RULES

Office of

Congressional Ethics

Adopted January 25, 2013

113th Congress

U.S. HOUSE OF REPRESENTATIVES

WASHINGTON, D.C. 20515
OFFICE OF

CONGRESSIONAL ETHICS

BOARD

UNITED STATES HOUSE OF REPRESENTATIVES

ONE HUNDRED THIRTEENTH CONGRESS

PORTER GOSS, Chair

DAVID SKAGGS, Co-Chair

YVONNE BURKE

KARAN ENGLISH

ALLISON HAYWARD

JAY EAGEN

WILLIAM FRENZEL

MICHAEL BARNES

Omar S. Ashmawy, Chief Counsel & Staff Director

(II)
(III)

OFFICE OF CONGRESSIONAL ETHICS

RULES FOR THE CONDUCT OF INVESTIGATIONS

AS ADOPTED ON JANUARY 25, 2013

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). 
(IV)
(V)

CONTENTS

RULES FOR THE CONDUCT OF

INVESTIGATIONS

Definitions

RULE 1. Jurisdiction . . . . . . . . . . . . . . . . . . . . . . .3

RULE 2. Board Meetings . . . . . . . . . . . . . . . . . . .4

RULE 3. Information for Board

Consideration . . . . . . . . . . . . . . . . . . . . . . . . . .5

RULE 4. Evidence . . . . . . . . . . . . . . . . . . . . . . . . .9

RULE 5. Investigator Is Impartial . . . . . . . . . . .11

RULE 6. Cooperation With the Office . . . . . . .12

RULE 7. Preliminary Review . . . . . . . . . . . . . . .12

RULE 8. Second-Phase Review . . . . . . . . . . . . .15

RULE 9. Referrals to the Ethics

Committee . . . . . . . . . . . . . . . . . . . . . . . . . . . .17

RULE 10. Period of Suspension of

Referrals . . . . . . . . . . . . . . . . . . . . . . . . . . . . .20

RULE 11. Notice . . . . . . . . . . . . . . . . . . . . . . . . .20

RULE 12. Requests From the Ethics

Committee . . . . . . . . . . . . . . . . . . . . . . . . . . . .21

RULE 13. Referrals to Other Entities . . . . . . . .23

RULE 14. Counsel . . . . . . . . . . . . . . . . . . . . . . . .24

RULE 15. No Ex Parte Communications . . . .25

RULE 16. Alternative Procedures . . . . . . . . . . .26

Appendix A: Public Release of Board

Referrals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .27

Appendix B: False Statements Act . . . . . . . . .33

Appendix C: Code of Conduct . . . . . . . . . . . . .36
VI
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

1
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

(12) Witness––a person, including the subject of

a review, who may have knowledge relating to a

matter under review

2
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 

3
(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, 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). 

4
5

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. 

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
6

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 such information from

sources other than public ones, including from
7

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) SUBMISSIONS FROM A STAFF OR BOARD

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, thirdparty 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
8

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. 

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
9

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). 

(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
10

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. 
11

(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. 

(F) EXCULPATORY INFORMATION

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
12

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). 

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). 
13

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 Co-Chairman of their intention to do so.
14

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 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. 
15

(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. 

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 second-phase 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”). 

(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

16
17

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
18

Ethics Committee at the end of a secondphase 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.

(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. 
19

(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). 

(F) PRESENTATION OF REPORT 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. 
20

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 on the first business day 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 secondphase review initiated by the Board.

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

(D) REFERRAL TO THE STANDARDS 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

21
22

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. 

(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
23

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 
24

(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 repre-
25

sented 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

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
26

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 nonapplication 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.

Commentary: For example, in a matter

involving classified information alternate procedures would need to be adopted to ensure

proper handling of such information. 
27

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

Conduct 1 shall 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—

1 Beginning in the 112th Congress, the name of the Committee on Standards of

Official Conduct was changed to the Committee on Ethics.
(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

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 recom28
29

mendation 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 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—

(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)

30
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

Section 1(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 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.

31
(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. 

32
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 state33
ment 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 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

34
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 

35
36

APPENDIX C

CODE OF CONDUCT OF THE OFFICE OF

CONGRESSIONAL ETHICS

AS ADOPTED SEPTEMBER 27, 2011

The Board of the Office of Congressional

Ethics (OCE) adopts this Code of Conduct

pursuant to the authority granted to the Office

by H. Res. 895 Section 1(c)(2)(F)(iv). This

Code applies to the Board and staff of the

OCE. In addition, the Code of Official

Conduct, and all other relevant statutes, regulations, rules and standards of conduct applicable to House employees, apply to the staff of

the OCE.

1. General Ethical Standards

A Member of the Board shall conduct him

or herself at all times in a manner that shall

reflect creditably on the Board and the Office

of Congressional Ethics.

2. Statement of Principles

The Board and staff shall endeavor at all

times to uphold the highest ethical standards.

In so doing, the Board and staff will be guided

by the following principles.

(a) Upholding this Code and applicable
rules of the U.S. House of Representatives in

all activities of the OCE;

(b) Discharging all official duties in a nonpartisan manner;

(c) Maintaining objectivity in the review of

all allegations against any Member, Officer or

staff person;

(d) Acting in a manner that is faithful to the

letter and spirit of the transparency and confidentiality provisions of H. Res. 895 of the

110th Congress;

(e) Serving as good stewards of public

funds and House resources; and

(f) Remaining free of conflicts of interest.

3. Oath of Board Members and Staff

Before any individual who is appointed to

serve on the board (including an individual

who is an alternate) or before any individual is

hired to be a staff member of the Office may

do so, the individual shall execute a signed

document containing the following statement:

“I agree not to be a candidate for the office of

Senator or Representative in, or Delegate or

Resident Commissioner to, the Congress for

37
purposes of the Federal Election Campaign

Act of 1971 until at least 3 years after I am no

longer a member of the board or staff of the

Office of Congressional Ethics.”.

4. Compensation, Gifts and Gratuities for

Board Service

A member of the Board may not receive

compensation for his service on the Board

from any source other than the per diem provided for under H. Res. 895 of the 110th

Congress.

A member of the Board may not receive

compensation and may not permit compensation to accrue to his or her beneficial interest

from any source, the receipt of which would

occur by virtue of influence improperly exerted from his or her position on the Board.

A member of the Board may not accept or

solicit a gift or gratuity linked to any official

action a Board member has taken or is asked

to take.

5. Financial Disclosure

Members of the board and senior staff (to

the extent required by the House Code of

Official Conduct) shall file annual financial

38
39

disclosure reports with the Clerk of the House

on or before May 15 of each calendar year

after any year in which they perform the

duties of that position. Such reports shall be

on a form prepared by the Clerk that is substantially similar to form 450 of the Office of

Government Ethics. The Clerk shall send a

copy of each such report filed with the Clerk

within the seven-day period beginning on the

date on which the report is filed to the

Committee on Standards of Official Conduct

and shall have them printed as a House document and made available to the public.

6. Disqualification for Financial Conflict

of Interest

If any matter before the Board or transaction with the Office involves a close relative,

partner, client or business associate of a

Board member, or any person or organization

with which the board member is affiliated, is

negotiating or has any arrangement concerning prospective employment or financial interest, that member:

(1) shall promptly so notify the other members of the Board when that member first

learns of the transaction or matter;

(2) shall not participate in any Board action,

discussion or deliberation of the matter;
40

(3) shall not at any time discuss the merits

or status of the matter formally or informally

with any member of the Board, with any current member of the staff, or with any former

member of the staff who, while employed by

the Office, had access to confidential information about the matter.

(4) shall not at any time examine the

Board’s files or records pertaining to the matter; and

(5) shall not while the matter is pending

before the Board, discuss its merits or status

with anyone whose interest gave rise to the

disqualification or with their representatives.

In addition, if a Board member has a connection with a vendor, consultant or other

contractor with whom the Board is considering entering into any relationship, which

would give rise to a perception of conflict of

interest, the Board member shall disclose that

fact to the Board when the Board member first

learns that the Board is considering entering

into any such relationship.

Staff shall review the financial disclosure

forms submitted by each Board member for

any potential conflicts prior to presenting any

transaction to the Board in any form.
41

The Staff Director shall inform the Board of

any matter which presents facts and legal

issues similar to those in any other matter

which is pending and in which a member of

the Board is disqualified from participating.

The disqualified member of the Board should

thereupon determine whether he should participate in the similar case. That determination

should be based on the degree to which resolution of the similar case would be dispositive

of the case in which there is the disqualification.

Once a member of the Board has disqualified him or herself pursuant to this section, the

staff will not send or otherwise make available

to that member any materials pertaining to

that matter.

A majority of the Board may vote to disqualify a Board member for conflict of interest.

Notwithstanding the above provisions, if

three members of the Board are disqualified

from participating in a specific Board action,

discussion or deliberation, the disqualified

members may nonetheless participate under a

rule of necessity.

7. Recusal

A Board member who determines he or she
cannot review a mattter before the Board in an

impartial manner must recuse him or herself.

A lack of impartiality may arise from personal

or professional affiliations with a subject or

other person involved in a matter before the

Board.

A Board member who has engaged in political activity on behalf of a subject, or a subject’s opponent in an election, or intends to do

so, shall disclose such activity to the Board

and shall, if that activity compromises that

Board member’s ability to act in an impartial

manner, recuse him or herself.

Four members of the Board may vote to

recuse a member for lack of impartiality.

If a Board member has made a political contribution to a subject or a subject’s opponent

in any election, or to any entity controlled by a

subject or a subject’s opponent, or to a legal

defense fund either for a subject or a subject’s

opponent, in any election within the last five

years, that Board member shall recuse him or

herself from any matter involving allegations

against that subject.

8. Prohibition on Public Disclosure

When an individual becomes a member of

42
43

the Board or staff of the Office, that individual

shall execute the following oath or affirmation

in writing: “I do solemnly swear (or affirm)

that I will not disclose to any person or entity

outside the Office any information received in

the course of my service with the Office,

except as authorized by the Board as necessary to conduct as official business or pursuant to its rules.” Copies of the executed oath

shall be provided to the Clerk of the House as

part of the records of the House.

No testimony received or any other information obtained as a member of the Board or

staff of the Office shall be publicly disclosed

by any such individual to any person or entity

outside the Office. Any communication to any

person or entity outside the Office may occur

only as authorized by the Board as necessary

to conduct official business or pursuant to its

rules.

All staff and Board members shall abide by

the procedures contained in the Office’s procedures manual that address prevention of

unauthorized disclosure of any information

received by the Office.

Any breach of confidentiality shall be investigated by the Board and appropriate action

shall be taken.
44

These provisions do not preclude its report

or findings or testifying before the Committee

on Standards of Official Conduct by any member of the Board or staff of the Office if

requested by such committee pursuant to its

rules.

9. Requirements for Public Speaking by

Board Members or Staff

No member of the staff or Board 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 Office without specific prior approval

from the chairman and co-chairman.

10. Appearance Before the Office by

Former Board Members or Staff

No former member of the Board or staff

shall, after the termination of his or her service or employment, represent any person or

entity by making any formal appearance or

any oral or written communication with the

intent to influence a decision of the Board,

until at least one year has elapsed since the

termination of his or her service or employment.
45

11. Anti-Discrimination Policy

A member of the Board may not discharge

and may not refuse to hire an individual as a

staff member of the OCE, or otherwise discriminate against an individual with respect to

compensations, terms, condition, or privileges

of employment, because of the race, color,

religion, sexual orientation, gender, marital or

parental status, disability, age, national origin

or political affiliation of such individual.

12. Prohibition on Partisan Activity by

Board and Staff

Each Board member and each staff member

shall perform all official duties in a nonpartisan manner.

No member of the staff shall engage in any

partisan political activity affecting any election, including making campaign contributions.

No member of the Board shall engage in any

partisan political activity affecting an election

to the House of Representatives or affecting

any election in which a Member, officer or

staff of the House of Representatives is a candidate, including making campaign contributions.
46

Any Board member or staff member whose

activity violates this rule shall disclose such

activity to the Board and shall be recused pursuant to Rule 7 on any matter affected by the

activity.

13. Certification and Annual Training

Each member of the Board and staff shall

certify that they have read and agree to abide

by the provisions of this Code and to participate in annual ethics training.

14. Violation; Recommendation of

Resignation and Dismissal

A majority of a quorum of the Board may

recommend to a Board member who has willfully violated this Code of Conduct that he or

she resign and, in the absence of a resignation,

may recommend to the Speaker and the

Minority Leader that the member be dismissed

and replaced.