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