Adopte

1

U.S. HOUSE O

WASHING
Adopte

1

U.S. HOUSE O

WASHING
ALLISON HAYWARD

JAY EAGEN

WILLIAM FRENZEL

ABNER MIKVA

Leo J. Wise, Chief Coun
Committee on Standar

monly referred to as th

rules are adopted und

H. Res. 895 of the 110

RULE 5. Investigator 

RULE 6. Cooperation 

RULE 7. Preliminary 

RULE 8. Second-Pha

RULE 9. Referrals to 

Committee . . . . . 

RULE 10. Period of S

Referrals . . . . . . 

RULE 11. Notice . . 

RULE 12. Requests F

Committee . . . . . 

RULE 13. Referrals t

RULE 14. Counsel . 

RULE 15. No Ex Par

RULE 16. Alternative 

Appendix A: Public R

Referrals . . . . . . . 

Appendix B: False S

Appendix C: Code of 

tractors, special co

retained by the Board 

(5) Officer—office

Sergeant-at-Arms, Cl

Officer and Chaplin 

(6) Referrals—refe

Committee at the end 

the OCE 

(7) Resolution—H

Congress (as amende

Congress) 

(8) Staff—staff of 

Ethics

(9) Standards Com

Standards of Official C

House of Representativ

(10) Subject—the M

against whom an alleg

Resolution Section 1

The Board shall 

related to allegation

diction.

When such inform

Office, the Staff sha

alleged conduct falls 

the Board.

Commentary: In 

jurisdiction exists, t

facts alleged are tr

when the Staff sha

The following is a li

the substantive topi

of the Office: 

(1) conduct relate

Conduct adopted un

(2) gifts 

(3) travel 
The Board shal

Chairman or two B

Section 1(b)(9). Th

monthly meeting d

meeting need not b

determines there is 

ered. Notice for an

provided at least s

Chairman may wa

cause. 

Four members 

alternates, shall c

Chairman shall es

meetings of the B

Board may place ad

da. The Chairman s

of the Board. In the 

the Co-Chairman 

Section 1(b)(8). 
able Board member 

member’s seat until 

is again available or 

ment is selected. 

Rule 3. Info

Cons

(A) SUBMISSIONS

The Office will ac

tion concerning alle

jurisdiction. While t

name and contact in

mitting information, 

mitted anonymously 

When making an

suggests including th

(1) the name, ad
lated, if known; 

(6) if applicable, 

mation for any pot

(7) if applicable

related to the alleg

(8) a signed decl

mitting the inform

section 1001 of tit

(popularly known a

applies to the infor

copy of the False S

appendix to these r

If the Staff finds 

ciently alleges a vi

tion of the Board, 

amount of time ga

tion with the auth

and Co-Chairman. 

necessary to seek 

sources other than 
information to the O

filing a formal comp

Standards Committe

(B) SUBMISSIONS 

MEMBER

Staff or any Boa

information regardin

consideration by th

submit information 

received from the pu

the one described ab

from other sources 

party sources and o

Section 1(c)(2)(F). 

(C) ALLEGATIONS A

STAFF PERSON

In the event a sub
ance of his or her du

or her responsibilitie

notify the Chairma

shall take appropria

Commentary: al

member shall be fo

and Minority Leade

authorities, the Spe

are empowered to 

Board for cause. 

(D) CONSOLIDATING 

The Board may 

submissions which 

or staff person as a s

stantially the same i
be necessary to 

Resolution Section 

(A) FALSE STATEM

All witnesses tha

sign a statement a

standing that secti

States Code (popu

Statements Act) ap

to any documents 

Section 1(c)(F)(ii). 

(B) WITNESSES

The Office may 

before the Office i

scribed by clause 5 

the House of Repre
The Office may 

ries to a witness o

be answered withi

time. 

(E) PRIVILEGES

The Office shall 

is privileged unde

House of Represen

tive waiver. 

(F) EXCULPATORY 

Staff shall promp

exculpatory inform
Director and shall 

working on an inves

feels s/he cannot be 

the Board believes t

be unbiased and im

terminate that pers

matter. 

Rule 6. Coope

The Office may 

any source. In th

requests cooperatio

ing, the Board may, 

ative inference from 

and may include a s

any referral to th

Resolution Section 1
believe an allegati

reasonable and art

the allegation. Suc

constitute a finding 

ly occurred. 

(B) INITIAL STAFF 

The Staff shall ad

done reasonable in

authorization of the 

after receiving a su

tiative and then re

either authorize a 

no action. Resoluti

Board may direct S

tigation prior to r

whether to initiate 
for two concurring B

possible the full B

consider the Board 

ate a preliminary rev

consensus on the 

record the date of an

calculating applicab

Section 1(c)(1)(A) a

Commentary: As 

be triggered by a wr

bers of the Board, su

a vote by the Board 

need not be present

(D) DURATION

The Office shall 

reviews within 30 
(F) TERMINATION

Four members o

minate a preliminar

the end of the preli

Resolution Section 

do so for any reaso

under review is 

Resolution Sectio

Board takes no fur

the end of the preli

the preliminary rev

Section 1(c)(1)(C)

may send a repor

Standards Committ
y p

tain a strong suspic

or employee commi

of probable cause do

that a violation has 

(B) INITIATION

Three members o

a quorum may vote 

review. Resolution S

(C) DURATION

The Office shall 

review within 45 cal

commences such rev

as “second-phase 

Resolution Section 

may extend the se
(E) TERMINATION

At any time prio

phase review, four 

vote to terminate 

occurs, the Board 

procedure outlined 

the appropriate 

Committee. 

Rule 9. Refe

C

(A) STANDARD OF 

The Board sha

Standards Commit

determines there i
quate to support a c

there is a substantial 

gations does not con

lation has actually o

(B) STATEMENT FRO

Before the Board 

tion or statement t

Standards Committe

phase review, it sha

opportunity to pre

Board. Resolution S

(C) SECOND-PHASE 

At the end of a 

Board shall adopt, b

four members, a r

Committee recomm
Commentary: t

tion of a report sha

cable, after the e

review period. 

(D) FINDINGS

The Board’s rep

composed solely of 

(1) Any findings 

(2) A descriptio

tion that it was un

whom it was unabl

sons therefor; 

(3) A recommen

poenas where appr

(4) A citation of 

ulation, or standa
Committee, the Boa

ber of the Board or 

if the Standards Com

Rule 10. Period of 

The Board shall 

to the Standards C

before a Federal, S

which the subject o

date. If the end of 

occurs within this 

Board shall complet

and transmit it to th

the first business d

Clause 3(b)(8)(D) o

the House. 
The Office sha

Committee and the 

the Board to termin

if a review terminat

no further acti

1(c)(1)(C). 

(C) INITIATION OF 

The Office sha

Committee and th

phase review in

Resolution Section 

(D) REFERRAL TO 

The Office shall p

of the report it tr

Committee recomm
matter by an invest

the Standards Com

refer such matter to 

its preliminary or 

applicable and so 

Board shall send 

Committee containi

the request of the 

referred for its con

include any findin

1(d)(1). 

(B) MATTERS UNRE

COMMITTEE

If the Standards 

Board in writing that 

matter it had previo

stop reviewing, the 

begin or continue, a
(C) BOARD DUE D

In a case when 

asks the Board to 

under this Rule, the 

ular intervals to d

Committee has be

matter.

Rule 13. Ref

(A) REFERRALS T

The Board may 

the following la

Compliance: 

(1) The Age Disc

Act of 1967 
(9) The Rehabilita

(10) Veterans’ em

ment rights at Chapt

Code 

(11) The Worker A

Notification Act 

(B) REFERRALS T

INSPECTOR GENERAL

The Board may r

waste and abuse i

House or joint ent

House Office of Insp

gation under clause 

House. 
mation to state an

event that informa

occurred or is abou

Ru

If a subject or wi

sented by a lawyer

subject or witness 

subject’s or witne

witness must notif

resented.

Rule 15. No Ex 

There shall be n

between any mem

subject or between 

and any interested 
Rule 16. Alt

Upon a finding du

the just and exped

matter requires sim

non-application of a

the adoption of supp

members of the Boa

alternative procedur

necessary and consi

and which do not j

subject. In the event 

tive procedures, the 

persons, as determin

furnished with copie

Commentary: F

involving classified 

cedures would need 

proper handling of s
Except as provi

XI of the U.S. Hous

visions (B), (C), an

endar days or 5 leg

later, after receipt 

findings and su

regarding a referr

Office of Congress

of the Committee 

Conduct shall mak

and findings of the 

and ranking memb

the committee vot

mation for not mor

od of the same du

chairman shall—

(i) upon the term

period, make pub

findings; and 
a copy of the state

disposition of, and 

the matter.

(B) Timeframe f

mittee on Standar

Votes To Dismiss a 

(i) Notwithstandi

of the U. S. House o

sion (A)(i), if the com

matter which is the 

the board of the 

Ethics, the committe

public the writte

described in such su

mittee’s vote is inco

mendation of the bo

previous sentence, a 

dismiss a matter is 

report from the boar
Rule XI of the U.S

subdivision (E), if 

an investigative su

such matter, then 

the board shall no

conclusion of the i

process and the com

statement of the es

tive subcommitte

include the name 

officer, or employ

alleged violation. If 

committee does no

in one year after th

respecting any ma

shall make public 

expiration of the C

is made public, the 

lic any findings.
Rule XI of the Rul

Representatives, the 

from an appropriate 

latory authority to d

matter—

(I) notwithstand

clause 3 of Rule XI 

House of Represen

required to make pu

findings described in 

that if the recomme

respect to the rep

requires further rev

make public the w

findings; and 

(II) before the en

ing Saturdays, Sund

after the day that th

request, the commi

statement that it is d
(D) Receipt of R

The committee m

from the board of t

Ethics within 60 da

or local election in 

referral is a candi

delay any reportin

subparagraph that f

od until the end o

case, for purposes 

within the 60-day p

(E) Release of R

on Standards of O

If, at the close of 

reporting requirem

graph with respect 

Sec. 1001. Statem

(a) Except as 

section, whoever, 

jurisdiction of the 

judicial branch of 

United States, know

(1) falsifies, 

any trick, scheme, 

(2) makes any 

or fraudulent statem

(3) makes or 

document knowing 

materially false, fic

ment or entry; 

Shall be fined 

not more than 5 

involves internatio
(c) With respect 

jurisdiction of the l

tion (a) shall apply o

(1) administrativ

claim for payment, a 

curement of propert

employment practic

a document require

tion to be submitte

office or officer wit

or 

(2) any investigat

pursuant to the aut

subcommittee, com

Congress, consisten

the House or Senate

(June 25, 1948, ch

103–322, title XXXII

13, 1994, 108 Stat. 2

35 

APPENDIX C

CODE OF CONDUCT OF THE OFFICE OF 

CONGRESSIONAL ETHICS 

AS AMENDED 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. 
36 

(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 purposes of the 
37 

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 disclosure reports 

with the Clerk of the House on or before May 15 of 

each calendar year after any year in which they 
38 

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 sevenday 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; 

(3) shall not at any time discuss the merits or 

status of the matter formally or informally with any 
39 

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. 

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 
40 

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. 
41 

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 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 
42 

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. 

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. 
43 

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. 

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. 
44 

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. 

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. 
45 

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.