Committee that 

the matter is unresolved. The report shall state the votes in the affirmative and in the negative, 

the nature of the alleged violation and the individual who is the subject. The report may also 

include findings and supporting documentation as described below. Resolution Section 

1(c)(2)(C)(i)(I).

Commentary: The Board’s vote and adoption of a report shall occur, as soon as 

practicable, after the end of the second-phase review period. 

(D)FINDINGS 

The Board’s referral may include findings composed solely of the following: 

(1) Any findings of fact; 

(2) A description of any relevant information that it was unable to obtain or 

witnesses whom it was unable to interview, and the reasons therefor; 

(3) A recommendation for issuance of subpoenas where appropriate; and 

(4) A citation of any relevant law, rule, regulation, or standard of conduct.

Resolution Section 1(c)(2)(C)(i)(I).

(E) SUPPORTING DOCUMENTATION 

The Board may submit to the Ethics Committee any supporting documentation. 

Resolution Section 1(c)(2)(C)(i)(II).
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(F) PRESENTATION OF REPORTS TO ETHICS COMMITTEE

In transmitting any report to the Ethics Committee, the Board shall designate a member of 

the Board or staff to present the report if the Ethics Committee requests. 

RULE 10. PERIOD OF SUSPENSION OF REFERRALS

The Board shall not transmit any referrals to the Ethics Committee within 60 days before 

a Federal, State, or local election in which the subject of the referral is a candidate. If the end of 

the second-phase review occurs within this suspension period, the Board shall complete its work 

on the referral and transmit it to the Ethics Committee as soon as practicable, but not more than

30 days, following the election. Clause 3(b)(8)(D) of Rule XI of the Rules of the House. 

RULE 11. NOTICE 

(A)INITIATION OF A PRELIMINARY REVIEW

The Office shall notify the Ethics Committee and the subject of any preliminary review 

initiated by the Board and shall provide the subject with a statement of the nature of the review. 

Resolution Section 1(c)(1)(A)(i)-(ii). 

(B)TERMINATION OF A PRELIMINARY REVIEW 

The Office shall notify the Ethics Committee and the subject of any decision by the 

Board to terminate a preliminary review or if a review terminates because the Board takes no 

further action. Resolution Section 1(c)(1)(C). 

(C)INITIATION OF A SECOND-PHASE REVIEW 

The Office shall notify the Ethics Committee and the subject of any second-phase review 

initiated by the Board. Resolution Section 1(c)(1)(C). 
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(D)REFERRAL TO THE ETHICS COMMITTEE

The Office shall provide to the subject a copy of the report it transmits to the Ethics 

Committee recommending further review, dismissal or reporting that the matter is unresolved. 

Resolution Section 1(c)(2)(C)(ii). 

RULE 12. REQUESTS FROM THE ETHICS COMMITTEE

(A)REQUESTS FROM ETHICS COMMITTEE

Upon receipt of a written request from the Ethics Committee that the Board cease its 

review and refer the matter to the Committee because of an ongoing investigation of such matter 

by an investigatory subcommittee of the Ethics Committee, the Board shall refer such matter to 

the Committee and cease its preliminary or second-phase review, as applicable, and so notify the 

subject. The Board shall send a written report to the Committee containing a statement that, 

upon the request of the Committee, the matter is referred for its consideration, but shall not 

include any findings. Resolution Section 1(d)(1). 

(B) MATTERS UNRESOLVED BY THE ETHICS COMMITTEE

If the Ethics Committee notifies the Board in writing that it is unable to resolve any 

matter it had previously asked the Board to stop reviewing, the Board shall immediately begin or 

resume, as the case may be, a second-phase review of the matter. Resolution Section 1(d)(2). 

Commentary: If the matter was in a second-phase review when the Ethics Committee

asked the Board to cease the review then, for purposes of calculating the second-phase review 

time period, the number of calendar days remaining when the Ethics Committee asked the Board 

to cease its review shall be available to the Board when the second-phase review resumes. 
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(C)BOARD DUE DILIGENCE

In a case when the Ethics Committee asks the Board to cease review of a matter under 

this Rule, the Board shall inquire at regular intervals to determine if the Ethics Committee has 

been [un]able to resolve the matter. 

RULE 13. REFERRALS TO OTHER ENTITIES 

(A)REFERRALS TO THE OFFICE OF COMPLIANCE 

The Board may refer allegations related to the following laws to the Office of 

Compliance: 

(1) The Age Discrimination in Employment Act of 1967 

(2) The Americans with Disabilities Act of 1990 

(3) Title VII of the Civil Rights Act of 1964

(4) The Employee Polygraph Protection Act of 1988 

(5) The Fair Labor Standards Act of 1938

(6) The Family and Medical Leave Act of 1993

(7) The Federal Service Labor-Management Relations Statute 

(8) Occupational Safety and Health Act of 1970 

(9) The Rehabilitation Act of 1973 

(10) Veterans’ employment and reemployment rights at Chapter 43 of Title 38 of the 

U.S. Code 

(11) The Worker Adjustment and Retraining Notification Act 
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(B) REFERRALS TO THE HOUSE OFFICE OF INSPECTOR GENERAL

The Board may refer allegations of fraud, waste and abuse in the operations of the House 

or joint entities of Congress to the House Office of Inspector General for investigation under 

clause 6(c)(1) of Rule II of the House.

(C)REFERRALS TO THE HOUSE COMMISSION ON CONGRESSIONAL MAILING 

STANDARDS 

The Board may refer allegations relating to the proper use of the franking privilege to the 

House Commission on Congressional Mailing Standards. 

(D)STATE AND FEDERAL AUTHORITIES 

The Staff, in consultation with the Chairman and Co-Chairman, may refer information to 

state and federal authorities in the event that information indicates a crime has occurred or is 

about to occur. 

RULE 14. COUNSEL

(A)REPRESENTATION

If a subject or witness is known to be represented by a lawyer, all communication to 

the subject or witness shall be made through the subject’s or witness’s lawyer. The subject or 

witness must notify the Office if they are represented. 

(B) MULTIPLE REPRESENTATIONS

The Board may limit or prohibit a lawyer or law firm from representing multiple 

witnesses or subjects if the Board finds a substantial risk that a conflict of interest may prejudice 

the review, without regard to whether the represented parties waive the possible conflict. If a 
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subject or witness refuses to resolve the conflict of interest, the Board may determine pursuant to 

Rule 6 that the represented subject or witness refused to cooperate with the review.

Commentary: Multiple representation of witnesses by the same lawyer 

prejudices a review when the representation threatens the integrity of the investigation or 

risks obstructing the fact-finding process.

RULE 15. NO EX PARTE COMMUNICATIONS 

There shall be no ex parte communication between any member of the Board and any 

subject or between any member of the Board and any interested party. No Member, officer or 

employee of the House may communicate with any member of the Board regarding any matter 

under review by the Board except as authorized by the Board. Resolution Section 1(c)(2)(F)(iii). 

In the event a Board member inadvertently receives ex parte communications or after a 

communication is made becomes aware that they have received ex parte communications, they 

shall notify the Chair and Co-Chair who in turn shall inform the Board. 

RULE 16. ALTERNATIVE PROCEDURES 

Upon a finding by the Board that the just and expeditious determination of a matter 

requires simplification, alteration, or non-application of any or all of these rules, or the adoption 

of supplemental procedures, four members of the Board may vote to utilize such alternative 

procedures as are reasonable and necessary and consistent with the relevant law and which do 

not jeopardize the rights of a subject. In the event the Board adopts alternative procedures, the 

subject and other relevant persons, as determined by the Board, shall be furnished with copies of 

these procedures. 
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Commentary: For example, in a matter involving classified information alternate 

procedures would need to be adopted to ensure proper handling of such information. 
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APPENDIX A

PUBLIC RELEASE OF BOARD REFERRALS

[excerpted from H. Res. 895 of the 110th Congress (as amended by H.Res. 5 of the 111th

Congress) Section 3]

(A)General Timeframe for Release and Delayed Release 

Except as provided by clause 3 (b) of Rule XI of the U.S. House of Representatives subdivisions 

(B), (C), and (D), not later than 45 calendar days or 5 legislative days, whichever is later, after 

receipt of a written report and any findings and supporting documentation regarding a referral 

from the board of the Office of Congressional Ethics, the chairman of the Committee on 

Standards of Official Conduct1shall make public the written report and findings of the board 

unless the chairman and ranking member, acting jointly, decide or the committee votes to 

withhold such information for not more than one additional period of the same duration, in which 

case the chairman shall--

(i) upon the termination of such additional period, make public the written report and 

findings; and

(ii) upon the day of such decision or vote, make a public statement that the committee has 

voted to extend the matter relating to the referral made by the board of the Office of 

 

1 Beginning in the 112th Congress, the name of the Committee on Standards of Official Conduct was changed to the 

Committee on Ethics.
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Congressional Ethics regarding the Member, officer, or employee of the House who is the 

subject of the applicable referral.

At least one calendar day before the committee makes public any written report and findings of 

the board, the chairman shall notify such board and the applicable Member, officer, or employee 

of that fact and transmit to such individual a copy of the statement on the committee's disposition 

of, and any committee report on, the matter.

(B) Timeframe for Release When Committee on Standards of Official Conduct Votes to 

Dismiss a Board Referral 

(i) Notwithstanding clause 3 (b) of Rule XI of the U. S. House of Representatives 

subdivision (A)(i), if the committee votes to dismiss a matter which is the subject of a referral 

from the board of the Office of Congressional Ethics, the committee is not required to make 

public the written report and findings described in such subdivision unless the committee's vote 

is inconsistent with the recommendation of the board. For purposes of the previous sentence, a 

vote by the committee to dismiss a matter is not inconsistent with a report from the board 

respecting the matter as unresolved due to a tie vote.

(ii) Notwithstanding clause 3 (b) of Rule XI of the U.S. House of Representatives 

subdivision (A)(ii), if the board transmits a report respecting any matter with a recommendation 

to dismiss or as unresolved due to a tie vote, and the committee votes to extend the matter for an 
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additional period as provided in subdivision (A), the SOOC is not required to make a public 

statement that the committee has voted to extend the matter.

(iii) Except as provided by clause 3 (b) of Rule XI of the U.S. House of Representatives 

subdivision (E), if the committee establishes an investigative subcommittee respecting any such 

matter, then the report and findings of the board shall not be made public until the conclusion of 

the investigative subcommittee process and the committee shall issue a public statement of the 

establishment of an investigative subcommittee, which statement shall include the name of the 

applicable Member, officer, or employee, and shall set forth the alleged violation. If any such 

investigative subcommittee does not conclude its review within one year after the board 

transmits a report respecting any matter, then the committee shall make public the report and 

upon the expiration of the Congress in which the report is made public, the committee shall make 

public any findings.

(C)Timeframe for Release When Law Enforcement Requests Committee on Standards 

of Official Conduct Defer Action 

(i) If, after receipt of a written report and any findings and supporting documentation 

regarding a referral from the board of the Office of Congressional Ethics or of a referral of the 

matter from the board pursuant to a request under paragraph (r) of Clause 3 of Rule XI of the 

Rules of the U.S. House of Representatives, the SOOC agrees to a request from an appropriate 

law enforcement or regulatory authority to defer taking action on the matter--
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(I) notwithstanding subdivision (A)(i), of clause 3 of Rule XI of the Rules of the U.S. 

House of Representatives the SOCC is not required to make public the written report and 

findings described in such subdivision, except that if the recommendation of the board with 

respect to the report is that the matter requires further review, the committee shall make 

public the written report but not the findings; and

(II) before the end of the first day (excluding Saturdays, Sundays, and public 

holidays) after the day that the committee agrees to the request, the committee shall make a 

public statement that it is deferring taking action on the matter at the request of such 

authority.

(ii) If, upon the expiration of the one-year period that begins on the date the committee 

makes the public statement described in Section1.(c)(2)(C) (i)(II) of H. Res.895 of the 110th

Congress, the SOOC has not acted on the matter, the committee shall make a new public 

statement that it is still deferring taking action on the matter, and shall make a new statement 

upon the expiration of each succeeding one-year period during which the committee has not 

acted on the matter.

(D)Receipt of Referrals During Campaigns 

The committee may not receive any referral from the board of the Office of Congressional Ethics 

within 60 days before a Federal, State, or local election in which the subject of the referral is a 

candidate. The committee may delay any reporting requirement under this subparagraph that 
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falls within that 60-day period until the end of such period and in that case, for purposes of 

subdivision (A), days within the 60-day period shall not be counted.

(E) Release of Referrals When Committee on Standards of Official Conduct Ties 

If, at the close of any applicable period for a reporting requirement under this subparagraph with 

respect to a referral from the board of the Office of Congressional Ethics, the vote of the 

committee is a tie or the committee fails to act, the report and the findings of the board shall be 

made public by the committee, along with a public statement by the chairman explaining the 

status of the matter.
28

APPENDIX B

FALSE STATEMENTS ACT 

From the U.S. Code Online via GPO Access

[www.gpoaccess.gov]

[Laws in effect as of January 3, 2007]

[CITE: 18USC1001]

 TITLE 18--CRIMES AND CRIMINAL PROCEDURE

 PART I--CRIMES

 CHAPTER 47--FRAUD AND FALSE STATEMENTS

Sec. 1001. Statements or entries generally

 (a) Except as otherwise provided in this section, whoever, in any matter within the jurisdiction 

of the executive, legislative, or judicial branch of the Government of the United States, 

knowingly and willfully--

 (1) falsifies, conceals, or covers up by any trick, scheme, or device a material fact;

 (2) makes any materially false, fictitious, or fraudulent statement or representation; or

 (3) makes or uses any false writing or document knowing the same to contain any 

materially false, fictitious, or fraudulent statement or entry;

shall be fined under this title, imprisoned not more than 5 years or, if the offense involves 

international or domestic terrorism (as defined in section 2331), imprisoned not more than 8 
29

years, or both. If the matter relates to an offense under chapter 109A, 109B, 110, or 117, or 

section 1591, then the term of imprisonment imposed under this section shall be 

not more than 8 years.

 (b) Subsection (a) does not apply to a party to a judicial proceeding, or that party's counsel, for 

statements, representations, writings or documents submitted by such party or counsel to a judge 

or magistrate in that proceeding.

 (c) With respect to any matter within the jurisdiction of the legislative branch, subsection (a) 

shall apply only to--

 (1) administrative matters, including a claim for payment, a matter related to the 

procurement of property or services, personnel or employment practices, or support services, or a 

document required by law, rule, or regulation to be submitted to the Congress or any office or

officer within the legislative branch; or

 (2) any investigation or review, conducted pursuant to the authority of any committee, 

subcommittee, commission or office of the Congress, consistent with applicable rules of the 

House or Senate.

(June 25, 1948, ch. 645, 62 Stat. 749; Pub. L. 103-322, title XXXIII, Sec. 330016(1)(L), Sept. 

13, 1994, 108 Stat. 2147; Pub. L. 104-292, Sec. 2, Oct. 11, 1996, 110 Stat. 3459; Pub. L. 108-

458, title VI, Sec. 6703(a), Dec. 17, 2004, 118 Stat. 3766; Pub. L. 109-248, title I, Sec. 141(c), 

July 27, 2006, 120 Stat. 603.)

Last updated: December 23, 2008