[United States Senate Manual, 113th Congress]
[S. Doc. 113-1]
[Standing Rules of the Senate]
[Pages 76-82]
[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 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.

[[Page 77]]


     37.5a      5. (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 (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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                \69\ 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 
                    \70\ Committee on Ethics.
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                \70\ Added pursuant to S. Res. 299, 106-2, Apr. 27, 
            2000.
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     37.6a      6. (a) \71\ 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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                \71\ 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;

[[Page 78]]

                        (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 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.\72\ 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, offi

[[Page 79]]

            cers, or employees of the Senate for a period of two years 
            after leaving office.
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                \72\ 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) \73\ 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 Member, 
            officer, or employee of the Senate for a period of 1 year 
            after leaving that position.
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                \73\ (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. \74\ 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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                \74\ 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, com

[[Page 80]]

            mittee, 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) \75\ 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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                \75\ 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 necessary. A copy of each such waiver shall be 
            filed with the Select Committee.
     37.13      13. \76\ For purposes of this rule--
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                \76\ 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

[[Page 81]]

                    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. \77\(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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                \77\ 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.
                (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

[[Page 82]]

                        (B) notify the Select Committee on Ethics of 
                    such recusal.

     37.15      15. \78\ For purposes of this rule--
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                \78\ 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;

    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.