Source: https://www.ethics.senate.gov/public/index.cfm/conflictsofinterest
Timestamp: 2019-04-24 04:22:46+00:00

Document:
A Member, officer, or employee may not use his or her official position for personal gain. See Senate Rule 37.1.
A Member, officer, or employee may not undertake any outside activity that creates a conflict of interest. See Senate Rule 37.2.
All outside activities or employment for compensation must be approved by the supervising Senator in writing. Employees may use the Statement of Outside Business or Professional Activity of Employment (Form 37.3) for this purpose. A staffer engaging in outside employment must report to the Senator, in writing, at the start of the activity and each May 15th thereafter. See Senate Rule 37.3.
A Member, officer, or employee may not use his or her official position to introduce or pass legislation, when the principal purpose is to further the official’s or an immediate family member’s financial interests, or the financial interests of a limited class to which such individuals belong. See Senate Rule 37.4.
A Senator who requests an earmark shall certify in writing to the Chairman and Ranking Member of the committee of jurisdiction the purpose of the earmark and that neither the Senator nor the Senator’s immediate family has a financial or monetary interest in the earmark. See Senate Rule 44.
A committee employee whose compensation is more than $25,000 for more than 90 days must sell any “substantial holdings” that may be directly affected by the actions of the employing committee, unless the Ethics Committee, after consulting with the employee’s supervisor, permits a written exception. See Senate Rule 37.7.
May not affiliate with an outside business for the purpose of providing professional services (e.g., consulting, medical, real estate, insurance, or legal services) for compensation.
May not permit his or her name to be used by an outside business providing professional services for compensation. IR 145.
May not practice a profession for compensation to any extent during regular office hours in the employing Senate office.
May practice a profession during off hours as long as the individual avoids affiliating with a firm. See Senate Rule 37.5(a).
Receive compensation for affiliating with or being employed by outside business organizations for the purpose of providing professional services involving a fiduciary relationship (e.g., consulting, medical, real estate, insurance, or legal services).
Permit his or her name to be used by an outside business providing professional services for compensation.
Provide professional services involving a fiduciary relationship for compensation.
Accept a teaching position without prior written approval from the Ethics Committee. See Senate Rule 37.5(b).
May not serve as an officer or member of the board of any publicly-held or publicly-regulated company.
May serve on an uncompensated basis as an officer or board member of an organization exempt from tax under section under 501(c) of the Internal Revenue Code, or an organization which is principally available to Members, officers and employees of the Senate and their families (e.g., the U.S. Senate Federal Credit Union). See Senate Rule 37.6(a).
Service on the board of an outside organization involves a fiduciary duty – and, thus, an increased potential for a conflict of interest.
Senators that serve on boards should refrain from any official action advocating any proposal of particular benefit to the organization, because such activities could create an appearance of a conflict of interest. The Committee has found a potential for a conflict when Senators have taken uncompensated positions with organizations that receive federal funding from an agency that is subject to the appropriation or oversight functions or a committee on which the Senator sits or otherwise has an interest in matters under such committee’s jurisdiction.
If the position is advisory and non-fiduciary in nature, the Committee has not prohibited a Member’s participation on such an advisory body. In permitting somewhat greater latitude to Members serving in a purely advisory role, the Committee has recognized that individual Senators are typically the judge of whether an activity creates an appearance of conflict, and the Committee will not normally interfere with a Senator’s discretion, absent an actual conflict.
In their personal capacity, Senators may serve as honorary chairpersons of non-profit events if consistent with Rule 37. The decision as to whether to lend his or her name to a charitable event as an honorary chairperson is entirely within a Senator’s discretion.
Senate employees generally may engage in board activity on a limited basis, provided they have the approval of the employing Member, it is done on their own time, and they do not use official resources. However, the Committee has found a conflict of interest exist when Senate staff have taken uncompensated positions with organizations that receive or seek federal funding and/or when the employee’s official duties involve the same topics address by the outside organization (i.e., federal funding conflict or subject matter conflict).
Federal Funding Conflict: If the outside organization seeks, spends, or administers federal funds, especially when the supervising Senator serves on an oversight or appropriations committee or subcommittee for the federal agency providing the funds, the staffer may not serve on the board of the outside organization.
Subject Matter Conflict: If the outside organization has legislative interests in the same subject matter area as the staffer’s official duties, the staffer may not serve on the board of the outside organization.
Members and staff paid at or above $127,914 (CY 2019) must receive Committee approval prior to receiving compensation for teaching. See Senate Rule 37.5(b).
Approval is required for each semester of teaching.
Teaching income is subject to the outside earned income limit ($28,440 for CY 2019).
Teaching may not be a way to circumvent the honoraria ban.
The teaching is part of a regular course of instruction, involving services on an ongoing basis, and not individual appearances.
Responsibilities include class preparation, lecture presentations, and student evaluation.
The compensation is reasonable and paid from the university’s general fund and not by third parties.
Students receive credit for the course.
No Senate resources or time will be used in connection with the teaching.
Members and staff are prohibited from receiving compensation for representing a third party in a matter in which the United States has an interest or is a party. 18 U.S.C. § 203.
Officers and employees, even without compensation, are prohibited from representing a third party in a matter in which the U.S. has an interest or is a party. 18 U.S.C. § 205.
Anyone earning a Senate rate of pay at or above $127,914 (CY 2019) may not earn more than $28,440 (CY 2019) from all combined outside sources, including campaign work.
The limit is based on “rate of pay,” so that an employee who works less than full time for the Senate must adjust his or her actual pay rate accordingly (pro rata) to determine the true rate of pay. For example, an employee who works two and one half days per week and is paid at a rate of $75,000 a year is, for purposes of the limit, paid at a Senate rate of pay of $150,000 per year.
Honorarium is a payment for any speech, article, or appearance. Federal law bans Members, officers, or employees from receiving any honorarium. 5 U.S.C. app. 4 § 501(b). The Committee does not have any authority to waive this ban. See Senate Rule 36.
qualified individuals conducting religious ceremonies.
An organization may make up to a $2,000 charitable contribution in lieu of an honorarium to a Senator or staffer.
The charity receiving the contribution may not benefit, directly or indirectly, the Member or employee of the Senate or a family member of the Senate individual.
The honorarium must be reported on the Senator’s or staffer’s financial disclosure form.
If the donation is from a lobbyist or foreign agent, it must be reported to Secretary of the Senate within 30 days.
Senators shall not negotiate or make any arrangements for jobs involving lobbying activities until after their successor has been elected. For any other future private employment, Senators must file a signed public statement with the Secretary of the Senate within 3 business days of beginning the negotiations or arrangements for private employment or compensation. See Form 37.14(a) - Disclosure by Member of Employment Negotiations and Recusal.
Senators who file the Disclosure by Member of Employment Negotiations and Recusal form must also recuse themselves whenever there is a conflict of interest (or an appearance of one) with respect to the private entity identified on the form, and notify the Ethics Committee in writing of such recusals.
Senate employees paid at a rate of 120% of GS-15 $127,914 (CY 2019) must notify the Ethics Committee in writing within 3 days after they start negotiating or otherwise making arrangements for future employment or compensation with a private entity and recuse themselves from official matters involving prospective private employers whenever there is a conflict of interest (or an appearance of one). Senior staff (employees making $130,500 or more in CY 2019) must also recuse themselves from legislative matters that create a conflict of interest (or an appearance of one). All detailees, fellows, and political fund designees paid below $127,914 are not subject to these requirements. See Form 37.14(c) - Non-Public Disclosure By Staff of Employment Negotiations and Recusal.
All staff, regardless of salary, must notify their employing Member once they have entered into negotiations and arrangements for employment.
“Negotiation” is the discussion of terms and conditions of employment after an offer has been made and the Senator or staffer is considering accepting.
An “employment arrangement” begins when an offer has been made and accepted.
Please be advised that 18 U.S.C. § 207 is enforced by the Department of Justice, and the Committee’s guidance is advisory only.
It may be possible for an employee to become subject to Senate-wide post-employment restrictions because of the receipt of a bonus or merit adjustment that is paid out 60 or more days in the 12 months prior to leaving Senate employment.
May not lobby their former employing office or committee (Members of the committee and staff of the committee) for one year after leaving the Senate payroll.
Leadership staff: May not lobby any Member or staff of the leadership of the same party (including the personal staff of the leadership Member employing the staffer) for one year after leaving the Senate payroll.
Substantive Committee Responsibility: A staffer in a personal office who performs substantive responsibilities for a committee on which the staffer’s supervising Member sits should refrain from lobbying the committee Members and staff for one year from the date the staffer last performed services for the committee. Substantive committee responsibilities include assisting in the drafting of the committee bills or assisting at hearings and in mark-up (as opposed to committee monitoring and liaison service for the personal office). Such a staffer would also be prohibited from lobbying the employing Member and the Member’s personal office for a year.
No law, regulation, or Senate rule specifically prohibits the spouse of a Senate Member or employee from engaging in any outside employment because it could create a conflict of interest with the official’s Senate duties. However, because Members and employees are prohibited from using their official positions to financially benefit themselves and their immediate families, it is important for officials to consult with the Committee regarding their specific circumstances.
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 purposes of influencing legislation, that Member shall prohibit all staff supervised by that Member from having any contact with that spouse or family member that constitutes a lobbying contact. See Senate Rule 37.11(a).
Members and staff are also prohibited from having any lobbying contact with a Member’s spouse, who is a registered lobbyist, or is employed or retained by such a registered lobbyist. See Senate Rule 37.11(b).
A Senate employee may not hold another non-Senate federal job if the salaries of the two positions combined exceeds $35,949 (CY 2018). 5 U.S.C. § 5533(c)(1)). A “position” means “a civilian office or position (including a temporary, part-time, or intermittent position), appointive or elective, in the legislative, executive, or judicial branch of the [federal] [g]overnment” (id., § 5531(2)).
An individual may hold two or more Senate jobs, provided that the combined salary does not exceed the maximum annual rate of pay authorized to be paid out of a Senator’s clerk hire allowance. Thus, the law allows Senate employees to work part-time in a Senate office and allows Senate offices to share an employee, as long as the employee performs duties for each office that are commensurate with the compensation the employee receives from that office, and the employee’s combined Senate salaries do not exceed the cap.
Members, officers, and employees are permitted to serve on juries of the 50 states, the Superior Court of the District of Columbia, and the courts of the territories or possessions of the United States. However, they are barred from jury service in the United States District Courts. See 28 U.S.C. § 1863(b)(6).
Senate employees are prohibited from receiving juror fees for service in a court of the United States or the District of Columbia. See 2 U.S.C. § 130b. All fees for service must be either refused or turned over to the United States Treasury (contact the Financial Clerk at the Disbursing Office for instructions on remitting the funds). By analogy to the federal statute, the Committee has advised Senate Members, officers, and employees to refuse any fee for service or turn the funds over to the United States Treasury for state or local jury service.
Employees may run and hold a state or local elective office provided the employing Member approves, it does not conflict with official duties, it is done on one’s own time, and no official resources are used. Officers and employees earning a rate of pay in excess of $127,914 (CY 2019) are subject to the $28,440 (CY 2019) outside earned income limit. In dealing with the public, staff who serve as a local official should always make it clear in which capacity they are acting. Such officials should discourage any suggestions that the local constituents will receive any special treatment from the Senate. In addition, Senate employees are prohibited from representing others before the federal government, except in the course of their Senate duties. 18 U.S.C. §§ 203 and 205.
The Committee has held that a Senate employee is prohibited from forming a principal campaign committee under the Federal Election Campaign Act. Therefore, a Senate employee should leave the Senate payroll upon becoming a candidate for any federal office.
Q: An employee working on the Environment and Public Works Committee is invited to sit on the Board of Directors of a non-profit formed with the objective of promoting environmental issues. The organization does not lobby or receive federal funding. May the employee serve on this board?
A: No. The employee should not serve on this board. The supervising Senator has jurisdiction over these matters and the organization has a legislative interest in such matters, and thus this could create a subject matter conflict of interest.
Q: A Senator has been asked to write a foreword for a book. The Member will receive no compensation, may the Senator write the foreword?
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)29 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.
(4) receive compensation for teaching, without the prior notification and approval of the Select30 Committee on Ethics.
(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.
8.32 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)33 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.
10.34 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)35 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 non­legislative matters affecting any non­governmental 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.
(2) a communication by an individual, acting solely on his own behalf, for redress of personal grievances, or to express his personal opinion.
14.37 (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.
(B) notify the Select Committee on Ethics of such recusal.
(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.
29 Pursuant to S. Res. 192, 102–1, Oct. 31, 1991, effective Aug. 14, 1991, paragraph 5 renumbered 5(a) and subparagraph (b) added.
30 Added pursuant to S. Res. 299, 106–2, Apr. 27, 2000.
31 Pursuant to S. Res. 192, 102–1, Oct. 31, 1991, effective Aug. 14, 1991, paragraph 6 renumbered 6(a) and subparagraph (b) added.
32 Paragraphs 8 and 9 amended pursuant to Pub. L. 110–81, Sep. 14, 2007.
34 Paragraphs 10 and 11 added pursuant to Pub. L. 110–81, Sep. 14, 2007.
35 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.
36 Paragarph 13 renumbered pursuant to Pub. L. 110–81, Sep. 14, 2007.
37 Paragraph 14 added pursuant to Pub. L. 110–81, Sep. 14, 2007.
38 Paragraph 15 renumbered pursuant to Pub. L. 110–81, Sep. 14, 2007.

References: § 203
 § 205
 § 501
 § 207
 § 5533
 § 5531
 § 1863
 § 130