What's with these ethics "trials?"
by David Waldman
Tue Aug 03, 2010 at 10:28:11 AM PDT
You may have noticed the media talking about upcoming ethics "trials" for Reps. Charlie Rangel (D-NY-15) and Maxine Waters (D-CA-35). But is it really a trial? You don't see a lot of ethics cases getting to this stage, so most people don't have much to compare these proceedings to.
I've had a look at the rules of the ethics committee (PDF) -- and by the way, the official name is the Committee on Standards of Official Conduct -- and it turns out that a "trial' is a pretty fair description of what goes on, even if it's not the term the committee uses. But you can hardly blame the media for taking the "trial" shortcut rather than going with "adjudicatory hearing." Especially when you read the description of those hearings, convened by a selected subcommittee:
At an adjudicatory hearing, 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. Depositions, interrogatories, and sworn statements taken under any investigative subcommittee direction may be accepted into the hearing record.
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 the adjudicatory subcommittee 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 the subcommittee 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 of the witness.
There's plenty more, but suffice to say that the set-up is pretty recognizable as a trial, even if that's not the term they use. Witnesses, oaths, cross examinations, etc. The whole bit.
As I understand it, the last such proceeding was the one that ended in the recommendation of expulsion for former Rep. Jim Traficant (D-OH). So it's been a while, and the Traficant case was pretty much open-and-shut, so there's really not a lot of experience out there in dealing with serious and contested adjudicatory hearings.
Basically, though, the subcommittee appointed to hear the case will be (like the full committee) evenly divided between Republicans and Democrats, and will be responsible for deciding whether "clear and convincing evidence." That's a standard of proof somewhat lower than a criminal court's requirement of proof of guilt "beyond a reasonable doubt," which probably grows out of the House's interest in ensuring that Members avoid the appearance of impropriety as zealously as impropriety itself. If a majority of the subcommittee concludes that any of the allegations have been sufficiently proven, that result is reported to the full committee. Charges not sufficiently proven according to the subcommittee vote are considered as dropped.
A report from the subcommittee that one or more charges has been considered sufficiently proven triggers a penalty phase before the full committee. At this stage, the committee can hear from counsel for both sides, but generally, no further witness testimony is taken. It's the full committee that decides in this last stage whether to handle the matter at the committee level with a Letter of Reproval (for less serious violations), or whether to recommend that the full House take some more severe action. Committee Rule 24(e) sets forth the following options:
(1) 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.
And 24(g) describes the standards by which the sanctions are meted out:
(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.
Why does the committee only recommend punishment to the full House rather than hand it down itself? Our old friend (from discussion of the filibuster reform issues), Article I, Section 5, clause 2 of the Constitution:
Each House may determine the Rules of its Proceedings, punish its Members for disorderly Behavior, and, with the Concurrence of two-thirds, expel a Member.
The right to punish Members, then, resides with the House, and is not delegable to committees and/or subcommittees, though the adjudicatory phase can be.
So those are the basics of what to look out for. Thanks, Committee on Standards of Official Conduct, for putting your rules online!