    [United States Senate Manual, 107th Congress]
    [S. Doc. 107-1]
    [Standing Rules of the Senate]
    [Pages 67-71]
    [From the U.S. Government Publishing Office, www.gpo.gov]

            37                           RULE XXXVII

                                    CONFLICT OF INTEREST

          37.1      1. A Member, officer, or employee of the Senate shall
                not receive any compensation, nor shall he permit any
                compensation to accrue to his beneficial interest from any
                source, the receipt or accrual of which would occur by
                virtue of influence improperly exerted from his position as
                a Member, officer, or employee.
          37.2      2. No Member, officer, or employee shall engage in any
                outside business or professional activity or employment for
                compensation which is inconsistent or in conflict with the
                conscientious performance of official duties.
          37.3      3. No officer or employee shall engage in any outside
                business or professional activity or employment for
                compensation unless he has reported in writing when such
                activity or employment commences and on May 15 of each year
                thereafter so long as such activity or employment continues,
                the nature of such activity or employment to his supervisor.
                The supervisor shall then, in the discharge of his duties,
                take such action as he considers necessary for the avoidance
                of conflict of interest or interference with duties to the
                Senate.
          37.4      4. No Member, officer, or employee shall knowingly use
                his official position to introduce or aid the progress or
                passage of legislation, a principal purpose of which is to
                further only his pecuniary interest, only the pecuniary
                interest of his immediate family, or only the pecuniary
                interest of a limited class of persons or enterprises, when
                he, or his immediate family, or enterprises controlled by
                them, are members of the affected class.
         37.5a      5. (a) \37\ No Member, officer, or employee of the
                Senate compensated at a rate in excess of $25,000 per annum
                and employed for more than ninety days in a calendar year
                shall (1) affiliate with a firm, partnership, association,
                or corporation for the purpose of providing professional
                services for compensation; (2) permit that individual's name
                to be used by such a firm, partnership, association or
                corporation; or (3) practice a profession for compensation
                to any extent during regular office hours of the Senate
                office

    [[Page 68]]

                in which employed. For the purposes of this paragraph,
                ``professional services'' shall include but not be limited
                to those which involve a fiduciary relationship.
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                    \37\ Pursuant to S. Res. 192, 102-1, Oct. 31, 1991,
                effective Aug. 14, 1991, paragraph 5 renumbered 5(a) and
                subparagraph (b) added.
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         37.5b      (b) A Member or an officer or employee whose rate of
                basic pay is equal to or greater than 120 percent of the
                annual rate of basic pay in effect for grade GS-15 of the
                General Schedule shall not----
                            (1) receive compensation for affiliating with or
                        being employed by a firm, partnership, association,
                        corporation, or other entity which provides
                        professional services involving a fiduciary
                        relationship;
                            (2) permit that Member's, officer's, or
                        employee's name to be used by any such firm,
                        partnership, association, corporation, or other
                        entity;
                            (3) receive compensation for practicing a
                        profession which involves a fiduciary relationship;
                        or
                            (4) receive compensation for teaching, without
                        the prior notification and approval of the Select
                        \38\ Committee on Ethics.
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                    \38\ Added pursuant to S. Res. 299, 106-2, Apr. 27,
                2000.
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         37.6a      6. (a) \39\ No Member, officer, or employee of the
                Senate compensated at a rate in excess of $25,000 per annum
                and employed for more than ninety days in a calendar year
                shall serve as an officer or member of the board of any
                publicly held or publicly regulated corporation, financial
                institution, or business entity. The preceding sentence
                shall not apply to service of a Member, officer, or employee
                as--
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                    \39\ Pursuant to S. Res. 192, 102-1, Oct. 31, 1991,
                effective Aug. 14, 1991, paragraph 6 renumbered 6(a) and
                subparagraph (b) added.
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                            (1) an officer or member of the board of an
                        organization which is exempt from taxation under
                        section 501(c) of the Internal Revenue Code of 1954,
                        if such service is performed without compensation;
                            (2) an officer or member of the board of an
                        institution or organization which is principally
                        available to Members, officers, or employees of the
                        Senate, or their families, if such service is
                        performed without compensation; or
                            (3) a member of the board of a corporation,
                        institution, or other business entity, if (A) the
                        Member, officer, or employee had served continuously
                        as a member of the board thereof for at least two
                        years prior to his election or appointment as a
                        Member, officer, or employee of the Senate, (B) the
                        amount of time re

    [[Page 69]]

                        quired to perform such service is minimal, and (C)
                        the Member, officer, or employee is not a member of,
                        or a member of the staff of any Senate committee
                        which has legislative jurisdiction over any agency
                        of the Government charged with regulating the
                        activities of the corporation, institution, or other
                        business entity.

         37.6b      (b) A Member or an officer or employee whose rate of
                basic pay is equal to or greater than 120 percent of the
                annual rate of basic pay in effect for grade GS-15 of the
                General Schedule shall not serve for compensation as an
                officer or member of the board of any association,
                corporation, or other entity.

          37.7      7. An employee on the staff of a committee who is
                compensated at a rate in excess of $25,000 per annum and
                employed for more than ninety days in a calendar year shall
                divest himself of any substantial holdings which may be
                directly affected by the actions of the committee for which
                he works, unless the Select Committee, after consultation
                with the employee's supervisor, grants permission in writing
                to retain such holdings or the employee makes other
                arrangements acceptable to the Select Committee and the
                employee's supervisor to avoid participation in committee
                actions where there is a conflict of interest, or the
                appearance thereof.
          37.8      8. If a Member, upon leaving office, becomes a
                registered lobbyist under the Federal Regulation of Lobbying
                Act of 1946 or any successor statute, or is employed or
                retained by such a registered lobbyist for the purpose of
                influencing legislation, he shall not lobby Members,
                officers, or employees of the Senate for a period of one
                year after leaving office.
          37.9      9. If an employee on the staff of a Member, upon leaving
                that position, becomes a registered lobbyist under the
                Federal Regulation of Lobbying Act of 1946 or any successor
                statute, or is employed or retained by such a registered
                lobbyist for the purpose of influencing legislation, such
                employee may not lobby the Member for whom he worked or that
                Member's staff for a period of one year after leaving that
                position. If an employee on the staff of a committee, upon
                leaving his position, becomes such a registered lobbyist or
                is employed or retained by such a registered lobbyist for
                the purpose of influencing legislation, such employee may
                not lobby the members of the committee for

    [[Page 70]]

                which he worked, or the staff of that committee, for a
                period of one year after leaving his position.
        37.10a      10. (a) \40\ Except as provided by subparagraph (b), any
                employee of the Senate who is required to file a report
                pursuant to rule XXXIV shall refrain from participating
                personally and substantially as an employee of the Senate in
                any contact with any agency of the executive or judicial
                branch of Government with respect to non-legislative matters
                affecting any non-governmental person in which the employee
                has a significant financial interest.
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                    \40\ Pursuant to S. Res. 236, 101-2, Jan. 30, 1990,
                paragraphs 10. and 11. were renumbered as 11. and 12.
                respectively and paragraph 10. was added.
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        37.10b      (b) Subparagraph (a) shall not apply if an employee
                first advises his supervising authority of his significant
                financial interest and obtains from his employing authority
                a written waiver stating that the participation of the
                employee is necessary. A copy of each such waiver shall be
                filed with the Select Committee.
         37.11      11. For purposes of this rule--
        37.11a
                            (a) ``employee of the Senate'' includes an
                        employee or individual described in paragraphs 2, 3,
                        and 4(c) of rule XLI;

        37.11b
                            (b) an individual who is an employee on the
                        staff of a subcommittee of a committee shall be
                        treated as an employee on the staff of such
                        committee; and

        37.11c
                            (c) the term ``lobbying'' means any oral or
                        written communication to influence the content or
                        disposition of any issue before Congress, including
                        any pending or future bill, resolution, treaty,
                        nomination, hearing, report, or investigation; but
                        does not include--
                                    (1) a communication (i) made in the form
                                of testimony given before a committee or
                                office of the Congress, or (ii) submitted
                                for inclusion in the public record, public
                                docket, or public file of a hearing; or
                                    (2) a communication by an individual,
                                acting solely on his own behalf, for redress
                                of personal grievances, or to express his
                                personal opinion.

         37.12      12. For purposes of this rule--
        37.12a
                            (a) a Senator or the Vice President is the
                        supervisor of his administrative, clerical, or other
                        assistants;

        37.12b
                            (b) a Senator who is the chairman of a committee
                        is the supervisor of the professional, clerical, or
                        other assistants to the committee except that
                        minority staff

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                        members shall be under the supervision of the
                        ranking minority Senator on the committee;
        37.12c
                            (c) a Senator who is a chairman of a
                        subcommittee which has its own staff and financial
                        authorization is the supervisor of the professional,
                        clerical, or other assistants to the subcommittee
                        except that minority staff members shall be under
                        the supervision of the ranking minority Senator on
                        the subcommittee;
        37.12d
                            (d) the President pro tempore is the supervisor
                        of the Secretary of the Senate, Sergeant at Arms and
                        Doorkeeper, the Chaplain, the Legislative Counsel,
                        and the employees of the Office of the Legislative
                        Counsel;
        37.12e
                            (e) the Secretary of the Senate is the
                        supervisor of the employees of his office;
        37.12f
                            (f) the Sergeant at Arms and Doorkeeper is the
                        supervisor of the employees of his office;
        37.12g
                            (g) the Majority and Minority Leaders and the
                        Majority and Minority Whips are the supervisors of
                        the research, clerical, or other assistants assigned
                        to their respective offices;
        37.12h
                            (h) the Majority Leader is the supervisor of the
                        Secretary for the Majority and the Secretary for the
                        Majority is the supervisor of the employees of his
                        office; and
        37.12i
                            (i) the Minority Leader is the supervisor of the
                        Secretary for the Minority and the Secretary for the
                        Minority is the supervisor of the employees of his
                        office.