302 
lish such opinion for the guidance of other Members 
and employees of Congress; 
(5) if the Office determines, during the course 
of any investigation under this subtitle, that a lob-
byist or lobbying firm may be in noncompliance with 
the Lobbying Disclosure Act of 1995 (2 U.S.C. 1601 
et seq.)— 
(A) to notify the United States Attorney 
for the District of Columbia and the Director of 
the Office of Public Integrity of the potential 
violation; and 
(B) to notify the lobbyist or lobbying firm 
of such determination, in writing; 
(6) to provide informal guidance to lobbyists or 
lobbying firms engaged in lobbying activity or lob-
bying contacts under the Lobbying Disclosure Act of 
1995 (2 U.S.C. 1601 et seq.) to covered legislative 
branch officials (as defined in section 3 of such Act 
(2 U.S.C. 1602)) of their responsibilities under such 
Act; 
(7) to aid in the enforcement of ethics require-
ments for Members or employees of Congress under 
this subtitle or any other provision of law; and 
(8) to administer the process for Members and 
employees of Congress to seek and receive any waiv-
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303 
ers from any ethics law (including regulations), rule, 
or other standard that applies to Members and em-
ployees of Congress, subject to approval of the appli-
cable ethics committee. 
(b) REFERRALS
TO
LAW
ENFORCEMENT
OFFI-
CIALS.— 
(1) IN GENERAL.—Upon a majority vote of the 
Board, the Office may refer potential legal violations 
committed by a Member or employee of Congress to 
the Department of Justice or other relevant Federal 
or State law enforcement officials, which referral 
shall include all appropriate evidence gathered dur-
ing any review conducted under this subtitle. 
(2) NO
APPROVAL
REQUIRED.—A referral 
under paragraph (1) does not require the approval 
of either of the applicable ethics committees. 
(3) NOTIFICATION.—The Board shall notify the 
Select Committee on Ethics of the Senate or the 
Committee on Ethics of the House of Representa-
tives, and the Director of the Office of Public Integ-
rity of all referrals under this subsection. 
(c) ADVISORY OPINIONS.— 
(1) IN GENERAL.—Upon a majority vote of the 
Board, the Office may draft and publish rec-
ommended formal advisory opinions and interpreta-
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304 
tions of rules and other standards of conduct appli-
cable to Members and employees of Congress, which 
shall be submitted to each applicable ethics com-
mittee for approval. 
(2) REQUIREMENTS
FOR
ETHICS
COMMITTEE 
REVIEW.—Each applicable ethics committee may re-
vise, overturn, dismiss, or issue any recommended 
formal advisory opinions or interpretations under 
paragraph (1) that is applicable to the Members and 
employees of that House of Congress. A rec-
ommended formal advisory opinion or interpretation 
under paragraph (1) is only binding if issued by one 
of the applicable ethics committees. 
(3) REQUIREMENTS.—Any applicable ethics 
committee decision described in paragraph (2) shall 
be recorded and made publicly available, and shall 
be accompanied by a written explanation for that ac-
tion. Dissenting members of the applicable ethics 
committee are allowed to issue their own report de-
tailing reasons for disagreeing with the decision. 
(d) LIMITATIONS ON REVIEW.—No review shall be 
undertaken by the Board of any alleged violation of law, 
rule, regulation or standard of conduct not in effect at 
the time of the alleged violation, nor shall any review be 
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305 
undertaken by the Board of any alleged violation that oc-
curred before the date of enactment of this Act. 
(e) PROHIBITION ON PUBLIC DISCLOSURE.— 
(1) IN GENERAL.— 
(A) REQUIRED AFFIRMATION BY MEMBERS 
AND
STAFF.—When an individual becomes a 
member of the Board or employee 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 of the Office any information 
received in the course of my service with the 
Office, except as authorized by the Board by 
majority vote as necessary to conduct official 
business or pursuant to its rules.’’. Copies of 
the executed oath shall be provided to the Clerk 
of the House of Representatives and the Sec-
retary of the Senate as part of the records of 
the House and Senate. 
(B) PROHIBITION
ON
PUBLIC
DISCLO-
SURE.—No testimony received, or any other in-
formation obtained, by a member of the Board 
or employee of the Office shall be publicly dis-
closed to any person or entity outside the Of-
fice, unless approved by a majority vote of the 
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306 
Board. Any communication to any person or en-
tity outside the Office may occur only as au-
thorized by the Board. 
(C) PROCEDURES AND INVESTIGATION.— 
The Office shall establish procedures necessary 
to prevent the unauthorized disclosure of any 
information 
received 
by 
the 
Office. 
Any 
breaches of confidentiality shall be investigated 
by the Board and appropriate action shall be 
taken. 
(2) PROVISION WITH RESPECT TO OFFICE OF 
PUBLIC INTEGRITY OR ETHICS COMMITTEES.—Para-
graph (1) shall not preclude— 
(A) any member of the Board or any em-
ployee of the Office from presenting a report or 
findings of the Board, or testifying before the 
Select Committee on Ethics of the Senate or 
the Committee on Ethics of the House of Rep-
resentatives, if requested by either committee 
pursuant to the rules of the committee; 
(B) any necessary communication with the 
Office of Public Integrity; 
(C) any necessary communication with the 
Department of Justice or any other law en-
forcement agency; 
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307 
(D) any necessary communication with any 
members, or employees, of the applicable ethics 
committee; or 
(E) any necessary communication with the 
President pro tempore of the Senate, majority 
leader of the Senate, minority leader of the 
Senate, Speaker of the House of Representa-
tives, or minority leader of the House of Rep-
resentatives. 
(3) OPPORTUNITY
TO
PRESENT.—Before the 
Board votes on a recommendation or statement to 
be transmitted to the appropriate congressional com-
mittee relating to official conduct of any Member or 
employee of Congress, the Board shall provide that 
individual the opportunity to present, orally or in 
writing (at the discretion of the Board), a statement 
to the Board. 
(f) PRESENTATION OF REPORTS TO SELECT COM-
MITTEE ON ETHICS OF THE SENATE OR THE COMMITTEE 
ON ETHICS OF THE HOUSE OF REPRESENTATIVES.— 
Whenever the Board transmits any report to the applica-
ble ethics committee relating to the official conduct of any 
Member or employee of Congress, it shall designate a 
member of the Board or employee to present the report 
to such committee if requested by such committee. 
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308 
(g) MAINTAINING OF FINANCIAL DISCLOSURE RE-
PORTS.—The Office shall receive, and maintain, a copy 
of each report filed under section 101 of the Ethics in 
Government Act of 1978 (5 U.S.C. App.) by a Member 
or employee of Congress. 
(h) MEMORANDUM OF UNDERSTANDING WITH THE 
OFFICE OF PUBLIC INTEGRITY.—The Office shall enter 
into a memorandum of understanding with the Director 
of the Office of Public Integrity in order— 
(1) to share any information necessary for the 
execution of each office’s respective duties and re-
sponsibilities, including the copies of reports de-
scribed in subsection (g); 
(2) to ensure consistent interpretation and en-
forcement of the Nation’s ethics laws for executive 
and legislative branch employees and officials; and 
(3) to reduce and mitigate jurisdictional confu-
sion. 
(i) INVESTIGATIVE AUTHORITY.—In the course of an 
investigation described in subsection (a)(1)(A), the Board 
may require by subpoena the attendance of and testimony 
by witnesses and the production of any book, check, can-
celed check, correspondence, communication, document, 
email, papers, physical evidence, record, recording, tape, 
or other material (including electronic records) relating to 
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309 
any matter or question the Office is authorized to inves-
tigate from any individual or entity. 
SEC. 555. REVIEW PROCESS OF SUBMISSIONS. 
(a) SOURCE OF SUBMISSIONS.— 
(1) CITIZEN SUBMISSIONS.— 
(A) CITIZEN SUBMISSIONS.—Any citizen of 
the United States, including a Member or em-
ployee of Congress, may submit to the Office an 
allegation of a violation or any material infor-
mation regarding an alleged violation, by a 
Member or employee of Congress of any law 
(including any regulation), rule, or other stand-
ard of conduct applicable to the conduct of such 
Member or employee in the performance of the 
duties, or the discharge of the responsibilities, 
of the Member or employee, subject to subpara-
graph (B) and paragraph (4). 
(B) BAN ON FILING SUBMISSIONS PRIOR 
TO ELECTION.—The Board may not accept cit-
izen submissions regarding the conduct of a 
Member filed in the— 
(i) 30 days prior to a primary election 
for which the Member in question is a can-
didate; and 
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(ii) 60 days prior to a general election 
for which the Member in question is a can-
didate. 
(2) BOARD MEMBER OR OFFICE OF CONGRES-
SIONAL
ETHICS
SUBMISSIONS.—A member of the 
Board or an employee of the Office may submit an 
allegation of a violation by a Member or employee of 
Congress of any law (including any regulation), rule, 
or other standard of conduct applicable to the con-
duct of such Member or employee in the perform-
ance of the duties, or the discharge of the respon-
sibilities, of the Member or employee. 
(3) FALSE
CLAIMS
ACKNOWLEDGMENT
AND 
STATEMENT.—Any submission under paragraph (1) 
shall include a signed statement acknowledging that 
the individual submitting the allegation or material 
information understands that section 1001 of title 
18, United States Code (popularly known as the 
‘‘False Statements Act’’), applies to the allegation or 
information the individual is submitting. 
(4) PAST
FRIVOLOUS
CHARGES.—The Board 
shall not accept any submission under paragraph 
(1)(A) from an individual who has previously vio-
lated section 1001 of title 18, United States Code, 
with respect to this subtitle. 
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311 
(5) NOTIFICATION.—Upon receipt of a submis-
sion filed under paragraph (1) or (2) that meets the 
requirements of this subsection and that the Office 
determines contains a material allegation of a viola-
tion, or material information, described in paragraph 
(1)(A), the Office shall refer the submission to the 
Board for consideration under the review process de-
scribed in subsection (b). 
(b) REVIEW PROCESS OF ALLEGED VIOLATIONS BY 
MEMBERS OR EMPLOYEES OF CONGRESS.— 
(1) REQUEST.—After receiving a submission 
under subsection (a)(5), 2 or more members of the 
Board may submit a joint written statement to all 
members of the Board authorizing the Office to un-
dertake a preliminary review of any alleged violation 
by a Member or employee of Congress of any law 
(including any regulation), rule, or other standard of 
conduct applicable to the conduct of such Member or 
employee in the performance of the duties, or the 
discharge of the responsibilities, of the Member or 
employee, along with a brief description of the spe-
cific matter. 
(2) PRELIMINARY REVIEW.— 
(A) IN GENERAL.—Not later than 7 busi-
ness days after receipt of an authorization 
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statement from 2 or more members of the 
Board under paragraph (1), the Board shall— 
(i) instruct the Office to initiate a 
preliminary review of the alleged violation; 
and 
(ii) provide a written notification of 
the commencement of the preliminary re-
view, including a statement of the nature 
of the review, to— 
(I) the applicable ethics com-
mittee; 
(II) any individual who is the 
subject of the preliminary review; and 
(III) the Director of the Office of 
Public Integrity. 
(B) OPPORTUNITY
TO
TERMINATE
PRE-
LIMINARY
REVIEW.—At any time, the Board 
may, by a majority vote, terminate a prelimi-
nary review on any ground, including that the 
matter under review is de minimis in nature. If 
the Board votes to terminate the preliminary 
review— 
(i) the review process under this sec-
tion is completed and no further actions 
shall be taken; and 
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313 
(ii) the Board— 
(I) shall notify, in writing, the in-
dividual who was the subject of the 
preliminary review, the Director of the 
Office of Public Integrity, and the ap-
plicable ethics committee, of its deci-
sion to terminate the review of the 
matter; and 
(II) may, in any case where the 
Board votes to terminate the prelimi-
nary review, send a report, including 
any findings of the Board, to the ap-
plicable ethics committee and to the 
Director of the Office of Public Integ-
rity. 
(3) SECOND-PHASE REVIEW PROCESS.— 
(A) VOTE FOR SECOND-PHASE REVIEW.— 
(i) IN GENERAL.—After the prelimi-
nary review conducted under paragraph 
(2) is completed, the Board shall vote on 
whether to authorize a second-phase review 
of the matter under consideration. If there 
is an affirmative vote of 4 or more mem-
bers of the Board to authorize the second- 
phase review, the Board shall authorize the 
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314 
second-phase review process in accordance 
with subparagraph (B). 
(ii) TERMINATION OF MATTER.—If a 
vote to authorize a second-phase review 
under clause (i) does not succeed, the re-
view process under this section shall be 
completed and no further actions shall be 
taken. 
(iii) NOTIFICATION TO PARTIES.—The 
Board— 
(I) shall notify, in writing, the in-
dividual who was the subject of the 
preliminary review, the Director of the 
Office of Public Integrity, and the ap-
plicable ethics committee, of its deci-
sion to authorize a second-phase re-
view of the matter or to terminate the 
review process; and 
(II) may, in any case where the 
Board decides to terminate the review 
process of the violation under clause 
(ii), send a report, including any find-
ings of the Board, to the applicable 
ethics committee and to the Director 
of the Office of Public Integrity. 
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315 
(B) SECOND-PHASE REVIEW.—In any case 
where a second-phase review is required, the 
Board shall authorize the Office to commence, 
and complete, a second-phase review. 
(C) COMPLETION OF SECOND-PHASE RE-
VIEW.—Upon the completion of any second- 
phase review, the Board shall— 
(i) evaluate the review and determine, 
based on a majority vote, whether— 
(I) the applicable ethics com-
mittee should dismiss the matter that 
was the subject of such review, which 
may be made on any ground, includ-
ing that the matter under review is de 
minimis in nature; 
(II) the matter requires further 
review by the applicable ethics com-
mittee; or 
(III) the applicable ethics com-
mittee should take action relating to 
the 
matter, 
including 
any 
rec-
ommendation for the disciplinary ac-
tion or sanctions that the committee 
should take; 
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316 
(ii) transmit to the applicable ethics 
committee a written report that includes— 
(I) a statement of the nature of 
the review and the Member or em-
ployee of Congress who is the subject 
of the review, including any alleged 
violations uncovered in either the pre-
liminary or second-phase review; 
(II) any recommendations of the 
Board based on votes conducted under 
clause (i), or a statement that the 
matter is unresolved because of a tie 
vote of the Board or a failure to meet 
the majority vote threshold established 
under section 553(c)(3); 
(III) a description of the number 
of members voting in the affirmative 
and in the negative for any action de-
scribed in clause (i); 
(IV) any findings of the Board, 
including— 
(aa) any findings of fact; 
(bb) a description of any rel-
evant information that the Board 
was unable to obtain or witnesses 
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317 
whom the Board was unable to 
interview, and the reasons there-
for; and 
(cc) a citation of any rel-
evant law, regulation, or stand-
ard of conduct relating to the 
violation; and 
(V) any supporting documenta-
tion; 
(iii) transmit to the individual who is 
the subject of the second-phase review the 
written report of the Board described in 
clause (ii); 
(iv) transmit to the Director of the 
Office of Public Integrity the written re-
port of the Board described in clause (ii), 
and may include any recommendations for 
action by the Director that the Board may 
recommend; and 
(v) make public, on a website main-
tained by the Office, the written report of 
the Board described in clause (ii), unless a 
majority of the members of the Board vote 
to withhold the report from the public 
where public disclosure could compromise 
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318 
the ability of the applicable ethics com-
mittee or a law enforcement agency to act 
on an alleged ethics violation. 
(D) AUTHORITY FOR REPRIMAND.—Upon 
the completion of any second-phase review, the 
Board— 
(i) may, upon a majority vote, rep-
rimand, in writing, the alleged violator for 
potential violations of the law; 
(ii) in any case where a reprimand 
under clause (i) is issued, shall provide a 
copy of the reprimand to— 
(I) the presiding officer of the 
House of Congress in which the al-
leged violator serves (if such indi-
vidual is a Member of Congress); or 
(II) the alleged violator’s em-
ployer, if the individual is an employee 
of Congress; and 
(iii) may make the reprimand avail-
able to the public. 
(c) REQUESTS FROM APPLICABLE ETHICS COMMIT-
TEES.— 
(1) IN GENERAL.—Notwithstanding any other 
provision of this subtitle, upon receipt of a written 
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‘‘(ii) with respect to a candidate for 
nomination or election to the office of 
Member of Congress, the 2 most recent 
taxable years and every year the individual 
was in Federal elected office for which a 
return has been filed with the Internal 
Revenue Service. 
‘‘(B) FAILURE
TO
DISCLOSE.—If an in-
come tax return is not disclosed under subpara-
graph (A) the Federal Election Commission 
shall submit to the Secretary of the Treasury a 
request that the Secretary of the Treasury pro-
vide the Federal Election Commission with the 
income tax return. 
‘‘(C) PUBLICLY AVAILABLE.—Each income 
tax return submitted under this paragraph shall 
be filed with the Federal Election Commission 
and made publicly available in the same manner 
as the information described in section 102(b). 
‘‘(D) REDACTION OF CERTAIN INFORMA-
TION.—Before making any income tax return 
submitted under this paragraph available to the 
public, the Federal Election Commission shall 
redact such information as the Federal Election 
Commission, in consultation with the Secretary 
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