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Standing Rules of the Senate
RULE XXXVII
CONFLICT OF INTEREST
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.
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.
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.
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.
5. (a) 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.
(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.
6. (a) 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--
(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.
(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.
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.
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 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.
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.
(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.
(c) 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.
10. 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.
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.
(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.
(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.
12. (a) 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.
(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.
13. For purposes of this rule--
(a) ``employee of the Senate'' includes an employee
or individual described in paragraphs 2, 3, and 4(c) of
rule XLI;
(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
(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.
14. (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.
(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.
(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.
15. For purposes of this rule--
(a) a Senator or the Vice President is the supervisor
of his administrative, clerical, or other assistants;
(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;
(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;
(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;
(e) the Secretary of the Senate is the supervisor of
the employees of his office;
(f) the Sergeant at Arms and Doorkeeper is the
supervisor of the employees of his office;
(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;
(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
(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.
