    [United States Senate Manual, 112th Congress]
    [S. Doc. 112-1]
    [Standing Rules of the Senate]
    [Pages 75-82]
    [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 con

    [[Page 76]]

                tinues, 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) \67\ 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 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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                    \67\ 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
                        \68\ Committee on Ethics.
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                    \68\ Added pursuant to S. Res. 299, 106-2, Apr. 27,
                2000.

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         37.6a      6. (a) \69\ 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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                    \69\ 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 required 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 con

    [[Page 78]]

                sultation 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.\70\ 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 or an entity that
                employs or retains a registered lobbyist for the purpose of
                influencing legislation, he shall not lobby Members,
                officers, or employees of the Senate for a period of two
                years after leaving office.
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                    \70\ Paragraphs 8 and 9 amended pursuant to Pub. L. 110-
                81, Sep. 14, 2007.
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         37.9a      9. (a) 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 or an entity that employs or retains 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.
         37.9b      (b) 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 or an
                entity that employs or retains a registered lobbyist for the
                purpose of influencing legislation, such employee may not
                lobby the members of the committee for which he worked, or
                the staff of that committee, for a period of one year after
                leaving his position.
         37.9c      (c) \71\ If an officer of the Senate or an employee on
                the staff of a Member or on the staff of a committee whose
                rate of pay is equal to or greater than 75 percent of the
                rate of pay of a Member and employed at such rate for more
                than 60 days in a calendar year, upon leaving that position,
                becomes a registered lobbyist, or is employed or retained by
                such a registered lobbyist or an entity that employs or
                retains a registered lobbyist for the purpose of influencing
                legislation, such employee may not lobby any

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                Member, officer, or employee of the Senate for a period of 1
                year after leaving that position.
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                    \71\ (Note: paragraph 9(c) shall apply to individuals
                who leave the office or employment to which such paragraph
                applies on or after the date of adjournment of the 1st
                session of the 110th Congress sine die or Dec. 31, 2007,
                whichever date is earlier.)
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         37.10      10. \72\ Paragraphs 8 and 9 shall not apply to contacts
                with the staff of the Secretary of the Senate regarding
                compliance with the lobbying disclosure requirements of the
                Lobbying Disclosure Act of 1995.
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                    \72\ Paragraphs 10 and 11 added pursuant to Pub. L. 110-
                81, Sep. 14, 2007.
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        37.11a      11. (a) If a Member's spouse or immediate family member
                is a registered lobbyist, or is employed or retained by such
                a registered lobbyist or an entity that hires or retains a
                registered lobbyist for the purpose of influencing
                legislation, the Member shall prohibit all staff employed or
                supervised by that Member (including staff in personal,
                committee, and leadership offices) from having any contact
                with the Member's spouse or immediate family member that
                constitutes a lobbying contact as defined by section 3 of
                the Lobbying Disclosure Act of 1995 by such person.
        37.11b      (b) Members and employees on the staff of a Member
                (including staff in personal, committee, and leadership
                offices) shall be prohibited from having any contact that
                constitutes a lobbying contact as defined by section 3 of
                the Lobbying Disclosure Act of 1995 by any spouse of a
                Member who is a registered lobbyist, or is employed or
                retained by such a registered lobbyist.
        37.11c      (c) The prohibition in subparagraph (b) shall not apply
                to the spouse of a Member who was serving as a registered
                lobbyist at least 1 year prior to the most recent election
                of that Member to office or at least 1 year prior to his or
                her marriage to that Member.
        37.12a      12. (a) \73\ 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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                    \73\ 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. Paragraph
                renumbered pursuant to Pub. L. 110-81, Sep. 14, 2007.
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        37.12b      (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

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                necessary. A copy of each such waiver shall be filed with
                the Select Committee.
         37.13      13. \74\ For purposes of this rule--
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                    \74\ Paragraph 13 renumbered pursuant to Pub. L. 110-81,
                Sep. 14, 2007.
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        37.13a

                            (a) ``employee of the Senate'' includes an
                        employee or individual described in paragraphs 2, 3,
                        and 4(c) of rule XLI;

        37.13b

                            (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

        37.13c

                            (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.
        37.14a      14. \75\(a) A Member shall not negotiate or have any
                arrangement concerning prospective private employment until
                after his or her successor has been elected, unless such
                Member files a signed statement with the Secretary of the
                Senate, for public disclosure, regarding such negotiations
                or arrangements not later than 3 business days after the
                commencement of such negotiation or arrangement, including
                the name of the private entity or entities involved in such
                negotiations or arrangements, and the date such negotiations
                or arrangements commenced.
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                    \75\ Paragraph 14 added pursuant to Pub. L. 110-81, Sep.
                14, 2007.
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        37.14b      (b) A Member shall not negotiate or have any arrangement
                concerning prospective employment for a job involving
                lobbying activities as defined by the Lobbying Disclosure
                Act of 1995 until after his or her successor has been
                elected.
        37.14c      (c)(1) An employee of the Senate earning in excess of 75
                percent of the salary paid to a Senator shall notify the
                Select Committee on Ethics that he or she is negotiating or
                has any arrangement concerning prospective private
                employment.

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                    (2) The notification under this subparagraph shall be
                made not later than 3 business days after the commencement
                of such negotiation or arrangement.
                    (3) An employee to whom this subparagraph applies
                shall--
                            (A) recuse himself or herself from--
                                    (i) any contact or communication with
                                the prospective employer on issues of
                                legislative interest to the prospective
                                employer; and
                                    (ii) any legislative matter in which
                                there is a conflict of interest or an
                                appearance of a conflict for that employee
                                under this subparagraph; and
                            (B) notify the Select Committee on Ethics of
                        such recusal.
         37.15      15. \76\ For purposes of this rule--
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                    \76\ Paragraph 15 renumbered pursuant to Pub. L. 110-81,
                Sep. 14, 2007.
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        37.15a

                            (a) a Senator or the Vice President is the
                        supervisor of his administrative, clerical, or other
                        assistants;
        37.15b

                            (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 members shall be under the
                        supervision of the ranking minority Senator on the
                        committee;
        37.15c

                            (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;
        37.15d

                            (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;
        37.15e

                            (e) the Secretary of the Senate is the
                        supervisor of the employees of his office;
        37.15f

                            (f) the Sergeant at Arms and Doorkeeper is the
                        supervisor of the employees of his office;
        37.15g

                            (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;

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        37.15h

                            (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

        37.15i

                            (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.