Members, officers, and employees are generally prohibited from using their official position for personal gain. This basic principle is embodied in several sections of Senate Rule 37:

• Senate Rule 37.1 – A Member, officer, or employee shall not receive any compensation, nor permit any compensation to accrue to his or her beneficial interest from any source, the receipt or accrual of which would occur by virtue of influence improperly exerted from his or her position as a Member, officer, or employee. This provision was intended as a broad prohibition against Members, officers, or employees deriving financial benefit, directly or indirectly, from the use of their official positions.
• Senate Rule 37.4 – No Member, officer, or employee shall knowingly use his or her official position to introduce or aid the progress or passage of legislation, a principal purpose of which is to further the official’s or immediate family member’s financial interest, or the financial interest of a limited class to which such individuals belong.
• Senate Rule 37.7 – A committee employee compensated at a rate in excess of $25,000 per year and employed for more than 90 days in a calendar year must divest of any substantial holdings which may be directly affected by the actions of their employing committee, unless the Ethics Committee, after consultation with the employee’s supervisor, grants permission in writing to retain such holdings.

Similarly, Senate Members, officers, and employees may not engage in any outside activity that creates a conflict of interest, or the appearance of a conflict of interest, with their Senate duties.

• Senate Rule 37.2 – No Member, officer, or employee shall engage in any outside business or professional activity or employment which is inconsistent or in conflict with the conscientious performance of official duties. The legislative history of this provision states that it should be read to prohibit any outside activities which could represent a conflict of interest or the appearance of a conflict of interest.
• Senate Rule 37.3 – Officers and employees must report all such outside activities to their supervising Senator or officer in writing at the start of the activity and on May 15th of each year thereafter. The supervising Senator or officer must then, in the discharge of his or her duties, take such action as he or she considers necessary for the avoidance of any conflict of interest or interference with duties to the Senate. Officers and employees may use the Statement of Outside Business or Professional Activity of Employment (Form 37.3) to report outside activities. Consistent with the requirements of Senate Rule 37.3, this form is submitted to the officer or employee’s supervising Senator or officer, not the Committee.  

Senate Rule 37.5 imposes restrictions on outside activities involving “professional services.” The Committee has ruled that the type of services contemplated by the drafters of Rule 37.5 involved a duty to outside commercial or business organizations, which on their face were likely to present conflicts between Senate duties and outside responsibilities. “Professional services’’ include, but are not limited to, those which involve a fiduciary relationship. Examples of “professional services” include the practice of law, medicine, engineering, architecture, real estate, insurance, and consulting.

Members, officers, and employees earning an annual rate of pay above $25,000 and employed for more than 90 days in a calendar year may not:

• Affiliate with a firm, partnership, association, corporation, or other entity for the purpose of providing professional services for compensation;
• Permit his or her name to be used by such a firm, partnership, association, corporation, or other entity;
• Practice a profession for compensation to any extent during regular office hours in the employing Senate office.

Additionally, Members, officers, and employees earning an annual rate of pay at or above $147,649 (CY 2024) may not:

• 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.
• Receive compensation for practicing a profession which involves a fiduciary relationship.

These restrictions mean that employees paid below $147,649 may provide professional service for compensation, but only as a solo practitioner, without affiliating with a professional services entity. Members, officers, and employees paid at or above $147,649 may not provide professional services for compensation under any circumstances.

Members, officers, and employees earning over $25,000 and employed for more than 90 days in a calendar year may not:

• Serve as an officer or member of the board of any publicly-held or publicly-regulated company.  See Senate Rule 37.6(a)
  
  This prohibition has exceptions for service as an unpaid officer or board member of an organization which is exempt from taxation under § 501(c) of the Internal Revenue Code; an unpaid officer or board member of an organization which is principally available to Members, officers, and employees of the Senate; and, in rare cases, a board member when the Member, officer, or employee had served continuously as a board member for at least two years prior to joining the Senate.

• Serve for compensation as an officer or member of the board of any association, corporation, or other entity.  See Senate Rule 37.6(b)
  
  Additionally, because service on the board of an outside organization involves a fiduciary duty, it carries an increased potential for conflicts of interest and the appearance of conflicts of interest. The Committee has advised that any Member who sits on a board should refrain from any official action advocating any proposal of particular benefit to the organization in question. The Committee has also previously found a potential for a conflict of interest when a Member sits on the board of an organization that receives federal funding from an agency which is subject to the appropriation or oversight functions of a committee on which the Member sits or otherwise has an interest in matters under such committee’s jurisdiction. Where the position in question is advisory and non-fiduciary in nature, the Committee has not previously prohibited a Member’s participation on such an advisory body, although the Committee has restricted staff activities on advisory boards where the entity has legislative interests in the same topic areas as the employee’s official duties or where federal money is sought, spent, or administered by the advisory body or the group that it advises. 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 under paragraph 2 of Senate Rule 37, absent an actual conflict.

Members are sometimes asked to assume the role of “honorary chairperson” or guest host of a charity event sponsored by either a non-profit organization or by a corporation or other entity whereby the proceeds from the event or a charitable gift are donated to charitable purposes, such as a charity golf or tennis tournament. The Committee has previously stated that a Member may serve as an honorary chairperson of a charitable event so long as such service is not in conflict with official duties under Senate Rule 37, and so long as the activity is not performed on Senate time and does not use Senate resources or equipment.

Members, officers, and employees paid at or above $147,649 (CY 2024) must receive prior written approval from the Committee before accepting compensation for teaching. See Senate Rule 37.5(b). Committee approval is required for each class taught, regardless of whether the Member, officer, or employee received approval for a similar course in a previous semester or year.

One of the reasons Committee approval for teaching positions is required is to ensure that teaching does not become a way to circumvent the honoraria ban. To receive approval from the Committee, the Member, officer, or employee must generally affirm in writing that the teaching meets the following criteria:

• 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 derived from the institution’s general funds, not supported by earmarked grants, appropriations, or contributions by other entities.
• Students receive credit for the course.
• No Senate resources or time will be used in connection with the teaching.

Federal criminal law prohibits Members, officers, and employees from privately representing others before the Federal Government. Under 18 U.S.C. § 203, Members, officers, and employees may not seek or receive compensation (other than as provided by law) for “representational services” before any Government agency, department, court, or officer in any matter or proceeding in which the United States is a party or has an interest. Under 18 U.S.C. § 205, officers and employees may not act “as agent or attorney for anyone” (other than in the proper discharge of official duties) before any Government entity in any particular matter in which the Government has an interest, regardless of whether or not the individual is compensated. The individual need not actually be an attorney or have a strict common law agency relationship with another in order to be restricted by this statute.

Under Senate Rule 36 and the Ethics in Government Act (specifically, 5 U.S.C. § 13143(a)), Members, officers, and employees whose rate of pay is at or above 120% of the GS-15 level for a calendar year ($147,649 for CY 2024) may not have outside earned income of more than 15% of the Executive Level II salary ($31,815 for CY 2024) from all combined outside sources for that year. Earned income from any outside activity, including campaign activity, is outside earned income.

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.

A Member, officer, or employee who becomes subject to the outside earned income limit partway through a calendar year is subject to a pro-rated limit, calculated by multiplying the normal outside earned income limit ($31,815 for CY 2024) by a fraction, the numerator of which is the number of days subject to the threshold and the denominator of which is 365.

An honorarium is a payment for any appearance, speech, or article. Senate Rule 36 and the Ethics in Government Act (specifically, 5 U.S.C. § 13143(b)), prohibit Members, officers, or employees from receiving any honorarium. The Committee does not have authority to waive this ban.

The Committee has determined that certain types of income are not honoraria. Payment for the following is therefore not prohibited:

• Editing, as distinguished from writing original material for publication;
• Writings to be published or republished as books or chapters or parts of books (royalties and advances on royalties);
• Works of fiction (including poetry, lyrics, or scripts), where the payment is not offered because of the author’s Senate position;
• Paid engagements to perform or to provide entertainment where the artistic, musical, or athletic talent of the individual is the reason for the employment, rather than the person’s status as a Member or employee of the Senate;
• Qualified individuals conducting worship services or religious ceremonials, but not for delivering speeches or invocations at religious conventions.

Donations to Charity in Lieu of Honoraria

Senate Rule 36 and the Ethics in Government Act (specifically, 5 U.S.C. § 13143(c)), authorize the sponsor of an appearance, speech, or article to make a donation to a § 501(c)(3) charity in lieu of providing an honorarium to a Member, officer, or employee. Donations in lieu of honoraria are subject to the following limitations:

• The donation may not exceed $2,000;
• The donation must be made directly from the sponsor to the § 501(c)(3) charity (a Member, officer, or employee may not accept an honorarium and then donate it to charity);
• The Member, officer, or employee may not direct the donation to a charity from which they or an immediate family member derives any financial benefit;
• The Member, officer, or employee may not take a personal tax deduction;
• The Member, officer, or employee must report any such donation made by a lobbyist or foreign agent to the Secretary of the Senate within 30 days;
• If the Member, officer, or employee is a Financial Disclosure filer, they must report donations to charity in lieu of honoraria on their Financial Disclosure Report.

No donation in lieu of honoraria should be made in connection with an event in Senate space. Also, such donations should not be made in connection with any official activity, regardless of location.

Members, officers, and employees seeking future employment are under a substantial obligation to avoid not only an actual conflict of interest, but also the appearance of a conflict between their Senate duties and the interests of the prospective employers with whom they are negotiating. Generally, each Member must decide for himself or herself, as well as for his or her employees, what steps would be necessary to avoid not only a conflict of interest which may arise from negotiating or accepting prospective employment, but also the appearance of any such conflict. Thus, as negotiations with prospective employers advance, there necessarily comes a point where it is imperative that an employee inform his or her supervising Senator of negotiations, so that the Senator may make an informed decision as to how best to protect against a conflict of interest.

Members and “senior staff” (employees paid at a rate of $130,500 or more for CY 2024) are subject to additional restrictions and disclosure requirements on seeking future employment. For purposes of the restrictions and disclosure requirements discussed below, a “negotiation” is the discussion of terms and conditions of employment after an offer has been made, and the Member, officer, or employee is considering accepting. An “employment arrangement” begins when an offer has been made and accepted.

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. For all other negotiations or arrangements for prospective private employment, Members must file a signed public statement with the Secretary of the Senate within three business days after the commencement of such negotiation or arrangement. Members who file the Disclosure by Member of Employment Negotiations and Recusal (Form 37.14(a)) must recuse themselves whenever there is a conflict of interest, or the appearance of a conflict of interest, with respect to the prospective private employer, and notify the Ethics Committee in writing of such recusal.

Officers and employees paid at a rate of $130,500 or more (CY 2024) must notify the Committee in writing within three business days after the commencement of negotiations or arrangements for private employment or compensation by submitting the Non-Public Disclosure by Staff of Employment Negotiations and Recusal (Form 37.14(c)) or Non-Public Disclosure by Officer of Employment Negotiations and Recusal Form. As part of the notification, the officer or employee must certify that, consistent with Senate Rule 37.14(c), they have recused 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. They must also certify that, consistent with the STOCK Act, they have recused whenever there is a conflict of interest, or appearance of a conflict of interest, with respect to the prospective private employer. 

All Members, officers, and employees are subject to a “cooling off” period on communications back to the Senate. These restrictions help to protect against the appearance that an outside entity can gain special access or special treatment from the Senate through the influence of former Members, officers, and employees.

Please be advised that 18 U.S.C. § 207 is enforced by the Department of Justice, and the Committee’s guidance is advisory only.

Members

18 U.S.C. § 207:

• Members may not make, with the intent to influence, any communication to or appearance before any Member, officer, or employee of either House of Congress or any employee of any other legislative office of the Congress, on behalf of any other person (except the United States), in connection with any matter on which the Member seeks action by the person in their official capacity. 18 U.S.C. § 207(e).
• Members may not represent a foreign entity before any officer or employee of any department or agency of the United States with the intent to influence a decision of such officer or employee in carrying out his or her official duties; or aid or advise a foreign entity with the intent to influence a decision of any officer or employee of any department or agency of the United States, in carrying out his or her official duties. 18 U.S.C. § 207(f).
• If the Member personally and substantially participated in any ongoing trade or treaty negotiation on behalf of the United States within the one-year period preceding the date on which his or her service or employment with the United States terminated, and had access to nonpublic information concerning such trade or treaty negotiation, the Member may not, on the basis of that information, knowingly represent, aid, or advise any other person (except the United States) concerning such ongoing trade or treaty negotiation for a period of one year after his or her service or employment with the United States terminates. 18 U.S.C. § 207(b).
• 18 U.S.C. § 207 contains several exceptions, including exceptions for sworn testimony and communications as an employee of a government entity. 18 U.S.C. § 207(j).

Senate Rule 37.8:

• If a Member, upon leaving office, 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, the Member shall not lobby Members, officers, or employees of the Senate for a period of two years after leaving office. Senate Rule 37.8.

Officers and “Senior Staff”

Employees paid at least 75% of a Member salary ($130,500 for CY 2024) for at least 60 days in the aggregate in the one year prior to leaving Senate employment:

18 U.S.C. § 207:

• The officer or employee may not, within one year after they leave office or employment, knowingly make, with the intent to influence, any communication to or appearance before any Senator or any officer or employee of the Senate, on behalf of any other person (except the United States) in connection with any matter on which they seek action by the person in their official capacity. 18 U.S.C. § 207(e).
• The officer or employee may not represent a foreign entity before any officer or employee of any department or agency of the United States with the intent to influence a decision of such officer or employee in carrying out his or her official duties; or aid or advise a foreign entity with the intent to influence a decision of any officer or employee of any department or agency of the United States, in carrying out his or her official duties. 18 U.S.C. § 207(f).
• If the officer or employee personally and substantially participated in any ongoing trade or treaty negotiation on behalf of the United States within the one-year period preceding the date on which his or her service or employment with the United States terminated, and had access to nonpublic information concerning such trade or treaty negotiation, the officer or employee may not, on the basis of that information, knowingly represent, aid, or advise any other person (except the United States) concerning such ongoing trade or treaty negotiation for a period of one year after his or her service or employment with the United States terminates. 18 U.S.C. § 207(b).
• 18 U.S.C. § 207 contains several exceptions, including exceptions for sworn testimony and communications as an employee of a government entity. 18 U.S.C. § 207(j).

Senate Rule 37.9:

• If the officer or employee 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, the officer or employee may not lobby any Member, officer, or employee of the Senate for a period of one year after leaving the Senate. Senate Rule 37.9(c).

It may be possible for an employee to become subject to Senate-wide post-employment restrictions under both 18 U.S.C. § 207 and Senate Rule 37 because of the receipt of one or more temporary pay increases (e.g., bonuses, COLA adjustments) that are paid out 60 or more days in the 12 months prior to leaving Senate employment.

The Secretary of the Senate, Office of Public Records maintains a public list of employees who depart the Senate at a rate of pay at or above the Senior Staff threshold.  See Office of Public Records - Post Employment Restriction List.

Employees paid less than 75% ($130,500 for CY 2024) of a Member’s salary

18 U.S.C. § 207:

• If the employee personally and substantially participated in any ongoing trade or treaty negotiation on behalf of the United States within the one-year period preceding the date on which his or her service or employment with the United States terminated, and had access to nonpublic information concerning such trade or treaty negotiation, the employee may not, on the basis of that information, knowingly represent, aid, or advise any other person (except the United States) concerning such ongoing trade or treaty negotiation for a period of one year after his or her service or employment with the United States terminates. 18 U.S.C. § 207(b).

Senate Rule 37.9:

• If an employee on the staff of a Member 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, the 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. Senate Rule 37.9(a).
• If an employee on the staff of a committee 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, the 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. Senate Rule 37.9(b).
• Leadership staff – 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.
• Staff with 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.

While non-Senate spouses and family members are generally not subject to Senate Rules and standards of conduct, a spouse’s or family member’s activities may require action by the Member, officer, or employee to avoid a conflict of interest or the appearance of a conflict of interest. For example, the Committee has previously advised that the lobbyist spouse of a Senator’s chief of staff should not lobby the supervising Senator or the Senator’s other employees who are supervised by the chief of staff, although the employee’s spouse would be free to lobby non-supervising Senators and other Senate employees. Contact the Committee for further guidance regarding any questions related to spouse or family member employment activities.

Additionally, Senate Rule 37.11 imposes specific restrictions on lobbying activities by Members’ spouses and family members.

Under Senate Rule 37.11(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.

Under Senate Rule 37.11(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. Under Senate Rule 37.11(c), this prohibition does not apply to the spouse of a Member who was serving as a registered lobbyist at least one year prior to the most recent election of that Member to office or at least one year prior to his or her marriage to that Member. However, a spouse engaging in lobbying under this exception may nevertheless create the appearance of a conflict of interest.

Dual Government Employment

Jury Duty

Running for and Holding Elective Office

Federal Office:

State and Local Office:

No federal law or Senate Rule prohibits a Senate employee from running for and holding a state or local elective office. As with all outside activities, the employee’s supervising Senator must approve the position and the state or local office must not interfere or create a conflict of interest, or the appearance of a conflict of interest, with the employee’s Senate duties. The Senate employee must ensure that they do not use any Senate resources, including Senate time, while engaging in the outside position. Further, in dealing with the public, the employee should always make it clear in which capacity they are acting. The employee should discourage any suggestions that their state or local constituents will receive any special treatment from the Senate. Finally, all other conflict of interest rules, statutes, and standards of conduct remain in effect. This includes the outside earned income limit and the federal laws prohibiting representing others before the federal government, except in the course of their Senate duties.

• Senate Rule 34 (Public Financial Disclosure)
• Senate Rule 36 (Outside Earned Income)
• Senate Rule 37 (Conflict of Interest)

• 5 U.S.C.  §§ 13101-13111 – Ethics in Government Act (Financial Disclosure)
• 5 U.S.C.  § 13143 – Ethics in Government Act (Outside Earned Income and Honoraria)
• 5 U.S.C.  § 13144 – Ethics in Government Act (Professional Services and Teaching)
• 5 U.S.C. § 3110 – Anti-Nepotism
• 5 U.S.C. § 5533 – Dual Federal Government Employment
• 5 U.S.C. § 7353 – Anti-Solicitation
• 15 U.S.C. § 78j – Insider Trading 
• 18 U.S.C. § 1348 – Securities and Commodities Fraud
• 18 U.S.C. § 201 – Bribery and Illegal Gratuity
• 18 U.S.C. § 203 – Compensation for Representation Before Federal Government
• 18 U.S.C. § 205 – Representation Before Federal Government
• 18 U.S.C. § 207 – Post-Employment Restrictions
• 18 U.S.C. §§ 431-33 – Contracting with Federal Government
• 28 U.S.C. § 1863(b)(6) – Prohibition on Federal Jury Service
• 2 U.S.C. § 4503 – Prohibition on Payment for Jury Service
• 41 U.S.C. § 22 – Contracting with Federal Government
• Honest Leadership and Open Government Act of 2007, Pub. L. 110-81 (2007)
• Stop Trading on Congressional Knowledge Act of 2012 (STOCK Act), Pub. L. 112-105, § 17 (2012)
• H.R. Con. Res. 175, 85th Cong. (1958) – Code of Ethics for Government Service