Summary of Activities, One Hundred Sixteenth Congress, Committee on Ethics — House Report 116-703
Summary
This is House Report 116-703, Union Calendar No. 586, titled Summary of Activities, One Hundred Sixteenth Congress, a report of the Committee on Ethics committed to the Committee of the Whole House on the State of the Union and ordered to be printed December 31, 2020. A letter of submittal dated December 31, 2020 from Theodore E. Deutch, Chairman, and Kenny Marchant, Ranking Member, to Cheryl L. Johnson, Clerk, transmits the report pursuant to clauses 3(a)(2) and 3(b) of Rule XI of the Rules of the House of Representatives. The contents list advice and education, financial disclosure, committee rules, a COVID–19 response, investigations, and four appendices. The overview states that the Committee is tasked with interpreting and enforcing the House's ethics rules.
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1
Union Calendar No. 586
116TH CONGRESS REPORT
" HOUSE OF REPRESENTATIVES !
2d Session 116–703
SUMMARY OF ACTIVITIES
ONE HUNDRED SIXTEENTH CONGRESS
R E P O R T
OF THE
COMMITTEE ON ETHICS
DECEMBER 31, 2020.—Committed to the Committee of the Whole House
on the State of the Union and ordered to be printed
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U.S. GOVERNMENT PUBLISHING OFFICE
42–824 WASHINGTON : 2020
E:\Seals\Congress.#13
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COMMITTEE ON ETHICS
THEODORE E. DEUTCH, Florida KENNY MARCHANT, Texas
Chairman Ranking Member
GRACE MENG, New York GEORGE HOLDING, North Carolina
SUSAN WILD, Pennsylvania JACKIE WALORSKI, Indiana
DEAN PHILLIPS, Minnesota MICHAEL GUEST, Mississippi
ANTHONY BROWN, Maryland
REPORT STAFF
THOMAS A. RUST, Chief Counsel/Staff Director
DONNA HERBERT, Director of Administration
BRITTNEY PESCATORE, Director of Investigations
TONYA SLOANS, Director of Financial Disclosure
TONIA SMITH, Director of Advice and Education
DAVID ARROJO, Counsel to the Chairman
CHRISTOPHER DONESA, Counsel to the Ranking Member
DANIELLE APPLEMAN, Investigator
GEORGE KORN, Financial Disclosure Clerk
MELISSA EPSTEIN, Staff Assistant
CAROLINE TAYLOR, Investigative Clerk
KATHRYN LEFEBER DONAHUE, Senior Counsel
TAMAR NEDZAR, Senior Counsel
JANET FOSTER, Counsel
C. EZEKIEL ROSS, Counsel
MICHELLE SEO, Counsel
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(II)
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LETTER OF SUBMITTAL
HOUSE OF REPRESENTATIVES,
COMMITTEE ON ETHICS,
Washington, DC, December 31, 2020.
Hon. CHERYL L. JOHNSON,
Clerk, House of Representatives,
Washington, DC.
DEAR MS. JOHNSON: Pursuant to clauses 3(a)(2) and 3(b) of Rule
XI of the Rules of the House of Representatives, we herewith trans-
mit the attached Report, ‘‘Summary of Activities 116th Congress.’’
Sincerely,
THEODORE E. DEUTCH,
Chairman.
KENNY MARCHANT,
Ranking Member.
(III)
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CONTENTS
I. INTRODUCTION .......................................................................................... 3
II. ADVICE AND EDUCATION ........................................................................ 3
III. FINANCIAL DISCLOSURE ......................................................................... 11
IV. COMMITTEE RULES ................................................................................... 13
V. COVID–19 RESPONSE ................................................................................. 13
VI. INVESTIGATIONS ........................................................................................ 14
APPENDIX I: RELEVANT HOUSE RULES ........................................................ 29
APPENDIX II: ADVISORY MEMORANDA .......................................................... 41
APPENDIX III: COMMITTEE RULES ................................................................. 195
APPENDIX IV: PUBLIC STATEMENTS .............................................................. 247
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(V)
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Union Calendar No. 586
116TH CONGRESS REPORT
" HOUSE OF REPRESENTATIVES !
2d Session 116–703
SUMMARY OF ACTIVITIES
ONE HUNDRED SIXTEENTH CONGRESS
DECEMBER 31, 2020—Committed to the Committee of the Whole House on the State
of the Union and ordered to be printed
Mr. DEUTCH and Mr. MARCHANT, from the Committee on Ethics,
submitted the following
R E P O R T
OVERVIEW
The Committee on Ethics (Committee) is tasked with inter-
preting and enforcing the House’s ethics rules. The Committee has
sole jurisdiction over the interpretation of the Code of Official Con-
duct, which governs the acts of House Members, officers, and em-
ployees. The Committee is the only standing House committee with
equal numbers of Democratic and Republican Members. The opera-
tive staff of the Committee is required by rule to be professional
and nonpartisan.
In the 116th Congress, the Committee was led by Chairman
Theodore E. Deutch and Ranking Member Kenny Marchant. The
Members appointed at the beginning of the Congress were Grace
Meng, John Ractliffe, Susan Wild, George Holding, Dean Phillips,
Jackie Walorski, Anthony Brown, and Michael Guest. In May 2020,
John Ratcliffe left the Committee and was not replaced.
The Committee’s core responsibilities include providing training,
advice, and education to House Members, officers, and employees;
reviewing and approving requests to accept privately-sponsored
travel related to official duties; reviewing and certifying all finan-
cial disclosure reports Members, candidates for the House, officers,
and senior staff are required to file; and investigating and adjudi-
cating allegations of misconduct and violations of rules, laws, or
other standards of conduct.
The Committee met 19 times in the 116th Congress, including 10
times in 2019 and 9 times in 2020.
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Within the scope of its training, advice and education, travel, and
financial disclosure responsibilities, the Committee:
• Issued more than 730 formal advisory opinions regarding
ethics rules;
• Reviewed and approved more than 3,000 requests to accept
privately-sponsored, officially-connected travel;
• Fielded nearly 37,000 informal telephone calls, emails, and
in-person requests for guidance on ethics issues;
• Released 28 advisory memoranda on various ethics topics
to the House;
• Provided training to over 7,000 House Members, officers,
and employees each year, and reviewed their certifications for
satisfying the House’s mandatory training requirements;
• Received nearly 6,000 Financial Disclosure Statements
and amendments filed by House Members, officers, senior staff,
and House candidates; and
• Received more than 4,000 Periodic Transaction Reports
filed by House Members, officers, and senior staff, containing
thousands of transactions.
In addition, the Committee actively investigates allegations
against House Members, officers, and employees, using a mix of in-
vestigative techniques to determine the validity of factual allega-
tions, explore potential rules violations, and recommend appro-
priate sanctions and corrective actions. The Committee’s options for
investigating a matter include fact-gathering under Committee
Rule 18(a), the impanelment of investigative subcommittees (ISC),
consideration of formal complaints, and the review of transmittals
from the Office of Congressional Ethics (OCE). Committee review
of a matter in any of these formats is an ‘‘investigation’’ under
House and Committee rules. Also, it is not uncommon for a matter
to be investigated by the Committee in more than one of these for-
mats over the course of the Committee’s overall review of that mat-
ter. For example, as discussed further in this report, from time to
time the Committee may begin an investigation under Committee
Rule 18(a) and subsequently determine that it is appropriate to
continue the investigation through an ISC.
The initiation or status of an investigative matter may or may
not be publicly disclosed, depending on the circumstances of the in-
dividual matter. However, the fact that the Committee is inves-
tigating a particular matter, opts to investigate a matter in one for-
mat instead of another, is required or chooses to make a public
statement regarding a pending investigative matter, or that a
House Member, officer, or employee is referenced in an investiga-
tive matter should not be construed as a finding or suggestion that
the Member, officer, or employee has committed any violation of
the rules, law, or standards of conduct.
During the 116th Congress, within the scope of its investigative
responsibilities, the Committee:
• Commenced or continued investigative fact-gathering re-
garding 50 separate investigative matters;
• Impanelled six ISCs, in the matters of Representative
Chris Collins, Representative Matt Gaetz, Representative Dun-
can Hunter, Delegate Michael San Nicolas, Representative
David Schweikert and Representative Steve Watkins;
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• Held 32 ISC meetings;
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• Filed 5 reports with the House totaling over 3,300 pages
regarding various investigative matters;
• Publicly addressed 16 matters, described in Section VI of
this report;
• Resolved 25 additional matters;
• Conducted 110 voluntary witness interviews;
• Authorized the issuance of 11 subpoenas;
• Conducted 4 interviews pursuant to subpoenas; and
• Reviewed over 420,000 pages of documents.
All votes taken in the ISCs were unanimous. There were a total
of 17 investigative matters pending before the Committee as of De-
cember 31, 2020.
All of the Committee’s work as summarized in this report is
made possible by the Committee’s talented professional, non-
partisan staff. The Members of the Committee wish to acknowledge
their hard work and dedication to the Committee and the House.
In addition, the Committee wishes to thank its departing Members,
Ranking Member Kenny Marchant and Representative George
Holding, for their service and for the thoughtfulness and
collegiality they showed during their time on the Committee.
I. INTRODUCTION
House Rule XI, clause 1(d), requires each committee to submit to
the House, not later than January 2 of each odd-numbered year,
a report on the activities of that committee under that rule and
House Rule X. This report summarizes the activities of the Com-
mittee for the entirety of the 116th Congress.
The jurisdiction of the Committee on Ethics is defined in clauses
3(g), 4(d)(1) and 6(c)(5) of House Rule II, clauses 1(g) and 11(g)(4)
of House Rule X, clause 3 of House Rule XI, and clause 5(h) of
House Rule XXV. The text of those provisions is attached as Ap-
pendix I to this Report.
In addition, a number of provisions of statutory law confer au-
thority on the Committee. Specifically, for purposes of the statutes
on gifts to federal employees (5 U.S.C. § 7353) and gifts to superi-
ors (5 U.S.C. § 7351), both the Committee and the House of Rep-
resentatives are the ‘‘supervising ethics office’’ of House Members,
officers, and employees. In addition, as discussed further in Part III
below, for House Members, officers, and employees, the Committee
is both the ‘‘supervising ethics office’’ with regard to financial dis-
closure under the Ethics in Government Act (EIGA) (5 U.S.C. app.
§ § 101 et seq.) and the ‘‘employing agency’’ for certain purposes
under the Foreign Gifts and Decorations Act (5 U.S.C. § 7342). The
outside employment and earned income limitations of the EIGA are
administered by the Committee with respect to House Members, of-
ficers, and employees (5 U.S.C. app. § 503(1)(A)). Finally, the noti-
fication of negotiation and recusal requirements created by the
Honest Leadership and Open Government Act (HLOGA) are ad-
ministered, in part, by the Committee.
II. ADVICE AND EDUCATION
Pursuant to a provision of the Ethics Reform Act of 1989 (2
U.S.C. § 4711(i)), the Committee maintains an Office of Advice and
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Education, which is staffed as directed by the Committee’s Chair-
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man and Ranking Member. Under the statute, the primary respon-
sibilities of the Office include the following:
• Providing information and guidance to House Members, of-
ficers, and employees on the laws, rules, and other standards
of conduct applicable to them in their official capacities;
• Drafting responses to specific advisory opinion requests re-
ceived from House Members, officers, and employees, and sub-
mitting them to the Chairman and Ranking Member for review
and approval;
• Drafting advisory memoranda on the ethics rules for gen-
eral distribution to House Members, officers, and employees,
and submitting them to the Chairman and Ranking Member,
or the full Committee, for review and approval; and
• Developing and conducting educational briefings for House
Members, officers, and employees.
The duties of the Office of Advice and Education are also ad-
dressed in Committee Rule 3, which sets out additional require-
ments and procedures for the issuance of Committee advisory opin-
ions.
Under Committee Rule 3(j), the Committee will keep confidential
any request for advice from a Member, officer, or employee, as well
as any response to such a request. As a further inducement to
House Members, officers, and employees to seek Committee advice
whenever they have any uncertainty on the applicable laws, rules,
or standards, statutory law (2 U.S.C. § 4711(i)(4)) provides that no
information provided to the Committee by a Member or staff per-
son when seeking advice on prospective conduct may be used as a
basis for initiating a Committee investigation if the individual acts
in accordance with the Committee’s written advice. In the same
vein, Committee Rule 3(k) provides that the Committee may take
no adverse action in regard to any conduct that has been under-
taken in reliance on a written opinion of the Committee if the con-
duct conforms to the specific facts addressed in the opinion. Com-
mittee Rule 3(l) also precludes the Committee from using informa-
tion provided to the Committee by a requesting individual ‘‘seeking
advice regarding prospective conduct . . . as the basis for initiating
an investigation,’’ provided that the requesting individual ‘‘acts in
good faith in accordance with the written advice of the Committee.’’
In addition, the Committee understands that federal courts may
consider the good faith reliance of a House Member, officer, or em-
ployee on written Committee advice as a defense to Justice Depart-
ment prosecution regarding certain statutory violations.1
The Committee believes that a broad, active program for advice
and education is an extremely important means for attaining un-
derstanding of, and compliance with, the ethics rules. The specifics
of the Committee’s efforts in the areas of publications, briefings,
and advisory opinion letters during the 116th Congress are set
forth below. In addition, on a daily basis, Committee staff attorneys
provided informal advice in response to inquiries received from
Members, staff persons, and third parties in telephone calls and e-
1 For example, a federal court held that it is a complete defense to a prosecution for conduct
assertedly in violation of a related federal criminal strict-liability statute (18 U.S.C. § 208) that
the conduct was undertaken in good faith reliance upon erroneous legal advice received from
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the official’s supervising ethics office. United States v. Hedges, 912 F.2d 1397, 1403 n.2 (11th
Cir. 1990).
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mails directed to the Committee office, as well as in person. During
the 116th Congress, Committee attorneys responded to more than
36,000 phone calls and e-mail messages seeking advice, and partici-
pated in many informal meetings with Members, House staff, or
outside individuals or groups regarding specific ethics matters.
PUBLICATIONS
The Committee’s major publication is the House Ethics Manual.
The Manual provides detailed explanations of all aspects of the eth-
ics rules and statutes applicable to House Members, officers, and
employees. Topics covered by the Manual include the acceptance of
gifts or travel, campaign activity, casework, outside employment,
and involvement with official and outside organizations. The last
update of the Manual was issued in March 2008. In the 116th Con-
gress, the Committee began the process of updating the Manual by
issuing new travel and gifts sections. As part of this effort, the
Committee also issued the first revised Travel Regulations since
2012 and the first revised Foreign Gifts and Decorations Act
(FGDA) Regulations, in over forty years.
All current Committee publications, including the House Ethics
Manual, are available from the Committee’s office and their text is
posted in a searchable format on the Committee’s Web site: https://
ethics.house.gov. In the 116th Congress, in connection with the up-
date of the Manual, the Committee redesigned its Web site for the
first time since 2012. The new Web site and in particular the inter-
face with the House Ethics Manual, is easier to access, more intu-
itive, and mobile-friendly.
The Committee updates and expands upon the materials in the
Manual, as well as highlights matters of particular concern,
through the issuance of general advisory memoranda to all House
Members, officers, and employees. The memoranda issued during
the 116th Congress were as follows:
• Reminder of Ethics Requirements for Financial Disclosure
Filers (February 8. 2019)
• The 2019 Outside Earned Income Limit and Salaries Trig-
gering the Financial Disclosure Requirement and Post-Employ-
ment Restrictions Applicable to House Officers and Employers
(February 8, 2019);
• The 2019 Outside Earned Income Limit and Salaries Trig-
gering the Financial Disclosure Requirement and Post-Employ-
ment Restrictions Applicable to House Officers and Employees
(February 8, 2019);
• Upcoming Financial Disclosure Clinics & Training (April
10, 2019);
• Non-Commercial Aircraft Travel (April 10, 2019);
• Member, Officer, and Employee Participation in Fund-
raising Activities (May 2, 2019);
• The 2019 Outside Earned Income Limit and Salaries Trig-
gering the Financial Disclosure Requirement and Post-Employ-
ment Restrictions Applicable to House Officers and Employees
(June 13, 2019);
• Important Information Relating to Hurricane Dorian: Joint
House Administration-Ethics Guidance (August 30, 2019);
• Access to Classified Information and Controlled Areas (No-
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vember 14, 2019);
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• Reminder about Annual Ethics Training Requirements for
2019 (November 26, 2019);
• Outside Positions Regulations (December 11, 2019);
• Holiday Guidance on the Gift Rule (December 12, 2019));
• The 2020 Outside Earned Income Limit and Salaries Trig-
gering the Financial Disclosure Requirement and Post-Employ-
ment Restrictions Applicable to House Officers and Employees
(January 10, 2020);
• Intentional Use of Audio-Visual Distortions & Deep Fakes
(January 28, 2020);
• Campaign-related Media Appearances on Congressional
Grounds (March 10, 2020);
• Update about the Coronavirus: Joint House Administra-
tion-Ethics Committee Guidance (March 16, 2020);
• Update About the Coronavirus and Solicitation: Joint
House Administration-Ethics Guidance (April 3, 2020);
• Upcoming Financial Disclosure Filing Deadline & Pan-
demic-Related Relief (April 7, 2020);
• Ethics Guidance—Coronavirus Aid, Relief, and Economic
Security (CARES) Act (April 13, 2020);
• Webinar Ethics Training for New Employees and Paid In-
terns (April 29, 2020);
• Reminder of STOCK Act Requirements, Prohibition
Against Insider Trading & New Certification Requirement
(June 11, 2020);
• Reminder of Financial Disclosure Filing Deadline & As-
sistance Available (July 13, 2020)
• Campaign Activity Webinar Training (July 21, 2020);
• Guidance on House Staff Assisting in the Presidential
Transition (November 24, 2020)
• Reminder About Annual Ethics Training Requirements for
2020 (December 1, 2020)
• Prohibition Concerning Campaign Contributions and Out-
lays (December 11, 2020)
• Negotiations for Future Employment and Restrictions on
Post-Employment for House Members and Officers (December
18, 2020)
• Negotiations for Future Employment and Restrictions on
Post-Employment for House Staff (December 18, 2020)
A copy of each of these advisory memoranda is included as Ap-
pendix II to this Report.
The Committee also submits a report each month of the Commit-
tee’s activities to the Committee on House Administration (CHA).
Finally, with this report, the Committee has sought to provide as
much transparency as is appropriate. In addition to the many num-
bers referred to throughout this report, the Committee publishes
the following summary chart in the interest of transparency.
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ETHICS TRAINING
Clause 3(a)(6) of House Rule XI, which originated in the 110th
Congress, requires all House Members and employees to complete
ethics training each calendar year, pursuant to guidelines to be
issued by the Committee. The House rules and Committee’s guide-
lines require each House employee to complete one hour of ethics
training each calendar year. The guidelines also require all House
employees who are paid at the ‘‘senior staff rate’’ to complete an
additional hour of training once each Congress on issues primarily
of interest to senior staff.2 Rule XI requires new House Members
and employees to complete ethics training within 60 days of the
commencement of their service to the House.3
Pursuant to its obligations under Rule XI, the Committee held
103 ethics training sessions during 2019 and 32 during 2020. Dur-
ing the 116th Congress, all employees other than new employees
were permitted to fulfill their training requirement either through
attending a training session in person or by viewing an on-line
presentation. The training sessions for new employees provided a
general summary of the House ethics rules in all areas, such as
gifts, travel, campaign activity, casework, involvement with outside
entities, and outside employment. The live and on-line sessions for
existing House employees covered specific topics, such as gifts and
travel or campaign work, on a more in-depth basis. The Committee
also had several different options that senior staff could use to ful-
fill their requirement of one additional hour of training. The on-line
training provided a general overview of ethics rules of particular
interest to senior staff. The live training sessions focused in depth
on a single topic, of import for senior staff.
In 2019, the Committee trained more than 2,300 employees in
person at live ethics briefings, and more than 5,100 used one of the
on-line training options. During 2020, the Committee trained near-
ly 800 employees in person at live ethics briefings, and more than
6,343 through one of the on-line training options. The total number
of employees who completed ethics training for 2020 will be deter-
mined after January 31, 2021, the date that House Rule XI estab-
lished as the deadline for employees to certify completion of the
ethics training requirement for 2020.
In addition to the training required under House Rule XI, the
Committee also provided training in several other contexts. The
House will include 57 new Members in the 117th Congress, most
of whom have not previously served in the House. The Committee
made a presentation to the Members-elect of the 117th Congress
during New Member Orientation. The Committee also met with nu-
merous departing Members and staff to counsel them on the ethics
rules related to their transition to private life and the post-employ-
ment restrictions. The Committee also provided training open to all
House Members, officers, and employees on the financial disclosure
rules, which are discussed further in Section III.
2 In 2020, the senior staff rate was $131,239 per year, or a monthly salary above $10,936. This
figure is subject to change each year, and the Committee issues a general advisory memo-
randum to all House Members, officers, and employees announcing changes in this and other
salary thresholds relevant to ethics rules.
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3 The requirement that new Members receive training within 60 days of commencement of
their service to the House was added to House Rule XI in the 114th Congress.
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Committee staff also participated in approximately 5 briefings
sponsored by or held for the members of outside organizations. In
addition, Committee staff led approximately 8 briefings for visiting
international dignitaries from a variety of countries, including Ar-
gentina, India, and Sri Lanka.
ADVISORY OPINION LETTERS
The Committee’s Office of Advice and Education, under the direc-
tion and supervision of the Committee’s Chairman and Ranking
Member, prepared and issued nearly 735 private advisory opinions
during the 116th Congress: 510 in 2019 and 225 in 2020
Opinions issued by the Committee in the 116th Congress ad-
dressed a wide range of subjects, including various provisions of
the gift rule, Member or staff participation in fund-raising activi-
ties of charities and for other purposes, the outside earned income
and employment limitations, campaign activity by staff, and the
post-employment restrictions.
TRAVEL APPROVAL LETTERS
As discussed above, House Rule XXV, clause 5(d)(2), which was
enacted at the start of the 110th Congress, charged each House
Member or employee with obtaining approval of the Committee
prior to undertaking any travel paid for by a private source on
matters connected to the individual’s House duties. Since 2007, the
Committee has conducted a thorough review of each proposed pri-
vately-sponsored trip.
Committee approval of a proposed trip does not reflect an en-
dorsement of the trip sponsor or a determination regarding the
safety or security a proposed trip. Instead, Committee approval is
limited to the question of whether the proposed trip complies with
the relevant laws, rules, or regulations. To that end, the Commit-
tee’s nonpartisan, professional staff recommends changes where
necessary to bring a proposed trip into compliance with relevant
laws, rules, or regulations and, on occasion, informs House Mem-
bers and employees that a proposed trip is not permissible. The
Committee recognizes both the significant benefit the public re-
ceives when their Representatives and their Representatives’ staff
receive hands-on education and experience, as well as the mandate
that outside groups be appropriately limited in what gifts and sup-
port they are allowed to provide to Members of Congress and con-
gressional staff.
The Committee is directed by House Rules to develop and revise
as necessary guidelines and regulations governing the acceptance
of privately-sponsored, officially-connected travel by House Mem-
bers, officers, and employees.4 The Committee issued initial travel
regulations in a pair of memoranda dated February 20 and March
14, 2007. At the end of the 112th Congress, the Committee adopted
new travel regulations (Travel Regulations). The new Travel Regu-
lations were issued on December 27, 2012, and were effective for
all trips beginning on or after April 1, 2013. In the 116th Congress,
the Committee continued its ongoing efforts to review the guide-
lines and regulations regarding privately-funded, officially-con-
nected travel. This review included a thorough examination of the
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4 House Rule XXV, clause 5(i).
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forms used for privately-funded, officially-connected travel ap-
proval.
On December 9, 2020, the Committee voted unanimously to
adopt revised Travel Regulations 5 and FGDA Regulations.6 These
new Travel Regulations will be effective for all trips starting on or
after April 1, 2021, and the new FGDA Regulations are effective
immediately.
In general, the Committee requires that any House Member, offi-
cer, or employee who wishes to accept an offer of privately-spon-
sored, officially-connected travel must submit all required paper-
work to the Committee at least 30 days prior to the start of the
trip.7 However, the 30-day requirement does not apply to certain
types of trips, and the Committee retains authority to approve re-
quests submitted after that deadline in exceptional circumstances.8
When the Committee opts to approve a request filed after the gen-
eral deadline, the approval letter sent to the traveler—which must
ultimately be publicly disclosed—notes that fact.
Under the travel approval process established by the Committee
to implement this rule, the Committee reviewed more than 2,500
requests to accept privately-sponsored, officially-connected travel,
and issued letters approving more than 1,900 such requests in
2019. In 2020, the Committee reviewed nearly 550 requests to ac-
cept privately-sponsored, officially-connected travel, and issued let-
ters approving nearly 260 such requests.
House Rules and the Committee’s Travel Regulations require all
House Members, officers, and employees who receive Committee
approval to accept privately-sponsored, officially-connected travel to
file detailed paperwork about the trip with the Clerk within 15
days of the conclusion of the trip.9 The Committee also reviewed
the post-travel disclosure forms filed by the traveler for each ap-
proved trip and requested amendments or other remedial action by
the traveler when deemed necessary.10
The post-travel filings are made available to the public in a
searchable online database on the Clerk’s Web site, at http://
clerk.house.gov/public_disc/giftTravel-search.aspx. The public, the
media, and outside groups have used this valuable resource for
years, and the Committee anticipates that they will continue to do
so. The Committee requires those Members, officers, and employees
who are required to file financial disclosure statements, as dis-
cussed in Section III, to also provide information about privately-
sponsored, officially-connected travel on their financial disclosure
filings, but the public should be aware that much more detailed
and timely public filings regarding such travel are required, and
the most authoritative source of those filings is the Clerk’s Web
site.
5 House Rule 25, clause 5(i).
6 5 U.S.C. § 7342(g)(1).
7 Travel Regulations at Part 500—Committee Approval Process.
8 Id. at §
501.1.
9 House Rule XXV, clause5(b)(1)(A)(ii); Travel Regulations at Part 600—Post-Travel Disclo-
sure.
10 From time to time, a traveler may inadvertently fail to file all of the required paperwork
with their post-travel submission. That is not an indication that the information was not pro-
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vided to the Committee prior to the trip and before the Committee approved the request, only
that the traveler’s subsequent submission was incomplete.
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11
OUTSIDE POSITIONS WORKING GROUP
The Committee adopted regulations governing outside positions
held by Members and staff during the 116th Congress. House Reso-
lution 6 (H. Res. 6), created a new clause in the Code of Official
Conduct, effective January 1, 2020, prohibiting Members and staff
from serving as an officer or director of any public company traded
on a U.S. exchange. H. Res. 6 also required that, ‘‘[n]ot later than
December 31, 2019, the Committee on Ethics shall develop regula-
tions addressing other types of prohibited service or positions that
could lead to conflicts of interest.’’
To effectuate its mandate, the Committee established a working
group, consisting of Representative Susan Wild and Representative
Van Taylor, to explore potential positions that may lead to conflicts
of interest. The working group reviewed an extensive amount of re-
search, solicited public comment concerning the Committee’s man-
date under H. Res. 6, and convened a public session on July 25,
2019, where four outside groups made presentations. The working
group also solicited input from Members of the House of Represent-
atives. After approximately six months of work, the working group
provided bipartisan proposals to the Committee. In December of
2019, the Committee voted to adopt Outside Position Regulations
(OPR) that went into effect on January 1, 2020. A complete version
of the OPR is available at: https://ethics.house.gov/sites/eth-
ics.house.gov/files/ FINAL%20Adopted%20OPR%20 Regulations%20-
Pink%20Sheet%2012052019_.pdf
III. FINANCIAL DISCLOSURE
Title I of the Ethics in Government Act of 1978 (EIGA), as
amended (5 U.S.C. app. § § 101–111), requires certain officials in
all branches of the federal government, as well as candidates for
federal office, to file publicly-available Financial Disclosure State-
ments (Statements). These Statements disclose information con-
cerning the filer’s finances, as well as those of certain family mem-
bers. By May 15 of each year, these ‘‘covered individuals’’ are re-
quired to file a Statement that provides information for the pre-
ceding calendar year. In addition, the Stop Trading on Congres-
sional Knowledge Act (STOCK Act) amended EIGA in 2012 to add
a requirement that financial disclosure filers must report certain
securities transactions over $1,000 no later than 45 days after the
transaction. The Committee has termed these interim reports
‘‘Periodic Transaction Reports’’ or ‘‘PTRs.’’
Financial disclosure filings are not intended to be net worth
statements, nor are they well suited to that purpose. As the Com-
mission on Administrative Review of the 95th Congress stated in
recommending broader financial disclosure requirements: ‘‘The ob-
jectives of financial disclosure are to inform the public about the
financial interests of government officials in order to increase pub-
lic confidence in the integrity of government and to deter potential
conflicts of interest.’’ 11
All Members of the House, including Members who are serving
the first year of their first term, are required to file a Statement.
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11 House Comm’n on Admin. Review, Financial Ethics, H. Doc. 95–73, 96th Cong., 1st Sess.
6 (1977).
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12
In addition, any officer or employee of the House who was paid at
or above 120 percent of the minimum pay for Executive Branch
GS–15 (the ‘‘senior staff’’ rate) for at least 60 days in a calendar
year must file a Statement on or before May 15 of the following
year. Certain other employees, including those designated by a
Member as a ‘‘principal assistant’’ for financial disclosure purposes
and employees who are shared staff of three or more offices, are
also subject to some financial disclosure filing requirements.
Starting in 2013, financial disclosure filers were able to use an
online electronic filing system to draft and submit their Statements
and PTRs. Thanks to a very industrious collaboration with the
Clerk of the House to create the online system, and extensive out-
reach and education, nearly all Members and staff used the online
electronic filing system to submit their calendar year 2020 State-
ments. Specifically, 93% of Members and House staff used the on-
line system to draft and submit their 2020 Statements.
The Committee engages in substantial training efforts to assist
filers with completing their Statements and PTRs. The Committee
held two briefings for Members, officers, and employees. The Com-
mittee hosted three walk-in clinics to support filers’ use of the elec-
tronic filing system for Statements and PTRs.
For the 116th Congress, the Committee continued its long-stand-
ing practice of Committee staff meeting with Members, officers,
and employees of the House to assist filers with their Statements
and PTRs. Committee staff responded to telephone, e-mail, and in-
person questions from filers on an as-needed basis, in addition to
reviewing drafts of Statements and PTRs. The Committee encour-
ages all financial disclosure filers to avail themselves of opportuni-
ties to seek and receive information and assistance.
For calendar year 2019, the Legislative Resource Center of the
Clerk’s office referred a total of 4,105 Financial Disclosure State-
ments to the Committee for review. Of those, 3,376 were State-
ments filed by current or new House Members or employees, and
729 were Statements filed by candidates for the House. The Clerk’s
office also referred a total of 1,852 PTRs to the Committee for re-
view. The Committee received 689 PTRs from Members and 1,163
PTRs from officers and employees.
For calendar year 2020, the Legislative Resource Center of the
Clerk’s office referred a total of 4,308 Statements to the Committee
for review.12 Of those, 3,340 were Statements filed by current or
new House Members or employees, and 968 were Statements filed
by candidates for the House. The Clerk’s office also referred a total
of 1,872 PTRs to the Committee for review. The Committee re-
ceived 669 PTRs from Members and 1,204 PTRs from officers and
employees.
Where the Committee’s review indicated that a filed Statement
or PTR was deficient, the Committee requested an amendment
from the filer. Such amendments are routine and, without evidence
of a knowing or willful violation, the Committee will usually take
no further action after the amendment has been filed. Amendments
are made publicly available in the same manner as other financial
12 In 2020, due to the unprecedented challenges created by the COVID–19 pandemic, the Com-
mittee exercised its authority under EIGA to automatically grant all House Members and em-
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ployees who were required to file an annual Financial Disclosure Statement the full 90-day ex-
tension permitted by law.
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13
disclosure filings. The Committee also followed up with filers whose
Statements indicated non-compliance with applicable law, such as
the outside employment and outside earned income limitations.
More information about financial disclosure, including the Com-
mittee’s instruction booklet for filers and blank copies of Statement
and PTR forms, is available on the Committee’s Web site, at
https://ethics.house.gov/financial-dislosure. In addition, financial
disclosure filings of Members and candidates and other information
about financial disclosure is available on the Clerk’s Web site, at
http://clerk.house.gov/public_disc/financial.aspx.
IV. COMMITTEE RULES
After the beginning of each Congress, the Committee must adopt
rules for that Congress. On February 27, 2019, the Committee met
and adopted the Committee rules for the 116th Congress. The sub-
stance of the Committee rules for the 116th Congress was largely
identical to the amended rules adopted in the 115th Congress.13
A copy of the Committee Rules for the 116th Congress is in-
cluded as Appendix III to this Report.
V. COVID–19 RESPONSE
In recognition of the unprecedented challenges created by the
COVID–19 pandemic, the Committee took proactive measures to
assist the House community.
The Committee issued several general advisory opinions applying
the ethics rules to the unique issues raised by the pandemic. The
Committee also exercised its authority under EIGA to automati-
cally grant all House Members and employees who were required
to file an annual Financial Disclosure Statement the full 90-day ex-
tension permitted by law. In addition, the Committee joined with
the Committee on House Administration to announce a temporary
exception to longstanding guidance regarding solicitation activity
permitting Members to use official communications to solicit for
blood donations and in-kind resources on behalf of charitable orga-
nizations.
The Committee also reduced the number of live, in-person ethics
training sessions and increased its online training opportunities,
including rolling out new live webinar options. The Committee tem-
porarily waived the requirement that New Employee training be
conducted in a live session. The Committee closed some of its phys-
ical offices and limited the number of staffers who were in the of-
fice at any given time. The Committee also took the necessary
steps to be able to conduct remote Committee business meetings,
including holding a dress rehearsal for a remote Committee hear-
ing and two remote Committee hearings. The Committee Chairman
then submitted a letter for printing in the Congressional Record
from a majority of the Members of the Committee notifying the
Speaker that the requirements for conducting a remote business
meeting had been met and that the Committee was prepared to
conduct a remote meeting and permit remote participation.
13 In the 112th Congress, as a result of the efforts of a working group formed to assess the
Committee’s rules and procedures, numerous changes were made to the Committee’s investiga-
tive rules, including changes to Committee Rules 4, 9, 17A, 18, 19 and 23. Those changes were
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adopted by the Committee on May 18, 2012. House Comm. on Ethics, Summary of Activities
One Hundred Twelfth Congress, H. Rept. 112–730, 112th Cong. 2nd Sess. 21 (2012).
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14
VI. INVESTIGATIONS
Article I, Section 5 of the Constitution grants each chamber of
Congress the power to ‘‘punish its Members for disorderly Behav-
iour, and, with the Concurrence of two thirds, expel a Member.’’
The Committee is designated by House rule as the body which con-
ducts the investigative and adjudicatory functions which usually
precede a vote by the full House regarding such punishment or ex-
pulsion. House Rule XI, clause 3, as well as Committee Rules 13
through 28, describe specific guidelines and procedures for the ex-
ercise of that authority.
As a general matter, the Committee’s investigative jurisdiction
extends to current House Members, officers and employees.14 When
a Member, officer, or employee, who is the subject of a Committee
investigation, resigns, the Committee loses jurisdiction over the in-
dividual. In the 116th Congress, four individuals resigned from the
House while the Committee had an open investigation regarding
them.
The Committee may not undertake an investigation of an alleged
violation that occurred before the third previous Congress unless
the Committee determines that the alleged violation is directly re-
lated to an alleged violation that occurred in a more recent Con-
gress.15
In most cases, the Committee only investigates matters that al-
legedly occurred while the individual was a House Member, officer,
or employee. However, the Committee has asserted jurisdiction
over alleged conduct that may have violated laws, regulations, or
standards of conduct, which occurred during an initial campaign
for the House of Representatives. Further, the Committee is re-
quired to investigate whenever a Member, officer or employee of
the House is convicted of a felony, regardless of whether the under-
lying conduct occurred while the individual was a Member, officer,
or employee of the House.
As a general matter, the Committee’s investigations are con-
ducted either pursuant to authorization by the Chairman and
Ranking Member, under Committee Rule 18(a), or pursuant to a
vote by the Committee to impanel an ISC. Most investigations are
conducted pursuant to Committee Rule 18(a). Even those investiga-
tions that ultimately result in the formation of an ISC usually
begin as Committee Rule 18(a) investigations. Committee Rule
18(a) and ISC investigations differ only in process, not substance.
In both kinds of investigations, Committee staff is authorized by
Members of the Committee to interview witnesses, request docu-
ments and information, and engage in other investigative actions.
Further, both the Committee and ISC may authorize subpoenas for
documents and witness testimony.16 Members of the Committee
can, and do, attend and participate in voluntary interviews with
witnesses in both 18(a) and ISC investigations.
The Committee may opt to investigate a matter under Com-
mittee Rule 18(a) rather than an ISC for a number of reasons. For
14 House Rule XI, clause 3(a)(2).
15 House Rule XI, clause 3(b)(3).
16 The mechanism for issuing a subpoena by the Committee or an ISC does differ. Where an
ISC has been impanelled, it can authorize a subpoena, to be signed by the Committee’s Chair-
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man and Ranking Member. If the investigation is at the Committee Rule 18(a) stage, the full
Committee can vote to issue a subpoena to be signed by the Chairman.
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15
example, investigating pursuant to Committee Rule 18(a) preserves
the Committee’s ability both to deploy its limited resources in the
most efficient manner possible, and to maintain the confidentiality
of its investigations. In general, the Committee publicly announces
when it has voted to impanel an ISC. In contrast, most investiga-
tions conducted pursuant to Committee Rule 18(a) are confidential.
Maintaining the confidentiality of investigations minimizes the risk
of interference and protects the identities of complainants. Indeed,
in past investigations, employees of a Member have brought allega-
tions of misconduct to the Committee when they have remained in
the employ of the Member and faced intimidation or reprisal.17
Maintaining a confidential investigation also avoids unnecessarily
tarnishing a Member’s reputation before a determination of wrong-
doing has been made.
The fact that an investigation is conducted in a confidential man-
ner does not preclude the Committee from making a public state-
ment at the end of the investigation. For example, in recent Con-
gresses, the Committee has issued public reports to the House and/
or letters of reproval in a number of investigative matters that
were initiated by the Committee and that had not previously been
publicly disclosed by the Committee.18
Whether the Committee investigates a matter under Committee
Rule 18(a) or through an ISC, by rule, the Committee may choose
to exercise its investigative authority in several different sce-
narios.19 However, most Committee investigations begin when the
Committee, on its own initiative, undertakes an investigation. In
the 116th Congress, the Committee commenced or continued inves-
tigative fact-gathering regarding 50 separate investigative matters,
most of which were begun at the Committee’s initiative. Those mat-
ters also included referrals from the OCE. In the 116th Congress,
the OCE referred 13 matters to the Committee, 7 with a rec-
ommendation for further review and 6 with a recommendation that
all of the allegations be dismissed.
In the 116th Congress, the House issued a reprimand and a fine
at the recommendation of the Committee and an investigative sub-
committee in one matter. The Committee also issued a reproval in
one matter. Including those two matters, since 2008, the Com-
mittee has recommended that the House issue a censure in one
matter, recommended in two matters that the House issue a rep-
rimand, and issued 15 reprovals. Nine of those resolutions followed
investigations initiated by the Committee under its own authority,
17 See, e.g., House Comm. on Ethics, In the Matter of Allegations Relating to Representative
Laura Richardson, H. Rept. 112–642, 112th Cong. 2d Sess. (2012).
18 See, e.g., House Comm. on Ethics, In the Matter of Allegations Relating to Elizabeth Esty,
H. Rept 115–1093, 115th Cong. 2d Sess. (2018); House Comm. on Ethics, In the Matter of Allega-
tions Relating to Representative David McKinley, H. Rept. 114–795, 114th Cong. 2d Sess. (2016);
House Comm. on Ethics, In the Matter of Allegations Relating to Representative Phil Gingrey,
H. Rept. 113–664, 113th Cong. 2d Sess. (2014).
19 Specifically, the Committee may exercise its investigative authority when: (1) information
offered as a complaint by a Member of the House of Representatives is transmitted directly to
the Committee; (2) information offered as a complaint by an individual not a Member of the
House is transmitted to the Committee, provided that a Member of the House certifies in writ-
ing that such Member believes the information is submitted in good faith and warrants the re-
view and consideration of the Committee; (3) the Committee, on its own initiative, undertakes
an investigation; (4) a Member, officer, or employee is convicted in a Federal, State, or local
court of a felony; (5) the House of Representatives, by resolution, authorizes or directs the Com-
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mittee to undertake an inquiry or investigation; or (6) a referral from the OCE is transmitted
to the Committee. See Committee Rule 14(a).
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16
while nine of those resolutions followed recommendations by the
OCE that the Committee review the allegations.
The OCE is an independent office within the House created by
a House resolution in the 110th Congress after the release of a re-
port of the Democratic Members of the Special Ethics Task Force
on Ethics Enforcement (Task Force Report).20 According to the
Task Force Report, the OCE Board has the responsibility to review
information on allegations of misconduct by Members, officers, and
employees of the House and make recommendations to the Com-
mittee for the Committee’s official consideration and action.
Two OCE Board members may initiate a review by notifying all
other OCE Board members in writing. The OCE Board then has 30
calendar days to consider the matter in a preliminary review phase
and may vote to either terminate the review or progress to the sec-
ond-phase review. Once in the second phase, the OCE Board has
45 calendar days (with a possible one-time extension of 14 days) to
complete consideration of the matter and refer it to the Committee
with a recommendation for dismissal, further review, or as unre-
solved due to a tie vote. The OCE Board’s referral may not contain
any conclusions regarding the validity of the allegations upon
which it is based or the guilt or innocence of the individual who
is the subject of the review. The Task Force believed that ‘‘the
timeline requirements instituted by the new process are critical:
matters will spend at most three months under consideration by
the Board of the OCE before being referred to the Committee for
resolution.’’ 21 The Task Force considered whether to give the OCE
either direct or indirect subpoena power. But the Task Force Re-
port ultimately decided not to give the OCE subpoena power based
on a number of factors. Instead, the Task Force Report stated that
the Board’s referral may include recommendations for the issuance
of subpoenas by the Committee where Members feel it appropriate.
When the Committee receives a referral from the OCE, it is re-
quired to review the referral ‘‘without prejudice or presumptions as
to the merit of the allegations.’’ 22 The Committee thus makes an
independent determination about how to proceed in the matter
based on the information before the Committee, which may include
not only the OCE referral and supporting documents provided to
the Committee by the OCE, but other information. It is not uncom-
mon that the Committee’s review will require more than 90 days,
because of the need to review documents, interview witnesses, and/
or assess the legal significance of evidence, among other investiga-
tive steps. Some investigations may require the review of tens of
thousands, if not hundreds of thousands, of pages of documents.
For example, in the 116th Congress one investigation that spanned
multiple Congresses required the Committee to review more than
200,000 pages of documents to resolve the matter.23
In some instances, the Committee may be asked to defer its in-
vestigation by another law enforcement entity, generally the U.S.
Department of Justice (DOJ). The Committee typically honors such
20 Special Task Force on Ethics Enforcement, Report of the Democratic Members of the Special
Task Force on Ethics Enforcement, (H. Rept. 110–1, 110th Cong. 1st Sess. (Comm. Print 2007).
21 Id. at 14. The 13 OCE referrals received by the Committee in the 116th Congress were
transmitted an average of 135 days after the start of the preliminary review phase.
22 Committee Rule 17A(a).
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23 House Comm. on Ethics, In the Matter of Allegations Relating to Representative David
Schweikert, H. Rept. 116–46, 116th Cong. 2d Sess. (2020).
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17
requests, barring unusual circumstances. For one thing, parallel in-
vestigations pose the risk of compromising one another. Also, for
the most serious criminal violations, only DOJ can pursue a pros-
ecution to seek imprisonment, the most serious possible con-
sequence for a violation of law.24 Provided that the Committee still
retains jurisdiction, a decision by the Committee to defer does not
preclude the Committee from continuing its investigation later, re-
gardless of the outcome of the other entity’s investigation. In addi-
tion, a decision by the Committee to defer an investigation does not
itself indicate that any violation has occurred or reflect any judg-
ment on behalf of the Committee. In the 116th Congress, the Com-
mittee did opt to defer several investigations at the request of DOJ,
as described further below.
The Committee publicly addressed 16 investigative matters dur-
ing the 116th Congress. In addition to confidential matters, the
Committee also carried over several public matters from the 115th
Congress. In the 116th Congress, the Committee continued to ad-
dress the matters concerning Representatives Chris Collins, Dun-
can Hunter, Cathy McMorris Rodgers, David Schweikert, and Mi-
chael Collins. A chronological overview of public statements made
by the Committee in the 116th Congress regarding investigative
matters follows.
On April 17, 2019, the Committee announced it was continuing
to review allegations regarding Representative David Schweikert
that were referred by the OCE on April 16, 2018 and were within
the jurisdiction of an ISC, and, pursuant to Committee Rule
17A(f)(2), because the matter had not been resolved within one
year of the referral from OCE, the Committee was required to
make public OCE’s Report in the matter.
On May 3, 2019, the Committee announced it had unanimously
voted to re-authorize an ISC for the 116th Congress to review alle-
gations involving Representative Chris Collins. The Committee, fol-
lowing precedent, unanimously recommended to the ISC that it
defer action on those allegations in response to a request from
DOJ.
On May 3, 2019, the Committee announced it had unanimously
voted to re-authorize an ISC for the 116th Congress to review alle-
gations involving Representative Duncan Hunter. The Committee,
following precedent, unanimously recommended to the ISC that it
defer action on those allegations in response to a request from
DOJ.
On May 3, 2019, the Committee announced it had unanimously
voted to re-authorize an ISC for the 116th Congress to review alle-
gations involving Representative David Schweikert.
On June 28, 2019, the Committee announced that an ISC had
been established and forwarded a Member complaint regarding al-
legations that Representative Matt Gaetz sought to threaten, in-
timidate, harass, or otherwise improperly influence the President’s
former attorney, Michael Cohen, in connection with Mr. Cohen’s
testimony before a congressional committee.
On September 5, 2019, the Committee announced it was con-
tinuing to review allegations regarding Representative David
24 DOJ will not lose jurisdiction to continue an investigation and pursue prosecution, if it de-
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termines that is appropriate, in the event that a Member or employee leaves the House, whether
through resignation or defeat for reelection.
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18
Schweikert that were referred by the OCE on September 5, 2018
and were within the jurisdiction of an ISC, and, pursuant to Com-
mittee Rule 17A(f)(2), because the matter had not been resolved
within one year of the referral from OCE, the Committee was re-
quired to make public OCE’s Report in the matter.
On October 1, 2019, the Committee released a statement noting
that Representative Chris Collins had resigned from Congress and,
as a consequence, the ISC and the Committee no longer had juris-
diction over him.
On October 23, 2019, the Committee announced that, pursuant
to Committee Rule 18(a), it would review allegations that Rep-
resentative Katie Hill may have engaged in a sexual relationship
with an individual on her congressional staff.
On October 24, 2019, the Committee announced that, pursuant
to Committee Rule 18(a), it would review allegations that Delegate
Michael F.Q. San Nicolas may have engaged in a sexual relation-
ship with an individual on his congressional staff, converted cam-
paign funds to personal use, and/or accepted improper or excessive
campaign contributions.
On November 14, 2019, the Committee announced that, pursuant
to Committee Rule 18(a), it would review allegations that Rep-
resentative Alcee Hastings may have engaged in a relationship
with an individual in his congressional office and whether Rep-
resentative Hastings had received any improper gifts, including
any forbearance, from that employee.
On November 14, 2019, the Committee announced that, pursuant
to Committee Rule 18(a), it would continue to review allegations re-
ferred by the OCE regarding Representative Bill Huizenga.
On November 14, 2019, the Committee announced that, pursuant
to Committee Rule 18(a), it would continue to review allegations re-
ferred by the OCE regarding Representative Ross Spano and that,
following precedent, the Committee unanimously voted to defer ac-
tion on those allegations in response to a request from DOJ.
On November 14, 2019, the Committee announced that, pursuant
to Committee Rule 18(a), it would continue to review allegations re-
ferred by the OCE regarding Representative Rashida Tlaib.
On December 5, 2019, the Committee announced that the Chair-
man and Ranking Member had issued a letter to Representative
Duncan Hunter.
On December 9, 2019, the Committee announced that the DOJ
had withdrawn its request that the Committee defer consideration
in the matter of Representative Duncan Hunter and made public
the OCE’s findings in the matter.
On December 17, 2019, the Committee announced that, pursuant
to Committee Rule 18(a), it would continue to review allegations re-
ferred by the OCE regarding Representative Lori Trahan.
On December 19, 2019, the Committee transmitted a Report to
the House regarding allegations relating to Representative Cathy
McMorris Rodgers.
On January 14, 2020, Committee released a statement noting
that Representative Duncan Hunter had resigned from Congress
and, as a consequence, the ISC and the Committee no longer had
jurisdiction over him.
On March 11, 2020, the Committee unanimously voted to estab-
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lish an ISC with regard to allegations that Delegate Michael F.Q.
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19
San Nicolas may have: engaged in a sexual relationship with an in-
dividual on his congressional staff; converted campaign funds to
personal use; accepted improper and/or excessive campaign con-
tributions; reported campaign disbursements that may not be le-
gitimate and verifiable campaign expenditures attributed to bona
fide campaign or political purposes; omitted required information
from or disclosed false information in reports filed with the Federal
Election Commission; made false statements to government inves-
tigators or agencies; and/or improperly interfered or attempted to
interfere in a government investigation of related allegations in
violation of House Rules, law, regulations, or other standards of
conduct.
On June 12, 2020, the Committee announced that, following its
review, it determined to take no further action in the matter of
Representative Alcee Hastings.
On July 16, 2020, the Committee transmitted a Report to the
House regarding allegations relating to Representative Lori
Trahan.
On July 30, 2020, the Committee transmitted a Report to the
House regarding allegations relating to Representative David
Schweikert and announced it would bring a privileged resolution
for consideration and vote by the full House.
On July 31, 2020, the Committee announced that, pursuant to
Committee Rule 18(a), it would continue to review allegations re-
ferred by the OCE regarding Representative Sanford Bishop.
On August 7, 2020, the Committee transmitted a Report to the
House regarding allegations relating to Representative Rashida
Tlaib.
On August 13, 2020, the Committee announced it had unani-
mously voted to establish an ISC with regard to allegations that
Representative Steve Watkins falsely reported information to a law
enforcement officer; voted in an election district without being law-
fully registered to vote; knowingly marked or transmitted more
than one advance voting ballot; and/or failed to notify the proper
agency of a change of name or address.
On August 21, 2020, the Committee transmitted a Report to the
House regarding allegations relating to Representative Matt Gaetz.
On November 16, 2020, the Committee announced that it contin-
ued to defer consideration of the matter regarding Representative
Ross Spano in response to a request from DOJ.
On December 17, 2020, the Committee announced that, pursuant
to Committee Rule 18(a), it would continue to review allegations re-
ferred by the OCE regarding Representative Steven Palazzo.
These investigative matters are described in more detail below,
in alphabetical order. Copies of all of the Committee’s public state-
ments related to these matters are included as Appendix IV to this
Report. Those statements, along with any attachments referenced
in the statements, are available on the Committee’s Web site. All
of the Committee’s Reports as filed with the House are also avail-
able on the Committee’s Web site.
In the Matter of Allegations Relating to Representative Sanford
Bishop, Jr.
On February 10, 2020, the OCE forwarded to the Committee a
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Report and Findings in which it recommended further review of al-
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20
legations that Representative Sanford Bishop, Jr.’s campaign com-
mittee reported disbursements that were not attributable to bona
fide campaign or political purposes, and that Representative Bishop
authorized expenditures from his Members’ Representational Al-
lowance (MRA) that were not for permissible official expenses, in
violation of federal law, House rules and other standards of con-
duct.
On July 31, 2020, the Committee released the OCE Report and
Findings, along with Representative Bishop’s response, and noted
in a public statement that the Committee was continuing to review
the allegations pursuant to Committee Rule 18(a).
As of the conclusion of the 116th Congress, the Committee had
not completed its investigation into this matter. Representative
Bishop was reelected to the House for the 117th Congress.
In the Matter of Allegations Relating to Representative Chris Col-
lins
On July 14, 2017, the OCE forwarded to the Committee a Report
and Findings in which it recommended further review of allega-
tions that Representative Chris Collins may have violated federal
law, House rules and other standards of conduct by sharing mate-
rial nonpublic information in the purchase of stock of a company
for which he served on the board, and by taking official actions or
requesting official actions that would assist a single entity in which
he had a significant financial interest. The OCE also reviewed alle-
gations that Representative Collins purchased discounted stock
that was not available to the public and that was offered to him
based on his status as a Member of the House, in violation of
House rules, standards of conduct and federal law, but the OCE
recommended the Committee dismiss that allegation. The Com-
mittee released the OCE Report and Findings, along with Rep-
resentative Collins’ response, on October 12, 2017, and noted in a
public statement that the Committee was continuing to review the
allegations pursuant to Committee Rule 18(a).
On August 8, 2018, the U.S. Attorney for the Southern District
of New York filed an indictment against Representative Collins in
federal district court, charging him with conspiracy, securities
fraud, wire fraud, and making false statements. On September 6,
2018, the Committee unanimously voted to establish an ISC to de-
termine whether Representative Collins violated the Code of Offi-
cial Conduct or any law, rule, regulation or other applicable stand-
ard of conduct in the performance of his duties or the discharge of
his responsibilities, with respect to allegations that he: engaged in
unlawful conspiracy, securities fraud, and wire fraud; purchased
discount stock that was not available to the public; took official ac-
tions on behalf of a company in which he had a significant financial
interest; and made false statements to, withheld information from,
or otherwise misled federal investigators. The Committee, following
precedent, unanimously recommended to the ISC that it defer ac-
tion on its investigation in response to a request from DOJ.
On May 3, 2019, the Committee announced it had unanimously
voted to reestablish the ISC in the 116th Congress. The DOJ had
requested that the Committee continue to defer consideration of
the matters in DOJ’s jurisdiction. The Committee, again following
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precedent, unanimously recommended to the ISC that it defer ac-
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21
tion as to those matters. On September 30, 2019, Representative
Collins announced his resignation from the House, effective Octo-
ber 1, 2019, at which time the ISC and the Committee lost jurisdic-
tion to continue its investigation.
In the Matter of Allegations Relating to Michael Collins
On May 11, 2017, the OCE forwarded to the Committee a Report
and Findings regarding Michael Collins, former Chief of Staff to
Representative John Lewis and former paid campaign consultant
for the John Lewis for Congress campaign committee, in which it
recommended further review of allegations that between 2015 and
2017, Mr. Collins may have violated House rules and other stand-
ards of conduct by receiving compensation for work involving fidu-
ciary duties and/or serving for compensation as an officer of the
campaign committee. OCE also recommended review of allegations
that in 2015, Mr. Collins received income from the campaign com-
mittee that exceeded the outside earned income limit applicable to
senior staff for that calendar year. The Committee released the
OCE Report and Findings, along with Mr. Collins’ response, on Au-
gust 9, 2017, and noted in a public statement that the Committee
was continuing to review the allegations pursuant to Committee
Rule 18(a).
On September 1, 2020, Mr. Collins resigned from the office of the
5th Congressional District of Georgia, at which point the Com-
mittee lost jurisdiction to continue its investigation.
In the Matter of Allegations Relating to Representative Matt Gaetz
On March 13, 2019, the Committee received a Member complaint
alleging that a social media post made by Representative Matt
Gaetz regarding an individual, the day before that individual was
scheduled to testify before a congressional committee, was an at-
tempt to threaten, intimidate, harass, or otherwise improperly in-
fluence Mr. Cohen’s testimony in violation of the federal laws pro-
hibiting witness tampering and obstruction of Congress. Because
Representative Gaetz initially declined to testify before the Com-
mittee, the Committee was unable to dispose of the complaint in
a timely fashion and therefore was required to establish an ISC.
On June 25, 2019, an ISC was formed, pursuant to House Rule XI,
clause 3(b)(2), and Committee Rule 16(d).
The ISC reviewed Representative Gaetz’s social media post, and
his related conduct, and did not find that he had the requisite in-
tent to violate the federal criminal statutes prohibiting witness
tampering and/or obstruction of Congress. The ISC did find, how-
ever, that Representative Gaetz’s conduct violated House Rule
XXIII, clause 1, which requires Members to act at all times in a
manner that reflects creditably in the House. On February 3, 2020,
the ISC transmitted its findings to the full Committee and rec-
ommended that the full Committee admonish Representative Gaetz
for his conduct.
On July 29, 2020, the Committee unanimously voted to adopt the
ISC’s Report and to admonish Representative Gaetz for his con-
duct. As a general matter, the Committee avoids making public
statements regarding investigative matters within 60 days of an
election in which the subject of the investigation is a candidate.
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Representative Gaetz was on the Florida primary election ballot on
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August 18, 2020. Therefore, the Committee postponed until August
21, 2020, release of a Report describing the facts and its findings
in the matter to the House, as well as its determination to take no
further action in the matter.
In the Matter of Allegations Relating to Representative Alcee Has-
tings
On November 14, 2019, the Committee announced that it was in-
vestigating, pursuant to Committee Rule 18(a), allegations that
Representative Alcee Hastings may have violated House Rules,
laws or other standards of conduct by being in a personal relation-
ship with an individual employed in his congressional office and by
receiving improper gifts, including any forbearance, from that em-
ployee.
During its investigation, the Committee became aware that Rep-
resentative Hastings had been married to the individual employed
in his congressional office since January 2019. Based on this infor-
mation, the Committee found that Representative Hastings was
not in violation of the applicable House Rules. The Committee also
considered whether Representative Hastings had complied with the
laws and rules relating to nepotism. Following its review, the Com-
mittee determined to take no further action based on the particular
facts of the matter, including that Representative Hastings’
spouse’s employment, which began prior to the 113th Congress,
was not prohibited under the relevant House Rules. On June 12,
2020, the Committee announced that it had closed its investigation.
In the Matter of Allegations Relating to Representative Katie Hill
On October 23, 2019, the Committee announced that it was in-
vestigating, pursuant to Committee Rule 18(a), allegations that the
Representative Katie Hill may have engaged in a sexual relation-
ship with an individual on her congressional staff.
On October 27, 2019, Representative Hill announced her resigna-
tion from the House, effective November 3, 2019, at which time the
Committee lost jurisdiction to continue its investigation.
In the Matter of Allegations Relating to Representative Bill
Huizenga
On August 16, 2019, the OCE forwarded to the Committee a Re-
port and Findings in which it recommended further review of alle-
gations that Representative Bill Huizenga’s campaign committee
reported campaign disbursements that may not be legitimate and
verifiable campaign expenditures attributable to bona fide cam-
paign or political purposes and accepted contributions from individ-
uals employed in his congressional office, in violation of federal
law, House rules and other standards of conduct. The OCE also re-
viewed an allegation that Representative Huizenga authorized ex-
penditures from his Members’ Representational Allowance (MRA)
that were not for permissible official expenses, but the OCE rec-
ommended the Committee dismiss that allegation. The Committee
released the OCE Report and Findings on November 14, 2019 and
noted in a public statement that the Committee was continuing to
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review the allegations pursuant to Committee Rule 18(a).
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23
At the conclusion of the 116th Congress, the Committee had not
completed its investigation into this matter. Representative
Huizenga was reelected to the House for the 117th Congress.
In the Matter of Allegations Relating to Representative Duncan
Hunter
On August 31, 2016, the OCE forwarded to the Committee a Re-
port and Findings in which it recommended further review of alle-
gations that Representative Duncan Hunter may have violated fed-
eral law, House rules, and other standards of conduct by converting
campaign funds to personal use. On March 23, 2017, the Com-
mittee announced that, following precedent, the Committee had
voted unanimously to defer its review at the request of DOJ. The
Committee made OCE’s Report, but not its Findings, public at that
time. On March 23, 2018, the Committee announced that it was
continuing to defer its consideration of the matter at the request
of DOJ.
On August 21, 2018, the U.S. Attorney for the Southern District
of California filed an indictment against Representative Hunter in
federal district court charging him with conspiracy, wire fraud, fal-
sifying campaign finance records, prohibited use of campaign con-
tributions, and false statements. On September 6, 2018, the Com-
mittee unanimously voted to establish an ISC with jurisdiction to
investigate allegations that Representative Hunter engaged in un-
lawful conspiracy, fraud, falsification of campaign finance records,
and prohibited use of campaign contributions. The Committee, fol-
lowing precedent, unanimously recommended to the ISC that it
defer consideration of the matter in response to the request from
DOJ.
On May 3, 2019, the Committee announced it had unanimously
voted to reestablish the ISC in the 116th Congress. The Com-
mittee, again following precedent, unanimously recommended to
the ISC that it defer action as to those matters.
Representative Hunter pled guilty to one count of conspiring to
convert campaign funds to personal use on December 3, 2019. On
December 5, 2019, the Committee released a letter it had issued
Representative Hunter in which the Committee advised him that,
pursuant to House Rule XXIII, clause10(a), he should refrain from
voting in the House due to his guilty plea. DOJ also withdrew its
request for deferral following Representative Hunter’s guilty plea
and on December 9, 2019, the Committee released OCE’s Findings.
On January 7, 2020, Representative Hunter announced his res-
ignation from the House, effective January 13, 2020, at which time,
the ISC and the Committee lost jurisdiction to continue its inves-
tigation.
In the Matter of Allegations Relating to Representative Steven
Palazzo
On September 2, 2020, the OCE forwarded to the Committee a
Report and Findings in which it recommended further review of al-
legations involving Representative Steven Palazzo. Committee Rule
17A(j) provides that the Committee may postpone any reporting re-
quirement related to an OCE referral that falls within 60 days of
an election in which the subject of the referral is a candidate. Rep-
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resentative Palazzo was on the general election ballot on November
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24
3, 2020. Therefore, the announcement that the Chairman and
Ranking Member jointly decided to extend the matter of Represent-
ative Palazzo for a 45-day period, pursuant to Committee Rules
17A(b)(1)(A) and 17A(c)(1), was postponed until December 17, 2020.
As of the conclusion of the 116th Congress, the Committee had
not completed its review of the OCE’s referral. Representative
Palazzo was reelected to the House for the 117th Congress.
In the Matter of Allegations Relating to Representative Cathy
McMorris Rodgers
On December 23, 2013, the OCE forwarded to the Committee a
Report and Findings in which it recommended further review of al-
legations that Representative Cathy McMorris Rodgers may have
violated federal law, House rules and standards of conduct by using
House resources for campaign activity and combining campaign
and House resources for her campaign for a House leadership posi-
tion. The Committee released the OCE Report and Findings, along
with Representative Rodgers’ response, on March 24, 2014, and
noted in a public statement that the Committee was continuing to
review the allegations pursuant to Committee Rule 18(a).
The Committee conducted a thorough and expansive investiga-
tion of alleged misconduct from 2008 through 2017.
On December 19, 2019, the Committee voted unanimously to
submit a Report to the House which served as a reproval of Rep-
resentative Rodgers for her conduct. In its Report, the Committee
found that Representative Rogers provided inappropriate com-
pensation for consultant services from 2012 to 2017. Representative
Rodgers defrayed the cost of official services she received from con-
sultants with either political funds or the consultant’s voluntary
provision of services, in violation House Rule XXIV. She also used
official funds appropriated for her House leadership office for con-
sultant services in a manner that would have been contrary to rel-
evant laws and rules restricting MRA expenditures. The Com-
mittee found that the restrictions in place to safeguard congres-
sional funds from misuse are lacking with respect to leadership of-
fices. To address those concerns, the Committee voted to refer cer-
tain allegations to the House Inspector General for further review.
In addition, the Committee found that the congressional offices
of Representative Rodgers were governed by inconsistent policies
and poor record keeping, which led to the misuse of official re-
sources for campaign or other political purposes. The Committee
found that while Representative Rodgers’ staff was not compelled
to assist with her campaign, her staff used official resources, in-
cluding official staff time, congressional office space, and travel
funds, for political activities in violation of federal law and House
Rules. The Committee also found that Representative Rodgers im-
properly combined official and campaign resources during her 2012
leadership race.
The Committee found that Representative Rodgers was ulti-
mately responsible for implementing adequate policies to prevent
her staff from acting contrary to House Rules and laws and that
she failed to do so, in violation of clauses 1 and 2 of House Rule
XXIII. The Committee directed Representative Rodgers to reim-
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burse the U.S. Treasury $7,575.95 for the misuse of official re-
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25
sources. In December 2019, Representative Rodgers provided the
U.S. Treasury with a check for the reimbursement amount.
In the Matter of Allegations Relating to Delegate Michael F.Q. San
Nicolas
On October 24, 2019, the Committee announced that it was in-
vestigating, pursuant to Committee Rule 18(a), allegations that
Delegate Michael F.Q. San Nicolas may have engaged in a sexual
relationship with an individual on his congressional staff, con-
verted campaign funds to personal use, and/or accepted improper
or excessive campaign contributions.
On June 12, 2020, the Committee announced that it had unani-
mously voted on March 11, 2020, to establish an ISC with jurisdic-
tion to investigate whether Delegate San Nicolas may have: en-
gaged in a sexual relationship with an individual on his congres-
sional staff; converted campaign funds to personal use; accepted
improper and/or excessive campaign contributions; reported cam-
paign disbursements that may not be legitimate and verifiable
campaign expenditures attributable to bona fide campaign or polit-
ical purposes; omitted required information from or disclosed false
information in reports filed with the Federal Election Commission;
made false statements to government investigators or agencies;
and/or improperly interfered or attempted to interfere in a govern-
ment investigation of related allegations. The Committee deter-
mined to take that action following the receipt of a referral from
the OCE regarding this matter.
At the conclusion of the 116th Congress, the ISC had not com-
pleted its investigation into this matter. Delegate San Nicolas was
reelected to the House for the 117th Congress.
In the Matter of Allegations Relating to Representative David
Schweikert
On April 16, 2018, the OCE forwarded to the Committee a Re-
port and Findings in which it recommended further review of alle-
gations that Representative David Schweikert and his then-Chief
of Staff, Richard Oliver Schwab, may have authorized the misuse
of or misused Representative Schweikert’s MRA, Representative
Schweikert may have failed to ensure that his campaign commit-
tees complied with applicable rules regarding contributions from
congressional employees, Mr. Schwab may have improperly made
personal outlays on behalf of Representative Schweikert’s principal
campaign committees, and Mr. Schwab may have received income
beyond the outside earned income limit for senior staff.
On June 14, 2018, the Committee unanimously voted to establish
an ISC to determine whether Representative Schweikert or Mr.
Schwab violated the Code of Official Conduct or any law, rule, reg-
ulation or other applicable standard of conduct in the performance
of their duties or the discharge of their responsibilities, with re-
spect to allegations forming the basis for the OCE’s referral. On
July 9, 2018, Mr. Schwab left House employment after resigning
from his position as Representative Schweikert’s Chief of Staff. On
the date of Mr. Schwab’s resignation, the ISC’s and the Commit-
tee’s jurisdiction over Mr. Schwab ended.
On December 20, 2018, the Committee unanimously voted to ex-
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pand the ISC’s jurisdiction to include allegations that (1) Rep-
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26
resentative Schweikert may have used official resources to benefit
his campaign or pressured congressional staff to perform political
activity; (2) Representative Schweikert may have authorized com-
pensation to an employee who did not perform duties commensu-
rate with his House employment; (3) Representative Schweikert or
his campaign committee may have received loans or gifts from a
congressional employee; and (4) Representative Schweikert may
have omitted required information from his annual House financial
disclosure statements and Federal Election Commission candidate
committee reports. The ISC did not complete its investigation into
this matter by the conclusion of the 115th Congress.
On May 3, 2019, the Committee announced that it unanimously
voted to re-authorize an ISC for the 116th Congress to review alle-
gations involving Representative Schweikert.
At the completion of its investigation, the ISC unanimously con-
cluded that there was substantial reason to believe that Represent-
ative Schweikert violated House Rules, the Code of Ethics for Gov-
ernment Service, federal laws and other applicable standards in
connection with: campaign finance violations and reporting errors
by his authorized campaign committees; the misuse of his MRA for
unofficial purposes; pressuring official staff to perform campaign
work; and his lack of candor and due diligence during the inves-
tigation.
On June 30, 2020, pursuant to a negotiated settlement with Rep-
resentative Schweikert, the ISC unanimously voted to adopt a
Statement of Alleged Violations (SAV) detailing 11 violations and
the facts giving rise to those violations. On that date, the ISC sub-
mitted a Report to the full Committee unanimously recommending
that the Committee submit a Report to the House. The ISC further
recommended that the adoption of the Report by the House serve
as a reprimand of Representative Schweikert for his misconduct.
Additionally, the ISC recommended that the Committee rec-
ommend that the House impose a fine on Representative
Schweikert in the amount of $50,000. As part of the negotiated res-
olution, Representative Schweikert agreed to waive all further pro-
cedural rights in the matter provided to him by House or Com-
mittee rules, and agreed to admit to all 11 counts in the SAV, pay
a $50,000 fine, and accept a House reprimand.
On July 29, 2020, the Committee submitted to the House its Re-
port regarding this matter, in which the Committee adopted the
ISC’s Report and all of its recommendations. Following discussion
by members of the Committee and ISC before the full House, the
House adopted the Committee’s Report regarding Representative
Schweikert by unanimous consent on July 30, 2020, and thus rep-
rimanded him for his misconduct. By adopting the Committee’s Re-
port, the House of Representatives also imposed a $50,000 fine on
Representative Schweikert, as recommended by the ISC and full
Committee. Representative Schweikert’s counsel informed the Com-
mittee that he has paid the fine.
In the Matter of Allegations Relating to Representative Ross Spano
On August 16, 2019, the OCE forwarded to the Committee a Re-
port and Findings in which it recommended further review of alle-
gations related to Representative Ross Spano. On November 14,
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2019, the Committee announced that because DOJ had asked the
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27
Committee to defer its consideration of the matter, the Committee
had followed precedent and voted unanimously to defer its review.
The Committee made OCE’s Report, but not its Findings, public at
that time. On November 14, 2020, the Committee announced that
it was continuing to defer its consideration of the matter at the re-
quest of DOJ. Representative Spano lost his bid for reelection to
the House and the Committee will no longer have jurisdiction to
continue the investigation after January 3, 2021.
In the Matter of Allegations Relating to Representative Rashida
Tlaib
On August 16, 2019, the OCE forwarded to the Committee a Re-
port and Findings regarding Representative Rashida Tlaib in which
it recommended further review of allegations that Representative
Tlaib’s campaign committee, Rashida Tlaib for Congress, may have
violated House Rules and federal law by reporting campaign dis-
bursements that may not be legitimate and verifiable campaign ex-
penditures attributable to bona fide campaign or political purposes.
Specifically, OCE considered whether the payments Representative
Tlaib received after the 2018 general election, totaling $17,500,
were prohibited under campaign finance laws and regulations gov-
erning the personal use of campaign funds. The Committee re-
leased the OCE Report and Findings, along with Representative
Tlaib’s response, on November 14, 2019, and noted in a public
statement that the Committee was continuing to review the allega-
tions pursuant to Committee Rule 18(a).
Following its investigation, the Committee concluded that there
was sufficient evidence to support a determination that a portion
of the payments that Representative Tlaib received after the 2018
general election was inconsistent with the requirements outlined in
the Federal Election Campaign Act of 1971 (FECA) and its imple-
menting regulations. The Committee also noted, however, that Rep-
resentative Tlaib had engaged in good faith efforts to comply with
the relevant FECA requirements and had not sought to unjustly
enrich herself by receiving the excess campaign funds. Accordingly,
the Committee unanimously voted that a sanction was not merited
in this matter but directed Representative Tlaib to reimburse her
campaign committee $10,800, which represented the excess funds
that were inconsistent with FECA’s requirements.
On August 7, 2020, the Committee submitted a Report to the
House describing the facts and its findings in this matter, as well
as its determination to take no further action in this matter.
In the Matter of Allegations Relating to Representative Lori Trahan
On September 18, 2019, the OCE forwarded to the Committee a
Report and Findings recommending further review of allegations
that Representative Lori Trahan’s campaign committee accepted
excessive contributions from her husband, that were disguised as
personal loans, and that Representative Trahan omitted required
information related to the personal loans from her congressional
candidate Financial Disclosure Statements and Federal Election
Commission (FEC) reports.
The Committee investigated the allegations and found that the
funds used to source Representative Trahan’s personal loans to the
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Campaign were marital property to which Representative Trahan
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28
had a legal right of access and control, and therefore, were not ex-
cessive contributions from her husband. Furthermore, while the
Committee found there may have been omissions and errors on
Representative Trahan’s Financial Disclosure Statements and FEC
reports, the Committee found no evidence that the errors and omis-
sions were knowing and willful. With respect to some of the FEC
related errors and omissions, the Committee noted that there was
no clear legal standard articulated by the FEC in its public guid-
ance, and the Committee determined that the FEC was best quali-
fied to determine whether Representative Trahan’s campaign prop-
erly complied with those particular reporting requirements. The
Committee, accordingly, did not find that Representative Trahan
violated House Rules, laws, regulations or other standards of con-
duct, and dismissed the matter.
On July 16, 2020, the Committee released a Report describing
the facts and its findings in the matter, as well as its determina-
tion to dismiss the matter and take no further action.
In the Matter of Allegations Relating to Representative Steve Wat-
kins
On July 14, 2020, the Shawnee County District Attorney in Kan-
sas filed a complaint against Representative Steve Watkins charg-
ing him with: interference with law enforcement; providing false in-
formation; voting without being qualified; unlawful advance voting;
and failing to notify the DMV of change of address. On July 23,
2020, the Committee unanimously voted to impanel an ISC with
jurisdiction to investigate allegations that Representative Watkins
falsely reported information to a law enforcement officer; voted in
an election district without being lawfully registered to vote; know-
ingly marked or transmitted more than one advance voting ballot;
and/or failed to notify the proper agency of a change of name or ad-
dress.
Representative Watkins lost his bid for reelection to the House,
and the ISC and the Committee will not have jurisdiction to con-
tinue the investigation after January 3, 2021.
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APPENDIX I
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Rule JI, clause 3 (g)
(gXl) The Sergeant-at-Anns is authorized and directed to impose a fine against a Member, Delegiite,
or the ResidentCommissionerforthe use of an electronic device for still photography orforaudb
or visual recording or broadcasting in contravention of clause 5 of rule XVII and any appli:able
Speaker's announced policy on electronic devices.
(2) A fine imposed pursuant to this paragraph shall be $500 for a first offense and $2,500 for any
subsequent offense.
(3)(A) The Sergeant-at-Arms shall promptly notify the Member, Delegate, or the Resident
Commissioner, the Speaker, the Chief Administrative Officer, and the Committee on Ethics of any
such fine.
(B) Such Member, Delegate, or Resident Commissioner may appeal the fine in writing to the
Committee on Ethicsnotlaterthan 30calendardays or five legislative days, whichever is later, after
notification pursuant to subdivision (A).
(C) Upon receipt of an appeal pursuant to subdivision (B), the Committee on Ethics shall have 30
calendar days or five legislative days, whichever is later, to either dismiss the fine or allow it to
proceed. Upon a determination regarding the appeal or if no appeal has been filed a tthe expirafun
of the period specified in subdivision (B), the chairoftheCommitteeon Ethics shall promptly notify
the Member, Delegate, or the Resident Commissioner, the Speaker and the Chief Administrative
Officer. The Speaker shall promptly lay such notification before the House.
(4) The Sergeant-at-Anns and the Committee on Ethics are authorized to establish policies and
procedures for the implementation ofthis paragraph.
Rule JI, clause (4)(d)(l)
(d)(l) Upon notification from the chair of the Committee on Ethics pursuant to clause 3(g)(3 )(C),
the Chief Administrative Officer shall deductthe amountofany fine levied under clause 3(g) from
the net salary otherwise due the Member, Delegate, or the Resident Commissioner.
Rule JI, clause (6)(c)(5)
(c) Subject to the policy direction and oversight of the Committee on House Administration, the
Inspector General shall only-
** *
(5) report to the Committee on Ethics information involving possible violations by a Member,
Delegate, Resident Commissioner, officer, or employee ofthe House ofanyrule oftheHouseorof
any law applicable to the performance of official duties or the discharge of official responsibilitis
that may require referralto the appropriate Federal or State authorities under clause 3(aX3)ofrule
XI.
Rule X, clause 1 (g)
1. There shall be in the House the following standing committees, each of which shall have the
jurisdiction and related functions assigned by this clause and clauses 2, 3, and 4.
***
(g) Committee on Ethics.
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The Code of Official Conduct.
RuleX,clause 11 (g)(4)
(4) The Committee on Ethics sha II investigate any unauthorized disclosure of intelligence or
intelligence-related information by a Member, Delegate, Resident Commissioner, officer, or
employee of the House in violation of subparagraph (3) and report to the House concerning any
allegation that it finds to be substantiated.
Rule XI, clause 3
Committee on Ethics
3. (a) The Committee on Ethics has the following functions:
(I) The committee may recommend to the House from time to time such administrative actions
as it may consider appropriate to establish or enforce standards of official conduct for Members,
Delegates, the Resident Commissioner, officers, and employees ofthe House. A letter ofreproval
or other administrative action of the committee pursuant to an investigation under subparagraph
(2) shall only be issued or implemented as a part of a report required by such subparagraph.
(2) The committee may investigate, subject to paragraph (b ), an alleged violation by a Member,
Delegate, Resident Commissioner, officer, or employee of the House of the Code of Official
Conduct orof a law, rule, regulation, orotherstandard of conduct applicable to the conduct of
such Member, Delegate, Resident Commissioner, officer, or employee in the performance of the
duties or the discharge of the responsibilities of such individual. After notice and hearing (unless
the right to a hearing is waived by the Member, Delegate, Resident Commissioner, officer, or
employee), the committee shall report to the House its findings of fact and recommendations, if
any, for the final disposition of any such investigation and such action as the committee may
consider appropriate in the circumstances.
(3) The committee may report to the appropriate Federal or State authorities, either with the
approval of the House or by an affmnative vote of two-thirds of the members of the committee,
any substantial evidence of a violation by a Member, Delegate, Resident Commissioner, officer,
or employee of the House, of a law applicable to the performance of the duties or the discharge
of the responsibilities of such individual that may have been disclosed in a committee
investigation.
(4) The committee may consider the request of a Member, Delegate, Resident Commissioner,
officer, or employee of the House for an advisory opinion with respect to the general propri::ty
of any current or proposed conduct of such Member, Delegate, Resident Commissioner, officer,
or employee. With appropriate deletions to ensure the privacy of the person concerned, the
committee may publish such opinion for the guidance of other Members, Delegates, the Resident
Commissioner, officers,andemployees of the House.
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(5) The committee may consider the request of a Member, Delegate, Resident Commissioner,
officer, or employee of the House for a written waiver in exceptional circumstances with respect
to clause 4 of rule XXIII.
(6)(A) The committee shall offer annual ethics training to each Member, Delegate, Resklent
Commissioner, officer, and employee of the House. Such training shall-
(i) involve the classes of employees for whom the committee detennines such training to be
appropriate; and
(ii) include such knowledge of the Code of Official Conduct and related House rules as may
be determined appropriate by the committee.
(B)(i) A new Member, Delegate, Resident Commissioner, officer, or employee of the House
shall receive training under this paragraph not later than 60 days after beginning service to the
House.
(ii) Not later than January 3 I of each year, each Member, Delegate, Resident Commissioner, officer,
and employee of the House shall file a certification with the committee thatthe Member, Deleg;ite,
Resident Commissioner, officer, or em ployeeattended ethics training in the lastyearasestablished
by th is subparagraph.
(bXl)(A) Unless approved by anaffinnative vote ofa majority of its members, the Committee on
Ethics may not report a resolution, report, recommendation, or advisory opinion relating to tl1e
official conduct of a Member, Delegate, Resident Commissioner, officer, or employee of the
House, or, except as provided in subparagraph (2), undertake an investigation of such conduct.
(B)(i) Upon the receipt of information offered as a complaint that is in compliance with this
rule and the rules of the committee, the chair and ranking minority member jointly may appoilt
members to serve as an investigative subcommittee.
(ii) The chair and ranking minority member of the committee jointly may gatheraddifunal
information concerning alleged conduct that is the basis of a complaint or of information offered
as a complaint until they have established an investigative subcommittee or either of them has
placed on the agenda of the committee the issue of whether to establish an investig;itive
subcommittee.
(2) Except in the case of an investigation undertaken by the committee on its own initiative, the
committee may undertake an investigation relating to the official conduct of an individual
Member, Delegate, Resident Commissioner, officer, or employee of the Houseonly-
(A) upon receipt of information offered as a complaint, in writing and under oath, from a
Member, Delegate, or Resident Commissioner and transmitted to the committee by such
Member, Delegate, or Resident Commissioner;
(B) upon receipt of information offered as a complaint, in writing and under oath, from a
person not a Member, Delegate, or Resident Commissioner provided that a Member,
Delegate, or Resident Commissioner certifies in writing to the committee that such Member,
Delegate, or Resident Commissioner believes the infonnation is submitted in good faith and
warrants the review and consideration of the committee; or
(C) upon receipt of a report regarding a referral from the board of the Office of
Congressional Ethics.
If a complaint is not disposed of within the applicable periods set forth in the rules of the
Committee on Ethics, the chair and ranking minority member shall establish jointly an
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investigative subcommittee and forward the complaint, or any portion thereof, to that
subcommittee for its consideration. However, if at any time during those periods either the char
or ranking minority member places on the agenda the issue of whether to establish an
investigative subcommittee, then an investigative subcommittee may beestablishedonlybyan
affirmative vote ofa majority of the members of the committee.
(3) The committee may not undertake an investigation of an aUeged violation of a law, rule,
regulation, or standard of conduct that was not in effect at the time of the alleged violation. The
committee maynotundertake an investigation ofsuchanalleged violation that occurred beforethc
third previous Congress unless thecommitteedetermines thatthe alleged violation is directly related
to an alleged violation that occurred in a more recent Congress.
(4) A member of the committee shall be ineligible to participate as a member of the committee
in a committee proceeding relating to the member's official conduct. Whenever a member of the
committee is ineligible to act as a member of the committee under the preceding sentence, the
Speaker sha 11 designate a Member, Delegate, or Resident Commissioner from the same political
party as the ineligible member to act in anyproceedingofthecommitteerelatingtothatconduct.
(5) A member of the committee may seek disqualification from participating in an investig;ition
of the conduct of a Member, Delegate, Resident Commissioner, officer, oremployee ofthe House
upon the submission in writing and under oath of an affidavit of disqualification stating that the
membercannotrenderan impartial and unbiased decision in the case in which the member seeks to
be disqualified. I fthe committee approves and accepts such affidavit ofdisqualification, the chair
shall so notify the Speaker and request the Speaker to designate a Member, Delegate, or Resident
Commissioner from the same political party as the disqualifying member to act in any proceeding
of the committee relatingtothatcase.
(6) Information or testimony received, or the contents ofa complaint or the fact of its filing,
may not be publicly disclosed by any committee or staff member unless specifically authorized ii
ea ch in stance by a vote of the full committee.
(7) The committee shall have the functions designated in titles I and V of the Ethics in
Government Act of 1978 [on financial disclosure and the limitations on outside earned income
and outside employment], in sections 7342 [the Foreign Gifts and Decorations Act], 7351 [on gifts
to superiors], and 7353 [on gifts] oftitle 5, United States Code, and in clause ll(g)(4 )of rule X.
(8)(A) Except as provided by subdivisions (B), (C), and (D), not later than 45 calendar days or 5
legislative days, whichever is later, afterreceiptof a written reportandanyfindings 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), the chair of the
Committee on Ethics shall m akepublic the written report and findings of the board unless the chair
and ranking member, actingjointly, decide orthecommittee votes to withhold such information for
notmorethan one additional period ofthe same duration, in which case thechairshaU-
(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 matter, relatngto the
referral made by the board of the Office ofCongressional Ethics regarding the Member, officer, or
employee ofthe House who is the subject ofthe applicable referral, has been extended.
At lea stone calendar day before the committee makes pub lie any written report and fin ding; of the
board, the chair shall notify such boardandtheapplicable Member, officer, or employee ofthat 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)(i) Notwithstanding subdivision (A)(i), if the committee votes to dismiss a matter which i, the
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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 oftheboard. For purposes oftheprevbus
sentence, a vote by the committee to dismiss a matter is not inconsistent with a report from the boanl
respecting the matteras unresolved due to a tie vote.
(ii) Notwithstanding subdivision (A)(ii), if the board transmits a report respecting anymatterwith a
recommendation to dismiss or as unresolved due to a tie vote, and the matter is extended for an
additional period as provided in subdivision (A), the committee is not required to make a public
statement thatthematterhas been extended.
(iii) Except as provided by subdivision (E), if the committee establishes an investigative
subcommittee respecting any such matter, then the report and findings of the board shall not be
madepublic untilthe conclusion ofthe investigativesubcommitteeprocess and the committee shall
issue a public statement of the establishment of an investigative subcommittee, which statement
shall include the name ofthe applicable Member, officer, or employee, and shall set forth thealle~
violation. If any such investigativesubcommitteedoes not conclude its review within one year after
the board transmits a report respectinganymatter, 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
makepublic any findings.
(C)(i) If, a fterreceipt of a written report and any findings and supporting documentation regarding
a referral from the board ofthe Office ofCongressional Ethics orof a referral ofthematterfiom the
board pursuant to a request under paragraph (r), the committee agrees to a request from an
appropriate lawenforcementorregulatoiy authorityto defertakingaction onthematter-
(1) notwithstanding subdivision (A)(i), the committee is not required to make public the written
report and findings described in such subdivision, except that if the recommendation of the boanl
with respect to the report is thatthematterrequires furtherreview, the committee shall make public
the written report but not the findings; and
(II) before the endofthe 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 matteratthe request of such authority.
(ii) If, upon the expiration of the one-yearperiod that begins on the date the committee makes the
public sta tementdescribed in item (i)(II), the committee has not acted on the matter, the committee
shallmakea new public statement that it is stilldeferringtakingaction on the matter, and shall make
a new statement upon the expiration ofeach succeeding one-year period duringwhichthe committee
ha snot acted on the matter.
(D) The committeemaynot receive any referral from the board ofthe Office of Congressional Ethx;s
within 60 days before a Federal, State, or local election in which the subject of the referrals a
candidate. The committee may delay any reporting requirement under this subparagraph that fals
within that 60-day period until the end of such period and in that case, for purposes of subdivisbn
(A), days within the 60-dayperiod shall not be counted.
(E) If, at the closeofany applicable period fora reportingrequirementunderthis subparagraph with
respect to a referral from the boardofthe Office ofCongressiona!Ethics, the vote ofthecommittee
is a tie or the committee fails to act, thereportandthefindings of the board shall bemadepublic by
the committee, along with a public statement by the chairexplainingthe status ofthe matter.
(cXI) Notwithstanding clause 2(gXl) of rule XI, each meeting of the Committee on Ethicsora
subcommitteethereofshall occur in executive session unless the committee or subcommittee, by an
affirmative vote of a majority of its members, opens themeetingto thep.1blic.
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(2) Notwithstanding clause 2(g)(2) of rule XI, each hearing of an adjudicatory subcommittee or
sanction hearing of the Committee on Ethics shall be held in open session unless thecommitee
or subcommittee, in open session by an affinnative vote of a majority of its members, closes all or
part of the remainderofthe hearing on that day to the public.
(d) Before a member, officer, or employee of the Committee on Ethics, includingmembers of a
subcommittee of the committee selectedunderclause 5(a)(4)of rule X and shared staff, may have
access to in fonnation that is confidential under the rules of the committee, the following oath (or
a ffinnation) shall be executed:
'1 do solemnly swear (or affinn) that I will not disclose, to any person or entity outside the
Committee on Ethics,any infonnation received in the course ofmy service with the committee,
except as authorized by the committee or in accordance with its rules."
Copies of the executed oath shall be retained by the Clerk as part of the records of the House.
This paragraph establishes a standard of conduct within the meaning of paragraph (a)(2). Breaches
of confidentiality shall be investigated by the Committee on Ethics and appropriate action shall
be taken.
(e)(I) If a complaint or infonnation offered as a complaint is deemed frivolous by anaffinnative
vote of a majority of the members of the Committee on Ethics, the committee may take such
action as it, by an affinnative vote ofa majority of its members, considers appropriate in the
circumstances.
(2) Complaints filed before the One Hundred Fifth Congress may not be deemed frivobus by
the Committee on Ethics.
Committee agendas
(f) The committee shall adopt rules providing that the chair shall establish the agenda for
meetings of the committee, but shall not preclude the ranking minority member from placing
any item on the agenda.
Committee staff
(g)(l) The committee shalladoptrulesproviding that-
(A) the staffbe assembled and retained as a professional, nonpartisan staff;
(B) each member of the staff shall be professional and demonstrably qualified for the position
forwhich hired;
(C) the staff as a whole and each member of the staff shall perfonn all official duties i1 a
nonpartisan manner;
(D) no member of the staff shall engage in any partisan political activity directly affectngany
congressional or presidential election;
(E) no member of the staff or outside counsel may accept public speaking engagements or
write for publication on any subject that is in any way related to the employment or duties
with the committee of such individual without specific prior approval from the chair and ranking
minority member; and
(F) no member of the staff or outside counsel may make public, unless approved by an
affinnative vote of a majority of the members of the committee, any information,document., or
other material that is confidential, derived from executive session, or classified and that is
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obtained during the course of employment with the committee.
(2) Only subdivisions (C), (E), and (F) of subparagraph (I) shall apply to shared staff.
(3)(A) All staff members shall be appointed by an affirmative vote ofa majority ofthemembers
of the committee. Such vote shall occur at the first meeting of the membership ofthe committee
during each Congress and as necessary during the Congress.
(B) Subjectto theapprovalofthe Committee on House Administration, the committee may retain
counsel not employed by the House of Representatives wheneverthe committee determines, by an
affirmative vote ofa majority ofthem embers ofthe committee, that the retention of outside counsel
is necessary and appropriate.
(C) If the committee determines that it is necessary to retain staff members forthepurpose of
a particular investigation or other proceeding, then such staff shall be retained only for the
duration of that particular investigation or proceeding.
(D) Outside counsel may be dismissed before the end of a contract between the committee
and such counsel only by an affirmative vote of a majority of the members of the committee.
(4) In addition to any other staff provided for by law, rule, or other authority, with respect to the
committee, the chair and ranking minority member each may appoint one individual as a shared
staff member from the respective personal staff of the chair or ranking minority member to
perform service for the committee. Such shared staff may assist the chair or ranking minoriy
member on any subcommittee on which the chair or ranking minority member serves.
Meeti11gs a11d J,earillgs
(h) The committee shall adopt rules providing that-
(!) all meetings or hearings of the committee or any subcommittee thereof, other than any
hearing held by an adjudicatory subcommittee or any sanction hearing held by the committee,
shall occur in executive session unless the committee or subcommittee by an affirmative vote
of a majority of its members opens the meeting or hearing to the public; and
(2) any hearing held by an adjudicatory subcommittee or any sanction hearing held by the
committee shall be open to the public unless the committee or subcommittee by an affim1ative
vote ofa majority of its members closes the hearing to the public.
Public disclosure
(i) The committee shall adopt rules providing that, unless otherwise determined by a vote of the
committee, only the chair or ranking minority member, after consultation with each other, may
make public statements regarding matters before the committee or any subcommittee thereof.
Requirements to co11stitute a complai11t
0) The committee shall adopt rules regarding complaints to provide thatwheneverinfotmati:m
offered as a complaint is submitted to the committee, the chair and rankingminority member
shall have 14 calendar days or five legislative days, whichever is sooner, to determine whether
the information meets the requirements of the rules of the committee for what constitutes a
complaint.
Duties ofchaira11d ra11ki11g minori1ymemberregardi11gproperlyjiled complai11ts
(kXI) The committee shall adopt rules providing that whenever the chair and rankingm inority
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member jointly determine that information submitted to the committee meets the requirements
of the rules of the committee for what constitutes a complaint, they shall have 45 calendar days
or five legislative days, whichever is later, after that detennination(unless the committee by an
affirmative vote ofa majority of its members votesotherwise)to-
(A) recommend to the committee that it dispose of the comp la int, or any portion thereof, in
any manner that does not require action by the House, which may include dismissal of the
complaint or resolution of the complaint by a letter to the Member, officer, or employee of the
House against whom the complaint is made;
(B) establish an investigative subcommittee; or
(C) request that the committee extend the applicable 45-calendarday or five-legislative day
period by one additional 45-calendarday period when they determine more time is necessary
in order to make a recommendation under subdivision (A).
(2) The committee shall adopt rules providing that if the chair and ranking minority member
jointly determine that information submitted to the committee meets the requirements of the
rules of the committee for what constitutes a complaint, and the complaint is not disposed of
within the applicable time periods under subparagraph (I), then they shall establish an
investigative subcommittee and forward the complaint, or any portion thereof, to that
subcommittee for its consideration. However, if, at any time during those periods, either the chair
or ranking minority member places on the agenda the issue of whether to establish an
investigative subcommittee, then an investigative subcommittee may be established only by an
affirmative vote of a majority of th em embers of the committee.
Duties o.fchair and ranking minority member regarding infom1atio11
not constituting a complai11t
(]) The committee shall adopt rules providing that whenever the chair and ranking minority
member jointly detennine that information submitted to the committee does not meet the
requirements of the rules of the committee for what constitutes a complaint, they may--
(1) return the information to the complainant with a statement that it fails to meet the
requirements of the rules of the committee for what constitutes a complaint; or
(2) recommend to the committee that it authorize the establishment of an investigative
subcommittee.
Investigative and adjudicatory subcomnittees
(m) The committee shall adopt rules providing that-
(l)(A) an investigative subcommittee shall be composed of four Members (with equal
representation from the majority and minority parties) whenever such a subcommittee is
established pursuant to the rules of the committee;
(B) an adjudicatory subcommittee shall be composed of the members of the committee who
did not serve on the pertinent investigative subcommittee (with equal representation from the
majority and m inorityparties) whenever such a subcommittee is established pursuant to the rub;
of the committee; and
(C) notwithstanding any other provision of this clause, the chair and ranking m inoritymember
of the committee may consult with an investigative subcommittee either on their own initiative
or on the initiative of the subcommittee, shall have access to infom1ation before a subcommittee
with which they so consult, and shall not thereby be precluded from serving as full, votrig
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members of any adjudicatory subcommittee;
(2) at the time ofappointment, the chair shall designate one member of a subcommittee to seive
as chair and the ranking minority member shall designate one member of the subcommittee to
serve as the ranking minority member; and
(3) the chair and ranking minority member of the committee may serve as members of an
investigative subcommittee, but may not serve as non-voting, ex officio members.
Standard ofproof/or adoption ofstateme,1t ofalleged violation
(n) The committee shall adopt rules to provide that an investigative subcommittee may adopt a
statement of alleged violation only ifit detennines by an affirmative vote ofa majority of the
members of the subcommittee that there is substantial reason to believe that a violation of the
Code of Official Conduct, or ofa law, rule, regulation, or other standard of conduct applicabe to
the perfonnance ofofficialduties or the discharge ofofficial responsibilities by a Member, officer,
or employee of the House ofRepresentatives, has occurred.
Subcommittee powers
(o)(I) The committee shall adopt rules providing that an investigative subcommittee or an
adjudicatory subcommittee may authorize and issue subpoenas only when authorized by an
affirmative vote ofamajority of the membersofthe subcommittee.
(2) The committee shall adopt rules providing that an investigative subcommittee may, upon an
affinnative vote of am ajority of its members, expand the scope of its investigation when approved
by an affirmative voteof a majority of the membersofthecommittee.
(3) The committee shall adopt rules to provide that-
(A) an investigative subcommittee may, upon an a ffinnative vote of a majority of its mem bcrs,
amend its statement of alleged violation anytime before the statement of alleged violati:m is
transmitted to the committee; and
(B) if an investigative subcommittee amends its statement of alleged violation, the respondent
shall be notified in writing and shall have 30 calendar days from the dateofthat notification to fie
an answer to the amended statement of alleged violation.
Due process rigl1ts ofrespondmts
(p) The committeeshall adopt rules to provide that-
(]) not less than IO calendar days before a scheduled vote by an investigative subcommittee on
a statement of alleged violation, the subcommittee shall provide the respondent with a copy of
the statement of alleged violation it intends to adopt together with all evidence it intends to use
to prove those charges which it intends to adopt, including documentary evidence, witness
testimony, memoranda of witness interviews, and physical evidence, unless the subcommittee by
an affmnative vote ofa majority of its members decides to withhold certain evidence in order to
protect a witness; but if such evidence is withheld, the subcommittee shall infonn the respondent
that evidence is being withheld andofthecountto which such evidence relates;
(2) neither the respondent nor the counsel of the respondent shall, directly or indirectly, contact the
subcommittee or any member thereof during the period of time set forth in paragraph (l )except
forthe sole purpose of settlement discussions where counsel fortherespondentand thesubcommitee
arepresent;
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(3) if, at any time after the issuance of a statement of alleged violation, the committee or any
subcommittee thereof determines that it intends to use evidence not provided to a respondent
under paragraph (1) to prove the charges contained in the statement of alleged violation (or any
am endmentthereof), such evidence shall be made immediately available to the respondent, and it
may be used in any further proceeding under the rules of the committee;
(4) evidence provided pursuant to paragraph (I )or(3) shall be made available to the respondent
and the counsel oft he respondent only after each agrees, in writing, that no document, informafun,
or other materials obtained pursuant to that paragraph shall be made public until-
(A) such time asa statementofalleged violation is madepublic bythecommittee if the respondent
has waived the adjudicatory hearing; or
(B) the commencement of an adjudicatory hearing if the respondent has not waived an
adjudicatory hearing;
but the failure of respondent and the counsel of the respondent to so agree in writing, and thei"
consequent failure to receive the evidence, shall not preclude the issuance of a statement of
alleged violation atthe end of the period referred to in paragraph (I);
(5) a respondent shall receive written notice whenever-
(A) the chair and rankingm inoritymemberdetennine that infonnation the committee has received
constitutesacomplaint;
(B) a complaint or allegation is transmitted to an investigative subcommittee;
(C) an investigative subcommittee votes to authorize its first subpoena or to taketestimony under
oath, whicheveroccurs first;
(D) an investigative subcommittee votes toexpandthe scope of its investigation; or
(E) the committee or an investigative subcommittee determines to take into evidence the trial
transcriptorexhibits admitted into evidence at a criminal trial pursuant to subparagraph (9);
(6)wheneveran investigative subcommittee adopts a statementofalleged violation and a respondent
enters into an agreement with that subcommittee to settle a complaint on which that statement
is based, that agreement, unless the respondent requests otherwise,shallbe in writing and sigi1ed
by the respondent and respondent's counsel, the chair and ranking minority member of the
subcommittee, and the outside counsel, if any;
(7) statements or information derived solely from a respondent or the counsel of a respondent
during any settlement discussions between the committee or a subcommittee thereof and the
respondent shall not be included in any report of the subcommittee or the committee orotherwise
publicly disclosed withoutthe consentoftherespondent;
(8) whenever a motion to establish an investigative subcommittee does not prevail, the committee
shall promptly send a letter to the respondent informing the respondent of such vote; and
(9) in any investigation permitted by House or committee rules, in addition to any other evilence
which the committee or an investigative subcommittee may consider, if the respondent has been
convicted by a court of record for a crime which is related to the subject of the investigatbn, the
committee or investigative subcommittee may take into evidence the trialtranscript and all exhibits
admitted into evidence atthe trial.
Committee reporting requirements
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(q) The committee shall adopt rules to providethat-
(l) whenever an investigative subcommittee does not adopt a statement of alleged viola fun
and transmits a report to that effectto the committee, the committee may by an aftinnative vote of
a majority of its members transmit such report to the House of Representatives;
(2) whenever an investigative subcommittee adopts a statement of alleged violation, the
respondent admits to the violations set forth in such statement, the respondent waives the right to
an adjudicatory hearing, and the respondent's waiver is approved by the committee--
(A) the subcommittee shall prepare a report for transmittal to the committee, a final draft of
which shall be provided to the respondent not less than 15 calendar days before thesubeommittee
votes on whether to adopt the report;
(B) the respondent may submit views in writing regarding the final draft to the subcommittee
within seven calendar days of receipt of that draft;
( C) the subcommittee shall transmit a report to the committee regarding the statement of alleged
violation together with any views submitted by the respondent pursuant to subdivision (B\ and
the committee shall make the report together with the respondent's views available to the publi::
before the commencement of any sanction hearing; and
(D) the committee shall by an affirmative vote of a majority of its members issue a report and
transmit such report to the House of Representatives, together with the respondent's views
previously submitted pursuant to subdivision (B) and any additional views respondent may
submit for attachment to the final report; and
(3) members of the committee shall havenot less than 72 hours to review any report transmitted
to the committee by an investigative subcommittee before both the commencement of a sanctbn
hearing and the committee vote on whether to adopt the report.
(r) Upon receipt of any written notification from the board of the Office of Congressional Ethi::s
that the board is undertaking a review of any alleged conduct ofany Member, officer, orempbyee
of the House and if the committee is investigating such matter, the committee may at any time so
notify the boardandrequestthat the board cease its review andreferthe matter to the committee for
its consideration. If at the end of the applicable time period (including any permissible extensi:m)
the committee has not reached a final resolution of the matter or has not referred the matter to the
appropriate Federal or State authorities, the committee shall so notify the board of the Office of
Congressional Ethics in writing. The committee may not request the same matter from the board
more than one time.
(s) The committee may not take any action that would deny any person any right or protectbn
provided under the Constitution of the United States.
Rule XXV, clause 5(h)
(h) All the provisions of this clause [the gift rule] shall be interpreted and enforced solely by the
Committee on Ethics. The Committee on Ethics is authorized to issue guidance on any matter
contained in this clause.
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41
APPENDIX II
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42
ID.iv. ;!)oust of l,eprescntatiurs
COMMITTEE ON ETHICS
1L1Llilsl)ington, ID( 20515
February 08, 2019
MEMORANDUM TO ALL HOUSE MEMBERS, OFFICERS, AND EMPLOYEES
FROM: Committee on Ethics
Theodore E. Deutch, Chairman
Kenny Marchant, Ranking Member
SUBJRCT: Reminder of Ethics Requirements for Financial Disclosure filers
All Members of the House and certain House employees are subject to financial
disclosure filing requirements. In general, Members and staff who are subject to financial
disclosure filing requirements must file two types ofrepm1s: l) annual reports, which must
be filed regardless of a filer's holdings or financial activity and that are due by May 15 of
each year, as well as upon begi1ming and terminating House employment, and 2) periodic
reports that a filer may be required to file throughout the year on an ongoing basis
throughout the year, depending on their actual financial activity. The purpose of this
memorandum is to summarize these requirements, including who must file, what types of
reports they must file, when they must be filed, and how to file. This memorandum also
discusses the penalties for noncompliance with the filing requirements and other
restrictions on financial activity, including restrictions on participating in Initial Public
Offerings (IPOs) and insider trading.
WHO MUST FILE FINANCIAL DISCLOSURE STATEMENTS
Title I of the Ethics in Government Act of 1978 (EIGA) requires Members, officers,
and ce11ain employees of the House to file annual Financial Disclosure Statements (FD
Statements) with the Clerk of the House of Representatives. 1 The financial disclosure
requirements apply to Members, officers, "senior staff," as defined by the EIGA, principal
assistants, and shared employees. All Members and any employee who is required to file
an FD Statement must do so, regardless of the level of reportable activity (e.g. amount of
assets, transactions, etc.). It is each employee's responsibility to know if you are senior
staff and to comply with tlte et/tics requirements that attach to that designation.
"Senior staff' are those House oflicers and employees whose ·'rate of basic pay is
equal to or greater than 120 percent of the minimum rate of basic pay payable for GS-15
1
5 U.S.C. app. §§ 101-111. Candidates for the House are also required to file FD Statements. but
their filmg obligations are not discussed here. For more information, see Comm. on Ethics, Instruction
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43
or the General Schedule'' for at least 60 days at any time during a calendar year. 2 For
2019, the annual threshold rate of pay is $126,148. 3 or a monthly salary at or above
$10,512. 4 If your gross base salary was increased to more than the senior staff rate,
$10,512, for any two months 5 in a calendar year. then you arc senior staff for that calendar
year for financial disclosure (FD) purposes. This often happens when House employees
are awarded year-end bonuses in the form of a temporary increase in base rate of pay.
where the bonus is paid out over t,vo paychecks.
At least one employee in every Member's personal office must file an annual FD
Statement. 6 Most offices will have at least one employee who is paid at or above the senior
staff rate and therefore is required to file an FD Statement. If a Member does not have an
employee paid at or above the senior staff rate, the Member must designate at least one
current employee as a "principal assistant" to file an FD Statement. To designate a
principal assistant, the Member must sign and transmit to the Clerk of the House a letter
that identifies the designec. A form for this purpose is available on the Clerk's website,
w,vw.clerk.house.gov.
Except in the case of a new Member, an employee who has been designated as a
principal assistant must have been employed in the Member's office for more than 60 days
in the previous calendar year covered by the report and still be employed by the Member
on the May 15, 2019, filing deadline. Neither an FD Statement filed by a new employee
nor one filed by a terminated employee of the Member will satisfy the requirement that at
least one person in each Member's office must file an annual FD Statement.
Some shared employees are also required to file financial disclosure statements
pursuant to a Committee on House Administration Resolution. Each House employee who
is employed simultaneously by three or more offices for more than 60 days in a calendar
year is required to file an FD Statement on May 15 of the following year regardless of their
rate of pay.
Guide, Finandal Disclosure Statements and Periodic Transaction Reports (Calendar Year 2017) at 3.
available at https:/ 1ethics.house.goviforms!information-and-forms.
' 5 U.S.C. app. §§ 109(13) & !0l(d).
' This amount is refen-ed to as the ·•senior staff rate."
4
This amount is subject to change based on changes to the General Schedule. In the event that it
docs change, the Committee will announce the new amount. Comm. on Ethics. The 2019 Outside Earned
/11co111e Limit and Salaries Triggering the Financial Disclosure Requirement and l'ost-Emp!oyment
Restrictions Applicable to House Offiers and Employees, Feb. 08, 2019, available at
ht Ips: 1i ethics. house. gov /reports/ 11 nancia 1-d isc losurc-pin k-sh cct s.
5
The !louse payroll department operates on a 30-day payroll cycle, meaning that each monthly pay
period, regardless of its actual length, is counted as 30 days. Thus. a change to an employee's base rate of
pay in any two months during the calendar year (even non-consecutive months) may trigger financial
disclosure filing requirements. This is true even if the pay change affects only part of a month.
6
5 U.S.C. app. §§ lOl(d). 10l(f)(I0), and 109(13).
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44
WHO \1UST FILE PERIODIC TRANSACTION REPORTS (PTRs)
The Stop Trading on Congressional Knowledge Act of 2012 (STOCK Act)
amended the EIGA to add a requirement for Members, officers. and ce1iain employees of
the House to report certain securities transactions over $1,000 within 30 days of notice of
the transaction. but in no case later th,m 45 days after the transaction. 7 These STOCK Act
filings are known as Periodic Transaction Reports (PTRs). Members and employees who
are subject to PTR filing requirements must file PTR.s if they have reportable activity as
described below, but unlike an annual FD Statement. do not need to file if they have no
reportable activity.
In general. filers must report on their annual FD Statement each purchase, sale. or
exchange transaction involving real prope1iy held for investment, stocks, bonds,
commodities futures, or other securities (including cryptocunencies 8 and options) made by
the filer. their spouse, or dependent child when the amount of the transaction exceeds
$1,000. For sales transactions, the $1,000 threshold is based on the total dollar value of
the transaction, not the gain or loss made on the sale.
Additionally. the STOCK Act requires Members, of1icers, and senior staff to also
tile a PTR for the purchase. sale. or exchange of stocks, bonds. and other securities. 9 PTR.s
arc not required for widely held investment funds such as mutual funds and exchange
traded funds. 10 A PTR must be filed within 30 days of receiving notice that a reportable
transaction has been made, but no later than 45 days after the transaction has occurred.
Principal assistants and shared employees (who are not also senior staft) are not required
to file PTR.s.
For all Members and staff who are subject to PTR filing requirements, securities
transactions must be reported twice: for the first time on a PTR no later than 45 days from
the transaction, and then a second time on the annual FD Statement covering that calendar
year. 11 Transactions in cc1iain types of widely held investment funds (e.g. mutual funds,
exchange traded funds, bond funds, and similar assets) only have to be rep01ied on the
7
STOCK Act (Pub. I.. 112-105, as amended by Pub. L. 112-173, Pub, L. 112-178 & Pub. L. I 13-
7)
' Comm, on Ethics. C!yptocurrencies: Financial Disclosure Require111e111s and 0/her Ethics
Ramifications, June 18,2018. available at https:',e!hics.housc.gov'reports.'finuncial-disclosurc-pil1k-shcets.
9
5 U.S.C. app. §§ I0l(c). 109(() and 103(1).
10
See the chart on page 45 of this tlon,n]cJll for more information concerning transactions in
assets that will, will no!, or may trigger the requirement to lile a PTR.
11
i\lso note that purchase. sales. and exchange transactions involving stocks, bonds, commodities
futures, and other securities held within retirement accounts such as 40 I(k) plans and IRAs must be disclosed
on both a PTR and your annual FD Statement if they exceed $1,000 in value or generate more than $200 in
income for any one asset. Further. a reinvestment ofa dividend generated by one of these assets, whether in
a retirement account or otherwise. where the value of the reinvestment exceeds S 1,000 must be reported on
both a PTR and your annual FO Statement.
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45
annual FD Statemcnt. 12 Any filer who has a question about whether a particular assets is
considered widely diversified for this purpose should contact the Committee for guidance.
DEADLINES FOR FILING AND REQUESTS FOR EXTENSIONS
Annual FD Statements are due on May ! 5th of each calendar year. Members must
file a FD Statement Form A (Schedules A-I) on or before May 15 th of each calendar year.
New Members sworn in between November 6, 2018, and April 15, 2019, must file FD
Statement Form B (Schedules A, C, D, E, F, and .l) on or before May 15, 2019. In addition,
all Members must file a termination rD Statement Form A within 30 days of leaving the
llouse.u
For new employees hired at the senior staff rate, an FD statement must be filed
within 30 days of beginning employment. Terminating employees subject to financial
disclosure requirements must also file a termination FD statement within 30 days ofleaving
!louse payroll. 14 The Clerk of the House will send notice of filing deadlines to both new
and tenninating employees.
The EIGA permits the Committee to grant an extension of time (up to 90 days) for
the filing of an FD Statement. 15 However, the extension request must be received by the
Committee no later than the original deadline for the FD Statement. An extension can be
requested in the electronic filing system at https://fd.housc.uov or by filing a paper
extension request form found on the Committee's website at https://w,v1,v.ethics.house.gov.
The Committee will submit all granted extension requests to the Clerk for public filing.
PTRs must be filed within 30 days of notice of a relevant transaction, but no later
than 45 days after the transaction. No extensions are permitted for PTRs.
"Comm. on Ethics, Periodic Reporling of Personal Financial Transac/ions Pursuanl lo the
STOCK ,.le/, as amended, Aug. 17, 2012, available at ht1ps:/iethics.housc.eov 1repotts/tinancial-disclosurc-
!2illk-sheets; Comm. on Ethics, lnslruc/ion Guide, Financial Disclosure SIa1ements and Periodic
Transac/ion Reporls (Calendar Year 20 I 7) at 42, available at https:!/ethics.house.2ov/fonnslin formation-
;ind-forms.
"See 5 U.S.C. app. § 10l(e). The only exception is for filers who, within 30 days of their
termination from the House, accept a position with the federal government that requires the filing of a
publicly-available FD statement. Departing Members or staff who are exempt from filing under these
circumstances must notify the Clerk of the I louse of that fact in writing, by sending a letter, completing a
form available for that purpose, or filing a notice through the electronic financial disclosure filing system.
"'ld.
1
' 5 U.S.C. app. § !Ol(g).
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46
HOW AND WHERE TO SUBMIT FINANCIAL DISCLOSURE FILINGS
There arc two ways to complete both an FD Statement and a PTR: ( l) by using the
electronic filing system, or (2) by hand, using a preprinted form. The electronic filing
system can be accessed by visiting https://fd.house.gov. Copies of the paper forms can be
obtained by visiting the Committee's website at https://www.ethics.housc.gov. The forms
must be submitted to the Clerk of the House, via the Legislative Resource Center, located
in B-81, Cannon House Office Building.
The Committee strongly encourages filers to use the electronic filing system for
completing both fD Statements and PTRs. Utilizing the electronic filing system can
significantly increase accuracy and reduce some of the most common errors. In addition,
filers using the electronic filing system can import PTR transactions into annual FD
Statements, and import certain prior year annual FD Statement schedules into current
filings.
FEES FOR LATE FILINGS
An individual who files an FD Statement or PTR more than 30 days after the later
of ( l) the date the filing is required to be filed, or (2) the last day of any filing extension
period that has been granted, must pay a late filing fee of $200. For late PTRs, there is a
$200 late fee for the l st late PTR filing no matter how many missed transactions are
included. For other late PTR filings, the late fee can increase to a maximum of $200 per
late transaction. Late filing fees must be submitted to the Clerk of the House at the
Legislative Resource Center, checks payable to the United States Treasury. Late filing fees
must be submitted with the late report(s).
Any FD Statement or PTR that is submitted more than 30 days after the due date
without the required late filing fee shall be deemed procedurally deficient and not properly
filed. In addition, payment of the fee does not preclude the Committee from taking other
disciplinary action authorized by law or the rules of the House of Representatives.
FAILURE TO FILE OR FALSIFYING DISCLOSURE STATEMENTS
Each individual must file their own report, ce11ify its accuracy, and is responsible
for the completeness and accuracy of the information contained in the individual's FD
Statement or PTR, even if someone else prepared, or assisted in preparing, all or part of it.
The EIGA provides that the Attorney General may pursue either civil or criminal penalties
against an individual who knowingly and willfolly falsifies a Statement or fails to file a
Statement required by the EIGA. The maximum civil penalty is $59,028. The maximum
criminal penalty is up to one year in prison and a fine ofup to $59,028.
In addition, 18 U.S.C. § 1001, as amended by the False Statements Accountability
Act of 1996, is applicable to FD Statements and PTRs. That criminal statute provides for
a fine of up to $250,000 and/or imprisonment for up to five years for knowingly and
willfolly making any materially false, fictitious, or fraudulent statement or representation,
or falsifying, concealing, or covering up a material fact, in a filing under the EIGA.
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House Rule 26 provides that Title I of the EIGA shall be deemed to be a rule of the
f louse with regard to House Members, ofiicers, and employees. As such, in addition to the
penalties noted above, a Member, officer, or employee who violates these provisions is
subject to additional action by the Committee and/or the House.
BAN ON PARTICIAPATION IN INITIAL PUBLIC OFFERINGS
The STOCK Act bans Members, officers, and employees who file FD statements
from participating in Initial Public Offerings 16 (!PO) in a manner "other than is available
to members of the public generally." 17 JPO participation, however, is often unavailable to
the general public at all. This limitation took effect immediately upon enactment of the
STOCK Act on April 4, 2012.
As a result of the ban, filers will be required to indicate whether they purchased any
shares that ,vere allocated as part of an !PO on the PTR form. If you answer ·'yes'' to the
question because you received an !PO allocation, or if you would like to participate in an
!PO, please contact Committee staff to discuss the matter. 18 Shared employees and
principal assistants arc not subject to the lPO restriction.
PROHIBITION AGAINST INSIDER TRADING
The STOCK Act explicitly affirmed that Members, officers, and all employees are
subject to the insider trading prohibitions arising under the securities laws, which include
Section l 0(b) of the Securities Exchange Act of 1934 and 17 C.F.R. § 240.1 0b-5 (popularly
know11 as Rule J0b-5). The prohibition applies to information learned both in an official
capacity and in a personal capacity.
Members, officers. and employees may obtain material nonpublic information
about a public company or economic sector (e.g., energy, telecommunications, or
healthcare) during the course of their official duties or in their personal capacity from
family, friends, acquaintances, or from their own involvement with a company. If the
Member, officer, or employee chooses to trade on this information, they may have engaged
in insider trading.
16
Please be advised that it is currently unclear if the Securities and Exchange Commission (SEC)
will treat lnitial Coin Offerings as lPOs for purposes of the STOCK Act. Comm. on Ethics,
0Jptocurrencies: Financial Disclosure Requirements and Other Ethics Ramifications, June 18, 2018,
available at http;;:i 1e,hi_,;5,l1911se.11ov/rmQJ.1sl1i11,m£i11J-disclosure-pink-she?_!);. See i!1(,-a note 18.
17
15 U.S.C. § 78u-l(i).
18
While interpretation and enforcement of the STOCK Act regarding participation in IPOs is chiefly
within the jurisdiction of the SEC and Department of Justice, the opinion of the Committee is that, as drafted,
the STOCK Act prohibits only the filer from pa11icipating in !POs, but not the filer's spouse or dependent
child, assuming the assets used for the purchase and the securities purchased arc wholly owned by the spouse
or dependent child. separate and independent of the filer. See STOCK Act~ 13.
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Material nonpublic information is any information concerning a company, security,
industry or economic sector, or real or personal property that is not available lo the general
public and which an investor would likely consider important in making an investment
decision. J\ good rule of thumb to determine whether information may be material
nonpublic information is whether or not the release of that information to the public would
have an effect on the price of the security or property.
For example, a House employee learns in a meeting with Food and Drug
Administration (FDA) staff that a new miracle weight loss drug is going to be approved by
the FDA. The staffer is informed at the meeting that this information is confidential. The
House employee then buys shares in the company that manufactures the drug. Once the
news of the drug approval is made public, the company share price increases and the
employee sells at a profit. J\s the STOCK Act explains, the employee would be subject to
liability for violation of federal civil and criminal insider trading statutes. However, if the
House employee waits to purchase the shares until the information regarding the FDA
decision becomes public, the employee would not be subject to liability. Committee staff
is available to discuss these matters.
FREQUENTLY ASKED QUESTIONS
L Who must file FD Statements?
Members, officers, senior staff, principal assistants, and shared employees of
three or more offices must file FD Statements.
2. Who must file PTRs?
Only Members, officers, and senior staff are subject to PTR filing requirements.
3, A Member owns $5,000 of stock in Company A, Company B purchases
Company A. Thereafter, the Member receives notice in a monthly
statement that he no longer owns Company A stock, but as of January 15,
2019, owns SS,000 in Company B stock Docs the Member have a financial
disclosure reporting requirement?
Yes. The Member must file a PTR to disclose an exchange transaction of
Company A stock for Company B stock. The PTR must be filed no later than
March I. 2019, which is 45 days from January 15, 2019, the date of the
transaction. In addition. the Member must report the exchange transaction on
the calendar year 2019 FD Statement, which will be due on May 15, 2020.
4, A senior staff employee holds a Sl00,000 mortgage on her primary
residence, Her primary residence is not rented out and docs not generate
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49
income in any other manner. ls she required to disclose the mortgage on
her primary residence on her financial disclosure statement?
No. Only Members are required to disclose a mortgage on a primary residence.
Staff filers must report a mo1igage on a residence that is either held for
investment purposes or rented out in whole or part for rental income. In that
case.ownership of the home would be required to be reported on Schedule A
(both the value of the home and the amount of rental income received), and the
employee would need to disclose the mortgage on Schedule D.
5. Do I need to report my spouse's retirement account (e.g., 401(k), 403(b),
SEP, etc.)?
Yes. You are required to report any retirement plan of your spouse. You should
report the underlying assets in the account as separate line items on Schedule
A. For f\mds held in the account; you should determine whether they meet the
definition of' the "Excepted Investment Fund" (EIF), so you can report them
correctly.
6. May I use my Members Representational Allowance (MRA) to pay my
accountant to prepare my FD Statement or PTRs?
Yes. Members may use their MRA to pay for the preparation of their own FD
Statement or PTRs. They may also use their MRA to pay for the preparation
of' FD Statements or PTRs of an employee in their personal offices. Committee
staff may use committee funds to pay for the preparation of a FD Statement for
a committee employee if approved by that committee.
AVAILABLE ASSISTANCE
The Committee will offer a series of Financial Disclosure Training sessions
before the May 15, 2019, filing deadline. A list of upcoming ethics training sessions is
available at https://ethics.house.gov/events and is regularly updated. The training sessions
will cover general information about the requirement to file FD Statements and PTRs.
They are an hour long and will satisfy either the annual ethics training requirement for
2019 or the additional hour of training required for senior staff for the 11611' Congress (staff
must choose one or the other). In order to receive credit for these trainings, staff are
required to pre-register. To register: (1) Visit https://registerme.housc.gov; (2) Click on
"Ethics," then "AlJ Staff'; (3) Add desired Financial Disclosure Training; (4) Select
"Register" on the left of the page; and (5) Login and Submit. More information, including
a list of upcoming training dates, is available on the Committee's website,
https://ethics.house.gov.
In addition, filers are encouraged to carefully read the instructions on each form
and the "Instruction Guide: Financial Disclosure Statements and Periodic Transaction
Reports, Calendar Year 201T found on the Committee's website at
l1t_tp_s://w\vw.cthis;1_J10~1ss:,J1Q.Y. Any filer who has questions concerning financial
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disclosure requirements should call the Committee at (202) 225-7103. Committee staff is
available to review fD Statements and PTRs before filing (pre-screen). To have your
filings pre-screened. please email your request to financial.disclosure@mail.house.gov.
*****
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COMMITTEE ON ETHICS
~asf1i11gto11, ID!ll: 20515
Febmary 8, 2019
MEMORANDUM FOR ALL MEMBERS, OFFICERS, AND EMPLOYEES
FROM: Committee on Ethics
Theodore E. Deutch, Chairman
Kenny E. Marchant, Ranking Member
SUBJECT: The 2019 Outside Earned Income Limit and Salaries Triggering the Financial
Disclosure Requirement and Post-Employment Restrictions Applicable to House
Officers and Employees
All Members of the House are subject to certain public disclosure requirements and
employment restrictions both during and after their service in the I louse, including:
1. Financial disclosure filing requirements, including both annual financial disclosure
(FD) statements and Periodic Transaction Reports (PTRs);
2. Restrictions on outside employment;
3. Notification requirements for disclosure of negotiations for private employment and
related recusals; and
4. Post-employment restrictions.
House employees may also be subject to these requirements and restrictions, depending on
their salary level. This memorandum provides details on the current triggering salary figures for
Calendar Year (CY) 2019 for each of the categories noted above, and summarizes them in a table
on page 5 of this Memorandum. It is each individual employee's responsibility to know whether
their salary level subjects them to these standards of conduct and, if so, to comply with them.
Please note that this memorandum is not a comprehensive list of every rule or standard of conduct
that applies to House staff, but an overview of key standards that are triggered by salary level.
Any Member, of1icer, or employee who has questions about whether their rate of pay triggers these
requirements or restrictions or about the various rules is encouraged to contact the Committee's
Office of Advice and Education at extension 5-7103.
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52
FINANCIAL DISCLOSURE
House officers and employees whose "rate of basic pay is equal to or greater than
120 percent of the minimum rate of basic pay payable for GS-15 of the General Schedule" for at
least 60 days at any time during a calendar year are subject to financial disclosure filing
requirements, provided that the officer or employee "performs the duties of his [or her] position or
office for a period in excess of sixty days in that calendar year." 1 The GS-15, step 1, basic pay
rate for CY 2019 is $105,123. 2 The applicable 120% calculation for that rate is therefore $126,148,
or a monthly salary above $10,512. This rate is referred to as the "senior staff rate.
As a result, House officers and employees whose basic rate of pay is equal to or greater
than the senior staff rate ($126,148) for at least 60 days3 during 2019 must file an FD statement
on or before May 15, 2020. 4 (Temporary increases in an employee's basic rate of pay-such as to
pay out a bonus - count toward this threshold, but "lump sum" payments do not. 5) In addition,
any new employee paid at or above the senior staff rate must file a "new employee" FD statement
within 30 days of assuming employment with the House. 6 A new employee may request an
extension of the new employee FD filing deadline of up to 90 days, but the request must be
received by the Committee or on before the original filing dcadline. 7 Finally, any staff who are
paid at or above the senior staff rate on January 3, 2019 (or their first day of employment, if later
in the year) must file reports (PTRs) on an ongoing basis throughout the year regarding certain
financial transactions. 8 PTRs are not annual filings, but must be filed within 30 days of a purchase,
sale, or exchange of more than $1,000 in stocks, bonds, and other securities. 9
1
Ethics in Government Act (EIGA) §§ 109(13) and IOl(d), 5 U.S.C. app. §§ 109(!3) and !Ol(d) (hereinafter
all citations to the EIGA will be to the appropriate federal code citation). In addition, all House Members are subject
to financial disclosure filing requirements, 5 U.S.C. app. §§ !Ol(d) and (f). ·
2 Exec. Order No. 13,856, 84 Fed. Reg. 67 (Jan. 8, 2019). This amount is unchanged from 2018. In the
event that this amount changes during 2019, the Committee will update its written guidance.
'The House payroll depaitment operates on a 30-day payroll cycle, meaning that each monthly pay period,
regardless of its actual length, is counted as 30 days. Thus, a change to an employee's base rate of pay in any two
months during the calendar year (even non-consecutive months) may trigger the requirement to file an FD. This is
true even if the pay change affects only part of a month.
4 5 U.S.C. app. §§ !Ol(d) and {f).
5
See Comm. on Ethics 2008 Ethics Manual at 283-84, available al
https://ethics.house.gov/sites/ethics. house.gov/files/documents/2008__House_Ethics_Manual.pdf; Comm. on Ethics,
Ins/ruction Guide, Financial Disclosure Statements and Periodic Transaction Reports, at p. 2 (Calendar Year 2017),
available at https://ethics.house.gov/forms/infonnation-and-fonns.
6
See 5 U.S.C. app. § 101 (a). The only exception to this filing requirement is for new employees who assume
employment with the House within 30 days of leavh1g a position with the federal government in which they filed a
publicly-available FD statement. Individuals who are exempt from filing under these circumstances must notify the
Clerk of the House of that fact in writing by Jetter or through thee-filing system for filing FD statements.
7
A request for an extension must be made using either a form available on the Committee's web site or
through the electronic financial disclosure filing system.
' 5 U.S.C. app. § 103(1).
9 For detail on the PTR requirement, see the Committee's August 17, 2012, advisory memorandum
"Periodic Reporting of Personal Financial Transactions Pursuant to the STOCK Act, as amended," which is
available on the Committee website (https://cthics.housc.gov), under the links for Reports/General Advisories. Note
that the STOCK Act may require the filing of PTRs as often as once per month for Members and any staff who are
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Please note that the requirement to file an FD statement covering calendar year 2018
applies to officers and employees whose basic rate of pay for at least 60 days in 2018 was $126,148
or more (a monthly salary at or above $10,512). Annual FD statements covering CY 2018 are due
on Wednesday, May 15, 2019, for those individuals who continue to be Members, officers, or
employees ofthe House on that date. 10 A filer may request an extension of the annual FD filing
deadline of up to 90 days, but the request must be received by the Committee or on before the
original filing deadline. 11
In addition, House Members, officers, and employees paid at or above the senior staff rate for
60 days or more in a calendar year who terminate their House employment during that calendar
year are required to file an FD statement within 30 days oftheirtermination. 12 A filer may request
an extension of the termination FD filing deadline of up to 90 days, but the request must be
received by the Committee 01· on before the original filing deadline. 13
THE OUTSIDE EARNED INCOME LIMIT
AND OUTSIDE EMPLOYMENT RESTRICTIONS
House officers and employees whose rate of basic pay is equal to or greater than the senior
staff rate for more than 90 days are subject to limits on the amount of outside earned income 14
attributable to each calendar year. 15 As noted above, the senior staff rate for CY 2019 is $126,148,
or a monthly salary above $10,512. The limit on outside earned income attributable to a calendar
year is 15% of the rate of basic pay for Executive Schedule Level II in effect on January I of the
year. As of January l, 2019, the rate of basic pay for Executive Level II was $189,600. 16
paid at the senior staff rate on the first day of the 2019 pay cycle (January 3, 2019). Staff who are paid at or above
the senior staff rate for more than 60 days later in 2019 - even if on a temporary basis - will also be subject to the
PTR requireme11t for the remainder of the cale11dar year and will be required to file an annual FD in 2020.
1
° FD statements are due May 15 ru:mually. In the event that May 15 or another filing deadline under the
EIGA falls on a weekend or a holiday, the filing deadline shall be on the next business day.
11 See supra note 7.
12 See 5 U.S.C. app, § l0l(e). The only exception is for filers who, within 30 days of their termination from
the House, accept a position with the federal government that requires the filing of a publicly-available FD statement.
Departing employees who are exempt from filing under these circumstances must notify the Clerk of the House of
that fact in writing, by sending a letter, completing a form available for that purpose, or filing a notice through the
electronic financial disclosure filing system. ·
" See supra note 7.
4
' The tenn "outside earned illcome" means any "wages, salaries, fees, and other amounts received or to be
received as compensation for personal services actually rendered" by a House ~ember, officer, or employee. House
Rule 25, cl. 4(d)(l). It does not include, among other things, the individual's salary from the House, nor does it include
income for services rendered before the individual was employed by the House. Id at els. 4(d)(l)(A), (B).
"5 U.S.C. app. § 501(a)(1); House Rule 25, els. l(a)(l) and4(a)(l).
16
Exec. Order No, 13,856, 84 Fed. Reg. 70 (Jan. 8, 2019).
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54
Accordingly, the outside earned income limit for House Members, officers, and employees paid at
or above the senior staff rate for CY 2019 is $28,440. 17
Members, officers, and House employees paid at or above the senior staff rate for more
than 90 days are also subject to a number of specific limitations on the substantive types of outside
employment for which they may receive compensation and must receive prior approval to receive
certain types of compensation. 18 These include prohibitions on receiving lillY compensation for
practicing a profession that involves a fiduciary relationship, receiving any compensation for
affiliating with a firm that provides professional services involving a fiduciary relationship, or
permitting such a firm to use one's name. 19 Receipt of compensation for service as an officer or
member of a board of directors is also prohibited. 20 Prior written approval from the Committee on
Ethics is required to accept compensation for teaching and to receive copyright royalties. 21
Detailed information regarding these limitations may be found on pages 213 to 238 of the 2008
House Ethics Manual, which is available on the Committee's website (https://ethics.house.gov).
DISCLOSURE OF EMPLOYMENT NEGOTIATIONS AND RECUSALS
House Members, officers, and employees paid at the senior staff rate must notify the
Committee within three (3) business days after they commence any negotiation or agreement for
future employment with a private entity. 22 In addition, House Members, officers, and senior staff
must recuse themselves from "any matter in which there is a conflict of interest or an appearance
of a conflict" with the private entity with which they are negotiating or have an agreement for
future employment or compensation, and they must notify the Ethics Committee in writing of such
recusal. 23 As noted above, the senior staff rate for CY 20 l 9 is $126,148, or a monthly salary above
$10,512.
Information on the disclosure and recusal requirements related to seeking private
employment applicable to Members, officers, and senior staff is available in two Committee
advisory memoranda, one for Members and officers and one for staff. Copies of both memoranda,
which are dated January 2, 2019, are available on the Committee's website
(https://ethics.house.gov) under "Reports/General Advisories," and forms for making the
notifications regarding job negotiations or recusal are available under "Forms/Post-Employment."
17 This amount is proportionally reduced when an individual becomes a Member, officer, or senior employee
during the calendar year. For example, an individual who is hired into a senior staff position on July I has an outside
earned limit that is one-half of the full amount, or $14,025. The outside earned income limit for 20 l 9 will not change
even if the General Schedule changes later in 2019 because it is based on the amount as of January 1, 2019. See 5
U.S.C. app. § 50I(a)(2); House Rule 25, cl. l(b).
"See 5 U.S.C. app. § 502(a); House Rule 25, els. 1-.4.
19 Id.
20 Id.
21Id.
22
House Rule 27, cl. 2; Stop Trading on Congressional Knowledge Act, Pub. L. No. 112-105 (Apr. 4, 2012)
(hereinafter STOCK Act)§ 17.
23
House Rule 27, cl: 4; STOCK Act § 17 .
. 4.
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55
POST-EMPLOYMENT RESTRICTIONS
House Members and officers, as well as certain other House employees, are subject to post-
employment restrictions on lobbying. 24 In general, a former employee of a :yfember, committee,
or leadership office is subject to the restrictions if, for at least 60 days during the one-year period
preceding termination of House employment, the employee was paid at a rate equal to or greater
than 75% of the basic rate of pay for Members at the time of termination. 'lbis amount is referred
to as the "very senior staff rate."
The basic rate of pay for Members in 2019 will remain $174,000.2 5 Therefore, the post-
employment threshold for employees who depart from a job in a Member, committee, or leadership
office in CY 2019 remains $130,500, or a monthly salary of $10,875 or more. However, the
triggering salary for employees of other House offices (such as the Chaplain, Chief Administrative
Officer, Clerk, General Counsel, Historian, Inspector General, Law Revision Counsel, Legislative
Counsel, Office of ConL,>Tessional Ethics, Parliamentarian, and Sergeant of Arms) is Executive
Schedule Level IV. 26 For 2019, that salary is $164,200, or a monthly salary above $13,683.
Information on the post-employment restrictions applicable to Members, officers, and very
senior staff is available in the two Committee advisory memoranda referenced in the previous
section. 27
*****
24
18 u.s.c. § 207,
21 See Section 212 of Title II of the Energy and Water, Legislative Branch, and Military Construction and
Veterans Affairs Appropriations Act, 2019, Pub. L. No. 115-244 Sep. 21, 2018), prohibiting a scheduled cost-of-living
pay raise for !Vfembers. As a result, Member pay will remain at $174,000 for 2019.
""[O]ther legislative offices" also includes employees of the Architect of the Capitol, United States
Botanic Garden, Govemment Accountability Office, Government Publishing Otlice, Library of Congress,
Congressional Budget Office, and Capitol Police. See 18 U.S.C. § 207(e)(9)(G).
27
Most of the post-employment restrictions apply to very senior staff. As discussed in the general
advismy memorandum for former staff, however, one provision applies to !ill former House staff- regardless of rate
of pay - and restricts use of confidential Information obtained during personal and substantial participation in
ongoing trade or treaty agreements.
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56
CALENDAR YEAR 2019
Item 2019 Amount
Outside earned income & outside employment threshold $126,148
- Outside employment fiduciary restrictions if paid at rate ($10,512/mo)
for more than 90 days during 2019
Outside earned income limit $28,440
Financial Disclosure/PTR threshold $126,148
- Annual FD required in May 2020 if paid at rate for ($10,512/mo)
60 days or more in CY 2019
- PTRs required during CY 2019 if:
- Paid at rate on first day of calendar year or first day of
House employment (if later); or
- Paid at rate for any two pay periods during CY 2019
(e.g., if get bonus or pay raise during calendar year),
subject to PTR requirement for remainder of year
Written disclosure of job negotiations and recusals $126,148
required ($10,512/mo)
Post-Employment threshold for employees of Member, $130,500
committee, or leadership otiices ($10,875/mo)
Post-Employment threshold for employees of"other $164,200
legislative offices" (seep. 4) ($13,683/mo)
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57
\~\"\},;,·:~·i·
~/\
1
ll;:,
ONl HUNllRH l SIX I l+N-1 II CONGRLSS
lk,m Phal:,p~. \\nn'1'v,1:i
•\n1hPP:S H1,111'1 \L11:,!:nd
C\l~1,11TTl'E Ot-: l Ttl!CS
April \0, 2(lJ<)
MEMORANDUM FOR ALL MEMBERS, OFFICERS, AND EMPLOYEES
FROM: Commlttec on Ethics
Theodore I:. Deutch. Chainnan
Kenny Marchan\, Ranking Member
SVBJECT: Upcoming Financial Disclosure Clini(,:s & Training
The Committee nn ELhics will offer three Financial Disclusurc Clinics in Aptil in ath·ancc
oftitc upcrnning May 15,2019, due date for the filing of all annual Financial D1sdosurc Statements
(FD Statements). In addition, the Committee will hold two ScniN Staff Financial Disdosun:
Trainings before the May i 5'" deadline.
As a reminder, all Members arc subject to finan<:ial disdornrc filing requirements. Home
staff may be subject to financial disclo:mn.~ filing requirements fi1r a number of reasons, including
I) they are paid at or above the senirn staff rate for 60 days or more during the calendar year, e\'en
ifon a temporary basis: 2) they arc dcsignatt!d a "principal nssistant" for financial disdosurc filing
purp,,ses by their empioyin!! Member; or 3) they arc a shared employee nf three or more offices,
regardless of their ra1c of pay.;
ln addition to th0 Clinics and Training sessions, the Committee's nonpartisan staff is
available to review fonns in advance of filing for House Members, Officers, and employees,
Empj_Qyee~ver .. must submit. their forms tn the Committee for pr~s,;rcenin.t n9_J;:1tcr than_
}Y~i!!1."2Si3Y.cM.ru2Q1'1- tn ensure that the prescrecning is completed by the filing deadline:. You
inay cmttil your prescrne11 request to liJ_ggq_ifllgt-:;_i.;:Jit-i.!dI~@m~!Lhoµ,~._gQ_y,
Financial Disclosure Clinics give filers a chance to work closely with finandal disclosure.
staff to address individiial filers' questions, Financial Disclosure Clinics also serve tn help filers
use the oniine filing system to input and submit Statements and Periodic Transaction Reports.
S~ninr staff training provide, additional ethics guidunc,, to staff who arc required lo file
Statements pursuant to the Ethics in Govcnm1ent Act (EIGA). Attendance at Senior Staff Training
1 Hou:-.c ,._;mccr3 and i:mployl'.CR who wen.' paid at the rate of~l26,l4R ($10,512 1mrnthly irnb,ry) for ot !eMI
60 d.ly~ during 2018 will he n.·quircd to fik a Srntemcn! by tvfay 15, 20!9. For WI 9, senior :-t11.ff arc Jfouie offkcr~
and \.""mpl0ytes whose basic ra1t': of pJy 1s cqus1.t w or greatl";r than S 127 .914 for at leasi 6-0 da;y~ dunng 2019.
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will satisfy either the annual ethi,:s training requirement or the requirement that seniot' staff
complete an additio11al hour of specialized training per Congress. Please note that J articipation
in the C/brics will not satis an House-mandated trainin re uircments.
The date, time. and location for each Clinic are included below. Committee staff will be
available for the entire time for each Clinic, attendees arc welcome to walk in at any time, and muy
stay for as long as they need. You can find this and additional infotrnation about financial
disclosure requirements on the Committee's website at \lttps://cthics.house.goy.
····•QL)d
.... -i B249_Lo11&vmrth HOB, Rooms B--C j
I Wednesda , April 24 _ . I 0:30am - I I :30a_fl_l__ i -~:!.'!2.!:,:i_t_lg,,,:<Jtih HOB, Rooms B-C l
L_____ Tucsday1 AJ!ril ~ ··· 3:00 m 1 216 Ford HOB
Members, officers, and employees are invited to attend these Clinics. We recommend that
interested participants pre-register for the Clinics as space is limited.
To register:
l. Visit hJtps://registerme.house.gov
2. Click on "Ethics," then '·All Staff'
3. Add desired financial Disclosure Clinic
4. Select "Register" on the left of the page
5. Login and Submit
fn addition to the Clinics. the Committtc will offer senior staff training that will satisfy
either the annual ethics training requirement or the additional hour of training required for senior
staff for the 116th Congress (staff must choose one or the other). This training will cover general
information about the requirement to file Financial Disclosure and Periodic Transaction Reports.
These trainings will take place on the following dates, at the listed times, and in the listed locations:
:======D=a=te============--T-1.lnc
__T_ra_ln~tngs--"'---~~-------~
Wednesday, April t 7 11 :OOarn 12:00pm
r-----------t----·-
224 Ford HOB i
Monday, April 29 2:00pm - 3:00prn_ _ _ _ _ _ ~~:2_1 ~<:_~~?l ______j
[n order to receive credit for this training, senior staff arc required tq ore-register by
following the same directions as above and adding the desired Financial Disclosure Training in
step three.
Financial Disclosure Clinics and Training sessions are offered as an additional service to
the House, The Committee's nonpatiisan staff is also available to provide one-on ..one a,sistanc.:.
This includes meeting with a filer's spouse, accountant, or attorney to answer any filing questions.
For assistance with financial disclosure questions or to schedule a meeting, please call the
Committee at (202) 225-7103.
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59
The Committee strongly recommends that filers use the online filing system to make all
filings, but will provide assistance to both paper filers and online filers. Filers (and designated
third-party preparers) can log onto the system at https://fd.house.gov. You can also download a
blank copy of the paper form on the Committee's website at https://ethics.house.gov. If you need
to make a filing, but did not receive login infonnation, or if you have lost your temporary password,
please contact the Legislative Resource Center at (202) 226-5200 for assistance.
***
lfyou have any questions, please contact the Committee at (202) 225-7103.
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60
RK!MBURSl<'.!Vl!cNT f'OR NON-COMMERCIAL TRAVEL
!)
1
Pub. L 110-81
cl. IS(b)(I)
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2) the flight is offered to the Member, in the Member's personal capacity, by a personal
friend or another Member; 3
3) the aircraft is operated by the federal, state, or local govemment: 4
4) the aircraft is owned or leased by a Member or a family member5 of a Member
(including an aircraft owned by an entity that is not a public corporation in which the
Member or the family member has an ownership interest, provided that the Member
docs not use the aircraft any more than the Member or family member's proportionate
share of ownership allows);6 or
5) the owner or operator of the aircraft is paid a pro rata share of the fair market value of
the normal and usual charter fare or rental charge for a comparable plane of comparable
size as detennined by dividing such cost by the number of Members, Delegates, or the
Resident Commissioner, officers. or employees of Congress on the flight. 7 For
example. if a non-commercial aircraft flight cost $25,000 and only one Member is on
the flight, the Member's pro rata share of the flight is $25,000, regardless of the number
of non-congressional participants.
Although this rule allows a Member to reimburse for travel on non-commercial aircraft, if the
Member would like to use official or campaign funds for that travel, the Member should consult the
Committee on House Administration or the Federal Election Commission (FEC). as discussed below.
Use of Official Resources for Non-Commercial Aircraft Travel. The rules and regulations
governing official travel paid for with funds from the Members' Representational Allowance, or with
committee funds, are established by the Committee on I-louse Administration. Members wishing to
use official funds for non-commercial travel should consult the Committee on House Administration
at (202) 225-2061 (majority) or (202) 225-8281 (minority).
Use of Campaign funds for Non-Commercial Aircraft Travel. There are certain activities
that Members may, at their discretion, designate as either official or political. When Members
designate an activity as political, they may not use campaign funds to pay for travel on a non-
commercial aircraft. I-ILOGA generally prohibits candidates for the House from using campaign funds
to pay for campaign-related travel on non-commercial aircraft. 8 Therefore, Members generally may
not use campaign funds to pay for travel on a non-commercial aircraft if the travel is for campaign
' Id at (b)(3).
'Id at(b)(4).
5
"Family member" for purposes of this rule is defined as the Member's spouse, parents, children, siblings,
and parents-in-law. House Rule 23, cl. I 5(d)(2).
6 House Rule 23, cl. 15(b)(2).
7
Id at (b)(S).
8
52 U.S.C. § 30l 14(c).
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62
purposes. 9 However, Members may use campaign funds for officially-connected travel in connection
with their duties as officeholders. 10
Please contact the congressional liaisons at the FEC at (202) 694-1006 for further guidance on
campaign-related travel. 11
NON-COMMERCIAL AIRCRAFT TRAVEL WITHOUT REIMBURSEMENT
Members, officers, and employees of the House are prohibited from knowingly accepting any
gifts, except as specifically provided in the House gift rule. 12 The term "gift,'" as used in the gift rule,
means "a gratuity, favor, discount, entertainment, hospitality, loan, forbearance, or other item having
monetary value,'' and includes gifts oftransportation. 13 There are limited circumstances under which
a Member or staff may be pennitted to accept travel on a non-commercial aircraft as a gift; that is,
without having to reimburse the donor the cost of the travel.
Acceptance of Travel Paid for by Federal, State, or Local Governments. Members,
officers, and employees may accept a flight on a non-commercial aircraft that is paid for by a federal,
state, or local governmental entity. 14
Acceptance of Travel Provided by a Relative. Members, officers, and employees are
permitted to accept gifts from relatives. 15
Acceptance of Travel Provided on the Basis of Personal Friendship. Members, officers,
and employees may be offered a flight on an aircraft that is personally-owned by an individual whom
the official knows. If the requirements of the personal friendship provision of the gift rule are satisfied,
the offer of a flight to the Member, officer, or staff person may be accepted as a gift. Several points to
bear in mind regarding this type of travel are as follows:
• As a general matter, the personal friendship provision can apply only if the aircraft is owned
by the individual, and cannot apply to a flight on an aircraft owned by a corporation or other
entity, where the individual does not have access to the aircraft for personal purposes.
• When the value of a gift proposed to be accepted under the personal friendship provision
exceeds $250, written approval of the Committee on Ethics is required before the gift can be
9
Candidates for the House of Representatives may use their campaign funds to pay for travel on private
aircraft owned by the candidate or the candidate's immediate family members. See id. at (c)(3). Please note this is a
very narrow exception and you are encouraged to contact the FEC for further guidance.
10
House Rule 23, cl. 15.
11
HLOGA provisions govern travel for federal candidates. If a Member, officer, or employee is running
for state-elected office, that Member, officer, or employee should contact the state's election authority to determine
whether state campaign funds may be used for travel on non-commercial aircraft.
12
House Rule 25, cl. 5.
13 House Rule 25, cl. 5(a)(2)(A).
14 House Rule 25. cl. 5(a)(3)(O).
15 House Rule 25, cl. 5(a)(3)(C). Candidates for the House, traveling as candidates, may only accept travel
on non-commercial aircraft if that aircraft is owned by the candidate or the candidate's immediate family, including
a spouse, parents, children, siblings, and parents-in-law. 52 U.S.C. § 30114(c)(3)(B).
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accepted. Practically any flight on a non-commercial aircraft will exceed $250 in value and
hence will require Committee approval. 16
• A flight may not be accepted on the basis of personal friendship when the primary purpose of
the trip is either to conduct House business or engage in campaign activity.
Acceptance of Travel Provided by Another Member or Employee. Members, officers, or
employees may accept a flight on a non-commercial aircraft from another Member, officer, or
employee of the U.S. House of Representatives or U.S. Senate that is not related to travel for, or on
behalf of, a candidate for the House. However, federal law prohibits a federal employee from giving
gifts to a superior and superiors may not accept gift from their employees. 17 The Committee, however,
has given permission for subordinates to give gifts to superiors, when such gifts are given voluntarily
on special occasions where gifts are traditionally given, such as marriage, retirement, birth of a child,
birthdays, anniversaries, or holidays. 18
Acceptance of Travel from Point A to Point A. Members, officers, or employees may accept
a flight on a non-commercial aircraft if the travel is from Point A to Point A. The Committee has
determined that travel from Point A to Point A, without stops, does not have monetary value. This
limited exception only applies to travel for an official purpose that departs and returns to the same
location, without any intermediary stops.
Acceptance of Travel Resulting From Outside Business, Employment, or Other
Activities. While participating in travel resulting from outside business, employment, or other
activities, Members, officers, and employees may accept a flight on a non-commercial aircraft provided
by the business or other entity, if two conditions are satisfied: (]) the non-commercial aircraft was not
provided or enhanced because of the individual's official position, and (2) such travel is customarily
provided to others in similar circumstances.
Acceptance of Travel for Campaign Activity. House candidates and those traveling on
behalf of a House candidate are generally prohibited from flying on private aircraft, whether
reimbursed or not. 19 Members, officers, and employees who are not acting in their capacities as
candidates for the House, or in support of a House candidate, may accept travel on a non-commercial
aircraft if offered by a political organization in connection with a fundraiser or campaign event
16
The value of a flight on a non-commercial aircraft is to be detennincd as follows. When the travel is ria
a preriously or regularly-scheduled.flight by the owner or operator of the aircrafi, and the airports between which
the Member or staff person is flying have regularly-scheduled air service (regardless of whether such service is
direct), the value of the use of the aircraft is the cost of a first-class ticket from the airport of departure to the airport
of destination. If only the coach rates arc provided between those points, the value is the coach rate. If more than
one first-class rate is available, the lowest fare may be used. However, no discount fares may be used for valuation
purposes.
IVhen the.flight is scheduled spec/fical/y for Member or staffperson use, or when either the airport of origin
or destination does not have regularly-scheduled air service, the value of the use of the aircraft is the full cost of
chartering the same or similar aircraft for that flight, divided by the number of Members, Delegates, or the Resident
Commissioner, officers, or employees of Congress on the flight.
11 5 u.s.c. § 7351.
18 House Rule 25, cl. 5(a)(3)(F).
19
See 52 U.S.C. §30114(c); 11 C.F.R. § 100.93.
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sponsored by that political organization. 20 The question of travel on non-commercial aircraft for a
campaign purpose is very fact specific and you are highly encouraged to consult with the Committee
and the FEC before accepting travel. 21
Acceptance of Travel Paid for by a Foreign Government. A flight on a non-commercial
aircraft that is paid for by a foreign government may be accepted, provided that the flight complies
with the requirements of either the Foreign Gifts of Decorations Act (FGDA) or the Mutual Educational
and Cultural Exchange Act (MECEA). The requirements of those statutes, including that travel paid
for under the FGDA must take place totally outside the United States and be related to an official
purpose, must be met for the travel to be permissible.
Privately-Sponsored Travel. Members, officers, and employees participating in privately-
sponsored, officially-connected travel may not accept travel on a non-commercial, private, or chartered
flight unless exceptional circumstances are demonstrated in writing by the private sponsor. All
privately-sponsored, officially-connected travel is governed by the Committee's Travel Regulations.22
Acceptance of Travel under Committee's Waiver Authority. In special circumstances, a
Member, officer, or employee may ask the Committee to exercise its waiver authority to allow travel
on private aircraft.23 The Member, officer, or employee must seek and receive pennission before
traveling on the private aircraft. 24
FINANCIAL DISCLOSURE REQUIREMENTS
Members, officers, and certain staff25 arc required to file an annual financial disclosure (FD)
statement.26 Financial disclosure filers must report the value of all gifts received in the calendar year
worth a total of more than $390 from a single source on Schedule G ("Gifts") on the FD statement,
including Member-to-Member gifts. Gifts worth less than $156 need not be counted toward the $390
amount that triggers the disclosure requirement. 27 In addition, financial disclosure filers are required to
report travel expenses more than $390 on Schedule H ("Travel Payments and Reimbursements"),
including MECEA travel and travel paid for by political organizations that do not file reports with the
20
House Rule 25, cl. S(a)(G)(iii). Although allowed by the gift rule, HLOGA prohibits Members, officers,
and employees from accepting travel on a non-commercial aircraft paid for by a House candidate's principal
campaign committee or leadership PAC. See 11 C.F.R. § 100.93.
:n See supra note 11.
22
See Comm. on Ethics, Tral'el Guidelines and Regula/ions§ 305.I (Dec. 27, 2012).
" House Rule 23, cl. 15(c).
,, Id
"5 U.S.C. app. § 102(a)(2)(B). House staff may be subject to financial disclosure filing requirements for a
number of reasons, including I) they are paid at or above the annual senior staff rate ($127,914 for 2019, subject to
change in future calendar years) for 60 days or more during the calendar year, even if on a temporary basis; 2) they
are designated as a "principal assistant" for financial disclosure filing purposes by their employing Member; and 3)
they are a shared employee of three or more offices, regardless of their rate of pay. Please contact the Committee if
you have further questions about financial disclosure.
"See 5 U.S.C. app. § 102(a)(2)(A).
" FD Statement reporting thresholds for gifts and travel are based on the valuation of"minimal value"
under FGDA and are subject to change every three years. Id at (a)(2). The next re-calculation will be in 2020.
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FEC. 28 Finally, gifts from relatives and expenses properly reported to the FEC do not need to be
reported on annual FD statements.
Members, officers, and employees are encouraged to contact the Committee to seek assistance
on properly reporting non-commercial aircraft travel on the annual FD statement.
FREOUENTLY ASKED QUESTIONS
Question 1. The governor would like to fly the state's congressional delegation to the state to view
an area impacted by a natural disaster. The governor would provide transportation on a state-owned
plane for the Members. May the Members accept that travel?
Answer. Yes, Members may accept travel on a non-commercial aircraft owned by a federal,
state, or local government. Financial disclosure filers are not required to report on their FD statements
travel provided by a federal, state, or local government.
Question 2. Congressman Albert owns a private plane and would like to invite other Members or
staff to fly on that plane in order to attend an official meeting. May the invited Members or staff accept
the gift of flight on the private aircraft?
Answer. Yes, Members and staff may accept gifts from other Members, including travel on
non-commercial aircraft owned by the other Member for official purposes. Financial disclosure filers
are not required to report on their FD statements travel provided by another Member or staff for official
business.
Question 3. What if the trave I is for personal purposes?
Answer. Yes, Members and staff may also accept gifts from other Members for purely
personal purposes, including travel on non-commercial aircraft. Financial disclosure filers must report
gifts they receive from non-relatives with a value of more than $390 on their annual FD statements,
including Member-to-Member, Member-to-staff, and staff-to-staff gifts.
Question 4. A personal friend of Congresswoman Patel owns a private plane and asks
Congresswoman Patel to accompany her on vacation. The travel will occur between two airports that
have regularly-scheduled commercial service. May Congresswoman Patel accept the flight on the
private aircraft to go on vacation with her personal friend?
Answer. Yes, if the Ethics Committee approves, Members and staff may accept gifts on the
basis of personal friendship. Because the travel will occur between two airports with regularly-
scheduled air service, the value of that flight will be the cost of the first-class ticket between those two
airports. If the value of that first-class ticket is more than $250, the Member must receive written
28 FGDA travel expenses must be disclosed within 30 days after leaving the host country. Copies of the
FGDA disclosure form are available on the Committee's website, https://ethics.house.gov. FGDA travel is not
disclosed on Schedule H ("Travel Payments and Reimbursements") of the annual FD Statement.
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pennission from the Ethics Committee. If the value of the first-class ticket exceeds the reporting
threshold of$390, Congresswoman Patel will need to report that value as a gift on Schedule G ("Gifts")
of her annual FD Statement.
Question 5. A personal friend of Congressman Myers owns a private plane and asks Congressman
Myers to accompany him on vacation. Although Congressman Myers could get to the general location
of the vacation on regularly-scheduled air service, the particular airport where the Congressman's
friend will depart does not have regularly-scheduled air service to the destination airport, even through
connecting flights. May Congressman Myers accept the flight on the private aircraft to go on vacation
with his personal friend?
Answer. Yes, if the Ethics Committee approves the request. Unlike the example above, the
value of this flight will be the full cost of chartering the same or similar aircraft for the flight. This is
because the two airports do not have regularly-scheduled air service. If the full cost of chartering the
same or similar aircraft exceeds the reporting threshold of $390, Congressman Myers will need to
report that value on Schedule G ("Gifts") of his annual FD Statement.
Practically speaking, most flights on non-commercial aircraft will be valued above $250. Therefore,
please contact the Ethics Committee as soon as you receive the invitation to ensure you receive timely
guidance from the Committee.
Question 6. Congresswoman Colvin owns a private plane and offers it to Senator Dale to go on
vacation, as long as Senator Dale pays for the costs associated with the flight. May Senator Dale pay
for that flight?
Answer. If Senator Dale would like to accept Congressman Colvin's offer, Senator Dale
should contact the Senate Ethics Committee for further guidance. Conversely, if a Member would like
to accept travel on a Senator's private plane, please contact the Committee for further guidance.
Question 7. Congressman Ellie's father owns a private plane and offers the use of that plane for
commuting back and forth to the district. May Congressman Ellie accept the flights on that private
aircraft?
Answer. Yes, Members, and staff, may accept gifts from their relatives. Gifts from relatives
do not need to be reported on annual FD Statements.
Question 8. Congresswoman Johns is invited to an aircraft test facility in her district. The test facility
offers to let Congresswoman Johns ride in the cockpit during a test flight, which will take off and return
to the same location. May she accept travel on the private aircraft during the test flight?
Answer. Yes, Members, officers, and employees may accept travel that is Point A to Point A.
Because the test flight will take off and land in the same location, the Committee does not consider the
travel to have any value. Therefore, participating in the test flight does not implicate the gift rule.
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Question 9. Congresswoman Anthony is traveling to a fundraiser for her re-election campaign. May
she accept travel on a private aircraft owned by one of her supporters?
Answer. No, generally candidates for the House may not accept travel on private aircraft for
campaign purposes. Please contact the FEC congressional liaisons for additional information
concerning travel on private aircraft for campaign-related purposes.
Question 10. A natural disaster ravaged Congressman Bradford's district. Due to the extent of the
damage, commercial and chartered flights are not available. Congressman Bradford is invited to travel
on a private aircraft, for free, to survey the damaged areas of his district. After consultation with the
Ethics Committee, it does not appear that any exception to the House gift rule would apply. What may
Congressman Bradford do?
Answer. Congressman Bradford may write in to the Ethics Committee and request a waiver.
Both House Rule 23, clause 15(c) and House Rule 25, clause 5(a)(3)(T) allow the Ethics Committee
to grant a waiver to these rules in unusual circumstances. The Committee will make every attempt to
review these requests timely.
If you have any questions regarding this guidance, please feel free to contact the Ethics
Committee's Office of Advice and Education at (202) 225-7103.
** * **
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CO\l\ll I ! !· !' n~ E !H!Co
May 2, 2019
::\1EMORAN0UM FOR ALL ME'.\1BERS, OFFICERS, AND E:\f PLOYEES
Cornmittr:c 011 Ethics
'l'hcodorc E. Dcutch, Chairman
Kenny tvfarchnnt 1 Ranking Mcmbt>:r
SUBJECT: Member, Officer, and Employee Partkipaiion in Fundraising Activities
The prn11osc nf this memorandum is 10 re.mind j\.frmbe-rs. officers, an<l employees of the
federal stat11tes, !--fouse rules, and Committee gaidan...:e on fundraising activities. This
rncmorandum also introduces a sirnplified fr.1rn1 for requesting permission to assist \vith
fundraising activitits when \\Titten pre¥approval from the Committee is required. Frequently nsked
qw..'stiorn:1 arc also provided at the end of this memorandum, Please fo)te, the circumstances under
which tvfemberB, officers, and employees may engRge in fundraising activities are very fact
specific. a11d we encourage you to contact the Committee to discuss your particular circumstance.
l JMlTS ON SOU CITATION
The .c\_nti~Solicitation Statute (5 C.S,C, ~ 7353) generally prohibits Members: officers, and
employees from .soliciting for anything of value from a r,,erson seeking oflicial action frorn Lhc
House, doing business \Vith the House, or having interests that may be substan1iaHy atTecred by
the ptrformancc or nonpc-rformancc of that ~:t~mber or tmpioyce·s official duties. The statute
covers :,olicitation rcgm·dlcs,s of whether lhc Member, ofliccr. or employee personally benefits from
it, and regardless of whether the sollcitalion is on he half of other individuals or organizations. 1
Howi:.::vcr, Members, officers, and l'.:mployces may assis1 vlith fundraising activities under
the circumstances discussed below.
WHAT ARE "FUNDRA!SING ACTJVl1TES"?
"Fundruising activities" is a broad t~rm that means soliciting direclly or indirectiy for
something of value from another indivldna1 or organization. Fttndraising activities include asking
for money; asking for in-kind contributions or member:-.hips; using a l\frmber, officer, or
employee's name for a fundraising c\·ent on an invitation, on social media, on ktterbead, or in a
1
5 USC § 7353(;i); Comm. on StandarJs cfOffkial Conduct, Sollciit1Jim1 Undi!r 1fw Elhics Rajhrm Act
of lf.159 ((kc 9, 1990) ff:ere'.mdter 1990 C{)rnrnittec So!!cita1ioo :Vkmo]-
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letter; and making phone calls or in-person appearances asking for donations. Fundraising
activities also include donating an item like a flag, lunch with the Member, or a Capitol tour to a
silent auction; raising funds to participate in a charitable walk or run; participating in an annual
gala; or even helping raise funds for an individual in need.
POLITICAL FUNDRAISING ACTIVITIES
The Committee has determined that the Anti-Solicitation Statute docs not apply to
solicitations on behalf of campaigns and other political entities. 2 Therefore, Members, officers,
and employees may fundraisc, without written Committee approval, for some political
organizations including Members· campaign committees, political action committees (PACs),
political parties, and all other organizations registered under section 527 of the Internal Revenue
Code (IRC). 3 Members, officers, and employees may also fundraise for state or local candidates
under this carve-out. Additionally, Members, officers, and employees may fundraise directly for
state level ballot measure committees that are qualified under state law. 4 Please contact the
Committee in advance if you have questions on whether an individual or organization qualifies
under this exception.
The Committee understands that the Federal Election Campaign Act (FECA) imposes certain
limitations on the ability of federal officeholders, including Members, to assist with fundraising
activities on behalf of outside organizations, whether political or charitable. Therefore, the
Committee recommends that any Member wishing to assist with political or charitable fundraising
consult with the Federal Election Commission (FEC) congressional liaison office at (202) 694-1006
to ensure that the solicitations are not problematic under the FECA.
CHARITABLE FUNDRAISING ACTIVITIES
The Committee has established a general exception to the Anti-Solicitation Statute to permit
Members, officers, and employees to solicit on behalf of organizations recognized under !RC
§ I 70(c). 5 IRC § I 70(c) includes organizations recognized under IRC § 50l(c)(3), as well as state or
local governmental entities. including public schools, and certain veterans organizations. 6
The general exception granted by the Committee does not extend to fundraising activities
on behalf of an organization, regardless of tax status, that was established or is controlled by
current Members, officers, or employees. In such circumstances, the Member, officer, or
2
See 136 CONG. RH'. H 1647 (daily ed. Apr. 24, 1990) (regarding technical corrections to the Ethics
Reform Act of 1989); 1990 Committee Solicitation Memo.
' Id.
' This exception applies only to soliciting directly for state ballot measure or referendum committees that
are qualified under state law, registered with the appropriate state authority, and authorized to accept political
contributions, regardless of the federal tax status of the committees. Please note, fundraising to benefit an
organization that intends to donate some or all of the money raised to a ballot measure committee would not qualify
for this exception.
5 See 1990 Committee Solicitation Memo; 2008 House Ethics Manual at 348.
6
See 26 U.S.C. § I 70(c).
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employee must receive written approval from the Committee before making any solicitations on
the organization's behalf. Permission will be granted for organizations that exist for the primary
purpose of conducting activities that are unrelated to the individual's official duties. 7
This general exception also does not apply to fundraising for individuals or organizations
other than those recognized under !RC§ l 70(c). Common examples include organizations qualified
under !RC§§ 50l(c)(4) or (c)(6), as well as fundraising for more personal purposes. Any Member,
officer, or employee seeking to engage in fundraising activities for an individual or organization that
falls outside the general exception must request written approval from the Committee before assisting
with those fundraising efforts. Please note, and as discussed below, the Committee will not approve
requests for fundraising activities that provide a direct personal or financial benefit to the requestor
or the requestor's immediate family.
FUNDRAISING GENERAL GUIDELINES
All permissible fundraising must comply with the following rules.
• No official resources may be used. Official resources include House staff
while working on official time, telephones, office equipment and supplies,
official social media, official mailing lists, and official photos. 8
• Members may only use their personal titles, including "Member of Congress,"
"Representative," ·"Congressman or Congresswoman," and "'the Honorable,"
or by using a leadership title. No official endorsement by the House of
Representatives may be expressed or implied. This means no official titles,
letterhead, or envelope used in a solicitation may bear the words "Congress of
the United States," "House of Representatives," or "Official Business," nor
may the letterhead or envelope bear the Great Seal of the United States, the
Congress, or the House. 9
• No direct personal or financial benefits may result to the soliciting official.
• No fundraising activities may occur in facilities of the House of
Representatives. 10
• No suggestion may be made either that donors will be assisting with the
performance of official duties or that they will receive favorable consideration
in official matters. For example, a House Member, officer, or employee who
7 See 1990 Committee
Solicitation Memo; 2008 House Ethics Manual at 348.
8
See 31 U.S.C. § 130I(a); see generally Comm. on House Admin., Members· Congressional Handbook.
"See House Rule 23, clause. 11; 18 U.S.C. § 713. In contrast, official titles are "U.S. Congressman,"
"U.S. Congresswoman," or "U.S. Representative." Additionally, a Member's district number is part of the
Member's official title.
10
House Building Comm'n, Rules and Regulations Gm-erning the House Office Buildings. House Garages
and Capitol Power Plant (Feb. 1999).
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solicits for a program that places interns in their own office generally may
not accept an intern from that program for one year from the date of the last
solicitation. 11
• House Members, officers, and employees may not directly target registered
federal lobbyists or agents of foreign principals with a solicitation. 12
Therefore, no employee of a lobbying firm should be targeted in a solicitation.
However, a company, association, or other entity that employs registered
lobbyists to lobby only for itself or its members may be targeted if the
solicitation is sent to an officer or employee who is not a lobbyist.
When the Member, officer, or employee engaging in charitable activities fully complies
with these requirements, any donations made to the benefitting organization will not be considered
a gift to the soliciting Member, officer, or employee. 13 Violations of the Anti-Solicitation Statute
are punishable by "appropriate disciplinary and other remedial action in accordance with any
applicable laws, ... and rules or regulations.'' 14
SIMPLIFIED PROCESS FOR FUNDRAISING REQUESTS
The Committee is introducing a new "Solicitation Waiver Request" form to request
permission to assist with fundraising activities for individuals and organizations not recognized
under !RC§ l 70(c), or those that were established or are controlled by current Members, officers,
or employees. A copy of the new "Solicitation Waiver Request" form is attached to this
memorandum. Instructions are as follows.
I. Any Member, officer, or employee who seeks Committee approval to assist with
fundraising efforts for an individual or organization not recognized under !RC § 170(c), or
for an organization established or controlled by current Members, officers, or employees,
should fill out the new "Solicitation Waiver Request" form (available on the Committee's
website at https://ethics.house.gov/forms) and attach any additional relevant information.
2. The Committee will review the request and all supplemental information and, if
appropriate, approve the request.
3. If approved, the Committee will provide the Member, officer, or employee with a letter
signed by the Committee's Chairman and Ranking Member.
4. The ··Solicitation Waiver Request," and any Committee response, will remain confidential.
11
See 2()08 House Ethics Manual at 286: Comm. on Standards of Official Conduct, Guidance on Intern,
Volunteer. and Fellow Programs (June 29, 1990), reprinted in 2008 House Ethics A4anual at 402-404.
12 A charitable contribution made by a federal registered lobbyist or foreign agent on the basis of a
designation, recommendation, or specification of a Member or House employee is a prohibited gift to that Member
or House employee. See House Rule 25, clause. 5(e)(2).
13 5 U.S.C. § 7353(b)(l).
14 Id. at (c).
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As discussed above, Members, officers, and employees wishing to engage in political
fundraising activities do not need formal permission from the Committee.
FREQUENTLY ASKED QUESTIONS
Question 1. A local organization asks a Member to donate a flag flown over the Capitol for its
upcoming silent auction. The entry for the silent auction would state that the flag was donated by
the Member. The organization is recognized under IRC § 501 (c)(3); was not founded or controlled
by any current Member, officer, or employee; nor would the Member receive any personal or
financial benefit from the silent auction. May the Member donate that flag without written
Committee approval?
Answer. Yes. Members, officers, and employees may allow their names to be used for
fundraising activities for organizations recognized under !RC § 170(c ), which includes
organizations recognized under IRC § 50 I (c )(3), so long as the fundraising does not provide a
personal or financial benefit to the person named, and the benefitting organization was not founded
or controlled by current Members, officers, or employees. The Member does not need written
approval from the Committee prior to assisting with the fundraising efforts and allowing her name
to be used.
Question 2. May a Member use official funds to purchase items to be donated for fundraising
activities?
Answer. No. Donations for fundraising activities may not use official resources, including
not using the Member's Representational Allowance to purchase a flag, official staff to assist with
the logistics, nor using the Member, officer, or employee's official title. The Member may use
personal funds to purchase the flag. If the Member would like to use their principal campaign
committee funds, the Member should consult with the FEC.
Question 3. A Member is asked to donate a Capitol tour and a White House tour for a local public
school's fundraiser. May the Member donate both of those tours?
Answer. Yes for the Capitol tour and no for the White House tour. The Member may
donate a tour of the Capitol for a fundraiser, but the Member must give the Capitol tour him or
herself. The Member may not ask official staff to assist with any logistical efforts for the Capitol
tour, including giving a Dome tour. The Member may not donate a White House tour because
requests for White I louse tours must occur through official channels.
Question 4. An organization that is recognized under IRC § 50 I (c )(7), but not IRC § 527 or
§ 170(c ), and engages in political grassroots lobbying invites a Member to be a keynote speaker at
its upcoming fundraiser. The organization would like to list the Member's name on the invitations
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to the fundraiser. May the Member be the keynote speaker and be listed on the invitation without
written Committee approval?
Answer. No. The Member must write in to the Committee for permission to assist with
the organization· s fundraising efforts. Although the organization is engaged in political activity,
it is not recognized under !RC § 527, and therefore is not considered a political organization for
the purposes offundraising. Additionally, the organization is not recognized under !RC§ l 70(c),
and therefore does not fall under the Committee's general exception to the Anti-Solicitation
Statute. The Member should complete the new Solicitation Waiver Request form and send it to
the Committee, with additional documentation as necessary, for review.
Question 5. A person seeking election to be the Chairman of a Member's state political party
asked the Member for the Member's endorsement and for assistance with fundraising calls and
letters. The person does not have a formal campaign committee. May the Member assist with
those fundraising efforts?
Answer. Yes. The Member may fundraise for this candidate for the Chairman position
because it is a state level political office. Even though the candidate does not have a formal
campaign committee, fundraising for this purpose fits within the exception for political
solicitations. The Member does not need formal permission from the Committee.
Question 6. A personal friend of an employee was recently diagnosed with a serious illness. The
employee would like to set up a GoFundMe page and ask friends and family on social media to
help offset the costs of the treatment that are not covered by her friend's health insurance. May
the employee help raise funds for the friend's care without written Committee approval?
Answer, No. If the funds raised would go directly to the friend, and not an organization
qualified under !RC§ l 70(c), the employee must write in to the Committee for permission to help
raise funds for her friend's care. The employee should complete the new Solicitation Waiver
Request form and send it to the Committee, with additional documentation as necessary, for
review.
Question 7. A Member would like to be the honorary chairperson for a fundraiser benefitting an
organization recognized under IRC § 50 I (c)(4 ). The Member understands that Committee
approval is needed to assist with the fundraising activities, but the organization needs to send out
the invitations as soon as possible. May the organization send out invitations while the Committee
reviews the Member's request?
Answer. No. The organization may not use the Member's name on the invitations, or to
advertise the event in general, until the Committee approves the Member's request to assist with
the organization's fundraising efforts. The Committee recommends that all requests to assist with
fundraising activities be sent to the Committee well in advance of any deadlines.
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Question 8. A local chapter of a national organization asks a Member to be the keynote speaker
at their upcoming fundraiser. The national organization is recognized under IRC § 50l(c)(3), but
the local chapter is recognized under IRC § 50l(c)(4). May the Member be the keynote speaker
and be listed on the invitation without written Committee approval?
Answer. No. The Member must write in to the Committee for permission to assist with
the local chapter's fundraising efforts. Although fundraising on behalf of the national organization
would comply with the Committee's general exception to the Anti-Solicitation Statute, the local
chapter that will benefit from these fundraising efforts does not fall under the general exception.
If you have any questions regarding this guidance, please feel free to contact the
Committee's Office of Advice and Education at (202) 225-7103.
*****
Enclosure: Solicitation Waiver Request
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SOLICITATION WAIVER REQUEST
This form should be submitted by House Members, officers, and employees seeking pem1ission to fundraise on
behalf of organizations or individuals not qualified under section 170(c) of the Internal Revenue Code (!RC), such
as an IRC § 50 I (c)(3) organization, or organizations that are founded or controlled by current Members, officers, or
employees. Please complete this form and submit it along with additional supporting documents to the Committee
at 1015 Longworth House Office Building, or e-mailed to ethicscommittee@mail.house.gov.
1. Name: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __
2. Official Title:
----------
3. (For Staff) Name of employing Member or C o m m i t t e e : - - - - - - - - - - - - - - ~ ~ - - - -
4. Contact information (e-mail address, office address, telephone number, point-of-contact):
5. Name of organization or individual that will benefit from your fundraising:
6. Contact person and phone number of the individual or organization:
------------------------------------------
7. Tax status oforganization (e.g., !RC§ 501(c)(4)): _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __
8. Yes □ No □ Do you or your family have any connection to the individual or organization?
If yes, please explain: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __
9. Please describe how the individual or organization would like to use your name:
10. Date(s) of the event/when would you assist with fundraising: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __
11. Please describe how you will participate in the fundraising efforts:
12. Yes □ No □ Did the individual or organization offer to cover any travel expenses in connection with the
fundraising?
l 3. Yes □ No □ Do you have a sample invitation or sample language you would like to use?
lfyes, please provide a copy.
14. Yes □ No □ ls the organization founded or controlled by current Members, officers, or employees?
lfyes, what is the purpose of the organization?
I certify that the information contained on this form is true, complete, and correct to the best ofmy knowledge.
SIGNATURE OF REQUESTOR: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _DATE: _ _ __
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76
~(·1p1.\] ',.'+l,111\ 11.\1',
1,/,1.,h1•1
( 'O\li\HTTEE O'.\ FTHICS
June 13, 2019
MEMORANDt:M FOR ALL MEMBERf:, OFFICERS, AND EMPLOYEES
FROM: Committee on Ethks
Theodnre E. Dern:ch. Chairman
Kenny .Mardrnnt, Ranking hkmber
SUBJECT: The 2019 Outside Earned Income Limit and Salaries Triggering the Pimmciai
Disclosure Requiren1ent and Post-Employment Restrictions Applicable to House
Officers ttnd 1.:mplnyces
This memor~mdum superscdts the Cornmittce 's February 8.2019 tvfemorandum to include
updated information based on Pubiic Law 116-6 and guidance on how to calculate outside earned
incoml'. All \kmbcrs of the Huuse are subject to c~rtain rul)!ic d!'..:;cio:::ure requircnkn1s and
employment restrictions both during and after their service in the I·fonse 1 including:
l, Finani:lnl disclosure fillng requirement:;;, including both annual financial disclosure
(FD) statements and Periodic Transaction Reports (PTRs);
2. Restrlclions on outside cmpioyment;
>Jotiiicatlon rt>quircmcnts for disclosure of negotiations for private cmp!oyment nnd
related recusaLs;:; and
4. Pos1-•cmp!oyrn.cn1 restrictions.
House employ:;:-cs may also he subject to these rcqui rcn1ents and restrictions, depending on
their !eve!. This memorandum pn1vidcs details on the current triggering salary tigurcj for
Cakndm (CY) 2019 for each of the categories noted aboYc, an<l surmnarizcs thern in a tabie
on page 8 of this :V1cmorandum. lt is each individual crnplt)yce's responsihilit)' lO know whether
their salary level subjects them to these Btandards of conduct and, if s0 1 to comply with them,
Please note thRt this nHmwn:mdum is not a conmrehcnsive list or~verv rule or standard of conduct
that applies to Bouse stuff~ but an O\'t:rYie\\' o'.f key swndards that ,;re triggered by salo.ry leve:L
Any Member, offict:r, or ernployc.:: ,vho has qucslions about whether t.hei1' rate of pay triggers these
requirements or restrictions or about the various rules is encouraged to contact the Committeels
Office of Advice and Education at extension 5~7103.
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FINANCIAL DISCLOSURE
House officers and employees whose "rate of basic pay is equal to or greater than
120 percent of the minimum rate of basic pay payable for GS-15 of the General Schedule" for at
least 60 days at any time during a calendar year are subject to financial disclosure filing
requirements. provided that the officer or employee "performs the duties of his [or her] position or
office for a period in excess of sixty days in that calendar year.'' 1 The GS-15, step 1, basic pay
rate for CY 2019 is $106,595. 2 The applicable 120% calculation for that rate is therefore $127,914,
or a monthly salary above$ l 0,659. This rate is referred to as the "senior staff rate."
As a result, House officers and employees whose basic rate of pay is equal to or greater
than the senior staff rate ($127,914) for at least 60 days 3 during 2019 must file an FD statement
on or before May l 5, 2020. 4 (Temporary increases in an employee's basic rate of pay- such as to
pay out a bonus count toward this threshold, but "lump sum•· payments do not. 5) In addition,
any new employee paid at or above the senior staff rate must file a "new employee" FD statement
within 30 days of assuming employment with the House. 6 A new employee may request an
extension of the new employee FD filing deadline of up to 90 days, but the request must be
received by the Committee or on before the original filing deadline. 7 Finally, any staff who are
paid at or above the senior staff rate on January 3, 20 l 9 (or their first day of employment, if later
in the year) must file reports (PTRs) on an ongoing basis throughout the year regarding certain
financial transactions. 8 PTRs are not annual filings, but must be filed within 30 days of a purchase.
sale, or exchange of more than $1,000 in stocks, bonds, and other securities. 9
1
EthicsinGovernmentAct(ElGA)§§ l09(13)and 10l(d),5 U.S.C.app. §§ l09(13)and J0](d)(hereinafter
all citations to the EIGA will be to the appropriate federal code citation). In addition, all House Members are subject
to financial disclosure filing requirements. 5 U.S.C. app. §§ I0](d) and (f).
' Exec. Order No. 13,866, 84 Fed. Reg. 12853 (March 28, 2019). The new senior staff rate is retroactive to
January 1,2019.
3
The House payroll department operates on a 30-day payroll cycle, meaning that each monthly pay period,
regardless of its actual length, is counted as 30 days. Thus, a change to an employee's base rate of pay in any two
months during the calendar year (even non-consecutive months) may trigger the requirement to file an FD. This is
true even if the pay change affects only part ofa month.
4
5 U.S.C. app. §§ 10l(d) and (f).
5
See Comm. on Ethics 2008 House El hies Manual at 283-84, available at
https://ethics.house.gov/sites/ethics.house.govifiles/documents/2008 _House_ Ethics_Manual.pdf; Comm. on Ethics,
Instruction Guide, Financial Disclosure Statements and Periodic Transaction Reports, at 2 (Calendar Year 2017),
https://ethics.house.gov/forms/information~and~forms.
6
See 5 U.S.C. app. § 10l(a). The only exception to this filing requirement is fornew employees who assume
employment with the House within 30 days of leaving a position with the federal government in which they filed a
publicly-available FD statement. Individuals who are exempt from filing under these circumstances must notify the
Clerk of the House of that fact in writing by letter or through thee-filing system for filing FD statements.
7
A request for an extension must be made using either a form available on the Committee's web site or
through the electronic financial disclosure filing system.
8
5 U.S.C. app. § I 03(/).
9
For detail on the PTR requirement, see the Committee's August 17, 2012, advisory memorandum
"Periodic Reporting of Personal Financial Transactions Pursuant to the STOCK Act, as amended," which is
available on the Committee website (https://ethics.house.gov). under the links for Reports/General Advisories. Note
that the STOCK Act may require the filing of PTRs as often as once per month for Members and any staff who are
paid at the senior staff rate on the first day of the 2019 pay cycle (January 3, 2019). Staff who are paid at or above
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Please note that the requirement to file an FD statement covering calendar year 2018
applies to officers and employees whose basic rate of pay for at least 60 days in 2018 was $126,148
or more (a monthly salary at or above $10,512). Annual FD statements covering CY 2018 were
due on Wednesday, May 15, 2019, for those individuals who continued to be Members, officers,
or employees of the House on that date. 10 A filer may request an extension of the annual FD filing
deadline of up to 90 days, but the request must be received by the Committee or on before the
original filing deadline. 11
In addition, House Members, officers, and employees paid at or above the senior staff rate
for 60 days or more in a calendar year who terminate their House employment during that calendar
year are required to file an FD statement within 30 days of their termination. 12 A filer may request
an extension of the termination FD filing deadline of up to 90 days, but the request must be
received by the Committee or on before the original filing deadline. 13
THE OUTSIDE EARNED INCOME LIMIT
AND OUTSIDE EMPLOYMENT RESTRICTIONS
House officers and employees whose rate of basic pay is equal to or greater than the senior
staff rate for more than 90 days are subject to limits on the amount of outside earned incomc 14
attributable to each calendar year. 15 As noted above, the senior staff rate for CY 2019 is $127,914,
or a monthly salary above $10,659. The limit on outside earned income attributable to a calendar
year is 15% of the rate of basic pay for Executive Schedule Level II in effect on January 1 of the
year. As of January 1, 2019, the rate of basic pay for Executive Level II was $189,600. 16
the senior staff rate for more than 60 days later in 2019 - even if on a temporary basis - will also be subject to the
PTR requirement for the remainder of the calendar year and will be required to file an annual FD in 2020.
1
°FD statements are due May 15 annually. In the event that May 15 or another filing deadline under the
EIGA falls on a weekend or a holiday, the filing deadline shall be on the next business day.
11
See supra note 7.
12
See 5 U.S.C. app. § lOJ(e). The only exception is for filers who, within 30 days of their termination from
the House. accept a position with the federal government that requires the filing of a publicly-available FD statement.
Departing employees who are exempt from filing under these circumstances must notify the Clerk of the House of
that fact in writing, by sending a letter, completing a form available for that purpose, or filing a notice through the
electronic financial disclosure filing system.
13
See supra note 7.
14
The term "outside earned income" means any "wages, salaries, fees, and other amounts received or to be
received as compensation for personal services actually rendered" by a House Member, officer, or employee. House
Rule 25, cl. 4(d)(l ). It does not include, among other things, the individual's salary from the House, nor does it include
income for services rendered before the individual was employed by the House. Id at els. 4(d)(l )(A), (B).
15
5 U.S.C. app. § 50l(a)(l); House Rule 25, els. l(a)(l) and 4(a)(l).
16
Exec. Order No. 13,856, 84 Fed. Reg. 70 (Jan. 8, 2019).
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Accordingly, the outside earned income limit for House Members. officers, and employees paid at
or above the senior staff rate for CY 2019 is $28,440. 17
Members, officers. and House employees paid at or above the senior staff rate for more
than 90 days are also subject to a number of specific limitations on the substantive types of outside
employment for which they may receive compensation and must receive prior approval to receive
certain types of compensation. 18 These include prohibitions on receiving fil!Y compensation for
practicing a profession that involves a fiduciary relationship. receiving any compensation for
affiliating with a firm that provides professional services involving a fiduciary relationship, or
permitting such a firm to use one's name. 19 Receipt of compensation for service as an officer or
member of a board of directors is also prohibited. 20 Prior written approval from the Committee on
Ethics is required to accept compensation for teaching and to receive copyright royalties. 21
Detailed information regarding these limitations may be found on pages 213 to 238 of the 2008
House Ethics Manual, which is available on the Committee's website (https://ethics.house.gov).
In addition, the Committee would like to take this opportunity to clarify what income is
subject to the annual outside earned income limitation. "Earned" income is compensation for
personal services, unlike "unearned'' income, which is a return on capital. 22 According to long-
standing Committee policy, payment for personal services, where the personal services arc the
only material income-producing factor, is considered ··earned'' income for the purposes of financial
disclosure reporting and the outside earned income limit. 23 Although a Member, officer, or
employee paid at the senior staff rate may choose to establish a business entity for liability
purposes, any income attributable to the personal services performed by that Member, officer, or
employee, whether or not it passes through the business entity, is still considered earned income. 24
As a general matter, gross income earned from performing personal services is subject to
the outside earned income limit. Thus most expenses, whether reimbursed or unreimbursed, may
not be deducted to determine what earned income is subject to the outside earned income limit. 25
17
This amount is proportionally reduced when an individual becomes a Member, officer, or senior employee
during the calendar year. For example, an individual who is hired into a senior staff position on July I has an outside
earned limit that is one-halfofthe full amount. or $14,220. The outside earned income limit for 2019 will not change
even if the General Schedule changes later in 2019 because it is based on the amount as of January 1, 2019. See 5
U.S.C. app. § 501(a)(2); House Rule 25, cl. l(b).
18
See 5 U.S.C. app. § 502(a); House Rule 25, els. 1-4.
19 Id.
'° Id.
" Id.
" See 2008 House Ethics Manual at 212. "Unearned" income generally consists of dividends, rents.
interest. and capital gains. See Ethics in Government Act, 5 U.S.C. § 102(a)( I )(B).
" See House Select Comm. On Ethics, Advisory Opinion No. 13 (October 1978), reprinted in 2008 House
Ethics Manual at 366.
" Id at 368-369. Regardless of how payment may be characterized, the real facts control. Id. at 365.
" The Committee may consider written agreements addressing reimbursements for expenses entered into
before personal services are provided as an exception to this guidance. Any request to consider something other
than gross income for the purposes of the outside earned income limit must be submitted in writing. If, however, the
reimbursements are for expenses paid for a campaign, the candidate and the employee should seek guidance from
the Federal Election Commission's congressional liaisons at (202) 694-1006.
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80
However, expenses for a Member, officer, or employee's own travel are not considered
compensation. 26 Therefore expenses for a Member, officer, or employee's own travel, whether
reimbursed or unreimbursed, are not included in the calculation of earned income.
Nothing in this guidance changes the Committee's guidance concerning family businesses.
In general, if a Member, officer. or employee engages in the "general oversight and management
or protection of his or her investment [in a business], such services would not be deemed to
generate significant income." 27 However, if the Member, officer, or employee performs services
for the business that "actually generate any significant income for the business," then some part of
the payments the Member, officer, or employee receives from the business may be deemed earned
income. 08 As a reminder, participation in advertising is not ·'general oversight and management,''
and it is not "protection of his or her investment.'''9 Advertising, by definition, is a driver of
revenue for a company. 10
Finally, federal statutes and regulations prohibit staff from making campaign contributions
to their employing Members." Outlays are contributions. even ifreimbursed. 32 Reimbursements
for an employee's own personal travel expenses are permitted. 33 For further questions regarding
reimbursements for personal campaign travel, please contact the Federal Election Commission
(FEC) congressional liaisons at (202) 694-1006.
EXAMPLES
1. A senior staffer is an employee of a Member's campaign and receives a W-2 at the end
of the year listing the staffer's salary. All of the salary listed on the W-2 is reportable
on Schedule C ("Earned Income") on the staffer's financial disclosure statement for
that year and subject to the outside earned income limit. The staffer must also report
the position on Schedule E ("Positions'')
2. A senior staffer establishes a single-member LLC through which to run salary earned
from a Member's campaign. Even though a business entity was formed, LLCs and S-
Corporations are pass-through entities. Therefore, all income the staffer earned from
providing personal services to the Member's campaign is reportable on Schedule C
26
See, e.g., House Rule 25, cl. 5(a)(3)(G)(i) (gifts of travel resulting from outside employment are
permissible so long as not offered or enhanced because of the Member, officer. or employee's House position); 2008
House Ethics .\fanual at 222 (reimbursement of travel expenses for a Member or senior staffer's board service is
permitted, although compensation for that board service is not permitted). Travel related to outside activities that
exceeds the reporting threshold must be disclosed on Schedule H ('"Travel Payments and Reimbursements") of the
annual financial disclosure statement. 5 U.S.C. § l02(a)(2)(BJ.
07 See House
Select Comm. On Ethics, Advisory Opinion No. 13 (October 1978), reprinted in 2008 House
Ethics Manual at 364.
" Id.
'° Comm. on Ethics, Guidance on Personal Endorsement or Promotion by Members of the House of
Representatives at 2 (Aug. 24, 2018).
,o Id
31
See 18 U.S.C. § 603.
30
See 52 U.S.C. § 30!01(8)(A)(i).
33 See id at (8)(B)(iv).
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("Earned Income'') on the staffer's financial disclosure statement for that year and
subject to the outside earned income limit. If the LLC has a value over $ I ,000 or
generates income over $200, the staffor must also report the LLC on Schedule A
("Assets and Unearned Income").
3. A Member has a side business, where the Member repairs computers and technology
equipment. To further the Member's business, the Member purchased a laptop using
the income from the business. Although the Member may be able to deduct the laptop
for the Member's annual taxes, only personal travel expenses may be excluded for the
purposes of the outside earned income limit. Therefore, all the income earned is
reportable on Schedule C ("Earned Income") on the financial disclosure statement for
that year, and the income is subject to the outside earned income limit. If the side
business has a value over $1,000 or generates income over $200, the Member must
report the business on Schedule A ("Assets and Unearned Income").
4. A Member is a stockholder in a C-corporation. The Member receives $201 in dividends
from that C-corporation in a calendar year. The dividends the Member receives are
unearned income and should be reported on Schedule A ("Assets and Unearned
Income'') of the Member's financial disclosure statement. If the value of the Member's
shares in the C-corporation exceeds $1,000 on the last day of the reporting period, the
value must also be reported on Schedule A.
DISCLOSURE OF EMPLOYMENT NEGOTIATIONS AND RECUSALS
House Members, officers, and employees paid at the senior staff rate must notify the
Committee within three (3) business days after they commence any negotiation or agreement for
future employment with a private entity. 34 In addition, House Members, officers, and senior staff
must recuse themselves from "any matter in which there is a conflict of interest or an appearance
of a conflict" with the private entity with which they are negotiating or have an agreement for
future employment or compensation, and they must notify the Ethics Committee in writing of such
recusal. 35 As noted above, the senior staff rate for CY 2019 is $127,914, or a monthly salary above
$10,659.
Information on the disclosure and recusal requirements related to seeking private
employment applicable to Members, officers, and senior staff is available in two Committee
advisory memoranda, one for Members and officers and one for staff. Copies of both memoranda,
which are dated January 2, 2019, are available on the Committee's website
(https://ethics.house.gov) under "Reports/General Advisories," and forms for making the
notifications regarding job negotiations or recusal are available under "Forms/Post-Employment."
34
House Rule 27, cl. 2; Stop Trading on Congressional Knowledge Act, Pub. L. No. 112-105 (Apr. 4, 2012)
(hereinafter STOCK Act)§ 17.
,s House Rule 27, cl. 4; STOCK Act§ 17.
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POST-EMPLOYMENT RESTRICTIONS
House Members and officers. as well as certain other House employees, are subject to post-
employment restrictions on lobbying. 36 In general, a former employee of a Member, committee,
or leadership office is subject to the restrictions if, for at least 60 days during the one-year period
preceding termination of House employment, the employee was paid at a rate equal to or greater
than 75% of the basic rate of pay for Members at the time of termination. This amount is referred
to as the "very senior staff rate."
The basic rate of pay for Members in 2019 will remain $174,000. 37 Therefore, the post-
employment threshold for employees who depart from a job in a Member, committee, or leadership
office in CY 2019 remains $130,500, or a monthly salary of $10,875 or more. However, the
triggering salary for employees of other House offices (such as the Chaplain. Chief Administrative
Officer, Clerk, General Counsel, Historian, Inspector General, Law Revision Counsel, Legislative
Counsel, Office of Congressional Ethics, Parliamentarian, and Sergeant of Arms) is Executive
Schedule Level IV. 38 For 2019, that salary is $166,500, or a monthly salary above $13,875.
Information on the post-employment restrictions applicable to Members, officers, and very
senior staff is available in the two Committee advisory memoranda referenced in the previous
section. 39
*****
" l 8 u.s.c. § 207.
37
See Section 212 of Title II of the Energy and Water, Legislative Branch, and Military Construction and
Veterans Affairs Appropriations Act.2019. Pub. L. No. 115-244 Sep. 21, 2018 ). prohibiting a scheduled cost-of-living
pay raise for Members. As a result, Member pay will remain at $174.000 for 2019.
" "(O]ther legislative offices" also includes employees of the Architect of the Capitol. United States
Botanic Garden, Government Accountability Office, Government Publishing Office, Library of Congress,
Congressional Budget Office, and Capitol Police. See 18 U.S.C. § 207(e)(9)(G).
39
Most of the post-employment restrictions apply to very senior staff. As discussed in the general
advisory memorandum for former staff, however, one provision applies to ,ill former House staff- regardless of rate
of pay- and restricts use of confidential information obtained during personal and substantial participation in
ongoing trade or treaty agreements.
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83
CALENDAR YEAR 2019
Item 2019 Amount
Outside earned income & outside employment threshold $127,914
- Outside employment fiduciary restrictions if paid at rate
($10,659/mo)
for more than 90 days during 2019
Outside earned income limit $28,440
Financial Disclosure/PTR threshold $127,914
- Annual FD required in May 2020 if paid at rate for ($10,659/mo)
60 days or more in CY 2019
- PTRs required during CY 2019 if:
- Paid at rate on first day of calendar year or first day of
House employment (if later); or
- Paid at rate for any two pay periods during CY 2019
(e.g., if get bonus or pay raise during calendar year),
subject to PTR requirement for remainder of year
Written disclosure of job negotiations and recusals $127,914
required
($10,659/mo)
Post-Employment threshold for employees of Member, $130,500
committee, or leadership offices
($10,875/mo)
Post-Employment threshold for employees of "other $166,500
legislative offices" (seep. 7)
($13,875/mo)
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1/2212020 Important 1n+ormat1on r~ela11ng to Humc,me Donan
Important Information Relating
to Hurricane Dorian
August 30, 2019
Important Information Relating to Hurricane Dorian
Dear Colleague:
Several offices have contacted the Committee on House Administratlon, the Commission on Congressional
Ma1l1ng Stand.,rd• (Franking Comm1ss;o11L and the Committee on Ethic, to inqu,re about the extent to which
off1c1al resources may be used to help those impacted by Humcane D01ian, We would like to take lh!S
opportunity to provide a review of the applicable rules, ri,gu!ations, and procedures.
When a state of emergency ls declared, Members whose districts are directly affected may provide consutuents
with information to assist those impacted. This information may Include addresses and telephone nurnbers of
entItIe, involved •n relief efforts being coordinated by the federal government In the past. Members have
provided contact information for blood drives conducted by the American Red Cross in conjunction with the
Federal Emergency Management Agency (FEMA)s However, referrals to organizations or l1ni1s to Sites wl1ose
primary purpose is the solicitation of goods, funds, or se,vices on behalf of individuals or or9anizations ere not
permitted under the rule• of the House, To summarize, for Member• directly affected, contect information
for government entities, H well H private entities directly involved in relief efforts organized by the
federal government, may be unt 88 a maaa communication (emails, advertisements, flyers for handout,
and posten,) and poated on your official website and eocial media accounts. However, any such
un•olicited m••• communication• muet be revia\Wd by the Franking Commi••ion prior to rliatribution.
The Committee on House Administration recommends use of these 9overnment established websites for
information on the relief efforts·
'1!3
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85
1/22/2020 Important Information Relatmg to Humcane Dorian
www ;-eqd'(gov:
w-,v.s. nhc n.oacl gov
.lhww rws r:rm1qov/ornihurn~ne/indfiK~rnl
Members have asked to what extent they may use their official resources to solicit or collect donations of goods,
funds, or services on behalf of charities and other private organizations invol\'ed !n such efforts. We understand
the good intentions of those making such 1nqu1nes. but the rules of the House preclude Members from using
official resources for any purpose other than in support of the conduct of the Member's official and
representational duties on behalf of the d1stnct the Member currently represents. This rule has been interc,reted
to mean that charitable solicitations using official resources are not permitted Please contact the Committ~e on
Ethics wm1 any questions surrounding this rule To aummarize, Membera and staff may not uae official
resources to solicit anything for charities.
While official resources may not be used to solicit contributions for charitable organizations or to imply that such
organizat,ons or purposes have been endorsed by the House of Representatives, Members and staff may solicit
in their personal capacitiet on behalf of organizations that are qualified under§ 170(c) of ttle Internal Revenue
Code - including, for example, § 501 (c)(3) charitable organ,zat1ons such as the Red Cross or Team Rubicon -
without first obtaining Committee on Ethics approval. These personal efforts may not use official resources
(including official staff time: office telephones, e-mail, and equipment; and offic.ia1 mailing lists). Other
restrictions also apply_ Solicitations on behalf of non"qualified entities or individuals are decided on a case-by-
case basis through the submission to the Committee on Ethics of a written request for permission to make such
solicitations. For example, solicitations of donations directly for individuals suffering as a result of the crisis, as
opposed to§ 501 (c)(3) charities assisting sufferers. would need prior Committee on Ethics approval. For more
information about soiic1tat1ons for§ 501(c)(3) or other ent1t1es. please review pages 347-49 of the 2008 House
Ethics Manual or contact tile Comrn,ttee on Ethics at 5-7103. To summarize, Membe1' and staff may solicit
for charities in their personal capacities only.
If you have any questions regarding the use of your:
1. Official resource• in general, please contact the Committee on House Administration at (202) 225-
2061 (majonty) or (202) 225-8281 (minority),
2. Communications resources. please contact the Franking CommisS1on at (202) 225-9337 (majonty)
or (202) 228-0847 (rninonty), or
3. Personal or campaign resources, or the loan of your name and personal title to private solicitations or
1nitiat1ves ,n support of the relief efforts, please contact the Committee on Ethics at (202) 225-7103
Sincerely,
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86
1:.2l/2020 Important lniormat•on R111l11hng to !--lurncnne Donlin
Chairperson Zoe Lofgren Ranking Member Rodney Davis
Committee on House Administration Committee on House Administration
Cha:rman Ted Deutch Ranking Member Kenny Marchant
Corrnrnttee on Ethics Committee on Ethics
•-Dear Colle-agues are intended for internal House use only.
313
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('(t>.i\ffl I U. 0\ l· r!i!CS
"lovcmbcr 14, 20 l q
:\JE:1>10RANDC!\I FOR ALL ME~UIERS, OFFICERS, AND K'ltPLOYEES
FROM: Committ<:c on Ethics
Thcrnforc E. Dcutch. Chairman
Kenny \.farchant, Ranking !',.,1emhcr
SLBJFCT: Access to Cl.lssified 1nfonnatio11 mtd Comrolled Areas
l'bis memorandum serves as a reminder to ah House Members, offic~rs, and employees
about the ongoi11g obligation 10 ::;afcgttard c-iassi1ied tnrormatton and ureas,
House mks require that all House !v1embers and stafl~ before accessing classified
information.. shall cxecme an omh stating that he or she ,vill no1 disclose any c.lassific-d infon118tion
n:ccived ln the course 0f their s1.:~rvicc with the House of Representatives, except as rmthorized by
the House of Representatives or in ac{;ordance \Vith its rules. 1 \Vheu a \.1crnhcr should be mvar~
of cir is uncertain about !bi:- r!nssification of scm:itiYi:: information in their poJs:ession, they must
make a good faith cff1Jrt to asc~rtain its c!assificH!.inn \\'ith the appropriat~ exccutl\·e hranch ngency
before disclosing it to the public.
To ::'1cilitatc its \Vork, the House hns multipic sensitive compartmented inrormation
foci!itics (SCIFs) 0r control!ed areas, Each controlled ilrea is go\'erncd by the appropriate
conunittce of jurlsdktion or the Sergeant 0.1 Arms Hmi.:c-...,cri there are basic tenets regarding
aecess lo classified infonnation and controlled areas that all Fiouse :.\1embcrs and employee~
should adhere to,
Access to classi ficd information and a:-eas. even for den red personnel. is granted on a "'need
t;) !mow" basis. As such, House personnel sh,mld not a1tempt io gain access to dassificd
information or con1rollcd nrcas unless they hnv~ a need to actess the area or information. t-..1uhiplc
overlapping. safoguards exist !o prott.:(.;t abainst difforent types of intrusion. 1lm.vcver, the
protections rely on the -cooperation or
tht.)sc entering a SC!F hJ ensure counkrmcasmcs art! not
compron~ise-d. Tlrns, pDrtabli::: ekcmmic devices (PEDs) shoulrl gcncrnily not he taken into any
contmllcd un:a, PEDs include, but are not 1imi1cd to. cell phone~, ldpi.ops, srnanwatclws, tablets,
or any t!the:r devices capahk ortnmsrniitii1g: or r...:cciving an electronic signal.
: Hoi:se Rule 2 t dr.tEc Li
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88
House ,,ontroihid areas are accredited for operation by the intelligence commwlity and are
subject to periodic inspections to recertify their accreditation. Breaches of security protocols or
unauthorized disclosures could result in the decertification of these facilities. This would
significantly impair the House's ability to conduct its business.
Inadvertent breaches of security protocols or unauthorized disclosures may be handled as
a mat1er of security by the committees of jurisdiction over the relevant cla~sificd information or
controlled areas. However, attempts to gain unauthorized access to classified area~ or purposeful
breaches of basic security protocols mtty cause clas~itied information to bo improperly disclosed,
and nrny reflect discreditably on the I louse as a legislative body. The Committee has ji.o·isdiction
to investigate violations of House rules, regulations, laws, or other standards of conduct, including
.vioh1tinns of House rules regarding disclosure of dassified information and other potential
violations of the Code of Official Conduct.2
lf you have any questions regarding this gmuancc, please feel free to contact 1hc
Committee's Office of Advice and Education at (202) 225-7 l 03.
'House Rule 23.
-2-
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89
W.e. ~oust of 1'.rpru,rntatil:Jrs
( 01.l\11 r rI I ()'\, UH!CS
NO\ember 26.1019
MF.MORANDCM FOR ALL MEMBERS OF THE not;sF. OF REPRESENTATIVES
FROM: Committee on Ethics
Theod,,re E. Dcutd1. Chainnan
Kenny Mnrchanl. Ranking lvlember
Sl 113.l[CT: Reminder about Annual Ft hies Training Requirements for 2019
This memnnmdum is a reminder to all offices about ethics training requirements. The
Committee on Ethics is required to pm, ide annual ethics training to each ~kmb(:r, Delegate.
Resident Commissioner_ otlkcr, and cmpluycc of the House. 1 The Comm.ittec oJTers ethics
training both through on line video courses and in,person training sessi1Jns, For the J 16th Congress
to date. the Committee has held 80 in-person ethics training sessions and provided in-person ethics
training to more than 3,200 Members:. officers. and employees. Additional in-person ethics
training sessions f()r 20 l 9 arc included later in this memorandum.
New House Members and employt.~cs must compiete a specifically designated ethics
training session "ithin 60 days of j0ining the House. l Existing I louse Members. oilicers, and
employees nre required to take one hour of general ethics ,training each calendar yeac ln addition.
the Committee requires all senior staff•t whether new or existing c-mployccs to complc-te an
additional hour of specialized training at least once per Congres'.-..
Hou,._e Rule 11, c\au,;c 3(a)(-6)(A). Th~ Committee dcffoes an '·offa,cr or employee'" as an individual
appointed to a position of employment in the l; .S. Hou5e of ReprescntatiV{.'5 by an authorized t'mplo)·ing authority
who is rec~iving 8 salary dishur:Jed by the Chief Administrative Officer or is on a kavc \\ itbout pay or for!ough
status.
:;, ft)r all purpo~es in 1his menwrandum, "Member" is defined to indudc any current Member, Delegate. or
Rr:sid~nt C'ommis1ioner of the Hou5,;: of Representatives.
1
H0use Rule 11, cl:rnse 3(a)(6)(B )(i).
' "'Scni~)r st.i.ff' for training purposes arc ~mpk1)·ees ,,._fo.1 arc paid nt the ·'senior s1affannuzi.i salary rate" for
al least 60 d:iy~ in either (or hoth) calendar )'CIUS of<! (~ongrcss. Fm 2019, tht: senior staff l::lnn11l\l salar)' rate is
S ! 27,9 l ~. or a monthly pay rate at or above S10.512. Please note that the scniL)r staff annual s:c1lary rate is suh,i~ct to
change in 2019.
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By January 31 of each year, all House Members and employees must certify to the Ethics
Committee that they have completed ethics training during the preceding calendar year. 5
Employees who pre-register for and sign the attendance sheet at a live training or fully complete
one of the on line training options available through the Congressional Staff Academy will have
made their necessary certification to the Committee. The following are the ethics training
requirements for 2019 for Members. officers, and employees of the House, as well as the details
of how to complete the registration and/or certification process for both live and online ethics
training programs.
2019 ETHICS TRAINING REQUIREMENTS
Members
New House Members must complete a training session specifically designated for new
Members within 60 days of joining the House. A ·'new" Member for the purposes of the 2019
training requirement is an individual who was.firs/ sworn in on or after January 3, 2019. Before
each Congress, the Committee on Ethics provides ethics training for incoming new Members at
the New Member Orientation organized by the Committee on House Administration. The
Committee on Ethics also provides this training for new Members elected through a special
election within the new Members' first 60 days.
Existing Members are required to take annual ethics training, either by completing the
training online, attending a live ethics training session, or requesting a briefing for their office. For
2019, this means all existing House Members must complete one hour of training by
December 31 1 2019. lf Members would like to complete ethics training on line, please have a staff
member contact the Committee for a password.
"New" House Emplovees
All new employees must complete ethics training within 60 days of beginning House
employment. A ·'new'' House employee for purposes of the 20 l 9 training requirement is an
individual who first began employment with the House on or after January 3. 2019. Any former
House employee who returns to llousc employment after a gap of more than 90 consecutive
calendar days is considered to be a "new" employee. Interns paid by the House for more than
60 days also must comply with this requirement. 6 New employees, depending on their work
location, may satisfy their training requirement in the following manner:
• New employees who work in Capitol Hill offices are required to attend a live
training session. The schedule of upcoming new employee live ethics training
sessions is available on the Committee website: https://ethics.house.gov.
5
House Rule 11, clause 3(a)(6)(B)(ii).
6
Detailees, fellows, unpaid interns, and any individuals who are employed by the House and paid for
fewer than 60 days are not required to attend ethics training in 2019. The Ethics Committee nonetheless encourages
these individuals to complete ethics training, so they become familiar with the House ethics rules while working in a
House office or for a House committee.
2
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• New employees who do not work in Capitol Hill offices may either attend a live
training session or watch the .. 2019 New District Staff' training video on line
through the Congressional Staff Academy website under the Annual Training tab.
No other video satisfies the training requirement for new employees.
New employees will not receive credit for attending or watching any training sessions other
than those specifically designated ..New Employee" or "New District Staff." New employees in
Capitol Hill offices will not receive credit for completing online. rather than live. training. Note
that new employees who are senior staff have an additional hour of training to complete, as
explained more fully below under "Senior Staff Training:·
Existing House Emplovees
"Existing" (i.e .. not new) House employees must complete one hour of training before the
end of the calendar year. For 2019, this means all existing House employees must complete one
hour of training by December 31, 2019. There arc no extensions to this deadline, for any
reason. In addition, employees who are senior staff may have an additional hour of training to
complete. as explained more fully in the next section. Employees are responsible for knowing
whether they are considered senior staff.
As a general matter, existing employees will fulfill their general ethics training requirement
by completing an online session designated for general ethics training through the Congressional
Staff Academy website. The Ethics Committee will also offer some live training sessions that
fulfill the general ethics training requirement. Note that attending a live training session for new
employees does not satisfy the annual ethics requirement for existing House employees.
Senior Staff Training
All employees who are "senior staff'' are required to take an additional hour of training at
least once per Congress on issues primarily of concern to senior staff or supervisors. Forthe I I 6th
Congress, this means all senior staff must complete one hour of training by January 3, 2021. This
·'senior staff' hour is required in oddition to the one hour of general ethics training all officers and
staff are required to complete annually. Senior staff employees may fulfill the requirement for an
additional hour by attending a live senior staff training session or completing an on line senior staff
training session through the Congressional Staff Academy website.
Briefings that satisfy the senior staff training requirement include general sessions on
issues of concern to senior staff. sessions on completing financial disclosure (FD) statements or
Periodic Transaction Reports (PTRs). or sessions on the post-employment restrictions. However,
employees may not complete more than one hour of senior staff training in lieu of completing their
annual general ethics training requirement.
7
See supra note 3.
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92
ONLINE REGISTRATION & CERTIFICATION PROCESS
For live ethics training
Employees who plan to attend any live training session must preregister at
https://house.csod.com/samldefault.aspx (found under "annual trainings•") and sign-in on the
attendance form prior to the start of the training. Even if employees preregister, they must sign in
and attend the full hour to fulfill their ethics training requirement. Attendees must arrive within
five minutes of the start of the training to be able to sign the attendance sheet. Any late arrivals
who miss the sign-in period will not receive credit. After their attendance, employees who have
signed the attendance sheet and attended the full hour of training will receive email confirmations,
which they should preserve for their own records. Employees can download training certificates
on the Congressional Staff Academy website under the "learning" tab and by clicking ''view my
transcript." On this page, click the "active'' drop-down box and select "completed.'' The
certificates are confirmation for employees that they have satisfied the annual training and
certification requirement. Any employee who has received this email confirmation statement has
made the necessary certification to the Committee that they have completed their ethics training
requirement.
The list of upcoming live training sessions for the remainder of 2019 is listed below and also
available on the Ethics Committee website: https://ethics.house.gov. All staff scheduled training
sessions whether for new, existing, or senior staff - will be listed on the Committee calendar on
an ongoing basis.
Name of Traininl! Location Date and Time
Senior Staff IIVC 201 A&B December 2, 2019 at I 0:30 AM
New Employee HYC 201 A&B December 2, 2019 at 2:00 PM
Members-Onlv HYC201 A&B December 3, 2019 at 4:00 PM
Senior Staff HVC 201 A&B December 9. 2019 at I 0:30 AM
New Employee HYC 201 A&B December 9, 2019 at 2:00 PM
Members-Only HVC201 A&B December 9, 2019 at 4:00 PM
Senior Staff HVC201 A&B December 16, 2019 at I 0:30 AM
New Emplovee HVC201 A&B December 16.2019 at 2:00 PM
For online ethics training
Employees who want to complete ethics training online can access the training through the
Congressional Staff Academy website: https:/house.csod.com/samldefault.aspx. Ethics training
can be found under the "annual training" tab. Employees must complete the entire online training
program to receive credit. Employees must use a House computer to access the Congressional
Staff Academy website. Employees who do not have access to a House computer or do not have
a House email account should contact the Ethics Committee to make alternate arrangements for
completing their training.
After completing an online training program, the system will automatically log the
employee as ··complete.'' This information is automatically transmitted to the Ethics Committee.
4
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Thus, once the system labels an employee as ·'complete," the employee has satisfied the annual
training and certification requirement. Employees will be able to check their Congressional Staff
Academy transcript at any time to verify the completion of their own annual ethics training
requirement.
Each individual House employee is responsible for completing their ethics trammg
requirement and certifying completion. Employees can view past training history on the
Congressional Staff Academy website under the "learning" tab and by clicking "view my
transcript."
A chief of staff (or staff director or other supervisors) can confirm employee ethics training
completion by requesting each staff person to provide either the email they received after attending
an in-person training or a print out their Training Completion Certificate from the Congressional
Staff Academy website: https:/house.csod.com/samldefault.aspx.
FAILURE TO COMPLY WITH THE TRAINING REQUIREMENTS
Failure to satisfy the annual training requirement is a violation of House rules 8 and may
result in any of the specified disciplinary sanctions for House Members and employees, including
the publication ofnoncompliant House Members and employees' names, additional ethics training,
or other actions the Committee deems appropriate. If you have any questions regarding this
guidance, please feel free to contact the Committee ·s Office of Advice and Education at (202) 225-
7103.
*** * *
'See House Rule 11, clause 3(a)(6)(B)(ii).
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0"1: IIL~DRED SIX l !:E's rH CO:\GRfoSS
tt .~ . .,oust of l\eprescntatibes
C0\!\1lr-i IL O, L'I IIJCS
December 11. 2019
MEMORANDliM FOR ALL MK\lHERS, OFFICERS, AND EMPLOYEES
FROM: Committee on Ethics
Theodore £. lleutch. Chairman
Kenny Marchant. Ranking Member
SliB.JECf: Outside l'(>sition Rcgulati,111s
House Rc,olution 6 (l-L Res. 6). crcmcd a'"" clause in the Code of Ot1icial c,,nduct
clTcctivc fanuar, I. 2020. IL Res. 6 also requires that. "Nol later than December 31. 20 i 9. the
Committee on Ethics shail deYclop regulations addressing other types of prohibited servkc or
pos1tions that coukl lcaJ to conflicts of interest." To assist the Committee on Ethics (Committee)
in fulfilling this mandate. the (.'ommittec established a vvorkin_g gn)up. consisting ofRcpresentutivc
Susan Wild and Representative Van fa) ior. Alter extensive research. a public session. and
solkitation of input from ~·1embers 1 of the Housr,,~ ofRC'.presentativcs. the Committc~ voted to adopt
the Outside Position Regulations tOPR) issued today h: unanimous ,ote.
Sections VIII anJ X of the OPR restate existing restrictions from the Ethics in Government
Act. 5 lJ.S.C. app. §§ 102 and 502(a): House Ruic 25. clauses land 2: and lfousc Ruk 26. As
such, those prohibition• and reporiing reqoiremeDts haYe been and remain in effect
pursuant to the underlying authoritic• and 1we,·iou, Committee guidance. Ho"·ewr, the
remainder of the OPR ><•ill be e/J<'i-tive on ,Jan nary 1. 2020. Forms rcloted t\\ the OPR "ill be
issued prior to the effecti,e date. rhe Committee will inc0rporatc the OPR standards into its
annual training starting in 2020 and is available 10 provide guidance concerning compliancc-
throui;h the O11ice ,,f AJ, ice and Education. at {202) 225-7 i 0.1.
While the OPR are extcn,i,c. they are not cxclusiYe. Members, ot1iccrs. and emrk>,ces
of the House arc rcmind1;d that Constitutional provisions and federnl statutes may place additional
restrictions on outside employment. positions, and activities. 2 Members, offic\!rs. and cmp!oy~cs
of the flousc arc forthcr reminded that I louse Rule 23. clause l requires that they ·',hall behave at
ali times in u manner 1hat shall reflect creditnbl) on the llous,:" and House Ruic 23. clause 2
require~ that they "shall adhere to the spirit and the letter of the Rules of the House,"
1 For all purpose~ in this mi:mor:rndum, "~,fem her" is defined to inciud,~ <Hl)' CUITcnt .\kmbi:r, Dckgutt\
H:csidcnt ('ommi:-~iotKT of the House of Representa.tives.
;, Som(! ~)fthcsc additional restrktions 0n outside actiYities and po~ilions include th¢ Lmr,lumcnt.s- Claust.'
and Incompatibility Cl.au~,: of the Con:;ti1ution, the Dua! ( 'omp~nsation statuh:. th~ statute prohibiting \1ern~crs
from wnnacting with the federal government, and tl!deral criminal c-onflict of interest statutes. Members and staff
'i'.ith ques.tions aOOut e.ny of these additional restrictions arc enco11mged lD contact the Committee and.'or the Offici:
0f (kncral Counsel for guidance.
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95
U.S. HOUSE OF REPRESENTATIVES
COMMITTEE ON ETHICS
OUTSIDE POSITION REGULATIONS
December 2019
Effective January I, 2020
I. Authority
The Committee on Ethics is authorized to issue regulations on this subject pursuant to H. Res.
6, I 16 th Congress.
II. Effective Date
These regulations are effective January I, 2020. To the extent that these regulations restate an
existing standard, for example, Sections VIII and X, those standards have been and remain in
effect pursuant to the underlying authorities and related Committee guidance.
III. Construction
In construing these regulations, Members, Delegates, Resident Commissioners, officers, and
employees of the U.S. House of Representatives are instructed to take into consideration their
obligations under House Rule XXIII, clause I, that they ''shall behave at all times in a manner
that shall reflect creditably on the House," and House Rule xxm, clause 2, that they "shall
adhere to the spirit and the letter of the Rules of the House."
IV. General Rules:
a. A Member, Delegate, Resident Commissioner, officer, or employee of the U.S.
House of Representatives may not serve as an officer or director of an entity in
circumstances described in section VII of these regulations.
b. A Member, Delegate, Resident Commissioner, officer, or employee paid at or
above the senior staff rate of the U.S. House of Representatives is subject to
additional restrictions, described in section VIII of these regulations.
c. A Member, Delegate, or Resident Commissioner of the U.S. House of
Representatives may not serve as an officer or director of an entity in circumstances
described in section IX of these regulations.
V. Scope
a. Nothing in these regulations should be interpreted to supersede statutory
restrictions pursuant to 5 U.S.C. app. § 502(a).
b. These regulations do not address positions with political organizations.
c. These regulations do not address positions that are advisory or honorary in nature.
VI. Definitions
a. Advisory or honorary position. The term 'advisory or honorary position' means
a position in name only, with no decision-making responsibilities, no fiduciary
responsibilities, and no requirement to fulfill prerequisites to be bestowed the
advisory or honorary title.
2-
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96
b. Charitable trust. The term 'charitable trust' means a trust pursuant to 26 U.S.C.
§ 4947(a), and includes split-interest trusts.
c. Committee. The term ·committee' means the Committee on Ethics of the U.S.
House of Representatives.
d. Company traded on a foreign market. The term ·company traded on a foreign
market' means a security that only trades on a foreign publicly traded exchange;
e.g. the Tokyo Stock Exchange or Paris Stock Exchange.
e. Entity that receives funding from a federal agency. The term 'entity that
receives funding from a federal agency' means an entity that seeks. spends, or
administers appropriated funds provided by a federal agency.jurisdiction of which
falls within the committee on which a Member, Delegate. or Resident
Commissioner sits.
f. Entity that is regulated by a federal agency. The term 'entity that is regulated
by a federal agency· means an entity that is subject to regulations promulgated by
a federal agency. which falls within the jurisdiction of the committee on which a
Member, Delegate, or Resident Commissioner sits.
g. Family business. The term 'family business' means a partnership, corporation,
limited liability company; or other similar commercial organization, in which
members of the family, as defined by 26 U.S.C. § 2704(c)(2), exercise control, as
defined by 26 U.S.C. § 270l(b)(2). over the business entity. 'Family business· does
not include sole proprietorships.
h. Family trust. The term ·family trust' means a trust established for the benefit of
persons in the same family, as defined by state law.
i. Political organization. The term 'political organization' means an organization
qualified under § 527( e) of the Internal Revenue Code.
j. Public company. The term 'public company' means an issuer as defined in section
3 of the Securities and Exchange Act of 1934 ( 15 U .S.C. § 78c}-(I) the securities
of which are required to be registered under section 12 of such Act ( 15 U.S.C. §
781); or (2) that is required to file reports under section I 5(d) of such Act (15 U.S.C.
§ 78o(d)).
k. Senior staff rate. The term 'senior staff rate· means a basic rate of pay equal to or
greater than l 20 percent of the minimum rate of basic pay payable for GS-15 of the
General Schedule. Employees who receive the senior staff rate for 60 days in a
calendar year must file financial disclosure statements and periodic transaction
reports pursuant to 5 U.S.C. app. § I 01 et seq. Employees who receive the senior
staff rate for 90 days in a calendar year are subject to additional restrictions,
pursuant to 5 U.S.C. app. § 502(a).
VII. Prohibitions for Members. Delegates, the Resident Commissioner, Officers, and
Employees
a. A Member. Delegate, Resident Commissioner, officer, or employee of the House
may not serve as an officer or director of any:
i. Public company; or
ii. Company traded on a foreign market.
•3.
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97
VIII. Prohibitions for Members, Delegates, the Resident Commissioner, Officers and
Employees Who Receive the Senior Staff Rate for 90 Days or More in A
Calendar Year
a. A Member. Delegate. Resident Commissioner. officer or employee paid at or above
the senior staff rate for 90 days or more in a calendar year may not:
i. Receive compensation for affiliating with or being employed by a firm.
partnership. association, corporation, or other entity that provides
professional services including a fiduciary relationship. except for the
practice of medicine;
ii. Permit his name to be used by such a firm. partnership. association.
corporation or other entity;
iii. Receive compensation for practicing a profession that involves a fiduciary
relationship. except for the practice of medicine;
iv. Serve for compensation as an officer or member of the board of an
association. corporation, or other entity; or
v. Receive compensation for teaching without the prior approval of the
Committee.
IX. Prohibitions for Members, Delegates, and the Resident Commissioner only
a. A Member, Delegate. or Resident Commissioner may not serve as an officer or
director of any
i. Entity that receives funding from a federal agency, jurisdiction of which
falls within a committee on which the Member, Delegate, or Resident
Commissioner sits, or
ii. Entity that is regulated by a federal agency,jurisdiction of which falls within
a committee on which the Member, Delegate, or Resident Commissioner
sits.
b. Exceptions:
i. Section IX(a) shall not apply if:
I. The Member, Delegate, or Resident Commissioner had served
continuously as an officer or director for at least two years prior to
their initial election to the House of Representatives. and the amount
of time required to perform such service is minimal;
2. The entity is a family business. family trust, or charitable trust;
3. The entity is qualified under§ I 70(c) of the Internal Revenue Code;
4. The entity maintains an active registration; however, it is for all
purposes dormant, and does not engage in any trade or business;
5. The position is conferred solely by virtue of an ownership interest
in the entity, and involves no active participation in the entity's
operations; e.g., to become an investor in an LLC that owns
restaurant franchises. the Member must become a member of the
LLC;
6. Service as an officer or director is specifically authorized by statute;
or
7. The entity is primarily available to Members, Delegates, the
Resident Commissioner. officers, and employees of the House of
Representatives, or their families; e.g., the House Childcare Center
or Congressional Federal Credit Union.
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c. Waiver or Suspension: Available on(y.f()r prohibilions in this section
i. The Committee may issue a waiver or a suspension for a period of time (not
to exceed 120 days) of the prohibitions contained in this section upon
written request. in exceptional circumstances only.
ii. The presumption when reviewing requests is that exceptional circumstances
rarely exist. When reviewing requests, the Committee may consider the
following as evidence of an exceptional circumstance:
I. The entity faces demonstrable and specific imminent, emergent. or
dire consequences if the requester steps down from the position;
2. (suspension only) The entity has made a diligent search, but has
been unable to appoint a successor before the Member. Delegate. or
Resident Commissioner is scheduled to take a position with a
committee; or
3. The articles of incorporation or similar document establishing the
entity specify that the requester is the only party who is legally able
to serve in the position, and the organizing document cannot be
modified by law.
iii. Waivers granted by the Committee shall be made available to the public in
the same manner as waivers of financial disclosure statement reporting
requirements.
X. Reporting Requirements
a. A Member, Delegate, Resident Commissioner; or officer or employee who receives
the senior staff rate for 60 days or more in a calendar year, must file financial
disclosure statements and periodic transaction reports pursuant to 5 U.S.C. app.
§ l Ol et seq. Among the items that must be disclosed are:
i. Outside earned income on Schedule C, "Earned Income". and
ii. Certain positions on Schedule E, "'Positions•·.
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EXAMPLES
Example 1. A Member serves as an uncompensated Board Member for a bank that is traded on
the New York Stock Exchange. Prior to his election, his position had been compensated, but he
moved to an uncompensated position upon swearing in pursuant to the Ethics in Government Act
(EIGA), restated in section VIll(a)(iv) of the OPR. Pursuant to House Resolution 6 and Section
Vll(a)(i) of the OPR, the Member must cease to serve as a Board Member for the bank, effective
January 1, 2020.
Example 2. A staff person commences working for the House of Representatives on February 10,
2020. The staff person serves as President of a corporation that is publicly traded on the Bombay
Stock Exchange; the corporation's stock is not publicly traded on any other country's stock
exchange. As President, the staff person has a fiduciary duty to the corporation and has voting
rights concerning the company's operations. Pursuant to Section VII(a)(ii) of the OPR, the staff
person must step down from his position as President of the corporation upon commencing work
with the House of Representatives.
Example 3. A senior staff person began working as an administrative assistant for a small candle-
making business owned by a family friend in January of 2019. He received $25,000 in
compensation in 2019. The senior staff person may continue to work for the small business as its
administrative assistant for compensation because (\) his compensation is below the outside
earned income limit for 2019 of $28,440, and (2) he does not serve as a fiduciary for the candle-
making business.
Example 4. A senior staff person who is an attorney began working for the House of
Representatives in 2011. In 2018, she was asked to re-join her former law firm as an ex officio
Board Member. In that role, she would be compensated at $18,000 per year. Although the amount
proposed is less than the outside earned income limit for 2018 of$28,050, the senior staff person
may not accept any compensation for her service as an ex officio Board Member due to the
restrictions on her affiliating with a firm that provides professional services including a fiduciary
relationship, pursuant to the EIGA, and restated in section Vlll(a)(i) of the OPR. The law firm
also may not use her name on its website or on firm letterhead.
Example 5. A Member who was sworn into the House of Representatives in a special election in
2019 is a medical doctor. She would like to continue to practice medicine now that she is a sitting
Member of Congress. The Member may receive compensation for practicing medicine only up to
the amount necessary to cover the costs of her Ii censure fees, continuing education units, medical
office expenses, and medical malpractice insurance premiums. The Member must file the
appropriate form for practicing medical doctors with the Committee on Ethics, no later than May
15 of each calendar year, detailing her costs and compensation for the prior calendar year. She
may not accept compensation in excess of her actual costs.
Example 6. A Member who was first sworn into office in 2011 sits on the Committee on Natural
Resources in the I 16th Congress. Since 2015, he has been serving as an uncompensated Secretary
for a private oil and gas corporation in his state. The Committee on Natural Resources has
jurisdiction over federal agencies that regulate the oil and gas industry. As a result, effective
January I, 2020, the Member must step down as Secretary for the private oil and gas corporation.
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Example 7. A Member who sits on the Committee on Energy and Commerce began an
uncompensated position as Director for a private medical research corporation after she became a
Member of Congress. The private medical research corporation receives grant funding from a
federal agency, jurisdiction of which falls within the Committee on Energy and Commerce. The
Member must cease to serve as Director for the private medical research corporation, effective
January I, 2020.
Example 8. A Member was President of a private tool and dye S-Corporation before he was
elected. He currently serves on the Committee on Small Business, which has jurisdiction over,
among other industries, manufacturing companies, generally. Upon his election, he ceased the
company's operations to focus on his constituents. The Member maintains the company's
registration as a business entity with the state, but it does not engage in any business or trade and
instead remains dormant. Although the company was previously regulated by a federal agency
that falls within the jurisdiction of the Committee on which the Member sits, he may continue to
serve as the company's President, because the company is not engaged in business.
Example 9. A Member who serves on the Committee on Foreign Affairs has been actively serving
as an uncompensated Board Member for the International Relations Council since one year before
he was sworn into the House of Representatives. The International Relations Council is qualified
as 50 l (c)(3) nonprofit under § 170( c) of the Internal Revenue Code, is engaged in international
relations, and receives federal funding from USAID, over which the Committee on Foreign Affairs
has jurisdiction. Although the nonprofit receives federal funding from a federal agency over which
the Committee on Foreign Affairs has jurisdiction, the Member may continue to serve as an
uncompensated Board Member, since the entity is a 501 (c)(3) nonprofit organization.
Example 10. A Member was first sworn into the Congress in 2015, and she currently serves on
the Committee on Financial Services. Since 2001, she has been an uncompensated Vice President
for a private micro-lending corporation, which is regulated by a federal agency, jurisdiction of
which falls within the Committee on Financial Services. The amount of time required to perform
services as Vice President of the micro-lending corporation is minimal; the Member spends at most
two calendar days per year performing work for the corporation, does it on her own time, without
using House resources, and performs all work for the corporation off House grounds. Because the
position is uncompensated, the Member held the position at least two years prior to her first
election to the House, and the time to perform the duties of Vice President are minimal, she may
continue to serve as the private micro-lending corporation's uncompensated Vice President.
Example 11. A Member was recently selected to serve on the Committee on Agriculture. He is
the uncompensated President of two family farms that produce hops and wheat, respectively. The
Committee on Agriculture has jurisdiction over a federal agency that regulates the farms'
operations, and the wheat farm receives federal subsidies administered by a federal agency within
the Committee on Agriculture's jurisdiction. The Member may continue to serve as President of
the two family farms, since they are family businesses.
Example 12. A Member has been an uncompensated Chief Executive Officer (CEO) of a private
charter aircraft company since 2016, one year after being sworn into the House of Representatives.
She also serves on a subcommittee of the Committee on Transportation and Infrastructure. The
aircraft company is regulated by a federal agency, jurisdiction of which falls within the Committee
on Transportation and Infrastructure. Despite a diligent search for a replacement CEO, the
company has been unable to find a successor prior to January I, 2020. Although her service as
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CEO is prohibited by the OPR, the Member may seek a suspension of the prohibitions from the
Committee on Ethics by submitting the appropriate form, available on the Committee's website.
If approved. the suspension would be limited to no more than 120 days. This suspension will
enable the company more time to replace the Member as CEO. As an alternative. if it is evident
that the company would face demonstrable and dire consequences should the Member cease to
perform the duties of the company's CEO, she may instead choose to request a waiver of the
prohibitions from the Committee on Ethics by submitting the appropriate form. If approved. the
waiver will be made publicly available. pursuant to Section IX(c)(iii) of the OPR.
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loan, forbearance, or other item having monetary value." 4 The gift rule contains numerous
exceptions permitting Members and staff to accept gifts. There are certain gifts that staff may
accept without limitation. For example, there are no restrictions on accepting gifts, including cash
or cash equivalents. of any dollar value. from relatives. 5 There are also no restrictions on accepting
personal holiday gifts from House co-workers and supervisors.
Generally, Members and supervisors may not accept gifts from their subordinates, and
employees may not give gifts to their superiors. 6 However, the Committee has provided for a
common-sense exception for voluntary gifts extended on special occasions such as holidays. 7
Accordingly, Members and supervisors may accept gifts from their subordinates that are
customarily extended during the holiday season, and employees may give such gifts.
In certain circumstances, Members and staff must seek and receive written permission from
the Committee on Ethics before accepting a gift (i.e., gifts from personal friends over $250).
Members, senior staff, and other staff who are financial disclosure filers must also disclose the
value of gifts received on their annual Financial Disclosure Statements in certain circumstances.
These circumstances are explained more fully in the final two sections of this memorandum.
Although the gift rule defines what Members and staff may accept, it does not authorize
them to ask for any gift. There is also a statutory gift provision, which prohibits Members and
staff from asking for or accepting anything of value from anyone who seeks official action from
the House, does business with the House, or has interests that may be substantially affected by the
performance of official duties. 8 The statute also prohibits Members and staff from soliciting on
behalf of other individuals or entities, other than political solicitations or certain solicitations for
charity.
A brief description of some of the common gift rule exceptions applicable to the holiday
season are listed below.
Parties and Receptions
During the holiday season, Members and staff may be invited as guests to parties or related
events that are sponsored by individuals or organizations that have, or plan to have, business
dealings before Congress. Provided the guidance below is followed, Members and staff !llilY
accept an invitation to the following:
• An event where the per person cost or ticket price (if sold) is less than $50,
provided:
4
House Rule 25, cl. 5(a)(2)(A).
5
The tenn "relative., is broadly defined, and it includes fiances/fiancees and in-laws. See 2008 House
Ethics Manual at 69 and 5 U.S.C. app. § 109(16).
6
5 u.s.c. § 7351.
7
See 2008 House Ethics Manual at 70.
8
5 u.s.c. § 7353.
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l) The invitation is not from a federally registered lobbyist, foreign agent, or
private entity that retains or employs such individuals; and
2) The total value of gifts or other invitations you accept from the host under
this exception is less than $100 for the calendar year. Any gift worth less
than $10 does not count towards the annual limitation.
Example: If an individual who is not a federally registered lobbyist invites you to
their holiday dinner party and the cost of your meal before tax and tip is less than
$50, you may accept the meal under the "less than $50 exception,'' provided the
aggregate value of all gifts and similar invitations you accept from the host does
not exceed $ I 00 for the year.
• A non-business event. such as a holiday party, hosted by an individual, at the
personal residence of that individual or the individual's family, unless offered by a
federally registered lobbyist or foreign agent.
Example: An individual who is not a federally registered lobbyist invites you to a
holiday party at her personal residence to celebrate the holiday season. You may
accept food and refreshments offered within the home under the personal
hospitality exception.
• A reception or open house, provided that only food and refreshments of nominal
value are offered other than as a part of a meal (e.g .• light appetizers and beverages,
including alcoholic beverages). This exception does not include full meals
(whether or not you stand to eat or use silverware) or luxury or expensive food
items. This exception also assumes that you will not consume what is offered such
that it becomes a full meal.
Example: A finn that is federally registered as a lobbying firm invites you to attend
a holiday reception to be held in its offices. It will serve appetizers and drinks at
the reception. Provided that the food and refreshments are of "nominal value" and
offered ''other than as part of a meal," you may attend and accept these items.
• An event where invitations are offered to a group or class in which membership is
unrelated to House employment.
Example: Your college alumni association is having a holiday party for its
members. You may attend as an alumnus of the college.
• An event that is open to the public or to all federal employees.
Example: A local park is having a free holiday concert that is open to the public.
You may attend as a member of the public.
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• An event where invitations are offered because of the outside business or activity
of the invitees or their spouses, provided the invitation:
l) was not offered or enhanced because of the individual's House status: and
2) is customarily provided to others in similar circumstances.
Example: Your spouse's employer is having a holiday party and all employees may
bring their spouses as guests. You may attend as your spouse· s guest and receive
the same food. refreshments, and entertainment that are provided to all attendees.
• A "widely attended event" provided:
I) The event relates to the Members' or employees' official duties;
2) The invitation comes from the event sponsor;
3) The sponsor has a reasonable expectation that at least 25 non-congressional
invitees will be in attendance: and
4) The event is open to the public or will be attended by a diverse group of
individuals interested in a given topic.
Please note: The widely attended event exception does not apply to holiday
parties that are purely social or recreational in nature and not related to one's
official duties.
• An event paid for by a foreign government valued at less than $390 per person,
per occasion. Under the Foreign Gifts and Decorations Act (FGDA). Members and
staff may receive a gift item received as a souvenir or mark of courtesy. 9 The
Committee has interpreted this provision to allow Members and staff to accept
meals and entertainment in the United States related to their official duties.
Example: A foreign embassy in Washington, D.C.. is having a holiday dinner at a
local D.C. restaurant to foster inter-country relations. The cost of your meal will
be $ I 00. You may accept the dinner under the FGDA.
• A holiday party for staff hosted by a Member of Congress using personal funds or
principal campaign committee funds. For further guidance, please contact the
congressional liaisons at the Federal Election Commission (FEC) at (202) 694-
1006.
9
5 u.s.c. § 7342.
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Example: A Chairwoman and Ranking Member would like to host 10 a holiday
party for their committee staff. The Chairwoman and Ranking Member may use
their principal campaign committee funds or personal funds to pay for the holiday
party. Members and staff may attend the holiday party.
Other Holiday Gifts
In addition to the provisions discussed above, other gift rule exceptions may permit
acceptance of holiday gifts. Provided the guidance below is followed, Members and staff .!llil}'.
accept the following:
• Gifts (other than cash or cash equivalent) valued at less than $50, provided:
I) The gift is not from a federally registered lobbyist, foreign agent, or private
entity that retains or employs such individuals; and
2) The total value of gifts you accept from the donor under this exception is
less than $ I 00 for the year.
Please note: Gift cards and gift certificates are considered "cash equivalent" and
may not be accepted under this exception.
Example I: If an individual who is not a federally registered lobbyist gives you a
$40 pen set during the holiday season, you may accept the gift under the "less than
$50 exception." However, the aggregate value of all gifts you accept from the
donor under this exception may not exceed $100 for the year.
Example 2: If an organization that does not employ a federally registered lobbyist
sends perishable food, such as a fruit basket, to a House office for all the staff, the
gift is considered a gift to the individual recipients and not to the employing
Member. Each staff member may accept items from the fruit basket having a value
of less than $50, provided that no recipient accepts more than $100 of gifts in the
aggregate from the organization during the year.
• A baseball hat, T-shirt, or any item valued at less than $10, even if from a
lobbyist. This exception does not include food items.
Example: A company that employs a federally registered lobbyist sends the office
IO T-shirts along with a letter stating that one is to be given to the Member and any
staffmemberthat would like to receive one. The Member and staff may each accept
one of the T-shirts under this exception.
• Gifts based on personal friendship. Members and staff may, without seeking
Committee approval, accept a gift based on personal friendship if the gift's market
10
See 2008 House Ethics Manual at pages 161-162.
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value is $250 or less. 11 The following factors must be considered before accepting
a gift under this exception:
I) The history of the recipient's relationship with the donor, including any
previous exchange of gifts;
2) Whether the donor personally paid for the gift, or whether the donor sought
a tax deduction or business reimbursement for it; and
3) Whether the donor gives the same or similar gifts to other Members or staff
at the same time.
Example: Your fonner roommate, who is a real estate agent, offers you a $ I 00
ticket to a holiday play. The roommate personally paid for the ticket. You and the
roommate have exchanged gifts throughout the years. The roommate does not
contact you or your office on official matters. To the best of your knowledge, the
roommate has not made a similar offer to other Members or staff. You may accept
the ticket without seeking Committee approval.
• Gifts from a foreign government under the FGDA. As noted above, gifts valued
at less than $390 per person, per occasion, that are offered as a souvenir or mark of
courtesy may be accepted.
Example: A French government official sends you a $300 bottle of French
champagne. on behalf of the French government. You may accept the champagne
under the FGDA.
Handling Unacceptable Gifts
At times, a gift may not be acceptable under the gift rule. For example, Members and staff
may never accept a ''thank you" gift. If Members or staff receive gifts that they may not accept
under the gift rule, they may:
• Pay the donor the "fair market value" 12 and keep the gift;
• Return the gift to the donor; or
11
You must seek Committee written approval before accepting a gift with a market value over $250 under
the personal friendship exception. Please see the section below regarding seeking written Committee approval for
details on how to submit a request.
" Items are valued at market/retail, rather than wholesale, prices. For tickets, the fair market value is the
cost printed on the ticket. regardless of whether the donor paid more or less. See House Rule 25, cl. 5(a)(3)(A);
2008 House Ethics Manual at 73.
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• For perishable items (e.g., flowers or fresh food), donate the items to charity or
destroy them. You may not donate non-perishable items to charity in lieu of
returning or paying for them.
• If the return of a gift is impossible (e.g., if the identity of the donor is unknown) the
recipient may "return" the item by donating it to charity or destroying it, or the
recipient may keep the item by paying the fair market value to the U.S. Treasury.
Please check with the Ethics Committee if you have any questions about whether
return of a particular gift is impossible.
Please note: For tickets to events that do not have a printed cost on the ticket, the value of
the ticket is the highest cost of a ticket available through the venue with a face value for
that particular event.
Example: You are invited to sit in the premium box for a concert by a friend of a
friend. The offer does not meet one of the gift exceptions, but you would still like
to attend. Your ticket does not have a price on it, but the highest ticket price
available through the venue for that particular concert is $285. You must pay the
donor $285 in order to accept the ticket.
Some provisions of the gift rule require knowledge of the identity of the donor to assess
whether the gift may be accepted. For example, the exceptions with respect to gifts worth less
than $50 and for those authorized by the FGDA require knowledge of the donor's identity before
accepting the gift since those provisions permit acceptance of gifts from donors who meet certain
criteria. (Other gift rule exceptions, such as those that permit acceptance of nominal value gifts
and informational materials, apply regardless of the identity of the donor, since they are not limited
to certain types of donors.)
At times when a Member, officer, or employee is unexpectedly presented with a gift at an
event, he or she may be uncertain whether it can be accepted under the gift rule. In that
circumstance, the individual may receive the gift and wait until after the event to review the
provisions of the gift rule and make a decision on the gift's acceptability.
Prior Written Committee Approval Required
Members and staff must seek and receive written approval from the Committee on Ethics
before accepting the following:
• A gift based on personal friendship with a market value over $250. The Committee
will only grant written approval for a personal friendship gift exceeding $250 in
value in response to a written request, using the form on the Committee's website
for this purpose.
• A gift that is not otherwise acceptable, but that the Member or staffer believes the
Committee should permit them to accept. The Committee has "flexibility to allow
the acceptance of gifts ... in cases where there is no potential conflict of interest or
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appearance of impropriety.'' 13 Thus, the House gift rule authorizes the Committee to
grant a waiver to permit acceptance of a gift "in an unusual case." Members and staff
must submit a written request for a gift waiver from the Committee prior to
accepting such a gift. Any request should include. at a minimum. a description of
the gift, including its market value, the identity of the donor, and a statement of the
reasons believed to justify acceptance of the gift.
Financial Disclosure Requirements
Members and financial disclosure filers 14 must disclose certain gifts valued over $390 from
a single source in a calendar year on Schedule G ("'Gifts") of their annual Financial Disclosure
Statements. 15 This disclosure must include the source of such gifts and a brief description of the gifts.
Any gift with a market value of less than $156 need not be counted towards the $390 disclosure
threshold.
Please note: Gifts from relatives, gifts of personal hospitality, tickets to widely attended
events, and certain other gifts do not have to be reported on a Financial Disclosure Statement. In
addition, gifts that are received by your spouse or children, independent of your House status. do not
have to be disclosed. However. all other gifts that are over $390 in value must be disclosed.
Example: Your spouse's college roommate gives your spouse a $400 coat as a
holiday present. You would not have to report this gift on your Financial Disclosure
Statement if you believe that the gift was given regardless of your House
employment.
Members and staff seeking a waiver of the reporting requirement must send a written
request to the Committee. The written request and the Committee's response will be made publicly
available.
I/you have any questions. please contact the Committee ·s Advice and Education staff at
(202) 225-7103.
13 See House Bipartisan Task Force on Ethics, Report on HR. 3660, 101" Cong., P Sess. (Comm. Print.
Comm. on Rules 1989), reprinted in 135 Cong. Rec. H9255 (daily ed. Nov. 21, 1989).
14
5 U.S.C. app. § 102(a)(2)(B). House staff may be subject to financial disclosure filing requirements for a
number of reasons. including I) they are paid at or above the annual senior staff rate ($127,914 for 20 I 9, subject to
change in future calendar years) for 60 days or more during the calendar year, even if on a temporary basis; 2) they
are designated as a "principal assistant" for financial disclosure filing purposes by their employing Member; and 3)
they are a shared employee of three or more offices, regardless of their rate of pay. Please contact the Committee if
you have further questions about financial disclosure.
15 5 U.S.C. app. § 102(a)(2).
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... ;:~Jib/
O:-iE l!LNDR[D SIXT!T'HII CO:S:GRE,S
l0\-1'.Yll!Tl LO, l:IIIICS
January 10. 2020
MEMORANIH'M FOR ALL MEMBERS, OFFICERS, AND EMPLOYEES
FROM: Committee on Ethics
Theodore E. Deutch. Chairman
Kenny E. Marchant Ranking Member
SUBJECT: The 2020 Outside Earm:d lncome Limit and Salaries Triggering the Fiuancial
Disciosure Requirement and Post-Empioyment Restrictinns Applicable to llouse
Officers and Emplo}ees
All Members of the House lire subject to certain public disclosure requirements and
emplPymcnt restrictions both during and ofter their sen ice in the House. Specifically:
I. Financial disclosure filing requirenmns. including both annual financial disclosure
(FD) statements and Peri,,dic Transaction Reports (PTRs):
2. Restrictions on outside employment:
3. Notification requirements for d1sclosutt.~ of negotiations for private employment and
related recusals: and
4. Post-employment restrictions.
House employees may also be subject to these requirements and restrictions. depending on
their salury level. This memorandum provides details on the current triggering salary figures for
Calendar Year (CY) 2020 for earh of the categories noted aho.e, and summarizes them in a table
on page 5. !t is each individual employee's responsibility to know whether their salary level
subjects them to these standards of conduct and, if so. t0 comply with them. Please note that this
memorandum is not a comprthensivc list of every rule or standard of conduct that applies to House
staff. but an overview of key standards that aro triggered by salary level. Any Member. officer. or
employee \vho has questions about these requirements and restrictions; or about the various rules
is encouraged to contact the Committce·s Office of Advice and Education at extension 5-7103.
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111
FINANCIAL DISCLOSURE
House officers and employees whose •'rate of basic pay is equal to or greater than
120 percent of the minimum rate of basic pay payable for GS-15 of the General Schedule'' for at
least 60 days at any time during a calendar year are subject to financial disclosure filing
requirements, provided that the officer or employee ''performs the duties of his [or her] position or
office for a period in excess of sixty days in that calendar year." 1 The GS-15, step I, basic pay
rate for CY 2020 is$ I09,366. 2 The applicable 120% calculation for that rate is therefore $131,239,
or a monthly salary of more than $10,936. This rate is referred to as the "senior staff rate."
As a result, House officers and employees whose basic rate of pay is equal to or greater
than the senior staff rate ($131,239) for at least 60 days 3 during 2020 must file an FD statement
on or before May 15, 2021. 4 (Temporary increases in an employee's basic rate of pay - such as
to pay out a bonus count toward this threshold, but "lump sum•· payments do not. 5) In addition,
any new employee paid at or above the senior staff rate must file a ·'new employee" FD statement
within 30 days of assuming employment with the llouse. 6 A new employee may request an
extension of the new employee FD filing deadline of up to 90 days, but the request must be
received by the Committee or on before the original filing deadline. 7 Finally, any staff who are
paid at or above the senior staff rate on January 3. 2020 (or their first day of employment, iflater
in the year) must file reports (PTRs) on an ongoing basis throughout the year regarding certain
1
Ethics in Government Act(EIGA) §§ 109(13) and I0l(d), 5 U.S.C. app. §§ 109(13) and I0l(d) (hereinafter
all citations to the EIGA will be to the appropriate federal code citation). In addition, all House Members are subject
to financial disclosure filing requirements. 5 U.S.C. app. §§ I0l(d) and (t).
' Exec. OrderNo.13,901, 84 Fed. Reg. 72,215 (Dec. 30, 2019).
3
The House payroll department operates on a 30-day payroll cycle, meaning that each monthly pay period,
regardless of its actual length, is counted as 30 days. Thus, a change to an employee's base rate of pay in any two
months during the calendar year (even non-consecutive months) may trigger the requirement to file an FD. This is
true even if the pay change affects only part of a month.
4
5 U.S.C. app. §§ J0l(d) and (t). With regard to House employees who are federal civil service or military
annuitants, it is the view of the Ethics Committee that financial disclosure obligations do not apply to those whose
combined House salary and annuity are at or above the threshold rate for the specified time period (but see note 26,
below).
5
See Comm. on Ethics 2008 Ethics Manual at 283-84, available at
https:l/ethics.house.gov/siteslethics.house.gov/files/documents/2008_House_Ethics_Manual.pdf; Comm. on Ethics.
Instruction Guide, Financial Disclosure Statements and Periodic Transaction Reports, at p. 2 (Calendar Year 2018),
available al https:i 'ethics.hou~e .l!ov:ft1r111s,'infcmnation-and-forms.
6
See 5 U.S.C. app. § 10l(a). The only exception to this filing requirement is fornew employees who assume
employment with the House within 30 days of leaving a position with the federal government in which they filed a
publicly-available FD statement. Individuals who are exempt from filing under these circumstances must notify the
Clerk of the House of that fact in writing by letter or through thee-filing system for filing FD statements.
7
A request for an extension must be made using either a form available on the Committee's website or
through the electronic financial disclosure filing system.
-2-
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112
financial transactions. 8 PTRs are not annual filings, but must be filed within 30 days of a purchase,
sale, or exchange of more than $1,000 in stocks, bonds, and other securities. 9
Please note that the requirement to file an FD statement covering calendar year 2019
applies to officers and employees whose basic rate of pay for at least 60 days in 2019 was $127,914
or more (a monthly salary at or above $I 0,659). Annual FD statements covering CY 2019 are due
on Friday, May 15, 2020, for those individuals who continue to be Members, officers, or
employees of the House on that date. 10 A filer may request an extension of the annual FD filing
deadline of up to 90 days, but the request must be received by the Committee or on before the
original filing deadline. 11
In addition, House Members, officers, and employees paid at or above the senior staff rate
for 60 days or more in a calendar year who terminate their House employment during that calendar
year are required to file an FD statement within 30 days of their termination. 12 A filer may request
an extension of the termination FD filing deadline of up to 90 days, but the request must be
received by the Committee or on before the original filing deadline. 13
THE OUTSIDE EARNED INCOME LIMIT
AND OUTSIDE EMPLOYMENT RESTRICTIONS 14
House officers and employees whose rate of basic pay is equal to or greater than the senior
staff rate for more than 90 days are subject to limits on the amount of outside earned income 15
8 5 U.S.C. app. § 103(/).
9
For detail on the PTR requirement, see the Committee's August 17, 2012 advisory memorandum
"Periodic Reporting of Personal Financial Transactions Pursuant to the STOCK Act, as amended," which is
available on the Committee website (https://ethics.house.gov), under the links for Reports/General Advisories. Note
that the STOCK Act may require the filing of PTRs as often as once per month for Members and any staff who are
paid at the senior staff rate on the first day of the 2020 pay cycle (January 3, 2020). Staff who are paid at or above
the senior staff rate for more than 60 days later in 2020 - even if on a temporary basis - will also be subject to the
PTR requirement for the remainder of the calendar year and will be required to file an annual FD in 2021.
10
FD statements are due May 15 annually. In the event that May 15 or another filing deadline under the
EIGA falls on a weekend or a holiday, the filing deadline shall be on the next business day.
11
See supra note 7.
12
See 5 U.S.C. app, § !0l(e). The only exception is for filers who, within 30 days of their termination from
the House, accept a position with the federal government that requires the filing of a publicly-available FD statement.
Departing employees who are exempt from filing under these circumstances must notify the Clerk of the House of
that fact in writing, by sending a letter, c-0mpleting a form available for that purpose, or filing a notice through the
electronic financial disclosure filing system.
13
See supra note 7.
14
For detailed information concerning limitations and prohibitions for uncompensated outside positions,
see the Committee's December 11, 2019 advisory memorandum "Outside Position Regulations," which is available
on the Committee's website (11ttps:;(ethics.housc.nov), under the links for Reports/General Advisories.
15 The term "outside earned income" means any "'wages~ salaries~ fees, and other amounts received or to be
received as compensation for personal services actually rendered" by a House Member, officer, or employee. House
Rule 25, cl. 4(d)( I). It does not include, among other things, the individual's salary from the House, nor does it include
income for services rendered before the individual was employed by the House. Id at els. 4(d)(l)(A), (B).
-3-
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113
attributable to each calendar year. 16 As noted above, the senior staff rate for CY 2020 is $131,239,
or a monthly salary of more than $10,936. The limit on outside earned income attributable to a
calendar year is 15% of the rate of basic pay for Executive Schedule Level ll in effect on January I
of that year. As of January l, 2020, the rate of basic pay for Executive Level II was $192,300. 17
Accordingly, the outside earned income limit for House Members, officers, and employees paid at
or above the senior staff rate for CY 2020 is $ 28,845. 18
Members, officers, and House employees paid at or above the senior staff rate for more
than 90 days are also subject to a number of specific limitations on the substantive types of outside
employment for which they may receive compensation and must receive prior approval to receive
certain types of compensation. 19 These include prohibitions on receiving fillY compensation for
practicing a profession that involves a fiduciary relationship, receiving any compensation for
affiliating with a firm that provides professional services involving a fiduciary relationship, or
permitting such a firm to use one's name. 20 Receipt of compensation for service as an officer or
member of a board of directors is also prohibited. 21 Prior written approval from the Committee
on Ethics is required to accept compensation for teaching and to receive copyright royalties. 22
Detailed information regarding these limitations may be found on pages 213 to 238 of the 2008
House Ethics Manual, which is available on the Committee's website (https://ethics.house.gov).
DISCLOSURE OF EMPLOYMENT NEGOTIATIONS AND RECUSALS
House Members, officers, and certain House employees must notify the Committee within
three (3) business days after they commence any negotiation or agreement for future employment
or compensation with a private entity. 23 House employees subject to this disclosure requirement
are those employees who are paid greater than 75% of the basic rate of pay for Members
(employees earning more than $130,500 or 10,875 monthly). 24 This amount is referred to as the
post-employment rate.
In addition, House Members, officers, and employees paid more than the post-employment
rate must recuse themselves from "any matter in which there is a conflict of interest or an
16
5 U.S.C. app. § S0J(a)(l); House Rule 25, els. l(a)(l) and 4(a)(l ).
i, Exec. Order No., 13,901, 84 Fed. Reg. 72,218 (December 30, 2019).
is This amount is proportionally reduced when an individual becomes a Member, officer, or senior employee
during the calendar year. For example, an individual who is hired into a senior staff position on July I has an outside
earned limit that is one-halfofthe full amount, or $14,422. See 5 U.S.C. app. § 50l(a)(2); House Rule 25, cl. l(b).
J9 See 5 U.S.C. app. § 502(a); House Rule 25, els. 1-4.
Id.
,i Id.
"Id.
23
See House Rule 27, cl. 2; Stop Trading on Congressional Knowledge Act, Pub. L. No. 112-105 (Apr. 4,
2012) (hereinafter STOCK Act)§ 17.
"See id; see also Section 7 of the Further Consolidated Appropriations Act, 2020, Pub. L. No. 116-94 Dec.
20, 20 I 9), prohibiting a scheduled cost-of-living pay raise for Members. As a result, Member pay will remain at
$ I 74,000 for 2020.
.4.
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114
appearance of a conflicf' with the private entity with which they are negotiating or have an
agreement for future employment or compensation, and they must notify the Ethics Committee in
writing of such recusal. 25
Information on the disclosure and recusal requirements related to seeking private
employment applicable to Members, officers, and employees paid at or above the post-
employment rate is available in two Committee advisory memoranda, one for Members and
officers and one for staff. Copies of both memoranda, which are dated January 2, 2019, are
available on the Committee's website (https://ethics.house.gov) under "Reports/General
Advisories," and forms for making the notifications regarding job negotiations or recusal are
available under "Forms/Post-Employment."
POST-EMPLOYMENT RESTRICTIONS
House Members and officers, and employees paid at or above the post-employment rate,
are subject to post-employment restrictions. 26 In general, a former employee of a Member,
committee, or leadership office is subject to the restrictions if, for at least 60 days during the twelve
month period preceding termination of House employment, the employee was paid at a rate equal
to or greater than 75% of the basic rate of pay for Members at the time of termination. As noted
above, the post-employment rate is $130,500, or a monthly salary of$10,875 or more.
Additionally, the triggering salary for employees of other House offices (such as the
Chaplain, Chief Administrative Officer, Clerk, General Counsel, Historian, Inspector General,
Law Revision Counsel, Legislative Counsel, Office of Congressional Ethics, Parliamentarian, and
Sergeant of Arms) is Executive Schedule Level IV. 27 For 2020, that salary is $170,800, or a
monthly salary more than $14,233.
Information on the post-employment restrictions applicable to Members, officers, and
employees paid at or above the post-employment rate is available in the two Committee advisory
memoranda referenced in the previous section. 28
*****
25 House Rule 27, cl. 4; STOCK Act§ 17.
26
18 U.S.C. § 207. With regard to House employees who are federal civil service or military annuitants, it
is the view of the Ethics Committee that the post-employment restrictions apply to those whose combined House
salary and annuity were at or above the threshold rate for the specified time period (but see note 4, above).
27
"[O]ther legislative offices" also includes employees of the Architect of the Capitol, United States
Botanic Garden, Government Accountability Office, Government Publishing Office, Library of Congress,
Congressional Budget Office. and Capitol Police. See 18 G.S.C. § 207(e)(9)(G).
28
Most of the post-employment restrictions apply to employees paid at or above $130,500. As discussed
in the general advisory memorandum for former staff, however, one provision applies to !!ll former House staff--
regardless of rate of pay- and restricts use of confidential information obtained during personal and substantial
participation in ongoing trade or treaty agreements.
-5-
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115
CALENDAR YEAR 2020
Item 2020 Amount
Outside earned iucome & outside employment threshold $131,239
- Outside employment fiduciary restrictions if paid at rate
($ 10,936/mo)
for more than 90 days during 2020
Outside earned income limit $28,845
Financial Disclosure/PTR threshold $131,239
- Annual FD required in May 2021 if paid at rate for ($10,936/mo)
60 days or more in CY 2020
- PTRs required during CY 2020 if:
- Paid at rate on first day of calendar year or first day of
House employment (if later); or
- Paid at rate for any two pay periods during CY 2020
(e.g., if get bonus or pay raise during calendar year),
subject to PTR requirement for remainder of year
Written disclosure of job negotiations and recusals $130,500
required if paid more than the post-employment rate
($10,875/mo)
Post-Employment threshold for employees of Member, $130,500
committee, or leadership offices
($10,875/mo)
Post-Employment threshold for employees of "other $170,800
legislative offices" (seep. 5)
( 14,233/mo)
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116
tt.•. ~ou9'c of ltcprc9'mtatibts
l0\1\tlrlFL m. Elli!(',
January 28. 2020
,\fEMORANDl:M FOR ALL MEMBERS. OFFICERS, AND E'Vll'LOYEES
i'ROM: Committee on Ethics
Theodore E. Deutch. Chairman
Kmny Marchant, Ranking tvkmber
SU3JEC r: Intentional 1!se of Audio-Visual Distnrtions & Deep Fakes
This memorandum serves as a reminder that :t\1cmbcrs 1 must exercise care in
communkating:. especially when using electronic communication. such as e1nail. websites.
Faci!"hook, Twitter. lnstagram. or You Tube.
All House Members. omcers. and employees must conduct thcmsehcs at all times in a
manner that reilects creditably on the House. 2 As Members of the House of Representatives. we
arc widely n:cognizabie public servants. Communicating with our constituents and the public is
one of our most lrnportant duties.
Electronic communication has drastically i1nproved our ability to communicate directly
and in n,al-time with om constituents m a minimal cost. rhe fast puce and" ide dissemination of
electronic communication can lead to mistaken transmissions: for example, em1-1;iling the wrong
person_. posting a private message publicly) or sharing the \.Hong video. All of these examples of
mistakes may be embarrassing a,,d have unintended con:-.equcnccs.
However, intentional distortions of audio and/or \'isual representations can be far more
dam.aging. ~\:'!embers huve a duty. and a First Amendment right. to conlribute to the public
discourse, including through parody and satire. However. manipulation of images and "·ideos that
arc intended to mislead the public can hurm that discourse and reflect discreditably on the House.
Moreover. Members or their staff posting deep fakes' "could erode public trust, affect public
For al! pmvost!e> in this memorandum. ,-·Member" i, defined to include any current Member. Delegate, or
Rc5ident Commissioner of the Jfousc of Reprcscntath·cs.
J I lousi;: Ruk 23, cl. L
_1 For purposes oflhis memorandum, the term "deep fak~s" is J~fined l'IS rt'ali~tic photo. andio. video. and
other forgeries gen~rated with artificial intclligcnc-:: (AI) technologies, Sel..' Kelly ~L Sayler & Laurie A. Harris, CRS
ln Focus IF l 1333, !Jeep ft1ki.·s ,.1.11d .\-afional ,\e(·urit;· (01.:t. 14, 2019) [hereinafter Dce:'p ,Ll1.(cs and .\·,,rionaf
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117
discourse, or sway an election:· 4 Accordingly, Members, officers, and employees posting deep
fakes or other audio-visual distortions intended to mislead the public may be in violation of the
Code of Official Conduct. 5 Prior to disseminating any image, video, or audio file by electronic
means, including social media, Members and staff are expected to take reasonable efforts to
consider whether such representations are deep fakes or are intentionally distorted to mislead the
public.
The Committee has long held that Members are responsible for the actions of their staff. 6
Further, Members must take reasonable steps to ensure that any outside organization over which
the Member exercises control-including a campaign entity-operates in compliance with
applicable law. 7 Accordingly, Members should ensure their official and campaign staff are
familiar with the rules and regulations regarding electronic communications that those staff are
involved in preparing or disseminating. 8
If you have any questions regarding this guidance, please feel free to contact the
Committee's Office of Advice and Education at (202) 225-7103.
Security]; see also House Comm'n on Congressional Mailing Standards, The House of Representatives
Communications Standards Manual at 3 [hereinafter Communications Standards Manual].
4
See Deep Fakes and National Security.
5 House Rule 23, cl. 1.
6
See 2008 !louse Ethics Manual at 124.
7
Id. at 123.
8
See Communications Standards Manual; see also Comm. on Ethics, Campaign Activity Guidance (Jun.
7, 2018).
2
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118
rhnm:isA Rusr
Sta.ff flil'ec10r and Ciu,:f ( 'mrmd
Dm1dW ArroJo
Cm111,1tl lo th('< hmrmari
O'JE l lUKDRED SIX rEE'JTI I CONGRESS
D.:::m Ph!llJps;, \'lirm.:s,1ta
Anthnm Hftl\\ll, ~fan l.rnd
ffl.~. J!,ouse of l\epresentatibes
COMMlTTEE ON ETil!CS
March 10, 2020
MEMORANDUM FOR ALL MEMBERS, OFFICERS, AND EMPLOYEES
FROM: Committee on Ethics
Theodore E. Deutch, Chairman
Kenny Marchant, Ranking Member
SUBJECT: Campaign-related Media Appearances on Congressional Grounds
This memorandum serves as a reminder to all House Members, 1 officers, and employees
about the restrictions on using official resources for campaign-related interviews or media
appearances.
House rules and federal statutes require that official and campaign-related activity be kept
separate.' Generally, campaign-related activity may not be conducted using any official resources,
including the use of House staff on official time and on congressional grounds. Congressional
grounds include all House and Senate office buildings, the Capitol, the grounds around the Capitol,
and district offices. Spaces such as the Cannon Rotunda, Statuary Hall, and Members' offices are
on congressional grounds. The Committee considers "'campaign-related activity" to be activity
related to any federal, state, or local government election, not just the Members' own re-election
campaigns. The rules requiring separation between official and campaign-related activity apply
at all times, in election years and non-election years, and regardless of the type of campaign. For
example, these rules apply to Members seeking to engage in, or even merely commenting on,
Presidential or Senate campaigns.
Accordingly, while on congressional grounds, Members or staff should not give an
interview that is substantially devoted to a campaign, or initiate any communication, such as a
press call or email, that is campaign-related. However, Members and official staff may answer
incidental campaign-related questions during an official interview or media appearance. For
this exception to apply, the primary purpose of the interview or appearance must be official.
A primarily campaign-related interview or appearance cannot be "cured" by including a few
1 For
all purposes in this memorandum, "Member" is defined to include any current Member, Delegate, or
Resident Commissioner of the House of Representatives.
' See House Rule 24, cl. 1; 31 U.S.C. § 1301 (a).
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119
responses to officially related questions. The Committee considers incidental campaign-related
questions to be one or two during the course of the entire official interview or appearance.
As a best practice. the Committee recommends advance preparation before any media
appearance or interview. Clarify with the media outlet or reporter in advance about the topics of
conversation to ensure that the primary purpose of any interview occurring on congressional
grounds is official. Both the resources used in advance and the content of the message determine
whether an appearance or interview is official or campaign-related. If an interview will be official,
official staff, using official resources, should help prepare for the interview. If an interview will
be campaign-related, campaign staff. using campaign resources, should help prepare for the
interview. Also. ensure that the campaign interview will not take place on congressional grounds.
When on congressional grounds. Members and staff should strive to return an official
interview to its official purpose if the number of campaign-related questions becomes more than
incidental.
If you have any questions regarding this guidance, please feel free to contact the
Committee's Office of Advice and Education at (202) 225-7103.
*****
2
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120
12/14/2020
C01fMlT'fEEnN.
(/)
ETHICS C\
Update about the Coronavirus:
Joint House Administration-Ethics
Committees Guidance
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,ll\\' fr-dcral. stat~, o, Jnql election n: whi:'1' the i\le,Hber is a candid.:it(' Howwe1
C0nun1ssion H'gulat1orn. expre~~:y pf.'nnii ,".\f"mh-cr, to :,end cornrnlmkcnions :·eganli1tg
:hrNu; to lifr ,;ilfrty, The ;·nr0navin;i; qu,1'.1fi-~s c1,; il thH','lt to ;;ft, ~afery, ;;,1 mas~
~orrnnunicil~iorn: ?.i:-:;ited to info::maLion ;i_]1out the co::onavirns win g~nNa:!y bl"' l'Xl'!mpt
from ~h" :JlarkouL rnle. '.<lo:e that cornmun'.caJons rnaikd via USPS ,Jo no~ fail ~mdcr this
ewmption r@l M<' Sliil pwhibited ..A,. Mt'nJ.wr 11,'fio is othe1t1:ise m .i b'.ackrn1l peth.id i~
sr::ong!y a1lvtse-d t0 get prior aµ;m~v~J from ~hf!' Commission for a comm!.lnication abriut the:
for additiorn! ~nfocmacln;, ;-.b01;t offkial c'.'0mmun\cations in genf'~al, p]l'?.se see thf'
recrntly updatt"d Com11ami('Jtioc1~ St,..,ndards Mt'lnual, whirl! i, a\\,il,1_b]I:' cnlint
.,~ http•:i/cha.hou,e.iov/;t.ite:,/d~mocrAt•xha.bouu.gov/filt•/doc1mwntt/Conununfr1tions•,i..10Standud1'1'i,:;wMano1t
19-1019(!111:WONlINE.pdf
h!tps•1'fethic& house goy/9i1't•pink-&he~ts/upd~te-eboutcoron1viru1-joini-houg£Hldmlni1iration-ethi('"-'-com1niltee1;-guid1nce 113
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121
1211-.12020 Upci8te about the Corone.,..tru8 Joint House .Adrn1rnstrat1on-Eth1cs Committees Guidance ! Houae Comm1ttee on Ethics
(httv1:j/ch;1..hou:i.1;1.gov/situ/dcruocrat1,\"'h,t.houu.gov;fi1t>!/documents/Conummicat1tm1%10St,1udud,%20Manu•l._;
19-1011)¾l00NUNE.pdf)
0pinion ont:ne, at https:/ /frankingrequt-d1.hou1e.gov
(http1://frank.lugrequeat1.hom:e.gov/).
SQJkit~d.Qll!
'.n t1m('S of rrnl"::gC'nty, ~'\tn1lwrs and ::;c1rff 1nav \\-,-u , ~n so\1c-'.t or cnH,0ct good1 rl)[ llw:r
rnnsti1.twn, s. or d;ari~dhlf> nr~anintions ~:r)r FXarnriit', c1 Mem!Je;: m,1y wish to so lie!;
don;:i~iuns to be'.p pay for food, rrnii,al .rnppl1P-•:, or i'XfWmtf'S ;\s pub he Sf'n';:mts, WI?
urn1e~stc1nd t!w dc•strc tD \wip, but '-NC r,:,nuid von 1lftidc1l rt'S\•Hrt'l't mdy nd tw used ttt
\o\'h:lt- offirnli ,es011rces nti!Y n0~ \w t1'.'l0d ~o mlir'.~ ;::nr:tribnt.ions or '.u :rnpi\' dt.l;t such
ot1:;<1nita:ions o, pmprl:W1: huvP been endorsed \)y \he Ho:isf of R,~;'1\~~.tcn1<!li1r'f'S, :.lembN:-
and s~alf may sol!cit :n tlwir prrson.;ii capacitk~ nn hdt;\U ,·A orgzmi:c:•ltinn;; that ate
q11ahf1ecl under 1:i 17o(c)of :b• lntt>mal RrveutwC>:'d(' i;:-ir'.udmv,-, fott'xan~pl(', § 501\ci(,"I
d,,1;:ltablt' ,!fg,rn;7,Hions:.md:. Ob t~w RPd Cos~ or llahitat forllmnAn::~-"' v.ithoui:. fir:::t
rt-sour('P"! (lnduding (1i.fid,1\ sL0!f tim1•; oifm, trll'pho;-i'°s, e- rnai:, anii ,:•qnipm':'nt; ,md
offli:iAlin,11:ingllst;<c}
cPnstltrn:nt,:, :o organizations u: re.sonru•s whMe p1im,1rv purpose i~ tiw v1!kita::\l)n uf
goods, fur:ds, or iwrv:n•"t ut; J:;1,Jic1lf of mdividna.'.c. ('!- otj}'!ni;,:c1:ionc. :h<11 vre rn:it V"rrnl"i:tt'\l
Snlint;,Uon~ nn tiel~,1:f of non· qualiiieJ entitiPs m ;ndlviduais. ar(' tlmside;!"d and Oc;rldt>d
by··('ilt'l' ba~;c. thaittt;h ci wntlt'i! requf'!>l (or- penrnssion '.() thl.' CmrnmtteP on
"Eth it'~. Membt'~S nnd '"'t,lti rn,w llSt' the "Solicirt1tkm V\".J'.Ye! rl.equt~t" lorrn '.O rf.'(llli'llt
pt1rnlss:on to .1~sisr ,.,·\th tundr<1'..sing actwitln frn imbnduals ,:md org,mG:ations not
~ecog:111:l.'d nndn me§ 17u(c). ~'>·Lich;., oo Lb? Ccm;nittet' on E~hh::s.' websl~f'
.i~ https:/ /"thki.houie.gov (/)
CQntl.Q_1JilLoi..'-3ttI.Atim:utPJ.w.1
Tl:c Sl'rgearit ut Arms (SAA) has providt>d more lnln~mation about :'.'l1ntinuityof operdtiom;
plan:- \CCOP) In gcne1 <1'.. C00P an:mg~nwnt, a::tw, uftICes ~ll cr1ns1rlPr thP ,,ctiow:1 311d
rt'WUH'l'C' !Wt'"tkd !o oper:.ite ill the event of an t'mtq:;t>tl(')', '.odm1ing ,, panderm:
J1.£ld1ti0:1ai infonua:1, n, mdndmg ::;dmple rl,rns, J'.' ava1'.able 0n H0u<:t>-:-.!1::ct FQr morf'
spenfic fnfcmn.itmn aboul e-c;t,~h'.Jsl,;ng s.idt ,J plc11~, ph'ase cintact the SAA. Emerge1wy
Di'>is;cn, at (102) 11.b 0950 w by emai; cc SAAE~D@maiLhouse.gov
(m-,ilto:SAA.FMD@mail.hom1t.@:OY)
ln iir:m c01!lm1mica~ini:,s, Ci IA has r1cnC1:mi::f'd that {'rnployrcs of 1m ,lHi<'L' t!1a~ imvlements
a t)t~'viou-<;Jy fS~ablisht-d COOP or emergerv:y pl.:in mAy 1elework ;Jcr.:ll1[.'; th(' perlod thrt: tbP
plan;-, rn ◄'ffPtt CHA has ct~v~!oped fl model policy tha~ office., m.:iy i:hnotie 10 .,dopt to
pPrmit t0li>woik nn n tern;:tH,ny b<>si~• .in n'spcnsf.' :o an enH•rgf'nc-y u: irnplC'nwnta~!on of
the office':. COOP µian. CHA has also deveiopt'd d r:1odel ernFlOV{'f' <l!P'n:1ent fo:· u:.e by
.staff. \i)]em;e nvtt> th2t an nffKe rnily opt ~0 p~rmit t\'l"wcrk en a ~crnporary basi'.I in thc,;c
circumstanc<:s wh;le cho,1s'.11g r;o: tn t;1,,rn;t tt':1•co1:n;mting as par~ c1f its regui.n
tiperJtions. lkwever, the eqtiij)ment au cfticc purch.:ise, :o p:-oYide Im rdL'Wo:k in an
~mergrncy scenario mny al"'0 b" u~"(i for tt":!t•rommuting :n t.ht- ordi;:,ary co11,:c1t- of
tiuB!nesi;) Tlw Crnters for DiS('i"lH' and Co:itrol ;md Prev,:,n:wn l1,w1• t·f,·,JmnwrJdNI thai
prople a, bigfwr r'.sk - mdnding old"r ;:idc:lt:; •r.d pcopicwho haw• SNWus chronic medical
rnnditiou;,, likt~ h~art i]i,:eas.e. d:abetes, an(: lun~ dls,:,Jst- ~ tak0 exr:;i prtcaution1 to kerp
6pace lwl\','c'cn themsdve~ and otht"r.s dnd cwc,id nowds, \\·i::: tecornnwnd th•t teieworlr bt.1
imp'.rmcnted for any such cmplc\'~\'5
!n !iglit ilf tlw (1n:qu1• and unusuc1J circmnsti'll\C'~'s pn'S<'iltt'rl hy tilt' ('11ron,wirw1,, U;'! ws.•il a~
10 prnmm,• Hou1:t- otfict' ernr1ge:1Cy preparedrw11s 11; general, Ci!A rem:n~1s otf1cf'J of i:s
prevwe.~!y anr~0uncN! li(•terrnm;nion ~hat i~ is appropnatt- fnr ho1h ."Mmb"1· and comrnlt~C',"
httpsi·f!e!hic~: houtie govlgd't-pinJi:-s.heeta 1update•about-coroni1,..1ru8-joint-!1oc18e-admini!tration-ethics-cornmittoes-guido1nce 213
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taidl2020
nity
Mathie
hovse.gt
122
Update about the C: irus: Joint House Administration-Ethics C i Guidance | House Commitiee an Ethics
offices to be able to access any remaining unspent LY 2019 funds to purchase teleworking
:fand supplies (e.g. laptop and tablet computers, cell phones, etc.) Both Memb
ffices may continue to use LY 2020 funds for this purpose, as well. (CHA
also determined that remaining unspent LY 2019 funds may be used in connection with
previously unscheduled tele halis, if they are conducted for the specific purpose of
x formation regarding the coronavirus.)
mbers are always responsible for ensuring that each of his or her ernployees performs
al duties that are with the ion that th
employee to “T a full day’s labor fora full da
provisions prohibit fraud an
ing these restr
's pay.” Code of Ethics for
use of government
ions, we understand that if offices or c
Members and staff may be unable to work at
it full capacities.
Accordingly, at
committee on
working at less
mment resources are being misused, the
mn regarding Members or staff who may be
inder an established COOP pian.
n-fullcapacit
Further, we rec Members review their
office hours) so that work may continue,
s (e.g., leave, tele
ile always priori the health and safety of
themselves and staff. Please nate employment policies should be applied consistently
among all employ: thout any ial For questions di
employment policies, please contact the Office of House Employment Counsel at (202)
225
75.
For questions on:
* Official resources in general, please contact CHA at (202) 225-2061 (tel:
(202)%20225~2063) (majority) or (202) 225-8281 (tel:(202)%620225~
8281) (minority).
.
Communications resources, please contact the Commission at (202) 225-9337 (tel:
(202)%20225~9337) (majority) or (202) 226-6647 (tel:(202)%20226-
0647) (minatity).
Personal or campaign resources, solicitations, outside empleyment, or financial
disclosure requirements, please contact the Committee an Ethics at (202) 225~7103
(tel:(202)%20225-7103),
Sincerely,
Chairperson Zoe Lofgren Ranking Member Rodney Davis
Committee on House Administration t on House Administration
Chairman Ted Deuteh Ranking Member Kenny Marchant.
Committee on Ethics Coramittee on Ethics
dan
sheats/undate-about irus-joint-hot inistrati
a
33
123
1211 ◄ /2020 Upd•I• Aoout the Coronavirus and So!ic1\a11on Joint Hou,e Adrnm1stranor--[th1cs Guidance I Hou,e Com,rnttoe on Ethics
COMl\lfTTEE ON
(/)
ETHICS Q
Update About the Coronavirus and
Solicitation: Joint House
Administration - Ethics Guidance
We all n•cngnizc Wt' dJ c in 1.np1('rcdrnted t'.nw,;. We m:1st conw togt'Llwr as a na~km ~fl
at1d10s~ :he ;·r•ro:)<1virns ;.M?ll!t'mlr Hclp:n~ourr0n-.;titumts rnt'ct and ovi:rrnme-thi'3
clwfa,uge is inlwit'nlly .'ii; appropriate <1~1d nere:,s,ny ·· <>SJ)(!Ci nt nm otfirial .md
rep1 C";l':1t,,:ion,1l rlutif5. l1nt• imtrn'dl<>tt' c1nd pr<''>Si\1{ i~jUC of 11<:lic1t1<1l rnnn,tn (s c;1~nrlng
thilt frontlin<- h{';:dthcc1:re-work0r:, h.a',,re tlw crltk,tl s:upplii!s tJ-wy nrPd tn contlnne t lwir v!\a!
work
Ac{,onling!y, w-c ,..,ish t0 take this oppc-rtun:ty ll) ;m1:ounff a nP>v. tempo1;;ryn:.,q)iien tu
ki1\g,,nnding g11;dJ11re kp;J.rding snlkltd1:011 Cir'ti\'ity_ ;;;ffect'.ve 1i;1nwdiatt>)y, JVlt'mtwrs on'
p.:rmittPd !(l t1se dflt 1,1\ co11:.1nu1\iri.1tlons fur som,' soJ:fit,1t:on ,!ctivitks1iurin,gthr OW!fl
l9 paml~mic." Thi$ guid~nct only applie1 during th" covrn-19 pandemic.
During this cn,;i,;, ,,·1en1bers..11(' D!mpo1·.rrilypl'1 mitled L,J :\,:(' offkiill i\'m:nunir,1lions.. ~o
solicit for blood <lona110ns and !n -kind resomres,.- -;urh ,1,; volrn1tN'r c:crvitf's., fciod, h,md
s,rniti7:t't, chsinfecti:lg m,:;tcriuls. om<l ;)ersono! protf't'tiH' t~quiplrll'HI (Pl~E; inclwil:1¥,, but
i~\)t hm!te-d to, g!~ives, rn,1;..ks, cfftd gl1\nlS··· on twh,i!f {1f nri;c11,iz,ititms{ldim·d M> d1c1rita!)!t'
under ir~tf'nMl R1'Wl1Ui'Codt> tlRC) § 170lC)_ Qu,1Hl\ed org,rnit'.,)tiO\l\ rn1der· iRC § 1/D(C)
inrlud:' thliSPcharit.:1Ne organiia!ions recognizrrl 1.mdt~r me§ 301(,:)( ~). os well a~ ,;Lc1lt' ur
loud guvc-rn:11e;,ui t•ntitit'S, i:1duding:public Yhr)•)IS, ,;ndct-rL<dn VClf'rans'
o:la;a11i1atitms. Plt!lS~ notll" thtt Ut;.t" of offici1.l eommunicatiom. to aolidt for such
org:aniutiom;: only appli('t. to blood dooatiom .and in··lcind rr:t1ourC"t>i., ind dou uot .!lllollf
for th(' solicitation of money for ~ny individual nr org;mi:r.etion.
lf ;-,.-;~1~1!,ers wish lo ,;olldt 011 twhalf of Dn orgarn;:,1ti11n not n!rngni:!\'.l under rRC § 17c(d,
they mL1st '.'>i'f'k c1ppronl fron., thf' Commhtce on t·.lhirs, which cur.stdcrs ,1nd dt>citks on
so\icilation 1eq11t'sts un 1whc11f t)f non-qualified C'lltities ('ll a ,,1se.-by· nise basis ThP
Committee on E!hirr; is cun C'nt!y redewing and procc.,1sing .=!ll rcq11ests relating to covm-
19 r('spcns~ rfforts on ,1n exp('dited Dnsis. MrmbHs ma.y us::< the HSolkitation W-'l.iver
RequMt" form (/sitH/ethini.bouse-.gov /file1/Solicitation%20Waive:r .pdf) to H'f!uri,t
permi::sion to ;-.:::si~t with soliri~Mions for i,1dividt1als and orgoni.zJt:ons n0t recognitt•d
moder mt:§ 17C'(,·1, which is (Wl tlwCnmr~litt1'1'rn1 F.thH·< \\ebo:;il.t'
athttpa:i/.thic-a,hom;e.gov(/)
rleasE' n!)I>' th,1t n1\ \lnt;Ulicitcd nMss-eon,nrnnic,n10n'., c,!Hl n~quire cm. ctdvi~ory L'pininn fr()m
~ht' Hot,Sl' Comm:i:sion en CongrE'c,sional Mai1ingSta1,dard,; (Cowmission), ('xcep! for
Ptnails sPnt at no c(ist to thr office, which nf'.ed \(' ~ll' disdoseil to theCumrnission within
two days ot 'iP!ldlCf. Members r1.;y fc>ner~lly limited fro:"TI sending n:,,ss ma1ttnf!S .a:1d '.112..'>S
communk.itlons in the "blackout period,,, the 90 days prior !o any primary nr eenfnl
('!f'cti0n or raurns for any fedt'raL state, or loi:al Pk'Ction in which ~he Member is a
caJ1didalf'. fJ(•Wt>Vt'f, Coimins;;,ion regt1la::1cmscxprcssly prrniit !/1.einlwr'.': to srnd
ronmumic.-11 ions n'g.i:rding i1m'd.ti~ to lifes.:if,,ty T~w ('Orull<TVrn1c; qu,tlifies ,\s ii tllh~i'lt m Jjfr
saf('ty, so :na:o:s ro1;:nmnkulions ur:d Fr<1nke1~ rna!l lirn(tt'd to \nfonnatio:1 ab.:rnt th'
ht!µ,·!/ethica Mu,e.govr,o/ic;t•tion-p111(r;.. 11,hwt11\ipdate-about-coronaviru1-and-11,o!ic1t11!10n-101nt-hot1,/!l•.adrn1rii1tr1t\on-l!llh!C$ 112
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124
12114/2020 Updalit About the CoronaYirus a:nd Sci1cit~t1◊n Joint House Adm11111trn!1on-Elh1c1 Guidance j House Comrnttloe on Etn1c1
rornndvinr, ~\·ill r,cncrrlUy be> rxru:pt from the bL=1dwut rulP.!i..",1'.•;nber ,vho is othc:v:isc ii:
c1 blnckoul p0riod 1::: s1 rongly ;idvtSl!d lo get rrior c1pprov<tl frnn: th? C{i;nalission for,\
communicano11 at°'(H1t th~ rnro0ov1rus. All regu)at;on~ tmd the s, and;mi advisory opin:on
requirements still apply to communirdtlo:-is sent during the blac'kout Pk•ase conliKt th('
Cornr:1i,;s1on with any q111.'stions.
For qu0stio~1s r>:>garding
~ official rorn.m'{'S in gennaL ph>?.sc cont art the Corr;rninee 00 H0usP Administrntion
at (1.01.) 125 .. 2061 (ti:l:(1.01.)•All.0125-8.181) (mujority) or (101.) :125-8281 (tel:
{202)1~20225-1061) (rninm ity)
" offkial r0n~municatioM, pk i1St'C{lJ1tcKt tht Commi,;sion dt (lOl) (tel:(l02)'-¥1120ll6-
1 1
06', 7).22'i::.9HZ (majoriiy) or (lOl) 126-·0647 (tel:(2.0l)~/ol0l26-
0647) (minority)
pe1sonal Pr c:.irnpctign resourn'~> and sofait,1tlons, plt),ISC com;Kt tl1c C,1mmittf'E' ,1n
Ethin: JI (201) 225-7103 (t~l:(202)%1.021.5-7103)
SiD('(!lE'iy,
Chal1pe,:111n Z0e Lofgrm Ran~ing _'-.'1:('mbf'r Rodney D.1.vis
CommittPC' ~in Hnu'.'le Adm!nistrJ!ion
Commit:ee on Ethic,. Contrnir.tec on Etl1ics
•The Comn1!tt<?~ on Ethic,; is is.:-:ni1-::g this. solkitatinn \\\1i\Tr untkr iN~llthority tn 5 C'.S.C. §
'd'i3
t1t!o•:flet!ltcs.hou.ae gov!eolicit8lion-pin!l:•&heetstupdate•aboul•coronaYiru1-and-'!io!icit.at1on-joint-hou1e-•dmirii1tr1Uon-11:thic, 212
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125
t '()\!\HI Tl!' O'\ I 'l !1!(':,
April 7. 2020
l\lRMORA.'.'lI>UM FOR ALL MEMBERS, OFFICERS, AND EMPLOYElcS
fROM: Committee on Ethics
Theodore L Dcutch, Chairman
Kenny Marchant. Ranking Member
SUBJECT: Upcoming Financial Disclllsurc Filing Deadline & Pandemic-Related Relief
1 he Ethics in Government ,\ct (EIGA) subjects all Members of the !louse and certain
House employees to financial disclosure (FD) filing requirements. In general. Members and staff
\\'ho arc subject to FD tiling requirements must fik two types of repons: I) anmrnl Hl Statements,
"hich must be tiled regardless of' a filer's holding, or financial acti,·ily and that arc due by May
15 of e~ch year. as \\ell as upon heginning and terminating I 1(1usc employment. and 2) periodic
transaction reports (PTRs) that a filer may be required to ltlc throughout the year on an @going
basis, depending f\n their actual financial activity. The purpose of this memorandum is to remind
filers of the filing requirement and to detail what steps the Committee is taking to address the
dil'ficulties of complying, at this time," ith the 'via) 15:h annual FD deadline.
Pandemic-Related Relief
T'hc Committee recognizes that the annual FD deadline comes at a tim~ \\hen our cotmtry
is fighting the COVID-19 pandemic. lo address the difficulties of complying "ith the statutory
Ii ling deadline at this time. the Committee has taken the following steps.
First the Committee has nutomatklilly granted all f-lousi: Members and employees ",ho are
required to file an annual FD Statement the full 90-day extension permitted by EIGA. Therefore,
the deadline for all annual tilers is now August 13. 2020. Annual lilers are 'Aekome to submit FD
Statements as soon as practicable. or anytime before August 13, 2020. Then:: Is no need to request
the extension or take any other action. As the Committee is granting an extension to the maximum
extent allowed by !av,. Committee is not authorized to grant any additional extensions. This
automatic extension dncs not apply tc, Members or staffers filing new employee repons or
termination reports. Additionally. this automatic c,ctension does not apply to candidates for the
U.S. House nfRepresentutives.'
1
E!G.-.\ also d0es not permit the Committee h"l grant i~xtensions for PTRs.
-!-
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126
Second, the Committee recognizes that the pandemic presents an extraordinary
circumstance. Although we encourage filers to put forth every effort to fulfill the FD filing
requirements, we also recognize that timely filing, even at the extended deadline, may not be
possible for some individuals. EIGA permits the Committee to waive late filing fees in
extraordinary circumstances. Therefore, all late filing fees reasonably related to pandemic-related
issues will be waived by the Committee. To request a late fee waiver, filers must submit a request
to the Committee. A form for this purpose is available on the Committee's website,
ethics.house.gov.
Third, Committee staff arc available by phone and by email to provide FD guidance. While
our physical offices are temporarily closed due to the Coronavirus outbreak and the need for social
distancing, our staff continue to be available to assist you from 9am to 6pm Eastern Standard Time.
Simply call the Committee at (202) 225-7103, select option ·'4;· and leave a brief message. A
member of the Financial Disclosure team will return your call promptly. You may also email your
inquiries to finandal.disdosure(ii1rn1il.houst•.gov for assistance. Although the temporary closure
of our physical offices prohibits the Committee from prescreening draft filings, this service will
resume immediately after our offices reopen.
Additional information about financial disclosure requirements may be found on the
Committee's website at https://ethics.house.gov under the ''Financial Disclosure'' tab.
Which Staff Must File Financial Disclosure Statements
!louse staff may be subject to financial disclosure filing requirements for a number of
reasons, including 1) they are paid at or above the senior staff rate for 60 days or more during the
calendar year, even if on a temporary basis; 2) they are designated a "principal assistant" for
financial disclosure filing purposes by their employing Member; or 3) they are a shared employee
of three or more offices. regardless of their rate of pay.
"Senior Staff' arc those House employees whose "rate of basic pay is equal to or greater
than 120 percent of the minimum rate of basic pay payable for GS-15 of the General Schedule"
for at least 60 days at any time during a calendar year. Therefore, House employees who were
paid at the rate of $127,914 ($10,659 monthly salary) for at least 60 days during 2019 will be
required to file a Statement by August 13, 2020. 2 It is each employee's responsibility to know if
you are senior staff and to comply with the ethics requirements that attach to that designation.
At least one employee in every Member's personal office must file an annual FD
Statement. Most offices will have at least one employee who is paid at or above the senior staff
rate and therefore is required to file an annual FD Statement. If a Member does not have an
employee paid at or above the senior staff rate, the Member must designate at least one current
employee as a ''principal assistant" to file an annual FD Statement. To designate a principal
assistant. the Member must sign and transmit to the Clerk of the House a letter that identifies the
designee. A form for this purpose is available on the Clerk's website, clerk.house.gov.
2
For 2020. senior staff are House officers and employees whose basic rate of pay is equal to or greater than
$131,239 for at least 60 days during 2020.
-2-
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Some shared employees arc also required to file an annual FD Statement pursuant to a
Committee on House Administration Resolution. Each House employee who is employed
simultaneously by three or more offices for more than 60 days in a calendar year is required to file
an annual FD Statement the following year regardless of their rate of pay.
How to File Financial Disclosure Statements
Annual FD Statements may be filed with the Legislative Resource Center (LRC) by I)
using the online filing system available at https://fd.house.gov or by 2) mailing in pre-printed
forms. These forms may not be filed by email, scan, or fax.
The Committee strongly encourages all filers to use the on line filing system for submission.
We are striving to make the system available for submission of the annual filing no later than April
15. 2020. The system can be used from any place where internet access is available and does not
require any physical contact with the LRC in this time of crisis. The login and password for the
system remain the same from year to year. If you need to have your login or password reset, please
call the LRC at (202) 226-5200 for assistance.
Financial disclosure forms may also be filed by mailing hard copies of the pre-printed
forms to the LRC. In-person delivery to the LRC is not available at this time. Members must
submit the original, signed form with 2 photocopies. Staff must submit the original, signed form
with I photocopy. All forms must be sent to the following mailing address:
The Clerk, U.S. House of Representatives
Legislative Resource Center
B-81 Cannon House Office Building
Washington. DC 2051 5-6612.
* * *
If you have any questions regarding financial disclosure, please contact the Committee at
(202) 225-7103 or financial.disclosure@mail.house.gov .
. 3.
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128
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lndwna COMMITTEE ON ETHICS
1\.11<:had (ml'\t .Vli~\l~'>lflPI
April 13, 2020
MEMORANDUM FOR ALL MEMBERS OF THE HOUSE OF REPRESENTATIVES
FROM: Committee on Ethics
Theodore E. Deutch, Chairman
Kenny Marchant, Ranking Member
SUBJECT: Ethics Guidance - Coronavirus Aid, Relief, and Economic Security (CARES) Act
This memorandum serves as a reminder of the conflicts of interest rules, laws, and
regulations that apply to Members. 1
The Coronavirus Aid, Relief, and Economic Security (CARES) Act, enacted on March 27,
2020, contains several provisions providing emergency relief for individuals and businesses.' One
of those provisions is§ 4003 of the CARES Act, which allocates $500 billion in emergency relief
and authorizes the Secretary of U.S. Department of Treasury to provide liquidity to eligible
businesses, states, and municipalities related to losses incurred as a result of the COVJD-19
pandemic. Members, their families, or businesses in which Members or certain parts of their
immediate family have an ownership interest may be interested in applying for or receiving relief
through the CARES Act. The Committee recommends caution before applying for or receiving
relief under the CARES Act.
In particular, the CARES Act has a conflict of interest provision applicable to businesses
in which senior government officials or their immediate family have an ownership interest. 3
Specifically, § 4019 of the CARES Act prohibits companies in which Members (or their spouse,
clti/d, daughter-in-law, or son-in-law) own 20 percent or more equity interest from receiving any
loans, loan guarantees, or other investments described in § 4003 of the Act.' Further, for !ll!J!.
company that receives emergency funds described in § 4003, the principal executive officer and
1
For all purposes in this memorandum, "Member" is defined to include any current Member, Delegate, or
Resident Commissioner of the House of Representatives.
2
Coronavirus Aid, Relief, and Economic Security Act, Pub. L No. 116-136,
1
Id at§ 4019.
'Id.
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129
financial officer, or individuals perfonning similar functions, are required to certify that the entity
is eligible under§ 4003, including that the conflict of interest provision does not apply. 5
The prohibition in§ 4019 of the CARES Act is limited to the emergency relief funds
described in § 4003. Thus, Members or businesses in which Members or certain individuals in
their immediate family have an ownership interest may be able to apply for assistance under other
parts of the CARES Act. such as the Paycheck Protection Program. 6 However. other conflicts of
interest rules and regulations (e.g.. criminal conflicts of interest, see below) may limit a Member's
participation in those other provisions of the CARES Act. For example, Members may be
prohibited from entering into contracts (including loans and loan guarantees) with federal agencies
to secure emergency relief. Accordingly, Members are encouraged to review their financial
holdings and familiarize themselves with the conflicts of interest rules and laws summarized below
before availing themselves of any provision of the CARES Act or any future related legislation.
Criminal Conflicts oflntcrest 7
A criminal prohibition at 18 U.S.C. § 431 provides a penalty for any Member of Congress
who "undertakes, executes, holds or enjoys·· a contract or agreement entered into with the United
States.' Government loans and loan guarantees may be contracts with the United States for purposes
of§ 431, but contracts made, entered into, or accepted on behalf of an incorporated company for the
general benefit of the corporation are excluded from the prohibition. 9 This is true even where a
Member of Congress has a substantial interest in the corporation.'° However, this exception does not
apply to partnerships, limited liability companies (LLC). or to corporations designed specifically to
allow Members of Congress to avoid such restrictions."
ln addition, 41 U.S.C. § 6306 requires that every government contract include an express
condition that no Member of Congress "be admitted to any share or part of such contract or agreement.
or any benefit to arise thereunder." Finally. under 18 U.S.C. § 203, House Members, officers, and
employees are prohibited from asking for or receiving compensation for •'representational services"
rendered in relation to a matter or proceeding in which the United States is a party or has a direct and
substantial interest. Included in this provision are proceedings before any federal government agency.
department, or bureau.
5 Id
6
Id. at§ 1102.
7 Please be advised federal criminal law is enforced by the C.S. Department of Justice, and the
Committee's guidance is advisory only.
8
18 U.S.C. § 431. The statute specifically exempts some government contracts, such as certain fam1 loan
programs and crop insurance. See e.g.. 18 Ll.S.C. § 433.
() 33 Op. Art'y Gen. 44 (1921) (applying§ 431 to loan from War Finance Corporation to company in which
Member was a stockholder. but concluding loan was pennissib!e because loan was to corporation not Member
individually).
'° See33Op.Atty.Gen.44(0ct.29, 1921).
" See 22 Op. Off Legal Counsel 33. 38 (Feb. 17, 1998).
2
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130
Example I: Member A owns Buffet Restaurant, LLC (Buffet), a small family-owned
business. She receives annual compensation based on profits from the restaurant. She is considering
applying for a disaster loan on behalf of Buffet through the U.S. Small Business Administration
(SBA). Buffet is not incorporated, and thus, the prohibition on Members contracting with the federal
government may still apply. Member A should contact the SBA and outside counsel to ensure she is
not prohibited from receiving such a loan under 18 U.S.C. § 431.
Example 2: Member B works part-time at Moonlight Bakers, Inc. (Bakers) and receives a
salary. The manager of Bakers asks Member B to contact U.S. Department of Treasury about the
loan program under § 4003. Member B should not do so because this may be considered a
prohibited representation under 18 U.S.C. § 203.
Avoiding Potential Conflicts of Interest
All House Members, officers, and employees must conduct themselves at all times in a
manner that reflects creditably on the House. 12 General ethical standards and rules restrict a
Member's ability to engage in undertakings inconsistent with congressional responsibilities. Because
even the appearance of a conflict of interest may adversely affect public perceptions and confidence,
a close examination should be made into the circumstances and possible relation to official acts of
any proposed activity. To start, a Member may neither receive compensation nor allow a benefit to
accrue, "by virtue of innuence improperly exerted from the position of such individual in the
Congress:· 13 Similarly, paragraph 5 of the Code of Ethics for Government Service calls on
government officials never to dispense special favors or privileges, nor to accept any favors or benefits
·'under circumstances which might be construed by reasonable persons as influencing the
performance" of official duties. These standards of ethical conduct prohibit the use of official position
for personal gain or providing a special advantage to an outside organization with which a Member
is amliated.
Example 3: Member C's fiancee is employed by an agricultural trade association. The
fianccc asks Member C to schedule a meeting for her and U.S. Department of Agriculture officials
to request financial assistance for farmers under the CARES Act. Member C should not schedule
such a meeting to avoid the appearance of a conflict of interest.
Voting on Legislation
The rule governing voting on legislation on the House floor provides that a Member has a
duty to '"vote on each question put, unless having a direct personal or pecuniary interest in the event
of such question.'' 14 Longstanding House precedents provide that "where legislation affected a class
as distinct from individuals, a Member might vote." 15 This provision has been interpreted to require
a Member to abstain from voting only on a matter that would impact the Member in a direct and
i:: House Rule 23, cl. 1.
u House Rule 23, cl. 3.
" House Rule 3, cl. I (emphasis added).
15 2008 House Ethics Manual at 234 (quoting 5 Hinds' Precedents (?{the House qf Representatives§ 5952,
at 504 (1907)).
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131
distinct manner, rather than merely as a member of a class. 16 For example, when the issue of
Prohibition was before the House. it was found that Members who owned breweries or distilleries
could vote on the issue because it affected a class of businesses." However, with respect to
sponsoring legislation or taking other official action that may affect your financial interests, the
Committee's guidance is that such actions are subject to stricter standards than those governing voting
on legislation on the House Jloor. 18
Example 4: Member D has a financial interest in a vodka distillery. Member D has decided
to use the distillery to produce hand sanitizer instead. Member D should not introduce or sponsor
legislation to provide tax incentives to such businesses that have transitioned to hand sanitizer
production. Still, Member D may vote on the tax incentives.
***
Committee staff are available to provide advice to Members and employees. Please direct
questions to the Committee·s Advice and Education staff at (202) 225-7103. It may also be
necessary to consult with specific agencies of jurisdiction or with outside counsel.
16
See id. at 234~235.
l1 Id. at 235 (citing 8 Clarence Cannon, Cannon's Precedents of the House of Representatives§ 3071. at
620 (1936)).
18
See id. at 237.
4
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'il.&. ~ousr of llrpresmtatihrs
( 0\1\ill '.l ! ()'\ Fill!(:-,
April 29. 2020
~tEMORANDU:\I FOR ALL MEMBERS OF THE HOl'.SE OF REPRESENTATIVES
FROM: Committee on Ethics
Theodore E. Deutch. Chainnsn
Kenny Mun:hunt. Runking Member
Sl;BJECl: \Vcbinor Ethics Training for New Employees and Psid Interns
Tht! purpose of this n1cmorandum is to announce that the Committee v, ill conduct ethic~
training wt..·binars for n~\-\' 1.!mployt:cs and interns paid by the House that do m::,t have a1.,;cess t..J a
t louse computer.
All new cmplo)ccs must complete ethics training within 60 days of hcginning House
employment A ··new .. I louse employee fhr purposes of the 2020 trnining requiremtnt is an
im.liYidual v,"hi:..' first began employment \\ ith th~-: House on or after January 3. 2020, Any former
House employee \\,'ho returns to House employment .1t1cr a gap of more than 90 consecutive
calendar days is considered to be a "nev.:'' crnployi:e. Interns paid by the House for mor~ than
60 days also must comply \\ iTh this requirement 1
Ne,v or paid imcrns intcrcsttd in completing the webinar. please email the
C01nmittee at ,,_u,,'c,,"e!l'h'}:,,11_E:•1.11,'2,'l:~,;;,,,,'. to receive lhc link and paSS\\.'<.Xd, Ea..:h \:\'cbinar
the \Yebinar. t'mployc-cs \\ ill rcct:ive o
The Ii.st of upcoming webinars is listed below and also aniiluble on tht' Ethics Committee
wchsite: hg~~~lhi~Jl~..:.b;i?.l.· All staff schedufod training sessions whcth~r for new.
existing. or senior staff v,;ill be listed on the Cornmittee calendar on an ongoing has is.
Dttailec.s, fellows, unpaid interns. and any indl, idu.ilq whci ar<: t!fllp!oyed by the House and pnid for Jb-,er
than 60 da1s arc not required to .attend eth!Cs training in 20~n. The Ethics Committt:-e none1hek:'!-s cn..:ourag,·s these
individuals to complete ethks tr,1ining, so they become familiar \',·Ith 1he Hou:Se t.:thics rukM ...,hik working in al Joust
tiffice or for a I Jome committee.
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133
Name ofTrainin~ Date and Time
New Employee Ethics Webinar May I. 2020 at 11 :00 AM
New Employee Ethics Webinar May 2 I. 2020 at l :00 PM
New Employee Ethics Webinar June 8, 2020 at l l :00 AM
If you have any questions regarding this guidance. please feel free to contact the
Committee's Office of Advice and Education at cthic'.-l.traini1H!·C1,mai!.hou-;t.go\.
2
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134
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135
securities on a PTit I lm\C\Cr. PTRs arc not required fr)r \\ idel) held investment fund~ :-uch as mutual
11.mds. c,t:hange-tradcd f'unds. and index funds. No P fl{ is required to he tiled if there is no rcportahk
securities nctivity.
For all Members. of1icers. and senior stall who are subject to PTR filing requirements,
securities transactions must be reported twice: for the first time on a PTR no later than 45 days
from the transaction. and then a second time on the annual FD Statement covering that calendar
y car. Transactions in certain t) pcs of\\ idcly held in\·c:-tmcnt funds (e.g. mutual funds. exchange-
traded funds. index funds. bond funds. and similar assets) only ha,e to be reported on the annual
FD statement.
PTRs may be filed with the Legislative Resource Center (LRC) by 1) using the on line filing
system available at https://fd.house.gov or by 2) mailing in a pre-printed PTR form available at
htt ps:i.'ct hics.hou;-,c.Qov ·'finnnc ia!-disc losur,e.'financial-di.sc losurc-forms-and-ft I ini!. to The Clerk,
U.S. House of Representatives, Legislative Resource Center (LRC). B-81 Cannon House Office
Building, Washington, DC 20515-6612. Members must submit the original, signed form with 2
photocopies. Officers and staff must submit the original, signed form with 1 photocopy. These
forms may not be filed by email. scan. or fax.
The STOCK does not allow for extensions for PTRs. Transactions must be reported no
later than 45 days after the transaction occurs. All late PTR filings are subject to a late filing fee
of$200, up to as much as $200 per late transaction. However, there is a 30-day grace period before
late fees are imposed. Late filing fees should be mailed to the LRC by check or money order made
payable to the U.S. Treasury.
Any PTR submitted more than 30 days alter the due date\\ ithout the required late tiling
fee shall be deemed procedurally deficient and not properly tiled.
NEW CERTIFICATION REQUIREMENT
Each PTR submission has always required a certification that the information provided is
true, complete. and correct to the best of the reporting individual's knowledge. The form has now
been revised to expand the required certification statement to include an affirmation that the
reporting individual has disclosed all securities transactions reportable pursuant to the STOCK
Act.
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136
Image of New Certification Statement
UNITED STATES HOUSE OF REPRESENTATIVES
ETHICS IN GOVERNltENT ACT
PERIODIC TUANSACTION REPORT
.Filer Status: Offi<"Vr or Emplo.n,r
n:RTIF!C\TIO); "Tl!IS oon:~rn:,., Mt:sr BE S!G);Ell BY THE REPORTJSG t=-:llt\'IOUAl,A);ll DATf:ll
:j ~~"'u;~,::h;!:~:::;;1~:~n;: ;~;:~~=:~1~~: i:~~:~{.~~~~:,~:,~~; ~~~1~1~1 ~;.~;·;,:n;'.:~:~~:1 ,:r1 ~~~~l~~~•~:~~~l: :;·~~:.~~~;":~=~-~:,!:::: ~:~~~1:~ I
or 111 d<"nr;:ntt An.;- 1ndiv:du,il who kn<>1>.1~\~ 11nd willtull)· fab1f,,,~ ❖f whQ i;m;;wmfi'l~- i,nd willf\111~ fail• to f1l<' th" >:ltU~b'-'d n--y:,rt rm,y b" ~\lh~1 lo rw1I
•.!'.:'~n~~and~rtn,~• • • 4of1h~l:.!h1c~mOo\..rm1wnt.-\<:1!:>l'St app g1011111:mdl$t'SC !1001
•••FOR OFFICIAL l"SE 0:-iL \' DO :-iOT WRITE BELOW.. •
FAILURE TO FILE OR FALSIFYING PTRs
Each Memher. officer. and senior staffer is responsible for the completeness and
accuracy of the information contained in the individual's PTR. even if someone else prepared.
or assisted in preparing, all or part of it. The EIGA provides that the Attorney General may
pursue either civil or criminal penalties against an individual who knowingly and willfully
falsifies a statement or fails to file a statement required by the EIGA. The maximum civil
penalty is $61.585. The maximum criminal penalty is up to one year in prison and a fine of
up to $61.585.4
In addition. 18 U .S.C. ~ 100 l. as amended by the False Statements Accountability Act
of 1996. is applicable PTRs. That criminal statute provides for a tine ofup to $250.000 and/or
imprisonment for up to five years for knmvingly and willfully making any materially false.
fictitious. or fraudulent statement or representation. or falsifying. concealing. or covering up a
material fact. in a tiling under the EIGA.
4
2020 Civil Monetary Penalties lnflalion Adjustments for Ethics in Government Act Violations, 85 Fed.
Reg. 2279 (Jan. I 5, 2020).
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137
PROHIBITION AGAINST INSIDER TRADING
rhe STOCK Act explicitly affirmed that Members. officers. and all employees arc
subject to the insider trading prohibitions arising under the securities laws. which include
Section I 0(h) of the Securities Exchange Act of 1934 and 17 C.F. R. § 240. l 0b-5 (popularly
known as Rule I0b-5). The prohibition applies to information learned both in an official
capacity and in a personal capacity.
Members. officers. and employees may obtain material nonpublic information
about a public com pan) or economic sector (e.g.. energ). telecommunications. or
healthcare) during the course of their official duties or in their personal capacity from
family. friends. acquaintances. or from their own involvement with ,1 company. If the
Member. officer. or employee chooses to trade on this information. they may have engaged
in insider trading.
Material nonpublic intrmnation is any information concerning a company. security.
industry or economic sector. cir real ,,r personal pruperty that is not available to the general
public and \\hich an investor \\Ould likely consider important in making an inv1:stmcnt
decision. A good rule of thumb to determine ,,hether information may be material nonpublic
information is \\hether or not the release of that information to the public would have an effect
on the price of the security or property.
Example: A I louse employee learns in a meeting with Food and Drug
Administration (FDA) staff that a new Coronavirus vaccine is going to be
approved by the f<DA. The starfer is informed at the meeting that this
information is confidential. The House employee then buys shares in the
company that manufactures the vaccine. Once the news of the drug approval is
made public, the company's share price increases and the employee sells at a
profit. As the STOCK Act explains. the employee would be subject to liability
for violation of federal civil and criminal insider trading statutes. However. if the
!-louse employee" a its to purchase the shares until the information regarding the
FDA decision becomes public. the employee would not be subject to liability.
* * *
If you have any questions regarding financial disclosure or wish to discuss any of the
STOCK Act's requirements, please contact the Committee at (202) 225-7103 or
financial.disclosure "ii.mail .house.um.
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138
Jul; 13. 2020
'\tEMORANDFI\I FOR Al,L ;11EMBERS, OFFICERS, A!liD EMPLOYEES
FROM: Committee on Ethics
-1 hcodore E. Dcutch. Chairman
Kenny Marchant. Ranking Member
SL:l3JF( · !': Reminder ,,\'Financial Disclo,ure filini; Deadline & Assistance A, ailahlc
The Committe0 has automatically granted al! l louse ivlembcrs and employees \\ fk, arc
rc·quired to file an annual financial disdosure iFD) statement the full 90-day exknsion of the May
th
15 tiling deadline as permitted by the Ethics in Go\·ernmcnt Act (EKiA}. Please be- reminded
that the deadline i• August 13, 2020, exactly one month away Br law, no further ntcn,ion
is allowed beyond Aui:ust 13, 2020. This automatic extension docs not apply to lvkmber., or
staffers filing nev,; cmployi;~c r~ports or termination r~p011s. Additionally. this uutomatic extension
docs not apply to candidates for the U.S. House of ReprescntatiH'S.
A,,sistance ,\ ,ailablc "ith rinancial Discjosure
Committee staff arc available hy phone un<l by email to pnnide FD guidance, \\'hiie our
physical offices arc- tt'nlporarily closed due to the Coronavirus outbreak and the need for social
distancing. our staff continue to be arai!ablc to assist you during nornuil business hours. Simply
call the Committee at (202) 225-7103. sekc1 option "4." and leave a brid' message. A member of
the Finnncial Disclosure team \Vill rc1urn your call promptly. You may also email your inquiries
to financhd.dis4..'l()!'-Ufc",lmail.house,go-, for assistance. Although the temporary closur~ of our
physical otlices prnhibits the Committee frorn prescrccning draft filings fr1r staff. pn:.~scrccning is
avuilnbk for Members.'
In addition. the Committee will offer virtual senior staff trainings that !!;Jl1 satisfy either
!he annual ethics training ri:quircmcnt or the additional hour nftraining requirl!:d for senior stuff
for the l l6u1Congress. These trainings will cover general informa1ion ubout the rcquirem1~nt to
file FD stat~ments and Periodic Transaction Ri:ports. These trainings\\ iii take place on the
f:..1lh.n-, ing dates. at the listed times. and via the \VcbEx. audio platform:
'Due to the Committee's !imited nhility to prcs1;reen filings prior to submission, a larger numh\'.:r of amendment
rc-que~ts arc antii.:ipatl.'d for annual financinl disclosure ~tatcmcnts.
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139
All attendees are required to pre-register for each training with the Congressional Staff
Academy W<:bsite at https://housc.csod.com.'~ml<lefault.aspx.
How to File Financial Disclosure Statements
Annual FD Statements may be tiled with the Legislative Resource Center (LRC) by I)
using the online filing system available at https://fd,bouse.g9v or by 2) mailing/delivering pre-
printed forms. These forms may not be filed by email. scan. or fax.
The Committee strongly encourages all filers to use the online filing system for submission.
The system can be used from any place where internet access is available and does not require any
physical contact with the LRC. The login and password for the system remain the same from year
to year. If you need to haye your login or password reset. please call the LRC at (202) 226-5200
for assistance.
Financial disclosure forms may also be filed by mailing or hand-delivering hard copies of
the pre-printed forms to the LRC. In-person delivery to the LRC is available Mond:ty through
Friday from IO a.m. to 3 p.m. Eastern Standard Time. Members must submit the original. signed
form with 2 photocopies. Staff must submit the original. signed form with I photocopy. Forms
may be sent to the folio,\ ing mailing addr,:ss:
The Clerk. U.S. House oCReprescntatives
Legislative Resource Center
B-81 Cannon House Office Building
Washington. DC 20515-6612.
* ....
lfyou have any questions regarding financial disclosure, please contact the Committee at
(202) 225-7 ! 03 or financial.disclosurc@rnail.house.gov.
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140
m.~. J)onsc of 1'rprcsmtanurs
i 0\1\i!Tll I O, Ffl!l('S
July 2L 2020
:\fF.MORANOl!M FOR ALL MEMBERS OF THE HOUSE OF REPRESENTATIVES
FROM: Committe\.' on Ethics
Thc,,Jorc E. lkutch. Chairman
Kenn:, l\farchunl. Ranking M"mhcr
SURJFCT: Campaign Activity \Vcbinar Training
The purpose of the rntmorandum is to announ~c that the Con1mittee ,,,ill conduct campaign
activity wcbinars. The webinars "' ill co,:er the rules and r~gulntions for campaign activity. In
addition, the webinurs v, ill satisfy the annual ethics training requirement but not the addiiional
hour of training ri:.-quircd for senior stRff for the I 16 th ( 'ongress.
The list of upcoming wchinars is liskd hdow and also a,ailahle on the Ethics Committee
I\ ehsite:~ _ Q u s e,.£9.Y•
~ t p a i g n Acth]!y Wcbinsr _ _ 1
I O,.t~ Time 1
f··-·· ._Jlll.:,'_~!,).020
I Auuust It). 2020
10:00 A.\! .
I 0:00 A "1 i
·--•I
I Aul(Ust 27. 2020 10:00 A ~
All attendees a r e ~ for each training "ith the (\mgrcssional Stuff
Acadcm: \Vcbsitc at t1ttp~://housc.c:-,;ot.l.rumh,amldefoult.asp\..
If you hale any questions regarding this guidance. pk,asc fCcl fn:c to contact the
Committee·s OtTlce of AdYicc and Education at i.:'!h(c;-,.tr.JinipL: ,, Jrn1il.h0t1:-iC,(:( 1.\.
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141
il.ii>. ~oust of l\cpresrntatibes
CU\l\lrl ITF 0~ I rlilCS
No,embcr 24. 2020
MEMORANDl•M FOR ALL ME:VIBERS, OFFICERS, AND EMPLOYEES
FROM: Committee on Ethics
Theodore L Deutd1. Chuirman
Kenn) Marchant Ranking /\.!ember
SUBJECT: Guidance on House Staff Assisting in the Presidential Transition 1
Consistent with past practice. the Committee is issuing this guidance allcr the conclusion
of Ekcticin Day. and independent of any formal resolution. rhe Committee explicitly takes no
position us to the outc,irne ofan1 Presidential election. in addition to the guidance provided below,
House staff intcrt:::sted in ,,orking on the Presidential transition may also wish to contact the
Committee on Houst Administration and cmployi,,g authorities may \Vish to consult with the
Office of House Emplo), mcm Counsel to ensure that any arrangements wi1h the Transition Team
comply with the stalulcs and regulations within their respective jurisdictions.
Consistent \•Vilh guidance offf.~rcd by the Committee relating to past transi1ions of new and
re-elected Administrations. there are three alternatives under which House employees may assist
the transition of the nev; or r-c-dccted Administration.
I. Assist the Tramitio11 as Part of Congressio1tal D111ie.<. !Vlembcrs and otticers of
Congress are: given \•\ide latilUdt~ in the dcploym~nt of their o!licial sto.ffs. though cc1iain
restrictions do apply. The Code of Official Conduct instructs Members and officers to retain no
one on their stuffs ·'who docs not perform duties for the ol1ices of the employing authority
commensurate,, itb the compensation he receives:•: Mouse rules also state that professional staff
members of tho standing committees of the llousc .. (A) may not engage in any wNk other than
committee busini:ss during congressional working hours~ and (B) may not be assigned a duty oiher
1
!',;tHc that for purposes of this memornudum, the term '·transition" n.~fer:> to the period immediately
fo!lowing a Picsident!al election.
1
Homt:: Rult" 23, dausi:- &.
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142
than one pertaining to comrnittcc busincss." 3 Mon.::o,,cr. appropriated fund~ may be used only for
the purposes for \\·hich they were appropriatcd. 4 Congressional funJs. therefore, may not he ut-t~J.
to pay any personal. political. or campaign-rdatcd expenses.::- The Ethics Committee has construed
post--elcction transition work (i.e., \vork performe-d afkr 1he nc\\ or re-elected Adminislration has
b..~cn officially recognized by the U.S. Government Services Administration (GSA)) to be
governmental rathl.?r than political in nature.
\Vithin the parameters de~nibc<l aboYe. Members havi;; wide discretion in establishing the
duties of their staff~. ~kmbet;; could reasonably determine that having staff ussis1 the incoming
or rt .. elected Administration \\ould inure to the long-tcnn benefit of their committee. thdr
constituc11.1s. or thdr lt.:adership office. and such assistance could, therefore. upprnpriotcly be
drcmi;:d to pertain to oflh.'ial congressional business. The closer House t~mpioyccs' duties ,vith the
transition relate to their regular duties with the House, the more reasonable it would he for their
employing ~'lcmhcrs to make that determination. Assisting the transition is. of course. by
dt'tinition. a tcmporury assignment
Under this altcrnnth c, llousc cmpk,yees "ould remain responsible to and under the
dircttion of their employing Members. They \\ould not become employees of the Prcsident~ckcL
the transition. or any person \,·orking for the transition. By signing the monthly ~alar_y ~t.:rtification.
their \;mploylng \kmhers would vouch that they cnntinut! to pt:rfonn ofikial congrcssic1nal
husincss. Subject to these conditions. House employees may assist the tmnsi1ion and continue to
recei\'C their House salaries and benefits \\hile doing so. They would remain subject to all lloL1sc
rules, including the Ilou5c gift rule. ,,hilc they work nn matters related to tht transition.
2, Assist th<' Tra11sitio11 u.s a Reimb11rsed Derai/ee. ] louse cmplo~ccs may. "ith the
consent of their employing ~·1cmhers, be fomrnlly detailed to the transition of the incoming or re-
elected Administrutio1L ·1 he Presidential Transition Act of 1963. as nmended, provides in pertinent
part:
[A]ny t!mployec of any agency of any br.::inch of the Government. or an
employei-: of a committee of either House of Congress. a joint comminee of
the Congress. or an indi\'idual Member of Congress. 1rn1y be detailed to such
[transition I staffs on a rdmbursablc basis with the consent of the head of
the agency, or in the -case- an employee in a position in the li!gislath-·c branch.
with the consent of the supen'ising Member of Congress; and v,:hilc so
detaikd such employee shall be r~sponsihic only to the Presidcnt-ckct or
Vicc-Prcsi<lcnt-elcct for the performanct: of his duties: Provided furtlwr.
[t]hat any employee so detailed shall continue to re-eel\.,<.~ the compcnsati(•n
1
House Rule l O. clause 9(b )( l t
" )1 l'.S.C. ~ l)Ol(a)
h:t.nql'l(,.'*'' n"rnb,·1'c\•,1cn>,1>'t<e,i•it<1'ldb.),,h,
27. 2020),
2
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143
provided pursuant !o law fr,r his regular employment. and shall retain the
rlghis unJ privileges of such employrnent \\'ithout intcrruption. 6
The legislative history of the 1976 amendments to the Presidential Transition Act indicates
that "on a r~imhursable basis" means that reimbursement of the employees· salaries by the
transition is required. One purpose of the amendments. according to the Senate report
accompanying the amendments.'"" to "require that when personnel is detni!ed to the offic-e staffs
of the- incoming nnd outgoing Prcsidi.:nts and Vice Presidents from a federal department or agency.
reimbursements mmt he !fWdt' to the appropriate agl!ncy for sud1 services:•:
I louse cmplo}ces detailed to the transition retain foll House salary nnd bcnclits but become
responsible to lhc President• or Vice President-·elcct for that period. rather than to their employing
fvkmbcr. The Offic~ nfthe Prcsident~elcct. however. must n:imhursc the House for the salorics of
the detailed employees.
3. Assist the Transition as a Vo/mrteer. /\s long as cmpluyccs do not eng~ge in activities
inconsistent ,vith House rules and congressional duties. they arc free to spend non~working hours
doing whate\er they choose. subjet.:t h) the approval of their employing Members. Thus. House
employees may use vacation time occrued pursuant to established office policy or take Leave
\Vithout Pa} (L\VOP) to assist the tnmsilion.11. How;c employees who assist the transition und12r
this alternative would be responsible to the transition rather than tu their employing Members for
v.ork perfrmned for the transition. Employees should n0te that they are not permitted to perf,1rm
any official House duties v,:hile they are on leave \,:ithout pay frnm their House position.
I louse employees ,~·ho choos(; to assist the transition under this alternative should he a\\'ure
that they may be prohibited from receiving compensation from the transition for the services they
render \\-'hilt: on vacation or L\\/OP. Under the dual government comp~nsation statute. House
cmplo,ces may not receive compensation fn,m a non-House. federal job if the combined salnries
of the tv.o positions exceed $38.()61 during calendar year 2020.'' Thu,, even if House employees
ta\.e L\1iOP to work. for the transition. they could not accept compensation from ihe transiti,m if
their combined House and transition snlaries would exceed $38.061 for the calendar ,ear.'"
" 3 C.S.C. § !02 not-e (ils s.mended by Pub. L \lo. 116-121, 20l~h
7 S. Rep, >-:o, 9<1-1.122. 9--1-th Cong,. '.!d Sess .. at l (1976) (cmpha::-is nddcd).
~ ,'-ny staff mt:mbers wishing to go on LWOP 5t?ltu5 may do :,.o only in accordance with the guidelines on
LWOP issued by tht Connniltc~ on Howse Administration.
1
5 C.S,C § 5:'33k)(I).
iu Please note. the -\ct, as amended. allows eligible candidates to solicit for and collect privaie fonds to
supplement funds Con,~ress appropriates for Presidential transition actlvit[,es. f:..)r tho~e fnnner House employt'es
who are subject to the ont>year post .. emplo}mcnt restrictions and serve on th<: transition team ·within that on~ }t."ar
period. it is rn1dear hC>w the pn..1visions at 18 C-5.C. 9 207 apply. See· I 2 U.S. Op. Off Leg.al Coun;;.d 264. i 988
WL J9i020 (0.LC ). \llht:ther and how l8 LS.C f:!07 applie" n.n1y dep1:nd 01i \.. hcther a fonnc-r House employee
::-ul~je-ct to the onc~ycar ro~t-empto;-ment restrictions is compcns.i.tcd from the private funds ;s1)!icitcd under the :\ct.
or funds appropri.atcd by the C\•ngress to support tra_ns.ition acli'\ itics.
3
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144
In additi()n. l Iow,c employees \.\ho are considered ··st:nior staff'' 11 and arc ..:ompcnsntcd by
the tnmsition tcarn may he su~jcct to a limit on the cumulative umount of income they ma; r\?cehc
from an outside sourc..:: in a calendar year. Currt.'ntly. the outside earned inc,...1111e lirnit for senior
staff is $28,845. Further, outside cmploj mcnt restrictions define certain activities for ,vhich senior
staff may not receive an) compensation ,,,hatsocn:r. The restrictions prohibit senior staff from.
among other things. (I) receiving compensation for practicing any profession that inv()lves u
fiduciary rtlationship. including. for example, la\v or accounting, and (2) sen:ing fr1r comp~nsation
us an otfo.::cr or dirl!ctor nf any entity. Accordlngly. senior stall as defined above, may not recehc
any Cl1tnpensation for either prnviJing legal nr accounting si:rvices to the transition in their
pers()tutl capacitic"S.
L!nder any ofthe~c scenarios. llousc emrloyccs \\Orking on the transition ,vould remain
sul:ject to ull House mks. including the House girt rule, during their serrke to the Prcsident~elcct.
Morc(wer. the Presidential Transitions Enham.::t'.ment A.et or
20 l 9 1: rl!quircs a!l Transition
employees and volunteers to sign an ethical code of cunduct. r:::mployccs with questions
concerning the effect of the Transition ethical code of conduct as it rdates tu l louse ruks are
encouraged to seek guidance from the (\•mm!ttee.
In concltision. Honse employees may assist the Prcsi(kntiai transition t~um so long as their
activities on behalf of the transition comply v,dth the guidance given above. Further explanation
of these rules and nch.:ke on specific questions arc available fr()lll the Cornmittec·s Oflice of
Advice and Education at extensic,n 5--7101.
' 1 Senior ~taff arc subjc~t to the oulsidc enrned int..:mnc limit ar~ thos1.' cmpl0yces whose rate <ifbRsk: pn) is
equstl to or greater th:m S 131,:!39 annua_1ly. or'.> I0,936 pl!'r month for .:my 90-da~ period in 2020.
i: 3LS.C*102notc.Pub,L>:o. ll6-121.20!9,
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145
.·.1111!! !'
ll.~ . ._,oust of l\cpresrntatibrs
December I. 2020
l\ffMORAi\DUM FOR ALL '.\IEMHERS OF Tiff lf()t:SE OF REPIU:SESTATIVF.S
Committee- on Ethics
rheodnrc E Dcutch. Chairman
Kenny ~ 1archant. Ranking Member
St:BJEC f: Reminder about Annual Ethics Training Requirements for 2020
This memorandum is a r:.~mindcr to all offices ahout ethics training requirements. The
Committee on Ethics is. required to pnn idc annual e:thi,~s training to each Member. Dckgatc.
Resident Commissii.1ner. officer. and employee or tht: House, 1 rhc Committee offers <:thics
training both through online ,ddco courses and in-person training sessions. Fort he l 16th ('ongress
to date, the CDmmittec has held 70 in-person ethics training. sessions and provided in-person ethics
training to more than 3..100 Members\ officers, and ,·mplc,vees.
Nev!' House "kmh{~r:; and cmplo)'t.'t'.S must complete a specifically de~ig:natcd ethics
training session within 60 dnys of joining the I louse.' Existing House !vkmbcrs, officers. and
employees are required to take one hour of general ethics training, each cakndar year. In addition.
the Committee requires all senior staff~ ,vh-ether new or existing employees tn complete o.n
additional hour of specializi:d training at least once pe-r Congress.
House Ru!e 1 I, ciausc 3(a)(6){A). The Committee defines an ·•oftkcr ~1r emp!oye1,;" as an individual
appoint~d to i-1 position of employment in the L: .S. House of Representatives by an 1mthorized employing authority
wlw is recei\'ing a salary di~burs-cd by 1he Chief Administrative ( )fflcer or is on a leavt.· \;i,·ithout pay or furlough statw,.
rhis definition includes fc!\o,,~s and interns paid b) the H0t1sc,
:: For all purposes in this memorandum, "~kmber" is defined to indude any (;urrcnt \tcmh~r. Ddcg,111..\ or
R~~ident Commissioner of the Hou~r.c of Reprc~entutive~.
' lfouse Rule ! L d~u::-c J(a)(6)(8)(i).
1
the '':,;cnior staff annual salary rate" for
• ··Senior staff' for 1raining: purpn.;;es ore employees who arc paid at
at lcust 60 days in cithcr{or both) cakndar )ears of a Congn:•,ss. F<)r 2020. the si~nior '.>taff annual salary rate \c;
S 13 !.239. or a monthly pay rnte a( or ab,we SI 0,936, Picas~ nntc that the senior staff annual sa\Rr'} rate is suhject h>
chan_)!:r in 2021.
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146
ll) .lanuat') -1 J ,,f each :,,ear. all I louse Memhers and cmploy,•,,s must certify to the Ethics
Committee that they have completed ethics training during the preceding calendar ytar. 5
Employees \\ho pre-registered for and signed the attendance sheet at a lise training or folly
completed one of the online training options a1.,ailabk through the Congressionui Staff Academy
will have made their necessary certification tt) the Committee. The folln\\ ing arc the ethics training
requirements for 2020 for Members. offic~rs. and employees of the House. as well as the dctuils
of ho\\r to complete tht· registration and/or certification process for both !iv~ and clllline ethics
training programs.
Members
Ne" I louse Memb,·rs must complete a training session specifically designated for ucw
\1emhers within 60 days ofjoining the !louse. /\ "new" Member for the puq,oscs oftlw 2020
training requirement is an individual who \\as first s"vorn in on or after January 3, 2020. Bcf0re
each Congress, the Committee on Ethics provides. ethics training for incoming nc,v ~1cmbcrs at
the New Member Orientation organi,ed bv the Committee on llnusc Administration. The
Committee on Ethics u!so provid;s this tr~ining for ne¼ Members elected through a special
cleclion v.,ithin th~~ nev. ~embers' first 60 days.
Existing Members must complete one hour of training by ~ - Please
have a staff member contact the Committee fi)r a passv,;ord to complete onlinc ethics training.
The Committee r<·rnrds Members v.ho have completed ethics training. Members may have
their staff email the Committee at eit1ir>tr4\11inc'~(q1;_1iLJ~1~µ?C,_µ1,_~\ to reqtwst confirmation that
they have completed the required ethics training.
~
Al! new employees must complete ethics training within 60 days or
beginning l l<>use
employment. A "new·' llousc employee for purposes of the 2020 training requirement is an
individual \\·ho fir~t began employment v.ith the House on or after January 3. 2020. Any former
House cmpioye~ ,vho returns to House employment at1er a gap of more than 90 consecutive
calendar days is considered to be a ··nev." employee. Fellov.s and interns paid b) the House for
n1ore than 60 days also mL1st comply \\'ith this requiremi:nt.~
On \1arch 1L 2020. the Committee ,,aiYed the /fre tr:iining requirement for new
cmplo1 ees v.ho work in Capitol !Iii! n!1ices until further notice. New emplo}ees \\ho \\Ork in
Capilol l lill oflices may "atch the ·'I 16th Congn:ss: 2020 District New Emplny,:e Ethics Training·•
~ Hou'ie Ruk l L c-lausc 3{aJ\6)(R)(iit
'' Dctaikl!s, fellows not paid by the House, unpaid intl!rns. and ony individuals whr• are employed by the
House and paid for fewer th:m 60 days are not required to attend ethics trt1ininµ in 10~(L rhe Ethics Committee
noncthcle~s encourages these indiYidual~ to complete ethics. trnining. so they hecome familiar with the Mouse cthks
ruics while working in a How,e office or for a How;e committee,
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147
viJt~n onlin0 through the Congressional Staff Academ)· w~bsite at
I louseNet.hquseA<,.)Y/Stafl:-'\caderpv. t\o other vkko s.:ltisfies the training requirement for new
employees.
~lfJ.
··Existing"' (i.t-'., not nc\\) I !oust! employees musi complete one l10ur of training befr)rc the
c-nd of the calendar year. Fnr 2020. this means all existing I louse employees must compkte one
hour of trnining b1 neccmb~. There arc no extensions to this deadline. for aay
rt>ason. fn addition, employees \\ ho are senior staff m::iy h:n e an additinnal h\)Ut' ;Jf training to
complete. as 1!.xplaincd more fully in the next section. Employei:s are rc-sponsible f0r detennining
\\ hether they arc considered senior staff.
As a general matter. existing employees will ti.ti fill their gt..'ncral ethics training requirement
by completing an on!inc session designated il.1r general ethics training through the Congressiont1l
Staff Acadcm:, website.
Sellior St!lfI.Il:J!i11i11g
All emplo) ecs who :1rc "senior statr·"' arc required w take an additional hour of training at
lea-st once per Congress on issues primarily of concern to senior staff or supen1sors. For the i 16th
Congress. this means all senior staff must compleic one hour of training b} Jarrnan· 3. 2021. This
"senior staff' hour is required in addition to the ont.~ hour of general ethics training all officers and
staffnre re-quired to t:ompkte annually. Senior staff employees muy fulfill the rcquin::mt~nt for an
additional hour by completing an onlinc senior staff training session through the Congressional
Staff Academy \\'Chsitc or having attend~d a iivc training session.
Briefings that satisfy th1.~ senior staff training rcquirerncnl include general scs!'-ions on
issu~s of conc~m to senior stuff. sessions on completing financial disclosure ( FD) slatemtnts or
Periodic Transaction Re-ports (PTRs). or sessions on the post~cmploymcnt res1rictions, Hov, t'vc-r. 1
i:mployces may not complete more than one hour of senior stafftrnining in lieu of t:ompkting their
annual general ethics training requirement.
ONLINE REGISTRATIO!'i & CERTIFICATION PROCESS
Members may haYe their staff email the Conunitke at
a pnssv,;ord to complete onlint" ethics training nnd/or
completed the required ethics training.
£!!1Illi!J:.W:.
Employees v~+10 pr~-regi:stcred for fil!Q signed the atti:ndancc sheet at a live training \\ ill
have made their necessary ceriification to the C0mmittec that the)' have compktcd the required
ethics tntining.
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148
Employees can complett~ dhics training online by accessing the training through the
Congressional Staff Academy ,vehsik: hVps:/hous\;.c.:sod.:..~i1rn{~!Hn!.~fuYlh!E~QK- Ethics training
cHn he found urn.Jcr the '"annual training .. tab, Empluyccs must complete the entire on line training
program to retcivc credit and use o House computer to access the Congressional Stoff Academy
website to complete the training on line. Employees "ho do nol have access to a! louse computer
or do not have a House email account should email the Ethics Committee at
~!llL~:~~J.!ilL\,i11g_il!lt!:iLlL~.<:~ to make Hltcrna1e arrangements for completing their training.
After completing an onlinc training program 1 the system will automatically log the
employee as ..complete." This infrmnation is automatically transmitted to the Ethics Commiucc.
Thus. once the system labels an employee as "comrkte." the employee has satisfied the annual
training and ccrtificmion requirement. Employees" ill he able to check their Congressional Staff
Academy transcript at any time to \'erify the completion of their own annuai ethics training
requirement
Each l loust: emp!oy~e is rcsponsihle f(ff completing their ethics training requirement and
ce1tit)'ing completio,,. Employees can "icw past training history on the Congressional Stliff
Academy wcbsitt.: under the "learning·· tab and by clicking ·'view my transcript."
A chicfof staff (or staff director or other supervisors) can confirm employee ethics training
completion hy requesting each stnff person to 1,r0, idc either the email they received after attending
an in-person training or a print out their Training Completion Certificate from the Congressional
Staff Acadcmv website: httos:/house.csod.com/sa,~.
Failure to satis(y the annual training requir~ment is a violation of House ruks 8 an<l may
result in an) of the specified disciplinary sanctions for House Members and employees, including
the publication ofnoncompliant !louse 1-.kmbers and emrlo1 ces· names. additional ethics training,
or other actions the Committee deems appropriate. If you have any questions regarding this
guidance. please feel free to contact the Committee· s Office of Advice nnd Education at
~1tlif_UQ,ininr '(/mail.h~Hi'.->t.l!J)\.
3
See t-k,u:-e Ruie l L cleusc }(a){6)(B){ii).
4
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149
'&.~. l,)otHir of l\rpmirntatibes
C0\1\11 rru: O"- l:1 I IICS
December 11. 2020
MEMORANDUM FOR ALL MEMBERS. OFFICERS. AND FMPLOYEES
FROM: Committee on Ethics
Theodore E. Dcutch. Chairman
Kenny Marchant. Ronk ing 1-,·!ember
SUB.JECT: Reminder: Prohibition Concerning Campaign Contributions and Outlays
The purpose of !his memorandum 1s to remind House \lembcrs I and employees of d1e
federal criminal statute prohibiting campaign contributions to an employing Member, including
making outlays on behalf of that 1\lkmhcr's uuthorizcd campaign committee. The memorandum
includes i!lustrativ" examples of hov. the federal prohibition applies, as well as best practices ~i
help House employees av0id violating the criminal statute.
In genernL and as discussed in depth heki-..v:
• House employees may not make a contribution to any campaign committee
authorized by their employing Member:
• An "outlay," or the use of personal funds (or personal credit) to make a
purchase on bchulf of a campaign committee, is a type of campaign
contribution;
• Non-travel outlays ~' 11011,e employees on behalf of their employini:
Member'• campaign are prohibited ev n ·n ca,e, where the monetary aloe of
the outlav i• minor and/or the cmR!Qyttj~_ll!Jlv reimbursed;
• Employee outh,y• for ordinuy and necessary cxpcn,c, related to the duties of
an officeholder are permi••ihle, with some exceptions: and
• Members are liable for outlays made to an authorized campaign committee~·
their emplo~·ee,.
1
For allpurpos<!s in this memorandum, '•Member" is defined to i:ncludeanycurrcnt MemOCr, Delegate. or
Resident Commissionerof1hc l Jouse of Representatives.
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I. Onrvkw of Employee Contribution Prohibition
A federal ..:riminal slalutc prohibits a 1-foust~ cmplo; t:t~ fn.1m makinga politic·a! contrihutkm
to th~ir cn1.ploylng Mcrnbcrof Cimgrcss or a campaign commi1t..::1; authorized by their employing
\1embcr. 2 The prohibition extends to any campaign committees authori::ed h)' on empk)ying
~·kmber and n0t merely {he Member's prim.:1j)u/ campaign committcc,.1 Further, the stututor:
definition of"ct•ntrihution"' includes rnorcthanju:,;t financial donations.
Generally. a contrihutinn intludcs an; gift lnan, ad\-ancc, or anything nf value, for d1e
purpose of influencing any election for Federal office.-1 A loan or advance is communly called
an .. outlay," Similar t,) 1Jthcr types of contrihutions. nn outlay is impermissible. except in
cc11ain instunces, 5 As discussed in Commiltcc training. guidance. and ,.,,..,,,,..,.,.c,_,,.,ec,.~,,,,..c'
.~S."'-1. 1JJ...'.~.- ,vhen a I-louse employee makes an outlay. or pays for a campaign cxp.:ns\!
funds. thatcxp..:nditun:is n c(mtribution even if th!.! cmplo)'ee latcrgtts reimbursi:d forthct:xpcnsc:.
There are thn:e main prim:iplcs to keep in mind concerning a contributitm in tht: fom1 of a
loan or ad\'ancc. First. the is no me hod ~or reYersin or u <.foin an im nnissihlc loan or
advance. Onct! a Bouse ~!mployc~ uses his or her funds for a campaign expense. the outlay has
already occurred. Rt!'imbursi:me-nt while appropriate. does not fully cure the infraction btcause
the funds han~ already be~n loaned or adYanccd to the campaign, Second, the prohibition is
straightforward: there is no \Ya'-' to circumvent the prohibl!.filn. Using a personal credit c.ard or
single-member LLC funds does not 6Y{)id the prohibition. Finaily. although it is ~ach Hou~
cmp!oyec·s responsibility lo kmm and understand the la\\. ultimately. Members are responsihle
forensurin the authorind a ai ' mminccso rate in com liancewith the law an ma,
be liable or utluv , iolations bv their staff that th v foil to revent. ·
❖ Bes! Practh:c: Each ~,1cmbcr should provide a copy of this mernorandum to th~ir 1-foux
emplo) ees and campaign tn.::asurer or Ftdt:ral Fkttion Commission (FEC) c~)mptiance
team to ensure C\•tr) ont: is a\, are of the prnhibidon.
❖ Bes1 Practice: \1embers should nevi:-r. under tiny circumstance, sulkit or request a
campaign contribution from their congressional employees.
I8 FS.C. 160.l.
i AuthoriL1.;d camr,aign committees include anypoliticalcommitt1:X!sauthorized bya c,mdidati!und,r t l
C .F.R. § l 0:?. i J to n::t:civecontributionsormakc i!Xpenditurt~sonhchalf of such a (..:8ndidatl.!. As explain~dbclO\V,
this docs not include. for example. a joint fundraisingcommit:t:-c.
'52l'.SC.*30lll1(8)(A).
~ rhere are /imiftY/in:;tnnt:t:s in \\hich a f·h)use employee maypaypersonaily forc,m1p1'1ign trave1cxpen~s.
discus5ed later in thi::; memoiandum.
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I. What Is A Contribution'?''
A contrihution is "any gift. subscription. loan. advance or deposit of money or an; thing ~)r
value made by any person for the purpose of' influencing an) election for Federal ,,nice. " 7
Perhaps one of the first things that may ct1mc to mind in the context of the prohibition is a
financial contribution. in the form of a check ,uittcn or an online contributiun. Hl 1 \\.evcr,
contributions may also 1akc the form of in-kind goods or :;crvicc~. ,,:\<lditionally. firrnnd1l
contributions made by pcoplcv. ith \\ horn you commingle funds can. in some instances, be imputed
to you. Simply volunh.'('.ring for;our employing ~,icmber is not considered a contribution to ht;
or her rampaign. 8
ExamJ)le l: Employee Ross \vorks for Congressman P01tuL The re-ckttion campaign for
Cungrcssman I\w1al sends Empioycc Ross.' spous.:- a solicitation. Employee Ross may not v•ritc
a check w Congressman Portal's campaign. Hov,,,-e,·cr. Employee Ross· spouse may send a check
from her pcrs(mal account. Altcrnativciy. Employee Ross· spouse may send a check from a
jointly-held acc0unt with Employee Ross. She should indicate in the memorandum line ~rn the
i.:hei.:k that the funds being used are her own funds. rather than commingled funds.
Ex11mple 2: Employee Foster wants to attend her employing Member's upcoming-campai~l
fundraiser. The tickets cost$ I 00 per pi:rson. Fmploycc Fn~ter may nut pay tp altt!nd her
employing Memher's rnmpuign fundraiser. If offered. Employee Foster could accept an
unsolicited offer of free attendance at the fundraiscr from the political organization sponsoring the
event.
❖ Best Practit:e: ff someone is on a joint account with you. and , ..·ishcs to make a financial
contribution to your employing ~1emher. he or she should take an affirmatih! step tn
indi\,,:ah! that he or she: is using thi:ir O\Vn funds, rather than commingfod funds.
IL \Yhat I< An .. Outluy?"
The use of personal funds ( ,,r personal credit) lo make a purchase on behalf of a campai)lll
committee. sometimes referred to as an ··outlay," is similarly a contribution, and in most
circumstan(.:tS, is prohihited by the- statute. Once the outlay is made. reimbursement while
appropriate to make an employee whok, does not "cure"' the infraction caused by the loan or
advance. In addition. the value of an outlay is immaterial for purposes of the criminal statute. An
outla,, whether $2.60 or $2.600. equally fa !Is within the prohibition. Perhaps most important to
remember is that there is simply no way to circumvent the prohibition. Paying for campaigp
'' The statutory definition of a contribution also includes theusl! ofpcr'sonal funds(orpersona! ~n:Ji1)10
make a purcha~con bd1alfof a campaign committee, H0,,..cn,·. to furtherc(arifytheextcntoftheprohibitkm, this
section will focus.sokly on monetary and in~kind contributions, So-c,1!11;:d "outlnys'· ,\ill be addressed spu:iticaHy
in rl1c11cx1 sectionnfthcmc~n(,mndum,
' 52 U.S.C. § 30 IO i(S)(A).
i !d. at (BXi), The s.tatmeprovid\...-.. tbotamougthc items that do not constitute a contribution forpur{Xlses
of the Federal Election Campaign Ac1 (FECA)arc "the value of services provided without compensation by any
indh:idual who ,,o iu11ti:ers on behalf {If a randidate orpolitkal committre ...
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expenses through u single-member I.LC. or pu) ing for campaign expenses 'hith a personal credit
card. debit card. check. or cash. is similarly prohibited.
F;,~mplc J: Employee Appleman works for C,mgresswoman Donahue. and rnluntccrs for her
campai,rn. Employee Appleman hos been asked to get pizza for campaign staff" ho arc "or king
late. rile bill l'orthc pizza is $42.J6. Employee Appleman ma, not use personal funds of any
kind to pay for the campaign expense. Employee Appleman also established a single-memocr
LLC for c(.:'rtain busini:ss expcnsrs. Employee Appleman may not pll)' for the pizza through her
singk--mcmber LLC.
•!• Besr Practice: If you intend to volunteer or work for your employing tvtembcr's campaign
regularly. ask for a campaign-issued credit card to he issued in your name or to be add,·d
us an umhorized user on a carnpaign~issucd credit card. A.ltcrnalively. ask for a campaign
credit card uny time you arc asked to nm an errand.
III. What is !°'lot an Outlay
There are certain limited exceptions in \\hicl1 outlays to benefit an employing Member's
campaign are permitted. the most notable of which is that you may pay forrra,·cl related to your
~mploying i\1ember"::i campaign with personal funds. provided you are reimbursed appropriak:ly.
or y~)lll' total transportation expenses do not exceed S l ,000 v,dlh respect to a single election.
"hether n'imbursed or not. Failure to be reimbursed timely c>r spending more than the $1.000
travel expenditure limit will result in th~ outlay hecoming impermissible.
Outlays for one's ,,wn travd "ill not be deemed a contribution if either (1) the campail,!l
proviJcs reimbursement ,,./ithin 60 days after the expenses are incurred if payment \:vas made by
credit card. or within 30 da) sin all other cases." or (2) the individual's outlays for tnrnsp.>rtation
do not ~xceed $1,000 \\ itb respect to a single election. regardless of whether the campai~1
reimburses the outlays. iu
Further, in some situations. campaign funds may be used to reimburse employees ,vho
make outlays for ordinary and necessary expenses incurred in connection v,:ith a !v1cmb~r"s duties
as a federal officeholder. ln these instances. because the original outlay was not made for the
purpose of influencing a fedcrnl election. the Hnuse employee may bi: reimbursed by their
employing Member's campaign, ?\.kmbers should exercise c.aution when usingc-ampaig.n funds
to reimburse staff v,,ho incur expenses in connection ,,dth the Member's duties as a federal
officeholder. Hous,, Rule XXIV. with some limited exceptions. prohibits the use ofoutskk funds
towards the operation of a House office. 11
Examole 4 Emplo1 ec Wamh,1ld \\orks for Congresswoman Seo. and ,oluntcers for her
campaign. Employee Wambold has been asked to traYel to staff a campaign fundraiser. The cost
of transportation is $382. Empioy~e Wambold has already spent $97.\on campaign travel for his
'11 C.F.R.§ I 165(b)(ll.(2),
'' Id.§ 100.791a).
11
See H0u~t! Rult': XXIV; Jloust>Ethic's Jfu.nuaJ at pp, 326-330.
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employing Member during this election cycle. bnployce \l/amhold may use his personal credit
Cilrd to pay for the travel. Hov,C\'er. he musl be ruimbut:\ed hy the campa(~n wilhin 60 ,it~,·s qfk,.r
he incurs the t'),pcnses or tht' S382 bt't:omes an hnpcrmissihlc outlay. If Fmploycc Wambold
instt:ad uses his debit can.l to pay for the transpmtation. ht' mus/ be reimhHrst:d h_v 1he campai,1sn
·-within 30 days (!fferh(! incurs the cxpl!nses or the 5382 similarly heconu-'s an impermissihic 0111/ay.
Exarnple 5: Employci: Jun sen works ft~rCongrcssman Bedmarz. and volunteers i\_)rhis campai~.
Employee Jansen has hci:n asked to travel rn staff Cong1\:ssman Bcdmarz at a campaign event
fhe cost of transportation is estimated to be $825. Employee Jansen has not incurred any prior
travel expenses while- voluntc.:ringforthe campnign und dt)csnot plun to tra.vd f()rtlw c:1mpait11
for the rest of this ckction cycle. Employee Jansen nrny use personal funds (check. de hit ;;:ant
credit card\ to pa, for the trn,cL If Emplo 1 ee Jansen does nc,t tra,el for1he rest of the election
cycle. he is nut required to be reimbursed.
Example 6: Congressman Korn intends to hold a meeting in his congressional office v-.·ith
constituc-nts ,,._,hn hove been negatively impacted hy a recent policy change made h,Y the Smull
Bu~incss Administration. Congressman Korn asks Employee 1·aylorto purchasecoffee anJdmurt:s
for thL~ constituent meeting. Employee Tay lormay pun:hasc the refreshments using hero,\n funds.
and she may be- rcimhurscd by the campaign for her expenditure. Employee Taylor·s u9;: of
personal funds and reimbursement hy tht campaign is not a contribution. and thus n()t an
impermissible outlay. since the expen,es \\ere rdatcd to the duties of an ot1icehc-lder.
❖ Best Praclice: ff traveling for your employing Mcmber·s campaign and) nu hav(.~ or are
likely to pcrsonall.v incurtnn'ci cxpenst':s in cxcessofS ! .000 during a single election cycle.
se1 reminders for campaign reimhur~cment. f'h~ timing ot'ynur reminders should he at
least a week before tbe appmprintc deudlinefnrreimbursement. depending on yourmed10d
of pu:, ment (60 Jays for credit card purchusesm 30 dnys for ull other types of purdrnses).
❖ Best Practice: If you anticipate traveling for your employing ~1cmbcr·s campaign often.
ask the campaign to book or puy for your travel dire-ctly.
❖ &st Practict:: If you ari-:- unsure\\ hethcr a requc~ to expend your pcrson3f funds is r~latcd
to the dmicsof un nfficchoider. as op(Xhed to bcing:forthc benefit of the campaign. confinn
the purpose of the expenditure prior to using personal funds, Remember that you nu~i:
make an outlay for ordinary and necessary expenses irn.:mn:d in connection \\'ith a
Mi.:mber·s duties as a federal offlceholder. 1::
❖ Best Pracric(1 : If your campaign reimburses an employee in your Congressional ofTa::e for
an allowable expenditure the employee made related to your duties as a fcdeml
officeholder, the person responsible for reporting the purpose of the campaign
reimbursement on FEC filings sh,Jtild consider making clear tJrnt the expenditure was not
made for the purpose of influencing your ~kction. Otherwise. the reporting of the
u 5'ee lkuse Kuie XXIV,cl, ! (b)(?.)fora list of goods and~crvices \.\hichmaync-..,crbt.'pakf for with
campaign funds. \1,:hctherrelatedto anoutiayor1wt.
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campuign rcimbur~i.=mcnt to a staffer of an employing tv1rrnber'5 campaign could re~uk in
scrutiny by the Committee.
IV. Who h An Eml'loying ~temher'!
To better understand to vdwm a I louse cmpioycc may n1.'1t make a contrihution or i.)Utlay,
it is crucial for House employee~ to know who qualifies as their employing Member. 1·' For staff
~crving sokly in a pcrsi)nal officl~. your !;!tnploying Member is tht~ \.,1cmber for whom. you work.
l fowever. mnny House cmployc1..~s \1,:ho v,;ork for r"vkmhcrs of Congrcs~ hav~ more than ~me
emplo, ing :\kmbcr.
House employees \\ho \\>')rk for both a personal office and fora committee may have t\\O
employing r..1embcrs: their per:-.onal office Member. and the Chair or Ranking :\.km her of their
C\lmmittee. if the officd1ol<lers are dilfrrcnt people, In addition, shared cmpk,)ces, as de lined by
the Committee on l louse Administration (CHA), may he cmplojed by sc, crnl Members at the
same timeY f·inolly. !louse employees ,,ho \\urk for a caucus may rotate the Member of the
caucus for\\ hich they 1,vork in orJer ft)r the calKUS to share .;:xpcnses among the caucus Mcrnl>:rs:
the employing Mtmbcr will be deh::rmined by \,-hich office(>) payroll i11cludes the <.'aucus
employee.
Example 7: Lmployce Opachan works for Congressv.oman Giattino in her personal office,
Employee Opachan · s employing Member is Congrcss\\'CH11an Giattino. The prohibition applies
only to Congresswoman Cliattino.
Example 8: Sarne example a, above: ho,,.,evcr. Employee Opachan also \\orks forthc C'omrnittc>e
on Natural Resources. minority. The Ranking Member is Congressman Rov.-land. Employee
Opachan'semploying l\frmbcrs are Congresswoman Giattino and Congressman R(m land, '!he
prohibition applit-s to b;,)th Congn!SS\\oman Giattlno and Congressman Ro\\ land.
Ei.ample 9: Employee \·1yer~ is a shared employt>e. pursuant tt, CHA ·s definition. She pe1fo11ns
financinl administrntivc \:i.ork f0r SC\'en Members in their personal offices and l\'.-'O committee
Chairs in their committee offices, The prohihitinn applies tc> al! nine Members,
t:xample 10: Employee Buker works foracaucusthathas been officially-recogni7cJ by CllA
To share expenses. Employee Baker is paid by Congressman Walker for April and Ma), then
Congrcss\:1,-oman Bethea t\)rJunr:undJuly The prohihitinn applies to Congressman 'A'alkcrduting
April and May: and to CnngrcSS\'1.10man Bcthc:a fnr Jun!: and July.
; Staff ~ho work foremplo; ingauthoritit:>otherthan Members ()l'C<..1ll£l'C'SS··•~forcxanll1e. employe..-:,, of
the Chief Administrativt!'Offict!'r, OCfo:c oft he Clerk, etc .--0:.. nr( have an cmployingMt:mhtr_ Similarly. officers
oft he House, such as the Chaplairt do nolhaveun employing Member, as they arr theiro" n emplt1ying::iuthority.
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❖ Bes/ Praclice: Ensure that you fully understand on whose payroll you appear from montl1-
tcHnonth by checking your pay disbursement statements.
V. What Is An Employing Member's Campaign?
\Vhile Hous!: employees may t:asily recognize their employing Member's principal
carnpaigo committee as off-limits, they may not be aware that the prohibition applies to any
campaign committee authori:ed hy /heir employing Jfember. House amp!oyccs should bear in
mind that Mcmht.'rs may hnve more than one authorized campaign committee and each of those
committei:s similarly fall \\·ithin the prohibition. A joint fundraising committee ma) also be
CO\ crcd by this prohibition. hut onl) if it has been designated by the employing Mcmher as an
authoriLed committee. Staff shouid contact the Committee for guidance prior lo making a
contribution to their employing Member's leadership political action committee (PAC). 1'
For House employees who arc unsure v.+1cthcr a committee has heen authorized by your
employing \1embcr. contact the Committee for assistance. ask your Member. or visit the FECs
web::.;itc. '.\:here you can look-up your employing !-.,fomher's State-mcn1 of Candidacy, \Yhich
in-eludes a list of the ~kmhcr's authorized committees. !h
Examok- 11: Congressman ~,1ason ·s principal campaign committee is called Mason for Congress.
Congressman Mason ·s employee::; may not mnkc a contribution to !vfason for Congress.
Example 12: Same example as abo,e: however. Congressman MasPn also utilizes the Mason
Victory Committee. \\hich is a joint fundraisingcommitteeuuthorized by Congressman TVIason.
Congressman Mason· s emplo1ccs may not make a cuntribution to Mason for Congress or to the
t,,..fason Victory Committee.
~ l : Employee Szabo is contemplating a contribution to We. the Welders. a Super PAC
that supports specific policies. Employee S1.ab0 v.·orks for Congressman Ltihad. v..-ho also supPJri'>
the same policies. Emplo;ce Szabo 1110) make a contributinn to We, the Weiders.
❖ Bes, P,·actice: House employees should check FEC filings, such as a candidate ·s Statement
of Candida,;. and scd, further infonnation from their employing Member 10 determine
which campaign committees were uuthorized by the employing tv{embcr b.:fore making a
contribution to a campaign or PAC.
❖ Best I'racticc: Members should not suggest to or imply that staff make donations to od1,~1;
allowable. political committees.
Further explanation of this prohibition and ad, ice on specific questions are available from
the Committee·s Office of Advice and f~ducation at extension 5-7103.
1
: The analj-sisco1Kcmingentitie.sthar qualify as leadership PACs andwhethera contribution to one
would be likely to violate l 8 U.S.C. § 603 is highly technical and foct-spccitic,
,(, JllU~;-;,;._}),lU..~\i.llit.a
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;'!ic:1,du;~• l
('nc:wnw,1
W.~. J,lousc of l\rprcscntatitJts
C'O\l\!11 l LI ()\i !: 11 !IC',
December 18. 2020
ME!\10RANDUM TO ALL HOUSE MEMBERS, OFFICERS, AND EMPLOYEES
FR0:\1: Committee on Ethics
Theodore F. Dcutch. Chairman
Kenny Marchant. Ranking Member
SlJ 8.JECT: Negotiations for Future Frnp!oymcnt and Restrictions on Post-Employment for
House 1'-fembers and Otliccrs
The purpose or lhis memorandum is to remind you about issues of concern to House
Members' and o1licers 2 who arc negotiating for future employment or departing from employment
'" ith the House of Representatives." The m.atters discussed here include negotiations fi:Jr future
employment. post-employment restrictions, tinancial disclosure requirements ( rem1ination
Reports), and outside employment and earned income restrictions.' Although this memorandum
v. ill be of panicular interest to depm1ing Members, current Members should also familiarize
themselve::. with these restrictions. particularly the crlminal restrictions on post-ernploymcn1
communications. Current ~vkmbcrs and staff are reminded that they may not assist in th<." vinlotio11
of these restrictions.
In addition, the Committee v.ould like t,, take this opportunity to note one s1atutory
provision that applies to all Housi, Mcmben ,rnd staff. House Members and staff may nd use
confidcntiai information ohtained hy means 0f personal and suhstantial pa1ticipation in ongoing
trade or treaty negotiations for one year prior to leaving 1Iousc employment in the course of
!'his \.kmorandum use:. the term "\iember" to re for to House ~ 1ember$,, Ddegates.. and the Resid~nt
Com111issio11,;:>r.
2
The elected officeni of the House are tho Clerk, Sergeant-a.t-•Anns, Chaploin, and Chief Adminisrrative
Otlicer. S~t' House Ruk 2, cL l.
1
The restrictions di~cussed herein e.pply uniformly to Hou!clc Member:'!, Delegate~, the Resident
(\m1missioner. and officer,. except where noted with re.~ard to the elected House officcr5.
~ The Committee ha:. issued a sepan;ite m~morandum addressing o ::!-imilar range of !ssue5 for departing
empl0ytes of the Hou!;e and cc11ai11 Nher legi,lativ~ offk~s. Employees \Vho an! s~eking future employment or
depa1iing House employmeni sl10uld consult that memtn·;111dum, titled '''.'•kgotiations fi.1r Future Employment and
Restrictions on Post-Employment for House Stu fl., ra~her than this memmundurn, for guidanci:-:.
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157
representing, aiding, or advising anyone other than the United States regarding those ongoing
negotiations, 5 As with other provisions of this statute, this prohibition lasts for one year after
departure from the !louse payroll. 6
NEGOTIATING FOR FUTURE EMPLOYMENT
In the past, the Committee's general guidance on job negotiations has been that House
Members and employees arc free to pursue future employment while still employed by the House,
subject to certain ethical constraints, This memorandum provides more detailed guidance on the
issues presented by such negotiations, as well as mandatory disclosure obligations such
negotiations may trigger,
The general guidance applicable to any Member who wishes to engage in negotiations for
future employment is as follows. First and foremost, it would be improper for a Member to permit
the prospect of future employment to influence the official actions of the Member. 7 Some
Members may determine to use an agent (e.g., a "headhunter'') to solicit job offers on their behalf
in order to avoid any appearance of improper activity. Regardless of whether job negotiations are
undertaken personally or through an agent, the following generally-applicable principles must be
observed.
The term "negotiation" is not defined in the relevant statute or House rule. In its past
guidance, the Committee has given deference to court decisions interpreting a related federal
criminal statute that bars Executive Branch employees from participating in matters affecting the
financial interests of an entity with which the employee is "negotiating or has any arrangement"
concerning future employment. 8 Those decisions found that the term ·'negotiation'' should be
construed broadly. 9 However, these decisions make a distinction between "negotiations," which
trigger the rule, and "[p]reliminary or exploratory talks," which do not. 10 The term "negotiations"
connotes "a communication between two parties with a view toward reaching an agreement" and
5
18 lJ.S.C. § 207(b). For purposes of this provision, the tenn "trade negotiation" means "negotiations
which the President detennines to undertake to enter into a trade agreement pursuant to section 1102 of the Omnibus
Trade and Competitiveness Act of 1988, and does not include any action taken before that determination is made"
and the tenn "treaty" means "an international agreement made by the President that requires the advice and consent
of the Senate." Id. at§ 207(b)(2).
6
Id
7
See House Rule 23, cl. 3; Code of Ethics for Government Service~~ 5, 6, reprinted in 2008 House Ethics
Hanual at 355.
8
18 u.s.c. § 208.
' See, e.g., United States v. Scha/tenbrand, 930 F.2d 1554, 1559 (11th Cir. 1991 ); United States v. Conlon,
628 F.2d 150, 155 (D.C. Cir. 1980).
10
Schaltenbrand, 930 F.2d at 1558-59.
2
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in which there is "active interest on both sides." 11 Thus, merely sending a copy of one's resume
to a private entity is not considered "negotiating" for future employment.
Other, more general, ethical rules also bear on the subject of employment negotiations.
The House Code of Official Conduct prohibits House Members, officers, and employees from
receiving compensation "by virtue of influence improperly exerted" from a congressional
position. 12 The Code of Ethics for Government Service forbids anyone in government service
from accepting "favors or benefits under circumstances which might be construed by reasonable
persons as influencing the performance" of governmental duties. 13 Federal criminal law prohibits
a federal official from soliciting or accepting a "bribe"- i.e., anything of value given in exchange
for being influenced in an official act. 14 Although bribery necessarily entails a quid pro quo
arrangement, the same statute also bans seeking or accepting "illegal gratuities" - i.e., anything
given because of, or in reward for, a future or past official act, whether or not the official action
would be, or would have been, taken absent the reward. 15
In light of these restrictions, Members should be particularly careful in negotiating for
future employment, especially when negotiating with anyone who could be substantially affected
by the Member's performance of official duties. 16 It may be prudent for the Member to have an
exchange of correspondence with any serious negotiating partner, stipulating that the prospective
employer will receive no official favors in connection with the job negotiations. Because Members
will be subject to the post-employment restrictions. which are addressed later in this memorandum,
they may also wish to establish in correspondence with any prospective employer that the future
employer understands that (1) it will receive no official favors as a result of the job negotiations,
and (2) the Member is subject to post-employment restrictions, which should be briefly outlined. 17
Departing Members who are lawyers should consult their local bar associations concerning the
application of rules governing their involvement in matters in which they participated personally
and substantially during their time with the House. 18 In addition, as addressed in the next section
n United States v. Hedges, 912 F.2d 1397, 1403 n.2 (11th Cir. 1990) (quoting jury instruction); see also
Scha!tenbrand, 930 F.2d at 1558, 1559 n.2.
12
House Ruic 23, cl. 3.
i:i Code of Ethics for Government Service ,i 5, reprinted in 2008 f/ouse Ethics .\1anual at 355.
" 18 U.S.C. § 201(b)(2)(A).
" Id§ 20l(c)(l)(B).
16
See Code of Ethics for Government Service~ 5, reprinted in 2008 House Ethics Manual at 355.
17
See 18 U.S.C. § 207. These restrictions are explained in detail later in this memorandum. Briefly, House
Members may not contact any Member, officer, or employee of the House or Senate on official business for one
year after leaving office, nor may they assist any foreign government or foreign political party in seeking to
influence a decision of any federal official during that year. House officers may neither contact the individual's
fonner congressional office on official business for one year after leaving House employment, nor assist any foreign
entity, i.e. a foreign government or foreign political party, in seeking to influence a decision of any federal official
during that year,
18
A former Member who joins a law firm should also be aware that a separate statutory provision, 18
U.S.C § 201, has been interpreted to prohibit a former federal official who joins a firm from sharing in fees
3
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159
of this memorandum. Members must disclose employment negotiations in writing to the Ethics
Committee.
Finally, as a reminder, Members should not be actively involved in personally selling or
endorsing goods or services in which they or their family have a financial interest. Thus. as
Members prepare to terminate their House service, they should refrain from allowing their name
to be used in the selling or endorsing of a company. product, or service. The Committee strongly
recommends that any Member with a question about how they may discuss work they may engage
in after they leave the House contact the Committee for additional guidance about their specific
situation.
Provided that Members conduct themselves in accordance with the considerations
discussed above, they may engage in negotiations for employment in the same manner as any other
job applicant. Discussions may specifically address salary, duties, benefits, and other terms.
DISCLOSURE OF EMPLOYMENT NEGOTIATIONS
AND RECUSAL REQUIREMENTS
Members must notify the Committee within three (3) business days after they commence
any negotiation or agreement for future employment or compensation with a private entity. 19 As
stated above, the term ··negotiation·· is not defined in the relevant statute or House rule. The
Committee views negotiations using the standard discussed earlier in this memorandum, namely
that there has been ··a communication between two parties with a view to reaching an agreement"
and in which there is "discussion and active interest on both sides."" 20
In addition, Members must recuse themselves from "any matter in which there is a conflict
of interest or an appearance of a conflict" with the private entity with which they are negotiating
or have an agreement for future employment or compensation, and they must notify the Ethics
Committee in writing of such recusal. 21 Members who recuse themselves also must. at that time,
file their negotiation notification with the Clerk in the Legislative Resource Center (B-135 Cannon
House Office Building) for public disclosure. 22
attributable to representational services in federally related matters when those services were provided by the firm
while the individual was still employed by the government (OGE website at hl!p<:-:::\V',.,\'YV.o<>e. 0 c'...':J.
Please note that 18 U.S.C. § 203 is a federal criminal statute within the jurisdiction of the U.S. Department
of Justice; therefore, Members may wish to seek guidance from outside counsel prior to accepting fees that may
implicate 18 U.S.C. § 203,
19
House Rule 27, cl. 1; Stop Trading on Congressional Knowledge Act, Pub.L.No.112~105 {Apr. 4,
2012) (hereinafter STOCK Act)§ 17.
See Hedges. 912 F.2d at 1403 n.2.
::i House Rule 27, cl. 4.
~~ Id. House Rule 27 does not require House employees to file their notice of negotiation with the Clerk.
4
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The Committee has issued fonns, available on the Committee website
(https://www.ethics.house.gov). to be used for these notification requirements. When notifying
the Committee of negotiations or agreements for future employment or compensation, Members
and officers should complete and sign an employment negotiation fonn, formally titled the
"Notification of Negotiations or Agreement for Future Employment." The completed fonn must
be submitted to the Committee, but all filers should keep a copy of their submission, as explained
below.
There is a separate fonn for notifying the Committee of recusal, titled the "Statement of
Recusal." All Members and officers who recuse themselves from official matters pursuant to
House Rule 27 must complete and submit the recusal fonn to the Committee. At that time,
Members must also submit to the Clerk a copy of the completed employment negotiation fonn
regarding that private entity, which they had previously submitted to the Committee. The Clerk
will make that fonn available for public disclosure. As noted above, the requirement to make a
simultaneous filing with the Clerk of the corresponding job negotiation form applies only to
Members and not to House officers or employees.
Forms may be sent by email to EthicsCPmmittce'llmail.house.uov.
The tenns "conflict" and "appearance of conflict" are not defined in the rule. The
Committee has stated that a "conflict of interest becomes problematic when a Member uses his
position to enhance his personal financial interests or his personal financial interests impair his
judgment in conducting his public duties.'' 23 Members should also avoid situations that might be
viewed as presenting even a risk that the Member might be improperly influenced by personal
financial interests. 24
Among the ''official matters" covered by the recusal prov1s1on discussed above is
abstention from voting. or affinnatively taking official actions, on matters that would affect an
outside party with whom the Member is negotiating. or from whom the Member has accepted
13 House Comm. on Standards of Official Conduct, In the 1\-fatter q(Representative Sam Graves, H. Rep.
No.111-320,111th Cong,, !st Sess. 16 (2009); see also House Bipartisan Task Force on Ethics, Report on HR.
3660, 101 st Cong., 1st Sess. (Comm. Print, Comm. on Rules 1989), reprinted in 135 Cong. Rec. H9253 at H9259
(daily ed. Nov. 21, 1989) ("A conflict of interest is generally defined as a situation in which an official's private
financial interests conflict or appear to conflict with the public interest."); House Ruic 23, cl. 3 ("A Member ... may
not receive compensation and may not permit compensation to accrue to the beneficial interest of such individual
from any source, the receipt of which would occur by virtue of influence improperly exerted from the position of
such individual in Congress.").
24
See Federal Col?flict cf Interes1 Legislation, Staff Report to Subcomm. No. 5 of the Comm. on the
Judiciary, 85th Cong., 2d Sess. I (Comm, Print 1958) ("Within reasonable limits, also, the importance of public
confidence in the integrity of the Federal service justifies the requirement that the Federal employee shall avoid the
appearance of evil, as well as evil itself.'.); Code of Ethics for Government Service~ 5, reprinted in 2008 House
Ethics Manual at 355 ("Any person in government service should ... never accept for himself or his family, favors
or benefits under circumstances which might be construed by reasonable persons as influencing the performance of
his governmental duties.''); see also House Rule 23, cl. 2 {"A Member ... shall adhere to the spirit and letter of the
Rules of the House .... ").
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employment. This inquiry has traditionally been governed solely by House Rule 3, which states
that abstention from voting on the House floor is not warranted unless the Member has "a direct
personal or pecuniary interest in'' the matter. 25 Longstanding House precedent interpreted this rule
to mean that Members may vote on any matter that affects them merely as part of a large class of
individuals or entities rather than with particularity. 26 Thus, for example, Members who were
veterans were permitted to vote on military pay and pensions, which affected them only as
members of a class of thousands of individuals who held or had held similar positions." Historical
practice has established that, with regard to House Rule 3, there is no authority to force a House
Member to abstain from voting, and the decision on whether abstention from voting was necessary
has been left for individual Members to determine for themselves under the circumstances. 28
However, as described above, a House rule now also imposes a requirement that Members
who are negotiating for future employment "shall recuse" themselves "from any matter in which
there is a conflict of interest or an appearance of a conflict for that Member:· 29 At a minimum,
Members faced with a vote on a matter that directly impacts a private entity with which they are
negotiating would have difficulty balancing the duty they owe to their constituents with the recusal
provisions of House Rule 27. Members are strongly encouraged to abstain from voting on
legislation that provides a benefit targeted to any entity with which the Member is negotiating or
from which the Member has accepted future employment. Members likewise are discouraged
from sponsoring legislation or earmarks for such an entity. In addition, House Rule 23, clause 17
requires that Members who request an earmark certify to the chairman and ranking member of the
committee of jurisdiction that the Member and the Member's spouse have "no financial interest" in
the earmark. 30 Any earmark benefitting an entity with which a Member is negotiating or has
accepted future employment could be deemed to provide a financial interest to the Member under
this provision.
BENEFITS OFFERED BY PROSPECTIVE EMPLOYERS
DURING JOB NEGOTIATIONS
Members may accept "[flood, refreshments, lodging, transportation, and other benefits ...
customarily provided by a prospective employer in connection with bona fide employment
25 House Rule 3, cL 1.
26
See 5 Asher C. Hinds, Hind,;' Precedents of the ffouse of Representatives§ 5952 at 503-04 (1907)
(hereinafter Hind•i Precedents); see also Thomas J. Wickham, Jr., Parliamentarian, Constitution. Jefferson's
Manual, and Rules of the House of Representatives, One !fundred Fourteenth Congress, H. Doc. l 13~181. 113th
Cong .. 2d Sess. (2015), § 673 (hereinafter House Rules and Manual).
27
See Hinds· Precedents§ 5952, at 503-04; see also 2008 House Ethics Manual at 234-35,
28
See Hinds' Precedents §§ 5950, 5952 at 502~04; see also House Rules and ,\4.anual § 672.
29
House Rule 27, cl. 4.
0
• House Rule 23, cl. 17,
6
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discussions." 31 Thus, subject to the limitations set out in the rule, a Member may accept travel
expenses from an entity with which the Member is interviewing for a position and to meet
prospective colleagues. Such travel is not subject to the requirement for prior, written approval
from the Committee that applies to privately-funded travel undertaken as part of one's House
duties. However, travel expenses that exceed $415 from any one source must be disclosed on
Schedule H ("Travel Payments and Reimbursements") of the tennination financial disclosure
statement required of departing Members 32 In addition, any agreement for future employment
also must be disclosed on Schedule F ("Agreements'') of that statement, if the agreement was
entered into prior to the employees last date on House payroll. 33
POST-EMPLOYMENT RESTRICTIONS
Since 1989, legislative branch officials, including certain employees, have been subject to
restrictions on their post-House employment under the Ethics Refonn Act. 34 These limitations are
part of the federal criminal code, and they apply to Members and officers of the House, 35 as well
as to employees of House Member, committee, and leadership offices who are paid at least 75%
of a Members salary, inclusive of any federal civil service or military annuity. 36 For these covered
individuals, the law establishes a one-year "cooling-off period" measured from the date of the
individual's departure from the I louse payroll. 37 For Members who are not re-elected to the House,
this date will be January 3 of the year following the election (not the date of adjournment sine
die), 38 unless the Member resigns prior to that date.
Set out below is a detailed description of prohibited and pennitted post-employment
activities offonner Members under the statute. This explanation is followed by a table that briefly
summarizes the statutory restrictions. Please note that the statute, as part of the criminal code, is
enforced by the Department of Justice (DOJ), rather than by the Ethics Committee. While the
Ethics Committee interpretations of 18 U.S.C. § 207 are not binding on DOJ, those interpretations
are based on the Committee's analysis of the tenns and purposes of the statute, as well as any
applicable opinions or guidance of DOJ or OGE of which the Committee is aware. Accordingly,
a Member (or former Member) who has any concerns about the applicability of the post-
" House Rule 25, cl. 5(a)(3)(G)(ii).
" 5 U.S.C. app. § 102(a)(2)(B).
" Id§ 109(a)(7)(A).
H ]8 U.S.C. § 207 (e), (f).
Id§ 207(e)(I).
Id § 207(e)(7).
Id § 207(e).
38 See U.S. Const amend. XX,§ 2 (establishing the start of the congressional session at noon on
January 3).
7
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employment restrictions to his or her proposed conduct should contact the Ethics Committee for
guidance:19 The Committee also recommends Members seek guidance from outside counsel.
Prohibited Activity
Under the statute, former Members may not for a period of one year after leaving otrice:
X Knowingly communicate with or appear before any Member, officer, or employee
of the House or the Senate,4° or current employees of any other legislative office.' 1
with the intent to influence, on behalf of any other person, the otricial actions or
decisions of such Member, officer, or employee.42 The statute excepts certain
representations made on behalf of specific types of entities. These exceptions are
described below in the context of"permissible activity:· x Knowingly represent
a foreign entity, i.e., a foreign government or foreign political party, before any
It should be noted that one court held that it is a complete defense to a prosecution for conduct asscrtcdly
in violation of a related federal criminal strict-liability statute (18 U,S.C. § 208) that the conduct was undertaken in
good faith reliance upon erroneous legal advice received from the officiars supervising ethics office. Ifedges, 9 I 2
F.2d at l 404-06.
0
~ Unlike fonner Members. fonner elected officers of the House are unrestricted in their post~employment
interactions with all Senate personnel and may similarly interact with employees of"other legislative offices." See
18 U.S.C. § 207(c)( I }(B)(iii). Put another way. during the statutory ·•cooling.-off' period, a former House officer is
restricted from contacting only \1embers, officers, and employees (?(the House.
41
"[O]ther legislative offices·' include employees of the Architect of the Capitol. United States Botanic
Garden. Government Accountability Office, Government Printing Office, Library of Congress, Office of
Technology Assessment, Congressional Budget Office, and Capito! Police, The term also includes any other House
legislative branch office not covered by the other provisions of the statute, such as the Clerk, Parliamentarian. Office
of General Counsel, and Chief Administrative Officer. See 18 U.S.C. § 207(e)(9)(G).
40
18 U.S.C. § 207(e)(I).
8
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federal official (including any Member of Congress) with the intent to influence a
decision of such official in carrying out his or her official duties. 41
X Knowingly aid or advise a foreign entity, i.e., a foreign government or foreign
political party, with the intent to influence a decision of any federal official (including
any Member of Congress) in carrying out his or her official duties. 44
X Use confidential information obtained by means of personal and substantial
participation in ongoing trade or treaty negotiations within one year preceding their
departure from office, in the course of representing, aiding, or advising anyone other
than the United States regarding those ongoing negotiations.45
As to the prohibition against making any "communication to or appearance before·
anyone in the legislative branch, fonner Members should be aware of the broad manner in which
the DO.I has defined those terms. 46 A OOJ opinion defines '"communication., as "the act of
imparting or transmitting infonnation with the intent that the infonnation be attributed to the
fonner official."47
43
Id §§ 207(f)(l )(A) and (i)(l)(B). Section§ 207 restricts activities with respect to a ·•foreign entity,''
,vhich is defined as either the ·'government of a foreign country'' or a "foreign political party" as those tem1s are, in
tum. defined in the Foreign Agents Registration Act (22 U.S.C. § 61 l(e), (f)). See id. § 207(1)(3). A U.S. Office of
Legal Counsel (OLC) opinion of August 13, 2008, concluded that a foreign corporation is to be considered a foreign
entity for purposes of 18 U.S.C. § 207(f) if it "exercises sovereign authority or functions de jure (Le. by fonnal
delegation) or de facto." See OLC Memorandum Opinion, Application of 18 US.C § 207(!) to a FOrmer Senior
Employee (available on the OLC website at
https:/ /www .justice.gov/sites/ default/files/olc/opinions/attachrnents/20l5/06/23/op-olc-v032-p0115 .pdt). See OLC
Memorandum Opinion, Application of 18 USC§ 207(!) to a Former Senior Employee (available on the OLC
website at https://www .justice.gov/sites/default/files/olc/opinions/attachments/20 I5/06/23/op-olc-v032-p0115 .pdf).
See also U.S. OGE, LA-16-08: Introduction to the Primary Post-Government Employment Restrictions Applicable
to FOrmer Executive Branch Employees, at IO (September 23, 2016) (available on the OGE website at
https://www.oge.gov/web/oge.nsf/ All%20Documents/3 741DC247191C8B88525803 B00528D7 E/$FILE/LA- I 6-
08.pdf'?open ). Also pertinent to these provisions of the statute is an OLC opinion of June 22, 2004, which concludes
that 18 C.S.C. § 207(f) covers representational contacts with Members of Congress. See OLC Memorandum
Opinion, Application of 18 US.C § 207(/) to a Former Senior Employee (available on the OLC website at
ww .j ustice.gov/sites/default/files/olc/opinions/2004/06/31 /op-o!c-v028-p0097~O.pdf).
"' 18 U.S.C. § 207(f)(l)(B).
" Id § 207(b).
46
18 U.S.C § 207. The provisions of 18 V.S.C. § 207 should not be confused with those of the Lobbying
Disclosure Act (2 U.S.C. §§ 1601 et seq.) (LDA). In other words, merely because a particular activity does not
constitute "lobbying" for purposes of that Act does not mean that the activity is permissible under 18 U.S.C § 207.
47
OLC, "Communications" under 18 USC§ 207 at 3 (Jan. 19, 2001) (available on the OLC website at
http://www.justice.gov/sites/defaulVfiles/olc/opinions/2001 /0 J/3 J/op-olc-v025-p0059_ 0.pdf). In that opinion, the
OLC provides the following illustrative examples; "A high~ranking official who aggressively publicizes the fact
that he is leaving an agency to start a one~man consulting firm. then submits a report to the agency shortly thereafter
under the name of that firm, almost certainly intends that the report will be attributed to him. Similarly, a fonner
9
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Further. an advisory memorandum issued by the U.S. Office of Government Ethics (OGE)
for Executive Branch employees states. "[a]n 'appearance' extends to a former employee's mere
physical presence at a proceeding when the circumstances make it clear that his attendance is
intended to influence the United States.'"48 The provision is broad enough that it precludes a
former Member even from, for example, requesting or scheduling, for or on behalf of any other
person, a meeting with any current Member, officer, or employee on official business. 49 While
OGE guidance is merely persuasive, rather than binding. on Committee interpretations of the
statute, this Committee endeavors when possible to interpret the statute in a manner consistent
with OGE practice.
In addition to the one-year "cooling-off period"' restrictions set out above, Members
should further be aware of a permanent federal statutory restriction that prohibits !Jill' U.S. citizen
acting without authority of the United States from:
X Directly or indirectly commencing or carrying on any correspondence or
intercourse with any foreign government. or any officer or agent thereof, with the
intent to influence the measures or conduct of any foreign government or of any officer
or agent thereof in relation to any disputes or controversies with the United States, or to
defeat the measures of the United States. 50
Permissible Activity
Under federal statutory law, former Members may, immediately upon leaving office:
✓ Aid or advise clients (other than foreign entities, i.e. foreign governments or foreign
political parties) concerning how to lobby Congress, provided the former Member
makes no appearance before or communication to Members or employees of Congress.
Such a "'background role· would not pose the contemplated risk of improper influence
since the current officials would not be aware of the former official" s participation. 51
official who is not introduced by name, but participates on a conference call with his former agency colleagues,
almost certainly intends this his colleagues will recognize his voice.'' Id.
48
Introduction to the Primm)' Post~Government Employment Restrictions Applicable to Former Executive
Branch Lmployees. note 43 above, at 3.
49
Committee interpretations of the statute contained in this memorandum are based on analysis of the
statutory terms and purposes, and opinions and guidance, issued by DOJ and OGE. However, as noted above, 18
U.S.C. § 207 is a criminal statute, and Committee interpretations of it are not binding on DOJ (but see note 39,
above).
50
18 U.S.C. § 953 {the Logan Act). An eighteenth century law, the Logan Act restricts private
correspondence with foreign governments. This statute, which appears to have been a reaction to the attempts of
one citizen to engage in private diplomacy, has never been the basis of a prosecution, and this Committee has
publicly questioned its constitutionality. House Comm. on Standards of Official Conduct, Manual ofq[fenses and
Procedures, Korean 111/luence Investigation, 95th Cong., 1st Sess. 18~19 (Comm. Print 1977). Members should be
aware, however, that the law remains part of the criminal code.
51
Fonner Members who are lawyers may have additional restrictions, as explained above in note 18.
IO
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However, any such participation must remain behind-the-scenes; during the one-year
·'cooling-off' period. fonner Members must not pennit their name to be openly
associated with contacts made by other persons. 52
✓ Contact Executive Branch officials with the intent to influence official action so long
as not representing a foreign entity, i.e. a foreign government or foreign political party .53
✓ Contact state government officials with the intent to influence state government
actions or decisions. Fonner Members should comply with any state laws governing
such contacts.
✓ Contact one foreign government on behalf of another foreign government. 54
✓ Contact Members, officers and employees of the House and Senate and other
Legislative Branch officials under any of the following circumstances:
The former Member is carrying out official duties on behalf of the
federal government or the District of Columbia; 55
The fonner Member is acting as an elected official of a state or local
government; 56
5
~ As noted above, the major restrictions set forth in 18 U.S.C. § 207(e) focus on communications and
appearances. By contrast, if a former Member plays a background role, and does not appear in person or convey his
or her name on any communications, the law does not appear to prohibit that person from advising those who seek
official action from the Congress (with the exception of the provision that applies to all former employees relating to
ongoing trade or treaty negotiations). This construction is consistent with regulations promulgated by OGE,
interpreting a comparable prohibition that applies to Executive Branch personnel. See 5 C.F.R. § 2637.20l(b)(3),
(6). This matter is also addressed in the 2001 OLC opinion that is cited in note 46 above, including with regard to
activities that do not constitute permissible "bchind~the~scenes" activities.
Former Members who are representing a tribal government as an employee of the tribe or as an officer
or employee of the United States assigned to a tribe have an additional restriction on contacts with the Executive
Branch and certain other entities. Such individuals must first notify the head of the department. agency, court, or
commission being contacted of"any personal and substantial involvement" they had in the matter while a \.1ember.
See 25 U.S.C. § 5323(i) (fonnerly 25 C.S.C. § 450iU)); 18 C.S.C. § 207(i)(I )(B).
54
No federal statute expressly pennits such contacts. but so far as the Committee is aware, no federal statute
prohibits such contacts. Thus. it appears that such contacts are permissible under federal law. Members who intend to
undertake such activity, however, should carefully review the Foreign Agents Registration Act (22 lJ.S.C. §§ 611 et seq.)
(FARA) to ensure compliance with its requirements. Briefly stated, FARA provides that anyone who acts within the
United States under the direction or control of a foreign principal to influence official decisions, official policies. or
public opinion on behalf of a foreign principal must register with DOJ. See generally 22 U.S.C. §§ 611 et seq.; U.S.
Dep't of Justice (DOJ), "FARA FAQs" (available on the DOJ website, ·www.justice.gov/nsd~fara).
55 18 U.S.C. § 207(j)(l)(A).
so Id.
II
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The former Member is an employee (not a private consultant or other
independent contractor) of a state or local government, or an agency
or instrumentality thereof, acting on its behalf; 57
The former Member is an employee of an accredited, degree-granting
institution of higher education and is acting on behalf of such
institution; 58 or
The former Member is an employee of a charitable hospital or
medical research organization and is acting on behalf of such hospital
or organization. 59
✓ Represent or give aid or advice to international organizations of which the United
States is a member if the Secretary of State certifies in advance that such activities are
in the interest of the United States. 60 Otherwise, fonner Members must wait one year
before engaging in such activities.
✓ Make statements or communications as an employee of a candidate, authorized
campaign committee, national or state party, or political committee, if acting on
behalf of that committee or party. 61 However, if the former Member is employed by a
person or entity who represents, aids, or advises onlv such persons or entities, the
communications would prohibited. 62
✓ Make statements based upon the "special knowledge" of the former Member
concerning the particular area that is the subject of the statement, if no compensation is
received in connection thcrewith.63
" Id§ 207U)(2J(A).
58
Id § 2070)(2)(8). The statute uses the definition of''institution of higher education·' contained in § 101
of the Higher Education Act of 1965 (20 l:.S.C. §§ 1001 et seq.). As a general maner, the definition includes only
nonprofit. degree~granting educational institutions located ln the United States or its territories. See 20 G.S.C.
§ 100l(a)-(b).
59
18 U.S.C. § 207(j)(2)(B). For this exception to apply, the hospital or medical research organization must
be exempted under section 501 (c)(3) of the Internal Revenue Code (26 U.S.C. § 50l(c)(3)). Id.
60
Id § 207(j)(3 ).
''' Id§ 207(j)(7)(A).
"' Id. § 207(j)(7)(B)(ii)(II).
63
Id§ 207(i)(4}. ''Special knowledge" is not defined in the statute. The Federal Register, which provides
rules on the application of the statute to employees in the Executive Branch. states that a "fonner employee has
special knowledge concerning a subject area ifhe is familiar with the subject area as a result of education,
interaction with experts, or other unique or particularized experience," 5 C.F.R. § 2641.301 (d)( l ), ln addition, in
the proposed rulemaking for this provision, the OGE emphasized that it regarded its interpretation of this exception
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168
✓ Give testimony under oath, or make statements required to be made under penalty of
perjury. 64
✓ Contact staff of the Clerk of the House regarding the Member's compliance with the
disclosure requirements under the Lobbying Disclosure Act.65
✓ Make political contributions to, and sponsor or attend political fundraisers for,
current Members of Congress, provided that no appearances or communications are
made with the intent to influence, on behalf of any other person, the official actions or
decisions of current Members or staff. 66
✓ Interact socially with current Members of Congress and staff provided that no
appearances or communications arc made with the intent to influence, on behalf of any
other person, the official actions or decisions of current Members or staff.67
Example I. Member A retires to accept an appointed position in an Executive
Branch agency. A may immediately contact Congress on behalf of the agency.
Example 2. Member B retires to become governor of his state. B may
immediately contact Congress on behalf of his state.
Example 3. Member C retires to become the president ofa private university. C
may immediately contact Congress on behalf of the school.
Example 4. Member D retires and moves back to her home state. D may
immediately contact state government officials on behalf of any clients.
Example 5. Member E retires to become a lobbyist. During her first year out of
office, E lobbies only Executive Branch personnel, E never contacts Members or
employees of Congress on behalf of clients, and E has no foreign clients. E is
complying with the law.
Example 6. During his one-year "cooling-off' period. former Member F wishes
to call a current Member to request that she meet with representatives of one of his
clients to discuss legislation of interest to the client. F would not be present at the
as being "relatively narrow." See 73 Fed. Reg. 36183 (June 25, 2008). While these definitions are not binding on
the Ethics Committee, they provide guidance as to how the term should be interpreted.
M 18 U.S.C. § 2070)(6),
65
Id § 207(e)(8).
66
See id. § 207.
7
\ See id.
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169
meeting. F would violate the statute by requesting the meeting. in that the request
would be a communication intended to influence official action.
Example 7. During his first year out of office. former Member G wishes lo contact
a current Member to urge him to support federal funding for a non-profit
organization operated by a friend of G. The non-profit organization is not a client
of G, and G would receive no compensation for making the contact. G would
violate the statute by doing so, in that the statute bars such contacts regardless of
whether the former official would be compensated for them.
Example 8. During her one-year "cooling-off' period. former Member H, who
has become a lobbyist, is asked by a current Member about the views of one of her
clients on a pending piece of legislation. If would violate the statute if she were to
state her client's views lo the current Member, in that there is no exception in the
statute for covered communications that are solicited by a current Member or staff
person. However. it may be permissible for H to refer the Member to one of her
colleagues who is not subject to post-employment restrictions.
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Entity Represented by Former Member
170
Entity Conitacted by Former Member
“State
Governments
Must watt [year belore
Private Entity. contacting Congress directly May contact
ete May advise ort immediately
eae May contac
Pedoral Statear | immediately if May contact
Local Government
employee ef the federal. state. or
low
mmmediately
Tribal Government
Must wait | year before
comacting Congress directly
May advise
anmediatcly
May contact #2
employed by
must inform hi 2
ALOP any Person
antal involvement 7
matter while a Member
brmedi
Mav contact
immediately
Foreign Eintity:
Must wait } ycar before
contacting Congress ar advising
foreign government bebind
scenes. Must register
Justice Department Wf aetin:
forciun agent m the US
us at
Must wnt Pycar be
May contact
immediately
May comiict
smpediately, Must
ster with the Justice
international Org.
of which U.S.
isa Member
If Sveretary of State classitics
the subject matter as one of
national interest, former Member
many ummedhately advise
International organization and
contact Congress directly,
otherwise, must wait E yeur todo
either
airy OF State classifies
the subject matter as one of
national interest, former
Member may wnmediately
Js ise international
ization and coat
¢ branch directly,
May contact
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hath
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College or
University
May contact mmmedhately tan
emplovec of the college or
university
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intel
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Charitable Hospital
or Medical
co Research
oo Organization
May contact immedsately ian.
employee of the hospital or
Organ ZaiOn
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Candidate, Political :
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ly as employee of
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commute. or federal or state
party or committee. untess
employed by entity Svises
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f
171
Penalties
Each violation of the post-employment restrictions set forth in the statute is a felony
punishable by imprisonment up to one year (or up to five years for willful violations) and a fine of
up to $102,446 for each violation or the value of the compensation received for the act that violated
the restrictions, whichever is greater. 68 The statute further authorizes the Attorney General to seek
an injunction prohibiting a person from engaging in conduct that violates the act. 69
By its tenns, 18 U.S.C. § 207 governs the conduct of former Members, officers. and
employees, and does not apply to the conduct of current Members. officers, and employees.
However, the post-employment restrictions have been the subject of close attention by DOJ, as
reflected in the guilty pleas by former House staff and others to criminal violations of the statute. 70
Therefore, current Members and staff who receive or otherwise participate in improper contacts
by a covered former employee should be aware that, depending on the circumstances, they may be
subject to criminal or House disciplinary action. The examples involving § 207 violations indicate
that a Member who aids and abets a covered former employee in the violation may be prosecuted
for conspiracy to violate the post-employment restrictions. 71
Example 9. Staff member I resigned as chief of staff for Member J last month to
become a registered federal lobbyist for a local non-profit organization. I is a
covered employee and subject to the post-employment ban for a year. I asks .I to
support increased funding for the non-profit and schedules a time for them to
discuss the matter further. If J accepts the meeting with I, he could be considered
aiding and abetting I to violate her post-employment restrictions.
Furthennore. in an Ethics Committee disciplinary case that was completed in the I 06th
Congress, a Member admitted to engaging in several forms of conduct that violated House rules
requiring that each Member and staff person "conduct himself at all times in a manner that shall
reflect creditably on the House.'' 72 One of those violations was his engaging in a pattern and
practice of knowingly allowing his fonner chief of staff to appear before and communicate with
him in his official capacity during the one-year period following her resignation. •'in a manner that
created the appearance that his official decisions might have been improperly affected.'' 73
°" See I 8 U.S.C. § 216; see also 28 C.F.R 85.5 (2020).
6
'1 See 18 § 216(c).
70
See, e.g., United States v. Jack A. Abramqff., Docket No. 06wCRw001 (D.D.C.){"Abramoff action"). In
addition, in September 2006, fornier Representative Robert W. Ney pleaded guilty to conspiracy to violate, among
other statutes, the postwemployment restrictions for former covered employees (''Ney action"). Also note, in
September 2012, a former Senate staffer, Doug Hampton, was sentenced to one year probation for violating the
postwemp!oyment restriction ("Hampton action'').
71
See, e.g. Abramqffand Ney actions, note 67 above,
72
House Rule 23, cl. I; see also House Comm. on Standards of Official Conduct, In the Matter of
Representative E.G. "Bud" Shuster, H. Rep. 106-979, 106th Cong .• 2d Sess. vol. I (July 19, 2002) (''Shuster
Report").
73
House Comm. on Standards of Official Conduct, Summa,y ofActivities. One Hundred Sixth Congress,
H. Rep. 106-1044, 106th Cong., 2d Sess. at 10. 13. 16 (2000): see also Shuster Report. note 69 above, vol. L See
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172
FLOOR PRIVILEGES OF A FORMER MEMBER
The type of work that a Member does after leaving office may limit the Member's future
floor privileges, While former Members generally are entitled to admission to the Hall of the
House, this privilege is not extended to those who: (I) are registered lobbyists or agents of a foreign
principal; (2) have any direct personal or pecuniary interest in any pending legislation; or (3) work
for or represent anyone ''for the purpose of influencing, directly or indirectly, the passage, defeat,
or amendment of any legislative proposal." 74 In short, a Member may not take advantage of his
or her status as a former Member to lobby current Members on the House floor (that is, those areas
restricted to the public), Unlike the post-employment restrictions, this rule has no time limit. 75
ln addition, a resolution adopted at the start of the I 16th Congress provides that former
Member and officers, as well as their spouses, who are registered federal lobbyists or agents of a
foreign principal are also prohibited from access "to any exercise facility which is made available
exclusively to Members and former Members, officers and former officers" during the I 16th
Congress. 76
FINANCIAL DISCLOSURE REQUIREMENTS
FOLLOWING DEPARTURE FROM HOUSE EMPLOYMENT
A departing Member of Congress must file a final Financial Disclosure Statement, called
a ''Termination Report,'' within 30 days of leaving office. 77 Extensions of up to 90 days are
available upon written request to the Committee when made prior to the original due date. 78
The Termination Report, filed on the same form as the annual report, covers all financial
activity through the end of the Member's term. 79 Schedule F ("Agreements") of the report requires
disclosure of any agreement entered into by the filer, oral or written, with respect to future
employment. 80 Thus, if a Member accepts a future position while still on the House payroll, the
Member will have to disclose the agreement on the Member's public termination filing. The date
of the agreement, the future employer, the position or title and the starting date must be disclosed,
also. Senate Select Comm. on Ethics, Report of the Preliminary Inquiry into the Matter of Senator John E. Ensign
(May 10,201 J) available at https://www.ethics.senate.gov/public/index.cfm/files/serve?File _id=676ADD17~2C7F~
40F7-A4D9-B35526E4DA97.
74
House Rule 4, cl. 4(a).
75
Departing :vfembers may also wish to review a memorandum issued by the Congressional Research
Service, Selected Privileges and Courtesies F,,xtended 10 Former Members !~{Congress. Report 'i\o. R41121 (Dec. 5,
2014).
76
H. Res. 6 § 3(d) (adopted Jan.9.2019). Although this restriction applies only during the I 16th
Congress. departing Members should note that similar language has been adopted in previous Congresses.
n 5 U.S.C. app. § !0l(e).
78
Id § lOl(g); Comm. on Ethics, 2019 Jnstruction Guide.for Completing Financial Disclosure Statements
and Periodic Transaction Reports (2019 FD and P1R Instructions) at 7.
79
Id§ 101(e). For Members who serve out their full tenn, this date will be January 3; Members who
retire earlier than the end of the tenn will have different end date.
80
Id§ !02(a)(7).
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173
but the amount of the compensation need not be reported. 81 The Member will also have to disclose,
on Schedule H ("Travel Payments and Reimbursements") of the Termination Report, any travel
reimbursements exceeding $415 received from any source in connection with job-search activity. 82
However, a departing Member who, prior to thirty days after leaving office. has accepted
another federal position requiring the filing of a public financial disclosure statement need not file
a Termination Report. 83 Any departing Member who is not required to file a Termination Report
for this reason must notify the Clerk in writing of that fact. 84
USE OF EXCESS CAMPAIGN FUNDS
Members are prohibited by House rules from converting campaign funds to personal use. 85
Federal election law, as implemented by a set of regulations issued by the Federal Election
Commission (FEC), bans the use of excess campaign funds for personal purposes by anyone.
incumbents and non-incumbents alike. 86 All campaign resources (including equipment, furniture,
and vehicles) are subject to the same restrictions. 87 A Member may not keep campaign property
upon retirement from Congress unless he or she pays the campaign fair market value. 88 In valuing
the property, the Member may take into account the fact that it has been used. 89
Example 10. Member K would like to keep the car owned by his campaign when
he retires. lfhe pays the campaign the car's fair market value, K may do so.
As to excess campaign funds, among the permissible uses under statutory law are donation
to charities described in § 170(c) of the Internal Revenue Code. 90 and contribution to any national,
state. or local committee of a political party. 91 A former Member may use campaign funds to
defray the costs of winding down his or her congressional office for a period of up to six months
after leaving office. 92 In addition, both the FEC and the Ethics Committee have ruled that a retiring
Member may use campaign funds to pay the expenses of moving both congressional office
81
See id; see also 2019 FD and PTR Instructions at 35.
5 U.S.C. app. § 102(a)(2)(B). Such travel must be disclosed on the Member's Financial Disclosure
Statement even if the Member ultimately remains in Congress rather than accepting private employment.
83
Id § JOI(e).
84
See 2019 FD and PTR Instruclions at 5. A form for this purpose is available on the Committee's
website, at https://ethics.house.gov/sites/ethics.house.gov/files/FD_"TerminationExemption.pdf.
lVi House Rule 23. cl. 8.
86
52 U.S.C. § 30114(b)(l); I I C.F.R. § I 13.2(e).
8
' See generally 52 U.S.C. § 30114(b)(I ); 11 C.F.R. § I 13.1.
88
11 C.F.R. §§ 113.l(g)(J) and I 13.2(e).
"11C.F.R.§113.l(g)(3).
90
52 U.S.C. § 30114(a)(3); 11 C.F.R. § I 13.2(b); see also 11 C.F.R. § I I 3. l(g)(2).
" 52 U.S.C. § 30114(a)(4); I I C.F.R. § I 13.2(c).
" 11 C.F.R. § 113.2(a)(2).
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furnishings and personal household furnishings and effects back to the Member"s home state. 93 A
retiring Member should consult with FEC staff on the specifics of statutory law and FEC rules on
the use or disposition of excess campaign funds, including with regard to maintaining those funds
for use in a future campaign, or making donations to other candidates.
OUTSIDE EMPLOYMENT AND EARNED INCOME RESTRICTIONS
All departing Members remain subject to all House rules. including the gift rule and the
limitations on outside employment and earned income, 94 even after adjournment sine die. until the
end of their term, unless they elect to resign earlier. These rules are particularly important to bear
in mind for a departing Member whose prospective employer suggests that the Member start work
prior to leaving office. In calendar year 2020, a Member may not receive outside earned income
(including, for example. a signing bonus) in excess of $28,845, and no earned income may be
received for: (1) providing professional services involving a fiduciary relationship. including the
practice of law, or any consulting or advising; (2) being employed by an entity that provides such
services; or (3) serving as a board member or officer of any organization. 95 Regardless of whether
compensation is received, a Member may not allow his or her name to be used by an organization
that provides fiduciary services. In addition. a Member may not receive any honoraria (i.e., a
payment for a speech, article. or appearance). 96 although he or she may receive compensation for
teaching. if the Member first secures specific prior permission from this Committee. 97
Example I I. Member L plans to join a law firm when she leaves office. Since
this is a firm providing professional services of a fiduciary nature. L may not
commence employment with the firm until the new Congress is sworn in, unless
she resigns early.
ACCEPTANCE OF OFFICIALLY CONNECTED
TRAVEL FUNDED BY A PRIVATE SOURCE
Several rules may affect a departing Member's travel decisions. House rules prohibit the
use of committee funds and local currencies owned by the United States to pay for travel by a
Member: (]) after the date of a general election in which he or she was not elected to the
succeeding Congress; or (2) in the case of a Member who is not a candidate in a general election,
afrer the earlier of the date of the general election or adjournment sine die ofCongress. 98
3
" rEC Advisory Opinion 1996•14 (available on the FEC website, www.fec.gov); 2008 /louse Ethics
\fanual at 162.
4
() House Rule 25. els. 1-5. The outside employment and earned income limitations are also codified at 5
U.S.C. app. §§ 501-502.
95
House Rule 25, els. 1-4; see also 5 U.S.C. app. §§ 501-502.
96
House Rule 23, cl. 5; House Rule 25. cL l(a)(2).
7
" House Rule 25, cl. 2(e).
98
House Rule 24, cL 10.
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175
With regard to privately-funded travel that is fact-finding in nature, because the giti rule
requires that such travel be related to official duties, 99 it is questionable whether a departing
Member may accept an invitation for a such travel that would take place after the adjournment
sine die of the House. As of that time. the official responsibilities that may justify acceptance of
travel expenses for such a purpose will practically have come to an end. However, this
consideration does not limit the ability of a departing Member to accept travel expenses from a
private source for the purpose of enabling the Member to participate substantially in an officially-
related event, such as to give a speech.
* *
Any questions on these matters should be directed to the Committee's Office of Advice
and Education at (202) 225-7 l 03.
00
House Rule 25. cl. 5(b)(l)(A); see also House Rule 25. cl. 5(b)(3)(0).
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it.ii-. ~ousc of RcprestntilttntB
CO\l\llT I Fl ()" l rl!ICS
December 18. c010
MF.MORA:X0TTM TO ALL HOl'SE MEMBF.RS, OFFIC'ERS, AND EMPLOYEES
FROM: Committee on Ethics
lheouore E. Dcu\ch. Chairman
Kenny i'vlarchant. Ranking Member
SVB,JECT: Negotiations for Future Employment and Rcstriclions on Post-Lmployment
for House Slaff
The purpose of this memorandum is tn remind you about issues of concern to stafT
1rn:-mhcrs i v~ho arc negotiating fnr future employment or departing from employment with the,
House of Reprcsentatl\cs or one of the kgislati\'t: branch offii.:rs. 7· The matters discussed hcri:
include negotiatic,ns for future cmpl0yrnent, post-cmplo; me:nt restrictions. financial disclosure
requirements (J'errninntinn Reports). and outside employment and can11:.·d income restri;,;tions.
;\lthough this mcmnran<lum ,-... ii\ be of particular interest to depaiiing sutf[ current staff and their
employing i\frmbers should also familiarize themselves with these n:strictions, particularly the
criminal restrictions on post-employment communications. 3 ( ·utTcnt ~km hers anJ ~taff arc
reminded 1hat they may not assist in the violation ofthcst restrictions.
In addition. the Committee \\Otdd lik1: to lake this opportunity to note one :,tatutory
provision that applies to all !louse Members and staff. I lnusc Members and ;,taff may not use
confidential infl.)l'mation obtained b) means of pcrs(mal and suhstantinl participati011 in nngoing
trndl." or treaty negotiatinns for one year prior 10 k·aving Honse employment in the course of
1 The term,; "staff' ftnd ··emplO) ee'" A.re med iut1-:rchungcably throughout this rnemornndurn to re for tt.1
persons who arc empk1y~d by :..1 \h::mhcr_ committee, leadership office, or other legislative office~ ( SL'e nNe ,2_
bdnw), Rdcvant di:.tinctions arnoni these catqrories of employees are noted os ne\'essary,
' '"[O]ther k~islative oflk-es" indude emplo)ees. 1.)fth\! Architi;:ct of the CapitoL l:nit.:d Srntes B•)Umic
Garden . riff"rernmcnt Accountability Office, Govcmmcnt Printing Ofli.;e, Li\:lr~r) of Congress, Otlke of
Technology As!:e~sment, Congressional Budg,et Office. nnd Capitol l'olic1~. it also includes A.ll)' other Hous~
legislative branch o{ficc llOt covcrcd by the other provisions. such as the Clerk. Pmli::imenttrian, Office- ofG~iwtal
(\)unseL and Chief :\dministrative Onicer. Sc,: 18 t:.s.c ~ 207(c1(9){G)
1
Thi$ gui<larn:e, as \'I-CU as some additional requirements .un<l restrictions. e.!s.o applil.!'s: to 1-ft1u.:;c \ kmbcrs
and offi<:t:-rs. ond i~ addr~s:-:;ed in a scpumtt mt!morandum entitled "'cgotiatinns for Futurt Employment 11.nd
Restrictions on Pnst-Emplnymi:nt for }fpus-e \-krnbcrs and Offo.:crs. ,. !'his staff memorandum 'i\ ill not ;<;pl.'cificaliy
rrn:ntion the requin.'mt:-nts for Mcnihcrs nnd officers. or how the)' differ from those pertaining to I louse staff.
'.\kmbcrs and officers seeking guidance sl1()uld ,.:onsult the companitm memorandum refercnc\;d o.bn\'e.
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177
representing, aiding, or advising anyone other than the United States regarding those ongoing
negotiations. 4 As with other provisions of this statute, this prohibition lasts for one year after
departure from the House payroll. 5
NEGOTIATING FOR FUTURE EMPLOYMENT
In the past, the Committee· s general guidance on job negotiations has been that House
Members and employees are free to pursue future employment while still employed by the House.
subject to certain ethical constraints. This memorandum provides more detailed guidance on the
issues presented by such negotiations, as well as mandatory disclosure obligations such
negotiations may trigger.
The general guidance applicable to any House employee, regardless of salary level, who
wishes to engage in negotiations for future employment. is as follows. First and foremost, it would
be improper for a House employee to pennit the prospect of future employment to influence the
official actions of the employee. or the employing office of the employee. 6 Some employees may
determine to use an agent (e.g., a "headhunter'') to solicit job offers on their behalf in order to
avoid any appearance of improper activity. Regardless of whether job negotiations are undertaken
personally or through an agent, the following generally-applicable principles must be observed.
The term ·'negotiation'' is not defined in the relevant statute or Bouse rule. In its past
guidance, the Committee has given deference to court decisions interpreting a related federal
criminal statute that bars Executive Branch employees from participating in matters affecting the
financial interests of an entity with which the employee is "negotiating or has any arrangement"
concerning future employment. 7 Those decisions found that the tenn "negotiation'' should be
construed broadly. 8 However, these decisions make a distinction between '·negotiations," which
trigger the rule, and "[p]reliminary or exploratory talks," which do not. 9 The term "negotiations"
connotes "a communication between two parties with a view toward reaching an agreement" and
in which there is "active interest on both sides." 10 Thus, merely sending a copy of one's resume
to a private entity is not considered "negotiating" for future employment.
4
18 U.S.C. § 207(b). For purposes of this provision, the tenn "trade negotiation" means "'negotiations
which the President determines to undertake to enter into a trade agreement pursuant to section 1102 of the Omnibus
Trade and Competitiveness Act of 1988, and does not include any action taken before that determination is made"
and the term ·'treaty" means "an international agreement made by the President that requires the advice and consent
of the Senate." Id. at§ 207(b)(2).
'Id
6
See I louse Rule 23. cl, 3; Code of Ethics for Government Service~~ 5, 6, reprinted in 2008 House Ethics
Jianua/ at 355.
7
18 U.S.C. § 208.
' See, e.g., United States v. Schaltenbrand, 930 F.2d 1554, 1559 (11th Cir. 1991); United States v. Conlon,
628 F.2d 150,155 (D.C. Cir. 1980).
7
See Schaltenbrand, 930 F.2d at 1558-59.
io United States v. Hedges, 912 F.2d 1397, 1403 n.2 (11th Cir. 1990) (quoting jury instruction): see also
Schaltenbrand, 930 F.2d at 1558, 1559 n.2.
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178
Other, more general, ethical rules also bear on the subject of employment negotiations.
The House Code of Official Conduct prohibits I-louse Members, officers, and employees from
receiving compensation "by virtue of influence improperly exerted"' from a congressional
position. 11 The Code of Ethics for Government Service forbids anyone in government service
from accepting "'favors or benefits under circumstances which might be construed by reasonable
persons as influencing the performance" of governmental duties. 12 Federal criminal law prohibits
a federal official from soliciting or accepting a "bribe"- i.e., anything of value given in exchange
for being influenced in an official act. 13 Although bribery necessarily entails a quid pro quo
arrangement, the same statute also bans seeking or accepting ••illegal gratuities"- i.e., anything
given because of, or in reward for, a future or past official act, whether or not the official action
would be, or would have been, taken absent the reward. 14
In light of these restrictions, all House employees should be particularly careful in
negotiating for future employment, especially when negotiating with anyone who could be
substantially affected by the performance of the employee's official duties. 15 It may be prudent
for the employee to have an exchange of correspondence with any serious negotiating partner.
stipulating that the prospective employer will receive no official favors in connection with the job
negotiations. Those employees who will be subject to the post-employment restrictions, which
are addressed later in this memorandum, may also wish to establish in correspondence with any
prospective employer that the future employer understands that ( l) it will receive no official favors
as a result of the job negotiations. and (2) the employee is subject to post-employment restrictions,
which should be briefly outlined. 16 Departing employees who are lawyers should consult their
local bar associations concerning the application of rules governing their involvement in matters
in which they participated personally and substantially during their time with the House_l7 In
addition, as addressed in the next section of this memorandum. those employees subject to the
post-employment restrictions must disclose employment negotiations in writing to the Ethics
Committee.
u House Ruic 23, cl. 3.
12
Code of Ethics for Government Service ,i 5, reprinted in 2008 House Ethics Manual at 355,
13
18 U.S.C. § 20!(b)(2)(A).
14
Id§ 20l(c)(!J(B).
15 See Code of Ethics for Government Service~ 5, reprinted in 2008 House Ethics Manual at 355.
16
See 18 U.S.C. § 207. These restrictions are explained in detail later in this memorandum. Briefly,
covered House employees may not contact their former employing Member or Members on official business for one
year after leaving office, nor may they assist any foreign entity, Le., a foreign government or foreign political party.
in seeking to influence a decision of any federal official during that year.
17
A former employee who joins a law firm should also be aware that a separate statutor)' provision, 18
U .S.C. § 203, has been interpreted to prohibit a fonner federal official who joins a finn from sharing in fees
attributable to representational services in federally related matters where those services were provided by the firm
while the individual was still employed by the government. (OGE website at ~~~..:~~:.Dg,Llfil
Please note that 18 t:.S.C. § 203 is a federal criminal statute within the jurisdiction of the U.S. Department
of Justice; therefore. staff may wish to seek guidance from outside counsel prior to accepting fees that may implicate
J8 U.S.C. § 203.
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179
Provided that employees conduct themselves in accordance with the considerations
discussed above, they may engage in negotiations for employment in the same manner as any other
job applicant. Discussions may specifically address salary, duties, benefits, and other terms.
DISCLOSURE OF EMPLOYMENT NEGOTIATIONS
AND RECUSAL REQUIREMENTS
Certain House staff must notify the Committee within three (3) business days after they
commence any negotiation or agreement for future employment or compensation with a private
18
entity. Staff subject to this disclosure requirement are those employees of the House who are
paid at or above an annual rate of $130,500 ($10,875 per month) for any two months in a calendar
year, including any federal civil service or military annuities. 19 This rate is referred to as the post-
employment rate.
The term "negotiation" is not defined in the relevant statute or House rule. The Committee
views negotiations using the standard discussed earlier in this memorandum, namely that there has
been "a communication between two parties with a view to reaching an agreement" and in which
there is "discussion and active interest on both sides." 20 In addition, staff paid at or above the post-
employment rate must recuse themselves from "any matter in which there is a conflict of interest
or an appearance of a conflict" with the private entity with which they are negotiating or have an
agreement for future employment or compensation, and they must notify the Ethics Committee in
writing of such recusal. 21
The terms ''conflict" and "appearance of conflict'· also arc not defined in the rule. The
Committee has stated that a ·'conflict of interest becomes problematic when [an employee] uses
his position to enhance his personal financial interests or his personal financial interests impair his
18
House Rule 27, cL 2; Stop Trading on Congressional Knowledge Act, Pub. L. No. 1 l2~105 (Apr. 4,
2012) (hereinafter STOCK Act)§ I 7. House Rule 27, clause I, which imposes a similar restriction on House
Members, limits the disclosure requirement for Members to negotiations with prfrate employers. While the express
language of clause 2, which covers employees, does not limit its terms to negotiations with private employers, the
Committee has read the two clauses consistently as excluding from the disclosure requirement any job negotiations
with government entities for both Members and employees.
19
House Rule 27. clause 2, imposes the disclosure requirement on any --employee of the House earning in
excess of 75 percent of the salary paid to a Member." In 2020, that rate is$ 130,500 per year for most House
employees: see also Section 7 of the Further Consolidated Appropriations Act, 2020, Pub. L. ~o. 116-94 Dec. 20,
2019), prohibiting a scheduled cost-of-living pay raise for Members. As a result, Member pay will remain at
$174,000 for 2020.
See Hedges, 921 F.2d at 1403 n.2.
21
House Rule 27, cl. 4.
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180
judgment in conducting his public duties."22 Employees should also avoid situations that might
be viewed as presenting even a risk that the individual might be improperly influenced by personal
financial interests." 23
The Committee has issued forms, available on the Committee website
(https:1/www.ethics.house.gov), to be used for these notification requirements. When notifying
the Committee of negotiations or agreements for future employment or compensation, required
staff should complete and sign an employment negotiation form, formally titled the ''Notification
ofNegotiations or Agreement for Future Employment."24 The completed form must be submitted
to the Committee. All filers should keep a copy of their submission for their records. There is a
separate form for notifying the Committee of recusal, titled the "Statement of Recusal." Staff
subject to the post-employment restrictions who recuse themselves from official matters pursuant
to House Rule 27 and/or the STOCK Act must complete and submit the rccusal fonn to the
Committee. 25
Forms may be sent by email to EthicsCommittee1i'mail.housey,2v.
BENEFITS OFFERED BY PROSPECTIVE EMPLOYERS
DURING JOB NEGOTIATIONS
House employees may accept "[t]ood, refreshments, lodging, transportation, and other
benefits ... customarily provided by a prospective employer in connection with bona fide
employment discussions.''26 Thus, subject to the limitations set out in the rule, a House employee
may accept travel expenses from an entity with which the individual is interviewing for a position
and to meet prospective colleagues. Such travel is not subject to the requirement for prior, written
approval from the Committee that applies to privately-funded travel undertaken as part of one's
House duties. However, travel expenses that exceed $415 from any one source must be disclosed
~~ House Comm. on Standards of Official Conduct, In the Matter of Representative Sam Graves, H. Rep.
".'Jo. 111-320, I I Ith Cong., 1st Sess. 16 (2009); see also House Bipartisan Task Force on Ethics, Report on HR
3660, lOlst Cong., 1st Scss. (Comm. Print, Comm. on Rules 1989), reprinted in 135 Cong. Rec. H9253 at H9259
(daily ed. Nov. 21, 1989) ("A conflict of interest is generally defined as a situation in which an official's private
financial interests conflict or appear to conflict with the public interest"); House Rule 23, cl. 3 (" A Member ... may
not receive compensation and may not permit compensation to accrue to the beneficial interest of such individual
from any source, the receipt of which would occur by virtue of influence improperly exerted from the position of
such individual in Congress.").
13
See Federal Conjlict of Interest l,egislation, Staff Report to Subcomm. No. 5 of the Comm. on the
Judiciary, 85th Cong., 2d Sess. 1 (Comm. Print 1958) ("Within reasonable limits. also, the importance of public
confidence in the integrity of the Federal service justifies the requirement that the Federal employee shall avoid the
appearance of evil, as well as evil itself,"); Code of Ethics for Government Service~ 5. reprinted in 2008 House
Ethics ,Hanual at 355 ('·Any person in government service should ... never accept for himself or his family, favors
or benefits under circumstances which might be construed by reasonable persons as influencing the perfonnancc of
his governmental duties."); see also House Rule 23, cl. 2 ("[An] ... employee of the House shall adhere to the spirit
and letter of the Rules of the House .... ·').
4
: House Rule 27, els. 1~3.
25
Id. cl. 4. Clause 4 does not require staff to file their notice of negotiation with the Clerk, as is required
of House Members.
'" House Rule 25, cl. 5(a)(3)(G)(ii).
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181
on Schedule H ("Travel Payments and Reimbursements") of the Termination Report required of
departing senior employees. 27 Such travel must he disclosed on the employee's Financial
Disclosure Statement even if the individual ultimately remains employed by the House rather than
accepting private employment. 28 In addition, any agreement for future employment also must be
disclosed on Schedule F ("Agreements") of that statement, if the agreement was entered into prior
to the employee's last date on House payroll. 29
POST-EMPLOYMENT RESTRICTIONS
Since 1989, legislative branch officials, including certain employees, have been subject to
restrictions on their post-House employment under the Ethics Reform Act. 30 These limitations are
part of the federal criminal code, and they apply to Members and officers of the House, as well as
to employees of House Member, committee, and leadership offices who are paid at least 75% of a
Member's salary, inclusive of any federal civil service or military annuity .31 The basic rate of pay
for Members in calendar year 2020 is $174,000, and thus the post-employment threshold for
individuals who terminate their employment with a Member, committee, or leadership office in
2020 is $130,500. The threshold rate for other years is available from the Ethics Committee. For
employees of "other legislative offices," 32 the basic rate of pay triggering the restrictions is level
IV of the Executive Schedule, which for 2020 is $170,800. 33 Please note that this rate of pay is
subject to change in 2021.
An employee is subject to these restrictions if the employee is paid at or above the threshold
rate for at least 60 days during the one-year period preceding termination of the employee's House
service. 34 Accordingly, it is possible for an employee who is usually paid below the threshold rate
to become subject to the post-employment restrictions by the receipt of a "bonus" or merit
adjustment that is paid by adjusting the employee's basic rate of pay in two or more months, even
if the adjustment is intended to be temporary. 35 Employees who are subject to the restrictions are
referred to as ·'covered" individuals.
27
Please note that the requirement to tile a Financial Disclosure Statement covering calendar year 2020
applies to officers and employees whose basic rate of pay for at least 60 days in 2020 was $131,239, or a monthly
salary at or above $10,936. Staff paid at this rate are referred to as "senior staff."; See Ethics in Government Act
(EIGA) §§ 109(13) and !Ol(d), 5 U.S.C. app. §§ 109(13) and !Ol(d).
28
5 U.S.C. app. § l02(a)(2)(B).
"Id. § 102(a)(7)(A).
30
See 18 \J.S.C. § 207(e). (f).
31
Id § 207(e)(7). With regard to House employees who are federal civil service or military annuitants, it
is the view of the Ethics Committee that the post-employment restrictions apply to those whose combined House
salary and annuity were at or above the threshold rate for the specified time period.
32
For the definition of"other legislative offices," see note 2, above.
33 18 \J.S.C. § 207(e)(7)(B).
34 Id§ 207(e)(7).
35 The Committee has detennined that lump sum payments, when properly used by an employing office, do
not constitute part of the recipient's ''basic rate of pay," See 2008 House Ethics }vfanual at 240, n.112.
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For covered individuals, the law establishes a one-year "cooling-off period" that begins
from the date of the individual's departure from the House payroll. 36 When an office continues an
individual on the payroll forthe purpose of paying for accrued leave after the individual's services
to the House have ceased, the one-year cooling-off period will not begin until after the individual's
final day on the House payroll. In general, House employees whose pay is below the threshold
are not subject to the post-employment restrictions set out in the statute, with the exception of the
provision described earlier in this memorandum regarding participation in trade and treaty
negotiations, and no other provision of federal statutory law or the House rules establishes any
comparable restrictions on post-employment activity.
Set out below is a detailed description of prohibited and permitted post-employment
activities of former staff under the statute. This explanation is followed by a table that briefly
summarizes the statutory restrictions. Please note that the statute. as part of the criminal code, is
enforced by the Department of Justice (DOJ), rather than by the Ethics Committee. While the
Ethics Committee interpretations of 18 U.S.C. § 207 are not binding on DOJ. those interpretations
are based on the Committee's analysis of the terms and purposes of the statute, as well as any
applicable opinions or guidance ofDOJ or OGE of which the Committee is aware. Accordingly,
an employee (or former employee) who has any concerns about the applicability of the post-
employment restrictions to his or her proposed conduct should contact the Ethics Committee for
guidance. 37 The Committee also recommends covered employees seek guidance from outside
counsel.
Prohibited Activity
Under the statute. a covered former employee may not, for a period of one year after
House employment:
X Knowingly communicate with or appear before the employee's former employing
office or committee with the intent to influence, on behalf of any other person, the official
actions or decisions of a Member, officer, or employee in such office or on such
eommittee. 38 An individual who was employed by more than one House office (i.e.,
"shared staff') during the individual's last twelve months of employment with the House
is subject to the post-employment restrictions with respect to each of the individual's
employing offices if the employee's combined House salaries exceeded the triggering
threshold.
The statute excepts certain representations made on behalf of specific types of entities, as
described below in the context of"'permissible activity." With regard to restricted activity,
the statute specifically provides that:
36
Id § 207(e)(3)-(7).
It should be noted that one court held that it is a complete defense to a prosecution for conduct assertedly
in violation of a related federal criminal strict~liability statute (18 U.S.C. § 208) that the conduct was undertaken in
good faith reliance upon erroneous legal advice received from the official's supervising ethics office. Hedges, 912
F.2d at I 404-06.
3s Id.
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Covered fonner employees on the personal staff 39 of a Member may not seek
official action, on behalf of other persons, from that Member or from any of the
Member's employees.4°
Covered fonner committee staff4 1 may not seek official action, on behalf of other
persons, from any current Member or employee of the employing committee or
from any Member who was on the committee during the last 12 months the former
employee worked therc.42 This restriction bars contacts with any of these
individuals on any subject relating to official business, regardless of whether it
pertains to matters within the committee'sjurisdiction.43
Covered fonner employees on the leadership staff44 may not seek official action,
on behalf of other persons, from current Members of the leadership45 or any
current staff of those Members.4 6
Covered fonner employees of any other legislative office47 may not seek official
action, on behalf of other persons, from current officers and employees of that
legislative office.48
X Knowingly represent a foreign entity, i.e., a foreign government or foreign political
party, before any federal official (including any Member of Congress) with the intent lo
influence a decision of such official in official duties. 49
"' Id.§ 207(e)(9)(E).
40
Id.§ 207(e)(3). The statute expressly prohibits contacting any employee ofa Member whom the
departed employee is prohibited from contacting. Id.§ 207(e)(3)(B)(ii).
41
Id. § 207(e)(9)(A). For the purposes of the statute, a detailee is deemed to be an employee of both the
entity from which the detailee comes and the House committee to which the individual is detailed. Id. § 207(g),
"Id.§ 207(e)(4).
43 Jd. (barring communication or appearances on "any matter" on which the forn1er employee seeks action).
44
Id. § 207(e)(9)(H).
45
The "leadership'' of the House of Representatives consists of the Speaker; majority leader; minority
leader; majority whip; minority whip; chief deputy majority whip; chief deputy minority whip; assistant minority
leader; chairman of the Democratic Steering and Policy Committee; chairman and vice chainnan of the Democratic
Caucus; chairman, vice chairman, and secretary of the Republican Conference; chairman of the Republican
Research Committee; chairman of the Republican Policy Committee; and any similar position created after the
statute took effect. 18 U.S.C. § 207(e)(9)(L).
"• See id. §§ 207(e)(5)(B) and (e)(9)(H).
47
"[O]ther legislative offices'' include employees of the Architect of the Capitol, United States Botanic
Garden, Government Accountability Office, Government Printing Office, Library of Congress, Office of
Technology Assessment, Congressional Budget Office, and Capitol Police. The term also includes any other House
legislative branch office not covered by the other provisions of the statute, such as the Cle.rk, Parliamentarian, Office
of General Counsel, and Chief Administrative Officer. See 18 U.S.C. § 207(e)(9J(G).
" 18 C.S.C. §§ 207(e)(6) and (e)(9)(G).
40
Id. §§ 207(f)(l)(A) and (i)(I )(B). Section§ 207 restricts activities with respect to a "foreign entity."
which is defined as either the "government of a foreign country" or a "foreign political party" as those tenns are, in
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X Knowingly aid or advise a foreign entity, i.e., a foreign government or foreign
political party, with the intent to influence a decision of any federal official (including
any Member of Congress) in carrying out his or her official duties. 50
X Use confidential information obtained by means of personal and substantial
participation in ongoing trade or treaty negotiations within one year preceding the
employee's departure from the House payroll, in the course of representing, aiding, or
advising anyone other than the United States regarding those ongoing negotiations. 51
As to the prohibition against making any "communication to or appearance before"
anyone in the legislative branch, covered former employees should be aware of the broad manner
in which DOJ has defined those terms. 52 A DOJ opinion defines "communication" as "the act of
imparting or transmitting information with the intent that the information be attributed to the
former official."53
Further, an advisory memorandum issued by the U.S. Office of Government Ethics (OGE)
for Executive Branch employees states, "[a]n 'appearance' extends to a former employee's mere
physical presence at a proceeding when the circumstances make it clear that his attendance is
intended to influence the United States.''54 The provision is broad enough that it precludes a
covered former employee even from, for example, requesting or scheduling, for or on behalf of
any other person, a meeting with any Member, officer, or employee whom the individual is
turn, defined in the Foreign Agents Registration Act (22 U.S.C. § 6 l l(e), (f)). See id § 207(1)(3). A U.S. Office of
Legal Counsel (OLC) opinion of August 13, 2008, concluded that a foreign corporation is to be considered a foreign
entity for purposes of 18 U.S.C. § 207(f) if it "exercises sovereign authority or functions de jure (i.e., by formal
delegation) or de facto."' See OLC Memorandum Opinion, Application rf 18 USC § 207(!) to a Former Senior
Employee (available on the OLC website at
https://www.justice.gov/sites/default/files/olc/opinionslattachments/2015/06/23/op-olc-v032-p0115. pdf). See also
U.S. OGE, LA-16-08: Introduction to the Primary Post-Government Employment Restrictions Applicable to
Former Executive Branch Employees, at IO (September 23, 2016) (available on the OGE website at
https://www.oge.gov/webloge.nsf/All%20Documents/37 41DC247191 C8B88525803 B0052BD7E/$FILE/LA -16-
08.pdf?open ). Also pertinent to these provisions of the statute is an OLC opinion of June 22, 2004, which concludes
that 18 U.S.C. § 207(t) covers representational contacts with Members of Congress. See OLC Memorandum
Opinion,Application of 18 L'.S.C. § 207(!) to a F0rmer Senior Employee (available on the OLC website at
https:/ /www.justice.gov/sitesldefault/files/olc/opinions/2004/06/3 l lop-olc-v028-p0097_ 0 .pdf).
50 18 U.S.C. § 207(/)(l)(B).
51
Id § 207(b).
52
18 U.S.C. § 207. The provisions of 18 U .S.C. § 207 should not be confused with those of the Lobbying
Disclosure Act (2 U.S.C. §§ 1601 et seq.) (LDA). In other words, merely because a particular activity does not
constitute '·lobbying" for purposes of that Act does not mean that the activity is pem1issible under 18 G.S.C. § 207.
53
OLC, "Communications" under 18 U.S.C. § 207 at 3 (Jan. 19, 2001) (available on the OLC website at
http://www.justice.gov/sites/dcfault/files/olc/opinions/2001/01/31/op-olc~v025-p0059_ 0.pdf). In that opinion, the
OLC provides the following illustrative examples: "A high~ranking official who aggressively publicizes the fact that
he is leaving an agency to start a one-man consulting finn, then submits a report to the agency shortly thereafter
under the name of that finn, almost certainly intends that the report will be attributed to him. Similarly, a former
official who is not introduced by name, but participates on a conference call with his former agency colleagues,
almost certainly intends this his colleagues will recognize his voice." Id.
54
Introduction to the Primary Post-Government Employment Restrictions Applicable to Former Executive
Branch Employees, note 49 above, at 3.
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prohibited from contacting on official business. 55 While OGE guidance is merely persuasive,
rather than binding, on Committee interpretations of the statute, this Committee endeavors when
possible to interpret the statute in a manner consistent with OGE practice.
In addition to these one-year "cooling-off period" restrictions, departing employees
should also be aware of a pennanent federal statutory restriction that prohibits !!!!Y U.S. citizen
acting without authority of the United States from:
X Directly or indirectly commencing or carrying on any correspondence or intercourse
with any foreign government, or any officer or agent thereof, with the intent to influence
the measures or conduct of any foreign government or of any officer or agent thereof in
relation to any disputes or controversies with the United States, or to defeat the measures
of the United States. 56
Permissible Activity
Under federal statutory law, covered former employees may, immediately upon leaving
office:
✓ Contact Members, officers, and employees of the Senate, and - except for those
officials specified above in the section on "Prohibited Activity" -Members, officers,
and employees of the Honse and other Legislative Branch offices, with intent to
influence official action so long as not representing a foreign entity, i.e., a foreign
government or foreign political party.
✓ Aid or advise clients (other than foreign entities, i.e., foreign governments or foreign
political parties) concerning how to lobby Congress, provided the former employee
makes no appearance before or communication to those officials specified above in the
"Prohibited Activity" section. Such a "background role" would not pose the contemplated
risk of improper influence since the current officials would not be aware of the former
employee's participation. 57 However, any such participation must remain behind-the-
55
Committee interpretations of the statute contained in this memorandum are based on analysis of the
statutory terms and purposes, and opinions and guidance, issued by DOJ and OGE However, as noted above, 18
U.S.C. § 207 is a criminal statute, and Committee interpretations of it are not binding on the Justice Department (but
see note 37, above).
56
18 U.S.C § 953 (the Logan Act). An eighteenth-century law, the Logan Act restricts private
correspondence with foreign governments. This statute, which appears to have been a reaction to the attempts of
one citizen to engage in private diplomacy, has never been the basis of a prosecution, and this Committee has
publicly questioned its constitutionality. House Comm. on Standards of Official Conduct, Manual of Offenses and
Procedures. Korean Influence Investigation, 95th Cong., l st Sess. l 8~ l 9 (Comm. Print 1977). Members should be
aware, however, that the law remains part of the criminal code.
57
Fonner employees who are lawyers may have additional restrictions, as explained above in note 17 of
this Memorandum.
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scenes; during the one-year ·'cooling-off· period, fonner employees must not pennit their
name to be openly associated with such contact by other persons. 58
✓ Contact Executive Branch officials with the intent to influence official action so long as
not representing a foreign entity. i.e., a foreign government or foreign political party. 59
✓ Contact state government officials with the intent to influence state government actions
or decisions. Fonner employees should comply with any state laws governing such
contacts.
✓ Contact one foreign government on behalf of another foreign government.60
✓ Contact any Members, officers, and employees of the House and Senate and other
Legislative Branch officials on official business under any of the following
circumstances:
The fonner employee is carrying out official duties on behalf of the federal
government or the District ofColumbia;61
The fonner employee is acting as an elected official of a state or local
government; 62
58
As noted above, the major restrictions set forth in 18 U.S.C. § 207(e) focus on communications and
appearances. By contrast, ifa covered former employee plays a background role, and does not appear in person or
convey his or her name on any communications. the law does not appear to prohibit that person from advising those
who seek official action from the Congress (with the exception of the provision that applies to a!! former employees
relating to ongoing trade or treaty negotiations), This construction is consistent with regulations promulgated by
OGE, interpreting a comparable prohibition that applies to Executive Branch personnel. See 5 C.F.R.
§ 2637.201(b)(3), (6). This matter is also addressed in the 2001 OLC opinion that is cited in note 51 above,
including with regard to activities that do not constitute permissible "behind~the-scenes" activities.
59
Covered former employees who are representing a tribal government as an employee of the tribe or as an
officer or employee of the L'nited States assigned to a tribe have an additional restriction on contacts with the
Executive Branch and certain other entities. Such individuals must first notify the head of the department, agency,
court, or commission being contacted of"any personal and substantial involvement" they had in the matter while a
federal employee. See 25 U.S.C. § 5323(j) (formerly 25 U.S.C. § 450i(j)); 18 U.S.C. § 207(i)( I )(8).
60
No federal statute expressly pennits such contacts, but so far as the Committee is aware, no federal statute
prohibits such contacts. Thus. it appears that such contacts are pennissible under federal law. Covered former
employees who intend to undertake such activity, however, should carefully review the Foreign Agents Registration Act
(22 C.S.C. §§ 611 et seq.) (FARA} to ensure compliance with its requirements. Briefly stated, FARA provides that
anyone who acts within the United States under the direction or control of a foreign principal to influence official
decisions, official policies, or public opinion on behalf of a foreign principal must register with the Justice Department.
See generally22 U.S.C. §§ 61 I et seq.; U.S. Dep't ofJustice (DOJ), "FARA FAQs" (available on the DOJ website,
www.justice.gov/nsdwfara).
61
18 U.S.C. § 207U)(l)(A).
"Id.
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The former employee is an employee (not a private consultant or other
independent contractor) of a state or local government, or an agency or
instrumentality thereof, acting on its behalf; 63
The former employee is an employee of an accredited, degree-granting
institution of higher education and is acting on behalf of such institution; 64 or
The former employee is an employee of a charitable hospital or medical
research organization and is acting on behalf of such hospital or organization.65
✓ Represent or give aid or advice to international organizations of which the United
States is a member if the Secretary of State certifies in advance that such activities arc in
the interest of the United States. 66 Otherwise. covered employees must wait one year
before engaging in such activities.
✓ Make statements or communications as an employee of a candidate, authorized
campaign committee, national or state party, or political committee, if acting on
behalf of that committee or party. 67 However, if the former employee is employed by a
person or entity who represents, aids, or advises Q!ll):'. such persons or entities, the
communications would be prohibited.68
✓ Make statements based upon the "special knowledge" of the former employee
concerning the particular area that is the subject of the statement, if no compensation is
received in connection therewith.69
✓ Give testimony under oath, or make statements required to be made under penalty of
perjury. 70
63 Id (j)(2)(A).
64
Id.§ 207(j)(2)(B). The statute uses the definition of"institution of higher education" contained in§ 101
of the Higher Education Act of 1965 (20 U.S.C. §§ 1001 et seq.). As a general matter, the definition includes only
nonprofit, degree~granting educational institutions located in the United States or its territories. See 20 U.S,C.
§ JO0l(a)-(b).
65
18 U.S.C. § 207(j)(2)(B). For this exception to apply, the hospital or medical research organization must
be exempted under section 501(c)(3) of the Internal Revenue Code (26 U.S.C. § 501(c)(3)). Id
" Id. § 207(j)(3).
" Id § 207(j)(7)(A).
68
Id § 207(j)(7)(B)(ii)(ll).
6
'1 Id. § 207(j)(4). "Special knowledge" is not defined in the statute. The Federal Register, which provides
rules on the application of the statute to employees in the Executive Branch, states that a "fonner employee has
special knowledge concerning a subject area ifhe is familiar with the subject area as a result of education,
interaction with experts, or other unique or particularized experience." 5 C.F.R. § 264l.301(d)(1 ). In addition, in
the proposed rulemaking for this provision, the OGE emphasized that it regarded its interpretation of this exception
to be "relatively narrow." 5.)ee 73 Fed. Reg, 36183 (June 25, 2008). While these definitions are not binding on the
Ethics Committee, they provide guidance as to how the tenn should be interpreted,
10
18 u.s.c. § 207(i)(6).
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✓ Contact staff of the Clerk of the House regarding the individual's compliance with the
disclosure requirements under the Lobbying Disclosure Act. 71
✓ Make political contributions to, and sponsor or attend political fundraisers for,
current Members of Congress.provided !hat no appearances or communications are made
with the intent to influence, on behalf of any other person, the official actions or decisions
of current Members or staff. 72
✓ Interact socially with current Members of Congress and staff provided thal no
appearances or communications arc made with the intent to influence, on behalf of any
other person, the official actions or decisions of current Members or staff 73
Unless stated otherwise. each of the following examples assumes that the staffer is a
covered former employee because their compensation while on House payroll triggered the
substantive post-employment restrictions.
Example 1. Staff member A resigns from her position on Member B ·s personal
staff. She may not contact B or anyone on his staff for one year (except on behalf
of an exempt organization). but she may contact any other Member or staff member
on behalf of anyone other than a foreign entity. i.e., a foreign government or foreign
political party, as soon as she leaves the House payroll.
Example 2. Staff member C resigns from his position on the Ways and Means
Committee. He may not contact any current member or employee of Ways and
Means, or any Member who was on that committee during C's last year of
congressional service. on behalf of any non-exempt person or entity, for one year.
He may, however. contact any other Member or staff member on any issue. except
on behalf of a foreign entity. i.e., a foreign government or foreign political party.
Example 3. Staff member D, who is not a covered employee, resigns from her
position on Member E's staff to become a lobbyist. D may immediately lobby E
or any other Member for any client.
Example 4. Staff member F resigns from Member G's staff to accept a position
in an Executive Branch agency. F may contact G immediately on behalf of the
agency.
Example 5. Staff member H resigns from his congressional position to join the
staff of the Governor of his state. As a state employee, H may contact anyone in
Congress. including his former employing Member, on behalf of the state.
" Id § 207(e)(8).
70
See id § 207.
See id.
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Example 6. Staff member I resigns her congressional position and moves back to
her home state. I may contact state government officials on behalf of any clients.
Example 7. Staff member J resigns his position with Member Kand begins work
as a lobbyist at a lobbying finm. One of.rs clients is a state university. J may not
lobby Kon behalf of the university (or any other client) for one year following his
departure from the House. l lowever, ifJ were an employee of the university rather
than an outside retained lobbyist, contact with Kon behalf of the university would
be permitted.
Example 8. Staff member L resigns his congressional position to become a
lobbyist. For the first year after leaving the Hill, L lobbies only Executive Branch
personnel, and L has no foreign clients. L is complying with the law.
Example 9. During his final year of House employment. staff member M worked
for Member N from January to June 30, and for a committee from July I through
December 30. December 30 was /11's final day on the House payroll. M was paid
more than 75% of a Mcmber·s salary while in each position. M may not contact N
or the committee on behalf of any non-exempt person or entity for one year
following his tenmination from each employer. Thus, M would be barred from
contacting N until July I of the following year and current and fonmer members of
the committee and current committee staff until December 31 of the following year.
Example JO. Staff member M, from the previous example, was paid less than the
triggering rate in the Member's office, then she accepted a promotion to a committee
that did pay more than the triggering rate. Mwould not be restricted from contacting
the Member office once she ends her employment with the House.
Example 11. During his one-year --cooling-off' period, fonmer staff member 0
wishes to call his fonmer employing Member to request that she meet with
representatives of one of his clients to discuss legislation of interest to the client. 0
would not be present at the meeting. 0 would violate the statute by requesting the
meeting because the request would be a communication intended to influence
official action.
Example 12. During his first year after leaving House employment. P wishes to
contact a current employee of that committee to urge him to support federal funding
for a non-profit organization operated by a friend of P. The non-profit organization
is not a client of P, and P would receive no compensation for making the contact.
P would violate the statute by doing so because the statute bars such contacts
regardless of whether the fonmer employee would be compensated for them.
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Penalties
Each violation of the post-employment restrictions set forth in the statute is a felony
punishable by imprisonment up to one year (or up to five years for willful violations) and a fine of
up to $102,446 for each violation or the value of the compensation received for the act which
violated the restrictions, whichever is greater. 74 The statute further authorizes the Attorney
General to seek an injunction prohibiting a person from engaging in conduct that violates the act. 75
By its terms, 18 U.S.C. § 207 governs the conduct of former Members, officers and
employees, and does not apply to the conduct of current Members, officers and employees.
However, the post-employment restrictions have been the subject of close attention by DOJ, as
reflected in the guilty pleas by former !louse staff and others to criminal violations of the statute. 76
Therefore, current Members and staff who receive or otherwise participate in improper contacts
by a covered former employee should be aware that, depending on the circumstances, they may be
subject to criminal or House disciplinary action. The examples involving§ 207 violations indicate
that a Member who aids and abets a covered former employee in the violation may be prosecuted
for conspiracy to violate the post-employment restrictions. 77
Example 13. Staff membcr Q resigned as chief of staff for Member R last month
to become a registered federal lobbyist for a local non-profit organization. R is a
covered employee and subject to the post-employment ban for a year. Q asks
several of Ks current employees to support increased funding for the non-profit
and schedules a time for them to discuss the matter further. If R's employees accept
the meeting with Q, they could be considered aiding and abetting Q to violate her
post-employment restrictions. Furthermore, in an Ethics Committee disciplinary
case that was completed in the I 06th Congress, a Member admitted to engaging in
several forms of conduct that violated House rules requiring that each Member and
staff person "conduct himself at all times in a manner that shall reflect creditably
on the House.'' 78 One of those violations was his engaging in a pattern and practice
of knowingly allowing his former chief of staff to appear before and communicate
with him in his official capacity during the one-year period following her
"See 18 C.S.C. § 216; see also 28 C.F.R § 85.5 (2020).
"See 18 C.S.C. § 216(c).
76
See, e.g., United States v. Jack A. Abramoff. Docket No. 06-CR-001 (D.D.C) ("Abramqffaction").
Similarly, in September 2006, former Representative Robert W. Ney pleaded guilty to conspiracy to violate, among
other statutes, the post-employment restrictions for former covered employees ("Sey action''). Also note, in
September 2012, a former Senate staffer, Doug Hampton, was sentenced to one year probation for violating the
post-employment restriction ("Hampton action·').
77
See. e.g., Abramq[fand .Vey actions, note 71 above.
78
House Rule 23, cl. 1; see also House Comm. on Standards of Official Conduct, In the Matter of
Representative EG. "Bud" Shuster, H. Rep. l06-979, 106th Cong., 2d Sess. vol. I (July 19, 2002) ("Shuster
Report").
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resignation, "in a manner that created the appearance that his official decisions
might have been improperly affected." 79
FINANCIAL DISCLOSURE REQUIREMENTS
FOLLOWING DEPARTURE FROM HOUSE EMPLOYMENT
A departing staff member who was required to file a Financial Disclosure statement
because of the employee's rate of pay must file a final Financial Disclosure Statement, called a
Termination Report, within 30 days of leaving the House payrolI. 80 However, an employee in a
Member's office who has filed only because the employee was designated as a "Principal
Assistant'' does not have to file a Termination Report unless the individual was designated as
principal assistant to a Member leaving the House. 81 Extensions of up to 90 days are available
upon written request to the Committee when made prior to the original due date. 82 Please note that
the salary threshold for filing disclosure statements is higher than that which triggers the post-
employment restrictions discussed above. For 2020, "senior staff' for financial disclosure
purposes is anyone paid at annual salary rate of$ 13 l ,239 (or a monthly salary of$ l 0.936) for 60
days or more."
The Termination Report, filed on the same form as the annual report, covers all financial
activity through the filer's last day on the House payroll. 84 Schedule F ("Agreements") of the
report requires disclosure of any agreement entered into by the filer, oral or written, with respect
to future employmcnt. 85 Thus, if a senior staff employee accepts a future position while still on
the House payroll, the employee will have to disclose the agreement on the individual's
Termination Report. The date of the agreement, the future employer, the position or title and the
starting date must be disclosed, but the amount of the compensation need not be reported. 86 The
employee will also have to disclose, on Schedule H ("Travel Payments and Reimbursements'') of
79
House Comm. on Standards of Official Conduct, Summa,y ofActivities, One Hundred Sixth Congress,
H. Rep. l 06-1044, 106th Cong., 2d Sess. at 10, 13, 16 (2000); see also Shuster Report, supra note 73 above, vol. I;
See also, Senate Select Comm. on Ethics, Report of the Preliminary Inquiry into the Matter o,fSenator John E.
Ensign (May 10,201 l) available at
https://www .ethics.senate.gov/public/index.cfm/files/serve?File_id=676ADD 17-2C7F-40F7-A4D9-
B35526E4DA 97.
80 5 U.S.C. app. § I0l(e).
81
See Comm. on Ethics, 2019 Instruction Guide for Completing Financial Disclosure Statements and
Periodic Transaction Reports (2019 FD and PTR Instructions) at 5.
82
5 U.S.C. app. § I0l(g)(l); see also 2019 FD and PTR Instructions at 7.
" See 5 U.S.C. app. § 109(13)(B)(i). The 60 days do not have to be consecutive; being paid at the senior
staff rate for any two months of the calendar year triggers the requirement to file a Tennination Report
84 Id§ 101(e).
85
Id§ 102(a)(7).
86
See id; see also 2019 FD and PTR Instructions at 35.
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the report, any travel reimbursements exceeding $415 received from any source in connection with
job-search activity. 87
However, a departing employee who, prior to thirty days after leaving office, has accepted
another federal position requiring the filing of a public financial disclosure statement need not file
a Termination Report. 88 Any departing employee who is not required to file a Termination Report
for this reason must notify the Clerk in writing of that fact. 89
OUTSIDE EMPLOYMENT AND EARNED INCOME RESTRICTIONS
Departing staff remain subject to all House rules, including the gift rule and the limitations
on outside employment and earned income,9° as long as they remain on the House payroll. These
rules are particularly important to bear in mind when an employee's prospective employer suggests
that the individual begin work early, including, for example, while still drawing pay for accrued
annual leave. 91 In calendar year 2020, a senior staff employee may not receive outside earned
income (including, for example, a signing bonus) in excess of$28,845, and no earned income may
be received for: (]) providing professional services involving a fiduciary relationship, including
the practice of law, or any consulting or advising; (2) being employed by an entity that provides
such services; or (3) serving as a board member or officer of any organization. 92 Regardless of
whether compensation is received, a senior staff employee may not allow his or her name to be
used by an organization that provides fiduciary services. In addition, a senior staff employee may
not receive any honoraria (i.e., a payment for a speech, article, or appearance), 93 although he or
she may receive compensation for teaching, if the employee first secures specific prior permission
from this Committee.94
Example 14. Staff member S, who earns more than the qualifying senior staff rate
of$131,239, plans to join a law firm when he leaves his official position. Since
87
5 U.S.C. app. § 102(a)(2)(B).
" Id§ IOI(e).
89
See 2019 FD and PTR Instructions at 5. A form for this purpose is available on the Committee's
website, at https:/ /ethics.house.gov/sites/ethics.house.gov/files/FD_TenninationExemption. pdf.
90
House Rule 25, els. 1-5. The outside employment and earned income limitations are also codified at 5
U.S.C. app. §§ 501-502.
91
Staff members contemplating future employment with the U.S. Senate, the Architect of the Capitol or
any other department or agency of the U.S. government should bear in mind that federal law prohibits "dual
compensation" in excess of an annually-adjusted dollar limit for simultaneous employment by the House and any of
those entities. 5 U.S.C. § 5533(c)(l). For 2020, the limit is $38,061. Pursuant to the statute. a departing House
employee may not commence employment with any of the above~named governmental entities while receiving from
the House payments for accrued annual !eave if the employee's aggregated gross annual salaries from the two
positions would exceed the statutory limit. Id.
" House Rule 25. els. l-4; see also 5 U.S.C. app. §§ 501-502.
93
House Rule 23, cl. 5; House Rule 25, cl. l(a)(2).
94
House Rule 25, cl. 2(e).
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this is a firm providing professional services of a fiduciary nature, S may not
commence his new employment until he is off the congressional payroll.
ACCEPTANCE OF OFFICIALLY CONNECTED
TRAVEL FUNDED BY A PRIVATE SOURCE
After the adjournment sine die of Congress, it is questionable whether any employee of a
departing Member may participate in any privately-funded travel that is fact-finding in nature. The
gift rule requires that such travel be related to official duties, 95 but as of that time, the official
responsibilities that may justify participation in such a trip will practically have come to an end.
However, this consideration does not limit the ability of an employee of a departing Member to
accept travel from a private source for the purpose of enabling the individual to participate
substantially in an officially related event, such as to give a speech.
* * *
Any questions on these matters should be directed to the Committee's Office of Advice
and Education at (202) 225-7103.
"Id.,cl. 5(b)(l)(A).
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APP END IX III
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RULES
COMMITTEE ON ETHICS
Adopted February 27, 2019
116th Congress
U.S. HOUSE OF REPRESENTATIVES
WASHINGTON, D.C. 20515
i
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COMMITTEE ON ETHICS
U'-i!TED STATES HOUSE OF REPRESENTATIVES
ONE HUNDRED SIXTEENTH CONGRESS
THEODORE E. DEUTCH, Florida, Chairman
GRACE MENG. New York
SUSAN WILD. Pennsylvania
DEAN PHILLIPS, Minnesota
ANTHONY BROWN. Maryland
KENNY MARCHANT, Texas, Ranking Member
JOHN RATCLIFFE, Texas
GEORGE HOLDlNG, North Carolina
JACKIE WALORSKI. Indiana
MICHAEL GUEST, Mississippi
THOMAS A. RUST, S111{( Director and Chief Counsel
ii
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CONTENTS
RULES OF THE
COMMITTEE ON ETHICS
PART I-GENERAL COMMITTEE RULES .............................................................. 1
Rule I. General Provisions ................................................................................................ 1
Rule 2. Definitions ............................................................................................................. 2
Rule 3. Advisory Opinions and Waivers ........................................................................... 3
Rule 4. Financial Disclosure .............................................................................................. 6
Rule 5. Meetings .............................................................................................................. 10
Rule 6. Committee Staff .................................................................................................. 11
Rule 7. Confidentiality ..................................................................................................... 12
Rule 8. Subcommittees-General Policy and Structure .................................................. 14
Rule 9. Quorums and Member Disqualification .............................................................. 15
Rule 10. Vote Requirements ............................................................................................ 16
Rule 11. Committee Records ........................................................................................... 16
Rule 12. Broadcasts of Committee and Subcommittee Proceedings ............................... 17
PART II-INVESTIGATIVE AUTHORITY .............................................................. 17
Rule 13. House Resolution .............................................................................................. 17
Rule 14. Committee Authority to Investigate-General Policy ...................................... 18
Rule 15. Complaints ......................................................................................................... 19
Rule 16. Duties of Committee Chair and Ranking Minority Member ............................ 20
Rule 17. Processing of Complaints .................................................................................. 22
Rule 17A. Referrals from the Board of the Office of Congressional Ethics ................... 23
Rule 18. Committee-Initiated Inquiry or Investigation .................................................... 27
Rule 19. Investigative Subcommittee .............................................................................. 28
Rule 20. Amendments to Statements of Alleged Violation ............................................. 32
Rule 21. Committee Reporting Requirements ................................................................. 32
Rule 22. Respondent's Answer ......................................................................................... 34
Rule 23. Adjudicatory Hearings ....................................................................................... 36
Rule 24. Sanction Hearing and Consideration of Sanctions ............................................ 41
or Other Recommendations .............................................................................................. 41
Rule 25. Disclosure of Exculpatory Information to Respondent.. .................................... 43
Rule 26. Rights of Respondents and Witnesses ................................................................ 44
Rule 27. Frivolous Filings ................................................................................................. 48
Rule 28. Referrals to Federal or State Authorities ............................................................ 48
iii
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FOREWORD
The Committee on Ethics is unique in the House of Representatives. Consistent
with the duty to carry out its advisory and enforcement responsibilities in an impartial
manner. the Committee is the only standing committee of the House of Representatives the
membership of which is divided evenly by party. These rules are intended to provide a fair
procedural framework for the conduct of the Committee's activities and to help ensure that
the Committee serves well the people of the United States, the House of Representatives,
and the Members, officers, and employees of the House of Representatives.
PART I-GENERAL COMMITTEE RULES
Rule 1. General Provisions
(a) So far as applicable. these rules and the Rules of the House of Representatives
shall be the rules of the Committee and any subcommittee. The Committee adopts these
rules under the authority of clause 2(a)( l) of Rule XI of the Rules of the House of
Representatives. I 16th Congress.
(b) The rules of the Committee may be modified, amended, or repealed by a vote
of a majority of the Committee.
(c) When the interests of justice so require. the Committee, by a majority vote of
its members, may adopt any special procedures, not inconsistent with these rules, deemed
necessary to resolve a particular matter before it. Copies of such special procedures shall
be furnished to all parties in the matter.
(d) The Chair and Ranking Minority Member shall have access to such information
that they request as necessary to conduct Committee business.
1
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Rule 2. Definitions
(a) "'Committee" means the Committee on Ethics.
(b) ·'Complaint"" means a written allegation of improper conduct against a
Member, officer, or employee of the House of Representatives filed with the Committee
with the intent to initiate an inquiry.
(c) ·'Inquiry'" means an investigation by an investigative subcommittee into
allegations against a Member. officer, or employee of the House of Representatives.
(d) "Investigate,'' ·'Investigating,'' and/or ''Investigation" mean review of the
conduct of a Member. officer, or employee of the House of Representatives that is
conducted or authorized by the Committee. an investigative subcommittee, or the Chair
and Ranking Minority Member of the Committee.
(e) ''Board" means the Board of the Office of Congressional Ethics.
(f) ··Referral" means a report sent to the Committee from the Board pursuant to
House Rules and all applicable House Resolutions regarding the conduct of a House
Member, officer. or employee, including any accompanying findings or other supporting
documentation.
(g) "Investigative Subcommittee•· means a subcommittee designated pursuant to
Rule 19(a) to conduct an inquiry to determine if a Statement of Alleged Violation should
be issued.
(h) ·"Statement of Alleged Violation" means a formal charging document filed by
an investigative subcommittee with the Committee containing specific allegations against
a Member. officer, or employee of the House of Representatives of a violation of the Code
of Official Conduct, or of a law. rule, regulation, or other standard of conduct applicable
to the performance of official duties or the discharge of official responsibilities.
2
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(i) "Adjudicatory Subcommittee" means a subcommittee designated pursuant to
Rule 23(a) that holds an adjudicatory hearing and determines whether the counts in a
Statement of Alleged Violation are proved by clear and convincing evidence.
G) "Sanction Hearing" means a Committee hearing to determine what sanction, if
any, to adopt or to recommend to the House of Representatives.
(k) "Respondent" means a Member, officer, or employee of the House of
Representatives who is the subject of an investigation.
(I) "Office of Advice and Education" refers to the Office established by section
803(i) of the Ethics Reform Act of 1989. The Office handles inquiries; prepares written
opinions in response to specific requests; develops general guidance; and organizes
seminars, workshops, and briefings for the benefit of the House of Representatives.
(m) "Member" means a Representative in, or a Delegate to, or the Resident
Commissioner to, the U.S. House of Representatives.
Rule 3. Advisory Opinions and Waivers
(a) The Office of Advice and Education shall handle inquiries; prepare written
opinions providing specific advice, including reviews of requests for privately-sponsored
travel pursuant to the Committee's Travel Guidelines and Regulations; develop general
guidance; and organize seminars, workshops, and briefings for the benefit of the House of
Representatives.
(b) Any Member, officer, or employee of the House of Representatives may
request a written opinion with respect to the propriety of any current or proposed conduct
of such Member, officer, or employee.
(c) The Office of Advice and Education may provide information and guidance
regarding laws, rules, regulations, and other standards of conduct applicable to Members,
3
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officers, and employees m the performance of their duties or the discharge of their
responsibilities.
(d) In general, the Committee shall provide a written opinion to an individual only
in response to a written request, and the written opinion shall address the conduct only of
the inquiring individual, or of persons for whom the inquiring individual is responsible as
employing authority.
(e) A written request for an opinion shall be addressed to the Chair of the
Committee and shall include a complete and accurate statement of the relevant facts. A
request shall be signed by the requester or the requester's authorized representative or
employing authority. A representative shall disclose to the Committee the identity of the
principal on whose behalf advice is being sought.
(f) Requests for privately-sponsored travel shall be treated like any other request
for a written opinion for purposes of paragraphs (g) through (I).
(I) The Committee's Travel Guidelines and Regulations shall govern the
request submission and Committee approval process for privately-sponsored travel
consistent with House Rules.
(2) A request for privately-sponsored travel of a Member, officer, or employee
shall include a completed and signed Traveler Form that attaches the Private Sponsor
Certification Form and includes all information required by the Committee's Travel
Guidelines and Regulations. A private sponsor offering officially-connected travel to a
Member, officer, or employee must complete and sign a Private Sponsor Certification
Form, and provide a copy of that form to the invitee(s).
(3) Any individual who knowingly and willfully falsifies, or who knowingly
and willfully fails to file, any form required by the Committee's Travel Guidelines and
4
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Regulations may be subject to civil penalties and criminal sanctions pursuant to 18 U.S.C.
§ I 001.
(g) The Office of Advice and Education shall prepare for the Committee a
response to each written request for an opinion from a Member, officer, or employee. Each
response shall discuss all applicable laws, rules, regulations, or other standards.
(h) Where a request is unclear or incomplete, the Office of Advice and Education
may seek additional information from the requester.
(i) The Chair and Ranking Minority Member are authorized to take action on
behalf of the Committee on any proposed written opinion that they determine does not
require consideration by the Committee. If the Chair or Ranking Minority Member
requests a written opinion, or seeks a waiver, extension, or approval pursuant to Rules
3(m), 4(c), 4(e), or 4(h), the next ranking member of the requester's party is authorized to
act in lieu of the requester.
(j) The Committee shall keep confidential any request for advice from a Member,
officer, or employee, as well as any response thereto. Upon request of any Member, officer,
or employee who has submitted a written request for an opinion or submitted a request for
privately-sponsored travel, the Committee may release to the requesting individual a copy
of their own written request for advice or submitted travel forms, any subsequent written
communications between such individual and Committee staff regarding the request, and
any Committee advisory opinion or travel letter issued to that individual in response. The
Committee shall not release any internal Committee staff work product, communications,
or notes in response to such a request, except as authorized by the Committee.
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(k) The Committee may take no adverse action in regard to any conduct that has
been undertaken in reliance on a written opinion if the conduct conforms to the specific
facts addressed in the opinion.
(I) Information provided to the Committee by a Member, officer, or employee
seeking advice regarding prospective conduct may not be used as the basis for initiating an
investigation under clause 3(a)(2) or clause 3(b) of Rule XI of the Rules of the House of
Representatives, if such Member, officer, or employee acts in good faith in accordance
with the written advice of the Committee.
(m) A written request for a waiver of clause 5 of House Rule XXV (the House gift
rule), or for any other waiver or approval, shall be treated in all respects like any other
request for a written opinion.
(n) A written request for a waiver of clause 5 of House Rule XXV (the House gift
rule) shall specify the nature of the waiver being sought and the specific circumstances
justifying the waiver.
(o) An employee seeking a waiver of time limits applicable to travel paid for by a
private source shall include with the request evidence that the employing authority is aware
of the request. ln any other instance where proposed employee conduct may reflect on the
performance of official duties, the Committee may require that the requester submit
evidence that the employing authority knows of the conduct.
Rule 4. Financial Disclosure
(a) In matters relating to Title I of the Ethics in Government Act of 1978, the
Committee shall coordinate with the Clerk of the House of Representatives, Legislative
Resource Center, to assure that appropriate individuals are notified of their obligation to
file reports required to be filed under Title I of the Ethics in Government Act and that such
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individuals are provided in a timely fashion with filing instructions and forms developed
by the Committee.
(b) The Committee shall coordinate with the Legislative Resource Center to assure
that information that the Ethics in Government Act requires to be placed on the public
record is made public.
(c) Any reports required to be filed under Title I of the Ethics in Government Act
filed by Members of the Board of the Office of Congressional Ethics that are forwarded to
the Committee by the Clerk shall not be subject to paragraphs (d) through (q) of this Rule.
The Office of Congressional Ethics retains jurisdiction over review of the timeliness and
completeness of filings by Members of the Board as the Board's supervising ethics office.
(d) The Chair and Ranking Minority Member are authorized to grant on behalf of
the Committee requests for reasonable extensions of time for the filing of Financial
Disclosure Statements. Any such request must be received by the Committee no later than
the date on which the Statement in question is due. A request received after such date may
be granted by the Committee only in extraordinary circumstances. Such extensions for one
individual in a calendar year shall not exceed a total of 90 days per Statement, including
any amendment required by the Committee in accordance with clause (m). No extension
shal I be granted authorizing a nonincumbent candidate to file a statement later than 30 days
prior to a primary or general election in which the candidate is participating.
(e) An individual who takes legally sufficient action to withdraw as a candidate
before the date on which that individual's Financial Disclosure Statement is due under the
Ethics in Government Act shall not be required to file a Statement. An individual shall not
be excused from filing a Financial Disclosure Statement when withdrawal as a candidate
occurs after the date on which such Statement was due.
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(f) Any individual who files a report required to be filed under Title I of the Ethics
in Government Act more than 30 days after the later of-
( I) the date such report is required to be filed, or
(2) if a filing extension is granted to such individual, the last day of the filing
extension period, is required by such Act to pay a late filing fee of $200. The Chair and
Ranking Minority Member are authorized to approve requests that the fee be waived based
on extraordinary circumstances.
(g) Any late report that is submitted without a required filing fee shall be deemed
procedurally deficient and not properly filed.
(h) The Chair and Ranking Minority Member are authorized to approve requests
for waivers of the aggregation and reporting of gifts as provided by section 102(a)(2)(C)
of the Ethics in Government Act. If such a request is approved, both the incoming request
and the Committee response shall be forwarded to the Legislative Resource Center for
placement on the public record.
(i) The Chair and Ranking Minority Member are authorized to approve blind trusts
as qualifying under section I 02(f)(3) of the Ethics in Government Act. The
correspondence relating to formal approval of a blind trust, the trust document, the list of
assets transferred to the trust, and any other documents required by law to be made public,
shall be forwarded to the Legislative Resource Center for such purpose.
G) The Committee shall designate staff who shall review reports required to be
filed under Title I of the Ethics in Government Act and, based upon information contained
therein, indicate in a form and manner prescribed by the Committee whether the Statement
appears substantially accurate and complete and the filer appears to be in compliance with
applicable laws and rules.
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(k) Each report required to be filed under Title I of the Ethics in Government Act
shall be reviewed within 60 days after the date of filing.
(I) If the reviewing staff believes that additional information is required because
(I) the report required to be filed under Title I of the Ethics in Government Act appears not
substantially accurate or complete, or (2) the filer may not be in compliance with applicable
laws or rules, then the reporting individual shall be notified in writing of the additional
information believed to be required, or of the law or rule with which the reporting
individual does not appear to be in compliance. Such notice shall also state the time within
which a response is to be submitted. Any such notice shall remain confidential.
(m) Within the time specified, including any extension granted in accordance with
clause (d), a reporting individual who concurs with the Committee's notification that the
report required to be filed under Title I of the Ethics in Government Act is not complete,
or that other action is required, shall submit the necessary information or take appropriate
action. Any amendment may be in the form of a revised report required to be filed under
Title I of the Ethics in Government Act or an explanatory letter addressed to the Clerk of
the House of Representatives.
(n) Any amendment shall be placed on the public record in the same manner as
other reports required to be filed under Title I of the Ethics in Government Act. The
individual designated by the Committee to review the original report required to be filed
under Title I of the Ethics in Government Act shall review any amendment thereto.
(o) Within the time specified, including any extension granted in accordance with
clause (d), a reporting individual who does not agree with the Committee that the report
required to be filed under Title I of the Ethics in Government Act is deficient or that other
action is required, shall be provided an opportunity to respond orally or in writing. If the
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explanation is accepted, a copy of the response, if written, or a note summarizing an oral
response, shall be retained in Committee files with the original report.
(p) The Committee shall be the final arbiter of whether any report required to be
filed under Title I of the Ethics in Government Act requires clarification or amendment.
(q) If the Committee determines, by vote of a majority of its members, that there
is reason to believe that an individual has willfully failed to file a report required to be filed
under Title I of the Ethics in Government Act or has willfully falsified or willfully failed
to file information required to be reported, then the Committee shall refer the name of the
individual, together with the evidence supporting its finding, to the Attorney General
pursuant to section l 04(b) of the Ethics in Government Act. Such referral shall not
preclude the Committee from initiating such other action as may be authorized by other
provisions of law or the Rules of the House of Representatives.
Rule 5. Meetings
(a) The regular meeting day of the Committee shall be the second Tuesday of each
month, except when the House of Representatives is not meeting on that day. When the
Committee Chair determines that there is sufficient reason, meetings may be called on
additional days. A regularly scheduled meeting need not be held when the Chair
determines there is no business to be considered.
(b) The Chair shall establish the agenda for meetings of the Committee, and the
Ranking Minority Member may place additional items on the agenda.
(c) All meetings of the Committee or any subcommittee shall occur in executive
session unless the Committee or subcommittee, by an affirmative vote of a majority of its
members, opens the meeting to the public.
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(d) Any hearing held by an adjudicatory subcommittee, or any sanction hearing
held by the Committee, shall be open to the public unless the Committee or subcommittee,
by an affirmative vote of a majority of its members, closes the hearing to the public.
(e) A subcommittee shall meet at the discretion of its Chair.
(f) Insofar as practicable, notice for any Committee or subcommittee meeting shall
be provided at least seven days in advance of the meeting. The Chair of the Committee or
subcommittee may waive such time period for good cause.
Rule 6. Committee Staff
(a) The staff is to be assembled and retained as a professional, nonpartisan staff.
(b) Each member of the staff shall be professional and demonstrably qualified for
the position for which the individual is hired.
(c) The staff as a whole and each individual member of the staff shall perform all
official duties in a nonpartisan manner.
(d) No member of the staff shall engage in any partisan political activity directly
affecting any congressional or presidential election.
(e) No member of the staff or outside counsel may accept public speaking
engagements or write for publication on any subject that is in any way related to the
employment or duties with the Committee of such individual without specific prior
approval from the Chair and Ranking Minority Member.
(f) All staff members shall be appointed by an affirmative vote of a majority of the
members of the Committee. Such vote shall occur at the first meeting of the membership
of the Committee during each Congress and as necessary during the Congress.
(g) Subject to the approval of the Committee on House Administration, the
Committee may retain counsel not employed by the House of Representatives whenever
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the Committee determines, by an affirmative vote of a majority of the members of the
Committee, that the retention of outside counsel is necessary and appropriate.
(h) If the Committee determines that it is necessary to retain staff members for the
purpose of a particular investigation or other proceeding, then such staff shall be retained
only for the duration of that particular investigation or proceeding.
(i) Outside counsel may be dismissed prior to the end of a contract between the
Committee and such counsel only by a majority vote of the members of the Committee.
(i) In addition to any other staff provided for by law, rule, or other authority, with
respect to the Committee, the Chair and Ranking Minority Member each may appoint one
individual as a shared staff member from the respective personal staff of the Chair or
Ranking Minority Member to perform service for the Committee. Such shared staff may
assist the Chair or Ranking Minority Member on any subcommittee on which the Chair or
Ranking Minority Member serves. Only paragraphs (c) and (e) of this Rule and Rule 7(b)
shall apply to shared staff.
Rule 7. Confidentiality
(a) Before any Member or employee of the Committee, including members of an
investigative subcommittee selected under clause 5(a)(4) of Rule X of the House of
Representatives and shared staff designated pursuant to Committee Rule 6(i), may have
access to information that is confidential under the rules of the Committee, the following
oath (or affirmation) shall be executed in writing:
"I do solemnly swear (or affirm) that I will not disclose, to any person or entity
outside the Committee on Ethics, any information received in the course of my service with
the Committee, except as authorized by the Committee or in accordance with its rules."
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Copies of the executed oath shall be provided to the Clerk of the House as part of
the records of the House. Breaches of confidentiality shall be investigated by the
Committee and appropriate action shall be taken.
(b) No member of the staff or outside counsel may make public, unless approved
by an affirmative vote of a majority of the members of the Committee, any information,
document, or other material that is confidential, derived from executive session, or
classified and that is obtained during the course of employment with the Committee.
(c) Committee members and staff shall not disclose any evidence or information
relating to any investigation or proceeding of the Committee or a subcommittee to any
person or organization outside the Committee, unless authorized by the Committee.
(d) This rule shall not prohibit the Chair or Ranking Minority Member from
disclosing to the Board of the Office of Congressional Ethics the existence ofa Committee
investigation, the name of the Member, officer, or employee of the House who is the subject
of that investigation, and a brief statement of the scope of that investigation in a written
request for referral pursuant to Rule 17A(k). Such disclosures will only be made subject
to written confirmation from the Board that the information provided by the Chair or
Ranking Minority Member will be kept confidential by the Board.
(e) A Statement of Alleged Violation and any written response thereto shall be
made public at the first meeting or hearing on the matter that is open to the public after the
respondent has been given full opportunity to respond pursuant to Rule 22. Any other
materials in the possession of the Committee regarding such statement may be made public
as authorized by the Committee to the extent consistent with the Rules of the House of
Representatives. If no public hearing is held on the matter, the Statement of Alleged
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Violation and any written response thereto shall be included in the Committee's final report
on the matter to the House of Representatives.
(f) Unless otherwise determined by a vote of the Committee, only the Chair or
Ranking Minority Member of the Committee, after consultation with each other, may make
public statements regarding matters before the Committee or any subcommittee.
(g) The Committee may establish procedures necessary to prevent the unauthorized
disclosure of any testimony or other information received by the Committee or its staff.
Rule 8. Subcommittees-General Policy and Structure
(a) Notwithstanding any other provision of these Rules, the Chair and Ranking
Minority Member of the Committee may consult with an investigative subcommittee either
on their own initiative or on the initiative of the subcommittee, shall have access to
evidence and information before a subcommittee with whom they so consult, and shall not
thereby be precluded from serving as full, voting members of any adjudicatory
subcommittee. Except for the Chair and Ranking Minority Member of the Committee
pursuant to this paragraph, evidence in the possession of an investigative subcommittee
shall not be disclosed to other Committee members except by a vote of the subcommittee.
(b) The Committee may establish other noninvestigative and nonadjudicatory
subcommittees and may assign to them such functions as it may deem appropriate. The
membership of each subcommittee shall provide equal representation for the majority and
minority parties.
(c) The Chair may refer any bill, resolution, or other matter before the Committee
to an appropriate subcommittee for consideration. Any such bill, resolution, or other matter
may be discharged from the subcommittee to which it was referred by a majority vote of
the Committee.
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(d) Any member of the Committee may sit with any noninvestigative or
nonadjudicatory subcommittee, but only regular members of such subcommittee may vote
on any matter before that subcommittee.
Rule 9. Quorums and Member Disqualification
(a) The quorum for the Committee or an investigative subcommittee to take
testimony and to receive evidence shall be two members, unless otherwise authorized by
the House of Representatives.
(b) The quorum for an adjudicatory subcommittee to take testimony, receive
evidence, or conduct business shall consist of a majority plus one of the members of the
adjudicatory subcommittee.
(c) Except as stated in clauses (a) and (b) of this rule, a quorum for the purpose of
conducting business consists of a majority of the members of the Committee or
subcommittee.
(d) A member of the Committee shall be ineligible to participate in any Committee
or subcommittee proceeding in which such Member is a respondent.
(e) A member of the Committee may seek disqualification from participating in
any investigation of the conduct of a Member, officer, or employee of the House of
Representatives upon the submission in writing and under oath of an affidavit of
disqualification stating that the member cannot render an impartial and unbiased decision.
If the Committee approves and accepts such affidavit of disqualification, the Chair shall so
notify the Speaker and ask the Speaker to designate a Member of the House of
Representatives from the same political party as the disqualified memberofthe Committee
to act as a member of the Committee in any Committee proceeding relating to such
investigation.
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Rule JO. Vote Requirements
(a) The following actions shall be taken only upon an affinnative vote of a majority
of the members of the Committee or subcommittee, as appropriate:
(I) Issuing a subpoena.
(2) Adopting a full Committee motion to create an investigative subcommittee.
(3) Adopting or amending of a Statement of Alleged Violation.
(4) Finding that a count in a Statement of Alleged Violation has been proved by
clear and convincing evidence.
(5) Sending a letter of reproval.
(6) Adopting a recommendation to the House of Representatives that a sanction
be imposed.
(7) Adopting a report relating to the conduct of a Member, officer, or employee.
(8) Issuing an advisory opinion of general applicability establishing new policy.
(b) Except as stated in clause (a), action may be taken by the Committee or any
subcommittee thereof by a simple majority, a quorum being present.
(c) No motion made to take any of the actions enumerated in clause (a) of this Rule
may be entertained by the Chair unless a quorum of the Committee is present when such
motion is made.
Rule 11. Committee Records
(a) All communications and all pleadings pursuant to these rules shall be filed with
the Committee at the Committee's office or such other place as designated by the
Committee.
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(b) All records of the Committee which have been delivered to the Archivist of the
United States shall be made available to the public in accordance with Rule VII of the Rules
of the House of Representatives.
Rufe 12. Broadcasts of Committee and Subcommittee Proceedings
(a) Television or radio coverage of a Committee or subcommittee hearing or
meeting shall be without commercial sponsorship.
(b) Not more than four television cameras, operating from fixed positions, shall
be permitted in a hearing or meeting room. The Committee may allocate the positions of
permitted television cameras among the television media in consultation with the Executive
Committee of the Radio and Television Correspondents' Galleries.
(c) Television cameras shall be placed so as not to obstruct in any way the space
between any witness giving evidence or testimony and any member of the Committee, or
the visibility of that witness and that member to each other.
(d) Television cameras shall not be placed in positions that unnecessarily obstruct
the coverage of the hearing or meeting by the other media.
PART II-INVESTIGATIVE AUTHORITY
Rule 13. House Resolution
Whenever the House of Representatives, by resolution, authorizes or directs the
Committee to undertake an inquiry or investigation, the provisions of the resolution, in
conjunction with these Rules, shall govern. To the extent the provisions of the resolution
differ from these Rules, the resolution shall control.
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Rule 14. Committee Authority to Investigate-General Policy
(a) Pursuant to clause 3(b) of Rule XI of the Rules of the House of Representatives,
the Committee may exercise its investigative authority when:
(I) information offered as a complaint, in writing and under oath, by a Member
of the House of Representatives is transmitted directly to the Committee;
(2) information offered as a complaint, in writing and under oath, by an
individual not a Member of the House is transmitted to the Committee, provided that a
Member of the House certifies in writing that such Member believes the information is
submitted in good faith and warrants the review and consideration of the Committee;
(3) the Committee, on its own initiative, undertakes an investigation;
(4) a Member, officer, or employee is indicted or otherwise formally charged
with criminal conduct or is convicted of a felony in a Federal, State, or local court;
(5) the House of Representatives, by resolution, authorizes or directs the
Committee to undertake an inquiry or investigation; or
(6) a referral from the Board is transmitted to the Committee.
(b) The Committee also has investigatory authority over:
( l) certain unauthorized disclosures of intelligence-related information, pursuant
to House Rule X, clauses 11 (g)(4) and (g)(5);
(2) reports received from the Office of the Inspector General pursuant to House
Rule II, clause 6(c)(5);
(3) determinations regarding appeals from fines imposed by the Sergeant-at-
Arms for the use of electronic devices in contravention of applicable House rules or
policies, pursuant to House Rule II, clause 3(g); and
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(4) infonnation received from the Office of Congressional Workplace Rights,
pursuant to the Congressional Accountability Act of 1995.
Rule 15. Complaints
(a) A complaint submitted to the Committee shall be in writing, dated, and properly
verified (a document will be considered properly verified where a notary executes it with
the language, "Signed and sworn to (or affirmed) before me on (date) by (the name of the
person)") setting forth in simple, concise, and direct statements-
(]) the name and legal address of the party filing the complaint (hereinafter
referred to as the "complainant");
(2) the name and position or title of the respondent(s);
(3) the nature of the alleged violation of the Code of Official Conduct or of other
law, rule, regulation, or other standard of conduct applicable to the perfonnance of duties
or discharge of responsibilities; and
(4) the facts alleged to give rise to the violation. The complaint shall not contain
innuendo, speculative assertions, or conclusory statements.
(b) Any documents in the possession of the complainant that relate to the
allegations may be submitted with the complaint.
(c) Information offered as a complaint by a Member of the House of
Representatives may be transmitted directly to the Committee.
(d) lnfonnation offered as a complaint by an individual not a Member of the House
may be transmitted to the Committee, provided that a Member of the House certifies in
writing that such Member believes the infonnation is submitted in good faith and warrants
the review and consideration of the Committee.
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(e) A complaint must be accompanied by a certification, which may be unsworn,
that the complainant has provided an exact copy of the filed complaint and all attachments
to the respondent( s).
(f) The Committee may defer action on a complaint against a Member, officer, or
employee of the House of Representatives when the complaint alleges conduct that the
Committee has reason to believe is being reviewed by appropriate law enforcement or
regulatory authorities, or when the Committee determines that it is appropriate for the
conduct alleged in the complaint to be reviewed initially by law enforcement or regulatory
authorities.
(g) A complaint may not be amended without leave of the Committee. Otherwise,
any new allegations of improper conduct must be submitted in a new complaint that
independently meets the procedural requirements of the Rules of the House of
Representatives and the Committee's Rules.
(h) The Committee shall not accept, and shall return to the complainant, any
complaint submitted within the 60 days before a Federal, State, or local election in which
the subject of the complaint is a candidate.
(i) The Committee shall not consider a complaint, nor shall any investigation be
undertaken by the Committee, of any alleged violation which occurred before the third
previous Congress unless the Committee determines that the alleged violation is directly
related to an alleged violation which occurred in a more recent Congress.
Rule 16. Duties of Committee Chair and Ranking Minority Member
(a) Whenever information offered as a complaint is submitted to the Committee,
the Chair and Ranking Minority Member shall have 14 calendar days or 5 legislative days,
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whichever occurs first, to determine whether the information meets the requirements of the
Committee's rules for what constitutes a complaint.
(b) Whenever the Chair and Ranking Minority Member jointly determine that
information submitted to the Committee meets the requirements of the Committee's rules
for what constitutes a complaint, they shall have 45 calendar days or 5 legislative days,
whichever is later, after the date that the Chair and Ranking Minority Member determine
that information filed meets the requirements of the Committee's rules for what constitutes
a complaint, unless the Committee by an affirmative vote of a majority of its members
votes otherwise, to
(1) recommend to the Committee that it dispose of the complaint, or any
portion thereof, in any manner that does not require action by the House, which may
include dismissal of the complaint or resolution of the complaint by a letter to the Member,
officer, or employee of the House against whom the complaint is made;
(2) establish an investigative subcommittee; or
(3) request that the Committee extend the applicable 45-calendar day period
when they determine more time is necessary in order to make a recommendation under
paragraph (1) or (2) of Rule 16(b).
(c) The Chair and Ranking Minority Member may jointly gather additional
information concerning alleged conduct which is the basis of a complaint or of information
offered as a complaint until they have established an investigative subcommittee or the
Chair or Ranking Minority Member has placed on the agenda the issue of whether to
establish an investigative subcommittee.
(d) If the Chair and Ranking Minority Member jointly determine that information
submitted to the Committee meets the requirements of the Committee rules for what
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constitutes a complaint, and the complaint is not disposed of within 45 calendar days or 5
legislative days, whichever is later, and no additional 45-day extension is made, then they
shall establish an investigative subcommittee and forward the complaint, or any portion
thereof, to that subcommittee for its consideration. If at any time during the time period
either the Chair or Ranking Minority Member places on the agenda the issue of whether to
establish an investigative subcommittee, then an investigative subcommittee may be
established only by an affirmative vote ofa majority of the members of the Committee.
(e) Whenever the Chair and Ranking Minority Member jointly determine that
information submitted to the Committee does not meet the requirements for what
constitutes a complaint set forth in the Committee rules, they may (1) return the information
to the complainant with a statement that it fails to meet the requirements for what
constitutes a complaint set forth in the Committee's rules; or (2) recommend to the
Committee that it authorize the establishment of an investigative subcommittee.
Rule 17. Processing of Complaints
(a) Ifa complaint is in compliance with House and Committee Rules, a copy of the
complaint and the Committee Rules shall be forwarded to the respondent(s) within 5 days
with notice that the complaint conforms to the applicable rules.
(b) A respondent may, within 30 days of the Committee's notification in clause (a),
provide to the Committee any information relevant to a complaint filed with the
Committee. The respondent may submit a written statement in response to the complaint.
Such a statement shall be signed by the respondent. If the statement is prepared by counsel
for the respondent, the respondent shall sign a representation that the respondent has
reviewed the response and agrees with the factual assertions contained therein.
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(c) The Committee staff may request information from a respondent or obtain
additional information relevant to the case from other sources prior to the establishment of
an investigative subcommittee only when so directed by the Chair and Ranking Minority
Member.
(d) The rcspondent(s) shall be notified in writing regarding the Chair and Ranking
Minority Member's determination under Rule 16(e) or the Committee's decision either to
dismiss the complaint or to create an investigative subcommittee.
Rule 17A. Referrals from the Board of the Office of Congressional Ethics
(a) The Committee has exclusive jurisdiction over the interpretation,
administration, and enforcement of the Code of Official Conduct pursuant to clause I (g)
of House Rule X. Receipt of referrals from the Board under this rule does not limit the
Committee's discretion to address referrals in any way through the appropriate procedures
authorized by Committee Rules. The Committee shall review the report and findings
transmitted by the Board without prejudice or presumptions as to the merit of the
allegations.
(b)(I) Whenever the Committee receives either (A) a referral containing a written
report and any findings and supporting documentation from the Board; or (B) a referral
from the Board pursuant to a request under Rule 17A(k), the Chair shall have 45 calendar
days or 5 legislative days after the date the referral is received, whichever is later, to make
public the report and findings of the Board unless the Chair and Ranking Minority Member
jointly decide, or the Committee votes, to withhold such information for not more than one
additional 45-day period.
(2) At least one calendar day before the Committee makes public any report and
findings of the Board, the Chair shall notify in writing the Board and the Member, officer,
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or employee who is the subject of the referral of the impending public release of these
documents. At the same time, the Chair shall transmit a copy of any public statement on
the Committee's disposition of the matter and any accompanying Committee report to the
individual who is the subject of the referral.
(3) All public statements and reports and findings of the Board that are required to
be made public under this Rule shall be posted on the Committee's website.
(c) If the OCE report and findings are withheld for an additional 45-day period
pursuant to paragraph (b )(I), the Chair shall-
( I) make a public statement on the day of such decision or vote that the matter
referred from the Board has been extended; and
(2) make public the written report and findings pursuant to paragraph (b) upon the
termination of such additional period.
(d) If the Board transmits a report with a recommendation to dismiss or noting a
matter as unresolved due to a tie vote, and the matter is extended for an additional period
as provided in paragraph (b), the Committee is not required to make a public statement that
the matter has been extended pursuant to paragraph (b)(l).
(e) If the Committee votes to dismiss a matter referred from the Board, the
Committee is not required to make public the written report and findings of the Board
pursuant to paragraph (c) unless the Committee's vote is inconsistent with the
recommendation of the Board. A vote by the Committee to dismiss a matter is not
considered inconsistent with a report from the Board that the matter is unresolved by the
Board due to a tie vote.
(f) Except as provided by paragraph (g):
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(I) If the Committee establishes an investigative subcommittee respecting any
matter referred by the Board, then the report and findings of the Board shall not be made
public until the conclusion of the investigative subcommittee process. The Committee
shall issue a public statement noting the establishment of an investigative subcommittee,
which shall include the name of the Member, officer, or employee who is the subject of the
inquiry, and shall set forth the alleged violation.
(2) If any such investigative subcommittee does not conclude its review within
one year after the Board's referral, then the Committee shall make public the report of the
Board no later than one year after the referral. If the investigative subcommittee does not
conclude its review before the end of the Congress in which the report of the Board is made
public, the Committee shall make public any findings of the Board on the last day of that
Congress.
(g) If the vote of the Committee is a tie or the Committee fails to act by the close
of any applicable period( s) under this rule, the report and the findings of the Board shall be
made public by the Committee, along with a public statement by the Chair explaining the
status of the matter.
(h)(l) If the Committee agrees to a request from an appropriate law enforcement
or regulatory authority to defer taking action on a matter referred by the Board under
paragraph (b)
(A) The Committee is not required to make public the written report and findings
of the. Board pursuant to paragraph (c), except that if the recommendation of the Board is
that the matter requires further review, the Committee shall make public the written report
of the Board but not the findings; and
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(B) The Committee shall make a public statement that it is deferring taking action
on the matter at the request of such law enforcement or regulatory authority within one day
(excluding weekends and public holidays) of the day that the Committee agrees to the
request.
(2) If the Committee has not acted on the matter within one year of the date the
public statement described in paragraph (h)(l)(B) is released, the Committee shall make a
public statement that it continues to defer taking action on the matter. The Committee shall
make a new statement upon the expiration of each succeeding one-year period during
which the Committee has not acted on the matter.
(i) The Committee shall not accept, and shall return to the Board, any referral from
the Board within 60 days before a Federal, State, or local election in which the subject of
the referral is a candidate.
G) The Committee may postpone any reporting requirement under this rule that
falls within that 60-day period until after the date of the election in which the subject of the
referral is a candidate. For purposes of calculating any applicable period under this Rule,
any days within the 60-day period before such an election and the date of the election shall
not be counted.
(k)(l) At any time after the Committee receives written notification from the Board
of the Office of Congressional Ethics that the Board is undertaking a review of alleged
conduct of any Member, officer, or employee of the House at a time when the Committee
is investigating, or has completed an investigation of the same matter, the Committee may
so notify the Board in writing and request that the Board cease its review and refer the
matter to the Committee for its consideration immediately. The Committee shall also
notify the Board in writing if the Committee has not reached a final resolution of the matter
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or has not referred the matter to the appropriate Federal or State authorities by the end of
any applicable time period specified in Rule 17A (including any permissible extension).
(2) The Committee may not request a second referral of the matter from the Board
if the Committee has notified the Board that it is unable to resolve the matter previously
requested pursuant to this section. The Board may subsequently send a referral regarding
a matter previously requested and returned by the Committee after the conclusion of the
Board's review process.
Rule 18. Committee-Initiated Inquiry or Investigation
(a) Notwithstanding the absence of a filed complaint, the Committee may consider
any information in its possession indicating that a Member, officer, or employee may have
committed a violation of the Code of Official Conduct or any law, rule, regulation, or other
standard of conduct applicable to the conduct of such Member, officer, or employee in the
performance of the duties or the discharge of the responsibilities of such individual. The
Chair and Ranking Minority Member may jointly gather additional information concerning
such an alleged violation by a Member, officer, or employee unless and until an
investigative subcommittee has been established. The Chair and Ranking Minority
Member may also jointly take appropriate action consistent with Committee Rules to
reso Ive the matter.
(b) If the Committee votes to establish an investigative subcommittee, the
Committee shall proceed in accordance with Rule 19.
(c) Any written request by a Member, officer, or employee of the House of
Representatives that the Committee conduct an investigation into such person's own
conduct shall be considered in accordance with subsection (a) of this Rule.
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(d) An investigation shall not be undertaken regarding any alleged violation that
occurred before the third previous Congress unless a majority of the Committee determines
that the alleged violation is directly related to an alleged violation that occurred in a more
recent Congress.
(e)(l) An inquiry shall be undertaken by an investigative subcommittee with
regard to any felony conviction of a Member, officer, or employee of the House of
Representatives in a Federal, State, or local court who has been sentenced.
Notwithstanding this provision, the Chair and Ranking Minority Member have the
discretion to gather information pursuant to subsection (a) of this Rule, and the Committee
has the discretion to initiate an inquiry upon an affirmative vote of a majority of the
members of the Committee, at any time prior to conviction or sentencing.
(2) Not later than 30 days after a Member of the House is indicted or otherwise
formally charged with criminal conduct in any Federal, State, or local court, the Committee
shall either initiate an inquiry upon a majority vote of the members of the Committee or
submit a report to the House describing its reasons for not initiating an inquiry and
describing the actions, if any, that the Committee has taken in response to the allegations.
(3) In addition to any other evidence which the Committee or investigative
subcommittee may consider, the Committee or investigative subcommittee may take into
evidence any information related to the subject of an investigation contained in trial
transcripts and all exhibits admitted into evidence at trial.
Rule 19. Investigative Subcommittee
(a)(I) Upon the establishment of an investigative subcommittee, the Chair and
Ranking Minority Member of the Committee shall designate four members (with equal
representation from the majority and minority parties) to serve as an investigative
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subcommittee to undertake an inquiry. Members of the Committee and Members of the
House selected pursuant to clause 5(a)(4)(A) of Rule X of the House of Representatives
are eligible for appointment to an investigative subcommittee, as determined by the Chair
and Ranking Minority Member of the Committee. At the time of appointment, the Chair
shall designate one member of the subcommittee to serve as the Chair and the Ranking
Minority Member shall designate one member of the subcommittee to serve as the ranking
minority member of the investigative subcommittee. The Chair and Ranking Minority
Member of the Committee may serve as members of an investigative subcommittee, but
may not serve as non-voting, ex-officio members.
(2) A respondent shall be notified of the membership of the investigative
subcommittee and shall have IO days after such notice is transmitted to object to the
participation of any subcommittee member. Such objection shall be in writing and must
be on the grounds that the subcommittee member cannot render an impartial and unbiased
decision. The members of the Committee shall engage in a collegial discussion regarding
such objection. The subcommittee member against whom the objection is made shall be
the sole judge of any disqualification and may choose to seek disqualification from
participating in the inquiry pursuant to Rule 9(e).
(b) In an inquiry undertaken by an investigative subcommittee-
(!) All proceedings, including the taking of testimony, shall be conducted in
executive session and all evidence or testimony produced pursuant to subpoena or
otherwise shall be deemed to have been taken or produced in executive session.
(2) The investigative subcommittee, through any of its members or the staff,
shall ask the respondent(s) and all witnesses whether they intend to be represented by
counsel. If so, the respondent or witnesses or their legal representatives shall provide
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written designation of counsel. A respondent or witness who is represented by counsel
shall not be questioned in the absence of counsel unless an explicit waiver is obtained.
(3) The subcommittee shall provide the respondent(s) an opportunity to present,
orally or in writing, a statement, which must be under oath or affirmation, regarding the
allegations and any other relevant questions arising out of the inquiry.
(4) The staff may interview witnesses, examine documents and other evidence,
and request that submitted statements be under oath or affirmation and that documents be
certified as to their authenticity and accuracy.
(5) The subcommittee, by a majority vote of its members, may require, by
subpoena or otherwise, the attendance and testimony of witnesses and the production of
such books, records, correspondence, memoranda, papers, documents, and other items as
it deems necessary to the conduct of the inquiry. Unless the Committee otherwise provides,
the subpoena power shall rest in the Chair and Ranking Minority Member of the Committee
and a subpoena shall be issued upon the request of the investigative subcommittee.
(6) Required testimony shall be given under oath or affirmation. The form of
the oath or affirmation shall be: ''Do you solemnly swear (or affirm) that the testimony you
will give before this subcommittee in the matter now under consideration will be the truth,
the whole truth, and nothing but the truth (so help you God)?" The oath or affirmation
shall be administered by the Chair or any individual designated by the Chair to administer
oaths.
(c) During the inquiry, the procedure respecting the admissibility of evidence and
rulings shall be as follows:
(l) Any relevant evidence shall be admissible unless the evidence is privileged
under the precedents of the House of Representatives.
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(2) The Chair of the subcommittee or other presiding member at any
investigative subcommittee proceeding shall rule upon any question of admissibility or
relevance of evidence, motion, procedure, or any other matter, and may direct any witness
to answer any question under penalty of contempt. A witness, witness counsel, or a
member of the subcommittee may appeal any rulings to the members present at that
proceeding. A majority vote of the members present at such proceeding on such appeal
shall govern the question of admissibility, and no appeal shall lie to the Committee.
(3) Whenever a person is determined by a majority vote to be in contempt of the
subcommittee, the matter may be referred to the Committee to determine whether to refer
the matter to the House of Representatives for consideration.
(4) Committee counsel may, subject to subcommittee approval, enter into
stipulations with a respondent and/or the respondent's counsel as to facts that are not in
dispute.
(d) Upon an affirmative vote of a majority of the subcommittee members, and an
affirmative vote of a majority of the full Committee, an investigative subcommittee may
expand the scope of its inquiry.
(e) Upon completion of the inquiry, the staff shall draft for the investigative
subcommittee a report that shall contain a comprehensive summary of the information
received regarding the alleged violations.
(f) Upon completion of the inquiry, an investigative subcommittee, by a majority
vote of its members, may adopt a Statement of Alleged Violation if it determines that there
is substantial reason to believe that a violation of the Code of Official Conduct, or of a law,
rule, regulation, or other standard of conduct applicable to the performance of official
duties or the discharge of official responsibilities by a Member, officer, or employee of the
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House of Representatives has occurred. If more than one violation is alleged, such
Statement shall be divided into separate counts. Each count shall relate to a separate
violation, shall contain a plain and concise statement of the alleged facts of such violation,
and shall include a reference to the provision of the Code of Official Conduct or law. rule.
regulation, or other applicable standard of conduct governing the performance of duties or
discharge ofresponsibilities alleged to have been violated. A copy of such Statement shall
be transmitted to the respondent and the respondent's counsel.
(g) If the investigative subcommittee does not adopt a Statement of Alleged
Violation, it shall transmit to the Committee a report containing a summary of the
information received in the inquiry, its conclusions and reasons therefore, and any
appropriate recommendation.
(h) An investigative subcommittee may transmit a single report regarding multiple
respondents, but shall adopt a separate Statement of Alleged Violation for each respondent
where applicable.
Rule 20. Amendments to Statements of Alleged Violation
(a) An investigative subcommittee may, upon an affirmative vote of a majority of
its members, amend its Statement of Alleged Violation anytime before the Statement of
Alleged Violation is transmitted to the Committee; and
(b) If an investigative subcommittee amends its Statement of Alleged Violation, the
respondent shall be notified in writing and shall have 30 calendar days from the date of that
notification to file an answer to the amended Statement of Alleged Violation.
Rule 21. Committee Reporting Requirements
(a) Whenever an investigative subcommittee does not adopt a Statement of Alleged
Violation and transmits a report to that effect to the Committee, the Committee may by an
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affinnative vote of a majority of its members transmit such report to the House of
Representatives;
(b) Whenever an investigative subcommittee adopts a Statement of Alleged
Violation but recommends that no further action be taken, it shall transmit a report to the
Committee regarding the Statement of Alleged Violation; and
(c) Whenever an investigative subcommittee adopts a Statement of Alleged
Violation, the respondent admits to the violations set forth in such Statement, the
respondent waives the right to an adjudicatory hearing, and the respondent's waiver is
approved by the Committee-
(!) the subcommittee shall prepare a report for transmittal to the Committee, a
final draft of which shall be provided to the respondent not less than 15 calendar days
before the subcommittee votes on whether to adopt the report;
(2) the respondent may submit views in writing regarding the final draft to the
subcommittee within 7 calendar days of receipt of that draft;
(3) the subcommittee shall transmit a report to the Committee regarding the
Statement of Alleged Violation together with any views submitted by the respondent
pursuant to subparagraph (2), and the Committee shall make the report, together with the
respondent's views, available to the public before the commencement of any sanction
hearing; and
(4) the Committee shall by an affinnative vote of a majority of its members
issue a report and transmit such report to the House of Representatives, together with the
respondent's views previously submitted pursuant to subparagraph (2) and any additional
views respondent may submit for attachment to the final report; and
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(d) Members of the Committee shall have not less than 72 hours to review any
report transmitted to the Committee by an investigative subcommittee before both the
commencement of a sanction hearing and the Committee vote on whether to adopt the
report.
Rule 22. Respondent's Answer
(a)(l) Within 30 days from the date of transmittal of a Statement of Alleged
Violation, the respondent shall file with the investigative subcommittee an answer, in
writing and under oath, signed by respondent and respondent's counsel. Failure to file an
answer within the time prescribed shall be considered by the Committee as a denial of each
count.
(2) The answer shall contain an admission to or denial of each count set forth in
the Statement of Alleged Violation and may include negative, affirmative, or alternative
defenses and any supporting evidence or other relevant information.
(b) The respondent may file a Motion for a Bill of Particulars within IO days of the
date of transmittal of the Statement of Alleged Violation. If a Motion for a Bill of
Particulars is filed, the respondent shall not be required to file an answer until 20 days after
the subcommittee has replied to such motion.
(c)(I) The respondent may file a Motion to Dismiss within 10 days of the date of
transmittal of the Statement of Alleged Violation or, if a Motion for a Bill of Particulars
has been filed, within IO days of the date of the subcommittee's reply to the Motion for a
Bill of Particulars. If a Motion to Dismiss is filed, the respondent shall not be required to
file an answer until 20 days after the subcommittee has replied to the Motion to Dismiss,
unless the respondent previously filed a Motion for a Bill of Particulars, in which case the
respondent shall not be required to file an answer until 10 days after the subcommittee has
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replied to the Motion to Dismiss. The investigative subcommittee shall rule upon any
motion to dismiss filed during the period between the establishment of the subcommittee
and the subcommittee's transmittal of a report or Statement of Alleged Violation to the
Committee or to the Chair and Ranking Minority Member at the conclusion of an inquiry,
and no appeal of the subcommittee's ruling shall lie to the Committee.
(2) A Motion to Dismiss may be made on the grounds that the Statement of
Alleged Violation fails to state facts that constitute a violation of the Code of Official
Conduct or other applicable law, rule, regulation, or standard of conduct, or on the grounds
that the Committee lacks jurisdiction to consider the allegations contained in the Statement.
(d) Any motion filed with the subcommittee pursuant to this rule shall be
accompanied by a Memorandum of Points and Authorities.
(e)(l) The Chair of the investigative subcommittee, for good cause shown, may
permit the respondent to file an answer or motion after the day prescribed above.
(2) If the ability of the respondent to present an adequate defense is not adversely
affected and special circumstances so require, the Chair of the investigative subcommittee
may direct the respondent to file an answer or motion prior to the day prescribed above.
(f) If the day on which any answer, motion, reply, or other pleading must be filed
falls on a Saturday, Sunday, or public holiday, such filing shall be made on the first
business day thereafter.
(g) As soon as practicable after an answer has been filed or the time for such filing
has expired, the Statement of Alleged Violation and any answer, motion, reply, or other
pleading connected therewith shall be transmitted by the Chair of the investigative
subcommittee to the Chair and Ranking Minority Member of the Committee.
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Rule 23. Adjudicatory Hearings
(a) If a Statement of Alleged Violation is transmitted to the Chair and Ranking
Minority Member pursuant to Rule 22, and no waiver pursuant to Rule 26(b) has occurred,
the Chair shall designate the members of the Committee who did not serve on the
investigative subcommittee to serve on an adjudicatory subcommittee. The Chair and
Ranking Minority Member of the Committee shall be the Chair and Ranking Minority
Member of the adjudicatory subcommittee unless they served on the investigative
subcommittee. The respondent shall be notified of the designation of the adjudicatory
subcommittee and shall have l O days after such notice is transmitted to object to the
participation of any subcommittee member. Such objection shall be in writing and shall
be on the grounds that the member cannot render an impartial and unbiased decision. The
members of the Committee shall engage in a collegial discussion regarding such objection.
The member against whom the objection is made shall be the sole judge of any
disqualification and may choose to seek disqualification from serving on the subcommittee
pursuant to Rule 9(e).
(b) A majority of the adjudicatory subcommittee membership plus one must be
present at all times for the conduct of any business pursuant to this rule.
(c) The adjudicatory subcommittee shall hold a hearing to determine whether any
counts in the Statement of Alleged Violation have been proved by clear and convincing
evidence and shall make findings of fact, except where such violations have been admitted
by respondent.
(d) The subcommittee may require, by subpoena or otherwise, the attendance and
testimony of such witnesses and production of such books, records, correspondence,
memoranda, papers, documents, and other items as it deems necessary. A subpoena for
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documents may specify terms of return other than at a meeting or hearing of the
subcommittee. Depositions, interrogatories, and sworn statements taken under any
investigative subcommittee direction may be accepted into the hearing record.
(e) The procedures set forth in clause 2(g)(l)-(4), (6)-(7) and (k) of Rule XI of the
Rules of the House of Representatives shall apply to adjudicatory hearings. All such
hearings shall be open to the public unless the adjudicatory subcommittee, pursuant to such
clause, determines that the hearings or any part thereof should be closed.
(f)(l) The adjudicatory subcommittee shall, in writing, notify the respondent that
the respondent and respondent's counsel have the right to inspect, review, copy, or
photograph books, papers, documents, photographs, or other tangible objects that
committee counsel intends to use as evidence against the respondent in an adjudicatory
hearing. The respondent shall be given access to such evidence, and shall be provided the
names of witnesses committee counsel intends to call, and a summary of their expected
testimony, no less than 15 calendar days prior to any such hearing. Except in extraordinary
circumstances, no evidence may be introduced or witness called in an adjudicatory hearing
unless the respondent has been afforded a prior opportunity to review such evidence or has
been provided the name ofthc witness.
(2) After a witness has testified on direct examination at an adjudicatory hearing,
the Committee, at the request of the respondent, shall make available to the respondent any
statement of the witness in the possession of the Committee which relates to the subject
matter as to which the witness has testified.
(3) Any other testimony, statement, or documentary evidence in the possession
of the Committee which is material to the respondent's defense shall, upon request, be
made available to the respondent.
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(g) No less than 5 days prior to the hearing, the respondent or counsel shall provide
the adjudicatory subcommittee with the names of witnesses expected to be called,
summaries of their expected testimony, and copies of any documents or other evidence
proposed to be introduced.
(h) The respondent or counsel may apply to the subcommittee for the issuance of
subpoenas for the appearance of witnesses or the production of evidence. The application
shall be granted upon a showing by the respondent that the proposed testimony or evidence
is relevant and not otherwise available to respondent. The application may be denied if not
made at a reasonable time or if the testimony or evidence would be merely cumulative.
(i) No later than two weeks or 5 legislative days after the Chair of the Committee
designates members to serve on an adjudicatory subcommittee, whichever is later, the
Chair of the adjudicatory subcommittee shall establish a schedule and procedure for the
hearing and for prehearing matters. The procedures may be changed either by the Chair of
the adjudicatory subcommittee or a by a majority vote of the members of the subcommittee.
If the Chair makes prehearing rulings upon any question of admissibility or relevance of
evidence, motion, procedure, or any other matter, the Chair shall make available those
rulings to all subcommittee members at the time of the ruling.
G) The procedures regarding the admissibility of evidence and rulings shall be as
follows:
(I) Any relevant evidence shall be admissible unless the evidence is privileged
under the precedents of the House of Representatives.
(2) The Chair of the subcommittee or other presiding member at an adjudicatory
subcommittee hearing shall rule upon any question of admissibility or relevance of
evidence, motion, procedure, or any other matter, and may direct any witness to answer
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any question under penalty of contempt. A witness, witness counsel, or a member of the
subcommittee may appeal any ruling to the members present at that proceeding. A majority
vote of the members present at such proceeding on such an appeal shall govern the question
of admissibility and no appeal shall lie to the Committee.
(3) Whenever a witness is deemed by a Chair or other presiding member to be
in contempt of the subcommittee, the matter may be referred to the Committee to determine
whether to refer the matter to the House of Representatives for consideration.
(4) Committee counsel may, subject to subcommittee approval, enter into
stipulations with the respondent and/or the respondent's counsel as to facts that are not in
dispute.
(k) Unless otherwise provided, the order of an adjudicatory hearing shall be as
follows:
(I) The Chair and Ranking Minority Member of the subcommittee shall open
the hearing with equal time and during which time, the Chair shall state the adjudicatory
subcommittee's authority to conduct the hearing and the purpose of the hearing.
(2) The Chair shall then recognize Committee counsel and the respondent's
counsel, in turn, for the purpose of giving opening statements.
(3) Testimony from witnesses and other relevant evidence shall be received in
the following order whenever possible:
(i) witnesses (deposition transcripts and affidavits obtained during the inquiry
may be used in lieu of live witnesses) and other evidence offered by Committee counsel,
(ii) witnesses and other evidence offered by the respondent,
(iii) rebuttal witnesses, as permitted by the Chair.
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(4) Witnesses at a hearing shall be examined first by counsel calling such
witness. The opposing counsel may then cross-examine the witness. Redirect examination
and recross examination by counsel may be permitted at the Chair's discretion.
Subcommittee members may then question witnesses. Unless otherwise directed by the
Chair, questions by Subcommittee members shall be conducted under the five-minute rule.
(5) The Chair shall then recognize Committee counsel and respondent's counsel,
in turn, for the purpose of giving closing arguments. Committee counsel may reserve time
for rebuttal argument, as permitted by the Chair.
(I) A subpoena to a witness to appear at a hearing shall be served sufficiently in
advance of that witness' scheduled appearance to allow the witness a reasonable period of
time, as determined by the Chair of the adjudicatory subcommittee, to prepare for the
hearing and to employ counsel.
(m) Each witness appearing before the subcommittee shall be furnished a printed
or electronic copy of the Committee rules, the relevant provisions of the Rules of the House
of Representatives applicable to the rights of witnesses, and a copy of the Statement of
Alleged Violation.
(n) Testimony of all witnesses shall be taken under oath or affirmation. The form
of the oath or affirmation shall be: "Do you solemnly swear (or affirm) that the testimony
you will give before this subcommittee in the matter now under consideration will be the
truth, the whole truth, and nothing but the truth (so help you God)?" The oath or
affirmation shall be administered by the Chair or Committee member designated by the
Chair to administer oaths.
(o) At an adjudicatory hearing, the burden ofproofrests on Committee counsel to
establish the facts alleged in the Statement of Alleged Violation by clear and convincing
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evidence. However, Committee counsel need not present any evidence regarding any
count that is admitted by the respondent or any fact stipulated. Committee counsel or
respondent's counsel may move the adjudicatory subcommittee to make a finding that there
is no material fact at issue. If the adjudicatory subcommittee finds that there is no material
fact at issue, the burden of proof will be deemed satisfied.
(p) As soon as practicable after all testimony and evidence have been presented,
the subcommittee shall consider each count contained in the Statement of Alleged
Violation and shall determine by a majority vote of its members whether each count has
been proved. Ifa majority of the subcommittee does not vote that a count has been proved,
a motion to reconsider that vote may be made only by a member who voted that the count
was not proved. A count that is not proved shall be considered as dismissed by the
subcommittee.
(q) The findings of the adjudicatory subcommittee shall be reported to the
Committee.
Rule 24. Sanction Hearing and Consideration of Sanctions
or Other Recommendations
(a) lfno count in a Statement of Alleged Violation is proved, the Committee shall
prepare a report to the House of Representatives, based upon the report of the adjudicatory
subcommittee.
(b) If an adjudicatory subcommittee completes an adjudicatory hearing pursuant to
Rule 23 and reports that any count of the Statement of Alleged Violation has been proved,
a hearing before the Committee shall be held to receive oral and/or written submissions by
counsel for the Committee and counsel for the respondent as to the sanction the Committee
should recommend to the House of Representatives with respect to such violations.
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Testimony by witnesses shall not be heard except by written request and vote of a majority
of the Committee.
(c) Upon completion of any proceeding held pursuant to clause (b), the Committee
shall consider and vote on a motion to recommend to the House of Representatives that the
House take disciplinary action. If a majority of the Committee does not vote in favor of
the recommendation that the House of Representatives take action, a motion to reconsider
that vote may be made only by a member who voted against the recommendation. The
Committee may also, by majority vote, adopt a motion to issue a Letter of Reproval or take
other appropriate Committee action.
(d) If the Committee determines a Letter of Reproval constitutes sufficient action,
the Committee shall include any such letter as a part of its report to the House of
Representatives.
(e) With respect to any proved counts against a Member of the House of
Representatives, the Committee may recommend to the House one or more of the following
sanctions:
(I) Expulsion from the House of Representatives.
(2) Censure.
(3) Reprimand.
(4) Fine.
(5) Denial or limitation of any right, power, privilege, or immunity of the
Member if under the Constitution the House of Representatives may impose such denial or
limitation.
(6) Any other sanction determined by the Committee to be appropriate.
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(f) With respect to any proved counts against an officer or employee of the House
of Representatives, the Committee may recommend to the House one or more of the
following sanctions:
(1) Dismissal from employment.
(2) Reprimand.
(3) Fine.
(4) Any other sanction determined by the Committee to be appropriate.
(g) With respect to the sanctions that the Committee may recommend, reprimand
is appropriate for serious violations, censure is appropriate for more serious violations, and
expulsion of a Member or dismissal of an officer or employee is appropriate for the most
serious violations. A recommendation of a fine is appropriate in a case in which it is likely
that the violation was committed to secure a personal financial benefit; and a
recommendation of a denial or limitation of a right, power, privilege, or immunity of a
Member is appropriate when the violation bears upon the exercise or holding of such right,
power, privilege, or immunity. This clause sets forth general guidelines and does not limit
the authority of the Committee to recommend other sanctions.
(h) The Committee report shall contain an appropriate statement of the evidence
supporting the Committee's findings and a statement of the Committee's reasons for the
recommended sanction.
Rule 25. Disclosure ofExculpatory Information to Respondent
If the Committee, or any investigative or adjudicatory subcommittee at any time
receives any exculpatory information respecting a Complaint or Statement of Alleged
Violation concerning a respondent, it shall make such information known and available to
the respondent as soon as practicable, but in no event later than the transmittal of evidence
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supporting a proposed Statement of Alleged Violation pursuant to Rule 26(c). If an
investigative subcommittee does not adopt a Statement of Alleged Violation. it shall
identify any exculpatory information in its possession at the conclusion of its inquiry and
shall include such information, if any, in the subcommittee's final report to the Committee
regarding its inquiry. For purposes of this rule, exculpatory evidence shall be any evidence
or information that is substantially favorable to the respondent with respect to the
allegations or charges before an investigative or adjudicatory subcommittee.
Rule 26. Rights of Respondents and Witnesses
(a) A respondent shall be informed of the right to be represented by counsel, to be
provided at the respondent's own expense.
(b) A respondent may seek to waive any procedural rights or steps in the
disciplinary process. A request for waiver must be in writing, signed by the respondent,
and must detail what procedural steps the respondent seeks to waive. Any such request
shall be subject to the acceptance of the Committee or subcommittee, as appropriate.
(c) Not less than IO calendar days before a scheduled vote by an investigative
subcommittee on a Statement of Alleged Violation, the subcommittee shall provide the
respondent with a copy of the Statement of Alleged Violation it intends to adopt together
with all evidence it intends to use to prove those charges which it intends to adopt,
including documentary evidence, witness testimony, memoranda of witness interviews,
and physical evidence, unless the subcommittee by an affirmative vote of a majority of its
members decides to withhold certain evidence in order to protect a witness, but if such
evidence is withheld, the subcommittee shall inform the respondent that evidence is being
withheld and of the count to which such evidence relates.
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(d) Neither the respondent nor respondent's counsel shall, directly or indirectly,
contact the subcommittee or any member thereof during the period of time set forth in
paragraph (c) except for the sole purpose of settlement discussions where counsels for the
respondent and the subcommittee are present.
(e) If, at any time after the issuance of a Statement of Alleged Violation, the
Committee or any subcommittee thereof determines that it intends to use evidence not
provided to a respondent under paragraph (c) to prove the charges contained in the
Statement of Alleged Violation (or any amendment thereof), such evidence shall be made
immediately available to the respondent, and it may be used in any further proceeding
under the Committee's rules.
(f) Evidence provided pursuant to paragraph (c) or (e) shall be made available to
the respondent and respondent's counsel only after each agrees, in writing, that no
document, information, or other materials obtained pursuant to that paragraph shall be
made public until-
(!) such time as a Statement of Alleged Violation is made public by the
Committee if the respondent has waived the adjudicatory hearing; or
(2) the commencement of an adjudicatory hearing if the respondent has not
waived an adjudicatory hearing; but the failure of respondent and respondent's counsel to
so agree in writing, and therefore not receive the evidence, shall not preclude the issuance
of a Statement of Alleged Violation at the end of the period referenced to in (c ).
(g) If the Committee issues a report with respect to a claim referred to the
Committee by the Office of Congressional Workplace Rights pursuant to Section 416( e)
of the Congressional Accountability Act of 1995, the Committee shall ensure that the report
does not directly disclose the identity or position of the individual who filed the claim.
45
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(h) A respondent shall receive written notice whenever-
( l) the Chair and Ranking Minority Member determine that information the
Committee has received constitutes a complaint;
(2) a complaint or allegation is transmitted to an investigative subcommittee;
(3) that subcommittee votes to authorize its first subpoena or to take testimony
under oath, whichever occurs first;
(4) the Committee votes to expand the scope of the inquiry of an investigative
subcommittee; and
(5) the Committee or an investigative subcommittee determines to take into
evidence the trial transcript or exhibits admitted into evidence at a criminal trial pursuant
to Rule l8(e)(3).
(i) Whenever an investigative subcommittee adopts a Statement of Alleged
Violation and a respondent enters into an agreement with that subcommittee to settle an
investigation, in whole or in part, on which the Statement is based, that agreement, unless
the respondent requests otherwise, shall be in writing and signed by the respondent and the
respondent's counsel, the Chair and Ranking Minority Member of the subcommittee, and
outside counsel, if any.
(i) Statements or information derived solely from a respondent or respondent's
counsel during any settlement discussions between the Committee or a subcommittee
thereof and the respondent shall not be included in any report of the subcommittee or the
Committee or otherwise publicly disclosed without the consent of the respondent.
(k) Whenever a motion to establish an investigative subcommittee does not prevail,
the Committee shall promptly send a letter to the respondent( s) informing the respondent(s)
of such vote.
46
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(I) Witnesses shall be afforded a reasonable period of time, as determined by the
Committee or subcommittee, to prepare for an appearance before an investigative
subcommittee or for an adjudicatory hearing and to obtain counsel.
(m) Prior to their testimony, witnesses shall be furnished a printed or electronic
copy of the Committee's Rules and the provisions of the Rules of the House of
Representatives applicable to the rights of witnesses.
(n) Witnesses may be accompanied by their own counsel for the purpose of
advising them concerning their constitutional rights. The Chair may punish breaches of
order and decorum, and of professional responsibility on the part of counsel, by censure
and exclusion from the hearings; and the Committee may cite the offender to the House of
Representatives for contempt.
(o) Each witness subpoenaed to provide testimony or other evidence shall be
provided the same per diem rate as established, authorized, and regulated by the Committee
on House Administration for Members, officers, and employees of the House, and, as the
Chair considers appropriate, actual expenses of travel to or from the place of examination.
No compensation shall be authorized for attorney's fees or for a witness' lost earnings.
Such per diem may not be paid ifa witness had been summoned at the place of examination.
(p) With the approval of the Committee, a witness, upon request, may be
provided with a transcript of the witness' own deposition or other testimony taken in
executive session, or, with the approval of the Chair and Ranking Minority Member, may
be permitted to examine such transcript in the office of the Committee. Any such request
shall be in writing and shall include a statement that the witness, and counsel, agree to
47
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246
maintain the confidentiality of all executive session proceedings covered by such
transcript.
Rule 27. Frivolous Filings
If a complaint or information offered as a complaint is deemed frivolous by an
affirmative vote of a majority of the members of the Committee, the Committee may take
such action as it, by an affirmative vote of a majority deems appropriate in the
circumstances.
Rule 28. Referrals to Federal or State Authorities
Referrals made under clause 3(a)(3) of Rule XI of the Rules of the !louse of
Representatives may be made by an affirmative vote of two-thirds of the members of the
Committee.
48
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APPENDIX IV
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on
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U'd Ill 111 (ONl,RL,,
CO\l\ilTTI l ON
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ON ETHICS
tHl
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CO\!MITTIT ON ETHICS
ST
1H)1
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252
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253
Honorable John W No other public comment will be made on this matter except
ac,:ordm1ce with Committee rules,
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254
1h,:,,tkic:: I lk1;!clL 1·11111<1.1
( 'il,l/l'J•i,111
D1·,,11 1'hil11n~. \li\PK'~<'l.•
fl.,,,,1,,\J.11,t,nJ
~.$. ~ousc of l\epnsentattbes
0)~111\11 lffE ON LTll!CS
~'OR RELEASE: Cpon Receipt September 5, 2019
STATEMENT OF THE CHATRMAi'> AND RANKING l\tE-:1,IUER
OF THE COMMITTEE ON ETlllCS REGARDING
REPIU'.SENTATIVE DAVID SCHWEIKERT
Pursuant to Committee Ruk 7(g), the Chairman and Rrmking ~iemher of the Conunittcc
on Ethic;; (Committee) determined to release the folto\,-ing statenwnt:
On Septtmber 5, 2018, the Cornmittcc rertivcd a refrrrai from the Office of Congressinnai
Ethics (OCE) regarding RcprescntatiY~ DaYid Schweikert The matter referred by OCE is
curn.mtly \\'ithin the jurisdiction 0f an InvestigatiYc Subcommitttc ([SC).
Pursuant to !Iousc Ruk XL clause 1(h)(81(H)(iii) and Cnmrni1lee Rule l 7A(f)(2), ifan !SC
doe~ not coni:iudt:': its revit::\V \\ ithin \Jnc yi:ar atkr receiving a rdCrral from OCF, the Commiltct~
shnil make public OCL's report no later than one yt.::ar after th~ rcforraL 1\ccordingly, the
Cnmmittee is making public OCE s Report in the matter referred to the Committee 0n Scptcn1bcr
5, .0 019
ThB Conuniucc 11mcs that the mere foct or a continued invcstigRti0n into these alle~atlfms
docs not itself indicate that any violation has occurred. N0 other public comment \:Vill be made on
this matter except in accordance ,vith Committee rules.
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255
( '\J\1\i!T IH: (I'\ l IIIICS
FOR RELEASE: l pon Rcaipt SeptcmbH .JO, 2019
STATEME'.'iT OF TIIE CIIAIRMA', AND RANKING ME~IBER
OF THE CO'HMITTEE O!\ ETIIICS RFGARDll'iG
REl'RESE'iTATIVE BILI. Bl IZl•'.:\GA
Pursuant to House Ride XL clnu;-;-c 3{h)t8){r\). and CommiHce RH!cs l7A(h)(l)\r\),
17 Alc)( 1), the Chairman and Ranking :\kmber of the Cornmitte~ 1,_!n Ethics hJ\ c jointly decided
to extend the mat1er regarding Rt'prcsentativ..: Brn l hiizcnga. \\ hich was transmittcci i:n the
Commiltcc by th(' Office of Congressionni FthiL"s on Aog.~1sl l 6. 201 C).
rh~ Cornn11Hce note5 that thL'. mere [11ct of a r,'fo~rral nr an t\:tcnsion, nnd the mandatory
disclosure of s1;ch an extension and tht name of the subject oC the matu:r. dl)es not itsdf in<lica1~
that any violation has oi,.::currcd, {.,tf reflect any judgmt!nt on behalf of 1hc Comrnittcc.
rhc Commit1cc \Vill arn~our.c(~ i1s. course of action in this matter nn or before Thursday.
,'.'\;1)Yt.'mber ~4. 2019.
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256
lOWvUT1Tl LIHI( S
on
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257
m.~. ~ouse of l\eprrscntattues
FOR RELEASE: t:pon Rcceipi Scpicmber 30, 201'1
STA TFMENT OF TllE CHAIRMAN AND IUNKDIG ME'.\1BER
OF rm: COM:VIITTEE ON ETHICS REGARDIN(;
REPRFSF:\T,\TIVE RASll!l)A TLAIB
Pursuant tv House Rule XL c!uusc :i(b){8)(A)_ and CommiHtt! Ruks 17,\(h)t ! )\A).
17A\c)(l ), the Chairman and rtankiug !vkrnbt'r or the Commit1i;.~c on Ethics have jointly ciccidt'd
iO 1~xtend lhe mutter regarding Reprcsemafrve Rashida Tla[b. which \\'JS transmitted to the
Corn.J~1ittce :Jy tht Offic.:t: of Congressional Ethics on /\ugttst 16, :o 19_
Thi: (\1mrnittec notes that the mer~ fal.~t 0C a rcfrrra! or an cxten'.':ion, and the :nancl:J.tory
disdo:::urc of such an (,.'Xlt.:nsion and the nanic of the subject of the matter, Joes not itsdf indicatt'.
1hat an;' \'iolation has occurn.'1.L or reflect any judg.rnent on behalf of the Cornrnittcc.
r~1c Cormr:.ittee wii! announce its crn~rse of <Kliem in this n,a11er t'n or bd(Jre Thursday.
\owrnbcr 14. :'.l)l'i.
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258
ON lllCS
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259
No othc-r pubUc statcmenl will be made on this n1a1ter except in accordance with
Committee rules.
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260
IL~. J!)ottse of ileprcsentatturs
( O\i~llTTEE O;\ ET! llCS
FOR REI.EASE: llpou Receipt October 23, 2019
STATEl\'IENT OF THE CHAIRMAN AND RANKING :\,I EMBER
OF THE COMMITTEE ON ETIIICS REGARDING
HJ<:PRESENTA TIVE KATIE HILL
Pursuant to Comrnittct: Rule 7(g). the Chairman and Rankin~ !\kn1ibcr of the C'ommltlct' on
Ethics {Committee) determined tn rdcas-:.,; the follov,-ing statcmt~nt:
The Comn~ittcc is m,vare c f public allegations that Representative Katie Hill may ha\'c
1
cngap,cd in a Sl'Xual re!a~ionshiµ with an indi\'idual ou her congressional staff, in Yiolation of House
Ruk XXHL clause 18\a). The Conuriittcc, pnrsuant to Committee Rule I 8(a), has begun an
inn:stigation and will g8ther additional information rc:garding 1hc allegations.
The Committee notes that the mere fact that it is in\'cstigating these alkgations, and
publicly disclo,ing its rcYicw. docs nol itself indicate that any violation has occu1-rcd, or reflect
;my judg1ncnt on behalf of the Committee. No other puhlic cornment \:Vill be made on this matter
except in accordanc.\."; with Committee rules.
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il.~. J!,lonsc of i\cprrsrntatil.11'1)
CO\·f~lil'fl:l O'\ Llll!CS
FOR RF.LEASE: llpon Receipt October 24, 2019
STATEI\-IE'.\T OF THE CHAllnlA:"I AND RANKING MEMBER
OF THE CO:\IMITTEE ON ETHICS REGARDING
DELEGATE .\tlCHAEL F. Q. SAN NICOLAS
Pursrnul! to Committee Ruic 7(g), the Chairman and Ranking tv!embcroftll-: Committee c1n
Ethics (Comrnitk:e) dde-nnim.·d to release the: fo!lo\\'ing statement:
rhc Committee is av.,:are of public allegations that Delegate ~dichael F. Q< Sun Nicolas mny
hoxe cngagt:!d in a sexual rdationship \\ith nn individual on his congressional staff, converted
cnmp,·1ign fonds tu personal use. and/or accepted improper or excessive campaig.n contributions,
rhe Comn1ittec. pursuant to Cummittc-e Rule 18(a), has begun an invt::stigation and ,,·ill gather
additional inforrnation regarding the allegation~.
The Cornmittcc nvteSc that the mere fact that it is iun:stiguting these allegations, and
public!): disclosing its r(;vicw, does not itsdf inJkalc thm any violation bas oct'Urred. or reflect
any judginent on behalf of the Conunittee. No other publi-c comment i.\·ill be rnadc on this mutter
execpt in accordance ,vith Cornmittee rules,
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262
COM\ll II 01\ I.TH!CS
or before
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263
('()\1\llll[iO:lrnm~
FOR RELEASE: lipon Receipt Nonmbcr 14. 2019
STATE.',,IENT OF THE CHAIRMAN ANH RANKING MEMBER
OF THE COMMITTEE ON ETIIICS REG,\RDING
REPRESENTATIVE ALCF:E HASTINGS
Pursuant to Cl~nm1ittee Rule 7. the Chairnum and Ranking :vtcmher ot'1he Comrnlttee on
Ethk::; ~ Con.1:T!ittee) de:terrnin~d to release the fiJllrrv•,;lng statement:
The Cornmlttcc is a1,.n1n:.: of public allegations urising uut of Represt:ntati\·e r\kcc
Hastings· personal rcbtionship with an individual cu;.p!o;eJ in his tongressional office, Or! May
10.2019. the Cornmiticc, pursuant to Committee- Rule 18(a), began an inYcstigation regarding the
alkgatlons. T'he Committee is :;pi..·cirical!; considi:ring whether Rcprcsenta1iv..: Hastings·
relationship with !he indiYi1.hmi employed in his congressional offi.ci: is in dolotion of House Ruk
XXlIL clause 18(a). and \Yhcthcr Rcpr.:scntu:ive Hastings has n.::ccived :.my impwpcr gins.
including any fc•rbcarance, frorn th::n employee. The Committci;; umtinu-.~s to gather additional
informntlnn r-2g:1rding the allcg.:nions.
The Committct' notes that the mere fact that it is im·cshgating these allegations, Rnd
puhlicly disclosing its review, docs no! itself inUicate that any Yio!aiinn has occurred. or reflect
any judgment -on behalf of the Cnmmi1te-e. No other public cornmC'nt ,~,ill be made i)n this matter
e\:ccpt in uccorduncc 'Sith Comm!ltec rules.
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(0\1\tlTTFF 0~ l rlllCS
FOR RELF.ASE: Upon Receipt November l~, 2019
STATF.!\IENT OF THE C'IL\IRMAN AND RANKING :WEMBER
OF THE COMMITTF.F. ON ETHICS REGARDI!',G
REPRESF.;>,TATIVF. ROSS SPANO
Pursuant to Committt'c Rule 7. the Chairm~:n and Ranking :!\"lcmbcr of the Con11nit1t:c on
Ethics (Cnrnrn\Hce) dctcnnined on !\<)\·ember 14. 2019. to release th1,; follo\'ving statement:
On August J6. 2019, the Committee rt:ceivcd a rcfCrral from the Otficc of Congressional
Ethics {OCE) regarding Rcprcsi.:ntatlv;;: Ross Spartt), Pursuant to House Rutc XL clause 3(b)(&)U\)
and C01:1mittce Ruks 17A(b)( l )(A) and l 7A(c)(1) the Chairm:m 1md Ranking ~v1ernbcr jointly
di:ci<l\.·J on September 30. 2.{)19, to extend the Committee's review of the nrnttc-r,
The Department of Justice has asked the Committee to dt~frr consideration of this matter
and Hie Cornmiticc, follm1r·ing prcccd(':nt, un2u11mously voted ro defer c,rnsideratkin of this matter
at this time. Pursuant to Cummittec Rule 17A(h)(l), the Committee is making OCE·s Repon in
this matter public Under that rule. whtn the Committee votes to dcfCr in thi:.-;. manner, it rnust
rckJ.c;:c the Report hut nm the Findings, along with a public statement annmmcing its 1.kfcrrnl. At
least annual1y, the Conu111ttec will make a public statement if it continue::: to defer taking aetion
on the mtttrcr, The Committee notes that the merr fact or its declsi011 to dcfCr action on this matter,
and any mandatory disclosure of 1ha1 decision and OCE's Rtport. docs nc,t itself indicate that any
Yiulation has occurn::d.
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FOR REI.FASF: \:pon Receipt Nowmhcr 1-1, 2019
STATEMENT OF THE CIIAIR,1;\1' AND RANKING MF:MBE!l
OF THE C'Ol\f:IIITTEE ON ETHIC'S REGARDING
RFPRESFNTA TIVF, RASIIIDA TLAIB
Pursuant 10 C\m1rnittce Rn1e 7. rhc Chairman and Ranking J-.'f,.:;rnbcr of the Com,nitkc nn
Ethic'.:; t Committee) dewrmined on Novernber 14, 20 ! tJ, 10 release the follo\vin~ s!alcmcnt:
On Augusl 1t\ 2019. the Committ~,;:- on Fthit:s rect.•iYed a referral il:"om the Olfo:c of
Cnngres;-;ional Ethics (OCF) regarding Repn.:ss.;nfativc Rashida Tlaih. Pursmmt to Htntsc Ruk XL
claus~· :;(h)(8)V\ ). and C,)rnmittcc lhi!cs i 7A(b)(] )(:\) and 17/\(c)(l). the Chairman and Ranking
Member of the Committee on Ethics jointly decided on September 30: 2019, to extend the
Committee· s n::YI\;~., of\bt: matu:r. In order to gather addition.ii inlbrmation nr:.·ccssary to complete-
its revie'-v, the Committee will rcvicv; th!! 1m-:i.,tt~r purstiant to Cnmmittet Ruk l 8ta), The
Comrnittec notes that the mere fact nf conducting further re-view r~f ~ rcf('rrol and any mand:.1t0ry
disclosure cf such funhcr n.:Yii:w, does not itself indicate that any violation has occurred. or reflect
any judgment on behalf of the Crnnmittee,
In ord~~r t0 ~:(1mply with Cormni1Ll'C Rule 7 regarding confidentiality. ou\ of fairness to ail
respondents, and to assure the ir!tcgrity of its work. the Committee will rcf'n1in from making further
public !-.tat(;ment-s on this nmtter pending comp\e1ion of its initiu.! review.
Pursuant to Committee Rule 17A, th<..~ Committee hereby puhlishcs OCF's Repon and
Fii1dings relating to against Reprc:-.entut!\(' Tlaib. and Representative Tlaih's rcspnn:,e
to O(T';-; Report n!1d
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(0!\1~11TlTF o:-; I rIIICS
FOR RELFASF.: Upon Recdpt December 9, 2019
STATEMENT OF THE CHAIRM1\N A'.'.D RANKING :\IK\1DER OF THE
COi\1'IIrrn: ON ETHICS REGARDING REPRESENTATIVE IKNCAN HL:STER
Pursuant to Comrnittce Rule/. the Chairn1:rn and Ranking ?v1cmber oCth~ Committee on
Fthics (Cornmitt~d ddcrrnined U!I Dec(~mtx:r 9, 2019, to rd case the :·()ll0\1,:ing statcrnrnt regarding
the lmTs1igati,c Subo.1nrntlncc in the ~·fatter ri:'Reprcsentati\'c l)uw.:an 1-luntcL
in the l 15th Congress, on ~lard'!. .23. ::w17. the Com1ni11cc Jnnounc1.:d lhat it \Yi\S rcYicv,-ing
ailegJ.tiPns referred by the c'n«n',,1on, 0, Ethics (OCE) r1.~garding Reprcscnt.1tivc Dunum
Hunter. The Crnnmittci.: also that. following prectJcnL it had ,,oted unanimously to
defer it.:; n~\-icw at 1hc request of the Department 0f Justic(~ (DOJ). Accordingly, pursuant \\J
( 'ommitlt:e Ruh: l 7A(h)( 1_L the Committee made OCE's Rcpon but not its Finchngs puhlic at that
ti!ne. On !\'1arch 23. 20PL the Cn;rnnittce airnounccd that it \\:1s cnn1inuing: to dcfor i1s
consitkration oft}w math.'r at the rcqt;cst of the DOl
On 21.2018. Reprcscnl:ni\'C Hunter ,yas indicted on federal charµ:cs of (ons;1irncy,
ire fraud,
\1. campaign nuance recon..ls, prohibited use of t.'ontl'lhutions, and
false stakmcnts ()n S.;ptcmbcr 6 ..~O ! 8. the Committee voted to establish an
irn C\t1gati\'t: Subci..:-mmittc;? (iSC) into the alicp.ntions rnisl.;d in the indictment and rccnrnmended
the 1SC defer action on its rnv~stig_ation at the request of the DOJ. On f\,fay }_ 2010. the Committee
announced lhL" ISC hnd been r(>-8.uthorizcd for the 11 (Jth Congress. and that it C{mtinued to
recommend deferral at the r('qucst ot'tht: DOJ
On Decunber :-:.019. Htm1cr pleaded guilty 10 one cuunt (1f .:onspiring to
misust: !...'ampaign funds, !'be has 1:m,-.· \\ ithdrawn its rcqUt:.'.St that the (\,mmittee de for
.:1.m:-;iJcratkm of this maltt?L Pursuant to House Ruk XL c!Jusi:: ?1{b)(8)(B)(iii) and Cummittcc
Ruk 17 A(0(2). if an ISC docs not ctindude its n.'Yie,v l1t·fcn·C' the end o[tht Congress in ,:i,.·hich the
report of the Board is rnadt· public. the Comrnittec shall rnakc public ~my findings of the- BlHrrd cm
the last tfay or that Congrc~s, but the Committee is not r~quired iu make such a rdi.:asc \\"htn
deferring aClion at Lhe r-cquest of ;-1ppropriatc !av,/ enforcement. Because dcfi:~nal is no longer
rcque~t:.:d and the last day or
th\! Congress in \\hkh OCE's Rcpnrt was made pnhlic has passed,
the (\nntrdtti:e- is ma~i11g public OCE's Fit:dings in this maHeL
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FOR RELEASE: l'pon Rccdpt December 17, 2019
STATF:O.rn:,rr OF TIIF, CHAIR:IIAN AND R.\NKING MEMBER OF TITE
COM\HT fEE ON KflllCS REGARDING
REPRESENTATIVE LORI TRAHAN
Pursuant to Commit:c-c Kuk 7, the Clrninnan ;md Rank.int!.. l\,kmbcr of the ( 'om mi nee PH
1-:thic:"=: \Comrnittr.:e) dt.:tcrrn!ncdtm December 17. :?.UliJ. to relcas~ the !IJlltn\ing s.tak-mcnt:
On 18. 2{)19, the Cfirrnnlttcr.: recei\-ed 2 referral from the Offo.:<: of
Congressional (OCE) regarding t<t·nrc·,0111:un !.ori Trahan. Pursuant to lfousc Rule XL
clause 3\b){8)(A). and Cnmmitte~ Ruks l )V\) and I 7/\{c)( l ). the Chairman and Ranking
~vkmher jointly dt>ckkd or: ::--:o,·en;bcr 4. ~0 19, to cxtcnJ the Cnmmittce ·s 1\;v!\.'\.v uf the matter.
In ord::r to ga!ht!r additional lnformal1<1n necessary to compk:te its rcY1ev,-_ thr Committee v;iii
n.;Yicw the maW::r pursuant to Committee Rule 18\a,l. The Committeoe notes that the mere fact of
rn,,.l,,wtmc, further rcviev1· of~1 rckrraL and any rnandatory disd,-1surc of such further rcYiC\\'. doc-s
tha1 any vio!afam has occurred. or relkct t:.ny jndgmcnt Pn behalf (ii the
ln ord~r to comply ·with Cc1 mtnittcc Ruic 7 regarding confidentiality. cmt of fairness to ail
rtspondents, and to !J.SSlirc the in1~grity nfits ,i..·0rk, the Cornmittcc vdll refrain from making further
public staterncnts on this matter pending cmnpletion ufits initial revicvi.
Pursrnrnt to Com.mittc.·t• Ruic 17 ,·\, the Cnmmittee hereby pub ii shes OCE'-s Report and
hndings relating to allcgaiions against RcprcscntatiYc Trahan and Rcprc~cn1.ati\'l..~ Traht1n·s
submtssion to the Conm1i1t:::c_
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ll.$. j!Jomse of l\eprescntatibes
CO\l\llTTff O~ l·.THICS
.January 14, 2020
STATBtE:'IT RECAIUll'IG THE INVESTIGATIVE S11BCOl\li\llTTEE
IN THE \UTTER OF REPRESE'.\TATIVE !ff:\'(',\;\ Hl :'\ rER
Pursuant tn Cnrnmittcc- R11k the Ch~iirman and Ranking ~v1cmbt..'r or the C'ommi!tet.' nn
F1h!cs (Corrnnittcc) dctl'rn1irn~d on Jan1.Hry 1-.L 202\L to release the fnllowing statement rcg,1rding
ihL' 111\ c-:-:tifati, e Sub,.,onunith.'C in 1hc \-fatter of Ri:prcs..::ntatiY:: Dt111.::nn llunh'T:
1n th~: 115th Congress. t)n \tan.:h 2:3. :=:017_ the (\1mmiitct: on l:thics ((,'omm!nec)
mu1ntmi:.:t.::d thm it was rcYii:,Ying allegation~ rcit'rred by the Oftice ofCorigrcs;:.;frma! Fthics (OCF)
rcgardit:g Rcpr<St'Jltclli,·c Dun-::m l Iuntcr. !'ht! Con"!mittc,= ulsn 8.nno1c1ced thnt becaw~c the
Department ,h:sticc tDOJJ had asked tltc Committ1,;1,; to defer !ts i;onsldtrntiu11 of the nwli-:r. th1..·
Commilicc had :0li0\\·cd precedent and \\Jted uuanimously to dcfor its re, il'.'w m that time
;'\cco:-Jingly, pur::iliant to Committee Rule 17 A(hJl 11- the Committee made OCE'~,
it:-. Findings. at that time, On ~VL:tn:h 2J_ ::CH 8, the Cornmittec
its considrrati(m c\r the matter a1 the rcquc-sl of DOJ.
S\1hsequently. on :\ugust 21, 20 ! 8. Rcpn:scnLni,,c Hunter \Yas indicttd C"n l'cdcral ch~~rges
ur ,.:r1n~pin:11.:y, ,, ire fraud, falsifying campaign finance records, prohihih'd r.sc of campaign
Ct)nn·\hutlons. ,:mi frdsc statements. On Scptcinhcr {\ 2018. the Cornm.iHee un-.millh)Usly nitcd tu
<•~;111hli,1:!1 an ii1Ycstig:-ttiH' Snbc0n1miHc~~ to determine whether Rcpn.·~cntaliv1.,; l iuntcr violated tht
Cock {lf Official C0nduct or any bw. ruk, rc~ulatirn::.. or otlv..·r ;1rplicablc standard of c0nduct in
11c1fo1m1,1 1t:c of his duties or the discharge of his rcsponsibililies, \\ ilh respect w allegations
1
in un)awCnl c<.1n~piracy. fraud. fah;i !ication of campaign 1i.1:anct.: records. and
contributions. i\t that tin1c, DOJ had rcqucs1ed tlrnl thl' Committee
-.:ontinuc to dcC!.'r c,,.1'1,1cn,ll11m of'tli~ 1nn1ters in DOJ's jurisdktion. The Committee unanin1ousiy
rccnrnm~~nd-cd to the Im·('.s1iga1i\~ Suhcnmmi1kc th~1t it dder :·1crion as to thos~ matters.
On \·lay 1, 2019. in accordance wit~ llousc Rule XL clau:-;c J, ar~d Committee Rules
IO(nJ(2) ~1.nd and following Committee prcct'dcnt the CnmmiHcc rnmounced it haJ
unanimously to recstziblish the linestigati\'G Subcommittee in the 116th CN1gress. DOJ hod
requested tint the Com:1,ittcc continue to ddCr con::-;id;.;rntion of the mmtcrs in DOJ's jurisdi-.:tion,
The ( 'urnrnittci...~. f1)!IO\\ing prl..'ccdent, unm,inwusly n.'Cl)l'ntncnded 1P the Investigatin!
s~rbcom:11ittee thJt ddl'r action as to those matters,
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Representative Hunter pkd guilty to one count of conspiring to convert campaign funds to
personal use on December 3. 20 I 9. Following Rcpn:~entntiYc l luntcr's guilty pica, the Committee
reminded lkprescntati\'c l!mucr that pursuant to I-louse Ruic XX!ll. clause JO(a). he should
refrain from V)ting in the House. DOJ also ,vithdrew lts request for deferral aud the Committt:c
released OCE's Findings.
The !louse received Representative Hunter's notice of resignation on January 7. 2020.
cffCcti\'e at the dose of business on January 13. 2020. J\s a consequence, the Investigative
Subcommittee and the Committee no longer have jurisdiction OYtr hirn. The Committee considers
this matter closed,
No other pubiic statement wilt be made on this matter except in accordance with
Cummittec rules,
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CO'.vl~IITITI o;s; El II 1c,;
FOR RELEASE: Upon Receipt .lune 12, 2020
STATEMEl''iT OF THE CHAIRMAN A.'ID RANKl!I.G MEMBER
OF THE COMMITTEE ON ETHICS REGARDING
OE LEG An; MICHAEL f'.Q. SAN NICOLAS
Pursuant to Committee Ruic 7. the Chairman an<l Ranking tvkmbcr of the Committee on
Ethics (Committee) detcrmini:d tci release lhe following statement:
In accordance" ith I louse Ruic Xl, clause' 3. and Committee Rules I0(a)(2) and i 8. the
Committc..: unanimously \'nted on ~lan.:h l L 2020. to establish an Investigativ:..~ Suh<.:1..m1mit1:ee.
Pur~uant to the Committee's action. the Investigative Suhcommitti;c shall ha,,e jurisdicth.rn to
determine \l.hcthtr Deicgate \1ichacl F.Q. San Nicolas may have: engaged in a sexual rciationship
with an individual on his congrtssional staff; con\ertcd campaign ftn1ds to p~rsonol use: accept!d
improperan<l/orcxccssh.:e carnpuign contributions; reported campaign disbursements that may n,1t
be l~gitimate and verifiable campaign expenditures attrihut.nblc to bona fide carnpaign or pnliticul
purposes; omitted requir~d information from or disclosed false information in reports filed with
th-: Federal Electkm Commission: made false statements to government invcstigaturs or agencies:
nnd/or improperly interfcn:d or attcmpt~d to interfere in n government investigation of rdati.xf
allegations in viulation nf l--h.Jusc Ruks. luw. regulations. or other standords of (:onduC"L
!'he 1-lonorable Grace Meng" ii! serve as Chaimomanofthe lnvestigati\\, Subcommiucc.
311d the Honorable Jackie Walorski \\ill serve n, the Ranking Member. The other t\\o member,;
of the lnn:·stigativc Subcommittc-e an.~ the Jlonorahle Darren Soto and the Honorable Vicky
Hartzler.
The Committee has determined to take this action following receipt of a r()fe1Tal from d1e
Office of Congressional Lthit:s refiHdingthis matter. The Committte not1:s that the mere fact of
establishing an In\ estignti-•.-e Subcommittee does not itself indicatl.! that any violation has 1...1cctmtxi.
No other public comment will be made on this mattercxcept in uccordant~ with Committee
ruks.Pursuant to House Ruic XI. clause 3(b)(8)(Fl)(iii). and Committee Ruic l 7A(f}(l ). nc1
documents\\ ill be released at this time.
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C0~1\11Tr!F o,-: l'TlllCS
FOR RELEASE: l'pon Receipt Jmu, 12, 2020
STATEMENT OF THE CHAIRMAN AND RANKING MEMBER
OF TUE COMMITTEE ON ETHICS REGARl)JNG
REPRESENTATIVE ALCEE HASTINGS
Pursuant to C0nrn1ittei: Ruic 7. the Clntirman and Ranking Member of the Conunittc..:.:: on
Ethics (Committee) ,ktermincd to rckase the foll,iwing statement:
On May 14. ~0l'l. the Committee. pursuant to Committee Ruic IS(a). begun in,estigatinf!
ollegations arising out of Representative Alcee Hustings· personal relationship with an indi\ idual
employed in his congressional office. Specifically, th;: Committee investigated whether
Representative Hastings· rdationship with the employed individmil is in violation of Ifou~e Ruic
XXIII. clause 18\a). anJ whether Representative !lastings has received an, improper !!ifts,
including any forhc..~arance. from th~t employei:. On N<.wcmht~r 14, 2019. thL'. Cornrnittee
annnunccd it was U\\arc of public allegations arising out of Representative Hastings' rclatitmship.
and that it ,.\as investigating and gathering more information regarding those alkgutions.
During its review. the Committee became awurc that Reprcsentatiw Hastings has been
married to the individual employed in his congressional office sin4.'.c January 20 t 9, Accor<lingly.
Representative Hastings is m1t in violation of House Ruic XXIIL c!ouse 18(u), as its t~nns do not
apply to relationships bctv..ei..~n two people v,ho arc married to each other. nor is ht: in violation of
the Hnuse Git\ Rule. which permits Members to accept gifts from relatil'es. I 1<,wever. the
Comniittec: l.'ontinucJ to rc~·kv..- Representative Hastings:" conduct prior to his marriage. The
Committee also considered" hcthcr Representative I lastings had ,·omplied "ith the laws and rules
n::lating to nepotism.
Following its rcvie,,.,, the Committee determined to take no further action in this mat1J..'.L
The Com111ittee·s determination ,..,-as based on the particular facts of the matter. including the fact
that Rcpre~entativc 11astings' spouse's cmp1oyment began prior to the I 13th Coug:ress and is
therefore, not prohihi1ed under clause 8(() of House Rule XXIII. The Committee rnnsidcrs this
matter clost!d.
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:ll!L/
It.~. ~oust of l\cpresentatities
coiI\11 rIEE ()~, LTHICS
FOR RELEASE: lTpo11 Receipt ,June 16,2020
STATEMENT OF THE CHAIRMAN Al\"D RANKING MK'\iBER
OF THE COMMITTEE ON ETHlCS REGARDING
REPRESENTATIVE SANFORD D. BISHOP, JR.
Pursuant((, llous~ Ruk XL clause 3(b)(8)(A). and Cornmiltce Rules 17/\(b)(ll(A).
17/\(c)( l ). and l 7Alj). the Chairman and Ranking Member of the CommitKe on Lthics ha1c
jointly decided to cxh::nd lhi: ,natter regarding Rcprc~cntative Sanford Bishop. \\hkh i.vus
transrnittcd to the Committee by the Office of Congressional Fthico:. on February 10. 2020.
The C0m111ittee notes that the mere fact of a ref'erral or an extension. and the mandatory
disclosure of such an extension and the name of the subject of the matter, does not itself indkat!
that any violation has occurred. or reflect any judgment on hchalfofthe Committee.
###
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<'illil i
O'.',L lll'NDRf D>J:\ Tl t:'l nl CO"<(il\lS,
11.&. J;lousr of Jlepnsrntatibcs
C0\1~11TTE!: 0~ LTIIICS
FOR RELEASE: Upon Receipt ,July 16, 2020
STATEMKNT OF THE CHAIRMA.'11 ANO RANKING MEMBF.R
OF THE COMMITTEE ON ETHICS REGARDING
REPRESENTATIVE LORI TRAHAN
On July l 6. 2020. the Committee relcas ...~d the attal:hcd Report rl.!garding allegations
relating to Reprc~cntativi: Lori Trahan,
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277
. llliil.,
it.i.ii. ~ouse of l\cprcsrntatihrs
((\\J,il [ 11:i. ff\ EI l!IC\
FOR RELEASE: Upon Receipt ,July 30, 2020
STATEMENT OF THE CHAIRMAN AND RANKING MEMllF.R
OFTHF. COMMITTEE ON ETHICS REGARDING
REPRESENTATIVE DA vrn SCHWEIKERT
Pursuant to House Rule Xl Clause 3(q)(2)(D). today the Chairman of the Committee on
Ethics. Rcpresentath c fheodore L Dcutch. and the Ranking Member, Reprcscntati,·c Kenny
Marchant submitted n rcpmt to the House ofRepresentati,es in the Matter of Allegations Relating
to Reprcsentati\'c DJ\ id Schweikert. The lt,11 Committee report includes the report of the
Investigative Subcommittee (tSC) in this mattt:r. along v,:ith the responsive vi~...._-s of
Representative Schw cikcr!.
At the completion of its inYestigation. the lSC unanimously concluded that there was
substantial reason to believe that Represcntati,c David Schweikert, iolated House Rules. the Code
of Ethics for Government Service, federal laws and other applicable standards in connection "ith:
campaign finance violations and repo11.ing errors by his authorized campaign committees: the
misuse of his fvkmbers · Representational Allowance for unoITicial purposes; pressuring official
staff to perform campaign \\'Ork; and his lack of candor and due diligence during the investigation.
As pa,t or a resolution Representative Schweikert negotiated with the ISC. he agreed to
admit to all eleven counts in the Sta(cment of Alleged Violations adopted by the !SC. accept a
sanction of reprimand and a $50.000 tine. and waiw all further procedural rights in this mutter
provided ,o him b} House or Committee Ruic. On July 29. 2020. tl1e foll Committee unanimously
accepted the lSCs recommendations that the Committee submit a public report to the House. and
that the adoption of that repon hy the House serve as a reprimand of Representative Sclnveikert
for his misconduct and impose a fine in the amount of$50.000.
Therefore. the Committee on Ethics has ununimously recommended thut the House of
Representatives adopt the rcpmt. and with it. n reprimand of Representative Sclmeikcrt for the
conduct described therein. The Committee intends to bring a privileged resolution for
consideration and vote by the full lfousc.
The Committee thanks the members of the lnwstigative Subcommittee for their hard work,
dedication. and ser, ice to the Committee and to the House. Representative Dean Phillips served
as Chair of the lnvestigati\'e Subcommittee. Representative Bill Flores served as Ranking
Republican Member. Rcprescntati, es Jamie Raskin and John Katko also served on the
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278
Subi:ommittee. Each of these members deYoted substantial time anJ effort to the investigation,
and the Committee thanks each ,,!'them l<)r their sen ice.
###
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279
(l'JL 11\:'IIJRFDSIXI LU,! l!CO:-IGR,.S,
11.&. ~ousr of l\epresmtatil:les
C0\1\1ITTfF O;', ETIIICS
FOR RELEASE: li(lOD Receipt ,July 31, 2020
ST ATEMENT OF THE CHAIRMAN AND RANKING MEMBER OF nm
COMMITTEE ON ETHICS REGARDING
REPRESENTATIVE SANFORD BISHOP, .IR.
Pursuant to Committee Ruic 7, the Chairman and Ranking \.kmher of the Commitkl.! on
Ethics (Committee) detcrn1ined on Juiy 31. 2020. to release the follo"ing statement:
On rcbruury l 0. 2020. rhe Committee receivcJ a referral frpm the Office ofCongre,siona!
Ethics (OCT) regarding Representative Sanford Bishop. Pursuant to House Rule XI. clause
3(b)(8)(A ). and Committee Rules l 7A(b)(l )(A) and l 7A(c)(l ). nnd 17 Aij) the Chaim1an and
Ranking Member jointly decided on June 16. 2020, to e~tend the Committec·s re, h,1, of the
matter. In order to gather additional information ncc~sary to complete its review, the Committee
will rcvic" the matter pursuant to Committee Rule I 8{a). The Committee no1es that the mere fact
or rnmlucting further review of a referral. and any mandat0t)' disci<)surc of such further review,
does not itself indicate that any ,dolation has occurred. or reflect any judgment on behalf of the
Committee.
ln order to comply with Committee Rule 7 regarding confidentiality. out of fairness to all
respondents.and to assure the integrity of it,; v,'t)rk. the Committee \vill refrain fmm making further
public statements on this matter pending completion of its initial review.
Pursuant to Committee Rule 17 A. the Committee hcrel>) publishes OCE's Report and
Fin<lings relating to allegations ugainst Representative- Bishop and R~prcsentativt: Bishop's
submission to the Committee.
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280
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281
it..;. l,louse of Jltpresmtatibes
COM\IITIEE ();-( EllllC\
FOR RELEASE: lipon Receipt August 13, 2020
STATEMENT OF THE CHAIRMAN AND RANKING MEMBER
OF THE COMMITTEE 0'1 ETHICS REGARDING
REPRESENTATIVt STEVE WATKINS
Pursuant to Committee Ruic 7. the Chairman and Ranking 1vkmber of the Committee ,,n
Ethics (Committee) determined to release the folkming statement
On July 14. 2020. criminal charges against Representative Steve Watkins were fikd in
Shawnee County District Coun in Kansus. Pursuant to Cummittec Ruic I 8(c)(2) and Section
103(k) ofHous,, Resolution 6 of the! 16th Congress, \\ithin 30 days ofa Member being indicted
or othcmise forma!l 1 charged \\ ith criminal conduct. the Committee shall either establish an
lnv~stigutive Subcommittee or report to the House Jescrihing its n.·asons for not establishing an
lnYcstigativc Subcommittee.
In accordance "i1h House Ruic XI. clause J. mid Committee Rules l O{a)(2) and 18(e). the
Committee unanimously voted to establish an Investigati\.'e Subcommittte. Pur;-;uant to the
Comrnillcc ·, action. the Investigative Subcommittee shall have jurisdiction to determine \\hether
Reprcscntati\,e \Vatkins falsely reported information to a law enforcement officer: voted in an
election district without being lawfolly registered to vote: knowingly rnorked or transmitted more
than one ad,ance voting ballot: and/or failed to notify the proper agency of a change of name or
address.
-1 he Honorable Anthony Brown "'ill serve as Chair of the lnvcstigathe Subcommittee. and
the llonorabk Pete Olson \\ ill serve us the Ranking Memb,,r. The other two members of the
lnwstigative Subc,,mmittec are the llonorabk Theodore E. Deutch and the Honorable Ann
\\i'ug:ncr.
No other public comment will be made on this matter except in accordance" ith Committee
rules.
###
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282
Jlwt11<1·,,\ 1/u\'.
)/11l//!;1(\/,,r <1,,,f( (t/i/1\,/
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OM, ll\"Sl1R[DSIX]f [NT!lCON(,l(LSS
'It.~. ~oust of Jlepresrntatibes
CO\i:..Jrl 1 FE OC: I' IIIICS
H)R RELEASE: Upon Receipt Augu~t 21, 2020
STATEMENT OF THE CHAIRMAN ANO RA",'KJNG MEMBER
OFTIIE COMMITTF.E ON ETHICS RF-GARD1NG
REPRESE~TATIVE MATT GAETZ
On /\ugus.t 21, 2020. th~ C()nunittet! released th~ attached Report r~garding allegations
relating to Rcpr('sentativc Mutt Gaetz.
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283
co,,1rvm '1 H. ()', ETHICS
FOR RELEASE: llpon Receipt November 16, 2020
STA TE!'tfENT OF THE CHAIRMAN AND RANKING MEMBER
OF THE COMMITTEE ON ETHICS REGARDING
REPRESENTATIVE ROSS SPANO
Pursuant to House Rule XI. clause 3(b)(8)(C)(ii) and Committee Rule I 7A(h)(2), the
Chairman ond Ranking Member of the Committee ,on Ethics (Commit1ee) determined on
November 16. 2020, to release the fol!O\J.:ing statement:
On August l 6. 2019. the Committee received a referral from the Office or Coni;ressional
Ethics (OCE) regarding whether Representative Ross Spano received loans to support his election
to the House of Representatives that exceeded federal campaign contrihution limits. ln response
to o request from the Department of Justice. the Commit1ce unanimously voted to dder
consideration of this matter. and arnwunced that dcfetTal in a public statement dated 1'ovember
14. 2019,
The Committee contiuues to defrrconsiderntion oflhis rnattcratthis time. The Committee
notes thatthe mere fact of its decision to defer action on this matter. and any mandmory disclosure
of that decision. does not itstlf indicate thnt any violation has occurreJ.
###
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l h,,,,,hirc· !·. D-:m>::h, 1 !,1nd,1
(.'wir 1n,1 .. 1
It.iii. J;,ousc of l\cprcsrntatibts
COM:'.11TTFE O'.\ I TIJICS
FOR RELEASE: Vpon Receipt Dcc~mbcr 17, 2020
STATEMENT OF THE CHAIRMAN AND RANKING MF.'VIBER
OF TUE COMMITTEE ON ETHICS REGARDING
REPRESENTATIVE STEVEN PALAZZO
Pursuant to !louse Ruk XI. clause 3(b)(8)(/\)_ and (\,mmit!ee Rules 17A(b)(l)(A),
I 7A(c)( i )_ and I 7A(i), the Chaim1an ,md Ranking Memher of the Committee ,,n Ethics hu,e
jointly decided to extend the matter regarding Reprcse11totiYe Steven Pn!nzzo, \\hich v.as
transmitted to the Commit1cc hy th,: Office of Congressional Ethics on Septemher 2. 2020.
The Cummittce notes that the mere fact of a refetTal or un extension. and the mandatory
disclosure of such an extension and the name of the subject of the matter. does not itself indicate
that any violation has occurred. or retlect any judgment on behalf of the Committee.
0
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