[United States Senate Manual, 118th Congress]
[S. Doc. 118-1]
[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) \68\ 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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\68\ Paragraph 5 renumbered 5(a) and subparagraph (b)
added by S. Res. 192, 102-1, Oct. 31, 1991.
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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
\69\ Committee on Ethics.
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\69\ Added by S. Res. 299, 106-2, Apr. 27, 2000.
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37.6a 6. (a) \70\ 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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\70\ Paragraph 6 renumbered 6(a) and subparagraph (b)
added by S. Res. 192, 102-1, Oct. 31, 1991.
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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.\71\ 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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\71\ Paragraphs 8 and 9 amended by 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) \72\ 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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\72\ Paragraph 9(c) shall apply to individuals who leave
the office or employment to which such paragraph applies on
or after Dec. 31, 2007. Sec. 531 of Pub. L. 110-81, Sep. 14,
2007.
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37.10 10. \73\ 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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\73\ Paragraphs 10 and 11 added by 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
[[Page 80]]
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) \74\ 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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\74\ Paragraphs 10 and 11 were renumbered as 11 and 12
respectively and paragraph 10 was added by S. Res. 236, 101-
2, Jan. 30, 1990. Paragraph renumbered by 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. \75\ For purposes of this rule--
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\75\ 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--
[[Page 81]]
(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. \76\(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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\76\ Paragraph 14 added by 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
(B) notify the Select Committee on Ethics of
such recusal.
[[Page 82]]
37.15 15. \77\ For purposes of this rule--
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\77\ Paragraph 15 renumbered by 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.
38